[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2020 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 40

Protection of Environment


________________________

Part 80

                         Revised as of July 1, 2020

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2020
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

          Legal Status and Use of Seals and Logos
          
          
          The seal of the National Archives and Records Administration 
              (NARA) authenticates the Code of Federal Regulations (CFR) as 
              the official codification of Federal regulations established 
              under the Federal Register Act. Under the provisions of 44 
              U.S.C. 1507, the contents of the CFR, a special edition of the 
              Federal Register, shall be judicially noticed. The CFR is 
              prima facie evidence of the original documents published in 
              the Federal Register (44 U.S.C. 1510).

          It is prohibited to use NARA's official seal and the stylized Code 
              of Federal Regulations logo on any republication of this 
              material without the express, written permission of the 
              Archivist of the United States or the Archivist's designee. 
              Any person using NARA's official seals and logos in a manner 
              inconsistent with the provisions of 36 CFR part 1200 is 
              subject to the penalties specified in 18 U.S.C. 506, 701, and 
              1017.

          Use of ISBN Prefix

          This is the Official U.S. Government edition of this publication 
              and is herein identified to certify its authenticity. Use of 
              the 0-16 ISBN prefix is for U.S. Government Publishing Office 
              Official Editions only. The Superintendent of Documents of the 
              U.S. Government Publishing Office requests that any reprinted 
              edition clearly be labeled as a copy of the authentic work 
              with a new ISBN.

              
              
          U . S . G O V E R N M E N T P U B L I S H I N G O F F I C E

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

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[Page iii]]




                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Table of CFR Titles and Chapters........................     691
      Alphabetical List of Agencies Appearing in the CFR......     711
      List of CFR Sections Affected...........................     721

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 80.1 refers 
                       to title 40, part 80, 
                       section 1.

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2020), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

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

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not dropped in error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed as 
an approved incorporation by reference, please contact the agency that 
issued the regulation containing that incorporation. If, after 
contacting the agency, you find the material is not available, please 
notify the Director of the Federal Register, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, 
or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

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

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected].

SALES

    The Government Publishing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call toll-free, 
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or 
fax your order to 202-512-2104, 24 hours a day. For payment by check, 
write to: US Government Publishing Office - New Orders, P.O. Box 979050, 
St. Louis, MO 63197-9000.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
States, Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format via www.govinfo.gov. For 
more information, contact the GPO Customer Contact Center, U.S. 
Government Publishing Office. Phone 202-512-1800, or 866-512-1800 (toll-
free). E-mail, [email protected].
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) website for public 
law numbers, Federal Register finding aids, and related information. 
Connect to NARA's website at www.archives.gov/federal-register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register
    July 1, 2020







[[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, 2020.

    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, Gabrielle E. Burns 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 80)

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

chapter i--Environmental Protection Agency (Continued)......          80

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001; and 69 FR 
18803, Apr. 9, 2004.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
80              Regulation of fuels and fuel additives......           5

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





PART 80_REGULATION OF FUELS AND FUEL ADDITIVES--Table of Contents



                      Subpart A_General Provisions

Sec.
80.1 Scope.
80.2 Definitions.
80.3 Test methods.
80.4 Right of entry; tests and inspections.
80.5 Penalties.
80.7 Requests for information.
80.8 Sampling methods for gasoline, diesel fuel, fuel additives, and 
          renewable fuels.
80.9 Rounding a test result for determining conformance with a fuels 
          standard.
80.10 Addresses.

                   Subpart B_Controls and Prohibitions

80.20-80.21 [Reserved]
80.22 Controls and prohibitions.
80.23 Liability for violations.
80.24 Controls applicable to motor vehicle manufacturers.
80.25 [Reserved]
80.26 Confidentiality of information.
80.27 Controls and prohibitions on gasoline volatility.
80.28 Liability for violations of gasoline volatility controls and 
          prohibitions.
80.29 Controls and prohibitions on diesel fuel quality.
80.30 Liability for violations of diesel fuel control and prohibitions.
80.32 Controls applicable to liquefied petroleum gas retailers and 
          wholesale purchaser-consumers.
80.33 Controls applicable to natural gas retailers and wholesale 
          purchaser-consumers.

                      Subpart C_Oxygenated Gasoline

80.35 Labeling of retail gasoline pumps; oxygenated gasoline.
80.36-80.39 [Reserved]

                     Subpart D_Reformulated Gasoline

80.40 Fuel certification procedures.
80.41 Standards and requirements for compliance.
80.42 Simple emissions model.
80.43-80.44 [Reserved]
80.45 Complex emissions model.
80.46 Measurement of reformulated gasoline fuel parameters.
80.47 Performance-based Analytical Test Method Approach.
80.48 Augmentation of the complex emission model by vehicle testing.
80.49 Fuels to be used in augmenting the complex emission model through 
          vehicle testing.
80.50 General test procedure requirements for augmentation of the 
          emission models.
80.51 Vehicle test procedures.
80.52 Vehicle preconditioning.
80.53-80.54 [Reserved]
80.55 Measurement methods for benzene and 1,3-butadiene.
80.56 Measurement methods for formaldehyde and acetaldehyde.
80.57-80.58 [Reserved]
80.59 General test fleet requirements for vehicle testing.
80.60 Test fleet requirements for exhaust emission testing.
80.61 [Reserved]
80.62 Vehicle test procedures to place vehicles in emitter group sub-
          fleets.
80.63-80.64 [Reserved]
80.65 General requirements for refiners and importers.
80.66 Calculation of reformulated gasoline properties.
80.67 Compliance on average.
80.68 Compliance surveys.
80.69 Requirements for downstream oxygenate blending.
80.70 Covered areas.
80.71 Descriptions of VOC-control regions.
80.72 Procedures for opting out of the covered areas.
80.73 Inability to produce conforming gasoline in extraordinary 
          circumstances.
80.74 Recordkeeping requirements.
80.75 Reporting requirements.
80.76 Registration of refiners, importers or oxygenate blenders.
80.77 Product transfer documentation.
80.78 Controls and prohibitions on reformulated gasoline.
80.79 Liability for violations of the prohibited activities.
80.80 Penalties.
80.81 Enforcement exemptions for California gasoline.
80.82 Butane blending.
80.83 Renewable oxygenate requirements.
80.84 Treatment of interface and transmix.
80.85 Pentane blending.
80.86 Requirements for producers and importers of pentane used by 
          pentane blenders.
80.87 Controls and prohibitions for producers, importers, and 
          distributors of pentane for use by pentane blenders.
80.88-80.89 [Reserved]

                         Subpart E_Anti-Dumping

80.90 Conventional gasoline baseline emissions determination.

[[Page 6]]

80.91 Individual baseline determination.
80.92 Baseline auditor requirements.
80.93 Individual baseline submission and approval.
80.94 Requirements for gasoline produced at foreign refineries.
80.95-80.100 [Reserved]
80.101 Standards applicable to refiners and importers.
80.102 [Reserved]
80.103 Registration of refiners and importers.
80.104 Recordkeeping requirements.
80.105 Reporting requirements.
80.106 Product transfer documents.
80.107-80.124 [Reserved]

                      Subpart F_Attest Engagements

80.125 Attest engagements.
80.126 Definitions.
80.127 Sample size guidelines.
80.128 Alternative agreed upon procedures for refiners and importers.
80.129 [Reserved]
80.130 Agreed upon procedures reports.
80.131 Agreed upon procedures for GTAB, certain conventional gasoline 
          imported by truck, previously certified gasoline used to 
          produce gasoline, and butane blenders.
80.132 [Reserved]
80.133 Agreed-upon procedures for refiners and importers.
80.134-80.135 [Reserved]

                      Subpart G_Detergent Gasoline

80.140 Definitions.
80.141 Interim detergent gasoline program.
80.142-80.154 [Reserved]
80.155 Interim detergent program controls and prohibitions.
80.156 Liability for violations of the interim detergent program 
          controls and prohibitions.
80.157 Volumetric additive reconciliation (``VAR''), equipment 
          calibration, and recordkeeping requirements.
80.158 Product transfer documents (PTDs).
80.159 Penalties.
80.160 Exemptions.
80.161 Detergent additive certification program.
80.162 Additive compositional data.
80.163 Detergent certification options.
80.164 Certification test fuels.
80.165 Certification test procedures and standards.
80.166 Carburetor deposit control performance test and test fuel 
          guidelines.
80.167 Confirmatory testing.
80.168 Detergent certification program controls and prohibitions.
80.169 Liability for violations of the detergent certification program 
          controls and prohibitions.
80.170 Volumetric additive reconciliation (VAR), equipment calibration, 
          and recordkeeping requirements.
80.171 Product transfer documents (PTDs).
80.172 Penalties.
80.173 Exemptions.
80.174 Addresses.
80.175 [Reserved]
80.176 Alternative certification test procedures and standards.
80.177 Certification test fuels for use with the alternative test 
          procedures and standards.

                        Subpart H_Gasoline Sulfur

                           General Information

80.180-80.185 [Reserved]
80.190 Who must register with EPA under the sulfur program?

                        Gasoline Sulfur Standards

80.195 What are the gasoline sulfur standards for refiners and 
          importers?
80.200 What gasoline is subject to the sulfur standards and 
          requirements?
80.205 How is the annual refinery or importer average and corporate pool 
          average sulfur level determined?
80.210 What sulfur standards apply to gasoline downstream from 
          refineries and importers?
80.211 What are the requirements for treating imported gasoline as 
          blendstock?
80.212 What requirements apply to oxygenate blenders?
80.213 What alternative sulfur standards and requirements apply to 
          transmix processors and transmix blenders?
80.214 [Reserved]

                       Geographic Phase-In Program

80.215 What is the scope of the geographic phase-in program?
80.216 What standards apply to gasoline produced or imported for use in 
          the GPA?
80.217 How does a refiner or importer apply for the GPA standards?
80.218 [Reserved]
80.219 Designation and downstream requirements for GPA gasoline.
80.220 What are the downstream standards for GPA gasoline?

                           Hardship Provisions

80.225 What is the definition of a small refiner?
80.230 Who is not eligible for the hardship provisions for small 
          refiners?
80.235 How does a refiner obtain approval as a small refiner?
80.240 What are the small refiner gasoline sulfur standards?
80.245 How does a small refiner apply for a sulfur baseline?

[[Page 7]]

80.250 How is the small refiner sulfur baseline and volume determined?
80.255 Compliance plans and demonstration of commitment to produce low 
          sulfur gasoline.
80.260 What are the procedures and requirements for obtaining a hardship 
          extension?
80.265 How will the EPA approve or disapprove a hardship extension 
          application?
80.270 Can a refiner seek temporary relief from the requirements of this 
          subpart?

                        Allotment Trading Program

80.271 How can a small refiner obtain an adjustment of its 2004-2007 
          per-gallon cap standard?
80.275 How are allotments generated and used?

    Averaging, Banking and Trading (ABT) Program--General Information

80.280 [Reserved]
80.285 Who may generate credits under the ABT program?
80.290 How does a refiner apply for a sulfur baseline?

                   ABT Program--Baseline Determination

80.295 How is a refinery sulfur baseline determined?
80.300 [Reserved]

                     ABT Program--Credit Generation

80.305 How are credits generated during the time period 2000 through 
          2003?
80.310 How are credits generated beginning in 2004?

                         ABT Program--Credit Use

80.315 How are credits used and what are the limitations on credit use?
80.320-80.325 [Reserved]

 Sampling, Testing and Retention Requirements for Refiners and Importers

80.330 What are the sampling and testing requirements for refiners and 
          importers?
80.335 What gasoline sample retention requirements apply to refiners and 
          importers?
80.340 What standards and requirements apply to refiners producing 
          gasoline by blending blendstocks into previously certified 
          gasoline (PCG)?
80.345 [Reserved]
80.350 What alternative sulfur standards and requirements apply to 
          importers who transport gasoline by truck?
80.355 [Reserved]

                Recordkeeping and Reporting Requirements

80.360 [Reserved]
80.365 What records must be kept?
80.370 What are the sulfur reporting requirements?
80.371-80.373 [Reserved]

                               Exemptions

80.374 What if a refiner or importer is unable to produce gasoline 
          conforming to the requirements of this subpart?
80.375 What requirements apply to California gasoline?
80.380 What are the requirements for obtaining an exemption for gasoline 
          used for research, development or testing purposes?
80.382 What requirements apply to gasoline for use in American Samoa, 
          Guam and the Commonwealth of the Northern Mariana Islands?

                          Violation Provisions

80.385 What acts are prohibited under the gasoline sulfur program?
80.390 What evidence may be used to determine compliance with the 
          prohibitions and requirements of this subpart and liability 
          for violations of this subpart?
80.395 Who is liable for violations under the gasoline sulfur program?
80.400 What defenses apply to persons deemed liable for a violation of a 
          prohibited act?
80.405 What penalties apply under this subpart?

    Provisions for Foreign Refiners With Individual Sulfur Baselines

80.410 What are the additional requirements for gasoline produced at 
          foreign refineries having individual small refiner sulfur 
          baselines, foreign refineries granted temporary relief under 
          Sec.  80.270, or baselines for generating credits during 2000 
          through 2003?

                           Attest Engagements

80.415 What are the attest engagement requirements for gasoline sulfur 
          compliance applicable to refiners and importers?

  Subpart I_Motor Vehicle Diesel Fuel; Nonroad, Locomotive, and Marine 
                    Diesel Fuel; and ECA Marine Fuel

                           General Information

80.500 What are the implementation dates for the motor vehicle diesel 
          fuel sulfur control program?
80.501 What fuel is subject to the provisions of this subpart?
80.502 What definitions apply for purposes of this subpart?
80.503-80.509 [Reserved]

[[Page 8]]

80.510 What are the standards and marker requirements for refiners and 
          importers for NRLM diesel fuel and ECA marine fuel?
80.511 What are the per-gallon and marker requirements that apply to 
          NRLM diesel fuel, ECA marine fuel, and heating oil downstream 
          of the refiner or importer?
80.512 May an importer treat diesel fuel as blendstock?
80.513 What provisions apply to transmix processing facilities and 
          pipelines that produce diesel fuel from pipeline interface?
80.514-80.519 [Reserved]

          Motor Vehicle Diesel Fuel Standards and Requirements

80.520 What are the standards and dye requirements for motor vehicle 
          diesel fuel?
80.521 What are the standards and identification requirements for diesel 
          fuel additives?
80.522 May used motor oil be dispensed into diesel motor vehicles or 
          nonroad diesel engines?
80.523 [Reserved]
80.524 What sulfur content standard applies to motor vehicle diesel fuel 
          downstream of the refinery or importer?
80.525 What requirements apply to kerosene blenders?
80.526 [Reserved]
80.527 Under what conditions may motor vehicle diesel fuel subject to 
          the 15 ppm sulfur standard be downgraded to motor vehicle 
          diesel fuel subject to the 500 ppm sulfur standard?
80.528-80.529 [Reserved]

                       Temporary Compliance Option

80.530 Under what conditions can 500 ppm motor vehicle diesel fuel be 
          produced or imported after May 31, 2006?
80.531 How are motor vehicle diesel fuel credits generated?
80.532 How are motor vehicle diesel fuel credits used and transferred?
80.533 How does a refiner or importer apply for a motor vehicle or non-
          highway baseline for the generation of NRLM credits or the use 
          of the NRLM small refiner compliance options?
80.534 [Reserved]
80.535 How are NRLM diesel fuel credits generated?
80.536 How are NRLM diesel fuel credits used and transferred?
80.537-80.539 [Reserved]

                     Geographic Phase-In Provisions

80.540 How may a refiner be approved to produce gasoline under the GPA 
          gasoline sulfur standards in 2007 and 2008?
80.541-80.549 [Reserved]

                    Small Refiner Hardship Provisions

80.550 What is the definition of a motor vehicle diesel fuel small 
          refiner or a NRLM diesel fuel small refiner under this 
          subpart?
80.551 How does a refiner obtain approval as a small refiner under this 
          subpart?
80.552 What compliance options are available to motor vehicle diesel 
          fuel small refiners?
80.553 Under what conditions may the small refiner gasoline sulfur 
          standards be extended for a small refiner of motor vehicle 
          diesel fuel?
80.554 What compliance options are available to NRLM diesel fuel small 
          refiners?
80.555 What provisions are available to a large refiner that acquires a 
          small refiner or one or more of its refineries?
80.556-80.559 [Reserved]

                        Other Hardship Provisions

80.560 How can a refiner seek temporary relief from the requirements of 
          this subpart in case of extreme hardship circumstances?
80.561 How can a refiner or importer seek temporary relief from the 
          requirements of this subpart in case of extreme unforeseen 
          circumstances?
80.562-80.569 [Reserved]

                          Labeling Requirements

80.570 What labeling requirements apply to retailers and wholesale 
          purchaser-consumers of diesel fuel beginning June 1, 2006?
80.571 What labeling requirements apply to retailers and wholesale 
          purchaser-consumers of NRLM diesel fuel or heating oil 
          beginning June 1, 2007?
80.572 What labeling requirements apply to retailers and wholesale 
          purchaser-consumers of Motor Vehicle, NR, LM and NRLM diesel 
          fuel and heating oil beginning June 1, 2010?
80.573 What labeling requirements apply to retailers and wholesale 
          purchaser-consumers of NRLM diesel fuel and heating oil 
          beginning June 1, 2012?
80.574 What labeling requirements apply to retailers and wholesale 
          purchaser-consumers of ECA marine fuel beginning June 1, 2014?
80.575-80.579 [Reserved]

                          Sampling and Testing

80.580 What are the sampling and testing methods for sulfur?
80.581 What are the batch testing and sample retention requirements for 
          motor vehicle diesel fuel, NRLM diesel fuel, and ECA marine 
          fuel?
80.582 What are the sampling and testing methods for the fuel marker?

[[Page 9]]

80.583 What alternative sampling and testing requirements apply to 
          importers who transport motor vehicle diesel fuel, NRLM diesel 
          fuel, or ECA marine fuel by truck or rail car?
80.584 What are the precision and accuracy criteria for approval of test 
          methods for determining the sulfur content of motor vehicle 
          diesel fuel, NRLM diesel fuel, and ECA marine fuel?
80.585 What is the process for approval of a test method for determining 
          the sulfur content of diesel or ECA marine fuel?
80.586 What are the record retention requirements for test methods 
          approved under this subpart?
80.587-80.589 [Reserved]

                Recordkeeping and Reporting Requirements

80.590 What are the product transfer document requirements for motor 
          vehicle diesel fuel, NRLM diesel fuel, heating oil, distillate 
          global marine fuel, ECA marine fuel, and other distillates?
80.591 What are the product transfer document requirements for additives 
          to be used in diesel fuel?
80.592 What records must be kept by entities in the motor vehicle diesel 
          fuel and diesel fuel additive distribution systems?
80.593 What are the reporting requirements for refiners and importers of 
          motor vehicle diesel fuel subject to temporary refiner relief 
          standards?
80.594 What are the pre-compliance reporting requirements for motor 
          vehicle diesel fuel?
80.595 How does a small or GPA refiner apply for a motor vehicle diesel 
          fuel volume baseline for the purpose of extending their 
          gasoline sulfur standards?
80.596 How is a refinery motor vehicle diesel fuel volume baseline 
          calculated?
80.597 What are the registration requirements?
80.598 What are the designation requirements for refiners, importers, 
          and distributors?
80.599 How do I calculate volume balances for designation purposes?
80.600 What records must be kept for purposes of the designate and track 
          provisions?
80.601 What are the reporting requirements for purposes of the designate 
          and track provisions?
80.602 What records must be kept by entities in the NRLM diesel fuel, 
          ECA marine fuel, distillate global marine fuel, and diesel 
          fuel additive production, importation, and distribution 
          systems?
80.603 What are the pre-compliance reporting requirements for NRLM 
          diesel fuel?
80.604 What are the annual reporting requirements for refiners and 
          importers of NRLM diesel fuel?

                               Exemptions

80.605 Global marine fuel exemption.
80.606 What national security exemption applies to fuels covered under 
          this subpart?
80.607 What are the requirements for obtaining an exemption for diesel 
          fuel used for research, development or testing purposes?
80.608 What requirements apply to diesel fuel and ECA marine fuel for 
          use in the Territories?
80.609 [Reserved]

                          Violation Provisions

80.610 What acts are prohibited under the diesel fuel sulfur program?
80.611 What evidence may be used to determine compliance with the 
          prohibitions and requirements of this subpart and liability 
          for violations of this subpart?
80.612 Who is liable for violations of this subpart?
80.613 What defenses apply to persons deemed liable for a violation of a 
          prohibited act under this subpart?
80.614 What are the alternative defense requirements in lieu of Sec.  
          80.613(a)(1)(vi)?
80.615 What penalties apply under this subpart?
80.616 What are the enforcement exemptions for California diesel 
          distributed within the State of California?
80.617 How may California diesel fuel be distributed or sold outside of 
          the State of California?
80.618-80.619 [Reserved]

 Provisions for Foreign Refiners and Importers for Motor Vehicle Diesel 
   Fuel Subject to a Temporary Compliance Option or Hardship Provision

80.620 What are the additional requirements for diesel fuel or 
          distillates produced by foreign refineries subject to a 
          temporary refiner compliance option, hardship provisions, or 
          motor vehicle or NRLM diesel fuel credit provisions?

                        Subpart J_Gasoline Toxics

                           General Information

80.800-80.805 [Reserved]
80.810 Who shall register with EPA under the gasoline toxics program?

                Gasoline Toxics Performance Requirements

80.815 What are the gasoline toxics performance requirements for 
          refiners and importers?
80.820 What gasoline is subject to the toxics performance requirements 
          of this subpart?
80.825 How is the refinery or importer annual average toxics value 
          determined?

[[Page 10]]

80.830 What requirements apply to oxygenate blenders?
80.835 What requirements apply to butane blenders?
80.840 What requirements apply to transmix processors?
80.845 What requirements apply to California gasoline?
80.850 How is the compliance baseline determined?
80.855 What is the compliance baseline for refineries or importers with 
          insufficient data?
80.860-80.905 [Reserved]

                         Baseline Determination

80.910 How does a refiner or importer apply for a toxics baseline?
80.915 How are the baseline toxics value and the baseline toxics volume 
          determined?
80.920-80.980 [Reserved]

                Recordkeeping and Reporting Requirements

80.985 What records shall be kept?
80.990 What are the toxics reporting requirements?

                               Exemptions

80.995 What if a refiner or importer is unable to produce gasoline 
          conforming to the requirements of this subpart?
80.1000 What are the requirements for obtaining an exemption for 
          gasoline used for research, development or testing purposes?

                          Violation Provisions

80.1005 What acts are prohibited under the gasoline toxics program?
80.1010 [Reserved]
80.1015 Who is liable for violations under the gasoline toxics program?
80.1020 [Reserved]
80.1025 What penalties apply under this subpart?

    Provisions for Foreign Refiners With Individual Toxics Baselines

80.1030 What are the requirements for gasoline produced at foreign 
          refineries having individual refiner toxics baselines?

                           Attest Engagements

80.1035 What are the attest engagement requirements for gasoline toxics 
          compliance applicable to refiners and importers?
80.1040 [Reserved]

                          Additional Rulemaking

80.1045 What additional rulemaking will EPA conduct?

                    Subpart K_Renewable Fuel Standard

80.1100 How is the statutory default requirement for 2006 implemented?
80.1101 Definitions.
80.1102-80.1103 [Reserved]
80.1104 What are the implementation dates for the Renewable Fuel 
          Standard Program?
80.1105 What is the Renewable Fuel Standard?
80.1106 To whom does the Renewable Volume Obligation apply?
80.1107 How is the Renewable Volume Obligation calculated?
80.1108-80.1114 [Reserved]
80.1115 How are equivalence values assigned to renewable fuel?
80.1116-80.1124 [Reserved]
80.1125 Renewable Identification Numbers (RINs).
80.1126 How are RINs generated and assigned to batches of renewable fuel 
          by renewable fuel producers or importers?
80.1127 How are RINs used to demonstrate compliance?
80.1128 General requirements for RIN distribution.
80.1129 Requirements for separating RINs from volumes of renewable fuel.
80.1130 Requirements for exporters of renewable fuels.
80.1131 Treatment of invalid RINs.
80.1132 Reported spillage or disposal of renewable fuel.
80.1133-80.1140 [Reserved]
80.1141 Small refinery exemption.
80.1142 What are the provisions for small refiners under the RFS 
          program?
80.1143 What are the opt-in provisions for noncontiguous states and 
          territories?
80.1144-80.1149 [Reserved]
80.1150 What are the registration requirements under the RFS program?
80.1151 What are the recordkeeping requirements under the RFS program?
80.1152 What are the reporting requirements under the RFS program?
80.1153 What are the product transfer document (PTD) requirements for 
          the RFS program?
80.1154 What are the provisions for renewable fuel producers and 
          importers who produce or import less than 10,000 gallons of 
          renewable fuel per year?
80.1155 What are the additional requirements for a producer of 
          cellulosic biomass ethanol or waste derived ethanol?
80.1156-80.1159 [Reserved]
80.1160 What acts are prohibited under the RFS program?
80.1161 Who is liable for violations under the RFS program?
80.1162 [Reserved]
80.1163 What penalties apply under the RFS program?

[[Page 11]]

80.1164 What are the attest engagement requirements under the RFS 
          program?
80.1165 What are the additional requirements under this subpart for a 
          foreign small refiner?
80.1166 What are the additional requirements under this subpart for a 
          foreign producer of cellulosic biomass ethanol or waste 
          derived ethanol?
80.1167 What are the additional requirements under this subpart for a 
          foreign RIN owner?

                       Subpart L_Gasoline Benzene

80.1200-80.1219 [Reserved]

                           General Information

80.1220 What are the implementation dates for the gasoline benzene 
          program?
80.1225 Who must register with EPA under the gasoline benzene program?

                      Gasoline Benzene Requirements

80.1230 What are the gasoline benzene requirements for refiners and 
          importers?
80.1235 What gasoline is subject to the benzene requirements of this 
          subpart?
80.1236 What requirements apply to California gasoline?
80.1238 How is a refinery's or importer's average benzene concentration 
          determined?
80.1240 How is a refinery's or importer's compliance with the gasoline 
          benzene requirements of this subpart determined?

              Averaging, Banking and Trading (ABT) Program

80.1270 Who may generate benzene credits under the ABT program?
80.1275 How are early benzene credits generated?
80.1280 How are refinery benzene baselines calculated?
80.1285 How does a refiner apply for a benzene baseline?
80.1290 How are standard benzene credits generated?
80.1295 How are gasoline benzene credits used?

                           Hardship Provisions

80.1334 What are the requirements for early compliance with the gasoline 
          benzene program?
80.1335 Can a refiner seek relief from the requirements of this subpart?
80.1336 What if a refiner or importer cannot produce gasoline conforming 
          to the requirements of this subpart?

                        Small Refiner Provisions

80.1338 What criteria must be met to qualify as a small refiner for the 
          gasoline benzene requirements of this subpart?
80.1339 Who is not eligible for the provisions for small refiners?
80.1340 How does a refiner obtain approval as a small refiner?
80.1342 What compliance options are available to small refiners under 
          this subpart?
80.1343 What hardship relief provisions are available only to small 
          refiners?
80.1344 What provisions are available to a non-small refiner that 
          acquires one or more of a small refiner's refineries?

              Sampling, Testing and Retention Requirements

80.1347 What are the sampling and testing requirements for refiners and 
          importers?
80.1348 What gasoline sample retention requirements apply to refiners 
          and importers?
80.1349 Alternative sampling and testing requirements for importers who 
          import gasoline into the United States by truck.

                Recordkeeping and Reporting Requirements

80.1350 What records must be kept?
80.1352 What are the pre-compliance reporting requirements for the 
          gasoline benzene program?
80.1354 What are the reporting requirements for the gasoline benzene 
          program?

                           Attest Engagements

80.1356 What are the attest engagement requirements for gasoline benzene 
          compliance?

                        Violations and Penalties

80.1358 What acts are prohibited under the gasoline benzene program?
80.1359 What evidence may be used to determine compliance with the 
          prohibitions and requirements of this subpart and liability 
          for violations of this subpart?
80.1360 Who is liable for violations under the gasoline benzene program?
80.1361 What penalties apply under the gasoline benzene program?

                            Foreign Refiners

80.1363 What are the additional requirements under this subpart for 
          gasoline produced at foreign refineries?

                    Subpart M_Renewable Fuel Standard

80.1400 Applicability.
80.1401 Definitions.
80.1402 Availability of information; confidentiality of information.
80.1403 Which fuels are not subject to the 20% GHG thresholds?
80.1404 [Reserved]
80.1405 What are the Renewable Fuel Standards?

[[Page 12]]

80.1406 Who is an obligated party under the RFS program?
80.1407 How are the Renewable Volume Obligations calculated?
80.1408 What are the requirements for parties that own and redesignate 
          certified NTDF as MVNRLM diesel fuel?
80.1409-80.1414 [Reserved]
80.1415 How are equivalence values assigned to renewable fuel?
80.1416 Petition process for evaluation of new renewable fuels pathways.
80.1417-80.1424 [Reserved]
80.1425 Renewable Identification Numbers (RINs).
80.1426 How are RINs generated and assigned to batches of renewable 
          fuel?
80.1427 How are RINs used to demonstrate compliance?
80.1428 General requirements for RIN distribution.
80.1429 Requirements for separating RINs from volumes of renewable fuel.
80.1430 Requirements for exporters of renewable fuels.
80.1431 Treatment of invalid RINs.
80.1432 Reported spillage or disposal of renewable fuel.
80.1433 [Reserved]
80.1434 RIN retirement.
80.1435 How are RIN holdings and RIN holding thresholds calculated?
80.1436-80.1439 [Reserved]
80.1440 What are the provisions for blenders who handle and blend less 
          than 250,000 gallons of renewable fuel per year or who handle 
          renewable fuel blended for fuels under a national security 
          exemption?
80.1441 Small refinery exemption.
80.1442 What are the provisions for small refiners under the RFS 
          program?
80.1443 What are the opt-in provisions for noncontiguous states and 
          territories?
80.1444-80.1448 [Reserved]
80.1449 What are the Production Outlook Report requirements?
80.1450 What are the registration requirements under the RFS program?
80.1451 What are the reporting requirements under the RFS program?
80.1452 What are the requirements related to the EPA Moderated 
          Transaction System (EMTS)?
80.1453 What are the product transfer document (PTD) requirements for 
          the RFS program?
80.1454 What are the recordkeeping requirements under the RFS program?
80.1455 What are the small volume provisions for renewable fuel 
          production facilities and importers?
80.1456 What are the provisions for cellulosic biofuel waiver credits?
80.1457 Petition process for aggregate compliance approach for foreign 
          countries.
80.1458-80.1459 [Reserved]
80.1460 What acts are prohibited under the RFS program?
80.1461 Who is liable for violations under the RFS program?
80.1462 [Reserved]
80.1463 What penalties apply under the RFS program?
80.1464 What are the attest engagement requirements under the RFS 
          program?
80.1465 What are the additional requirements under this subpart for 
          foreign small refiners, foreign small refineries, and 
          importers of RFS-FRFUEL?
80.1466 What are the additional requirements under this subpart for 
          foreign renewable fuel producers and importers of renewable 
          fuels?
80.1467 What are the additional requirements under this subpart for a 
          foreign RIN owner?
80.1468 Incorporation by reference.
80.1469 Requirements for Quality Assurance Plans.
80.1470 RIN replacement mechanisms for Option A independent third party 
          auditors.
80.1471 Requirements for QAP auditors.
80.1472 Requirements for quality assurance audits.
80.1473 Affirmative defenses.
80.1474 Replacement requirements for invalidly generated RINs.
80.1475 What are the additional attest engagement requirements for 
          parties that redesignate certified NTDF as MVNRLM diesel fuel?

      Subpart N_Additional Requirements for Gasoline-Ethanol Blends

80.1500 Definitions.
80.1501 Labeling requirements that apply to retailers and wholesale 
          purchaser-consumers of gasoline that contains greater than 10 
          volume percent ethanol and not more than 15 volume percent 
          ethanol.
80.1502 What are the survey requirements for gasoline-ethanol blends?
80.1503 What are the product transfer document requirements for 
          gasoline-ethanol blends, gasolines, and conventional 
          blendstocks for oxygenate blending subject to this subpart?
80.1504 What acts are prohibited under this subpart?
80.1505 Who is liable for violations of this subpart?
80.1506 What penalties apply under this subpart?
80.1507 What are the defenses for acts prohibited under this subpart?
80.1508 What evidence may be used to determine compliance with the 
          requirements of this subpart and liability for violations of 
          this subpart?
80.1509 Rounding a test result for purposes of this subpart N.

[[Page 13]]

                        Subpart O_Gasoline Sulfur

80.1600 Additional definitions for subpart O.
80.1601 Fuels subject to the provisions of this subpart.
80.1602 Applicability.
80.1603 Gasoline sulfur standards for refiners and importers.
80.1604 Gasoline sulfur standards and requirements for parties 
          downstream of refiners and importers.
80.1605 Deficit carryforward for refiners and importers.
80.1606 [Reserved]
80.1607 Gasoline sulfur standards and requirements for transmix 
          processors and transmix blenders.
80.1608 [Reserved]
80.1609 Oxygenate blender requirements.
80.1610 Standards and requirements for producers and importers of 
          denatured fuel ethanol and other oxygenates designated for use 
          in transportation fuel.
80.1611 Standards and requirements for certified ethanol denaturant.
80.1612 [Reserved]
80.1613 Standards and other requirements for gasoline additive 
          manufacturers and blenders.
80.1614 [Reserved]
80.1615 Credit generation.
80.1616 Credit use and transfer.
80.1617-80.1619 [Reserved]
80.1620 Small refiner definition.
80.1621 Small volume refinery definition.
80.1622 Approval for small refiner and small volume refinery status.
80.1623-80.1624 [Reserved]
80.1625 Hardship provisions.
80.1626-80.1629 [Reserved]
80.1630 Sampling and testing requirements for refiners, gasoline 
          importers and producers and importers of certified ethanol 
          denaturant.
80.1631 Gasoline, RBOB, and CBOB sample retention requirements.
80.1632-80.1639 [Reserved]
80.1640 Standards and requirements that apply to refiners producing 
          gasoline by blending blendstocks into previously certified 
          gasoline (PCG).
80.1641 Alternative sulfur standards and requirements that apply to 
          importers who transport gasoline by truck.
80.1642 Sampling and testing requirements for producers and importers of 
          denatured fuel ethanol and other oxygenates for use by 
          oxygenate blenders.
80.1643 Sample retention requirements for oxygenate producers and 
          importers.
80.1644 Sampling and testing requirements for producers and importers of 
          certified ethanol denaturant.
80.1645 Sample retention requirements for producers and importers of 
          certified ethanol denaturant.
80.1646-80.1649 [Reserved]
80.1650 Registration.
80.1651 Product transfer document requirements.
80.1652 Reporting requirements for gasoline refiners, gasoline 
          importers, oxygenate producers, and oxygenate importers.
80.1653 Recordkeeping.
80.1654 California gasoline requirements.
80.1655 National security exemption.
80.1656 Exemptions for gasoline used for research, development, or 
          testing purposes.
80.1657 [Reserved]
80.1658 Requirements for gasoline for use in American Samoa, Guam, and 
          the Commonwealth of the Northern Mariana Islands.
80.1659 [Reserved]
80.1660 Prohibited acts.
80.1661 What evidence may be used to determine compliance with the 
          prohibitions and requirements of this subpart and liability 
          for violations of this subpart?
80.1662 Liability for violations.
80.1663 Defenses for a violation of a prohibited act.
80.1664 [Reserved]
80.1665 Penalties.
80.1666 Additional requirements for foreign small refiners and foreign 
          small volume refineries.
80.1667 Attest engagement requirements.

Appendix A to Part 80--Test for the Determination of Phosphorus in 
          Gasoline
Appendix B to Part 80--Test Methods for Lead in Gasoline
Appendixes C-G to Part 80 [Reserved]

    Authority: 42 U.S.C. 7414, 7521, 7542, 7545, and 7601(a).

    Source: 38 FR 1255, Jan. 10, 1973, unless otherwise noted.



                      Subpart A_General Provisions



Sec.  80.1  Scope.

    (a) This part prescribes regulations for the control and/or 
prohibition of fuels and additives for use in motor vehicles and motor 
vehicle engines. These regulations are based upon a determination by the 
Administrator that the emission product of a fuel or additive will 
endanger the public health, or will impair to a significant degree the 
performance of a motor vehicle emission control device in general use or 
which the Administrator finds has been developed to a point where in a 
reasonable time it would be in general use were such regulations 
promulgated; and certain other findings specified by the Act.

[[Page 14]]

    (b) Nothing in this part is intended to preempt the ability of State 
or local governments to control or prohibit any fuel or additive for use 
in motor vehicles and motor vehicle engines which is not explicitly 
regulated by this part.

[38 FR 1255, Jan. 10, 1973, as amended at 38 FR 33741, Dec. 6, 1973; 42 
FR 25732, May 19, 1977]



Sec.  80.2  Definitions.

    Definitions apply in this part as described in this section.
    (a) Act means the Clean Air Act, as amended (42 U.S.C. 1857 et 
seq.).
    (b) Administrator means the Administrator of the Environmental 
Protection Agency.
    (c) Gasoline means any fuel sold in any State \1\ for use in motor 
vehicles and motor vehicle engines, and commonly or commercially known 
or sold as gasoline.
---------------------------------------------------------------------------

    \1\ State means 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.
---------------------------------------------------------------------------

    (d) Previously certified gasoline, or PCG, means conventional 
gasoline, reformulated gasoline, RBOB, or CBOB that previously has been 
included in a batch for purposes of complying with the standards of 40 
CFR part 80 that apply to refiners and importers.
    (e) Lead additive means any substance containing lead or lead 
compounds.
    (f) Previously designated diesel fuel or PDD means diesel fuel that 
has been previously designated and included by a refiner or importer in 
a batch for purposes of complying with the standards and requirements of 
subpart I of this part.
    (g) Unleaded gasoline means gasoline which is produced without the 
use of any lead additive and which contains not more than 0.05 gram of 
lead per gallon and not more than 0.005 gram of phosphorus per gallon.
    (h) Refinery means any facility, including but not limited to, a 
plant, tanker truck, or vessel where gasoline or diesel fuel is 
produced, including any facility at which blendstocks are combined to 
produce gasoline or diesel fuel, or at which blendstock is added to 
gasoline or diesel fuel.
    (i) Refiner means any person who owns, leases, operates, controls, 
or supervises a refinery.
    (j) Retail outlet means any establishment at which gasoline, diesel 
fuel, methanol, natural gas or liquified petroleum gas is sold or 
offered for sale for use in motor vehicles or nonroad engines, including 
locomotive engines or marine engines.
    (k) Retailer means any person who owns, leases, operates, controls, 
or supervises a retail outlet.
    (l) Distributor means any person who transports or stores or causes 
the transportation or storage of gasoline or diesel fuel at any point 
between any gasoline or diesel fuel refinery or importer's facility and 
any retail outlet or wholesale purchaser-consumer's facility.
    (m) Lead additive manufacturer means any person who produces a lead 
additive or sells a lead additive under his own name.
    (n) Reseller means any person who purchases gasoline or diesel fuel 
identified by the corporate, trade, or brand name of a refiner from such 
refiner or a distributor and resells or transfers it to retailers or 
wholesale purchaser-consumers displaying the refiner's brand, and whose 
assets or facilities are not substantially owned, leased, or controlled 
by such refiner.
    (o) Wholesale purchaser-consumer means any person that is an 
ultimate consumer of gasoline, diesel fuel, methanol, natural gas, or 
liquified petroleum gas and which purchases or obtains gasoline, diesel 
fuel, natural gas or liquified petroleum gas from a supplier for use in 
motor vehicles or nonroad engines, including locomotive engines or 
marine engines and, in the case of gasoline, diesel fuel, methanol or 
liquified petroleum gas, receives delivery of that product into a 
storage tank of at least 550-gallon capacity substantially under the 
control of that person.
    (p)-(q) [Reserved]
    (r) Importer means a person who imports gasoline, gasoline blending 
stocks or components, or diesel fuel from a foreign country into the 
United States (including the Commonwealth of Puerto Rico, the Virgin 
Islands,

[[Page 15]]

Guam, American Samoa, and the Northern Mariana Islands).
    (s) Gasoline blending stock, blendstock, or component means any 
liquid compound which is blended with other liquid compounds to produce 
gasoline.
    (t) Carrier means any distributor who transports or stores or causes 
the transportation or storage of gasoline or diesel fuel without taking 
title to or otherwise having any ownership of the gasoline or diesel 
fuel, and without altering either the quality or quantity of the 
gasoline or diesel fuel.
    (u) Ethanol blending plant means any refinery at which gasoline is 
produced solely through the addition of ethanol to gasoline, and at 
which the quality or quantity of gasoline is not altered in any other 
manner.
    (v) Ethanol blender means any person who owns, leases, operates, 
controls, or supervises an ethanol blending plant.
    (w) Cetane index or ``Calculated cetane index'' is a number 
representing the ignition properties of diesel fuel oils from API 
gravity and mid-boiling point, as determined by ASTM D976.
    (x) Diesel fuel means any fuel sold in any State or Territory of the 
United States and suitable for use in diesel engines, and that is--
    (1) A distillate fuel commonly or commercially known or sold as No. 
1 diesel fuel or No. 2 diesel fuel;
    (2) A non-distillate fuel other than residual fuel with comparable 
physical and chemical properties (e.g., biodiesel fuel); or
    (3) A mixture of fuels meeting the criteria of paragraphs (1) and 
(2) of this definition.
    (y) Motor vehicle diesel fuel means any diesel fuel or other 
distillate fuel that is used, intended for use, or made available for 
use in motor vehicles or motor vehicle engines.
    (z) Aromatic content of diesel fuel is the aromatic hydrocarbon 
content in volume percent as follows:
    (1) Through December 31, 2015, determine aromatic content of diesel 
fuel by ASTM D1319.
    (2) Beginning January 1, 2016, determine aromatic content of diesel 
fuel by a test method approved under Sec.  80.47.
    (aa) Global marine fuel means diesel fuel, distillate fuel, or 
residual fuel used, intended for use, or made available for use in 
steamships or Category 3 marine vessels while the vessels are operating 
outside the boundaries of an Emission Control Area (ECA). Global marine 
fuel is subject to the provisions of the International Convention for 
the Prevention of Pollution from Ships (MARPOL) Annex VI. Note that this 
part regulates global marine fuel only if it qualifies as a distillate 
fuel.
    (bb) Sulfur percentage is the percentage of sulfur in diesel fuel by 
weight, as determined using the applicable sampling and testing 
methodologies set forth in Sec.  80.580.
    (cc) Designated Volatility Nonattainment Area means any area 
designated as being in nonattainment with the National Ambient Air 
Quality Standard for ozone pursuant to rulemaking under section 
107(d)(4)(A)(ii) of the Clean Air Act.
    (dd) Designated Volatility Attainment Area means an area not 
designated as being in nonattainment with the National Ambient Air 
Quality Standard for ozone pursuant to rulemaking under section 
107(d)(4)(A)(ii) of the Clean Air Act.
    (ee) Reformulated gasoline means any gasoline whose formulation has 
been certified under Sec.  80.40, and which meets each of the standards 
and requirements prescribed under Sec.  80.41.
    (ff) Conventional gasoline means any gasoline which has not been 
certified under Sec.  80.40.
    (gg) Batch of gasoline means a quantity of gasoline that is 
homogeneous with regard to those properties that are specified for 
conventional or reformulated gasoline.
    (hh) Covered area means each of the geographic areas specified in 
Sec.  80.70 in which only reformulated gasoline may be sold or dispensed 
to ultimate consumers.
    (ii) Reformulated gasoline credit means the unit of measure for the 
paper transfer of benzene content resulting from reformulated gasoline 
which contains less than 0.95 volume percent benzene.
    (jj) Oxygenate means any substance which, when added to gasoline, 
increases the oxygen content of that gasoline. Lawful use of any of the 
substances or any combination of these

[[Page 16]]

substances requires that they be ``substantially similar'' under section 
211(f)(1) of the Clean Air Act, or be permitted under a waiver granted 
by the Administrator under the authority of section 211(f)(4) of the 
Clean Air Act.
    (kk) Reformulated gasoline blendstock for oxygenate blending, or 
RBOB means a petroleum product which, when blended with a specified type 
and percentage of oxygenate, meets the definition of reformulated 
gasoline, and to which the specified type and percentage of oxygenate is 
added other than by the refiner or importer of the RBOB at the refinery 
or import facility where the RBOB is produced or imported.
    (ll) Oxygenate blending facility means any facility (including a 
truck) at which oxygenate is added to gasoline or blendstock, and at 
which the quality or quantity of gasoline is not altered in any other 
manner except for the addition of deposit control additives.
    (mm) Oxygenate blender means any person who owns, leases, operates, 
controls, or supervises an oxygenate blending facility, or who owns or 
controls the blendstock or gasoline used or the gasoline produced at an 
oxygenate blending facility.
    (nn) [Reserved]
    (oo) Liquefied petroleum gas means a liquid hydrocarbon fuel that is 
stored under pressure and is composed primarily of species that are 
gases at atmospheric conditions (temperature = 25 [deg]C and pressure = 
1 atm), excluding natural gas.
    (pp) Control area means a geographic area in which only oxygenated 
gasoline under the oxygenated gasoline program may be sold or dispensed, 
with boundaries determined by section 211(m) of the Act.
    (qq) Control period means the period during which oxygenated 
gasoline must be sold or dispensed in any control area, pursuant to 
section 211(m)(2) of the Act.
    (rr) Oxygenated gasoline means gasoline which contains a measurable 
amount of oxygenate.
    (ss) Tank truck means a truck and/or trailer used to transport or 
cause the transportation of gasoline or diesel fuel, that meets the 
definition of motor vehicle in section 216(2) of the Act.
    (tt) Natural gas means a fuel whose primary constituent is methane.
    (uu) Methanol means any fuel sold for use in motor vehicles and 
commonly known or commercially sold as methanol or MXX, where XX is the 
percent methanol (CH3OH) by volume.
    (vv) Opt-in area. An area which becomes a covered area under Sec.  
80.70 pursuant to section 211(k)(6) of the Clean Air Act.
    (ww) Gasoline Treated as Blendstock, or GTAB, means imported 
gasoline that is excluded from the import facility's compliance 
calculations, but is treated as blendstock in a related refinery that 
includes the GTAB in its refinery compliance calculations.
    (xx) Diesel fuel additive means any substance not composed solely of 
carbon and/or hydrogen, or of diesel blendstocks, that is added to, 
intended to be added to, used in, or offered for use in motor vehicle 
diesel fuel or NRLM diesel fuel or in diesel motor vehicle or diesel 
NRLM engine fuel systems subsequent to the production of diesel fuel by 
processing crude oil from refinery processing units.
    (yy)-(zz) [Reserved]
    (aaa) Distillate fuel means diesel fuel and other petroleum fuels 
that can be used in engines that are designed for diesel fuel. For 
example, jet fuel, heating oil, kerosene, No. 4 fuel, DMX, DMA, DMB, and 
DMC are distillate fuels; and natural gas, LPG, gasoline, and residual 
fuel are not distillate fuels. Blends containing residual fuel may be 
distillate fuels.
    (bbb) Residual fuel means a petroleum fuel that can only be used in 
diesel engines if it is preheated before injection. For example, No. 5 
fuels, No. 6 fuels, and RM grade marine fuels are residual fuels. Note: 
Residual fuels do not necessarily require heating for storage or 
pumping.
    (ccc) Heating oil means any 1, 2, or non-petroleum diesel blend 
that is sold for use in furnaces, boilers, and similar applications and 
which is commonly or commercially known or sold as heating oil, fuel 
oil, and similar trade names, and that is not jet fuel, kerosene, or 
MVNRLM diesel fuel.
    (ddd) Jet fuel means any distillate fuel used, intended for use, or 
made available for use in aircraft.

[[Page 17]]

    (eee) Kerosene means any No.1 distillate fuel commonly or 
commercially sold as kerosene.
    (fff) 1D means the distillate fuel classification relating to ``No. 
1-D'' diesel fuels as described in ASTM D975.
    (ggg) 2D means the distillate fuel classification relating to ``No. 
2-D'' diesel fuels as described in ASTM D 975-04.
    (hhh)-(jjj) [Reserved]
    (kkk) Nonroad diesel engine means an engine that is designed to 
operate with diesel fuel that meets the definition of nonroad engine in 
40 CFR 1068.30, including locomotive and marine diesel engines.
    (lll) Locomotive engine means an engine used in a locomotive as 
defined under 40 CFR 92.2.
    (mmm) Marine engine and Category 3 have the meanings given under 40 
CFR 94.2.
    (nnn) Nonroad, locomotive, or marine (NRLM) diesel fuel means any 
diesel fuel or other distillate fuel that is used, intended for use, or 
made available for use, as a fuel in any nonroad diesel engines, 
including locomotive and marine diesel engines, except the following: 
Distillate fuel with a T90 at or above 700 [deg]F that is used only in 
Category 2 and 3 marine engines is not NRLM diesel fuel, and ECA marine 
fuel is not NRLM diesel fuel (note that fuel that conforms to the 
requirements of NRLM diesel fuel is excluded from the definition of 
``ECA marine fuel'' in this section without regard to its actual use). 
Use the distillation test method specified in 40 CFR 1065.1010 to 
determine the T90 of the fuel. NR diesel fuel and LM diesel fuel are 
subcategories of NRLM diesel fuel.
    (1) Any diesel fuel that is sold for use in stationary engines that 
are required to meet the requirements of Sec.  80.510(a) and/or (b), 
when such provisions are applicable to nonroad engines, shall be 
considered NRLM diesel fuel.
    (2) [Reserved]
    (ooo) Nonroad (NR) diesel fuel means any NRLM diesel fuel that is 
not ``locomotive or marine (LM) diesel fuel.''
    (ppp) Locomotive or marine (LM) diesel fuel means any diesel fuel or 
other distillate fuel that is used, intended for use, or made available 
for use, as a fuel in locomotive or marine diesel engines, except for 
the following fuels:
    (1) Fuel that is also used, intended for use, or made available for 
use in motor vehicle engines or nonroad engines other than locomotive 
and marine diesel engines is not LM diesel fuel.
    (2) Distillate fuel with a T90 greater than 700 [deg]F that is used 
only in Category 2 and 3 marine engines is not LM diesel fuel. Use the 
distillation test method specified in 40 CFR 1065.1010 to determine the 
T90 of the fuel.
    (qqq) MVNRLM diesel fuel means any diesel fuel or other distillate 
fuel that meets the definition of motor vehicle (MV) or nonroad, 
locomotive, or marine (NRLM) diesel fuel. Motor vehicle diesel fuel, 
NRLM diesel fuel, NR diesel fuel, and LM diesel fuel are subcategories 
of MVNRLM diesel fuel.
    (rrr) Solvent yellow 124 means N-ethyl-N-[2-[1-(2-
methylpropoxy)ethoxyl]-4-phenylazo]-benzeneamine.
    (sss) Non-petroleum diesel (NP diesel) means a diesel fuel that 
contains at least 80 percent mono-alkyl esters of long chain fatty acids 
derived from vegetable oils or animal fats.
    (ttt) ECA marine fuel is diesel, distillate, or residual fuel that 
meets the criteria of paragraph (ttt)(1) of this section, but not the 
criteria of paragraph (ttt)(2) of this section.
    (1) All diesel, distillate, or residual fuel used, intended for use, 
or made available for use in Category 3 marine vessels while the vessels 
are operating within an Emission Control Area (ECA), or an ECA 
associated area, is ECA marine fuel, unless it meets the criteria of 
paragraph (ttt)(2) of this section.
    (2) ECA marine fuel does not include any of the following fuel:
    (i) Fuel used by exempted or excluded vessels (such as exempted 
steamships), or fuel used by vessels allowed by the U.S. government 
pursuant to MARPOL Annex VI Regulation 3 or Regulation 4 to exceed the 
fuel sulfur limits while operating in an ECA or an ECA associated area 
(see 33 U.S.C. 1903).
    (ii) Fuel that conforms fully to the requirements of this part for 
NRLM diesel fuel (including being designated as NRLM).

[[Page 18]]

    (iii) Fuel used, or made available for use, in any diesel engines 
not installed on a Category 3 marine vessel.
    (uuu) Category 3 marine vessels, for the purposes of this part 80, 
are vessels that are propelled by engines meeting the definition of 
``Category 3'' in 40 CFR part 1042.901.
    (vvv) Denatured fuel ethanol (DFE) means an alcohol of the chemical 
formula C2H6O which contains a denaturant to make 
it unfit for human consumption, that is produced or imported for use in 
motor gasoline, and that meets the requirements of Sec.  80.1610.
    (www) Oxygenate producer means any person who owns, leases, 
operates, controls, or supervises an oxygenate production facility.
    (xxx) Oxygenate production facility means any facility where 
oxygenate including DFE designated as transportation fuel is produced.
    (yyy) Oxygenate importer means a person who imports oxygenate from a 
foreign country into the United States (including the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Northern 
Mariana Islands).
    (zzz) Oxygenate import facility means any facility where oxygenate 
including DFE designated as transportation fuel is imported into the 
United States.
    (aaaa) CBOB means gasoline blendstock that could become conventional 
gasoline solely upon the addition of oxygenate.
    (bbbb) Natural gas liquids (NGL) means the components of natural gas 
(primarily propane, butane, pentane, hexane, and heptane) that are 
separated from the gas state in the form of liquids in facilities such 
as a natural gas production facility, a gas processing plant, a natural 
gas pipeline, or a refinery or similar facility. The higher temperature 
boiling components of NGL are sometimes referred to as ``natural 
gasoline''.
    (cccc) [Reserved]
    (dddd) Butane blender means a refiner or refinery that produces 
gasoline by blending butane that meets the quality specifications in 
Sec.  80.82 with conventional gasoline, CBOB, reformulated gasoline, or 
RBOB, and that uses the streamlined provisions in Sec.  80.82 to meet 
some of the applicable sampling and testing requirements.
    (eeee) Pentane blender means a refiner or refinery that produces 
gasoline by blending pentane that meets the quality specifications in 
Sec.  80.86 with conventional gasoline, CBOB, reformulated gasoline, or 
RBOB, and that uses the streamlined provisions in Sec.  80.85 to meet 
some of the applicable sampling and testing requirements.
    (ffff) Blender-commercial grade pentane means pentane that meets the 
requirements in Sec.  80.86(a)(3) for pentane for use by a pentane 
blender pursuant to the requirements of Sec.  80.85.
    (gggg) Blender-non-commercial grade pentane means pentane that meets 
the requirements in Sec.  80.86(a)(4) for pentane for use by a pentane 
blender pursuant to the requirements of Sec.  80.85.
    (hhhh) Blender-grade pentane means pentane that meets the 
requirements for commercial grade pentane or non-commercial grade 
pentane pursuant to the requirements of Sec.  80.86.
    (iiii) Ethanol denaturant means previously certified gasoline 
(including previously certified blendstocks for oxygenate blending), 
gasoline blendstocks, or natural gasoline liquids that are added to neat 
(un-denatured) ethanol to make it unfit for human consumption in 
accordance with the requirements of the Alcohol and Tobacco Tax and 
Trade Bureau of the U.S. Treasury Department.
    (jjjj) [Reserved]
    (kkkk) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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

[[Page 19]]

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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D975-13a, Standard Specification for Diesel Fuel Oils, 
approved December 1, 2013.
    (ii) ASTM D976-06 (Reapproved 2011), Standard Test Method for 
Calculated Cetane Index of Distillate Fuels, approved October 1, 2011.
    (iii) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in 
Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved 
May 1, 2013.
    (2) [Reserved]

(Sec. 211, (Sec. 223, Pub. L. 95-95, 91 Stat. 764, 42 U.S.C. 7545(g)) 
and sec. 301(a) 42 U.S.C. 7602(a), formerly 42 U.S.C. 1857g(a)) of the 
Clean Air Act, as amended)

[38 FR 1255, Jan. 10, 1973]

    Editorial Note: For Federal Register citations affecting Sec.  80.2, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec.  80.3  Test methods.

    The lead and phosphorus content of gasoline shall be determined in 
accordance with test methods set forth in the appendices to this part.

[47 FR 765, Jan. 7, 1982]



Sec.  80.4  Right of entry; tests and inspections.

    The Administrator or his authorized representative, upon 
presentation of appropriate credentials, shall have a right to enter 
upon or through any refinery, retail outlet, wholesale purchaser-
consumer facility, or detergent manufacturer facility; or the premises 
or property of any gasoline or detergent distributor, carrier, or 
importer; or any place where gasoline or detergent is stored; and shall 
have the right to make inspections, take samples, obtain information and 
records, and conduct tests to determine compliance with the requirements 
of this part.

[61 FR 35356, July 5, 1996]



Sec.  80.5  Penalties.

    Any person who violates these regulations shall be liable to the 
United States for a civil penalty of not more than the sum of $25,000 
for every day of such violation and the amount of economic benefit or 
savings resulting from the violation. Any violation with respect to a 
regulation proscribed under section 211(c), (k), (l) or (m) of the Act 
which establishes a regulatory standard based upon a multi-day averaging 
period shall constitute a separate day of violation for each and every 
day in the averaging period. Civil penalties shall be assessed in 
accordance with section 205(b) and (c) of the Act.

[58 FR 65554, Dec. 15, 1993]



Sec.  80.7  Requests for information.

    (a) When the Administrator, the Regional Administrator, or their 
delegates have reason to believe that a violation of section 211(c) or 
section 211(n) of the Act and the regulations thereunder has occurred, 
they may require any refiner, distributor, wholesale purchaser-consumer, 
or retailer to report the following information regarding receipt, 
transfer, delivery, or sale of gasoline represented to be unleaded 
gasoline and to allow the reproduction of such information at all 
reasonable times.
    (1) For any bulk shipment of gasoline represented to be unleaded 
gasoline which is transferred, sold, or delivered within the previous 6 
months by a refiner or a distributor to a distributor, wholesale 
purchaser-consumer or a retail outlet, the refiner or distributor shall 
maintain and provide the following information as applicable:

[[Page 20]]

    (i) Business or corporate name and address of distributors, 
wholesale purchaser-consumers or retail outlets to which the gasoline 
has been transferred, sold, or delivered.
    (ii) Quantity of gasoline involved.
    (iii) Date of delivery.
    (iv) Storage location of gasoline prior to transit via delivery 
vessel (e.g., location of a bulk terminal).
    (v) Business or corporate name and address of the person who 
delivered the gasoline.
    (vi) Identification of delivery vessel (e.g., truck number). This 
information shall be supplied by the person in paragraph (a)(1)(v) of 
this section who performed the delivery, e.g., common or contract 
carrier.
    (2) For any bulk shipment of gasoline represented to be unleaded 
gasoline received by a retail outlet or a wholesale-purchaser-consumer 
facility within the previous 6 months, whether by purchase or otherwise, 
the retailer or wholesale purchaser-consumer shall maintain 
accessibility to and provide the following information:
    (i) Business or corporate name and address of the distributor.
    (ii) Quantity of gasoline received.
    (iii) Date of receipt.
    (b) Upon request by the Administrator, the Regional Administrator, 
or their delegates, any retailer shall provide documentation of his 
annual total sales volume in gallons of gasoline for each retail outlet 
for each calendar year beginning with 1971.
    (c) Any refiner, distributor, wholesale purchaser-consumer, 
retailer, or importer shall provide such other information as the 
Administrator or his authorized representative may reasonably require to 
enable him to determine whether such refiner, distributor, wholesale 
purchaser-consumer, retailer, or importer has acted or is acting in 
compliance with sections 211(c) and 211(n) of the Act and the 
regulations thereunder and shall, upon request of the Administrator or 
his authorized representative, produce and allow reproduction of any 
relevant records at all reasonable times. Such information may include 
but is not limited to records of unleaded gasoline inventory at a 
wholesale purchaser-consumer facility or a retail outlet, unleaded pump 
meter readings at a wholesale purchaser-consumer facility or a retail 
outlet, and receipts providing the date of acquisition of signs, labels, 
and nozzles required by Sec.  80.22. No person shall be required to 
furnish information requested under this paragraph if he can establish 
that such information is not maintained in the normal course of his 
business.

(Secs. 211, 301, Clean Air Act, as amended (42 U.S.C. 1857f-6c, 1857g))

[40 FR 36336, Aug. 20, 1975, as amended at 42 FR 45307, Sept. 9, 1977; 
47 FR 49332, Oct. 29, 1982; 61 FR 3837, Feb. 2, 1996]



Sec.  80.8  Sampling methods for gasoline, diesel fuel, fuel additives,
and renewable fuels.

    The sampling methods specified in this section shall be used to 
collect samples of gasoline, diesel fuel, blendstocks, fuel additives 
and renewable fuels for purposes of determining compliance with the 
requirements of this part.
    (a) Manual sampling. Manual sampling of tanks and pipelines shall be 
performed according to the applicable procedures specified in ASTM 
D4057.
    (b) Automatic sampling. Automatic sampling of petroleum products in 
pipelines shall be performed according to the applicable procedures 
specified in ASTM D4177.
    (c) Sampling and sample handling for volatility measurement. Samples 
to be analyzed for Reid Vapor Pressure (RVP) shall be collected and 
handled according to the applicable procedures specified in ASTM D5842.
    (d) Sample compositing. Composite samples shall be prepared using 
the applicable procedures specified in ASTM D5854.
    (e) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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

[[Page 21]]

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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D4057-12, Standard Practice for Manual Sampling of 
Petroleum and Petroleum Products, approved December 1, 2012 (``ASTM 
D4057'').
    (ii) ASTM D4177-95 (Reapproved 2010), Standard Practice for 
Automatic Sampling of Petroleum and Petroleum Products, approved May 1, 
2010 (``ASTM D4177'').
    (iii) ASTM D5842-14, Standard Practice for Sampling and Handling of 
Fuels for Volatility Measurement, approved January 15, 2014 (``ASTM 
D5842'').
    (iv) ASTM D5854-96 (Reapproved 2010), Standard Practice for Mixing 
and Handling of Liquid Samples of Petroleum and Petroleum Products, 
approved May 1, 2010 (``ASTM D5854'').
    (2) [Reserved]

[79 FR 23631, Apr. 28, 2014, as amended at 80 FR 9090, Feb. 19, 2015]



Sec.  80.9  Rounding a test result for determining conformance with
a fuels standard.

    (a) For purposes of determining compliance with the fuel standards 
of 40 CFR part 80, a test result will be rounded to the nearest unit of 
significant digits specified in the applicable fuel standard in 
accordance with the rounding method described in the ASTM standard 
practice, ASTM E 29-02 e1, entitled, ``Standard Practice for 
Using Significant Digits in Test Data to Determine Conformance with 
Specifications''.
    (b) ASTM standard practice, E 29-02 e1 is incorporated by 
reference. This incorporation by reference was approved by the Director 
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR 
part 51. A copy may be obtained from the American Society for Testing 
and Materials, 100 Barr Harbor Dr., West Conshohocken, PA 19428-2959. 
Copies may be inspected at the Air Docket, EPA/DC, EPA West, Room B102, 
1301 Constitution Ave., NW., Washington, DC, or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030 or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.

[71 FR 16499, Apr. 3, 2006]



Sec.  80.10  Addresses.

    (a) For submitting notifications, applications, petitions, or other 
communications with EPA, use one of the following addresses for mailing:
    (1) For U.S. Mail: Attn: [TITLE AS DIRECTED], U.S. Environmental 
Protection Agency, 1200 Pennsylvania Ave. NW, Mail Code 6405A, 
Washington, DC 20460.
    (2) For commercial service: Attn: [TITLE AS DIRECTED], U.S. 
Environmental Protection Agency, William Jefferson Clinton Building 
North, Mail Code 6405A, Room 6520V, 1200 Pennsylvania Ave. NW, 
Washington, DC 20004; Phone: 1-800-385-6164.
    (b) [Reserved]

[85 FR 7070, Feb. 6, 2020]



                   Subpart B_Controls and Prohibitions



Sec. Sec.  80.20-80.21  [Reserved]



Sec.  80.22  Controls and prohibitions.

    (a) After December 31, 1995, no person shall sell, offer for sale, 
supply, offer

[[Page 22]]

for supply, dispense, transport, or introduce into commerce gasoline 
represented to be unleaded gasoline unless such gasoline meets the 
defined requirements for unleaded gasoline in Sec.  80.2(g); nor shall 
he dispense, or cause or allow the gasoline other than unleaded gasoline 
to be dispensed into any motor vehicle which is equipped with a gasoline 
tank filler inlet which is designed for the introduction of unleaded 
gasoline.
    (b) After December 31, 1995, no person shall sell, offer for sale, 
supply, offer for supply, dispense, transport, or introduce into 
commerce for use as fuel in any motor vehicle (as defined in Section 
216(2) of the Clean Air Act, 42 U.S.C. 7550(2)), any gasoline which is 
produced with the use of lead additives or which contains more than 0.05 
gram of lead per gallon.
    (c)-(e) [Reserved]
    (f) Every retailer and wholesale purchaser-consumer shall equip all 
gasoline pumps from which gasoline is dispensed into motor vehicles with 
a nozzle spout that meets all the following specifications:
    (1) The outside diameter of the terminal end shall not be greater 
than 0.840 inches (2.134 centimeters).
    (2) The terminal end shall have a straight section of at least 2.5 
inches (6.34 centimeters).
    (3) The retaining spring shall terminate at least 3.0 inches (7.6 
centimeters) from the terminal end.
    (g) The specifications in this paragraph (g) apply for any new 
nozzle installations used primarily for dispensing gasoline into marine 
vessels beginning January 1, 2009. (Note that nozzles meeting the 
specifications of this paragraph (g) also meet the specifications of 
paragraph (f) of this section. Note also that the additional 
specifications in this paragraph (g) do not apply for nozzles used 
primarily for dispensing gasoline into motor vehicles rather than marine 
vessels.) Every retailer and wholesale purchaser-consumer shall use 
nozzles meeting these specifications for any new construction or for 
nozzle replacements. This does not require replacement of existing 
nozzles for refueling marine vessels before they would be replaced for 
other reasons. The following specifications apply to spouts on new or 
replacement nozzles intended for dispensing gasoline into marine 
vessels:
    (1) The outside diameter of the terminal end shall have a diameter 
of 0.824 0.017 inches (2.093 0.043 centimeters).
    (2) The spout shall include an aspirator hole for automatic shutoff 
positioned with a center that is 0.67 0.05 inches 
(1.70 0.13 centimeters) from the terminal end of 
the spout.
    (3) The terminal end shall have a straight section of at least 2.5 
inches (6.34 centimeters) with no holes or grooves other than the 
aspirator hole.
    (4) The retaining spring (if applicable) shall terminate at least 
3.0 inches (7.6 centimeters) from the terminal end.
    (h)-(i) [Reserved]
    (j) After July 1, 1996 every retailer and wholesale purchaser-
consumer handling over 10,000 gallons (37,854 liters) of fuel per month 
shall limit each nozzle from which gasoline or methanol is introduced 
into motor vehicles to a maximum fuel flow rate not to exceed 10 gallons 
per minute (37.9 liters per minute). The flow rate may be controlled 
through any means in the pump/dispenser system, provided the nozzle flow 
rate does not exceed 10 gallons per minute (37.9 liters per minute). 
After January 1, 1998 this requirement applies to every retailer and 
wholesale purchaser-consumer. Any dispensing pump that is dedicated 
exclusively to heavy-duty vehicles, boats, or airplanes is exempt from 
this requirement.

[38 FR 1255, Jan. 10, 1973, as amended at 39 FR 16125, May 17, 1974; 39 
FR 43283, Dec. 12, 1974; 48 FR 4287, Jan. 31, 1983; 56 FR 13768, Apr. 4, 
1991; 58 FR 16019, Mar. 24, 1993; 61 FR 3837, Feb. 2, 1996; 61 FR 33039, 
June 26, 1996; 73 FR 59178, Oct. 8, 2008]



Sec.  80.23  Liability for violations.

    Liability for violations of paragraphs (a) and (b) of Sec.  80.22 
shall be determined as follows:
    (a)(1) Where the corporate, trade, or brand name of a gasoline 
refiner or any of its marketing subsidiaries appears on the pump stand 
or is displayed at the retail outlet or wholesale purchaser-consumer 
facility from which the gasoline was sold, dispensed, or offered for 
sale, the retailer or wholesale

[[Page 23]]

purchaser-consumer, the reseller (if any), and such gasoline refiner 
shall be deemed in violation. Except as provided in paragraph (b)(2) of 
this section, the refiner shall be deemed in violation irrespective of 
whether any other refiner, distributor, retailer, or wholesale 
purchaser-consumer or the employee or agent of any refiner, distributor, 
retailer, or wholesale purchaser-consumer may have caused or permitted 
the violation.
    (2) Where the corporate, trade, or brand name of a gasoline refiner 
or any of its marketing subsidiaries does not appear on the pump stand 
and is not displayed at the retail outlet or wholesale purchaser-
consumer facility from which the gasoline was sold, dispensed, or 
offered for sale, the retailer or wholesale purchaser-consumer and any 
distributor who sold that person gasoline contained in the storage tank 
which supplied that pump at the time of the violation shall be deemed in 
violation.
    (b)(1) In any case in which a retailer or wholesale purchaser-
consumer and any gasoline refiner or distributor would be in violation 
under paragraph (a) (1) or (2) of this section, the retailer or 
wholesale purchaser-consumer shall not be liable if he can demonstrate 
that the violation was not caused by him or his employee or agent.
    (2) In any case in which a retailer or wholesale purchaser-consumer, 
a reseller (if any), and any gasoline refiner would be in violation 
under paragraph (a)(1) of this section, the refiner shall not be deemed 
in violation if he can demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent, and
    (ii) That the violation was caused by an act in violation of law 
(other than the Act or this part), or an act of sabotage, vandalism, or 
deliberate commingling of gasoline which is produced with the use of 
lead additives or phosphorus additives with unleaded gasoline, whether 
or not such acts are violations of law in the jurisdiction where the 
violation of the requirements of this part occurred, or
    (iii) That the violation was caused by the action of a reseller or a 
retailer supplied by such reseller, in violation of a contractual 
undertaking imposed by the refiner on such reseller designed to prevent 
such action, and despite reasonable efforts by the refiner (such as 
periodic sampling) to insure compliance with such contractual 
obligation, or
    (iv) That the violation was caused by the action of a retailer who 
is supplied directly by the refiner (and not by a reseller), in 
violation of a contractual undertaking imposed by the refiner on such 
retailer designed to prevent such action, and despite reasonable efforts 
by the refiner (such as periodic sampling) to insure compliance with 
such contractual obligation, or
    (v) That the violation was caused by the action of a distributor 
subject to a contract with the refiner for transportation of gasoline 
from a terminal to a distributor, retailer or wholesale purchaser-
consumer, in violation of a contractual undertaking imposed by the 
refiner on such distributor designed to prevent such action, and despite 
reasonable efforts by the refiner (such as periodic sampling) to insure 
compliance with such contractual obligation, or
    (vi) That the violation was caused by a distributor (such as a 
common carrier) not subject to a contract with the refiner but engaged 
by him for transportation of gasoline from a terminal to a distributor, 
retailer or wholesale purchaser-consumer, despite reasonable efforts by 
the refiner (such as specification or inspection of equipment) to 
prevent such action, or
    (vii) That the violation occurred at a wholesale purchaser-consumer 
facility: Provided, however, That if such wholesale purchaser-consumer 
was supplied by a reseller, the refiner must demonstrate that the 
violation could not have been prevented by such reseller's compliance 
with a contractual undertaking imposed by the refiner on such reseller 
as provided in paragraph (b)(2)(iii) of this section.
    (viii) In paragraphs (b)(2)(ii) through (vi) hereof, the term ``was 
caused'' means that the refiner must demonstrate by reasonably specific 
showings by direct or circumstantial evidence that the violation was 
caused or must have been caused by another.

[[Page 24]]

    (c) In any case in which a retailer or wholesale purchaser-consumer, 
a reseller, and any gasoline refiner would be in violation under 
paragraph (a)(1) of this section, the reseller shall not be deemed in 
violation if he can demonstrate that the violation was not caused by him 
or his employee or agent.
    (d) In any case in which a retailer or wholesale purchaser-consumer 
and any gasoline distributor would be in violation under paragraph 
(a)(2) of this section, the distributor will not be deemed in violation 
if he can demonstrate that the violation was not caused by him or his 
employee or agent.
    (e)(1) In any case in which a retailer or his employee or agent or a 
wholesale purchase-consumer or his employee or agent introduced gasoline 
other than unleaded gasoline into a motor vehicle which is equipped with 
a gasoline tank filler inlet designed for the introduction of unleaded 
gasoline, only the retailer or wholesale purchaser-consumer shall be 
deemed in violation.
    (2) [Reserved]

(Secs. 211, 301 of the Clean Air Act, as amended (42 U.S.C. 1857f-6c, 
1857g))

[38 FR 1255, Jan. 10, 1973, as amended at 39 FR 42360, Dec. 5, 1974; 39 
FR 43284, Dec. 12, 1974; 42 FR 45307, Sept. 9, 1977; 61 FR 3837, Feb. 2, 
1996]



Sec.  80.24  Controls applicable to motor vehicle manufacturers.

    (a) [Reserved]
    (b) The manufacturer of any motor vehicle equipped with an emission 
control device which the Administrator has determined will be 
significantly impaired by the use of gasoline other than unleaded 
gasoline shall manufacture such vehicle with each gasoline tank filler 
inlet having a restriction which prevents the insertion of a nozzle with 
a spout having a terminal end with an outside diameter of 0.930 inch 
(2.363 centimeters) or more and allows the insertion of a nozzle with a 
spout meeting the specifications of Sec.  80.22(f)(2).
    (c) A motorcycle, as defined at 40 CFR 86.402 for the applicable 
model year, is exempt from the requirements of paragraph (b) of this 
section.

[38 FR 26450, Sept. 21, 1973, as amended at 39 FR 34538, Sept. 26, 1974; 
46 FR 50472, Oct. 13, 1981; 48 FR 29692, June 28, 1983; 51 FR 33731, 
Sept. 22, 1986; 61 FR 3838, Feb. 2, 1996; 61 FR 8221, Mar. 4, 1996; 61 
FR 28766, June 6, 1996; 67 FR 36771, May 24, 2002]



Sec.  80.25  [Reserved]



Sec.  80.26  Confidentiality of information.

    Information obtained by the Administrator or his representatives 
pursuant to this part shall be treated, in so far as its confidentiality 
is concerned, in accordance with the provisions of 40 CFR part 2.

[38 FR 33741, Dec. 6, 1973]



Sec.  80.27  Controls and prohibitions on gasoline volatility.

    (a)(1) Prohibited activities in 1991. During the 1991 regulatory 
control periods, no refiner, importer, distributor, reseller, carrier, 
retailer or wholesale purchaser-consumer shall sell, offer for sale, 
dispense, supply, offer for supply, or transport gasoline whose Reid 
vapor pressure exceeds the applicable standard. As used in this section 
and Sec.  80.28, ``applicable standard'' means the standard listed in 
this paragraph for the geographical area and time period in which the 
gasoline is intended to be dispensed to motor vehicles or, if such area 
and time period cannot be determined, the standard listed in this 
paragraph that specifies the lowest Reid vapor pressure for the year in 
which the gasoline is being sampled. As used in this section and Sec.  
80.28, ``regulatory control periods'' mean June 1 to September 15 for 
retail outlets and wholesale purchaser-consumers and May 1 to September 
15 for all other facilities.

                                            Applicable Standards \1\
----------------------------------------------------------------------------------------------------------------
                     State                           May          June         July         Aug.        Sept.
----------------------------------------------------------------------------------------------------------------
Alabama........................................         10.5         10.5          9.5          9.5         10.5
Arizona:
    North of 34 degrees latitude and east of             9.5          9.0          9.0          9.5          9.5
     111 degrees longitude.....................

[[Page 25]]

 
    All areas except North of 34 degrees                 9.5          9.0          9.0          9.0          9.5
     latitude and east of 111 degrees longitude
Arkansas.......................................         10.5         10.5          9.5          9.5         10.5
California: \2\
  North Coast..................................         10.5          9.5          9.5          9.5          9.5
  South Coast..................................          9.5          9.5          9.5          9.5          9.5
  Southeast....................................          9.5          9.5          9.5          9.5          9.5
  Interior.....................................          9.5          9.5          9.5          9.5          9.5
Colorado.......................................         10.5          9.5          9.5          9.5          9.5
Connecticut....................................         10.5         10.5         10.5         10.5         10.5
Delaware.......................................         10.5         10.5         10.5         10.5         10.5
District of Columbia...........................         10.5         10.5         10.5         10.5         10.5
Florida........................................         10.5         10.5         10.5         10.5         10.5
Georgia........................................         10.5         10.5          9.5          9.5         10.5
Idaho..........................................         10.5         10.5         10.5         10.5         10.5
Illinois:
  North of 40[deg] Latitude....................         10.5         10.5         10.5         10.5         10.5
  South of 40[deg] Latitude....................         10.5         10.5          9.5          9.5         10.5
Indiana........................................         10.5         10.5         10.5         10.5         10.5
Iowa...........................................         10.5         10.5         10.5         10.5         10.5
Kansas.........................................         10.5         10.5          9.5          9.5         10.5
Kentucky.......................................         10.5         10.5         10.5         10.5         10.5
Louisiana......................................         10.5         10.5          9.5          9.5         10.5
Maine..........................................         10.5         10.5         10.5         10.5         10.5
Maryland.......................................         10.5         10.5         10.5         10.5         10.5
Massachusetts..................................         10.5         10.5         10.5         10.5         10.5
Michigan.......................................         10.5         10.5         10.5         10.5         10.5
Minnesota......................................         10.5         10.5         10.5         10.5         10.5
Mississippi....................................         10.5         10.5          9.5          9.5         10.5
Missouri.......................................         10.5         10.5          9.5          9.5         10.5
Montana........................................         10.5         10.5         10.5         10.5         10.5
Nebraska.......................................         10.5         10.5         10.5         10.5         10.5
Nevada:
  North of 38[deg] Latitude....................         10.5          9.5          9.5          9.5          9.5
  South of 38[deg] Latitude....................          9.5          9.5          9.5          9.5          9.5
New Hampshire..................................         10.5         10.5         10.5         10.5         10.5
New Jersey.....................................         10.5         10.5         10.5         10.5         10.5
New Mexico:
  North of 34[deg] Latitude....................          9.5          9.0          9.0          9.5          9.5
  South of 34[deg] Latitude....................          9.5          9.0          9.0          9.0          9.5
New York.......................................         10.5         10.5         10.5         10.5         10.5
North Carolina.................................         10.5         10.5          9.5          9.5         10.5
North Dakota...................................         10.5         10.5         10.5         10.5         10.5
Ohio...........................................         10.5         10.5         10.5         10.5         10.5
Oklahoma.......................................         10.5          9.5          9.5          9.5          9.5
Oregon:
  East of 122[deg] Longitude...................         10.5         10.5         10.5         10.5         10.5
  West of 122[deg] Longitude...................         10.5         10.5         10.5         10.5         10.5
Pennsylvania...................................         10.5         10.5         10.5         10.5         10.5
Rhode Island...................................         10.5         10.5         10.5         10.5         10.5
South Carolina.................................         10.5         10.5          9.5          9.5         10.5
South Dakota...................................         10.5         10.5         10.5         10.5         10.5
Tennessee......................................         10.5         10.5          9.5          9.5         10.5
Texas:
  East of 99[deg] Longitude....................          9.5          9.0          9.0          9.0          9.5
  West of 99[deg] Longitude....................          9.5          9.0          9.0          9.0          9.5
Utah...........................................         10.5          9.5          9.5          9.5          9.5
Vermont........................................         10.5         10.5         10.5         10.5         10.5
Virginia.......................................         10.5         10.5         10.5         10.5         10.5
Washington:
  East of 122[deg] Longitude...................         10.5         10.5         10.5         10.5         10.5
  West of 122[deg] Longitude...................         10.5         10.5         10.5         10.5         10.5
West Virginia..................................         10.5         10.5         10.5         10.5         10.5
Wisconsin......................................         10.5         10.5         10.5         10.5         10.5
Wyoming........................................         10.5         10.5         10.5         10.5         10.5
----------------------------------------------------------------------------------------------------------------
\1\ Standards are expressed in pounds per square inch (psi).
\2\ California areas include the following counties:
 North Coast--Alameda, Contra Costa, Del Norte, Humbolt, Lake, Marin, Mendocino, Monterey, Napa, San Benito, San
  Francisco, San Mateo, Santa Clara, Santa Cruz, Solano, Sonoma, and Trinity.
 Interior--Lassen, Modoc, Plumas, Sierra, Siskiyou, Alpine, Amador, Butte, Calaveras, Colusa, El Dorado, Fresno,
  Glenn, Kern (except that portion lying east of the Los Angeles County Aqueduct), Kings, Madera, Mariposa,
  Merced, Placer, Sacramento, San Joaquin, Shasta, Stanislaus, Sutter, Tehama, Tulare, Tuolumne, Yolo, Yuba, and
  Nevada.

[[Page 26]]

 
 South Coast--Orange, San Diego, San Luis Obispo, Santa Barbara, Ventura, and Los Angeles (except that portion
  north of the San Gabriel mountain range and east of the Los Angeles County Aqueduct).
 Southeast--Imperial, Riverside, San Bernardino, Los Angeles (that portion north of the San Gabriel mountain
  range and east of the Los Angeles County Aqueduct), Mono, Inyo, and Kern (that portion lying east of the Los
  Angeles County Aqueduct).

    (2) Prohibited activities in 1992 and beyond. During the 1992 and 
later high ozone seasons no person, including without limitation, no 
retailer or wholesale purchaser-consumer, and during the 1992 and later 
regulatory control periods, no refiner, importer, distributor, reseller, 
or carrier shall sell, offer for sale, dispense, supply, offer for 
supply, transport or introduce into commerce gasoline whose Reid vapor 
pressure exceeds the applicable standard. As used in this section and 
Sec.  80.28, ``applicable standard'' means:
    (i) 9.0 psi for all designated volatility attainment areas; and
    (ii) The standard listed in this paragraph for the state and time 
period in which the gasoline is intended to be dispensed to motor 
vehicles for any designated volatility nonattainment area within such 
State or, if such area and time period cannot be determined, the 
standard listed in this paragraph that specifies the lowest Reid vapor 
pressure for the year in which the gasoline is sampled. Designated 
volatility attainment and designated volatility nonattainment areas and 
their exact boundaries are described in 40 CFR part 81, or such part as 
shall later be designated for that purpose. As used in this section and 
Sec.  80.27, ``high ozone season'' means the period from June 1 to 
September 15 of any calendar year and ``regulatory control period'' 
means the period from May 1 to September 15 of any calendar year.

                               Applicable Standards \1\ 1992 and Subsequent Years
----------------------------------------------------------------------------------------------------------------
                     State                           May          June         July        August     September
----------------------------------------------------------------------------------------------------------------
Alabama \8\....................................          9.0          9.0          9.0          9.0          9.0
Arizona........................................          9.0          7.8          7.8          7.8          7.8
Arkansas.......................................          9.0          7.8          7.8          7.8          7.8
California.....................................          9.0          7.8          7.8          7.8          7.8
Colorado \2\...................................          9.0          7.8          7.8          7.8          7.8
Connecticut....................................          9.0          9.0          9.0          9.0          9.0
Delaware.......................................          9.0          9.0          9.0          9.0          9.0
District of Columbia...........................          9.0          7.8          7.8          7.8          7.8
Florida:.......................................
  Florida......................................          9.0          9.0          9.0          9.0          9.0
  Southeast Florida, Tampa Bay and Jacksonville          9.0          9.0          9.0          9.0          9.0
   \5\.........................................
Georgia \13\...................................          9.0          9.0          9.0          9.0          9.0
Idaho..........................................          9.0          9.0          9.0          9.0          9.0
Illinois.......................................          9.0          9.0          9.0          9.0          9.0
Indiana........................................          9.0          9.0          9.0          9.0          9.0
Iowa...........................................          9.0          9.0          9.0          9.0          9.0
Kansas.........................................          9.0          7.8          7.8          7.8          7.8
Kentucky.......................................          9.0          9.0          9.0          9.0          9.0
Louisiana\4\ \11\ \12\.........................          9.0          9.0          9.0          9.0          9.0
Maine..........................................          9.0          9.0          9.0          9.0          9.0
Maryland.......................................          9.0          7.8          7.8          7.8          7.8
Massachusetts..................................          9.0          9.0          9.0          9.0          9.0
Michigan.......................................          9.0          9.0          9.0          9.0          9.0
Minnesota......................................          9.0          9.0          9.0          9.0          9.0
Mississippi....................................          9.0          7.8          7.8          7.8          7.8
Missouri.......................................          9.0          7.8          7.8          7.8          7.8
Montana........................................          9.0          9.0          9.0          9.0          9.0
Nebraska.......................................          9.0          9.0          9.0          9.0          9.0
Nevada.........................................          9.0          7.8          7.8          7.8          7.8
New Hampshire..................................          9.0          9.0          9.0          9.0          9.0
New Jersey.....................................          9.0          9.0          9.0          9.0          9.0
New Mexico.....................................          9.0          7.8          7.8          7.8          7.8
New York.......................................          9.0          9.0          9.0          9.0          9.0
North Carolina \6\ \7\ \9\.....................          9.0          9.0          9.0          9.0          9.0
North Dakota...................................          9.0          9.0          9.0          9.0          9.0
Ohio...........................................          9.0          9.0          9.0          9.0          9.0
Oklahoma.......................................          9.0          7.8          7.8          7.8          7.8
Oregon.........................................          9.0          7.8          7.8          7.8          7.8
Pennsylvania...................................          9.0          9.0          9.0          9.0          9.0
Rhode Island...................................          9.0          9.0          9.0          9.0          9.0
South Carolina \3\.............................          9.0          9.0          9.0          9.0          9.0

[[Page 27]]

 
South Dakota...................................          9.0          9.0          9.0          9.0          9.0
Tennessee \10\.................................          9.0          9.0          9.0          9.0          9.0
Texas..........................................          9.0          7.8          7.8          7.8          7.8
Utah...........................................          9.0          7.8          7.8          7.8          7.8
Vermont........................................          9.0          9.0          9.0          9.0          9.0
Virginia.......................................          9.0          7.8          7.8          7.8          7.8
Washington.....................................          9.0          9.0          9.0          9.0          9.0
West Virginia..................................          9.0          9.0          9.0          9.0          9.0
Wisconsin......................................          9.0          9.0          9.0          9.0          9.0
Wyoming........................................          9.0          9.0          9.0          9.0          9.0
----------------------------------------------------------------------------------------------------------------
\1\ Standards are expressed in pounds per square inch (psi).
\2\ The Colorado Covered Area encompasses the Denver-Boulder-Greeley-Ft. Collins-Loveland, CO, 8-hour ozone
  nonattainment area (see 40 CFR part 81).
\3\ The standard for nonattainment areas in South Carolina from June 1 until September 15 in 1992 and 1993 was
  7.8 psi.
\4\ The standard for Grant Parish from June 1 until September 15 in 1992 through 2007 was 7.8 psi.
\5\ The standard for Broward, Dade, Duval, Hillsborough, Palm Beach and Pinellas Counties from June 1 until
  September 15 in 1992 through 2013 was 7.8 psi.
\6\ The standard for Davidson, Forsyth and Guilford Counties and a portion of Davie County from June 1 until
  September 15 in 1992 through 2013 was 7.8 psi.
\7\ The standard for Durham and Wake Counties, and a portion of Dutchville Township in Granville County from
  June 1 until September 15 in 1992 through 2013 was 7.8 psi.
\8\ The standard for Jefferson and Shelby Counties from June 1 until September 15 in 1992 through July 2, 2015
  was 7.8 psi.
\9\ The standard for Mecklenburg and Gaston Counties from June 1 until September 15 in 1992 through 2015 was 7.8
  psi.
\10\ The standard for Knox County from June 1 until September 15 in 1992 through June 2, 1994 was 7.8 psi. The
  standard for the Middle Tennessee Area (Davidson, Rutherford, Sumner, Williamson, and Wilson Counties) from
  June 1 until September 15 in 1992 through June 7, 2017 was 7.8 psi. The standard in Shelby County (Memphis
  Area) from June 1 until September 15 in 1992 through 2017 was 7.8 psi.
\11\ The standard for the Louisiana parishes of Beauregard, Calcasieu, Jefferson, Lafayette, Lafourche, Orleans,
  Pointe Coupee, St. Bernard, St. Charles, St. James, and St. Mary from June 1 until September 15 in 1992
  through 2017 was 7.8 psi.
\12\ The standard for the Louisiana parishes of East Baton Rouge, West Baton Rouge, Livingston, Ascension, and
  Iberville from June 1 until September 15 in 1992 through 2018 was 7.8 psi.
\13\ The federal standard for the Georgia counties of Cherokee, Clayton, Cobb, Coweta, DeKalb, Douglas, Fayette,
  Forsyth, Fulton, Gwinnett, Henry, Paulding, and Rockdale from June 1 until September 15 in 1992 through 2019
  was 7.8 psi.

    (b) Determination of compliance. Compliance with the standards 
listed in paragraph (a) of this section shall be determined by the use 
of the sampling methodologies specified in Sec.  80.8 and the testing 
methodology specified in Sec.  80.46(c) until December 31, 2015, and 
Sec.  80.47 beginning January 1, 2016.
    (c) Liability. Liability for violations of paragraph (a) of this 
section shall be determined according to the provisions of Sec.  80.28. 
Where the terms refiner, importer, distributor, reseller, carrier, 
ethanol blender, retailer, or wholesale purchaser-consumer are expressed 
in the singular in Sec.  80.28, these terms shall include the plural.
    (d) Special provisions for alcohol blends. (1) Any gasoline which 
meets the requirements of paragraph (d)(2) of this section shall not be 
in violation of this section if its Reid vapor pressure does not exceed 
the applicable standard in paragraph (a) of this section by more than 
one pound per square inch (1.0 psi).
    (2) In order to qualify for the special regulatory treatment 
specified in paragraph (d)(1) of this section, gasoline must contain 
denatured, anhydrous ethanol. The concentration of the ethanol, 
excluding the required denaturing agent, must be at least 9% and no more 
than 15% (by volume) of the gasoline. The ethanol content of the 
gasoline shall be determined by the use of one of the testing 
methodologies specified in Sec.  80.47. The maximum ethanol content 
shall not exceed any applicable waiver conditions under section 211(f) 
of the Clean Air Act.
    (3) Each invoice, loading ticket, bill of lading, delivery ticket 
and other document which accompanies a shipment of gasoline containing 
ethanol shall contain a legible and conspicuous statement that the 
gasoline being shipped contains ethanol and the percentage concentration 
of ethanol.
    (e) Testing exemptions. (1)(i) Any person may request a testing 
exemption by submitting an application that includes all the information 
listed in paragraphs (e)(3) through (6) of this section to the attention 
of ``Test Exemptions'' to the address in Sec.  80.10(a).
    (ii) For purposes of this section, ``testing exemption'' means an 
exemption from the requirements of Sec.  80.27(a) that is granted by the 
Administrator

[[Page 28]]

for the purpose of research or emissions certification.
    (2)(i) In order for a testing exemption to be granted, the applicant 
must demonstrate the following:
    (A) The proposed test program has a purpose that constitutes an 
appropriate basis for exemption;
    (B) The proposed test program necessitates the granting of an 
exemption;
    (C) The proposed test program exhibits reasonableness in scope; and
    (D) The proposed test program exhibits a degree of control 
consistent with the purpose of the program and the Environmental 
Protection Agency's (EPA's) monitoring requirements.
    (ii) Paragraphs (e)(3), (4), (5) and (6) of this section describe 
what constitutes a sufficient demonstration for each of the four 
elements in paragraphs (e)(2)(i) (A) through (D) of this section.
    (3) An appropriate purpose is limited to research or emissions 
certification. The testing exemption application must include a concise 
statement of the purpose(s) of the testing program.
    (4) With respect to the necessity that an exemption be granted, the 
applicant must demonstrate an inability to achieve the stated purpose in 
a practicable manner, during a period of the year in which the 
volatility regulations do not apply, or without performing or causing to 
be performed one or more of the prohibited activities under Sec.  
80.27(a). If any site of the proposed test program is located in an area 
that has been classified by the Administrator as a nonattainment area 
for purposes of the ozone national ambient air quality standard, the 
application must also demonstrate an inability to perform the test 
program in an area that is not so classified.
    (5) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length, effect a reasonable number of vehicles or 
engines, and utilize a reasonable amount of high volatility fuel. In 
this regard, the testing exemption application must include:
    (i) An estimate of the program's duration;
    (ii) An estimate of the maximum number of vehicles or engines 
involved in the test program;
    (iii) The time or mileage duration of the test program;
    (iv) The range of volatility of the fuel (expressed in Reid Vapor 
Pressure (RVP)) expected to be used in the test program; and
    (v) The quantity of fuel which exceeds the applicable standard that 
is expected to be used in the test program.
    (6) With respect to control, a test program must be capable of 
affording EPA a monitoring capability. At a minimum, the testing 
exemption application must also include:
    (i) The technical nature of the test program;
    (ii) The site(s) of the test program (including the street address, 
city, county, State, and zip code);
    (iii) The manner in which information on vehicles and engines used 
in the test program will be recorded and made available to the 
Administrator;
    (iv) The manner in which results of the test program will be 
recorded and made available to the Administrator;
    (v) The manner in which information on the fuel used in the test 
program (including RVP level(s), name, address, telephone number, and 
contact person of supplier, quantity, date received from the supplier) 
will be recorded and made available to the Administrator;
    (vi) The manner in which the distribution pumps will be labeled to 
insure proper use of the test fuel;
    (vii) The name, address, telephone number and title of the person(s) 
in the organization requesting a testing exemption from whom further 
information on the request may be obtained; and
    (viii) The name, address, telephone number and title of the 
person(s) in the organization requesting a testing exemption who will be 
responsible for recording and making available to the Administrator the 
information specified in paragraphs (e)(6)(iii), (iv), and (v) of this 
section, and the location in which such information will be maintained.
    (7) A testing exemption will be granted by the Administrator upon a 
demonstration that the requirements of paragraphs (e)(2), (3), (4), (5) 
and (6) of this section have been met. The testing exemption will be 
granted in the form

[[Page 29]]

of a memorandum of exemption signed by the applicant and the 
Administrator (or his delegate), which shall include such terms and 
conditions as the Administrator determines necessary to monitor the 
exemption and to carry out the purposes of this section. Any violation 
of such a term or condition shall cause the exemption to be void.

[54 FR 11883, Mar. 22, 1989]

    Editorial Note: For Federal Register citations affecting Sec.  
80.27, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.



Sec.  80.28  Liability for violations of gasoline volatility controls
and prohibitions.

    (a) Violations at refineries or importer facilities. Where a 
violation of the applicable standard set forth in Sec.  80.27 is 
detected at a refinery that is not an ethanol blending plant or at an 
importer's facility, the refiner or importer shall be deemed in 
violation.
    (b) Violations at carrier facilities. Where a violation of the 
applicable standard set forth in Sec.  80.27 is detected at a carrier's 
facility, whether in a transport vehicle, in a storage facility, or 
elsewhere at the facility, the following parties shall be deemed in 
violation:
    (1) The carrier, except as provided in paragraph (g)(1) of this 
section;
    (2) The refiner (if he is not an ethanol blender) at whose refinery 
the gasoline was produced or the importer at whose import facility the 
gasoline was imported, except as provided in paragraph (g)(2) of this 
section;
    (3) The ethanol blender (if any) at whose ethanol blending plant the 
gasoline was produced, except as provided in paragraph (g)(6) of this 
section; and
    (4) The distributor and/or reseller, except as provided in paragraph 
(g)(3) of this section.
    (c) Violations at branded distributor facilities, reseller 
facilities, or ethanol blending plants. Where a violation of the 
applicable standard set forth in Sec.  80.27 is detected at a 
distributor facility, a reseller facility, or an ethanol blending plant 
which is operating under the corporate, trade, or brand name of a 
gasoline refiner or any of its marketing subsidiaries, the following 
parties shall be deemed in violation:
    (1) The distributor or reseller, except as provided in paragraph 
(g)(3) or (g)(8) of this section;
    (2) The carrier (if any), if the carrier caused the gasoline to 
violate the applicable standard;
    (3) The refiner under whose corporate, trade, or brand name (or that 
of any of its marketing subsidiaries) the distributor, reseller, or 
ethanol blender is operating, except as provided in paragraph (g)(4) of 
this section; and
    (4) The ethanol blender (if any) at whose ethanol blending plant the 
gasoline was produced, except as provided in paragraph (g)(6) or (g)(8) 
of this section.
    (d) Violations at unbranded distributor facilities or ethanol 
blending plants. Where a violation of the applicable standard set forth 
in Sec.  80.27 is detected at a distributor facility or an ethanol 
blending plant not operating under a refiner's corporate, trade, or 
brand name, or that of any of its marketing subsidiaries, the following 
parties shall be deemcd in violation:
    (1) The distributor, except as provided in paragraph (g)(3) or 
(g)(8) of this section;
    (2) The carrier (if any), if the carrier caused the gasoline to 
violate the applicable standard;
    (3) The refiner (if he is not an ethanol blender) at whose refinery 
the gasoline was produced or the importer at whose import facility the 
gasoline was imported, except as provided in paragraph (g)(2) of this 
section; and
    (4) The ethanol blender (if any) at whose ethanol blending plant the 
gasoline was produced, except as provided in paragraph (g)(6) or (g)(8) 
of this section.
    (e) Violations at branded retail outlets or wholesale purchaser-
consumer facilities. Where a violation of the applicable standard set 
forth in Sec.  80.27 is detected at a retail outlet or at a wholesale 
purchaser-consumer facility displaying the corporate, trade, or brand 
name of a gasoline refiner or any of its marketing subsidiaries, the 
following parties shall be deemed in violation:
    (1) The retailer or wholesale purchaser-consumer, except as provided 
in

[[Page 30]]

paragraph (g)(5) or (g)(8) of this section;
    (2) The distributor and/or reseller (if any), except as provided in 
paragraph (g)(3) or (g)(8) of this section;
    (3) The carrier (if any), if the carrier caused the gasoline to 
violate the applicable standard;
    (4) The refiner whose corporate, trade, or brand name (or that of 
any of its marketing subsidiaries) is displayed at the retail outlet or 
wholesale purchaser-consumer facility, except as provided in paragraph 
(g)(4) of this section; and
    (5) The ethanol blender (if any) at whose ethanol blending plant the 
gasoline was produced, except as provided in paragraph (g)(6) or (g)(8) 
of this section.
    (f) Violations at unbranded retail outlets or wholesale purchaser-
consumer facilities. Where a violation of the applicable standard set 
forth in Sec.  80.27 is detected at a retail outlet or at a wholesale 
purchaser-consumer facility not displaying the corporate, trade, or 
brand name of a refiner or any of its marketing subsidiaries, the 
following parties shall be deemed in violation:
    (1) The retailer or wholesale purchaser-consumer, except as provided 
in paragraph (g)(5) or (g)(8) of this section;
    (2) The distributor (if any), except as provided in paragraph (g)(3) 
or (g)(8) of this section;
    (3) The carrier (if any), if the carrier caused the gasoline to 
violate the applicable standard;
    (4) The ethanol blender (if any) at whose ethanol blending plant the 
gasoline was produced, except as provided in paragraph (g)(6) of this 
section; and
    (5) The refiner (if he is not an ethanol blender) at whose refinery 
the gasoline was produced and/or the importer at whose import facility 
the gasoline was imported, except as provided in paragraph (g)(2) of 
this section.
    (g) Defenses. (1) In any case in which a carrier would be in 
violation under paragraph (b)(1) of this section, the carrier shall not 
be deemed in violation if he can demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent; and
    (ii) Evidence of an oversight program conducted by the carrier, such 
as periodic sampling and testing of incoming gasoline, for monitoring 
the volatility of gasoline stored or transported by that carrier.
    (iii) An oversight program under paragraph (g)(1)(ii) of this 
section need not include periodic sampling and testing of gasoline in a 
tank truck operated by a common carrier, but in lieu of such tank truck 
sampling and testing, the common carrier shall demonstrate evidence of 
an oversight program for monitoring compliance with the volatility 
requirements of Sec.  80.27 relating to the transport or storage of 
gasoline by tank truck, such as appropriate guidance to drivers on 
compliance with applicable requirements and the periodic review of 
records normally received in the ordinary course of business concerning 
gasoline quality and delivery.
    (2) In any case in which a refiner or importer would be in violation 
under paragraphs (b)(2), (d)(3), or (f)(5) of this section, the refiner 
or importer shall not be deemed in violation if he can demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent; and
    (ii) Test results using the sampling methodology set forth in Sec.  
80.8 and the testing methodology set forth in Sec.  80.46(c), or any 
other test method where adequate correlation to Sec.  80.46(c) is 
demonstrated, which show evidence that the gasoline determined to be in 
violation was in compliance with the applicable standard when it was 
delivered to the next party in the distribution system.
    (3) In any case in which a distributor or reseller would be in 
violation under paragraph (b)(4), (c)(1), (d)(1), (e)(2), or (f)(2) of 
this section, the distributor or reseller shall not be deemed in 
violation if he can demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent; and
    (ii) Evidence of an oversight program conducted by the distributor 
or reseller, such as periodic sampling and testing of gasoline, for 
monitoring the volatility of gasoline that the distributor or reseller 
sells, supplies, offers for sale or supply, or transports.
    (4) In any case in which a refiner would be in violation under 
paragraphs

[[Page 31]]

(c)(3) or (e)(4) of this section, the refiner shall not be deemed in 
violation if he can demonstrate all of the following:
    (i) Test results using the sampling methodology set forth in Sec.  
80.8 and the testing methodology set forth in Sec.  80.46(c), or any 
other test method where adequate correlation to Sec.  80.46(c) is 
demonstrated, which show evidence that the gasoline determined to be in 
violation was in compliance with the applicable standard when 
transported from the refinery.
    (ii) That the violation was not caused by him or his employee or 
agent; and
    (iii) That the violation:
    (A) Was caused by an act in violation of law (other than the Act or 
this part), or an act of sabotage or vandalism, whether or not such acts 
are violations of law in the jurisdiction where the violation of the 
requirements of this part occurred, or
    (B) Was caused by the action of a reseller, an ethanol blender, or a 
retailer supplied by such reseller or ethanol blender, in violation of a 
contractual undertaking imposed by the refiner on such reseller or 
ethanol blender designed to prevent such action, and despite reasonable 
efforts by the refiner (such as periodic sampling and testing) to insure 
compliance with such contractual obligation, or
    (C) Was caused by the action of a retailer who is supplied directly 
by the refiner (and not by a reseller), in violation of a contractual 
undertaking imposed by the refiner on such retailer designed to prevent 
such action, and despite reasonable efforts by the refiner (such as 
periodic sampling and testing) to insure compliance with such 
contractual obligation, or
    (D) Was caused by the action of a distributor or an ethanol blender 
subject to a contract with the refiner for transportation of gasoline 
from a terminal to a distributor, ethanol blender, retailer or wholesale 
purchaser-consumer, in violation of a contractual undertaking imposed by 
the refiner on such distributor or ethanol blender designed to prevent 
such action, and despite reasonable efforts by the refiner (such as 
periodic sampling and testing) to insure compliance with such 
contractual obligation, or
    (E) Was caused by a carrier or other distributor not subject to a 
contract with the refiner but engaged by him for transportation of 
gasoline from a terminal to a distributor, ethanol blender, retailer or 
wholesale purchaser-consumer, despite reasonable efforts by the refiner 
(such as specification or inspection of equipment) to prevent such 
action, or
    (F) Occurred at a wholesale purchaser-consumer facility: Provided, 
however, That if such wholesale purchaser-consumer was supplied by a 
reseller or ethanol blender, the refiner must demonstrate that the 
violation could not have been prevented by such reseller's or ethanol 
blender's compliance with a contractual undertaking imposed by the 
refiner on such reseller or ethanol blender as provided in paragraph 
(g)(4)(iii)(B) of this section.
    (iv) In paragraphs (g)(4)(iii)(A) through (E) of this section, the 
term ``was caused'' means that the refiner must demonstrate by 
reasonably specific showings, by direct or circumstantial evidence, that 
the violation was caused or must have been caused by another.
    (5) In any case in which a retailer or wholesale purchaser-consumer 
would be in violation under paragraphs (e)(1) or (f)(1) of this section, 
the retailer or wholesale purchaser-consumer shall not be deemed in 
violation if he can demonstrate that the violation was not caused by him 
or his employee or agent.
    (6) In any case in which an ethanol blender would be in violation 
under paragraphs (b)(3), (c)(4), (d)(4), (e)(5) or (f)(4) of this 
section, the ethanol blender shall not be deemed in violation if he can 
demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent; and
    (ii) Evidence of an oversight program conducted by the ethanol 
blender, such as periodic sampling and testing of gasoline, for 
monitoring the volatility of gasoline that the ethanol blender sells, 
supplies, offers for sale or supply or transports; and
    (iii) That the gasoline determined to be in violation contained no 
more than 15% ethanol (by volume) when it was delivered to the next 
party in the distribution system.

[[Page 32]]

    (7) In paragraphs (g)(1)(i), (g)(2)(i), (g)(3)(i), (g)(4)(ii), 
(g)(5), and (g)(6)(i) of this section, the respective party must 
demonstrate by reasonably specific showings, by direct or circumstantial 
evidence, that it or its employee or agent did not cause the violation.
    (8) In addition to the defenses provided in paragraphs (g)(1) 
through (6) of this section, in any case in which an ethanol blender, 
distributor, reseller, carrier, retailer, or wholesale purchaser-
consumer would be in violation under paragraph (b), (c), (d), (e), or 
(f) of this section, as a result of gasoline which contains between 9 
and 15 percent ethanol (by volume) but exceeds the applicable standard 
by more than one pound per square inch (1.0 psi), the ethanol blender, 
distributor, reseller, carrier, retailer or wholesale purchaser-consumer 
shall not be deemed in violation if such person can demonstrate, by 
showing receipt of a certification from the facility from which the 
gasoline was received or other evidence acceptable to the Administrator, 
that:
    (i) The gasoline portion of the blend complies with the Reid vapor 
pressure limitations of Sec.  80.27(a); and
    (ii) The ethanol portion of the blend does not exceed 15 percent (by 
volume); and
    (iii) No additional alcohol or other additive has been added to 
increase the Reid vapor pressure of the ethanol portion of the blend.

In the case of a violation alleged against an ethanol blender, 
distributor, reseller, or carrier, if the demonstration required by 
paragraphs (g)(8)(i), (ii), and (iii) of this section is made by a 
certification, it must be supported by evidence that the criteria in 
paragraphs (g)(8)(i), (ii), and (iii) of this section have been met, 
such as an oversight program conducted by or on behalf of the ethanol 
blender, distributor, reseller or carrier alleged to be in violation, 
which includes periodic sampling and testing of the gasoline or 
monitoring the volatility and ethanol content of the gasoline. Such 
certification shall be deemed sufficient evidence of compliance provided 
it is not contradicted by specific evidence, such as testing results, 
and provided that the party has no other reasonable basis to believe 
that the facts stated in the certification are inaccurate. In the case 
of a violation alleged against a retail outlet or wholesale purchaser-
consumer facility, such certification shall be deemed an adequate 
defense for the retailer or wholesale purchaser-consumer, provided that 
the retailer or wholesale purchaser-consumer is able to show 
certificates for all of the gasoline contained in the storage tank found 
in violation, and, provided that the retailer or wholesale purchaser-
consumer has no reasonable basis to believe that the facts stated in the 
certifications are inaccurate.

[54 FR 11885, Mar. 22, 1989; 54 FR 27017, June 27, 1989, as amended at 
56 FR 64711, Dec. 12, 1991; 58 FR 14484, Mar. 17, 1993; 62 FR 68205, 
Dec. 31, 1997; 67 FR 8736, Feb. 26, 2002; 84 FR 27021, June 10, 2019]



Sec.  80.29  Controls and prohibitions on diesel fuel quality.

    (a) Prohibited activities. Beginning October 1, 1993 and continuing 
until the implementation dates for subpart I of part 80 as specified in 
Sec.  80.500, except as provided in 40 CFR 69.51, no person, including 
but not limited to, refiners, importers, distributors, resellers, 
carriers, retailers or wholesale purchaser-consumers, shall manufacture, 
introduce into commerce, sell, offer for sale, supply, store, dispense, 
offer for supply or transport any diesel fuel for use in motor vehicles, 
unless the diesel fuel:
    (1) Has a sulfur percentage, by weight, no greater than 0.05 
percent;
    (2)(i) Has a cetane index of at least 40; or
    (ii) Has a maximum aromatic content of 35 volume percent; and
    (3) Is free of visible evidence of the dye solvent red 164; unless 
it is used in a manner that is tax-exempt as defined under section 4082 
of the Internal Revenue Code (26 U.S.C. 4082).
    (b) Determination of compliance. (1) Any diesel fuel which does not 
show visible evidence of being dyed with dye solvent red 164 (which has 
a characteristic red color in diesel fuel) shall be considered to be 
available for use in diesel motor vehicles and motor vehicle engines, 
and shall be subject to the prohibitions of paragraph (a) of this 
section.

[[Page 33]]

    (2) Compliance with the sulfur, cetane, and aromatics standards in 
paragraph (a) of this section shall be determined based on the level of 
the applicable component or parameter, using the sampling methodologies 
specified in Sec.  80.330(b), as applicable, and the appropriate testing 
methodologies specified in Sec.  80.580(a) for sulfur, Sec.  80.2(w) for 
cetane index, and Sec.  80.2(z) for aromatic content. Any evidence or 
information, including the exclusive use of such evidence or 
information, may be used to establish the level of the applicable 
component or parameter in the diesel fuel, if the evidence or 
information is relevant to whether that level would have been in 
compliance with the standard if the appropriate sampling and testing 
methodology had been correctly performed. Such evidence may be obtained 
from any source or location and may include, but is not limited to, test 
results using methods other than the compliance methods in this 
paragraph (b), business records, and commercial documents.
    (3) Determination of compliance with the requirements of this 
section other than the standards described in paragraph (a) of this 
section, and determination of liability for any violation of this 
section, may be based on information obtained from any source or 
location. Such information may include, but is not limited to, business 
records and commercial documents.
    (c) Transfer documents. (1) Any person that transfers custody or 
title of diesel fuel for use in motor vehicles which contains visible 
evidence of the dye solvent red 164 shall provide documents to the 
transferee which state that such fuel meets the applicable standards for 
sulfur and cetane index or aromatic content under these regulations and 
is only for tax-exempt use in diesel motor vehicles as defined under 
section 4082 of the Internal Revenue Code.
    (2) Any person that is the transferor or the transferee of diesel 
fuel for use in motor vehicles which contains visible evidence of the 
dye solvent red 164, shall retain the documents required under paragraph 
(c)(1) of this section for a period of five years from the date of 
transfer of such fuel and shall provide such documents to the 
Administrator or the Administrator's representative upon request.
    (d) Liability. Liability for violations of paragraph (a)(1) of this 
section shall be determined according to the provisions of Sec.  80.30. 
Any person that violates paragraph (a)(2) or (c) of this section shall 
be liable for penalties in accordance with paragraph (e) of this 
section.
    (e) Penalties. Penalties for violations of paragraph (a) or (c) of 
this section shall be determined according to the provisions of Sec.  
80.5.

[59 FR 35858, July 14, 1994, as amended at 63 FR 49465, Sept. 16, 1998; 
66 FR 5135, Jan. 18, 2001]



Sec.  80.30  Liability for violations of diesel fuel control and prohibitions.

    (a) Violations at refiners or importers facilities. Where a 
violation of a diesel fuel standard set forth in Sec.  80.29 is detected 
at a refinery or importer's facility, the refiner or importer shall be 
deemed in violation.
    (b) Violations at carrier facilities. Where a violation of a diesel 
fuel standard set forth in Sec.  80.29 is detected at a carrier's 
facility, whether in a transport vehicle, in a storage facility, or 
elsewhere at the facility, the following parties shall be deemed in 
violation:
    (1) The carrier, except as provided in paragraph (g)(1) of this 
section; and
    (2) The refiner or importer at whose refinery or import facility the 
diesel fuel was produced or imported, except as provided in paragraph 
(g)(2) of this section.
    (c) Violations at branded distributor or reseller facilities. Where 
a violation of a diesel fuel standard set forth in Sec.  80.29 is 
detected at a distributor or reseller's facility which is operating 
under the corporate, trade or brand name of a refiner or any of its 
marketing subsidiaries, the following parties shall be deemed in 
violation:
    (1) The distributor or reseller, except as provided in paragraph 
(g)(3) of this section;
    (2) The carrier (if any), if the carrier caused the diesel fuel to 
violate the standard by fuel switching, blending, mislabeling, or any 
other means; and
    (3) The refiner under whose corporate, trade, or brand name (or that 
of

[[Page 34]]

any of its marketing subsidiaries) the distributor or reseller is 
operating, except as provided in paragraph (g)(4) of this section.
    (d) Violations at unbranded distributor facilities. Where a 
violation of a diesel fuel standard set forth in Sec.  80.29 is detected 
at the facility of a distributor not operating under a refiner's 
corporate, trade, or brand name, or that of any of its marketing 
subsidiaries, the following shall be deemed in violation:
    (1) The distributor, except as provided in paragraph (g)(3) of this 
section;
    (2) The carrier (if any), if the carrier caused the diesel fuel to 
violate the standard by fuel switching, blending, mislabeling, or any 
other means; and
    (3) The refiner or importer at whose refinery or import facility the 
diesel fuel was produced or imported, except as provided in paragraph 
(g)(2) of this section.
    (e) Violations at branded retail outlets or wholesale purchaser-
consumer facilities. Where a violation of a diesel fuel standard set 
forth in Sec.  80.29 is detected at a retail outlet or at a wholesale 
purchaser-consumer facility displaying the corporate, trade, or brand 
name of a refiner or any of its marketing subsidiaries, the following 
parties shall be deemed in violation:
    (1) The retailer or wholesale purchaser-consumer, except as provided 
in paragraph (g)(5) of this section;
    (2) The distributor and/or reseller (if any), except as provided in 
paragraph (g)(3) of this section;
    (3) The carrier (if any), if the carrier caused the diesel fuel to 
violate the standard by fuel switching, blending, mislabeling, or any 
other means; and
    (4) The refiner whose corporate, trade, or brand name, or that of 
any of its marketing subsidiaries, is displayed at the retail outlet or 
wholesale purchaser-consumer facility, except as provided in paragraph 
(g)(4) of this section.
    (f) Violations at unbranded retail outlets or wholesale purchaser-
consumer facilities. Where a violation of a diesel fuel standard set 
forth in Sec.  80.29 is detected at a retail outlet or at a wholesale 
purchaser-consumer facility not displaying the corporate, trade, or 
brand name of a refiner or any of its marketing subsidiaries, the 
following parties shall be deemed in violation:
    (1) The retailer or wholesale purchaser-consumer, except as provided 
in paragraph (g)(5) of this section;
    (2) The distributor (if any), except as provided in paragraph (g)(3) 
of this section;
    (3) The carrier (if any), if the carrier caused the diesel fuel to 
violate the standard by fuel switching, blending, mislabeling, or any 
other means; and
    (4) The refiner or importer at whose refinery or import facility the 
diesel fuel was produced or imported, except as provided in paragraph 
(g)(2) of this section.
    (g) Defenses. (1) In any case in which a carrier would be in 
violation under paragraph (b)(1) of this section, the carrier shall not 
be deemed in violation if he can demonstrate:
    (i) Evidence of an oversight program conducted by the carrier, for 
monitoring the diesel fuel stored or transported by that carrier, such 
as periodic sampling and testing of the cetane index and sulfur 
percentage of incoming diesel fuel. Such an oversight program need not 
include periodic sampling and testing of diesel fuel in a tank truck 
operated by a common carrier, but in lieu of such tank truck sampling 
and testing the common carrier shall demonstrate evidence of an 
oversight program for monitoring compliance with the diesel fuel 
requirements of Sec.  80.29 relating to the transport or storage of 
diesel fuel by tank truck, such as appropriate guidance to drivers on 
compliance with applicable requirements and the periodic review of 
records normally received in the ordinary course of business concerning 
diesel fuel quality and delivery; and
    (ii) That the violation was not caused by the carrier or his 
employee or agent.
    (2) In any case in which a refiner or importer would be in violation 
under paragraphs (b)(2), (d)(3), or (f)(4) of this section, the refiner 
or importer shall not be deemed in violation if he can demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent; and
    (ii) Test results, performed in accordance with the applicable 
sampling and testing methodologies set forth in

[[Page 35]]

Sec. Sec.  80.2(w), 80.2(z), 80.2(bb), and 80.580, which evidence that 
the diesel fuel determined to be in violation was in compliance with the 
diesel fuel standards of Sec.  80.29(a) when it was delivered to the 
next party in the distribution system;
    (3) In any case in which a distributor or reseller would be in 
violation under paragraphs (c)(1), (d)(1), (e)(2) or (f)(2) of this 
section, the distributor or reseller shall not be deemed in violation if 
he can demonstrate:
    (i) That the violation was not caused by him or his employee or 
agent; and
    (ii) Evidence of an oversight program conducted by the distributor 
or reseller, such as periodic sampling and testing of diesel fuel, for 
monitoring the sulfur percentage and cetane index of the diesel fuel 
that the distributor or reseller sells, supplies, offers for sale or 
supply, or transports.
    (4) In any case in which a refiner would be in violation under 
paragraphs (c)(3) or (e)(4) of this section, the refiner shall not be 
deemed in violation if he can demonstrate all of the following:
    (i) Test results, performed in accordance with the applicable 
sampling and testing methodologies set forth in Sec. Sec.  80.2(w), 
80.2(z), 80.2(bb), and 80.580, which evidence that the diesel fuel 
determined to be in violation was in compliance with the diesel fuel 
standards of Sec.  80.29(a) when it was delivered to the next party in 
the distribution system;
    (ii) That the violation was not caused by him or his employee or 
agent; and
    (iii) That the violation:
    (A) Was caused by an act in violation of law (other than the Act or 
this part), or an act of sabotage or vandalism, whether or not such acts 
are violations of law in the jurisdiction where the violation of the 
requirements of this part occurred, or
    (B) Was caused by the action of a reseller or a retailer supplied by 
such reseller, in violation of a contractual undertaking imposed by the 
refiner on such reseller designed to prevent such action, and despite 
reasonable efforts by the refiner (such as periodic sampling and 
testing) to insure compliance with such contractual obligation, or
    (C) Was caused by the action of a retailer who is supplied directly 
by the refiner (and not by a reseller), in violation of a contractual 
undertaking imposed by the refiner on such retailer designed to prevent 
such action, and despite reasonable efforts by the refiner (such as 
periodic sampling and testing) to insure compliance with such 
contractual obligation, or
    (D) Was caused by the action of a distributor subject to a contract 
with the refiner for transportation of diesel fuel from a terminal to a 
distributor, retailer or wholesale purchaser-consumer, in violation of a 
contractual undertaking imposed by the refiner on such distributor 
designed to prevent such action, and despite reasonable efforts by the 
refiner (such as periodic sampling and testing) to ensure compliance 
with such contractual obligation, or
    (E) Was caused by a carrier or other distributor not subject to a 
contract with the refiner but engaged by him for transportation of 
diesel fuel from a terminal to a distributor, retailer or wholesale 
purchaser-consumer, despite reasonable efforts by the refiner (such as 
specification or inspection of equipment) to prevent such action, or
    (F) Occurred at a wholesale purchaser-consumer facility: Provided, 
however, That if such wholesale purchaser-consumer was supplied by a 
reseller, the refiner must demonstrate that the violation could not have 
been prevented by such reseller's compliance with a contractual 
undertaking imposed by the refiner on such reseller as provided in 
paragraph (g)(4)(iii)(B) of this section.
    (iv) In paragraphs (g)(4)(iii) (A) through (E) of this section, the 
term was caused means that the refiner must demonstrate by reasonably 
specific showings, by direct or circumstantial evidence, that the 
violation was caused or must have been caused by another.
    (5) In any case in which a retailer or wholesale purchaser-consumer 
would be in violation under paragraphs (e)(1) or (f)(1) of this section, 
the retailer or wholesale purchaser-consumer shall not be deemed in 
violation if he can demonstrate that the violation was not caused by him 
or his employee or agent.

[[Page 36]]

    (6) In paragraphs (g)(1)(iii), (g)(2)(i), (g)(3)(i), (g)(4)(ii) and 
(g)(5) of this section, the respective party must demonstrate by 
reasonably specific showings, by direct or circumstantial evidence, that 
it or its employee or agent did not cause the violation.
    (7) In the case of any distributor or reseller that would be in 
violation under paragraph (e)(2) or (f)(2) of this section or any 
wholesale purchaser-consumer or retailer that would be in violation 
under paragraph (e)(1) or (f)(1) of this section for diesel fuel for use 
in motor vehicles which contains visible evidence of the dye solvent red 
164, the distributor or reseller or wholesale purchaser-consumer or 
retailer shall not be deemed in violation if he can:
    (i) Demonstrate that the violation was not caused by him or his 
employee or agent,
    (ii) Demonstrate that the fuel has been supplied, offered for 
supply, transported or available for tax-exempt use as defined under 
section 4082 of the Internal Revenue Code, and
    (iii) Provide evidence from the supplier in the form of 
documentation that the fuel met the applicable standards under paragraph 
(a)(1) of this section for sulfur and cetane index or aromatics content 
for use in motor vehicles.
    (h) Detection of violations. In paragraphs (a) through (f) of this 
section, the term ``is detected at'' means that the violation existed at 
the facility in question, and the existence of the violation at that 
facility may be established through evidence obtained or created at that 
facility, at any other location, and by any party.

[55 FR 34138, Aug. 21, 1990, as amended at 59 FR 35859, July 14, 1994; 
62 FR 68205, Dec. 31, 1997; 66 FR 5135, Jan. 18, 2001]



Sec.  80.32  Controls applicable to liquefied petroleum gas
retailers and wholesale purchaser-consumers.

    After January 1, 1998 every retailer and wholesale purchaser- 
consumer handling over 13,660 gallons of liquefied petroleum gas per 
month shall equip each pump from which liquefied petroleum gas is 
introduced into motor vehicles with a nozzle that has no greater than 
2.0 cm\3\ dead space from which liquefied petroleum gas will be released 
upon nozzle disconnect from the vehicle, as measured from the nozzle 
face which seals against the vehicle receptacle ``O'' ring, and as 
determined by calculation of the geometric shape of the nozzle. After 
January 1, 2000 this requirement applies to every liquefied petroleum 
gas retailer and wholesale purchaser- consumer. Any dispensing pump 
shown to be dedicated to heavy-duty vehicles is exempt from this 
requirement.

[59 FR 48490, Sept. 21, 1994]



Sec.  80.33  Controls applicable to natural gas retailers and 
wholesale purchaser-consumers.

    (a) After January 1, 1998 every retailer and wholesale purchaser-
consumer handling over 1,215,000 standard cubic feet of natural gas per 
month shall equip each pump from which natural gas is introduced into 
natural gas motor vehicles with a nozzle and hose configuration which 
vents no more than 1.2 grams of natural gas to the atmosphere per 
refueling of a vehicle complying with Sec.  86.098-8(d)(1)(iv) of this 
chapter, as determined by calculation of the geometric shape of the 
nozzle and hose. After January 1, 2000 this requirement applies to every 
natural gas retailer and wholesale purchaser-consumer. Any dispensing 
pump shown to be dedicated to heavy-duty vehicles is exempt from this 
requirement.
    (b) The provisions of paragraph (a) of this section can be waived 
for refueling stations which were in operation on or before January 1, 
1998 provided the station operator can demonstrate, to the satisfaction 
of the Administrator, that compliance with paragraph (a) of this section 
would require additional compression equipment or other modifications 
with costs similar to or greater than the cost of additional compression 
equipment.

[59 FR 48490, Sept. 21, 1994]



                      Subpart C_Oxygenated Gasoline



Sec.  80.35  Labeling of retail gasoline pumps; oxygenated gasoline.

    (a) For oxygenated gasoline programs with a minimum oxygen content 
per

[[Page 37]]

gallon or minimum oxygen content requirement in conjunction with a 
credit program, the following shall apply:
    (1) Each gasoline pump stand from which oxygenated gasoline is 
dispensed at a retail outlet in the control area shall be affixed during 
the control period with a legible and conspicuous label which contains 
the following statement:

The gasoline dispensed from this pump is oxygenated and will reduce 
carbon monoxide pollution from motor vehicles.

    (2) The posting of the above statement shall be in block letters of 
no less than 20-point bold type; in a color contrasting with the 
intended background. The label shall be placed on the vertical surface 
of the pump on each side with gallonage and price meters and shall be on 
the upper two-thirds of the pump, clearly readable to the public.
    (3) The retailer shall be responsible for compliance with the 
labeling requirements of this section.
    (b) For oxygenated gasoline programs with a credit program and no 
minimum oxygen content requirement, the following shall apply:
    (1) Each gasoline pump stand from which oxygenated gasoline is 
dispensed at a retail outlet in the control area shall be affixed during 
the control period with a legible and conspicuous label which contains 
the following statement:

The fuel dispensed from this pump meets the requirements of the Clean 
Air Act as part of a program to reduce carbon monoxide pollution from 
motor vehicles.

    (2) The posting of the above statement shall be in block letters of 
no less than 20-point bold type; in a color contrasting with the 
intended background. The label shall be placed on the vertical surface 
of the pump on each side with gallonage and price meters and shall be on 
the upper two-thirds of the pump, clearly readable to the public.
    (3) The retailer shall be responsible for compliance with the 
labeling requirements of this section.

[57 FR 47771, Oct. 20, 1992]



Sec. Sec.  80.36-80.39  [Reserved]



                     Subpart D_Reformulated Gasoline

    Source: 59 FR 7813, Feb. 16, 1994, unless otherwise noted.



Sec.  80.40  Fuel certification procedures.

    (a) Gasoline that complies with one of the standards specified in 
Sec.  80.41 (a) through (f) that is relevant for the gasoline, and that 
meets all other relevant requirements prescribed under Sec.  80.41, 
shall be deemed certified.
    (b) Any refiner or importer may, with regard to a specific fuel 
formulation, request from the Administrator a certification that the 
formulation meets one of the standards specified in Sec.  80.41 (a) 
through (f).
    (c)(1) Adjusted VOC gasoline for purposes of the general 
requirements in 80.65(d)(2)(ii), and the certification procedures in 
this section is gasoline that contains 10 to 15 volume percent ethanol, 
or RBOB intended for blending with 10 to 15 volume percent ethanol, that 
is intended for use in the areas described at 80.70(f) and (i), and is 
designated by the refiner as adjusted VOC gasoline subject to less 
stringent VOC standards in 80.41(e) and (f). In order for adjusted VOC 
gasoline to qualify for the regulatory treatment specified in 80.41(e) 
and (f), reformulated gasoline must contain denatured, anhydrous 
ethanol. The concentration of the ethanol, excluding the required 
denaturing agent, must be at least 9 percent and no more than 15 percent 
(by volume) of the gasoline. The ethanol content of the gasoline shall 
be determined by use of one of the testing methodologies specified in 
80.46(g).
    (2) Refiners may choose not to designate as adjusted VOC gasoline or 
RBOB that otherwise meets the requirements of paragraph (c)(1) of this 
section, in which case the more stringent VOC standards in Sec.  80.41 
apply.
    (3) For purposes of Sec.  80.78(a)(1)(v), the ``Adjusted VOC 
gasoline'' standards under Sec.  80.41 are the applicable VOC emissions 
performance standards only for adjusted VOC gasoline that is intended 
for use in or sold for use by an ultimate consumer in the covered areas

[[Page 38]]

described at Sec.  80.70(f) and (i). For purposes of Sec.  
80.78(a)(1)(v), gasoline designated as adjusted VOC gasoline that is 
intended for use or that is sold for use by an ultimate consumer in any 
covered area in VOC-Control Region 2 other than those described at Sec.  
80.70(f) and (i), is subject to the VOC performance standards in Sec.  
80.41 applicable to all other gasoline designated for VOC-Control Region 
2.

[59 FR 7813, Feb. 16, 1994, as amended at 66 FR 37164, July 17, 2001; 67 
FR 8736, Feb. 26, 2002; 76 FR 44443, July 25, 2011]



Sec.  80.41  Standards and requirements for compliance.

    (a) Simple model per-gallon standards. The ``simple model'' 
standards for compliance when achieved on a per-gallon basis are as 
follows:

                    Simple Model Per-Gallon Standards
Reid vapor pressure (in pounds per square inch):
  Gasoline designated for VOC-Control Region 1................    <=7.2
  Gasoline designated for VOC-Control Region 2................    <=8.1
Oxygen content (percent, by weight)...........................  X emissions performance reduction specified 
in paragraph (e)(1) of this section shall no longer apply beginning 
January 1, 2007, except as provided in paragraph (e)(2)(ii) of this 
section.
    (ii) For a refiner subject to the small refiner gasoline sulfur 
standards at Sec.  80.240, the NOX emissions performance 
reduction specified in paragraph (e)(1) of this section shall no longer 
apply beginning January 1, 2008. For a refiner subject to the gasoline 
sulfur standards

[[Page 39]]

at Sec.  80.240 that has received an extension of its small refiner 
gasoline sulfur standards under Sec.  80.553, the NOX 
emissions performance reduction specified in paragraph (e)(1) of this 
section shall no longer apply beginning January 1, 2011.
    (3)(i) Beginning January 1, 2011, or January 1, 2015 for small 
refiners approved under Sec.  80.1340, the toxic air pollutants 
emissions performance reduction and benzene content specified in 
paragraph (e)(1) of this section shall apply to reformulated gasoline 
that is not subject to the benzene standard of Sec.  80.1230, pursuant 
to the provisions of Sec.  80.1235.
    (ii) The toxic air pollutants emissions performance reduction and 
benzene content specified in paragraph (e)(1) of this section shall not 
apply to reformulated gasoline produced by a refinery approved under 
Sec.  80.1334, pursuant to Sec.  80.1334(c).
    (f)(1) Phase II complex model averaged standards. The Phase II 
``complex model'' standards for compliance when achieved on average are 
as follows:

                Phase II Complex Model Averaged Standards
VOC emissions performance reduction (percent):
    Gasoline designated for VOC-Control Region 1
        Standard...............................................  X emissions performance reduction specified 
in paragraph (f)(1) of this section shall no longer apply beginning 
January 1, 2007, except as provided in paragraph (f)(2)(ii) of this 
section.
    (ii) For a refiner subject to the small refiner gasoline sulfur 
standards at Sec.  80.240, the NOX emissions performance 
reduction specified in paragraph (f)(1) of this section shall no longer 
apply beginning January 1, 2008. For a refiner subject to the gasoline 
sulfur standards at Sec.  80.240 that has received an extension of its 
small refiner gasoline sulfur standards under Sec.  80.553, the 
NOX emissions performance reduction specified in paragraph 
(f)(1) of this section shall no longer apply beginning January 1, 2011.
    (3)(i) Beginning January 1, 2011, or January 1, 2015 for small 
refiners approved under Sec.  80.1340, the toxic air pollutants 
emissions performance reduction and benzene content specified in 
paragraph (f)(1) of this section shall apply only to reformulated 
gasoline that is not subject to the benzene standard of Sec.  80.1230, 
pursuant to the provisions of Sec.  80.1235.
    (ii) The toxic air pollutants emissions performance reduction and 
benzene content specified in paragraph (f)(1) of this section shall not 
apply to reformulated gasoline produced by a refinery approved under 
Sec.  80.1334, pursuant to Sec.  80.1334(c).
    (g) Oxygen maximum standard. (1) The per-gallon standard for maximum 
oxygen content, which applies to reformulated gasoline subject to the 
simple model per-gallon or average standards, is as follows:
    (i) Oxygen content shall not exceed 3.2 percent by weight from 
ethanol within the boundaries of any State if the State notifies the 
Administrator that the use of an oxygenate will interfere with 
attainment or maintenance of an ambient air quality standard or will 
contribute to an air quality problem.
    (ii) A State may request the standard specified in paragraph 
(g)(1)(i) of this section separately for reformulated gasoline 
designated as VOC-controlled and reformulated gasoline not designated as 
VOC-controlled.
    (2) The standard in paragraph (g)(1)(i) of this section shall apply 
60 days after the Administrator publishes a notice in the Federal 
Register announcing such a standard.
    (h) Additional standard requirements. In addition to the standards 
specified in paragraphs (a) through (g) of this section, the following 
standards apply for all reformulated gasoline:
    (1) The standard for heavy metals, including lead or manganese, on a 
per-

[[Page 40]]

gallon basis, is that reformulated gasoline may contain no heavy metals. 
The Administrator may waive this prohibition for a heavy metal (other 
than lead) if the Administrator determines that addition of the heavy 
metal to the gasoline will not increase, on an aggregate mass or cancer-
risk basis, toxic air pollutant emissions from motor vehicles.
    (2) In the case of any refinery or importer subject to the simple 
model standards:
    (i) The annual average levels for sulfur, T-90, and olefins cannot 
exceed that refinery's or importer's 1990 baseline levels for each of 
these parameters; and
    (ii) The 1990 baseline levels and the annual averages for these 
parameters shall be established using the methodology set forth in 
Sec. Sec.  80.91 through 80.92; and
    (iii) In the case of a refiner that operates more than one refinery, 
the standards specified under this paragraph (h)(2) shall be met using 
the refinery grouping selected by the refiner under Sec.  80.101(h).
    (i) Use of simple and complex models. (1) During each calendar year 
1995 through 1997, any refinery or importer shall be subject to either 
the simple model standards specified in paragraphs (a) and (b) of this 
section, or the Phase I complex model standards specified in paragraphs 
(c) and (d) of this section, at the option of the refiner or importer, 
provided that:
    (i) No refinery or importer may be subject to a combination of 
simple and complex standards during any calendar year; and
    (ii) Any refiner or importer that elects to achieve compliance with 
the anti-dumping requirements using the:
    (A) Simple model shall meet the requirements of this subpart D using 
the simple model standards; or
    (B) Complex model or optional complex model shall meet the 
requirements of this subpart D using the complex model standards.
    (2) During the period January 1, 1998 through December 31, 1999, any 
refiner or importer shall be subject to the Phase I complex model 
standards specified in paragraphs (c) and (d) of this section.
    (3) Beginning on January 1, 2000, any refiner or importer shall be 
subject to the Phase II complex model standards specified in paragraphs 
(e) and (f) of this section.
    (j) Complex model early use. Before January 1, 1998, the VOC, 
toxics, and NOX emissions performance standards for any 
refinery or importer subject to the Phase I complex model standards 
shall be determined by evaluating all of the following parameter levels 
in the Phase I complex model (specified in Sec.  80.45) at one time:
    (1) The simple model values for benzene, RVP, and oxygen specified 
in Sec.  80.41 (a) or (b), as applicable;
    (2) The aromatics value which, together with the values for benzene, 
RVP, and oxygen determined under paragraph (j)(1) of this section, meets 
the Simple Model toxics requirement specified in paragraph (a) or (b) of 
this section, as applicable;
    (3) The refinery's or importer's individual baseline values for 
sulfur, E-300, and olefins, as established under Sec.  80.91; and
    (4) The appropriate seasonal value of E-200 specified in Sec.  
80.45(b)(2).
    (k) Effect of VOC survey failure. (1) On each occasion during 1995 
or 1996 that a covered area fails a simple model VOC emissions reduction 
survey conducted pursuant to Sec.  80.68, the RVP requirements for that 
covered area beginning in the year following the failure shall be 
adjusted to be more stringent as follows:
    (i) The required average RVP level shall be decreased by an 
additional 0.1 psi; and
    (ii) The maximum RVP level for each gallon of averaged gasoline 
shall be decreased by an additional 0.1 psi.
    (2) On each occasion that a covered area fails a complex model VOC 
emissions reduction survey conducted pursuant to Sec.  80.68, or fails a 
simple model VOC emissions reduction survey conducted pursuant to Sec.  
80.68 during 1997, the VOC emissions performance standard for that 
covered area beginning in the year following the failure shall be 
adjusted to be more stringent as follows:
    (i) The required average VOC emissions reduction shall be increased 
by an additional 1.0%; and

[[Page 41]]

    (ii) The minimum VOC emissions reduction, for each gallon of 
averaged gasoline, shall be increased by an additional 1.0%.
    (3) In the event that a covered area for which required VOC 
emissions reductions have been made more stringent passes all VOC 
emissions reduction surveys in two consecutive years, the averaging 
standards VOC emissions reduction for that covered area beginning in the 
year following the second year of passed survey series shall be made 
less stringent as follows:
    (i) The required average VOC emissions reduction shall be decreased 
by 1.0%; and
    (ii) The minimum VOC emissions reduction shall be decreased by 1.0%.
    (4) In the event that a covered area for which the required VOC 
emissions reductions have been made less stringent fails a subsequent 
VOC emissions reduction survey:
    (i) The required average VOC emission reductions for that covered 
area beginning in the year following this subsequent failure shall be 
made more stringent by increasing the required average and the minimum 
VOC emissions reduction by 1.0%; and
    (ii) The required VOC emission reductions for that covered area 
thereafter shall not be made less stringent regardless of the results of 
subsequent VOC emissions reduction surveys.
    (l) Effect of toxics survey failure. (1) On each occasion during 
1995 or 1996 that a covered area fails a simple model toxics emissions 
reduction survey series, conducted pursuant to Sec.  80.68, the simple 
model toxics emissions reduction requirement for that covered area 
beginning in the year following the year of the failure is made more 
stringent by increasing the average toxics emissions reduction by an 
additional 1.0%.
    (2) On each occasion that a covered area fails a complex model 
toxics emissions reduction survey series, conducted pursuant to Sec.  
80.68, or fails a simple model toxics emissions reduction survey series 
conducted pursuant to Sec.  80.68 during 1997, the complex model toxics 
emissions reduction requirement for that covered area beginning in the 
year following the year of the failure is made more stringent by 
increasing the average toxics emissions reduction by an additional 1.0%.
    (3) In the event that a covered area for which the toxics emissions 
standard has been made more stringent passes all toxics emissions survey 
series in two consecutive years, the averaging standard for toxics 
emissions reductions for that covered area beginning in the year 
following the second year of passed survey series shall be made less 
stringent by decreasing the average toxics emissions reduction by 1.0%.
    (4) In the event that a covered area for which the toxics emissions 
reduction standard has been made less stringent fails a subsequent 
toxics emissions reduction survey series:
    (i) The standard for toxics emissions reduction for that covered 
area beginning in the year following this subsequent failure shall be 
made more stringent by increasing the average toxics emissions reduction 
by 1.0%; and
    (ii) The standard for toxics emissions reduction for that covered 
area thereafter shall not be made less stringent regardless of the 
results of subsequent toxics emissions reduction surveys.
    (m) Effect of NOX survey or survey series failure. (1) On 
each occasion that a covered area fails a NOX emissions 
reduction survey or survey series conducted pursuant to Sec.  80.68, the 
required average NOX emissions reductions for that covered 
area beginning in the year following the failure shall be increased in 
stringency by an additional 1.0%.
    (2) In the event that a covered area for which required 
NOX emissions reductions have been made more stringent passes 
all NOX emissions reduction surveys and survey series in two 
consecutive years, the required average NOX emissions 
reductions for that covered area beginning in the year following the 
second year of passed surveys and survey series shall be decreased in 
stringency by 1.0%.
    (3) In the event that a covered area for which the required 
NOX emissions reductions have been made less stringent fails 
a subsequent NOX emissions reduction survey or survey series:
    (i) The required average NOX emission reductions for that 
covered area beginning in the year following this subsequent failure 
shall be increased in stringency by 1.0%; and

[[Page 42]]

    (ii) The required NOX emission reductions for that 
covered area thereafter shall not be made less stringent regardless of 
the results of subsequent NOX emissions reduction surveys or 
survey series.
    (n) Effect of benzene survey failure. (1) On each occasion that a 
covered area fails a benzene content survey series, conducted pursuant 
to Sec.  80.68, the benzene content standards for that covered area 
beginning in the year following the year of the failure shall be made 
more stringent as follows:
    (i) The average benzene content shall be decreased by 0.05% by 
volume; and
    (ii) The maximum benzene content for each gallon of averaged 
gasoline shall be decreased by 0.10% by volume.
    (2) In the event that a covered area for which the benzene standards 
have been made more stringent passes all benzene content survey series 
conducted in two consecutive years, the benzene standards for that 
covered area beginning in the year following the second year of passed 
survey series shall be made less stringent as follows:
    (i) The average benzene content shall be increased by 0.05% by 
volume; and
    (ii) The maximum benzene content for each gallon of averaged 
gasoline shall be increased by 0.10% by volume.
    (3) In the event that a covered area for which the benzene standards 
have been made less stringent fails a subsequent benzene content survey 
series:
    (i) The standards for benzene content for that covered area 
beginning in the year following this subsequent failure shall be the 
more stringent standards which were in effect prior to the operation of 
paragraph (n)(2) of this section; and
    (ii) The standards for benzene content for that covered area 
thereafter shall not be made less stringent regardless of the results of 
subsequent benzene content surveys.
    (o) [Reserved]
    (p) Effective date for changed minimum or maximum standards. In the 
case of any minimum or maximum standard that is changed to be more 
stringent by operation of paragraphs (k), (m), (n), or (o) of this 
section, the effective date for such change shall be the following 
number of days after the date EPA announces the change:
    (1) 90 days for refinery or import facilities;
    (2) 180 days for retail outlets and wholesale purchaser-consumer 
facilities; and
    (3) 150 days for all other facilities.
    (q) Refineries and importers subject to adjusted standards. 
Standards for average compliance that are adjusted to be more or less 
stringent by operation of paragraphs (k), (l) (m) or (n) of this section 
apply to average reformulated gasoline produced at each refinery or 
imported by each importer as follows:
    (1) Adjusted standards for a covered area apply to averaged 
reformulated gasoline that is produced at a refinery if:
    (i) Any averaged reformulated gasoline from that refinery supplied 
the covered area during any year a survey was conducted which gave rise 
to a standards adjustment; or
    (ii) Any averaged reformulated gasoline from that refinery supplies 
the covered area during any year that the standards are more stringent 
than the initial standards; unless
    (iii) The refiner is able to show that the volume of averaged 
reformulated gasoline from a refinery that supplied the covered area 
during any years under paragraphs (q)(1)(i) or (ii) of this section was 
less than one percent of the reformulated gasoline produced at the 
refinery during that year, or 100,000 barrels, whichever is less.
    (2) Adjusted standards for a covered area apply to averaged 
reformulated gasoline that is imported by an importer if:
    (i) The covered area with the adjusted standard is located in 
Petroleum Administration for Defense District (PADD) I, and the gasoline 
is imported at a facility located in PADDs I, II or III;
    (ii) The covered area with the adjusted standard is located in PADD 
II, and the gasoline is imported at a facility located in PADDs I, II, 
III, or IV;
    (iii) The covered area with the adjusted standard is located in PADD 
III, and the gasoline is imported at a facility located in PADDs II, 
III, or IV;
    (iv) The covered area with the adjusted standard is located in PADD 
IV, and the gasoline is imported at a facility located in PADDs II, or 
IV; or

[[Page 43]]

    (v) The covered area with the adjusted standard is located in PADD 
V, and the gasoline is imported at a facility located in PADDs III, IV, 
or V; unless
    (vi) Any gasoline which is imported by an importer at any facility 
located in any PADD supplies the covered area, in which case the 
adjusted standard also applies to averaged gasoline imported at that 
facility by that importer.
    (3) Any gasoline that is transported in a fungible manner by a 
pipeline, barge, or vessel shall be considered to have supplied each 
covered area that is supplied with any gasoline by that pipeline, or 
barge or vessel shipment, unless the refiner or importer is able to 
establish that the gasoline it produced or imported was supplied only to 
a smaller number of covered areas.
    (4) Adjusted standards apply to all averaged reformulated gasoline 
produced by a refinery or imported by an importer identified in this 
paragraph (q), except:
    (i) In the case of adjusted VOC standards for a covered area located 
in VOC Control Region 1, the adjusted VOC standards apply only to 
averaged reformulated gasoline designated as VOC-controlled intended for 
use in VOC Control Region 1; and
    (ii) In the case of adjusted VOC standards for a covered area 
located in VOC Control Region 2, the adjusted VOC standards apply only 
to averaged reformulated gasoline designated as VOC-controlled intended 
for use in VOC Control Region 2.
    (r) Definition of PADD. For the purposes of this section only, the 
following definitions of PADDs apply:
    (1) The following States are included in PADD I:

Connecticut
Delaware
District of Columbia
Florida
Georgia
Maine
Maryland
Massachusetts
New York
New Hampshire
New Jersey
North Carolina
Pennsylvania
Rhode Island
South Carolina
Vermont
Virginia
West Virginia

    (2) The following States are included in PADD II:

Illinois
Indiana
Iowa
Kansas
Kentucky
Michigan
Minnesota
Missouri
Nebraska
North Dakota
Ohio
Oklahoma
South Dakota
Tennessee
Wisconsin

    (3) The following States are included in PADD III:

Alabama
Arkansas
Louisiana
Mississippi
New Mexico
Texas

    (4) The following States are included in PADD IV:

Colorado
Idaho
Montana
Utah
Wyoming

    (5) The following States are included in PADD V:

Arizona
California
Nevada
Oregon
Washington

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36958, July 20, 1994; 61 
FR 12041, Mar. 25, 1996; 62 FR 68205, Dec. 31, 1997; 64 FR 37689, July 
13, 1999; 66 FR 37164, July 17, 2001; 71 FR 74566, Dec. 15, 2005; 71 FR 
8972, Feb. 22, 2006; 71 FR 26698, May 8, 2006; 72 FR 8543, Feb. 26, 
2007]



Sec.  80.42  Simple emissions model.

    (a) VOC emissions. The following equations shall comprise the simple 
model for VOC emissions. The simple model for VOC emissions shall be 
used only in determining toxics emissions:

Summer = The period of May 1 through September 15
Winter = The period of September 16 through April 30
EXHVOCS1 = Exhaust nonmethane, nonethane VOC emissions from the fuel in 
          question, in grams per mile, for VOC control region 1 during 
          the summer period.
EXHVOCS2 = Exhaust nonmethane, nonethane VOC emissions from the fuel in 
          question, in grams per mile, for VOC control region 2 during 
          the summer period.
EXHVOCW = Exhaust nonmethane, nonethane VOC emissions from the fuel in 
          question, in grams per mile, during the winter period.
EVPVOCS1 = Evaporative nonmethane, nonethane VOC emissions from the fuel 
          in question, in grams per mile, for VOC control region 1 
          during the summer period.
EVPVOCS2 = Evaporative nonmethane, nonethane VOC emissions from the fuel 
          in

[[Page 44]]

          question, in grams per mile, for VOC control region 2 during 
          the summer period.
RLVOCS1 = Running loss nonmethane, nonethane VOC emissions from the fuel 
          in question, in grams per mile, for VOC control region 1 
          during the summer period.
RLVOCS2 = Running loss nonmethane, nonethane VOC emissions from the fuel 
          in question, in grams per mile, for VOC control region 2 
          during the summer period.
REFVOCS1 = Refueling nonmethane, nonethane VOC emissions from the fuel 
          in question, in grams per mile, for VOC control region 1 
          during the summer period.
REFVOCS2 = Refueling nonmethane, nonethane VOC emissions from the fuel 
          in question, in grams per mile, for VOC control region 2 
          during the summer period.
OXCON = Oxygen content of the fuel in question, in terms of weight 
          percent (as measured under Sec.  80.46)
RVP = Reid vapor pressure of the fuel in question, in pounds per square 
          inch (psi)

    (1) The following equations shall comprise the simple model for VOC 
emissions in VOC Control Region 1 during the summer period:

EXHVOCS1 = 0.444 x (1-(0.127/2.7) x OXCON)
EVPVOCS1 = 0.7952-0.2461 x RVP + 0.02293 x RVP x RVP
RLVOCS1 = -0.734 + 0.1096 x RVP + 0.002791 x RVP x RVP
REFVOCS1 = 0.04 x ((0.1667 x RVP)-0.45)

    (2) The following equations shall comprise the simple model for VOC 
emissions in VOC Control Region 2 during the summer period:

EXHVOCS2 = 0.444 x (1 - (0.127/2.7) x OXCON)
EVPVOCS2 = 0.813 - 0.2393 x RVP + 0.021239 x RVP x RVP
RLVOCS2 = 0.2963 - 0.1306 x RVP + 0.016255 x RVP x RVP
REFVOCS2 = 0.04 x ((0.1667 x RVP) - 0.45)

    (3) The following equation shall comprise the simple model for VOC 
emissions during the winter period:

EXHVOCW = 0.656 x (1 - (0.127/2.7) x OXCON)

    (b) Toxics emissions. The following equations shall comprise the 
simple model for toxics emissions:

EXHBEN = Exhaust benzene emissions from the fuel in question, in 
          milligrams per mile
EVPBEN = Evaporative benzene emissions from the fuel in question, in 
          milligrams per mile
HSBEN = Hot soak benzene emissions from the fuel in question, in 
          milligrams per mile
DIBEN = Diurnal benzene emissions from the fuel in question, in 
          milligrams per mile
RLBEN = Running loss benzene emissions from the fuel in question, in 
          milligrams per mile
REFBEN = Refueling benzene emissions from the fuel in question, in 
          milligrams per mile
MTBE = Oxygen content of the fuel in question in the form of MTBE, in 
          terms of weight percent (as measured under Sec.  80.46)
ETOH = Oxygen content of the fuel in question in the form of ethanol, in 
          terms of weight percent (as measured under Sec.  80.46)
ETBE = Oxygen content of the fuel in question in the form of ETBE, in 
          terms of weight percent (as measured under Sec.  80.46)
FORM = Formaldehyde emissions from the fuel in question, in milligrams 
          per mile
ACET = Acetaldehyde emissions from the fuel in question, in milligrams 
          per mile
POM = Emissions of polycyclic organic matter from the fuel in question, 
          in milligrams per mile
BUTA = Emissions of 1,3-Butadiene from the fuel in question, in 
          milligrams per mile
FBEN = Fuel benzene of the fuel in question, in terms of volume percent 
          (as measured under Sec.  80.46)
FAROM = Fuel aromatics of the fuel in question, in terms of volume 
          percent (as measured under Sec.  80.46)
TOXREDS1 = Total toxics reduction of the fuel in question during the 
          summer period for VOC control region 1 in percent
TOXREDS2 = Total toxics reduction of the fuel in question during the 
          summer period for VOC control region 2 in percent
TOXREDW = Total toxics reduction of the fuel in question during the 
          winter period in percent

    (1) The following equations shall comprise the simple model for 
toxics emissions in VOC control region 1 during the summer period:

TOXREDS1 = [100 x (53.2 -EXHBEN - EVPBEN - RLBEN - REFBEN - FORM - ACET 
          - BUTA - POM)] / 53.2
EXHBEN = [1.884 + 0.949 x FBEN + 0.113 x (FAROM - FBEN)) / 100] x 1000 x 
          EXHVOCS1
EVPBEN = HSBEN + DIBEN
HSBEN = FBEN x (EVPVOCS1 x 0.679) x 1000 x [(1.4448 - (0.0684 x MTBE/
          2.0) - (0.080274 x RVP)) / 100]
DIBEN = FBEN x (EVPVOCS1 x 0.321) x 1000 x [(1.3758 - (0.0579 x MTBE/
          2.0) - (0.080274 x RVP)) / 100]
RLBEN = FBEN x RLVOCS1 x 1000 x [(1.4448 - (0.0684 x MTBE/2.0) - 
          (0.080274 x RVP)) / 100]
REFBEN = FBEN x REFVOCS1 x 1000 x [(1.3972 - (0.0591 x MTBE / 2.0) - 
          (0.081507

[[Page 45]]

          x RVP)) / 100] BUTA = 0.00556 x EXHVOCS1 x 1000
POM = 3.15 x EXHVOCS1

    (i) For any oxygenate or mixtures of oxygenates, the formaldehyde 
and acetaldehyde shall be calculated with the following equations:

FORM = 0.01256 x EXHVOCS1 x 1000 x [1 + (0.421 / 2.7) x MTBE + TAME) + 
          (0.358 / 3.55) x ETOH + (0.137 / 2.7) x (ETBE + ETAE)]
ACET = 0.00891 x EXHVOCS1 x 1000 x [1 + (0.078 / 2.7) x (MTBE + TAME) + 
          (0.865 / 3.55) x ETOH + (0.867 / 2.7) x (ETBE + ETAE)]

    (ii) When calculating formaldehyde and acetaldehyde emissions using 
the equations in paragraph (b)(1)(i) of this section, oxygen in the form 
of alcohols which are more complex or have higher molecular weights than 
ethanol shall be evaluated as if it were in the form of ethanol. Oxygen 
in the form of methyl ethers other than TAME and MTBE shall be evaluated 
as if it were in the form of MTBE. Oxygen in the form of ethyl ethers 
other than ETBE shall be evaluated as if it were in the form of ETBE. 
Oxygen in the form of non-methyl, non-ethyl ethers shall be evaluated as 
if it were in the form of ETBE. Oxygen in the form of methanol or non-
alcohol, non-ether oxygenates shall not be evaluated with the Simple 
Model, but instead must be evaluated through vehicle testing under the 
Complex Model per Sec.  80.48.
    (2) The following equations shall comprise the simple model for 
toxics emissions in VOC control region 2 during the summer period:

TOXREDS2 = 100 x (52.1 - EXHBEN - EVPBEN - RLBEN - REFBEN - FORM - ACET 
          - BUTA - POM) / 52.1
EXHBEN = [(1.884 + 0.949 x FBEN + 0.113 x (FAROM - FBEN)) / 100] x 1000 
          x EXHVOCS2
EVPBEN = HSBEN + DIBEN
HSBEN = FBEN x (EVPVOCS2 x 0.679) x 1000 x [(1.4448 - (0.0684 x MTBE / 
          2.0) - (0.080274 x RVP)) / 100]
DIBEN = FBEN x (EVPVOCS2 x 0.321) x 1000 x [(1.3758 - (0.0579 x MTBE / 
          2.0) - (0.080274 x RVP)) / 100]
RLBEN = FBEN x RLVOCS2 x 1000 x [(1.4448 - (0.0684 x MTBE / 2.0) - 
          (0.080274 x RVP)) / 100]
REFBEN = FBEN x REFVOCS2 x 1000 x [(1.3972 - (0.0591 x MTBE / 2.0) - 
          (0.081507 x RVP)) / 100]
BUTA = 0.00556 x EXHVOCS2 x 1000
POM = 3.15 x EXHVOCS2

    (i) For any oxygenate or mixtures of oxygenates, the formaldehyde 
and acetaldehyde shall be calculated with the following equations:

FORM = 0.01256 x EEXHVOCS2 x 1000 x [1 + (0.421 / 2.7) x (MTBE + TAME) + 
          (0.358 / 3.55) x ETOH + (0.137 / 2.7) x (ETBE + ETAE)]
ACET = 0.00891 x EXHVOCS2 x 1000 x [1 + (0.078 / 2.7) x (MTBE + TAME) + 
          (0.865 / 3.55) x ETOH + (0.867 / 2.7) x (ETBE + ETAE)]

    (ii) When calculating formaldehyde and acetaldehyde emissions using 
the equations in paragraph (b)(2)(i) of this section, oxygen in the form 
of alcohols which are more complex or have higher molecular weights than 
ethanol shall be evaluated as if it were in the form of ethanol. Oxygen 
in the form of methyl ethers other than TAME and MTBE shall be evaluated 
as if it were in the form of MTBE. Oxygen in the form of ethyl ethers 
other than ETBE shall be evaluated as if it were in the form of ETBE. 
Oxygen in the form of non-methyl, non-ethyl ethers shall be evaluated as 
if it were in the form of ETBE. Oxygen in the form of methanol or non-
alcohol, non-ether oxygenates shall not be evaluated with the Simple 
Model, but instead must be evaluated through vehicle testing under the 
Complex Model per Sec.  80.48.
    (3) The following equations shall comprise the simple model for 
toxics emissions during the winter period:

TOXREDW = 100 x (55.5 - EXHBEN - FORM - ACET - BUTA - POM) / 55.5
EXHBEN = [(1.884 + 0.949 x FBEN + 0.113 x (FAROM - FBEN)) / 100] x 1000 
          x EXHVOCW
BUTA = 0.00556 x EXHVOCW x 1000
POM = 2.13 x EXHVOCW

    (i) For any oxygenate or mixtures of oxygenates, the formaldehyde 
and acetaldehyde shall be calculated with the following equations:

FORM = 0.01256 x EXHVOCS1 x 1000 x [1 + (0.421 / 2.7) x (MTBE + TAME) + 
          (0.358 / 3.55) x ETOH + (0.137 / 2.7) x (ETBE + ETAE)]
ACET = 0.00891 x EXHVOCS1 x 1000 x [1 + (0.078 / 2.7) x (MTBE + TAME) + 
          (0.865 / 3.55) x ETOH + (0.867 / 2.7) x (ETBE + ETAE)]

    (ii) When calculating formaldehyde and acetaldehyde emissions using 
the

[[Page 46]]

equations in paragraph (b)(3)(i) of this section, oxygen in the form of 
alcohols which are more complex or have higher molecular weights than 
ethanol shall be evaluated as if it were in the form of ethanol. Oxygen 
in the form of methyl ethers other than TAME and MTBE shall be evaluated 
as if it were in the form of MTBE. Oxygen in the form of ethyl ethers 
other than ETBE shall be evaluated as if it were in the form of ETBE. 
Oxygen in the form of non-methyl, non-ethyl ethers shall be evaluated as 
if it were in the form of ETBE. Oxygen in the form of methanol or non-
alcohol, non-ether oxygenates shall not be evaluated with the Simple 
Model, but instead must be evaluated through vehicle testing under the 
Complex Model per Sec.  80.48.
    (4) If the fuel aromatics content of the fuel in question is less 
than 10 volume percent, then an FAROM value of 10 volume percent shall 
be used when evaluating the toxics emissions equations given in 
paragraphs (b)(1), (b)(2), and (b)(3) of this section.
    (c) Limits of the model. (1) The model given in paragraphs (a) and 
(b) of this section shall be used as given to determine VOC and toxics 
emissions, respectively, if the properties of the fuel being evaluated 
fall within the ranges shown in this paragraph (c). If the properties of 
the fuel being evaluated fall outside the range shown in this paragraph 
(c), the model may not be used to determine the VOC or toxics 
performance of the fuel:

------------------------------------------------------------------------
             Fuel parameter                           Range
------------------------------------------------------------------------
Benzene content........................  0.0-4.9 vol %.
RVP....................................  6.6-9.0 psi. \1\
Oxygenate content......................  0-4.0 wt %.
Aromatics content......................  0-55 vol %.
------------------------------------------------------------------------
\1\ For gasoline sold in California, the applicable RVP range shall be
  6.4-9.0 psi.

    (2) The model given in paragraphs (a) and (b) of this section shall 
be effective from January 1, 1995 through December 31, 1997, unless 
extended by action of the Administrator.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36958, July 20, 1994; 61 
FR 20738, May 8, 1996]



Sec. Sec.  80.43-80.44  [Reserved]



Sec.  80.45  Complex emissions model.

    (a) Definition of terms. For the purposes of this section, the 
following definitions shall apply:

Target fuel = The fuel which is being evaluated for its emissions 
performance using the complex model
OXY = Oxygen content of the target fuel in terms of weight percent
SUL = Sulfur content of the target fuel in terms of parts per million by 
weight
RVP = Reid Vapor Pressure of the target fuel in terms of pounds per 
square inch
E200 = 200 [deg]F distillation fraction of the target fuel in terms of 
volume percent
E300 = 300 [deg]F distillation fraction of the target fuel in terms of 
volume percent
ARO = Aromatics content of the target fuel in terms of volume percent
BEN = Benzene content of the target fuel in terms of volume percent
OLE = Olefins content of the target fuel in terms of volume percent
MTB = Methyl tertiary butyl ether content of the target fuel in terms of 
weight percent oxygen
ETB = Ethyl tertiary butyl ether content of the target fuel in terms of 
weight percent oxygen
TAM = Tertiary amyl methyl ether content of the target fuel in terms of 
weight percent oxygen
ETH = Ethanol content of the target fuel in terms of weight percent 
oxygen
exp = The function that raises the number e (the base of the natural 
logarithm) to the power in its domain
Phase I = The years 1995-1999
Phase II = Year 2000 and beyond

    (b) Weightings and baselines for the complex model. (1) The 
weightings for normal and higher emitters (w1 and 
w2, respectively) given in table 1 shall be used to calculate 
the exhaust emission performance of any fuel for the appropriate 
pollutant and Phase:

   Table 1--Normal and Higher Emitter Weightings for Exhaust Emissions
------------------------------------------------------------------------
                                           Phase I          Phase II
                                     -----------------------------------
                                       VOC &             VOC &
                                       toxics    NOX     toxics    NOX
------------------------------------------------------------------------
Normal Emitters (w1)................     0.52     0.82    0.444    0.738
Higher Emitters (w2)................     0.48     0.18    0.556    0.262
------------------------------------------------------------------------

    (2) The following properties of the baseline fuels shall be used 
when determining baseline mass emissions of the various pollutants:

[[Page 47]]



           Table 2--Summer and Winter Baseline Fuel Properties
------------------------------------------------------------------------
                   Fuel property                      Summer     Winter
------------------------------------------------------------------------
Oxygen (wt %).....................................       0.0        0.0
Sulfur (ppm)......................................     339        338
RVP (psi).........................................       8.7       11.5
E200 (%)..........................................      41.0       50.0
E300 (%)..........................................      83.0       83.0
Aromatics (vol %).................................      32.0       26.4
Olefins (vol %)...................................       9.2       11.9
Benzene (vol %)...................................       1.53       1.64
------------------------------------------------------------------------

    (3) The baseline mass emissions for VOC, NOX and toxics 
given in tables 3, 4 and 5 of this paragraph (b)(3) shall be used in 
conjunction with the complex model during the appropriate Phase and 
season:

                   Table 3--Baseline Exhaust Emissions
------------------------------------------------------------------------
                                           Phase I          Phase II
                                     -----------------------------------
          Exhaust pollutant            Summer   Winter   Summer   Winter
                                        (mg/     (mg/     (mg/     (mg/
                                       mile)    mile)    mile)    mile)
------------------------------------------------------------------------
VOC.................................    446.0    660.0    907.0   1341.0
NOX.................................    660.0    750.0   1340.0   1540.0
Benzene.............................    26.10    37.57    53.54    77.62
Acetaldehyde........................     2.19     3.57     4.44     7.25
Formaldehyde........................     4.85     7.73     9.70    15.34
1,3-Butadiene.......................     4.31     7.27     9.38    15.84
POM.................................     1.50     2.21     3.04     4.50
------------------------------------------------------------------------


          Table 4--Baseline Non-Exhaust Emissions (Summer Only)
------------------------------------------------------------------------
                                           Phase I          Phase II
                                     -----------------------------------
        Non-exhaust pollutant          Region   Region   Region   Region
                                       1 (mg/   2 (mg/   1 (mg/   2 (mg/
                                       mile)    mile)    mile)    mile)
------------------------------------------------------------------------
VOC.................................   860.48   769.10   559.31   492.07
Benzene.............................     9.66     8.63     6.24     5.50
------------------------------------------------------------------------


                                                  Table 5--Total Baseline VOC, NOX and Toxics Emissions
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                         Summer (mg/mile)                                Winter (mg/mile)
                                                         -----------------------------------------------------------------------------------------------
                        Pollutant                                 Phase I                Phase II                 Phase I                Phase II
                                                         -----------------------------------------------------------------------------------------------
                                                           Region 1    Region 2    Region 1    Region 2    Region 1    Region 2    Region 1    Region 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
NOX.....................................................      660.0       660.0      1340.0      1340.0       750.0       750.0      1540.0      1540.0
VOC.....................................................     1306.5      1215.1      1466.3      1399.1       660.0       660.0      1341.0      1341.0
Toxics..................................................       48.61       47.58       86.34       85.61       58.36       58.36      120.55      120.55
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (c) VOC performance. (1) The exhaust VOC emissions performance of 
gasolines shall be given by the following equations:

VOCE = VOC(b) + (VOC(b) x Yvoc(t)/100)
Yvoc(t) = [lsqbb](w1 x Nv) + 
(w2 x Hv)-1[rsqbb] x 100

where

VOCE = Exhaust VOC emissions in milligrams/mile
Yvoc(t) = Exhaust VOC performance of the target fuel in terms 
          of percentage change from baseline
VOC(b) = Baseline exhaust VOC emissions as defined in paragraph (b)(2) 
          of this section for the appropriate Phase and season
Nv = [exp v1(t)]/[exp v1(b)]
Hv = [exp v2(t)]/[exp v2(b)]
w1 = Weighting factor for normal emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase
w2 = Weighting factor for higher emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase
v1(t) = Normal emitter VOC equation as defined in paragraph 
          (c)(1)(i) of this section, evaluated using the target fuel's 
          properties subject to paragraphs (c)(1) (iii) and (iv) of this 
          section
v2(t) = Higher emitter VOC equation as defined in paragraph 
          (c)(1)(ii) of this section, evaluated using the target fuel's 
          properties subject to paragraphs (c)(1) (iii) and (iv) of this 
          section
v1(b) = Normal emitter VOC equation as defined in paragraph 
          (c)(1)(i) of this section, evaluated using the base fuel's 
          properties
v2(b) = Higher emitter VOC equation as defined in paragraph 
          (c)(1)(ii) of this section, evaluated using the base fuel's 
          properties

    (i) Consolidated VOC equation for normal emitters.

v1 = (-0.003641 x OXY) + (0.0005219 x SUL) + (0.0289749 x 
RVP) + (-0.014470 x E200) + (-0.068624 x E300) + (0.0323712 x ARO) + (-
0.002858 x OLE) + (0.0001072 x E2002) + (0.0004087 x E3002) + (-
0.0003481 x ARO x E300)

    (ii) VOC equation for higher emitters.


[[Page 48]]


v2 = (-0.003626 x OXY) + (-5.40 x 10-5 x SUL) + 
(0.043295 x RVP) + (-0.013504 x E200) + (-0.062327 x E300) + (0.0282042 
x ARO) + (-0.002858 x OLE) + (0.000106 x E200\2\) + (0.000408 x E300\2\) 
+ (-0.000287 x ARO x E300)

    (iii) Flat line extrapolations. (A) During Phase I, fuels with E200 
values greater than 65.83 percent shall be evaluated with the E200 fuel 
parameter set equal to 65.83 percent when calculating Yvoc(t) 
and VOCE using the equations described in paragraphs (c)(1) (i) and (ii) 
of this section. Fuels with E300 values greater than E300* (calculated 
using the equation E300* = 80.32 + [0.390 x ARO]) shall be evaluated 
with the E300 parameter set equal to E300* when calculating VOCE using 
the equations described in paragraphs (c)(1) (i) and (ii) of this 
section. For E300* values greater than 94, the linearly extrapolated 
model presented in paragraph (c)(1)(iv) of this section shall be used.
    (B) During Phase II, fuels with E200 values greater than 65.52 
percent shall be evaluated with the E200 fuel parameter set equal to 
65.52 percent when calculating VOCE using the equations described in 
paragraphs (c)(1) (i) and (ii) of this section. Fuels with E300 values 
greater than E300* (calculated using the equation E300* = 79.75 + [0.385 
x ARO]) shall be evaluated with the E300 parameter set equal to E300* 
when calculating VOCE using the equations described in paragraphs (c)(1) 
(i) and (ii) of this section. For E300* values greater than 94, the 
linearly extrapolated model presented in paragraph (c)(1)(iv) of this 
section shall be used.
    (C) During Phase II, fuels with an oxygen concentration greater than 
4.0 weight percent and not more than 5.8 weight percent shall be 
evaluated with the OXY fuel parameter set equal to 4.0 percent by weight 
when calculating VOCE using the equations described in paragraphs 
(c)(1)(i) and (c)(1)(ii) of this section.
    (iv) Linear extrapolations. (A) The equations in paragraphs (c)(1) 
(i) and (ii) of this section shall be used within the allowable range of 
E300, E200, and ARO for the appropriate Phase, as defined in table 6:

 Table 6--Allowable Ranges of E200, E300, and ARO for the Exhaust VOC Equations in Paragraphs (c)(1)(i) and (ii)
                                                 of This Section
----------------------------------------------------------------------------------------------------------------
                                                        Phase I                            Phase II
                                         -----------------------------------------------------------------------
             Fuel parameter                Lower                               Lower
                                           limit          Higher limit         limit          Higher limit
----------------------------------------------------------------------------------------------------------------
E200....................................    33.00  65.83....................    33.00  65.52
E300....................................    72.00  Variable \1\.............    72.00  Variable \2\
ARO.....................................    18.00  46.00....................    18.00  46.00
----------------------------------------------------------------------------------------------------------------
\1\ Higher E300 limit = lower of 94.0 or 80.32 + [0.390 x (ARO)].
\2\ Higher E300 limit = lower of 94.0 or 79.75 + [0.385 x (ARO)].

    (B) For fuels with E200, E300 and/or ARO levels outside the ranges 
defined in table 6, YVOC(t) shall be defined:
    (1) For Phase I:

YVOC(t) = 100% x 0.52 x [exp(v1(et)) / 
exp(v1(b)) - 1] + 100% x 0.48 x [exp(v2(et)) / 
exp(v2(b)) - 1] + {100% x 0.52 x [exp(v\1\(et)) / 
exp(v1(b))] x [{[(0.0002144 x E200et) - 0.014470] 
x [Delta]E200{time}  + {[(0.0008174 x E300et) - 0.068624 - 
(0.000348 x AROet)] x [Delta]E300{time}  + {[(-0.000348 x 
E300et) + .0323712] x [Delta]ARO{time} ]{time}  + {100% x 
0.48 x [exp(v1(et)) / exp(v2(b)){time} ] x 
[{[(0.000212 x E200et) - 0.01350] x [Delta]E200{time}  + 
{[(0.000816 x E300et) - 0.06233 - (0.00029 x 
AROet)] x [Delta]E300{time}  + {[(-0.00029 x E300{time} ) + 
0.028204] x [Delta]ARO{time} ]{time} 

    (2) For Phase II:

YVOC(t) = 100% x 0.444 x [exp(v1(et)) / 
exp(v1(b)) - 1] + 100% x 0.556 x [exp(v2(et)) / 
exp(v2(b)) - 1] + {100% x 0.444 x [exp(v1(et)) / 
exp(v1(b))] x [{[(0.0002144 x E200et) - 0.014470] 
x [Delta]E200{time}  + {[(0.0008174 x E300et) - 0.068624 - 
(0.000348 x AROet)] x [Delta]E300{time}  + {[(-0.000348 x 
E300et) + 0.0323712] x [Delta]ARO{time} ]{time}  + {100% x 
0.556 x [exp(v2(et)) / exp(v2(b))] x [{[(0.000212 
x E200et) - 0.01350] x [Delta]E200{time}  + {[(0.000816 x 
E300et) - 0.06233 - (0.00029 x AROet)] x 
[Delta]E300{time}  + {[(-0.00029 x E300et) + 0.028204] x 
[Delta]ARO{time} ]{time} 

    (C) During Phase I, the ``edge target'' fuel shall be identical to 
the target fuel for all fuel parameters, with the following exceptions:
    (1) If the E200 level of the target fuel is less than 33 volume 
percent, then the E200 value for the ``edge target'' fuel shall be set 
equal to 33 volume percent.

[[Page 49]]

    (2) If the aromatics level of the target fuel is less than 18 volume 
percent, then the ARO value for the ``edge target'' fuel shall be set 
equal to 18 volume percent.
    (3) If the aromatics level of the target fuel is greater than 46 
volume percent, then the ARO value for the ``edge target'' fuel shall be 
set equal to 46 volume percent.
    (4) If the E300 level of the target fuel is less than 72 volume 
percent, then the E300 value for the ``edge target'' fuel shall be set 
equal to 72 volume percent.
    (5) If the E300 level of the target fuel is greater than 95 volume 
percent, then the E300 value of the target fuel shall be set equal to 95 
volume percent for the purposes of calculating VOC emissions with the 
Phase I equation given in paragraph (c)(1)(iv)(B) of this section.
    (6) If [80.32 + (0.390 x ARO)] exceeds 94 for the target fuel, and 
the target fuel value for E300 exceeds 94, then the E300 value for the 
``edge target'' fuel shall be set equal to 94 volume percent.
    (7) If the E200 level of the target fuel is less than 33 volume 
percent, then [Delta]E200 shall be set equal to (E200-33 volume 
percent).
    (8) If the E200 level of the target fuel equals or exceeds 33 volume 
percent, then [Delta]E200 shall be set equal to zero.
    (9) If the aromatics level of the target fuel is less than 18 volume 
percent, then [Delta]ARO shall be set equal to (ARO-18 volume percent). 
If the aromatics level of the target fuel is less than 10 volume 
percent, then [Delta]ARO shall be set equal to -8 volume percent.
    (10) If the aromatics level of the target fuel is greater than 46 
volume percent, then [Delta]ARO shall be set equal to (ARO-46 volume 
percent).
    (11) If neither of the conditions established in paragraphs 
(c)(1)(iv)(C)(9) and (10) of this section are met, then [Delta]ARO shall 
be set equal to zero.
    (12) If the E300 level of the target fuel is less than 72 percent, 
then [Delta]E300 shall be set equal to (E300-72 percent).
    (13) If the E300 level of the target fuel is greater than 94 volume 
percent and [80.32 + (0.390xARO)] also is greater than 94, then 
[Delta]E300 shall be set equal to (E300-94 volume percent). If the E300 
level of the target fuel is greater than 95 volume percent and [80.32 + 
(0.390 x ARO)] also is greater than 94, then [Delta]E300 shall be set 
equal to 1 volume percent.
    (14) If neither of the conditions established in paragraphs 
(c)(1)(iv)(C)(12) and (13) of this section are met, then [Delta]E300 
shall be set equal to zero.
    (D) During Phase II, the ``edge target'' fuel is identical to the 
target fuel for all fuel parameters, with the following exceptions:
    (1) If the E200 level of the target fuel is less than 33 volume 
percent, then the E200 value for the ``edge target'' fuel shall be set 
equal to 33 volume percent.
    (2) If the aromatics level of the target fuel is less than 18 volume 
percent, then the ARO value for the ``edge target'' fuel shall be set 
equal to 18 volume percent.
    (3) If the aromatics level of the target fuel is greater than 46 
volume percent, then the ARO value for the ``edge target'' fuel shall be 
set equal to 46 volume percent.
    (4) If the E300 level of the target fuel is less than 72 volume 
percent, then the E300 value for the ``edge target'' fuel shall be set 
equal to 72 volume percent.
    (5) If the E300 level of the target fuel is greater than 95 volume 
percent, then the E300 value of the target fuel shall be set equal to 95 
volume percent for the purposes of calculating VOC emissions with the 
Phase II equation given in paragraph (c)(1)(iv)(B) of this section.
    (6) If [79.75 + (0.385 x ARO)] exceeds 94 for the target fuel, and 
the target fuel value for E300 exceeds 94, then the E300 value for the 
``edge target'' fuel shall be set equal to 94 volume percent.
    (7) If the E200 level of the target fuel is less than 33 volume 
percent, then [Delta]E200 shall be set equal to (E200-33 volume 
percent).
    (8) If the E200 level of the target fuel equals or exceeds 33 volume 
percent, then [Delta]E200 shall be set equal to zero.
    (9) If the aromatics level of the target fuel is less than 18 volume 
percent and greater than or equal to 10 volume percent, then [Delta]ARO 
shall be set equal to (ARO-18 volume percent). If the aromatics level of 
the target fuel is less than 10 volume percent, then [Delta]ARO shall be 
set equal to -8 volume percent.

[[Page 50]]

    (10) If the aromatics level of the target fuel is greater than 46 
volume percent, then [Delta]ARO shall be set equal to (ARO - 46 volume 
percent).
    (11) If neither of the conditions established in paragraphs 
(c)(1)(iv)(D)(9) and (10) of this section are met, then [Delta]ARO shall 
be set equal to zero.
    (12) If the E300 level of the target fuel is less than 72 percent, 
then [Delta]E300 shall be set equal to (E300 - 72 percent).
    (13) If the E300 level of the target fuel is greater than 94 volume 
percent and (79.75 + (0.385 x ARO)) also is greater than 94, then 
[Delta]E300 shall be set equal to (E300 - 94 volume percent). If the 
E300 level of the target fuel is greater than 95 volume percent and 
(79.75 + (0.385 x ARO)) also is greater than 94, then ``E300 shall be 
set equal to 1 volume percent.
    (2) The winter exhaust VOC emissions performance of gasolines shall 
be given by the equations presented in paragraph (c)(1) of this section 
with the RVP value set to 8.7 psi for both the baseline and target 
fuels.
    (3) The nonexhaust VOC emissions performance of gasolines in VOC 
Control Region 1 shall be given by the following equations, where:

VOCNE1 = Total nonexhaust emissions of volatile organic compounds in VOC 
          Control Region 1 in grams per mile
VOCDI1 = Diurnal emissions of volatile organic compounds in VOC Control 
          Region 1 in grams per mile
VOCHS1 = Hot soak emissions of volatile organic compounds in VOC Control 
          Region 1 in grams per mile
VOCRL1 = Running loss emissions of volatile organic compounds in VOC 
          Control Region 1 in grams per mile
VOCRF1 = Refueling emissions of volatile organic compounds in VOC 
          Control Region 1 in grams per mile

    (i) During Phase I:

VOCNE1 = VOCDI1 + VOCHS1 + VOCRL1 + VOCRF1
VOCDI1 = [0.00736 x (RVP\2\)] - [0.0790 x RVP] + 0.2553
VOCHS1 = [0.01557 x (RVP\2\)] - [0.1671 x RVP] + 0.5399
VOCRL1 = [0.00279 x (RVP\2\)] + [0.1096 x RVP] - 0.7340
VOCRF1 = [0.006668 x RVP] - 0.0180

    (ii) During Phase II:

VOCNE1 = VOCDI1 + VOCHS1 + VOCRL1 + VOCRF1
VOCDI1 = [0.007385 x (RVP\2\)] - [0.08981 x RVP] + 0.3158
VOCHS1 = [0.006654 x (RVP\2\)] - [0.08094 x RVP] + 0.2846
VOCRL1 = [0.017768 x (RVP\2\)] - [0.18746 x RVP] + 0.6146
VOCRF1 = [0.004767 x RVP] + 0.011859

    (4) The nonexhaust VOC emissions performance of gasolines in VOC 
Control Region 2 shall be given by the following equations, where:

VOCNE2 = Total nonexhaust emissions of volatile organic compounds in VOC 
          Control Region 2 in grams per mile
VOCDI2 = Diurnal emissions of volatile organic compounds in VOC Control 
          Region 2 in grams per mile
VOCHS2 = Hot soak emissions of volatile organic compounds in VOC Control 
          Region 2 in grams per mile
VOCRL2 = Running loss emissions of volatile organic compounds in VOC 
          Control Region 2 in grams per mile
VOCRF2 = Refueling emissions of volatile organic compounds in VOC 
          Control Region 2 in grams per mile

    (i) During Phase I:

VOCNE2 = VOCDI2 + VOCHS2 + VOCRL2 + VOCRF2
VOCDI2 = [0.006818 x (RVP\2\)] - [0.07682 x RVP] + 0.2610
VOCHS2 = [0.014421 x (RVP\2\)] - [0.16248 x RVP] + 0.5520
VOCRL2 = [0.016255 x (RVP\2\)] - [0.1306 x RVP] + 0.2963
VOCRF2 = [0.006668 x RVP] - 0.0180

    (ii) During Phase II:

VOCNE2 = VOCDI2 + VOCHS2 + VOCRL2 + VOCRF2
VOCDI2 = [0.004775 x (RVP\2\)] - [0.05872 x RVP] + 0.21306
VOCHS2 = [0.006078 x (RVP\2\)] - [0.07474 x RVP] + 0.27117
VOCRL2 = [0.016169 x (RVP\2\)] - [0.17206 x RVP] + 0.56724
VOCRF2 = [0.004767 x RVP] + 0.011859

    (5) Winter VOC emissions shall be given by VOCE, as defined in 
paragraph (c)(2) of this section, using the appropriate baseline 
emissions given in paragraph (b)(3) of this section. Total nonexhaust 
VOC emissions shall be set equal to zero under winter conditions.
    (6) Total VOC emissions. (i) Total summer VOC emissions shall be 
given by the following equations:

VOCS1 = (VOCE / 1000) + VOCNE1
VOCS2 = (VOCE / 1000) + VOCNE2

[[Page 51]]

VOCS1 = Total summer VOC emissions in VOC Control Region 1 in terms of 
          grams per mile
VOCS2 = Total summer VOC emissions in VOC Control Region 2 in terms of 
          grams per mile

    (ii) Total winter VOC emissions shall be given by the following 
equations:

VOCW = (VOCE/1000)
VOCW = Total winter VOC emissions in terms of grams per mile

    (7) Phase I total VOC emissions performance. (i) The total summer 
VOC emissions performance of the target fuel in percentage terms from 
baseline levels shall be given by the following equations during Phase 
I:

VOCS1% = [100% x (VOCS1-1.306 g/mi)]/(1.306 g/mi)
VOCS2% = [100% x (VOCS2-1.215 g/mi)]/(1.215 g/mi)
VOC1% = Percentage change in VOC emissions from baseline levels in VOC 
Control Region 1
VOC2% = Percentage change in VOC emissions from baseline levels in VOC 
Control Region 2

    (ii) The total winter VOC emissions performance of the target fuel 
in percentage terms from baseline levels shall be given by the following 
equations during Phase I:

VOCW% = [100% x (VOCW-0.660 g/mi)]/(0.660 g/mi)
VOCW% = Percentage change in winter VOC emissions from baseline levels

    (8) Phase II total VOC emissions performance. (i) The total summer 
VOC emissions performance of the target fuel in percentage terms from 
baseline levels shall be given by the following equations during Phase 
II:

VOCS1% = [100% x (VOCS1-1.4663 g/mi)]/(1.4663 g/mi)
VOCS2% = [100% x (VOCS2-1.3991 g/mi)]/(1.3991 g/mi)

    (ii) The total winter VOC emissions performance of the target fuel 
in percentage terms from baseline levels shall be given by the following 
equation during Phase II:

VOCW% = [100% x (VOC -1.341 g/mi)] / (1.341 g/mi)

    (d) NOX performance. (1) The summer NOX 
emissions performance of gasolines shall be given by the following 
equations:

NOX = NOX(b) + [NOX(b) x Y(t)/100]
YNOX(t) = [lsqbb](w1 x Nn) + 
(w2 x Hn)-1[rsqbb] x 100

where

NOX = NOX emissions in milligrams/mile
YNOx(t) = NOX performance of target fuel in terms 
          of percentage change from baseline
NOX(b) = Baseline NOX emissions as defined in 
          paragraph (b)(2) of this section for the appropriate phase and 
          season
Nn = exp n1(t)/exp n1(b)
Hn = exp n2(t)/exp n2(b)
w1 = Weighting factor for normal emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase
w2 = Weighting factor for higher emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase
n1(t) = Normal emitter NOX equation as defined in 
          paragraph (d)(1)(i) of this section, evaluated using the 
          target fuel's properties subject to paragraphs (d)(1)(iii) and 
          (iv) of this section
n2(t) = Higher emitter NOX equation as defined in 
          paragraph (d)(1)(ii) of this section, evaluated using the 
          target fuel's properties subject to paragraphs (d)(1)(iii) and 
          (iv) of this section
n1(b) = Normal emitter NOX equation as defined in 
          paragraph (d)(1)(i) of this section, evaluated using the base 
          fuel's properties
n2(b) = Higher emitter NOX equation as defined in 
          paragraph (d)(1)(ii) of this section, evaluated using the base 
          fuel's properties

    (i) Consolidated equation for normal emitters.

n1 = (0.0018571 x OXY) + (0.0006921 x SUL) + (0.0090744 x 
RVP) + (0.0009310 x E200) + (0.0008460 x E300) + (0.0083632 x ARO) + (-
0.002774 x OLE) + (-6.63 x 10-7 x SUL\2\) + (-0.000119 x 
ARO\2\) + (0.0003665 x OLE\2\)

    (ii) Equation for higher emitters.

n2 = (-0.00913 x OXY) + (0.000252 x SUL) + (-0.01397 x RVP) + 
(0.000931 x E200) + (-0.00401 x E300) + (0.007097 x ARO) + (-0.00276 x 
OLE) + (0.0003665 x OLE\2\) + (-7.995 x 10-5 x ARO\2\)

    (iii) Flat line extrapolations. (A) During Phase I, fuels with 
olefin levels less than 3.77 volume percent shall be evaluated with the 
OLE fuel parameter set equal to 3.77 volume percent when calculating 
NOX performance using the

[[Page 52]]

equations described in paragraphs (d)(1)(i) and (ii) of this section. 
Fuels with aromatics levels greater than 36.2 volume percent shall be 
evaluated with the ARO fuel parameter set equal to 36.2 volume percent 
when calculating NOX performance using the equations 
described in paragraphs (d)(1)(i) and (ii) of this section.
    (B) During Phase II, fuels with olefin levels less than 3.77 volume 
percent shall be evaluated with the OLE fuel parameter set equal to 3.77 
volume percent when calculating NOX performance using the 
equations described in paragraphs (d)(1)(i) and (ii) of this section. 
Fuels with aromatics levels greater than 36.8 volume percent shall be 
evaluated with the ARO fuel parameter set equal to 36.8 volume percent 
when calculating NOX performance using the equations 
described in paragraphs (d)(1)(i) and (ii) of this section.
    (iv) Linear extrapolations. (A) The equations in paragraphs 
(d)(1)(i) and (ii) of this section shall be used within the allowable 
range of SUL, OLE, and ARO for the appropriate Phase, as defined in the 
following table 7:

 Table 7--Allowable Ranges of SUL, OLE, and ARO for the NOX Equations in
              Paragraphs/(d)(1)(i) and (ii) of This Section
------------------------------------------------------------------------
                                         Phase I            Phase II
                                   -------------------------------------
          Fuel parameter                        High               High
                                     Low end    end     Low end    end
------------------------------------------------------------------------
SUL...............................     10.0     450.0     10.0     450.0
OLE...............................      3.77     19.0      3.77     19.0
ARO...............................     18.0      36.2     18.0      36.8
------------------------------------------------------------------------

    (B) For fuels with SUL, OLE, and/or ARO levels outside the ranges 
defined in Table 7 of paragraph (d)(1)(iv)(A) of this section, 
YNOx(t) shall be defined as:

(1) For Phase I:

YNOx(t) = 100% x 0.82 x [exp(n1(et))/
exp(n1(b)) - 1]
 + 100% x 0.18 x [exp(n2(et))/exp(n2(b)) - 1]
 + {100% x 0.82 x [exp(n1(et))/exp(n1(b))] x [{[(-
0.00000133 x SULet) + 0.000692] x [Delta]SUL{time} 
 + {[(-0.000238 x AROet) + 0.0083632] x [Delta]ARO{time} 
 + {[(0.000733 x OLEet) - 0.002774] x 
[Delta]OLE{time} ]{time} 
 + {100% x 0.18 x [exp(n2(et))/exp(n2(b))]
 x [{0.000252 x [Delta]SUL{time}  +
 + {[(-0.0001599 x AROet) + 0.007097] x [Delta]ARO{time} 
 + {[(0.000732 x OLEet) - 0.00276] x 
[Delta]OLE{time} ]{time} 

    (2) For Phase II:

YNOX(t) = 100% x 0.738 x [exp(n1(et))/
exp(n1(b)) - 1]
 + 100% x 0.262 x [exp(n2(et)/exp(n2(b)) - 1]
 + [100% x 0.738 x [exp(n1(et))/exp(n1(b))]
 x [{[(-0.00000133 x SULet) + 0.000692] x [Delta]SUL{time} 
 + {[(-0.000238 x AROet) + 0.0083632] x [Delta]ARO{time} 
 + {[(0.000733 x OLEet) - 0.002774] x 
[Delta]OLE{time} ]{time} 
 + {100% x 0.262 x [exp(n2(et))/exp(n2(b))]
 x [{0.000252 x [Delta]SUL{time}  +
 x [{(-0.0001599 x AROet) + 0.007097] x [Delta]ARO{time} 
 + {[(0.000732 x OLEet) - 0.00276] x 
[Delta]OLE{time} ]{time} 


Where:

n1, n2 = The equations defined in paragraphs 
(d)(1) (i) and (ii) of this section.
et = Collection of fuel parameters for the ``edge target'' fuel. These 
parameters are defined in paragraphs (d)(1)(iv) (C) and (D) of this 
section.
n1(et) = The function n1 evaluated with ``edge 
target'' fuel parameters, which are defined in paragraph (d)(1)(iv)(C) 
of this section.
n2(et) = The function n2 evaluated with ``edge 
target'' fuel parameters, which are defined in paragraph (d)(1)(iv)(C) 
of this section.
n1(b) = The function n1 evaluated with the 
appropriate baseline fuel parameters defined in paragraph (b)(2) of this 
section.
n2(b) = The function n2 evaluated with the 
appropriate baseline fuel parameters defined in paragraph (b)(2) of this 
section.
SULet = The value of SUL for the ``edge target'' fuel, as 
defined in paragraph (d)(1)(iv)(C) of this section.
AROet = The value of ARO for the ``edge target'' fuel, as 
defined in paragraph (d)(1)(iv)(C) of this section.
OLEet = The value of OLE for the ``edge target'' fuel, as 
defined in paragraph (d)(1)(iv)(C) of this section.

    (C) For both Phase I and Phase II, the ``edge target'' fuel is 
identical to the

[[Page 53]]

target fuel for all fuel parameters, with the following exceptions:
    (1) If the sulfur level of the target fuel is less than 10 parts per 
million, then the value of SUL for the ``edge target'' fuel shall be set 
equal to 10 parts per million.
    (2) If the sulfur level of the target fuel is greater than 450 parts 
per million, then the value of SUL for the ``edge target'' fuel shall be 
set equal to 450 parts per million.
    (3) If the aromatics level of the target fuel is less than 18 volume 
percent, then the value of ARO for the ``edge target'' fuel shall be set 
equal to 18 volume percent.
    (4) If the olefins level of the target fuel is greater than 19 
volume percent, then the value of OLE for the ``edge target'' fuel shall 
be set equal to 19 volume percent.
    (5) If the E300 level of the target fuel is greater than 95 volume 
percent, then the E300 value of the target fuel shall be set equal to 95 
volume percent for the purposes of calculating NOX emissions 
with the equations given in paragraph (d)(1)(iv)(B) of this section.
    (6) If the sulfur level of the target fuel is less than 10 parts per 
million, then [Delta]SUL shall be set equal to (SUL-10 parts per 
million).
    (7) If the sulfur level of the target fuel is greater than 450 parts 
per million, then [Delta]SUL shall be set equal to (SUL-450 parts per 
million).
    (8) If the sulfur level of the target fuel is neither less than 10 
parts per million nor greater than 450 parts per million, [Delta]SUL 
shall be set equal to zero.
    (9) If the aromatics level of the target fuel is less than 18 volume 
percent and greater than 10 volume percent, then [Delta]ARO shall be set 
equal to (ARO-18 volume percent). If the aromatics level of the target 
fuel is less than 10 volume percent, then [Delta]ARO shall be set equal 
to -8 volume percent.
    (10) If the aromatics level of the target fuel is greater than or 
equal to 18 volume percent, then [Delta]ARO shall be set equal to zero.
    (11) If the olefins level of the target fuel is greater than 19 
volume percent, then [Delta]OLE shall be set equal to (OLE-19 volume 
percent).
    (12) If the olefins level of the target fuel is less than or equal 
to 19 volume percent, then [Delta]OLE shall be set equal to zero.
    (2) The winter NOX emissions performance of gasolines 
shall be given by the equations presented in paragraph (d)(1) of this 
section with the RVP value set to 8.7 psi.
    (3) The NOX emissions performance of the target fuel in 
percentage terms from baseline levels shall be given by the following 
equations:

For Phase I:

Summer NOX% = [100% x (NOX-0.660 g/mi)]/(0.660 g/
mi)
Winter NOX% = [100% x (NOX-0.750 g/mi)]/(0.750 g/
mi)


For Phase II:

Summer NOX% = [100% x (NOX-1.340 g/mi)]/(1.340 g/
mi)
Winter NOX% = [100% x (NOX-1.540 g/mi)]/(1.540 g/
mi)
Summer NOX% = Percentage change in NOX emissions 
from summer baseline levels
Winter NOX% = Percentage change in NOX emissions 
from winter baseline levels

    (e) Toxics performance--(1) Summer toxics performance. (i) Summer 
toxic emissions performance of gasolines in VOC Control Regions 1 and 2 
shall be given by the following equations:

TOXICS1 = EXHBZ + FORM + ACET + BUTA + POM + NEBZ1
TOXICS2 = EXHBZ + FORM + ACET + BUTA + POM + NEBZ2

where

TOXICS1 = Summer toxics performance in VOC Control Region 1 in terms of 
          milligrams per mile.
TOXICS2 = Summer toxics performance in VOC Control Region 2 in terms of 
          milligrams per mile.
EXHBZ = Exhaust emissions of benzene in terms of milligrams per mile, as 
          determined in paragraph (e)(4) of this section.
FORM = Emissions of formaldehyde in terms of milligrams per mile, as 
          determined in paragraph (e)(5) of this section.
ACET = Emissions of acetaldehyde in terms of milligrams per mile, as 
          determined in paragraph (e)(6) of this section.
BUTA = Emissions of 1,3-butadiene in terms of milligrams per mile, as 
          determined in paragraph (e)(7) of this section.

[[Page 54]]

POM = Polycyclic organic matter emissions in terms of milligrams per 
          mile, as determined in paragraph (e)(8) of this section.
NEBZ1 = Nonexhaust emissions of benzene in VOC Control Region 1 in 
          milligrams per mile, as determined in paragraph (e)(9) of this 
          section.
NEBZ2 = Nonexhaust emissions of benzene in VOC Control Region 2 in 
          milligrams per mile, as determined in paragraph (e)(10) of 
          this section.

    (ii) The percentage change in summer toxics performance in VOC 
Control Regions 1 and 2 shall be given by the following equations:

For Phase I:

TOXICS1% = [100% x (TOXICS1 -48.61 mg/mi)]/(48.61 mg/mi)
TOXICS2% = [100% x (TOXICS2 - 47.58 mg/mi)] / (47.58 mg/mi)


For Phase II:

TOXICS1% = [100% x (TOXICS1 - 86.34 mg/mi)] / (86.34 mg/mi)
TOXICS2% = [100% x (TOXICS2 - 85.61 mg/mi)]/(85.61 mg/mi)

where

TOXICS1% = Percentage change in summer toxics emissions in VOC Control 
          Region 1 from baseline levels.
TOXICS2% = Percentage change in summer toxics emissions in VOC Control 
          Region 2 from baseline levels.

    (2) Winter toxics performance. (i) Winter toxic emissions 
performance of gasolines in VOC Control Regions 1 and 2 shall be given 
by the following equation, evaluated with the RVP set at 8.7 psi:

TOXICW = [EXHBZ + FORM + ACET + BUTA + POM]

where

TOXICW = Winter toxics performance in VOC Control Regions 1 and 2 in 
          terms of milligrams per mile.
EXHBZ = Exhaust emissions of benzene in terms of milligrams per mile, as 
          determined in paragraph (e)(4) of this section.
FORM = Emissions of formaldehyde in terms of milligrams per mile, as 
          determined in paragraph (e)(5) of this section.
ACET = Emissions of acetaldehyde in terms of milligrams per mile, as 
          determined in paragraph (e)(6) of this section.
BUTA = Emissions of 1,3-butadiene in terms of milligrams per mile, as 
          determined in paragraph (e)(7) of this section.
POM = Polycyclic organic matter emissions in terms of milligrams per 
          mile, as determined in paragraph (e)(8) of this section.

    (ii) The percentage change in winter toxics performance in VOC 
Control Regions 1 and 2 shall be given by the following equation:

For Phase I:

TOXICW% = [100% x (TOXICW-58.36 mg/mi)] / (58.36 mg/mi)


For Phase II:

TOXICW% = [100% x (TOXICW-120.55 mg/mi)] / (120.55 mg/mi)

where

TOXICW% = Percentage change in winter toxics emissions in VOC Control 
          Regions 1 and 2 from baseline levels.

    (3) The year-round toxics performance in VOC Control Regions 1 and 2 
shall be derived from volume-weighted performances of individual batches 
of fuel as described in Sec.  80.67(g).
    (4) Exhaust benzene emissions shall be given by the following 
equation, subject to paragragh (e)(4)(iii) of this section:

EXHBZ = BENZ(b) + (BENZ(b) x YBEN(t)/100)
YBEN(t) = [lsqbb](w1 x Nb) + 
(w2 x Hb) - 1[rsqbb] x 100

where

EXHBZ = Exhaust benzene emissions in milligrams/mile
YBEN(t) = Benzene performance of target fuel in terms of 
          percentage change from baseline.
BENZ(b) = Baseline benzene emissions as defined in paragraph (b)(2) of 
          this section for the appropriate phase and season.
Nb = exp b1(t)/exp b1(b)
Hb = exp b2(t)/exp b2(b)
w1 = Weighting factor for normal emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase.
w2 = Weighting factor for higher emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase.
b1(t) = Normal emitter benzene equation, as defined in 
          paragraph (e)(4)(i) of this section, evaluated using the 
          target fuel's properties subject to paragraph (e)(4)(iii) of 
          this section.
b2(t) = Higher emitter benzene equation as defined in 
          paragraph (e)(4)(ii) of this section, evaluated using the 
          target fuel's properties subject to paragraph (e)(4)(iii) of 
          this section.
b1(b) = Normal emitter benzene equation as defined in 
          paragraph (e)(4)(i) of this section, evaluated for the base 
          fuel's properties.

[[Page 55]]

b2(b) = Higher emitter benzene equation, as defined in 
          paragraph (e)(4)(ii) of this section, evaluated for the base 
          fuel's properties.

    (i) Consolidated equation for normal emitters.

b1 = (0.0006197 x SUL) + (-0.003376 x E200) + (0.0265500 x 
ARO) + (0.2223900 x BEN)

    (ii) Equation for higher emitters.

b2 = (-0.096047 x OXY) + (0.0003370 x SUL) + (0.0112510 x 
E300) + (0.0118820 x ARO) + (0.2223180 x BEN)

    (iii) If the aromatics value of the target fuel is less than 10 
volume percent, then an aromatics value of 10 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(4) (i) and 
(ii) of this section. If the E300 value of the target fuel is greater 
than 95 volume percent, then an E300 value of 95 volume percent shall be 
used when evaluating the equations in paragraphs (e)(4)(i) and (ii) of 
this section.
    (5) Formaldehyde mass emissions shall be given by the following 
equation, subject to paragraphs (e)(5) (iii) and (iv) of this section:

FORM = FORM(b) + (FORM(b) x YFORM(t) / 100)
YFORM(t) = [(w1 x Nf) + (w2 
x Hf) - 1] x 100

where

FORM = Exhaust formaldehyde emissions in terms of milligrams/mile.
YFORM(t) = Formaldehyde performance of target fuel in terms 
          of percentage change from baseline.
FORM(b) = Baseline formaldehyde emissions as defined in paragraph (b)(2) 
          of this section for the appropriate Phase and season.
Nf = exp f1(t)/exp f1(b)
Hf = exp f2(t)/exp f2(b)
w1 = Weighting factor for normal emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase.
w2 = Weighting factor for higher emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase.
f1(t) = Normal emitter formaldehyde equation as defined in 
          paragraph (e)(5)(i) of this section, evaluated using the 
          target fuel's properties subject to paragraphs (e)(5) (iii) 
          and (iv) of this section.
f2(t) = Higher emitter formaldehyde equation as defined in 
          paragraph (e)(5)(ii) of this section, evaluated using the 
          target fuel's properties subject to paragraphs (e)(5) (iii) 
          and (iv) of this section.
f1(b) = Normal emitter formaldehyde equation as defined in 
          paragraph (e)(5)(i) of this section, evaluated for the base 
          fuel's properties.
f2(b) = Higher emitter formaldehyde equation as defined in 
          paragraph (e)(5)(ii) of this section, evaluated for the base 
          fuel's properties.

    (i) Consolidated equation for normal emitters.

f1 = (-0.010226 x E300) + (-0.007166 x ARO) + (0.0462131 x 
MTB)

    (ii) Equation for higher emitters.

f2 = (-0.010226 x E300) + (-0.007166 x ARO) + (-0.031352 x 
OLE) + (0.0462131 x MTB)

    (iii) If the aromatics value of the target fuel is less than 10 
volume percent, then an aromatics value of 10 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(5) (i) and 
(ii) of this section. If the E300 value of the target fuel is greater 
than 95 volume percent, then an E300 value of 95 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(5) (i) and 
(ii) of this section.
    (iv) When calculating formaldehyde emissions and emissions 
performance, oxygen in the form of alcohols which are more complex or 
have higher molecular weights than ethanol shall be evaluated as if it 
were in the form of ethanol. Oxygen in the form of methyl ethers other 
than TAME and MTBE shall be evaluated as if it were in the form of MTBE. 
Oxygen in the form of ethyl ethers other than ETBE shall be evaluated as 
if it were in the form of ETBE. Oxygen in the form of non-methyl, non-
ethyl ethers shall be evaluated as if it were in the form of ETBE. 
Oxygen in the form of methanol or non-alcohol, non-ether oxygenates 
shall not be evaluated with the Complex Model, but instead must be 
evaluated through vehicle testing per Sec.  80.48.
    (6) Acetaldehyde mass emissions shall be given by the following 
equation, subject to paragraphs (e)(6) (iii) and (iv) of this section:

ACET = ACET(b) + (ACET(b) x YACET(t)/100)
YACET(t) = [(w1 x Na) + (w2 
x Ha)-1] x 100

where


[[Page 56]]


ACET = Exhaust acetaldehyde emissions in terms of milligrams/mile
YACET(t) = Acetaldehyde performance of target fuel in terms 
          of percentage change from baseline
ACET(b) = Baseline acetaldehyde emissions as defined in paragraph (b)(2) 
          of this section for the appropriate phase and season
Na = exp a1(t)/exp a1(b)
Ha = exp a2(t)/exp a2(b)
w1 = Weighting factor for normal emitters as defined in 
          paragraph (b)(1) of this section for the appropriate phase
w2 = Weighting factor for higher emitters as defined in 
          paragraph (b)(1) of this section for the appropriate phase
a1(t) = Normal emitter acetaldehyde equation as defined in 
          paragraph (e)(6)(i) of this section, evaluated using the 
          target fuel's properties, subject to paragraphs (e)(6) (iii) 
          and (iv) of this section
a2(t) = Higher emitter acetaldehyde equation as defined in 
          paragraph (e)(6)(ii) of this section, evaluated using the 
          target fuel's properties, subject to paragraphs (e)(6) (iii) 
          and (iv) of this section
a1(b) = Normal emitter acetaldehyde equation as defined in 
          paragraph (e)(6)(i) of this section, evaluated for the base 
          fuel's properties
f2(b) = Higher emitter acetaldehyde equation as defined in 
          paragraph (e)(6)(ii) of this section, evaluated for the base 
          fuel's properties

    (i) Consolidated equation for normal emitters.

a1 = (0.0002631 x SUL) + (0.0397860 x RVP) + (-0.012172 x 
E300) + (-0.005525 x ARO) + (-0.009594 x MTB) + (0.3165800 x ETB) + 
(0.2492500 x ETH)

    (ii) Equation for higher emitters.

a2 = (0.0002627 x SUL) + (-0.012157 x E300) + (-0.005548 x 
ARO) + (-0.055980 x MTB) + (0.3164665 x ETB) + (0.2493259 x ETH)

    (iii) If the aromatics value of the target fuel is less than 10 
volume percent, then an aromatics value of 10 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(6) (i) and 
(ii) of this section. If the E300 value of the target fuel is greater 
than 95 volume percent, then an E300 value of 95 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(6) (i) and 
(ii) of this section.
    (iv) When calculating acetaldehyde emissions and emissions 
performance, oxygen in the form of alcohols which are more complex or 
have higher molecular weights than ethanol shall be evaluated as if it 
were in the form of ethanol. Oxygen in the form of methyl ethers other 
than TAME and MTBE shall be evaluated as if it were in the form of MTBE. 
Oxygen in the form of ethyl ethers other than ETBE shall be evaluated as 
if it were in the form of ETBE. Oxygen in the form of non-methyl, non-
ethyl ethers shall be evaluated as if it were in the form of ETBE. 
Oxygen in the form of methanol or non-alcohol, non-ether oxygenates 
shall not be evaluated with the Complex Model, but instead must be 
evaluated through vehicle testing per Sec.  80.48.
    (7) 1,3-butadiene mass emissions shall be given by the following 
equations, subject to paragraph (e)(7)(iii) of this section:

BUTA = BUTA(b) + (BUTA(b) x YBUTA(t)/100)
YBUTA(t) = [(w1 x Nd) + (w2 
x Hd)-1] x 100

where

BUTA = Exhaust 1,3-butadiene emissions in terms of milligrams/mile
YBUTA(t) = 1,3-butadiene performance of target fuel in terms 
          of percentage change from baseline
BUTA(b) = Baseline 1,3-butadiene emissions as defined in paragraph 
          (b)(2) of this section for the appropriate phase and season
Nd = exp d1(t)/exp d1(b)
Hd = exp d2(t)/exp d2(b)
w1 = eighting factor for normal emitters as defined in 
          paragraph (b)(1) of this section for the appropriate phase
w2 = Weighting factor for higher emitters as defined in 
          paragraph (b)(1) of this section for the appropriate Phase.
d1(t) = Normal emitter 1,3-butadiene equation as defined in 
          paragraph (e)(7)(i) of this section, evaluated using the 
          target fuel's properties, subject to paragraph (e)(7)(iii) of 
          this section.
d2(t) = Higher emitter 1,3-butadiene equation as defined in 
          paragraph (e)(7)(ii) of this section, evaluated using the 
          target fuel's properties, subject to paragraph (e)(7)(iii) of 
          this section.
d1(b) = Normal emitter 1,3-butadiene equation as defined in 
          paragraph (e)(7)(i) of this section, evaluated for the base 
          fuel's properties.
d2(b) = Higher emitter 1,3-butadiene equation as defined in 
          paragraph (e)(7)(ii) of this section, evaluated for the base 
          fuel's properties.

    (i) Consolidated equation for normal emitters.


[[Page 57]]


d1 = (0.0001552 x SUL) + (-0.007253 x E200) + (-0.014866 x 
E300) + (-0.004005 x ARO) + (0.0282350 x OLE)

    (ii) Equation for higher emitters.

d2 = (-0.060771 x OXY) + (-0.007311 x E200) + (-0.008058 x 
E300) + (-0.004005 x ARO) + (0.0436960 x OLE)

    (iii) If the aromatics value of the target fuel is less than 10 
volume percent, then an aromatics value of 10 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(7) (i) and 
(ii) of this section. If the E300 value of the target fuel is greater 
than 95 volume percent, then an E300 value of 95 volume percent shall be 
used when evaluating the equations given in paragraphs (e)(7) (i) and 
(ii) of this section.
    (8) Polycyclic organic matter mass emissions shall be given by the 
following equation:

POM = 0.003355 x VOCE
POM = Polycyclic organic matter emissions in terms of milligrams per 
mile
VOCE = Non-methane, non-ethane exhaust emissions of volatile organic 
compounds in grams per mile.

    (9) Nonexhaust benzene emissions in VOC Control Region 1 shall be 
given by the following equations for both Phase I and Phase II:

NEBZ1 = DIBZ1 + HSBZ1 + RLBZ1 + RFBZ1
HSBZ1 = 10 x BEN x VOCHS1 x [(-0.0342 x MTB) + (-0.080274 x RVP) + 
1.4448]
DIBZ1 = 10 x BEN x VOCD11 x [(-0.0290 x MTB) + (-0.080274 x RVP) + 
1.3758]
RLBZ1 = 10 x BEN x VOCRL1 x [(-0.0342 x MTB) + (-0.080274 x RVP) + 
1.4448]
RFBZ1 = 10 x BEN x VOCRF1 x [(-0.0296 x MTB) + (-0.081507 x RVP) + 
1.3972

where

NEBZ1 = Nonexhaust emissions of volatile organic compounds in VOC 
          Control Region 1 in milligrams per mile.
DIBZ1 = Diurnal emissions of volatile organic compounds in VOC Control 
          Region 1 in milligrams per mile.
HSBZ1 = Hot soak emissions of volatile organic compounds in VOC Control 
          Region 1 in milligrams per mile.
RLBZ1 = Running loss emissions of volatile organic compounds in VOC 
          Control Region 1 in milligrams per mile.
RFBZ1 = Refueling emissions of volatile organic compounds in VOC Control 
          Region 1 in grams per mile.
VOCDI1 = Diurnal emissions of volatile organic compounds in VOC Control 
          Region 1 in milligrams per mile, as determined in paragraph 
          (c)(3) of this section.
VOCHS1 = Hot soak emissions of volatile organic compounds in VOC Control 
          Region 1 in milligrams per mile, as determined in paragraph 
          (c)(3) of this section.
VOCRL1 = Running loss emissions of volatile organic compounds in VOC 
          Control Region 1 in milligrams per mile, as determined in 
          paragraph (c)(3) of this section.
VOCRF1 = Refueling emissions of volatile organic compounds in VOC 
          Control Region 1 in milligrams per mile, as determined in 
          paragraph (c)(3) of this section.

    (10) Nonexhaust benzene emissions in VOC Control Region 2 shall be 
given by the following equations for both Phase I and Phase II:

NEBZ2 = DIBZ2 + HSBZ2 + RLBZ2 + RFBZ2
HSBZ2 = 10 x BEN x VOCHS2 x [(-0.0342 x MTB) + (-0.080274 x RVP) + 
1.4448]
DIBZ2 = 10 x BEN x VOCD12 x [(-0.0290 x MTB) + (-0.080274 x RVP) + 
1.3758]
RLBZ2 = 10 x BEN x VOCRL2 x [(-0.0342 x MTB) + (-0.080274 x RVP) + 
1.4448]
RFBZ2 = 10 x BEN x VOCRF2 x [(-0.0296 x MTB) + (-0.081507 x RVP) + 
1.3972

where

NEBZ2 = Nonexhaust emissions of volatile organic compounds in VOC 
          Control Region 2 in milligrams per mile.
DIBZ2 = Diurnal emissions of volatile organic compounds in VOC Control 
          Region 2 in milligrams per mile.
HSBZ2 = Hot soak emissions of volatile organic compounds in VOC Control 
          Region 2 in milligrams per mile.
RLBZ2 = Running loss emissions of volatile organic compounds in VOC 
          Control Region 2 in milligrams per mile.
RFBZ2 = Refueling emissions of volatile organic compounds in VOC Control 
          Region 2 in grams per mile.
VOCDI2 = Diurnal emissions of volatile organic compounds in VOC Control 
          Region 2 in milligrams per mile, as determined in paragraph 
          (c)(4) of this section.
VOCHS2 = Hot soak emissions of volatile organic compounds in VOC Control 
          Region 2 in milligrams per mile, as determined in paragraph 
          (c)(4) of this section.

[[Page 58]]

VOCRL2 = Running loss emissions of volatile organic compounds in VOC 
          Control Region 2 in milligrams per mile, as determined in 
          paragraph (c)(4) of this section.
VOCRF2 = Refueling emissions of volatile organic compounds in VOC 
          Control Region 2 in milligrams per mile, as determined in 
          paragraph (c)(4) of this section.

    (f) Limits of the model. (1) The equations described in paragraphs 
(c), (d), and (e) of this section shall be valid only for fuels with 
fuel properties that fall in the following ranges for reformulated 
gasolines and conventional gasolines:
    (i) For reformulated gasolines:

------------------------------------------------------------------------
               Fuel property                      Acceptable range
------------------------------------------------------------------------
Oxygen....................................  0.0-5.8 weight percent.
Sulfur....................................  0.0-500.0 parts per million
                                             by weight.
RVP.......................................  6.4-10.0 pounds per square
                                             inch.
E200......................................  30.0-70.0 percent
                                             evaporated.
E300......................................  70.0-100.0 percent
                                             evaporated.
Aromatics.................................  0.0-50.0 volume percent.
Olefins...................................  0.0-25.0 volume percent.
Benzene...................................  0.0-2.0 volume percent.
------------------------------------------------------------------------

    (ii) For conventional gasoline:

------------------------------------------------------------------------
               Fuel property                      Acceptable range
------------------------------------------------------------------------
Oxygen....................................  0.0-5.8 weight percent.
Sulfur....................................  0.0-1000.0 parts per million
                                             by weight.
RVP.......................................  6.4-11.0 pounds per square
                                             inch.
E200......................................  30.0-70.0 evaporated
                                             percent.
E300......................................  70.0-100.0 evaporated
                                             percent.
Aromatics.................................  0.0-55.0 volume percent.
Olefins...................................  0.0-30.0 volume percent.
Benzene...................................  0.0-4.9 volume percent.
------------------------------------------------------------------------

    (2) Fuels with one or more properties that do not fall within the 
ranges described in above shall not be certified or evaluated for their 
emissions performance using the complex emissions model described in 
paragraphs (c), (d), and (e) of this section.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36959, July 20, 1994; 62 
FR 68206, Dec. 31, 1997; 71 FR 74566, Dec. 15, 2005; 76 FR 44443, July 
25, 2011]



Sec.  80.46  Measurement of reformulated gasoline and conventional
gasoline fuel parameters.

    (a) Sulfur. Sulfur content of gasoline and butane must be determined 
by use of the following methods:
    (1)(i) Through December 31, 2015, the sulfur content of gasoline 
must be determined by ASTM D2622.
    (ii) Beginning January 1, 2016, the sulfur content of gasoline must 
be determined by a test method approved under Sec.  80.47.
    (2)(i) Through December 31, 2015, the sulfur content of butane must 
be determined by ASTM D6667.
    (ii) Beginning January 1, 2016, the sulfur content of butane must be 
determined by a test method approved under Sec.  80.47.
    (b) Olefins. Olefin content must be determined by use of the 
following methods:
    (1) Through December 31, 2015, olefin content must be determined 
using ASTM D1319.
    (2) Beginning January 1, 2016, olefin content must be determined by 
a test method approved under Sec.  80.47.
    (c) Reid Vapor Pressure (RVP). (1) Through December 31, 2015, Reid 
Vapor Pressure must be determined using ASTM D5191, except the following 
correction equation must be used:

RVP psi = (0.956 * X) - 0.347
RVP kPa = (0.956 * X) - 2.39

Where:

X = Total measured vapor pressure, in psi or kPa.

    (2) Beginning January 1, 2016, RVP must be determined by a test 
method approved under Sec.  80.47, except as provided in paragraph 
(c)(2)(i) of this section.
    (i) For reporting purposes, the RVP test result computed from Sec.  
80.47 must continue to utilize the RVP correction equation in paragraph 
(c)(1) of this section.
    (ii) [Reserved]
    (d) Distillation. Distillation parameters must be determined by use 
of the following test methods:
    (1) Through December 31, 2015, distillation parameters must be 
determined using ASTM D86.
    (2) Beginning January 1, 2016, distillation parameters must be 
determined by a test method approved under Sec.  80.47. (Note: The 
precision estimates for reproducibility in ASTM D86-12 do not apply; see 
Sec.  80.47(h).)

[[Page 59]]

    (e) Benzene. Benzene content must be determined by use of the 
following test methods:
    (1) Through December 31, 2015, benzene content must be determined 
using ASTM D3606, except that instrument parameters shall be adjusted to 
ensure complete resolution of the benzene, ethanol, and methanol peaks 
because ethanol and methanol may cause interference with ASTM D3606 when 
present.
    (2) Beginning January 1, 2016, benzene content must be determined by 
a test method approved under Sec.  80.47.
    (f) Aromatic content. Aromatic content must be determined by use of 
the following methods:
    (1) Through December 31, 2015, aromatic content must be determined 
using ASTM D5769, except the sample chilling requirements in section 8 
of this standard method are optional.
    (2) Beginning January 1, 2016, aromatic content must be determined 
by a test method approved under Sec.  80.47.
    (g) Oxygen and oxygenate content analysis. Oxygen and oxygenate 
content must be determined by use of the following methods:
    (1) Through December 31, 2015, oxygen and oxygenate content must be 
determined using ASTM D5599.
    (2) Beginning January 1, 2016, oxygen and oxygenate content must be 
determined by a test method approved under Sec.  80.47.
    (h) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D86-12, Standard Test Method for Distillation of Petroleum 
Products at Atmospheric Pressure, approved December 1, 2012 (``ASTM 
D86'').
    (ii) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in 
Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved 
May 1, 2013 (``ASTM D1319'').
    (iii) ASTM D2622-10, Standard Test Method for Sulfur in Petroleum 
Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, 
approved February 15, 2010 (``ASTM D2622'').
    (iv)-(v) [Reserved]
    (vi) ASTM D3606-10, Standard Test Method for Determination of 
Benzene and Toluene in Finished Motor and Aviation Gasoline by Gas 
Chromatography, approved October 1, 2010 (``ASTM D3606'').
    (vii)-(viii) [Reserved]
    (ix) ASTM D5191-13, Standard Test Method for Vapor Pressure of 
Petroleum Products (Mini Method), approved December 1, 2013 (``ASTM 
D5191'').
    (x) [Reserved]
    (xi) 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'').
    (xii) 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'').

[[Page 60]]

    (xiii) [Reserved]
    (xiv) ASTM D6667-10, Standard Test Method for Determination of Total 
Volatile Sulfur in Gaseous Hydrocarbons and Liquefied Petroleum Gases by 
Ultraviolet Fluorescence, approved October 1, 2010 (``ASTM D6667'').
    (xv)-(xvi) [Reserved]
    (2) [Reserved]

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36961, July 20, 1994; 61 
FR 58306, Nov. 13, 1996; 63 FR 63793, Nov. 17, 1998; 65 FR 6822, Feb. 
10, 2000; 65 FR 53189, Sept. 1, 2000; 66 FR 17263, Mar. 29, 2001; 67 FR 
8737, Feb. 26, 2002; 67 FR 40181, June 12, 2002; 68 FR 56781, Oct. 2, 
2003; 68 FR 57819, Oct. 7, 2003; 71 FR 16499, Apr. 3, 2006; 73 FR 74355, 
Dec. 8, 2008; 74 FR 6233, Feb. 6, 2009; 76 FR 65385, Oct. 21, 2011; 79 
FR 23632, Apr. 28, 2014; 80 FR 9090, Feb. 19, 2015; 85 FR 7070, Feb. 6, 
2020]



Sec.  80.47  Performance-based Analytical Test Method Approach.

    All sample handling, testing procedures, and tests must be conducted 
using good laboratory practices.
    (a) Definitions. As used in this subpart D:
    (1) Performance-based Analytical Test Method Approach means a 
measurement system based upon established performance criteria for 
accuracy and precision with use of analytical test methods. As used in 
this subpart, this is a measurement system used by laboratories to 
demonstrate that a particular analytical test method is acceptable for 
demonstrating compliance.
    (2) Accuracy means the closeness of agreement between an observed 
value from a single test measurement and an accepted reference value.
    (3) Precision means the degree of agreement in a set of measurements 
performed on the same property of identical test material.
    (4) Absolute fuel parameter means a fuel parameter for which a 
gravimetric standard is practical to construct and use. Sulfur content 
of gasoline, butane, or diesel fuel are examples of an absolute fuel 
parameter.
    (5) Gravimetric standard means a test material made by adding a 
carefully weighed quantity of the analyte to a measured quantity of 
another substance known not to contain any of the analyte, resulting in 
a solution with an accurately known concentrate of the analyte.
    (6) Consensus named fuels are homogeneous quantities of fuel that 
have been analyzed by a number of different laboratories (by sending 
around small samples). The average concentration of some parameter of 
interest across all of the different laboratories is then used as the 
``consensus name'' for that material.
    (7) Locally-named reference materials are gasoline or diesel fuels 
that are usually from the regular production of the facility where they 
are used in laboratory quality control efforts and have been analyzed 
using the designated method (either by the facility's lab or by a 
reference lab) to obtain an estimate of their concentration.
    (8) Method-defined fuel parameter means a fuel parameter for which 
an EPA-prescribed primary test method or designated method defines the 
regulatory standard. Examples of method-defined fuel parameters include 
olefin content in gasoline, Reid vapor pressure (RVP) of gasoline, 
distillation parameters of gasoline, benzene content of gasoline, 
aromatic content of gasoline and diesel fuel, and oxygen/oxygenates 
content of gasoline.
    (9) Reference installations are designated test method installations 
that are used to qualify the accuracy of other method-defined parameter 
instruments. Reference installations of the designated test method will 
be used to evaluate the accuracy of other method-defined alternative 
test methods and to establish correlation equations if necessary.
    (10) Correlation equation is a correction equation as determined by 
the use of ASTM D6708. This standard practice determines whether the 
comparison between the alternative test method and the designated test 
method is a null result. If the comparison is not null, then the 
standard practice provides for a correlation equation that predicts 
designated test method results from the applicable method-defined 
alternative test method.
    (11) Statistical quality control (SQC) means a planned system of 
activities whose purpose is to provide a level of quality that meets the 
needs of compliance with the standards of this part. This subpart 
prescribes specific SQC requirements for both absolute and

[[Page 61]]

method driven fuel parameters for both voluntary and non-voluntary 
consensus-based standards bodies.
    (12) Voluntary consensus-based standards body (VCSB) means a 
domestic or international organization that plans, develops, 
establishes, or coordinates voluntary consensus standards using agreed-
upon procedures and which possesses the attributes of openness, balance 
of interest, due process, and consensus, as explained in OMB Circular A-
119 and the National Technology Transfer and Advancement Act of 1995, 
P.L. 104-113, sec. 12(d).
    (13) Non-voluntary consensus-based standards body (non-VCSB) means a 
domestic or international regulated party that has developed a 
proprietary analytical test method that has not been adopted by a VCSB 
organization.
    (b) Precision and accuracy criteria for approval for the absolute 
fuel parameter of gasoline sulfur--(1) Precision. Beginning January 1, 
2016, for motor vehicle gasoline, gasoline blendstock, and gasoline fuel 
additives subject to the gasoline sulfur standard at Sec. Sec.  80.195 
and 80.1603, the maximum allowable standard deviation computed from the 
results of a minimum of 20 tests made over 20 days (tests may be 
arranged into no fewer than five batches of four or fewer tests each, 
with only one such batch allowed per day over the minimum of 20 days) on 
samples using good laboratory practices taken from a single homogeneous 
commercially available gasoline must be less than or equal to 1.5 times 
the repeatability ``r'' divided by 2.77, where ``r'' equals the ASTM 
repeatability of ASTM D7039 (Example: A 10 ppm sulfur gasoline sample: 
Maximum allowable standard deviation of 20 tests<=1.5*(1.73ppm/2.77) = 
0.94 ppm). The 20 results must be a series of tests with a sequential 
record of analysis and no omissions. A laboratory facility may exclude a 
given sample or test result only if the exclusion is for a valid reason 
under good laboratory practices and it maintains records regarding the 
sample and test results and the reason for excluding them.
    (2) Accuracy. Beginning January 1, 2016, for motor vehicle gasoline, 
gasoline blendstock, and gasoline fuel additives subject to the gasoline 
sulfur standard at Sec. Sec.  80.195 and 80.1603:
    (i) The arithmetic average of a continuous series of at least 10 
tests performed using good laboratory practices on a commercially 
available gravimetric sulfur standard in the range of 1-10 ppm shall not 
differ from the accepted reference value (ARV) of the standard by more 
than 0.47 ppm sulfur, where the accuracy criteria is 0.75*(1.5*r/2.77), 
where ``r'' is the repeatability for ARV of the commercially available 
gravimetric sulfur standard (Example: 0.75*(1.5*1.15ppm/2.77) = 0.47 
ppm);
    (ii) The arithmetic average of a continuous series of at least 10 
tests performed using good laboratory practices on a commercially 
available gravimetric sulfur standard in the range of 10-20 ppm shall 
not differ from the ARV of the standard by more than 0.94 ppm sulfur, 
where the accuracy criteria is 0.75*(1.5*r/2.77), where ``r'' is the 
repeatability for ARV of the commercially available gravimetric sulfur 
standard (Example: 0.75*(1.5*2.30ppm/2.77) = 0.94 ppm); and
    (iii) In applying the tests of paragraphs (b)(2)(i) and (ii) of this 
section, individual test results shall be compensated for any known 
chemical interferences using good laboratory practices.
    (3) The test method specified at Sec.  80.46(a)(1) is exempt from 
the requirements of paragraphs (b)(1) and (2) of this section.
    (c) Precision and accuracy criteria for approval of the absolute 
fuel parameter of sulfur in butane--(1) Precision. Beginning January 1, 
2016, for butane subject to the butane sulfur standard at Sec. Sec.  
80.82, 80.195, 80.340(b) and 80.1603, the maximum allowable standard 
deviation computed from the results of a minimum of 20 tests made over 
20 days (tests may be arranged into no fewer than five batches of four 
or fewer tests each, with only one such batch allowed per day over the 
minimum of 20 days) on samples using good laboratory practices taken 
from a single homogeneous commercially available butane must be less 
than or equal to 1.5 times the repeatability (r) divided by 2.77, where 
``r'' equals the ASTM repeatability of ASTM D6667 (Example: A 10 ppm 
sulfur butane sample: Maximum allowable standard deviation of 20

[[Page 62]]

tests<=1.5*(1.15ppm/2.77) = 0.62 ppm). The 20 results must be a series 
of tests with a sequential record of analysis and no omissions. A 
laboratory facility may exclude a given sample or test result only if 
the exclusion is for a valid reason under good laboratory practices and 
it maintains records regarding the sample and test results and the 
reason for excluding them.
    (2) Accuracy. Beginning January 1, 2016, for butane subject to the 
butane sulfur standard at Sec. Sec.  80.82, 80.195, 80.340(b) and 
80.1603--
    (i) The arithmetic average of a continuous series of at least 10 
tests performed using good laboratory practices on a commercially 
available gravimetric sulfur standard in the range of 1-10 ppm, say 10 
ppm, shall not differ from the ARV of the standard by more than 0.47 ppm 
sulfur, where the accuracy criteria is 0.75*(1.5*r/2.77), where ``r'' is 
the repeatability for ARV of the commercially available gravimetric 
sulfur standard (Example: 0.75*(1.5*1.15ppm/2.77) = 0.47 ppm);
    (ii) The arithmetic average of a continuous series of at least 10 
tests performed using good laboratory practices on a commercially 
available gravimetric sulfur standard in the range of 10-20 ppm, say 20 
ppm, shall not differ from the ARV of the standard by more than 0.94 ppm 
sulfur, where the accuracy criteria is 0.75*(1.5*r/2.77), where ``r'' is 
the repeatability for ARV of the commercially available gravimetric 
sulfur standard (Example: 0.75*(1.5*2.30ppm/2.77) = 0.94 ppm); and
    (iii) In applying the tests of paragraphs (c)(2)(i) and (ii) of this 
section, individual test results shall be compensated for any known 
chemical interferences using good laboratory practices.
    (3) The test method specified at Sec.  80.46(a)(2) is exempt from 
the requirements of paragraphs (c)(1) and (2) of this section.
    (d) Precision criteria for approval of the method defined fuel 
parameter of olefins in gasoline--(1) Precision. Beginning January 1, 
2016, for motor vehicle gasoline, gasoline blendstock, and gasoline fuel 
additives subject to the gasoline standards of this part, the maximum 
allowable standard deviation computed from the results of a minimum of 
20 tests made over 20 days (tests may be arranged into no fewer than 
five batches of four or fewer tests each, with only one such batch 
allowed per day over the minimum of 20 days) on samples using good 
laboratory practices taken from a single homogeneous commercially 
available gasoline must be less than or equal to 0.3 times the 
reproducibility (R), where ``R'' equals the ASTM reproducibility of ASTM 
D1319 (Example: A gasoline containing 9 Vol% olefins: Maximum allowable 
standard deviation of 20 tests <=0.3*(3.06 Vol%) = 0.92 Vol%). The 20 
results must be a series of tests with a sequential record of analysis 
and no omissions. A laboratory facility may exclude a given sample or 
test result only if the exclusion is for a valid reason under good 
laboratory practices and it maintains records regarding the sample and 
test results and the reason for excluding them.
    (2) The test method specified at Sec.  80.46(b)(1) is exempt from 
the requirements of paragraph (d)(1) of this section.
    (e) Precision criteria for approval of the method defined fuel 
parameter of aromatics in gasoline--(1) Precision. Beginning January 1, 
2016, for motor vehicle gasoline, gasoline blendstock, and gasoline fuel 
additives subject to the gasoline standards of this part, the maximum 
allowable standard deviation computed from the results of a minimum of 
20 tests made over 20 days (tests may be arranged into no fewer than 
five batches of four or fewer tests each, with only one such batch 
allowed per day over the minimum of 20 days) on samples using good 
laboratory practices taken from a single homogeneous commercially 
available gasoline must be less than or equal to 0.3 times the 
reproducibility (R), where ``R'' equals the ASTM reproducibility of ASTM 
D1319 (Example: A gasoline containing 32Vol% aromatics: Maximum 
allowable standard deviation of 20 tests <=0.3*(3.7 Vol%) = 1.11Vol%). 
The 20 results must be a series of tests with a sequential record of 
analysis and no omissions. A laboratory facility may exclude a given 
sample or test result only if the exclusion is for a valid reason under 
good laboratory practices and it maintains

[[Page 63]]

records regarding the sample and test results and the reason for 
excluding them.
    (2) The test method specified at Sec.  80.46(f)(1) is exempt from 
the requirements of paragraph (e)(1) of this section.
    (f) Precision criteria for approval of the method defined fuel 
parameter of oxygen and oxygenate content in gasoline--(1) Precision. 
Beginning January 1, 2016, for motor vehicle gasoline, gasoline 
blendstock, and gasoline fuel additives subject to the gasoline 
standards of this part, the maximum allowable standard deviation 
computed from the results of a minimum of 20 tests made over 20 days 
(tests may be arranged into no fewer than five batches of four or fewer 
tests each, with only one such batch allowed per day over the minimum of 
20 days) on samples using good laboratory practices taken from a single 
homogeneous commercially available gasoline must be less than or equal 
to 0.3 times the reproducibility (R), where ``R'' equals the ASTM 
reproducibility of ASTM D5599 (Example: A gasoline containing 3Mass% 
total oxygen: Maximum allowable standard deviation of 20 tests 
<=0.3*(0.32 Mass%) = 0.10 Mass%). The 20 results must be a series of 
tests with a sequential record of analysis and no omissions. A 
laboratory facility may exclude a given sample or test result only if 
the exclusion is for a valid reason under good laboratory practices and 
it maintains records regarding the sample and test results and the 
reason for excluding them.
    (2) The test method specified at Sec.  80.46(g)(1) is exempt from 
the requirements of paragraph (f)(1) of this section.
    (g) Precision criteria for approval of the method defined fuel 
parameter of Reid Vapor Pressure (RVP) in gasoline--(1) Precision. 
Beginning January 1, 2016, for motor vehicle gasoline, gasoline 
blendstock, and gasoline fuel additives subject to the gasoline 
standards of this part and volatility standards at Sec.  80.27, the 
maximum allowable standard deviation computed from the results of a 
minimum of 20 tests made over 20 days (tests may be arranged into no 
fewer than five batches of four or fewer tests each, with only one such 
batch allowed per day over the minimum of 20 days) on samples using good 
laboratory practices taken from a single homogeneous commercially 
available gasoline must be less than or equal to 0.3 times the 
reproducibility (R), where ``R'' equals the ASTM reproducibility of ASTM 
D5191 (Example: A gasoline having a RVP of 6.8psi: Maximum allowable 
standard deviation of 20 tests withdrawn from a 250 milliliter container 
<=0.3*(0.40psi) = 0.12 psi). The 20 results must be a series of tests 
with a sequential record of analysis and no omissions. A laboratory 
facility may exclude a given sample or test result only if the exclusion 
is for a valid reason under good laboratory practices and it maintains 
records regarding the sample and test results and the reason for 
excluding them.
    (2) The test method specified at Sec.  80.46(c)(1) is exempt from 
the requirements of paragraph (g)(1) of this section.
    (h) Precision criteria for approval of the method defined fuel 
parameter of gasoline distillation--(1) Precision. Beginning January 1, 
2016, for motor vehicle gasoline, gasoline blendstock, and gasoline fuel 
additives subject to the gasoline standards of this part, the maximum 
allowable standard deviation computed from the results of a minimum of 
20 tests made over 20 days (tests may be arranged into no fewer than 
five batches of four or fewer tests each, with only one such batch 
allowed per day over the minimum of 20 days) on samples using good 
laboratory practices taken from a single homogeneous commercially 
available gasoline must be less than or equal to 0.3 times the 
reproducibility (R), where ``R'' equals the ASTM reproducibility in 
Table 10, Groups 2, 3 and 4 (Automated) of ASTM D86-07 for the initial 
boiling point, E10, E50, E90 and final boiling point. (Example: A 
gasoline having an initial boiling point of 26 [deg]C and a final 
boiling point of 215 [deg]C: Maximum allowable standard deviation of 20 
tests for initial boiling point <=0.3*(8.5 [deg]C) = 2.55 [deg]C, 
maximum allowable standard deviation of 20 tests for E10 <=0.3*(3.0 + 
2.64*Sc) [deg]C, maximum allowable standard deviation of 20 tests for 
E50 <=0.3*(2.9 + 3.97*Sc) [deg]C, maximum allowable standard deviation 
of 20 tests for E90 <=0.3*(2.0 + 2.53*Sc) [deg]C,

[[Page 64]]

and maximum allowable standard deviation of 20 tests for final boiling 
point <=0.3*(10.5 [deg]C) = 3.15 [deg]C), where Sc is the average slope 
(or rate of change) of the gasoline distillation curve as calculated in 
accordance with section 13.2 of ASTM D86-07. The 20 results must be a 
series of tests with a sequential record of analysis and no omissions. 
Note that the precision criteria described in this paragraph (h)(1) 
differ from what is specified in ASTM D86-12. A laboratory facility may 
exclude a given sample or test result only if the exclusion is for a 
valid reason under good laboratory practices and it maintains records 
regarding the sample and test results and the reason for excluding them.
    (2) The test method specified at Sec.  80.46(d)(1) is exempt from 
the requirements of paragraph (h)(1) of this section.
    (i) Precision criteria for approval of the method defined fuel 
parameter of benzene in gasoline--(1) Precision. Beginning January 1, 
2016, for motor vehicle gasoline, gasoline blendstock, and gasoline fuel 
additives subject to the gasoline standards of this part and MSAT2 
standards at Sec. Sec.  80.41, 80.101, 80.1230, the maximum allowable 
standard deviation computed from the results of a minimum of 20 tests 
made over 20 days (tests may be arranged into no fewer than five batches 
of four or fewer tests each, with only one such batch allowed per day 
over the minimum of 20 days) on samples using good laboratory practices 
taken from a single homogeneous commercially available gasoline must be 
less than or equal to 0.15 times the reproducibility (R), where ``R'' 
equals the ASTM reproducibility of ASTM D3606 (Example: A gasoline 
having a 1Vol% benzene: Maximum allowable standard deviation of 20 tests 
<=0.15*(0.18 Vol%) = 0.027Vol%). The 20 results must be a series of 
tests with a sequential record of analysis and no omissions. A 
laboratory facility may exclude a given sample or test result only if 
the exclusion is for a valid reason under good laboratory practices and 
it maintains records regarding the sample and test results and the 
reason for excluding them.
    (2) The test methods specified at Sec.  80.46(e)(1) are exempt from 
the requirements of paragraph (i)(1) of this section.
    (j) Precision criteria for approval of the method defined fuel 
parameter of aromatics in diesel--(1) Precision. Beginning January 1, 
2016, for motor vehicle diesel fuel subject to the motor vehicle diesel 
standards at Sec.  80.520, the maximum allowable standard deviation 
computed from the results of a minimum of 20 tests made over 20 days 
(tests may be arranged into no fewer than five batches of four or fewer 
tests each, with only one such batch allowed per day over the minimum of 
20 days) on samples using good laboratory practices taken from a single 
homogeneous commercially available diesel fuel must be less than or 
equal to 0.3 times the reproducibility (R), where ``R'' equals the ASTM 
reproducibility of ASTM D1319 (Example: A diesel fuel containing 35 Vol% 
aromatics: maximum allowable standard deviation of 20 tests <=0.3*(3.3 
Vol%) = 0.99Vol%). The 20 results must be a series of tests with a 
sequential record of analysis and no omissions. A laboratory facility 
may exclude a given sample or test result only if the exclusion is for a 
valid reason under good laboratory practices and it maintains records 
regarding the sample and test results and the reason for excluding them.
    (2) The test method specified at Sec.  80.2(z) is exempt from the 
requirements of paragraph (j)(1) of this section.
    (k) Criteria for designated test method reference installations used 
to qualify the accuracy of other method-defined parameter instruments. 
(1) Beginning January 1, 2016, for a single laboratory test facility 
qualifying a method defined alternative test method, the reference 
installation of the method-defined fuel parameter for the applicable 
designated test method must have precision equal to 0.3 times the 
reproducibility (R) of the method-defined fuel parameter's designated 
test method, where ``R'' is the reproducibility of the designated test 
method.
    (i) For olefins in gasoline, see paragraph (d)(1) of this section.
    (ii) For aromatics in gasoline, see paragraph (e)(1) of this 
section.

[[Page 65]]

    (iii) For oxygen and oxygenate content of gasoline, see paragraph 
(f)(1) of this section.
    (iv) For Reid Vapor Pressure (RVP) of gasoline, see paragraph (g)(1) 
of this section.
    (v) For gasoline distillation, see paragraph (h)(1) of this section.
    (vi) For benzene in gasoline, see paragraph (i)(1) of this section.
    (vii) For aromatics in diesel fuel, see paragraph (j)(1) of this 
section.
    (2) The reference installation of the method-defined fuel parameter 
for the applicable designated test method must be shown to stay within 
the middle 50% of the distribution of an industry or commercially 
available monthly inter-laboratory crosscheck program for 3 out of 5 
successive exchanges for at least a period of five months using good 
laboratory practices. Specifically, compute the difference between the 
instrument's average measurement of the fuel closest to the applicable 
fuel standard (or to the average value for the fuel parameter in the 
complex model) and the mean for that fuel obtained by all of the non-
outlier labs in the monthly inter-laboratory crosscheck program. 
Standardize this difference by expressing it in standard deviation 
units. These standardized inter-laboratory crosscheck differences should 
be placed in a moving average with a minimum span of five months. The 
instrument's moving average in standard deviation units cannot be 
outside the central 50% of the distribution of all laboratories that 
participated in the inter-laboratory crosscheck program.
    (3) The reference installation of the method-defined fuel parameter 
for the applicable designated test method must be shown to be in 
statistical quality control as specified in ASTM D6299 for a minimum 
period of five months using good laboratory practices. The system is 
still considered to be in statistical quality control and the five month 
time period will not re-start if--
    (i) Regular maintenance and/or re-calibration conducted during the 
five months in SQC qualification time period is considered as part of 
in-control normal operation, and/or;
    (ii) If an assignable cause for ``out of control'' is found, 
mitigated, and the system is brought back in statistical quality control 
during the five month time period that the reference installation is 
attempting to meet the five month in-statistical-control requirement, 
the five month time period does not re-start and the system is still 
considered to be ``in-control''.
    (4) For a voluntary consensus standards body, such as ASTM, or for a 
commercially available industry crosscheck program, the summary 
statistics (mean and standard error = standard deviation/square root 
[number of results]) from the VCSB or commercially available inter-
laboratory cross-check program (ILCP) data may be used as is without 
imposing the reference installations requirements of this section, 
provided that the number of non-outlying results is greater than 16 for 
both the designated and alternative test methods. The determination of 
ARV of check standards as specified in ASTM D6299, clause 6.2.2.1 and 
Note 7 shall be followed for the inter-laboratory crosscheck program. 
The use of VCSB or commercially available ILCP data as described above 
is deemed suitable for an ASTM D6708 assessment of VCSB alternative test 
methods.
    (l) Qualification criteria for Voluntary Consensus Standard Based 
(VCSB) Method-Defined Parameter Test Methods and Non-voluntary Consensus 
Standard Based (non-VCSB) Absolute Fuel Parameter of Sulfur in Gasoline 
and Butane. (1)(i) Beginning January 1, 2016, the test facility or VCSB 
include full test method documentation by the Voluntary Consensus 
Standard Based (VCSB) organization, including a description of the 
technology and/or instrumentation that makes the method functional.
    (ii) For the Non-voluntary Consensus Standard Based (non-VCSB) 
Absolute Fuel Parameter of Sulfur in Gasoline and Butane, the test 
facility include full test method documentation, including a description 
of the technology and/or instrumentation that makes the method 
functional.
    (2)(i) The test facility demonstrates that the test method meets the 
applicable precision information for the method-defined or non-VCSB 
absolute fuel parameter as described in this section.

[[Page 66]]

    (ii) For the Non-VCSB absolute fuel parameter of sulfur in gasoline 
and butane, the test facility include information reported in the test 
method that demonstrates the applicable accuracy criteria as described 
in Sec.  80.47(b)(2) for gasoline and Sec.  80.47(c)(2) for butane.
    (3) The test facility or VCSB include information reported in the 
test method that demonstrates the test method has been evaluated using 
ASTM D6708 and whether the comparison is a ``null'' result or whether a 
correlation equation needs to be applied that predicts designated test 
method results from the applicable method-defined alternative test 
method.
    (4) The test methods specified at Sec. Sec.  80.2(z) and 
80.46(a)(1), (a)(2), (b)(1), (c)(1), (d)(1), (e)(1), (f)(1), and (g)(1) 
are exempt from the requirements of paragraphs (l)(1) through (3) of 
this section.
    (m) Qualification criteria for Non-Voluntary Consensus Standard 
Based (non-VCSB) Method-Defined Parameter Test Methods. For a non-VCSB 
method to be approved, the following information must be submitted to 
the Administrator by each test facility for each method that it wishes 
to have approved.
    (1) Beginning January 1, 2016, full and thorough test method 
documentation, including a description of the technology and/or 
instrumentation that makes the method functional so a person lacking 
experience with the test instrument would be able to replicate its 
results.
    (2) Information reported in the test method that demonstrates the 
test method meets the applicable precision information using good 
laboratory practices for the method-defined fuel parameter as described 
in this section.
    (3) Both the candidate method-defined Non-VCSB test method and its 
respective designated test method must be tested on a range of consensus 
named fuels or locally-named reference materials that are typical of 
those analyzed by the facility in practice using good laboratory 
practices and must meet the data requirements for variability as 
required in ASTM D6708.
    (4) The facility using the candidate method-defined non-VCSB test 
method must statistically establish through application of ASTM D6708 
that the candidate method measures the same aspect of samples as 
applicable to its respective designated test method using good 
laboratory practices.
    (5) If the use of ASTM D6708 reveals that the candidate method-
defined non-VCSB test method has sample-specific biases due to matrix 
effects that cannot be determined as random the method is disqualified. 
If however, it is determined that the candidate method-defined non-VCSB 
test method can be qualified on a narrow circumscribed range of fuels 
while still meeting the data requirements for variability as required in 
ASTM D6708 (see paragraph (m)(3) of this section), then the types of 
fuels on which the qualification was achieved and for which the method 
is to be approved must be specified in the candidate method-defined non-
VCSB test method description. If there is any restriction on the scope 
of fuels for which the candidate method-defined non-VCSB test method is 
to be qualified, the applicant must include a discussion of how the 
facility plans to screen sample for conformity to the scope. If the 
candidate method-defined test method is found to have minimal matrix 
effects, a statement to this effect must be included by the applicant in 
its application.
    (6) The candidate method-defined non-VCSB test method precision 
qualification must be conducted in the form of ``between methods 
reproducibility'' (Rcm) of the candidate method and applicable 
designated test method as recommended in ASTM D6708, where the Rcm must 
be equal to or less than 70 percent of the published reproducibility of 
the applicable designated test method using good laboratory practices.
    (7) The applicant of the candidate method-defined non-VCSB test 
method must demonstrate through the use of ASTM D6708 whether a 
correlation to applicable designated test method is necessary. If it is 
determined through the use of this practice that the candidate method-
defined non-VCSB test method requires a correlation equation in order to 
predict designated test method results, then this correlation equation 
must be applied to the candidate instruments output to obtain 
measurement results for regulatory

[[Page 67]]

purposes using good laboratory practices.
    (8) Any additional information requested by the Administrator and 
necessary to render a decision as to approval of the test method.
    (9) Samples used for precision and accuracy determination must be 
retained for 90 days.
    (10) Within 90 days of the receipt of materials required to be 
submitted under paragraphs (m)(1) through (9) of this section, the 
Administrator shall determine whether the test method is approved under 
this section.
    (11) If the Administrator denies approval of the test method, within 
90 days of receipt of all materials required to be submitted in 
paragraphs (m)(1) through (9) of this section, the Administrator will 
notify the applicant of the reasons for not approving the method. If the 
Administrator does not notify the applicant within 90 days of receipt of 
the application, then the test method shall be deemed approved.
    (12) The Administrator may revoke approval of a test method under 
this section for cause, including, but not limited to, a determination 
by the Administrator that the approved test method has proved to be 
inadequate in practice.
    (13) An independent third-party scientific review and written report 
and verification of the information provided pursuant to paragraphs 
(m)(1) through (9) of this section. The report and verification shall be 
based upon a site visit and review of relevant documents and shall 
separately identify each item required by paragraphs (m)(1) through (9) 
of this section, describe how the independent third-party evaluated the 
accuracy of the information provided, state whether the independent 
third-party agrees with the information provided, and identify any 
exceptions between the independent third-party's findings and the 
information provided.
    (i) The information required under this section must be conducted by 
an independent third party who is a professional chemist and 
statistician, or who is a chemical engineer, with the following 
qualifications:
    (A) For a refiner, importer, oxygenate producer, and oxygenate 
blender, the independent third party must have at least a bachelor's 
degree in chemistry and statistics, or at least a bachelor's degree in 
chemical engineering, from an accredited college in the United States, 
or the independent third party must be a subject matter expert with 
equivalent knowledge and qualification, with professional work 
experience in the petroleum or oxygenate field, especially with a 
demonstrated good working knowledge of ASTM D6708 and ASTM D6299.
    (B) [Reserved]
    (ii) To be considered an independent third-party under this 
paragraph (m)(13):
    (A) The third-party shall not be employed by the refiner, importer, 
oxygenate producer, or oxygenate blender, or any subsidiary or employee 
of the refiner, import facility, oxygenate producing facility, or 
oxygenate blender.
    (B) The third party shall be free from any interest in the 
refiner's, importer's, oxygenate producer's, or oxygenate blender's 
business.
    (C) The refiner, importer, oxygenate producer, or oxygenate blender 
shall be free from any interest in the third-party's business.
    (D) Use of a third-party that is debarred, suspended, or proposed 
for debarment pursuant to the Government-wide Debarment and Suspension 
regulations, 40 CFR part 32, or the Debarment, Suspension and 
Ineligibility provisions of the Federal Acquisition Regulations, 48 CFR 
part 9 subpart 9.4, shall be deemed in noncompliance with the 
requirements of this section.
    (iii) The independent third-party shall retain all records 
pertaining to the verification required under this section for a period 
of five years from the date of creation and shall deliver such records 
to the Administrator upon request.
    (iv) The independent third party must provide EPA documentation of 
his or her qualifications as described in this paragraph (m) as part of 
the scientific review.
    (14) If the Administrator finds that an individual test facility has 
provided false or inaccurate information under this section, upon notice 
from the Administrator the approval shall be void ab initio.

[[Page 68]]

    (n) Accuracy and Precision Statistical Quality Control (SQC) 
Requirements for the Absolute Fuel Parameters. Beginning January 1, 
2016, a test shall not be considered a test using an approved test 
method unless the following quality control procedures are performed 
separately for each instrument used to make measurements:
    (1)(i) Accuracy SQC. Every facility shall conduct tests on every 
instrument with a commercially available gravimetric reference material, 
or check standard as defined in ASTM D6299 at least three times a year 
using good laboratory practices. The facility must construct ``MR'' and 
``I'' charts with control lines as described in section 8.4 and 
appropriate Annex sections of this standard practice. In circumstances 
where the absolute difference between the mean of multiple back-to-back 
tests of the standard reference material and the ARV of the standard 
reference material is greater than 0.75 times the published 
reproducibility of the test method, the cause of such difference must be 
investigated by the facility. Records of the standard reference 
materials measurements as well as any investigations into any exceedance 
of these criteria must be kept for a period of five years.
    (ii) The expanded uncertainty of the ARV of consensus named fuels 
shall be included in the following accuracy qualification criterion: 
Accuracy qualification criterion = square root [(0.75R)caret2 
+ (0.75R)caret2/L], where L = the number of single results 
obtained from different labs used to calculate the consensus ARV.
    (2)(i) Precision SQC. Every facility shall conduct tests of every 
instrument with a quality control material as defined in paragraph 3.2.8 
in ASTM D6299 either once per week or once per every 20 production 
tests, whichever is more frequent. The facility must construct and 
maintain an ``I'' chart as described in section 8 and section A1.5.1 and 
a ``MR'' chart as described in section A1.5.4. Any violations of control 
limit(s) shall be investigated by personnel of the facility and records 
kept for a period of five years. The test facility's long term site 
precision standard deviation, as demonstrated by the ``I'' chart and 
``M'' chart, must meet the applicable precision criterion as described 
in paragraph (b)(1) or (c)(1) of this section.
    (ii) Validation of New QC Material. When a test facility is making a 
transition from one batch of QC material to the next batch of QC 
material, the facility will either construct an ``I'' chart as described 
in section 8.7 and section A1.5.1 of ASTM D6299, or follow the ``Q-
Procedure'' in Annex 1.9 of ASTM D6299. In following the Q-Procedure, if 
the plot of results from the ``old'' and ``new'' QC materials on its 
respective chart shows no special-cause signals, then the result of the 
``new'' QC material will be considered valid.
    (iii) For test facilities opting to use the Q-procedure, the first 
run on the new QC batch should be validated by either an overlap in-
control result of the old batch, or by a single execution of an 
accompanying standard reference material. The new QC material result 
would be considered validated if the single result of the standard 
reference material is within the established site precision (R') of the 
Accepted Reference Value of the standard reference material, as 
determined by ASTM D6792.
    (iv) [Reserved]
    (v) These records must be kept by the facility for a period of five 
years.
    (o) Accuracy and Precision Statistical Quality Control (SQC) 
Requirements for the Voluntary Consensus Standard Based (VCSB) Method-
Defined Fuel Parameters. Beginning January 1, 2016, a test shall not be 
considered a test using an approved test method unless the following 
quality control procedures are performed separately for each instrument 
used to make measurements:
    (1)(i) Accuracy SQC. Every facility shall conduct tests of every 
instrument with a commercially available check standard as defined in 
ASTM D6299 at least three times a year using good laboratory practices. 
The check standard must be an ordinary fuel with levels of the fuel 
parameter of interest close to either the applicable regulatory standard 
or the average level of use for the facility. For facilities using a 
VCSB designated method defined test method, the ARV of the check 
standard must be determined by the respective

[[Page 69]]

designated test method for the fuel parameter following the guidelines 
of ASTM D6299. Facilities using a VCSB alternative method defined test 
method must use the ARV of the check standard as determined in a VCSB 
Inter Laboratory Crosscheck Program (ILCP) or a commercially available 
ILCP following the guidelines of ASTM D6299. If the ARV is not provided 
in the ILCP, accuracy must be assessed based upon the respective EPA-
designated test method using appropriate production samples. The 
facility must construct ``MR'' and ``I'' charts with control lines as 
described in section 8.4 and appropriate Annex sections of this standard 
practice. In circumstances where the absolute difference between test 
results and the ARV of the check standard based on the designated 
primary test method is greater than 0.75 times the published 
reproducibility of the designated primary test method, the cause of such 
difference must be investigated by the facility. Participation in a VCSB 
ILCP or a commercially available ILCP meeting the ASTM D6299 
requirements for ILCP check standards, based on the designated primary 
test method, at least three times a year, and, meeting the requirements 
in this section for absolute differences between the test results and 
the ARV of the check standard based on the designated primary test 
method of less than 0.75 times the published reproducibility of the 
designated primary test method obtained through participation in the 
ILCP satisfies this Accuracy SQC requirement (Examples of VCSB ILCPs: 
ASTM Reformulated Gasoline ILCP or ASTM motor gasoline ILCP). Records of 
the standard reference materials measurements as well as any 
investigations into any exceedance of these criteria must be kept for a 
period of five years.
    (ii) The expanded uncertainty of the ARV of consensus named fuels 
shall be included in the following accuracy qualification criterion: 
Accuracy qualification criterion = square root [(0.75R)caret2 
+ (0.75R)caret2/L], where L = the number of single results 
obtained from different labs used to calculate the consensus ARV.
    (2)(i) Precision SQC. Every facility shall conduct tests of every 
instrument with a quality control material as defined in paragraph 3.2.8 
in ASTM D6299 either once per week or once per every 20 production 
tests, whichever is more frequent. The facility must construct and 
maintain an ``I'' chart as described in section 8 and section A1.5.1 and 
a ``MR'' chart as described in section A1.5.4. Any violations of control 
limit(s) shall be investigated by personnel of the facility and records 
kept for a period of five years. The test facility's long term site 
precision standard deviation, as demonstrated by the ``I'' chart and 
``M'' chart, must meet the applicable precision criterion as described 
in paragraph (d)(1), (e)(1), (f)(1), (g)(1), (h)(1), (i)(1), or (j)(1) 
of this section.
    (ii) Validation of New QC Material. When a test facility is making a 
transition from one batch of QC material to the next batch of QC 
material, the facility will either construct an ``I'' chart as described 
in section 8.7 and section A1.5.1 of ASTM D6299, or follow the ``Q-
Procedure'' in Annex 1.9 of ASTM D6299. In following the Q-Procedure if 
the plot of results from the ``old'' and ``new'' QC materials on its 
respective chart shows no special-cause signals, then the result of the 
``new'' QC material will be considered valid.
    (iii) For test facilities opting to use the Q-procedure, the first 
run on the new QC batch should be validated by either an overlap in-
control result of the old batch, or by a single execution of an 
accompanying standard reference material. The new QC material result 
would be considered validated if the single result of the standard 
reference material is within the established site precision (R') of the 
Accepted Reference Value of the standard reference material, as 
determined by ASTM D6792.
    (iv) [Reserved]
    (v) These records must be kept by the facility for a period of five 
years.
    (p) Accuracy and Precision Statistical Quality Control (SQC) 
Requirements for the Non-Voluntary Consensus Standard Based (Non-VCSB) 
Method-Defined Fuel Parameters. Beginning January 1, 2016, a test shall 
not be considered a test using an approved test method unless the 
following quality control procedures are performed separately for each

[[Page 70]]

instrument used to make measurements:
    (1)(i) Accuracy SQC for Non-VCSB Method-Defined test methods with 
minimal matrix effects. Every facility shall conduct tests on every 
instrument with a commercially available check standard as defined in 
the ASTM D6299 at least three times a year using good laboratory 
practices. The check standard must be an ordinary fuel with levels of 
the fuel parameter of interest close to either the applicable regulatory 
standard or the average level of use for the facility. Facilities using 
a Non-VCSB alternative method defined test method must use the ARV of 
the check standard as determined in either a VCSB Inter Laboratory 
Crosscheck Program (ILCP) or a commercially available ILCP following the 
guidelines of ASTM D6299. If the ARV is not provided in the ILCP, 
accuracy must be assessed based upon the respective EPA designated test 
method using appropriate production samples. The facility must construct 
``MR'' and ``I'' charts with control lines as described in section 8.4 
and appropriate Annex sections of this standard practice. In 
circumstances where the absolute difference between the mean of multiple 
back-to-back tests of the standard reference material and the ARV of the 
standard reference material is greater than 0.75 times the published 
reproducibility of the fuel parameter's respective designated test 
method, the cause of such difference must be investigated by the 
facility. Records of the standard reference materials measurements as 
well as any investigations into any exceedance of these criteria must be 
kept for a period of five years.
    (ii) The expanded uncertainty of the ARV of consensus named fuels 
shall be included in the following accuracy qualification criterion: 
Accuracy qualification criterion = square root [(0.75R)caret2 
+ (0.75R)caret2/L], where L = the number of single results 
obtained from different labs used to calculate the consensus ARV.
    (2)(i) Accuracy SQC for Non-VCSB Method-Defined test methods with 
high sensitivity to matrix effects. Every facility shall conduct tests 
on every instrument with a production fuel on at least a quarterly basis 
using good laboratory practices. The production fuel must be 
representative of the production fuels that are routinely analyzed by 
the facility. The ARV of the production fuel must be determined by the 
respective reference installation of the designated test method for the 
fuel parameter following the guidelines of ASTM D6299. The facility must 
construct ``MR'' and ``I'' charts with control lines as described in 
section 8.4 and appropriate Annex sections of this standard practice. In 
circumstances where the absolute difference between the mean of multiple 
back-to-back tests of the standard reference material and the ARV of the 
standard reference material is greater than 0.75 times the published 
reproducibility of the test method must be investigated by the facility. 
Documentation on the identity of the reference installation and its 
control status must be maintained on the premises of the method-defined 
alternative test method. Records of the standard reference materials 
measurements as well as any investigations into any exceedances of this 
criterion must be kept for a period of five years.
    (ii) Each facility is required to send every 20th production batch 
of gasoline or diesel fuel to EPA's laboratory, along with the 
facility's measurement result used to certify the batch using the 
respective method-defined non-VCSB test method. The EPA retains the 
right to return such sample on a blind basis for a required reanalysis 
on the respective method-defined non-VCSB test method within 180 days 
upon receipt of such sample.
    (3)(i) Precision SQC. Every facility shall conduct tests of every 
instrument with a quality control material as defined in paragraph 3.2.8 
in ASTM D6299 either once per week or once per every 20 production 
tests, whichever is more frequent. The facility must construct and 
maintain an ``I'' chart as described in section 8 and section A1.5.1 and 
a ``MR'' chart as described in section A1.5.4. Any violations of control 
limit(s) shall be investigated by personnel of the facility and records 
kept for a period of five years. The test facility's long term site 
precision standard deviation, as demonstrated by the ``I'' chart and 
``M'' chart, must meet

[[Page 71]]

the applicable precision criterion as described in paragraph (b)(1), 
(c)(1), (d)(1), (e)(1), (f)(1), (g)(1), (h)(1), (i)(1), or (j)(1) of 
this section.
    (ii) Validation of New QC Material. When a test facility is making a 
transition from one batch of QC material to the next batch of QC 
material, the facility will either construct an ``I'' chart as described 
in section 8.7 and section A1.5.1 of ASTM D6299, or follow the ``Q-
Procedure'' in Annex 1.9 of ASTM D6299. In following the Q-Procedure, if 
the plot of results from the ``old'' and ``new'' QC materials on its 
respective chart shows no special-cause signals, then the result of the 
``new'' QC material will be considered valid.
    (iii) For test facilities opting to use the Q-procedure, the first 
run on the new QC batch should be validated by either an overlap in-
control result of the old batch, or by a single execution of an 
accompanying standard reference material. The new QC material result 
would be considered validated if the single result of the standard 
reference material is within the established site precision (R') of the 
Accepted Reference Value of the standard reference material, as 
determined by ASTM D6792.
    (iv) [Reserved]
    (v) These records must be kept by the facility for a period of five 
years.
    (q) Record retention requirements for the test methods approved 
under this subpart. Each individual test facility must retain records 
related to the establishment of accuracy and precision values, all test 
method documentation, and any statistical quality control testing and 
analysis under this section using good laboratory practices for a period 
for five years.
    (r) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D86-07, Standard Test Method for Distillation of Petroleum 
Products at Atmospheric Pressure, approved January 15, 2007 (``ASTM 
D86'').
    (ii) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in 
Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved 
May 1, 2013 (``ASTM D1319'').
    (iii) ASTM D3606-10, Standard Test Method for Determination of 
Benzene and Toluene in Finished Motor and Aviation Gasoline by Gas 
Chromatography, approved October 1, 2010 (``ASTM D3606'').
    (iv) ASTM D5191-13, Standard Test Method for Vapor Pressure of 
Petroleum Products (Mini Method), approved December 1, 2013 (``ASTM 
D5191'').
    (v) 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'').
    (vi) ASTM D6299-13, Standard Practice for Applying Statistical 
Quality Assurance and Control Charting Techniques to Evaluate Analytical 
Measurement System Performance, approved October 1, 2013 (``ASTM 
D6299'').

[[Page 72]]

    (vii) ASTM D6667-10, Standard Test Method for Determination of Total 
Volatile Sulfur in Gaseous Hydrocarbons and Liquefied Petroleum Gases by 
Ultraviolet Fluorescence, approved October 1, 2010 (``ASTM D6667'').
    (viii) ASTM D6708-13, Standard Practice for Statistical Assessment 
and Improvement of Expected Agreement Between Two Test Methods that 
Purport to Measure the Same Property of a Material, approved May 1, 2013 
(``ASTM D6708'').
    (ix) ASTM D6792-13, Standard Practice for Quality System in 
Petroleum Products and Lubricants Testing Laboratories, approved May 15, 
2013 (``ASTM D6792'').
    (x) 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'').
    (2) [Reserved]

[79 FR 23633, Apr. 28, 2014, as amended at 80 FR 9091, Feb. 19, 2015; 85 
FR 7070, Feb. 6, 2020]



Sec.  80.48  Augmentation of the complex emission model by vehicle testing.

    (a) The provisions of this section apply only if a fuel claims 
emission reduction benefits from fuel parameters that are not included 
in the complex emission model or complex emission model database, or if 
the values of fuel parameters included in the complex emission model set 
forth in Sec.  80.45 fall outside the range of values for which the 
complex emission model is deemed valid.
    (b) To augment the complex emission model described at Sec.  80.45, 
the following requirements apply:
    (1) The petitioner must obtain prior approval from the Administrator 
for the design of the test program before beginning the vehicle testing 
process. To obtain approval, the petitioner must at minimum provide the 
following information: the fuel parameter to be evaluated for emission 
effects; the number and description of vehicles to be used in the test 
fleet, including model year, model name, vehicle identification number 
(VIN), mileage, emission performance (exhaust THC emission level), 
technology type, and manufacturer; a description of the methods used to 
procure and prepare the vehicles; the properties of the fuels to be used 
in the testing program (as specified at Sec.  80.49); the pollutants and 
emission categories intended to be evaluated; the precautions used to 
ensure that the effects of the parameter in question are independent of 
the effects of other parameters already included in the model; a 
description of the quality assurance procedures to be used during the 
test program; the statistical analysis techniques to be used in 
analyzing the test data, and the identity and location of the 
organization performing the testing.
    (2) Exhaust emissions shall be measured per the requirements of this 
section and Sec.  80.49 through Sec.  80.62.
    (3) The nonexhaust emission model (including evaporative, running 
loss, and refueling VOC and toxics emissions) shall not be augmented by 
vehicle testing.
    (4) The Agency reserves the right to observe and monitor any testing 
that is performed pursuant to the requirements of this section.
    (5) The Agency reserves the right to evaluate the quality and 
suitability of data submitted pursuant to the requirements of this 
section and to reject, re-analyze, or otherwise evaluate such data as is 
technically warranted.
    (6) Upon a showing satisfactory to the Administrator, the 
Administrator may approve a petition to waive the requirements of this 
section and Sec.  80.49, Sec.  80.50(a), Sec.  80.60(d)(3), and Sec.  
80.60(d)(4) in order to better optimize the test program to the needs of 
the particular fuel parameter. Any such waiver petition should provide 
information justifying the requested waiver, including an acceptable 
rationale and supporting data. Petitioners must obtain approval from the 
Administrator prior to conducting testing for which the requirements in 
question are waived. The Administrator may waive the noted requirements 
in whole or in part, and may impose appropriate conditions on any such 
waiver.
    (c) In the case of petitions to augment the complex model defined at 
Sec.  80.45 with a new parameter, the effect of the parameter being 
tested shall be

[[Page 73]]

determined separately, for each pollutant and for each emitter class 
category. If the parameter is not included in the complex model but is 
represented in whole or in part by one or more parameters included in 
the model, the petitioner shall be required to demonstrate the emission 
effects of the parameter in question independent of the effects of the 
already-included parameters. The petitioner shall also have to 
demonstrate the effects of the already-included parameters independent 
of the effects of the parameter in question. The emission performance of 
each vehicle on the fuels specified at Sec.  80.49, as measured through 
vehicle testing in accordance with Sec.  80.50 through Sec.  80.62, 
shall be analyzed to determine the effects of the fuel parameter being 
tested on emissions according to the following procedure:
    (1) The analysis shall fit a regression model to the natural 
logarithm of emissions measured from addition fuels 1, 2, and 3 only (as 
specified at Sec.  80.49(a) and adjusted as per paragraph (c)(1)(iv) of 
this section and Sec.  80.49(d)) that includes the following terms:
    (i) A term for each vehicle that shall reflect the effect of the 
vehicle on emissions independent of fuel compositions. These terms shall 
be of the form Di x Vi, where Di is the 
coefficient for the term and Vi is a dummy variable which 
shall have the value 1.0 for the ith vehicle and the value 0 for all 
other vehicles.
    (ii) A linear term in the parameter being tested for each emitter 
class, of the form Ai x (P1-P1 (avg)) x 
Ei, where Ai is the coefficient for the term, 
P1 is the level of the parameter in question, P1 
(avg) is the average level of the parameter in question for all seven 
test fuels specified at Sec.  80.49(a)(1), and Ei is a dummy 
variable representing emitter class, as defined at Sec.  80.62. For 
normal emitters, E1 = 1 and E2 = 0. For higher 
emitters, E1 = 0 and E2 = 1.
    (iii) For the VOC and NOX models, a squared term in the 
parameter being tested for each emitter class, of the form Bi 
x (P1-P1 (avg))\2\ x Ei, where 
Bi is the coefficient for the term and where P1 , 
P1 (avg), and Ei are as defined in paragraph 
(c)(1)(ii) of this section.
    (iv) To the extent that the properties of fuels 1, 2, and 3 which 
are incorporated in the complex model differ in value among the three 
fuels, the complex model shall be used to adjust the observed emissions 
from test vehicles on those fuels to compensate for those differences 
prior to fitting the regression model.
    (v) The Ai and Bi terms and coefficients 
developed by the regression described in this paragraph (c) shall be 
evaluated against the statistical criteria defined in paragraph (e) of 
this section. If both terms satisfy these criteria, then both terms 
shall be retained. If the Bi term satisfies these criteria 
and the Ai term does not, then both terms shall be retained. 
If the Bi term does not satisfy these criteria, then the 
Bi term shall be dropped from the regression model and the 
model shall be re-estimated. If, after dropping the Bi term 
and re-estimating the model, the Ai term does not satisfy 
these criteria, then both terms shall be dropped, all test data shall be 
reported to EPA, and the augmentation request shall be denied.
    (2) After completing the steps outlined in paragraph (c)(1) of this 
section, the analysis shall fit a regression model to a combined data 
set that includes vehicle testing results from all seven addition fuels 
specified at Sec.  80.49(a), the vehicle testing results used to develop 
the model specified at Sec.  80.45, and vehicle testing results used to 
support any prior augmentation requests which the Administrator deems 
necessary.
    (i) The analysis shall fit the regression models described in 
paragraphs (c)(2) (ii) through (v) of this section to the natural 
logarithm of measured emissions.
    (ii) All regressions shall include a term for each vehicle that 
shall reflect the effect of the vehicle on emissions independent of fuel 
compositions. These terms shall be of the form Di x 
Vi, where Di is the coefficient for the term and 
Vi is a dummy variable which shall have the value 1.0 for the 
ith vehicle and the value 0 for all other vehicles. Vehicles shall be 
represented by separate terms for each test program in which they were 
tested. The vehicle terms for the vehicles included in the

[[Page 74]]

test program undertaken by the petitioner shall be calculated based on 
the results from all seven fuels specified at Sec.  80.49(a). Note that 
the Di estimates for the petitioner's test vehicles in this 
regression are likely to differ from the Di estimates 
discussed in paragraph (c)(1)(i) of this section since they will be 
based on a different set of fuels.
    (iii) All regressions shall include existing complex model terms and 
their coefficients, including those augmentations that the Administrator 
deems necessary. All terms and coefficients shall be expressed in 
centered form. The Administrator shall make available upon request 
existing complex model terms and coefficients in centered form.
    (iv) All regressions shall include the linear and squared terms, and 
their coefficients, estimated in the final regression model described in 
paragraph (c)(1) of this section.
    (v) The VOC and NOX regressions shall include those 
interactive terms with other fuel parameters, of the form 
Ci(1, j) x (P1 - P1 (avg)) x 
(Pj - Pj (avg)) x Ei, where 
Ci(1, j) is the coefficient for the term, P1 is 
the level of the parameter being added to the model, P1 (avg) 
is the average level of the parameter being added for all seven addition 
fuels specified at Sec.  80.49(a), Pj is the level of the 
other fuel parameter, Pj (avg) is the centering value for the 
other fuel parameter used to develop the complex model or used in the 
other parameter's augmentation study, and Ei is as defined in 
paragraph (c)(1) of this section, which are found to satisfy the 
statistical criteria defined in paragraph (e) of this section. Such 
terms shall be added to the regression model in a stepwise manner.
    (3) The model described in paragraphs (c) (1) and (2) of this 
section shall be developed separately for normal-emitting and higher-
emitting vehicles. Each emitter class shall be treated as a distinct 
population for the purposes of determining regression coefficients.
    (4) Once the augmented models described in paragraphs (c) (1) 
through (3) of this section have been developed, they shall be converted 
to an uncentered form through appropriate algebraic manipulation.
    (5) The augmented model described in paragraph (c)(4) of this 
section shall be used to determine the effects of the parameter in 
question at levels between the levels in Fuels 1 and 3, as defined at 
Sec.  80.49(a)(1), for all fuels which claim emission benefits from the 
parameter in question.
    (d)(1) In the case of petitions to augment the complex model defined 
at Sec.  80.45 by extending the range of an existing complex model 
parameter, the effect of the parameter being tested shall be determined 
separately, for each pollutant and for each technology group and emitter 
class category, at levels between the extension level and the nearest 
limit of the core of the data used to develop the unaugmented complex 
model as follows:

------------------------------------------------------------------------
                                                       Data core limits
                   Fuel parameter                    -------------------
                                                        Lower     Upper
------------------------------------------------------------------------
Sulfur, ppm.........................................      10       450
RVP, psi............................................       7        10
E200, vol %.........................................      33        66
E300, vol %.........................................      72        94
Aromatics, vol %....................................      18        46
Benzene, vol %......................................       0.4       1.8
Olefins, vol %......................................       1        19
Oxygen, wt %........................................
  As ethanol........................................       0         3.4
  All others:.......................................       0         2.7
------------------------------------------------------------------------

    (2) The emission performance of each vehicle on the fuels specified 
at Sec.  80.49(b)(2), as measured through vehicle testing in accordance 
with Sec. Sec.  80.50 through 80.62, shall be analyzed to determine the 
effects of the fuel parameter being tested on emissions according to the 
following procedure:
    (i) The analysis shall incorporate the vehicle testing data from the 
extension fuels specified at Sec.  80.49(b), the vehicle testing results 
used to develop the model specified at Sec.  80.45, and vehicle testing 
results used to support any prior augmentation requests which the 
Administrator deems necessary. A regression incorporating the following 
terms shall be fitted to the natural logarithm of emissions contained in 
this combined data set:
    (A) A term for each vehicle that shall reflect the effect of the 
vehicle on emissions independent of fuel compositions. These terms shall 
be of the form Di x Vi, where Di is the 
coefficient for the term and Vi is a dummy variable which 
shall have the value 1.0 for the

[[Page 75]]

ith vehicle and the value 0 for all other vehicles. Vehicles shall be 
represented by separate terms for each test program in which they were 
tested. The vehicle terms for the vehicles included in the test program 
undertaken by the petitioner shall be calculated based on the results 
from all three fuels specified at Sec.  80.49(b)(2).
    (B) Existing complex model terms that do not include the parameter 
being extended and their coefficients, including those augmentations 
that the Administrator deems necessary. The centering values for these 
terms shall be identical to the centering values used to develop the 
complex model described at Sec.  80.45.
    (C) Existing complex model terms that include the parameter being 
extended. The coefficients for these terms shall be estimated by the 
regression. The centering values for these terms shall be identical to 
the centering values used to develop the complex model described at 
Sec.  80.45.
    (D) If the unaugmented VOC or NOX complex models do not 
contain a squared term for the parameter being extended, such a term 
should be added in a stepwise fashion after completing the model 
described in paragraphs (d)(2)(i)(A) through (C) of this section. The 
coefficient for this term shall be estimated by the regression. The 
centering value for this term shall be identical to the centering value 
used to develop the complex model described at Sec.  80.45.
    (E) The terms defined in paragraphs (d)(2)(i)(C) and (D) of this 
section shall be evaluated against the statistical criteria defined in 
paragraph (e) of this section.
    (ii) The model described in paragraph (d)(2)(i) of this section 
shall be developed separately for normal-emitting and higher-emitting 
vehicles, as defined at Sec.  80.62. Each emitter class shall be treated 
as a distinct population for the purposes of determining regression 
coefficients.
    (e) Statistical criteria. (1) The petitioner shall be required to 
submit evidence with the petition which demonstrates the statistical 
validity of the regression described in paragraph (c) or (d) of this 
section, including at minimum:
    (i) Evidence demonstrating that colinearity problems are not severe, 
including but not limited to variance inflation statistics of less than 
10 for the second-order and interactive terms included in the regression 
model.
    (ii) Evidence demonstrating that the regression residuals are 
normally distributed, including but not limited to the skewness and 
Kurtosis statistics for the residuals.
    (iii) Evidence demonstrating that overfitting and underfitting risks 
have been balanced, including but not limited to the use of Mallow's 
Cp criterion.
    (2) The petitioner shall be required to submit evidence with the 
petition which demonstrates that the appropriate terms have been 
included in the regression, including at minimum:
    (i) Descriptions of the analysis methods used to develop the 
regressions, including any computer code used to analyze emissions data 
and the results of regression runs used to develop the proposed 
augmentation, including intermediate regressions produced during the 
stepwise regression process.
    (ii) Evidence demonstrating that the significance level used to 
include terms in the model was equal to 0.90.
    (f) The complex emission model shall be augmented with the results 
of vehicle testing as follows:
    (1) The terms and coefficients determined in paragraph (c) or (d) of 
this section shall be used to supplement the complex emission model 
equation for the corresponding pollutant and emitter category. These 
terms and coefficients shall be weighted to reflect the contribution of 
the emitter category to in-use emissions as shown at Sec.  80.45.
    (2) If the candidate parameter is not included in the unaugmented 
complex model and is not represented in whole or in part by one or more 
parameters included in the model, the modification shall be accomplished 
by adding the terms and coefficients to the complex model equation for 
that pollutant, technology group, and emitter category.
    (3) If the parameter is included in the complex model but is being 
tested at levels beyond the current range of the model, the terms and 
coefficients determined in paragraph (d) of this section shall be used 
to supplement the

[[Page 76]]

complex emission model equation for the corresponding pollutant.
    (i) The terms and coefficients of the complex model described at 
Sec.  80.45 shall be used to evaluate the emissions performance of fuels 
with levels of the parameter being tested that are within the valid 
range of the model, as defined at Sec.  80.45.
    (ii) The emissions performance of fuels with levels of the parameter 
that are beyond the valid range of the unaugmented model shall be given 
in percentage change terms by 100 - [(100 + A) x (100 + C) / (100 + B)], 
where:
    (A) ``A'' shall be set equal to the percentage change in emissions 
for a fuel with identical fuel property values to the fuel being 
evaluated except for the parameter being extended, which shall be set 
equal to the nearest limit of the data core, using the unaugmented 
complex model.
    (B) ``B'' shall be set equal to the percentage change in emissions 
for the fuel described in paragraph (f)(3)(i) of this section according 
to the augmented complex model.
    (C) ``C'' shall be set equal to the percentage change in emissions 
of the actual fuel being evaluated using the augmented complex model.
    (g) EPA reserves the right to analyze the data generated during 
vehicle testing, to use such analyses to determine the validity of other 
augmentation petitions, and to use such data to update the complex model 
for use in certifying all reformulated gasolines.
    (h) Duration of acceptance of emission effects determined through 
vehicle testing:
    (1) If the Agency does not accept, modify, or reject a particular 
augmentation for inclusion in an updated complex model (performed 
through rulemaking), then the augmentation shall remain in effect until 
the next update to the complex model takes effect.
    (2) If the Agency does reject or modify a particular augmentation 
for inclusion in an updated complex model, then the augmentation shall 
no longer be able to be used as of the date the updated complex model is 
deemed to take effect, unless the following conditions and limitations 
apply:
    (i) The augmentation in question may continue to be used by those 
fuel suppliers which can prove, to the Administrator's satisfaction, 
that the fuel supplier had already begun producing a fuel utilizing the 
augmentation at the time the revised model is promulgated.
    (ii) The augmentation in question may only be used to evaluate the 
emissions performance of fuels in conjunction with the complex emission 
model in effect as of the date of production of the fuels.
    (iii) The augmentation may only be used for three years of fuel 
production, or a total of five years from the date the augmentation 
first took effect, whichever is shorter.
    (3) The Administrator shall determine when sufficient new 
information on the effects of fuel properties on vehicle emissions has 
been obtained to warrant development of an updated complex model.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36962, July 20, 1994]



Sec.  80.49  Fuels to be used in augmenting the complex emission model
through vehicle testing.

    (a) Seven fuels (hereinafter called the ``addition fuels'') shall be 
tested for the purpose of augmenting the complex emission model with a 
parameter not currently included in the complex emission model. The 
properties of the addition fuels are specified in paragraphs (a)(1) and 
(2) of this section. The addition fuels shall be specified with at least 
the same level of detail and precision as in paragraph (a)(5)(i) of this 
section, and this information must be included in the petition submitted 
to the Administrator requesting augmentation of the complex emission 
model.
    (1) The seven addition fuels to be tested when augmenting the 
complex model specified at Sec.  80.45 with a new fuel parameter shall 
have the properties specified as follows:

[[Page 77]]



              Properties of Fuels To Be Tested When Augmenting the Model With a New Fuel Parameter
----------------------------------------------------------------------------------------------------------------
                                                                     Fuels
        Fuel property        -----------------------------------------------------------------------------------
                                   1           2           3           4           5           6           7
----------------------------------------------------------------------------------------------------------------
Sulfur, ppm.................  150         150         150         35          35          500         500
Benzene, vol %..............  1.0         1.0         1.0         0.5         0.5         1.3         1.3
RVP, psi....................  7.5         7.5         7.5         6.5         6.5         8.1         8.1
E200, %.....................  50          50          50          62          62          37          37
E300, %.....................  85          85          85          92          92          79          79
Aromatics, vol %............  27          27          27          20          20          45          45
Olefins, vol %..............  9.0         9.0         9.0         2.0         2.0         18          18
Oxygen, wt %................  2.1         2.1         2.1         2.7         2.7         1.5         1.5
Octane, (R + M)/2...........  87          87          87          87          87          87          87
New Parameter \1\...........  C           (C + B)/2   B           C           B           C           B
----------------------------------------------------------------------------------------------------------------
\1\ C = Candidate level, B = Baseline level.

    (i) For the purposes of vehicle testing, the ``baseline'' level of 
the parameter shall refer to the level of the parameter in Clean Air Act 
baseline gasoline. The ``candidate'' level of the parameter shall refer 
to the most extreme value of the parameter, relative to baseline levels, 
for which the augmentation shall be valid.
    (ii) If the fuel parameter for which the fuel supplier is 
petitioning EPA to augment the complex emission model (hereinafter 
defined as the ``candidate parameter'') is not specified for Clean Air 
Act summer baseline fuel, then the baseline level for the candidate 
parameter shall be set at the levels found in typical gasoline. This 
level and the justification for this level shall be included in the 
petitioner's submittal to EPA prior to initiating the test program, and 
EPA must approve this level prior to the start of the program.
    (iii) If the candidate parameter is not specified for Clean Air Act 
summer baseline fuel, and is not present in typical gasoline, its 
baseline level shall be zero.
    (2) The addition fuels shall contain detergent control additives in 
accordance with section 211(l) of the Clean Air Act Amendments of 1990 
and the associated EPA requirements for such additives.
    (3) The addition fuels shall be specified with at least the same 
level of detail and precision as in paragraph (a)(5)(i) of this section, 
and this information shall be included in the petition submitted to the 
Administrator requesting augmentation of the complex emission model.
    (i) Paraffin levels in Fuels 1 and 2 shall be altered from the 
paraffin level in Fuel 3 to compensate for the addition or removal of 
the candidate parameter, if necessary. Paraffin levels in Fuel 4 shall 
be altered from the paraffin level in Fuel 5 to compensate for the 
addition or removal of the candidate parameter, if necessary. Paraffin 
levels in Fuel 6 shall be altered from the paraffin level in Fuel 7 to 
compensate for the addition or removal of the candidate parameter, if 
necessary.
    (ii) Other properties of Fuels 4 and 6 shall not vary from the 
levels for Fuels 5 and 7, respectively, unless such variations are the 
naturally-occurring result of the changes described in paragraphs (a)(1) 
and (2) of this section. Other properties of Fuels 1 and 2 shall not 
vary from the levels for Fuel 3, unless such variations are the 
naturally- occurring result of the changes described in paragraphs 
(a)(1) and (2) of this section.
    (iii) The addition fuels shall be specified with at least the same 
level of detail and precision as defined in paragraph (a)(5)(i) of this 
section, and this information must be included in the petition submitted 
to the Administrator requesting augmentation of the complex emission 
model.
    (4) The properties of the addition fuels shall be within the 
blending tolerances defined in this paragraph (a)(4) relative to the 
values specified in paragraphs (a)(1) and (2) of this section. Fuels 
that do not meet these tolerances shall require the approval of the 
Administrator to be used in vehicle

[[Page 78]]

testing to augment the complex emission model:

------------------------------------------------------------------------
              Fuel parameter                     Blending tolerance
------------------------------------------------------------------------
Sulfur content............................  25
                                             ppm.
Benzene content...........................  0.2
                                             vol %.
RVP.......................................  0.2
                                             psi.
E200 level................................  2 %.
E300 level................................  4 %.
Oxygenate content.........................  1.0
                                             vol %.
Aromatics content.........................  2.7
                                             vol %.
Olefins content...........................  2.5
                                             vol %.
Saturates content.........................  2.0
                                             vol %.
Octane....................................  0.5.
Detergent control additives...............  10% of
                                             the level required by EPA's
                                             detergents rule.
Candidate parameter.......................  To be determined as part of
                                             the augmentation process.
------------------------------------------------------------------------

    (5) The composition and properties of the addition fuels shall be 
determined by averaging a series of independent tests of the properties 
and compositional factors defined in paragraph (a)(5)(i) of this section 
as well as any additional properties or compositional factors for which 
emission benefits are claimed.
    (i) The number of independent tests to be conducted shall be 
sufficiently large to reduce the measurement uncertainty for each 
parameter to a sufficiently small value. At a minimum the 95% confidence 
limits (as calculated using a standard t-test) for each parameter must 
be within the following range of the mean measured value of each 
parameter:

------------------------------------------------------------------------
              Fuel parameter                   Measurement uncertainty
------------------------------------------------------------------------
API gravity...............................  0.2[deg]API
Sulfur content............................  10 ppm
Benzene content...........................  0.02
                                             vol %
RVP.......................................  0.05
                                             psi
Octane....................................  0.2 (R
                                             + M/2)
E200 level................................  2%
E300 level................................  2%
Oxygenate content.........................  0.2
                                             vol %
Aromatics content.........................  0.5
                                             vol %
Olefins content...........................  0.3
                                             vol %
Saturates content.........................  1.0
                                             vol %
Detergent control Additives...............  2% of
                                             the level required by EPA's
                                             detergents rule.
------------------------------------------------------------------------

    (ii) The 95% confidence limits for measurements of fuel parameters 
for which emission reduction benefits are claimed and for which 
tolerances are not defined in paragraph (a)(5)(i) of this section must 
be within 5% of the mean measured value.
    (iii) Each test must be conducted in the same laboratory in 
accordance with the procedures outlined at Sec.  80.46.
    (b) Three fuels (hereinafter called ``extention fuels'') shall be 
tested for purpose of extending the valid range of the complex emission 
model for a parameter currently included in the complex emission model. 
The properties of the extension fuels are specified in paragraphs (b)(2) 
through (4) of this section. The extension fuels shall be specified with 
at least the same level of detail and precision as in paragraph 
(a)(5)(i) of this section, and this information must be included in the 
petition submitted to the Administrator requesting augmentation of the 
complex emission model. Each set of three extension fuels shall be used 
only to extend the range of a single complex model parameter.
    (1) The ``extension level'' shall refer to the level to which the 
parameter being tested is to be extended. The three fuels to be tested 
when extending the range of fuel parameters already included in the 
complex model or a prior augmentation to the complex model shall be 
referred to as ``extension fuels.''
    (2) The composition and properties of the extension fuels shall be 
as described in paragraphs (b)(2) (i) and (ii) of this section.
    (i) The extension fuels shall have the following levels of the 
parameter being extended:

        Level of Existing Complex Model Parameters Being Extended
------------------------------------------------------------------------
                                 Extension fuel    Extension   Extension
 Fuel property being extended         No. 1       fuel No. 2  fuel No. 3
------------------------------------------------------------------------
Sulfur, ppm...................  Extension level.        80         450
Benzene, vol %................  Extension level.         0.5         1.5
RVP, psi......................  Extension level.         6.7         8.0
E200, %.......................  Extension level.        38          61
E300, %.......................  Extension level.        78          92
Aromatics, vol %..............  Extension level.        20          45
Olefins, vol %................  Extension level.         3.0        18
Oxygen, wt %..................  Extension level.         1.7         2.7
Octane, R + M/2...............  87..............        87          87
------------------------------------------------------------------------

    (ii) The levels of parameters other than the one being extended 
shall be given by the following table for all three extension fuels:

       Levels for Fuel Parameters Other Than Those Being Extended
------------------------------------------------------------------------
                                         Extension  Extension  Extension
             Fuel property                fuel No.   fuel No.   fuel No.
                                             1          2          3
------------------------------------------------------------------------
Sulfur, ppm............................      150        150        150

[[Page 79]]

 
Benzene, vol %.........................        1.0        1.0        1.0
RVP, psi...............................        7.5        7.5        7.5
E200, %................................       50         50         50
E300, %................................       85         85         85
Aromatics, vol %.......................       25         25         25
Olefins, vol %.........................        9.0        9.0        9.0
Oxygen, wt %...........................        2.0        2.0        2.0
Octane, R + M/2........................       87         87         87
------------------------------------------------------------------------

    (3) If the Complex Model for any pollutant includes one or more 
interactive terms involving the parameter being extended, then two 
additional extension fuels shall be required to be tested for each such 
interactive term. These additional extension fuels shall have the 
following properties:
    (i) The parameter being tested shall be present at its extension 
level.
    (ii) The interacting parameter shall be present at the levels 
specified in paragraph (b)(2)(i) of this section for extension Fuels 2 
and 3.
    (iii) All other parameters shall be present at the levels specified 
in paragraph (b)(2)(ii) of this section.
    (4) All extension fuels shall contain detergent control additives in 
accordance with Section 211(l) of the Clean Air Act Amendments of 1990 
and the associated EPA requirements for such additives.
    (c) The addition fuels defined in paragraph (a) of this section and 
the extension fuels defined in paragraph (b) of this section shall meet 
the following requirements for blending and measurement precision:
    (1) The properties of the test and extension fuels shall be within 
the blending tolerances defined in this paragraph (c) relative to the 
values specified in paragraphs (a) and (b) of this section. Fuels that 
do not meet the following tolerances shall require the approval of the 
Administrator to be used in vehicle testing to augment the complex 
emission model:

------------------------------------------------------------------------
              Fuel parameter                     Blending tolerance
------------------------------------------------------------------------
Sulfur content............................  25
                                             ppm.
Benzene content...........................  0.2
                                             vol %.
RVP.......................................  0.2
                                             psi.
E200 level................................  2 %.
E300 level................................  4 %.
Oxygenate content.........................  1.5
                                             vol %.
Aromatics content.........................  2.7
                                             vol %.
Olefins content...........................  2.5
                                             vol %.
Saturates content.........................  2.0
                                             vol %.
Octane....................................  0.5.
Candidate parameter.......................  To be determined as part of
                                             the augmentation process.
------------------------------------------------------------------------

    (2) The extension and addition fuels shall be specified with at 
least the same level of detail and precision as defined in paragraph 
(c)(2)(ii) of this section, and this information must be included in the 
petition submitted to the Administrator requesting augmentation of the 
complex emission model.
    (i) The composition and properties of the addition and extension 
fuels shall be determined by averaging a series of independent tests of 
the properties and compositional factors defined in paragraph (c)(2)(ii) 
of this section as well as any additional properties or compositional 
factors for which emission benefits are claimed.
    (ii) The number of independent tests to be conducted shall be 
sufficiently large to reduce the measurement uncertainty for each 
parameter to a sufficiently small value. At a minimum the 95% confidence 
limits (as calculated using a standard t-test) for each parameter must 
be within the following range of the mean measured value of each 
parameter:

------------------------------------------------------------------------
              Fuel parameter                   Measurement uncertainty
------------------------------------------------------------------------
API gravity...............................  0.2
                                             [deg]API.
Sulfur content............................  5 ppm.
Benzene content...........................  0.05
                                             vol %.
RVP.......................................  0.08
                                             psi.
Octane....................................  0.1 (R
                                             + M/2).
E200 level................................  2 %.
E300 level................................  2 %.
Oxygenate content.........................  0.2
                                             vol %.
Aromatics content.........................  0.5
                                             vol %.
Olefins content...........................  0.3
                                             vol %.
Saturates content.........................  1.0
                                             vol.%
Octane....................................  0.2.
Candidate parameter.......................  To be determined as part of
                                             the augmentation process.
------------------------------------------------------------------------

    (iii) Petitioners shall obtain approval from EPA for the 95% 
confidence limits for measurements of fuel parameters for which emission 
reduction benefits are claimed and for which tolerances are not defined 
in paragraph (c)(2)(i) of this section.
    (iv) Each test must be conducted in the same laboratory in 
accordance with the procedures outlined at Sec.  80.46.

[[Page 80]]

    (v) The complex emission model described at Sec.  80.45 shall be 
used to adjust the emission performance of the addition and extension 
fuels to compensate for differences in fuel compositions that are 
incorporated in the complex model, as described at Sec.  80.48. 
Compensating adjustments for naturally-resulting variations in fuel 
parameters shall also be made using the complex model. The adjustment 
process is described in paragraph (d) of this section.
    (d) The complex emission model described at Sec.  80.45 shall be 
used to adjust the emission performance of addition and extension fuels 
to compensate for differences in fuel parameters other than the 
parameter being tested. Compensating adjustments for naturally-resulting 
variations in fuel parameters shall also be made using the complex 
model. These adjustments shall be calculated as follows:
    (1) Determine the exhaust emissions performance of the actual 
addition or extension fuels relative to the exhaust emissions 
performance of Clean Air Act baseline fuel using the complex model. For 
addition fuels, set the level of the parameter being tested at baseline 
levels for purposes of emissions performance evaluation using the 
complex model. For extension fuel 1, set the level of the parameter 
being extended at the level specified in extension fuel 2. Also 
determine the exhaust emissions performance of the addition fuels 
specified in paragraph (a)(1) of this section with the level of the 
parameter being tested set at baseline levels.
    (2) Calculate adjustment factors for each addition fuel as follows:
    (i) Adjustment factors shall be calculated using the formula:
    [GRAPHIC] [TIFF OMITTED] TR16FE94.006
    
where

A = the adjustment factor
P(actual) = the performance of the actual fuel used in testing according 
          to the complex model
P(nominal) = the performance that would have been achieved by the test 
          fuel defined in paragraph (a)(1) of this section according to 
          the complex model (as described in paragraph (d)(1) of this 
          section).

    (ii) Adjustment factors shall be calculated for each pollutant and 
for each emitter class.
    (3) Multiply the measured emissions from each vehicle by the 
corresponding adjustment factor for the appropriate addition or 
extension fuel, pollutant, and emitter class. Use the resulting adjusted 
emissions to conduct all modeling and emission effect estimation 
activities described in Sec.  80.48.
    (e) All fuels included in vehicle testing programs shall have an 
octane number of 87.5, as measured by the (R + M)/2 method following the 
ASTM D4814 procedures, to within the measurement and blending tolerances 
specified in paragraph (c) of this section.
    (f) A single batch of each addition or extension fuel shall be used 
throughout the duration of the testing program.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36962, July 20, 1994; 71 
FR 74567, Dec. 15, 2005]



Sec.  80.50  General test procedure requirements for augmentation of
the emission models.

    (a) The following test procedure must be followed when testing to 
augment the complex emission model described at Sec.  80.45.
    (1) VOC, NOX, CO, and CO2 emissions must be 
measured for all fuel-vehicle combinations tested.
    (2) Toxics emissions must be measured when testing the extension 
fuels per the requirements of Sec.  80.49(b) or when testing addition 
fuels 1, 2, or 3 per the requirements of Sec.  80.49(a).
    (3) When testing addition fuels 4, 5, 6, and 7 per the requirements 
of Sec.  80.49(a), toxics emissions need not be measured. However, EPA 
reserves the right to require the inclusion of such measurements in the 
test program prior to approval of the test program if evidence exists 
which suggests that adverse interactive effects of the parameter in 
question may exist for toxics emissions.
    (b) The general requirements per 40 CFR 86.130-96 shall be met.
    (c) The engine starting and restarting procedures per 40 CFR 86.136-
90 shall be followed.
    (d) Except as provided for at Sec.  80.59, general preparation of 
vehicles being

[[Page 81]]

tested shall follow procedures detailed in 40 CFR 86.130-96 and 86.131-
96.

[59 FR 7813, Feb. 16, 1994, as amended at 71 FR 74567, Dec. 15, 2005]



Sec.  80.51  Vehicle test procedures.

    The test sequence applicable when augmenting the emission models 
through vehicle testing is as follows:
    (a) Prepare vehicles per Sec.  80.50.
    (b) Initial preconditioning per Sec.  80.52(a)(1). Vehicles shall be 
refueled randomly with the fuels required in Sec.  80.49 when testing to 
augment the complex emission model.
    (c) Exhaust emissions tests, dynamometer procedure per 40 CFR 
86.137-90 with:
    (1) Exhaust Benzene and 1,3-Butadiene emissions measured per Sec.  
80.55; and
    (2) Formaldehyde and Acetelaldehyde emissions measured per Sec.  
80.56.



Sec.  80.52  Vehicle preconditioning.

    (a) Initial vehicle preconditioning and preconditioning between 
tests with different fuels shall be performed in accordance with the 
``General vehicle handling requirements'' per 40 CFR 86.132-96, up to 
and including the completion of the hot start exhaust test.
    (b) The preconditioning procedure prescribed at 40 CFR 86.132-96 
shall be observed for preconditioning vehicles between tests using the 
same fuel.



Sec. Sec.  80.53-80.54  [Reserved]



Sec.  80.55  Measurement methods for benzene and 1,3-butadiene.

    (a) Sampling for benzene and 1,3-butadiene must be accomplished by 
bag sampling as used for total hydrocarbons determination. This 
procedure is detailed in 40 CFR 86.109.
    (b) Benzene and 1,3-butadiene must be analyzed by gas 
chromatography. Expected values for benzene and 1,3-butadiene in bag 
samples for the baseline fuel are 4.0 ppm and 0.30 ppm respectively. At 
least three standards ranging from at minimum 50% to 150% of these 
expected values must be used to calibrate the detector. An additional 
standard of at most 0.01 ppm must also be measured to determine the 
required limit of quantification as described in paragraph (d) of this 
section.
    (c) The sample injection size used in the chromatograph must be 
sufficient to be above the laboratory determined limit of quantification 
(LOQ) as defined in paragraph (d) of this section for at least one of 
the bag samples. A control chart of the measurements of the standards 
used to determine the response, repeatability, and limit of quantitation 
of the instrumental method for 1,3-butadiene and benzene must be 
reported.
    (d) As in all types of sampling and analysis procedures, good 
laboratory practices must be used. See, Lawrence, Principals of 
Environmental Analysis, 55 Analytical Chemistry 14, at 2210-2218 (1983) 
(copies may be obtained from the publisher, American Chemical Society, 
1155 16th Street NW., Washington, DC 20036). Reporting reproducibility 
control charts and limits of detection measurements are integral 
procedures to assess the validity of the chosen analytical method. The 
repeatability of the test method must be determined by measuring a 
standard periodically during testing and recording the measured values 
on a control chart. The control chart shows the error between the 
measured standard and the prepared standard concentration for the 
periodic testing. The error between the measured standard and the actual 
standard indicates the uncertainty in the analysis. The limit of 
detection (LOD) is determined by repeatedly measuring a blank and a 
standard prepared at a concentration near an assumed value of the limit 
of detection. If the average concentration minus the average of the 
blanks is greater than three standard deviations of these measurements, 
then the limit of detection is at least as low as the prepared standard. 
The limit of quantitation (LOQ) is defined as ten times the standard 
deviation of these measurements. This quantity defines the amount of 
sample required to be measured for a valid analysis.
    (e) Other sampling and analytical techniques will be allowed if they 
can be proven to have equal specificity and equal or better limits of 
quantitation. Data from alternative methods that can be demonstrated to 
have equivalent or superior limits of detection,

[[Page 82]]

precision, and accuracy may be accepted by the Administrator with 
individual prior approval.



Sec.  80.56  Measurement methods for formaldehyde and acetaldehyde.

    (a) Formaldehyde and acetaldehyde will be measured by drawing 
exhaust samples from heated lines through either 2,4-
Dinitrophenylhydrazine (DNPH) impregnated cartridges or impingers filled 
with solutions of DNPH in acetonitrile (ACN) as described in Sec. Sec.  
86.109 and 86.140 of this chapter for formaldehyde analysis. Diluted 
exhaust sample volumes must be at least 15 L for impingers containing 20 
ml of absorbing solution (using more absorbing solution in the impinger 
requires proportionally more gas sample to be taken) and at least 4 L 
for cartridges. As required in Sec.  86.109 of this chapter, two 
impingers or cartridges must be connected in series to detect 
breakthrough of the first impinger or cartridge.
    (b) In addition, sufficient sample must be drawn through the 
collecting cartridges or impingers so that the measured quantity of 
aldehyde is sufficiently greater than the minimum limit of quantitation 
of the test method for at least a portion of the exhaust test procedure. 
The limit of quantitation is determined using the technique defined in 
Sec.  80.55(d).
    (c) Each of the impinger samples are quantitatively transferred to a 
25 mL volumetric flask (5 mL more than the sample impinger volume) and 
brought to volume with ACN. The cartridge samples are eluted in reversed 
direction by gravity feed with 6mL of ACN. The eluate is collected in a 
graduated test tube and made up to the 5mL mark with ACN. Both the 
impinger and cartridge samples must be analyzed by HPLC without 
additional sample preparation.
    (d) The analysis of the aldehyde derivatives collected is 
accomplished with a high performance liquid chromatograph (HPLC). 
Standards consisting of the hydrazone derivative of formaldehyde and 
acetaldehyde are used to determine the response, repeatability, and 
limit of quantitation of the HPLC method chosen for acetaldehyde and 
formaldehyde.
    (e) Other sampling and analytical techniques will be allowed if they 
can be proven to have equal specificity and equal or better limits of 
quantitation. Data from alternative methods that can be demonstrated to 
have equivalent or superior limits of detection, precision, and accuracy 
may be accepted by the Administrator with individual prior approval.



Sec. Sec.  80.57-80.58  [Reserved]



Sec.  80.59  General test fleet requirements for vehicle testing.

    (a) The test fleet must consist of only 1989-91 MY vehicles which 
are technologically equivalent to 1990 MY vehicles, or of 1986-88 MY 
vehicles for which no changes to the engine or exhaust system that would 
significantly affect emissions have been made through the 1990 model 
year. To be technologically equivalent vehicles at minimum must have 
closed-loop systems and possess adaptive learning.
    (b) No maintenance or replacement of any vehicle component is 
permitted except when necessary to ensure operator safety or as 
specifically permitted in Sec.  80.60 and Sec.  80.61. All vehicle 
maintenance procedures must be reported to the Administrator.
    (c) Each vehicle in the test fleet shall have no fewer than 4,000 
miles of accumulated mileage prior to being included in the test 
program.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36962, July 20, 1994]



Sec.  80.60  Test fleet requirements for exhaust emission testing.

    (a) Candidate vehicles which conform to the emission performance 
requirements defined in paragraphs (b) through (d) of this section shall 
be obtained directly from the in-use fleet and tested in their as-
received condition.
    (b) Candidate vehicles for the test fleet must be screened for their 
exhaust VOC emissions in accordance with the provisions in Sec.  80.62.
    (c) On the basis of pretesting pursuant to paragraph (b) of this 
section, the test fleet shall be subdivided into two emitter group sub-
fleets: the normal emitter group and the higher emitter group.

[[Page 83]]

    (1) Each vehicle with an exhaust total hydrocarbon (THC) emissions 
rate which is less than or equal to twice the applicable emissions 
standard shall be placed in the normal emitter group.
    (2) Each vehicle with an exhaust THC emissions rate which is greater 
than two times the applicable emissions standard shall be placed in the 
higher emitter group.
    (d) The test vehicles in each emitter group must conform to the 
requirements of paragraphs (d)(1) through (4) of this section.
    (1) Test vehicles for the normal emitter sub-fleet must be selected 
from the list shown in this paragraph (d)(1). This list is arranged in 
order of descending vehicle priority, such that the order in which 
vehicles are added to the normal emitter sub-fleet must conform to the 
order shown (e.g., a ten-vehicle normal emitter group sub-fleet must 
consist of the first ten vehicles listed in this paragraph (d)(1)). If 
more vehicles are tested than the minimum number of vehicles required 
for the normal emitter sub-fleet, additional vehicles are to be added to 
the fleet in the order specified in this paragraph (d)(1), beginning 
with the next vehicle not already included in the group. The vehicles in 
the normal emitter sub-fleet must possess the characteristics indicated 
in the list. If the end of the list is reached in adding vehicles to the 
normal emitter sub-fleet and additional vehicles are desired then they 
shall be added beginning with vehicle number one, and must be added to 
the normal emitter sub-fleet in accordance with the order in table A:

                                                             Table A--Test Fleet Definitions
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                            Tech.
             Veh. No.                   Fuel system            Catalyst            Air injection             EGR            group        Manufacturer
--------------------------------------------------------------------------------------------------------------------------------------------------------
1................................  Multi...............  3W..................  No Air..............  EGR................          1  GM.
2................................  Multi...............  3W..................  No Air..............  No EGR.............          2  Ford.
3................................  TBI.................  3W..................  No Air..............  EGR................          3  GM.
4................................  Multi...............  3W + OX.............  Air.................  EGR................          4  Ford.
5................................  Multi...............  3W..................  No Air..............  EGR................          1  Honda.
6................................  Multi...............  3W..................  No Air..............  No EGR.............          2  GM.
7................................  TBI.................  3W..................  No Air..............  EGR................          3  Chrysler.
8................................  Multi...............  3W + OX.............  Air.................  EGR................          4  GM.
9................................  TBI.................  3W + OX.............  Air.................  EGR................          7  Chrysler.
10...............................  Multi...............  3W..................  Air.................  EGR................          5  Toyota.
11...............................  Multi...............  3W..................  No Air..............  EGR................          1  Ford.
12...............................  Multi...............  3W..................  No Air..............  No EGR.............          2  Chrysler.
13...............................  Carb................  3W + OX.............  Air.................  EGR................          9  Toyota.
14...............................  TBI.................  3W..................  No Air..............  EGR................          3  Ford.
15...............................  Multi...............  3W + OX.............  Air.................  EGR................          4  GM.
16...............................  Multi...............  3W..................  No Air..............  EGR................          1  Toyota.
17...............................  Multi...............  3W..................  No Air..............  No EGR.............          2  Mazda.
18...............................  TBI.................  3W..................  No Air..............  EGR................          3  GM.
19...............................  Multi...............  3W + OX.............  Air.................  EGR................          4  Ford.
20...............................  Multi...............  3W..................  No Air..............  EGR................          1  Nissan.
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                   Table B--Tech Group Definitions in Table A
----------------------------------------------------------------------------------------------------------------
           Tech group                 Fuel system          Catalyst          Air injection            EGR
----------------------------------------------------------------------------------------------------------------
1...............................  Multi.............  3W................  No Air............  EGR.
2...............................  Multi.............  3W................  No Air............  No EGR.
3...............................  TBI...............  3W................  No Air............  EGR.
4...............................  Multi.............  3W + OX...........  Air...............  EGR.
5...............................  Multi.............  3W................  Air...............  EGR.
6...............................  TBI...............  3W................  Air...............  EGR.
7...............................  TBI...............  3W + OX...........  Air...............  EGR.
8...............................  TBI...............  3W................  No Air............  No EGR.
9...............................  Carb..............  3W + OX...........  Air...............  EGR.
----------------------------------------------------------------------------------------------------------------


Legend:

Fuel system:
    Multi = Multi-point fuel injection
    TBI = Throttle body fuel injection
    Carb = Carburetted
Catalyst:

[[Page 84]]

    3W = 3-Way catalyst
    3W + OX = 3-Way catalyst plus an oxidation catalyst
Air Injection:
    Air = Air injection
EGR = Exhaust gas recirculation

    (2) Test vehicles for the higher emitter sub-fleet shall be selected 
from the in-use fleet in accordance with paragraphs (a) and (b) of this 
section and with Sec.  80.59. Test vehicles for the higher emitter sub-
fleet are not required to follow the pattern established in paragraph 
(d)(1) of this section.
    (3) The minimum test fleet size is 20 vehicles. Half of the vehicles 
tested must be included in the normal emitter sub-fleet and half of the 
vehicles tested must be in the higher emitter sub-fleet. If additional 
vehicles are tested beyond the minimum of twenty vehicles, the 
additional vehicles shall be distributed equally between the normal and 
higher emitter sub-fleets.
    (4) For each emitter group sub-fleet, 70 9.5% 
of the sub-fleet must be LDVs, & 30 9.5% must be 
LDTs. LDTs include light-duty trucks class 1 (LDT1), and light-duty 
trucks class 2 (LDT2) up to 8500 lbs GVWR.



Sec.  80.61  [Reserved]



Sec.  80.62  Vehicle test procedures to place vehicles in emitter group sub-fleets.

    One of the two following test procedures must be used to screen 
candidate vehicles for their exhaust THC emissions to place them within 
the emitter group sub-fleets in accordance with the requirements of 
Sec.  80.60.
    (a) Candidate vehicles may be tested for their exhaust THC emissions 
using the Federal test procedure as detailed in 40 CFR part 86, with 
gasoline conforming to requirements detailed in 40 CFR 86.113-90. The 
results shall be used in accordance with the requirements in Sec.  80.60 
to place the vehicles within their respective emitter groups.
    (b) Alternatively, candidate vehicles may be screened for their 
exhaust THC emissions with the IM240 short test procedure. \1\ The 
results from the IM240 shall be converted into results comparable with 
the standard exhaust FTP as detailed in this paragraph (b) to place the 
vehicles within their respective emitter groups in accordance with the 
requirements of Sec.  80.60.
---------------------------------------------------------------------------

    \1\ EPA Technical Report EPA-AA-TSS-91-1. Copies may be obtained by 
ordering publication number PB92104405 from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, Virginia 22161.
---------------------------------------------------------------------------

    (1) A candidate vehicle with IM240 test results <0.367 grams THC per 
vehicle mile shall be classified as a normal emitter.
    (2) A candidate vehicle with IM240 test results =0.367 
grams THC per vehicle mile shall be classified as a higher emitter.



Sec. Sec.  80.63-80.64  [Reserved]



Sec.  80.65  General requirements for refiners and importers.

    (a) Date requirements begin. The requirements of this subpart D 
apply to all gasoline produced, imported, transported, stored, sold, or 
dispensed:
    (1) At any location other than retail outlets and wholesale 
purchaser-consumer facilities on or after December 1, 1994; and
    (2) At any location on or after January 1, 1995.
    (b) Certification of gasoline and RBOB. Gasoline or RBOB sold or 
dispensed in a covered area must be certified under Sec.  80.40.
    (c) Standards must be met on either a per-gallon or on an average 
basis. (1) Any refiner or importer, for each batch of reformulated 
gasoline or RBOB it produces or imports, shall meet:
    (i) Those standards and requirements it designated under paragraph 
(d) of this section for per-gallon compliance on a per-gallon basis; and
    (ii) Those standards and requirements it designated under paragraph 
(d) of this section for average compliance on an average basis over the 
applicable averaging period.
    (2) [Reserved]
    (3)(i) For each averaging period, and separately for each parameter 
that may be met either per-gallon or on average, any refiner shall 
designate for each refinery, or any importer shall designate its 
gasoline or RBOB as being subject to the standard applicable to that 
parameter on either a per-

[[Page 85]]

gallon or average basis. For any specific averaging period and parameter 
all batches of gasoline or RBOB shall be designated as being subject to 
the per-gallon standard, or all batches of gasoline and RBOB shall be 
designated as being subject to the average standard. For any specific 
averaging period and parameter a refiner for a refinery, or any importer 
may not designate certain batches as being subject to the per-gallon 
standard and others as being subject to the average standard.
    (ii) In the event any refiner for a refinery, or any importer fails 
to meet the requirements of paragraph (c)(3)(i) of this section and for 
a specific averaging period and parameter designates certain batches as 
being subject to the per-gallon standard and others as being subject to 
the average, all batches produced or imported during the averaging 
period that were designated as being subject to the average standard 
shall, ab initio, be redesignated as being subject to the per-gallon 
standard. This redesignation shall apply regardless of whether the 
batches in question met or failed to meet the per-gallon standard for 
the parameter in question.
    (d) Designation of gasoline. Any refiner or importer of gasoline 
shall designate the gasoline it produces or imports as follows:
    (1) All gasoline produced or imported shall be properly designated 
as reformulated gasoline, conventional gasoline, RBOB, or CBOB.
    (2) All gasoline designated as reformulated or as RBOB shall be 
further properly designated as:
    (i) Either VOC-controlled or not VOC-controlled;
    (ii) In the case of gasoline or RBOB designated as VOC-controlled:
    (A) Either intended for use in VOC-Control Region 1 or VOC-Control 
Region 2 (as defined in Sec.  80.71); or
    (B) Designated as ``adjusted VOC gasoline'' (as defined in Sec.  
80.40(c)(1));
    (iii)-(iv) [Reserved]
    (v) For each of the following parameters, either gasoline or RBOB 
which meets the standard applicable to that parameter on a per-gallon 
basis or on average--
    (A) Toxics emissions performance;
    (B) NOX emissions performance in the case of gasoline 
certified using the complex model.
    (C) Benzene content; and
    (D) In the case of VOC-controlled gasoline or RBOB certified using 
the complex model, VOC emissions performance; and
    (vi) In the case of RBOB, the gasoline must be designated as RBOB 
and the designation must include the type(s) and amount(s) of oxygenate 
required to be blended with the RBOB.
    (3) Every batch of reformulated gasoline, conventional gasoline, 
RBOB, or CBOB produced or imported at each refinery or import facility 
shall be assigned a number (the ``batch number''), consisting of the 
EPA-assigned refiner or importer registration number, the EPA facility 
registration number, the last two digits of the year in which the batch 
was produced, and a unique number for the batch, beginning with the 
number one for the first batch produced or imported each calendar year 
and each subsequent batch during the calendar year being assigned the 
next sequential number (e.g., 4321-54321-95-000001, 4321-54321-95-
000002, etc.).
    (e) Determination of volume and properties. (1) Except as provided 
in paragraphs (e)(3) and (4) of this section, each refiner or importer 
shall, for each batch of reformulated gasoline or RBOB produced or 
imported, determine the volume and the value of each of the properties 
specified in paragraph (e)(2)(i) of this section, except that the value 
for RVP must be determined only in the case of reformulated gasoline or 
RBOB that is VOC-controlled. These determinations shall--
    (i) Be based on a representative sample of the reformulated gasoline 
or RBOB that is analyzed using the methodologies specified in Sec.  
80.46 through December 31, 2015, or, beginning January 1, 2016, in 
either Sec.  80.46 or Sec.  80.47;
    (ii) In the case of RBOB, follow the oxygenate blending instructions 
specified in Sec.  80.69(a);
    (iii) Be carried out either by the refiner or importer, or by an 
independent laboratory; and
    (iv) Be completed prior to the gasoline or RBOB leaving the refinery 
or import facility for each parameter that the gasoline or RBOB is 
subject to, or

[[Page 86]]

that is used to calculate an emissions performance that the gasoline or 
RBOB is subject to, under Sec.  80.41(a) through (f).
    (2) In the event that the value of any of these properties is 
determined by the refiner or importer and by an independent laboratory 
in conformance with the requirements of paragraph (f) of this section--
    (i) The results of the analyses conducted by the refiner or importer 
for such properties shall be used as the basis for compliance 
determinations unless the absolute value of the differences of the test 
results from the two laboratories is larger than the following values:

------------------------------------------------------------------------
              Fuel property                            Range
------------------------------------------------------------------------
Sulfur content...........................  25 ppm
Aromatics content........................  2.7 vol %
Olefins content..........................  2.5 vol %
Benzene content..........................  0.21 vol %
Ethanol content..........................  0.4 vol %
Methanol content.........................  0.2 vol %
MTBE (and other methyl ethers) content...  0.6 vol %
ETBE (and other ethyl ethers) content....  0.6 vol %
TAME.....................................  0.6 vol %
t-Butanol content........................  0.6 vol %
RVP......................................  0.3 psi
50% distillation (T50)...................  5 [deg]F
90% distillation (T90)...................  5 [deg]F
E200.....................................  2.5 vol %
E300.....................................  3.5 vol %
API Gravity..............................  0.3 [deg]API
------------------------------------------------------------------------

    (ii) In the event the values from the two laboratories for any 
property fall outside these ranges, the refiner or importer shall use as 
the basis for compliance determinations:
    (A) The larger of the two values for the property, except the 
smaller of the two results shall be used for oxygenates; or
    (B) The refiner or importer shall have the gasoline analyzed for the 
property at one additional independent laboratory. If this second 
independent laboratory obtains a result for the property that is within 
the range, as listed in paragraph (e)(2)(i) of this section, of the 
refiner's or importer's result for this property, then the refiner's or 
importer's result shall be used as the basis for compliance 
determinations.
    (3) Beginning January 1, 2013, API Gravity is not required to be 
measured or reported for the purpose of batch certification.
    (4) For the purposes of meeting the requirements of this paragraph 
(e) for any winter fuel parameter except benzene, oxygenate, RVP and 
sulfur, any refiner or importer may, prior to analysis, combine samples 
of gasoline collected from more than one batch of gasoline or blendstock 
(``composite sample''), and treat such composite sample as one batch of 
gasoline or blendstock provided that the refiner or importer meets all 
the following requirements:
    (i) Samples must be from a single reporting year, must be limited to 
non-VOC gasoline, and must be of a single grade of gasoline or of a 
single type of batch-produced blendstock.
    (ii) Combines samples of gasoline that are produced or imported over 
a period no longer than one month. Blendstock samples of a single 
blendstock type obtained from continuous processes over a calendar month 
may be mixed together to form one blendstock sample and the sample 
subsequently analyzed for the required fuel parameters.
    (iii)(A) Samples shall have been collected and stored using good 
laboratory practices in order to prevent change in product composition 
with regard to baseline properties and to minimize loss of volatile 
fractions of the sample.
    (B) Properties of the retained samples shall be adjusted for loss of 
butane or pentane by comparing the RVP measured immediately after 
blending with the RVP determined at the time that the supplemental 
properties are measured.
    (C) The volume of each batch or shipment sampled, to the nearest 
gallon, shall have been noted and the sum of the volumes, in gallons, 
calculated.
    (iv) For each batch or shipment sampled, the ratio of its volume to 
the total volume determined in paragraph (e)(4)(iii)(C) of this section 
shall be determined to three decimal places. This shall be the 
volumetric fraction of the shipment in the mixture.
    (v) The total minimum volume required to perform duplicate analyses 
to obtain values of all of the required fuel parameters shall be 
determined.
    (vi) The volumetric fraction determined in paragraph (e)(4)(iv) of 
this section for each batch or shipment

[[Page 87]]

shall be multiplied by the value determined in paragraph (e)(4)(v) of 
this section.
    (vii) The resulting value determined in paragraph (e)(4)(vi) of this 
section for each batch or shipment shall be the volume of each batch or 
shipment's sample to be added to the mixture. This volume shall be 
determined to the nearest milliliter.
    (viii) The appropriate volumes of each shipment's sample shall be 
thoroughly mixed and the solution analyzed per the methods required 
under Sec.  80.46 or Sec.  80.47, as applicable.
    (ix) Uses the total of the volumes of the batches of gasoline that 
comprise the composite sample, and the results of the analyses of the 
composite sample, for purposes of compliance calculations under this 
paragraph (e).
    (f) Independent analysis requirement. (1) Any refiner or importer of 
reformulated gasoline or RBOB shall carry out a program of independent 
sample collection and analyses for the reformulated gasoline it produces 
or imports, which meets the requirements of one of the following two 
options:
    (i) Option 1. The refiner or importer shall, for each batch of 
reformulated gasoline or RBOB that is produced or imported, have the 
value for each property specified in paragraph (e)(2)(i) of this section 
determined by an independent laboratory that collects and analyzes a 
representative sample from the batch using the methodologies specified 
in Sec.  80.46 through December 31, 2015, and the methodologies 
specified in Sec.  80.47 beginning January 1, 2016.
    (ii) Option 2. The refiner or importer shall have a periodic 
independent testing program carried out for all reformulated gasoline 
produced or imported, which shall consist of the following:
    (A) An independent laboratory shall collect a representative sample 
from each batch of reformulated gasoline that the refiner or importer 
produces or imports;
    (B) EPA will identify up to ten percent of the total number of 
samples collected under paragraph (f)(1)(ii)(A) of this section; and
    (C) The designated independent laboratory shall, for each sample 
identified by EPA under paragraph (f)(1)(ii)(B) of this section, 
determine the value for each property using the methodologies specified 
in Sec.  80.46.
    (2)(i) Any refiner or importer shall designate one independent 
laboratory for each refinery or import facility at which reformulated 
gasoline or RBOB is produced or imported. This independent laboratory 
will collect samples and perform analyses in compliance with the 
requirements of this paragraph (f) of this section.
    (ii) Any refiner or importer shall identify this designated 
independent laboratory to EPA under the registration requirements of 
Sec.  80.76.
    (iii) In order to be considered independent:
    (A) The laboratory shall not be operated by any refiner or importer, 
and shall not be operated by any subsidiary or employee of any refiner 
or importer;
    (B) The laboratory shall be free from any interest in any refiner or 
importer; and
    (C) The refiner or importer shall be free from any interest in the 
laboratory; however
    (D) Notwithstanding the restrictions in paragraphs (f)(2)(iii) (A) 
through (C) of this section, a laboratory shall be considered 
independent if it is owned or operated by a gasoline pipeline company, 
regardless of ownership or operation of the gasoline pipeline company by 
refiners or importers, provided that such pipeline company is owned and 
operated by four or more refiners or importers.
    (iv) Use of a laboratory that is debarred, suspended, or proposed 
for debarment pursuant to the Governmentwide Debarment and Suspension 
regulations, 2 CFR part 1532, or the Debarment, Suspension and 
Ineligibility provisions of the Federal Acquisition Regulations, 48 CFR 
part 9, subpart 9.4, shall be deemed noncompliance with the requirements 
of this paragraph (f).
    (v) Any laboratory that fails to comply with the requirements of 
this paragraph (f) shall be subject to debarment or suspension under 
Governmentwide Debarment and Suspension regulations, 2 CFR part 1532, or 
the Debarment, Suspension and Ineligibility regulations, Federal 
Acquisition Regulations, 48 CFR part 9, subpart 9.4.

[[Page 88]]

    (3) Any refiner or importer shall, for all samples collected or 
analyzed pursuant to the requirements of this paragraph (f), cause its 
designated independent laboratory:
    (i) At the time the designated independent laboratory collects a 
representative sample from a batch of reformulated gasoline, to:
    (A) Obtain the refiner's or importer's assigned batch number for the 
batch being sampled;
    (B) Determine the volume of the batch;
    (C) Determine the identification number of the gasoline storage tank 
or tanks in which the batch was stored at the time the sample was 
collected;
    (D) Determine the date and time the batch became finished 
reformulated gasoline, and the date and time the sample was collected;
    (E) Determine the grade of the batch (e.g., premium, mid-grade, or 
regular); and
    (F) In the case of reformulated gasoline produced through computer-
controlled in-line blending, determine the date and time the blending 
process began and the date and time the blending process ended, unless 
exempt under paragraph (f)(4) of this section;
    (ii) To retain each sample collected pursuant to the requirements of 
this paragraph (f) for a period of 30 days, except that this period 
shall be extended to a period of up to 180 days upon request by EPA;
    (iii) To submit to EPA periodic reports, as follows:
    (A) For each compliance year beginning with the 2014 compliance 
year, a single annual report for calendar year January through December 
may be submitted by the following March 31.
    (B) Each report shall include, for each sample of reformulated 
gasoline that was analyzed pursuant to the requirements of this 
paragraph (f):
    (1) The results of the independent laboratory's analyses for each 
property; and
    (2) The information specified in paragraph (f)(3)(i) of this section 
for such sample; and
    (iv) To supply to EPA, upon EPA's request, any sample collected or a 
portion of any such sample.
    (4) Any refiner that produces reformulated gasoline using computer-
controlled in-line blending equipment is exempt from the independent 
sampling and testing requirements specified in paragraphs (f)(1) through 
(3) of this section and from the requirement of paragraph (e)(1) of this 
section to obtain test results for each batch prior to the gasoline 
leaving the refinery, provided that such refiner:
    (i) Obtains from EPA an exemption from these requirements. In order 
to seek such an exemption, the refiner shall submit a petition to EPA, 
such petition to include:
    (A) A description of the refiner's computer-controlled in-line 
blending operation, including a description of:
    (1) The location of the operation;
    (2) The length of time the refiner has used the operation;
    (3) The volumes of gasoline produced using the operation since the 
refiner began the operation or during the previous three years, 
whichever is shorter, by grade;
    (4) The movement of the gasoline produced using the operation to the 
point of fungible mixing, including any points where all or portions of 
the gasoline produced is accumulated in gasoline storage tanks;
    (5) The physical lay-out of the operation;
    (6) The automated control system, including the method of monitoring 
and controlling blend properties and proportions;
    (7) Any sampling and analysis of gasoline that is conducted as a 
part of the operation, including on-line, off-line, and composite, and a 
description of the methods of sampling, the methods of analysis, the 
parameters analyzed and the frequency of such analyses, and any written, 
printed, or computer-stored results of such analyses, including 
information on the retention of such results;
    (8) Any sampling and analysis of gasoline produced by the operation 
that occurs downstream from the blending operation prior to fungible 
mixing of the gasoline, including any such sampling and analysis by the 
refiner and by any purchaser, pipeline or other carrier, or by 
independent laboratories;

[[Page 89]]

    (9) Any quality assurance procedures that are carried out over the 
operation; and
    (10) Any occasion(s) during the previous three years when the 
refiner adjusted any physical or chemical property of any gasoline 
produced using the operation downstream from the operation, including 
the nature of the adjustment and the reason the gasoline had properties 
that required adjustment; and
    (B) A description of the independent audit program of the refiner's 
computer-controlled in-line blending operation that the refiner proposes 
will satisfy the requirements of this paragraph (f)(4); and
    (ii) Carries out an independent audit program of the refiner's 
computer-controlled in-line blending operation, such program to include:
    (A) For each batch of reformulated gasoline produced using the 
operation, a review of the documents generated that is sufficient to 
determine the properties and volume of the gasoline produced;
    (B) Audits that occur no less frequently than annually;
    (C) Reports of the results of such audits submitted to the refiner, 
and to EPA by the auditor no later than February 28 of each year;
    (D) Audits that are conducted by an auditor that meets the non-
debarred criteria specified in Sec.  80.125 (a) and/or (d); and
    (iii) Complies with any other requirements that EPA includes as part 
of the exemption.
    (5) A refiner or importer may designate one alternate independent 
laboratory to perform testing required for compliance if all the 
following conditions are met:
    (i) The alternate independent laboratory meets all provisions of 
this section for designated independent laboratories.
    (ii) The alternate laboratory is used only when the designated 
independent laboratory per paragraph (f)(2) of this section is 
unavailable and cannot perform testing required for compliance, for 
example, when the primary designated laboratory is closed, the apparatus 
for certain test methods are down, or independent laboratory personnel 
are not available.
    (iii) The alternate independent laboratory is not used to select a 
preferred test result.
    (g) [Reserved]
    (h) Compliance audits. Any refiner and importer of any reformulated 
gasoline or RBOB shall have the reformulated gasoline and RBOB it 
produced or imported during each calendar year audited for compliance 
with the requirements of this subpart D, in accordance with the 
requirements of subpart F, at the conclusion of each calendar year.
    (i) Exclusion of previously certified gasoline. Any refiner who uses 
previously certified reformulated gasoline, conventional gasoline, RBOB, 
or CBOB to produce reformulated gasoline or RBOB must exclude the 
previously certified gasoline for purposes of demonstrating compliance 
with the standards under Sec.  80.41. This exclusion must be 
accomplished by the refiner as follows:
    (1)(i) Determine the volume and properties of each batch of 
previously certified gasoline used to produce reformulated gasoline or 
RBOB using the procedures in paragraph (e)(1) of this section and Sec.  
80.66, and the independent analysis requirements in paragraph (f) of 
this section in the case of previously certified reformulated gasoline.
    (ii) In the case of previously certified reformulated gasoline or 
RBOB determine the emissions performances for toxics and NOX, 
except as provided in Sec.  80.41(e) and (f), and VOC for VOC-controlled 
gasoline, and the designations for VOC control.
    (iii) In the case of previously certified conventional gasoline or 
CBOB, determine the exhaust toxics and NOX emissions 
performances, except as provided in Sec.  80.101(c)(3) and (4).
    (2) Determine the volume and properties, and the emissions 
performance for toxics and NOX, and VOC for VOC-controlled 
gasoline, of any batch of reformulated gasoline or RBOB produced at the 
refinery using previously certified gasoline and include each batch in 
the refinery's compliance calculations without regard to the presence of 
previously certified gasoline in the batch.

[[Page 90]]

    (3) In the case of any parameter or emissions performance standard 
that the refiner has designated for the refinery to meet on a per-gallon 
basis under paragraph (d)(2)(v) of this section, the per-gallon standard 
that applies to any batch of reformulated gasoline or RBOB produced by 
the refinery is as follows:
    (i) When using any previously certified reformulated gasoline or 
RBOB, the more stringent of:
    (A) The per-gallon standard that applies to the refinery under Sec.  
80.41; or
    (B) The most stringent value for that parameter or emissions 
performance for any previously certified reformulated gasoline or RBOB 
used to produce the batch.
    (ii) When using any previously certified conventional gasoline, the 
per-gallon standard that applies to the refinery under Sec.  80.41.
    (4) In the case of any parameter or emissions performance standard 
that the refiner has designated for the refinery to meet on average 
under paragraph (d)(2)(v) of this section, any previously certified 
gasoline must be excluded from the refinery's compliance calculations as 
follows:
    (i) Where a refiner uses previously certified reformulated gasoline 
or RBOB to produce reformulated gasoline or RBOB:
    (A) The refiner must include the volume and properties of any batch 
of previously certified reformulated gasoline or RBOB in the refinery's 
compliance calculations for the standard under Sec.  80.67(g) as a 
negative batch, by multiplying the term Vi in Sec.  
80.67(g)(1)(ii) (i.e., the batch volume) times negative 1; and
    (B) The negative batch under paragraph (i)(4)(i)(A) of this section 
must be included in the averaging categories that correspond to the 
designation regarding VOC control of the previously certified gasoline 
batch when received; and
    (C) The net volume of gasoline in the refinery's reformulated 
gasoline compliance calculations must be positive in each of the 
following categories where the standard is being met on average:

------------------------------------------------------------------------
                                             Gasoline category that must
                 Standard                     have net positive volume
------------------------------------------------------------------------
(1) Oxygen................................  All RFG \1\.
(2) Benzene...............................  All RFG and RBOB.
(3) VOC emissions performance.............  (i)RFG and RBOB that is VOC-
                                             controlled for Region 1.
                                            (ii) RFG and RBOB that is
                                             VOC-controlled for Region
                                             2.
(4) Toxics emissions performance..........  All RFG and RBOB.
(5) NOX emissions performance.............  (i) All RFG and RBOB.
                                            (ii) RFG and RBOB that is
                                             VOC-controlled.
------------------------------------------------------------------------
\1\ ``RFG'' is an abbreviation for reformulated gasoline.

    (ii) Where a refiner uses previously certified conventional gasoline 
or CBOB to produce reformulated gasoline or RBOB--
    (A) The refiner must include the volume and properties of any batch 
of previously certified conventional gasoline or CBOB as a negative 
batch in the refiner's anti-dumping compliance calculations under Sec.  
80.101(g) for the refinery, or where applicable, the refiner's 
aggregation under Sec.  80.101(h); and
    (B) The net volume of gasoline in the refiner's anti-dumping 
compliance calculations for the refinery, or, where applicable, the 
refiner's aggregation under Sec.  80.101(h), must be positive.
    (5) The refiner must use any previously certified gasoline that the 
refiner includes as a negative batch under paragraph (i)(4) of this 
section in its compliance calculations for the refinery, or where 
appropriate, the refiner's aggregation, as a component in gasoline 
production during the annual averaging period in which the previously 
certified gasoline was included as a negative batch in the refiner's 
compliance calculations.
    (6)
    (6)(i) Any refiner may use the procedures specified in this 
paragraph (i) to combine previously certified conventional gasoline or 
CBOB with reformulated gasoline or RBOB, to reclassify conventional 
gasoline or CBOB into reformulated gasoline or RBOB, or to change the 
designations of reformulated gasoline or RBOB with regard to VOC 
control.
    (ii) The procedures under this section are refinery procedures. Any 
person

[[Page 91]]

who uses the procedures under this section is a refiner who must meet 
all requirements applicable to refiners under this subpart.
    (7) Nothing in this paragraph (i) prevents any party from combining 
previously certified reformulated gasolines from different sources in a 
manner that does not violate the prohibitions in Sec.  80.78(a).

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36962, July 20, 1994; 59 
FR 39289, Aug. 2, 1994; 59 FR 60715, Nov. 28, 1994; 62 FR 60135, Nov. 6, 
1997; 66 FR 37165, July 17, 2001; 66 FR 67105, Dec. 28, 2001; 67 FR 
8737, Feb. 26, 2002; 71 FR 74567, Dec. 15, 2005; 71 FR 26698, May 8, 
2006; 72 FR 2427, Jan. 19, 2007; 79 FR 23640, Apr. 28, 2014]



Sec.  80.66  Calculation of reformulated gasoline properties.

    (a) All volume measurements required by these regulations shall be 
temperature adjusted to 60 degrees Fahrenheit.
    (b) The percentage of oxygen by weight contained in a gasoline 
blend, based upon its percentage oxygenate by volume and density, shall 
exclude denaturants and water.
    (c) The properties of reformulated gasoline consist of per-gallon 
values separately and individually determined on a batch-by-batch basis 
using the methodologies specified in Sec.  80.46 for each of those 
physical and chemical parameters necessary to determine compliance with 
the standards to which the gasoline is subject, and per-gallon values 
for the VOC, NOX, and toxics emissions performance standards 
to which the gasoline is subject.
    (d) Per-gallon oxygen content shall be determined based upon the 
weight percent oxygen of a representative sample of gasoline, using the 
method set forth in Sec.  80.46(g). The total oxygen content associated 
with a batch of gasoline (in percent-gallons) is calculated by 
multiplying the weight percent oxygen content times the volume.
    (e) Per-gallon benzene content shall be determined based upon the 
volume percent benzene of a representative sample of a batch of gasoline 
by the method set forth in Sec.  80.46(e). The total benzene content 
associated with a batch of gasoline (in percent-gallons) is calculated 
by multiplying the volume percent benzene content times the volume.
    (f) Per-gallon RVP shall be determined based upon the measurement of 
RVP of a representative sample of a batch of gasoline. The total RVP 
value associated with a batch of gasoline (in RVP-gallons) is calculated 
by multiplying the RVP times the volume.
    (g)(1) Per gallon values for VOC and NOX emissions 
reduction shall be calculated using the methodology specified in Sec.  
80.45 that is appropriate for the gasoline.
    (2) Per-gallon values for toxic emissions performance reduction 
shall be established using:
    (i) For gasoline subject to the simple model, the methodology under 
Sec.  80.42 that is appropriate for the gasoline; and
    (ii) For gasoline subject to the complex model, the methodology 
specified in Sec.  80.45 that is appropriate for the gasoline.
    (3) The total VOC, NOX, and toxic emissions performance 
reduction values associated with a batch of gasoline (in percent 
reduction-gallons) is calculated by multiplying the per-gallon percent 
emissions performance reduction times the volume of the batch.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36963, July 20, 1994; 79 
FR 23641, Apr. 28, 2014]



Sec.  80.67  Compliance on average.

    The requirements of this section apply to all reformulated gasoline 
and RBOB produced or imported for which compliance with one or more of 
the requirements of Sec.  80.41 is determined on average (``averaged 
gasoline'').
    (a) Compliance survey required in order to meet standards on 
average. (1) Any refiner or importer that complies with the compliance 
survey requirements of Sec.  80.68 has the option of meeting the 
standards specified in Sec.  80.41 for average compliance in addition to 
the option of meeting the standards specified in Sec.  80.41 for per-
gallon compliance; any refiner or importer that does not comply with the 
survey requirements must meet the standards specified in Sec.  80.41 for 
per-gallon compliance, and does not have the option of meeting standards 
on average.

[[Page 92]]

    (2)(i)(A) A refiner or importer that produces or imports 
reformulated gasoline that exceeds the average standard for benzene (but 
not for other parameters that have average standards) may use such 
gasoline to offset reformulated gasoline which does not achieve this 
average standard, but only if the reformulated gasoline that does not 
achieve this average standard is sold to ultimate consumers in the same 
covered area as was the reformulated gasoline which exceeds the average 
standard; provided that:
    (B) Prior to the beginning of the averaging period when the 
averaging approach described in paragraph (a)(2)(i)(A) of this section 
is used, the refiner or importer obtains approval from EPA. In order to 
seek such approval, the refiner or importer shall submit a petition to 
EPA, such petition to include:
    (1) The identification of the refiner and refinery, or importer, the 
covered area, and the averaging period; and
    (2) A detailed description of the procedures the refiner or importer 
will use to ensure the gasoline is produced by the refiner or is 
imported by the importer and is used only in the covered area in 
question and is not used in any other covered area, and the record 
keeping, reporting, auditing, and other quality assurance measures that 
will be followed to establish the gasoline is used as intended; and
    (C) The refiner or importer properly completes any requirements that 
are specified by EPA as conditions for approval of the petition.
    (ii) Any refiner or importer that meets the requirements of 
paragraph (a)(2)(i) of this section will be deemed to have satisfied the 
compliance survey requirements of Sec.  80.68 for the covered area in 
question.
    (b) Scope of averaging. (1) Any refiner shall meet all applicable 
averaged standards separately for each of the refiner's refineries;
    (2)(i) Any importer shall meet all applicable averaged standards on 
the basis of all averaged reformulated gasoline and RBOB imported by the 
importer; except that
    (ii) Any importer to whom different standards apply for gasoline 
imported at different facilities by operation of Sec.  80.41(i), shall 
meet the averaged standards separately for the averaged reformulated 
gasoline and RBOB imported into each group of facilities that is subject 
to the same standards; and
    (3) [Reserved]
    (c) RVP and VOC emissions performance reduction compliance on 
average. (1) The VOC-controlled reformulated gasoline and RBOB produced 
at any refinery or imported by any importer during the period January 1 
through September 15 of each calendar year which is designated for 
average compliance for RVP or VOC emissions performance on average must 
meet the standards for RVP (in the case of a refinery or importer 
subject to the simple model standards) or the standards for VOC 
emissions performance reduction (in the case of a refinery or importer 
subject to the complex model standards) which are applicable to that 
refinery or importer as follows:
    (i) Gasoline and RBOB designated for VOC Control Region 1 must meet 
the standards for that Region which are applicable to that refinery or 
importer; and
    (ii) Gasoline and RBOB designated for VOC Control Region 2 must meet 
the standards for that Region which are applicable to that refinery or 
importer.
    (2) In the case of a refinery or importer subject to the simple 
model standards, each gallon of reformulated gasoline and RBOB 
designated as being VOC-controlled may not exceed the maximum standards 
for RVP specified in Sec.  80.41(b) which are applicable to that refiner 
or importer.
    (3) In the case of a refinery or importer subject to the complex 
model standards, each gallon of reformulated gasoline designated as 
being VOC-controlled must equal or exceed the minimum standards for VOC 
emissions performance specified in Sec.  80.41 which are applicable to 
that refinery or importer.
    (d) Toxics emissions reduction and benzene compliance on average. 
(1) The averaging period for the requirements for benzene content and 
toxics emission performance is January 1 through December 31 of each 
year.
    (2) The reformulated gasoline and RBOB produced at any refinery or 
imported by any importer during the

[[Page 93]]

toxics emissions performance and benzene averaging periods that is 
designated for average compliance for these parameters shall on average 
meet the standards specified for toxics emissions performance and 
benzene in Sec.  80.41 which are applicable to that refinery or 
importer.
    (3) Each gallon of reformulated gasoline may not exceed the maximum 
standard for benzene content specified in Sec.  80.41 which is 
applicable to that refinery or importer.
    (e) NOX compliance on average. (1) The averaging period 
for NOX emissions performance is January 1 through December 
31 of each year.
    (2) The requirements of this paragraph (e) apply separately to 
reformulated gasoline and RBOB in the following categories:
    (i) All reformulated gasoline and RBOB that is designated as VOC-
controlled; and
    (ii) All reformulated gasoline and RBOB that is not designated as 
VOC-controlled.
    (3) The reformulated gasoline and RBOB produced at any refinery or 
imported by any importer during the NOX averaging period that 
is designated for average compliance for NOX shall on average 
meet the standards for NOX specified in Sec.  80.41 that are 
applicable to that refinery or importer.
    (f) [Reserved]
    (g) Compliance calculation. To determine compliance with the 
averaged standards in Sec.  80.41, any refiner for each of its 
refineries at which averaged reformulated gasoline or RBOB is produced, 
and any importer that imports averaged reformulated gasoline or RBOB 
shall, for each averaging period and for each portion of gasoline for 
which standards must be separately achieved, and for each relevant 
standard, calculate:
    (1)(i)(A) The compliance total using the following formula:
    [GRAPHIC] [TIFF OMITTED] TR17JY01.000
    
Where:

Vi = the volume in gallons of gasoline batch i.
std = the standard for the parameter being evaluated.
n = the number of batches of gasoline produced or imported during the 
          averaging period.

    (B) For computation of the VOC performance standard compliance 
total, Std for each VOC control region is determined by the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR17JY01.001

Where, for gasoline and RBOB designated for that VOC control region:

Std = the value to be used in the compliance total formula.
Stdu = the averaged VOC emissions performance reduction 
          standard applicable to reformulated gasoline and RBOB not 
          designated for compliance with the adjusted VOC gasoline 
          standard.
Stda = the averaged VOC emissions performance reduction 
          standard applicable to reformulated gasoline and RBOB 
          designated for compliance with the adjusted VOC gasoline 
          standard.
VUi = the volume of batch i not designated for compliance 
          with the adjusted VOC gasoline standard.
VAi = the volume of batch i designated for compliance with 
          the adjusted VOC gasoline standard.
nu = the number of batches produced or imported and not 
          designated for compliance with the adjusted VOC gasoline 
          standard.
na = the number of batches produced or imported and 
          designated for compliance with the adjusted VOC gasoline 
          standard.

    (C) The actual total using the following formula:
    [GRAPHIC] [TIFF OMITTED] TR17JY01.002
    
Where:

Vi = the volume in gallons of gasoline batch i.
parmi = the parameter value of gasoline batch i.
n = the number of batches of gasoline produced or imported during the 
          averaging period.

    (ii) [Reserved]
    (2) For each standard, compare the actual total with the compliance 
total.
    (3) For the VOC, NOX, and toxics emissions performance 
standards, the

[[Page 94]]

actual totals must be equal to or greater than the compliance totals to 
achieve compliance.
    (4) For RVP and benzene standards, the actual total must be equal to 
or less than the compliance totals to achieve compliance.
    (5) If the actual total for the benzene standard is greater than the 
compliance total, credits for this parameter must be obtained from 
another refiner or importer in order to achieve compliance:
    (i) [Reserved]
    (ii) The total number of benzene credits required to achieve 
compliance is calculated by subtracting the compliance total from the 
actual total benzene.
    (6) If the actual total for the benzene standard is less than the 
compliance totals, credits for this parameter are generated.
    (i) [Reserved]
    (ii) The total number of benzene credits which may be traded to 
another refinery or importer is calculated by subtracting the actual 
total from the compliance total for benzene.
    (7) In 2006 only, compliance with the oxygen standards in Sec.  
80.41 may be based on the volume and oxygen content of all reformulated 
gasoline produced or imported during the period January 1, 2006, through 
May 5, 2006 or the volume and oxygen content of all oxygenated 
reformulated gasoline produced or imported during the 2006 annual 
averaging period (January 1 through December 31).
    (h) Credit transfers. (1) Compliance with the averaged standards 
specified in Sec.  80.41 for benzene (but for no other standards or 
requirements) may be achieved through the transfer of benzene credits 
provided that:
    (i) The credits were generated in the same averaging period as they 
are used;
    (ii) The credit transfer takes place no later than fifteen working 
days following the end of the averaging period in which the reformulated 
gasoline credits were generated;
    (iii) The credits are properly created;
    (iv) The credits are transferred, either through inter-company or 
intra-company transfers, directly from the refiner or importer that 
creates the credits to the refiner or importer that uses the credits to 
achieve compliance; and
    (v) Benzene credits are not used to achieve compliance with the 
maximum benzene content standards in Sec.  80.41.
    (2) No party may transfer any credits to the extent such a transfer 
would result in the transferor having a negative credit balance at the 
conclusion of the averaging period for which the credits were 
transferred. Any credits transferred in violation of this paragraph are 
improperly created credits.
    (3) In the case of credits that were improperly created, the 
following provisions apply:
    (i) Improperly created credits may not be used to achieve 
compliance, regardless of a credit transferee's good faith belief that 
it was receiving valid credits;
    (ii) No refiner or importer may create, report, or transfer 
improperly created credits; and
    (iii) Where any credit transferor has in its balance at the 
conclusion of any averaging period both credits which were properly 
created and credits which were improperly created, the properly created 
credits will be applied first to any credit transfers before the 
transferor may apply any credits to achieve its own compliance.
    (i) Average compliance for reformulated gasoline produced or 
imported before January 1, 1995. In the case of any reformulated 
gasoline that is intended to be used beginning January 1, 1995, but that 
is produced or imported prior to that date:
    (1) Any refiner or importer may meet standards specified in Sec.  
80.41 for average compliance for such gasoline, provided the refiner or 
importer has the option of meeting standards on average for 1995 under 
paragraph (a) of this section, and provided the refiner or importer 
elects to be subject to average standards under Sec.  80.65(c)(3); and
    (2) Any average compliance gasoline under paragraph (i)(1) of this 
section shall be combined with average compliance gasoline produced 
during 1995 for

[[Page 95]]

purposes of compliance calculations under paragraph (g) of this section.

[38 FR 1255, Jan. 10, 1973, as amended at 62 FR 60135, Nov. 6, 1997; 62 
FR 68207, Dec. 31, 1997; 66 FR 37165, July 17, 2001; 71 FR 74568, Dec. 
15, 2005; 71 FR 26699, May 8, 2006]



Sec.  80.68  Compliance surveys.

    (a)(1) Beginning January 1, 2007, the compliance surveys for 
NOX emissions performance under this section shall cease to 
be required.
    (2) Beginning January 1, 2011, the compliance surveys for toxics 
emissions performance under this section shall cease to be required.
    (b) Compliance survey option 1. In order to satisfy the compliance 
survey requirements, any refiner or importer shall properly conduct a 
program of compliance surveys in accordance with a survey program plan 
which has been approved by the Administrator of EPA in each covered area 
which is supplied with any gasoline for which compliance is achieved on 
average that is produced by that refinery or imported by that importer. 
Such approval shall be based upon the survey program plan meeting the 
following criteria:
    (1) The survey program shall consist of at least four surveys which 
shall occur during the following time periods: one survey during the 
period January 1 through May 31; two surveys during the period June 1 
through September 15; and one survey during the period September 16 
through December 31.
    (2) The survey program shall meet the criteria stated in paragraph 
(d) of this section.
    (3) In the event that any refiner or importer fails to properly 
carry out an approved survey program, the refiner or importer shall 
achieve compliance with all applicable standards on a per-gallon basis 
for the calendar year in which the failure occurs, and may not achieve 
compliance with any standard on an average basis during this calendar 
year. This requirement to achieve compliance per-gallon shall apply ab 
initio to the beginning of any calendar year in which the failure 
occurs, regardless of when during the year the failure occurs.
    (c) Compliance survey option 2. A refiner or importer shall be 
deemed to have satisfied the compliance survey requirements described in 
paragraph (b) of this section if a comprehensive program of surveys is 
properly conducted in accordance with a survey program plan which has 
been approved by the Administrator of EPA. Such approval shall be based 
upon the survey program plan meeting the following criteria:
    (1) The initial schedule for the conduct of surveys shall be as 
follows:
    (i) 120 surveys shall be conducted in 1995;
    (ii) 80 surveys shall be conducted in 1996;
    (iii) 60 surveys shall be conducted in 1997;
    (iv) 70 surveys shall be conducted in 1998 and thereafter.
    (2) This initial survey schedule shall be adjusted as follows:
    (i) In the event one or more ozone nonattainment areas in addition 
to the nine specified in Sec.  80.70, opt into the reformulated gasoline 
program, the number of surveys to be conducted in the year the area or 
areas opt into the program and in each subsequent year shall be 
increased according to the following formula:
[GRAPHIC] [TIFF OMITTED] TR16FE94.009

where:

ANSi = the adjusted number of surveys for year i; i = the 
          opt-in year and each subsequent year
NSi = the number of surveys according to the schedule in 
          paragraph (c)(1) of this section in year i; i = the opt-in 
          year and each subsequent year
Vopt-in = the total volume of gasoline supplied to the opt-in 
          covered areas in the year preceding the year of the opt-in
Vorig = the total volume of gasoline supplied to the original 
          nine covered areas in the year preceding the year of the opt-
          in

    (ii) In the event that any covered area(s) fails a survey or survey 
series according to the criteria set forth in paragraph (d) of this 
section, the annual decreases in the numbers of surveys prescribed by 
paragraph (c)(1) of this section, as adjusted by paragraph (c)(2)(i) of 
this section, shall be adjusted as follows in the year following

[[Page 96]]

the year of the failure. Any such adjustment to the number of surveys 
shall remain in effect so long as any standard for the affected covered 
area has been adjusted to be more stringent as a result of a failed 
survey or survey series. The adjustments shall be calculated according 
to the following formula:
[GRAPHIC] [TIFF OMITTED] TR16FE94.010

where:

ANSi = the adjusted number of surveys in year i; i = the year 
          after the failure and each subsequent year
Vfailed = the total volume of gasoline supplied to the 
          covered area which failed the survey or survey series in the 
          year of the failure
Vtotal = the total volume of gasoline supplied to all covered 
          areas in the year of the failure
NSi = the number of surveys in year i according to the 
          schedule in paragraph (c)(1) of this section and as adjusted 
          by paragraph (c)(2)(i) of this section; i = the year after the 
          failure and each subsequent year

    (3) The survey program shall meet the criteria stated in paragraph 
(d) of this section.
    (4) On each occasion the comprehensive survey program does not occur 
as specified in the approved plan with regard to any covered area:
    (i) Each refiner or importer who supplied any reformulated gasoline 
or RBOB to the covered area and who has not satisfied the survey 
requirements described in paragraph (b) of this section shall be deemed 
to have failed to carry out an approved survey program; and
    (ii) The covered area will be deemed to have failed surveys for VOC 
and NOX emissions performance, and survey series for benzene 
and toxic and NOX emissions performance.
    (d) General survey requirements. (1) During the period January 1, 
1995 through December 31, 1997:
    (i) Any sample taken from a retail gasoline storage tank for which 
the three most recent deliveries were of gasoline designated as meeting:
    (A) Simple model standards shall be considered a ``simple model 
sample''; or
    (B) Complex model standards shall be considered a ``complex model 
sample.''
    (ii) A survey shall consist of the combination of a simple model 
portion and a complex model portion, as follows:
    (A) The simple model portion of a survey shall consist of all simple 
model samples that are collected pursuant to the applicable survey 
design in a single covered area during any consecutive seven-day period 
and that are not excluded under paragraph (d)(6) of this section.
    (B) The complex model portion of a survey shall consist of all 
complex model samples that are collected pursuant to the applicable 
survey design in a single covered area during any consecutive seven-day 
period and that are not excluded under paragraph (d)(6) of this section.
    (iii)(A) The simple model portion of each survey shall be 
representative of all gasoline certified using the simple model which is 
being dispensed in the covered area.
    (B) The complex model portion of each survey shall be representative 
of all gasoline certified using the complex model which is being 
dispensed in the covered area.
    (2) Beginning on January 1, 1998:
    (i) A survey shall consist of all samples that are collected 
pursuant to the applicable survey design in a single covered area during 
any consecutive seven-day period and that are not excluded under 
paragraph (d)(6) of this section.
    (ii) A survey shall be representative of all gasoline which is being 
dispensed in the covered area.
    (3)(i) A VOC survey and a NOX survey shall consist of any 
survey conducted during the period June 1 through September 15;

[[Page 97]]

    (ii) A sample of gasoline taken at a retail outlet or wholesale 
purchaser-consumer facility that has within the past 30 days commingled 
ethanol blended reformulated gasoline with non-ethanol blended 
reformulated gasoline in accordance with the provisions in Sec.  
80.78(a)(8) shall not be used in a VOC survey required under this 
section.
    (4)(i) A toxics and benzene survey series shall consist of all 
surveys conducted in a single covered area during a single calendar 
year.
    (ii) A NOX survey series shall consist of all surveys 
conducted in a single covered area during the periods January 1 through 
May 31, and September 16 through December 31 during a single calendar 
year.
    (5)(i) Each simple model sample included in a survey shall be 
analyzed for oxygenate type and content, benzene content, aromatic 
hydrocarbon content, and RVP in accordance with the methodologies 
specified in Sec.  80.46; and
    (ii) Each complex model sample included in a survey shall be 
analyzed for oxygenate type and content, olefins, benzene, sulfur, and 
aromatic hydrocarbons, E-200, E-300, and RVP in accordance with the 
methodologies specified in Sec.  80.46.
    (6)(i) The results of each survey shall be based upon the results of 
the analysis of each sample collected during the course of the survey, 
unless the sample violates the applicable per-gallon maximum or minimum 
standards for the parameter being evaluated plus any enforcement 
tolerance that applies to the parameter (e.g., a sample that violates 
the benzene per-gallon maximum plus any benzene enforcement tolerance 
but meets other per-gallon maximum and minimum standards would be 
excluded from the benzene survey, but would be included in the surveys 
for parameters other than benzene).
    (ii) Any sample from a survey that violates any standard under Sec.  
80.41, or that constitutes evidence of the violation of any prohibition 
or requirement under this subpart D, may be used by the Administrator in 
an enforcement action for such violation.
    (7) Each laboratory at which samples in a survey are analyzed shall 
participate in a correlation program with EPA to ensure the validity of 
analysis results.
    (8)(i) The results of each simple model VOC survey shall be 
determined as follows:
    (A) For each simple model sample from the survey, the VOC emissions 
reduction percentage shall be determined based upon the tested values 
for RVP and oxygen for that sample as applied to the VOC emissions 
reduction equation at Sec.  80.42(a)(1) for VOC-Control Region 1 and 
Sec.  80.42(a)(2) for VOC-Control Region 2;
    (B) The VOC emissions reduction survey standard applicable to each 
covered area shall be calculated by using the VOC emissions equation at 
Sec.  80.42(a)(1) with RVP = 7.2 and OXCON = 2.0 for covered areas 
located in VOC-Control Region 1 and using the VOC emissions equation at 
Sec.  80.42(a)(2) with RVP = 8.1 and OXCON = 2.0 for covered areas 
located in VOC-Control Region 2; and
    (C) The covered area shall have failed the simple model VOC survey 
if the VOC emissions reduction average of all survey samples is less 
than VOC emissions reduction survey standard calculated under paragraph 
(d)(8)(i)(B) of this section.
    (ii) The results of each complex model VOC emissions reduction 
survey shall be determined as follows:
    (A) For each complex model sample from the survey series, the VOC 
emissions reduction percentage shall be determined based upon the tested 
parameter values for that sample and the appropriate methodology for 
calculating VOC emissions reduction at Sec.  80.45;
    (B) The covered area shall have failed the complex model VOC survey 
if the VOC emissions reduction percentage average of all survey samples 
is less than the applicable per-gallon standard for VOC emissions 
reduction;
    (C) For adjusted VOC gasoline sold in the covered areas described at 
Sec.  80.70(f) and (i), the covered area shall have failed the complex 
model VOC survey if the VOC emissions reduction percentage average of 
all survey samples is less than the weighted average of the applicable 
per-gallon standards for VOC emissions reduction calculated according to 
the following formula:

[[Page 98]]

[GRAPHIC] [TIFF OMITTED] TR17JY01.003

Where:

WSTD = Weighted average of the applicable per-gallon VOC standards.
VOCU = Per gallon VOC standard applicable in the covered area to RFG 
          containing less than 10 percent ethanol by volume.
VOCA = Per gallon VOC standard applicable in the covered area to RFG 
          containing 10 percent ethanol by volume.
nu = Number of samples in the VOC survey with oxygen content 
          less than 3.5 percent by weight.
na = Number of samples in the VOC survey with oxygen content 
          equal to or greater than 3.5 percent by weight.
n = Total number of samples in the VOC survey.

    (9)(i) The results of each simple model toxics emissions reduction 
survey series conducted in any covered area shall be determined as 
follows:
    (A) For each simple model sample from the survey series, the toxics 
emissions reduction percentage shall be determined based upon the tested 
parameter values for that sample and the appropriate methodology for 
calculating toxics emissions performance reduction at Sec.  80.42.
    (B) The annual average of the toxics emissions reduction percentages 
for all samples from a survey series shall be calculated according to 
the following formula \2\:
---------------------------------------------------------------------------

    \2\ The formula requires, first, that the toxic reductions of 
samples taken in each one-week survey be averaged to obtain an average 
for each such survey. Then these survey averages are, themselves, 
averaged separately for high-ozone and non-high-ozone season surveys, to 
obtain two overall averages. These overall averages are each to be 
multiplied by a seasonal weight (0.468 for high-ozone season and 0.532 
for non-high ozone season) and the resulting products added together to 
obtain the average annual toxic emission reduction.
[GRAPHIC] [TIFF OMITTED] TR15DE05.010

Where:

AATER = the annual average toxics emissions reduction
TER1,j = the toxics emissions reduction for sample j of 
          gasoline collected during the high ozone season
TER2,j = the toxics emissions reduction for sample j of 
          gasoline collected outside the high ozone season
n1 = the number of gasoline samples collected during a one-
          week survey conducted within the high ozone season
s1 = the number of one-week surveys conducted within the high 
          ozone season
n2 = the number of gasoline samples collected during a one-
          week survey conducted outside the high ozone season
s2 = the number of one-week surveys conducted outside of the 
          high ozone season

    (C) The covered area shall have failed the simple model toxics 
survey series if the annual average toxics emissions reduction is less 
than the simple model per-gallon standard for toxics emissions 
reduction.

[[Page 99]]

    (ii) The results of each complex model toxics emissions reduction 
survey series conducted in any covered area shall be determined as 
follows:
    (A) For each complex model sample from the survey series, the toxics 
emissions reduction percentage shall be determined based upon the tested 
parameter values for that sample and the appropriate methodology for 
calculating toxics emissions reduction at Sec.  80.45;
    (B) The annual average of the toxics emissions reduction percentages 
for a survey series shall be calculated according to the formula 
specified in paragraph (d)(9)(i)(B) of this section; and
    (C) The covered area shall have failed the complex model toxics 
survey series if the annual average toxics emissions reduction is less 
than the applicable per-gallon complex model standard for toxics 
emissions reduction.
    (10) The results of each NOX emissions reduction survey 
and survey series shall be determined as follows:
    (i) For each sample from the survey and survey series, the 
NOX emissions reduction percentage shall be determined based 
upon the tested parameter values for that sample and the appropriate 
methodology for calculating NOX emissions reduction at Sec.  
80.45; and
    (ii) The average NOX emission reduction percentage for 
each single week-long NOX survey shall be calculated as the 
average of all NOX emission reduction percentages from the 
survey.
    (iii) The covered area shall have failed a NOX survey if 
the average NOX emissions reduction percentage for all survey 
samples is less than the applicable Phase I or Phase II complex model 
per-gallon standard for NOX emissions reduction.
    (iv) The average NOX emission reduction percentage for a 
NOX survey series shall be calculated according to the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR15DE05.011

Where:

ANER = the average NOX emission reduction percentage for a 
          NOX survey series,
n = the number of gasoline samples taken in the course of a week-long 
          NOX survey,
NERj = the NOX emissions reduction percentage for 
          gasoline sample j determined according to the appropriate 
          methodology at Sec.  80.45, and
S = the number of week-long NOX surveys conducted during the 
          NOX survey series period

    (v) The covered area shall have failed a NOX survey 
series if the average NOX emissions reduction percentage for 
the series, as computed in paragraph (d)(10)(iv) of this section, is 
less than the applicable Phase I or Phase II complex model per gallon 
standard for NOX emissions reduction.
    (11)(i) The results of each benzene content survey series conducted 
in any covered area shall be determined according to the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR15DE05.012

Where:

AABC = the annual average benzene content for a benzene content survey 
          series,
n = the number of gasoline samples taken in the course of a week-long 
          benzene content survey,
BCj = the benzene content for gasoline sample j taken in the 
          course of a week-long benzene content survey, and
S = the number of week-long benzene content surveys conducted during the 
          year.

    (ii) If the annual average benzene content computed in paragraph 
(d)(11)(i) of this section is greater than 1.000 percent by volume, the 
covered area shall have failed a benzene content survey series.
    (12) [Reserved]
    (13) Each survey program shall:
    (i) Be planned and conducted by a person who is independent of the 
refiner or importer (the surveyor). In order to be considered 
independent:
    (A) The surveyor shall not be an employee of any refiner or 
importer;
    (B) The surveyor shall be free from any obligation to or interest in 
any refiner or importer; and

[[Page 100]]

    (C) The refiner or importer shall be free from any obligation to or 
interest in the surveyor; and
    (ii) Include procedures for selecting sample collection locations, 
numbers of samples, and gasoline compositions which will result in:
    (A) Simple model surveys representing all gasoline certified using 
the simple model being dispensed at retail outlets within the covered 
area during the period of the survey; and
    (B) Complex model surveys representing all gasoline certified using 
the complex model being dispensed at retail outlets within the covered 
area during the period of the survey; and
    (iii) Include procedures such that the number of samples included in 
each survey or survey series (whichever is applicable) assures that:
    (A) In the case of simple model surveys or survey series, the 
average levels of oxygen, benzene, RVP, and aromatic hydrocarbons are 
determined with a 95% confidence level, with error of less than 0.1 psi 
for RVP, 0.05% for benzene (by volume), and 0.1% for oxygen (by weight); 
and
    (B) In the case of complex model surveys or survey series, the 
average levels of oxygen, benzene, RVP, aromatic hydrocarbons, olefins, 
T-50, T-90 and sulfur are determined with a 95% confidence level, with 
error of less than 0.1 psi for RVP, 0.05% for benzene (by volume), 0.1% 
for oxygen (by weight), 0.5% for olefins (by volume), 5 [deg]F. for T-50 
and T-90, and 10 ppm for sulfur; or an equivalent level of precision for 
the complex model-determined emissions parameters; and
    (iv) Require that the surveyor shall:
    (A) Not inform anyone, in advance, of the date or location for the 
conduct of any survey;
    (B) Upon request by EPA made within thirty days following the 
submission of the report of a survey, provide a duplicate of any 
gasoline sample taken during that survey to EPA at a location to be 
specified by EPA each sample to be identified by the name and address of 
the facility where collected, the date of collection, and the 
classification of the sample as simple model or complex model; and
    (C) At any time permit any representative of EPA to monitor the 
conduct of the survey, including sample collection, transportation, 
storage, and analysis; and
    (v) Require the surveyor to submit to EPA a report of each survey, 
within thirty days following completion of the survey, such report to 
include the following information:
    (A) The identification of the person who conducted the survey;
    (B) An attestation by an officer of the surveyor company that the 
survey was conducted in accordance with the survey plan and that the 
survey results are accurate;
    (C) If the survey was conducted for one refiner or importer, the 
identification of that party;
    (D) The identification of the covered area surveyed;
    (E) The dates on which the survey was conducted;
    (F) The address of each facility at which a gasoline sample was 
collected, the date of collection, and the classification of the sample 
as simple model or complex model;
    (G) The results of the analyses of simple model samples for 
oxygenate type and oxygen weight percent, benzene content, aromatic 
hydrocarbon content, and RVP, the calculated toxics emission reduction 
percentage, and for each survey conducted during the period June 1 
through September 15 the VOC emissions reduction percentage calculated 
using the methodology specified in paragraph (d)(8)(i) of this section;
    (H) The results of the analyses of complex model samples for 
oxygenate type and oxygen weight percent, benzene, aromatic hydrocarbon, 
and olefin content, E-200, E-300, and RVP, the calculated NOX 
and toxics emissions reduction percentage, and for each survey conducted 
during the period June 1 through September 15, the calculated VOC 
emissions reduction percentage;
    (I) The name and address of each laboratory where gasoline samples 
were analyzed;
    (J) A description of the methodology utilized to select the 
locations for sample collection and the numbers of samples collected;
    (K) For any samples which were excluded from the survey, a 
justification for such exclusion; and

[[Page 101]]

    (L) The average toxics emissions reduction percentage for simple 
model samples and the percentage for complex model samples, the average 
benzene percentage, and for each survey conducted during the period June 
1 through September 15, the average VOC emissions reduction percentage 
for simple model samples and the percentage for complex model samples, 
and the average NOX emissions reduction percentage for all 
complex model samples;
    (14) Each survey shall be conducted at a time and in a covered area 
selected by EPA no earlier than two weeks before the date of the survey.
    (15) The procedure for seeking EPA approval for a survey program 
plan shall be as follows:
    (i) The survey program plan shall be submitted to the Administrator 
of EPA for EPA's approval no later than September 1 of the year 
preceding the year in which the surveys will be conducted; and
    (ii) Such submittal shall be signed by a responsible corporate 
officer of the refiner, importer, or oxygenate blender, or in the case 
of a comprehensive survey program plan, by an officer of the 
organization coordinating the survey program.
    (16)(i) No later than December 1 of the year preceding the year in 
which the surveys will be conducted, the contract with the surveyor to 
carry out the entire survey plan shall be in effect, and an amount of 
money necessary to carry out the entire survey plan shall be paid to the 
surveyor or placed into an escrow account with instructions to the 
escrow agent to pay the money over to the surveyor during the course of 
the conduct of the survey plan.
    (ii) No later than December 15 of the year preceding the year in 
which the surveys will be conducted, the Administrator of EPA shall be 
given a copy of the contract with the surveyor, proof that the money 
necessary to carry out the plan has either been paid to the surveyor or 
placed into an escrow account, and if placed into an escrow account, a 
copy of the escrow agreement.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36963, July 20, 1994; 62 
FR 12576, Mar. 17, 1997; 62 FR 68207, Dec. 31, 1997; 66 FR 37165, July 
17, 2001; 71 FR 74568, Dec. 15, 2005; 71 FR 26699, May 8, 2006; 72 FR 
8543, Feb. 26, 2007]



Sec.  80.69  Requirements for downstream oxygenate blending.

    The requirements of this section apply to all reformulated gasoline 
blendstock for oxygenate blending, or RBOB, to which oxygenate is added 
at any oxygenate blending facility, except that paragraph (a)(7) of this 
section does not apply to adjusted VOC gasoline as defined in Sec.  
80.40(c).
    (a) Requirements for refiners and importers. For any RBOB produced 
or imported, the refiner or importer of the RBOB shall:
    (1) Produce or import the RBOB such that, when blended with a 
specified type and percentage of oxygenate, it meets the applicable 
standards for reformulated gasoline;
    (2) In order to determine the properties of RBOB for purposes of 
calculating compliance with per-gallon or averaged standards, conduct 
tests on each batch of the RBOB by:
    (i) Adding the specified type and amount of oxygenate to a 
representative sample of the RBOB; and
    (ii) Determining the properties and characteristics of the resulting 
gasoline using the methodology specified in Sec.  80.65(e);
    (3) Carry out the independent analysis requirements specified in 
Sec.  80.65(f);
    (4) [Reserved]
    (5) Transfer ownership of the RBOB only to an oxygenate blender who 
is registered with EPA as such, or to an intermediate owner with the 
restriction that it only be transferred to a registered oxygenate 
blender;
    (6) Have a contract with each oxygenate blender who receives any 
RBOB produced or imported by the refiner or importer that requires the 
oxygenate blender, or, in the case of a contract with an intermediate 
owner, that requires the intermediate owner to require the oxygenate 
blender to:
    (i) Comply with blender procedures that are specified by the 
contract and are calculated to assure blending with

[[Page 102]]

the proper type and amount of oxygenate;
    (ii) Allow the refiner or importer to conduct the quality assurance 
sampling and testing required under this paragraph (a); and
    (iii) Stop selling any gasoline found not to comply with the 
standards under which the RBOB was produced or imported.
    (7) Conduct a quality assurance sampling and testing program to be 
carried out at the facilities of each oxygenate blender who blends any 
RBOB produced or imported by the refiner or importer with any oxygenate, 
to determine whether the reformulated gasoline which has been produced 
through blending complies with the applicable standards, using the 
methodology specified in Sec.  80.46 for this determination.
    (i) The sampling and testing program shall be conducted as follows:
    (A) All samples shall be collected subsequent to the addition of 
oxygenate, and either:
    (1) Prior combining the resulting gasoline with any other gasoline; 
or
    (2) In the case of truck splash blending, subsequent to the delivery 
of the gasoline to a retail outlet or wholesale purchaser-consumer 
facility provided that the three most recent deliveries to the retail 
outlet or wholesale purchaser facility were of gasoline produced using 
that refiner's or importer's RBOB, and provided that any discrepancy 
found through the retail outlet or wholesale purchaser facility sampling 
is followed-up with measures reasonably designed to discover the cause 
of the discrepancy; and
    (B) Sampling and testing shall be at one of the following rates:
    (1) In the case of RBOB which is blended with oxygenate in a 
gasoline storage tank, a rate of not less than one sample for every 
400,000 barrels of RBOB produced or imported by that refiner or importer 
that is blended by that blender, or one sample every month, whichever is 
more frequent; or
    (2) In the case of RBOB which is blended with oxygenate in gasoline 
delivery trucks through the use of computer-controlled in-line blending 
equipment, a rate of not less than one sample for every 200,000 barrels 
of RBOB produced or imported by that refiner or importer that is blended 
by that blender, or one sample every three months, whichever is more 
frequent; or
    (3) In the case of RBOB which is blended with oxygenate in gasoline 
delivery trucks without the use of computer-controlled in-line blending 
equipment, a rate of not less than one sample for each 50,000 barrels of 
RBOB produced or imported by that refiner or importer which is blended, 
or one sample per month, whichever is more frequent;
    (ii) In the event the test results for any sample indicate the 
gasoline does not comply with applicable standards (within the 
correlation ranges specified in Sec.  80.65(e)(2)(i)), the refiner or 
importer shall:
    (A) Immediately take steps to stop the sale of the gasoline that was 
sampled;
    (B) Take steps which are reasonably calculated to determine the 
cause of the noncompliance and to prevent future instances of 
noncompliance;
    (C) Increase the rate of sampling and testing to one of the 
following rates:
    (1) In the case of RBOB which is blended with oxygenate in a 
gasoline storage tank, a rate of not less than one sample for every 
200,000 barrels of RBOB produced or imported by that refiner or importer 
that is blended by that blender, or one sample every two weeks, 
whichever is more frequent; or
    (2) In the case of RBOB which is blended with oxygenate in gasoline 
delivery trucks through the use of computer-controlled in-line blending 
equipment, a rate of not less than one sample for every 100,000 barrels 
of RBOB produced or imported by that refiner or importer that is blended 
by that blender, or one sample every two months, whichever is more 
frequent; or
    (3) In the case of RBOB which is blended with oxygenate in gasoline 
delivery trucks without the use of computer-controlled in-line blending 
equipment, a rate of not less than one sample for each 25,000 barrels of 
RBOB produced or imported by that refiner or importer which is blended, 
or one sample every two weeks, whichever is more frequent;
    (D) Continue the increased frequency of sampling and testing until 
the results of ten consecutive samples and

[[Page 103]]

tests indicate the gasoline complies with applicable standards, at which 
time the sampling and testing may be conducted at the original 
frequency;
    (iii) This quality assurance program is in addition to any quality 
assurance requirements carried out by other parties;
    (8)-(9) [Reserved]
    (10) Specify in the product transfer documentation for the RBOB each 
oxygenate type or types and amount or range of amounts which, if blended 
with the RBOB will result in reformulated gasoline which:
    (i) Has VOC, toxics, or NOX emissions reduction 
percentages which are no lower than the percentages that formed the 
basis for the refiner's or importer's compliance determination for these 
parameters;
    (ii) Has a benzene content and RVP level which are no higher than 
the values for these characteristics that formed the basis for the 
refiner's or importer's compliance determinations for these parameters; 
and
    (iii) Will not cause the reformulated gasoline to violate any 
standard specified in Sec.  80.41.
    (11) Any refiner or importer who produces or imports RBOB may comply 
with the following alternative quality assurance requirement instead of 
the contract and quality assurance sampling and testing requirements in 
paragraphs (a)(6) and (a)(7) of this section:
    (i) To comply with the alternative quality assurance requirement 
under this paragraph (a)(11), a refiner or importer must either arrange 
to have an independent surveyor conduct a comprehensive program of 
annual compliance surveys, or participate in the funding of an 
organization which arranges to have an independent surveyor conduct a 
comprehensive program of annual compliance surveys, to be carried out in 
accordance with a survey plan which has been approved by EPA.
    (ii) The annual compliance surveys under this paragraph (a)(11) 
shall be:
    (A) Planned and conducted by an independent surveyor that meets the 
requirements in Sec.  80.68(c)(13)(i);
    (B) Conducted at retail gasoline outlets in a specified reformulated 
gasoline covered area;
    (C) Representative of all reformulated gasoline being dispensed in 
the specified reformulated gasoline covered area; and
    (D) Designed to achieve at least the same level of quality assurance 
required under paragraph (a)(7) of this section.
    (iii) The compliance survey program shall require the independent 
surveyor conducting the surveys to:
    (A) Obtain gasoline samples in accordance with the survey plan 
approved under this paragraph (a)(11), or immediately notify EPA of any 
refusal of retail outlets to allow samples to be taken;
    (B) Test or arrange for the samples to be tested for type and amount 
of oxygenate;
    (C)(1) Obtain the product transfer documents associated with the 
gasoline sample from the retail outlet; or immediately notify EPA of any 
refusal of any party to provide product transfer documents that should 
be within their possession; and
    (2) Immediately notify EPA of any case where the product transfer 
documents obtained from the retail outlet do not contain the information 
required in paragraph (a)(11)(vii)(A) of this section, or any case where 
the gasoline does not contain the type and/or minimum amount of 
oxygenate stated on the product transfer documents;
    (D) Where the test results indicate that the gasoline does not 
contain the type and/or minimum amount of oxygenate stated on the 
product transfer documents:
    (1) Determine the oxygenate blending facility that supplied the 
gasoline; and
    (2) Obtain from the oxygenate blender documentation of the refiner's 
or importer's oxygenate blending instructions for the gasoline;
    (E) Immediately notify EPA of any case where the test results 
obtained by the independent surveyor indicate that the gasoline does not 
contain the type and/or minimum amount of oxygenate designated for the 
RBOB in the refiner's or importer's blending instructions;
    (F) Immediately notify EPA of any instances where a refiner, 
importer, terminal, distributor, carrier or retail outlet fails to 
cooperate in the manner

[[Page 104]]

described in paragraph (a)(11)(vi) of this section.
    (G) Submit to EPA a report of each survey, within thirty days 
following completion of the survey, such report to include the following 
information:
    (1) The identification of the person who conducted the survey;
    (2) An attestation by an officer of the surveyor company that the 
survey was conducted in accordance with the survey plan and that the 
survey results are accurate;
    (3) Identification of the party(ies) for whom the survey was 
conducted;
    (4) The identification of the covered area surveyed;
    (5) The dates on which the survey was conducted;
    (6) The address of each facility at which a gasoline sample was 
collected and the date of collection;
    (7) The results of the analyses of the samples for type and amount 
of oxygenate;
    (8) The name and address of each laboratory where the gasoline 
samples were analyzed;
    (9) A description of the methodology utilized to select the 
locations for sample collection and the number of samples collected; and
    (10) For any samples excluded from the survey, a justification for 
such exclusion.
    (H) Maintain all records relating to the surveys conducted under 
this paragraph (a)(11) for a period of at least 5 years; and
    (I) At any time permit any representative of EPA to monitor the 
conduct of the surveys, including sample collection, transportation, 
storage, and analysis.
    (iv) A survey plan under this paragraph (a)(11) must include:
    (A) Identification of the party(ies) for whom the survey is to be 
conducted;
    (B) Identification of the independent surveyor;
    (C) A methodology for determining:
    (1) When the samples will be collected;
    (2) The sample collection locations; and
    (3) The number of samples to be collected during the annual 
compliance period;
    (D) A process for notifying oxygenate blenders and other downstream 
parties in the affected RFG area of the product transfer documentation 
requirements in paragraph (a)(11)(vii)(A) of this section; and
    (E) Any other elements determined by EPA to be necessary to achieve 
the level of quality assurance required under paragraph (a)(11)(ii)(D) 
of this section.
    (v) Any sampling and testing pursuant to a survey plan under this 
paragraph (a)(11) must be conducted in a manner consistent with the 
applicable provisions of Sec. Sec.  80.8 and 80.46.
    (vi)(A) Each refiner and importer who participates in the 
alternative quality assurance program under this paragraph (a)(11) must 
take all reasonable steps to ensure that each oxygenate blender, 
distributor, carrier and retail outlet cooperates in this program by 
allowing the independent surveyor to collect samples and by providing to 
the independent surveyor and/or EPA, upon request, copies of product 
transfer documents and other records or information regarding the source 
of any gasoline received, the destination of any gasoline distributed, 
the oxygenate blending instructions for the RBOB, and the rate (volume 
%) that oxygenate was blended into the gasoline.
    (B) Reasonable steps under paragraph (a)(11)(vii) of this section 
must include, but typically should not be limited to, contractual 
agreements with any branded facilities of the refiner or importer, 
including any terminals, distributors, carriers and retail outlets, 
which require the branded facility to cooperate with the independent 
surveyor and/or EPA in the manner described in paragraph (a)(11)(vii)(A) 
of this section.
    (vii)(A) Any terminal that blends oxygenate with RBOB which is 
produced or imported by any refiner or importer that complies with the 
alternative quality assurance requirement under this paragraph (a)(11), 
and any parties downstream from such oxygenate blending terminal, must 
include on product transfer documents information regarding the type and 
amount of oxygenate contained in the gasoline and identification of the 
oxygenate

[[Page 105]]

blending facility that blended the gasoline.
    (B) If a party downstream from a refiner or importer that complies 
with the alternative quality assurance requirement under this paragraph 
(a)(11) fails to receive notice of the requirements in paragraph 
(a)(11)(vii)(A) of this section, upon notification from EPA, the party 
must thereafter comply with the requirements in paragraph 
(a)(11)(vii)(A) of this section.
    (viii) The procedure for obtaining EPA approval of a survey plan 
under this paragraph (a)(11), and for revocation of any such approval, 
are as follows:
    (A) A detailed survey plan which complies with the requirements of 
this paragraph (a)(11) must be submitted to EPA, no later than September 
1 of the year preceding the calendar year in which the surveys will be 
conducted;
    (B) The survey plan must be signed by a responsible corporate 
officer of the refiner or importer, or responsible officer of the 
organization which arranges to have an independent surveyor conduct a 
program of compliance surveys, as applicable; and
    (C) The survey plan must be sent to the attention of ``RFG Program 
(Survey Plan)'' to the address in Sec.  80.10(a);
    (D) EPA will send a letter to the party submitting a survey plan 
under this section, either approving or disapproving the survey plan;
    (E) EPA may revoke any approval of a survey plan under this section 
for cause, including an EPA determination that the approved survey plan 
has proved to be inadequate in practice or that it was not diligently 
implemented;
    (F) The approving official for an alternative quality assurance 
program under this section is the Director of the Transportation and 
Regional Programs Division, Office of Transportation and Air Quality.
    (G) Any notifications required under this paragraph (a)(11) must be 
directed to the official designated in paragraph (a)(11)(viii)(F) of 
this section.
    (ix)(A) No later than December 1 of the year preceding the year in 
which the surveys will be conducted, the contract with the independent 
surveyor shall be in effect, and an amount of money necessary to carry 
out the entire survey plan shall be paid to the independent surveyor or 
placed into an escrow account with instructions to the escrow agent to 
pay the money to the independent surveyor during the course of the 
conduct of the survey plan;
    (B) No later than December 15 of the year preceding the year in 
which the surveys will be conducted, EPA must receive a copy of the 
contract with the independent surveyor, proof that the money necessary 
to carry out the survey plan has either been paid to the independent 
surveyor or placed into an escrow account, and, if placed into an escrow 
account, a copy of the escrow agreement, to be sent to the official 
designated in paragraph (a)(11)(viii)(F) of this section.
    (x) A failure of any refiner or importer to fulfill or cause to be 
fulfilled any of the requirements of this paragraph (a)(11) will cause 
the option to use the alternative quality assurance requirements under 
this paragraph (a)(11) to be void ab initio.
    (b) Requirements for oxygenate blenders. For all RBOB received by 
any oxygenate blender, the oxygenate blender shall:
    (1) Add oxygenate of the type(s) and amount (or within the range of 
amounts) specified in the product transfer documents for the RBOB; and
    (2) Meet the recordkeeping requirements specified in Sec.  80.74.
    (c) [Reserved]
    (d) Requirements for distributors dispensing RBOB into trucks for 
blending. Any distributor who dispenses any RBOB into any truck which 
delivers gasoline to retail outlets or wholesale purchase-consumer 
facilities, shall for such RBOB so dispensed:
    (1) Transfer the RBOB only to an oxygenate blender who has 
registered with the Administrator or EPA as such; and
    (2) Obtain from the oxygenate blender the oxygenate blender's EPA 
registration number.
    (e) Additional requirements for oxygenate blenders who blend 
oxygenate in trucks. Any oxygenate blender who obtains any RBOB in any 
gasoline delivery truck shall on each occasion it obtains RBOB from a 
distributor, supply

[[Page 106]]

the distributor with the oxygenate blender's EPA registration number.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36964, July 20, 1994; 62 
FR 60135, Nov. 6, 1997; 66 FR 37165, July 17, 2001; 71 FR 74569, Dec. 
15, 2005; 71 FR 26700, May 8, 2006; 71 FR 31959, June 2, 2006; 85 FR 
7072, Feb. 6, 2020]



Sec.  80.70  Covered areas.

    For purposes of subparts D, E, and F of this part, the covered areas 
are as follows:
    (a) The Los Angeles-Anaheim-Riverside, California, area, comprised 
of:
    (1) Los Angeles County;
    (2) Orange County;
    (3) Ventura County;
    (4) That portion of San Bernadino County that lies south of latitude 
35 degrees, 10 minutes north and west of longitude 115 degrees, 45 
minutes west; and
    (5) That portion of Riverside County, which lies to the west of a 
line described as follows:
    (i) Beginning at the northeast corner of Section 4, Township 2 
South, Range 5 East, a point on the boundary line common to Riverside 
and San Bernadino Counties;
    (ii) Then southerly along section lines to the centerline of the 
Colorado River Aqueduct;
    (iii) Then southeasterly along the centerline of said Colorado River 
Aqueduct to the southerly line of Section 36, Township 3 South, Range 7 
East;
    (iv) Then easterly along the township line to the northeast corner 
of Section 6, Township 4 South, Range 9 East;
    (v) Then southerly along the easterly line of Section 6 to the 
southeast corner thereof;
    (vi) Then easterly along section lines to the northeast corner of 
Section 10, Township 4 South, Range 9 East;
    (vii) Then southerly along section lines to the southeast corner of 
Section 15, Township 4 South, Range 9 East;
    (viii) Then easterly along the section lines to the northeast corner 
of Section 21, Township 4 South, Range 10 East;
    (ix) Then southerly along the easterly line of Section 21 to the 
southeast corner thereof;
    (x) Then easterly along the northerly line of Section 27 to the 
northeast corner thereof;
    (xi) Then southerly along section lines to the southeast corner of 
Section 34, Township 4 South, Range 10 East;
    (xii) Then easterly along the township line to the northeast corner 
of Section 2, Township 5 South, Range 10 East;
    (xiii) Then southerly along the easterly line of Section 2, to the 
southeast corner thereof;
    (xiv) Then easterly along the northerly line of Section 12 to the 
northeast corner thereof;
    (xv) Then southerly along the range line to the southwest corner of 
Section 18, Township 5 South, Range 11 East;
    (xvi) Then easterly along section lines to the northeast corner of 
Section 24, Township 5 South, Range 11 East; and
    (xvii) Then southerly along the range line to the southeast corner 
of Section 36, Township 8 South, Range 11 East, a point on the boundary 
line common to Riverside and San Diego Counties.
    (b) San Diego County, California.
    (c) The Greater Connecticut area, comprised of:
    (1) The following Connecticut counties:
    (i) Hartford;
    (ii) Middlesex;
    (iii) New Haven;
    (iv) New London;
    (v) Tolland;
    (vi) Windham; and
    (2) Portions of certain Connecticut counties, described as follows:
    (i) In Fairfield County, the City of Shelton; and
    (ii) In Litchfield County, all cities and townships except the towns 
of Bridgewater and New Milford.
    (d) The New York-Northern New Jersey-Long Island-Connecticut area, 
comprised of:
    (1) Portions of certain Connecticut counties, described as follows:
    (i) In Fairfield County, all cities and townships except Shelton 
City;
    (ii) In Litchfield County, the towns of Bridgewater and New Milford;
    (2) The following New Jersey counties:
    (i) Bergen;
    (ii) Essex;
    (iii) Hudson;
    (iv) Hunterdon;
    (v) Middlesex;

[[Page 107]]

    (vi) Monmouth;
    (vii) Morris;
    (viii) Ocean;
    (ix) Passaic;
    (x) Somerset;
    (xi) Sussex;
    (xii) Union; and
    (3) The following New York counties:
    (i) Bronx;
    (ii) Kings;
    (iii) Nassau;
    (iv) New York (Manhattan);
    (v) Queens;
    (vi) Richmond;
    (vii) Rockland;
    (viii) Suffolk;
    (ix) Westchester;
    (x) Orange; and
    (xi) Putnam.
    (e) The Philadelphia-Wilmington-Trenton area, comprised of:
    (1) The following Delaware counties:
    (i) New Castle; and
    (ii) Kent;
    (2) Cecil County, Maryland;
    (3) The following New Jersey counties:
    (i) Burlington;
    (ii) Camden;
    (iii) Cumberland;
    (iv) Gloucester;
    (v) Mercer;
    (vi) Salem; and
    (4) The following Pennsylvania counties:
    (i) Bucks;
    (ii) Chester;
    (iii) Delaware;
    (iv) Montgomery; and
    (v) Philadelphia.
    (f) The Chicago-Gary-Lake County, Illinois-Indiana-Wisconsin area, 
comprised of:
    (1) The following Illinois counties:
    (i) Cook;
    (ii) Du Page;
    (iii) Kane;
    (iv) Lake;
    (v) McHenry;
    (vi) Will;
    (2) Portions of certain Illinois counties, described as follows:
    (i) In Grundy County, the townships of Aux Sable and Goose Lake; and
    (ii) In Kendall County, Oswego township; and
    (3) The following Indiana counties:
    (i) Lake; and
    (ii) Porter.
    (g) The Baltimore, Maryland area, comprised of:
    (1) The following Maryland counties:
    (i) Anne Arundel;
    (ii) Baltimore;
    (iii) Carroll;
    (iv) Harford;
    (v) Howard; and
    (2) The City of Baltimore.
    (h) The Houston-Galveston-Brazoria, Texas area, comprised of the 
following Texas counties:
    (1) Brazoria;
    (2) Fort Bend;
    (3) Galveston;
    (4) Harris;
    (5) Liberty;
    (6) Montgomery;
    (7) Waller; and
    (8) Chambers.
    (i) The Milwaukee-Racine, Wisconsin area, comprised of the following 
Wisconsin counties:
    (1) Kenosha;
    (2) Milwaukee;
    (3) Ozaukee;
    (4) Racine;
    (5) Washington; and
    (6) Waukesha.
    (j) Any other area classified under 40 CFR part 81, subpart C as a 
marginal, moderate, serious, or severe ozone nonattainment area may be 
included as a covered area on petition of the Governor of the State in 
which the area is located. The ozone nonattainment areas listed in this 
paragraph (j) opted into the reformulated gasoline program prior to the 
start of the reformulated gasoline program. These areas are covered 
areas for purposes of subparts D, E, and F of this part. The geographic 
extent of each covered area listed in this paragraph (j) shall be the 
nonattainment area boundaries as specified in 40 CFR part 81, subpart C.
    (1) Sussex County, Delaware;
    (2) District of Columbia portion of the Washington ozone 
nonattainment area;
    (3) Jefferson County, Kentucky;
    (4) Portions of the following Kentucky counties:
    (i) Portion of Bullitt County described as follows:
    (A) Beginning at the intersection of Ky 1020 and the Jefferson-
Bullitt County Line proceeding to the east along the county line to the 
intersection of

[[Page 108]]

county road 567 and the Jefferson-Bullitt County Line;
    (B) Proceeding south on county road 567 to the junction with Ky 1116 
(also known as Zoneton Road);
    (C) Proceeding to the south on KY 1116 to the junction with Hebron 
Lane;
    (D) Proceeding to the south on Hebron Lane to Cedar Creek;
    (E) Proceeding south on Cedar Creek to the confluence of Floyds Fork 
turning southeast along a creek that meets Ky 44 at Stallings Cemetery;
    (F) Proceeding west along Ky 44 to the eastern most point in the 
Shepherdsville city limits;
    (G) Proceeding south along the Shepherdsville city limits to the 
Salt River and west to a point across the river from Mooney Lane;
    (H) Proceeding south along Mooney Lane to the junction of Ky 480;
    (I) Proceeding west on Ky 480 to the junction with Ky 2237;
    (J) Proceeding south on Ky 2237 to the junction with Ky 61 and 
proceeding north on Ky 61 to the junction with Ky 1494;
    (K) Proceeding south on Ky 1494 to the junction with the perimeter 
of the Fort Knox Military Reservation;
    (L) Proceeding north along the military reservation perimeter to 
Castleman Branch Road;
    (M) Proceeding north on Castleman Branch Road to Ky 44;
    (N) Proceeding a very short distance west on Ky 44 to a junction 
with Ky 1020; and
    (O) Proceeding north on Ky 1020 to the beginning.
    (ii) Portion of Oldham County described as follows:
    (A) Beginning at the intersection of the Oldham-Jefferson County 
Line with the southbound lane of Interstate 71;
    (B) Proceeding to the northeast along the southbound lane of 
Interstate 71 to the intersection of Ky 329 and the southbound lane of 
Interstate 71;
    (C) Proceeding to the northwest on Ky 329 to the intersection of 
Zaring Road on Ky 329;
    (D) Proceeding to the east-northeast on Zaring Road to the junction 
of Cedar Point Road and Zaring Road;
    (E) Proceeding to the north-northeast on Cedar Point Road to the 
junction of Ky 393 and Cedar Point Road;
    (F) Proceeding to the south-southeast on Ky 393 to the junction of 
county road 746 (the road on the north side of Reformatory Lake and the 
Reformatory);
    (G) Proceeding to the east-northeast on county road 746 to the 
junction with Dawkins Lane (also known as Saddlers Mill Road) and county 
road 746;
    (H) Proceeding to follow an electric power line east-northeast 
across from the junction of county road 746 and Dawkins Lane to the 
east-northeast across Ky 53 on to the La Grange Water Filtration Plant;
    (I) Proceeding on to the east-southeast along the power line then 
south across Fort Pickens Road to a power substation on Ky 146;
    (J) Proceeding along the power line south across Ky 146 and the 
Seaboard System Railroad track to adjoin the incorporated city limits of 
La Grange;
    (K) Then proceeding east then south along the La Grange city limits 
to a point abutting the north side of Ky 712;
    (L) Proceeding east-southeast on Ky 712 to the junction of Massie 
School Road and Ky 712;
    (M) Proceeding to the south-southwest and then north-northwest on 
Massie School Road to the junction of Ky 53 and Massie School Road;
    (N) Proceeding on Ky 53 to the north-northwest to the junction of 
Moody Lane and Ky 53;
    (O) Proceeding on Moody Lane to the south-southwest until meeting 
the city limits of La Grange;
    (P) Then briefly proceeding north following the La Grange city 
limits to the intersection of the northbound lane of Interstate 71 and 
the La Grange city limits;
    (Q) Proceeding southwest on the northbound lane of Interstate 71 
until intersecting with the North Fork of Currys Fork;
    (R) Proceeding south-southwest beyond the confluence of Currys Fork 
to the south-southwest beyond the confluence of Floyds Fork continuing 
on to the Oldham-Jefferson County Line; and

[[Page 109]]

    (S) Proceeding northwest along the Oldham-Jefferson County Line to 
the beginning.
    (5) [Reserved]
    (6) The following Maryland counties:
    (i) Calvert;
    (ii) Charles;
    (iii) Frederick;
    (iv) Montgomery;
    (v) Prince Georges;
    (vi) Queen Anne's; and
    (vii) Kent;
    (7) The entire State of Massachusetts;
    (8) The following New Hampshire counties:
    (i) Strafford;
    (ii) Merrimack;
    (iii) Hillsborough; and
    (iv) Rockingham;
    (9) The following New Jersey counties:
    (i) Atlantic;
    (ii) Cape May; and
    (iii) Warren;
    (10) The following New York counties:
    (i) Dutchess;
    (ii) The portion of Essex County that consists of the portion of 
Whiteface Mountain above 4,500 feet in elevation.
    (11) The entire State of Rhode Island;
    (12) The following Texas counties: and
    (i) Collin;
    (ii) Dallas;
    (iii) Denton; and
    (iv) Tarrant;
    (13) The following Virginia areas:
    (i) Alexandria;
    (ii) Arlington County;
    (iii) Fairfax;
    (iv) Fairfax County;
    (v) Falls Church;
    (vi) Loudoun County;
    (vii) Manassas;
    (viii) Manassas Park;
    (ix) Prince William County;
    (x) Stafford County;
    (xi) Charles City County;
    (xii) Chesterfield County;
    (xiii) Colonial Heights;
    (xiv) Hanover County;
    (xv) Henrico County;
    (xvi) Hopewell;
    (xvii) Richmond;
    (xviii) Chesapeake;
    (xix) Hampton;
    (xx) James City County;
    (xxi) Newport News;
    (xxii) Norfolk;
    (xxiii) Poquoson;
    (xxiv) Portsmouth;
    (xxv) Suffolk;
    (xxvi) Virginia Beach;
    (xxvii) Williamsburg; and
    (xxviii) York County.
    (k) The ozone nonattainment areas included in this paragraph (k) 
have opted into the reformulated gasoline program since the beginning of 
the program, and are covered areas for purposes of subparts D, E, and F 
of this part. The geographic extent of each covered area listed in this 
paragraph (k) shall be the nonattainment area boundaries as specified in 
40 CFR part 81, subpart C.
    (1) The St. Louis, Missouri, ozone nonattainment area is a covered 
area beginning June 1, 1999. The prohibitions of section 211(k)(5) of 
the Clean Air Act apply to all persons in the St. Louis, Missouri, 
covered area, other than retailers and wholesale purchaser-consumers, 
beginning May 1, 1999. The prohibitions of section 211(k)(5) of the 
Clean Air Act apply to retailers and wholesale purchase-consumers in the 
St. Louis, Missouri, area beginning June 1, 1999.
    (2) The Illinois portion of the St. Louis, Illinois-Missouri ozone 
nonattainment area is a covered area beginning on July 1, 2007. The 
prohibitions of section 211(k)(5) of the Clean Air Act apply to all 
persons other than retailers and wholesale purchaser-consumers in the 
Illinois portion of the St. Louis, Illinois-Missouri ozone nonattainment 
area beginning on June 1, 2007. The prohibitions of section 211(k)(5) of 
the Clean Air Act apply to retailers and wholesale purchaser-consumers 
in the Illinois portion of the St. Louis, Illinois-Missouri ozone 
nonattainment area beginning July 1, 2007.
    (l) Upon the effective date for removal of any opt-in area or 
portion of an opt-in area included in an approved petition under Sec.  
80.72(a), the geographic area covered by such approval shall no longer 
be considered a covered area for purposes of subparts D, E, and F of 
this part.
    (m) Effective one year after an area has been reclassified as a 
Severe ozone nonattainment area under section

[[Page 110]]

181(b) of the Clean Air Act, such Severe area shall also be a covered 
area under the reformulated gasoline program. The ozone nonattainment 
areas identified pursuant to this paragraph (m) were reclassified as 
Severe ozone nonattainment areas, and are covered areas for purposes of 
subparts D, E, and F of this part. The geographic extent of each covered 
area identified pursuant to this paragraph (m) shall be the 
nonattainment area boundaries as specified in 40 CFR part 81, subpart C.
    (1) An area identified as a covered area pursuant to this paragraph 
(m), whose classification as a severe nonattainment area under the 1-
hour ozone NAAQS is removed as a result of removal of the 1-hour ozone 
NAAQS, remains a covered area as follows:
    (i) Prior to redesignation as attainment for the 8-hour ozone NAAQS 
the area remains a covered area;
    (ii) After redesignation as attainment for the 8-hour ozone NAAQS. 
[Reserved]
    (2) An area identified as a covered area pursuant to this paragraph 
(m), based on its classification as a severe non-attainment area under 
the 1-hour ozone NAAQS, but which is redesignated to attainment for the 
1-hour ozone NAAQS, may be removed as a covered area at the request of a 
State providing that the State does not rely on RFG in any State 
Implementation Plan.
    (n) The areas included in paragraph (n) of this section are located 
within the ozone transport region established under Clean Air Act 
section 184(a), are not classified as a Marginal, Moderate, Serious, or 
Severe ozone nonattainment area, and have opted into the reformulated 
gasoline program. They are covered areas for the purposes of subparts D, 
E, and F of this part.
    (1) The southern Maine counties of York, Cumberland, Sagadahoc, 
Androscoggin, Kennebec, Knox, and Lincoln are a covered area beginning 
June 1, 2015. The prohibitions of Clean Air Act section 211(k)(5) apply 
to all persons other than retailers and wholesale purchaser-consumers in 
these counties beginning May 1, 2015. The prohibitions of section 
211(k)(5) of the Clean Air Act apply to retailers and wholesale 
purchaser-consumers in these counties beginning on June 1, 2015.
    (2) [Reserved]

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36964, July 20, 1994; 60 
FR 2699, Jan. 11, 1995; 60 FR 35491, July 10, 1995; 61 FR 35680, July 8, 
1996; 62 FR 30270, June 3, 1997; 63 FR 43049, Aug. 11, 1998; 63 FR 
52104, Sept. 29, 1998; 64 FR 10371, Mar. 3, 1999; 67 FR 38403, June 4, 
2002; 70 FR 71705, Nov. 29, 2005; 72 FR 20242, Apr. 24, 2007; 79 FR 
14418, Mar. 14, 2014; 80 FR 6662, Feb. 6, 2015; 84 FR 2455, Feb. 7, 
2019]



Sec.  80.71  Descriptions of VOC-control regions.

    (a) Reformulated gasoline covered areas which are located in the 
following States are included in VOC-Control Region 1:

Alabama
Arizona
Arkansas
California
Colorado
District of Columbia
Florida
Georgia
Kansas
Louisiana
Maryland
Mississippi
Missouri
Nevada
New Mexico
North Carolina
Oklahoma
Oregon
South Carolina
Tennessee
Texas
Utah
Virginia

    (b) Reformulated gasoline covered areas which are located in the 
following States are included in VOC-Control Region 2:

Connecticut
Delaware
Idaho
Illinois
Indiana
Iowa
Kentucky
Maine
Massachusetts
Michigan
Minnesota
Montana
Nebraska
New Hampshire
New Jersey
New York
North Dakota
Ohio
Pennsylvania
Rhode Island
South Dakota
Vermont
Washington
West Virginia
Wisconsin
Wyoming

    (c) Reformulated gasoline covered areas which are partially in VOC 
Control Region 1 and partially in VOC Control Region 2 shall be included 
in VOC Control Region 1, except in the case of the Philadelphia-
Wilmington-Trenton CMSA which shall be included in VOC Control Region 2.

[[Page 111]]



Sec.  80.72  Procedures for opting out of the covered areas.

    (a) In accordance with paragraph (b) of this section, the 
Administrator may approve a petition from a state asking for removal of 
any opt-in area, or portion of an opt-in area, from inclusion as a 
covered area under Sec.  80.70. If the Administrator approves a 
petition, he or she shall set an effective date as provided in paragraph 
(c) of this section. The Administrator shall notify the state in writing 
of the Agency's action on the petition and the effective date of the 
removal when the petition is approved.
    (b) To be approved under paragraph (a) of this section, a petition 
must be signed by the Governor of a State, or his or her authorized 
representative, and must include the following:
    (1) A geographic description of each opt-in area, or portion of each 
opt-in area, which is covered by the petition;
    (2) A description of all ways in which reformulated gasoline is 
relied upon as a control measure in any approved State or local 
implementation plan or plan revision, or in any submission to the Agency 
containing any proposed plan or plan revision (and any associated 
request for redesignation) that is pending before the Agency when the 
petition is submitted; and
    (3) For any opt-in areas covered by the petition for which 
reformulated gasoline is relied upon as a control measure as described 
under paragraph (b)(2) of this section, the petition shall include the 
following information:
    (i) Identify whether the State is withdrawing any such pending plan 
submission;
    (ii)(A) Identify whether the State intends to submit a revision to 
any such approved plan provision or pending plan submission that does 
not rely on reformulated gasoline as a control measure, and describe the 
alternative air quality measures, if any, that the State plans to use to 
replace reformulated gasoline as a control measure;
    (B) A description of the current status of any proposed revision to 
any such approved plan provision or pending plan submission, as well as 
a projected schedule for submission of such proposed revision;
    (iii) If the State is not withdrawing any such pending plan 
submission and does not intend to submit a revision to any such approved 
plan provision or pending plan submission, describe why no revision is 
necessary;
    (iv) If reformulated gasoline is relied upon in any pending plan 
submission, other than as a contingency measure consisting of a future 
opt-in, and the Agency has found such pending plan submission complete 
or made a protectiveness finding under 40 CFR 51.448 and 93.128, 
demonstrate whether the removal of the reformulated gasoline program 
will affect the completeness and/or protectiveness determinations;
    (4) The Governor of a State, or his or her authorized 
representative, shall submit additional information upon request of the 
Administrator,
    (c)(1) For opt-out petitions received on or before December 31, 
1997, except as provided in paragraphs (c)(2) and (c)(3) of this 
section, the Administrator shall set an effective date for removal of an 
area under paragraph (a) of this section as requested by the Governor, 
but no less than 90 days from the Agency's written notification to the 
state approving the opt-out petition, and no later than December 31, 
1999.
    (2) For opt-out petitions received on or before December 31, 1997, 
except as provided in paragraph (c)(3) of this section, where RFG is 
contained as an element of any plan or plan revision that has been 
approved by the Agency, other than as a contingency measure consisting 
of a future opt-in, then the effective date under paragraph (a) of this 
section shall be the date requested by the Governor, but no less than 90 
days from the effective date of Agency approval of a revision to the 
plan that removes RFG as a control measure.
    (3)(i) The Administrator may extend the deadline for submitting opt-
out petitions in paragraphs (c)(1) and (2) of this section for a state 
if:
    (A) The Governor or his authorized representative requests an 
extension prior to December 31, 1997;
    (B) The request indicates that there is active or pending 
legislation before the state legislature that was introduced prior to 
March 28, 1997;

[[Page 112]]

    (C) The legislation is concerning opting out of or remaining in the 
reformulated gasoline program; and
    (D) The request demonstrates that the legislation cannot reasonably 
be acted upon prior to December 31, 1997.
    (ii) The Administrator may extend the deadline until no later than 
May 31, 1998. If the deadline is extended, then opt-out requests from 
that state received during the extension shall be considered under the 
provisions of paragraphs (c)(1) and (2) of this section.
    (4) For opt-out petitions received January 1, 1998 through December 
31, 2003, except as provided in paragraph (c)(5) of this section, the 
Administrator shall set an effective date for removal of an area under 
paragraph (a) of this section as requested by the Governor but no 
earlier than January 1, 2004 or 90 days from the Agency's written 
notification to the state approving the opt-out petition, whichever date 
is later.
    (5) For opt-out petitions received January 1, 1998 through December 
31, 2003, where RFG is contained as an element of any plan or plan 
revision that has been approved by the Agency, other than as a 
contingency measure consisting of a future opt-in, then the effective 
date for removal of an area under paragraph (a) of this section shall be 
the date requested by the Governor, but no earlier than January 1, 2004, 
or 90 days from the effective date of Agency approval of a revision to 
the plan that removes RFG as a control measure, whichever date is later.
    (6) For opt-out petitions received on or after January 1, 2004, 
except as provided in paragraph (c)(7) of this section, the 
Administrator shall set an effective date for removal of an area as 
requested by the Governor, but no less than 90 days from the Agency's 
written notification to the state approving the opt-out petition.
    (7) For opt-out petitions received on or after January 1, 2004, 
where RFG is contained as an element of any plan or plan revision that 
has been approved by the Agency, other than as a contingency measure 
consisting of a future opt-in, then the effective date for removal of an 
area under paragraph (a) of this section shall be the date requested by 
the Governor, but no less than 90 days from the effective date of Agency 
approval of a revision to the plan that removes RFG as a control 
measure.
    (8) Notwithstanding any other provision of paragraph (c) of this 
section, for an area that opted in pursuant to Clean Air Act section 
211(k)(6)(B), the Administrator shall not set the effective date for 
removal of the area earlier than four years after the commencement date 
of opt-in.
    (d) The Administrator shall publish a notice in the Federal Register 
announcing the approval of any petition under paragraph (a) of this 
section, and the effective date for removal.

[61 FR 35680, July 8, 1996, as amended at 62 FR 54558, Oct. 20, 1997; 80 
FR 6662, Feb. 6, 2015]



Sec.  80.73  Inability to produce conforming gasoline in extraordinary
circumstances.

    In appropriate extreme and unusual circumstances (e.g., natural 
disaster or Act of God) which are clearly outside the control of the 
refiner, importer, or oxygenate blender and which could not have been 
avoided by the exercise of prudence, diligence, and due care, EPA may 
permit a refiner, importer, or oxygenate blender, for a brief period, to 
distribute gasoline which does not meet the requirements for 
reformulated gasoline, or does not contain the type(s) and amount(s) of 
oxygenate required under Sec.  80.69(b)(1), if:
    (a) It is in the public interest to do so (e.g., distribution of the 
nonconforming gasoline is necessary to meet projected shortfalls which 
cannot otherwise be compensated for);
    (b) The refiner, importer, or oxygenate blender exercised prudent 
planning and was not able to avoid the violation and has taken all 
reasonable steps to minimize the extent of the nonconformity;
    (c) The refiner, importer, or oxygenate blender can show how the 
requirements for reformulated gasoline will be expeditiously achieved;
    (d) The refiner, importer, or oxygenate blender agrees to make up 
air quality detriment associated with the nonconforming gasoline, where 
practicable; and
    (e) The refiner, importer, or oxygenate blender pays to the U.S. 
Treasury

[[Page 113]]

an amount equal to the economic benefit of the nonconformity minus the 
amount expended, pursuant to paragraph (d) of this section, in making up 
the air quality detriment.

[38 FR 1255, Jan. 10, 1973, as amended at 71 FR 26700, May 8, 2006]



Sec.  80.74  Recordkeeping requirements.

    All parties in the gasoline distribution network and the 
distribution network for pentane for use by pentane blenders under Sec.  
80.86, shall maintain records containing the information as required in 
this section. These records shall be retained for a period of five years 
from the date of creation, and shall be delivered to the Administrator 
of EPA or to the Administrator's authorized representative upon request.
    (a) All regulated parties. Any refiner, gasoline importer, oxygenate 
blender, producer of pentane for use by pentane blenders, importer of 
pentane for use by pentane blenders, carrier, distributor, reseller, 
retailer, or wholesale-purchaser-consumer who sells, offers for sale, 
dispenses, supplies, offers for supply, stores, blends, transports, or 
causes the transportation of any reformulated gasoline, RBOB, or pentane 
for use by pentane blenders shall maintain records containing the 
following information:
    (1) The product transfer documentation for all reformulated 
gasoline, RBOB, or pentane for use by pentane blenders for which the 
party is the transferor or transferee; and
    (2) For any sampling and testing on RBOB or reformulated gasoline:
    (i) The location, date, time, and storage tank or truck 
identification for each sample collected;
    (ii) The identification of the person who collected the sample and 
the person who performed the testing;
    (iii) The results of the tests; and
    (iv) The actions taken to stop the sale of any gasoline found not to 
be in compliance, and the actions taken to identify the cause of any 
noncompliance and prevent future instances of noncompliance.
    (3) For producers and importers of pentane for use by pentane 
blenders, in addition to the records specified in paragraph (a)(1) of 
this section, records demonstrating that each batch of such pentane is 
compliant with the standards in Sec.  80.86.
    (4) For pentane blenders, in addition to the records specified in 
paragraph (a)(1) of this section, records demonstrating compliance 
quality assurance program requirements in Sec.  80.85.
    (b) Refiners and importers. In addition to other requirements of 
this section, any refiner and importer shall, for all reformulated 
gasoline and RBOB produced or imported, maintain records containing the 
following information:
    (1) Results of the tests to determine reformulated gasoline 
properties and characteristics specified in Sec.  80.65;
    (2) [Reserved]
    (3) The volume of gasoline associated with each of the above test 
results using the method normally employed at the refinery or import 
facility for this purpose;
    (4) In the case of RBOB:
    (i) The results of tests to ensure that, following blending, RBOB 
meets applicable standards; and
    (ii) Each contract with each oxygenate blender to whom the refiner 
or importer transfers RBOB; or
    (iii) Compliance calculations described in Sec.  80.69(a)(8) based 
on an assumed addition of oxygenate;
    (5) In the case of any refinery or importer subject to the simple 
model standards, the calculations used to determine the 1990 baseline 
levels of sulfur, T-90, and olefins, and the calculations used to 
determine compliance with the standards for these parameters;
    (6) In the case of any refinery or importer subject to the complex 
model standards before January 1, 1998, the calculations used to 
determine the baseline levels of VOC, toxics, and NOX 
emissions performance; and
    (7) In the case of any gasoline classified as previously certified 
gasoline under the terms of Sec.  80.65(i):
    (i) Results of the tests to determine the properties and volume of 
the previously certified gasoline when received at the refinery; and
    (ii) Records that reflect the storage and movement of the previously 
certified gasoline within the refinery to the point the previously 
certified gasoline is used to produce reformulated gasoline or RBOB;

[[Page 114]]

    (8) In the case of butane or pentane blended into reformulated 
gasoline or RBOB under Sec.  80.82 or Sec.  80.85, documentation of all 
the following:
    (i) The volume of butane added.
    (ii) The volume of the pentane added.
    (iii) The volume of reformulated gasoline or RBOB both prior to and 
subsequent to the butane or pentane blending.
    (iv) The purity and properties of the butane specified in Sec.  
80.82(c) and (d), as appropriate.
    (v) The purity and properties of the pentane specified in Sec.  
80.85(c) and (d), as appropriate.
    (vi) Compliance with the requirements of Sec. Sec.  80.82 and 80.85; 
and
    (9) In the case of any imported GTAB, documents that reflect the 
storage and physical movement of the GTAB from the point of importation 
to the point of blending to produce reformulated gasoline.
    (10) In the case of any interface or transmix used to produce 
reformulated gasoline or RBOB under Sec.  80.84, records that reflect 
the results of any sampling and testing of RFG or RBOB required under 
Sec.  80.84.
    (i) Pipelines must keep records showing that interface was 
designated in the proper manner, according to the designations listed in 
Sec.  80.84(b)(1);
    (ii) Transmix processors and transmix blenders must keep records 
showing that their transmix meets the definition in Sec.  80.84(a)(2), 
or contains gasoline and distillate fuel only from the sources listed in 
Sec.  80.84(e);
    (iii) Transmix processors must keep records showing the volumes of 
reformulated gasoline or RBOB recovered from transmix and the type and 
amount of any blendstock added, if applicable; and
    (iv) Transmix blenders must keep records showing compliance with the 
quality assurance program and/or sampling and testing requirements in 
Sec.  80.84(d)(2) or (d)(3), and for each batch of reformulated gasoline 
or RBOB with which transmix is blended, the volume of the batch, and the 
volume of transmix blended into the batch;
    (c) Refiners and importers of averaged gasoline. In addition to 
other requirements of this section, any refiner or importer who produces 
or imports any reformulated gasoline for which compliance with one or 
more applicable standard is determined on an average shall maintain 
records containing the following information:
    (1) The calculations used to determine compliance with the relevant 
standards on average, for each averaging period and for each quantity of 
gasoline for which standards must be separately achieved; and
    (2) For any credits bought, sold, traded or transferred pursuant to 
Sec.  80.67(h), the dates of the transactions, the names and EPA 
registration numbers of the parties involved, and the number of credits 
transferred.
    (d) Oxygenate blenders. Any oxygenate blender who blends any 
oxygenate with any RBOB shall, for each occasion such blending occurs, 
maintain records containing the following:
    (i) The date, time, location, and identification of the blending 
tank or truck in which the blending occurred;
    (ii) The volume and oxygenate requirements of the RBOB to which 
oxygenate was added; and
    (iii) The volume, type, and purity of the oxygenate which was added, 
and documents which show the source(s) of the oxygenate used.
    (e) Distributors who dispense RBOB into trucks. In addition to other 
requirements of this section, any distributor who dispenses any RBOB 
into a truck used for delivering gasoline to retail outlets shall, for 
each occasion RBOB is dispensed into such a truck, obtain records 
identifying:
    (1) The name and EPA registration number of the oxygenate blender 
that received the RBOB; and
    (2) The volume and oxygenate requirements of the RBOB dispensed.
    (f) [Reserved]
    (g) Retailers before January 1, 1998. Prior to January 1, 1998 any 
retailer that sells or offers for sale any reformulated gasoline shall 
maintain at each retail outlet the product transfer documentation for 
the most recent three deliveries to the retail outlet of each grade of 
reformulated gasoline sold or offered for sale at the retail

[[Page 115]]

outlet, and shall make such documentation available to any person 
conducting any gasoline compliance survey pursuant to Sec.  80.68.

[59 FR 7813, Feb. 16, 1994, as amended at 66 FR 67106, Dec. 28, 2001; 71 
FR 74569, Dec. 15, 2005; 71 FR 26700, May 8, 2006; 71 FR 31961, June 2, 
2006; 79 FR 23641, Apr. 28, 2014]



Sec.  80.75  Reporting requirements.

    Any refiner, gasoline importer, producer of pentane for use by a 
pentane blender, and importer of pentane for use by a pentane blender 
shall report as specified in this section, and shall report such other 
information as the Administrator may require.
    (a) Quarterly reports for reformulated gasoline. Any refiner or 
importer that produces or imports any reformulated gasoline or RBOB 
shall submit quarterly reports to the Administrator for each refinery at 
which such reformulated gasoline or RBOB was produced and for all such 
reformulated gasoline or RBOB imported by each importer.
    (1) The quarterly reports shall be for all such reformulated 
gasoline or RBOB produced or imported during the following time periods:
    (i) The first quarterly report shall include information for 
reformulated gasoline or RBOB produced or imported from January 1 
through March 31, and shall be submitted by June 1 of each year.
    (ii) The second quarterly report shall include information for 
reformulated gasoline or RBOB produced or imported from April 1 through 
June 30, and shall be submitted by September 1 of each year.
    (iii) The third quarterly report shall include information for 
reformulated gasoline or RBOB produced or imported from July 1 through 
September 30, and shall be submitted by December 1 of each year.
    (iv) The fourth quarterly report shall include information for 
reformulated gasoline or RBOB produced or imported from October 1 
through December 31, and shall be submitted by March 31 of each year.
    (2) All the following information shall be included in each 
quarterly report for each batch of reformulated gasoline or RBOB which 
is included under paragraph (a)(1) of this section:
    (i) The batch number.
    (ii) The date of production.
    (iii) The volume of the batch.
    (iv) The grade of gasoline produced (i.e., premium, mid-grade, or 
regular).
    (v) For any refiner or importer, all the following:
    (A) Each designation of the gasoline, pursuant to Sec.  80.65.
    (B) The properties, along with identification of the test method 
used to measure those properties, pursuant to Sec. Sec.  80.65(e) and 
80.66.
    (vi) For any importer, the PADD in which the import facility is 
located.
    (vii) [Reserved]
    (viii) In the case of any previously certified gasoline used in a 
refinery operation under the terms of Sec.  80.65(i), all the following 
information relative to the previously certified gasoline when received 
at the refinery:
    (A) Identification of the previously certified gasoline as such.
    (B) The batch number assigned by the receiving refinery.
    (C) The date of receipt.
    (D) The volume, properties (along with identification of the test 
method used to measure those properties), and designation of the batch.
    (ix) In the case of butane blended with reformulated gasoline or 
RBOB under Sec.  80.82, all the following:
    (A) Identification of the butane batch as complying with the 
provisions of Sec.  80.82.
    (B) Identification of the butane batch as commercial or non-
commercial grade butane.
    (C) The batch number of the butane.
    (D) The date of production of the gasoline produced using the butane 
batch.
    (E) The volume of the butane batch.
    (F) The properties of the butane batch specified by the butane 
supplier, or the properties specified in Sec.  80.82(c) or (d), as 
appropriate, along with the identification of the test method used to 
measure those properties.
    (G) The volume of the gasoline batch subsequent to the butane 
blending.
    (x) In the case of any imported GTAB, identification of the gasoline 
as GTAB.
    (xi) In the case of pentane blended with reformulated gasoline or 
RBOB under Sec.  80.85, all the following:

[[Page 116]]

    (A) Identification of the pentane batch as complying with the 
provisions of Sec.  80.85.
    (B) Identification of the pentane batch as commercial or non-
commercial grade pentane.
    (C) The batch number of the pentane.
    (D) The company and facility identification numbers of the supplier 
of the pentane batch.
    (E) The date of production of the gasoline produced using the 
pentane batch.
    (F) The volume of the pentane batch.
    (G) The properties of the pentane batch specified by the pentane 
supplier, or the properties specified in Sec.  80.86(a)(3) or (a)(4), as 
appropriate along with the test method used to measure these properties.
    (H) The volume of the gasoline batch subsequent to the pentane 
blending.
    (3) Information pertaining to gasoline produced or imported during 
1994 shall be included in the first quarterly report in 1995.
    (b) [Reserved]
    (c) VOC emissions performance averaging reports. (1) Any refiner or 
importer that produced or imported any reformulated gasoline or RBOB 
under the complex model that was to meet the VOC emissions performance 
standards on average (``averaged reformulated gasoline'') shall submit 
to the Administrator, with the third quarterly report, a report for each 
refinery or importer for such averaged reformulated gasoline produced or 
imported during the previous VOC averaging period. Beginning January 1, 
2014, the information required by this paragraph (c) shall be submitted 
with the fourth quarter report pursuant to Sec.  80.75(a)(1)(iv). This 
information shall be reported separately for the following categories:
    (i) Gasoline or RBOB which is designated as VOC-controlled intended 
for areas in VOC-Control Region 1; and
    (ii) Gasoline or RBOB which is designated as VOC-controlled intended 
for VOC-Control Region 2.
    (2) The following information shall be reported:
    (i) The total volume of averaged reformulated gasoline or RBOB in 
gallons;
    (ii) The compliance total value for VOC emissions performance; and
    (iii) The actual total value for VOC emissions performance.
    (d) Benzene content averaging reports. Pursuant to Sec.  
80.41(f)(3), for any refiner, refinery or importer not subject to the 
applicable standards at Sec.  80.41(f)(1), the report required by this 
paragraph (d) is not required beginning January 1, 2014, or beginning 
January 1, 2016 for all other refiners.
    (1) Any refiner or importer that produced or imported any 
reformulated gasoline or RBOB that was to meet the benzene content 
standards on average (``averaged reformulated gasoline'') shall submit 
to the Administrator, with the fourth quarterly report, a report for 
each refinery or importer for such averaged reformulated gasoline that 
was produced or imported during the previous toxics averaging period.
    (2) All the following information shall be reported:
    (i) The volume of averaged reformulated gasoline or RBOB in gallons.
    (ii) The compliance total content of benzene.
    (iii) The actual total content of benzene, along with identification 
of the test methods used to measure the content of benzene.
    (iv) The number of benzene credits generated as a result of actual 
total benzene being less than compliance total benzene.
    (v) The number of benzene credits required as a result of actual 
total benzene being greater than compliance total benzene.
    (vi) The number of benzene credits transferred to another refinery 
or importer.
    (vii) The number of benzene credits obtained from another refinery 
or importer.
    (e) Toxics emissions performance averaging reports. Pursuant to 
Sec.  80.41(f)(3), for any refiner, refinery or importer not subject to 
the applicable standards at Sec.  80.41(f)(1), the report required by 
this paragraph (e) is not required beginning January 1, 2014, or 
beginning January 1, 2016 for all other refiners.
    (1) Any refiner or importer that produced or imported any 
reformulated gasoline or RBOB that was to meet the

[[Page 117]]

toxics emissions performance standards on average (``averaged 
reformulated gasoline'') shall submit to the Administrator, with the 
fourth quarterly report, a report for each refinery or importer for such 
averaged reformulated gasoline that was produced or imported during the 
previous toxics averaging period.
    (2) The following information shall be reported:
    (i) The volume of averaged reformulated gasoline or RBOB in gallons;
    (ii) The compliance value for toxics emissions performance; and
    (iii) The actual value for toxics emissions performance.
    (f) [Reserved]
    (g) NOX emissions performance averaging reports. Pursuant to Sec.  
80.41(f)(2), for any refiner, refinery or importer not subject to the 
applicable standards at Sec.  80.41(f)(1), the report required by this 
paragraph (g) is not required beginning January 1, 2014.
    (1) Any refiner or importer that produced or imported any 
reformulated gasoline or RBOB that was to meet the NOX 
emissions performance standard on average (``averaged reformulated 
gasoline'') shall submit to the Administrator, with the fourth quarterly 
report, a report for each refinery or importer for such averaged 
reformulated gasoline that was produced or imported during the previous 
NOX averaging period.
    (2) The following information shall be reported:
    (i) The volume of averaged reformulated gasoline or RBOB in gallons;
    (ii) The compliance value for NOX emissions performance; 
and
    (iii) The actual value for NOX emissions performance.
    (3) The information required by paragraph (g)(2) of this section 
shall be reported separately for the following categories:
    (i) Gasoline and RBOB which is designated as VOC-controlled; and
    (ii) Gasoline and RBOB which is not designated as VOC-controlled.
    (h) Credit transfer reports. As an additional part of the fourth 
quarterly report required by this section, any refiner or importer 
shall, for each refinery or importer, supply the following information 
for any benzene credits that are transferred from or to another refinery 
or importer:
    (1) The names, EPA-assigned registration numbers and facility 
identification numbers of the transferor and transferee of the credits;
    (2) The number(s) of credits that were transferred; and
    (3) The date(s) of the transaction(s).
    (i) Covered areas of gasoline use report. Any refiner that produced 
any reformulated gasoline that was to meet any reformulated gasoline 
standard on average (``averaged reformulated gasoline'') shall, for each 
refinery at which such averaged reformulated gasoline was produced, 
submit to the Administrator, with the fourth quarterly report, a report 
that contains the identity of each covered area that was supplied with 
any averaged reformulated gasoline produced at each refinery during the 
previous year.
    (j) Additional reporting requirements for certain importers. In the 
case of any importer to whom different standards apply for gasoline 
imported at different facilities by operation of Sec.  80.41(q)(2), such 
importer shall submit separate reports for gasoline imported into 
facilities subject to different standards.
    (k) [Reserved]
    (l) Reports for per-gallon compliance gasoline. In the case of 
reformulated gasoline or RBOB for which compliance with each of the 
standards set forth in Sec.  80.41 is achieved on a per-gallon basis, 
the refiner or importer shall submit to the Administrator, by March 31 
of each year, a report of the volume of each designated reformulated 
gasoline or RBOB produced or imported during the previous calendar year 
for which compliance is achieved on a per-gallon basis, and a statement 
that each gallon of this reformulated gasoline or RBOB met the 
applicable standards.
    (m) Reports of compliance audits. Any refiner or importer shall 
submit the report of the compliance audit required by Sec.  80.65(h) to 
the Administrator by June 1 of each year.
    (n) Report submission. The reports required by this section shall 
be:
    (1) Submitted on forms and following procedures specified by the 
Administrator; and

[[Page 118]]

    (2) Signed and certified as correct by the owner or a responsible 
corporate officer of the refiner or importer.
    (o) Additional reporting requirements for refiners that blend butane 
or pentane with reformulated gasoline or RBOB. For refiners that blend 
any butane or pentane with reformulated gasoline or RBOB under Sec.  
80.82 or Sec.  80.85, the refiner shall submit to the Administrator, by 
March 31 of each year, a report for the refinery which includes all the 
following information for the previous calendar year:
    (1) The total volume of butane and the total volume of pentane 
blended with reformulated gasoline or RBOB at the refinery, separately 
for reformulated gasoline and RBOB.
    (2) The total volume of reformulated gasoline or RBOB produced using 
butane and the total volume of reformulated gasoline or RBOB produced 
using pentane, separately for reformulated gasoline and RBOB.
    (3) A statement that each gallon of reformulated gasoline or RBOB 
produced using butane or pentane met the applicable per-gallon standards 
under Sec.  80.41.
    (4) A statement that all butane and pentane blended with 
reformulated gasoline or RBOB at the refinery is included in the volume 
reported in paragraph (o)(2) of this section.
    (p) Reporting requirements for producers and importers of pentane 
for use by pentane blenders. Any producer of pentane for use by pentane 
blenders, or importer of pentane for use by a pentane blender that 
produces or imports any pentane for use by a pentane blender pursuant to 
the requirements of Sec.  80.86 shall submit annual reports to the 
Administrator for each facility at which pentane for use by pentane 
blenders was produced and for all such pentane imported by each 
importer.
    (1) All the following information shall be included in each annual 
report for each batch of pentane for use by pentane blenders which is 
produced or imported from January 1 to December 31 of each year:
    (i) The batch number.
    (ii) The date of production.
    (iii) The volume of the batch.
    (iv) Whether the batch was produced to the standards for blender-
commercial grade pentane pursuant to Sec.  80.86(a)(3) or blender non-
commercial grade pentane pursuant to Sec.  80.86(a)(4).
    (v) The properties, pursuant to the testing requirements of Sec.  
80.86(a)(3) or (a)(4) as applicable.
    (vi) A statement that the batch of pentane is composed solely of 
carbon, hydrogen, oxygen, nitrogen, and sulfur.
    (vii) For any importer, the PADD in which the import facility is 
located.
    (2) Each annual report shall include the total volume of blender 
commercial grade pentane pursuant to Sec.  80.86(a)(3) or blender-non-
commercial grade pentane pursuant to Sec.  80.86(a)(4) for the reporting 
period.
    (3) Annual reports shall be submitted by March 31 of each year.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36964, July 20, 1994; 60 
FR 65574, Dec. 20, 1995; 62 FR 60135, Nov. 6, 1997; 66 FR 67106, Dec. 
28, 2001; 71 FR 74569, Dec. 15, 2005; 71 FR 26700, May 8, 2006; 79 FR 
23641, Apr. 28, 2014; 80 FR 9094, Feb. 19, 2015]



Sec.  80.76  Registration of refiners, importers or oxygenate blenders.

    (a) Registration with the Administrator of EPA is required for any 
refiner and importer that produces or imports any reformulated gasoline 
or RBOB, and any oxygenate blender that blends oxygenate into RBOB.
    (b) Any person required to register shall do so by November 1, 1994, 
or not later than three months in advance of the first date that such 
person will produce or import reformulated gasoline or RBOB or 
conventional gasoline, whichever is later.
    (c) Registration shall be on forms prescribed by the Administrator, 
and shall include the following information:
    (1) The name, business address, contact name, and telephone number 
of the refiner, importer, or oxygenate blender;
    (2) For each separate refinery and oxygenate blending facility, the 
facility name, physical location, contact name, telephone number, and 
type of facility; and
    (3) For each separate refinery and oxygenate blending facility, and 
for each importer's operations in a single PADD:

[[Page 119]]

    (i) Whether records are kept on-site or off-site of the refinery or 
oxygenate blending facility, or in the case of importers, the registered 
address;
    (ii) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, and telephone number; 
and
    (iii) The name, address, contact name and telephone number of the 
independent laboratory used to meet the independent analysis 
requirements of Sec.  80.65(f).
    (d) EPA will supply a registration number to each refiner, importer, 
and oxygenate blender, and a facility registration number for each 
refinery and oxygenate blending facility that is identified, which shall 
be used in all reports to the Administrator.
    (e)(1) Any refiner, importer, or oxygenate blender shall submit 
updated registration information to the Administrator within thirty days 
of any occasion when the registration information previously supplied 
becomes incomplete or inaccurate; except that
    (2) EPA must be notified in writing of any change in designated 
independent laboratory at least thirty days in advance of such change.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36965, July 20, 1994; 71 
FR 74570, Dec. 15, 2005; 71 FR 26701, May 8, 2006]



Sec.  80.77  Product transfer documentation.

    On each occasion when any person transfers custody or title to any 
reformulated gasoline, RBOB, or pentane for use by a pentane blender 
other than when gasoline is sold or dispensed for use in motor vehicles 
at a retail outlet or wholesale purchaser-consumer facility, the 
transferor shall provide to the transferee documents which include the 
following information:
    (a) The name and address of the transferor;
    (b) The name and address of the transferee;
    (c) The volume of gasoline, RBOB, or pentane for use by a pentane 
blender which is being transferred;
    (d) The location of the gasoline or pentane for use by a pentane 
blender at the time of the transfer;
    (e) The date of the transfer;
    (f) The proper identification of the product as reformulated 
gasoline, RBOB, or pentane for use by a pentane blender; and
    (g) In the case of reformulated gasoline or RBOB:
    (1) The proper identification as:
    (i)(A) VOC-controlled for VOC-Control Region 1; or VOC-controlled 
for VOC-Control Region 2; or Not VOC-controlled; or
    (B) In the case of gasoline or RBOB that is VOC-controlled for VOC-
Control Region 1, the gasoline may be identified as suitable for use 
either in VOC-Control Region 1 or VOC-Control Region 2;
    (ii) [Reserved]
    (iii) Prior to January 1, 1998, certified under the simple model 
standards or certified under the complex model standards; and
    (2) The minimum and/or maximum standards with which the gasoline or 
RBOB conforms for:
    (i) Benzene content;
    (ii) [Reserved]
    (iii) In the case of VOC-controlled gasoline subject to the simple 
model standards, RVP;
    (iv) In the case of gasoline subject to the complex model standards:
    (A) Prior to January 1, 1998, the NOx emissions performance minimum, 
and for VOC-controlled gasoline the VOC emissions performance minimum, 
in milligrams per mile; and
    (B) Beginning on January 1, 1998, for VOC-controlled gasoline, the 
VOC emissions performance minimum.
    (3) Identification of VOC-controlled reformulated gasoline or RBOB 
as gasoline or RBOB which contains ethanol, or which does not contain 
any ethanol; and
    (4) For transfers of custody of gasoline subject to the provisions 
of Sec.  80.69(a)(11), the information required to be included on 
product transfer documents under Sec.  80.69(a)(11)(vii)(A).
    (h) Prior to January 1, 1998, in the case of reformulated gasoline 
or RBOB subject to the complex model standards:
    (1) The name and EPA registration number of the refinery at which 
the gasoline was produced, or importer that imported the gasoline; and

[[Page 120]]

    (2) Instructions that the gasoline or RBOB may not be combined with 
any other gasoline or RBOB that was produced at any other refinery or 
was imported by any other importer;
    (i) In the case of RBOB:
    (1) The designation of the RBOB as suitable for blending with:
    (i) Any-oxygenate;
    (ii) Ether-only; or
    (iii) Other specified oxygenate type(s) and amount(s);
    (2) The oxygenate type(s) and amount(s) that are intended for 
blending with the RBOB;
    (3) Instructions that the RBOB may not be combined with any other 
RBOB except other RBOB having the same requirements for oxygenate 
type(s) and amount(s), or, prior to blending, with reformulated 
gasoline.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36965, July 20, 1994; 62 
FR 60136, Nov. 6, 1997; 62 FR 68207, Dec. 31, 1997; 71 FR 74570, Dec. 
15, 2005; 71 FR 26701, May 8, 2006; 71 FR 31961, June 2, 2006; 79 FR 
23643, Apr. 28, 2014]



Sec.  80.78  Controls and prohibitions on reformulated gasoline.

    (a) Prohibited activities. (1) No person may manufacture and sell or 
distribute, offer for sale or distribution, dispense, supply, offer for 
supply, store, transport, or cause the transportation of any gasoline 
represented as reformulated and intended for sale or use in any covered 
area:
    (i) Unless each gallon of such gasoline meets the applicable benzene 
maximum standard specified in Sec.  80.41;
    (ii)-(iii) [Reserved]
    (iv) Unless the product transfer documentation for such gasoline 
complies with the requirements in Sec.  80.77; and
    (v) During the period May 1 through September 15 for all persons 
except retailers and wholesale purchaser-consumers, and during the 
period June 1 through September 15 for all persons including retailers 
and wholesale purchaser-consumers:
    (A) Unless each gallon of such gasoline is VOC-controlled for the 
proper VOC Control Region, except that gasoline designated for VOC-
Control Region 1 may be used in VOC-Control Region 2;
    (B) Unless each gallon of such gasoline that is subject to simple 
model standards has an RVP which is less than or equal to the applicable 
RVP maximum specified in Sec.  80.41;
    (C) Unless each gallon of such gasoline that is subject to complex 
model standards has a VOC emissions reduction percentage which is 
greater than or equal to the applicable minimum specified in Sec.  
80.41.
    (2) No refiner or importer may produce or import any gasoline 
represented as reformulated or RBOB, and intended for sale or use in any 
covered area:
    (i) Unless such gasoline meets the definition of reformulated 
gasoline or RBOB; and
    (ii) Unless the properties of such gasoline or RBOB correspond to 
the product transfer documents.
    (3) [Reserved]
    (4) Gasoline shall be presumed to be intended for sale or use in a 
covered area unless:
    (i) Product transfer documentation as described in Sec.  80.77 
accompanying such gasoline clearly indicates the gasoline is intended 
for sale and use only outside any covered area; or
    (ii) The gasoline is contained in the storage tank of a retailer or 
wholesale purchaser-consumer outside any covered area.
    (5) No person may combine any reformulated gasoline with any 
conventional gasoline or blendstock, except that a refiner may do so at 
a refinery under the requirements specified in Sec.  80.65(i), or if the 
combined product is designated as conventional gasoline.
    (6) No person may add any oxygenate to reformulated gasoline, except 
that such oxygenate may be added to reformulated gasoline provided that 
such gasoline is used in an oxygenated fuels program control area during 
an oxygenated fuels control period.
    (7) No person may combine any reformulated gasoline blendstock for 
oxygenate blending with any other gasoline, blendstock, or oxygenate 
except:
    (i) Oxygenate of the type and amount (or within the range of 
amounts) specified by the refiner or importer at the time the RBOB was 
produced or imported;
    (ii) Other RBOB for which the same oxygenate type and amount (or 
range of amounts) was specified by the refiner or importer; or

[[Page 121]]

    (iii) Under the terms of paragraph (a)(5) of this section.
    (8)(i) No person may combine any ethanol-blended VOC-controlled 
reformulated gasoline with any non-ethanol-blended VOC-controlled 
reformulated gasoline during the period January 1 through September 15, 
except that:
    (ii) Notwithstanding the prohibition in paragraph (a)(8)(i), 
retailers and wholesale purchaser-consumers may combine at a retail 
outlet or wholesale purchaser-consumer facility ethanol-blended VOC-
controlled reformulated gasoline with non-ethanol-blended VOC-controlled 
reformulated gasoline, provided that the retailer or wholesale 
purchaser-consumer:
    (A) Combines only batches of reformulated gasoline that have been 
certified under this subpart;
    (B) Notifies EPA prior to combining the gasolines and identifies the 
exact location of the retail outlet or wholesale purchase-consumer 
facility and the specific tank in which the gasolines will be combined;
    (C) Retains and, upon request by EPA, makes available for inspection 
product transfer documentation accounting for all gasoline at the retail 
outlet or wholesale purchaser-consumer facility; and
    (D) Does not combine any VOC-controlled gasoline with any non-VOC 
controlled gasoline between June 1 and September 15 of each calendar 
year;
    (iii) A retailer or wholesale purchaser-consumer may combine 
ethanol-blended reformulated gasoline with non-ethanol-blended 
reformulated gasoline under paragraph (a)(8)(ii) of this section a 
maximum of two periods between May 1 and September 15 of each calendar 
year, each such period to extend for a period of no more than ten 
consecutive calendar days. At the end of the ten-day period, the 
gasoline must be in compliance with the VOC minimum standard under Sec.  
80.41.
    (A) The retailer or wholesale purchaser-consumer may demonstrate 
compliance with the VOC minimum standard by testing the gasoline at the 
end of the ten-day period using the test methods in Sec.  80.46, where 
the test results show that the gasoline meets the VOC minimum standard. 
Under this option, the retailer or wholesale purchaser-consumer may add 
both ethanol-blended reformulated gasoline and non-ethanol-blended 
reformulated gasoline to the same tank an unlimited number of times 
during the ten-day period; or
    (B) The retailer or wholesale purchaser-consumer will be deemed in 
compliance with the VOC minimum standard where the retailer or wholesale 
purchaser-consumer draws the tank down as low as practicable before 
receiving product of the other type into the tank and receives only 
product of the other type into the tank during the ten-day period. Under 
this option, the retailer or wholesale purchaser-consumer is not 
required to test the gasoline at the end of the ten-day period.
    (iv) Nothing in paragraphs (a)(8)(ii) or (iii) of this section shall 
preempt existing State laws or regulations regulating the combining of 
ethanol-blended reformulated gasoline with non-ethanol-blended 
reformulated gasoline or prohibit a State from adopting such laws or 
regulations in the future.
    (9) Prior to January 1, 1998:
    (i) No person may combine any reformulated gasoline or RBOB that is 
subject to the simple model standards with any reformulated gasoline or 
RBOB that is subject to the complex model standards, except that such 
gasolines may be combined at a retail outlet or wholesale purchaser-
consumer facility;
    (ii) No person may combine any reformulated gasoline subject to the 
complex model standards that is produced at any refinery or is imported 
by any importer with any other reformulated gasoline that is produced at 
a different refinery or is imported by a different importer, unless the 
other refinery or importer has an identical baseline for meeting complex 
model standards during this period; and
    (iii) No person may combine any RBOB subject to the complex model 
standards that is produced at any refinery or is imported by any 
importer with any RBOB that is produced at a different refinery or is 
imported by a different importer, unless the other refinery or importer 
has an identical

[[Page 122]]

baseline for meeting complex model standards during this period.
    (10) The prohibitions against combining certain categories of 
gasoline under paragraphs (a)(5), (a)(7) and (a)(8) of this section do 
not apply in the case of a party who is changing the type of gasoline 
stored in a gasoline storage tank or the type of gasoline transported 
through a gasoline pipe or manifold within a single facility (a gasoline 
storage tank, pipe, or manifold change of service), or in the case of a 
change of service that involves mixing gasoline with blendstock, 
provided that:
    (i) The change of service is for a legitimate operational reason and 
is not for the purpose of combining the categories of gasoline or of 
combining gasoline with blendstock;
    (ii) Prior to adding product of the new category the volume of 
product of the old category in the tank, pipe or manifold is made as low 
as possible through normal pumping operations;
    (iii) The volume of product of the new category that is added to the 
tank, pipe or manifold is as large as possible taking into account the 
availability of product of the new category; and
    (iv) In any case where the new category of product is reformulated 
gasoline, subsequent to adding the gasoline of the new category, a 
representative sample from the tank, pipe or manifold is collected and 
analyzed, and such analysis shows compliance with each standard under 
Sec.  80.41 that is relevant to the new gasoline category. The analysis 
for each standard must be conducted using the method specified under 
Sec.  80.46, or using another method that is approved by the American 
Society of Testing and Materials (ASTM), provided that the protocols of 
the ASTM method are followed and the alternative method is correlated to 
the method specified under Sec.  80.46.
    (11) The prohibition against combining reformulated gasoline with 
RBOB under paragraph (a)(7) of this section does not apply in the case 
of a party who is changing the type of product stored in a tank from 
which trucks are loaded, from reformulated gasoline to RBOB, or vice 
versa, provided that:
    (i) The change of service requirements described in paragraph 
(a)(10) of this section cannot be met without taking the storage tank 
out of service;
    (ii) Prior to adding product of the new category the volume of 
product of the old category in the tank is drawn down to the lowest 
point which allows trucks to be loaded during the transition;
    (iii) The volume of product of the new category that is added to the 
tank is as large as possible taking into account the availability of 
product of the new category;
    (iv) When transitioning from RBOB to reformulated gasoline, the 
reformulated gasoline must meet all applicable standards that apply at 
the terminal subsequent to any oxygenate blending;
    (v) When transitioning from reformulated gasoline to RBOB:
    (A) The oxygen content of the reformulated gasoline produced using 
the RBOB must be not less than the minimum oxygen amount specified in 
the RBOB product transfer documents;
    (B) Subsequent to any oxygenate blending, the reformulated gasoline 
produced using the RBOB must meet all applicable standards that apply at 
the terminal; and
    (C) The transition from reformulated gasoline to RBOB may not begin 
until the date the VOC-control standards no longer apply to the 
terminal; and
    (vi) The party must demonstrate compliance with the requirements 
specified in paragraphs (a)(11)(iv) and (v) of this section through 
testing of samples collected from the terminal storage tank and from 
trucks loaded at the terminal subsequent to each receipt of new product 
until the transition is complete. The analyses must be conducted using 
the test method specified under Sec.  80.46, or using another test 
method that is approved by the American Society of Testing and Materials 
(ASTM), provided that the protocols of the ASTM method are followed and 
the alternative method is correlated with the method specified under 
Sec.  80.46.
    (12)(i) The prohibited activities specified in paragraph (a)(1) of 
this section do not apply in the case of gasoline that is used to fuel 
aircraft, or racing motor vehicles or racing boats that are used only in 
sanctioned racing events, provided that product transfer documents 
associated with such gasoline,

[[Page 123]]

and any pump stand from which such gasoline is dispensed, identify the 
gasoline either as conventional gasoline that is restricted for use in 
aircraft, or as conventional gasoline that is restricted for use in 
racing motor vehicles or racing boats that are used only in sanctioned 
racing events.
    (ii) A vehicle shall be considered to be a racing vehicle only if 
the vehicle:
    (A) Is operated in conjunction with sanctioned racing events;
    (B) Exhibits racing features and modifications such that it is 
incapable of safe and practical street or highway use;
    (C) Is not licensed, and is not licensable, by any state for 
operation on public streets or highways;
    (D) Is not operated on public streets or highways; and
    (E) Could not be converted to public street or highway use at a cost 
that is reasonable compared to the value of the vehicle.
    (b) Liability. Liability for violations of paragraph (a) of this 
section shall be determined according to the provisions of Sec.  80.79.
    (c) Determination of compliance. Compliance with the standards 
listed in paragraph (a) of this section shall be determined by use of 
one of the testing methodologies specified in Sec.  80.46, except that 
where test results using the testing methodologies specified in Sec.  
80.46 are not available or where such test results are available but are 
in question, EPA may establish noncompliance with standards using any 
information, including the results of testing using methods that are not 
included in Sec.  80.46.
    (d) Dates controls and prohibitions begin. The controls and 
prohibitions specified in paragraph (a) of this section apply at any 
location other than retail outlets and wholesale purchaser-consumer 
facilities on or after December 1, 1994, at any location on or after 
January 1, 1995.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36965, July 20, 1994; 62 
FR 60136, Nov. 6, 1997; 62 FR 68207, Dec. 31, 1997; 66 FR 67106, Dec. 
28, 2001; 71 FR 74570, Dec. 15, 2005; 71 FR 8972, 8985, Feb. 22, 2006; 
71 FR 26420, May 5, 2006; 71 FR 26701, May 8, 2006]



Sec.  80.79  Liability for violations of the prohibited activities.

    (a) Persons liable. Where the gasoline contained in any storage tank 
at any facility owned, leased, operated, controlled or supervised by any 
refiner, importer, oxygenate blender, carrier, distributor, reseller, 
retailer, or wholesale purchaser-consumer is found in violation of the 
prohibitions described in Sec.  80.78(a), the following persons shall be 
deemed in violation:
    (1) Each refiner, importer, oxygenate blender, carrier, distributor, 
reseller, retailer, or wholesale purchaser-consumer who owns, leases, 
operates, controls or supervises the facility where the violation is 
found;
    (2) Each refiner or importer whose corporate, trade, or brand name, 
or whose marketing subsidiary's corporate, trade, or brand name, appears 
at the facility where the violation is found;
    (3) Each refiner, importer, oxygenate blender, distributor, and 
reseller who manufactured, imported, sold, offered for sale, dispensed, 
supplied, offered for supply, stored, transported, or caused the 
transportation of any gasoline which is in the storage tank containing 
gasoline found to be in violation; and
    (4) Each carrier who dispensed, supplied, stored, or transported any 
gasoline which is in the storage tank containing gasoline found to be in 
violation, provided that EPA demonstrates, by reasonably specific 
showings by direct or circumstantial evidence, that the carrier caused 
the violation.
    (5) Notwithstanding the provisions in paragraphs (a)(1) through 
(a)(4) of this section: (i) Only a retailer or wholesale purchaser-
consumer shall be deemed in violation for combining gasolines in a 
manner that is inconsistent with Sec.  80.78(a)(8)(ii) or (iii), or for 
gasoline which does not comply with the VOC minimum standard under Sec.  
80.41 after the retailer or wholesale purchaser-consumer combines or 
causes the combining of compliant gasolines in a manner inconsistent 
with Sec.  80.78(a)(8)(ii) or (iii);
    (ii) No person shall be deemed in violation for gasoline which does 
not comply with the VOC minimum standard under Sec.  80.41 where the 
non-compliance

[[Page 124]]

is solely due to the combining of compliant gasolines by a retailer or 
wholesale purchaser-consumer in a manner that is consistent with Sec.  
80.78(a)(8)(ii) and (iii).
    (b) Defenses for prohibited activities. (1) In any case in which a 
refiner, importer, oxygenate blender, carrier, distributor, reseller, 
retailer, or wholesale purchaser-consumer would be in violation under 
paragraph (a) of this section, it shall be deemed not in violation if it 
can demonstrate:
    (i) That the violation was not caused by the regulated party or its 
employee or agent;
    (ii) That product transfer documents account for all of the gasoline 
in the storage tank found in violation and indicate that the gasoline 
met relevant requirements; and
    (iii)(A) That it has conducted a quality assurance sampling and 
testing program, as described in paragraph (c) of this section; except 
that
    (B) A carrier may rely on the quality assurance program carried out 
by another party, including the party that owns the gasoline in 
question, provided that the quality assurance program is carried out 
properly.
    (2)(i) Where a violation is found at a facility which is operating 
under the corporate, trade or brand name of a refiner, that refiner must 
show, in addition to the defense elements required by paragraph (b)(1) 
of this section, that the violation was caused by:
    (A) An act in violation of law (other than the Act or this part), or 
an act of sabotage or vandalism;
    (B) The action of any reseller, distributor, oxygenate blender, 
carrier, or a retailer or wholesale purchaser- consumer supplied by any 
of these persons, in violation of a contractual undertaking imposed by 
the refiner designed to prevent such action, and despite periodic 
sampling and testing by the refiner to ensure compliance with such 
contractual obligation; or
    (C) The action of any carrier or other distributor not subject to a 
contract with the refiner but engaged by the refiner for transportation 
of gasoline, despite specification or inspection of procedures and 
equipment by the refiner which are reasonably calculated to prevent such 
action.
    (ii) In this paragraph (b), to show that the violation ``was 
caused'' by any of the specified actions the party must demonstrate by 
reasonably specific showings, by direct or circumstantial evidence, that 
the violation was caused or must have been caused by another.
    (c) Quality assurance program. In order to demonstrate an acceptable 
quality assurance program for reformulated gasoline at all points in the 
gasoline distribution network, other than at retail outlets and 
wholesale purchaser-consumer facilities, a party must present evidence 
of the following.
    (1) Of a periodic sampling and testing program to determine if the 
applicable maximum and/or minimum standards for oxygen, benzene, RVP, or 
VOC emission performance are met. For gasoline subject to the provisions 
in Sec.  80.81, a party is not required to conduct periodic sampling and 
testing to determine compliance with the oxygen minimum standard.
    (2) That on each occasion when gasoline is found in noncompliance 
with one of the requirements referred to in paragraph (c)(1) of this 
section:
    (i) The party immediately ceases selling, offering for sale, 
dispensing, supplying, offering for supply, storing, transporting, or 
causing the transportation of the violating product; and
    (ii) The party promptly remedies the violation (such as by removing 
the violating product or adding more complying product until the 
applicable standards are achieved).
    (3) An oversight program conducted by a carrier under paragraph 
(c)(1) of this section need not include periodic sampling and testing of 
gasoline in a tank truck operated by a common carrier, but in lieu of 
such tank truck sampling and testing the common carrier shall 
demonstrate evidence of an oversight program for monitoring compliance 
with the requirements of Sec.  80.78 relating to the transport or 
storage of gasoline by tank truck, such as appropriate guidance to 
drivers on compliance with applicable requirements and the periodic 
review of records normally

[[Page 125]]

received in the ordinary course of business concerning gasoline quality 
and delivery.

[38 FR 1255, Jan. 10, 1973, as amended at 62 FR 68207, Dec. 31, 1997; 71 
FR 8973, 8985, Feb. 22, 2006; 71 FR 26420, May 5, 2006; 71 FR 26701, May 
8, 2006; 71 FR 27533, May 11, 2006]



Sec.  80.80  Penalties.

    (a) Any person that violates any requirement or prohibition of 
subpart D, E, or F of this part shall be liable to the United States for 
a civil penalty of not more than the sum of $25,000 for every day of 
each such violation and the amount of economic benefit or savings 
resulting from each such violation.
    (b) Any violation of a standard for average compliance during any 
averaging period, or for per-gallon compliance for any batch of gasoline 
or blender grade pentane, shall constitute a separate violation for each 
and every standard that is violated.
    (c) Any violation of any standard based upon a multi-day averaging 
period shall constitute a separate day of violation for each and every 
day in the averaging period. Any violation of any credit creation or 
credit transfer requirement shall constitute a separate day of violation 
for each and every day in the averaging period.
    (d)(1) Any violation of any per-gallon standard or of any per-gallon 
minimum or per-gallon maximum, other than the standards specified in 
paragraph (e) of this section, shall constitute a separate day of 
violation for each and every day such gasoline or blender grade pentane 
giving rise to such violations remains any place in the gasoline or 
blender grade pentane distribution system, beginning on the day that the 
gasoline or blender grade pentane that violates such per-gallon standard 
is produced or imported and distributed and/or offered for sale, and 
ending on the last day that any such gasoline or blender grade pentane 
is offered for sale or is dispensed to any ultimate consumer for use in 
any motor vehicle; unless the violation is corrected by altering the 
properties and characteristics of the gasoline or blender grade pentane 
giving rise to the violations and any mixture of gasolines or blender 
grade pentane that contains any of the gasoline or blender grade pentane 
giving rise to the violations such that said gasoline or mixture of 
gasolines or said blender grade pentane or mixture of blender grade 
pentanes has the properties and characteristics that would have existed 
if the gasoline or blender grade pentane giving rise to the violations 
had been produced or imported in compliance with all per-gallon 
standards.
    (2) For the purposes of this paragraph (d), the length of time the 
gasoline or blender grade pentane in question remained in the gasoline 
or blender grade pentane distribution system shall be deemed to be 
twenty-five days; unless the respective party or EPA demonstrates by 
reasonably specific showings, by direct or circumstantial evidence, that 
the gasoline or blender grade pentane giving rise to the violations 
remained any place in the gasoline or blender grade pentane distribution 
system for fewer than or more than twenty-five days.
    (e)(1) Any reformulated gasoline that is produced or imported and 
offered for sale and for which the requirements to determine the 
properties and characteristics under Sec.  80.65(f) is not met, or any 
conventional gasoline for which the refiner or importer does not sample 
and test to determine the relevant properties, shall be deemed:
    (i)(A) Except as provided in paragraph (e)(1)(i)(B) of this section 
to have the following properties:

Sulfur content--970 ppm
Benzene content--5 vol %
RVP (summer)--11 psi
50% distillation--250 [deg]F
90% distillation--375 [deg]F
Oxygen content--0 wt %
Aromatics content--50 vol %
Olefins content--26 vol %

    (B) To have the following properties in paragraph (e)(1)(i)(A) of 
this section unless the respective party or EPA demonstrates by 
reasonably specific showings, by direct or circumstantial evidence, 
different properties for the gasoline giving rise to the violations; and
    (ii) In the case of reformulated gasoline, to have been designated 
as meeting all applicable standards on a per-gallon basis.

[[Page 126]]

    (2) For the purposes of paragraph (e)(1) of this section, any 
refiner or importer that fails to meet the independent analysis 
requirements of Sec.  80.65(f) may not use the results of sampling and 
testing that is carried out by that refiner or importer as direct or 
circumstantial evidence of the properties of the gasoline giving rise to 
the violations, unless this failure was not caused by the refiner or 
importer.
    (f) Any violation of any affirmative requirement or prohibition not 
included in paragraph (c) or (d) of this section shall constitute a 
separate day of violation for each and every day such affirmative 
requirement is not properly accomplished, and/or for each and every day 
the prohibited activity continues. For those violations that may be 
ongoing under subparts D, E, and F of this part, each and every day the 
prohibited activity continues shall constitute a separate day of 
violation.

[59 FR 7813, Feb. 16, 1994, as amended at 79 FR 23643, Apr. 28, 2014]



Sec.  80.81  Enforcement exemptions for California gasoline.

    (a)(1) The requirements of subparts D, E, F, and J of this part are 
modified in accordance with the provisions contained in this section in 
the case of California gasoline.
    (2) For purposes of this section, ``California gasoline'' means any 
gasoline that is sold, intended for sale, or made available for sale as 
a motor vehicle fuel in the State of California and that:
    (i) Is manufactured within the State of California;
    (ii) Is imported into the State of California from outside the 
United States; or
    (iii) Is imported into the State of California from inside the 
United States and that is manufactured at a refinery that does not 
produce reformulated gasoline for sale in any covered area outside the 
State of California.
    (b)(1) Any refiner or importer of gasoline that is sold, intended 
for sale, or made available for sale as a motor fuel in the State of 
California is, with regard to such gasoline, exempt from the compliance 
survey provisions contained in Sec.  80.68.
    (2) Any refiner or importer of California gasoline is, with regard 
to such gasoline, exempt from the independent analysis requirements 
contained in Sec.  80.65(f).
    (3) Any refiner, importer, or oxygenate blender of California 
gasoline that elects to meet any benzene content, oxygen content, or 
toxics emission reduction standard specified in Sec.  80.41 on average 
for any averaging period specified in Sec.  80.67 that is in part before 
March 1, 1996, and in part subsequent to such date, shall, with regard 
to such gasoline that is produced or imported prior to such date, 
demonstrate compliance with each of the standards specified in Sec.  
80.41 for each of the following averaging periods in lieu of those 
specified in Sec.  80.67:
    (i) January 1 through December 31, 1995; and
    (ii) March 1, 1995, through February 29, 1996.
    (4) The compliance demonstration required by paragraph (b)(3)(ii) of 
this section shall be submitted no later than May 31, 1996, along with 
the report for the first quarter of 1996 required to be submitted under 
Sec.  80.75(a)(1)(i).
    (c) Any refiner, importer, or oxygenate blender of California 
gasoline that is manufactured or imported subsequent to March 1, 1996 
and that meets the requirements of the California Phase 2 or Phase 3 
reformulated gasoline regulations, as set forth in Title 13, California 
Code of Regulations, section 2250 et seq. (May 1, 2003), is with regard 
to such gasoline, exempt from the following requirements (in addition to 
the requirements specified in paragraph (b) of this section:
    (1) The parameter value reconciliation requirements contained in 
Sec.  80.65(e)(2);
    (2) The designation of gasoline requirements contained in Sec.  
80.65(d), except in the case of RBOB that is designated as ``any 
renewable oxygenate,'' ``non-VOC controlled renewable ether only'', or 
``renewable ether only'';
    (3) The reformulated gasoline and RBOB compliance requirements 
contained in Sec.  80.65(c);
    (4) [Reserved]

[[Page 127]]

    (5) The annual compliance audit requirements contained in Sec.  
80.65(h), except where such audits are required with regard to the 
renewable oxygenate requirements contained in Sec.  80.83;
    (6) The downstream oxygenate blending requirements contained in 
Sec.  80.69, except where such requirements apply to the renewable 
oxygenate requirements contained in Sec.  80.83;
    (7) The record keeping requirements contained in Sec. Sec.  80.74 
and 80.104, except that records required to be maintained under Title 
13, California Code of Regulations, section 2270, shall be maintained 
for a period of five years from the date of creation and shall be 
delivered to the Administrator or to the Administrator's authorized 
representative upon request;
    (8) The reporting requirements contained in Sec. Sec.  80.75 and 
80.105;
    (9) The product transfer documentation requirements contained in 
Sec.  80.77; and
    (10) The compliance attest engagement requirements contained in 
subpart F of this part, except where such requirements apply to the 
renewable oxygenate requirements contained in Sec.  80.83.
    (d) Any refiner or importer that produces or imports gasoline that 
is sold, intended for sale, or made available for sale as a motor 
vehicle fuel in the State of California subsequent to March 1, 1996, 
shall demonstrate compliance with the standards specified in Sec. Sec.  
80.41 and 80.90 by excluding the volume and properties of such gasoline 
from all conventional gasoline and reformulated gasoline that it 
produces or imports that is not sold, intended for sale, or made 
available for sale as a motor vehicle fuel in the State of California 
subsequent to such date. The exemption provided in this section does not 
exempt any refiner or importer from demonstrating compliance with such 
standards for all gasoline that it produces or imports.
    (e)(1) The exemption provisions contained in paragraphs (b)(2), 
(b)(3), (c), and (f) of this section shall not apply under the 
circumstances set forth in paragraphs (e)(2) and (e)(3) of this section.
    (2) [Reserved]
    (3)(i) Such exemption provisions shall not apply to any refiner or 
importer of California gasoline who has been assessed a civil, criminal 
or administrative penalty for a violation of subpart D, E or F of this 
part or for a violation of the California Phase 2 reformulated gasoline 
regulations set forth in Title 13, California Code of Regulations, 
sections 2260 et seq., effective 90 days after the date of final agency 
or district court adjudication of such penalty assessment.
    (ii) Any refiner or importer subject to the provisions of paragraph 
(e)(3)(i) of this section may submit a petition to the Administrator for 
relief, in whole or in part, from the applicability of such provisions, 
for good cause. Good cause may include a showing that the violation for 
which a penalty was assessed was not a substantial violation of the 
Federal California reformulated gasoline regulations.
    (f) In the case of any gasoline that is sold, intended for sale, or 
made available for sale as a motor vehicle fuel in the State of 
California subsequent to March 1, 1996, any person that manufactures, 
sells, offers for sale, dispenses, supplies, offers for supply, stores, 
transports, or causes the transportation of such gasoline is, with 
regard to such gasoline, exempt from the following prohibited activities 
provisions:
    (1) The oxygenated fuels provisions contained in Sec.  
80.78(a)(1)(iii);
    (2) The product transfer provisions contained in Sec.  
80.78(a)(1)(iv);
    (3) The oxygenate blending provisions contained in Sec.  
80.78(a)(7); and
    (4) The segregation of simple and complex model certified gasoline 
provision contained in Sec.  80.78(a)(9).
    (g)(1) Any refiner that operates a refinery located outside the 
State of California at which California gasoline is produced (as defined 
in paragraph (a)(2)(ii) or (iii) of this section) is produced shall, 
with regard to such gasoline, provide to any person to whom custody or 
title of such gasoline has transferred, and each transferee shall 
provide to any subsequent transferee, documents which include the 
following information:
    (i) The name and address of the transferor;

[[Page 128]]

    (ii) The name and address of the transferee;
    (iii) The volume of gasoline which is being transferred;
    (iv) The location of the gasoline at the time of the transfer;
    (v) The date and time of the transfer;
    (vi) The identification of the gasoline as California gasoline.
    (2) Each refiner and transferee of such gasoline shall maintain 
copies of the product transfer documents required to be provided by 
paragraph (g)(1) of this section for a period of five years from the 
date of creation and shall deliver such documents to the Administrator 
or to the Administrator's authorized representative upon request.
    (h)(1) For the purposes of the batch sampling and analysis 
requirements contained in Sec.  80.65(e)(1) and Sec.  
80.101(i)(1)(i)(A), any refiner or importer of California gasoline may 
use a sampling and/or analysis methodology prescribed in Title 13, 
California Code of Regulations, section 2260 et seq. (as amended July 2, 
1996), in lieu of any applicable methodology specified in Sec.  80.46, 
with regards to:
    (i) Such gasoline; or
    (ii) That portion of its gasoline produced or imported for use in 
other areas of the United States, provided that:
    (A) The gasoline must be produced by a refinery that is located in 
the state of California that produces California gasoline, or imported 
into California from outside the United States as California gasoline;
    (B) The gasoline must be classified as conventional gasoline upon 
exportation from the California; and
    (C) The refiner or importer must correlate the results from the 
applicable sampling and/or analysis methodology prescribed in Title 13, 
California Code of Regulations, section 2250 et seq. (May 1, 2003) with 
the method specified in Sec.  80.46, and such correlation must be 
adequately demonstrated to EPA upon request.
    (2) Nothwithstanding the requirements of Sec.  80.65(e)(1) regarding 
when the properties of a batch of reformulated gasoline must be 
determined, a refiner of California gasoline may determine the 
properties of gasoline as specified under Sec.  80.65(e)(1) at off site 
tankage provided that:
    (i) The samples are properly collected under the terms of a current 
and valid protocol agreement between the refiner and the California Air 
Resources Board with regard to sampling at the off site tankage and 
consistent with the requirements prescribed in Title 13, California Code 
of Regulations, section 2250 et seq. (May 1, 2003); and
    (ii) The refiner provides a copy of the protocol agreement to EPA 
upon request.

[59 FR 7813, Feb. 16, 1994, as amended at 59 FR 36965, July 20, 1994; 59 
FR 39289, Aug. 2, 1994; 59 FR 60715, Nov. 28, 1994; 63 FR 34825, June 
26, 1998; 64 FR 49997, Sept. 15, 1999; 66 FR 17263, Mar. 29, 2001; 70 FR 
75920, Dec. 21, 2005; 70 FR 74570, Dec. 15, 2005; 71 FR 8973, Feb. 22, 
2006; 71 FR 26701, May 8, 2006]

    Effective Date Note: At 59 FR 39289, Aug. 2, 1994, Sec.  80.81 was 
amended by revising paragraphs (c)(2), (c)(5), (c)(6), and (c)(10) 
effective Sept. 1, 1994. At 59 FR 60715, Nov. 28, 1994, the amendment 
was stayed effective Sept. 13, 1994. At 70 FR 74570, Dec. 15, 2005, 
Sec.  80.81 was amended by revising paragraphs (c)(2), (c)(5), (c)(6), 
and (c)(10); however, the amendment could not be incorporated because 
those paragraphs are stayed.




Sec.  80.82  Butane blending.

    A refiner for any refinery that produces gasoline by blending butane 
with previously certified gasoline (PCG) may meet the sampling and 
testing requirements for this part as follows:
    (a) Except as provided in paragraphs (e) and (i) of this section, 
any refinery that blends butane for which the refinery has documents 
from the butane supplier which demonstrate that the butane is commercial 
grade, as defined in paragraph (c) of this section, may demonstrate 
compliance with the standards in this part based on the properties 
specified in paragraph (c) of this section, or the properties specified 
by the butane supplier.
    (b)(1) Except as provided in paragraphs (e) and (i) of this section, 
any refiner that blends butane for which the refiner has documents from 
the butane supplier which demonstrate that the butane is non-commercial 
grade, as defined in paragraph (d) of this section, may demonstrate 
compliance with the standards in this part based on the

[[Page 129]]

properties specified in paragraph (d) of this section, or the properties 
specified by the butane supplier, provided that the refinery--
    (i) Conducts a quality assurance program of sampling and testing the 
butane obtained from each separate butane supplier which demonstrates 
that the butane has the properties specified in paragraph (d) of this 
section; and
    (ii) The frequency of sampling and testing for the butane received 
from each butane supplier must be one sample for every 500,000 gallons 
of butane received, or one sample every three months, whichever is more 
frequent.
    (2) Where test results indicate the butane does not meet the 
requirements in paragraph (b)(1) of this section, the refiner may--
    (i) Blend the butane with conventional gasoline, or reformulated 
gasoline that has been downgraded to conventional gasoline, provided the 
equivalent emissions performance of the butane batch, as determined 
using the provisions in Sec.  80.101(g)(3), meets the refinery's 
standards under Sec.  80.101 and the refiner meets all of the standards 
and requirements applicable to refiners of conventional gasoline under 
this part;
    (ii) Blend the butane with reformulated gasoline or RBOB, provided 
that the final batch of butane blended with reformulated gasoline or 
RBOB meets the applicable per-gallon standards in Sec.  80.41(e), as 
determined using the test methods in Sec.  80.46 or Sec.  80.47, as 
applicable.
    (c) Commercial grade butane is defined as butane for which test 
results demonstrate that the butane is 95% pure and has all the 
following properties:
    (1) Olefins <=1.0 vol%.
    (2) Aromatics <=2.0 vol%.
    (3) Benzene <=0.03 vol%.
    (4) Sulfur <=30 ppm from January 1, 2005 through December 31, 2016; 
<=10 ppm beginning January 1, 2017 and thereafter.
    (d) Non-commercial grade butane is defined as butane for which test 
results demonstrate the butane has all the following properties:
    (1) Olefins <=10.0 vol%.
    (2) Aromatics <=2.0 vol%.
    (3) Benzene <=0.03 vol%.
    (4) Sulfur <=30 ppm beginning January 1, 2005 through December 31, 
2016; <=10 ppm beginning January 1, 2017 and thereafter.
    (e)(1) When butane is blended with conventional gasoline under this 
section during the period May 1 through September 15, the refiner shall 
demonstrate through sampling and testing, using the test method for Reid 
vapor pressure in Sec.  80.46 or Sec.  80.47, as applicable, that each 
batch of conventional gasoline blended with butane meets the volatility 
standards specified in Sec.  80.27 and in any EPA approved SIP.
    (2) Butane may not be blended with any reformulated gasoline or RBOB 
during the period April 1 through September 30, or with any reformulated 
gasoline or RBOB designated as VOC-controlled, under this section.
    (f) When butane is blended with previously certified gasoline under 
this section, product transfer documents which accompany the gasoline 
blended with butane must comply with all of the requirements of Sec.  
80.77 or Sec.  80.106, as appropriate.
    (g) Butane blended with previously certified gasoline during a 
period of up to one month may be included in a single batch for purposes 
of reporting to EPA, however, commercial grade butane and non-commercial 
grade butane must be reported as separate batches.
    (h) Where a refiner chooses to include butane blended with gasoline 
in the refinery's annual average compliance calculations--
    (1) In the case of butane blended with conventional gasoline, the 
equivalent emissions performance of the butane must be calculated in 
accordance with the provisions of Sec.  80.101(g)(3). For purposes of 
this paragraph (h)(1), the property values in Sec.  80.82(c) or (d), as 
appropriate, may be used;
    (2) In the case of butane blended with reformulated gasoline or 
RBOB, compliance with the reformulated gasoline standards may not be 
demonstrated using the provisions of this section;
    (3) All butane blended into gasoline during the annual averaging 
period must be included in annual average compliance calculations for 
the refinery.
    (i) A refiner who only blends commercial grade or non-commercial 
grade

[[Page 130]]

butane into PCG may meet the sampling and testing requirements of this 
part by meeting the requirements of paragraphs (a) through (f) and 
(h)(3) of this section and all the following additional requirements:
    (1) The per-gallon sulfur content of every batch of butane must not 
exceed 30 ppm from January 1, 2005 through December 31, 2016, and 10 ppm 
beginning January 1, 2017 and thereafter.
    (2) The refiner obtains test results from the butane supplier that 
demonstrate that the sulfur content of each load does not exceed the 
applicable per-gallon sulfur standard under paragraph (i)(1) of this 
section through test results of samples of butane contained in the 
storage tank from which the butane blender is supplied.
    (i) Sampling and testing for the sulfur content of the butane by the 
supplier must be subsequent to each receipt of butane into the 
supplier's storage tank or the sampling and testing must be immediately 
before transfer of butane to the butane blender.
    (ii) The testing must be performed in accord with the provisions of 
Sec.  80.46, Sec.  80.47, or other test methods as approved by the 
Administrator as applicable.
    (iii) The butane blender must obtain a copy of the butane supplier's 
test results at the time of each transfer of butane to the butane 
blender.
    (3) The sulfur content and volume of each batch of gasoline produced 
is that of the butane that the refiner blends into PCG for the purposes 
of calculating compliance with the applicable per-gallon sulfur 
standard.
    (4) The requirements of paragraphs (i)(1) through (3) of this 
section apply regardless of whether the butane is commercial grade or 
non-commercial grade.
    (5) The quality assurance testing requirement of paragraph (b)(1) of 
this section applies regardless of whether the butane is commercial 
grade or non-commercial grade.
    (6) If any of the requirements of this paragraph (i) are not met, in 
whole or in part for any butane blended into gasoline, that butane is 
deemed in violation of the gasoline standards in Sec.  80.1603(a).
    (j) The PCG procedures of Sec.  80.1640 may be used to meet the 
sampling and testing requirements of subpart O of this part.

[79 FR 23644, Apr. 28, 2014, as amended at 80 FR 9095, Feb. 19, 2015]




Sec.  80.83  Renewable oxygenate requirements.

    (a) Definition of renewable oxygenate. For purposes of subparts D 
and F of this part, renewable oxygenate is defined as provided in this 
paragraph (a).
    (1) In the case of oxygenate added to reformulated gasoline or RBOB 
that is not designated as VOC-controlled or that is not subject to the 
additional requirements associated with an extended non-commingling 
season pursuant to Sec.  80.83(i), renewable oxygenate shall be:
    (i) An oxygenate that is derived from non-fossil fuel feedstocks; or
    (ii) An ether that is produced using an oxygenate that is derived 
from non-fossil fuel feedstocks.
    (2) In the case of oxygenate added to reformulated gasoline or RBOB 
that is designated as VOC-controlled or that is subject to the 
additional requirements associated with an extended non-commingling 
season pursuant to Sec.  80.83(i), renewable oxygenate shall be an ether 
that meets the requirements of paragraph (a)(1)(ii) or (a)(3) of this 
section.
    (3) An oxygenate other than those ethers specified in paragraphs 
(a)(1) or (a)(2) of this section may be considered a renewable oxygenate 
if the Administrator approves a petition to that effect. The 
Administrator may approve such a petition if it is demonstrated to the 
satisfaction of the Administrator that the oxygenate does not cause 
volatility increases in gasoline that are non-linear in nature (i.e., a 
non-linear vapor pressure blending curve). The Administrator may approve 
a petition subject to any appropriate conditions or limitations.
    (4)(i) Oxygenate shall be renewable only if the refiner, importer, 
or oxygenate blender who uses the oxygenate is able to establish in the 
form of documentation that the oxygenate was produced from a non-fossil 
fuel feedstock.

[[Page 131]]

    (ii)(A) Any person who produces renewable oxygenate, as defined in 
paragraph (a)(1) of this section, or who stores, transports, transfers, 
or sells such renewable oxygenate, and where such renewable oxygenate is 
intended to be used in the production of gasoline, shall maintain 
documents that state the renewable source of the oxygenate, and shall 
supply to any transferee of the oxygenate documents which state the 
oxygenate is from a renewable source.
    (B) Any person who imports oxygenate that is represented by the 
importer to be renewable oxygenate, as defined in paragraph (a) of this 
section, shall maintain documents, obtained from the person who produced 
the oxygenate, that include a certification signed by the owner or chief 
executive officer of the company that produced the oxygenate that 
states:
    (1) The nature of the feedstock for the oxygenate; and
    (2) A description of the manner in which the oxygenate meets the 
renewable definition under paragraph (a) of this section.
    (iii) No person may represent any oxygenate as renewable unless the 
oxygenate meets the renewable definition under paragraph (a) of this 
section.
    (5) For purposes of this section, an oxygenate shall be considered 
to be derived from non-fossil fuel feedstocks only if the oxygenate is:
    (i) Derived from a source other than petroleum, coal, natural gas, 
or peat; or
    (ii) Derived from a product:
    (A) That was produced using petroleum, coal, natural gas, or peat 
through a substantial transformation of the fossil fuel;
    (B) When the product was initially produced, it was not commonly 
used to generate energy (e.g. automobile tires); and
    (C) The product was sold or transferred for a use other than energy 
generation, and was later treated as a waste product.
    (b) Renewable oxygenate standard. (1) The reformulated gasoline and 
reformulated gasoline produced using RBOB that is produced by any 
refiner at each refinery, or is imported by any importer, shall contain 
a volume of renewable oxygenate such that the reformulated gasoline and 
reformulated gasoline produced using RBOB, on average, has an oxygen 
content from such renewable oxygenate that is equal to or greater than 
0.30 wt% for the period of December 1, 1994 through December 31, 1995, 
and 0.60 wt% beginning on January 1, 1996.
    (2) The averaging period for the renewable oxygenate standard 
specified in paragraph (b)(1) of this section shall be:
    (i) Each calendar year; except that
    (ii) Any reformulated gasoline and RBOB that is produced or imported 
prior to January 1, 1995 shall be averaged with reformulated gasoline 
and RBOB produced or imported during 1995.
    (3)(i) The oxygenate used to meet the standard under paragraph 
(b)(1) of this section may also be used to meet any oxygen standard 
under Sec.  80.41; except that
    (ii) The renewable oxygenate added by a downstream oxygenate blender 
shall not be used by any refiner or importer to meet the oxygen standard 
under Sec.  80.41, except through the transfer of oxygen credits.
    (c) Downstream oxygenate blending using renewable oxygenate. (1) In 
the case of any refiner that produces RBOB, or any importer that imports 
RBOB, the oxygenate that is blended with the RBOB may be included with 
the refiner's or importer's compliance calculations under paragraph (d) 
of this section only if:
    (i) The oxygenate meets the applicable renewable oxygenate 
definition under paragraph (a) of this section; and
    (ii) The refiner or importer meets the downstream oxygenate blending 
oversight requirements specified in Sec. Sec.  80.69(a)(6) and (7); or
    (iii)(A) In the case of RBOB designated for ``any renewable 
oxygenate'' the refiner or importer assumes that ethanol will be blended 
with the RBOB;
    (B) In the case of RBOB designated for ``renewable ether only'' or 
``non-VOC controlled renewable ether only ``, the refiner or importer 
assumes that ETBE will be blended with the RBOB; and

[[Page 132]]

    (C) In the case of ``any renewable oxygenate,'' ``non-VOC controlled 
renewable ether only'' and ``renewable ether only RBOB,'' the refiner or 
importer assumes that the volume of oxygenate added will be such that 
the resulting reformulated gasoline will have an oxygen content of 2.0 
wt%.
    (2)(i) No person may combine any oxygenate with RBOB designated as 
``any renewable oxygenate'' unless the oxygenate meets the criteria 
specified in paragraph (a) of this section.
    (ii) No person may combine any oxygenate with RBOB designated as 
``renewable ether only'' or ``non-VOC controlled renewable ether only'' 
unless the oxygenate meets the criteria specified in paragraph (a) of 
this section.
    (d) Compliance calculation. (1) Any refiner for each of its 
refineries, and any importer shall, for each averaging period, determine 
compliance with the renewable oxygenate standard by calculating:
    (i) Prior to January 1, 1996, renewable oxygen compliance total 
using the following formula:
[GRAPHIC] [TIFF OMITTED] TR02AU94.000

    (ii) Beginning on January 1, 1996, the renewable oxygen compliance 
total using the following formula:
[GRAPHIC] [TIFF OMITTED] TR02AU94.001

where

CTro = the compliance total for renewable oxygen
Vi = the volume of reformulated gasoline or RBOB batch i
n = the number of batches of reformulated gasoline and RBOB produced or 
          imported during the averaging period

    (iii) The renewable oxygen actual total using the following formula:
    [GRAPHIC] [TIFF OMITTED] TR02AU94.002
    
where

ATro = the actual total for renewable oxygen
Vi = the volume of gasoline or RBOB batch i
ROi = the oxygen content, in wt%, in the form of renewable 
          oxygenate of gasoline or RBOB batch i
n = the number of batches of gasoline or RBOB produced or imported 
          during the averaging period

    (iv) Compare the renewable oxygen actual total with the renewable 
oxygen compliance total.
    (2)(i) The actual total must be equal to or greater than the 
compliance totals to achieve compliance, subject to the credit transfer 
provisions of paragraph (e) of this section.
    (ii) If the renewable oxygen actual total is less than the renewable 
oxygen compliance total, renewable oxygen credits must be obtained from 
another refinery or importer in order to achieve compliance.
    (iii) The total number of renewable oxygen credits required to 
achieve compliance is calculated by subtracting the renewable oxygen 
actual total from the renewable oxygen compliance total.
    (iv) If the renewable oxygen actual total is greater than the 
renewable oxygen compliance total, renewable oxygen credits are 
generated.
    (v) The total number of renewable oxygen credits which may be traded 
to a refiner for a refinery, or to another importer, is calculated by 
subtracting the renewable oxygen compliance total from the renewable 
oxygen actual total.
    (e) Credit transfers. Compliance with the renewable oxygenate 
standard specified in paragraph (b)(1) of this section may be achieved 
through the transfer of renewable oxygen credits, provided that the 
credits meet the criteria specified in Sec. Sec.  80.67(h)(1) (i) 
through (iv) and Sec. Sec.  80.67(h) (2) and (3).
    (f) Recordkeeping. Any refiner or importer, or any oxygenate blender 
who blends oxygenate with any RBOB designated as ``any renewable 
oxygenate,'' ``non VOC controlled renewable ether only'' or ``renewable 
ether only'' shall for a period of five years maintain the records 
specified in this paragraph (f) in a manner consistent with the 
requirements under Sec.  80.74, and deliver such records to the 
Administrator upon request. The records shall contain the following 
information:

[[Page 133]]

    (1)(i) Documents demonstrating the renewable nature and source of 
the oxygenate used, consistent with the requirements of paragraph (a)(3) 
of this section;
    (ii) The volume, type, and purity of any renewable oxygenate used; 
and
    (iii) Product transfer documentation for all renewable oxygenate, 
reformulated gasoline, or RBOB for which the party is the transferor or 
transferee.
    (2) The requirements of this paragraph (f) shall apply in addition 
to the recordkeeping requirements specified in Sec.  80.74(e).
    (g) Reporting requirements. (1) Any refiner for each refinery, or 
any importer, shall for each batch of reformulated gasoline and RBOB 
include in the quarterly reports for reformulated gasoline required by 
Sec.  80.75(a) the total weight percent oxygen and the weight percent 
oxygen attributable to renewable oxygenate contained in the gasoline, or 
contained in the RBOB subsequent to oxygenate blending if allowed under 
paragraph (c) of this section.
    (2) Any refiner for each refinery, or any importer, shall submit to 
the Administrator, with the fourth quarterly report required by Sec.  
80.75(a), a report for all reformulated gasoline and RBOB that was 
produced or imported during the previous calendar year averaging period, 
that includes the following information:
    (i) The total volume of reformulated gasoline and RBOB;
    (ii) The compliance total for renewable oxygen;
    (iii) The actual total for renewable oxygen;
    (iv) The number of renewable oxygen credits generated as a result of 
actual total renewable oxygen being greater than compliance total 
renewable oxygen;
    (v) The number of renewable oxygen credits required as a result of 
actual total renewable oxygen being less than compliance total renewable 
oxygen;
    (vi) The number of renewable oxygen credits transferred to another 
refinery or importer;
    (vii) The number of renewable oxygen credits obtained from another 
refinery or importer; and
    (viii) For any renewable oxygen credits that are transferred from or 
to another refinery or importer, for any such transfer:
    (A) The names, EPA-assigned registration numbers and facility 
identification numbers of the transferor and transferee of the credits;
    (B) The number of renewable oxygen credits that were transferred; 
and
    (C) The date of the transaction.
    (h) Renewable oxygenate requirements for reformulated gasoline used 
in the State of California. (1) Any refiner or importer of California 
gasoline, as defined in Sec.  80.81, shall meet the renewable oxygenate 
standard specified in paragraph (a) of this section for all reformulated 
gasoline or RBOB used in any reformulated gasoline covered area as 
specified in Sec.  80.70.
    (2) Any California gasoline shall be presumed to be used in a 
reformulated gasoline covered area:
    (i)(A) If the gasoline is produced at a refinery that is located 
within a reformulated gasoline covered area; or
    (B) If the gasoline is transported to a facility that is located 
within a reformulated gasoline covered area, or to a facility from which 
gasoline is transported by truck into a reformulated gasoline covered 
area; unless
    (ii) The refiner or importer is able to establish with documentation 
that the gasoline was used outside any reformulated gasoline covered 
area.
    (3) Any California gasoline shall be considered to be designated as 
VOC-controlled (for purposes of paragraph (a)(1) of this section) if the 
Reid vapor pressure of the gasoline, or RBOB subsequent to oxygenate 
blending, is intended to meet a standard of:
    (i) 7.8 psi or less in the case of gasoline intended for use before 
March 1, 1996; or
    (ii) 7.0 psi or less in the case of gasoline intended for use on or 
after March 1, 1996.
    (i) Special provisions for shoulder season. (1) The Governor of any 
State may petition for an extension of the non-commingling season for 
any or all reformulated gasoline covered areas within the State pursuant 
to Sec.  80.70.
    (i) Such petition must satisfy the following criteria:
    (A) Evidence showing an increase in the market share and/or use of

[[Page 134]]

oxygenates which produce commingling-related RVP increases in the 
area(s) that are covered by the petition;
    (B) Evidence demonstrating a pattern of exceedances for the period 
for which the extension is sought, including ozone monitoring data for 
the preceding three(3) years of the reformulated gasoline program;
    (C) An analysis showing that the pattern of ozone exceedances is 
likely to continue even with implementation of other ozone air quality 
control measures and/or programs currently planned by the State; and
    (D) Evidence that the responsible State agency or authority has 
given the public an opportunity for a public hearing and the submission 
of written comments with respect to the petition.
    (ii) Effective data and publication of decision.
    (A) If the Administrator determines that the petition meets the 
requirements of paragraph (i)(1)(i) of this section, to the satisfaction 
of the Administrator, then EPA shall publish a notice in the Federal 
Register announcing its intention to establish the non-commingling 
season as requested by the Governor, and specifying a tentative 
effective date.
    (1) The Administrator shall provide the public with an opportunity 
for a hearing and the submission of written comments.
    (2) The tentative effective date will correspond with the first day 
of the next complete non-commingling season beginning not less than one 
year after receipt of the petition.
    (B) If the Administrator receives adverse comments or information 
demonstrating to the satisfaction of the Administrator that the criteria 
of paragraph (i)(1)(i) of this section have not been met, that the 
tentative effective date is not reasonable, or that other good reasons 
exist to deny the petition, then the Administrator may reject the 
Governor's request for an extended non-commingling season, in whole or 
in part, or may delay the effective date by up to two (2) additional 
years. Absent receipt of such adverse comments or information, EPA shall 
publish a notice in the Federal Register announcing its approval of the 
petition and specifying an effective date for the extended non-
commingling season.
    (2) In the case of any refiner that produces RBOB, or any importer 
that imports RBOB, the oxygenate that is blended with the RBOB may be 
included with the refiner's or importer's compliance calculations under 
paragraph (d) of this section only if:
    (i) The oxygenate meets the applicable renewable oxygenate 
definition under paragraph (a) of this section; and
    (ii) In the case of RBOB designated for ``non VOC controlled ether 
only'' the refiner or importer assumes that ETBE or other oxygenate that 
does not exhibit volatility-related commingling effects when mixed with 
other gasolines and approved by the EPA Administrator under subparagraph 
(a)(3) of this section will be blended with the RBOB and so labels the 
transfer documentation.

[59 FR 39290, Aug. 2, 1994]

    Effective Date Note: At 59 FR 39290, Aug. 2, 1994, Sec.  80.83 was 
added, effective Sept. 1, 1994, except for paragraphs (g) and (h), which 
would not become effective until approval had been given by the Office 
of Management and Budget. At 59 FR 60715, Nov. 28, 1994, this section 
was stayed, effective Sept. 13, 1994. At 70 FR 74571, Dec. 15, 2005, 
Sec.  80.83 was revised; however, the amendment could not be 
incorporated because the section is stayed.



Sec.  80.84  Treatment of interface and transmix.

    (a) Definitions. For purposes of this section, the following 
definitions apply:
    (1) Interface means a volume of petroleum product generated in a 
pipeline between two adjacent volumes of non-identical petroleum product 
that consists of a mixture of the two adjacent products.
    (2) Transmix means an interface that does not meet the 
specifications for a fuel that can be used or sold, and that is composed 
solely of any combination of:
    (i) Previously certified gasoline (including previously certified 
gasoline blendstocks that become gasoline solely upon the addition of an 
oxygenate);
    (ii) Distillate fuel; or
    (iii) Gasoline blendstocks that are suitable for use as a blendstock 
without further processing.

[[Page 135]]

    (3) Transmix gasoline product, or TGP, means the gasoline or 
gasoline blendstock that is produced when transmix is separated into 
distillate fuel and either gasoline or gasoline blendstock. Gasoline 
blendstock here includes blendstock that becomes gasoline solely upon 
the addition of an oxygenate (such as RBOB).
    (4) Transmix processing facility means any refinery that produces 
TGP from transmix by distillation or other refining processes, but does 
not produce gasoline by processing crude oil.
    (5) Transmix processor means any person who owns, leases, operates, 
controls or supervises a transmix processing facility.
    (6) Transmix blending facility means any facility which produces 
gasoline by blending transmix into gasoline.
    (7) Transmix blender means any person who owns, leases, operates, 
controls or supervises a transmix blending facility.
    (b) Designation of gasoline interface by pipeline operators. (1) 
Gasoline interface mixtures containing the products below shall be 
designated by pipeline operators in the following manner:
    (i) Interface mixtures of reformulated gasoline or RBOB, and 
conventional gasoline shall be designated as conventional gasoline;
    (ii) Interface mixtures of VOC-controlled reformulated gasoline and 
non-VOC-controlled reformulated gasoline shall be designated as non-VOC-
controlled RFG;
    (iii) Interface mixtures of RBOB and reformulated gasoline shall be 
designated as RBOB; and
    (iv) Interface mixtures of reformulated gasoline or RBOB, and 
blendstock shall be designated as blendstock.
    (2) Regardless of gasoline product designation, all gasoline 
containing interface must meet all downstream standards, including but 
not limited to any standards and requirements that apply downstream of 
the refinery in this part and the Clean Air Act.
    (c) Transmix processing--(1) TGP sold without further mixing with 
blendstocks or previously certified gasoline. (i) Where the TGP meets 
all standards and requirements that apply to conventional gasoline 
downstream from the refinery, including but not limited to any standards 
and requirements in this part and the Clean Air Act, and the TGP is 
designated and sold as conventional gasoline, the transmix processor may 
exclude the TGP from compliance calculations for the transmix processing 
facility under this part Subpart E of this part. Except as required in 
paragraph (c)(4) of this section, the transmix processor must either 
include every batch or exclude every batch of this TGP from their 
compliance calculations for each compliance period;
    (ii) Where the TGP is sold as a blendstock, the transmix processor 
must exclude the TGP from compliance calculations. Pursuant to Sec.  
80.101(d)(3), however, TGP which becomes gasoline solely upon the 
addition of an oxygenate must be included in the compliance calculations 
for the transmix processing facility under subpart E of this part.
    (iii) Where the TGP is designated and sold as reformulated gasoline 
or RBOB, the transmix processor must fulfill all requirements and 
standards that apply to a refiner under subpart D of this part and must 
include the reformulated gasoline or RBOB produced from the transmix in 
compliance calculations for the transmix processing facility under 
subpart D of this part.
    (2) TGP blended with blendstocks. Where the transmix processor mixes 
the TGP with blendstock(s) to produce reformulated or conventional 
gasoline or RBOB, the TGP is treated as a blendstock and the transmix 
processor must fulfill all requirements and standards that apply to a 
refiner under subpart D or E of this part, as appropriate, and include 
the gasoline produced in compliance calculations for the transmix 
processing facility under subpart D or E of this part, as appropriate.
    (3) TGP blended with previously certified gasoline. (i) Where the 
TGP meets all the standards and requirements that apply to conventional 
gasoline downstream from the refinery, including but not limited to any 
standards and requirements of this part and the Clean Air Act, and the 
transmix processor mixes the TGP with any previously certified gasoline 
to produce conventional gasoline, the TGP may be excluded from 
compliance calculations for the transmix processing facility under 
subpart E of this part. Except as

[[Page 136]]

required in paragraph (c)(4) of this section, the transmix processor 
must either include every batch or exclude every batch of this TGP from 
compliance calculations for the transmix processing facility for each 
compliance period.
    (ii) Where the TGP does not meet all standards that apply to 
conventional gasoline downstream from the refinery, including but not 
limited to any standards and requirements of this part and the Clean Air 
Act, and the transmix processor mixes the TGP with any previously 
certified gasoline to produce conventional gasoline, the TGP is treated 
as a blendstock and the transmix processor must fulfill all requirements 
and standards for a refiner under subpart E of this part, for the TGP, 
and include the TGP in the compliance calculations for the transmix 
processing facility under subpart E of this part.
    (iii) The sampling and testing required under paragraph (c)(3)(ii) 
of this section may be met using one of the following methods:
    (A) Sample and test the TGP prior to blending with previously 
certified gasoline to determine the volume and properties of the TGP and 
include each volume of TGP blended with previously certified gasoline as 
a separate batch in compliance calculations for the transmix processing 
facility; or
    (B) Determine the volume and properties of the previously certified 
gasoline prior to blending with the TGP and measure the volume and 
properties of the gasoline subsequent to blending with the TGP. 
Calculate the volume and properties of the TGP by subtracting the volume 
and properties of the previously certified gasoline from the volume and 
properties of the gasoline subsequent to blending, and include each 
volume of TGP blended with previously certified gasoline as a separate 
batch in compliance calculations for the transmix processing facility; 
or
    (C) Comply with the requirements in Sec.  80.101(g)(9).
    (iv) Where the transmix processor mixes the TGP with any previously 
certified gasoline to produce reformulated gasoline or RBOB, the TGP is 
treated as a blendstock and the transmix processor must fulfill all 
requirements and standards for a refiner under subpart D of this part, 
for the TGP, and include the TGP in the compliance calculations for the 
transmix processing facility under subpart D of this part, using the 
procedures in Sec.  80.65(i).
    (4) Additional requirements for conventional gasoline produced with 
transmix containing blendstocks. Notwithstanding paragraphs (c)(1)(i) 
and (c)(3)(i) of this section, if gasoline is produced at a transmix 
processing facility from any transmix containing gasoline blendstocks, 
the transmix processor must include every batch of gasoline produced 
from transmix in compliance calculations for the transmix processing 
facility under subpart E of this part for the entire compliance period.
    (d) Transmix blending. Transmix blenders which fulfill all of the 
requirements in this paragraph (d) are exempt from the requirements and 
standards that apply to a refiner under subparts D and E of this part.
    (1) Transmix may be blended into any previously certified gasoline, 
provided that:
    (i) The endpoint of the final transmix-blended gasoline does not 
exceed 437 degrees Fahrenheit as measured by ASTM standard method D 86-
01\e1\, entitled ``Standard Test Method for Distillation of Petroleum 
Products at Atmospheric Pressure'', which is incorporated by reference. 
This incorporation by reference was approved by the Director of the 
Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. A 
copy may be obtained from the American Society for Testing and 
Materials, 100 Barr Harbor Dr., West Conshohocken, PA 19428-2959. Copies 
may be inspected at the Air Docket, EPA/DC, EPA West, Room B102, 1301 
Constitution Ave., NW., Washington, DC, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030 or go to: http://
www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html;
    (ii) The final transmix-blended gasoline meets all applicable 
downstream standards; and

[[Page 137]]

    (iii) The transmix blender complies with the requirements in 
Sec. Sec.  80.74(b)(10), 80.104(b) and 80.213.
    (2) The transmix blender must maintain and follow a written quality 
assurance program designed to assure that the type and amount of 
transmix blended into previously certified gasoline will not cause 
violations of the applicable standards in paragraph (d)(1) of this 
section. Except as set forth in paragraph (d)(3) of this section, as a 
part of the quality assurance program, transmix blenders shall collect 
samples of gasoline subsequent to blending transmix, and test the 
samples to ensure the end-point temperature of the final transmix-
blended gasoline does not exceed 437 degrees Fahrenheit, at one of the 
following rates:
    (i) In the case of transmix that is blended in a tank, following 
each occasion transmix is blended; or
    (ii) In the case of transmix that is blended by a computer 
controlled in-line blending system, the transmix blender shall collect 
composite samples of gasoline subsequent to blending transmix at a rate 
of not less than twice each calendar month during which transmix is 
blended.
    (3) Any transmix blender may petition EPA for approval of a quality 
assurance program that does not include the minimum sampling and testing 
requirements in paragraph (d)(2) of this section. In order to seek such 
an exemption, the transmix blender shall submit a petition to EPA that 
includes:
    (i) A detailed description of the quality assurance procedures to be 
carried out at each location where transmix is blended into previously 
certified gasoline, including a description of how the transmix blender 
proposes to determine the ratio of transmix that can be blended with 
previously certified gasoline without violating any of the applicable 
standards in paragraph (d)(1) of this section, and a description of how 
the transmix blender proposes to determine that the gasoline produced by 
the transmix blending operation meets the applicable standards.
    (ii) If the transmix is blended by a computer controlled in-line 
blending system, the transmix blender shall also include all of the 
information required by refiners under Sec.  80.65(f)(4)(i)(A).
    (iii) A letter signed by the president, chief operating or chief 
executive officer of the company, or his/her designee, stating that the 
information contained in the submission is true to the best of his/her 
belief must accompany any submission under this paragraph.
    (iv) Transmix blenders who seek an exemption under paragraph (d)(3) 
of this section must comply with any request by EPA for additional 
information or any other requirements that EPA includes as part of the 
exemption. However, they may withdraw their exemption petition or 
approved exemption at any time, upon notice to EPA.
    (v) EPA reserves the right to modify the requirements of an 
exemption under paragraph (d)(3) of this section, in whole or in part, 
at any time, if EPA determines that the transmix blender's operation 
does not effectively or adequately control, monitor or document the end-
point temperature of the gasoline produced, or if EPA determines that 
any other circumstance exists which merits modification of the 
requirements of an exemption. If EPA finds that a transmix blender 
provided false or inaccurate information in any submission required for 
an exemption under this section, upon notification from EPA, the 
transmix blender's exemption will be void ab initio.
    (4) In the event the test results for any sample collected pursuant 
to a quality assurance program indicate the gasoline does not comply 
with any of the applicable standards in paragraph (d)(1) of this 
section, the transmix blender shall:
    (i) Immediately take steps to stop the sale of the gasoline that was 
sampled;
    (ii) Take steps which are reasonably calculated to determine the 
cause of the noncompliance and to prevent future instances of 
noncompliance;
    (iii) Inform EPA of the noncompliance; and
    (iv) If the transmix was blended by a computer controlled in-line 
blending system, increase the rate of sampling and testing to a rate of 
not less than once per week and continue the increased frequency of 
sampling and testing until the results of ten consecutive

[[Page 138]]

samples and tests indicate the gasoline complies with applicable 
standards, at which time the sampling and testing may be conducted at 
the original frequency;
    (5) Any transmix blender who blends transmix into previously 
certified gasoline and who does not meet the requirements under this 
paragraph (d) shall meet all requirements and standards that apply to a 
refiner under subparts D and E of this part, other than this section and 
Sec. Sec.  80.74(b)(10), and 80.104(b).
    (e) The provisions of paragraphs (c) and (d) of this section also 
apply to mixtures of gasoline and distillate fuel:
    (1) Produced by unintentionally combining gasoline and distillate 
fuel in a tank.
    (2) Produced from normal business operations at terminals or 
pipelines, such as gasoline or distillate fuel drained from a tank, or 
drained from piping or hoses used to transfer gasoline or distillate 
fuel to tanks or trucks, or gasoline or distillate fuel discharged from 
a safety relief valve.
    (f) Any transmix processor or transmix blender who adds a feedstock 
to their transmix other than gasoline, distillate fuel or gasoline 
blendstocks from pipeline interface must meet all requirements and 
standards that apply to a refiner under subparts D and E of this part, 
other than this section and Sec. Sec.  80.74(b)(10), and 80.104(b), for 
all gasoline they produce during a compliance period.

[71 FR 31961, June 2, 2006]



Sec.  80.85  Pentane blending.

    A refiner for any refinery where gasoline is produced by adding 
blender-commercial grade pentane or blender-non-commercial grade pentane 
meeting the requirements of Sec.  80.86 to previously certified gasoline 
(PCG) may meet the sampling and testing requirements for this part as 
follows:
    (a) Any refiner that blends pentane for which the refiner has 
product transfer documents from a registered pentane supplier which 
demonstrate that the pentane is blender-commercial grade, as defined in 
Sec.  80.86(a)(3), may demonstrate compliance with the standards in this 
part based on the properties specified in Sec.  80.86(a)(3), or the 
properties specified by the pentane supplier, provided that the refiner 
does all the following:
    (1) Obtains a copy of the pentane supplier's test results at the 
time of each transfer of pentane to the pentane blender that indicates 
that the blender-commercial grade pentane complies with the requirements 
of Sec.  80.86(a)(3).
    (2) Conducts a quality assurance program of sampling and testing the 
pentane obtained from each separate pentane supplier using test 
procedures that have been approved by the Administrator which 
demonstrates that the pentane has the properties specified in Sec.  
80.86(a)(3). Samples and tests the pentane received from each pentane 
supplier at a frequency of one sample for every 350,000 gallons of 
pentane received, or one sample every three months, whichever is more 
frequent.
    (3) Enters into a contract with all parties who transport or store 
blender-commercial grade pentane for use by the refiner to assure that 
an adequate quality assurance program is implemented to ensure that 
blender-commercial grade pentane will not be contaminated in transit to 
the refinery.
    (b) Any refiner that blends pentane for which the refiner has 
product transfer documents from a registered pentane supplier which 
demonstrate that the pentane is blender-non-commercial grade, as defined 
in Sec.  80.86(a)(4), may demonstrate compliance with the standards in 
this part based on the properties specified in Sec.  80.86(a)(4), or the 
properties specified by the pentane supplier, provided that the refiner 
does all the following:
    (1) Obtains a copy of the pentane supplier's test results at the 
time of each transfer of pentane to the pentane blender that indicates 
that the blender-non-commercial grade pentane complies with the 
requirements of Sec.  80.86(a)(4).
    (2) Conducts a quality assurance program of sampling and testing the 
pentane obtained from each separate pentane supplier using test 
procedures that have been approved by the Administrator which 
demonstrates that the pentane has the properties specified in Sec.  
80.86(a)(4). Samples and tests the pentane received from each pentane 
supplier at a frequency of one sample for

[[Page 139]]

every 250,000 gallons of pentane received, or one sample every three 
months, whichever is more frequent.
    (3) Enters into a contract with all parties who transport or store 
blender-non-commercial grade pentane for use by the refiner to assure 
that an adequate quality assurance program is implemented to ensure that 
blender-non-commercial grade pentane will not be contaminated in transit 
to the refinery.
    (c) When pentane is blended with conventional gasoline under this 
section during the period May 1 through September 15, the refiner shall 
demonstrate through sampling and testing, using the test method for Reid 
vapor pressure in Sec.  80.46 or Sec.  80.47 as applicable, that each 
batch of conventional gasoline blended with pentane meets the volatility 
standards specified in Sec.  80.27, and in any EPA approved SIP.
    (d) When pentane is blended with conventional gasoline, CBOB, 
reformulated gasoline, or RBOB under this section, product transfer 
documents which accompany the gasoline blended with pentane must comply 
with all of the requirements of Sec.  80.77 or Sec.  80.106, as 
appropriate.
    (e) Pentane blended with conventional gasoline, CBOB, reformulated 
gasoline, or RBOB during a period of up to one month may be included in 
a single batch for purposes of reporting to EPA, if the refiner meets 
the sample compositing requirements in Sec.  80.91(d)(4)(iii), and 
reports blender-commercial grade and blender-non-commercial grade 
pentane as separate batches.
    (f) The provisions of this section may not be used for any pentane 
blended with any reformulated gasoline or RBOB during the period April 1 
through September 30, or with any reformulated gasoline or RBOB 
designated as VOC-controlled.
    (g) All pentane blended into gasoline during the annual averaging 
period must be included in annual average compliance calculations by a 
refiner for each of its refineries.
    (h) If any of the requirements of this section are not met, in whole 
or in part for any pentane blended into gasoline, that pentane is deemed 
in violation of the gasoline standards in Sec.  80.1603(a).
    (i) If a refiner does not fully implement the requirements of this 
section, it may not rely on test results from the pentane producer, and 
may only blend pentane with gasoline if it fully complies with all 
applicable requirements of this part 80, including the sampling and 
testing requirements applicable to refiners who produce gasoline by 
adding blendstocks to PCG.

[79 FR 23645, Apr. 28, 2014, as amended at 80 FR 9095, Feb. 19, 2015]



Sec.  80.86  Requirements for producers and importers of pentane used 
by pentane blenders.

    Producers and importers of pentane may designate batches of pentane 
as blender-commercial grade pentane or blender-non-commercial grade 
pentane suitable for use by pentane blenders pursuant to the 
requirements in this section.
    (a) Standards. (1) The pentane must be composed solely of carbon, 
hydrogen, oxygen, nitrogen, and sulfur.
    (2) The pentane must meet the standards for blender-commercial grade 
pentane or blender-non-commercial grade pentane.
    (3) For blender commercial grade pentane, the producer or importer 
must conduct analytical testing to on each production batch to 
demonstrate compliance with the following standards using sampling and 
testing procedures that have been approved by the Administrator:
    (i) Pentane =95 vol%.
    (ii) Olefins <=1.0 vol%.
    (iii) Aromatics <=2.0 vol%.
    (iv) Benzene <=0.03 vol%.
    (v) C6 and higher carbon number hydrocarbons <=5.0 vol%.
    (vi) Sulfur <=30 ppm from January 1, 2005 through December 31, 2016; 
<=10 ppm beginning January 1, 2017 and thereafter.
    (4) For blender-non-commercial grade pentane, the producer or 
importer must conduct analytical testing on each production batch to 
demonstrate compliance with the following standards using sampling and 
testing procedures that have been approved by the Administrator:
    (i) Olefins <=10.0 vol%.
    (ii) Aromatics <=2.0 vol%.
    (iii) Benzene <=0.03 vol%.

[[Page 140]]

    (iv) C6 and higher carbon number hydrocarbons <=5.0 vol%.
    (v) Sulfur <=30 ppm beginning January 1, 2005 through December 31, 
2016; <=10 ppm beginning January 1, 2017 and thereafter.
    (b) Registration. The producer or importer of pentane for use by 
pentane blenders must register with EPA pursuant to the following 
requirements:
    (1) Registration dates. Any producer or importer of pentane for use 
by pentane blenders must register with EPA at least thirty days in 
advance of the first date that such person will produce or import 
pentane for use by pentane blenders.
    (2) Registration for producers of pentane for use by pentane 
blenders. Registration shall be on forms and following procedures 
prescribed by the Administrator, and shall include all the following 
information:
    (i) The name, business address, contact name, email address, and 
telephone number of the producer of pentane for use by pentane blenders.
    (ii) For each separate facility that will produce pentane for use by 
pentane blenders, the facility name, physical location, contact name, 
telephone number, and type of facility.
    (iii) For each separate facility that will produce pentane for use 
by pentane blenders--
    (A) Whether records are kept on-site or off-site of the refinery.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, and telephone number.
    (iv) A description of the production facility which demonstrates 
that the facility is capable of producing pentane that is compliant with 
the requirements of this section without significant modifications to 
the existing facility.
    (v) A description of the means pentane will be shipped from the 
production facility to the pentane blender(s) and the associated quality 
assurance practices which demonstrate that contamination during 
distribution can be adequately controlled so as not to cause the pentane 
to be in violation of the standards in this section.
    (vi) A description of the sampling and testing procedures that will 
be used pursuant to the requirements of paragraphs (a)(3) and (4) of 
this section.
    (vii) EPA will supply a company registration number to each producer 
of pentane for use by pentane blenders, and a facility registration 
number for each production facility that is identified. These 
registration numbers shall be used in all reports to the Administrator.
    (viii) Any producer of pentane for use by pentane blenders shall 
submit updated registration information to the Administrator within 
thirty days of any occasion when the registration information previously 
supplied becomes incomplete or inaccurate.
    (3) Registration for importers of pentane for use by pentane 
blenders. Registration shall be on forms and following procedures 
prescribed by the Administrator, and shall include all the following 
information:
    (i) The name, business address, contact name, and email address, 
telephone number of the importer.
    (ii) For each importer's operations in a single PADD--
    (A) Whether records are kept on-site at the registered address or 
off-site.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, email address, and 
telephone number.
    (iii) A description of the importer's operating facility which 
demonstrates that the importer is capable of providing pentane that is 
compliant with the requirements of this section without significant 
modifications to the existing facility.
    (iv) A description of the means pentane will be shipped from the 
importer's facility to the pentane blender(s) and the associated quality 
assurance practices which demonstrate that contamination during 
distribution can be adequately controlled so as not to cause the pentane 
to be in violation of the standards in this section.
    (v) A description of the sampling and testing procedures that will 
be used pursuant to the requirements of paragraphs (a)(3) and (4) of 
this section.
    (vi) EPA will supply a company registration number to each importer. 
This registration number shall be used in all reports to the 
Administrator.

[[Page 141]]

    (vii) Any importer of pentane for use by pentane blenders shall 
submit updated registration information to the Administrator within 
thirty days of any occasion when the registration information previously 
supplied becomes incomplete or inaccurate.
    (c) PTDs. The producer or importer of pentane for use by pentane 
blenders must initiate a PTD for each batch that it ships from its 
facility which contains the information specified in paragraphs (c)(1) 
and (c)(2) of this section and the statement in paragraph (c)(3) or 
(c)(4) of this section, as applicable.
    (1) The pentane producer or importer company name and facility 
registration number issued by EPA pursuant to paragraph (b) of this 
section.
    (2) The name and address of the transferor and transferee.
    (3) ``Blender commercial grade pentane for use by pentane 
blenders''.
    (4) ``Blender non-commercial grade pentane for use by pentane 
blenders''.
    (5) PTDs that are compliant with the requirements in paragraph (c) 
of this section must be transferred from each party transferring pentane 
for use by pentane blenders to each party that receives pentane for use 
by pentane blenders through to the pentane blender.
    (6) Alternative PTD language to that specified in paragraphs (c)(3) 
and (c)(4) of this section may be used as approved by EPA.
    (d) Batch numbers. Every batch of pentane for use by pentane 
blenders that is produced or imported at a pentane production or import 
facility shall be assigned a number (the ``batch number''), consisting 
of the EPA-assigned registration number, the EPA facility registration 
number, the last two digits of the year in which the batch was produced, 
and a unique number for the batch, beginning with the number one for the 
first batch produced or imported each calendar year and each subsequent 
batch during the calendar year being assigned the next sequential number 
(e.g., 4321-54321-95-000001, 4321-54321-95-000002, etc.).

[79 FR 23645, Apr. 28, 2014, as amended at 80 FR 9095, Feb. 19, 2015]



Sec.  80.87  Controls and prohibitions for producers, importers,
and distributors of pentane for use by pentane blenders.

    (a) Prohibited acts. No person shall--
    (1) Produce, import, sell, distribute, offer for sale or 
distribution, blend, supply, offer for supply, store, transport, or 
cause the transportation of any product designated as pentane for use by 
pentane blenders unless--
    (i) Each gallon of such pentane for use by pentane blenders meets 
the applicable standards specified in Sec.  80.86; and
    (ii) The product transfer documentation for such pentane for use by 
pentane blenders complies with the requirements in Sec. Sec.  80.77 and 
80.86(c).
    (2) Produce or import pentane for use by pentane blenders unless the 
producer or importer complies with the recordkeeping requirements of 
Sec.  80.74, the reporting requirements of Sec.  80.75, and the 
requirements of Sec.  80.86.
    (3) Fail to meet any other requirements of Sec.  80.86.
    (4) Cause another person to commit an act in violation of this 
paragraph (a).
    (b) Persons liable. The following persons are liable for violations 
of prohibited acts in paragraph (a) of this section:
    (1) Any person who manufactures, imports, sells, distributes, offers 
for sale or distribution, blends, supplies, offers for supply, stores, 
transports, or causes the transportation of any product designated as 
pentane for use by pentane blenders that violates Sec.  80.86 is liable 
for the violation.
    (2) Any person that causes another party to violate paragraph (a) of 
this section is liable for a violation of this paragraph (b).
    (3) Any parent corporation is liable for any violations of this 
section that are committed by any of its wholly-owned subsidiaries.
    (4) Each partner to a joint venture, or each owner of a facility 
owned by two or more owners, is jointly and severally liable for any 
violation of this subpart that occurs at the joint venture facility or a 
facility that is owned by the joint owners, or a facility that

[[Page 142]]

is committed by the joint venture operation or any of the joint owners 
of the facility.
    (c) Any person who violates this section is liable for the 
violation.
    (d) Determination of compliance. EPA may establish noncompliance 
with standards using any information, including the results of testing 
using methods that are not included in Sec.  80.46.
    (e) Dates controls and prohibitions begin. The controls and 
prohibitions specified in paragraph (a) of this section apply at any 
location on or after June 27, 2014.
    (f) Penalties. (1) Any person liable for a violation under this 
section is subject to civil penalties as specified in sections 205 and 
211(d) of the Clean Air Act (42 U.S.C. 7524 and 7545(d)) for every day 
of each such violation and the amount of economic benefit or savings 
resulting from each violation.
    (2) Any person liable under this section for a violation of an 
applicable standards or causing another person to violate the 
requirements is subject to a separate day of violation for each and 
every day the non-complying pentane or gasoline remains any place in the 
pentane or gasoline distribution system.
    (3) For purposes of paragraph (c) of this section, the length of 
time the pentane or gasoline in question remained in the pentane or 
gasoline distribution system is deemed to be twenty-five days, unless a 
person subject to liability or EPA demonstrates by reasonably specific 
showings, by direct or circumstantial evidence, that the non-complying 
pentane or gasoline remained in the distribution system for fewer than 
or more than twenty-five days.
    (g) Any person liable under this section for failure to meet, or 
causing a failure to meet, a provision of this subpart is liable for a 
separate day of violation for each and every day such provision remains 
unfulfilled.

[79 FR 23646, Apr. 28, 2014]



Sec. Sec.  80.88-80.89  [Reserved]



                         Subpart E_Anti-Dumping

    Source: 59 FR 7860, Feb. 16, 1994, unless otherwise noted.



Sec.  80.90  Conventional gasoline baseline emissions determination.

    (a) Annual average baseline values. For any facility of a refiner or 
importer of conventional gasoline, the annual average baseline values of 
the facility's exhaust benzene emissions, exhaust toxics emissions, 
NOX emissions, sulfur, olefins and T90 shall be determined 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR16FE94.012

where

BASELINE = annual average baseline value of the facility,
SUMRBASE = summer baseline value of the facility,
SUMRVOL = summer baseline gasoline volume of the facility, per Sec.  
          80.91,
WNTRBASE = winter baseline value of the facility,
WNTRVOL = winter baseline gasoline volume of the facility, per Sec.  
          80.91.

    (b) Baseline exhaust benzene emissions--simple model. (1) Simple 
model exhaust benzene emissions of conventional gasoline shall be 
determined using the following equation:

EXHBEN = (1.884 + 0.949 x BZ + 0.113 x (AR - BZ))

where

EXHBEN = exhaust benzene emissions,
BZ = fuel benzene value in terms of volume percent (per Sec.  80.91), 
          and
AR = fuel aromatics value in terms of volume percent (per Sec.  80.91).

    (2) The simple model annual average baseline exhaust benzene 
emissions for any facility of a refiner or importer of conventional 
gasoline shall be determined as follows:
    (i) The simple model baseline exhaust benzene emissions shall be 
determined

[[Page 143]]

separately for summer and winter using the facility's oxygenated 
individual baseline fuel parameter values for summer and winter (per 
Sec.  80.91), respectively, in the equation specified in paragraph 
(b)(1) of this section.
    (ii) The simple model annual average baseline exhaust benzene 
emissions of the facility shall be determined using the emissions values 
determined in paragraph (b)(2)(i) of this section in the equation 
specified in paragraph (a) of this section.
    (c) Baseline exhaust benzene emissions--complex model. The complex 
model annual average baseline exhaust benzene emissions for any facility 
of a refiner or importer of conventional gasoline shall be determined as 
follows:
    (1) The summer and winter complex model baseline exhaust benzene 
emissions shall be determined separately using the facility's oxygenated 
individual baseline fuel parameter values for summer and winter (per 
Sec.  80.91), respectively, in the appropriate complex model for exhaust 
benzene emissions described in Sec.  80.45.
    (2) The complex model annual average baseline exhaust benzene 
emissions of the facility shall be determined using the emissions values 
determined in paragraph (c)(1) of this section in the equation specified 
in paragraph (a) of this section.
    (d) Baseline exhaust toxics emissions. The annual average baseline 
exhaust toxics emissions for any facility of a refiner or importer of 
conventional gasoline shall be determined as follows:
    (1) The summer and winter baseline exhaust emissions of benzene, 
formaldehyde, acetaldehyde, 1,3-butadiene, and polycyclic organic matter 
shall be determined using the oxygenated individual baseline fuel 
parameter values for summer and winter (per Sec.  80.91), respectively, 
in the appropriate complex model for each exhaust toxic (per Sec.  
80.45).
    (2) The summer and winter baseline total exhaust toxics emissions 
shall be determined separately by summing the summer and winter baseline 
exhaust emissions of each toxic (per paragraph (d)(1) of this section), 
respectively.
    (3) The annual average baseline exhaust toxics emissions of the 
facility shall be determined using the emissions values determined in 
paragraph (d)(2) of this section in the equation specified in paragraph 
(a) of this section.
    (e) Baseline NOX emissions. The annual average baseline 
NOX emissions for any facility of a refiner or importer of 
conventional gasoline shall be determined as follows:
    (1) The summer and winter baseline NOX emissions shall be 
determined using the baseline individual baseline fuel parameter values 
for summer and winter (per Sec.  80.91), respectively, in the 
appropriate complex model for NOX (per Sec.  80.45).
    (2) The annual average baseline NOX emissions of the 
facility shall be determined using the emissions values determined in 
paragraph (e)(1) of this section in the equation specified in paragraph 
(a) of this section.
    (3) The requirements specified in paragraphs (e) (1) and (2) of this 
section shall be determined separately using the oxygenated and 
nonoxygenated individual baseline fuel parameters, per Sec.  80.91.
    (f) Applicability of Phase I and Phase II models. The requirements 
of paragraphs (d) and (e) of this section shall be determined separately 
for the applicable Phase I and Phase II complex models specified in 
Sec.  80.45.
    (g) Calculation accuracy. Emissions values calculated per the 
requirements of this section shall be determined to four (4) significant 
figures. Sulfur, olefin and T90 values calculated per the requirements 
of this section shall be determined to the same number of decimal places 
as the corresponding value listed in Sec.  80.91(c)(5).

[59 FR 7860, Feb. 16, 1994, as amended at 59 FR 36965, July 20, 1994]



Sec.  80.91  Individual baseline determination.

    (a) Baseline definition. (1) The ``baseline'' or ``individual 
baseline'' of a refinery, refiner or importer, as applicable, shall 
consist of:
    (i) An estimate of the quality, composition and volume of its 1990 
gasoline, or allowable substitute, based on the requirements specified 
in Sec. Sec.  80.91 through 80.93; and

[[Page 144]]

    (ii) Its baseline emissions values calculated per paragraph (f) of 
this section.
    (2)(i) The quality and composition of the 1990 gasoline of a 
refinery, refiner or importer, as applicable, shall be the set of values 
of the following fuel parameters: benzene content; aromatic content; 
olefin content; sulfur content; distillation temperature at 50 and 90 
percent by volume evaporated; percent evaporated at 200 [deg]F and 300 
[deg]F; oxygen content; RVP.
    (ii) A refiner, per paragraph (b)(3)(i) of this section, shall also 
determine the API gravity of its 1990 gasoline.
    (3) The methodology outlined in this section shall be followed in 
determining a baseline value for each fuel parameter listed in paragraph 
(a)(2) of this section.
    (b) Requirements for refiners, blenders and importers--(1) 
Requirements for producers of gasoline and gasoline blendstocks. (i) A 
refinery engaged in the production of gasoline blendstocks from crude 
oil and/or crude oil derivatives, and the subsequent mixing of those 
blendstocks to form gasoline, shall have its baseline fuel parameter 
values determined from Method 1, 2 and/or 3-type data as described in 
paragraph (c) of this section, provided the refinery was in operation 
for at least 6 months in 1990.
    (ii) A refinery which was in operation for at least 6 months in 
1990, was shut down after 1990, and which restarts after June 15, 1994, 
and for which insufficient 1990 and post-1990 data was collected prior 
to January 1, 1995 from which to determine an individual baseline, shall 
have the values listed in paragraph (c)(5) of this section as its 
individual baseline parameters.
    (iii) A refinery which was in operation for less than 6 months in 
1990 shall have the values listed in paragraph (c)(5) of this section as 
its individual baseline parameters.
    (2) Requirements for producers or importers of gasoline blendstocks 
only. A refiner or importer of gasoline blendstocks which did not 
produce or import gasoline in 1990 and which produces or imports post-
1994 gasoline shall have the values listed in paragraph (c)(5) of this 
section as its individual baseline parameters.
    (3) Requirements for purchasers of gasoline and/or gasoline 
blendstocks. (i) A refiner or refinery, as applicable, solely engaged in 
the production of gasoline from gasoline blendstocks and/or gasoline 
which are simply purchased and blended to form gasoline shall have its 
individual baseline determined using Method 1-type data (per paragraph 
(c) of this section) from every batch of 1990 gasoline.
    (ii) If Method 1-type data on every batch of the refiner's or 
refinery's 1990 gasoline does not exist, that refiner or refinery shall 
have the values listed in paragraph (c)(5) of this section as its 
individual baseline parameters.
    (4) Requirements for importers of gasoline and/or gasoline 
blendstocks. (i) An importer of gasoline shall determine an individual 
baseline value for each fuel parameter listed in paragraph (a)(2) of 
this section using Method 1-type data on every batch of gasoline 
imported by that importer into the United States in 1990.
    (ii) An importer which is also a foreign refiner must determine its 
individual baseline using Method 1, 2 and/or 3-type data (per paragraph 
(c) of this section) if it imported at least 75 percent, by volume, of 
the gasoline produced at its foreign refinery in 1990 into the United 
States in 1990.
    (iii) An importer which cannot meet the criteria of paragraphs 
(b)(4)(i) or (ii) of this section for baseline determination shall have 
the parameter values listed in paragraph (c)(5) of this section as its 
individual baseline parameter values.
    (5) Requirements for exporters of gasoline and/or gasoline 
blendstocks. A refiner shall not include quality or volume data on its 
1990 exports of gasoline blendstocks or gasoline in its baseline 
determination.
    (c) Data types--(1) Method 1-type data. (i) Method 1-type data shall 
consist of quality (composition and property data) and volume records of 
gasoline produced in or shipped from the refinery in 1990, excluding 
exported gasoline. The measured fuel parameter values and volumes of 
batches, or shipments if not batch blended, shall be used except that 
data on produced gasoline which was also shipped shall be included only 
once.

[[Page 145]]

    (ii) Gasoline blendstock which left a facility in 1990 and which 
could become gasoline solely upon the addition of oxygenate shall be 
included in the baseline determination.
    (A) Fuel parameter values of such blendstock shall be accounted for 
as if the gasoline blendstock were blended with ten (10.0) volume 
percent ethanol.
    (B) If the refiner or importer can provide evidence that such 
gasoline blendstock was not blended per paragraph (c)(1)(ii)(A) of this 
section, and that such gasoline blendstock was blended with another 
oxygenate or a different volume of ethanol, the fuel parameter values of 
the final gasoline (including oxygenate) shall be included in the 
baseline determination.
    (C) If the refiner or importer can provide evidence that such 
gasoline blendstock was not blended per paragraph (c)(1)(ii)(A) or (B) 
of this section, and that such gasoline blendstock was sold with out 
further changes downstream, the fuel parameter values of the original 
product shall be included in the baseline determination.
    (iii) Data on 1990 gasoline purchased or otherwise received, 
including intracompany transfers, shall not be included in the baseline 
determination of a refiner's or importer's facility if the gasoline 
exited the receiving refinery unchanged from its arrival state.
    (2) Method 2-type data. Method 2-type data shall consist of 1990 
gasoline blendstock quality data and 1990 blendstock production records, 
specifically the measured fuel parameter values and volumes of 
blendstock used in the production of gasoline within the refinery. 
Blendstock data shall include volumes purchased or otherwise received, 
including intracompany transfers, if the volumes were blended as part of 
the refiner's or importer's 1990 gasoline. Henceforth in Sec. Sec.  
80.91 through 80.93, ``blendstock(s)'' or ``gasoline blendstock(s)'' 
shall include those products or streams commercially blended to form 
gasoline.
    (3) Method 3-type data. (i) Method 3-type data shall consist of 
post-1990 gasoline blendstock and/or gasoline quality data and 1990 
blendstock and gasoline production records, specifically the measured 
fuel parameter values and volumes of blendstock used in the production 
of gasoline within the refinery. Blendstock data shall include volumes 
purchased or otherwise received, including intracompany transfers, if 
the volumes were blended as part of the refiner's or importer's 1990 
gasoline.
    (ii) In order to use Method 3-type data, the refiner or importer 
must do all of the following:
    (A) Include a detailed discussion comparing its 1990 and post-1990 
refinery operations and all other differences which would cause the 1990 
and post-1990 fuel parameter values to differ; and
    (B) Perform the appropriate calculations so as to adjust for the 
differences determined in paragraph (c)(3)(ii)(A) of this section; and
    (C) Include a narrative, discussing the methodology and reasoning 
for the adjustments made per paragraph (c)(3)(ii)(B) of this section.
    (iii) In order to use post-1990 gasoline data, either of the 
following must be shown for each blendstock-type included in 1990 
gasoline, excluding butane:
    (A) The post-1990 volumetric fraction of a blendstock is within 
()10.0 percent of the volumetric fraction of that 
blendstock in 1990 gasoline. For example, if a 1990 blendstock 
constituted 30 volume percent of 1990 gasoline, this criterion would be 
met if the post-1990 volumetric fraction of the blendstock in post-1990 
gasoline was 27.0-33.0 volume percent.
    (B) The post-1990 volumetric fraction of a blendstock is within 
()2.0 volume percent of the absolute value of the 
1990 volumetric fraction. For example, if a 1990 blendstock constituted 
5 volume percent of 1990 gasoline, this criterion would be met if the 
post-1990 volumetric fraction of the blendstock in post-1990 gasoline 
was 3-7 volume percent.
    (iv) If using post-1990 gasoline data, post-1990 gasoline blendstock 
which left a facility and which could become gasoline solely upon the 
addition of oxygenate shall be included in the baseline determination, 
per the requirements specified in paragraph (c)(1)(ii) of this section.
    (4) Hierarchy of data use. (i) A refiner or importer must determine 
a baseline

[[Page 146]]

fuel parameter value using only Method 1-type data if sufficient Method 
1-type data is available, per paragraph (d)(1)(ii) of this section.
    (ii) If a refiner has insufficient Method 1-type data for a baseline 
parameter value determination, it must supplement that data with all 
available Method 2-type data, until it has sufficient data, per 
paragraph (d)(1)(iii) of this section.
    (iii) If a refiner has insufficient Method 1- and Method 2-type data 
for a baseline parameter value determination, it must supplement that 
data with all available Method 3-type data, until it has sufficient 
data, per paragraph (d)(1)(iii) of this section.
    (iv) The protocol for the determination of baseline fuel parameter 
values in paragraphs (c)(4)(i) through (iii) of this section shall be 
applied to each fuel parameter one at a time.
    (5) Anti-dumping statutory baseline. (i) The summer anti-dumping 
statutory baseline shall have the set of fuel parameter values 
identified as ``summer'' in Sec.  80.45(b)(2). The anti-dumping summer 
API gravity shall be 57.4 [deg]API.
    (ii) The winter anti-dumping statutory baseline shall have the set 
of fuel parameter values identified as ``winter'' in Sec.  80.45(b)(2), 
except that winter RVP shall be 8.7 psi. The anti-dumping winter API 
gravity shall be 60.2 API.
    (iii) The annual average anti-dumping statutory baseline shall have 
the following set of fuel parameter values:

Benzene, volume percent--1.60
Aromatics, volume percent--28.6
Olefins, volume percent--10.8
RVP, psi--8.7
T50, degrees F--207
T90, degrees F--332
E200, percent--46
E300, percent--83
Sulfur, ppm--338
API Gravity, [deg]API--59.1

    (iv) The annual average anti-dumping statutory baseline shall have 
the following set of emission values:

Exhaust benzene emissions, simple model--6.45
Exhaust benzene emissions, complex model--33.03 mg/mile
Exhaust toxics emissions, Phase I--50.67 mg/mile
Exhaust toxics emissions, Phase II--104.5 mg/mile
NOX emissions, Phase I--714.4 mg/mile
NOX emissions, Phase II--1461. mg/mile

    (d) Data collection and testing requirements--(1) Minimum sampling 
requirements--(i) General requirements. (A) Data shall have been 
obtained for at least three months of the refiner's or importer's 
production of summer gasoline and at least three months of its 
production of winter gasoline. When method 1 per batch RVP data is 
available, a month is considered equivalent to 4 weeks of seasonal data.
    (1) Method 1, per batch, actual RVP data will be used to define that 
batch as either summer fuel or winter fuel. Summer fuel is defined as 
fuel produced and intended for sale to satisfy Federal summer volatility 
standards. When such per batch actual RVP data is not available, data is 
allocated per month as follows. A summer month is defined as any month 
during which more than 50 percent (by volume) of the gasoline produced 
by a refiner met the Federal summer gasoline volatility requirements. 
Winter shall be any month which could not be considered a summer month 
under this definition.
    (2) The three months which compose the summer and the winter data do 
not have to be consecutive nor within the same year.
    (3) If, in 1990, a refiner marketed all of its gasoline only in an 
area or areas which experience no seasonal changes relative to gasoline 
requirements, e.g., Hawaii, only 3 months of data are required.
    (B) Once the minimum sampling requirements have been met, data 
collection may cease. Additional data may only be included for the 
remainder of the calendar year in which the minimum sampling 
requirements were met. In any case, all data collected through the date 
of collection of the last data point included in the determination of a 
baseline fuel parameter value must be utilized in the baseline 
determination of that fuel parameter.
    (C) Less than the minimum requirements specified in paragraph (d)(1) 
of this section may be allowed, upon petition and approval (per Sec.  
80.93), if it can be shown that the available data is sufficient in 
quality and quantity to use in the baseline determination.
    (ii) Method 1 sampling requirements. At least half of the batches, 
or shipments

[[Page 147]]

if not batch blended, in a calendar month shall have been sampled over a 
minimum of six months in 1990.
    (iii) Method 2 sampling requirements. (A) Continuous blendstock 
streams shall have been sampled at least weekly over a minimum of six 
months in 1990.
    (B) For blendstocks produced on a batch basis, at least half of all 
batches of a single blendstock type produced in a calendar month shall 
have been sampled over a minimum of six months in 1990.
    (iv) Method 3 sampling requirements--(A) Blendstock data. (1) Post-
1990 continuous blendstock streams shall have been sampled at least 
weekly over a minimum of six months.
    (2) For post-1990 blendstocks produced on a batch basis, at least 
half of all batches of a single blendstock type produced in a calendar 
month shall have been sampled over a minimum of six months.
    (B) Gasoline data. At least half of the post-1990 batches, or 
shipments if not batch blended, in a calendar month shall have been 
sampled over a minimum of six months in order to use post-1990 gasoline 
data.
    (2) Sampling beyond today's date. The necessity and actual 
occurrence of data collection after today's date must be shown.
    (3) Negligible quantity sampling. Testing of a blendstock stream for 
a fuel parameter listed in this paragraph (d)(3) is not required if the 
refiner can show that the fuel parameter exists in the stream at less 
than or equal to the amount, on average, shown in this paragraph (d)(3) 
for that fuel parameter. Any fuel parameter shown to exist in a refinery 
stream in negligible amounts shall be assigned a value of 0.0:

Aromatics, volume percent--1.0
Benzene, volume percent--0.15
Olefins, volume percent--1.0
Oxygen, weight percent--0.2
Sulfur, ppm--30.0

    (4) Sample compositing. (i) Samples of gasoline or blendstock which 
have been retained, but not analyzed, may be mixed prior to analysis and 
analyzed, as described in paragraphs (d)(4)(iii) (A) through (H) of this 
section, for the required fuel parameters. Samples must be from the same 
season and year and must be of a single grade or of a single type of 
batch-produced blendstock.
    (ii) Blendstock samples of a single blendstock type obtained from 
continuous processes over a calendar month may be mixed together in 
equal volumes to form one blendstock sample and the sample subsequently 
analyzed for the required fuel parameters.
    (iii)(A) Samples shall have been collected and stored per the method 
normally employed at the refinery in order to prevent change in product 
composition with regard to baseline properties and to minimize loss of 
volatile fractions of the sample.
    (B) Properties of the retained samples shall be adjusted for loss of 
butane by comparing the RVP measured right after blending with the RVP 
determined at the time that the supplemental properties are measured.
    (C) The volume of each batch or shipment sampled shall have been 
noted and the sum of the volumes calculated to the nearest hundred (100) 
barrels.
    (D) For each batch or shipment sampled, the ratio of its volume to 
the total volume determined in paragraph (d)(4)(iii)(C) of this section 
shall be determined to three (3) decimal places. This shall be the 
volumetric fraction of the shipment in the mixture.
    (E) The total minimum volume required to perform duplicate analyses 
to obtain values of all of the required fuel parameters shall be 
determined.
    (F) The volumetric fraction determined in paragraph (d)(4)(iii)(D) 
of this section for each batch or shipment shall be multiplied by the 
value determined in paragraph (d)(4)(iii)(E) of this section.
    (G) The resulting value determined in paragraph (d)(4)(iii)(F) of 
this section for each batch or shipment shall be the volume of each 
batch or shipment's sample to be added to the mixture. This volume shall 
be determined to the nearest milliliter.
    (H) The appropriate volumes of each shipment's sample shall be 
thoroughly mixed and the solution analyzed per the methods normally 
employed at the refinery.
    (5) Test methods. (i) If the test methods used to obtain fuel 
parameter values of gasoline and gasoline

[[Page 148]]

blendstocks differ or are otherwise not equivalent in precision or 
accuracy to the corresponding test method specified in Sec.  80.46, 
results obtained under those procedures will only be acceptable, upon 
petition and approval (per Sec.  80.93), if the procedures are or were 
industry-accepted procedures for measuring the properties of gasoline 
and gasoline blendstocks at the time the measurement was made.
    (ii) Oxygen content may have been determined analytically or from 
oxygenate blending records.
    (A) The fuel parameter values, other than oxygen content, specified 
in paragraph (a) of this section, must be established as for any 
blendstock, per the requirements of this paragraph (d).
    (B) All oxygen associated with allowable gasoline oxygenates per 
Sec.  80.2(jj) shall be included in the determination of the baseline 
oxygen content, if oxygen content was determined analytically.
    (C) Oxygen content shall be assumed to be contributed solely by the 
oxygenate which is indicated on the blending records, if oxygen content 
was determined from blending records.
    (6) Data quality. Data may be excluded from the baseline 
determination if it is shown to the satisfaction of the Director of the 
Office of Mobile Sources, or designee, that it is not within the normal 
range of values expected for the gasoline or blendstock sample, 
considering unit configuration, operating conditions, etc.; due to:
    (i) Improper labeling; or
    (ii) Improper testing; or
    (iii) Other reasons as verified by the auditor specified in Sec.  
80.92.
    (e) Baseline fuel parameter determination--(1) Closely integrated 
gasoline producing facilities. Each refinery or blending facility must 
determine a set of baseline fuel parameter values per this paragraph 
(e). A single set of baseline fuel parameters may be determined, upon 
petition and approval, for two or more facilities under either of the 
following circumstances:
    (i) Two or more refineries or sets of gasoline blendstock-producing 
units of a refiner engaged in the production of gasoline per paragraph 
(b)(1) of this section which are geographically proximate to each other, 
yet not within a single refinery gate, and whose 1990 operations were 
significantly interconnected.
    (ii) A gasoline blending facility operating per paragraph (b)(3) of 
this section received at least 75 percent of its 1990 blendstock volume 
from a single refinery, or from one or more refineries which are part of 
an aggregate baseline per Sec.  80.101(h). The blending facility and 
associated refinery(ies) must be owned by the same refiner.
    (2) Equations--(i) Parameter determinations. Average baseline fuel 
parameters shall be determined separately for summer and winter using 
summer and winter data (per paragraph (d)(1)(i)(A) of this section), 
respectively, in the applicable equation listed in paragraphs (e)(2) 
(ii) through (iv) of this section, except that average baseline winter 
RVP shall be 8.7 psi.
    (ii) Product included in parameter determinations. In each of the 
equations listed in paragraphs (e)(2) (ii) through (iv) of this section, 
the following shall apply:
    (A)(1) All gasoline produced to meet EPA's 1990 summertime 
volatility requirements shall be considered summer gasoline. All other 
gasoline shall be considered winter gasoline, except:
    (2) Gasoline produced or imported for use in Hawaii, the 
Commonwealth of Puerto Rico, and the Virgin Islands that is subject to 
an approved petition under Sec.  80.93(d)(2) shall be considered summer 
gasoline for purposes of paragraph (e) of this section.
    (B)(1) Baseline total annual 1990 gasoline volume shall be the 
larger of the total volume of gasoline produced in or shipped from the 
refinery in 1990.
    (2) Baseline summer gasoline volume shall be the total volume of low 
volatility gasoline which met EPA's 1990 summertime volatility 
requirements. Baseline summer gasoline volume shall be determined on the 
same basis (produced or shipped) as baseline total annual gasoline 
volume.
    (3) Baseline winter gasoline volume shall be the baseline total 
annual gasoline volume minus the baseline summer gasoline volume.
    (C) Fuel parameter values shall be determined in the same units and 
at least to the same number of decimal

[[Page 149]]

places as the corresponding fuel parameter listed in paragraph (c)(5) of 
this section.
    (D) Volumes shall be reported to the nearest barrel or to the degree 
at which historical records were kept.
    (iii) Method 1. Summer and winter Method 1-type data, per paragraph 
(c)(1) of this section, shall be evaluated separately according to the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR16FE94.013

where:

Xbs = summer or winter baseline value of fuel parameter X for 
          the refinery
s = season, summer or winter, per paragraph (d)(1)(i)(A)(1) of this 
          section
g = separate grade of season s gasoline produced by the refinery in 1990
ps = total number of different grades of season s gasoline 
          produced by the refinery in 1990
Tgs = total volume of season s grade g gasoline produced in 
          1990
Ns = total volume of season s gasoline produced by the 
          refinery in 1990
i = separate batch or shipment of season s 1990 gasoline sampled
ngs = total number of season s samples of grade g gasoline
Xgis = parameter value of grade g gasoline sample i in season 
          s
Vgis = volume of season s grade g gasoline sample i
SGgis = specific gravity of season s grade g gasoline sample 
          i (used only for fuel parameters measured on a weight basis)

    (iv) Method 2. Summer and winter Method 2-type data, per paragraph 
(c)(2) of this section, shall be evaluated separately according to the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR20JY94.000

where

Xbs = Summer or winter baseline value of fuel parameter x for 
          the refinery
s = season, summer or winter, per paragraph (d)(1)(i)(A)(1) of this 
          section
j = type of blendstock (e.g., reformate, isomerate, alkylate, etc.)
ms = total types of blendstocks in season s 1990 gasoline
Tjs = total 1990 volume of blendstock j used in the 
          refinery's season s gasoline
Ns = total volume of season s gasoline produced in the 
          refinery in 1990
i = sample of blendstock j
njs = number of samples of season s blendstock j from 
          continuous process streams
Xijs = parameter value of sample i of season s blendstock j
pjs = number of samples of season s batch-produced blendstock 
          j
Vijs = volume of batch of sample i of season s blendstock j
SGijs = specific gravity of sample i of season s blendstock j 
          (used only for fuel parameters measured on a weight basis)

    (v) Method 3. (A) Post-1990 Blendstock. Summer and winter Method 3-
type data, per paragraph (c)(3) of

[[Page 150]]

this section, shall be evaluated separately according to the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR16FE94.015

where

Xbs = Summer or winter baseline value of fuel parameter X for 
          the refinery
s = season, summer or winter, per paragraph (d)(1)(i)(A)(1) of this 
          section
j = type of blendstock (e.g., reformate, isomerate, alkylate, etc.)
ms = total types of blendstocks in season s 1990 gasoline
Tjs = total 1990 volume of blendstock j used in the 
          refinery's season s gasoline
Ns = total volume of season s gasoline produced in the 
          refinery in 1990
i = sample of post-1990 season s blendstock j
njs = number of samples of post-1990 season s blendstock j 
          from continuous process streams
Xijs = parameter value of sample i of post-1990 season s 
          blendstock j
pjs = number of samples of post-1990 season s batch-produced 
          blendstock j
Vijs = volume of post-1990 batch of sample i of season s 
          blendstock j
SGijs = specific gravity of sample i of season s blendstock j 
          (used only for fuel parameters measured on a weight basis)

    (B) Post-1990 gasoline. Summer and winter Method 3-type gasoline 
data, per paragraph (c)(3) of this section, shall be evaluated 
separately according tothe following equation:
[GRAPHIC] [TIFF OMITTED] TR16FE94.016

where:

Xbs = Summer or winter baseline value of fuel parameter X for 
          the refinery
s = season, summer or winter, per paragraph (d)(1)(i)(A)(1) of this 
          section
g = separate grade of season s gasoline produced by the refinery in 1990
ps = total number of different grades of season s gasoline 
          produced by the refinery in 1990
Tgs = total volume of season s grade g gasoline produced in 
          1990
Ns = total volume of season s gasoline produced by the 
          refinery in 1990
i = separate batch or shipment of post-1990 season s gasoline sampled
ngs = total number of samples of post-1990 season s grade g 
          gasoline
Xgis = parameter value of post-1990 grade g season s gasoline 
          sample i
Vgis = volume of post-1990 season s grade g gasoline sample i
SGgis = specific gravity of post-1990 season s grade g 
          gasoline sample i (used only for fuel parameters measured on a 
          weight basis)

    (3) Percent evaporated determination. (i) Baseline E200 and E300 
values shall be determined directly from actual measurement data.
    (ii) If the data per paragraph (e)(3)(i) of this section are 
unavailable, upon petition and approval, baseline E200 and E300 values 
shall be determined from the following equations using the

[[Page 151]]

baseline T50 and T90 values, if the baseline T50 and T90 values are 
otherwise acceptable:

E200 = 147.91 - (0.49 x T50)
E300 = 155.47 - (0.22 x T90)

    (4) Oxygen in the baseline. Baseline fuel parameter values shall be 
determined on both an oxygenated and non-oxygenated basis.
    (i) If baseline values are determined first on an oxygenated basis, 
per paragraph (e) of this section, the calculations in paragraphs 
(e)(4)(i) (A) through (C) of this section shall be performed to 
determine the value of each baseline parameter on a non-oxygenated 
basis.
    (A) Benzene, aromatic, olefin and sulfur content shall be determined 
on a non-oxygenated basis according to the following equation:

UV = [AV/(100-OV)] x 100

where

UV = non-oxygenated parameter value
AV = oxygenated parameter value
OV = 1990 oxygenate volume as a percent of total production

    (B) Reid vapor pressure (RVP) shall be determined on a non-
oxygenated basis according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR20JY94.001

where

UR = non-oxygenated RVP (baseline value)
BR = oxygenated RVP
i = type of oxygenate used in 1990
n = total number of different types of oxygenates used in 1990
OVi = 1990 volume, as a percent of total production, of 
          oxygenate i
ORi = blending RVP of oxygenate i

    (C) Test data and engineering judgement shall be used to estimate 
T90, T50, E300 and E200 baseline values on a non-oxygenated basis. 
Allowances shall be made for physical dilution and distillation effects 
only, and not for refinery operational changes, e.g., decreased reformer 
severity required due to the octane value of oxygenate which would 
reduce aromatics.
    (ii) If baseline values are determined first on a non-oxygenated 
basis, the calculations in paragraphs (e)(4)(ii) (A) through (C) of this 
section shall be performed to determine the value of each baseline 
parameter on an oxygenated basis.
    (A) Benzene, aromatic, olefin and sulfur content shall be determined 
on an oxygenated basis according to the following equation:

AV = UV x (100 - OV) / 100

where

AV = oxygenated parameter value
UV = non-oxygenated parameter value
OV = 1990 oxygenate volume as a percent of total production

    (B) Reid vapor pressure (RVP) shall be determined on an oxygenated 
basis according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR20JY94.002

where

BR = oxygenated RVP
UR = non-oxygenated RVP
i = type of oxygenate
n = total number of different types of oxygenates
OVi = 1990 volume, as a percent of total production, of 
          oxygenate i
ORi = blending RVP of oxygenate i


[[Page 152]]


    (C) Test data and engineering judgement shall be used to estimate 
T90, T50, E300 and E200 baseline values on an oxygenated basis. 
Allowances shall be made for physical dilution and distillation effects 
only, and not for refinery operational changes, e.g., decreased reformer 
severity required due to the octane value of oxygenate which would 
reduce aromatics.
    (5) Work-in-progress. A refiner may, upon petition and approval (per 
Sec.  80.93), be allowed to account for work- in-progress at one or more 
of its refineries in 1990 in the determination of that refinery's 
baseline fuel parameters using Method 1, 2 or 3-type data if it meets 
the requirements specified in this paragraph (e)(5).
    (i) Work-in-progress shall include:
    (A) Refinery modification projects involving gasoline blendstock or 
distillate producing units which were under construction in 1990; or
    (B) Refinery modification projects involving gasoline blendstock or 
distillate producing units which were contracted for prior to or in 1990 
such that the refiner was committed to purchasing materials and 
constructing the project.
    (ii) The modifications discussed in paragraph (e)(5)(i) of this 
section must have been initiated with intent of complying with a 
legislative or regulatory environmental requirement enacted or 
promulgated prior to January 1, 1991.
    (iii) When comparing emissions or parameter values determined with 
and without the anticipated work-in-progress adjustment, at least one of 
the following situations results when comparing annual average baseline 
values per Sec.  80.90:
    (A) A 2.5 percent or greater difference in exhaust benzene emissions 
(per Sec.  80.90); or
    (B) A 2.5 percent or greater difference in total exhaust toxics 
emissions (per Sec.  80.90(d)); or
    (C) A 2.5 percent or greater difference in NOX emissions 
(per Sec.  80.90(e)); or
    (D) A 10.0 percent or greater difference in sulfur values; or
    (E) A 10.0 percent or greater difference in olefin values; or
    (F) A 10.0 percent or greater difference in T90 values.
    (iv) The requirements of paragraph (e)(5)(iii) of this section shall 
be determined according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR16FE94.020

    (v) The capital involved in the work-in-progress is at least:
    (A) 10.0 percent of the refinery's depreciated book value as of the 
work-in-progress start-up date; or
    (B) $10 million.
    (vi) Sufficient data shall have been obtained since reliable 
operation of the work-in-progress was achieved. Such data shall be used 
in the determination of the baseline value, due to the work-in-progress, 
of each of the fuel parameters specified in Sec.  80.91(a)(2)(i) and as 
verification of the effect of the work-in-progress.
    (A) The baseline value, due to the work-in-progress, of each of the 
fuel parameters specified in Sec.  80.91(a)(2)(i) shall be used in the 
determination of the emissions specified in Sec.  80.90.
    (B) The baseline values of sulfur, olefins and E300, due to the 
work-in-progress, shall be used in the determination of the emissions 
specified in Sec.  80.41(j)(3).
    (vii) The annual average baseline values of exhaust benzene 
emissions, per Sec.  80.90(b) and Sec.  80.90(c), exhaust toxics 
emissions, per Sec.  80.90(d), and NOX emissions, per Sec.  
80.90(e), are the values resulting from the work-in-progress baseline 
adjustment, not to exceed the larger of:
    (A) The unadjusted annual average baseline value of each emission 
specified in this paragraph (e)(5)(vii); or
    (B) The following values:
    (1) Exhaust benzene emissions, simple model, 6.77;

[[Page 153]]

    (2) Exhaust benzene emissions, complex model, 34.68 mg/mile;
    (3) Exhaust toxics emissions, 53.20 mg/mile in Phase I, 109.7 mg/
mile in Phase II;
    (4) NOX emissions, 750.1 mg/mile in Phase I, 1534. mg/
mile in Phase II.
    (viii) When compliance is achieved using the simple model, per Sec.  
80.41 and/or Sec.  80.101, the baseline values of sulfur, olefins and 
T90 are the values resulting from the work-in-progress baseline 
adjustment, not to exceed the larger of:
    (A) The unadjusted annual average baseline value of each fuel 
parameter specified in paragraph (e)(5)(viii) of this section; or
    (B) The following values:
    (1) Sulfur, 355 ppm;
    (2) Olefins, 11.3 volume percent;
    (3) T90, 349 [deg]F; or
    (C) An adjusted annual average baseline fuel parameter value for 
sulfur, olefins and T90 such that exhaust emissions of VOC, toxics, and 
NOX do not exceed the complex model emission levels specified 
in paragraph (e)(5)(vii)(B) of this section. In the petition for a work-
in-progress adjustment, the refiner shall specify sulfur, olefins and 
T90 values that meet these emission levels.
    (ix) All work-in-progress adjustments must be accompanied by:
    (A) Unadjusted and adjusted fuel parameters, emissions, and volumes; 
and
    (B) A description of the current status of the work-in-progress 
(i.e., the refinery modification project) and the date on which normal 
operations were achieved; and
    (C) A narrative describing the situation, the types of calculations, 
and the reasoning supporting the types of calculations done to determine 
the adjusted values.
    (6) Baseline adjustment for extenuating circumstances. (i) Baseline 
adjustments may be allowed, upon petition and approval (per Sec.  
80.93), if a refinery had downtime of a gasoline blendstock producing 
unit for 30 days or more in 1990 due to:
    (A) Unplanned, unforeseen circumstances; or
    (B) Non-annual maintenance (turnaround).
    (ii) Fuel parameter and volume adjustments shall be made by assuming 
that the downtime did not occur in 1990.
    (iii) All extenuating circumstance adjustments must be accompanied 
by:
    (A) Unadjusted and adjusted fuel parameters, emissions, and volumes; 
and
    (B) A description of the current status of the extenuating 
circumstance and the date on which normal operations were achieved; and
    (C) A narrative describing the situation, the types of calculations, 
and the reasoning supporting the types of calculations done to determine 
the adjusted values.
    (7) Baseline adjustments for 1990 JP-4 production. (i) Baseline 
adjustments may be allowed, upon petition and approval (per Sec.  
80.93), if a refinery produced JP-4 jet fuel in 1990 and all of the 
following requirements are also met:
    (A) Refinery type.
    (1) The refinery is the only refinery of a refiner such that it 
cannot form an aggregate baseline with another refinery (per Sec.  
80.101(h)); or
    (2) The refinery is one refinery of a multi-refinery refiner for 
which all of the refiner's refineries produced JP-4 in 1990; or
    (3) The refinery is one refinery of a multi-refinery refiner for 
which not all of the refiner's refineries produced JP-4 in 1990.
    (B) No refinery of a given refiner produces reformulated gasoline. 
If any refinery of the refiner produces reformulated gasoline at any 
time in a calendar year, the compliance baselines of all the refiner's 
refineries receiving a baseline adjustment per this paragraph (e)(7) 
shall revert to the unadjusted baselines of each respective refinery for 
that year and all subsequent years.
    (C) 1990 JP-4 to gasoline ratio.
    (1) For a refiner per paragraph (e)(7)(i)(A)(1) of this section, the 
ratio of its refinery's 1990 JP-4 production to its 1990 gasoline 
production must be greater than or equal to 0.15.
    (2) For a refiner per paragraph (e)(7)(i)(A)(2) of this section, the 
ratio of each of its refinery's 1990 JP-4 production to its 1990 
gasoline production must be greater than or equal to 0.15.
    (3) For a refiner per paragraph (e)(7)(i)(A)(3) of this section, the 
ratio of the refiner's 1990 JP-4 production to

[[Page 154]]

its 1990 gasoline production must be greater than or equal to 0.15, when 
determined across all of its refineries. Such a refiner must comply with 
its anti-dumping requirements on an aggregate basis, per Sec.  
80.101(h), across all of its refineries.
    (ii) Fuel parameter and volume adjustments shall be made by assuming 
that no JP-4 was produced in 1990.
    (iii) All adjustments due to 1990 JP-4 production must be 
accompanied by:
    (A) Unadjusted and adjusted fuel parameters, emissions, and volumes; 
and
    (B) A narrative describing the situation, the types of calculations, 
and the reasoning supporting the types of calculations done to determine 
the adjusted values.
    (8) Baseline adjustments due to increasing crude sulfur content.
    (i) Baseline adjustments may be allowed, upon petition and approval 
(per Sec.  80.93), if a refinery meets all of the following 
requirements:
    (A) The refinery does not produce reformulated gasoline. If the 
refinery produces reformulated gasoline at any time in a calendar year, 
its compliance baseline shall revert to its unadjusted baseline for that 
year and all subsequent years;
    (B) Has an unadjusted baseline sulfur value which is less than or 
equal to 50 parts per million (ppm);
    (C) Is not aggregated with one or more other refineries (per Sec.  
80.101(h)). If a refinery which received an adjustment per this 
paragraph (e)(8) subsequently is included in an aggregate baseline, its 
compliance baseline shall revert to its unadjusted baseline for that 
year and all subsequent years;
    (D) Can show that installation of the refinery units necessary to 
process higher sulfur crude oil supplies to comply with the refinery's 
unadjusted baseline would cost at least $10 million or be greater than 
or equal to 10 percent of the depreciated book value of the refinery as 
of January 1, 1995;
    (E) Can show that it could not reasonably or economically obtain 
crude oil from an alternative source that would permit it to produce 
conventional gasoline which would comply with its unadjusted baseline;
    (F) Has experienced an increase of greater than or equal to 25 
percent in the average sulfur content of the crude oil used in the 
production of gasoline in the refinery since 1990, calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TR04MR97.002

where:

CSHI = highest annual average crude sulfur (in ppm), of the crude slates 
          used in the production of gasoline, determined over the years 
          1991-1994;
CS90 = 1990 annual average crude slate sulfur (in ppm), of the crude 
          slates used in the production of gasoline;
CS%CHG = percent change in average sulfur content of crude slate;

    (G) Can show that gasoline sulfur changes are directly and solely 
attributable to the crude sulfur change, and not due to alterations in 
refinery operation nor choice of products.
    (ii) The adjusted baseline sulfur value shall be the actual baseline 
sulfur value, in ppm, plus 100 ppm.
    (iii) All adjustments made pursuant to this paragraph (e)(8) must be 
accompanied by:
    (A) Unadjusted and adjusted fuel parameters and emissions; and
    (B) A narrative describing the situation, the types of calculations, 
and the reasoning supporting the types of calculations done to determine 
the adjusted values.
    (9) Baseline adjustment for low sulfur and olefins.
    (i) Baseline adjustments may be allowed if a refinery meets all of 
the following requirements:
    (A) The unadjusted annual average baseline sulfur value of the 
refinery is less than or equal to 30 parts per million (ppm);
    (B) The unadjusted annual average baseline olefin value of the 
refinery is less than or equal to 1.0 percent by volume (vol%).
    (ii) Adjusted baseline values.
    (A) The adjusted baseline shall have an annual average sulfur value 
of 30 ppm, and an annual average olefin value of 1.0 vol%.
    (B) The adjusted baseline shall have a summer sulfur value of 30 
ppm, and a summer olefin value of 1.0 vol%.
    (C) The adjusted baseline shall have a winter sulfur value of 30 
ppm, and a winter olefin value of 1.0 vol%.

[[Page 155]]

    (f) Baseline volume and emissions determination--(1) Individual 
baseline volume. (i) The individual baseline volume of a refinery 
described in paragraph (b)(1)(i) of this section shall be the larger of 
the total gasoline volume produced in or shipped from the refinery in 
1990, excluding gasoline blendstocks and exported gasoline, and 
including the oxygenate volume associated with any product meeting the 
requirements specified in paragraph (c)(1)(ii) of this section.
    (ii) Gasoline brought into the refinery in 1990 which exited the 
refinery, in 1990, unchanged shall not be included in determining the 
refinery's baseline volume.
    (iii) If a refiner is allowed to adjust its baseline per paragraphs 
(e)(5) through (e)(7) of this section, its individual baseline volume 
shall be the volume determined after the adjustment.
    (iv) The individual baseline volume for facilities deemed closely 
integrated, per paragraph (e)(1) of this section, shall be the combined 
1990 gasoline production of the facilities, so long as mutual volumes 
are not double-counted, i.e., volumes of blendstock sent from the 
refinery to the blending facility should not be included in the blending 
facility's volume.
    (v) The baseline volume of a refiner, per paragraph (b)(3) of this 
section, shall be the larger of the total gasoline volume produced in or 
shipped from the refinery in 1990, excluding gasoline blendstocks and 
exported gasoline.
    (vi) The baseline volume of an importer, per paragraph (b)(4) of 
this section, shall be the total gasoline volume imported into the U.S. 
in 1990.
    (2) Individual baseline emissions. (i) Individual annual average 
baseline emissions (per Sec.  80.90) shall be determined for every 
refinery, refiner or importer, as applicable.
    (ii) If the baseline fuel value for aromatics, olefins, and/or 
benzene (determined per paragraph (e) of this section) is higher than 
the high end of the valid range limits specified in Sec.  80.42(c)(1) if 
compliance is being determined under the Simple Model, or in Sec.  
80.45(f)(1)(ii) if compliance is being determined under the Complex 
Model, then the valid range limits may be extended for conventional 
gasoline in the following manner:
    (A) The new high end of the valid range for aromatics is determined 
from the following equation:

NAROLIM = AROBASE + 5.0 volume percent

where

NAROLIM = The new high end of the valid range limit for aromatics, in 
          volume percent
AROBASE = The seasonal baseline fuel value for aromatics, in volume 
          percent

    (B) The new high end of the valid range for olefins is determined 
from the following equation:

NOLELIM = OLEBASE + 3.0 volume percent

where

NOLELIM = The new high end of the valid range limit for olefins, in 
          volume percent
OLEBASE = The seasonal baseline fuel value for olefins, in volume 
          percent

    (C) The new high end of the valid range for benzene is determined 
from the following equation:

NBENLIM = BENBASE + 0.5 volume percent

where

NBENLIM = The new high end of the valid range limit for benzene, in 
          volume percent
BENBASE = The seasonal baseline fuel value for benzene, in volume 
          percent

    (D) The extension of the valid range is limited to the applicable 
summer or winter season in which the baseline fuel values for aromatics, 
olefins, and/or benzene exceed the high end of the valid range as 
described in paragraph (f)(2)(ii) of this section. Also, the extension 
of the valid range is limited to use by the refiner whose baseline value 
for aromatics, olefins, and/or benzene was higher than the valid range 
limits as described in paragraph (f)(2)(ii) of this section.
    (E) Any extension of the Simple Model valid range limits is 
applicable only to the Simple Model. Likewise any extension of the 
Complex Model valid range limits is applicable only to the Complex 
Model.
    (F) The valid range extensions calculated in paragraphs 
(f)(2)(ii)(A), (B), and (C) of this section are applicable to

[[Page 156]]

both the baseline fuel and target fuel for the purposes of determining 
the compliance status of conventional gasolines. The extended valid 
range limit represents the maximum value for that parameter above which 
fuels cannot be evaluated with the applicable compliance model.
    (G) Under the Simple Model, baseline and compliance calculations 
shall subscribe to the following limitations:
    (1) If the aromatics valid range has been extended per paragraph 
(f)(2)(ii)(A) of this section, an aromatics value equal to the high end 
of the valid range specified in Sec.  80.42(c)(1) shall be used for the 
purposes of calculating the exhaust benzene fraction.
    (2) If the fuel benzene valid range has been extended per paragraph 
(f)(2)(ii)(C) of this section, a benzene value equal to the high end of 
the valid range specified in Sec.  80.42(c)(1) shall be used for the 
purposes of calculating the exhaust benzene fraction.
    (H) Under the Complex Model, baseline and compliance calculations 
shall subscribe to the following limitations:
    (1) If the aromatics valid range has been extended per paragraph 
(f)(2)(ii)(A) of this section, an aromatics value equal to the high end 
of the valid range specified in Sec.  80.45(f)(1)(ii) shall be used for 
the purposes of calculating emissions performances.
    (2) If the olefins valid range has been extended per paragraph 
(f)(2)(ii)(B) of this section, an olefins value equal to the high end of 
the valid range specified in Sec.  80.45(f)(1)(ii) shall be used for the 
target fuel for the purposes of calculating emissions performances.
    (3) If the benzene valid range has been extended per paragraph 
(f)(2)(ii)(C) of this section, a benzene value equal to the high end of 
the valid range specified in Sec.  80.45(f)(1)(ii) shall be used for the 
target fuel for the purposes of calculating emissions performances.
    (iii) Facilities deemed closely integrated, per paragraph (e)(1) of 
this section, shall have a single set of annual average individual 
baseline emissions.
    (iv) Aggregate baselines (per Sec.  80.101(h)) must have the 
NOX emissions of all refineries in the aggregate determined 
on the same basis, using either oxygenated or non-oxygenated baseline 
fuel parameters.
    (3) Geographic considerations requiring individual conventional 
gasoline compliance baselines. (i) Anyone may petition EPA to establish 
separate baselines for refineries located in and providing conventional 
gasoline to an area with a limited gasoline distribution system if it 
can show that the area is experiencing increased toxics emissions due to 
an ozone nonattainment area opting into the reformulated gasoline 
program pursuant to section 211(k)(6) of the Act.
    (ii) If EPA agrees with the finding of paragraph (f)(4)(i) of this 
section, it shall require that the baselines of such refineries be 
separate from refineries not located in the area.
    (iii) If two (2) or more of a refiner's refineries are located in 
the geographic area of concern, the refiner may aggregate the baseline 
emissions and sulfur, olefin and T90 values of the refineries or have an 
individual baseline for one or more of the refineries, per paragraph 
(f)(3) of this section.
    (4) Baseline recalculations. Aggregate baseline exhaust emissions 
(per Sec.  80.90) and baseline sulfur, olefin and T90 values and 
aggregate baseline volumes shall be recalculated under the following 
circumstances:
    (i) A refinery included in an aggregate baseline is entirely 
shutdown. If the shutdown refinery was part of an aggregate baseline, 
the aggregate baseline emissions, aggregate baseline sulfur, olefin and 
T90 values and aggregate volume shall be recalculated to account for the 
removal of the shutdown refinery's contributions to the aggregate 
baseline.
    (ii) A refinery exchanges owners.
    (A) All aggregate baselines affected by the exchange shall be 
recalculated to reflect the addition or subtraction of the baseline 
exhaust emissions, sulfur, olefin and T90 values and volumes of that 
refinery.
    (B) The new owner may elect to establish an individual baseline for 
the refinery or to include it in an aggregate baseline.
    (C) If the refinery was part of an aggregate of three or more 
refineries, the remaining refineries in the aggregate from which that 
refinery was removed

[[Page 157]]

will have a new aggregate baseline. If the refinery was part of an 
aggregate of only two refineries, the remaining refinery will have an 
individual baseline.
    (g) Inability to meet the requirements of this section. If a refiner 
or importer is unable to comply with one or more of the requirements 
specified in paragraphs (a) through (f) of this section, it may, upon 
petition and approval, accommodate the lack of compliance in a 
reasonable, logical, technically sound manner, considering the 
appropriateness of the alternative. A narrative of the situation, as 
well as any calculations and results determined, must be documented.

[59 FR 7860, Feb. 16, 1994, as amended at 59 FR 36966, July 20, 1994; 60 
FR 6032, Feb. 1, 1995; 60 FR 40008, Aug. 4, 1995; 62 FR 9883, Mar. 4, 
1997; 67 FR 8737, Feb. 26, 2002; 72 FR 60579, Oct. 25, 2007]



Sec.  80.92  Baseline auditor requirements.

    (a) General requirements. (1) Each refiner or importer is required 
to have its individual baseline determination methodology, resulting 
baseline fuel parameter, volume and emissions values verified by an 
auditor which meets the requirements described in this section. A 
refiner or importer which has the anti-dumping statutory baseline as its 
individual baseline is exempt from this requirement.
    (2) An auditor may be an individual or organization, and may utilize 
contractors and subcontractors to assist in the verification of a 
baseline.
    (3) If an auditor is an organization, one or more persons shall be 
designated as primary analyst(s). The primary analyst(s) shall meet the 
requirements described in paragraphs (c) (2) and (3) of this section and 
shall be responsible for the baseline audit per paragraph (f) of this 
section.
    (b) Independence. The auditor, its contractors, subcontractors and 
their organizations shall be independent of the submitting organization. 
All of the criteria listed in paragraphs (b) (1) and (2) of this section 
must be met by every individual involved in substantive aspects of the 
baseline verification.
    (1) Previous employment criteria. (i) None of the auditing 
personnel, including any contractor or subcontractor personnel, involved 
in the baseline verification for a refiner or importer shall have been 
employed by the refiner or importer at any time during the three (3) 
years preceding the date of hire of the auditor by the refiner or 
importer for baseline verification purposes.
    (ii) Auditor personnel may have been a contractor or subcontractor 
to the refiner or importer, as long as all other criteria listed in this 
section are met.
    (iii) Auditor personnel may also have developed the baseline of the 
refiner or importer whose baseline they are auditing, but not as an 
employee (per paragraph (b)(1)(i) of this section). Those involved only 
in the development of the baseline of the refiner or importer need not 
meet the requirements specified in this section.
    (2) Financial criteria. Neither the primary analyst, nor the 
auditing organization nor any organization or individual which may be 
contracted or subcontracted to supply baseline verification expertise 
shall:
    (i) Have received more than one quarter of its revenue from the 
refiner or importer during the year prior to the date of hire of the 
auditor by the refiner or importer for auditing purposes. Income 
received from the refiner or importer to develop the baseline being 
audited is excepted; nor
    (ii) Have a total of more than 10 percent of its net worth with the 
refiner or importer; nor
    (iii) Receive compensation for the audit which is dependent on the 
outcome of the audit.
    (c) Technical ability. All of the following criteria must be met by 
the auditor in order to demonstrate its technical capability to perform 
the baseline audit:
    (1) The auditor shall be technically capable of evaluating a 
baseline determination. It shall have personnel familiar with petroleum 
refining processes, including associated computational procedures, 
methods of product analysis and economics, and expertise in conducting 
the auditing process, including skills for effective data gathering and 
analysis.
    (2) The primary analyst must understand all technical details of the 
entire baseline audit process.

[[Page 158]]

    (3)(i) The primary analyst shall have worked at least five (5) years 
in either refinery operations or as a consultant for the refining 
industry.
    (ii) If one or more computer models designed for refinery planning 
and/or economic analysis are used in the verification of an individual 
baseline, the primary analyst must have at least three (3) years 
experience working with the model(s) utilized in the verification.
    (iii) EPA may, upon petition, waive one or more of the requirements 
specified in paragraph (c)(3) of this section if the technical 
capability of the primary analyst is demonstrated to the satisfaction of 
the Director of the Office of Mobile Sources, or designee.
    (d) Auditor qualification statement. A statement documenting the 
qualifications of the auditor, primary analyst(s), contractors, 
subcontractors and their organizations must be submitted to EPA (Fuel 
Studies and Standards Branch, Baseline Auditor, U.S. EPA, 2565 Plymouth 
Rd., Ann Arbor, MI 48105).
    (1) Timing. (i) The auditor qualification statement may be submitted 
by the refiner or importer prior to baseline submission (per Sec.  
80.93) or by a potential auditor at any time. The auditor will be deemed 
certified when all qualifications are met, to the satisfaction of the 
Director of the Office of Mobile Sources, or designee. If no response is 
received from EPA within 45 days of application or today's date, 
whichever is later, the auditor shall be deemed certified.
    (ii) The auditor qualification statement may be submitted by the 
refiner or importer with its baseline submission (per Sec.  80.93). If 
the auditor does not meet the criteria specified in this section, the 
baseline submission will not be accepted.
    (2) Content. The auditor qualification statement must contain all of 
the following information and may contain additional information which 
may aid EPA's review of the qualification statement:
    (i) The name and address of each person and organization involved in 
substantive aspects of the baseline audit, including the auditor, 
primary analyst(s), others within the organization, and contractors and 
subcontractors;
    (ii) The refiners and/or importers for which the auditor, its 
contractors and subcontractors and their organizations do not meet the 
independence criteria described in paragraph (b) of this section; and
    (iii) The technical qualifications and experience of each person 
involved in the baseline audit, including a showing that the 
requirements described in paragraph (c) of this section are met.
    (e) Refiner and importer responsibility. (1) Each refiner and 
importer required to have its baseline verified by an auditor (per 
paragraph (a)(1) of this section) is responsible for utilizing an 
auditor for baseline verification which meets the requirements specified 
in paragraphs (b) and (c) of this section.
    (2) A refiner's or importer's baseline submission will not be 
accepted until it has been verified using an auditor which meets the 
requirements specified in paragraphs (b) and (c) of this section.
    (f) Auditor responsibilities. (1) The auditor must verify that all 
baseline submission requirements are fulfilled. This includes, but is 
not limited to, the following:
    (i) Verifying that all data is correctly accounted for;
    (ii) Verifying that all calculations are performed correctly;
    (iii) Verifying that all adjustments to the data and/or calculations 
to account for post-1990 data, work-in-progress, and/or extenuating or 
other circumstances, as allowed per Sec.  80.91, are valid and performed 
correctly.
    (2) The primary analyst shall prepare and sign a statement, to be 
included in the baseline submission of the refiner or importer, stating 
that:
    (i) He/she has thoroughly reviewed the sampling methodology and 
baseline calculations; and
    (ii) To the best of his/her knowledge, the requirements and 
intentions of the rulemaking are met in the baseline determination; and
    (iii) He/she agrees with the final baseline parameter, volume and 
emission values listed in the baseline submission.
    (3) The auditor may be subject to debarment under U.S.C. 1001 if it 
displays

[[Page 159]]

gross incompetency, intentionally commits an error in the verification 
process or misrepresents itself or information in the baseline 
verification.

[59 FR 7860, Feb. 16, 1994, as amended at 67 FR 8737, Feb. 26, 2002]



Sec.  80.93  Individual baseline submission and approval.

    (a) Submission timing. (1) Each refiner, blender or importer shall 
submit two copies of its individual baseline to EPA (Fuel Studies and 
Standards Branch, Baseline Submission, U.S. EPA, 2565 Plymouth Rd., Ann 
Arbor, MI 48105) not later than June 1, 1994.
    (2) If a refiner must collect data after December 15, 1993 (per 
Sec.  80.91(d)(2)), it shall submit two copies of its individual 
baseline to EPA (per Sec.  80.93(a)(1)) by September 1, 1994.
    (3)(i) All petitions required for baseline adjustments or 
methodology deviations will be approved or disapproved by the Director 
of the Office of Mobile Sources, or designee. All instances where a 
``showing'' or other proof is required are also subject to approval by 
the Director of the Office of Mobile Sources, or designee.
    (ii) Petitions, ``showings,'' and other associated proof may be 
submitted to EPA prior to submittal of the individual baseline (per 
paragraphs (a)(1) and (a)(2) of this section). EPA will attempt to 
review and approve, disapprove or otherwise comment on the petition, 
etc., prior to the deadline for baseline submittal.
    (iii) In the event that EPA does not comment on the petition prior 
to the deadline for baseline submittal, the refiner or importer must 
still comply with the applicable baseline submittal deadline.
    (iv) Petitions submitted prior to the deadline for baseline 
submittals shall be submitted to the EPA at the following address: Fuels 
Studies and Standards Branch, Baseline Petition, U.S. EPA, 2565 Plymouth 
Road, Ann Arbor, Michigan 48105.
    (4) If a baseline recalculation is required per Sec.  80.91(f), 
documentation and recalculation of all affected baselines shall be 
submitted to EPA within 30 days of the previous baseline(s) becoming 
inaccurate due to the circumstances outlined in Sec.  80.91(f).
    (b) Submission content. (1) Individual baseline submissions shall 
include, at minimum, the information specified in this paragraph (b).
    (i) During its review and evaluation of the baseline submission, EPA 
may require a refiner or importer to submit additional information in 
support of the baseline determination.
    (ii) Additional information which may assist EPA during its review 
and evaluation of the baseline may be included at the submitter's 
discretion.
    (2) Administrative information shall include:
    (i) Name and business address of the refiner or importer;
    (ii) Name, business address and business phone number of the company 
contact;
    (iii) Address and physical location of each refinery, terminal or 
import facility;
    (iv) Address and physical location where documents which are 
supportive of the baseline determination for each facility are kept;
    (3) The chief executive officer statement shall be:
    (i) A statement signed by the chief executive officer of the 
company, or designee, which states that:
    (A) The company is complying with the requirements as a refiner, 
blender or importer, as appropriate;
    (B) The data used in the baseline determination is the extent of the 
data available for the determination of all required baseline fuel 
parameters;
    (C) All calculations and procedures followed per Sec. Sec.  80.90 
through 80.93 have been done correctly;
    (D) Proper adjustments have been made to the data or in the 
calculations, as applicable;
    (E) The requirements and intentions of the rulemaking have been met 
in determining the baseline fuel parameters; and
    (F) The baseline fuel parameter values determined for each facility 
represent that facility's 1990 gasoline to the fullest extent possible.
    (ii) A refiner or importer which is permitted to utilize the 
parameter values specified in Sec.  80.91(c)(5), and does so, shall 
submit a statement signed by the chief executive officer of the company,

[[Page 160]]

or designee, indicating that insufficient data exist for a baseline 
determination by the types of data allowed for that entity, as specified 
in Sec.  80.91.
    (4) The auditor-related requirements are:
    (i) Name, address, telephone number and date of hire of each auditor 
hired for baseline verification, whether or not the auditor was retained 
through the baseline approval process.
    (ii) Identification of the auditor responsible for the verification. 
A copy of this auditor's qualification statement, per Sec.  80.92, must 
be included if the auditor has not been approved by EPA, per Sec.  
80.92;
    (iii) Indication of the primary analyst(s) involved in each 
refinery's baseline verification; and
    (iv) The signed auditor verification statement, per Sec.  80.92.
    (5) The following baseline information for each refinery, refiner or 
importer, as applicable, shall be provided:
    (i) Individual baseline fuel parameter values, on an oxygenated and 
non-oxygenated basis, and on a summer and winter basis, per Sec.  80.91;
    (ii) Individual baseline exhaust emissions shall be shown 
separately, on a summer, winter and annual average basis (per Sec.  
80.90) as follows:
    (A) Simple model exhaust benzene emissions;
    (B) Complex model exhaust benzene emissions;
    (C) Complex model exhaust toxics emissions, for Phase I;
    (D) Complex model exhaust NOX emissions, for Phase I, 
using oxygenated individual baseline fuel parameters;
    (E) Complex model exhaust NOX emissions, for Phase I, 
using non-oxygenated individual baseline fuel parameters;
    (F) Complex model exhaust toxics emissions, for Phase II;
    (G) Complex model exhaust NOX emissions, for Phase II, 
using oxygenated individual baseline fuel parameters; and
    (H) Complex model exhaust NOX emissions, for Phase II, 
using non-oxygenated individual baseline fuel parameters;
    (iii) Individual 1990 baseline gasoline volumes, per Sec.  80.91, 
shall be shown separately on a summer, winter and annual average basis; 
and
    (iv) Blendstock-to-gasoline ratios for each calendar year 1990 
through to 1993, per Sec.  80.102.
    (6) Confidential business information. (i) Upon approval of an 
individual baseline, EPA will publish the individual annualized baseline 
exhaust emissions, on an annual average basis, specified in paragraph 
(b)(5)(ii) of this section. Such individual baseline exhaust emissions 
shall not be considered confidential. In addition, the reporting 
information required under Sec.  80.75(b)(2)(ii) (D), (G) and (J), and 
Sec.  80.105(a)(4)(i) (E), (H) and (K) shall not be considered 
confidential.
    (ii) Information in the baseline submission which the submitter 
desires to be considered confidential business information (per 40 CFR 
part 2, subpart B) must be clearly identified. If no claim of 
confidentiality accompanies a submission when it is received by EPA, the 
information may be made available to the public without further notice 
to the submitter pursuant to the provisions of 40 CFR part 2, subpart B.
    (7) Information related to baseline determination as specified in 
Sec.  80.91 and paragraph (c) of this section.
    (c) Additional baseline submission requirements when Method 1-, 2- 
and/or 3-type data is utilized. All requirements of this paragraph shall 
be reported separately for each facility, unless the facilities are 
closely integrated, per Sec.  80.91.
    (1) General. The following information shall be provided:
    (i) The number of months in 1990 during which the facility was 
operating;
    (ii) 1990 summer gasoline production volume, per Sec.  80.91, total 
and by grade, for all gasoline produced but not exported;
    (iii) 1990 winter gasoline production volume, per Sec.  80.91, total 
and by grade, for all gasoline produced, excluding gasoline exported; 
and
    (iv) Whether this facility is actually two facilities which are 
closely integrated, per Sec.  80.91.
    (2) Baseline values. The following shall be included for each fuel 
parameter for which a baseline value is required, per Sec.  80.91:

[[Page 161]]

    (i) Narrative of the development of the baseline value of the fuel 
parameter, including discussion of the sampling and calculation 
methodologies, technical judgment used, effects of petition results on 
calculated values, and any additional information which may assist EPA 
in its review of the baseline;
    (ii) Identification of the data-type(s), per Sec.  80.91, used in 
the determination of a given fuel parameter;
    (iii) Identification of test method. If not per Sec.  80.46, include 
a narrative, explain differences and describing adequacy, per Sec.  
80.91;
    (iv) Documentation that the minimum sampling requirements per Sec.  
80.91 have been met;
    (v) Petition and narrative, if needed, for use of less than the 
minimum required data, per Sec.  80.91;
    (vi) Identification of instances of sample compositing per Sec.  
80.91;
    (vii) Identification of streams for which one or more parameter 
values were deemed negligible per Sec.  80.91; and
    (viii) Discussion of the calculation of oxygenated or non-oxygenated 
fuel parameter values from non-oxygenated or oxygenated values, 
respectively, per Sec.  80.91.
    (3) Method 1. If Method 1-type data is utilized in the baseline 
determination, the following information on 1990 batches of gasoline, or 
shipments if not batch blended, are required by grade shall be provided:
    (i) First and last sampling dates;
    (ii) The following shall be indicated separately on a summer and 
winter basis, by month:
    (A) Number of months sampled;
    (B) Number of 1990 batches, or shipments if not batch blended;
    (C) Total volume of all batches or shipments;
    (D) Number of batches or shipments sampled;
    (E) Total volume of all batches or shipments sampled;
    (F) Baseline fuel parameter value, per Sec.  80.91; and
    (iii) A showing that data was available on every batch of 1990 
gasoline, if applicable, per Sec.  80.91 (b)(3) or (b)(4).
    (4) Method 2. If Method 2-type data is utilized in the baseline 
determination, the following information on each type of 1990 blendstock 
used in the refinery's gasoline are required, by blendstock type shall 
be provided:
    (i) First and last sampling dates; and
    (ii) The following shall be indicated separately on a summer and 
winter basis, by month:
    (A) Number of months sampled;
    (B) Each type of blendstock used in 1990 gasoline and total number 
of blendstocks. Include all blendstocks produced, purchased or otherwise 
received which were blended to produce gasoline within the facility. 
Identify all blendstocks not produced in the facility but used in the 
facility's 1990 gasoline;
    (C) Total volume of each blendstock used in gasoline in 1990;
    (D) Identification of blendstock streams as batch or continuous;
    (E) Number of blendstock samples from continuous blendstock streams;
    (F) Number of blendstock samples from batch processes, including 
volume of each batch sampled; and
    (G) Baseline fuel parameter value, per Sec.  80.91.
    (5) Method 3, blendstock data. The following information on each 
type of post-1990 gasoline blendstock used in the refinery's gasoline 
are required, by blendstock type shall be provided:
    (i) First and last sampling dates;
    (ii) The following shall be indicated separately on a summer and 
winter basis, by month:
    (A) Number of post-1990 months sampled;
    (B) Each type of blendstock used in 1990 gasoline and total number 
of blendstocks. Include all blendstocks produced, purchased or otherwise 
received which were blended to produce gasoline within the facility. 
Identify all blendstocks not produced in the facility but used in the 
facility's 1990 gasoline;
    (C) Total volume of each blendstock used in gasoline in 1990;
    (D) Identification of post-1990 blendstock streams as batch or 
continuous;
    (E) Number of post-1990 blendstock samples from continuous 
blendstock streams;
    (F) Number of post-1990 blendstock samples from batch processes, 
including volume of each batch sampled; and

[[Page 162]]

    (G) Baseline fuel parameter value, per Sec.  80.91; and
    (iii) Support documentation showing that the criteria of Sec.  80.91 
for using Method 3-type blendstock data are met.
    (6) Method 3, post-1990 gasoline data. The following information on 
post-1990 batches of gasoline, or shipments if not batch blended, are 
required by grade:
    (i) First and last sampling dates;
    (ii) The following shall be indicated separately for summer and 
winter production, by month:
    (A) Number of post-1990 months sampled;
    (B) Number of post-1990 batches, or shipments if not batch blended;
    (C) Total volume of all post-1990 batches or shipments;
    (D) Number of post-1990 batches or shipments sampled;
    (E) Volume of each post-1990 batch or shipment sampled; and
    (F) Baseline fuel parameter value, per Sec.  80.91; and
    (iii) Support documentation showing that the criteria of Sec.  80.91 
for using post-1990 gasoline data are met.
    (7) Work-in-progress (WIP). All of the following must be included in 
support of a WIP adjustment (per Sec.  80.91(e)(5)):
    (i) Petition including identification of the specific baseline 
emission(s) or parameter for which the WIP adjustment is desired;
    (ii) Showing that all WIP criteria, per Sec.  80.91(e)(5), are met;
    (iii) Unadjusted and adjusted baseline fuel parameters, emissions 
and volume for the facility; and
    (iv) Narrative, per Sec.  80.91 (e)(5).
    (8) Extenuating circumstances. All of the following must be included 
in support of an extenuating circumstance adjustment (per Sec.  80.91 
(e)(6) through (e)(7)):
    (i) Petition including identification of the allowable circumstance, 
per Sec.  80.91 (e)(6) through (e)(7);
    (ii) Showing that all applicable criteria, per Sec.  80.91 (e)(6) 
through (e)(7), are met;
    (iii) Unadjusted and adjusted baseline fuel parameters, emissions 
and volume for the facility; and
    (iv) Narrative, per Sec.  80.91.
    (9) Other baseline information. Narrative discussing any aspects of 
the baseline determination not already indicated per the requirements of 
paragraph (c)(8) of this section shall be provided.
    (10) Refinery information. The following information, on a summer or 
winter basis, shall be provided:
    (i) Refinery block flow diagram, showing principal refining units;
    (ii) Principal refining unit charge rates and capacities;
    (iii) Crude types utilized (names, gravities, and sulfur content) 
and crude charge rates; and
    (iv) Information on the following units, if utilized in the 
refinery:
    (A) Catalytic Cracking Unit: conversion, unit yields, gasoline fuel 
parameter values (per Sec.  80.91(a)(2));
    (B) Hydrocracking Unit: unit yields, gasoline fuel parameter values 
(per Sec.  80.91(a)(2));
    (C) Catalytic Reformer: unit yields, severities;
    (D) Bottoms Processing Units (including, but not limited to, coking, 
extraction and hydrogen processing): gasoline stream yields;
    (E) Yield structures for other principal units in the refinery 
(including but not limited to Alkylation, Polymerization, Isomerization, 
Etherification, Steam Cracking).
    (d) Requirements for a petition applicable to gasoline produced or 
imported for use in Alaska, Hawaii, the Commonwealth of Puerto Rico, and 
the Virgin Islands. (1)(i) Any refiner for any refinery or importer with 
gasoline produced or imported for use in Alaska in its individual 1990 
baseline may petition EPA to establish a separate 1990 baseline for 
gasoline produced or imported for use in Alaska using the winter Complex 
Model, and to use the winter statutory baseline values under Sec.  
80.91(c)(5) for any gasoline produced or imported for use in Alaska 
which is in excess of the refinery's or importer's 1990 volume of 
gasoline produced or imported for use in Alaska for purposes of 
determining the refinery's or importer's compliance baseline under Sec.  
80.101(f)(4).
    (ii) Any refiner for any refinery or importer with an individual 
1990 baseline which did not include any gasoline produced or imported 
for use in Alaska in 1990 may petition EPA to establish the refinery's 
or importer's winter

[[Page 163]]

baseline values as the compliance baseline under Sec.  80.101(f)(3) for 
gasoline which the refiner or importer produces or imports for use in 
Alaska.
    (iii) Any refiner for any refinery or importer subject only to the 
anti-dumping statutory baseline under Sec.  80.91(c)(5) may petition EPA 
to have the winter statutory baseline values under Sec.  80.91(c)(5) 
apply instead for purposes of determining the refinery's or importer's 
compliance baseline under Sec.  80.101(f)(2) for gasoline which the 
refiner or importer produces or imports for use in Alaska.
    (2)(i) Any refiner for any refinery or importer with gasoline 
produced or imported for use in Hawaii, and/or the Commonwealth of 
Puerto Rico, and/or the Virgin Islands in its individual 1990 baseline 
may petition EPA to establish a separate 1990 baseline for gasoline 
produced or imported for use in these areas using the summer Complex 
Model, and to use the summer statutory baseline values under Sec.  
80.91(c)(5) for any gasoline produced or imported for use in these areas 
in excess of the refinery's or importer's 1990 volume of gasoline 
produced or imported for use in these areas, for purposes of determining 
the refinery's or importer's compliance baseline under Sec.  
80.101(f)(4).
    (ii) Any refiner for any refinery or importer with an individual 
1990 baseline which did not include any gasoline produced or imported 
for use in Hawaii, and/or the Commonwealth of Puerto Rico, and/or the 
Virgin Islands in 1990 may petition EPA to establish the refinery's or 
importer's summer baseline values as the compliance baseline under Sec.  
80.101(f)(3) for gasoline which the refiner or importer produces or 
imports for use in these areas.
    (iii) Any refiner or importer subject only to the anti-dumping 
statutory baseline under Sec.  80.91(c)(5) may petition EPA to have the 
summer statutory baseline values under Sec.  80.91(c)(5) apply instead 
for purposes of determining the refinery's or importer's compliance 
baseline under Sec.  80.101(f)(2) for gasoline which the refiner or 
importer produces or imports for use in Hawaii, and/or the Commonwealth 
of Puerto Rico, and/or the Virgin Islands.
    (iv) Any petition submitted in accordance with paragraphs (d)(2)(i), 
(d)(2)(ii) or (d)(2)(iii) of this section shall apply to gasoline 
produced or imported for use in all of the areas specified in the 
operative paragraphs.
    (3) A petition under paragraphs (d)(1) or (d)(2) of this section 
must include the following:
    (i) Identification of the refiner and refinery or importer;
    (ii) EPA company and facility registration numbers issued under 
Sec.  80.76;
    (iii) Identification of a contact person; and
    (iv) For petitions submitted under paragraphs (d)(1)(i) and 
(d)(2)(i) of this section:
    (A) Revised 1990 individual baseline determination wherein the 
baseline for gasoline produced or imported for use in Alaska has been 
evaluated using the winter Complex Model, or gasoline produced or 
imported for use in Hawaii, and/or the Commonwealth of Puerto Rico, and/
or the Virgin Islands has been evaluated using the summer Complex Model, 
as applicable, with the calculations clearly and fully described and 
displayed; and
    (B) Revised 1990 individual baseline determination for gasoline in 
the refinery's or importer's original individual 1990 baseline which was 
not produced or imported for use in Alaska, and/or Hawaii, and/or the 
Commonwealth of Puerto Rico, and/or the Virgin Islands, as applicable, 
with the calculations clearly and fully described and displayed.
    (C) Baseline auditor agreement with the revised baseline values.
    (4) For U.S. Postal delivery, the petition shall be sent to the 
attention of ``RFG Program (Baseline Petition)'' to the address in Sec.  
80.10(a).
    (5) EPA reserves the right to request additional information. If 
such information is not forthcoming in a timely manner, the petition 
will not be approved.
    (6) A petition under this section may be submitted at any time 
during the annual averaging period. The baseline and compliance methods 
approved in a petition submitted under paragraph (d) of this section 
shall apply beginning with the annual averaging period in which the 
petition was approved and shall continue to apply in each annual

[[Page 164]]

averaging period thereafter. Once a petition has been approved under 
this section, the refiner or importer may not revert back to its 
original baseline.
    (7) A refiner for any refinery or importer with an approved petition 
under paragraph (d)(1) of this section and an approved petition under 
paragraph (d)(2) of this section will be subject to a separate baseline 
and baseline volume for its gasoline produced or imported for use in 
Alaska, and a separate baseline and baseline volume for its gasoline 
produced or imported for use in Hawaii, the Commonwealth of Puerto Rico 
and the Virgin Islands.
    (8)(i) Any refiner for any refinery or importer must have an 
approved petition under paragraph (d)(1) of this section in order to use 
the seasonal baseline and seasonal Complex Model, as provided in 
paragraph (d)(1) of this section, for gasoline produced or imported for 
use in Alaska.
    (ii) Any refiner for any refinery or importer must have an approved 
petition under paragraph (d)(2) of this section in order to use the 
seasonal baseline and seasonal Complex Model, as provided in paragraph 
(d)(2) of this section, for gasoline produced or imported for use in 
Hawaii, the Commonwealth of Puerto Rico, and the Virgin Islands.
    (iii) Any new refiner or importer without an individual anti-dumping 
baseline shall be subject to the annual average anti-dumping statutory 
baseline under Sec.  80.91(c)(5) unless the refiner or importer 
petitions for and receives approval of use of a seasonal baseline and 
seasonal Complex Model under this section.
    (9)(i) The provisions of this paragraph (d) shall apply to any 
refiner, for any refinery, or importer that received approval of a 
petition under this paragraph (d) prior to November 26, 2007 beginning 
with the 2008 annual averaging period.
    (ii) Any refiner, for any refinery, or importer that received 
approval of a petition under paragraph (d) of this section prior to 
November 26, 2007 may petition EPA to withdraw such approval. Such 
petition must be submitted to EPA by December 31, 2007. A withdrawal of 
approval under this paragraph is effective beginning with the 2008 
annual averaging period and shall remain in effect in each annual 
averaging period thereafter.
    (iii) A refiner or importer with an approved withdrawal under 
paragraph (d)(9)(i) of this section will be subject to the baseline 
which was in effect prior to the effective date of the refiner's or 
importer's approved petition under this paragraph (d). Once a refiner or 
importer receives approval of a withdrawal of a petition under paragraph 
(d)(9)(i) of this section the refiner or importer is ineligible to 
receive approval of a change in baseline under this section.

[59 FR 7860, Feb. 16, 1994, as amended at 59 FR 36968, July 20, 1994; 60 
FR 65575, Dec. 20, 1995; 64 FR 30910, June 9, 1999; 72 FR 60579, Oct. 
25, 2007; 85 FR 7072, Feb. 6, 2020]



Sec.  80.94  Requirements for gasoline produced at foreign refineries.

    (a) Definitions. (1) A foreign refinery is a refinery that is 
located outside the United States, including the Commonwealth of Puerto 
Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of 
the Northern Mariana Islands (collectively referred to in this section 
as ``the United States'').
    (2) A foreign refiner is a person who meets the definition of 
refiner under Sec.  80.2(i) for foreign refinery.
    (3) FRGAS means gasoline produced at a foreign refinery that has 
been assigned an individual refinery baseline and that is imported into 
the United States.
    (4) Non-FRGAS means gasoline that is produced at a foreign refinery 
that has not been assigned an individual refinery baseline, gasoline 
produced at a foreign refinery with an individual refinery baseline that 
is not imported into the United States, and gasoline produced at a 
foreign refinery with an individual baseline during a year when the 
foreign refiner has opted to not participate in the FRGAS program under 
paragraph (c)(3) of this section.
    (5) Certified FRGAS means FRGAS the foreign refiner intends to 
include in the foreign refinery's NOX and exhaust toxics 
compliance calculations under Sec.  80.101(g), and does include in these 
compliance calculations when reported to EPA.
    (6) Non-certified FRGAS means FRGAS that is not certified FRGAS.

[[Page 165]]

    (b) Baseline establishment. Any foreign refiner may submit to EPA a 
petition for an individual refinery baseline, under Sec. Sec.  80.90 
through 80.93.
    (1) The provisions for baselines as specified in Sec. Sec.  80.90 
through 80.93 shall apply to a foreign refinery, except where provided 
otherwise in this section.
    (2) The baseline for a foreign refinery shall reflect only the 
volume and properties of gasoline produced in 1990 that was imported 
into the United States.
    (3) A baseline petition shall establish the volume of conventional 
gasoline produced at a foreign refinery and imported into the United 
States during the calendar year immediately preceding the year the 
baseline petition is submitted.
    (4) In making determinations for foreign refinery baselines EPA will 
consider all information supplied by a foreign refiner, and in addition 
may rely on any and all appropriate assumptions necessary to make such a 
determination.
    (5) Where a foreign refiner submits a petition that is incomplete or 
inadequate to establish an accurate baseline, and the refiner fails to 
cure this defect after a request for more information, then EPA shall 
not assign an individual refinery baseline.
    (6) Baseline petitions under this paragraph (b) of this section must 
be submitted before January 1, 2002.
    (c) General requirements for foreign refiners with individual 
refinery baselines. Any foreign refiner of a refinery that has been 
assigned an individual baseline under paragraph (b) of this section 
shall designate all gasoline produced at the foreign refinery that is 
exported to the United States as either certified FRGAS or as non-
certified FRGAS, except as provided in paragraph (c)(3) of this section.
    (1)(i) In the case of certified FRGAS, the foreign refiner shall 
meet all requirements that apply to refiners under 40 CFR part 80, 
subparts D, E and F.
    (ii) If the foreign refinery baseline is assigned, or a foreign 
refiner begins early use of a refinery baseline under paragraph (r) of 
this section, on a date other than January 1, the compliance baseline 
for the initial year shall be calculated under Sec.  80.101(f) using an 
adjusted baseline volume, as follows:

AV1990 = (D/365) x V1990

where:

AV1990 = Adjusted 1990 baseline volume
D = Number of days remaining in the year, beginning with the day the 
          foreign refinery baseline is approved or the day the foreign 
          refiner begins early use of a refinery baseline, whichever is 
          later
V1990 = Foreign refinery's 1990 baseline volume.

    (2) In the case of non-certified FRGAS, the foreign refiner shall 
meet the following requirements, except the foreign refiner shall 
substitute the name ``non-certified FRGAS'' for the names ``reformulated 
gasoline'' or ``RBOB'' wherever they appear in the following 
requirements:
    (i) The designation requirements in Sec.  80.65(d)(1);
    (ii) The recordkeeping requirements in Sec.  80.74 (a), and (b)(3);
    (iii) The reporting requirements in Sec.  80.75 (a), (m), and (n);
    (iv) The registration requirements in Sec.  80.76;
    (v) The product transfer document requirements in Sec.  80.77 (a) 
through (f), and (j);
    (vi) The prohibition in Sec.  80.78(a)(10), (b) and (c); and
    (vii) The independent audit requirements in Sec. Sec.  80.125 
through 80.127, 80.128 (a) through (c), and (g) through (i), and 80.130.
    (3)(i) Any foreign refiner that has been assigned an individual 
baseline for a foreign refinery under paragraph (b) of this section may 
elect to classify no gasoline imported into the United States as FRGAS, 
provided the foreign refiner notifies EPA of the election no later than 
November 1 of the prior calendar year.
    (ii) An election under paragraph (c)(3)(i) of this section shall:
    (A) Be for an entire calendar year averaging period and apply to all 
gasoline produced during the calendar year at the foreign refinery that 
is imported into the United States; and
    (B) Remain in effect for each succeeding calendar year averaging 
period, unless and until the foreign refiner notifies EPA of a 
termination of the election. The change in election

[[Page 166]]

shall take effect at the beginning of the next calendar year.
    (iii) A foreign refiner who has aggregated refineries under Sec.  
80.101(h) shall make the same election under paragraph (c)(3)(i) of this 
section for all refineries in the aggregation.
    (d) Designation, product transfer documents, and foreign refiner 
certification. (1) Any foreign refiner of a foreign refinery that has 
been assigned an individual baseline shall designate each batch of FRGAS 
as such at the time the gasoline is produced, unless the foreign refiner 
has elected to classify no gasoline exported to the United States as 
FRGAS under paragraph (c)(3)(i) of this section.
    (2) On each occasion when any person transfers custody or title to 
any FRGAS prior to its being imported into the United States, the 
following information shall be included as part of the product transfer 
document information in Sec. Sec.  80.77 and 80.106:
    (i) Identification of the gasoline as certified FRGAS or as non-
certified FRGAS; and
    (ii) The name and EPA refinery registration number of the refinery 
where the FRGAS was produced.
    (3) On each occasion when FRGAS is loaded onto a vessel or other 
transportation mode for transport to the United States, the foreign 
refiner shall prepare a certification for each batch of the FRGAS that 
meets the following requirements:
    (i) The certification shall include the report of the independent 
third party under paragraph (f) of this section, and the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the FRGAS;
    (B) The identification of the gasoline as certified FRGAS or non-
certified FRGAS;
    (C) The volume of FRGAS being transported, in gallons;
    (D) A declaration that the FRGAS is being included in the compliance 
baseline calculations under Sec.  80.101(f) for the refinery that 
produced the FRGAS; and
    (E) In the case of certified FRGAS:
    (1) The values for each parameter required to calculate 
NOX and exhaust toxics emissions performance as determined 
under paragraph (f) of this section; and
    (2) A declaration that the FRGAS is being included in the compliance 
calculations under Sec.  80.101(g) for the refinery that produced the 
FRGAS.
    (ii) The certification shall be made part of the product transfer 
documents for the FRGAS.
    (e) Transfers of FRGAS to non-United States markets. The foreign 
refiner is responsible to ensure that all gasoline classified as FRGAS 
is imported into the United States. A foreign refiner may remove the 
FRGAS classification, and the gasoline need not be imported into the 
United States, but only if:
    (1)(i) The foreign refiner excludes:
    (A) The volume of gasoline from the refinery's compliance baseline 
calculations under Sec.  80.101(h); and
    (B) In the case of certified FRGAS, the volume and parameter values 
of the gasoline from the compliance calculations under Sec.  80.101(g);
    (ii) The exclusions under paragraph (e)(1)(i) of this section shall 
be on the basis of the parameter and volumes determined under paragraph 
(f) of this section; and
    (2) The foreign refiner obtains sufficient evidence in the form of 
documentation that the gasoline was not imported into the United States.
    (f) Load port independent sampling, testing and refinery 
identification. (1) On each occasion FRGAS is loaded onto a vessel for 
transport to the United States a foreign refiner shall have an 
independent third party:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms;
    (ii) Determine the volume of FRGAS loaded onto the vessel (exclusive 
of any tank bottoms present before vessel loading);
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery;
    (iv) Determine the name and country of registration of the vessel 
used to transport the FRGAS to the United States; and
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (2) On each occasion certified FRGAS is loaded onto a vessel for 
transport to

[[Page 167]]

the United States a foreign refiner shall have an independent third 
party:
    (i) Collect a representative sample of the certified FRGAS from each 
vessel compartment subsequent to loading on the vessel and prior to 
departure of the vessel from the port serving the foreign refinery;
    (ii) Prepare a volume-weighted vessel composite sample from the 
compartment samples, and determine the values for sulfur, benzene, 
gravity, E200 and E300 using the methodologies specified in Sec.  80.46, 
by:
    (A) The third party analyzing the sample; or
    (B) The third party observing the foreign refiner analyze the 
sample;
    (iii) Determine the values for aromatics, olefins, RVP and each 
oxygenate specified in Sec.  80.65(e)(2) for the gasoline loaded onto 
the vessel, by:
    (A) Completing the analysis procedures under paragraph (f)(2)(ii) of 
this section for the additional parameters; or
    (B) Obtaining from the foreign refiner the test results of samples 
collected from each shore tank containing gasoline that was loaded onto 
the vessel, and calculating the parameter values for the gasoline loaded 
onto the vessel from the tank parameter values and the gasoline volume 
from each such shore tank that was loaded;
    (iv) Review original documents that reflect movement and storage of 
the certified FRGAS from the refinery to the load port, and from this 
review determine:
    (A) The refinery at which the FRGAS was produced; and
    (B) That the FRGAS remained segregated from:
    (1) Non-FRGAS and non-certified FRGAS; and
    (2) Other certified FRGAS produced at a different refinery, except 
that certified FRGAS may be combined with other certified FRGAS produced 
at refineries that are aggregated under Sec.  80.101(h);
    (3) The independent third party shall submit a report:
    (i) To the foreign refiner containing the information required under 
paragraphs (f) (1) and (2) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) To the Administrator containing the information required under 
paragraphs (f) (1) and (2) of this section, within thirty days following 
the date of the independent third party's inspection. This report shall 
include a description of the method used to determine the identity of 
the refinery at which the gasoline was produced, that the gasoline 
remained segregated as specified in paragraph (n)(1) of this section, 
and a description of the gasoline's movement and storage between 
production at the source refinery and vessel loading.
    (4) A person may be used to meet the third party requirements in 
this paragraph (f) only if:
    (i) The person is approved in advance by EPA, based on a 
demonstration of ability to perform the procedures required in this 
paragraph (f);
    (ii) The person is independent under the criteria specified in Sec.  
80.65(f)(2)(iii); and
    (iii) The person signs a commitment that contains the provisions 
specified in paragraph (i) of this section with regard to activities, 
facilities and documents relevant to compliance with the requirements of 
this paragraph (f).
    (g) Comparison of load port and port of entry testing. (1)(i) Any 
foreign refiner and any United States importer of certified FRGAS shall 
compare the results from the load port testing under paragraph (f) of 
this section, with the port of entry testing as reported under paragraph 
(o) of this section, for the volume of gasoline, for the parameter 
values for sulfur, benzene, gravity, E200 and E300, and for the 
NOX and exhaust toxics emissions performance; except that
    (ii) Where a vessel transporting certified FRGAS off loads this 
gasoline at more than one United States port of entry, and the 
conditions of paragraph (g)(2)(i) of this section are not met at the 
first United States port of entry, the requirements of paragraph (g)(1) 
and (g)(2) of this section do not apply at subsequent ports of entry if 
the United States importer obtains a certification from the vessel owner 
or his immediate designee that the vessel has not loaded any gasoline or 
blendstock between the first United States port of entry and the 
subsequent port of entry.

[[Page 168]]

    (2)(i) The requirements of paragraph (g)(2)(ii) apply if:
    (A)(1) The temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent; or
    (2) For any parameter specified in paragraph (f)(2)(ii) of this 
section, the values determined at the port of entry and at the load port 
differ by more than the reproducibility amount specified for the port of 
entry test result by the American Society of Testing and Materials 
(ASTM); unless
    (B) The NOX and exhaust toxics emissions performance, in 
grams per mile, calculated using the port of entry test results, are 
each equal to or less than the NOX and exhaust toxics 
emissions performance calculated using the load port test results;
    (ii) The United States importer and the foreign refiner shall treat 
the gasoline as non-certified FRGAS, and the foreign refiner shall:
    (A) Exclude the gasoline volume and properties from its conventional 
gasoline NOX and exhaust toxics compliance calculations under 
Sec.  80.101(g); and
    (B) Include the gasoline volume in its compliance baseline 
calculation under Sec.  80.101(f), unless the foreign refiner 
establishes that the United States importer classified the gasoline only 
as conventional gasoline and not as reformulated gasoline.
    (h) Attest requirements. The following additional procedures shall 
be carried out by any foreign refiner of FRGAS as part of the attest 
engagement for each foreign refinery under 40 CFR part 80, subpart F.
    (1) Include in the inventory reconciliation analysis under Sec.  
80.128(b) and the tender analysis under Sec.  80.128(c) non-FRGAS in 
addition to the gasoline types listed in Sec.  80.128 (b) and (c).
    (2) Obtain separate listings of all tenders of certified FRGAS, and 
of non-certified FRGAS. Agree the total volume of tenders from the 
listings to the gasoline inventory reconciliation analysis in Sec.  
80.128(b), and to the volumes determined by the third party under 
paragraph (f)(1) of this section.
    (3) For each tender under paragraph (h)(2) of this section where the 
gasoline is loaded onto a marine vessel, report as a finding the name 
and country of registration of each vessel, and the volumes of FRGAS 
loaded onto each vessel.
    (4) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport certified FRGAS, in accordance 
with the guidelines in Sec.  80.127, and for each vessel selected 
perform the following:
    (i) Obtain the report of the independent third party, under 
paragraph (f) of this section, and of the United States importer under 
paragraph (o) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification, gasoline volumes and test results.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry parameter and volume results differ by more than the 
amounts allowed in paragraph (g) of this section, and determine whether 
the foreign refiner adjusted its refinery calculations as required in 
paragraph (g) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the certified FRGAS from the 
refinery to the load port, under paragraph (f) of this section. Obtain 
tank activity records for any storage tank where the certified FRGAS is 
stored, and pipeline activity records for any pipeline used to transport 
the certified FRGAS, prior to being loaded onto the vessel. Use these 
records to determine whether the certified FRGAS was produced at the 
refinery that is the subject of the attest engagement, and whether the 
certified FRGAS was mixed with any non-certified FRGAS, non-FRGAS, or 
any certified FRGAS produced at a different refinery that was not 
aggregated under Sec.  80.101(h).
    (5)(i) Select a sample from the list of vessels identified in 
paragraph (h)(3) of this section used to transport certified and non-
certified FRGAS, in accordance with the guidelines in Sec.  80.127, and 
for each vessel selected perform the following:
    (ii) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel. Agree the

[[Page 169]]

vessel's departure and arrival locations and dates from the independent 
third party and United States importer reports to the information 
contained in the commercial document.
    (6) Obtain separate listings of all tenders of non-FRGAS, and 
perform the following:
    (i) Agree the total volume of tenders from the listings to the 
gasoline inventory reconciliation analysis in Sec.  80.128(b).
    (ii) Obtain a separate listing of the tenders under paragraph (h)(6) 
of this section where the gasoline is loaded onto a marine vessel. 
Select a sample from this listing in accordance with the guidelines in 
Sec.  80.127, and obtain a commercial document of general circulation 
that lists vessel arrivals and departures, and that includes the port 
and date of departure and the ports and dates where the gasoline was off 
loaded for the selected vessels. Determine and report as a finding the 
country where the gasoline was off loaded for each vessel selected.
    (7) In order to complete the requirements of this paragraph (h) an 
auditor shall:
    (i) Be independent of the foreign refiner;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.130 and this paragraph (h); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.130 and this paragraph (h).
    (i) Foreign refiner commitments. Any foreign refiner shall commit to 
and comply with the provisions contained in this paragraph (i) as a 
condition to being assigned an individual refinery baseline.
    (1) Any United States Environmental Protection Agency inspector or 
auditor will be given full, complete and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Gasoline is produced;
    (B) Documents related to refinery operations are kept;
    (C) Gasoline or blendstock samples are tested or stored; and
    (D) FRGAS is stored or transported between the foreign refinery and 
the United States, including storage tanks, vessels and pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits will be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to:
    (A) Refinery baseline establishment, including the volume and 
parameters, and transfers of title or custody, of any gasoline or 
blendstocks, whether FRGAS or non-FRGAS, produced at the foreign 
refinery during the period January 1, 1990 through the date of the 
refinery baseline petition or through the date of the inspection or 
audit if a baseline petition has not been approved, and any work papers 
related to refinery baseline establishment;
    (B) The parameters and volume of FRGAS;
    (C) The proper classification of gasoline as being FRGAS or as not 
being FRGAS, or as certified FRGAS or as non-certified FRGAS;
    (D) Transfers of title or custody to FRGAS;
    (E) Sampling and testing of FRGAS;
    (F) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers; and
    (G) Reports prepared for submission to EPA, and any work papers 
related to such reports.
    (vi) Inspections and audits by EPA may include taking samples of 
gasoline or blendstock, and interviewing employees.

[[Page 170]]

    (vii) Any employee of the foreign refiner will be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents will be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters will be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia will be named, and service on this agent constitutes service on 
the foreign refiner or any officer, or employee of the foreign refiner 
for any action by EPA or otherwise by the United States related to the 
requirements of 40 CFR part 80, subparts D, E and F.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting a petition for an individual refinery baseline, 
producing and exporting gasoline under an individual refinery baseline, 
and all other actions to comply with the requirements of 40 CFR part 80, 
subparts D, E and F relating to the establishment and use of an 
individual refinery baseline constitute actions or activities covered by 
and within the meaning of 28 U.S.C. 1605(a)(2), but solely with respect 
to actions instituted against the foreign refiner, its agents, officers, 
and employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign refiner 
under 40 CFR part 80, subparts D, E and F, including such conduct that 
violates Title 18 U.S.C. section 1001, Clean Air Act section 113(c)(2), 
or other applicable provisions of the Clean Air Act.
    (6) The foreign refiner, or its agents, officers, or employees, will 
not seek to detain or to impose civil or criminal remedies against EPA 
inspectors or auditors, whether EPA employees or EPA contractors, for 
actions performed within the scope of EPA employment related to the 
provisions of this section.
    (7) The commitment required by this paragraph (i) shall be signed by 
the owner or president of the foreign refiner business.
    (8) In any case where FRGAS produced at a foreign refinery is stored 
or transported by another company between the refinery and the vessel 
that transports the FRGAS to the United States, the foreign refiner 
shall obtain from each such other company a commitment that meets the 
requirements specified in paragraphs (i) (1) through (7) of this 
section, and these commitments shall be included in the foreign 
refiner's baseline petition.
    (j) Sovereign immunity. By submitting a petition for an individual 
foreign refinery baseline under this section, or by producing and 
exporting gasoline to the United States under an individual refinery 
baseline under this section, the foreign refiner, its agents, officers, 
and employees, without exception, become subject to the full operation 
of the administrative and judicial enforcement powers and provisions of 
the United States without limitation based on sovereign immunity, with 
respect to actions instituted against the foreign refiner, its agents, 
officers, and employees in any court or other tribunal in the United 
States for conduct that violates the requirements applicable to the 
foreign refiner under 40 CFR part 80, subparts D, E and F, including 
such conduct that violates Title 18 U.S.C. section 1001, Clean Air Act 
section 113(c)(2), or other applicable provisions of the Clean Air Act.
    (k) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (k) as a condition to being assigned an individual 
refinery baseline.
    (1) The foreign refiner shall post a bond of the amount calculated 
using the following equation:

Bond = G x $0.01

where:

Bond = amount of the bond in U.S. dollars

[[Page 171]]

G = the largest volume of conventional gasoline produced at the foreign 
          refinery and exported to the United States, in gallons, during 
          a single calendar year among the most recent of the following 
          calendar years, up to a maximum of five calendar years: the 
          calendar year immediately preceding the date the baseline 
          petition is submitted, the calendar year the baseline petition 
          is submitted, and each succeeding calendar year

    (2) Bonds shall be posted by:
    (i) Paying the amount of the bond to the Treasurer of the United 
States;
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States judicial judgments 
against the foreign refiner, provided EPA agrees in advance as to the 
third party and the nature of the surety agreement; or
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) If the bond amount for a foreign refinery increases the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (4) Bonds posted under this paragraph (k) shall be used to satisfy 
any judicial judgment that results from an administrative or judicial 
enforcement action for conduct in violation of 40 CFR part 80, subparts 
D, E and F, including such conduct that violates Title 18 U.S.C. section 
1001, Clean Air Act section 113(c)(2), or other applicable provisions of 
the Clean Air Act.
    (5) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (l) Blendstock tracking. For purposes of blendstock tracking by any 
foreign refiner under Sec.  80.102 by a foreign refiner with an 
individual refinery baseline, the foreign refiner may exclude from the 
calculations required in Sec.  80.102(d) the volume of applicable 
blendstocks for which the foreign refiner has sufficient evidence in the 
form of documentation that the blendstocks were used to produce gasoline 
used outside the United States.
    (m) English language reports. Any report or other document submitted 
to EPA by any foreign refiner shall be in the English language, or shall 
include an English language translation.
    (n) Prohibitions. (1) No person may combine certified FRGAS with any 
non-certified FRGAS or non-FRGAS, and no person may combine certified 
FRGAS with any certified FRGAS produced at a different refinery that is 
not aggregated under Sec.  80.101(h), except as provided in paragraph 
(e) of this section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (n)(1) of this section, or that 
otherwise violates the requirements of this section.
    (o) United States importer requirements. Any United States importer 
shall meet the following requirements.
    (1) Each batch of imported gasoline shall be classified by the 
importer as being FRGAS or as non-FRGAS, and each batch classified as 
FRGAS shall be further classified as certified FRGAS or as non-certified 
FRGAS.
    (2) Gasoline shall be classified as certified FRGAS or as non-
certified FRGAS according to the designation by the foreign refiner if 
this designation is supported by product transfer documents prepared by 
the foreign refiner as required in paragraph (d) of this section, unless 
the gasoline is classified as non-certified FRGAS under paragraph (g) of 
this section.
    (3) For each gasoline batch classified as FRGAS, any United States 
importer shall perform the following procedures.
    (i) In the case of both certified and non-certified FRGAS, have an 
independent third party:
    (A) Determine the volume of gasoline in the vessel;
    (B) Use the foreign refiner's FRGAS certification to determine the 
name and EPA-assigned registration number of the foreign refinery that 
produced the FRGAS;
    (C) Determine the name and country of registration of the vessel 
used to transport the FRGAS to the United States; and

[[Page 172]]

    (D) Determine the date and time the vessel arrives at the United 
States port of entry.
    (ii) In the case of certified FRGAS, have an independent third 
party:
    (A) Collect a representative sample from each vessel compartment 
subsequent to the vessel's arrival at the United States port of entry 
and prior to off loading any gasoline from the vessel;
    (B) Prepare a volume-weighted vessel composite sample from the 
compartment samples; and
    (C) Determine the values for sulfur, benzene, gravity, E200 and E300 
using the methodologies specified in Sec.  80.46, by:
    (1) The third party analyzing the sample; or
    (2) The third party observing the importer analyze the sample
    (4) Any importer shall submit reports within thirty days following 
the date any vessel transporting FRGAS arrives at the United States port 
of entry:
    (i) To the Administrator containing the information determined under 
paragraph (o)(3) of this section; and
    (ii) To the foreign refiner containing the information determined 
under paragraph (o)(3)(ii) of this section.
    (5)(i) Any United States importer shall meet the requirements 
specified for conventional gasoline in Sec.  80.101 for any imported 
conventional gasoline that is not classified as certified FRGAS under 
paragraph (o)(2) of this section.
    (ii) The baseline applicable to a United States importer who has not 
been assigned an individual importer baseline under Sec.  80.91(b)(4) 
shall be the baseline specified in paragraph (p) of this section.
    (p) Importer Baseline. (1) Each calendar year starting in 2000, the 
Administrator shall calculate the volume weighted average NOX 
emissions of imported conventional gasoline for a multi-year period 
(MYANOx). This calculation:
    (i) Shall use the Phase II Complex Model;
    (ii) Shall include all conventional gasoline in the following 
categories:
    (A) Imported conventional gasoline that is classified as 
conventional gasoline, and included in the conventional gasoline 
compliance calculations of importers for each year; and
    (B) Imported conventional gasoline that is classified as certified 
FRGAS, and included in the conventional gasoline compliance calculations 
of foreign refiners for each year;
    (iii)(A) In 2000 only, shall be for the 1998 and 1999 averaging 
periods and also shall include all conventional gasoline classified as 
FRGAS and included in the conventional gasoline compliance calculations 
of a foreign refiner for 1997, and all conventional gasoline batches not 
classified as FRGAS that are imported during 1997 beginning on the date 
the first batch of FRGAS arrives at a United States port of entry; and
    (B) Starting in 2001, shall include imported conventional gasoline 
during the prior three calendar year averaging periods.
    (2)(i) If the volume-weighted average NOX emissions 
(MYANOx), calculated in paragraph (p)(1) of this section, is 
greater than 1,465 mg/mile, the Administrator shall calculate an 
adjusted baseline for NOX according to the following 
equation:

ABNOx = 1,465 mg/mile - (MYANOx - 1,465 mg/mile)

where:

ABNOx = Adjusted NOX baseline, in mg/mile
MYANOx = Multi-year average NOX emissions, in mg/
          mile

    (ii) For the 1998 and 1999 multi-year averaging period only the 
value of ABNOx shall not be larger than 1,480 mg/mile 
regardless of the calculation under paragraph (p)(2)(i) of this section.
    (3)(i) Notwithstanding the provisions of Sec.  80.91(b)(4)(iii), the 
baseline NOX emissions values applicable to any United States 
importer who has not been assigned an individual importer baseline under 
Sec.  80.91(b)(4) shall be the more stringent of the statutory baseline 
value for NOX under Sec.  80.91(c)(5), or the adjusted 
NOX baseline calculated in paragraph (p)(2) of this section.
    (ii) On or before June 1 of each calendar year, the Administrator 
shall announce the NOX baseline that applies to importers 
under this paragraph (p). If the baseline is an adjusted baseline,

[[Page 173]]

it shall be effective for any conventional gasoline imported beginning 
60 days following the Administrator's announcement. If the baseline is 
the statutory baseline, it shall be effective upon announcement. A 
baseline shall remain in effect until the effective date of a subsequent 
change to the baseline pursuant to this paragraph (p).
    (q) Withdrawal or suspension of a foreign refinery's baseline. EPA 
may withdraw or suspend a baseline that has been assigned to a foreign 
refinery where:
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (i)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in 40 CFR 
part 80, subparts D, E and F; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(k) of this section.
    (r) Early use of a foreign refinery baseline. (1) A foreign refiner 
may begin using an individual refinery baseline before EPA has approved 
the baseline, provided that:
    (i) A baseline petition has been submitted as required in paragraph 
(b) of this section;
    (ii) EPA has made a provisional finding that the baseline petition 
is complete;
    (iii) The foreign refiner has made the commitments required in 
paragraph (i) of this section;
    (iv) The persons who will meet the independent third party and 
independent attest requirements for the foreign refinery have made the 
commitments required in paragraphs (f)(3)(iii) and (h)(7)(iii) of this 
section; and
    (v) The foreign refiner has met the bond requirements of paragraph 
(k) of this section.
    (2) In any case where a foreign refiner uses an individual refinery 
baseline before final approval under paragraph (r)(1) of this section, 
and the foreign refinery baseline values that ultimately are approved by 
EPA are more stringent than the early baseline values used by the 
foreign refiner, the foreign refiner shall recalculate its compliance, 
ab initio, using the baseline values approved by EPA, and the foreign 
refiner shall be liable for any resulting violation of the conventional 
gasoline requirements.
    (s) Additional requirements for petitions, reports and certificates. 
Any petition for a refinery baseline under paragraph (b) of this 
section, any report or other submission required by paragraphs (c), 
(f)(2), or (i) of this section, and any certification under paragraph 
(d)(3) or (g)(1)(ii) of this section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may specified by the 
Administrator.
    (2) Be signed by the president or owner of the foreign refiner 
company, or in the case of (g)(1)(ii) the vessel owner, or by that 
person's immediate designee, and shall contain the following 
declaration:

    I hereby certify: (1) that I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner or vessel owner] with 
regard to all statements contained herein; (2) that I am aware that the 
information contained herein is being certified, or submitted to the 
United States Environmental Protection Agency, under the requirements of 
40 CFR part 80, subparts D, E and F and that the information is material 
for determining compliance under these regulations; and (3) that I have 
read and understand the information being certified or submitted, and 
this information is true, complete and correct to the best of my 
knowledge and belief after I have taken reasonable and appropriate steps 
to verify the accuracy thereof.
    I affirm that I have read and understand that the provisions of 40 
CFR part 80, subparts D, E and F, including 40 CFR 80.94 (i), (j) and 
(k), apply to [insert name of foreign refiner or vessel owner]. Pursuant 
to Clean Air Act section 113(c) and Title 18, United States Code, 
section 1001, the penalty for furnishing false, incomplete or misleading 
information in this certification or submission is a fine of up to 
$10,000, and/or imprisonment for up to five years.

[62 FR 45563, Aug. 28, 1997]

[[Page 174]]



Sec. Sec.  80.95-80.100  [Reserved]



Sec.  80.101  Standards applicable to refiners and importers.

    Any refiner or importer of conventional gasoline shall meet the 
standards specified in this section over the specified averaging period, 
beginning on January 1, 1995.
    (a) Averaging period. The averaging period for the standards 
specified in this section shall be January 1 through December 31, except 
as provided in paragraphs (k) and (l) of this section.
    (b) Conventional gasoline compliance standards--(1) Simple model 
standards. The simple model standards are the following:
    (i) Annual average exhaust benzene emissions, calculated according 
to paragraph (g)(1)(i) of this section, shall not exceed the refiner's 
or importer's compliance baseline for exhaust benzene emissions;
    (ii) Annual average levels of sulfur shall not exceed 125% of the 
refiner's or importer's compliance baseline for sulfur;
    (iii) Annual average levels of olefins shall not exceed 125% of the 
refiner's or importer's compliance baseline for olefins; and
    (iv) Annual average values of T-90 shall not exceed 125% of the 
refiner's or importer's compliance baseline for T-90.
    (2) Optional complex model standards. Annual average levels of 
exhaust benzene emissions, weighted by volume for each batch and 
calculated using the applicable complex model under Sec.  80.45, shall 
not exceed the refiner's or importer's 1990 average exhaust benzene 
emissions.
    (3) Complex model standards. (i) Annual average levels of exhaust 
toxics emissions and NOX emissions, weighted by volume for 
each batch and calculated using the applicable complex model under Sec.  
80.45, shall not exceed the refiner's or importer's compliance baseline 
for exhaust toxics and NOX emissions, respectively.
    (ii) Annual average levels of RVP, benzene, aromatics, olefins, 
sulfur, E200 and E300 shall not be greater than the conventional 
gasoline complex model valid range limits for the parameter under Sec.  
80.45(f)(1)(ii), or the refiner or importer's annual 1990 baseline for 
the parameter if outside the valid range limit, whichever is greater.
    (c) Applicability of standards. (1) For each averaging period prior 
to January 1, 1998, a refiner or importer shall be subject to either the 
Simple Model or Optional Complex Model Standards, at their option, 
except that any refiner or importer shall be subject to:
    (i) The Simple Model Standards if the refiner or importer uses the 
Simple Model Standards for reformulated gasoline; or
    (ii) The Optional Complex Model Standards if the refiner or importer 
used the Complex Model Standards for reformulated gasoline.
    (2) Beginning January 1, 1998, each refiner and importer shall be 
subject to the Complex Model Standards for each averaging period.
    (3)(i) The NOX emissions standard specified in paragraph 
(b)(3)(i) of this section shall no longer apply beginning January 1, 
2007, except as provided in paragraph (c)(3)(ii) of this section.
    (ii) For a refiner subject to the small refiner gasoline sulfur 
standards at Sec.  80.240, the NOX emissions standard 
specified in paragraph (b)(3)(i) of this section shall no longer apply 
beginning January 1, 2008. For a refiner subject to the gasoline sulfur 
standards at Sec.  80.240 that has received an extension of its small 
refiner gasoline sulfur standards under Sec.  80.553, the NOX 
emissions standard specified in paragraph (b)(3)(i) of this section 
shall no longer apply beginning January 1, 2011.
    (4)(i) Beginning January 1, 2011, or January 1, 2015 for small 
refiners approved under Sec.  80.1340, the exhaust toxics emissions 
standard specified in paragraph (b)(3)(i) of this section shall apply 
only to conventional gasoline that is not subject to the benzene 
standard of Sec.  80.1230, pursuant to the provisions of Sec.  80.1235.
    (ii) The exhaust toxic emissions standard specified in paragraph 
(b)(3)(i) of this section shall not apply to conventional gasoline 
produced by a refinery approved under Sec.  80.1334, pursuant to Sec.  
80.1334(c).
    (d) Product to which standards apply. Any refiner for each refinery, 
or any importer, shall include in its compliance calculations:

[[Page 175]]

    (1) Any conventional gasoline produced or imported during the 
averaging period;
    (2) [Reserved]
    (3) Any gasoline blending stock produced or imported during the 
averaging period which becomes conventional gasoline solely upon the 
addition of oxygenate;
    (4)(i) Any oxygenate that is added to conventional gasoline, or 
gasoline blending stock as described in paragraph (d)(3) of this 
section, where such gasoline or gasoline blending stock is produced or 
imported during the averaging period;
    (ii) In the case of oxygenate that is added at a point downstream of 
the refinery or import facility, the oxygenate may be included only if 
the refiner or importer can establish the oxygenate was in fact added to 
the gasoline or gasoline blendstock produced, by showing that the 
oxygenate was added by:
    (A) The refiner or importer; or
    (B) By a person other than the refiner or importer, provided that 
the refiner or importer:
    (1) Has a contract with the oxygenate blender that specifies 
procedures to be followed by the oxygenate blender that are reasonably 
calculated to ensure blending with the amount and type of oxygenate 
claimed by the refiner or importer; and
    (2) Monitors the oxygenate blending operation to ensure the volume 
and type of oxygenate claimed by the refiner or importer is correct, 
through periodic audits of the oxygenate blender designed to assess 
whether the overall volumes and type of oxygenate purchased and used by 
the oxygenate blender are consistent with the oxygenate claimed by the 
refiner or importer and that this oxygenate was blended with the 
refiner's or importer's gasoline or blending stock, periodic sampling 
and testing of the gasoline produced subsequent to oxygenate blending, 
and periodic inspections to ensure the contractual requirements imposed 
by the refiner or importer on the oxygenate blender are being met.
    (e) Product to which standards do not apply. Any refiner for each 
refinery, or any importer, shall exclude from its compliance 
calculations:
    (1) Gasoline that was not produced at the refinery or was not 
imported by the importer;
    (2) [Reserved]
    (3) California gasoline as defined in Sec.  80.81(a)(2); and
    (4) Gasoline that is exported.
    (f) Compliance baseline determinations. (1) In the case of any 
refiner or importer for whom an individual baseline has been established 
under Sec.  80.91, the individual baseline for each parameter or 
emissions performance shall be the compliance baseline for that refiner 
or importer.
    (2)(i) In the case of any refiner for any refinery or importer for 
whom the anti-dumping statutory baseline applies under Sec.  80.91, the 
anti-dumping statutory baseline for each parameter or emissions 
performance shall be the compliance baseline for that refinery or 
importer.
    (ii) In the case of any refiner for any refinery or importer that 
has received approval of a petition submitted under Sec.  
80.93(d)(1)(iii), the compliance baseline for each emissions performance 
for that refinery or importer for gasoline produced or imported for use 
in Alaska shall be the winter statutory baseline value under Sec.  
80.45(b)(3), Table 5.
    (iii) In the case of any refiner for any refinery or importer that 
has received approval of a petition submitted under Sec.  
80.93(d)(2)(iii), the compliance baseline for each emissions performance 
for that refinery or importer for gasoline produced or imported for use 
in Hawaii, the Commonwealth of Puerto Rico, and/or the Virgin Islands 
shall be:
    (A) The summer statutory baseline value under Sec.  80.45(b)(3), 
Table 5 for NOX.
    (B) The summer statutory baseline value under Sec.  80.45(b)(3), 
Table 5 for Toxics less the corresponding value for Benzene under Sec.  
80.45(b)(3), Table 4.
    (3)(i) In the case of any refiner for any refinery or importer that 
has received approval of a petition submitted under Sec.  
80.93(d)(1)(ii), the compliance baseline for each emissions performance 
for that refinery or importer for gasoline produced or imported for use 
in Alaska shall be the refinery's or importer's winter baseline value 
determined under Sec.  80.91.

[[Page 176]]

    (ii) In the case of any refiner for any refinery or importer that 
has received approval of a petition submitted under Sec.  
80.93(d)(2)(ii), the compliance baseline for each emissions performance 
for that refinery or importer for gasoline produced or imported for use 
in Hawaii, the Commonwealth of Puerto Rico, and/or the Virgin Islands 
shall be the refinery's or importer's summer baseline value determined 
under Sec.  80.91.
    (4) Any compliance baseline under paragraph (f)(1) of this section 
shall be adjusted for each averaging period as follows:
    (i) If the total volume of the conventional gasoline, RBOB, 
reformulated gasoline, and California gasoline as defined in Sec.  
80.81(a)(2), produced or imported by any refiner or importer during the 
averaging period is equal to or less than that refiner's or importer's 
1990 baseline volume as determined under Sec.  80.91(f)(1), the 
compliance baseline for each parameter or emissions performance shall be 
that refiner's or importer's individual 1990 baseline; or
    (ii) If the total volume of the conventional gasoline, RBOB, 
reformulated gasoline, and California gasoline as defined in Sec.  
80.81(a)(2), produced or imported by any refiner or importer during the 
averaging period is greater than that refiner's or importer's 1990 
baseline volume as determined under Sec.  80.91(f)(1), the compliance 
baseline for each parameter or emissions performance shall be calculated 
according to the following formula:
[GRAPHIC] [TIFF OMITTED] TR13JY99.000

Where:

CBi = The compliance baseline value for parameter or 
          emissions performance i.
Bi = The refiner's or importer's individual baseline value 
          for parameter or emission performance i calculated according 
          to the methodology in Sec.  80.91.
DBi = The anti-dumping statutory baseline value for parameter 
          or emissions performance i, as specified at Sec.  
          80.91(c)(5)(iii) or (c)(5)(iv), respectively.
V1990 = The 1990 baseline volume as determined under Sec.  
          80.91(f)(1).
Va = The total volume of reformulated gasoline, conventional 
          gasoline, RBOB, and California gasoline as defined in Sec.  
          80.81(a)(2) produced or imported by a refiner or importer 
          during the averaging period.

    (iii) Any refiner or importer with an individual baseline that has 
received approval of a petition submitted under Sec.  80.93(d) and has 
produced or imported gasoline for use in Alaska, Hawaii, the 
Commonwealth of Puerto Rico, or the Virgin Islands must calculate the 
compliance baseline for each parameter or emissions performance as 
follows:
[GRAPHIC] [TIFF OMITTED] TR25OC07.000


If Vj =V1990j 0:
[GRAPHIC] [TIFF OMITTED] TR25OC07.001


[[Page 177]]



If Vj 1990j or V1990j = 0: 
CBi,j = Bi,j
Where:

CBi = The compliance baseline for parameter or emissions 
          performance i
CBi,j = The compliance baseline for parameter or emissions 
          performance i applicable to the conventional gasoline in 
          production volume Vj

j is a subscript identifying a portion of gasoline and RBOB produced or 
imported as follows:

j = 1: Conventional gasoline supplied to Hawaii, the Commonwealth of 
          Puerto Rico and the Virgin Islands, if gasoline supplied to 
          these areas is covered by a petition for a separate baseline.
j = 2: Conventional gasoline supplied to Alaska, if gasoline supplied to 
          this area is covered by a petition for a separate baseline.
j = 3: Conventional gasoline, reformulated gasoline, RBOB and California 
          gasoline produced or imported by a refiner or importer, and 
          not included in portions 1 or 2.
Vj = The averaging period volume for portion j.
Vr = The volume of reformulated gasoline, RBOB and California 
          gasoline included in V3.
Bi,j = The refiner/importer's individual baseline for 
          parameter or emissions performance i applicable to the 
          conventional gasoline in portion j, or the applicable 
          statutory baseline if assigned in lieu of an individual 
          baseline.
DBi,j = The statutory baseline for parameter or emissions 
          performance i applicable to the conventional gasoline in 
          portion j (i.e., the annual or seasonal statutory baseline).
V1990j = The 1990 baseline volume applicable to portion j.

    (g) Compliance calculations--(1)(i) Simple model calculations. In 
the case of any refiner or importer subject to an individual refinery 
baseline, the annual average value for each parameter or emissions 
performance during the averaging period, calculated according to the 
following methodologies, shall be less than or equal to the refiner's or 
importer's standard under paragraph (b) of this section for that 
parameter.
    (A) The average value for sulfur, T-90, olefin, benzene, and 
aromatics for an averaging period shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR20JY94.004

where

APARM = the average value for the parameter being evaluated
Vi = the volume of conventional gasoline or other products 
          included under paragraph (d) of this section, in batch i
PARMi = the value of the parameter being evaluated for batch 
          i as determined in accordance with the test methods specified 
          in Sec.  80.46
n = the number of batches of conventional gasoline and other products 
          included under paragraph (d) of this section produced or 
          imported during the averaging period
SGi = specific gravity of batch i (only applicable for 
          sulfur)

    (B) Exhaust benzene emissions under the Simple Model for an 
averaging period are calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR20JY94.005

where

EXHBEN = the average exhaust benzene emissions for the averaging period
BZ = the average benzene content for the averaging period, calculated 
          per paragraph (g)(1)(i)(A) of this section
AR = the average aromatics content for the averaging period, calculated 
          per paragraph (g)(1)(i)(A) of this section

    (ii) Complex Model calculations.
    (A) Exhaust benzene, exhaust toxics, and exhaust NOX 
emissions performance for each batch shall be calculated in accordance 
with the applicable model under Sec.  80.45.
    (B) Any refiner for any refinery or importer that has received EPA 
approval of a petition submitted in accordance with the provisions of 
Sec.  80.93(d)(1) must use the applicable winter complex model under 
Sec.  80.45, using an RVP of 8.7 psi, to evaluate its averaging period 
gasoline produced or imported for use in Alaska.

[[Page 178]]

    (C) Any refiner for any refinery or importer that has received EPA 
approval of a petition submitted in accordance with the provisions of 
Sec.  80.93(d)(2) must use the applicable summer complex model under 
Sec.  80.45 to evaluate its averaging period gasoline produced or 
imported for use in Hawaii, the Commonwealth of Puerto Rico, and the 
Virgin Islands.
    (2) In the case of any refiner or importer subject to the anti-
dumping statutory baseline, the summer statutory baseline and/or the 
winter statutory baseline, the refiner or importer shall determine 
compliance using the following methodology:
    (i) Calculate the compliance total for the averaging period for 
sulfur, T-90, olefins, exhaust benzene emissions, exhaust toxics and 
exhaust NOX emissions, as applicable, based upon the anti-
dumping statutory baseline value, the summer statutory baseline value, 
or the winter statutory baseline value, as applicable, for that 
parameter using the formula specified at 80.67.
    (ii) Calculate the actual total for the averaging period for sulfur, 
T-90, olefins, exhaust benzene emissions, exhaust toxics and exhaust 
NOX emissions, as applicable, based upon the value of the 
parameter for each batch of conventional gasoline and gasoline 
blendstocks, if applicable, using the formula specified at Sec.  80.67.
    (iii) The actual total for exhaust benzene emissions, exhaust toxics 
and exhaust NOX emissions, shall not exceed the compliance 
total, and the actual totals for sulfur, olefins and T-90 shall not 
exceed 125% of the compliance totals, as required under the applicable 
model.
    (3) Exhaust toxics and NOX emissions performance of a 
blendstock batch shall be determined as follows:
    (i) Determine the volume and properties of the blendstock.
    (ii) Determine the blendstock volume fraction (F) based on the 
volume of blendstock, and the volume of gasoline with which the 
blendstock is blended, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR31DE97.009

where:

F = blendstock volume fraction
Vb = volume of blendstock
Vg = volume of gasoline with which the blendstock is blended

    (iii) For each parameter required by the complex model, calculate 
the parameter value that would result by combining, at the blendstock 
volume fraction (F), the blendstock with a gasoline having properties 
equal to the refinery's or importer's baseline, using the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR31DE97.010

where:

CPj = calculated value for parameter j
BAPj = baseline value for parameter j
BLPj = value of parameter j for the blendstock or oxygenate
j = each parameter required by the complex model

    (A) The baseline value shall be the refinery's ``summer'' or 
``winter'' baseline, based on the ``summer'' or ``winter'' 
classification of the gasoline produced as determined under paragraphs 
(g)(5) or (g)(6) of this section. In the case of a refinery that is 
aggregated under paragraph (h) of this section, the refinery baseline 
shall be used, and not the aggregate baseline.
    (B) The sulfur content and oxygen wt% computations under paragraph 
(g)(3)(iii) of this section shall be adjusted for the specific gravity 
of the gasoline and blendstock using specific gravities of 0.749 for 
``summer'' gasoline and of 0.738 for ``winter'' gasoline.
    (C) In the case of ``summer'' gasoline, where the blendstock is 
ethanol and the volume fraction calculated under paragraph (g)(3)(ii) is 
equal to or greater than 0.015, the value for RVP calculated under 
paragraph (g)(3)(iii) of this section shall be 1.0 psi greater than the 
RVP of the gasoline with which the blendstock is blended.
    (iv) Using the summer or winter complex model, as appropriate, 
calculate the exhaust toxics and NOX emissions performance, 
in mg/mi, of:
    (A) A hypothetical gasoline having properties equal to those 
calculated in paragraph (g)(3)(iii) of this section (HEP); and

[[Page 179]]

    (B) A gasoline having properties equal to the refinery's or 
importer's baseline (BEP).
    (v) Calculate the exhaust toxics and NOX equivalent 
emissions performance (EEP) of the blendstock, in mg/mi, using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR31DE97.011

where:

EEPj = equivalent emissions performance of the blendstock for 
          emissions performance j
BEPj = emissions performance j of a gasoline having the 
          properties of the refinery's baseline
HEPj = emissions performance j of a hypothetical blendstock/
          gasoline blend
F = blendstock volume fraction
j = exhaust toxics or NOX emissions performance

    (vi) For each blendstock batch, the volume, and exhaust toxics and 
NOX equivalent emissions performance (EEP) shall be included 
in the refinery's compliance calculations.
    (4) Compliance calculations under this subpart E shall be based on 
computations to the same degree of accuracy that are specified in 
establishing individual baselines under Sec.  80.91.
    (5) The emissions performance of gasoline that has an RVP that is 
equal to or less than the RVP required under Sec.  80.27 (``summer 
gasoline'') shall be determined using the applicable summer complex 
model under Sec.  80.45.
    (6)(i) The emissions performance of gasoline that has an RVP greater 
than the RVP required under Sec.  80.27 (``winter gasoline'') shall be 
determined using the applicable winter complex model under Sec.  80.45, 
using an RVP of 8.7 psi for compliance calculation purposes under this 
subpart E.
    (ii) Except as provided in paragraph (g)(1)(ii) of this section, the 
emissions performance of gasoline produced or imported for use in areas 
that are not subject to the requirements of Sec.  80.27 shall be 
determined using the applicable winter complex model under Sec.  80.45, 
using an RVP of 8.7 psi for compliance calculation purposes under this 
subpart E.
    (7)(i) For the 1998 averaging period any refiner or importer may 
elect to determine compliance with the requirement for exhaust 
NOX emissions performance either with or without the 
inclusion of oxygenates in its compliance calculations, in accordance 
with Sec.  80.91(e)(4), provided that the baseline exhaust 
NOX emissions performance is calculated using the same with- 
or without-oxygen approach.
    (ii)(A) Any refiner or importer must use the with- or without-oxygen 
approach elected under paragraph (g)(7)(i) of this section for all 
subsequent averaging periods; except that
    (B) In the case of any refiner or importer who elects to determines 
compliance for the calendar year 1998 averaging period without the 
inclusion of oxygenates, such refiner or importer may elect to include 
oxygenates in its compliance calculations for the 1999 averaging period.
    (iii) Any refiner or importer who elects to use the with-oxygen 
approach under paragraph (g)(7)(ii)(B) of this section must use this 
approach for all subsequent averaging periods.
    (8) Emissions performance of conventional gasoline with parameters 
outside the complex model valid range limits. Notwithstanding the 
provisions of Sec.  80.45(f)(2), in the case of any parameter value that 
does not fall within the complex model range limit in Sec.  
80.45(f)(1)(ii), the refiner or importer shall determine the emissions 
performance of the batch using the following parameter values:

------------------------------------------------------------------------
                                         Parameter value to use for
                                                calculating
Parameter outside the range limit --------------------------------------
                                     Exhaust toxics           NOX
------------------------------------------------------------------------
Sulfur...........................  Test value \1\....  Test value. \1\
 RVP (summer only):
    <6.4 psi.....................  6.4 psi...........  6.4 psi.
    11.0 psi..........  Test value \1\....  Test value. \1\
Aromatics........................  Test value \1\....  Test value. \1\
Olefins..........................  Test value \1\....  Test value. \1\
Benzene..........................  Test value\1\.....  Test value. \1\
 E200:
    <30%.........................  Test value \1\....  30%
    70%...............  70%...............  Test value. \1\
E300 <70%........................  Test value \1\....  Test value. \1\
------------------------------------------------------------------------
\1\ Test value is the value for a parameter determined pursuant to
  paragraph 80.101(i)(1)(i) of this section.

    (9) Exclusion of previously certified gasoline. (i) Any refiner who 
uses previously certified reformulated or conventional gasoline or RBOB 
to produce conventional gasoline at a refinery, must exclude the 
previously certified gasoline for purposes of demonstrating

[[Page 180]]

compliance with the standards under paragraph (b) of this section.
    (ii) To accomplish the exclusion required in paragraph (g)(9)(i) of 
this section, the refiner must determine the volume and properties of 
the previously certified gasoline used at the refinery, and the volume 
and properties of gasoline produced at the refinery, and use the 
compliance calculation procedures in paragraphs (g)(9)(iii) and 
(g)(9)(iv) of this section.
    (iii) For each batch of previously certified gasoline that is used 
to produce conventional gasoline the refiner must:
    (A) Determine the volume and properties using the procedures in 
paragraph (i) of this section;
    (B) Determine the exhaust toxics and NOX emissions 
performance using the summer or winter complex model as appropriate;
    (C) Include the volume and emissions performance of the previously 
certified gasoline as a negative volume and a negative emissions 
performance in the refiner's compliance calculations for the refinery, 
or where applicable, the refiner's aggregation under paragraph (h) of 
this section, for exhaust toxics and NOX.
    (iv) For each batch of conventional gasoline produced at the 
refinery using previously certified gasoline, the refiner must determine 
the volume and properties, and exhaust toxics and NOX 
emissions performance, and include each batch in the refinery's 
compliance calculations for exhaust toxics and NOX without 
regard to the presence of previously certified gasoline in the batch.
    (v) The refiner must use any previously certified gasoline that the 
refiner includes as a negative batch in its compliance calculations for 
the refinery, or where appropriate, the refiner's aggregation, as a 
component in gasoline production during the annual averaging period in 
which the previously certified gasoline was included as a negative batch 
in the refiner's compliance calculations.
    (vi) Notwithstanding the provisions of this paragraph (g)(9), the 
provisions of paragraph (g)(3) of this section may be used to calculate 
the exhaust toxics and NOX emissions performance of a 
blendstock added to conventional gasoline for purposes of demonstrating 
compliance with the standards under paragraph (b) of this section.
    (h) Refinery grouping for determining compliance. (1) Any refiner 
that operates more than one refinery may:
    (i) Elect to achieve compliance individually for the refineries; or
    (ii) Elect to achieve compliance on an aggregate basis for a group, 
or for groups, of refineries, some of which may be individual 
refineries; provided that
    (iii) Compliance is achieved for each refinery separately or as part 
of a group; and
    (iv) The data for any refinery is included only in one compliance 
calculation.
    (2) Any election by a refiner to group refineries under paragraph 
(h)(1) of this section shall:
    (i) Be made as part of the report for the 1995 averaging period 
required by Sec.  80.105; and
    (ii) Apply for the 1995 averaging period and for each subsequent 
averaging period, and may not thereafter be changed.
    (3)(i) Any standards under this section shall apply, and compliance 
calculations shall be made, separately for each refinery or refinery 
group; except that
    (ii) Any refiner that produces conventional gasoline for 
distribution to a specified geographic area which is the subject of a 
petition approved by EPA pursuant to Sec.  80.91(f)(3) shall achieve 
compliance separately for gasoline supplied to such specified geographic 
area.
    (i) Sampling and testing. (1) Any refiner or importer shall for each 
batch of conventional gasoline, and other products if included in 
paragraph (d) of this section:
    (i)(A) Through December 31, 2015, determine the value of each of the 
properties required for determining compliance with the standards that 
are applicable to the refiner or importer, by collecting and analyzing a 
representative sample of gasoline or blendstock from the batch, using 
methodologies specified in Sec.  80.46; beginning January 1, 2016, 
determine the value of each of the properties required for determining 
compliance with the standards that are applicable to the refiner or 
importer,

[[Page 181]]

by collecting and analyzing a representative sample of gasoline or 
blendstock from the batch, using methodologies specified in Sec.  80.47; 
except that--
    (B) Any refiner that produces gasoline by combining blendstock with 
gasoline that has been included in the compliance calculations of 
another refiner or of an importer may for such gasoline meet this 
sampling and testing requirement by collecting and analyzing a 
representative sample of the blendstock used subsequent to each receipt 
of such blendstock if the compliance calculation method specified in 
paragraph (g)(3) of this section is used.
    (ii) Assign a number to the batch (the ``batch number''), as 
specified in Sec.  80.65(d)(3);
    (2) For the purposes of meeting the sampling and testing 
requirements under paragraph (i)(1) of this section, any refiner or 
importer may, prior to analysis, combine samples of gasoline collected 
from more than one batch of gasoline or blendstock (``composite 
sample''), and treat such composite sample as one batch of gasoline or 
blendstock provided that the refiner or importer:
    (i) Meets each of the requirements specified in Sec.  
80.91(d)(4)(iii) for the samples contained in the composite sample;
    (ii) Combines samples of gasoline that are produced or imported over 
a period no longer than one month;
    (iii) Uses the total of the volumes of the batches of gasoline that 
comprise the composite sample, and the results of the analyses of the 
composite sample, for purposes of compliance calculations under 
paragraph (g) of this section; and
    (iv) Does not combine summer and winter gasoline, as specified under 
paragraphs (g) (5) and (6) of this section, in a composite sample.
    (3) An importer who imports conventional gasoline into the United 
States by truck may meet the sampling and testing requirements under 
paragraph (i)(1) of this section as follows:
    (i)(A) The importer must demonstrate that the imported gasoline 
meets the applicable conventional gasoline standards, through test 
results of samples of the gasoline contained in the storage tank from 
which the trucks used to transport gasoline into the United States are 
loaded.
    (B) The frequency of this sampling and testing must be subsequent to 
each receipt of gasoline into the storage tank, or immediately prior to 
each transfer of gasoline to the importer's truck.
    (C) The testing must be for each applicable parameter specified 
under Sec.  80.65(e)(2)(i), using the test methods specified under Sec.  
80.46 through December 31, 2015, or under Sec.  80.47 beginning January 
1, 2016.
    (D) The importer must obtain a copy of the terminal test results 
that reflects the quality of each truck load of gasoline that is 
imported into the United States.
    (ii)(A) The importer must conduct separate programs of periodic 
quality assurance sampling and testing of the gasoline obtained from 
each truck-loading terminal, to ensure the accuracy of the terminal test 
results.
    (B) The quality assurance samples must be obtained from the truck-
loading terminal by the importer, and terminal operator may not know in 
advance when samples are to be collected.
    (C) The testing must be for each applicable parameter specified 
under Sec.  80.65(e)(2)(i), using the test methods specified under Sec.  
80.46 through December 31, 2015, or under Sec.  80.47 beginning January 
1, 2016.
    (D) The frequency of quality assurance sampling and testing must be 
at least one sample for each fifty of an importer's trucks that are 
loaded at a terminal, or one sample per month, whichever is more 
frequent.
    (iii) The requirements of paragraph (i)(3)(ii) of this section are 
satisfied if the sampling and testing required under paragraph (i)(3)(i) 
is conducted by a laboratory that is an independent laboratory under the 
criteria of Sec.  80.82(b)(2).
    (iv) The importer must treat each truck load of imported gasoline as 
a separate batch for purposes of assigning batch numbers under Sec.  
80.101(i), recordkeeping under Sec.  80.104, and reporting under Sec.  
80.105.

[[Page 182]]

    (v) EPA inspectors or auditors, and auditors conducting attest 
engagements under subpart F, must be given full and immediate access to 
the truck-loading terminal and any laboratory at which samples of 
gasoline collected at the terminal are analyzed, and be allowed to 
conduct inspections, review records, collect gasoline samples, and 
perform audits. These inspections or audits may be either announced or 
unannounced.
    (vi) In the event the requirements specified in paragraphs (i)(3)(i) 
through (v) of this section are not met, in whole or in part, the 
importer shall immediately lose the option of importing gasoline under 
the terms of this paragraph (i)(3).
    (j) Evasion of standards through exporting and importing gasoline. 
Notwithstanding the requirements of this section, no refiner or importer 
shall export gasoline and import the same or other gasoline for the 
purpose of evading a more stringent baseline requirement.
    (k) Petitions for an alternative anti-dumping averaging period--(1) 
Eligibility for petition. (i) The Administrator may grant an averaging 
period of two, three, four or five years upon petition of a refiner who:
    (A) Activates or plans to activate conventional gasoline production 
at a refinery that has never produced gasoline subject to the anti-
dumping requirements of subpart E of this part; and
    (B) Faces substantial, demonstrated hardship in meeting the anti-
dumping statutory baseline NOX standard during the early 
years of production.
    (ii) The Administrator will consider the refiner's or refinery's 
compliance with all applicable Federal, state, and local environmental 
statutes or requirements in evaluating the petition, including, but not 
limited to, any applicable stationary source requirement or standards.
    (2) Contents of a petition. A petition for a four or five year 
averaging period must be submitted by June 1, 2001. A petition for a two 
or three year averaging period must be submitted by June 1, 2003. 
Regardless of the averaging period requested, the petition must include:
    (i) The business name and address of the affected refinery and any 
location(s) where the refiner conducts operations.
    (ii) The name, address, phone number, fax number, and e-mail address 
of the responsible corporate officer and contact person who can provide 
clarification and explanation with regard to any information in the 
petition.
    (iii) A detailed explanation of why the refinery is eligible for an 
alternative anti-dumping compliance period under paragraph (k)(1) of 
this section, including:
    (A) Documentation the refinery has never produced gasoline that was 
subject to the anti-dumping standards under subpart E of this part and
    (B) Documentation demonstrating the hardship the refinery will 
experience meeting the anti-dumping statutory baseline NOX 
standard.
    (iv) The length of the averaging period requested and a 
justification for why that length of averaging period is required.
    (v) An estimate as to when the refinery can produce gasoline that 
will meet the statutory baseline standard for NOX.
    (vi) The refinery's estimated gasoline production and annual average 
NOX level for each of the years for which the alternative 
averaging period is requested.
    (vii) A detailed description of the current refinery equipment and 
configuration.
    (viii) A detailed description of changes to the refinery equipment 
the refiner intends to complete in order to begin producing gasoline 
that will allow the refinery to comply with the overall alternative 
averaging period NOX standard, and for such changes the 
intended dates for events the refiner believes are appropriate for 
demonstrating reasonable progress towards completion of the changes, 
including the following events:
    (A) Sign the design contract;
    (B) Obtain necessary permits;
    (C) Obtain construction financing commitments;
    (D) Begin construction.
    (E) Complete construction
    (ix) The current nominal crude capacity of the refinery as reported 
to

[[Page 183]]

the Energy Information Administration (EIA) of the Department of Energy 
(DOE).
    (x) A detailed explanation of the refiner's plans to finance capital 
improvements at the refinery in order to meet all current applicable EPA 
gasoline and diesel fuel quality standards.
    (xi) A demonstration that the refiner has the funds and identified 
sources from which to purchase stationary source NOX credits 
sufficient to offset the maximum projected NOX deficit as 
calculated in accordance with paragraph (k)(4)(ii) of this section on a 
quarterly basis.
    (xii) A full disclosure and explanation of any matters of non-
compliance or violations of any environmental statutes or requirements 
for which the refiner has received notification by any state, local, or 
Federal agency.
    (xiii) A signed agreement by any parent company or, in the case of a 
joint venture, individual partners, if applicable, acknowledging that 
they will be liable for any violations.
    (xiv) Any other information the Administrator may require in order 
to fully evaluate the refiner's petition.
    (xv) The signature of a responsible corporate officer, certifying 
that the information contained in the petition is true.
    (3) NOX standards and other requirements applicable to refineries 
operating under an alternative anti-dumping averaging period. If a 
petition by a refiner is approved, the standards described in this 
paragraph shall be the standards applicable to the refinery identified 
in the petition for purposes of the anti-dumping program during the 
period of the alternative averaging period. Except as specifically 
modified by this section, the refinery must continue to comply with all 
other standards applicable under the anti-dumping standards of subpart E 
of this part.
    (i) A refinery shall meet the following deadlines for compliance 
with the statutory baseline, depending on the length of the alternative 
averaging period applicable to the refinery:

------------------------------------------------------------------------
                                                         Refinery must
                                                        comply with the
                                   Compliance period  Statutory Baseline
 Length of compliance period in      must start no     NOX standard, on
              years               later than January     average, for
                                        1st of         gasoline produced
                                                      beginning with the
------------------------------------------------------------------------
2...............................  2004..............  7th quarter and
                                                       all subsequent
                                                       quarters.
3...............................  2003..............  10th quarter and
                                                       all subsequent
                                                       quarters.
4...............................  2002..............  13th quarter and
                                                       all subsequent
                                                       quarters.
5...............................  2001..............  16th quarter and
                                                       all subsequent
                                                       quarters.
------------------------------------------------------------------------

    (ii)(A) By the end of the applicable alternative averaging period, 
the refinery must generate a net NOX benefit (compared to the 
statutory baseline) that is at least twice as large as the total 
NOX deficit generated during the period of time during which 
the refiner produced gasoline that did not comply with the statutory 
baseline.
    (B) At least one-half of the total NOX benefit required 
under paragraph (k)(3)(ii)(A) of this section must be generated by 
production of conventional gasoline at the refinery that is cleaner than 
the statutory baseline NOX standard, as calculated on a 
quarterly basis in accordance with the provision of this paragraph 
(k)(3)(ii).
    (C) Any portion of the total NOX benefit beyond that 
portion described under paragraph (k)(3)(ii)(B) of this section may come 
from either the production of conventional gasoline at the refinery that 
is cleaner than the statutory baseline NOX standard, as 
calculated on a quarterly basis, or from the purchase and retirement of 
stationary source NOX credits or allowances, as provided in 
paragraph (k)(3)(iii) of this section.
    (D) For the purposes of this Sec.  80.101(k) and Sec.  80.101(l), 
the NOX deficit in tons shall be calculated in accordance 
with the following equation:

NOXDef = (NOXad - NOXsea)* 
Gd*2.7 x 10-8

Where:

NOXDef = the NOX deficit, in tons, for a calendar 
          quarter in which the refiner's NOX performance for 
          that quarter exceeds NOXsea.
NOXad = the average volume weighted NOX emissions 
          performance, in mg/mile, for a calendar quarter in which the 
          refiner exceeds NOXsea.
NOXsea = quarterly statutory NOX performance 
          values. First calendar quarter = 1540 mg/mile; Second calendar 
          quarter = 1383 mg/mile; Third calendar quarter = 1381

[[Page 184]]

          mg/mile; Fourth calendar quarter = 1540 mg/mile.
Gd = the volume of gasoline produced during a quarter in 
          which the refiner exceeds the applicable NOX 
          standard, measured in gallons.

    (E) For the purposes of this Sec.  80.101(k) and Sec.  80.101(l), 
the NOX benefit in tons shall be calculated in accordance 
with the following equation:

NOXBen (NOXsea--
NOXab)*Gd*2.7 x 10-8

Where:

NOxBen = the NOX benefit, in tons, for a calendar 
          quarter in which the refiner's NOX performance for 
          that quarter is below NOXsea.
NOXab = the average volume weighted NOX emissions 
          performance, in mg/mile, for a calendar quarter in which the 
          refiner is below NOXsea.
NOXsea = quarterly statutory NOX performance 
          values. First calendar quarter = 1540 mg/mile; Second calendar 
          quarter = 1383 mg/mile; Third calendar quarter = 1381 mg/mile; 
          Fourth calendar quarter = 1540 mg/mile.
Gb = the volume of gasoline produced during a quarter in 
          which the refiner is below the applicable NOX 
          standard, measured in gallons.

    (iii) NOX Credits and Allowances. (A) Within 60 days of 
the end of each quarter for which the refinery produces gasoline for 
which there is a NOX deficit, the refiner shall purchase 
stationary source NOX credits or allowances that are equal to 
or greater than the amount of the NOX deficit generated 
during the quarter, and provide written demonstration of such 
transaction to the Administrator. These NOX credits or 
allowances are in addition to any NOX credits or allowances 
purchased during any previous quarters. NOX deficit is to be 
calculated on a quarterly basis in accordance with the equation in 
paragraph (k)(3)(ii)(D) of this section.
    (B) No NOX credits or allowances purchased by the refiner 
may contribute to the refinery's compliance with the requirements of 
paragraphs (k)(3)(ii)(B) of this section.
    (C) The refinery may sell NOX credits or allowances 
purchased under this paragraph (k)(3)(iii) only in an amount equal to or 
less than any NOX benefit that the refinery generates 
subsequently through the production of conventional gasoline at the 
refinery that is cleaner than the statutory baseline NOX 
standard, as calculated on a quarterly basis. A refiner may retire 
credits or allowances purchased under this paragraph (k)(3)(iii) at any 
time.
    (D) For purposes of satisfying a refinery's obligations under 
paragraphs (k)(3)(ii)(C), (k)(3)(iii)(A) or (l)(6)(ii) of this section, 
any NOX credits or allowances that a refiner purchases must 
have been validly generated as part of a state stationary source program 
covered by an approved state implementation plan (SIP) and must be 
current and marketable NOX credits or allowances. It shall be 
the refiner's responsibility to ensure that NOX credits or 
allowances are valid, current and marketable.
    (E) In order to be retired, NOX allowances or credits 
must be retired by EPA or the administering state agency, as provided 
for in the applicable state implementation plan (SIP). It shall be the 
refiner's responsibility to ensure that NOX credits or 
allowances are actually retired and that retirement is reflected in the 
records of EPA or the administering state agency.
    (iv) (A) The refinery shall not generate marketable credits or 
allotments under the Tier 2 gasoline program provisions of Subpart H of 
this part during the entire alternative averaging period and shall 
provide a written statement, on a quarterly basis, certifying that the 
refinery has not generated, produced, sold, or transferred any such 
marketable credits or allotments under Subpart H of this part.
    (B) If the final quarter of the alternative averaging period ends on 
a date other than December 31, then the refiner may generate credits for 
that portion of the year that was not subject to the alternative 
averaging period.
    (v) The refinery shall market any conventional gasoline it produces 
that is subject to the requirements of Sec.  80.27 as 9.0 RVP gasoline 
until the standard in paragraph (k)(3)(i) of this section is met.
    (vi) A refinery that has been granted an averaging period under this 
section must submit the following reports to the Administrator within 30 
days of the end of each calendar quarter:

[[Page 185]]

    (A) Quarterly batch reports and anti-dumping averaging reports for 
gasoline produced during each quarter; and
    (B)(1) Documents that demonstrate compliance with the requirements 
under paragraph (k)(3)(iii) and (k)(3)(iv) of this section. including a 
calculation of the NOX deficit or benefit for that quarter 
and a current total, based upon all quarters, indicating the current 
NOX deficit or NOX benefit balance for the 
refinery; and
    (2) A statement of the number of NOX credits or 
allowances purchased, sold or retired during the quarter and a current 
total, based upon all quarters, indicating the current balance of 
NOX credits or allowances; and
    (3) Any contractual documents, or other documents, evidencing the 
purchasing, banking or retiring of NOX credits or allowances.
    (vii) The Administrator may specify, as part of the approved 
petition, deadlines by which a refiner is obligated to take certain 
actions (including those listed in paragraph (k)(2)(viii) of this 
section) demonstrating reasonable progress toward completion of the 
refinery changes necessary to produce gasoline that will allow the 
refinery to comply with the overall alternative averaging period 
NOX standard.
    (viii)(A) The refiner shall submit reports demonstrating compliance 
with deadline requirements under paragraph (k)(3)(vii) of this section 
no later than 30 days after the applicable deadline occurs. Upon failure 
to meet a deadline requirement under paragraph (k)(3)(vii) of this 
section, the Administrator may accelerate the date by which the refiner 
would have to produce gasoline that complies with the annual average 
statutory baseline NOX standard under paragraph (k)(3)(i) or 
(l)(6)(i) of this section such that the gasoline produced by the 
refinery beginning with the quarter immediately following the quarter 
during which the failure occurred (and during each subsequent quarter) 
would have to meet that standard. The acceleration of the requirement 
under paragraph (k)(3)(i) or (l)(6)(i) of this section, regarding 
compliance with the annual average statutory baseline NOX 
standard, does not affect the applicability of any other standard or 
requirement applicable to the refinery under this or any other section 
of the Act (e.g., the refinery must still comply with the overall 
alternative averaging period NOX requirements in paragraph 
(k)(3)(ii) of this section).
    (B) The reports required by this paragraph shall be on forms and 
following procedures specified by the Administrator of the EPA and 
signed and certified as correct by the owner or a responsible corporate 
officer of the refiner.
    (ix) The refiner shall comply with any condition or requirement 
prescribed by the Administrator as part of the petition approval.
    (x) The refinery must comply with all standards in this paragraph 
and with all applicable anti-dumping standards in Subpart E of this 
section, except the NOX standard.
    (4) Approval or disapproval of petitions. The Administrator will 
approve or disapprove the petition within six months of receipt, in 
writing, and in the case of an approval will include any conditions or 
requirements to which the approval is subject.
    (5) Effective date for alternative averaging period. (i) For an 
approved petition, the alternative averaging period shall become 
effective with the first day of the next calendar quarter, unless the 
first day of a later calendar quarter is requested.
    (ii) If the final quarter of the alternative averaging period ends 
on a date other than December 31, then the refiner must demonstrate 
compliance with anti-dumping standards for gasoline produced during the 
remainder of that year and must demonstrate such compliance via the 
annual report as specified in Sec.  80.105.
    (6) Refinery request for a change in alternative averaging period. 
At any point during the pendency of an alternative conventional gasoline 
anti-dumping compliance period the Administrator may, upon application 
by a refiner, approve a different alternative compliance period for a 
refinery already operating subject to an alternative compliance period. 
In any such case:
    (i) A refinery for which a change in the applicable alternative 
compliance period is approved shall thereafter operate as if the 
refinery had originally

[[Page 186]]

requested and received such alternative compliance period, and shall be 
subject to the standards and other requirements applicable under such 
alternative compliance period.
    (ii) The Administrator will approve or disapprove any application 
for a different alternative compliance period, in writing, within six 
months of receipt, and in the case of an approval will include any 
conditions or other requirements to which the approval is subject;
    (iii) Accept as specifically modified by this section, such refinery 
must continue to comply with all other standards and other requirements 
applicable under the conventional gasoline anti-dumping standards; and
    (iv) No application may result in an alternative compliance period 
that extends beyond January 1, 2006, except as provided in paragraph (l) 
of this section.
    (7) Violations under this paragraph (k). Any person who fails to 
meet a standard or other requirement under this paragraph (k) shall be 
liable for penalties under Sec.  80.5. Additionally, in the event that 
the refiner fails to achieve the required NOX benefit 
calculated under paragraph (k)(3)(ii) of this section, any 
NOX credits still banked under paragraph (k)(3)(iii) of this 
section shall be forfeit.
    (l) Special alternative anti-dumping averaging period provisions for 
small refineries--(1) Eligibility for petition. A refiner who has been 
granted small refiner status under Sec.  80.235 and who meets the 
eligibility requirements in paragraph (k)(1) of this section may 
petition for an alternative compliance period that is greater than five 
years and/or that extends beyond January 1, 2006, provided that such 
application is submitted by January 1, 2004. No application under this 
paragraph (l) may result in an alternative compliance period that 
extends beyond January 1, 2008.
    (2) Application process. Applications must be submitted to the 
Administrator by January 1, 2004, to the following address: U.S. EPA--
Attn: Anti-Dumping Compliance Period (6406J), 1200 Pennsylvania Avenue, 
NW, Washington, DC 20460 (certified mail/return receipt) or U.S. EPA--
Attn: Anti-Dumping Compliance Period (6406J), Transportation & Regional 
Programs Division, 501 3rd Street, NW, Washington, DC 20001 (express 
mail/return receipt).
    (3) Contents of the application petition. Each petition must 
include:
    (i) The information and signed statements specified for all 
petitioners under Sec.  80.101(k)(2);
    (ii) A description of the hardships that make it infeasible, on a 
cost and/or technological basis, for the refinery to comply with an 
alternative anti-dumping compliance baseline of five years or less, or 
that ends on or before January 1, 2006.
    (iii) A quarterly timeline, from the date of the application, 
indicating the expected NOX emissions performance of the 
refinery's conventional gasoline, and the reasons for any expected non-
compliance with the statutory baseline standard for NOX on a 
quarterly basis (for example, a particular gasoline blendstock-producing 
unit not yet installed). The timeline shall include the date by which 
the refinery will produce conventional gasoline that complies with the 
annual average statutory NOX baseline on a quarterly basis as 
determined according to Sec.  80.101(k)(3)(ii).
    (iv) A demonstration that the conditions for which the refinery was 
granted small refiner status under Sec.  80.235 are still applicable.
    (v) Information already submitted to the Administrator as part of a 
prior petition under paragraph (k) of this section, shall be updated if 
applicable.
    (4) Approval or disapproval of petitions. The Administrator may 
approve a petition under this paragraph (l) if it includes information 
sufficient to demonstrate to the Administrator's satisfaction that cost 
and/or technological constraints make it infeasible for the refinery to 
comply with an alternative anti-dumping compliance baseline of five 
years or less, or that ends on or before January 1, 2006. The 
Administrator will approve or deny the petition in writing within six 
months of receipt. An approval will include any conditions or 
requirements to which the approval is subject.
    (5) Cessation of extended alternative compliance period. (i) 
Refineries that qualify as small under Sec.  80.223, and that

[[Page 187]]

later are disqualified under Sec.  80.230(b), will be subject to the 
statutory anti-dumping baseline on an annual average basis beginning the 
calendar year immediately following the refinery's change in status.
    (ii) If the Administrator finds that a refiner provided false or 
inaccurate information on its application for small refiner status, upon 
notice from the Administrator, the refiner's extended alternative 
compliance period will be void ab initio.
    (6) Compliance requirements for qualifying small refiners. (i) If 
the refiner's application for an extended compliance period under this 
paragraph (l) is approved, then the refinery must comply with the 
statutory baseline NOX standard, on average, for gasoline 
produced beginning by not later than the 19th quarter (for a six year 
compliance period) or by no later than the 22nd quarter (for a seven 
year compliance period).
    (ii) The refinery must meet all other applicable requirements in 
paragraph (k) of this section, including the production of a net 
NOX benefit under paragraph (k)(3)(ii) of this section, 
except that the following provisions shall apply:
    (A) For any cumulative NOX deficit remaining at the 
expiration of the fifth year, based on the NOX emission 
performance of gasoline actually produced at the refinery, and as 
calculated under paragraph (k)(3)(ii) of this section, the refiner shall 
provide an additional NOX benefit equal to one half ton of 
NOX emissions per ton of deficit remaining by the end of the 
refinery's alternative anti-dumping averaging period.
    (B) For any cumulative NOX deficit remaining at the 
expiration of the sixth year, based on the NOX emission 
performance of gasoline actually produced at the refinery, and as 
calculated under paragraph (k)(3)(ii) of this section, the refiner shall 
provide an additional NOX benefit equal to one ton of 
NOX emissions per ton of deficit remaining by the end of the 
refinery's alternative anti-dumping averaging period.
    (C) The additional NOX benefits required under this 
paragraph (l)(6)(ii) of this section may come from the production of 
gasoline at the refinery that is cleaner than the statutory baseline or 
from the purchase and retirement of stationary source NOX 
credits or allowances as provided in paragraph (k)(3)(iii) of this 
section.

[59 FR 7860, Feb. 16, 1994, as amended at 59 FR 36968, July 20, 1994; 60 
FR 40008, Aug. 4, 1995; 62 FR 9884, Mar. 4, 1997; 62 FR 68207, Dec. 31, 
1997; 64 FR 30910, June 9, 1999; 64 FR 37689, July 13, 1999; 65 FR 
54431, Sept. 8, 2000; 66 FR 67107, Dec. 28, 2001; 67 FR 8738, Feb. 26, 
2002; 68 FR 24307, May 6, 2003; 70 FR 74572, Dec. 15, 2005; 72 FR 8543, 
Feb. 26, 2007; 72 FR 60580, Oct. 25, 2007; 79 FR 23647, Apr. 28, 2014]



Sec.  80.102  [Reserved]



Sec.  80.103  Registration of refiners and importers.

    Any refiner or importer of conventional gasoline must register with 
the Administrator in accordance with the provisions specified at Sec.  
80.76.



Sec.  80.104  Recordkeeping requirements.

    Any parties in the gasoline distribution network shall maintain 
records containing the information as required by this section.
    (a) For any refiner or importer, beginning in 1995, for each 
averaging period:
    (1) Documents containing the information specified in paragraph 
(a)(2) of this section shall be obtained for:
    (i) Each batch of conventional gasoline; and
    (ii) Each batch of blendstock received in the case of any refiner 
that determines compliance on the basis of blendstocks properties under 
Sec.  80.101(g)(3).
    (2)(i) The results of tests performed in accordance with Sec.  
80.101(i);
    (ii) The volume of the batch;
    (iii) The batch number;
    (iv) The date of production, importation or receipt;
    (v) The designation regarding whether the batch is summer or winter 
gasoline;
    (vi) The product transfer documents for any conventional gasoline 
produced or imported;
    (vii) The product transfer documents for any conventional gasoline 
received;
    (viii) For any gasoline blendstocks received by or transferred from 
a refiner or importer, documents that reflect:

[[Page 188]]

    (A) The identification of the product;
    (B) The date the product was transferred; and
    (C) The volume of product;
    (ix) [Reserved]
    (x) In the case of oxygenate that is added by a person other than 
the refiner or importer under Sec.  80.101(d)(4)(ii)(B), documents that 
support the volume of oxygenate claimed by the refiner or importer, 
including the contract with the oxygenate blender and records relating 
to the audits, sampling and testing, and inspections of the oxygenate 
blender operation.
    (xi) In the case of blendstocks that are included in refinery 
compliance calculations using the procedures under Sec.  80.101(g)(3), 
documents that reflect the volume of blendstock and the volume of 
gasoline with which the blendstock is blended.
    (xii) In the case of gasoline classified as previously certified 
gasoline under the terms of Sec.  80.101(g)(9), the results of the tests 
to determine the properties and volume of the previously certified 
gasoline when received at the refinery and records that reflect the 
storage and movement of the previously certified gasoline to the point 
the previously certified gasoline is used to produce conventional 
gasoline.
    (xiii) In the case of gasoline subject to an approved petition under 
Sec.  80.93(d), documents that reflect that the gasoline was produced or 
imported for use in Alaska, Hawaii, the Commonwealth of Puerto Rico, and 
the Virgin Islands, as applicable.
    (xiv) In the case of butane blended into conventional gasoline under 
Sec.  80.82, documentation of:
    (A) The volume of the butane added;
    (B) The volume of the gasoline prior to and subsequent to the butane 
blending;
    (C) The purity and properties of the butane under Sec.  80.82(c) and 
(d), as appropriate; and
    (D) Compliance with the requirements of Sec.  80.82.
    (xv) In the case of any imported GTAB, documents that reflect the 
physical movement of the GTAB from the point of importation to the point 
of blending to produce gasoline.
    (b) For all parties described in this section that produce and 
distribute gasoline, in the case of any interface or transmix used to 
produce conventional gasoline under Sec.  80.84, records that reflect 
the results of any sampling and testing of conventional gasoline under 
Sec.  80.84.
    (1) Pipelines must keep records showing that the interface was 
designated in the proper manner according to the designations listed in 
Sec.  80.84(b)(1).
    (2) Transmix processors and transmix blenders must keep records 
showing that their transmix meets the definition in Sec.  80.84(a)(2), 
or contains gasoline and distillate fuel only from the sources listed in 
Sec.  80.84(e).
    (3) Transmix processors must keep records showing the volumes of 
conventional gasoline recovered from transmix and the type and amount of 
any blendstock added, if applicable.
    (4) Transmix blenders must keep records showing compliance with the 
quality assurance program and/or sampling and testing requirements in 
Sec.  80.84(d)(2) or (d)(3) for each batch of conventional gasoline with 
which transmix is blended, the volume of the batch, and the volume of 
transmix blended into the batch.
    (c) All parties in the gasoline distribution network shall retain 
the documents required in this section for a period of five years from 
the date the conventional gasoline or blendstock is produced or 
imported, and deliver such documents to the Administrator of EPA upon 
the Administrator's request.

[59 FR 7860, Feb. 16, 1994, as amended at 59 FR 36969, July 20, 1994; 62 
FR 68208, Dec. 31, 1997; 66 FR 67107, Dec. 28, 2001; 67 FR 8738, Feb. 
26, 2002; 70 FR 74573, Dec. 15, 2005; 71 FR 31963, June 2, 2006; 72 FR 
60581, Oct. 25, 2007]



Sec.  80.105  Reporting requirements.

    (a) Beginning with the 1995 averaging period, and for each 
subsequent averaging period, any refiner for each refinery or group of 
refineries at which any conventional gasoline is produced, and any 
importer that imports any conventional gasoline, shall submit to the 
Administrator a report which contains the following information:
    (1) The total gallons of conventional gasoline produced or imported;
    (2)-(3) [Reserved]
    (4)(i) If using the simple model:

[[Page 189]]

    (A) The applicable exhaust benzene emissions standard under Sec.  
80.101(b)(1)(i);
    (B) The average exhaust benzene emissions under Sec.  80.101(g);
    (C) The applicable sulfur content standard under Sec.  
80.101(b)(1)(ii) in parts per million;
    (D) The average sulfur content under Sec.  80.101(g) in parts per 
million;
    (E) The difference between the applicable sulfur content standard 
under Sec.  80.101(b)(1)(ii) in parts per million and the average sulfur 
content under paragraph (a)(4)(i)(D) of this section in parts per 
million, indicating whether the average is greater or lesser than the 
applicable standard;
    (F) The applicable olefin content standard under Sec.  
80.101(b)(1)(iii) in volume percent;
    (G) The average olefin content under Sec.  80.101(g) in volume 
percent;
    (H) The difference between the applicable olefin content standard 
under Sec.  80.101(b)(1)(iii) in volume percent and the average olefin 
content under paragraph (a)(4)(i)(G) of this section in volume percent, 
indicating whether the average is greater or lesser than the applicable 
standard;
    (I) The applicable T90 distillation point standard under Sec.  
80.101(b)(1)(iv) in degrees Fahrenheit;
    (J) The average T90 distillation point under Sec.  80.101(g) in 
degrees Fahrenheit; and
    (K) The difference between the applicable T90 distillation point 
standard under Sec.  80.101(b)(1)(iv) in degrees Fahrenheit and the 
average T90 distillation point under paragraph (a)(4)(i)(J) of this 
section in degrees Fahrenheit, indicating whether the average is greater 
or lesser than the applicable standard.
    (ii) If using the optional complex model, the applicable exhaust 
benzene emissions standard and the average exhaust benzene emissions, 
under Sec.  80.101(b)(2) and (g).
    (iii) If using the complex model:
    (A) The applicable exhaust toxics emissions standard and the average 
exhaust toxics emissions, under Sec.  80.101(b)(3) and (g); and
    (B) The applicable NOX emissions standard and the average 
NOX emissions, under Sec.  80.101(b)(3) and (g).
    (5) All the following information for each batch of conventional 
gasoline or batch of blendstock included under paragraph (a) of this 
section:
    (i) The batch number.
    (ii) The date of production.
    (iii) The volume of the batch.
    (iv) The grade of gasoline produced (i.e., premium, mid-grade, or 
regular).
    (v) The properties, along with identification of the test method 
used to measure those properties, pursuant to Sec.  80.101(i).
    (vi) In the case of any previously certified gasoline used in a 
refinery operation under the terms of Sec.  80.101(g)(9), all the 
following information relative to the previously certified gasoline when 
received at the refinery:
    (A) Identification of the previously certified gasoline as such.
    (B) The batch number assigned by the receiving refinery.
    (C) The date of receipt.
    (D) The volume, properties (along with identification of the test 
method used to measure those properties), and designation of the batch.
    (vii) In the case of butane blended with conventional gasoline under 
Sec.  80.82, all the following:
    (A) Identification of the butane batch as complying with the 
provisions of Sec.  80.82.
    (B) Identification of the butane batch as commercial or non-
commercial grade butane.
    (C) The batch number of the butane.
    (D) The date of production of the gasoline produced using the 
butane.
    (E) The volume of the butane batch.
    (F) The properties of the butane batch specified by the butane 
supplier, along with identification of the test method used to measure 
those properties, or the properties specified in Sec.  80.82(c) or (d), 
as appropriate.
    (G) Where butane is blended with conventional gasoline during the 
period May 1 through September 15, the Reid vapor pressure, along with 
identification of the test method used to measure Reid vapor pressure 
(per Sec.  80.46 through December 31, 2015 and Sec.  80.47 beginning 
January 1, 2016);
    (viii) In the case of pentane blended with conventional gasoline 
under Sec.  80.85, all the following:

[[Page 190]]

    (A) Identification of the pentane batch as complying with the 
provisions of Sec. Sec.  80.85 and 80.86.
    (B) Identification of the pentane batch as blender-commercial grade 
or blender-non-commercial grade pentane.
    (C) The batch number of the pentane.
    (D) The date of production of the gasoline produced using the 
pentane.
    (E) The volume of the pentane batch.
    (F) The properties of the pentane batch specified by the pentane 
supplier, or the properties specified in Sec.  80.85(c) or (d), as 
appropriate.
    (G) Where pentane is blended with conventional gasoline during the 
period May 1 through September 15, the Reid vapor pressure, as measured 
using the appropriate test method in Sec.  80.46 or Sec.  80.47, as 
applicable.
    (ix) In the case of any imported GTAB, identification of the 
gasoline as GTAB.
    (6) Such other information as EPA may require.
    (7) For refiners that blend any butane with conventional gasoline 
under Sec.  80.82, or any pentane with conventional gasoline under the 
report required under Sec.  80.85, the report described in paragraph (a) 
of this section must include all the following information for the 
annual averaging period:
    (i) The total volume of butane blended with conventional gasoline.
    (ii) The total volume of conventional gasoline produced using 
butane.
    (iii) A statement that the gasoline produced using butane meets all 
applicable downstream standards that apply to conventional gasoline 
under this subpart E, along with the test methods used to determine 
compliance with the downstream standards that apply to conventional 
gasoline under this subpart E.
    (iv) A statement that all butane blended with conventional gasoline 
at the refinery is included in the volume under paragraph (a)(7)(i) of 
this section, or a statement that all butane blended with conventional 
gasoline is included in the refinery's annual average compliance 
calculations under Sec.  80.101.
    (v) The total volume of pentane blended with conventional gasoline.
    (vi) The total volume of conventional gasoline produced using 
pentane.
    (vii) A statement that the gasoline produced using pentane meets all 
applicable downstream standards that apply to conventional gasoline 
under this subpart E.
    (viii) A statement that all pentane blended with conventional 
gasoline at the refinery is included in the volume under paragraph 
(a)(7)(v) of this section, or a statement that all pentane blended with 
conventional gasoline is included in the refinery's annual average 
compliance calculations under Sec.  80.101.
    (b) The reporting requirements of paragraph (a) of this section do 
not apply in the case of any conventional gasoline or gasoline 
blendstock that is excluded from a refiner's or importer's compliance 
calculation pursuant to Sec.  80.101(e).
    (c) For each averaging period, each refiner for each refinery and 
importer shall submit to the Administrator of EPA, by June 1 of each 
year, a report in accordance with the requirements for the Attest 
Engagements of Sec.  80.125 through Sec.  80.131.
    (d) The report required by paragraph (a) of this section shall be:
    (1) Submitted on forms and following procedures specified by the 
Administrator of EPA;
    (2) Submitted to EPA by March 31 each year for the prior calendar 
year averaging period; and
    (3) Signed and certified as correct by the owner or a responsible 
corporate officer of the refiner or importer.

[59 FR 7860, Feb. 16, 1994, as amended at 59 FR 36969, July 20, 1994; 60 
FR 65575, Dec. 20, 1995; 66 FR 67108, Dec. 28, 2001; 67 FR 8738, Feb. 
26, 2002; 70 FR 74573, Dec. 15, 2005; 79 FR 23647, Apr. 28, 2014]



Sec.  80.106  Product transfer documents.

    (a)(1) On each occasion when any person transfers custody or title 
to any conventional gasoline, the transferor shall provide to the 
transferee documents which include the following information:
    (i) The name and address of the transferor;
    (ii) The name and address of the transferee;
    (iii) The volume of gasoline being transferred;

[[Page 191]]

    (iv) The location of the gasoline at the time of the transfer;
    (v) The date of the transfer; and
    (vi) The following statement: ``This product does not meet the 
requirements for reformulated gasoline, and may not be used in any 
reformulated gasoline covered area.''
    (2) The requirements of paragraph (a)(1) of this section apply to 
product that becomes gasoline upon the addition of oxygenate only.
    (b) [Reserved]

[59 FR 7860, Feb. 16, 1994, as amended at 67 FR 8738, Feb. 26, 2002; 70 
FR 74573, Dec. 15, 2005]



Sec. Sec.  80.107-80.124  [Reserved]



                      Subpart F_Attest Engagements

    Source: 59 FR 7875, Feb. 16, 1994, unless otherwise noted.



Sec.  80.125  Attest engagements.

    (a) Any refiner and importer subject to the requirements of this 
subpart F shall engage an independent certified public accountant, or 
firm of such accountants (hereinafter referred to in this subpart F as 
``CPA''), to perform an agreed-upon procedures attestation engagement of 
the underlying documentation that forms the basis of the reports 
required by Sec. Sec.  80.75 and 80.105.
    (b) The CPA shall perform the attestation engagements in accordance 
with the Statements on Standards for Attestation Engagements.
    (c) The CPA may complete the requirements of this subpart F with the 
assistance of internal auditors who are employees or agents of the 
refiner or importer, so long as such assistance is in accordance with 
the Statements on Standards for Attestation Engagements.
    (d) Notwithstanding the requirements of paragraph (a) of this 
section, any refiner or importer may satisfy the requirements of this 
subpart F if the requirements of this subpart F are completed by an 
auditor who is an employee of the refiner or importer, provided that 
such employee:
    (1) Is an internal auditor certified by the Institute of Internal 
Auditors, Inc. (hereinafter referred to in this subpart F as ``CIA''); 
and
    (2) Completes the internal audits in accordance with the 
Codification of Standards for the Professional Practice of Internal 
Auditing.
    (e) Use of a CPA or CIA who is debarred, suspended, or proposed for 
debarment pursuant to the Governmentwide Debarment and Suspension 
Regulations, 2 CFR part 1532, or the Debarment, Suspension, and 
Ineligibility Provisions of the Federal Acquisition Regulations, 48 CFR 
part 9, subpart 9.4, shall be deemed in noncompliance with the 
requirements of this section.
    (f) The following documents are incorporated by reference: the 
Statements on Standards for Attestation Engagements, Codification of 
Statements on Auditing Standards, written by the American Institute of 
Certified Public Accountants, Inc., 1991, and published by the Commerce 
Clearing House, Inc., Identification Number 059021, and the Codification 
of Standards for the Professional Practice of Internal Auditing, written 
and published by the Institute of Internal Auditors, Inc., 1989, 
Identification Number ISBN 0-89413-207-5. These incorporations by 
reference were approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies of the 
Statements on Standards for Attestation Engagements may be obtained from 
the American Institute of Certified Public Accountants, Inc., 1211 
Avenue of the Americas, New York, New York 10036, and copies of the 
Codification of Standards for the Professional Practice of Internal 
Auditing may be obtained from the Institute of Internal Auditors, Inc., 
249 Maitland Avenue, Altamonte Springs, Florida 32701-4201. Copies may 
be inspected at the U.S. Environmental Protection Agency, Office of the 
Air Docket, 401 M St., SW., Washington, DC., or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal_register/

[[Page 192]]

code_of_federal_regulations/ibr_locations.html.

[59 FR 7875, Feb. 16, 1994, as amended at 59 FR 36969, July 20, 1994; 70 
FR 74573, Dec. 15, 2005; 71 FR 26701, May 8, 2006; 72 FR 2427, Jan. 19, 
2007]



Sec.  80.126  Definitions.

    The following definitions shall apply for the purposes of this 
subpart F:
    (a) Averaging compliance records shall include the calculations used 
to determine compliance with relevant standards on average, for each 
averaging period and for each quantity of gasoline for which standards 
must be achieved separately.
    (b) Credit Trading Records. Credit trading records shall include 
worksheets and EPA reports showing actual and complying totals for 
benzene; credit calculation worksheets; contracts; letter agreements; 
and invoices and other documentation evidencing the transfer of credits.
    (c) Designation records shall include laboratory analysis reports 
that identify whether gasoline meets the requirements for a given 
designation; operational and accounting reports of product storage; and 
product transfer documents.
    (d) Oxygenate blender records shall include laboratory analysis 
reports; refiner, importer and oxygenate blender contracts; quality 
assurance program records; product transfer documents; oxygenate 
purchasing, inventory, and usage records; and daily tank inventory 
gauging reports, meter tickets, and product transfer documents.
    (e) Product transfer documents means copies of documents represented 
by the refiner/importer/oxygenate blender as having been provided to the 
transferee, and that reflect the transfer of ownership or physical 
custody of gasoline or blendstock (e.g., invoices, receipts, bills of 
lading, manifests, and/or pipeline tickets).
    (f) Tender means the transfer of ownership or physical custody of a 
volume of gasoline or other petroleum product all of which has the same 
identification (reformulated gasoline, conventional gasoline, RBOB, and 
other non-finished-gasoline petroleum products), and characteristics 
(time and place of use restrictions for reformulated gasoline and RBOB).
    (g) Volume records shall include summaries of gasoline produced or 
imported that account for the volume of each type of gasoline produced 
or imported. The volumes shall be based on tank gauges or meter reports 
and temperature adjusted to 60 degrees Fahrenheit.
    (h) Attestor means the CPA or CIA performing the agreed-upon 
procedures engagement under this subpart.
    (i) Foot (or crossfoot) means to add a series of numbers, generally 
in columns (or rows), to a total amount. When applying the attestation 
procedures in this subpart F, the attestor may foot to subtotals on a 
sample basis in those instances where subtotals (e.g., page totals) 
exist. In such instances, the total should be footed from the subtotals 
and the subtotals should be footed on a test basis using no less than 
25% of the subtotals.
    (j) Laboratory Analysis means the original test result for each 
analysis that was used to determine a product's properties. For 
laboratories using test methods that must be correlated to the standard 
test method, the correlation factors and results shall be included as 
part of the laboratory analysis. For refineries or importers that 
produce reformulated gasoline or RBOB and use the 100% independent lab 
testing, the laboratory analysis shall consist of the results reported 
to the refinery or importer by the independent lab. Where assumed 
properties used (e.g., for butane) the assumed properties may serve as 
the test results.
    (k) Non-finished-gasoline petroleum products means liquid petroleum 
products that have boiling ranges greater than 75 degrees Fahrenheit, 
but less than 450 degrees Fahrenheit, as per ASTM D 86 or equivalent.
    (l) Reporting period means the time period relating to the reports 
filed with EPA by the refiner, importer, or oxygenate blender, and 
generally is the calendar year.

[59 FR 7875, Feb. 16, 1994, as amended at 70 FR 74574, Dec. 15, 2005; 71 
FR 26701, May 8, 2006]

[[Page 193]]



Sec.  80.127  Sample size guidelines.

    In performing the attest engagement, the auditor shall sample 
relevant populations to which agreed-upon procedures will be applied 
using the methods specified in this section, which shall constitute a 
representative sample.
    (a) Sample items shall be selected in such a way as to comprise a 
simple random sample of each relevant population; and
    (b) Sample size shall be determined using one of the following 
options:
    (1) Option 1. Determine the sample size using the following table:

                 Sample Size, Based Upon Population Size
------------------------------------------------------------------------
           No. in population (N)                     Sample size
------------------------------------------------------------------------
66 and larger.............................  29
41-65.....................................  25
26-40.....................................  20
0-25......................................  N or 19, whichever is
                                             smaller.
------------------------------------------------------------------------

    (2) Option 2. Determine the sample size in such a manner that the 
sample size is equal to that which would result by using the following 
parameters and standard statistical methodologies:

Confidence Level--95%
Expected Error Rate--0%
Maximum Tolerable Error Rate--10%

    (3) Option 3. The auditor may use some other form of sample 
selection and/or some other method to determine the sample size, 
provided that the resulting sample affords equal or better strength of 
inference and freedom from bias (as compared with paragraphs (b)(1) and 
(2) of this section), and that the auditor summarizes the substitute 
methods and clearly demonstrates their equivalence in the final report 
on the audit.



Sec.  80.128  Alternative agreed upon procedures for refiners and importers.

    Prior to the attest report for the 2006 reporting period, the 
following minimum attest procedures may be carried out for a refinery or 
importer, in lieu of the attest procedures specified in Sec.  80.133.
    (a) Read the refiner's or importer's reports filed with EPA for the 
previous year as required by Sec. Sec.  80.75, 80.83(g), and 80.105.
    (b) Obtain a gasoline inventory reconciliation analysis for the 
current year from the refiner or importer which includes reformulated 
gasoline, RBOB, conventional gasoline, and non-finished-gasoline 
petroleum products.
    (1) Test the mathematical accuracy of the calculations contained in 
the analysis.
    (2) Agree the beginning and ending inventories to the refiner's or 
importer's perpetual inventory records.
    (c) Obtain separate listings of all tenders during the current year 
of reformulated gasoline, RBOB, conventional gasoline, and non-finished-
gasoline petroleum products.
    (1) Test the mathematical accuracy of the calculations contained in 
the listings.
    (2) Agree the listings of tenders' volumes to the gasoline inventory 
reconciliation in paragraph (b) of this section.
    (3) Agree the listings of tenders' volumes, where applicable, to the 
EPA reports.
    (d) Select a representative sample from the listing of reformulated 
gasoline tenders, and for this sample:
    (1) Agree the volumes to the product transfer documents;
    (2) Compare the product transfer documents designation for 
consistency with the time and place, and compliance model designations 
for the tender (VOC-controlled or non-VOC-controlled, VOC region for 
VOC-controlled, summer or winter gasoline, and simple or complex model 
certified); and
    (3) Trace back to the batch or batches in which the gasoline was 
produced or imported. Obtain the refiner's or importer's internal 
laboratory analyses for each batch and compare such analyses for 
consistency with the analyses results reported to EPA and to the time 
and place designations for the tender's product transfer documents.
    (e) Select a representative sample from the listing of RBOB tenders, 
and for this sample:
    (1) Agree the volumes to the original product transfer documents;
    (2) Determine that the requisite contract was in place with the 
downstream blender designating the required blending procedures, or that 
the refiner or importer accounted for the RBOB using the assumptions in 
Sec.  80.69(a)(8) in the

[[Page 194]]

case of RBOB designated as ``any oxygenate,'' or ``ether only,'' or 
using the assumptions in Sec. Sec.  80.83(c)(1)(ii) (A) and (B) in the 
case of RBOB designated as ``any renewable oxygenate,'' ``non VOC 
controlled renewable ether only,'' or ``renewable ether only'';
    (3) Review the product transfer documents for the indication of the 
type and amount of oxygenate required to be added to the RBOB;
    (4) Trace back to the batch or batches in which the RBOB was 
produced or imported. Obtain refiner's or importer's internal lab 
analysis for each batch and agree the consistency of the type and volume 
of oxygenate required to be added to the RBOB with that indicated in 
applicable tender's product transfer documents;
    (5) Agree the sampling and testing frequency of the refiner's or 
importer's downstream oxygenated blender quality assurance program with 
the sampling and testing rates as required in Sec.  80.69(a)(7); and
    (6) In the case of RBOB designated as ``any renewable oxygenate,'' 
``non VOC controlled renewable ether'' or ``renewable ether only'', 
review the documentation from the producer of the oxygenate to determine 
if the oxygenate meets the requirements of Sec.  80.83(a).
    (f) Select a representative sample of reformulated gasoline and RBOB 
batches produced by computerized in-line blending, and for this sample:
    (1) Obtain the composite sample internal laboratory analyses 
results; and
    (2) Agree the results of the internal laboratory analyses to the 
quarterly batch information submitted to the EPA.
    (g) Select a representative sample from the listing of the tenders 
of conventional gasoline and conventional gasoline blendstock that 
becomes gasoline through the addition of oxygenate only, and for this 
sample:
    (1) Agree the volumes to the product transfer documents;
    (2) For a representative sample of tenders, trace back to the batch 
or batches in which the gasoline was produced or imported. Obtain the 
refiner's or importer's internal laboratory analyses for each batch and 
compare such analyses for consistency with the analyses results reported 
to EPA; and
    (3) Where the refiner or importer has included oxygenate that is 
blended downstream of the refinery or import facility in its compliance 
calculations in accordance with Sec.  80.101(d)(4)(ii), obtain a listing 
of each downstream oxygenate blending operation from which the refiner 
or importer is claiming oxygenate for use in compliance calculations, 
and for each such operation:
    (i) Determine if the refiner or importer had a contract in place 
with the downstream blender during the period oxygenate was blended;
    (ii) Determine if the refiner or importer has records reflecting 
that it conducted physical inspections of the downstream blending 
operation during the period oxygenate was blended;
    (iii) Obtain a listing from the refiner or importer of the batches 
of conventional gasoline or conventional sub-octane blendstock, and the 
compliance calculations which include oxygenate blended by the 
downstream oxygenate blender, and test the mathematical accuracy of the 
calculations contained in this listing;
    (iv) Obtain a listing from the downstream oxygenate blender of the 
oxygenate blended with conventional gasoline or sub-octane blendstock 
that was produced or imported by the refiner or importer. Test the 
mathematical accuracy of the calculations in this listing. Agree the 
overall oxygenate blending listing obtained from the refiner or importer 
with the listing obtained from the downstream oxygenate blender. Select 
a representative sample of oxygenate blending listing obtained from the 
downstream oxygenate blender, and for this sample:
    (A) Using product transfer documents, determine if the oxygenate was 
blended with conventional gasoline or conventional sub-octane blendstock 
that was produced by the refiner or imported by the importer; and
    (B) Agree the oxygenate volume with the refiner's or importer's 
listing of oxygenate claimed for this gasoline;
    (v) Obtain a listing of the sampling and testing conducted by the 
refiner or importer over the downstream oxygenate blending operation. 
Select a representative sample of the test results from this listing, 
and for this sample agree the tested oxygenate volume

[[Page 195]]

with the oxygenate use listings from the refiner or importer, and from 
the oxygenate blender; and
    (vi) Obtain a copy of the records reflecting the refiner or importer 
audit over the downstream oxygenate blending operation. Review these 
records for indications that the audit included review of the overall 
volumes and type of oxygenate purchased and used by the oxygenate 
blender to be consistent with the oxygenate claimed by the refiner or 
importer and that this oxygenate was blended with the refiner's or 
importer's gasoline or blending stock.

[59 FR 7875, Feb. 16, 1994, as amended at 59 FR 36969, July 20, 1994; 59 
FR 39292, Aug. 2, 1994; 62 FR 60136, Nov. 6, 1997; 67 FR 8738, Feb. 26, 
2002; 70 FR 74574, Dec. 15, 2005]

    Effective Date Note: At 59 FR 39292, Aug. 2, 1994, Sec.  80.128 was 
amended by revising paragraphs (a) and (e)(2); removing ``and'' at the 
end of paragraph (e)(4); removing the period at the end of paragraph 
(e)(5) and adding ``; and'' in its place; and adding paragraph (e)(6) 
effective Sep. 1, 1994. At 59 FR 60715, Nov. 28, 1994, the amendment was 
stayed effective September 13, 1994. At 70 FR 74574, Dec. 15, 2005, 
Sec.  80.128 was amended by revising paragraphs (e)(2), (e)(4) and 
(e)(5) and removing paragraph (e)(6); however, the amendment could not 
be incorporated because those paragraphs are stayed. At 71 FR 26702, May 
8, 2006, Sec.  80.128 was amended by revising paragraph (e)(2); however, 
the amendment could not be incorporated because that paragraph is 
stayed. At 72 FR 8543, Feb. 26, 2007, Sec.  80.128 was amended by 
revising paragraph (a); however, the amendment could not be incorporated 
because that paragraph is stayed.



Sec.  80.129  [Reserved]



Sec.  80.130  Agreed upon procedures reports.

    (a) Reports. (1) The CPA or CIA shall issue to the refiner or 
importer a report summarizing the procedures performed in the findings 
in accordance with the attest engagement or internal audit performed in 
compliance with this subpart.
    (2) The refiner or importer shall provide a copy of the auditor's 
report to the EPA within the time specified in Sec.  80.75(m).
    (b) Record retention. The CPA or CIA shall retain all records 
pertaining to the performance of each agreed upon procedure and 
pertaining to the creation of the agreed upon procedures report for a 
period of five years from the date of creation and shall deliver such 
records to the Administrator upon request.

[59 FR 7875, Feb. 16, 1994, as amended at 71 FR 26702, May 8, 2006]



Sec.  80.131  Agreed upon procedures for GTAB, certain conventional
gasoline imported by truck, previously certified gasoline used to
produce gasoline, and butane blenders.

    (a) Attest procedures for GTAB. The following are the attest 
procedures to be carried out in the case of an importer who imports 
gasoline classified as blendstock (or ``GTAB'') under the terms of Sec.  
80.83:
    (1) Obtain a listing of all GTAB volumes imported for the reporting 
period. Agree the total volume of GTAB from the listing to the inventory 
reconciliation analysis under Sec.  80.133, or agree to alternative 
documents if the inventory reconciliation analysis is not sufficient.
    (2) Obtain a listing of all GTAB batches reported to EPA by the 
importer. Agree the total volume of GTAB from the listing to the GTAB 
volumes reported to EPA. Note that the EPA report includes a notation 
that the batch is not included in the compliance calculations because 
the imported product is GTAB. Also, agree these volumes to the Import 
Summary received from the U.S. Customs Service.
    (3) Select a sample, in accordance with the guidelines in Sec.  
80.127, from the listing of GTAB batches obtained in paragraph (a)(2) of 
this section, and for each GTAB batch selected perform the following:
    (i) Trace the GTAB batch to the tank activity records. From the tank 
activity records, determine the volumes of conventional gasoline and of 
RFG produced. Agree the volumes from the tank activity records to the 
batch volume reported to the EPA as reformulated or conventional 
gasoline.
    (ii) Agree the location of the refinery represented by the tank 
activity records obtained in paragraph (a)(3)(i) of this section for the 
gasoline produced from GTAB, to the location that

[[Page 196]]

the GTAB arrived in the U.S. or at a facility to which GTAB is directly 
transported from the import facility using records representing location 
(e.g., U.S. Customs Service entry records). Using product transfer 
records, trace volumes transported from the import facility directly to 
the refinery as applicable.
    (iii) Obtain tank activity records for all batches of GTAB received 
and blended. Using the tank activity records, determine whether the GTAB 
was received into an empty tank, or into a tank containing other GTAB 
imported by that importer or finished gasoline of the same category as 
the gasoline that will be produced using the GTAB or into a tank 
containing blendstock.
    (iv) Using the tank activity records obtained under paragraph 
(a)(3)(iii) of this section, determine the volume of any tank bottom 
(beginning tank inventory) that is previously certified gasoline before 
GTAB is added to the tank. Using lab reports, batch reports, or product 
transfer documents, determine the properties of the tank bottom.
    (v) Determine whether the properties and volume of gasoline produced 
using GTAB were determined in a manner that excludes the volume and 
properties of any gasoline that previously has been included in any 
refiners or importers compliance calculations, as follows:
    (A) Note documented tank mixing procedures.
    (B) Determine the volume and properties of the gasoline contained in 
the storage tank after blending is complete. Mathematically subtract the 
volume and properties of the previously certified gasoline to determine 
the volume and properties of the GTAB plus blendstock added. Agree the 
volume and properties of the GTAB plus blendstock added to the volume 
reported to EPA as a batch of gasoline produced; or
    (C) In the alternative, using the tank activity records, note that 
only GTAB and blending components were combined, and that no gasoline 
was added to the tank. Agree the volumes and properties of the shipments 
from the tank after the GTAB and blendstock are added, blended, and 
sampled and tested, to the volumes and properties reported to the EPA by 
the refiner.
    (vi) Obtain the importer's laboratory analysis for each batch of 
GTAB selected, and agree the properties listed in the corresponding 
batch report submitted to the EPA, to the laboratory analysis.
    (b) Attest procedures for certain truck imports. The following are 
the attest procedures to be carried out in the case of an importer who 
imports conventional gasoline into the United States by truck using the 
sampling and testing option in Sec.  80.101(i)(3) (``Sec.  80.101(i)(3) 
truck imports'').
    (1) Obtain a listing of all volumes of Sec.  80.101(i)(3) truck 
imports for the reporting period. Agree the total volume of Sec.  
80.101(i)(3) truck imports from the listing to the inventory 
reconciliation analysis under Sec.  80.132.
    (2) Obtain a listing of all Sec.  80.101(i)(3) truck import batches 
reported to EPA by the importer. Agree the total volume of Sec.  
80.101(i)(3) truck imports from the listing to the volume of Sec.  
80.101(i)(3) truck imports reported to EPA. Also, agree these totals to 
the Import Summary received from the U.S. Customs Service.
    (3) Select a sample, in accordance with the guidelines in Sec.  
80.127, from the listing obtained in paragraph (b)(2) of this section, 
and for each Sec.  80.101(i)(3) truck import batch selected perform the 
following:
    (i) Obtain the copy of the terminal test results for the batch, 
under Sec.  80.101(i)(3)(iii)(A), and determine that the sample was 
analyzed using the test methods specified in Sec.  80.46, and agree the 
terminal test results to the batch properties reported to EPA; and
    (ii) Obtain tank activity records for the terminal storage tank 
showing receipts, discharges, and sampling, and determine that the 
sample under paragraph (b)(3)(i) of this section was collected 
subsequent to the most recent receipt into the storage tank.
    (4) Obtain listings for each terminal where Sec.  80.101(i)(3) truck 
import gasoline was loaded, of all quality assurance samples collected 
by the importer, and for each terminal select a sample in accordance 
with the guidelines in Sec.  80.127 from the listing. For

[[Page 197]]

each quality assurance sample selected perform the following:
    (i) Determine that the sample was analyzed by the importer or by an 
independent laboratory, and that the analysis was performed using the 
test methods specified in Sec.  80.46;
    (ii) Obtain the terminal's test results that correspond in time to 
the time the quality assurance sample was collected, and agree the 
terminal's test results with the quality assurance test results; and
    (iii) Determine that the quality assurance sample was collected 
within the frequency specified in Sec.  80.101(i)(3)(iv)(D).
    (c) Attest procedures for previously certified gasoline. The 
following are the attest procedures to be carried out in the case of a 
refiner who uses previously certified gasoline under the requirements of 
Sec. Sec.  80.65(i) and 80.101(g)(9).
    (1) Obtain a listing of all batches of previously certified gasoline 
used under the requirements of Sec.  80.65(i) which were received at the 
refinery during the reporting period. Agree the total volume of such 
previously certified gasoline from the listing to the inventory 
reconciliation analysis under Sec.  80.133, or agree to alternative 
documents if the inventory reconciliation analysis is not sufficient.
    (2) Obtain a listing of all previously certified gasoline batches 
reported to EPA by the refiner. Agree the total volume of previously 
certified gasoline from the listing of previously certified gasoline 
received in paragraph (c)(1) of this section to the volume of previously 
certified gasoline reported to EPA.
    (3) Select a sample, in accordance with the guidelines in Sec.  
80.127, from the listing obtained in paragraph (c)(2) of this section, 
and for each previously certified gasoline batch selected perform the 
following:
    (i) Trace the previously certified gasoline batch to the tank 
activity records. Confirm that the previously certified gasoline was 
included in a batch of reformulated or conventional gasoline produced at 
the refinery.
    (ii) Obtain the refiner's laboratory analysis and volume measurement 
for the previously certified gasoline when received and agree the 
properties and volume listed in the corresponding batch report submitted 
to the EPA, to the laboratory analysis and volume measurements.
    (iii) Obtain the product transfer documents for the previously 
certified gasoline when received and agree the designations from the 
product transfer documents to designations in the corresponding batch 
report submitted to EPA (reformulated gasoline, RBOB or conventional 
gasoline, and designations regarding VOC control).
    (d) Attest procedures for butane blenders. The following are the 
attest procedures to be carried out by a refiner who blends butane under 
Sec.  80.82.
    (1) Obtain a listing of all butane batches received at the refinery 
during the reporting period.
    (2) Obtain a listing of all butane batches reported to EPA by the 
refiner for the reporting period. Agree the total volume of butane from 
the receipt listing to the volume of butane reported to EPA.
    (3) Select a sample, in accordance with the guidelines in Sec.  
80.127, from the listing of butane batches reported to EPA, and for each 
butane batch selected perform the following:
    (i) Trace the butane included in the batch to the documents provided 
to the refiner by the butane supplier for the butane. Determine, and 
report as a finding, whether these documents establish the butane was 
commercial grade, non-commercial grade, or neither commercial nor non-
commercial grade as defined in Sec.  80.82.
    (ii) In the case of non-commercial grade butane, obtain the 
refiner's sampling and testing results for butane, and confirm that the 
frequency of the sampling and testing was consistent with the 
requirements in Sec.  80.82.

[70 FR 74574, Dec. 15, 2005]



Sec.  80.132  [Reserved]



Sec.  80.133  Agreed-upon procedures for refiners and importers.

    The following are the minimum attest procedures that shall be 
carried out for each refinery and importer. Agreed upon procedures may 
vary from the procedures stated in this section due to the nature of the 
refiner's or importer's business or records, provided

[[Page 198]]

that any refiner or importer desiring to use modified procedures obtains 
prior approval from EPA.
    (a) EPA reports. (1) Obtain and read a copy of the refinery's or 
importer's reports (except for batch reports) filed with the EPA as 
required by Sec. Sec.  80.75 and 80.105 for the reporting period.
    (2) In the case of a refiner's report to EPA that represents 
aggregate calculations for more than one refinery, obtain the refinery-
specific volume and property information that was used by the refiner to 
prepare the aggregate report. Foot and crossfoot the refinery-specific 
totals and agree to the values in the aggregate report. The procedures 
in paragraphs (b) through (m) of this section then are performed 
separately for each refinery.
    (3) Obtain a written representation from a company representative 
that the report copies are complete and accurate copies of the reports 
filed with the EPA.
    (4) Identify, and report as a finding, the name of the commercial 
computer program used by the refiner or importer to track the data 
required by the regulations in this part, if any.
    (b) Inventory reconciliation analysis. Obtain an inventory 
reconciliation analysis for the refinery or importer for the reporting 
period by product type (i.e., reformulated gasoline, RBOB, conventional 
gasoline, and non-finished-gasoline petroleum products), and perform the 
following:
    (1) Foot and crossfoot the volume totals reflected in the analysis; 
and
    (2) Agree the beginning and ending inventory amounts in the analysis 
to the refinery's or importer's inventory records. If the analysis shows 
no production of conventional gasoline or if the refinery or importer 
represents under paragraph (l) of this section that it has a baseline 
less stringent or equal to the statutory baseline, the analysis may 
exclude non-finished-gasoline petroleum products.
    (3) Report as a finding the volume totals for each product type.
    (c) Listing of tenders. For each product type other than non-
finished gasoline petroleum products (i.e., reformulated gasoline, RBOB, 
conventional gasoline), obtain a separate listing of all tenders from 
the refinery or importer for the reporting period. Each listing should 
provide for each tender the volume shipped and other information as 
needed to distinguish tenders. Perform the following:
    (1) Foot to the volume totals per the listings; and
    (2) For each product type listed in the inventory reconciliation 
analysis obtained in paragraph (b) of this section, agree the volume 
total on the listing to the tender volume total in the inventory 
reconciliation analysis.
    (d) Listing of batches. For each product type other than non-
finished gasoline petroleum products (i.e., reformulated gasoline, RBOB, 
and conventional gasoline), obtain separate listings of all batches 
reported to the EPA and perform the following:
    (1) Foot to the volume totals per the listings; and
    (2) Agree the total volumes in the listings to the production volume 
in the inventory reconciliation analysis obtained in paragraph (b) of 
this section.
    (e) Reformulated gasoline tenders. Select a sample, in accordance 
with the guidelines in Sec.  80.127, from the listing of reformulated 
gasoline tenders obtained in paragraph (c) of this section, and for each 
tender selected perform the following:
    (1) Obtain product transfer documents associated with the tender and 
agree the volume on the tender listing to the volume on the Product 
transfer documents; and
    (2) Note whether the product transfer documents evidencing the date 
and location of the tender and the compliance model designations for the 
tender (VOC-controlled for Region 1 or 2, non VOC-controlled, and simple 
or complex model certified).
    (f) Reformulated gasoline batches. Select a sample, in accordance 
with the guidelines in Sec.  80.127, from the listing of reformulated 
gasoline batches obtained in paragraph (d) of this section, and for each 
batch selected perform the following:
    (1) Agree the volume shown on the listing, to the volume listed in 
the corresponding batch report submitted to EPA; and

[[Page 199]]

    (2) Obtain the refinery's or importer's laboratory analysis and 
agree the properties listed in the corresponding batch report submitted 
to EPA, to the properties listed in the laboratory analysis.
    (g) RBOB tenders. Select a sample, in accordance with the guidelines 
in Sec.  80.127, from the listing of RBOB tenders obtained in paragraph 
(c) of this section, and for each tender selected perform the following:
    (1) Obtain product transfer documents associated with the tender and 
agree the volume on the tender listing to the volume on the product 
transfer documents; and
    (2) Inspect the product transfer documents evidencing the type and 
amount of oxygenate to be added to the RBOB.
    (h) RBOB batches. Select a sample, in accordance with the guidelines 
in Sec.  80.127, from the listing of RBOB batches obtained in paragraph 
(d) of this section, and for each batch selected perform the following:
    (1) Obtain from the refiner or importer the oxygenate type and 
volume, and oxygen volume required to be hand blended with the RBOB, in 
accordance with Sec.  80.69(a)(2).
    (2) Agree the volume shown on the listing, as adjusted to reflect 
the oxygenate volume determined under paragraph (h)(1) of this section, 
to the volume listed in the corresponding batch report submitted to EPA; 
and
    (3) Obtain the refinery's or importer's laboratory analysis of the 
RBOB hand blend and agree:
    (i) The oxygenate type and oxygen amount determined under paragraph 
(h)(1) of this section, to the tested oxygenate type and oxygen amount 
listed in the laboratory analysis within the acceptable ranges set forth 
at Sec.  80.65(e)(2)(i); and
    (ii) The properties listed in the corresponding batch report 
submitted to EPA to the properties listed in the laboratory analysis.
    (4) Perform the following procedures for each batch report included 
in paragraph (h)(4)(i)(B) of this section:
    (i) Obtain and inspect a copy of the executed contract with the 
downstream oxygenate blender (or with an intermediate owner), and 
confirm that the contract:
    (A) Was in effect at the time of the corresponding RBOB transfer; 
and
    (B) Allowed the company to sample and test the reformulated gasoline 
made by the blender.
    (ii) Obtain a listing of RBOB blended by downstream oxygenate 
blenders and the refinery's or importer's oversight test results, and 
select a representative sample, in accordance with the guidelines in 
Sec.  80.127, from the listing of test results and for each test 
selected perform the following:
    (A) Obtain the laboratory analysis for the batch, and agree the type 
of oxygenate used and the oxygenate content appearing in the laboratory 
analysis to the instructions stated on the product transfer documents 
corresponding to a RBOB receipt immediately preceding the laboratory 
analysis and used in producing the reformulated gasoline batch selected 
within the acceptable ranges set forth at Sec.  80.65(e)(2)(i);
    (B) Calculate the frequency of sampling and testing or the volume 
blended between the test selected and the next test; and
    (C) Agree the frequency of sampling and testing or the volume 
blended between the test selected and the next test to the sampling and 
testing frequency rates stated in Sec.  80.69(a)(7).
    (i) Conventional gasoline and conventional gasoline blendstock 
tenders. Select a sample, in accordance with the guidelines in Sec.  
80.127, from the listing of the tenders of conventional gasoline and 
conventional gasoline blendstock that becomes gasoline through the 
addition of oxygenate only, and for each tender selected perform the 
following:
    (1) Obtain product transfer documents associated with the tender and 
agree the volume on the tender listing to the volume on the product 
transfer documents; and
    (2) Inspect the product transfer documents evidencing that the 
information required in Sec.  80.106(a)(1)(vii) is included.
    (j) Conventional gasoline batches. Select a sample, in accordance 
with the guidelines in Sec.  80.127, from the conventional gasoline 
batch listing obtained in paragraph (d) of this section, and for each 
batch selected perform the following:

[[Page 200]]

    (1) Agree the volume shown on the listing, to the volume listed in 
the corresponding batch report submitted to EPA; and
    (2) Obtain the refinery's or importer's laboratory analysis and 
agree the properties listed in the corresponding batch report submitted 
to EPA, to the properties listed in the laboratory analysis.
    (k) Conventional gasoline oxygenate blending. Obtain a listing of 
each downstream oxygenate blending facility and its blender, as 
represented by the refiner/importer, as adding oxygenate used in the 
compliance calculations for the refinery or importer, or a written 
representation from the refiner for the refinery or importer that it has 
not used any downstream oxygenate blending in its conventional gasoline 
compliance calculations.
    (1) For each downstream oxygenate blender facility, obtain a listing 
from the refiner or importer of the batches of oxygenate included in its 
compliance calculations added by the downstream oxygenate blender and 
foot to the total volume of batches per the listing;
    (2) Obtain a listing from the downstream oxygenate blender of the 
oxygenate blended with conventional gasoline or sub-octane blendstock 
that was produced or imported by the refinery or importer and perform 
the following:
    (i) Foot to the total volume of the oxygenate batches per the 
listing; and
    (ii) Agree the total volumes in the listing obtained from the 
downstream oxygenate blender, to the listing obtained from the refiner 
or importer in paragraph (k)(1) of this section.
    (3) Where the downstream oxygenate blender is a person other than 
the refiner or importer, as represented by management of the refinery or 
importer, perform the following:
    (i) Obtain the contract from the refiner or importer with the 
downstream blender and inspect the contract evidencing that it covered 
the period when oxygenate was blended;
    (ii) Obtain company documents evidencing that the refiner or 
importer has records reflecting that it conducted physical inspections 
of the downstream blending operation during the period oxygenate was 
blended;
    (iii) Obtain company documents reflecting the refiner or importer 
audit over the downstream oxygenate blending operation and note whether 
these records evidencing the audit included a review of the overall 
volumes and type of oxygenate purchased and used by the oxygenate 
blender to be consistent with the oxygenate claimed by the refiner or 
importer, and that this oxygenate was blended with the refinery's or 
importer's gasoline or blending stock; and
    (iv) Obtain a listing of test results for the sampling and testing 
conducted by the refiner or importer over the downstream oxygenate 
blending operation, and select a sample, in accordance with the 
guidelines in Sec.  80.127, from this listing. For each test selected, 
agree the tested oxygenate volume with the oxygenate volume in the 
listing obtained from the oxygenate blender in paragraph (k)(2) of this 
section for this gasoline.

[70 FR 74576, Dec. 15, 2005, as amended at 71 FR 26702, May 8, 2006]



Sec. Sec.  80.134-80.135  [Reserved]



                      Subpart G_Detergent Gasoline

    Source: 59 FR 54706, Nov. 1, 1994, unless otherwise noted.



Sec.  80.140  Definitions.

    The definitions in this section apply only to subpart G of this 
part. Any terms not defined in this subpart shall have the meaning given 
them in 40 CFR part 80, subpart A, or, if not defined in 40 CFR part 80, 
subpart A, shall have the meaning given them in 40 CFR part 79, subpart 
A.
    Additization means the addition of detergent to gasoline or post-
refinery component in order to create detergent-additized gasoline or 
detergent-additized post-refinery component.
    Automated detergent blending facility means any facility (including, 
but not limited to, a truck or individual storage tank) at which 
detergent is blended with gasoline or post-refinery component, by means 
of an injector system calibrated to automatically deliver a prescribed 
amount of detergent.
    Base gasoline means any gasoline that does not contain detergent.

[[Page 201]]

    Carburetor deposits means the deposits formed in the carburetor 
during operation of a carburetted gasoline engine which can disrupt the 
ability of the carburetor to maintain the proper air/fuel ratio.
    Carrier of detergent means any distributor of detergent who 
transports or stores or causes the transportation or storage of 
detergent without taking title to or otherwise having any ownership of 
the detergent, and without altering either the quality or quantity of 
the detergent.
    Deposit control effectiveness means the ability of a detergent 
additive package to prevent the formation of deposits in gasoline 
engines.
    Deposit control efficiency means the degree to which a detergent 
additive package at a given concentration in gasoline is effective in 
limiting the formation of deposits. The addition of inactive ingredients 
to a detergent additive package, to the extent that this addition 
dilutes the concentration of the detergent-active components, reduces 
the deposit control efficiency of the package.
    Detergent additive package means any chemical compound or 
combination of chemical compounds, including carrier oils, that may be 
added to gasoline, or to post-refinery component blended with gasoline, 
in order to control deposit formation. Carrier oil means an oil that may 
be added to the package to mediate or otherwise enhance the detergent 
chemical's ability to control deposits. A detergent additive package may 
contain non-detergent-active components such as corrosion inhibitors, 
antioxidants, metal deactivators, and handling solvents.
    Detergent blender means any person who owns, leases, operates, 
controls or supervises the blending operation of a detergent blending 
facility, or imports detergent-additized gasoline or detergent-additized 
post-refinery component.
    Detergent blending facility means any facility (including, but not 
limited to, a truck or individual storage tank) at which detergent is 
blended with gasoline or post-refinery component.
    Detergent-active components means the components of a detergent 
additive package which act to prevent the formation of deposits, 
including, but not necessarily limited to, the actual detergent chemical 
and any carrier oil (if present) that acts to enhance the detergent's 
ability to control deposits.
    Detergent-additized gasoline (also called detergent gasoline) means 
any gasoline that contains base gasoline and detergent.
    Detergent-additized post-refinery component means any post-refinery 
component that contains detergent.
    Distributor of detergent means any person who transports or stores 
or causes the transportation or storage of detergent at any point 
between its manufacture and its introduction into gasoline.
    Fuel injector deposits (also known as port fuel injector deposits or 
PFID) means the deposits formed on fuel injector(s) during and after 
operation of a gasoline engine, as evaluated by the reduction in the 
gasoline flow rate through the fuel injector(s).
    Gasoline means any fuel for use in motor vehicles and motor vehicle 
engines, including both highway and off-highway vehicles and engines, 
and commonly or commercially known or sold as gasoline. The term 
``gasoline'' is inclusive of base gasoline, detergent gasoline, and base 
gasoline or detergent gasoline that has been commingled with post-
refinery component.
    Hand blending detergent facility means any facility (including, but 
not limited to, a truck or individual storage tank) at which detergent 
is blended with gasoline or post-refinery component by the manual 
addition of detergent, or at which detergent is blended with these 
substances by any means that is not automated.
    Intake valve deposits (IVD) means the deposits formed on the intake 
valve(s) during operation of a gasoline engine, as evaluated by weight.
    Leaded gasoline means gasoline which is produced with the use of any 
lead additive or which contains more than 0.05 gram of lead per gallon 
or more than 0.005 gram of phosphorus per gallon.
    Manufacturer of detergent means any person who owns, leases, 
operates, controls, or supervises a facility that manufactures 
detergent. Pursuant to the definition in 40 CFR 79.2(f), a manufacturer 
of detergent is also considered an additive manufacturer.

[[Page 202]]

    Post-refinery component means any gasoline blending stock or any 
oxygenate which is blended with gasoline subsequent to the gasoline 
refining process.
    Repeatability of a test method means the amount of random error 
which is expected to affect the results obtained for a given test 
substance, when the test is replicated by a single operator in a given 
laboratory within a short period of time, using the same apparatus under 
constant operating conditions. Quantitatively, it is the difference 
between two such single results that would be exceeded in the long run 
in only one out of twenty normal and correct replications of the test 
method.

[59 FR 54706, Nov. 1, 1994, as amended at 61 FR 35356, July 5, 1996]



Sec.  80.141  Interim detergent gasoline program.

    (a) Effective dates of requirements. (1) Until June 30, 1997, the 
products listed in paragraphs (a)(1)(i) through (iii) of this section 
must comply with either the interim program requirements described in 
this section or the certification program requirements described in 
Sec.  80.161. Beginning July 1, 1997, the listed products must comply 
with the requirements in Sec.  80.161. These dates and requirements 
apply to:
    (i) All gasoline sold or transferred to a party who sells or 
transfers gasoline to the ultimate consumer;
    (ii) All additized post-refinery component (PRC); and
    (iii) All detergent additives sold or transferred for use in 
gasoline or PRC for compliance with the requirements of this subpart.
    (2) Until July 31, 1997, all gasoline sold or transferred to the 
ultimate consumer must contain detergent additive(s) meeting either the 
interim requirements of this Sec.  80.141 or the certification program 
requirements of Sec.  80.161. Beginning August 1, 1997, such gasoline 
must contain detergent additive(s) meeting the certification 
requirements of Sec.  80.161.
    (b) Applicability of gasoline and PRC detergency requirement; 
responsible parties. (1) Except as specifically exempted in Sec.  
80.160, the detergency requirements of this subpart apply to all 
gasoline, whether intended for on-highway or nonroad use, including 
conventional, reformulated, oxygenated, and leaded gasolines, as well as 
the gasoline component of fuel mixtures of gasoline and alcohol fuels, 
gasoline used as marine fuel, gasoline service accumulation fuel (as 
described in Sec.  86.113-94(a)(1) of this chapter), the gasoline 
component of fuel mixtures of gasoline and methanol used for service 
accumulation in flexible fuel vehicles (as described in Sec.  86.113-
94(d) of this chapter), gasoline used for factory fill purposes, and all 
additized PRC.
    (2) Pursuant to paragraphs (c) through (f) of this section, 
compliance with these requirements is the responsibility of parties who 
directly or indirectly sell or dispense gasoline to the ultimate 
consumer as well as parties who manufacture, supply, or transfer 
detergent additives or detergent-additized post-refinery components.
    (c) Detergent registration requirements. To be eligible for use by 
fuel manufacturers in complying with the gasoline detergency 
requirements of this subpart, a detergent additive package must be 
registered by its manufacturer under 40 CFR part 79 according to the 
specifications in paragraphs (c) (1) through (3) of this section. After 
evaluating the adequacy of registration data provided by the detergent 
manufacturer pursuant to these requirements, if EPA finds the data to be 
deficient, EPA may disqualify the detergent package for use in complying 
with the gasoline detergency requirements of this subpart, under the 
provisions of paragraph (g) of this section.
    (1) Compositional data. The compositional data supplied to EPA by 
the additive manufacturer for purpose of registering a detergent 
additive package under Sec.  79.21(a) of this chapter must include:
    (i) A complete listing of the components of the detergent additive 
package, using standard chemical nomenclature when possible or providing 
the chemical structure of any component for which the standard chemical 
name is not precise. Polymeric components may be reported as the product 
of other chemical reactants, provided that the supporting data specified 
in Sec.  80.162(b) is also reported for such components.

[[Page 203]]

    (ii) The weight and/or volume percent (as applicable) of each 
component of the package, with variability in these amounts restricted 
according to the provisions of paragraph (c)(2) of this section.
    (iii) For each detergent-active component of the package, 
classification into one of the following designations:
    (A) Polyalkyl amine;
    (B) Polyether amine;
    (C) Polyalkylsuccinimide;
    (D) Polyalkylaminophenol;
    (E) Detergent-active carrier oil; and
    (F) Other detergent-active component.
    (2) Allowable variation in compositional data. (i) A single 
detergent additive registration may contain no variation in the identity 
of any of the detergent-active components identified pursuant to 
paragraph (c)(1)(iii) of this section.
    (ii) A single detergent additive registration may specify a range of 
concentrations for identified detergent-active components, provided 
that, if each such component were present in the detergent additive 
package at the lower bound of its reported range of concentration, the 
minimum recommended concentration reported in accordance with the 
requirements of paragraph (c)(3) of this section would still provide the 
deposit control effectiveness claimed by the detergent registrant.
    (iii) The identity or concentration of non-detergent-active 
components of the detergent additive package may vary under a single 
registration, provided that the range of such variation is specified in 
the registration, and that such variability does not reduce the deposit 
control effectiveness of the additive package as compared with the level 
of effectiveness claimed by the detergent registrant pursuant to the 
requirements of paragraph (c)(3) of this section.
    (iv) Except as provided in paragraph (c)(2)(v) of this section, 
detergent additive packages which do not satisfy these restrictions must 
be separately registered. EPA may disqualify an additive for use in 
satisfying the requirements of this subpart if EPA determines that the 
variability included within a given detergent additive registration may 
reduce the deposit control effectiveness of the detergent package such 
that it could invalidate the minimum recommended concentration reported 
in accordance with the requirements of paragraph (c)(3) of this section.
    (v) A change in minimum concentration requirements resulting from a 
modification of detergent additive composition shall not require a new 
detergent additive registration or a change in existing registration if:
    (A) The modification is effected by a detergent blender only for its 
own use or for the use of parties which are subsidiaries of, or share 
common ownership with, the blender, and the modified detergent is not 
sold or transferred to other parties; and
    (B) The modification is a dilution of the additive for the purpose 
of ensuring proper detergent flow in cold weather; and
    (C) Gasoline is the only diluting agent used; and
    (D) The diluted detergent is subsequently added to gasoline at a 
rate that attains the detergent's registered minimum recommended 
concentration, taking into account the dilution; and
    (E) EPA is notified, either before or within seven days after the 
dilution action, of the identity of the detergent, the identity of the 
diluting material, the amount or percentage of the dilution, the change 
in treat rate necessitated by the dilution, and the locations and time 
period of diluted detergent usage. The notification shall be sent or 
faxed to the address in Sec.  80.174(c).
    (3) Minimum recommended concentration. (i) The lower boundary of the 
recommended range of concentration for the detergent additive package in 
gasoline, which the additive manufacturer must report pursuant to the 
registration requirements in Sec.  79.21(d) of this chapter, must equal 
or exceed the minimum concentration which the manufacturer has 
determined to be necessary for the control of deposits in the associated 
fuel type, pursuant to paragraph (e) of this section. The minimum 
recommended concentration shall be provided to EPA in units of gallons 
of

[[Page 204]]

detergent additive package per thousand gallons of gasoline or PRC, 
reported to four digits. This concentration is the lowest additive 
concentration (LAC) referred to elsewhere in this subpart.
    (ii) The minimum concentration reported in the detergent 
registration according to the provisions of paragraph (c)(3)(i) of this 
section must also be communicated in writing by the additive 
manufacturer to each fuel manufacturer who purchases the subject 
detergent for purpose of compliance with the gasoline detergency 
requirements of this subpart, and to any additive manufacturer who 
purchases the subject additive with the intent of reselling it to a fuel 
manufacturer for this purpose.
    (iii) Pursuant to the requirements of paragraph (e) of this section, 
EPA may require the additive manufacturer to submit data to support the 
deposit control effectiveness of the detergent package at the specified 
minimum effective concentration. EPA may disqualify an additive for use 
in satisfying the requirements of this subpart upon finding that the 
supporting data is inadequate. Manufacturers may be subject to the 
liabilities and enforcement actions in Sec. Sec.  80.156 and 80.159 if 
such a finding is made.
    (iv) Once included in the registration for a detergent additive 
package, the minimum concentration recommended by the detergent 
manufacturer to detergent blenders and other users of the detergent 
additive, pursuant to paragraph (c)(3)(ii) of this section, may not be 
changed without first notifying EPA. The notification must be sent by 
certified mail to the address specified in Sec.  80.174(b). Changes to 
the minimum recommended concentration must be supported by available 
test data pursuant to paragraph (c)(3)(iii) of this section.
    (v) A manufacturer may use a single set of test data to demonstrate 
the deposit control effectiveness of more than one registered detergent 
additive product, provided that:
    (A) The additive products contain all of the same detergent-active 
components and no detergent-active components other than those contained 
in common; and
    (B) The minimum concentration recommended for the use of each such 
additive product is specified such that, when each additive product is 
mixed in gasoline at the recommended concentration, each of its 
detergent-active components will be present at a final concentration no 
less than the lowest concentration for that component shown to be 
effective by the data available for the tested additive product.
    (d) The rate at which a detergent blender treats gasoline with a 
detergent additive package must be no less than the minimum recommended 
concentration reported for the subject detergent additive pursuant to 
paragraph (c)(3) of this section, except under the following conditions:
    (1) If a detergent blender believes that the minimum treat rate 
recommended by the manufacturer of a detergent additive exceeds the 
amount of detergent actually required for effective deposit control, and 
possesses substantiating data consistent with the guidelines in 
paragraph (e) of this section, then, upon informing EPA in writing of 
these circumstances, the detergent blender may use the detergent at a 
lower concentration.
    (2) The notification to EPA must clearly specify the name of the 
detergent product and its manufacturer, the concentration recommended by 
the detergent manufacturer, and the lower concentration which the 
detergent blender intends to use. The notification must also attest that 
data are available to substantiate the deposit control effectiveness of 
the detergent at the intended lower concentration. The notification must 
be sent by certified mail to the address specified in Sec.  80.174(b).
    (3) At its discretion, EPA may require that the detergent blender 
submit the test data purported to substantiate the claimed effectiveness 
of the lower concentration of the detergent additive. EPA may also 
require the manufacturer of the subject detergent additive to submit 
test data substantiating the minimum recommended concentration specified 
in the detergent additive registration. In either case, EPA will send a 
letter to the appropriate party, and the supporting data will be due to 
EPA within 30 days of receipt of EPA's letter.

[[Page 205]]

    (i) If the detergent blender fails to submit the required supporting 
data to EPA in the allotted time period, or if EPA judges the submitted 
data to be inadequate to support the detergent blender's claim that the 
lower concentration provides a level of deposit control consistent with 
the requirements of this section, then EPA will disapprove the use of 
the detergent at the lower concentration. Further, the detergent blender 
may be subject to applicable liabilities and penalties pursuant to 
Sec. Sec.  80.156 and 80.159 for any gasoline or PRC it has additized at 
the lower concentration.
    (ii) If the detergent manufacturer fails to submit the required test 
data to EPA within the allotted time period, EPA will proceed on the 
assumption that data are not available to substantiate the minimum 
recommended concentration specified in the detergent registration, and 
the subject additive may be disqualified for use in complying with the 
requirements of this subpart, pursuant to the procedures in paragraph 
(g) of this section. The detergent manufacturer may also be subject to 
applicable liabilities and penalties pursuant to Sec. Sec.  80.156 and 
80.159.
    (iii) If both parties submit the required information, EPA will 
evaluate the quality and results of both sets of test data in relation 
to each other and to industry-consensus test practices and standards, in 
a manner consistent with the guidelines described in paragraph (e) of 
this section. EPA will approve or disapprove the use of the detergent at 
the lower concentration, and will inform both the detergent blender and 
the detergent manufacturer of the results of its analysis within 60 days 
of receipt of both sets of data.
    (e) Demonstration of deposit control efficiency. At its discretion, 
EPA may require a detergent additive registrant to provide test data to 
support the deposit control effectiveness of a detergent at the minimum 
concentration recommended, pursuant to paragraph (c)(3) of this section 
and Sec.  79.21(d) of this chapter. The required supporting data must be 
submitted to EPA within 30 days of receipt of EPA's request. EPA will 
notify the submitter, within 60 days after receiving the supporting 
data, whether the data is adequate to support the deposit control 
efficiency claimed. Subject to the procedures specified in paragraph (g) 
of this section, if the supporting data are not submitted or if EPA 
finds the data insufficient, the detergent may be disqualified for use 
by fuel manufacturers in complying with the requirements of this 
subpart. EPA will use the following guidelines in determining the 
adequacy of the supporting data:
    (1) CARB-based supporting test data. For detergent additives which 
are certified by the California Air Resources Board (CARB) for use in 
the State of California (pursuant to Title 13, section 2257 of the 
California Code of Regulations), the CARB certification data constitutes 
adequate support of the detergent's effectiveness under this section, 
with the exception that CARB detergent certification data specific to 
California Phase II reformulated gasoline (pursuant to Title 13, Chapter 
5, Article 1, Subarticle 2, California Code of Regulations, Standards 
for Gasoline Sold Beginning March 1, 1996) will not be considered 
adequate support for detergent effectiveness in gasolines that do not 
conform to the compositional specifications for California's Phase II 
reformulated gasoline. For CARB-based supporting data to be used to 
demonstrate detergent performance, the minimum recommended concentration 
reported in the detergent additive registration must be no less than the 
concentration of the detergent-active components reported in the subject 
CARB detergent certification.
    (2) EPA will evaluate the adequacy of other supporting data 
according to the following guidelines:
    (i) Test fuel guidelines.
    (A) The gasoline used in the supporting tests must contain the 
detergent-active components of the subject detergent additive package in 
an amount which corresponds to the minimum recommended concentrations 
recorded in the respective detergent registration, or less than this 
amount.
    (B) The test fuels must not contain any detergent-active components 
other than those recorded in the subject detergent registration.
    (C) The test fuels used must be reasonably typical of in-use fuels 
in their tendency to form deposits. Test fuel

[[Page 206]]

taken directly from commercial refinery production stock is acceptable. 
Specially refined low-deposit-forming fuels such as indolene are not 
acceptable. Other specially blended test fuels will be evaluated by EPA 
for acceptability based on the extent to which such fuels adequately 
represent the deposit-forming tendency of typical (average) in-use 
fuels, as reflected in the levels of the following fuel parameters: 
sulfur content, aromatic content, olefin content, T-90, and oxygenate 
content.
    (D) The composition of the blended test fuel(s) used in carburetor 
deposit control testing, conducted to support the claimed effectiveness 
of detergents used in leaded gasoline, should be reasonably typical of 
in-use gasoline in its tendency to form carburetor deposits (or more 
severe than typical in-use fuels) as defined by the olefin and sulfur 
content. Test data using leaded fuels is preferred for this purpose, but 
data collected using unleaded fuels may also be acceptable provided that 
some correlation with additive performance in leaded fuels is available.
    (ii) Test procedure guidelines.
    (A) To be acceptable, test data submitted to support the deposit 
control effectiveness of a detergent additive must derive from testing 
conducted in conformity with good engineering practices.
    (B) For demonstration of fuel injector and intake valve deposit 
control performance, the tests specified in Sec. Sec.  80.165, or other 
vehicle-based tests using generally accepted industry procedures and 
standards, are preferred. Engine-based tests may also be acceptable, 
assuming a reasonable correlation with vehicle-based tests and standards 
can be demonstrated. Bench test data may be acceptable to demonstrate 
fuel injector deposit control performance, assuming the results can be 
correlated with vehicle- or engine-based tests and standards. Bench 
testing will not be considered acceptable for demonstration of IVD 
control performance. Examples of acceptable test procedures are 
contained in the following references:
    (1) Intake Valve Deposit Test Procedures:
    (i) ``Intake Valve Deposits--Fuel Detergency Requirements 
Revisited'', Bill Bitting et al., Society of Automotive Engineers, SAE 
Technical Paper No. 872117, 1987. \1\
---------------------------------------------------------------------------

    \1\ Society of Automotive Engineers (SAE), 400 Commonwealth Drive, 
Warrendale, PA 15096-0001.
---------------------------------------------------------------------------

    (ii) ``BMW--10,000 Miles Intake Valve Test Procedure'', March 1, 
1991, Section 2257, Title 13, California Code of Regulations.
---------------------------------------------------------------------------

    \2\ [Reserved]
---------------------------------------------------------------------------

    (iii) [Reserved]
    (iv) ``Effect on Intake Valve Deposits of Ethanol and Additives 
Common to the Available Ethanol Supply'', Clifford Shilbolm et al., SAE 
Technical Paper Series No. 902109, 1990.
    (2) Fuel Injector Deposit Test Procedures:
    (i) ``Test Method for Evaluating Port Fuel Injector (PFI) Deposits 
in Vehicle Engines'', March 1, 1991, Section 2257, Title 13, California 
Code of Regulations.
    (ii) ``A Vehicle Test Technique for Studying Port Fuel Injector 
Deposits--A Coordinating Research Council Program'', Robert Tupa et al., 
SAE Technical paper No. 890213, 1989.
    (iii) ``The Effects of Fuel Composition and Additives on Multiport 
Fuel Injector Deposits'', Jack Benson et al., SAE Technical Paper Series 
No. 861533, 1986.
    (iv) ``Injector Deposits--The Tip of Intake System Deposit 
Problems'', Brian Taneguchi, et al., SAE Technical Paper Series No. 
861534, 1986.
    (C) For demonstration of carburetor deposit control performance, any 
generally accepted vehicle, engine, or bench test procedure for 
carburetor deposit control will be considered adequate. Port and 
throttle body fuel injector deposit control test data will also be 
considered to be adequate demonstration of an additive's ability to 
control carburetor deposits. Examples of acceptable test procedures for 
demonstration of carburetor deposit control, in addition to the fuel 
injector test procedures listed above in paragraph (e)(2)(ii)(B)(2) of 
this section, are contained in the following references:
    (1) ``Fuel Injector, Intake Valve, and Carburetor Detergency 
Performance of Gasoline Additives'', C.H. Jewitt et al., SAE Technical 
Paper No. 872114, 1987.

[[Page 207]]

    (2) ``Carburetor Cleanliness Test Procedure, State-of-the-Art 
Summary, Report: 1973-1981'', Coordinating Research Council, CRC Report 
No. 529. \3\
---------------------------------------------------------------------------

    \3\ Coordinating Research Council Inc. (CRC), 219 perimeter Center 
Parking, Atlanta, Georgia, 30346.
---------------------------------------------------------------------------

    (f) Detergent identification test procedure. (1) At its discretion, 
EPA may require the additive registrant to submit an analytical 
procedure capable of identifying the detergent additive in its pure 
state. The test procedure will be due to EPA within 30 days of the 
registrant's receipt of the request. Subject to the provisions in 
paragraph (g) of this section, if the registrant fails to submit an 
analytical procedure, or if EPA judges a submitted procedure to be 
inadequate, EPA may deny or withdraw the detergent's eligibility to be 
used to satisfy the detergency requirements in this section.
    (2) The analytical procedure submitted by the registrant must be 
able to both qualitatively and quantitatively identify each component of 
the detergent additive package. To be acceptable, the procedure must 
provide results that conform to reasonable and customary standards of 
repeatability and reproducibility, and reasonable and customary limits 
of detection and accuracy, for the type of test in question.
    (3) A fourier transform infrared spectroscopy (FTIR)-based 
procedure, including an actual infrared spectrum of the detergent 
additive package and each component part of the detergent package 
obtained from this test method, is preferred.
    (g) Disqualification of a detergent additive package. (1) When EPA 
makes a preliminary determination that a detergent additive registrant 
has failed to comply with the requirements of paragraph (c), (d)(3)(ii), 
(e), or (f) of this section, either by failing to submit required 
information for a subject detergent additive or by submitting 
information which EPA deems inadequate, EPA shall notify the additive 
registrant by certified mail, return receipt requested, setting forth 
the basis for that determination and informing the registrant that the 
detergent may lose its eligibility to be used to comply with the 
detergency requirements of this section.
    (2) If EPA determines that the detergent registration was created by 
fraud or other misconduct, such as a negligent disregard for the 
truthfulness or accuracy of the required information or of the 
application, the detergent registration will be considered void ab 
initio and the revocation of qualification will be retroactive to 
January 1, 1995 or the date on which the additive product was first 
registered, whichever is later.
    (3) The registrant will be afforded 60 days from the date of receipt 
of the notice of intent of detergent disqualification to submit written 
comments concerning the notice, and to demonstrate or achieve compliance 
with the specific data requirements which provide the basis for the 
proposed disqualification. If the registrant does not respond in writing 
within 60 days from the date of receipt of the notice of intent of 
disqualification, the detergent disqualification shall become final by 
operation of law and the Administrator shall notify the registrant of 
such disqualification. If the registrant responds in writing within 60 
days from the date of receipt of the notice of intent to disqualify, the 
Administrator shall review and consider all comments submitted by the 
registrant before taking final action concerning the proposed 
disqualification. All correspondence regarding a disqualification must 
be sent to the address specified in Sec.  80.174(b).
    (4) As part of a written response to a notice of intent to 
disqualify, a registrant may request an informal hearing concerning the 
notice. Any such request shall state with specificity the information 
the registrant wishes to present at such a hearing. If an informal 
hearing is requested, EPA shall schedule such a hearing within 90 days 
from the date of receipt of the request. If an informal hearing is held, 
the subject matter of the hearing shall be confined solely to whether or 
not the registrant has complied with the specific data requirements 
which provide the basis for the proposed disqualification. If an 
informal hearing is held, the designated presiding officer may be any 
EPA employee, the hearing procedures shall be informal, and the hearing 
shall

[[Page 208]]

not be subject to or governed by 40 CFR part 22 or by 5 U.S.C. 554, 556, 
or 557. A verbatim transcript of each informal hearing shall be kept and 
the Administrator shall consider all relevant evidence and arguments 
presented at the hearing in making a final decision concerning a 
proposed cancellation.
    (5) If a registrant who has received a notice of intent to 
disqualify submits a timely written response, and the Administrator 
decides after reviewing the response and the transcript of any informal 
hearing to disqualify the detergent for use in complying with the 
requirements of this subpart, the Administrator shall issue a final 
disqualification order, forward a copy of the disqualification order to 
the registrant by certified mail, and promptly publish the 
disqualification order in the Federal Register. Any disqualification 
order issued after receipt of a timely written response by the 
registrant shall become legally effective five days after it is 
published in the Federal Register.
    (6) Upon making a final decision to disqualify a detergent additive 
package pursuant to this paragraph (g), EPA shall inform all fuel 
manufacturers and secondary additive manufacturers whose product 
registrations report the potential use of the disqualified detergent 
that such detergent is no longer eligible for compliance with the 
requirements of this subpart. Such fuel manufacturers and secondary 
additive manufacturers shall have 45 days in which to stop using the 
ineligible detergent additive package and substitute an eligible 
detergent additive. When applicable, EPA shall also notify such parties 
that the detergent registration had been created by fraud or other 
misconduct, pursuant to paragraph (g)(2) of this section.

[59 FR 54706, Nov. 1, 1994, as amended at 61 FR 35356, July 5, 1996; 61 
FR 58747, Nov. 18, 1996]



Sec. Sec.  80.142-80.154  [Reserved]



Sec.  80.155  Interim detergent program controls and prohibitions.

    (a)(1) No person shall sell, offer for sale, dispense, supply, offer 
for supply, transport, or cause the transportation of gasoline to the 
ultimate consumer for use in motor vehicles or in any off-road engines 
(except as provided in Sec.  80.160), or to a gasoline retailer or 
wholesale purchaser-consumer, and no person shall detergent-additize 
gasoline, unless such gasoline is additized in conformity with the 
requirements of Sec.  80.141. No person shall cause the presence of any 
gasoline in the gasoline distribution system unless such gasoline is 
additized in conformity with the requirements of Sec.  80.141.
    (2) Gasoline has been additized in conformity with the requirements 
of Sec.  80.141 when the detergent component satisfies the requirements 
of Sec.  80.141 and when:
    (i) The gasoline has been additized in conformity with the detergent 
composition and purpose-in-use specifications of an applicable detergent 
registered under 40 CFR part 79, and in accordance with at least the 
minimum concentration specifications of that detergent as registered 
under 40 CFR part 79 or as otherwise provided under Sec.  80.141(d); or
    (ii) The gasoline is composed of two or more commingled gasolines 
and each component gasoline has been additized in conformity with the 
detergent composition and purpose-in-use specifications of a detergent 
registered under 40 CFR part 79, and in accordance with at least the 
minimum concentration specifications of that detergent as registered 
under 40 CFR part 79 or as otherwise provided under Sec.  80.141(d); or
    (iii) The gasoline is composed of a gasoline commingled with a post-
refinery component (PRC), and both of these components have been 
additized in conformity with the detergent composition and use 
specifications of a detergent registered under 40 CFR part 79, and in 
accordance with at least the minimum concentration specifications of 
that detergent as registered under 40 CFR part 79 or as otherwise 
provided under Sec.  80.141(d).
    (b) No person shall blend detergent into gasoline or PRC unless such 
person complies with the volumetric additive reconciliation requirements 
of Sec.  80.157.
    (c) No person shall sell, offer for sale, dispense, supply, offer 
for supply, store,

[[Page 209]]

transport, or cause the transportation of any gasoline, detergent, or 
detergent-additized PRC unless the product transfer document for the 
gasoline, detergent or detergent-additized PRC complies with the 
requirements of Sec.  80.158.
    (d) No person shall refine, import, manufacture, sell, offer for 
sale, dispense, supply, offer for supply, store, transport, or cause the 
transportation of any detergent that is to be used as a component of 
detergent-additized gasoline or detergent-additized PRC, unless such 
detergent conforms with the composition specifications of a detergent 
registered under 40 CFR part 79 and the detergent otherwise complies 
with the requirements of Sec.  80.141. No person shall cause the 
presence of any detergent in the detergent, PRC, or gasoline 
distribution systems unless such detergent complies with the 
requirements of Sec.  80.141.
    (e)(1) No person shall sell, offer for sale, dispense, supply, offer 
for supply, transport, or cause the transportation of detergent-
additized PRC, unless the PRC has been additized in conformity with the 
requirements of Sec.  80.141. No person shall cause the presence in the 
PRC or gasoline distribution systems of any detergent-additized PRC that 
fails to conform to the requirements of Sec.  80.141.
    (2) PRC has been additized in conformity with the requirements of 
Sec.  80.141 when the detergent component satisfies the requirements of 
Sec.  80.141 and:
    (i) The PRC has been additized in accordance with the detergent 
composition and use specifications of a detergent registered under 40 
CFR part 79, and in accordance with at least the minimum concentration 
specifications of that detergent as registered under 40 CFR part 79 or 
as otherwise provided under Sec.  80.141(d); or
    (ii) The PRC is composed of two or more commingled PRCs, and each 
component has been additized in accordance with the detergent 
composition and use specifications of a detergent registered under 49 
CFR part 79, and in accordance with at least the minimum concentration 
specifications of that detergent as registered under 40 CFR part 79 or 
as otherwise provided under Sec.  80.141(d).

[61 FR 35358, July 5, 1996]



Sec.  80.156  Liability for violations of the interim detergent 
program controls and prohibitions.

    (a) Persons liable--(1) Gasoline non-conformity. Where gasoline 
contained in any storage tank at any facility owned, leased, operated, 
controlled or supervised by any gasoline refiner, importer, carrier, 
distributor, reseller, retailer, wholesale purchaser-consumer, oxygenate 
blender, or detergent blender, is found in violation of any of the 
prohibitions specified in Sec.  80.155(a), the following persons shall 
be deemed in violation:
    (i) Each gasoline refiner, importer, carrier, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, or detergent 
blender, who owns, leases, operates, controls or supervises the facility 
(including, but not limited to, a truck or individual storage tank) 
where the violation is found;
    (ii) Each gasoline refiner, importer, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, detergent 
manufacturer, distributor, or blender, who refined, imported, 
manufactured, sold, offered for sale, dispensed, supplied, offered for 
supply, stored, detergent additized, transported, or caused the 
transportation of the detergent-additized gasoline (or the base gasoline 
component, the detergent component, or the detergent-additized post-
refinery component of the gasoline) that is in violation, and each such 
party that caused the gasoline that is in violation to be present in the 
gasoline distribution system; and
    (iii) Each gasoline carrier who dispensed, supplied, stored, or 
transported any gasoline in the storage tank containing gasoline found 
to be in violation, and each detergent carrier who dispensed, supplied, 
stored, or transported the detergent component of any post-refinery 
component or gasoline in the storage tank containing gasoline found to 
be in violation, provided that the EPA demonstrates, by reasonably 
specific showings by direct or circumstantial evidence, that the 
gasoline

[[Page 210]]

or detergent carrier caused the violation.
    (2) Post-refinery component non-conformity. Where detergent-
additized PRC contained in any storage tank at any facility owned, 
leased, operated, controlled or supervised by any gasoline refiner, 
importer, carrier, distributor, reseller, retailer, wholesale purchaser-
consumer, oxygenate blender, detergent manufacturer, carrier, 
distributor, or blender, is found in violation of the prohibitions 
specified in Sec.  80.155(e), the following persons shall be deemed in 
violation:
    (i) Each gasoline refiner, importer, carrier, distributor, reseller, 
retailer, wholesale-purchaser consumer, oxygenate blender, detergent 
manufacturer, carrier, distributor, or blender, who owns, leases, 
operates, controls or supervises the facility (including, but not 
limited to, a truck or individual storage tank) where the violation is 
found;
    (ii) Each gasoline refiner, importer, distributor, reseller, 
retailer, wholesale-purchaser consumer, oxygenate blender, detergent 
manufacturer, distributor, or blender, who sold, offered for sale, 
dispensed, supplied, offered for supply, stored, detergent additized, 
transported, or caused the transportation of the detergent-additized PRC 
(or the detergent component of the PRC) that is in violation, and each 
such party that caused the PRC that is in violation to be present in the 
PRC or gasoline distribution systems; and
    (iii) Each carrier who dispensed, supplied, stored, or transported 
any detergent-additized post-refinery component in the storage tank 
containing post-refinery component in violation, and each detergent 
carrier who dispensed, supplied, stored, or transported the detergent 
component of any detergent-additized post-refinery component which is in 
the storage tank containing detergent-additized post-refinery component 
found to be in violation, provided that the EPA demonstrates by 
reasonably specific showings by direct or circumstantial evidence, that 
the gasoline or detergent carrier caused the violation.
    (3) Detergent non-conformity. Where the detergent (prior to 
additization) contained in any storage tank or container found at any 
facility owned, leased, operated, controlled or supervised by any 
gasoline refiner, importer, carrier, distributor, reseller, retailer, 
wholesale purchaser-consumer, oxygenate blender, detergent manufacturer, 
carrier, distributor, or blender, is found in violation of the 
prohibitions specified in Sec.  80.155(d), the following persons shall 
be deemed in violation:
    (i) Each gasoline refiner, importer, carrier, distributor, reseller, 
retailer, wholesale-purchaser consumer, oxygenate blender, detergent 
manufacturer, carrier, distributor, or blender, who owns, leases, 
operates, controls or supervises the facility (including, but not 
limited to, a truck or individual storage tank) where the violation is 
found;
    (ii) Each gasoline refiner, importer, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, detergent 
manufacturer, distributor, or blender, who sold, offered for sale, 
dispensed, supplied, offered for supply, stored, transported, or caused 
the transportation of the detergent that is in violation, and each such 
party that caused the detergent that is in violation to be present in 
the detergent, gasoline, or PRC distribution systems; and
    (iii) Each gasoline or detergent carrier who dispensed, supplied, 
stored, or transported any detergent which is in the storage tank or 
container containing detergent found to be in violation, providing that 
EPA demonstrates, by reasonably specific showings by direct or 
circumstantial evidence, that the gasoline or detergent carrier caused 
the violation.
    (4) Volumetric additive reconciliation. Where a violation of the 
volumetric additive reconciliation requirements established by Sec.  
80.155(b) has occurred, the following persons shall be deemed in 
violation:
    (i) Each detergent blender who owns, leases, operates, controls or 
supervises the facility (including, but not limited to, a truck or 
individual storage tank) where the violation has occurred; and
    (ii) Each gasoline refiner, importer, carrier, distributor, 
reseller, retailer, wholesale purchaser-consumer, or oxygenate blender, 
and each detergent manufacturer, carrier, distributor, or

[[Page 211]]

blender, who refined, imported, manufactured, sold, offered for sale, 
dispensed, supplied, offered for supply, stored, transported, or caused 
the transportation of the detergent-additized gasoline, the base 
gasoline component, the detergent component, or the detergent-additized 
post-refinery component, of the gasoline that is in violation, provided 
that the EPA demonstrates, by reasonably specific showings by direct or 
circumstantial evidence, that such person caused the violation.
    (5) Product transfer document. Where a violation of Sec.  80.155(c) 
is found at a facility owned, leased, operated, controlled, or 
supervised by any gasoline refiner, importer, carrier, distributor, 
reseller, retailer, wholesale purchaser-consumer, oxygenate blender, 
detergent manufacturer, carrier, distributor, or blender, the following 
persons shall be deemed in violation: each gasoline refiner, importer, 
carrier, distributor, reseller, retailer, wholesale-purchaser consumer, 
oxygenate blender, detergent manufacturer, carrier, distributor, or 
blender, who owns, leases, operates, control or supervises the facility 
(including, but not limited to, a truck or individual storage tank) 
where the violation is found.
    (b) Branded refiner vicarious liability. Where any violation of the 
prohibitions specified in Sec.  80.155 has occurred, with the exception 
of violations of Sec.  80.155(c), a refiner will also be deemed liable 
for violations occurring at a facility operating under such refiner's 
corporate, trade, or brand name or that of any of its marketing 
subsidiaries. For purposes of this section, the word facility includes, 
but is not limited to, a truck or individual storage tank.
    (c) Defenses. (1) In any case in which a gasoline refiner, importer, 
distributor, carrier, reseller, retailer, wholesale-purchaser consumer, 
oxygenate blender, detergent distributor, carrier, or blender, is in 
violation of any of the prohibitions of Sec.  80.155, pursuant to 
paragraphs (a) or (b) of this section as applicable, the regulated party 
shall be deemed not in violation if it can demonstrate:
    (i) That the violation was not caused by the regulated party or its 
employee or agent (unless otherwise provided in this paragraph (c));
    (ii) That product transfer documents account for the gasoline, 
detergent, or detergent-additized post-refinery component in violation 
and indicate that the gasoline, detergent, or detergent-additized post-
refinery component satisfied relevant requirements when it left their 
control; and
    (iii) That the party has fulfilled the requirements of paragraphs 
(c) (2) or (3) of this section, as applicable.
    (2) Branded refiner. (i) Where a branded refiner, pursuant to 
paragraph (b) of this section, is in violation of any of the 
prohibitions of Sec.  80.155 as a result of violations occurring at a 
facility (including, but not limited to, a truck or individual storage 
tank) which is operating under the corporate, trade or brand name of a 
refiner or that of any of its marketing subsidiaries, the refiner shall 
be deemed not in violation if it can demonstrate, in addition to the 
defense requirements stated in paragraph (c)(1) of this section, that 
the violation was caused by:
    (A) An act in violation of law (other than these regulations), or an 
act of sabotage or vandalism, whether or not such acts are violations of 
law in the jurisdiction where the violation of the prohibitions of Sec.  
80.155 occurred; or
    (B) The action of any gasoline refiner, importer, reseller, 
distributor, oxygenate blender, detergent manufacturer, distributor, 
blender, or retailer or wholesale purchaser-consumer supplied by any of 
these persons, in violation of a contractual undertaking imposed by the 
refiner designed to prevent such action, and despite the implementation 
of an oversight program, including, but not limited to, periodic review 
of product transfer documents by the refiner to ensure compliance with 
such contractual obligation; or
    (C) The action of any gasoline or detergent carrier, or other 
gasoline or detergent distributor not subject to a contract with the 
refiner but engaged by the refiner for transportation of gasoline, post-
refinery component, or detergent, to a gasoline or detergent 
distributor, oxygenate blender, detergent blender, gasoline retailer or 
wholesale purchaser consumer, despite

[[Page 212]]

specification or inspection of procedures or equipment by the refiner 
which are reasonably calculated to prevent such action.
    (ii) In this paragraph (c)(2), to show that the violation ``was 
caused'' by any of the specified actions, the party must demonstrate by 
reasonably specific showings, by direct or circumstantial evidence, that 
the violation was caused or must have been caused by another.
    (3) Detergent blender. In any case in which a detergent blender is 
liable for violating any of the prohibitions of Sec.  80.155, the 
detergent blender shall not be deemed in violation if it can 
demonstrate, in addition to the defense requirements stated in paragraph 
(c)(1) of this section, the following:
    (i) That it obtained or supplied, as appropriate, prior to the 
detergent blending, accurate written instructions from the detergent 
manufacturer or other party with knowledge of such instructions, 
specifying the detergent's minimum recommended concentration (lowest 
additive concentration) pursuant to Sec.  80.141(c)(3) and, if 
applicable, the limitations of this concentration for use in leaded 
product.
    (ii) That it has implemented a quality assurance program that 
includes, but is not limited to, a periodic review of its supporting 
product transfer and volume measurement documents to confirm the 
correctness of its product transfer and volumetric additive 
reconciliation documents created for all products it additized.
    (4) Detergent manufacturer--(i) Presumptive liability affirmative 
defense. Notwithstanding the provisions of paragraph (c)(1) of this 
section, in any case in which a detergent manufacturer is liable for 
violating any of the prohibitions of Sec.  80.155, the detergent 
manufacturer shall be deemed not in violation if it can demonstrate each 
of the following:
    (A) Product transfer documents which account for the detergent 
component of the product in violation and which indicate that such 
detergent satisfied all relevant requirements when it left the detergent 
manufacturer's control; and
    (B) Written blending instructions which, pursuant to Sec.  
80.141(c)(3)(ii), were supplied by the detergent manufacturer to its 
customer who purchased or obtained from the manufacturer the detergent 
component of the product determined to be in violation. The written 
blending instructions must have been supplied by the manufacturer prior 
to the customer's use or sale of the detergent. The instructions must 
accurately identify the minimum recommended concentration (lowest 
additive concentration) specified in the detergent's 40 CFR part 79 
registration, and must also accurately identify if the detergent, at 
that concentration, is only registered as effective for use in leaded 
gasoline.
    (C) If the detergent batch used in the noncomplying product was 
produced less than one year before the manufacturer was notified by EPA 
of the possible violation, then the manufacturer must provide FTIR or 
other test results for the batch of detergent used in the noncomplying 
product, performed in accordance with the detergent testing procedure 
submitted by the manufacturer, or available for submission, pursuant to 
Sec.  80.141(f).
    (1) The analysis may have been conducted on the subject detergent 
batch at the time it was manufactured, or may be conducted on a sample 
of that batch which the manufacturer retained for such purpose at the 
time the batch was manufactured.
    (2) The test results must accurately establish that, when it left 
the manufacturer's control, the detergent component of the product 
determined to be in violation was in conformity with the chemical 
composition and concentration specifications reported pursuant to Sec.  
80.141(c)(1);
    (D) If the detergent batch used in the noncomplying product was 
produced more than one year prior to the manufacturer's notification by 
EPA of the possible violation, then the manufacturer must provide 
either:
    (1) Test results for the batch in question as specified in the 
paragraph (c)(4)(i)(C) of this section; or
    (2) The following materials:
    (i) Documentation of the measured viscosity, density, and basic 
nitrogen content of the detergent batch in question, or any other such 
physical parameters which the manufacturer normally

[[Page 213]]

uses to ensure production quality control, which establishes conformity 
with the manufacturer's quality control standards for such parameters; 
and
    (ii) If the detergent registration identifies polymeric component(s) 
of the detergent package as the product(s) of other chemical reactants, 
documentation that the reagents used to synthesize the detergent batch 
in question were the same as those specified in the registration and 
that they met the manufacturer's normal acceptance criteria for such 
reagents, reported pursuant to Sec.  80.162(b)(1).
    (ii) Detergent manufacturer causation liability. In any case in 
which a detergent manufacturer is liable for a violation of Sec.  
80.155, and the manufacturer establishes an affirmative defense to such 
liability pursuant to paragraph (c)(4)(i) of this section, the detergent 
manufacturer will nonetheless be deemed liable for the violation of 
Sec.  80.155 if EPA can demonstrate, by reasonably specific showings by 
direct or circumstantial evidence, that the detergent manufacturer 
caused the violation.
    (5) Defense against liability where more than one party may be 
liable for VAR violations. In any case in which a party is presumptively 
or vicariously liable for a violation of Sec.  80.155 due to a failure 
to meet the VAR requirements Sec.  80.157, except for the VAR record 
requirements pursuant to Sec.  80.157(g), such party shall not be deemed 
liable if it can establish the following:
    (i) Prior to the violation it had entered into a written contract 
with another potentially liable detergent blender party (``the assuming 
party''), under which that other party assumed legal responsibility for 
fulfilling the VAR requirement that had been violated;
    (ii) The contract included reasonable oversight provisions to ensure 
that the assuming party fulfilled its VAR responsibilities (including, 
but not limited to, periodic review of VAR records) and the oversight 
provision was actually implemented by the party raising the defense;
    (iii) The assuming party is fiscally sound and able to pay its 
penalty for the VAR violation; and
    (iv) The employees or agents of the party raising the defense did 
not cause the violation.
    (6) Defense to liability for gasoline non-conformity violations 
caused solely by the addition of misadditized ethanol or other PRC to 
the gasoline. In any case in which a party is presumptively or 
vicariously liable for a gasoline non-conformity violation of Sec.  
80.155(a) caused solely by another party's addition of misadditized 
ethanol or other PRC to the gasoline, the former party shall not be 
deemed liable for the violation provided that it can establish that is 
has fulfilled the requirements of paragraphs (c)(1)(i) and (ii) of this 
section.
    (7) Detergent tank transitioning defenses. The commingling of two 
detergents in the same detergent storage tank will not be deemed to 
violate or cause violations of any of the provisions of this subpart, 
provided the following conditions are met:
    (i) The commingling must occur during a legitimate detergent 
transitioning event, i.e., a shift from the use of one detergent to 
another through the delivery of the new detergent into the same tank 
that contains the original detergent; and
    (ii) If the new detergent is restricted to use in leaded gasoline, 
then such restriction must be applied to the combined detergents; and
    (iii) The commingling event must be documented, either on the VAR 
formula record or on attached supporting records; and
    (iv) Notwithstanding any contrary provisions in Sec.  80.157, a VAR 
formula record must be created for the combined detergents. The VAR 
compliance period must begin no later than the time of the commingling 
event. However, at the blender's option, the compliance period may begin 
earlier, thus including use of the uncombined original detergent within 
the same period, provided that the 31-day limitation pursuant to Sec.  
80.157(a)(6) is not exceeded; and
    (v) The VAR formula record must also satisfy the requirements in one 
of the following paragraphs (c)(7)(v)(A) through (C) of this section, 
whichever applies to the commingling event. If neither paragraph 
(c)(7)(v)(A) nor (B) of this section initially applies, then the

[[Page 214]]

blender may drain and subsequently redeliver the original detergent into 
the tank in restricted amounts, in order to meet the conditions of 
paragraph (c)(7)(v)(A) or (B) of this section. Otherwise, the blender 
must comply with paragraph (c)(7)(v)(C) of this section.
    (A) If both detergents have the same LAC, and the original detergent 
accounts for no more than 20 percent of the tank's total delivered 
volume after addition of the new detergent, then the VAR formula record 
is required to identify only the use of the new detergent.
    (B) If the two detergents have different LACs and the original 
detergent accounts for 10 percent or less of the tank's total delivered 
volume after addition of the new detergent, then the VAR formula record 
is required to identify only the use of the new detergent, and must 
attain the LAC of the new detergent. If the original detergent's LAC is 
greater than that of the new detergent, then the compliance period may 
begin earlier than the date of the commingling event (pursuant to 
paragraph (c)(7)(iv) of this section) only if the original detergent 
does not exceed 10 percent of the total detergent used during the 
compliance period.
    (C) If neither of the preceding paragraphs (c)(7)(v)(A) or (B) of 
this section applies, then the VAR formula record must identify both of 
the commingled detergents, and must use and attain the higher LAC of the 
two detergents. Once the commingled detergent has been depleted by an 
amount equal to the volume of the original detergent in the tank at the 
time the new detergent was added, subsequent VAR formula records must 
identify and use the LAC of only the new detergent.
    (8) Defense to liability for noncompliance with leaded-only use 
restrictions. A party shall not be deemed liable for violations of Sec.  
80.155(a) or (e) caused solely by the additization or use of gasoline or 
PRC in violation of leaded-only use restrictions, provided that the 
conditions specified in Sec.  80.169(c)(9) are met.
    (d) Detergent manufacturer causation liability. In any case in which 
a detergent manufacturer is liable for a violation of Sec.  80.155 
pursuant to paragraph (a) of this section, and the manufacturer 
establishes affirmative defense to such liability pursuant to paragraph 
(c) of this section, the detergent manufacturer will be liable for the 
violation of Sec.  80.155 pursuant to this paragraph (d) of this 
section, provided that EPA can demonstrate, by reasonably specific 
showings by direct or circumstantial evidence, that the detergent 
manufacturer caused the violation.

[59 FR 54706, Nov. 1, 1994, as amended at 61 FR 35358, July 5, 1996]



Sec.  80.157  Volumetric additive reconciliation (``VAR''), equipment 
calibration, and recordkeeping requirements.

    This section contains requirements for automated detergent blending 
facilities and hand-blending detergent facilities. All gasolines and all 
PRC intended for use in gasoline must be additized, unless otherwise 
noted in supporting VAR records, and must be accounted for in VAR 
records. The VAR reconciliation standard is attained under this section 
when the actual concentration of detergent used per VAR formula record 
equals or exceeds the lowest additive concentration (LAC) specified for 
that detergent pursuant to Sec.  80.141(c)(3), or, if appropriate, under 
Sec.  80.141(d). A separate VAR formula record must be created for 
leaded gasoline additized with a detergent registered for use only with 
leaded gasoline, or used at a concentration that is registered as 
effective for leaded gasoline only. Detergent so used must be accurately 
and separately measured, either through the use of a separate storage 
tank, a separate meter, or some other measurement system that is able to 
accurately distinguish its use. Recorded volumes of gasoline, detergent, 
and PRC must be expressed to the nearest gallon (or smaller units), 
except that detergent volumes of five gallons or less must be expressed 
to the nearest tenth of a gallon (or smaller units). However, if the 
blender's equipment cannot accurately measure to the nearest tenth of a 
gallon, then such volumes must be rounded downward to the next lower 
gallon. PRC included in the reconciliation must be identified. Each VAR 
formula record must also contain the following information:

[[Page 215]]

    (a) Automated blending facilities. In the case of an automated 
detergent blending facility, for each VAR period, for each detergent 
storage system and each detergent in that storage system, the following 
must be recorded:
    (1) The manufacturer and commercial identifying name of the 
detergent additive package being reconciled, and the LAC specified in 
the detergent registration for use with the applicable type of gasoline 
(i.e., unleaded or leaded). The LAC must be expressed in terms of 
gallons of detergent per thousand gallons of gasoline or PRC, and 
expressed to four digits. If the specified LAC is only effective for use 
with leaded gasoline, the record must so indicate. If the detergent 
storage system which is the subject of the VAR formula record is a 
proprietary system under the control of a customer, this fact must be 
indicated on the record.
    (2) The total volume of detergent blended into gasoline and PRC, in 
accordance with one of the following paragraphs, as applicable.
    (i) For a facility which uses in-line meters to measure detergent 
usage, the total volume of detergent measured, together with supporting 
data which includes one of the following: the beginning and ending meter 
readings for each meter being measured, the metered batch volume 
measurements for each meter being measured, or other comparable metered 
measurements. The supporting data may be supplied on the VAR formula 
record or in the form of computer printouts or other comparable VAR 
supporting documentation.
    (ii) For a facility which uses a gauge to measure the inventory of 
the detergent storage tank, the total volume of detergent shall be 
calculated from the following equation:

Detergent Volume = (A) - (B) + (C) - (D)

where:

A = Initial detergent inventory of the tank
B = Final detergent inventory of the tank
C = Sum of any additions to detergent inventory
D = Sum of any withdrawals from detergent inventory for purposes other 
          than the additization of gasoline or PRC.


The value of each variable in this equation must be separately recorded 
on the VAR formula record. In addition, a list of each detergent 
addition included in variable C and a list of each detergent withdrawal 
included in variable D must be provided, either on the formula record or 
as VAR supporting documentation.
    (3) The total volume of gasoline plus PRC to which detergent has 
been added, together with supporting data which includes one of the 
following: The beginning and ending meter measurements for each meter 
being measured, the metered batch volume measurements for each meter 
being measured, or other comparable metered measurements. The supporting 
data may be supplied on the VAR formula record or in the form of 
computer printouts or other comparable VAR supporting documentation. If 
gasoline has intentionally been overadditized in anticipation of the 
later addition of unadditized PRC, then the total volume of gasoline 
plus PRC recorded must include the expected amount of unadditized PRC to 
be added later. In addition, the amount of gasoline which was 
overadditized for this purpose must be specified.
    (4) The actual detergent concentration, calculated as the total 
volume of detergent added (pursuant to paragraph (a)(2) of this 
section), divided by the total volume of gasoline plus PRC (pursuant to 
paragraph (a)(3) of this section). The concentration must be calculated 
and recorded to four digits.
    (5) A list of each detergent concentration rate initially set for 
the detergent that is the subject of the VAR record, together with the 
date and description of each adjustment to any initially set 
concentration. The concentration adjustment information may be supplied 
on the VAR formula record or in the form of computer printouts or other 
comparable VAR supporting documentation. No concentration setting is 
permitted below the applicable LAC, except as may be modified pursuant 
to Sec.  80.141(d) or as described in paragraph (a)(7) of this section.
    (6) The dates of the VAR period, which shall be no longer than 
thirty-

[[Page 216]]

one days. If the VAR period is contemporaneous with a calendar month, 
then specifying the month will fulfill this requirement; if not, then 
the beginning and ending dates and times of the VAR period must be 
listed. The times may be supplied on the VAR formula record or in 
supporting documentation. Any adjustment to any detergent concentration 
rate more than 10 percent over the concentration rate initially set in 
the VAR period shall terminate that VAR period and initiate a new VAR 
period, except as provided in paragraph (a)(7) of this section.
    (7) The concentration setting for a detergent injector may be set 
below the applicable LAC, or it may be adjusted more than 10 percent 
above the concentration initially set in the VAR period without 
terminating that VAR period, provided that:
    (i) The purpose of the change is to correct a batch misadditization 
prior to the end of the VAR period and prior to the transfer of the 
batch to another party, or to correct an equipment malfunction; and
    (ii) The concentration is immediately returned after the correction 
to a concentration that fulfills the requirements of paragraphs (a)(5) 
and (6) of this section; and
    (iii) The blender creates and maintains documentation establishing 
the date and adjustments of the correction; and
    (iv) If the correction is initiated only to rectify an equipment 
malfunction, and the amount of detergent used in this procedure is not 
added to gasoline in the compliance period, then this amount is 
subtracted from the detergent volume listed on the VAR formula record.
    (8) If unadditized gasoline has been transferred from the facility, 
other than bulk transfers from refineries or pipelines to non-retail 
outlets or non-WPC facilities, the total amount of such gasoline must be 
specified.
    (b) Non-automated facilities. In the case of a facility in which 
hand blending or any other non-automated method is used to blend 
detergent, for each detergent and for each batch of gasoline and each 
batch of PRC to which the detergent is being added, the following shall 
be recorded:
    (1) The manufacturer and commercial identifying name of the 
detergent additive package being reconciled, and the LAC specified in 
the detergent registration for use with the applicable type of gasoline 
(i.e., unleaded or leaded). The LAC must be expressed in terms of 
gallons of detergent per thousand gallons of gasoline or PRC, and 
expressed to four digits. If the specified LAC is only effective for use 
with leaded gasoline, the record must so indicate.
    (2) The date of the additization that is the subject of the VAR 
formula record.
    (3) The volume of added detergent.
    (4) The volume of the gasoline and/or PRC to which the detergent has 
been added. If gasoline has intentionally been overadditized in 
anticipation of the later addition of unadditized PRC, then the total 
volume of gasoline plus PRC recorded must include the expected amount of 
unadditized PRC to be added later. In addition, the amount of gasoline 
which was overadditized for this purpose must be specified.
    (5) The brand (if known), grade, and leaded/unleaded status of 
gasoline, and/or the type of PRC.
    (6) The actual detergent concentration, calculated as the volume of 
added detergent (pursuant to paragraph (b)(3) of this section), divided 
by the volume of gasoline and/or PRC (pursuant to paragraph (b)(4) of 
this section). The concentration must be calculated and recorded to four 
digits.
    (c) Every VAR formula record created pursuant to paragraphs (a) and 
(b) of this section shall contain the following:
    (1) The signature of the creator of the VAR record;
    (2) The date of the creation of the VAR record; and
    (3) A certification of correctness by the creator of the VAR record.
    (d) Electronically-generated VAR formula and supporting records. (1) 
Electronically-generated records are acceptable for VAR formula records 
and supporting documentation (including PTDs), provided that they are 
complete, accessible, and easily readable. VAR formula records must also 
be stored with access and audit security,

[[Page 217]]

which must restrict to a limited number of specified people those who 
have the ability to alter or delete the records. In addition, parties 
maintaining records electronically must make available for EPA use the 
hardware and software necessary to review the records.
    (2) Electronically-generated VAR formula records may use an 
electronic user identification code to satisfy the signature 
requirements of paragraph (c)(1) of this section, provided that:
    (i) The use of the ID is limited to the record creator; and
    (ii) A paper record is maintained, which is signed and dated by the 
VAR formula record creator, acknowledging that the use of that 
particular user ID on a VAR formula record is equivalent to his/her 
signature on the document.
    (e) Automated detergent blenders must calibrate their detergent 
equipment once in each calendar half year, with the acceptable 
calibrations being no less than one hundred twenty days apart. Equipment 
recalibration is also required each time the detergent package is 
changed, unless written documentation indicates that the new detergent 
package has the same viscosity as the previous detergent package. 
Detergent package change calibrations may be used to satisfy the 
semiannual requirement provided that the calibrations occur in the 
appropriate half calendar year and are no less than one hundred twenty 
days apart.
    (f) The following VAR supporting documentation must also be created 
and maintained:
    (1) For all automated detergent blending facilities, documentation 
reflecting performance of the calibrations required by paragraph (e) of 
this section, and any associated adjustments of the automated detergent 
equipment;
    (2) For all hand-blending facilities which are terminals, a record 
specifying, for each calendar month, the total volume in gallons of 
transfers from the facility of unadditized base gasoline;
    (3) For all detergent blending facilities, product transfer 
documents for all gasoline, detergent and detergent-additized PRC 
transferred into or out of the facility; in addition, bills of lading, 
transfer, or sale for all unadditized PRC transferred into the facility;
    (4) For all automated detergent blending facilities, documentation 
establishing the brands (if known) and grades of the gasoline which is 
the subject of the VAR formula record;
    (5) For all hand blending detergent blenders, the documentation, if 
in the party's possession, supporting the volumes of gasoline, PRC, and 
detergent reported on the VAR formula record; and
    (6) For all detergent blending facilities, documentation 
establishing the curing of a batch or amount of misadditized gasoline or 
PRC, or the curing of a use restriction on the additized gasoline or 
PRC, and providing at least the following information: the date of the 
curing procedure; the problem that was corrected; the amount, name, and 
LAC of the original detergent used; the amount, name, and LAC of the 
added curing detergent; and the actual detergent concentration attained 
in, and the volume of, the total cured product.
    (g) Document retention and availability. All detergent blenders 
shall retain the documents required under this section for a period of 
five years from the date the VAR formula records and supporting 
documentation were created, and shall deliver them upon request to the 
EPA Administrator or the Administrator's authorized representative.
    (1) Except as provided in paragraph (g)(3) of this section, 
automated detergent blender facilities and hand-blender facilities which 
are terminals, which physically blend detergent into gasoline, must make 
immediately available to EPA, upon request, the preceding twelve months 
of VAR formula records plus the preceding two months of VAR supporting 
documentation.
    (2) Except as provided in paragraph (g)(3) of this section, other 
hand-blending detergent facilities which physically blend detergent into 
gasoline must make immediately available to EPA, upon request, the 
preceding two months of VAR formula records and VAR supporting 
documentation.
    (3) Facilities which have centrally maintained records at other 
locations, or have customers who maintain their

[[Page 218]]

own records at other locations for their proprietary detergent systems, 
and which can document this fact to the Agency, may have until the start 
of the next business day after the request to supply VAR supporting 
documentation, or longer if approved by the Agency.
    (4) In this paragraph (g) of this section, the term immediately 
available means that the records must be provided, electronically or 
otherwise, within approximately one hour of EPA's request, or within a 
longer time frame as approved by EPA.

[59 FR 54706, Nov. 1, 1994, as amended at 61 FR 35360, July 5, 1996]



Sec.  80.158  Product transfer documents (PTDs).

    (a) Contents. For each occasion when any gasoline refiner, importer, 
reseller, distributor, carrier, retailer, wholesale purchaser-consumer, 
oxygenate blender, detergent manufacturer, distributor, carrier, or 
blender, transfers custody or title to any gasoline, detergent, or 
detergent-additized PRC other than when detergent-additized gasoline is 
sold or dispensed at a retail outlet or wholesale purchaser-consumer 
facility to the ultimate consumer, the transferor shall provide to the 
transferee, and the transferee shall acquire from the transferor, 
documents which accurately include the following information:
    (1) The names and addresses of the transferee and transferor; the 
address requirement may be fulfilled, in the alternative, through 
separate documentation which establishes said addresses and is 
maintained by the parties and made available to EPA for the same length 
of time as required for the PTDs, provided that the normal business 
procedure of these parties is not to identify addresses on PTDs.
    (2) The date of the transfer.
    (3) The volume of product transferred.
    (4)(i) The identity of the product being transferred (i.e., its 
identity as base gasoline, detergent, detergent-additized gasoline, or 
specified detergent-additized oxygenate or detergent-additized gasoline 
blending stock that comprises a detergent-additized PRC). PTDs for 
detergent-additized gasoline or PRC are not required to identify the 
particular detergent used to additize the product.
    (ii) If the product being transferred consists of two or more 
different types of product subject to this regulation, i.e., base 
gasoline, detergent-additized gasoline, or specified detergent-additized 
PRC, then the PTD for the commingled product must identify each such 
type of component contained in the commingled product.
    (5) If the product being transferred is base gasoline, then in 
addition to the base gasoline identification, the following warning must 
be stated on the PTD: ``Not for sale to the ultimate consumer''. If, 
pursuant to Sec.  80.160(a), the product being transferred is exempt 
base gasoline to be used for research, development, or test purposes 
only, the following warning must also be stated on the PTD: ``For use in 
research, development, and test programs only.''
    (6) The name of the detergent additive as reported in its 
registration must be used to identify the detergent package on its PTD.
    (7) If the product being transferred is leaded gasoline, then the 
PTD must disclose that the product contains lead and/or phosphorous, as 
applicable.
    (8) If the product being transferred is detergent that is only 
authorized for the control of carburetor deposits, then the following 
must be stated on the detergent's transfer document: ``For use with 
leaded gasoline only.''
    (9) If the product being transferred is detergent-additized gasoline 
that has been overadditized in anticipation of the later (or earlier) 
addition of PRC, then the PTD must include a statement that the product 
has been overadditized to account for a specified volume in gallons, or 
a specified percentage of the product's total volume, of additional, 
specified PRC.
    (b) Gasoline may not be additized with a detergent authorized only 
for the control of carburetor deposits and whose product transfer 
document states ``For use with leaded gasoline only'', and gasoline may 
not be additized at the lower concentration specified for a detergent 
authorized at a lower concentration for the control of carburetor 
deposits only, unless the

[[Page 219]]

product transfer document for the gasoline to be additized identifies it 
as leaded gasoline.
    (c) Use of product codes and other non-regulatory language. (1) 
Product codes and other non-regulatory language may not be used as a 
substitute for the specified PTD warning language specified in paragraph 
(a)(6) of this section for base gasoline, except that:
    (i) The specified warning language may be omitted for bulk transfers 
of base gasoline from a refinery to a pipeline if there is a prior 
written agreement between the parties specifying that all such gasoline 
is unadditized and will not be transferred to the ultimate consumer;
    (ii) Product codes may be used as a substitute for the specified 
warning language provided that the PTD is an electronic data interchange 
(EDI) document being used solely for the transfer of title to the base 
gasoline, and provided that the product codes otherwise comply with the 
requirements of this section.
    (2) Product codes and other language not specified in this section 
may otherwise be used to comply with PTD information requirements, 
provided that they are clear, accurate, and not misleading.
    (3) If product codes are used, they must be standardized throughout 
the distribution system in which they are used, and downstream parties 
must be informed of their full meaning.
    (d) PTD exemption for small transfers of additized gasoline. 
Transfers of additized gasoline are exempt from the PTD requirements of 
this section provided all the following conditions are followed:
    (1) The product is being transferred by a distributor who is not the 
product's detergent blender; and
    (2) The recipient is a wholesale purchaser-consumer (WPC) or other 
ultimate consumer of gasoline, for its own use only or for that of its 
agents or employees; and
    (3) The volume of additized gasoline being transferred is not 
greater than 550 gallons.
    (e) Recordkeeping period. Any person creating, providing or 
acquiring product transfer documentation for gasoline, detergent, or 
detergent-additized PRC, except as provided in paragraph (d) of this 
section, shall retain the documents required by this section for a 
period of five years from the date the product transfer documentation 
was created, received or transferred, as applicable, and shall deliver 
such documents to EPA upon request. WPCs are not required to retain PTDs 
of additized gasoline received by them.

[61 FR 35362, July 5, 1996, as amended at 62 FR 60001, Nov. 6, 1997]



Sec.  80.159  Penalties.

    (a) General. Any person who violates any prohibition or affirmative 
requirement of Sec.  80.155 shall be liable to the United States for a 
civil penalty of not more than the sum of $25,000 for every day of such 
violation and the amount of economic benefit or savings resulting from 
the violation.
    (b) Gasoline non-conformity. Any violation of Sec.  80.155(a) shall 
constitute a separate day of violation for each and every day the 
gasoline in violation remains at any place in the gasoline distribution 
system, beginning on the day that the gasoline is in violation of the 
respective prohibition and ending on the last day that such gasoline is 
offered for sale or is dispensed to any ultimate consumer.
    (c) Detergent non-conformity. Any violation of Sec.  80.155(d) shall 
constitute a separate day of violation for each and every day the 
detergent in violation remains at any place in the gasoline or detergent 
distribution system, beginning on the day that the detergent is in 
violation of the prohibition and ending on the last day that detergent-
additized gasoline, containing the subject detergent as a component 
thereof, is offered for sale or is dispensed to any ultimate consumer.
    (d) Post-refinery component non-conformity. Any violation of Sec.  
80.155(e) shall constitute a separate day of violation for each and 
every day the post-refinery component in violation remains at any place 
in the post-refinery component or gasoline distribution system, 
beginning on the day that the post-refinery component is in violation of 
the respective prohibition and ending on the last day that detergent-
additized gasoline containing the post-refinery

[[Page 220]]

component is offered for sale or is dispensed to any ultimate consumer.
    (e) Product transfer document non-conformity. Any violation of Sec.  
80.155(c) shall constitute a separate day of violation for every day the 
product transfer document is not fully in compliance. This is to begin 
on the day that the product transfer document is created or should have 
been created and to end at the later of the following dates: Either the 
day that the document is corrected and comes into compliance, or the day 
that gasoline not additized in conformity with interim detergent program 
requirements, as a result of the product transfer document non-
conformity, is offered for sale or is dispensed to the ultimate 
consumer.
    (f) Volumetric additive reconciliation (VAR) record keeping non-
conformity. Any VAR recordkeeping violation of Sec.  80.155(b) shall 
constitute a separate day of violation for every day that VAR 
recordkeeping is not fully in compliance. Each element of the VAR record 
keeping program that is not in compliance shall constitute a separate 
violation for purposes of this section.
    (g) Volumetric additive reconciliation (VAR) compliance standard 
non-conformity. Any violation of the VAR compliance standard established 
in Sec.  80.157 shall constitute a separate day of violation for each 
and every day of the VAR compliance period in which the standard was 
violated.
    (h) Volumetric additive reconciliation (VAR) equipment calibration 
non-conformity. Any VAR equipment calibration violation of Sec.  
80.155(b) shall constitute a separate day of violation for every day a 
VAR equipment calibration requirement is not met.



Sec.  80.160  Exemptions.

    (a) Research, development, and testing exemptions. Any detergent 
that is either in a research, development, or test status, or is sold to 
petroleum, automobile, engine, or component manufacturers for research, 
development, or test purposes, or any gasoline to be used by, or under 
the control of, petroleum, additive, automobile, engine, or component 
manufacturers for research, development, or test purposes, is exempted 
from the provisions of the interim detergent program, provided that:
    (1) The detergent (or fuel containing the detergent), or the 
gasoline, is kept segregated from non-exempt product, and the party 
possessing the product maintains documentation identifying the product 
as research, development, or testing detergent or fuel, as applicable, 
and stating that it is to be used only for research, development, or 
testing purposes; and
    (2) The detergent (or fuel containing the detergent), or the 
gasoline, is not sold, dispensed, or transferred, or offered for sale, 
dispensing, or transfer from a retail outlet. It shall also not be sold, 
dispensed, or transferred, or offered for sale, dispensing, or transfer 
from a wholesale purchaser-consumer facility, unless such facility is 
associated with detergent, fuel, automotive, or engine research, 
development or testing; and
    (3) The party using the product for research, development, or 
testing purposes, or the party sponsoring this usage, notifies the EPA, 
on at least an annual basis and prior to the use of the product, of the 
purpose(s) of the program(s) in which the product will be used and the 
anticipated volume of the product to be used. The information must be 
submitted to the address or fax number provided in Sec.  80.174(c).
    (b) Racing fuel and aviation fuel exemptions. Any fuel that is 
refined, sold, dispensed, transferred, or offered for sale, dispensing, 
or transfer as automotive racing fuel or as aircraft engine fuel, is 
exempted from the provisions of this subpart, provided that:
    (1) The fuel is kept segregated from non-exempt fuel, and the party 
possessing the fuel for the purposes of refining, selling, dispensing, 
transferring, or offering for sale, dispensing, or transfer as 
automotive racing fuel or as aircraft engine fuel, maintains 
documentation identifying the product as racing fuel, restricted for 
non-highway use in racing motor vehicles, or as aviation fuel, 
restricted for use in aircraft, as applicable;
    (2) Each pump stand at a regulated party's facility, from which such 
fuel is

[[Page 221]]

dispensed, is labeled with the applicable fuel identification and use 
restrictions described in paragraph (b)(1) of this section; and
    (3) The fuel is not sold, dispensed, transferred, or offered for 
sale, dispensing, or transfer for highway use in a motor vehicle.
    (c) California gasoline exemptions. (1) Gasoline or PRC which is 
additized in the State of California is exempt from the VAR provisions 
in Sec. Sec.  80.155(b) and (e) and 80.157, provided that:
    (i) For all such gasoline or PRC, whether intended for sale within 
or outside of California, records of the type required for California 
gasoline (specified in title 13, California Code of Regulations, section 
2257) are maintained; and
    (ii) Such records, with the exception of daily additization records, 
are maintained for a period of five years from the date they were 
created and are delivered to EPA upon request.
    (2) Gasoline or PRC that is transferred and/or sold solely within 
the State of California is exempt from the PTD provisions of the interim 
detergent program, specified in Sec. Sec.  80.155(c) and 80.158.
    (3) Nothing in this paragraph (c) exempts such gasoline or PRC from 
the requirements of Sec.  80.155(a) and (e), as applicable. EPA will 
base its determination of California gasoline's conformity with the 
detergent's LAC on the additization records required by CARB, or records 
of the same type.

[61 FR 35363, July 5, 1996]



Sec.  80.161  Detergent additive certification program.

    (a) Effective dates and applicability of requirements. (1) As of 
July 1, 1997:
    (i) Detergent additives for the control of port fuel injector 
deposits (PFID) and/or intake valve deposits (IVD) in gasoline engines 
may not be transferred or sold for use in compliance with this subpart 
unless such additives have been certified according to the requirements 
of this section.
    (ii) Except as provided in Sec.  80.169(c)(8), PFID and IVD control 
additives may not be added to gasoline or post-refinery component (PRC) 
for compliance with this subpart unless such additives have been 
certified according to the requirements of this section.
    (iii) Gasoline may not be sold or transferred to a party who sells 
or transfers gasoline to the ultimate consumer unless such gasoline 
contains detergent additives which have been certified according to the 
requirements of this section.
    (2) Beginning August 1, 1997, all gasoline sold or transferred to 
the ultimate consumer must contain detergent additive(s) which have been 
certified, according to the requirements of this section, to be 
effective for the control of PFID and IVD in gasoline engines.
    (3) Except as specifically exempted in Sec.  80.173, these 
detergency requirements apply to all gasoline, whether intended for on-
highway or nonroad use, including conventional, oxygenated, 
reformulated, and leaded gasolines, as well as the gasoline component in 
mixtures of petroleum and alcohol fuels, gasoline used as marine fuel, 
gasoline service accumulation fuel (as described in Sec.  86.113-
94(a)(1) of this chapter), the gasoline component of fuel mixtures of 
petroleum and methanol used for service accumulation in flexible fuel 
vehicles (as described in Sec.  86.113-94(d) of this chapter), the 
gasoline used for factory fill purposes, and all additized PRC.
    (4) The specific controls and prohibitions applicable to persons 
subject to these regulations are set forth in Sec.  80.168.
    (b) Detergent additive certification requirements. For a detergent 
additive package to be certified as eligible for use by detergent 
blenders in complying with the gasoline detergency requirements of this 
subpart, the requirements listed in this paragraph (b) must be satisfied 
for such detergent. Subject to the provisions of paragraph (e) of this 
section, if the certifier fails to conduct the specified tests or to 
submit the specified materials, or if EPA judges the testing or 
materials to be inadequate, or if the detergent fails EPA confirmatory 
deposit control performance testing pursuant to Sec.  80.167, the 
Administrator may deny or withdraw the detergent's eligibility to be 
used to satisfy the detergency requirements of this subpart.

[[Page 222]]

    (1) The detergent additive manufacturer must properly register the 
detergent additive under 40 CFR part 79. For this purpose:
    (i) The compositional data required under Sec.  79.21(a) of this 
chapter shall include the information specified in Sec.  80.162.
    (ii) The minimum recommended additive concentration required under 
Sec.  79.21(d) of this chapter shall be reported to EPA in units of 
gallons of detergent additive package per 1000 gallons of gasoline or 
PRC, provided to four digits. This concentration is the lowest additive 
concentration (LAC) referred to in Sec.  80.170, and shall be reported 
as follows:
    (A) For a detergent additive registered for use in unleaded 
gasoline, the minimum concentration must be determined and reported for 
each certification option under which the manufacturer wishes to certify 
the additive pursuant to Sec.  80.163.
    (1) In the case of a detergent certified for use in California 
gasoline based on an existing certification granted by the California 
Air Resources Board (CARB), pursuant to Sec.  80.163(d), the minimum 
recommended concentration must equal or exceed the amount specified in 
the CARB certification.
    (2) In the case of the alternative national generic certification 
option pursuant to Sec.  80.163(a)(1)(iii), the minimum recommended 
concentration must equal or exceed the amount mixed into the associated 
test fuel specified in Sec.  80.177, which was shown to satisfy the fuel 
injector deposit control and intake valve deposit control performance 
tests and standards specified in Sec.  80.176.
    (3) In the case of any other detergent certification option, the 
minimum recommended concentration must equal or exceed the amount mixed 
into the associated test fuel specified in Sec.  80.164, which was shown 
to satisfy the fuel injector deposit control and intake valve deposit 
control performance tests and standards specified in Sec.  80.165.
    (B) For a detergent registered for use in leaded gasoline, the 
minimum recommended concentration must be no less than the amount shown 
to be needed for control of carburetor deposits, pursuant to the test 
procedure and test fuel guidelines in Sec.  80.166.
    (C) Once it has been registered by EPA, the minimum recommended 
concentration specified by a detergent manufacturer to detergent 
blenders and other users of the additive, pursuant to paragraph (c) of 
this section, may not be changed without first notifying EPA. Such 
notification should be sent by certified mail to the address specified 
in Sec.  80.174(b). The change in minimum concentration must be 
supported by existing certification data or else the notification to EPA 
must be accompanied by new certification information which demonstrates 
that the modification is consistent with the requirements of paragraphs 
(b)(1)(ii)(A) and (B) of this section.
    (D) A manufacturer may use a single set of certification test data 
to demonstrate the deposit control effectiveness of more than one 
registered detergent additive product, provided that:
    (1) The additive products contain all of the same detergent-active 
components and no detergent-active components other than those contained 
in common; and
    (2) The minimum concentration recommended for the use of each such 
additive product is specified such that, when each additive product is 
mixed in gasoline at the recommended concentration, each of its 
detergent-active components will be present at a final concentration no 
less than the lowest concentration of that component which was present 
when the tested additive product met the PFID and IVD performance 
standards specified in Sec.  80.165.
    (2) The detergent additive manufacturer (or other certifying party) 
must submit to EPA a sample of the actual detergent additive package 
which was used in the certification test fuels specified in Sec.  80.164 
or Sec.  80.177 or, if such sample is not available, then a sample which 
has the same composition as the package used in certification testing.
    (i) The sample volume shall be between 250 ml and 500 ml.
    (ii) The sample shall be packaged in a container which has a 
resealable closure and which will maintain sample integrity for at least 
one year. The container shall be labeled with the name and address of 
the manufacturer and the name of the detergent additive package.

[[Page 223]]

    (iii) Any known shelf life limitations, and any available 
information on optimal temperature, light exposure, or other conditions 
to prolong sample shelf life, shall be provided.
    (iv) If the certifying party wishes to claim that the sample or any 
accompanying documents are entitled to special handling for reasons of 
business confidentiality, the party must clearly identify the sample or 
documents as such. EPA will handle any samples or documents with such 
claims according to the regulations at 40 CFR part 2.
    (v) The sample shall be submitted to EPA, at the address provided in 
Sec.  80.174(a), within seven days of the date on which the 
certification letter for the detergent package is sent to EPA as 
required by paragraph (b)(3) of this section.
    (3) The detergent additive manufacturer (or other certifying party) 
shall submit a certification letter for the detergent additive package 
to the address in Sec.  80.174(b). The party must use certified or 
express mail with return receipt service. The letter shall be signed by 
a person legally authorized to represent the certifying party and shall 
contain the following information:
    (i) Identifying information.
    (A) The name and address of the detergent additive manufacturer.
    (B) In any case where the certifier is not the detergent additive 
manufacturer, such as in the case of a fuel-specific certification 
pursuant to Sec.  80.163(c), the name and address of the certifier.
    (C) The commercial identifying name of the detergent additive 
product as registered under the requirements of Sec.  79.21 of this 
chapter.
    (ii) A statement attesting that:
    (A) The detergent package which is the subject of this certification 
has been tested according to applicable procedural and test fuel 
requirements in this subpart and has met the applicable performance 
standards; and
    (B) The testing was conducted in a manner consistent with good 
engineering practices; and
    (C) Complete documentation of the test fuel formulation, IVD 
demonstration procedures, fuel injector deposit demonstration procedure 
if applicable, detergent performance test procedures, and test results 
are available for EPA's inspection upon request.
    (iii) The name and location of the laboratory(ies) at which the 
certification testing was conducted and the dates during which the 
testing was conducted.
    (iv) For each option under which certification is sought pursuant to 
Sec.  80.163, specifications of the test fuel(s) in which the detergent 
underwent performance testing. These fuel specifications must include:
    (A) The sulfur content in weight percent.
    (B) The T-90 distillation point in degrees Fahrenheit.
    (C) The olefin content in volume percent.
    (D) The aromatic content in volume percent.
    (E) The identity and volume percent of any oxygenate compound.
    (F) The source of the test fuel(s) and/or fuel blend stocks used to 
formulate the test fuel(s).
    (v) In the case of a national or PADD certification (pursuant to 
Sec.  80.163(a)(1) or (b)) for which the test fuel was specially 
formulated from refinery blend stocks, the results of the IVD 
demonstration test, pursuant to Sec.  80.164(b)(3). In the case of an 
alternative national generic certification (pursuant to Sec.  
80.163(a)(1)(iii)), the results of the IVD demonstration test and fuel 
injector deposit demonstration test (pursuant to Sec.  80.177).
    (vi) In the case of a fuel-specific detergent certification, 
pursuant to Sec.  80.163(c), the definition of the segregated gasoline 
pool, including any permitted PRC, for which the certification is 
sought, and the fuel parameter percentile distributions determined for 
the subject gasoline pool, as specified in Sec.  80.164(c). The 
percentile distributions must include all of the fuel parameters listed 
in paragraph (b)(3)(iv) (A) through (D) of this section, along with any 
other fuel parameter(s) which the certifier wishes to use to define the 
certification fuel. As specified in Sec.  80.164(c)(1)(iv), the 
procedures used to measure the additional parameters must be identified, 
as well as the levels of these additional parameters present in the test 
fuel(s).

[[Page 224]]

    (vii) In the case of a certification for California gasoline based 
on an existing certification granted by CARB, pursuant to Sec.  
80.163(d), a copy of the CARB certificate.
    (viii) The test concentration(s) of the subject detergent additive 
in each test fuel, and the corresponding test results (percent flow 
restriction demonstrated in the fuel injector test and milligrams of 
deposit per valve demonstrated in the IVD test).
    (ix) For each option under which certification of the detergent is 
sought, the minimum recommended concentration which the certifying party 
seeks to establish for the detergent additive package, pursuant to 
paragraph (b)(1)(ii) of this section.
    (4) EPA will acknowledge receipt of the detergent certification 
letter. The effective date of certification will be the sooner of 60 
days from the date on which EPA receives the certification letter, or 
the certifier's receipt of EPA's acknowledgement of the certification 
letter. However, neither the passage of 60 days nor EPA's 
acknowledgement will signify acceptance by EPA of the validity of the 
information in the certification letter or the adequacy or potency of 
the detergent sample submitted pursuant to paragraph (b)(2) of this 
section. EPA may elect at any time to review the detergent certification 
data, analyze the submitted detergent additive sample, or subject the 
detergent additive package to confirmatory testing as described in Sec.  
80.167 and, where appropriate, may disqualify a detergent certification 
according to the provisions in paragraph (e) of this section.
    (c) The minimum concentration reported in the detergent registration 
according to the provisions of paragraph (b)(1)(ii) of this section, 
plus any restrictions in use associated with that concentration, must be 
accurately communicated in writing by the additive manufacturer to each 
fuel manufacturer or detergent blender who purchases the subject 
detergent for purpose of compliance with the gasoline detergency 
requirements of this subpart, and to any additive manufacturer who 
purchases the subject additive with the intent of reselling it to a fuel 
manufacturer for this purpose.
    (d) The rate at which a detergent blender treats gasoline with a 
detergent additive package must be no less than the minimum recommended 
concentration reported for the subject detergent additive pursuant to 
paragraph (b)(1)(ii) of this section, except under the following 
conditions:
    (1) If a detergent blender possesses deposit control performance 
test results as specified in Sec.  80.165, Sec.  80.166, or Sec.  80.176 
which show that the minimum treat rate recommended by the manufacturer 
of a detergent additive product exceeds the amount of that detergent 
actually required for effective deposit control, then, upon informing 
EPA in writing of these circumstances, the detergent blender may use the 
detergent at the lower concentration substantiated by these test 
results.
    (2) The notification to EPA must clearly specify the name of the 
detergent product and its manufacturer, the concentration recommended by 
the detergent manufacturer, and the lower concentration which the 
detergent blender intends to use. The notification must also attest that 
the required data are available to substantiate the deposit control 
effectiveness of the detergent at the intended lower concentration. The 
notification must be sent by certified mail to the address specified in 
Sec.  80.174(b).
    (3) At its discretion, EPA may require that the detergent blender 
submit the test data purported to substantiate the claimed effectiveness 
of the lower concentration of the detergent additive. In addition, EPA 
may require the manufacturer of the subject detergent additive to submit 
test data substantiating the minimum recommended concentration specified 
in the detergent additive registration. In either case, EPA will send a 
letter to the appropriate party; the supporting data will be due to EPA 
within 30 days of receipt of EPA's letter.
    (i) If the detergent blender fails to submit the required supporting 
data to EPA in the allotted time period, or if EPA judges the submitted 
data to be inadequate to support the detergent blender's claim that the 
lower concentration provides a level of deposit control consistent with 
the requirements of this section, then EPA will

[[Page 225]]

disapprove the use of the detergent at the lower concentration. Further, 
the detergent blender may be subject to applicable liabilities and 
penalties pursuant to Sec. Sec.  80.169 and 80.172 for any gasoline or 
PRC it has additized at the lower concentration.
    (ii) If the detergent manufacturer fails to submit the required test 
data to EPA within the allotted time period, EPA will proceed on the 
assumption that data are not available to substantiate the minimum 
recommended concentration specified in the detergent registration, and 
the subject additive may be disqualified for use in complying with the 
requirements of this subpart, pursuant to the procedures in paragraph 
(e) of this section. The detergent manufacturer may also be subject to 
applicable liabilities and penalties in Sec. Sec.  80.169 and 80.172.
    (iii) If both parties submit the required information, EPA will 
evaluate the quality and results of both sets of test data, and will 
either approve or disapprove the use of the lower treat rate submitted 
by the detergent blender. EPA will inform both parties of the results of 
its analysis.
    (e) Disqualification of a detergent additive package. (1) When EPA 
makes a preliminary determination that a detergent additive certifier 
has failed to comply with the detergent certification requirements of 
this section, including a failure to submit required materials for a 
detergent additive or submission of materials which EPA deems 
inadequate, or if a detergent additive fails confirmatory testing 
conducted pursuant to Sec.  80.167, EPA shall notify the additive 
certifier by certified mail, return receipt requested, setting forth the 
basis for that determination and informing the certifier that the 
detergent may lose its eligibility to be used to comply with the 
detergency requirements of this section.
    (2) If EPA determines that the detergent certification was created 
by fraud or other misconduct, such as a negligent disregard for the 
truthfulness or accuracy of the required information, the detergent 
certification will be considered void ab initio and the disqualification 
will be retroactive to July 1, 1997 or the date on which the additive 
product was first certified, whichever is later.
    (3) The certifier will be afforded 60 days from the date of receipt 
of the notice of intent of detergent disqualification to submit written 
comments concerning the notice, and to demonstrate or achieve compliance 
with the specific requirements which provide the basis for the proposed 
disqualification. If the certifier does not respond in writing within 60 
days from the date of receipt of the notice of intent of 
disqualification, the detergent disqualification shall become final and 
the Administrator shall notify the certifier of such final 
disqualification order. If the certifier responds in writing within 60 
days from the date of receipt of the notice of intent to disqualify, the 
Administrator shall review and consider all comments submitted by the 
certifier before taking final action concerning the proposed 
disqualification. All correspondence regarding a disqualification must 
be sent to the address provided in Sec.  80.174(b).
    (4) As part of a written response to a notice of intent to 
disqualify, a certifier may request an informal hearing concerning the 
notice. Any such request shall state with specificity the information 
the certifier wishes to present at such a hearing. If an informal 
hearing is requested, EPA shall schedule such a hearing within 90 days 
from the date of receipt of the request. If an informal hearing is held, 
the subject matter of the hearing shall be confined solely to whether or 
not the certifier has complied with the specific requirements which 
provide the basis for the proposed disqualification. If an informal 
hearing is held, the designated presiding officer may be any EPA 
employee, the hearing procedures shall be informal, and the hearing 
shall not be subject to or governed by 40 CFR part 22 or by 5 U.S.C. 
554, 556, or 557. A verbatim transcript of each informal hearing shall 
be kept and the Administrator (or designee) shall consider all relevant 
evidence and arguments presented at the hearing in making a final 
decision concerning a proposed disqualification.
    (5) If a certifier who has received a notice of intent to disqualify 
submits a

[[Page 226]]

timely written response, and the Administrator (or designee) decides 
after reviewing the response and the transcript of any informal hearing 
to disqualify the detergent for use in complying with the requirements 
of this subpart, the Administrator (or designee) shall issue a final 
disqualification order and forward a copy of the disqualification order 
to the certifier by certified mail. Notice of the disqualification order 
will also be published in the Federal Register. The disqualification 
will become effective as of the date on which the copy of the order is 
received by the certifier. If the certifier is also a blender of the 
disqualified additive, then the certifier must stop using the ineligible 
detergent upon receipt of the disqualification order.
    (6) Within 10 days of receipt of EPA's notification of the final 
decision to disqualify a detergent additive package pursuant to this 
paragraph (e), the detergent certifier must submit to EPA, at the 
address specified in Sec.  80.174(b), a list of its customers who use 
the disqualified detergent. Failure to do so may subject the certifier 
to liabilities for violations of Sec.  80.168 that result from the use 
of the uncertified detergent. EPA shall inform the certifier's customers 
by certified mail that the detergent is no longer eligible for 
compliance with the requirements of this subpart. These parties must 
stop using the ineligible detergent additive package and substitute an 
eligible detergent additive within 45 days of receiving the 
notification, or within 45 days of publication of the disqualification 
notice in the Federal Register, whichever occurs sooner.

[61 FR 35364, July 5, 1996, as amended at 61 FR 58747, Nov. 18, 1996; 79 
FR 23648, Apr. 28, 2014]



Sec.  80.162  Additive compositional data.

    For a detergent additive product to be eligible for use by detergent 
blenders in complying with the gasoline detergency requirements of this 
subpart, the compositional data to be supplied to EPA by the additive 
manufacturer for the purpose of registering a detergent additive package 
under Sec.  79.21(a) of this chapter must include the items listed in 
this section. In the case of items requiring measurement or other 
technical analysis, and for which a specific test procedure is not 
stipulated herein, the procedure must conform to reasonable and 
customary standards of repeatability and reproducibility, and reasonable 
and customary limits of detection and accuracy for the type of test 
procedure or analytic procedure in question. At EPA's request, detailed 
documentation of any such test procedure must be submitted within 10 
days of the registrant's receipt of EPA's request.
    (a) A complete listing of the components of the detergent additive 
package and the weight and/or volume percent (as applicable) of each 
component of the package.
    (1) When possible, standard chemical nomenclature shall be used or 
the chemical structure of the component shall be given. Polymeric 
components may be reported as the product of other chemical reactants, 
provided that the supporting data specified in paragraph (b) of this 
section is also reported.
    (2) Each detergent-active component of the package shall be 
classified into one of the following designations:
    (i) Polyalkyl amine;
    (ii) Polyether amine;
    (iii) Polyalkylsuccinimide;
    (iv) Polyalkylaminophenol;
    (v) Detergent-active petroleum-based carrier oil;
    (vi) Detergent-active synthetic carrier oil; and
    (vii) Other detergent-active component (identify category, if 
feasible.)
    (3) Composition variability.
    (i) The composition of a detergent additive reported in a single 
additive registration (and the detergent additive product sold under a 
single additive registration) may not:
    (A) Include detergent-active components which differ in identity 
from those contained in the detergent additive package at the time of 
certification testing; or
    (B) Include a range of concentration for any detergent-active 
component such that, if the component were present in the detergent 
additive package at the lower bound of the reported range, the deposit 
control effectiveness

[[Page 227]]

of the additive package would be reduced as compared with the level of 
effectiveness demonstrated during certification testing. Subject to the 
foregoing constraint, a detergent additive product sold under a 
particular additive registration may contain a higher concentration of 
the detergent-active component(s) than the concentration(s) of such 
component(s) reported in the registration for the additive.
    (ii) The identity or concentration of non-detergent-active 
components of the detergent additive package may vary under a single 
registration provided that such variability does not reduce the deposit 
control effectiveness of the additive package as compared with the level 
of effectiveness demonstrated during certification testing.
    (A) Unless the additive manufacturer (or other certifying party) 
provides EPA with data to substantiate that a carrier oil does not act 
to enhance the detergent additive package's ability to control deposits, 
any carrier oil contained in the detergent additive package, whether 
petroleum-based or synthetic, must be treated as a detergent-active 
component in accordance with the additive compositional reporting 
requirements in Sec.  80.162(a)(2). Such data should be sent by 
certified mail to the address specified in Sec.  80.174(b).
    (B) [Reserved]
    (iii) Except as provided in paragraph (a)(3)(iv) of this section, 
detergent additive packages which do not satisfy the restrictions in 
this paragraph (a)(3) must be separately registered. EPA may disqualify 
an additive for use in satisfying the requirements of this subpart if 
EPA determines that the variability included within a given detergent 
additive registration may reduce the deposit control effectiveness of 
the detergent package such that it may invalidate the minimum 
recommended concentration reported in accordance with the applicable 
requirements of Sec.  80.161(b)(1)(ii).
    (iv) A change in minimum concentration requirements resulting from a 
modification of detergent additive composition shall not require a new 
detergent additive registration or a change in existing registration if:
    (A) The modification is effected by a detergent blender only for its 
own use or for the use of parties which are subsidiaries of, or share 
common ownership with, the blender, and the modified detergent is not 
sold or transferred to other parties; and
    (B) The modification is a dilution of the additive for the purpose 
of ensuring proper detergent flow in cold weather; and
    (C) Gasoline is the only diluting agent used; and
    (D) The diluted detergent is subsequently added to gasoline at a 
rate that attains the detergent's registered minimum recommended 
concentration, taking into account the dilution; and
    (E) EPA is notified, either before or within seven days after the 
dilution action, of the identity of the detergent, the identity of the 
diluting material, the amount or percentage of the dilution, the change 
in treat rate necessitated by the dilution, and the locations and time 
period of diluted detergent usage. The notification shall be sent or 
faxed to the address in Sec.  80.174(c).
    (b) For detergent-active polymers and detergent-active carrier oils 
which are reported as the product of other chemical reactants:
    (1) Identification of the reactant materials and the manufacturer's 
acceptance criteria for determining that these materials are suitable 
for use in synthesizing detergent components. The manufacturer must 
maintain documentation, and submit it to EPA upon request, demonstrating 
that the acceptance criteria reported to EPA are the same criteria which 
the manufacturer specifies to the suppliers of the reactant materials.
    (2) A Gel Permeation Chromatograph (GPC), providing the molecular 
weight distribution of the polymer or detergent-active carrier oil 
components and the concentration of each chromatographic peak 
representing more than one percent of the total mass. For these results 
to be acceptable, the GPC test procedure must include equipment 
calibration with a polystyrene standard or other readily attainable and 
generally accepted calibration standard. The identity of the calibration 
standard must be provided, together with the GPC characterization of the 
standard.

[[Page 228]]

    (c) For non-detergent-active carrier oils, the following parameters:
    (1) T10, T50, and T90 distillation points, and end boiling point, 
measured according to applicable test procedures cited in Sec.  80.46.
    (2) API gravity and viscosity
    (3) Concentration of oxygen, sulfur, and nitrogen, if greater than 
or equal to 0.5 percent (by weight) of the carrier oil
    (d) Description of an FTIR-based method appropriate for identifying 
the detergent additive package and its detergent-active components 
(polymers, carrier oils, and others) both qualitatively and 
quantitatively, together with the actual infrared spectra of the 
detergent additive package and each detergent-active component obtained 
by this test method. The FTIR infrared spectra submitted in connection 
with the registration of a detergent additive package must reflect the 
results of a test conducted on a sample of the additive containing the 
detergent-active component(s) at a concentration no lower than the 
concentration(s) (or the lower bound of a range of concentration) 
reported in the registration pursuant to paragraph (a)(3)(i)(B) of this 
section.
    (e) To provide a basis for establishing an affirmative defense to 
presumptive liability pursuant to Sec.  80.169(c)(4)(i)(D)(2)(i), 
specific physical parameters must be identified which the manufacturer 
considers adequate and appropriate, in combination with other 
information and sampling requirements under this subpart, for 
identifying the detergent additive package and monitoring its production 
quality control.
    (1) Such parameters shall include (but need not be limited to) 
viscosity, density, and basic nitrogen content, unless the additive 
manufacturer specifically requests, and EPA approves, the substitution 
of other parameter(s) which the manufacturer considers to be more 
appropriate for a particular additive package. The request must be made 
in writing and must include an explanation of how the requested physical 
parameter(s) are helpful as indicator(s) of detergent production quality 
control. EPA will respond to such requests in writing; the additional 
parameters are not approved until the certifier receives EPA's written 
approval.
    (2) The manufacturer shall identify a standardized measurement 
method, consistent with the chemical and physical nature of the 
detergent product, which will be used to measure each parameter. The 
documented ASTM repeatability for the method shall also be cited. The 
manufacturer's target value for each parameter in the detergent package, 
and the expected range of production values for each parameter, shall be 
specified.
    (3) EPA will consider the parameter measurements to be an acceptable 
basis for establishing an affirmative defense to presumptive liability, 
if the expected range of variability differs from the target value by an 
amount no greater than five times the standard repeatability of the test 
procedure, or by no more than 10 percent of the target value, whichever 
is less. However, in the case of nitrogen analysis or other procedures 
for measuring concentrations of specific chemical compounds or elements, 
when the target value is less than 10 parts per million, a range of 
variability up to 50 percent of the target value will be considered 
acceptable.
    (4) If a manufacturer wishes to rely on measurement methods or 
production variability ranges which do not conform to the above 
limitations, then the manufacturer must receive prior written approval 
from EPA in order to be assured that any related parameter measurements 
will be considered an acceptable basis for establishing an affirmative 
defense. A request for such allowance must be made in writing. It must 
fully justify the adequacy of the test procedure, explain why a broader 
range of variability is required, and provide evidence that the 
production detergent will perform adequately throughout the requested 
range of variability.

[61 FR 35366, July 5, 1996, as amended at 66 FR 55889, Nov. 5, 2001; 70 
FR 69245, Nov. 14, 2005]

[[Page 229]]



Sec.  80.163  Detergent certification options.

    To be used to satisfy the detergency requirements under Sec.  
80.161(a), a detergent additive must be certified in accordance with the 
requirements of one or more of the options and suboptions described in 
this section. Where a certification option makes an additive eligible 
for use in a particular gasoline, that additive is also eligible for use 
in PRC which will be added to the particular gasoline. Under each 
option, the lowest additive concentration (LAC) or minimum recommended 
concentration registered for a detergent additive package, pursuant to 
Sec.  80.161(b)(1)(ii), must equal or exceed the lowest detergent treat 
rate shown to be needed in the designated test fuel in order to meet the 
deposit control performance requirements specified in Sec.  80.165.
    (a) National certification. A detergent certified under a national 
certification option is eligible for use in gasoline which can be sold 
or dispensed anywhere within the United States or its territories 
(subject to approved State programs).
    (1) National generic certification option. To be certified under 
this option, a candidate detergent must meet the deposit control 
performance test requirements and standards specified in Sec.  80.165 
using test fuels that conform to the requirements in Sec.  80.164(b)(1), 
Table 1, Line 1. A detergent certified under this option is eligible to 
be used at a conforming LAC in any grade of gasoline, with or without an 
oxygenate component.
    (i) National nonoxygenate suboption. The requirements for 
certification under this suboption are the same as those in paragraph 
(a)(1) of this section, except that, pursuant to Sec.  80.164(a)(2)(ii), 
the certification test fuel shall contain no ethanol or other oxygenate. 
A detergent certified under this suboption is eligible to be used at a 
conforming LAC only in gasoline that does not contain an oxygenate 
component.
    (ii) National oxygenate-specific suboption. The requirements for 
certification under this suboption are the same as those in paragraph 
(a)(1) of this section, except that, pursuant to Sec.  
80.164(a)(2)(iii), the certification test fuel shall contain an 
oxygenate compound other than ethanol. A detergent certified under this 
suboption is eligible to be used at a conforming LAC only in gasoline 
that contains no oxygenate component other than the one present in the 
test fuel.
    (iii) Alternative national generic certification option. To be 
certified under this option, a candidate detergent must meet the deposit 
control performance test requirements and standards specified in Sec.  
80.176 using test fuels that conform to the requirements in Sec.  
80.177. A detergent certified under this option is eligible to be used 
at a conforming LAC in any grade of gasoline, with or without an 
oxygenate component.
    (2) National premium certification option. To be certified under 
this option, a candidate detergent must meet the deposit control 
performance test requirements and standards specified in Sec.  80.165 
using test fuels that conform to the requirements in Sec.  80.164(b)(1), 
Table 1, Line 2. A detergent certified under this option is eligible to 
be used at a conforming LAC only in premium grade gasoline, with or 
without an oxygenate component.
    (i) National premium nonoxygenate suboption. The requirements for 
certification under this suboption are the same as those in paragraph 
(a)(2) of this section, except that, pursuant to Sec.  80.164(a)(2)(ii), 
the certification test fuel shall contain no ethanol or other oxygenate. 
A detergent certified under this suboption is eligible to be used at a 
conforming LAC only in premium grade gasoline that does not contain an 
oxygenate component.
    (ii) National premium oxygenate-specific suboption. The requirements 
for certification under this suboption are the same as those in 
paragraph (a)(2) of this section, except that, pursuant to Sec.  
80.164(a)(2)(iii), the certification test fuel shall contain an 
oxygenate compound other than ethanol. A detergent certified under this 
suboption is eligible to be used at a conforming LAC only in gasoline 
that is premium grade and contains no oxygenate component other than the 
one present in the test fuel.

[[Page 230]]

    (b) Petroleum Administrative Defense District (PADD) Certification. 
A detergent certified under a PADD certification option is eligible for 
use in gasoline which can be sold or dispensed to the ultimate 
purchaser, or to those parties who sell or dispense to the ultimate 
consumer, only within the PADD for which the certification was granted. 
The States and jurisdictions included within each PADD are specified in 
Sec.  79.59(b)(3)(i) through (v), except that, for purposes of PADD 
certification, the State of California is excluded from PADD V.
    (1) PADD generic certification option. To be certified under this 
option, a candidate detergent must meet the deposit control performance 
test requirements and standards specified in Sec.  80.165 using test 
fuels that conform to the requirements in Sec.  80.164(b)(1), Table 2, 
for a selected PADD. A detergent certified under this option is eligible 
to be used at a conforming LAC in any grade of gasoline, with or without 
an oxygenate component, provided that the gasoline is ultimately 
dispensed in the selected PADD.
    (i) PADD nonoxygenate suboption. The requirements for certification 
under this suboption are the same as those in paragraph (b)(1) of this 
section, except that, pursuant to Sec.  80.164(a)(2)(ii), the 
certification test fuel shall contain no ethanol or other oxygenate. A 
detergent certified under this suboption is eligible to be used at a 
conforming LAC only in gasoline that is nonoxygenated and is ultimately 
dispensed in the selected PADD.
    (ii) PADD oxygenate-specific suboption. The requirements for 
certification under this suboption are the same as those in paragraph 
(b)(1) of this section, except that, pursuant to Sec.  
80.164(a)(2)(iii), the certification test fuel shall contain an 
oxygenate compound other than ethanol. A detergent certified under this 
suboption is eligible to be used at a conforming LAC only in gasoline 
that contains no oxygenate component other than the one present in the 
test fuel and is ultimately dispensed in the selected PADD.
    (2) PADD premium certification option. To be certified under this 
option, a candidate detergent must meet the deposit control performance 
test requirements and standards specified in Sec.  80.165 using test 
fuels that conform to the requirements in Sec.  80.164(b)(1), Table 2, 
for a selected PADD. A detergent certified under this option is eligible 
to be used at a conforming LAC only in gasoline that is premium grade 
(with or without an oxygenate component) and is ultimately dispensed in 
the selected PADD.
    (i) PADD premium nonoxygenate suboption. The requirements for 
certification under this suboption are the same as those in paragraph 
(b)(2) of this section, except that, pursuant to Sec.  80.164(a)(2)(ii), 
the certification test fuel shall contain no ethanol or other oxygenate. 
A detergent certified under this suboption is eligible to be used at a 
conforming LAC only in gasoline that is premium grade, contains no 
oxygenate component, and is ultimately dispensed in the selected PADD.
    (ii) PADD premium oxygenate-specific suboption. The requirements for 
certification under this suboption are the same as those in paragraph 
(b)(2) of this section, except that, pursuant to Sec.  
80.164(a)(2)(iii), the certification test fuel shall contain an 
oxygenate compound other than ethanol. A detergent certified under this 
suboption is eligible to be used at a conforming LAC only in gasoline 
that is premium grade, contains no oxygenate component other than the 
one present in the test fuel, and is ultimately dispensed in the 
selected PADD.
    (c) Fuel-specific certification. Except as provided in paragraph 
(c)(3) of this section, to be certified under the fuel-specific 
certification option, a candidate detergent must meet the deposit 
control performance test requirements and standards specified in Sec.  
80.165 using test fuels that conform to the requirements of Sec.  
80.164(c).
    (1) A detergent certified under this option is eligible to be used 
at a conforming LAC only in the defined gasoline pool reported in the 
certification letter pursuant to Sec.  80.161(b)(3).
    (i) The gasoline pool may only include gasoline produced or 
distributed from the facilities covered by the fuel survey which was 
used to define the fuel-specific certification test fuels, pursuant to 
Sec.  80.164(c)(1).

[[Page 231]]

    (ii) The gasoline pool must be kept segregated from any other 
gasoline prior to blending with the detergent additive.
    (iii) Depending on the oxygenate components added to the test fuel 
pursuant to Sec.  80.164(a)(2), the gasoline pool may be inclusive of 
all grades and all oxygenate blending characteristics (i.e., generic), 
or may be restricted to non-oxygenated gasoline, or to gasoline 
containing a specific oxygenate compound. The certification may also be 
restricted to premium grade gasoline. Any such use restrictions must be 
specified in the certification letter. Provisions in Sec. Sec.  80.168 
and 80.171(a)(9) through (12) related to such use restrictions also 
apply.
    (2) Detergent certification under this option entails special 
initial and annual reporting requirements, specified under Sec. Sec.  
80.161(b)(3)(vi) and 80.164(c)(3), which necessitate that the 
responsible party have control over and access to the segregated 
gasoline pool for which the detergent is certified. For this reason, the 
certifying party under this option is likely to be (but is not required 
to be) a fuel manufacturer or detergent blender, rather than the 
additive manufacturer.
    (3) If a certifier demonstrates that the required test fuel 
representing a segregated pool of gasoline meets the deposit control 
performance standards specified in Sec.  80.165 in the absence of a 
detergent additive, or using a detergent additive which has only PFID-
control activity, then this gasoline pool (and PFID detergent, if 
applicable) can be certified accordingly under the fuel-specific option.
    (4) Gasoline properly additized with a detergent certified under the 
fuel-specific option may be transferred or sold anywhere within the 
United States and its territories (subject to approved State programs).
    (d) CARB-Based Certification. A valid certification under section 
2257 of Title 13, California Code of Regulations (CARB certification) 
may be the basis for a certification under the following restrictions 
and conditions:
    (1) A detergent certified under this option may be used at the LAC 
specified in the CARB certification only in gasoline that meets the 
requirements of California Phase II reformulated gasoline (pursuant to 
Title 13, Chapter 5, Article 1, Subarticle 2, California Code of 
Regulations, Standards for Gasoline Sold Beginning March 1, 1996). The 
grade(s) of California gasoline which may be so additized, and the 
oxygenate(s) which may be present, are as specified in the CARB 
certification for the detergent in question.
    (2) The gasoline must be either: Additized in California; or sold or 
dispensed to the ultimate consumer in California (or to parties who sell 
or dispense to the ultimate consumer in California); or both additized 
and ultimately dispensed in California.
    (3) A certification under this option will continue to be valid only 
as long as the CARB certification remains valid. The certifier must 
cease selling or using a detergent immediately upon being notified by 
CARB that the CARB certification for this detergent has been 
invalidated, and must notify EPA within 7 days of receipt of this 
notification.

[61 FR 35368, July 5, 1996, as amended at 79 FR 23648, Apr. 28, 2014]



Sec.  80.164  Certification test fuels.

    (a) General requirements. This section provides specifications for 
the test fuels required in conjunction with the certification options 
described in Sec. Sec.  80.163(a)(1) and 80.163(b) through (d). For each 
such certification option, the associated test fuel must meet or exceed 
the levels of four basic fuel parameters (aromatics, fuel sulfur, 
olefins, and T-90) prescribed here and may also contain specified 
oxygenate compounds. In addition, pursuant to paragraph (b)(3) of this 
section, some fuels must undergo an IVD demonstration test before they 
are eligible to be used as test fuels under this certification program. 
Test fuel characteristics must be reported to EPA in the detergent 
certification letter required pursuant to Sec.  80.161(b)(3). The 
specifications for the test fuels required in conjunction with the 
alternative national generic certification option in Sec.  
80.163(a)(1)(iii) are contained in Sec.  80.177.
    (1) Quantitative specifications for the four basic fuel parameters, 
provided in paragraphs (b) and (c) of this section,

[[Page 232]]

refer to the levels of these parameters in the base gasoline prior to 
the addition of any oxygenate. The levels of the basic fuel parameters 
must be measured in accordance with applicable procedures in Sec.  
80.46.
    (2) Oxygenate components of certification test fuels must be of fuel 
grade quality. The type and amount of oxygenate to be blended into the 
test fuel (if any) shall be as follows:
    (i) To certify a detergent for generic use (i.e., for use in 
gasoline containing any oxygenate compound, as well as for use in 
nonoxygenated gasoline), the finished test fuel shall contain ethanol at 
10 volume percent.
    (ii) To certify a detergent specifically for use in nonoxygenated 
gasoline, no oxygenate compounds shall be added to the test fuel.
    (iii) To certify a detergent specifically for use in gasoline 
blended with a specified oxygenate compound other than ethanol, the 
specified oxygenate must be added to the test fuel in an amount such 
that the finished fuel contains the oxygenate at the highest 
concentration at which the specific oxygenate may be used in in-use 
gasoline.
    (3) No detergent-active substance other than the detergent additive 
package undergoing testing may be added to a certification test fuel. 
Typical nondetergent additives, such as antioxidants, corrosion 
inhibitors, and metal deactivators, may be present in the test fuel at 
the discretion of the additive certifier. In addition, any nondetergent 
additives (other than oxygenate compounds) which are commonly blended 
into gasoline and which are known or suspected to affect IVD or PFID 
formation, or to reduce the ability of the detergent in question to 
control such deposits, should be added to the test fuel for 
certification testing.
    (4) Certification test requirements may be satisfied for a detergent 
additive using more than one batch of test fuel, provided that each 
batch satisfies all applicable test fuel requirements under this 
section.
    (5) Unless otherwise required by this section, finished test fuels 
must conform to the requirements for commercial gasoline described in 
ASTM D 4814-95c, ``Standard Specification for Automotive Spark-Ignition 
Engine Fuel'', which is incorporated by reference. This incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at U.S. EPA, OAR, 401 M St., SW., Washington, DC 20460, or at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call 202-741-6030, or go 
to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. Copies of this material 
may be obtained from ASTM, 1916 Race St., Philadelphia, PA 19103.
    (b) National and PADD certification test fuels. (1) Test fuels for 
the national generic and premium certification options must contain 
levels of the designated fuel parameters which meet or exceed the 
applicable values in Table 1. Test fuels for the PADD generic 
certification options must contain levels of the designated fuel 
parameters which meet or exceed the applicable values in Table 2. Test 
fuels for the PADD premium certification options must contain levels of 
the designated fuel parameters which meet or exceed the applicable 
values in Table 3. Oxygenate requirements for the respective 
nonoxygenate and oxygenate-specific suboptions are specified in 
paragraph (a)(2) of this section.

                                   Table 1--National Certification Test Fuels
----------------------------------------------------------------------------------------------------------------
                                                       Required minimum fuel parameter values
                                  ------------------------------------------------------------------------------
       Certification option           Sulfur                   Olefins     Aromatics
                                    (weight %)    T-90 (F)    (volume %)   (volume %)     Oxygenate (volume %)
----------------------------------------------------------------------------------------------------------------
1. National Generic..............        0.034          339         11.4         31.1  10% Ethanol.
2. National Premium..............        0.016          332          6.5         35.9
----------------------------------------------------------------------------------------------------------------


[[Page 233]]


                             Table 2--PADD-Specific Generic Certification Test Fuels
----------------------------------------------------------------------------------------------------------------
                                                       Required minimum fuel parameter values
                                  ------------------------------------------------------------------------------
       Certification option           Sulfur                   Olefins     Aromatics
                                    (weight %)    T-90 (F)    (volume %)   (volume %)     Oxygenate (volume %)
----------------------------------------------------------------------------------------------------------------
PADD 1 Generic...................        0.039          343         15.4         32.1
PADD 2 Generic...................        0.034          338         10.3         29.3
PADD 3 Generic...................        0.032          343         12.9         29.8  10% Ethanol.
PADD 4 Generic...................        0.050          326         10.0         27.1
PADD 5 Generic...................        0.021          337          7.6         34.5
----------------------------------------------------------------------------------------------------------------


                          Table 3--PADD-Specific Premium-Grade Certification Test Fuels
----------------------------------------------------------------------------------------------------------------
                                                       Required minimum fuel parameter values
                                  ------------------------------------------------------------------------------
       Certification option           Sulfur                   Olefins     Aromatics
                                    (weight %)    T-90 (F)    (volume %)   (volume %)     Oxygenate (volume %)
----------------------------------------------------------------------------------------------------------------
PADD 1 Premium...................        0.018          332          9.2         38.6
PADD 2 Premium...................        0.014          333          6.0         34.3
PADD 3 Premium...................        0.015          334          6.0         34.6  10% Ethanol.
PADD 4 Premium...................        0.040          319          6.0         22.3
PADD 5 Premium...................        0.011          332          4.3         36.7
----------------------------------------------------------------------------------------------------------------

    (2) National and PADD certification test fuels must either be 
formulated to specification from normal refinery blend stocks, or drawn 
from finished gasoline supplies. The source of such samples must be 
normally-operating gasoline production or distribution facilities 
located in the U.S. Samples must not be drawn from a segregated gasoline 
pool that is or will be covered by a fuel-specific certification under 
Sec.  80.163(c) on the date when the certification information under 
this option is submitted to EPA.
    (3) To be eligible for use in detergent additive certification 
testing, in addition to the specifications above, national and PADD test 
fuels which are specially formulated from refinery blend stocks must 
themselves undergo testing to demonstrate their deposit-forming 
tendency. For this purpose, the unadditized, nonoxygenated test fuel 
must be subjected to the IVD control test procedure described in Sec.  
80.165(b). At the discretion of the tester, the duration of the 
demonstration test may be less than 10,000 miles, provided the results 
satisfy the standard of this paragraph. In order to qualify for use in 
certification testing, the formulated fuel's test results must meet or 
exceed the values shown in Table 4 for the relevant certification 
option. If the demonstration test results do not meet these criteria, 
then the formulated fuel may not be used for detergent certification 
testing.

                                    Table 4--IVD Demonstration Test Criteria
----------------------------------------------------------------------------------------------------------------
                                    Minimum required deposit level in IVD demonstration test (mg/valve, average)
       Certification option        -----------------------------------------------------------------------------
                                      National      PADD 1       PADD 2       PADD 3       PADD 4       PADD 5
----------------------------------------------------------------------------------------------------------------
Generic...........................          290          290          260          290          260          260
Premium...........................          260          260          235          260          235          235
----------------------------------------------------------------------------------------------------------------

    (c) Fuel-specific certification test fuels. (1) Test fuels required 
for fuel-specific certification must contain levels of each of the four 
basic fuel parameters (aromatics, olefins, T-90, and fuel sulfur) at no 
less than their respective 65th percentile values in the segregated 
gasoline pool for which the detergent certification is sought in 
accordance with Sec.  80.163(c). These values must be determined by the 
certifier as follows:
    (i) At least once monthly for at least one complete year prior to 
the certification, the certifier must measure the levels of the required 
parameters in

[[Page 234]]

representative fuel samples contributed to the segregated gasoline pool 
by each participating refinery, terminal, or other fuel production or 
distribution facility. The fuel parameters must be measured in 
accordance with the test procedures in Sec.  80.46. If the applicability 
of the fuel-specific certification is to be limited to premium gasoline, 
then the required fuel compositional data must be collected only from 
samples of premium gasoline.
    (ii) The fuel composition survey results, weighted according to the 
percentage of gasoline contributed to the segregated gasoline pool from 
each participating facility, shall be used to construct a percentile 
distribution of the measured values for each of the fuel parameters.
    (iii) Data from more than one year may be used to construct the 
required statistical distribution provided that only the total data from 
complete consecutive years is used and that all survey data must have 
been collected within three years of the date the certification 
information is submitted to EPA.
    (iv) At the discretion of the certifier, other fuel parameters may 
be used to define the certification test fuels in addition to the four 
required parameters. To be taken into account by EPA in case of 
confirmatory testing pursuant to Sec.  80.167, such additional 
parameters must be surveyed and analyzed according to the same 
requirements applicable to the four standard parameters. In addition, 
any optional parameters must be measured using test procedures which 
conform to reasonable and customary standards of repeatability and 
reproducibility, and reasonable and customary limits of detection and 
accuracy for the type of test procedure or analytic procedure in 
question.
    (v) Using the percentile distributions calculated from the survey 
data for the four required parameters and any additional discretionary 
parameters, the 65th percentile value for each such parameter shall be 
determined. Prior to the addition of any oxygenate compound, the fuel-
specific certification test fuel shall contain each specified parameter 
at a level or concentration no less than this 65th percentile value. 
Test fuel oxygenate requirements for generic, nonoxygenate, and 
oxygenate-specific certification suboptions are specified in paragraph 
(a)(2) of this section.
    (2) Fuel-specific certification test fuels must either be formulated 
to specification from the same refinery blend stocks which are normally 
used to blend the gasolines included in the subject gasoline pool, or 
drawn from the finished fuel supplies which contribute to this pool of 
gasoline. Fuel-specific certification test fuels need not undergo an IVD 
demonstration test prior to use in certification testing.
    (3) The certifier must submit an annual report to EPA within 30 days 
of the anniversary of the initial certification effective date. Failure 
to submit the annual report by the required date will invalidate the 
fuel-specific certification and may subject the certifier to liability 
and penalties under Sec. Sec.  80.169 and 80.172. The purpose of the 
annual report is to update the information on the composition of the 
segregated gasoline pool that was characterized by the initial fuel 
survey.
    (i) For this purpose, the same fuel survey and statistical analysis 
requirements that were conducted pursuant to paragraphs (c)(1)(i),(ii), 
and (iv) of this section must be repeated, using data for the most 
current twelve-month period from each of the production/distribution 
facilities that contributed to the original fuel survey.
    (ii) The annual report must present the percentile distributions for 
each fuel parameter as determined from the new survey data and, for each 
measured fuel parameter, must compare the newly determined 50th 
percentile value with the 60th percentile value for that parameter as 
determined in the original fuel survey.
    (iii) If the new 50th percentile level for any fuel parameter is 
greater than or equal to the 60th percentile level reported in the 
initial certification, then the fuel-specific certification is no longer 
valid. In such instance, the certifier must immediately discontinue the 
sale and use of the subject detergent under the conditions of the fuel-
specific certification and must immediately notify any downstream 
customers/recipients of the subject detergent that the certification is 
no longer

[[Page 235]]

valid and that their use of the detergent must discontinue within seven 
days. To avoid liability and penalties under Sec. Sec.  80.169 and 
80.172, the certifier must take these remedial steps within 45 days of 
the anniversary of the original fuel-specific certification. Downstream 
customers/recipients must discontinue usage of the detergent within 
seven days of receipt of notification of the detergent's invalidity to 
avoid such liability.
    (4) The fuel composition survey results which support the original 
test fuel specifications and the annual statistical analyses, along with 
related documentation on test methods and statistical procedures, shall 
be retained by the certifier for a period of at least five years, and 
shall be made available to EPA upon request.

[61 FR 35369, July 5, 1996, as amended at 79 FR 23648, Apr. 28, 2014]



Sec.  80.165  Certification test procedures and standards.

    This section specifies the deposit control test requirements and 
performance standards which must be met in order to certify detergent 
additives for use in unleaded gasoline, pursuant to Sec.  
80.161(b)(1)(ii)(A)(3). These standards must be met in the context of 
the specific test procedures identified in paragraphs (a) and (b) of 
this section, except as provided in paragraph (c) of this section. The 
testing must be conducted and the performance standards met when the 
subject detergent additive is mixed in a test fuel meeting all relevant 
requirements of Sec.  80.164, including the deposit-forming tendency 
demonstration specified in Sec.  80.164(b)(3), if applicable. Complete 
test documentation must be submitted by the certifying party within 30 
days of receipt of a written request from EPA for such records. The 
certification test procedures and standards associated with the 
alternative national generic certification option in Sec.  
80.163(a)(1)(iii) are contained in Sec.  80.176.
    (a) Fuel injector deposit control testing. The required test fuel 
must produce no more than 5% flow restriction in any one injector when 
tested in accordance with ASTM D5598. At the option of the certifier, 
fuel injector flow may be measured at intervals during the 10,000 mile 
test cycle described in ASTM D5598, in addition to the flow measurements 
required at the completion of the test cycle, but not more than every 
1,000 miles.
    (b) Intake valve deposit control testing. The required test fuel 
must produce the accumulation of less than 100 mg of intake valve 
deposits on average when tested in accordance with ASTM D5500.
    (c) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D5500-98 (Reapproved 2008), Standard Test Method for 
Vehicle Evaluation of Unleaded Automotive Spark-Ignition Engine Fuel for 
Intake Valve Deposit Formation, approved July 1, 2008.
    (ii) ASTM D5598-01 (Reapproved 2012), Standard Test Method for 
Evaluating

[[Page 236]]

Unleaded Automotive Spark-Ignition Engine Fuel for Electronic Port Fuel 
Injector Fouling, approved November 1, 2012.
    (2) [Reserved]

[79 FR 23649, Apr. 28, 2014]



Sec.  80.166  Carburetor deposit control performance test and test
fuel guidelines.

    EPA will use the guidelines in this section to evaluate the adequacy 
of carburetor deposit control test data, used to support the minimum 
concentration recommended for detergents used in leaded gasoline 
pursuant to Sec.  80.161(b)(1)(ii)(B).
    (a) Carburetor Deposit Control Test Procedure and Performance 
Standard Guidelines. For demonstration of carburetor deposit control 
performance, any generally accepted vehicle, engine, or bench test 
procedure and associated performance standard for carburetor deposit 
control will be considered adequate. Port and throttle body fuel 
injector deposit control test data will also be considered to be 
adequate demonstration of an additive's ability to control carburetor 
deposits. Examples of acceptable test procedures for demonstration of 
carburetor deposit control, in addition to the fuel injector test 
procedure listed in Sec.  80.165(a), are contained in the following 
references:
    (1) ``Test Method for Evaluating Port Fuel Injector (PFI) Deposits 
in Vehicle Engines'', March 1, 1991, Section 2257, Title 13, California 
Code of Regulations.
    (2) ``A Vehicle Test Technique for Studying Port Fuel Injector 
Deposits--A Coordinating Research Council Program'', Robert Tupa et al., 
SAE Technical paper No. 890213, 1989.
    (3) ``The Effects of Fuel Composition and Additives on Multiport 
Fuel Injector Deposits'', Jack Benson et al., SAE Technical Paper Series 
No. 861533, 1986.
    (4) ``Injector Deposits--The Tip of Intake System Deposit 
Problems'', Brian Taneguchi, et al., SAE Technical Paper Series No. 
861534, 1986.
    (5) ``Fuel Injector, Intake Valve, and Carburetor Detergency 
Performance of Gasoline Additives'', C.H. Jewitt et al., SAE Technical 
Paper No. 872114, 1987.
    (6) ``Carburetor Cleanliness Test Procedure, State-of-the-Art 
Summary, Report: 1973-1981'', Coordinating Research Council, CRC Report 
No. 529, Coordinating Research Council Inc. (CRC), 219 perimeter Center 
Parking, Atlanta, Georgia, 30346.
    (b) Carburetor Deposit Control Test Fuel Guidelines. (1) The 
gasoline used in the tests described in paragraph (a) of this section 
must contain the detergent-active components of the subject detergent 
additive package in an amount which corresponds to the minimum 
recommended concentration recorded in the respective detergent 
registration, or less than this amount.
    (2) The test fuel must not contain any detergent-active components 
other than those recorded in the subject detergent certification.
    (3) The composition of the test fuel used in carburetor deposit 
control testing, conducted to support the claimed effectiveness of 
detergents used in leaded gasoline, should be reasonably typical of in-
use gasoline in its tendency to form carburetor deposits (or more severe 
than typical in-use fuels) as defined by the olefin and sulfur content. 
A test fuel conforming to these compositional guidelines may be sampled 
directly from finished gasolines or may be blended to specification 
using typical refinery blend stocks. Test data using leaded fuels is 
preferred for this purpose, but data collected using unleaded fuels may 
also be acceptable provided that some correlation with additive 
performance in leaded fuels is available.

[61 FR 35372, July 5, 1996]



Sec.  80.167  Confirmatory testing.

    EPA may test a detergent to confirm that the required performance 
levels are met. Based on the findings of this confirmatory testing, a 
detergent certification may be denied or revoked under the provisions of 
Sec.  80.161(e).
    (a) Confirmatory testing conducted to evaluate the validity of 
detergent certifications under the national, PADD, or fuel-specific 
options under Sec. Sec.  80.163(a)(1) and 80.163(b) through (d) will 
generally entail a single vehicle test using the procedures detailed in 
Sec.  80.165. The test fuel(s) used in conducting such confirmatory 
certification testing will contain the specified fuel parameters at or 
below the

[[Page 237]]

minimum levels specified in Sec.  80.164, and will otherwise conform to 
the applicable certification test fuel specifications therein. 
Confirmatory testing conducted to evaluate the validity of detergent 
certifications under the alternative national generic certification 
option in Sec.  80.163(a)(1)(iii) will generally entail a single test 
using the procedures detailed in Sec.  80.177. The test fuel(s) used in 
conducting such confirmatory certification testing will contain the 
specified fuel parameters at or below the minimum levels specified in 
Sec.  80.177, and will otherwise conform to the applicable certification 
test fuel specifications therein.
    (b) Confirmatory certification testing conducted to evaluate the 
validity of CARB-based detergent certifications will use the subject 
detergent in test fuel(s) containing the relevant fuel parameters at 
levels no greater than the maximum levels for which the CARB 
certification was granted. The test procedures will be conducted 
pursuant to the procedures specified under section 2257 of Title 13, 
California Code of Regulations.
    (c) Confirmatory testing conducted to evaluate the validity of 
registration and certification information specific to detergent use in 
leaded gasoline will use the subject detergent in a test fuel containing 
the test fuel parameters at levels no greater than those prescribed in 
Sec.  80.164. EPA will make all reasonable efforts to use the same test 
procedure for confirmatory testing purposes as was used by the certifier 
in conducting deposit control performance testing.
    (d) When EPA decides to conduct confirmatory testing on a fuel or 
additive which is not readily available in the open market, EPA may 
request that the detergent certifier and/or manufacturer of such fuel or 
additive furnish a sample in the needed quantity. If testing is 
conducted to evaluate the validity of a detergent certification under 
the fuel-specific option, the detergent blender must supply EPA with 
test fuel, or with blend stocks with which to formulate such test fuel, 
in sufficient quantity to conduct the specified deposit control 
performance testing. The fuel or additive manufacturer shall comply with 
a sample request made pursuant to this paragraph within 30 days of 
receipt of the request.

[61 FR 35372, July 5, 1996, as amended at 79 FR 23649, Apr. 28, 2014]



Sec.  80.168  Detergent certification program controls and prohibitions.

    (a)(1) No person shall sell, offer for sale, dispense, supply, offer 
for supply, transport, or cause the transportation of gasoline to the 
ultimate consumer for use in motor vehicles or in any off-road engines 
(except as provided in Sec.  80.173), or to a gasoline retailer or 
wholesale purchaser-consumer, and no person shall detergent-additize 
gasoline, unless such gasoline is additized in conformity with the 
requirements of Sec.  80.161. No person shall cause the presence of any 
gasoline in the gasoline distribution system unless such gasoline is 
additized in conformity with the requirements of Sec.  80.161.
    (2) Gasoline has been additized in conformity with the requirements 
of Sec.  80.161 when the detergent component satisfies the requirements 
of Sec.  80.161 and when:
    (i) The gasoline has been additized in conformity with the detergent 
composition and purpose-in-use specifications of a detergent certified 
in accordance with this subpart, and in accordance with at least the 
minimum concentration specifications of that detergent as certified or 
as otherwise provided under Sec.  80.161(d); or
    (ii) The gasoline is composed of two or more commingled gasolines 
and each component gasoline has been additized in conformity with the 
detergent composition and purpose-in-use specifications of a detergent 
certified in accordance with this subpart, and in accordance with at 
least the minimum concentration specifications of that detergent as 
certified or as otherwise provided under Sec.  80.161(d); or
    (iii) The gasoline is composed of a gasoline commingled with a post-
refinery component (PRC), and both of these components have been 
additized in conformity with the detergent composition and use 
specifications of a detergent certified in accordance with this subpart, 
and in accordance with at least the minimum concentration specifications 
of that detergent as certified

[[Page 238]]

or as otherwise provided under Sec.  80.161(d).
    (b) No person shall blend detergent into gasoline or PRC unless such 
person complies with the volumetric additive reconciliation requirements 
of Sec.  80.170.
    (c) No person shall sell, offer for sale, dispense, supply, offer 
for supply, store, transport, or cause the transportation of any 
gasoline, detergent, or detergent-additized PRC, unless the product 
transfer document for the gasoline, detergent or detergent-additized PRC 
complies with the requirements of Sec.  80.171.
    (d) No person shall refine, import, manufacture, sell, offer for 
sale, dispense, supply, offer for supply, store, transport, or cause the 
transportation of any detergent that is to be used as a component of 
detergent-additized gasoline or detergent-additized PRC unless such 
detergent conforms with the composition specifications of a detergent 
certified in accordance with this subpart and the detergent otherwise 
complies with the requirements of Sec.  80.161. No person shall cause 
the presence of any detergent in the detergent, PRC, or gasoline 
distribution systems unless such detergent complies with the 
requirements of Sec.  80.161.
    (e)(1) No person shall sell, offer for sale, dispense, supply, offer 
for supply, transport, or cause the transportation of detergent-
additized PRC unless the PRC has been additized in conformity with the 
requirements of Sec.  80.161. No person shall cause the presence in the 
PRC or gasoline distribution systems of any detergent-additized PRC that 
fails to conform to the requirements of Sec.  80.161.
    (2) PRC has been additized in conformity with the requirements of 
Sec.  80.161 when the detergent component satisfies the requirements of 
Sec.  80.161 and when:
    (i) The PRC has been additized in accordance with the detergent 
composition and use specifications of a detergent certified in 
accordance with this subpart and in conformity with at least the minimum 
concentration specifications of that detergent as certified or as 
otherwise provided under Sec.  80.161(d), or
    (ii) The PRC is composed of two or more commingled PRCs, and each 
component has been additized in accordance with the detergent 
composition and use specifications of a detergent certified in 
accordance with this subpart, and in conformity with at least the 
minimum concentration specifications of that detergent as certified or 
as otherwise provided under Sec.  80.161(d).

[61 FR 35373, July 5, 1996]



Sec.  80.169  Liability for violations of the detergent certification
program controls and prohibitions.

    (a) Persons Liable--(1) Gasoline non-conformity. Where gasoline 
contained in any storage tank at any facility owned, leased, operated, 
controlled or supervised by any gasoline refiner, importer, carrier, 
distributor, reseller, retailer, wholesale purchaser-consumer, oxygenate 
blender, or detergent blender, is found in violation of any of the 
prohibitions specified in Sec.  80.168(a), the following persons shall 
be deemed in violation:
    (i) Each gasoline refiner, importer, carrier, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, or detergent 
blender, who owns, leases, operates, controls or supervises the facility 
(including, but not limited to, a truck or individual storage tank) 
where the violation is found;
    (ii) Each gasoline refiner, importer, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, detergent 
manufacturer, distributor, or blender, who refined, imported, 
manufactured, sold, offered for sale, dispensed, supplied, offered for 
supply, stored, detergent additized, transported, or caused the 
transportation of the detergent-additized gasoline (or the base gasoline 
component, the detergent component, or the detergent-additized post-
refinery component of the gasoline) that is in violation, and each such 
party that caused the gasoline that is in violation to be present in the 
gasoline distribution system; and
    (iii) Each gasoline carrier who dispensed, supplied, stored, or 
transported any gasoline in the storage tank containing gasoline found 
to be in violation, and each detergent carrier who

[[Page 239]]

dispensed, supplied, stored, or transported the detergent component of 
any PRC or gasoline in the storage tank containing gasoline found to be 
in violation, provided that EPA demonstrates, by reasonably specific 
showings by direct or circumstantial evidence, that the gasoline or 
detergent carrier caused the violation.
    (2) Post-refinery component non-conformity. Where detergent-
additized PRC contained in any storage tank at any facility owned, 
leased, operated, controlled or supervised by any gasoline refiner, 
importer, carrier, distributor, reseller, retailer, wholesale purchaser-
consumer, oxygenate blender, detergent manufacturer, carrier, 
distributor, or blender, is found in violation of the prohibitions 
specified in Sec.  80.168(e), the following persons shall be deemed in 
violation:
    (i) Each gasoline refiner, importer, carrier, distributor, reseller, 
retailer, wholesale-purchaser consumer, oxygenate blender, detergent 
manufacturer, carrier, distributor, or blender, who owns, leases, 
operates, controls or supervises the facility (including, but not 
limited to, a truck or individual storage tank) where the violation is 
found;
    (ii) Each gasoline refiner, importer, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, detergent 
manufacturer, distributor, or blender, who sold, offered for sale, 
dispensed, supplied, offered for supply, stored, detergent additized, 
transported, or caused the transportation of the detergent-additized PRC 
(or the detergent component of the PRC) that is in violation, and each 
such party that caused the PRC that is in violation to be present in the 
PRC or gasoline distribution systems; and
    (iii) Each carrier who dispensed, supplied, stored, or transported 
any detergent-additized PRC in the storage tank containing PRC that is 
in violation, and each detergent carrier who dispensed, supplied, 
stored, or transported the detergent component of any detergent-
additized PRC which is in the storage tank containing detergent-
additized PRC found to be in violation, provided that EPA demonstrates 
by reasonably specific showings by direct or circumstantial evidence, 
that the gasoline or detergent carrier caused the violation.
    (3) Detergent non-conformity. Where the detergent (prior to 
additization) contained in any storage tank or container found at any 
facility owned, leased, operated, controlled or supervised by any 
gasoline refiner, importer, carrier, distributor, reseller, retailer, 
wholesale purchaser-consumer, oxygenate blender, detergent manufacturer, 
carrier, distributor, or blender, is found in violation of the 
prohibitions specified in Sec.  80.168(d), the following persons shall 
be deemed in violation:
    (i) Each gasoline refiner, importer, carrier, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, detergent 
manufacturer, carrier, distributor, or blender, who owns, leases, 
operates, controls or supervises the facility (including, but not 
limited to, a truck or individual storage tank) where the violation is 
found;
    (ii) Each gasoline refiner, importer, distributor, reseller, 
retailer, wholesale purchaser-consumer, oxygenate blender, detergent 
manufacturer, distributor, or blender, who sold, offered for sale, 
dispensed, supplied, offered for supply, stored, transported, or caused 
the transportation of the detergent that is in violation, and each such 
party that caused the detergent that is in violation to be present in 
the detergent, gasoline, or PRC distribution systems; and
    (iii) Each gasoline or detergent carrier who dispensed, supplied, 
stored, or transported any detergent which is in the storage tank or 
container containing detergent found to be in violation, provided that 
EPA demonstrates, by reasonably specific showings by direct or 
circumstantial evidence, that the gasoline or detergent carrier caused 
the violation.
    (4) Volumetric additive reconciliation. Where a violation of the 
volumetric additive reconciliation requirements established by Sec.  
80.168(b) has occurred, the following persons shall be deemed in 
violation:
    (i) Each detergent blender who owns, leases, operates, controls or 
supervises the facility (including, but not limited to, a truck or 
individual storage tank) where the violation has occurred; and

[[Page 240]]

    (ii) Each gasoline refiner, importer, carrier, distributor, 
reseller, retailer, wholesale purchaser-consumer, or oxygenate blender, 
and each detergent manufacturer, carrier, distributor, or blender, who 
refined, imported, manufactured, sold, offered for sale, dispensed, 
supplied, offered for supply, stored, transported, or caused the 
transportation of the detergent-additized gasoline, the base gasoline 
component, the detergent component, or the detergent-additized PRC of 
the gasoline that is in violation, provided that EPA demonstrates, by 
reasonably specific showings by direct or circumstantial evidence, that 
such person caused the violation.
    (5) Product transfer document. Where a violation of Sec.  80.168(c) 
is found at a facility owned, leased, operated, controlled, or 
supervised by any gasoline refiner, importer, carrier, distributor, 
reseller, retailer, wholesale purchaser-consumer, oxygenate blender, 
detergent manufacturer, carrier, distributor, or blender, the following 
persons shall be deemed in violation: each gasoline refiner, importer, 
carrier, distributor, reseller, retailer, wholesale purchaser-consumer, 
oxygenate blender, detergent manufacturer, carrier, distributor, or 
blender, who owns, leases, operates, control or supervises the facility 
(including, but not limited to, a truck or individual storage tank) 
where the violation is found.
    (b) Branded Refiner Vicarious Liability. Where any violation of the 
prohibitions specified in Sec.  80.168 has occurred, with the exception 
of violations of Sec.  80.168(c), a refiner will also be deemed liable 
for violations occurring at a facility operating under such refiner's 
corporate, trade, or brand name or that of any of its marketing 
subsidiaries. For purposes of this section, the word facility includes, 
but is not limited to, a truck or individual storage tank.
    (c) Defenses. (1) In any case in which a gasoline refiner, importer, 
distributor, carrier, reseller, retailer, wholesale purchaser-consumer, 
oxygenate blender, detergent distributor, carrier, or blender, is in 
violation of any of the prohibitions of Sec.  80.168, pursuant to 
paragraph (a) or (b) of this section as applicable, the regulated party 
shall be deemed not in violation if it can demonstrate:
    (i) That the violation was not caused by the regulated party or its 
employee or agent (unless otherwise provided in this paragraph (c));
    (ii) That product transfer documents account for the gasoline, 
detergent, or detergent-additized PRC in violation and indicate that the 
gasoline, detergent, or detergent-additized PRC satisfied relevant 
requirements when it left the party's control; and
    (iii) That the party has fulfilled the requirements of paragraphs 
(c) (2) or (3) of this section, as applicable.
    (2) Branded refiner. Where a branded refiner is in violation of any 
of the prohibitions of Sec.  80.168 as a result of violations occurring 
at a facility (including, but not limited to, a truck or individual 
storage tank) which is operating under the corporate, trade or brand 
name of a refiner or that of any of its marketing subsidiaries, the 
refiner shall be deemed not in violation if it can demonstrate, in 
addition to the defense requirements stated in paragraph (c)(1) of this 
section, that the violation was caused by:
    (i) An act in violation of law (other than these regulations), or an 
act of sabotage or vandalism, whether or not such acts are violations of 
law in the jurisdiction where the violation of the prohibitions of Sec.  
80.168 occurred; or
    (ii) The action of any gasoline refiner, importer, reseller, 
distributor, oxygenate blender, detergent manufacturer, distributor, 
blender, or retailer or wholesale purchaser-consumer supplied by any of 
these persons, in violation of a contractual undertaking imposed by the 
refiner designed to prevent such action, and despite the implementation 
of an oversight program, including, but not limited to, periodic review 
of product transfer documents by the refiner to ensure compliance with 
such contractual obligation; or
    (iii) The action of any gasoline or detergent carrier, or other 
gasoline or detergent distributor not subject to a contract with the 
refiner but engaged by the refiner for transportation of gasoline, PRC, 
or detergent, to a gasoline or detergent distributor, oxygenate blender, 
detergent blender, gasoline

[[Page 241]]

retailer or wholesale purchaser consumer, despite specification or 
inspection of procedures or equipment by the refiner which are 
reasonably calculated to prevent such action.
    (iv) In this paragraph (c)(2), to show that the violation ``was 
caused'' by any of the specified actions, the party must demonstrate by 
reasonably specific showings, by direct or circumstantial evidence, that 
the violation was caused or must have been caused by another.
    (3) Detergent blender. In any case in which a detergent blender is 
liable for violating any of the prohibitions of Sec.  80.168, the 
detergent blender shall not be deemed in violation if it can 
demonstrate, in addition to the defense requirements stated in paragraph 
(c)(1) of this section, the following:
    (i) That it obtained or supplied, as appropriate, prior to the 
detergent blending, accurate written instructions from the detergent 
manufacturer or other party with knowledge of such instructions, 
specifying the appropriate LAC for the detergent, as specified in Sec.  
80.161(b)(1)(ii), together with any use restrictions which pertain to 
this LAC pursuant to the detergent's certification; and
    (ii) That it has implemented a quality assurance program that 
includes, but is not limited to, a periodic review of its supporting 
product transfer and volume measurement documents to confirm the 
correctness of its product transfer and volumetric additive 
reconciliation documents created for all products it additized.
    (4) Detergent manufacturer. (i) Presumptive Liability Affirmative 
Defense. Notwithstanding the provisions of paragraph (c)(1) of this 
section, in any case in which a detergent manufacturer is liable for 
violating any of the prohibitions of Sec.  80.168, the detergent 
manufacturer shall be deemed not in violation if it can demonstrate each 
of the following:
    (A) Product transfer documents which account for the detergent 
component of the product in violation and which indicate that such 
detergent satisfied all relevant requirements when it left the detergent 
manufacturer's control.
    (B) Written blending instructions which, pursuant to Sec.  
80.161(c), were supplied by the detergent manufacturer to its customer 
who purchased or obtained from the manufacturer the detergent component 
of the product determined to be in violation. The written blending 
instructions must have been supplied by the manufacturer prior to the 
customer's use or sale of the detergent. The instructions must 
accurately specify both the appropriate LAC for the detergent, pursuant 
to Sec.  80.161(b)(1)(ii), plus any use restrictions which may pertain 
to this LAC pursuant to the detergent's certification.
    (C) If the detergent batch used in the noncomplying product was 
produced less than one year before the manufacturer was notified by EPA 
of the possible violation, then the manufacturer must provide FTIR test 
results for the batch in question.
    (1) The FTIR analysis may have been conducted on the subject 
detergent batch at the time it was manufactured, or may be conducted on 
a sample of that batch which the manufacturer retained for such purpose 
at the time the batch was manufactured.
    (2) To establish that, when it left the manufacturer's control, the 
detergent component of the noncomplying product was in conformity with 
the chemical composition and concentration specifications reported 
pursuant to Sec.  80.161(b), the FTIR test results for the detergent 
batch used in the noncomplying product must be consistent with the FTIR 
results submitted at the time of registration pursuant to Sec.  
80.162(d).
    (D) If the detergent batch used in the noncomplying product was 
produced more than one year prior to the manufacturer's notification by 
EPA of the possible violation, then the manufacturer must provide 
either:
    (1) FTIR test results for the batch in question as specified in the 
preceding paragraph (c)(4)(i)(C) of this Sec.  80.169(c); or
    (2) The following materials:
    (i) Documentation for the batch in question, showing that its 
measured viscosity, density, and basic nitrogen content, or any other 
such physical parameter(s) which EPA may have approved for monitoring 
production quality control, were within the acceptable range of 
production values specified in

[[Page 242]]

the certification pursuant to Sec.  80.162(e); and
    (ii) If the detergent registration identifies polymeric component(s) 
of the detergent package as the product(s) of other chemical reactants, 
documentation that the reagents used to synthesize the detergent batch 
in question were the same as those specified in the registration and 
that they met the manufacturer's normal acceptance criteria reported 
pursuant to Sec.  80.162(b)(1).
    (ii) Detergent manufacturer causation liability. In any case in 
which a detergent manufacturer is liable for a violation of Sec.  
80.168, and the manufacturer establishes an affirmative defense to such 
liability pursuant to Sec.  80.169(c)(4)(i), the detergent manufacturer 
will nonetheless be deemed liable for the violation of Sec.  80.168 if 
EPA can demonstrate, by reasonably specific showings by direct or 
circumstantial evidence, that the detergent manufacturer caused the 
violation.
    (5) Defense against liability where more than one party may be 
liable for VAR violations. In any case in which a party is presumptively 
or vicariously liable for a violation of Sec.  80.170, except for the 
VAR record requirements pursuant to Sec.  80.170(g), such party shall 
not be deemed liable if it can establish the following:
    (i) Prior to the violation it had entered into a written contract 
with another potentially liable detergent blender party (``the assuming 
party''), under which that other party assumed legal responsibility for 
fulfilling the VAR requirement that had been violated;
    (ii) The contract included reasonable oversight provision to ensure 
that the assuming party fulfilled its VAR responsibilities (including, 
but not limited to, periodic review of VAR records) and the oversight 
provision was actually implemented by the party raising the defense;
    (iii) The assuming party is fiscally sound and able to pay its 
penalty for the VAR violation; and
    (iv) The employees or agents of the party raising the defense did 
not cause the violation.
    (6) Defense to liability for gasoline non-conformity violations 
caused solely by the addition of misadditized ethanol or other PRC to 
the gasoline. In any case in which a party is presumptively or 
vicariously liable for a gasoline non-conformity violation of Sec.  
80.168(a) caused solely by another party's addition of misadditized 
ethanol or other PRC to the gasoline, the former party shall not be 
deemed liable for the violation, provided that it can establish that it 
has fulfilled the defense requirements of paragraphs (c)(1) (i) and (ii) 
of this section.
    (7) Detergent tank transitioning defenses. The commingling of two 
detergents in the same detergent storage tank will not be deemed to 
violate or cause violations of any of the provisions of this subpart, 
provided the following conditions are met:
    (i) The commingling must occur during a legitimate detergent 
transitioning event, i.e., a shift from the use of one detergent to 
another through the delivery of the new detergent into the same tank 
that contains the original detergent; and
    (ii) Any use restrictions applicable to the new detergent's 
certification also apply to the combined detergents; and
    (iii) The commingling event must be documented, either on the VAR 
formula record or on attached supporting records; and
    (iv) Notwithstanding any contrary provisions in Sec.  80.170, a VAR 
formula record must be created for the combined detergents. The VAR 
compliance period must begin no later than the time of the commingling 
event. However, at the blender's option, the compliance period may begin 
earlier, thus including use of the uncombined original detergent within 
the same period, provided that the 31-day limitation pursuant to Sec.  
80.170(a)(6) is not exceeded; and
    (v) The VAR formula record must also satisfy the requirements in one 
of the following paragraphs (c)(7)(v) (A) through (C) of this section, 
whichever applies to the commingling event. If neither paragraph 
(c)(7)(v) (A) nor (B) of this section initially applies, then the 
blender may drain and subsequently redeliver the original detergent into 
the tank in restricted amounts, in order to meet the conditions of 
paragraph (c)(7)(v) (A) or (B) of this section. Otherwise, the blender

[[Page 243]]

must comply with paragraph (c)(7)(v)(C) of this section.
    (A) If both detergents have the same LAC, and the original detergent 
accounts for no more than 20 percent of the tank's total delivered 
volume after addition of the new detergent, then the VAR formula record 
is required to identify only the use of the new detergent.
    (B) If the two detergents have different LACs and the original 
detergent accounts for 10 percent or less of the tank's total delivered 
volume after addition of the new detergent, then the VAR formula record 
is required to identify only the use of the new detergent, and must 
attain the LAC of the new detergent. If the original detergent's LAC is 
greater than that of the new detergent, then the compliance period may 
begin earlier than the date of the commingling event (pursuant to 
paragraph (c)(7)(iv) of this section) only if the original detergent 
does not exceed 10 percent of the total detergent used during the 
compliance period.
    (C) If neither of the preceding paragraphs (c)(7)(v) (A) or (B) of 
this section applies, then the VAR formula record must identify both of 
the commingled detergents, and must use and attain the higher LAC of the 
two detergents. Once the commingled detergent has been depleted by an 
amount equal to the volume of the original detergent in the tank at the 
time the new detergent was added, subsequent VAR formula records must 
identify and use the LAC of only the new detergent.
    (8) Transition from noncertified to certified detergent. 
Notwithstanding the prohibitions in Sec. Sec.  80.161(a)(3) and 80.168, 
after June 30, 1997, the addition to gasoline or PRC of a detergent 
which has not been certified pursuant to Sec.  80.161 shall not be 
deemed to violate or cause violations of provisions of this subpart, 
provided that all of the following conditions are met:
    (i) The detergent was received by the detergent blender prior to 
July 1, 1997 and is used prior to January 1, 1998. Documentation which 
supports these dates must be maintained for at least five years and must 
be available for EPA's inspection upon request;
    (ii) The detergent is added to gasoline or PRC only in combination 
with a certified detergent and, at any one time, accounts for no more 
than 10 percent of the detergent tank's delivered volume;
    (iii) The total volume of detergent added to the gasoline or PRC is 
sufficient to attain the LAC of the certified detergent; and
    (iv) Use restrictions associated with the certified detergent are 
adhered to.
    (9) Procedures for curing use restrictions. In the case of a fuel 
product which has been additized with a detergent under the conditions 
of a use-restricted certification (pursuant to Sec.  80.163), the use 
restriction can be negated (``cured'') by application of the procedures 
in this paragraph (c)(9). A party shall not be liable for violations of 
Sec.  80.168(a) or (e) caused solely by the additization or subsequent 
use of gasoline or PRC in violation of such use restriction, provided 
that the following steps and conditions are applied before EPA has 
identified the nonconformity and prior to the sale or transfer of 
nonconforming product to the ultimate consumer:
    (i) Additional detergent must be added in sufficient quantity to 
provide effective deposit control, taking into account both the amount 
of detergent previously added and the final anticipated volume and 
composition of the subject fuel product.
    (ii) The additional detergent may be either the original detergent 
or a different detergent, so long as the additional detergent has been 
separately certified both for use with the subject fuel product and for 
use with the type of fuel product associated with the restriction which 
the party wishes to negate by the curing procedure. Detergents which 
have not been separately certified for both types of fuel products are 
not eligible to be used for this curing procedure.
    (iii) If a fuel product has been detergent additized under the 
conditions of a use-restricted certification which would preclude the 
addition of an oxygenate or other PRC, then such oxygenate or other PRC 
may nevertheless be added to that fuel product under this curing 
procedure, provided that additional eligible detergent is added, in an 
amount which equals or exceeds

[[Page 244]]

the number of gallons (DA) derived from the following 
equation:

Additional Detergent Volume = DA = Vp(LAC2 - 
LAC1) + V(1 - p)LAC2

where:

V = Final volume of fuel product (in gallons)
p = Fraction of final fuel product composed of the original (uncombined) 
          fuel product
LAC2 = Detergent's LAC certified for the final combined fuel 
          product (in gallons of detergent per 1,000 gallons of fuel 
          product)
LAC1 = Detergent's LAC certified for the original 
          (uncombined) fuel product (in gallons of detergent per 1,000 
          gallons of fuel product)

    (iv) In other instances in which gasoline or PRC has been additized 
in violation of a detergent use restriction, and no additional fuel 
components are to be added, such use restriction can be cured by the 
addition of eligible detergent in an amount which equals or exceeds the 
number of gallons (DA) derived from the following equation, which is a 
simplified version of the previous equation:

Additional Detergent Volume = DA = V(LAC2 - 
LAC1)

where:

V = Volume of fuel product (in gallons) to be cured of the use 
          restriction
LAC2 = Detergent's LAC certified for the fuel product without 
          the use restriction (in gallons of detergent per 1,000 gallons 
          of fuel product)
LAC1 = Detergent's LAC certified for the fuel product with 
          the use restriction to be cured (in gallons of detergent per 
          1,000 gallons of fuel product)

    (v) In all such instances, a curing VAR must be created and 
maintained, which documents the use of the appropriate equation as 
specified above, and otherwise complies with the requirements of Sec.  
80.170(f)(6).

[61 FR 35373, July 5, 1996, as amended at 61 FR 58747, Nov. 18, 1996; 66 
FR 55890, Nov. 5, 2001]



Sec.  80.170  Volumetric additive reconciliation (VAR), equipment 
calibration, and recordkeeping requirements.

    This section contains requirements for automated detergent blending 
facilities and hand-blending detergent facilities. All gasoline and all 
PRC intended for use in gasoline must be additized unless otherwise 
noted in supporting VAR records, and must be accounted for in VAR 
records. The VAR reconciliation standard is attained under this section 
when the actual concentration of detergent used per VAR formula record 
equals or exceeds the applicable LAC certified for that detergent 
pursuant to Sec.  80.161(b)(3)(ix) or, if appropriate, Sec.  80.161(d). 
If a given detergent package has been certified under more than one 
certification option pursuant to Sec.  80.163, then a separate VAR 
formula record must be created for gasoline or PRC additized on the 
basis of each certification and its respective LAC. In such cases, the 
amount of the detergent used under different certification options must 
be accurately and separately measured, either through the use of a 
separate storage tank, a separate meter, or some other measurement 
system that is able to accurately distinguish its use. Recorded volumes 
of gasoline, detergent, and PRC must be expressed to the nearest gallon 
(or smaller units), except that detergent volumes of five gallons or 
less must be expressed to the nearest tenth of a gallon (or smaller 
units). However, if the blender's equipment cannot accurately measure to 
the nearest tenth of a gallon, then such volumes must be rounded 
downward to the next lower gallon. PRC included in the reconciliation 
must be identified. Each VAR formula record must also contain the 
following information:
    (a) Automated blending facilities. In the case of an automated 
detergent blending facility, for each VAR period, for each detergent 
storage system and each detergent in that storage system, the following 
must be recorded:
    (1) The manufacturer and commercial identifying name of the 
detergent additive package being reconciled, the LAC, and any use 
restriction applicable to the LAC. The LAC must be expressed in terms of 
gallons of detergent per thousand gallons of gasoline or PRC, and 
expressed to four digits. If the detergent storage system which is the 
subject of the VAR formula record is a proprietary system under the 
control of a customer, this fact must be indicated on the record.

[[Page 245]]

    (2) The total volume of detergent blended into gasoline and PRC, in 
accordance with one of the following paragraphs (a)(2)(i) or (ii) of 
this section, as applicable.
    (i) For a facility which uses in-line meters to measure detergent 
usage, the total volume of detergent measured, together with supporting 
data which includes one of the following: the beginning and ending meter 
readings for each meter being measured, the metered batch volume 
measurements for each meter being measured, or other comparable metered 
measurements. The supporting data may be supplied on the VAR formula 
record or in the form of computer printouts or other comparable VAR 
supporting documentation.
    (ii) For a facility which uses a gauge to measure the inventory of 
the detergent storage tank, the total volume of detergent shall be 
calculated from the following equation:

Detergent Volume = (A) - (B) + (C) - (D)

where:

A = Initial detergent inventory of the tank
B = Final detergent inventory of the tank
C = Sum of any additions to detergent inventory
D = Sum of any withdrawals from detergent inventory for purposes other 
          than the additization of gasoline or PRC.


The value of each variable in this equation must be separately recorded 
on the VAR formula record. In addition, a list of each detergent 
addition included in variable C and a list of each detergent withdrawal 
included in variable D must be provided, either on the formula record or 
as VAR supporting documentation.
    (3) The total volume of gasoline plus PRC to which detergent has 
been added, together with supporting data which includes one of the 
following: the beginning and ending meter measurements for each meter 
being measured, the metered batch volume measurements for each meter 
being measured, or other comparable metered measurements. The supporting 
data may be supplied on the VAR formula record or in the form of 
computer printouts or other comparable VAR supporting documentation. If 
gasoline has intentionally been overadditized in anticipation of the 
later addition of unadditized PRC, then the total volume of gasoline 
plus PRC recorded must include the expected amount of unadditized PRC to 
be added later. In addition, the amount of gasoline which was 
overadditized for this purpose must be specified.
    (4) The actual detergent concentration, calculated as the total 
volume of detergent added (pursuant to paragraph (a)(2) of this 
section), divided by the total volume of gasoline plus PRC (pursuant to 
paragraph (a)(3) of this section). The concentration must be calculated 
and recorded to four digits.
    (5) A list of each detergent concentration rate initially set for 
the detergent that is the subject of the VAR record, together with the 
date and description of each adjustment to any initially set 
concentration. The concentration adjustment information may be supplied 
on the VAR formula record or in the form of computer printouts or other 
comparable VAR supporting documentation. No concentration setting is 
permitted below the applicable certified LAC, except as may be modified 
pursuant to Sec.  80.161(d) or as described in paragraph (a)(7) of this 
section.
    (6) The dates of the VAR period, which shall be no longer than 
thirty-one days. If the VAR period is contemporaneous with a calendar 
month, then specifying the month will fulfill this requirement; if not, 
then the beginning and ending dates and times of the VAR period must be 
listed. The times may be supplied on the VAR formula record or in 
supporting documentation. Any adjustment to any detergent concentration 
rate more than 10 percent over the concentration rate initially set in 
the VAR period shall terminate that VAR period and initiate a new VAR 
period, except as provided in paragraph (a)(7) of this section.
    (7) The concentration setting for a detergent injector may be set 
below the applicable LAC, or it may be adjusted more than 10 percent 
above the concentration initially set in the VAR period without 
terminating that VAR period, provided that:
    (i) The purpose of the change is to correct a batch misadditization 
prior

[[Page 246]]

to the end of the VAR period and prior to the transfer of the batch to 
another party, or to correct an equipment malfunction; and
    (ii) The concentration is immediately returned after the correction 
to a concentration that fulfills the requirements of paragraphs (a) (5) 
and (6) of this section; and
    (iii) The blender creates and maintains documentation establishing 
the date and adjustments of the correction; and
    (iv) If the correction is initiated only to rectify an equipment 
malfunction, and the amount of detergent used in this procedure is not 
added to gasoline within the compliance period, then this amount is 
subtracted from the detergent volume listed on the VAR formula record.
    (8) If unadditized gasoline has been transferred from the facility, 
other than bulk transfers from refineries or pipelines to non-retail 
outlets or non-WPC facilities, the total amount of such gasoline must be 
specified.
    (b) Non-automated facilities. In the case of a facility in which 
hand blending or any other non-automated method is used to blend 
detergent, for each detergent and for each batch of gasoline and each 
batch of PRC to which the detergent is being added, the following shall 
be recorded:
    (1) The manufacturer and commercial identifying name of the 
detergent additive package being reconciled, the LAC, and any use 
restriction applicable to the LAC. The LAC must be expressed in terms of 
gallons of detergent per thousand gallons of gasoline or PRC, and 
expressed to four digits.
    (2) The date of the additization that is the subject of the VAR 
formula record.
    (3) The volume of added detergent.
    (4) The volume of the gasoline and/or PRC to which the detergent has 
been added. If gasoline has intentionally been overadditized in 
anticipation of the later addition of unadditized PRC, then the total 
volume of gasoline plus PRC recorded must include the expected amount of 
unadditized PRC to be added later. In addition, the amount of gasoline 
which was overadditized for this purpose must be specified.
    (5) The brand (if known), grade, and leaded/unleaded status of 
gasoline, and/or the type of PRC.
    (6) The actual detergent concentration, calculated as the volume of 
added detergent (pursuant to paragraph (b)(3) of this section), divided 
by the volume of gasoline and/or PRC (pursuant to paragraph (b)(4) of 
this section). The concentration must be calculated and recorded to four 
digits.
    (c) Every VAR formula record created pursuant to paragraphs (a) and 
(b) of this section shall contain the following:
    (1) The signature of the creator of the VAR record;
    (2) The date of the creation of the VAR record; and
    (3) A certification of correctness by the creator of the VAR record.
    (d) Electronically-generated VAR formula and supporting records.
    (1) Electronically-generated records are acceptable for VAR formula 
records and supporting documentation (including PTDs), provided that 
they are complete, accessible, and easily readable. VAR formula records 
must also be stored with access and audit security, which must restrict 
to a limited number of specified people those who have the ability to 
alter or delete the records. In addition, parties maintaining records 
electronically must make available to EPA the hardware and software 
necessary to review the records.
    (2) Electronically-generated VAR formula records may use an 
electronic user identification code to satisfy the signature 
requirements of paragraph (c)(1) of this section, provided that:
    (i) The use of the ID is limited to the record creator; and
    (ii) A paper record is maintained, which is signed and dated by the 
VAR formula record creator, acknowledging that the use of that 
particular user ID on a VAR formula record is equivalent to his/her 
signature on the document.
    (e) Automated detergent blenders must calibrate their detergent 
equipment once in each calendar half year, with the acceptable 
calibrations being no less than one hundred twenty days apart. Equipment 
recalibration is also

[[Page 247]]

required each time the detergent package is changed, unless written 
documentation indicates that the new detergent package has the same 
viscosity as the previous detergent package. Detergent package change 
calibrations may be used to satisfy the semiannual requirement provided 
that the calibrations occur in the appropriate half calendar year and 
are no less than one hundred twenty days apart.
    (f) The following VAR supporting documentation must also be created 
and maintained:
    (1) For all automated detergent blending facilities, documentation 
reflecting performance of the calibrations required by paragraph (e) of 
this section, and any associated adjustments of the automated detergent 
equipment;
    (2) For all hand-blending facilities which are terminals, a record 
specifying, for each VAR period, the total volume in gallons of 
transfers from the facility of unadditized base gasoline;
    (3) For all detergent blending facilities, product transfer 
documents for all gasoline, detergent and detergent-additized PRC 
transferred into or out of the facility; in addition, bills of lading, 
transfer, or sale for all unadditized PRC transferred into the facility;
    (4) For all automated detergent blending facilities, documentation 
establishing the brands (if known) and grades of the gasoline which is 
the subject of the VAR formula record; and
    (5) For all hand blending detergent blenders, the documentation, if 
in the party's possession, supporting the volumes of gasoline, PRC, and 
detergent reported on the VAR formula record.
    (6) For all detergent blending facilities, documentation 
establishing the curing of a batch or amount of misadditized gasoline or 
PRC, or the curing of a use restriction on the additized gasoline or 
PRC, and providing at least the following information: the date of the 
curing procedure; the problem that was corrected; the amount, name, and 
LAC of the original detergent used; the amount, name, and LAC of the 
added curing detergent; and the actual detergent concentration attained 
in, and the volume of, the total cured product.
    (g) Document retention and availability. All detergent blenders 
shall retain the documents required under this section for a period of 
five years from the date the VAR formula records and supporting 
documentation are created, and shall deliver them upon request to the 
EPA Administrator or the Administrator's authorized representative.
    (1) Except as provided in paragraph (g)(3) of this section, 
automated detergent blender facilities and hand-blender facilities which 
are terminals, which physically blend detergent into gasoline, must make 
immediately available to EPA, upon request, the preceding twelve months 
of VAR formula records plus the preceding two months of VAR supporting 
documentation.
    (2) Except as provided in paragraph (g)(3) of this section, other 
hand-blending detergent facilities which physically blend detergent into 
gasoline must make immediately available to EPA, upon request, the 
preceding two months of VAR formula records and VAR supporting 
documentation.
    (3) Facilities which have centrally maintained records at other 
locations, or have customers who maintain their own records at other 
locations for their proprietary detergent systems, and which can 
document this fact to the Agency, may have until the start of the next 
business day after the EPA request to supply VAR supporting 
documentation, or longer if approved by the Agency.
    (4) In this paragraph (g) of this section, the term immediately 
available means that the records must be provided, electronically or 
otherwise, within approximately one hour of EPA's request, or within a 
longer time frame as approved by EPA.

[61 FR 35377, July 5, 1996]



Sec.  80.171  Product transfer documents (PTDs).

    (a) Contents. For each occasion when any gasoline refiner, importer, 
reseller, distributor, carrier, retailer, wholesale purchaser-consumer, 
oxygenate blender, detergent manufacturer, distributor, carrier, or 
blender, transfers custody or title to any gasoline, detergent, or 
detergent-additized PRC other than when detergent-additized gasoline is 
sold or dispensed at a retail outlet or

[[Page 248]]

wholesale purchaser-consumer facility to the ultimate consumer, the 
transferor shall provide to the transferee, and the transferee shall 
acquire from the transferor, documents which accurately include the 
following information:
    (1) The name and address of the transferee and transferor; the 
address requirement may be fulfilled, in the alternative, through 
separate documentation which establishes said addresses and is 
maintained by the parties and made available to EPA for the same length 
of time as required for the PTDs, provided that the normal business 
procedure of these parties is not to identify addresses on PTDs.
    (2) The date of the transfer.
    (3) The volume of product transferred.
    (4)(i) The identity of the product being transferred (i.e., its 
identity as base gasoline, detergent, detergent-additized gasoline, or 
specified detergent-additized oxygenate or detergent-additized gasoline 
blending stock that comprises a detergent-additized PRC). PTDs for 
detergent-additized gasoline or PRC are not required to identify the 
particular detergent used to additize the product.
    (ii) If the product being transferred consists of two or more 
different types of product subject to this regulation, i.e., base 
gasoline, detergent-additized gasoline, or specified detergent-additized 
PRC, component, then the PTD for the commingled product must identify 
each such type of component contained in the commingled product.
    (5) If the product being transferred is base gasoline, then in 
addition to the base gasoline identification, the following warning must 
be stated on the PTD: ``Not for sale to the ultimate consumer''. If, 
pursuant to Sec.  80.173(a), the product being transferred is exempt 
base gasoline to be used for research, development, or test purposes 
only, the following warning must also be stated on the PTD: ``For use in 
research, development, and test programs only''.
    (6) The name of the detergent additive as reported in its 
registration must be used to identify the detergent package on its PTD.
    (7) If the product being transferred is leaded gasoline, then the 
PTD must disclose that the product contains lead and/or phosphorous, as 
applicable.
    (8) If the product being transferred is gasoline or PRC that has 
been additized with detergent under a PADD-specific or CARB-based 
certification, or under a certification option which creates an 
oxygenate or PRC use restriction, then the PTD for the additized product 
must identify the applicable use restriction. The PTD for commingled 
additized gasolines or PRCs containing such restrictions must indicate 
the applicable restriction(s) from each component.
    (9) If the product being transferred is detergent-additized gasoline 
or PRC that has been overadditized in anticipation of the later (or 
earlier) addition of PRC, then the PTD must include a statement that the 
product has been overadditized to account for a specified volume in 
gallons, or a specified percentage of the product's total volume, of 
additional, specified PRC.
    (10) If a detergent package has been certified under only one 
certification option, and that option places a use restriction on the 
respective LAC, then the PTD must identify the detergent as use-
restricted; the PTD for a detergent package certified with more than one 
LAC must identify that the detergent has special use options available.
    (11) Base gasoline designated for fuel-specific certification.
    (i) The PTD for segregated base gasoline intended for additization 
with a specific fuel-specific detergent pursuant to Sec.  80.163(c) must 
indicate that it is for use with the designated, fuel-specific 
detergent.
    (ii) A PTD for base gasoline may not indicate that the product is 
for use with a designated, fuel-specific detergent, unless the entire 
quantity of base gasoline is from the segregated fuel supply specified 
in the detergent's certification and the gasoline contains only those 
oxygenates or PRCs, if any, specified and approved in the detergent's 
certification.
    (iii) If, pursuant to Sec.  80.163(c)(3), the fuel-specific 
certification for the segregated pool of gasoline has established that 
no detergent additives are necessary for such gasoline to comply with

[[Page 249]]

this subpart, then the PTD must identify this gasoline as detergent-
equivalent gasoline.
    (b) Use of product codes and other non-regulatory language. (1) 
Product codes and other non-regulatory language may not be used as a 
substitute for the specified PTD warning language specified in paragraph 
(a)(6) of this section for base gasoline, except that:
    (i) The specified warning language may be omitted for bulk transfers 
of base gasoline from a refinery to a pipeline if there is a prior 
written agreement between the parties specifying that all such gasoline 
is unadditized and will not be transferred to the ultimate consumer;
    (ii) Product codes may be used as a substitute for the specified 
warning language provided that the PTD is an electronic data interchange 
(EDI) document being used solely for the transfer of title to the base 
gasoline, and provided that the product codes otherwise comply with the 
requirements of this section.
    (2) Product codes and other non-regulatory language may not be used 
in place of the PTD language specified in paragraph (a)(11) of this 
section regarding detergent package use restrictions.
    (3) Product codes and other language not specified in this section 
may otherwise be used to comply with PTD information requirements, 
provided that they are clear, accurate, and not misleading.
    (4) If product codes are used, they must be standardized throughout 
the distribution system in which they are used, and downstream parties 
must be informed of their full meaning.
    (c) PTD exemption for small transfers of additized gasoline. 
Transfers of additized gasoline are exempt from the PTD requirements of 
this section provided all the following conditions are satisfied:
    (1) The product is being transferred by a distributor who is not the 
product's detergent blender; and
    (2) The recipient is a wholesale purchaser-consumer (WPC) or other 
ultimate consumer of gasoline, for its own use only or for that of its 
agents or employees; and
    (3) The volume of additized gasoline being transferred is no greater 
than 550 gallons.
    (d) Recordkeeping Period. Any person creating, providing or 
acquiring product transfer documentation for gasoline, detergent, or 
detergent-additized PRC shall retain the documents required by this 
section for a period of five years from the date the product transfer 
documentation was created, received or transferred, as applicable, and 
shall deliver such documents to EPA upon request. WPCs are not required 
to retain PTDs of additized gasoline received by them.

[61 FR 35379, July 5, 1996, as amended at 62 FR 60001, Nov. 6, 1997]



Sec.  80.172  Penalties.

    (a) General. Any person who violates any prohibition or affirmative 
requirement of Sec.  80.168 shall be liable to the United States for a 
civil penalty of not more than the sum of $25,000 for every day of such 
violation and the amount of economic benefit or savings resulting from 
the violation.
    (b) Gasoline non-conformity. Any violation of Sec.  80.168(a) shall 
constitute a separate day of violation for each and every day the 
gasoline in violation remains at any place in the gasoline distribution 
system, beginning on the day that the gasoline is in violation of the 
respective prohibition and ending on the last day that such gasoline is 
offered for sale or is dispensed to any ultimate consumer.
    (c) Detergent non-conformity. Any violation of Sec.  80.168(d) shall 
constitute a separate day of violation for each and every day the 
detergent in violation remains at any place in the gasoline or detergent 
distribution system, beginning on the day that the detergent is in 
violation of the prohibition and ending on the last day that detergent-
additized gasoline, containing the subject detergent as a component 
thereof, is offered for sale or is dispensed to any ultimate consumer.
    (d) Post-refinery component non-conformity. Any violation of Sec.  
80.168(e) shall constitute a separate day of violation for each and 
every day the PRC in violation remains at any place in the PRC

[[Page 250]]

or gasoline distribution system, beginning on the day that the PRC is in 
violation of the respective prohibition and ending on the last day that 
detergent-additized gasoline containing the PRC is offered for sale or 
is dispensed to any ultimate consumer.
    (e) Product transfer document non-conformity. Any violation of Sec.  
80.168(c) shall constitute a separate day of violation for every day the 
PTD is not fully in compliance. This is to begin on the day that the PTD 
is created or should have been created and to end at the later of the 
following dates:
    (1) The day that the document is corrected and comes into 
compliance; or
    (2) The day that gasoline not additized in conformity with detergent 
certification program requirements, as a result of the PTD non-
conformity, is offered for sale or is dispensed to the ultimate 
consumer.
    (f) Volumetric additive reconciliation recordkeeping non-conformity. 
Any VAR recordkeeping violation of Sec.  80.168(b) shall constitute a 
separate day of violation for every day that VAR recordkeeping is not 
fully in compliance. Each element of the VAR record keeping program that 
is not in compliance shall constitute a separate violation for purposes 
of this section.
    (g) Volumetric additive reconciliation compliance standard non-
conformity. Any violation of the VAR compliance standard established in 
Sec.  80.170 shall constitute a separate day of violation for each and 
every day of the VAR compliance period in which the standard was 
violated.
    (h) Volumetric additive reconciliation equipment calibration non-
conformity. Any VAR equipment calibration violation of Sec.  80.168(b) 
shall constitute a separate day of violation for every day a VAR 
equipment calibration requirement is not met.

[61 FR 35380, July 5, 1996, as amended at 61 FR 58747, Nov. 18, 1996]



Sec.  80.173  Exemptions.

    (a) Research, development, and testing exemptions. Any detergent 
that is either in a research, development, or test status, or is sold to 
petroleum, automobile, engine, or component manufacturers for research, 
development, or test purposes, or any gasoline to be used by, or under 
the control of, petroleum, additive, automobile, engine, or component 
manufacturers for research, development, or test purposes, is exempted 
from the provisions of the detergent certification program, provided 
that:
    (1) The detergent (or fuel containing the detergent), or the 
gasoline, is kept segregated from non-exempt product, and the party 
possessing the product maintains documentation identifying the product 
as research, development, or testing detergent or fuel, as applicable, 
and stating that it is to be used only for research, development, or 
testing purposes; and
    (2) The detergent (or fuel containing the detergent), or the 
gasoline, is not sold, dispensed, or transferred, or offered for sale, 
dispensing, or transfer, from a retail outlet. It shall also not be 
sold, dispensed, or transferred or offered for sale, dispensing, or 
transfer from a wholesale purchaser-consumer facility, unless such 
facility is associated with detergent, fuel, automotive, or engine 
research, development or testing; and
    (3) The party using the product for research, development, or 
testing purposes, or the party sponsoring this usage, notifies the EPA, 
on at least an annual basis and prior to the use of the product, of the 
purpose(s) of the program(s) in which the product will be used and the 
anticipated volume of the product to be used. The information must be 
submitted to the address or fax number specified in Sec.  80.174(c).
    (b) Racing fuel and aviation fuel exemptions. Any fuel that is 
refined, sold, dispensed, transferred, or offered for sale, dispensing, 
or transfer as automotive racing fuel or as aircraft engine fuel, is 
exempted from the provisions of this subpart, provided that:
    (1) The fuel is kept segregated from non-exempt fuel, and the party 
possessing the fuel for the purposes of refining, selling, dispensing, 
transferring, or offering for sale, dispensing, or transfer as 
automotive racing fuel or as aircraft engine fuel, maintains 
documentation identifying the product as racing fuel, restricted for 
non-highway use in racing motor vehicles, or as aviation fuel, 
restricted for use in aircraft, as applicable;

[[Page 251]]

    (2) Each pump stand at a regulated party's facility, from which such 
fuel is dispensed, is labeled with the applicable fuel identification 
and use restrictions described in paragraph (b)(1) of this section; and
    (3) The fuel is not sold, dispensed, transferred, or offered for 
sale, dispensing, or transfer for highway use in a motor vehicle.
    (c) California gasoline exemptions. (1) Gasoline or PRC which is 
additized in the State of California is exempt from the VAR provisions 
in Sec. Sec.  80.168 (b) and (e) and 80.170, provided that:
    (i) For all such gasoline or PRC, whether intended for sale within 
or outside of California, records of the type required for California 
gasoline (specified in title 13, California Code of Regulations, section 
2257) are maintained; and
    (ii) Such records, with the exception of daily additization records, 
are maintained for a period of five years from the date they were 
created and are delivered to EPA upon request.
    (2) Gasoline or PRC that is transferred and/or sold solely within 
the State of California is exempt from the PTD provisions of the 
detergent certification program, specified in Sec. Sec.  80.168(c) and 
80.171.
    (3) Nothing in this paragraph (c) exempts such gasoline or PRC from 
the requirements of Sec.  80.168 (a) and (e), as applicable. EPA will 
base its determination of California gasoline's conformity with the 
detergent's LAC on the additization records required by CARB, or records 
of the same type.

[61 FR 35380, July 5, 1996]



Sec.  80.174  Addresses.

    (a) The detergent additive sample required under Sec.  80.161(b)(2) 
shall be sent to: Manager, Fuels and Technical Analysis Group, Testing 
Services Division, U.S. Environmental Protection Agency, National 
Vehicle and Fuel Emissions Laboratory, 2565 Plymouth Road, Ann Arbor, 
Michigan 48105.
    (b) Other detergent registration and certification data, and certain 
other information which may be specified in this subpart, shall be sent 
to the attention of ``Detergent Additive Certification'' to the address 
in Sec.  80.10(a).
    (c) Notifications to EPA regarding program exemptions, detergent 
dilution and commingling, and certain other information which may be 
specified in this subpart, shall be sent to the attention of ``Detergent 
Enforcement Program'' to the address in Sec.  80.10(a).

[61 FR 35381, July 5, 1996, as amended at 85 FR 7072, Feb. 6, 2020]



Sec.  80.175  [Reserved]



Sec.  80.176  Alternative certification test procedures and standards.

    This section specifies the deposit control test requirements and 
performance standards which must be met in order to certify detergent 
additives for use in unleaded gasoline pursuant to Sec.  
80.161(b)(1)(ii)(A)(2). These standards must be met in the context of 
the specific test procedures identified in paragraphs (a) and (b) of 
this section. Testing must be conducted and the performance standards 
met when the subject detergent additive is mixed in a test fuels meeting 
all relevant requirements of Sec.  80.177. Complete test documentation 
must be submitted by the certifying party within 30 days of receipt of a 
written request from EPA for such records.
    (a) Fuel injector deposit control testing. The required test fuel 
must produce no more than one inoperative injector when tested in 
accordance with the fuel injector deposit test procedure specified in 
paragraph (c) of this section.
    (b) Intake valve deposit control testing. The required test fuel 
must produce the accumulation of less than 50 mg of intake valve 
deposits on average when tested in accordance with ASTM D6201. ASTM 
D6201-04 (Reapproved 2009), ``Standard Test Method for Dynamometer 
Evaluation of Unleaded Spark-Ignition Engine Fuel for Intake Valve 
Deposit Formation,'' approved June 1, 2009, is incorporated by reference 
into this section 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. Copies are available from ASTM International, 100 Barr Harbor

[[Page 252]]

Dr., P.O. Box C700, West Conshohocken, PA 19428-2959, (877) 909-ASTM, 
http://www.astm.org. The document is also 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. The document 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.
    (1) Tests conducted for the intake valve deposit demonstration test 
pursuant to Sec.  80.177(b)(4) and to demonstrate compliance with the 
intake valve deposit control standards in this section must be conducted 
using the same engine block and cylinder head.
    (2) All results must be derived from operationally valid tests in 
accordance with the test validation criteria of ASTM D6201.
    (3) Test results shall be reported for individual intake valves and 
as an average of all intake valves.
    (c) Fuel injector deposit test procedure--(1) Summary of test 
procedure. After flushing the vehicle fuel system with the fuel to be 
tested and installing new injectors, an automatic starter control system 
starts the vehicle and lets it idle for five minutes. The engine is then 
shut off and allowed to soak for 25 minutes. This cycle is repeated for 
a total of 192 cycles (96 hours). During this time, the engine is kept 
at operating temperature with block heaters. After the 96 hours of 
start/soak cycles, the engine is allowed to hot-soak for 48 hours, 
during which time the engine is not started but is maintained at 
operating temperature. At the end of the 48-hour hot soak, the block 
heaters are turned off and the engine is allowed to cool naturally to 
room temperature. At the end of this 48-hour ambient temperature soak, 
an injector balance test is conducted to determine whether any poppet 
nozzles are stuck closed.
    (2) Facilities and equipment--(i) Location. A temperature-controlled 
garage or large room is needed. A dynamometer is not needed, since this 
test is an idle test. The room temperature shall be maintained in the 
range of 68-75 [deg]F. The room shall be equipped with an exhaust system 
that connects to the vehicle tail pipe to remove the exhaust gases from 
the building. It is recommended that an interlock be provided so that if 
the building exhaust system fails, the vehicle test will shut down.
    (ii) Electrical power. Two 110-volt, 15-amp circuits are needed (20-
amp circuits are recommended) to operate the four block heaters and a 
battery charger.
    (iii) Fuel drain facility. A facility is required to drain the fuel 
from the vehicle between tests. The fuel is drained from the service 
port on the fuel rail, near the back of the engine. A commercial cart 
equipped with a tank and a suction pump is recommended for this 
operation.
    (iv) Vehicle. A Chevrolet Astro or GMC Safari van, model year 1998-
2001, shall be used for the test. Either two-wheel drive or all-wheel 
drive is satisfactory, although the former allows easier installation of 
the block heaters.
    (v) Injectors. New injectors, General Motors part number 17091432, 
shall be used for each test.
    (vi) Block heaters. Four block heaters, General Motors part number 
12371293, are needed for each vehicle. Two heaters shall be installed on 
each side of the engine, in the freeze plug locations.
    (vii) Battery charger. Because of the large number of starts and the 
very short engine running time, a battery charger is needed. It is 
recommended that the charger be installed permanently on the vehicle and 
remain plugged in while the test is in progress.
    (viii) Starter controller. A system is needed to start the engine 
automatically and then shut it off after exactly five minutes of 
running. A commercial after-market remote starting system connected to a 
timer or computer can be used, or a one-of-a-kind system can be designed 
and built.

[[Page 253]]

    (ix) Tech 2 analyzer. A General Motors Tech 2 analyzer, part number 
GM3000094, available from Kent-Moore, shall be used to conduct the 
injector balance test.
    (x) Fuel pressure gauge. A fuel pressure gauge capable of measuring 
fuel system pressure to the nearest 1 psi over the range of 45 to 65 
psi, shall be used with the Tech 2 analyzer when conducting the injector 
balance test. A pressure transducer shall not be used.
    (xi) Gaskets. The upper intake manifold gasket and injector body 
gasket will need to be replaced from time to time as they crack, tear, 
or wear out from frequent handling during injector replacement.
    (3) Initial vehicle preparation--(i) Diagnostics. To help determine 
whether a vehicle is satisfactory for use in this injector test 
procedure, a thorough inspection and engine diagnostic test shall be 
conducted as described in the service manual. Check the cooling system 
to be sure the coolant looks clean and there are no signs of rust.
    (ii) Block heaters. Install four electric block heaters, General 
Motors part number 12371293, in the coolant passages of the engine 
block, two on each side of the block. The heaters will be plugged into a 
heater control unit. Two of the heaters will remain on at all times 
during the first 144 hours of the injector fouling test, while the other 
two heaters will be turned on and off by the controller as needed to 
maintain an engine temperature of about 100-102 [deg]C during the soak 
periods of the test. (The temperature will drop while the engine is 
running, as the coolant from the radiator circulates through the engine. 
The temperature should recover to 100-102 [deg]C within about 20 minutes 
after the engine shuts off.)
    (iii) Thermocouples. Install a 1/16-inch Type K thermocouple in a 
threaded bolt hole on the rear of the right cylinder head. This 
thermocouple provides the feedback signal to the controller to turn two 
block heaters on and off. Install another thermocouple in the other hole 
near the first thermocouple. This second thermocouple provides a signal 
to an over-temperature safety shut-off on the heater controller. If the 
engine temperature reaches the set point (110 [deg]C recommended), the 
heater controller will signal the starter controller to shut down the 
test.
    (iv) Fuel system flush. Drain the fuel from the fuel system through 
the service port on the fuel rail at the back of the engine. Refuel with 
a non-detergent gasoline containing between 5 and 10 percent ethanol. 
Drive the vehicle for approximately 100 miles to thoroughly expose all 
parts of the fuel system to the fuel. The fuel pump and fuel filters 
should not be replaced unless there is a problem with them or if the 
vehicle history suggests that replacement would be prudent. If 
replacement is necessary, the new parts should first be conditioned by 
recirculating a 10% ethanol-gasoline blend (without deposit control 
additive) through them for one week.
    (v) Oil change. Change the engine oil and oil filter, using oil that 
meets the manufacturer's recommended service classification and 
viscosity grade.
    (vi) Battery charger. Install a battery charger in the vehicle so 
that it can be plugged in during the test and keep the battery at full 
charge.
    (vii) Radiator. Install cardboard or other suitable material on the 
front of the radiator to block the flow of air through the radiator 
while the engine is running. This will help minimize the drop in coolant 
temperature.
    (viii) Starter controller. Make the necessary changes to the vehicle 
electrical system so that the engine can be started and stopped 
automatically on a programmed schedule. Install a starter controller or 
computer and program it to do the following:
    (A) Start the engine and let it run for 5 minutes, and then shut it 
off and let it hot-soak for 25 minutes.
    (B) Repeat the 5/25 cycle for a total of 192 cycles.
    (C) Allow a 48-hr hot soak during which the engine is not run but 
the engine temperature is maintained at 100-102 [deg]C.
    (D) Turn off the heaters for 48 hours.
    (E) Continuously count and display the number of cycles that have 
been completed throughout the test.
    (4) Test procedure. The steps described in paragraphs (c)(3)(i) 
though (vi) of this section must be performed by the action described in 
paragraph (c)(3)(vii) of this section so that the new

[[Page 254]]

injectors are exposed only to the new test fuel. Take the following 
additional steps:
    (i) Drain the fuel from the vehicle.
    (ii) Add approximately 2 gallons of the fuel to be tested.
    (iii) Drive the vehicle for approximately 20 miles at speeds up to 
approximately 50-60 mph. Approximately every 5 miles, stop the vehicle 
and moderately accelerate. If the radiator covering is still in place, 
watch the temperature gauge during the driving and avoid overheating the 
engine. This step not only flushes the fuel system but also helps remove 
carbon (if any) from the spark plugs and water from the exhaust system.
    (iv) Drain the fuel from the vehicle and add approximately 1 to 2 
gallons of the fuel to be tested.
    (v) Drive the vehicle for approximately 5 miles. Watch the 
temperature gauge and avoid overheating the engine.
    (vi) Drain the fuel from the vehicle and add approximately 10 
gallons of the fuel to be tested. (The test consumes about 7.5 gallons 
of fuel.)
    (vii) Remove the fuel injectors and install new injectors. Run the 
engine for a few minutes to be sure it runs properly.
    (viii) Park the vehicle in the location where the test will be run.
    (ix) Connect the vehicle tail pipe to the building exhaust system.
    (x) Depending on the design of the starter control system, remove 
fuses and relays as necessary and connect the wires from the controller 
to the vehicle fuse box. Close the hood.
    (xi) Turn on the vehicle ignition switch and the security bypass 
switch if so equipped.
    (xii) Turn on the heater controller and be sure that it is working.
    (xiii) Turn on the starter controller and the vehicle should start.
    (xiv) Monitor the engine temperature for the first few cycles to be 
sure it is increasing.
    (xv) At the end of the 192-hour (8-day) test, turn off the ignition 
switch, starter controller, and heater controller. Return the fuses, 
relays, and wires to their standard configuration for normal operation 
of the vehicle.
    (xvi) Connect the Tech 2 analyzer to the ALDL connector under the 
instrument panel, and connect the fuel pressure gauge to the service 
port on the fuel rail at the back of the engine.
    (xvii) Conduct the injector balance test by following the 
instructions on the Tech 2. The injector balance test checks each 
injector individually to determine whether the poppet nozzle is stuck 
closed. First, the Tech 2 turns on the fuel pump momentarily to 
pressurize the fuel system. Then it pulses the injector for a preset 
interval. If the injector and poppet nozzle are working properly, the 
fuel system pressure will decrease gradually and smoothly by about 8 to 
10 psi during the pulsing. If the pressure does not decrease, or 
decreases very suddenly but then stops decreasing before the pulsing is 
done, the poppet is stuck closed. This procedure, beginning with 
pressurizing the fuel system, is carried out for each injector.

[79 FR 23649, Apr. 28, 2014]



Sec.  80.177  Certification test fuels for use with the alternative
test procedures and standards.

    (a) General requirements. This section provides specifications for 
the test fuels required in conjunction with the alternative national 
generic certification option described in Sec.  80.163(a)(1)(iii).
    (1) The test fuel characteristics detailed in this section must be 
reported to EPA in the detergent certification letter required pursuant 
to Sec.  80.161(b)(3).
    (2) The levels of the basic fuel parameters specified in this 
section (ethanol, olefins, aromatics, sulfur, and 90% evaporation 
distillation temperature) must be measured in accordance with applicable 
procedures in Sec.  80.46.
    (3) No detergent-active substance other than the detergent additive 
package undergoing testing may be added to a certification test fuel. 
Typical nondetergent additives, such as antioxidants, corrosion 
inhibitors, and metal deactivators, may be present in the test fuel at 
the discretion of the additive certifier. In addition, any nondetergent 
additives (other than oxygenate compounds) which are commonly blended 
into gasoline and which

[[Page 255]]

are known or suspected to affect IVD or PFID formation, or to reduce the 
ability of the detergent in question to control such deposits, should be 
added to the test fuel for certification testing.
    (4) Certification test requirements may be satisfied for a detergent 
additive using more than one batch of test fuel, provided that each 
batch satisfies all applicable test fuel requirements under this 
section.
    (5) Unless otherwise required by this section, finished test fuels 
must conform to the requirements for commercial gasoline described in 
ASTM D4814.
    (b) Test fuel for intake valve deposit testing. The following 
specifications apply for the test fuels required for use in the test 
procedure specified in Sec.  80.176(b):
    (1) The test fuel must contain no less than 8.0 volume percent and 
no more than 10.0 volume percent ethanol. Commercial fuel grade 
denatured fuel ethanol must be used that conforms to the requirement of 
Sec.  80.1610 and ASTM D4806.
    (2) The test fuel must contain no less than 8.0 volume percent 
olefins. At least 75 percent of the olefins must be derived from fluid 
catalytic cracker unit (FCC) gasoline. Such FCC gasoline can be full-
range FCC gasoline or a mixture of light and heavy FCC gasolines. Such 
FCC gasoline must be produced by a commercial gasoline refiner and meet 
the following criteria:
    (i) The FCC gasoline must be designated by the commercial refiner as 
full range FCC gasoline or whole FCC gasoline, and must have a T90 
distillation temperature greater than 300 [deg]F.
    (ii) If a mixture of light and heavy FCC gasoline is used, heavy FCC 
gasoline must contribute at least 50 percent of the sulfur in the 
mixture. Heavy FCC gasoline must meet all the following criteria:
    (A) The heavy FCC gasoline must be designated by the commercial 
refiner as heavy FCC gasoline.
    (B) The heavy FCC gasoline must have an API gravity less than 45 and 
a T90 distillation temperature greater than 325 [deg]F.
    (3) The test fuel must contain no less than 28 volume percent 
aromatics.
    (4) The test fuel must contain no less than 24 ppm sulfur. At least 
60 percent of the sulfur must be derived from FCC gasoline that meets 
the specifications in paragraph (b)(2) of this section.
    (5) The test fuel must have a T90 distillation temperature of no 
less than 290 [deg]F.
    (6) The test fuel containing no deposit control additives must 
produce no less than 500 mg averaged over all intake valves when 
subjected to the intake valve deposit test specified in Sec.  80.176(b).
    (7) All gasoline blendstocks used to formulate the test fuel must be 
representative of normal refinery operations and shall be derived from 
conversion units downstream of distillation. Butanes and pentanes may be 
used for vapor pressure adjustment. The use of chemical grade streams is 
prohibited.
    (c) Test fuel for fuel injector deposit testing: This paragraph 
provides specifications for the test fuels required for use in the test 
procedure specified in Sec.  80.176(c). The test fuel must conform to 
the specifications in either paragraph (c)(1) or (c)(2) of this section. 
The same base test fuel must be used for deposit demonstration testing 
and for demonstrating compliance with the fuel injector deposit control 
standards in Sec.  80.176(a).
    (1) Option 1. (i) The test fuel must be a commercial full boiling 
range hydrocarbon gasoline or gasoline blending component, without 
oxygenates.
    (ii) The test fuel containing no deposit control additives must 
produce at least 5 inoperable injectors valves when subjected to the 
fuel injector deposit test specified in Sec.  80.176(c).
    (2) Option 2. (i) The test fuel must meet the requirements for 
federal emissions test gasoline specified in Sec. Sec.  80.112 and 
80.113 into which 4-methylbenzenethiol has been blended as a 
concentration of 56 mg/L.
    (ii) The test fuel containing no deposit control additives must 
produce at least 4 inoperable injectors valves when subjected to the 
fuel injector deposit test specified in Sec.  80.176(c).
    (d) Materials incorporated by reference. The published materials 
identified in

[[Page 256]]

this section are incorporated by reference into this section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org;
    (i) ASTM D4806-13a, Standard Specification for Denatured Fuel 
Ethanol for Blending with Gasolines for Use as Automotive Spark-Ignition 
Engine Fuel, approved June 15, 2013.
    (ii) ASTM D4814-13b, Standard Specification for Automotive Spark-
Ignition Engine Fuel, approved December 1, 2013.
    (2) [Reserved]

[79 FR 23651, Apr. 28, 2014]



                        Subpart H_Gasoline Sulfur

    Source: 65 FR 6823, Feb. 10, 2000, unless otherwise noted.

                           General Information



Sec. Sec.  80.180-80.185  [Reserved]



Sec.  80.190  Who must register with EPA under the sulfur program?

    (a) Refiners and importers who are registered by EPA under Sec.  
80.76 are deemed to be registered for purposes of this subpart.
    (b) Refiners and importers subject to the standards in Sec.  80.195 
who are not registered by EPA under Sec.  80.76 must provide to EPA the 
information required by Sec.  80.76 by November 1, 2003, or not later 
than three months in advance of the first date that such person produces 
or imports gasoline, whichever is later.
    (c) Refiners with any refinery subject to the small refiner 
standards under Sec.  80.240, or refiners subject to the geographic 
phase-in area (GPA) standards under Sec.  80.216, who are not registered 
by EPA under Sec.  80.76 must provide to EPA the information required 
under Sec.  80.76 by December 31, 2000.
    (d) Any refiner who plans to generate credits or allotments under 
Sec.  80.305 or Sec.  80.275 in any year prior to 2004 who is not 
registered by EPA under Sec.  80.76 must register under Sec.  80.76 no 
later than September 30 of the year prior to the first year of credit 
generation. Any refiner who plans to generate credits in 2000 who is not 
registered by EPA under Sec.  80.76 must register under Sec.  80.76 no 
later than May 10, 2000.

                        Gasoline Sulfur Standards



Sec.  80.195  What are the gasoline sulfur standards for refiners
and importers?

    (a)(1) The gasoline sulfur standards for refiners and importers, 
excluding gasoline produced by small refiners subject to the standards 
at Sec.  80.240, and gasoline designated as GPA gasoline under Sec.  
80.219(a), are as follows:

------------------------------------------------------------------------
                                          Gasoline sulfur standards for
                                         the averaging period beginning:
                                        --------------------------------
                                                              January 1,
                                          January   January    2006 and
                                          1, 2004   1, 2005   subsequent
------------------------------------------------------------------------
Refinery or Importer Average...........     \(1)\     30.00        30.00
Corporate Pool Average.................    120.00     90.00        \(1)\

[[Page 257]]

 
Per-Gallon Cap.........................       300       300          80
------------------------------------------------------------------------
\1\ Not applicable.

    (2) The sulfur standards and all compliance calculations for sulfur 
under this subpart are in parts per million (ppm) and volumes are in 
gallons.
    (3) The averaging period is January 1 through December 31 of each 
year.
    (4) The standards under this paragraph (a) for all imported gasoline 
shall be met by the importer.
    (b)(1) The refinery or importer annual average gasoline sulfur 
standard is the maximum average sulfur level allowed for gasoline 
produced at a refinery or imported by an importer during each calendar 
year starting January 1, 2005.
    (2) The annual average sulfur level is calculated in accordance with 
Sec.  80.205.
    (3) The refinery or importer annual average gasoline sulfur standard 
may be met using credits as provided under Sec.  80.275 or Sec.  80.315.
    (4) In 2005 only, the refinery or importer annual average sulfur 
standard may be met using allotments or credits as provided under Sec.  
80.275, or credits as provided under Sec.  80.315. The same allotments 
used to demonstrate compliance with the corporate pool average standard 
may be used by a refinery in the corporate pool toward a demonstration 
of compliance with the refinery average standard, or by an importer for 
demonstration of compliance with the importer average standard. 
Alternatively, some of the allotments may be used toward a demonstration 
of compliance with the refinery average standard by one refinery in the 
corporate pool and the remainder used by another refinery or refineries 
in the corporate pool.
    (c)(1) The corporate pool average gasoline sulfur standards 
applicable in 2004 and 2005 are the maximum average sulfur levels 
allowed for a refiner's or importer's gasoline production from all of 
the refiner's refineries or all gasoline imported by an importer in a 
calendar year. The corporate pool average standards for a party that is 
both a refiner and an importer are the maximum average sulfur levels 
allowed for all the party's combined gasoline production from all 
refineries and imported gasoline in a calendar year.
    (2) The corporate pool average is calculated in accordance with the 
provisions of Sec.  80.205.
    (3) The corporate pool average standard may be met using sulfur 
allotments under Sec.  80.275.
    (4) The corporate pool average standards do not apply to approved 
small refiners subject to the gasoline sulfur standards under Sec.  
80.240.
    (5)(i) Joint ventures, in which two or more parties collectively own 
and operate one or more refineries, will be treated as a separate 
refiner under this section.
    (ii) One partner to a joint venture may include one or more joint 
venture refineries in its corporate pool for purposes of complying with 
the corporate pool average standards. The joint venture will be in 
compliance for such joint venture refinery(ies) if the partner's 
corporate pool average meets the corporate pool average standards. The 
joint venture entity must demonstrate compliance with the corporate pool 
average standards for any refinery(ies) owned by the joint venture that 
are not included in one partner's corporate pool.
    (iii) In the case of a refinery that is owned by a two or more 
parties that is not a joint venture under this paragraph (c)(5), the 
business entity consisting of the joint owners is the refiner of that 
refinery. One of the owners of such a refinery may include the refinery 
in its corporate pool for purposes of complying with the corporate pool 
average standards under this section, with the same requirements and 
limitations that apply under paragraph (c)(5)(ii) of this section.
    (6)(i) A parent company is the refiner of any refinery facilities 
owned by the parent company's wholly-owned subsidiaries for purposes of 
compliance with the corporate pool average standards under this section.
    (ii) A parent company must include in its corporate pool all of the 
gasoline produced at any refineries owned by the parent company and any 
refineries

[[Page 258]]

owned by the parent company's wholly-owned subsidiaries; or
    (iii) A parent company may be deemed in compliance with the 
corporate pool average standards if the parent company includes in its 
corporate pool the gasoline produced by any refineries owned by the 
parent company, and each wholly-owned subsidiary of the parent company 
individually complies with the corporate pool average standards for the 
gasoline produced at the refineries owned by the wholly-owned 
subsidiary.
    (d)(1) The per-gallon cap standard is the maximum sulfur level 
allowed for each batch of gasoline produced or imported starting January 
1, 2004.
    (2) In 2004 only, a refiner or importer may produce or import 
gasoline with a per-gallon sulfur content greater than 300 ppm, to a 
maximum of 350 ppm, provided the following conditions are met:
    (i) The refinery or importer becomes subject to an adjusted per-
gallon cap standard in 2005, calculated using the following formula:

ACS = 300-(Smax-300)

Where:

ACS = Adjusted cap standard.
Smax = Maximum sulfur content of any gasoline produced at a 
          refinery or imported by an importer during 2004.

    (ii) The adjusted cap standard calculated under paragraph (d)(2)(i) 
of this section applies to all gasoline produced at a refinery or 
imported by an importer during 2005.
    (iii) The refinery or importer remains subject to the 30.00 average 
standard under paragraph (a) of this section for 2005.
    (iv) The provisions of this paragraph (d)(2) apply to gasoline 
designated as GPA gasoline under Sec.  80.219(a).
    (v) The provisions of this paragraph (d)(2) do not apply to small 
refiners as defined in Sec.  80.225.

[65 FR 6823, Feb. 10, 2000; 65 FR 10598, Feb. 28, 2000, as amended at 67 
FR 40181, June 12, 2002]



Sec.  80.200  What gasoline is subject to the sulfur standards and
requirements?

    For the purpose of this subpart, all reformulated and conventional 
gasoline and RBOB, collectively called ``gasoline'' unless otherwise 
specified, is subject to the standards and requirements under this 
subpart, with the following exceptions:
    (a) Gasoline that is used to fuel aircraft, racing vehicles or 
racing boats that are used only in sanctioned racing events, provided 
that:
    (1) Product transfer documents associated with such gasoline, and 
any pump stand from which such gasoline is dispensed, identify the 
gasoline either as gasoline that is restricted for use in aircraft, or 
as gasoline that is restricted for use in racing motor vehicles or 
racing boats that are used only in sanctioned racing events;
    (2) The gasoline is completely segregated from all other gasoline 
throughout production, distribution and sale to the ultimate consumer; 
and
    (3) The gasoline is not made available for use as motor vehicle 
gasoline, or dispensed for use in motor vehicles, except for motor 
vehicles used only in sanctioned racing events.
    (b) California gasoline as defined in Sec.  80.375.
    (c) Gasoline that is exported for sale outside the U.S.



Sec.  80.205  How is the annual refinery or importer average and
corporate pool average sulfur level determined?

    (a) The annual refinery or importer average and corporate pool 
average gasoline sulfur level is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR10FE00.007

Where:

Sa = The refinery or importer annual average sulfur level, or 
          corporate pool average level, as applicable.
Vi = The volume of gasoline produced or imported in batch i.
Si = The sulfur content of batch i determined under Sec.  
          80.330.
n = The number of batches of gasoline produced or imported during the 
          averaging period.
i = Individual batch of gasoline produced or imported during the 
          averaging period.


[[Page 259]]


    (b) All annual refinery or importer average or corporate pool 
average calculations shall be conducted to two decimal places.
    (c) A refiner or importer may include oxygenate added downstream 
from the refinery or import facility when calculating the sulfur 
content, provided the following requirements are met:
    (1) For oxygenate added to conventional gasoline, the refiner or 
importer must comply with the requirements of Sec.  80.101(d)(4)(ii).
    (2) For oxygenate added to RBOB, the refiner or importer must comply 
with the requirements of Sec.  80.69(a).
    (d) Refiners and importers must exclude from compliance calculations 
all of the following:
    (1) Gasoline that was not produced at the refinery;
    (2) In the case of an importer, gasoline that was imported as 
Certified Sulfur-FRGAS;
    (3) Blending stocks transferred to others;
    (4) Gasoline that has been included in the compliance calculations 
for another refinery or importer; and
    (5) Gasoline exempted from standards under Sec.  80.200.
    (e)(1) A refiner or importer may exceed the refinery or importer 
annual average sulfur standard specified in Sec.  80.195 for a given 
averaging period for any calendar year through 2010, creating a 
compliance deficit, provided that in the calendar year following the 
year the standard is not met, the refinery or importer shall:
    (i) Achieve compliance with the refinery or importer annual average 
sulfur standard specified in Sec.  80.195; and
    (ii) Use additional sulfur credits sufficient to offset the 
compliance deficit of the previous year.
    (2) No refiner or importer may have a compliance deficit in any year 
after 2010. Any deficit that exists in 2010 must be made up in 2011.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40182, June 12, 2002]



Sec.  80.210  What sulfur standards apply to gasoline downstream 
from refineries and importers?

    The sulfur standard for gasoline at any point in the gasoline 
distribution system downstream from refineries and import facilities, 
including gasoline at facilities of distributors, carriers, oxygenate 
blenders, retailers and wholesale purchaser-consumers (``downstream 
location''), shall be determined in accordance with the provisions of 
this section.
    (a) Definition. S-RGAS means gasoline that is subject to the 
standards under Sec.  80.240 or Sec.  80.270, including Certified 
Sulfur-FRGAS as defined in Sec.  80.410, except that no batch of 
gasoline may be classified as S-RGAS if the actual sulfur content is 
less than the applicable per-gallon refinery cap standard specified in 
Sec.  80.195.
    (b) Standards for gasoline that does not qualify for S-RGAS 
downstream standards. The following standards apply to any gasoline that 
does not qualify for S-RGAS downstream standards under in paragraph (d) 
of this section:
    (1) Starting February 1, 2004 the sulfur content of gasoline at any 
downstream location other than at a retail outlet or wholesale 
purchaser-consumer facility, and starting March 1, 2004 the sulfur 
content of gasoline at any downstream location, shall not exceed 378 
ppm.
    (2) Except as provided in Sec.  80.220(a), starting February 1, 2005 
the sulfur content of gasoline at any downstream location other than at 
a retail outlet or wholesale purchaser-consumer facility, and starting 
March 1, 2005 the sulfur content of gasoline at any downstream location, 
shall not exceed 326 ppm.
    (3) Except as provided in Sec.  80.220(a), starting February 1, 2006 
the sulfur content of gasoline at any downstream location other than at 
a retail outlet or wholesale purchaser-consumer facility, and starting 
March 1, 2006 the sulfur content of gasoline at any downstream location, 
shall not exceed 95 ppm.
    (c) Standards for gasoline that qualifies for S-RGAS downstream 
standards. In the case of any gasoline that qualifies for S-RGAS 
downstream standards under paragraph (d) of this section, the sulfur 
standard shall be the downstream standard for the gasoline calculated 
under paragraph (f) of this section. In the case of mixtures of gasoline 
that qualify for different S-RGAS downstream standards, the sulfur 
standard

[[Page 260]]

shall be the highest downstream standard applicable to any of
the S-RGAS 
in the mixture.
    (d) Gasoline that qualifies for S-RGAS downstream standards. 
Gasoline qualifies for S-RGAS downstream standards if all of the 
following conditions are met:
    (1) The gasoline must be comprised in whole or part of S-RGAS.
    (2) Product transfer documents applicable to the gasoline when 
received at that location must represent that the gasoline contains S-
RGAS.
    (3) Except as provided in paragraph (d)(4) of this section, the 
gasoline must have been sampled and tested at that location subsequent 
to the most recent receipt of gasoline at that location, and the test 
result must show a sulfur content greater than:
    (i) 350 ppm starting February 1, 2004;
    (ii) 300 ppm starting February 1, 2005; and
    (iii) 80 ppm (or in the GPA, 300 ppm) starting February 1, 2006.
    (4) This sampling and testing condition does not apply for gasoline 
at any retail outlet, wholesale purchaser-consumer facility, or 
contained in any transport truck.
    (e) Product transfer document information for S-RGAS. (1) On each 
occasion when any refiner or importer of S-RGAS transfers custody or 
title to such gasoline, the refiner or importer shall provide to the 
transferee documents that include the following information:
    (i) Identification of the gasoline as being S-RGAS; and
    (ii) The downstream standard applicable to the batch of gasoline 
under paragraph (f) of this section.
    (2) Where gasoline in whole or part is classified as S-RGAS when 
received by the transferor, and where the gasoline transferred meets the 
conditions under paragraph (d) of this section, the transferor shall 
provide to the transferee, on each occasion when custody or title to 
gasoline is transferred, documents that include the following 
information:
    (i) Identification of the gasoline as S-RGAS; and
    (ii) The applicable downstream standard under paragraph (c) of this 
section. This does not apply when gasoline is sold or dispensed for use 
in motor vehicles at a retail outlet or wholesale purchaser-consumer 
facility.
    (3) No person shall classify gasoline as being S-RGAS except as 
provided in paragraphs (e)(1) and (e)(2) of this section.
    (4) Product codes may be used to convey the information required by 
paragraphs (e)(1) and (e)(2) of this section if such codes are clearly 
understood by each transferee.
    (5) Gasoline from a terminal tank containing S-RGAS that is combined 
with gasoline from a terminal tank containing non-S-RGAS for the purpose 
of blending mid-grade gasoline in a transport truck may be classified on 
product transfer documents as S-RGAS, provided that the S-RGAS was 
combined with non-S-RGAS for the sole purpose of producing midgrade 
gasoline.
    (6) Where S-RGAS is being delivered into a terminal storage tank 
containing non-S-RGAS which is simultaneously supplying gasoline to a 
transport truck, the terminal may identify the gasoline as S-RGAS before 
the delivery into the terminal tank is complete without performing the 
tests required in paragraph (d)(3) of this section. Upon completion of 
the delivery of S-RGAS into the terminal tank, the terminal may classify 
the gasoline as S-RGAS only if it meets the criteria for S-RGAS 
following testing in accordance with the requirements of paragraph 
(d)(3) of this section.
    (7) The information relating to S-RGAS required to be included in 
product transfer documentation under this paragraph (e) must be included 
in the product transfer documents which accompany the transfer of 
custody of the gasoline. Product transfer documents that transfer title 
of the gasoline may fulfill the requirements under this paragraph (e) by 
indicating that the required information relating to S-RGAS is contained 
in the product transfer documents which accompany the transfer of 
custody of the gasoline.
    (f) Downstream standards applicable to S-RGAS when produced or 
imported. (1) The downstream standard applicable to any gasoline 
classified as S-RGAS when produced or imported shall be calculated using 
the following equation:


[[Page 261]]


D = S + 105 x ((S + 2)/10\4\)\0.4\

Where:

D = Downstream sulfur standard.
S = The sulfur content of the refiner's batch determined under Sec.  
          80.330.

    (2) Where more than one S-RGAS batch is combined, prior to shipment, 
at the refinery or import facility where the S-RGAS is produced or 
imported, the downstream standard applicable to the mixture shall be the 
highest downstream standard, calculated under paragraph (f)(1) of this 
section, for any S-RGAS contained in the mixture.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40182, June 12, 2002]



Sec.  80.211  What are the requirements for treating imported gasoline
as blendstock?

    An importer may treat imported gasoline (as defined in Sec.  
80.2(c)) as gasoline treated as blendstock, or GTAB, under the 
provisions of Sec.  80.83 for purposes of compliance with this subpart 
H.

[70 FR 74578, Dec. 15, 2005]



Sec.  80.212  What requirements apply to oxygenate blenders?

    Effective January 1, 2004, oxygenate blenders who blend oxygenate 
into gasoline downstream of the refinery that produced the gasoline or 
the import facility where the gasoline was imported, are not subject to 
the requirements of this subpart applicable to refiners for this 
gasoline, but are subject to the requirements and prohibitions 
applicable to downstream parties and the prohibition specified in Sec.  
80.385(e).



Sec.  80.213  What alternative sulfur standards and requirements
apply to transmix processors and transmix blenders?

    Transmix processors and transmix blenders, as defined in Sec.  
80.84(a), may comply with the following requirements instead of the 
requirements and standards otherwise applicable to a refiner under 
subpart H of this part.
    (a) Any transmix processor who recovers transmix gasoline product 
(TGP), as defined in Sec.  80.84(a), from transmix through transmix 
processing under Sec.  80.84(c) must show through sampling and testing, 
using the methods in Sec.  80.330, that the TGP meets the applicable 
sulfur standards under Sec.  80.210 or Sec.  80.220, prior to the TGP 
leaving the transmix processing facility.
    (1) The applicable sulfur standard is the standard in Sec.  
80.210(b); or
    (2) If the TGP sulfur is greater than the standard in Sec.  
80.210(b), and the transmix processor has product transfer documents 
that prove the TGP was originally produced by a small refiner, hardship 
refiner, or for use in the GPA, the applicable sulfur standard for the 
TGP is the downstream sulfur standard corresponding to the original 
gasoline.
    (b) The sampling and testing required under paragraph (a) of this 
section shall be conducted following each occasion TGP is produced.
    (c) Any transmix processor who produces gasoline by adding 
blendstock to TGP must, for such blendstock, comply with all 
requirements and standards that apply to a refiner under subpart H of 
this part, and must meet the applicable downstream sulfur standards 
under Sec.  80.210 or Sec.  80.220 for the gasoline produced by blending 
blendstock and TGP, prior to the gasoline leaving the transmix 
processing facility.
    (d) Any transmix processor who produces gasoline by blending 
blendstock into TGP may meet the sampling and testing requirements of 
subpart H of this part as follows:
    (1)(i) Sample and test the blendstock when received at the transmix 
processing facility, using the methods specified in Sec.  80.330, to 
determine the volume and sulfur content, and treat each volume of 
blendstock that is blended into a volume of TGP as a separate batch for 
purposes of calculating and reporting compliance with the applicable 
annual average and per-gallon cap sulfur standards in Sec.  80.195 or 
Sec.  80.216, as applicable; or
    (ii) Use sulfur test results of the blendstock supplier provided 
that the following requirements are met:
    (A) Sampling and testing by the blendstock supplier is performed 
using the methods specified in Sec.  80.330;
    (B) Testing for the sulfur content of the blendstock in the 
supplier's storage tank must be conducted subsequent to the last receipt 
of blendstock into the supplier's storage tank from which the transmix 
processor is supplied;

[[Page 262]]

    (C) The transmix processor must obtain a copy of the blendstock 
supplier's test results, at the time of each transfer of blendstock to 
the transmix processor, that reflect the sulfur content of each load of 
blendstock supplied to the transmix processor;
    (D) The transmix processor must conduct a quality assurance program 
of sampling and testing for each blendstock supplier. The frequency of 
blendstock sampling and testing must be one sample for every 500,000 
gallons of blendstock received or one sample every 3 months, whichever 
results in more frequent sampling; and
    (E) If any of the requirements of this paragraph (d)(1)(ii) are not 
met, in whole or in part, for any blendstock blended into TGP, that 
blendstock is deemed in violation of the gasoline sulfur standards in 
Sec.  80.195.
    (2) Sample and test each batch of gasoline produced by blending 
blendstock into TGP, using the methods specified in Sec.  80.330, to 
determine the sulfur content of the batch.
    (3) The sulfur content of each batch of gasoline produced by 
blending blendstock into TGP must be no greater than the downstream 
sulfur standard under Sec.  80.210 or Sec.  80.220 applicable to the 
designation of the TGP; and
    (4) Gasoline produced by blending blendstock into TGP must be 
properly identified on product transfer documents in accordance with the 
provisions of Sec.  80.210 or Sec.  80.220, as applicable.
    (e) Any transmix blender who produces gasoline by blending transmix, 
or mixtures of gasoline and distillate fuel described in Sec.  80.84(e), 
into previously certified gasoline under Sec.  80.84(d) must meet the 
applicable downstream sulfur standards under Sec.  80.210 or Sec.  
80.220 for the gasoline produced by blending transmix and previously 
certified gasoline.
    (f) Any transmix processor or transmix blender who adds feedstocks 
to their transmix other than gasoline, distillate fuel, or gasoline 
blendstocks from pipeline interface must meet all requirements and 
standards that apply to a refiner under subpart H of this part, other 
than Sec.  80.213, for all gasoline they produce during a compliance 
period.

[71 FR 31963, June 2, 2006]



Sec.  80.214  [Reserved]

                       Geographic Phase-In Program



Sec.  80.215  What is the scope of the geographic phase-in program?

    (a) Geographic phase-in area. (1) The following states comprise the 
geographic phase-in area (GPA) subject to the provisions of the 
geographic phase-in program: North Dakota, Montana, Idaho, Wyoming, 
Utah, Colorado, New Mexico, and Alaska.
    (2) In addition, the following counties within the states identified 
in paragraph (a)(2)(i) of this section and the following Federal Indian 
reservations in paragraph (a)(2)(ii) of this section are included in the 
GPA:
    (i) The list of counties follows:

                                 Arizona

Apache
Coconino
Gila
Greenlee
Navajo

                                Nebraska

Banner
Box Butte
Cheyenne
Dawes
Deuel
Garden
Keith
Kimball
Morrill
Scotts Bluff
Sheridan
Sioux

                                 Nevada

Elko
Eureka
Humboldt
Lander
Lincoln
White Pine

                                 Oregon

Baker
Crook
Gilliam
Grant
Harney
Malheur
Morrow
Sherman
Umatilla
Union
Wallowa
Wheeler

                              South Dakota

Bennett
Butte
Corson
Custer
Dewey
Fall River
Haakon
Harding
Jackson
Jones
Lawrence
Meade
Mellette
Pennington
Perkins
Shannon
Stanley
Todd
Ziebach

                               Washington

Adams
Asotin
Benton
Chelan

[[Page 263]]


Columbia
Douglas
Ferry
Franklin
Garfield
Grant
Kittitas
Klickitat
Lincoln
Okanogan
Pend Oreille
Spokane
Stevens
Walla Walla
Whitman
Yakima

    (ii) The list of Federal Indian reservations follows: Burns Paiute, 
Cheyenne River, Colville, Duck Valley, Ely Colony, Fort Apache, Fort 
McDermitt, Goshute, Haulapai, Havasupai, Hopi, Kalispel, Navajo, Pine 
Ridge, Rosebud, Yakama, San Carlos, Spokane, Standing Rock, Summit Lake, 
Te-Moak, Umatilla, Winnemucca.
    (3) Contiguous tribal reservations of a particular tribe are 
included in the GPA if a portion of the tribal reservation is within the 
GPA state or county.
    (4) Any dispensing facility located partially within a GPA county or 
tribal reservation land shall be considered fully within the GPA for 
purposes of this program.
    (b) Duration of the program. (1) The geographic phase-in program 
applies to the 2004, 2005, and 2006 annual averaging periods, except as 
provided in paragraph (b)(2) of this section.
    (2) Subject to the provisions of Sec.  80.540, the geographic phase-
in program shall also apply to the 2007 and 2008 annual averaging period 
for refiners approved for GPA standards in 2007 and 2008 under Sec.  
80.540.
    (c) Persons eligible. Any refiner or importer who produces or 
imports gasoline for use in the geographic area under paragraph (a) of 
this section is eligible to apply for the geographic phase-in program. 
The provisions of the geographic phase-in program shall apply to 
imported gasoline through the importer.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 5136, Jan. 18, 2001; 66 
FR 19306, Apr. 13, 2001; 70 FR 70509, Nov. 22, 2005]



Sec.  80.216  What standards apply to gasoline produced or imported
for use in the GPA?

    (a) The refinery or importer annual average sulfur standard for 
gasoline produced or imported for use in the geographic phase-in area 
under Sec.  80.215, and designated as GPA gasoline under Sec.  
80.219(a), shall be 150.00 ppm.
    (b) The per-gallon cap standard for gasoline produced or imported 
for use in the GPA under paragraph (a) of this section shall be 300 ppm, 
except as specified in Sec.  80.195(d).
    (c) The refinery or importer annual average sulfur level is 
calculated in accordance with the provisions of Sec.  80.205.
    (d) The refinery or importer annual average standard under paragraph 
(a) of this section may be met using sulfur allotments or credits as 
provided under Sec. Sec.  80.275 and 80.315.
    (e) Gasoline produced by approved small refiners subject to the 
standards under Sec.  80.240 is not subject to the standards under 
paragraphs (a) and (b) of this section.
    (f)(1) A refiner or importer whose gasoline production or volume of 
imported gasoline in 2004 or 2005 is comprised of more than 50 percent 
of gasoline designated as GPA gasoline under Sec.  80.219(a) shall not 
be required to meet the corporate pool average standards under Sec.  
80.195 for its gasoline production or imported gasoline during the 
applicable averaging period.
    (2) A refiner or importer whose gasoline production or volume of 
imported gasoline in 2004 or 2005 is comprised of less than 50 percent 
of gasoline designated as GPA gasoline under Sec.  80.219(a) must meet 
the corporate pool average standards under Sec.  80.195 for all the 
refiner's gasoline production or the importer's volume of imported 
gasoline, including GPA gasoline, during the applicable averaging 
period.
    (g) The provisions for compliance deficits under Sec.  80.205(e) do 
not apply to gasoline subject to the standards under paragraphs (a) and 
(b) of this section.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19306, Apr. 13, 2001; 67 
FR 40182, June 12, 2002]



Sec.  80.217  How does a refiner or importer apply for the GPA standards?

    (a) To apply for the GPA standards under Sec.  80.216, a refiner or 
importer must submit an application in accordance with the provisions of 
Sec.  80.290.
    (b) Applications under paragraph (a) of this section must be 
submitted by May 1, 2001.
    (c)(1) If approved, EPA will notify the refiner or importer of each 
refinery's or

[[Page 264]]

the importer's annual average sulfur standard for gasoline produced for 
use in the GPA for the 2004 through 2006 annual averaging periods.
    (2) If disapproved, the refiner or importer must comply with the 
standards in Sec.  80.195 for gasoline produced for use in the GPA.
    (d) If EPA finds that a refiner or importer provided false or 
inaccurate information on its application under this section, upon 
notice from EPA, the refiner's or importer's application will be void ab 
initio.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19306, Apr. 13, 2001]



Sec.  80.218  [Reserved]



Sec.  80.219  Designation and downstream requirements for GPA gasoline.

    The requirements and prohibitions specified in this section apply 
during the period January 1, 2004 through December 31, 2006.
    (a) Designation. Any refiner or importer shall designate any 
gasoline produced or imported that is subject to the standards under 
Sec.  80.216 as ``GPA'' gasoline.
    (b) Product transfer documents. (1) On each occasion that any person 
transfers custody or title to gasoline designated as GPA gasoline, other 
than when gasoline is sold or dispensed for use in motor vehicles at a 
retail outlet or wholesale purchaser-consumer facility, the transferor 
shall provide to the transferee documents that include the following 
information:
    (i) Identification of the gasoline as being GPA gasoline;
    (ii) A statement that the gasoline may not be distributed or sold 
for use outside the geographic phase-in area.
    (2) Except for transfers to truck carriers, retailers and wholesale 
purchaser-consumers, product codes may be used to convey the information 
required by paragraph (b)(1) of this section if such codes are clearly 
understood by each transferee.
    (3) The requirements under paragraph (b)(1) of this section are in 
addition to the requirement under Sec.  80.210(e), where appropriate, to 
identify gasoline as being S-RGAS.
    (c) GPA gasoline use prohibitions. (1) All parties in the 
distribution system, including refiners, importers, distributors, 
carriers, oxygenate blenders, retailers and wholesale purchaser-
consumers, are prohibited from:
    (i) Selling, offering for sale, dispensing, distributing, storing or 
transporting GPA gasoline for use outside the geographic phase-in area; 
and
    (ii) Commingling GPA gasoline with gasoline not designated as GPA 
gasoline unless the mixture is classified as GPA gasoline.
    (2) Gasoline not designated as GPA gasoline may be distributed or 
sold for use in the geographic phase-in area.



Sec.  80.220  What are the downstream standards for GPA gasoline?

    (a) GPA gasoline. (1) During the period February 1, 2004 through 
January 31, 2005, the sulfur content of GPA gasoline at any downstream 
location other than at a retail outlet or wholesale purchaser-consumer 
facility, and during the period March 1, 2004 through February 28, 2005, 
the sulfur content of GPA gasoline at any downstream location shall not 
exceed 378 ppm.
    (2) During the period February 1, 2005 through January 31, 2007, the 
sulfur content of GPA gasoline at any downstream location other than at 
a retail outlet or wholesale purchaser-consumer facility, and during the 
period March 1, 2005 through February 28, 2007, the sulfur content of 
GPA gasoline at any downstream location shall not exceed 326 ppm.
    (b) GPA gasoline mixed with S-RGAS. Notwithstanding the requirements 
in paragraph (a) of this section, the sulfur standard applicable to a 
mixture of GPA gasoline and S-RGAS gasoline at a downstream location 
shall be the greater of the standard under paragraph (a) of this section 
or the standard determined under Sec.  80.210.
    (c) Notwithstanding paragraph (a) of this section, the sulfur 
content standard of 326 ppm at any downstream location may be extended 
as provided under Sec.  80.540(m).

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 5136, Jan. 18, 2001]

[[Page 265]]

                           Hardship Provisions



Sec.  80.225  What is the definition of a small refiner?

    (a) A small refiner is defined as any person, as defined by 42 
U.S.C. 7602(e), who: (1)(i) Produces gasoline at a refinery by 
processing crude oil through refinery processing units;
    (ii) Employed an average of no more than 1,500 people, based on the 
average number of employees for all pay periods from January 1, 1998, to 
January 1, 1999; and
    (iii) Had an average crude capacity less than or equal to 155,000 
barrels per calendar day (bpcd) for 1998.
    (2) For the purpose of determining the number of employees and crude 
capacity under paragraph (a)(1) of this section, the refiner shall 
include the employees and crude capacity of any subsidiary companies, 
any parent company and subsidiaries of the parent company, and any joint 
venture partners. A subsidiary under this paragraph means any subsidiary 
in which the refiner or parent company has a 50% or greater ownership 
interest.
    (b) The definition under paragraph (a) of this section applies to 
domestic and foreign refiners. For any refiner owned by a governmental 
entity, the number of employees as specified in paragraph (a) of this 
section shall include all employees of the governmental entity.
    (c) If, without merger with, or acquisition of, another business 
unit, a company with approved small refiner status under Sec.  80.235 
exceeds 1,500 employees, or a corporate crude capacity of 155,000 bpcd 
after January 1, 1999, it will be considered a small refiner for the 
duration of the small refiner program.
    (d) Notwithstanding the definition in paragraph (a) of this section, 
refiners who acquire a refinery after January 1, 1999, or reactivate a 
refinery that was shutdown or was non-operational between January 1, 
1998, and January 1, 1999, may apply for small refiner status in 
accordance with the provisions of Sec.  80.235.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19306, Apr. 13, 2001; 67 
FR 38340, June 3, 2002; 67 FR 40182, June 12, 2002]



Sec.  80.230  Who is not eligible for the hardship provisions for
small refiners?

    (a) The following are not eligible for the hardship provisions for 
small refiners:
    (1) Refiners with refineries built after January 1, 1999;
    (2) Refiners who exceed the employee or crude oil capacity criteria 
under Sec.  80.225(a) on January 1, 1999, but who meet these criteria 
after that date, regardless of whether the reduction in employees or 
crude capacity is due to operational changes at the refinery or a 
company sale or reorganization;
    (3) Importers; and
    (4) Refiners who produce gasoline other than by processing crude oil 
through refinery processing units.
    (b)(1)(i) Refiners who qualify as small under Sec.  80.225 and 
subsequently cease production of diesel fuel from processing crude oil 
through refinery processing units, or employ more than 1,500 people or 
exceed the 155,000 bpcd crude oil capacity limit after January 1, 2004 
as a result of merger with or acquisition of or by another entity, are 
disqualified as small refiners, except this shall not apply in the case 
of a merger between two previously approved small refiners. If 
disqualification occurs, the refiner shall notify EPA in writing no 
later than 20 days following this disqualifying event.
    (ii) Except as provided under paragraph (b)(1)(iii) of this section, 
any refiner whose status changes under this paragraph shall meet the 
applicable standards of Sec.  80.195 within a period of up to 30 months 
of the disqualifying event for any of its refineries that were 
previously subject to the small refiner standards of Sec.  80.240(a). 
However, such period shall not extend beyond December 31, 2007, or, for 
refineries for which the Administrator has approved an extension of the 
small refiner gasoline sulfur standards under Sec.  80.553(c), December 
31, 2010.
    (iii) A refiner may apply to EPA for an additional six months to 
comply with the standards of Sec.  80.195 if more than 30 months will be 
required for the necessary engineering, permitting, construction, and 
start-up work to be completed. Such applications must include detailed 
technical information

[[Page 266]]

supporting the need for additional time. EPA will base its decision to 
approve additional time on the information provided by the refiner and 
on other relevant information. In no case will EPA extend the compliance 
date beyond December 31, 2007, or, for refineries for which the 
Administrator has approved an extension of the small refiner gasoline 
sulfur standards under Sec.  80.553(c), December 31, 2010.
    (iv) During the period of time up to 30 months provided under 
paragraph (b)(1)(ii) of this section, and any extension provided under 
paragraph (b)(1)(iii) of this section, the refiner may not generate 
gasoline sulfur credits under Sec.  80.310.
    (2) Any refiner who qualifies as a small refiner under Sec.  80.225 
may elect to meet the standards under Sec.  80.195 by notifying EPA in 
writing no later than November 15 prior to the year that the change will 
occur. Any refiner whose status changes under this paragraph (b)(2) 
shall meet the standards under Sec.  80.195 beginning with the first 
averaging period subsequent to the status change.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19307, Apr. 13, 2001; 69 
FR 39167, June 29, 2004]



Sec.  80.235  How does a refiner obtain approval as a small refiner?

    (a) Applications for small refiner status must be submitted to EPA 
by December 31, 2000, except for applications submitted pursuant to 
Sec.  80.225(d), which must be submitted by June 1, 2002.
    (b) Applications for small refiner status must be sent to the 
attention of ``Gasoline Sulfur Program (Small Refiner)'' to the address 
in Sec.  80.10(a).
    (c) The small refiner status application must contain the following 
information for the company seeking small refiner status, plus any 
subsidiary companies, any parent company and subsidiaries of the parent 
company, and any joint venture partners:
    (1)(i) A listing of the name and address of each location where any 
employee worked during the 12 months preceding January 1, 1999; the 
average number of employees at each location based upon the number of 
employees for each pay period for the 12 months preceding January 1, 
1999; and the type of business activities carried out at each location; 
or
    (ii) In the case of a refiner who acquires a refinery after January 
1, 1999, or reactivates a refinery that was shutdown between January 1, 
1998, and January 1, 1999, a listing of the name and address of each 
location where any employee of the refiner worked since the refiner 
acquired or reactivated the refinery; the average number of employees at 
any such acquired or reactivated refinery during each calendar year 
since the refiner acquired or reactivated the refinery; and the type of 
business activities carried out at each location.
    (2) The total corporate crude oil capacity of each refinery as 
reported to the Energy Information Administration (EIA) of the U.S. 
Department of Energy (DOE), or, in the case of a foreign refiner, a 
comparable reputable source, such as a professional publication or trade 
journal. The information submitted to EIA or the comparable reputable 
source is presumed to be correct. In cases where a company, domestic or 
foreign, disagrees with this information, the company may petition EPA 
with appropriate data to correct the record within 60 days after the 
company submits its application for small refiner status.
    (3) A letter signed by the president, chief operating or chief 
executive officer of the company, or his/her designee, stating that the 
information contained in the application is true to the best of his/her 
knowledge.
    (4) Name, address, phone number, facsimile number and E-mail address 
(if available) of a corporate contact person.
    (d) For joint ventures, the total number of employees includes the 
combined employee count of all corporate entities in the venture.
    (e) For government-owned refiners, the total employee count includes 
all government employees.
    (f) Approval of small refiner status for refiners who apply under 
Sec.  80.225(d) will be based on all information submitted under 
paragraph (c) of this section. The information submitted must show that 
the refiner employed an average of no more than 1500 people and had an 
average crude oil capacity less

[[Page 267]]

than or equal to 155,000 bpcd. Where appropriate, the employee and crude 
oil capacity criteria for such refiners will be based on the most recent 
12 months of operation.
    (g) EPA will notify a refiner of approval or disapproval of small 
refiner status by letter.
    (1) If approved, EPA will notify the refiner of each refinery's 
applicable annual average sulfur standard, baseline volume, and per-
gallon cap standard under Sec.  80.240 for the 2004-2007 averaging 
periods.
    (2) If disapproved, the refiner must comply with the standards in 
Sec.  80.195.
    (h) If EPA finds that a refiner provided false or inaccurate 
information on its application for small refiner status, upon notice 
from EPA the refiner's small refiner status will be void ab initio.
    (i) Upon notification to EPA, an approved small refiner may withdraw 
its status as a small refiner. Effective on January 1 of the year 
following such notification, the small refiner will become subject to 
the standards at Sec.  80.195.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19307, Apr. 13, 2001; 85 
FR 7073, Feb. 6, 2020]



Sec.  80.240  What are the small refiner gasoline sulfur standards?

    (a) The gasoline sulfur standards for an approved small refiner are 
as follows:

----------------------------------------------------------------------------------------------------------------
                                          Temporary sulfur standards for small refiners applicable from January
                                                            1, 2004 through December 31, 2007
     Refinery baseline sulfur level     ------------------------------------------------------------------------
                                                    Annual average                      Per gallon cap
----------------------------------------------------------------------------------------------------------------
0 to 30................................  30.00                                300
31 to 200..............................  Baseline level                       300
201 to 400.............................  200.00                               300
401 to 600.............................  50% of baseline                      Factor of 1.5 times the average
                                                                               standard.
601 and above..........................  300.00                               450
----------------------------------------------------------------------------------------------------------------

    (b) The refinery annual average sulfur standards must be met on an 
annual calendar year basis for each refinery owned by a small refiner. 
The refinery annual average sulfur level is calculated in accordance 
with the provisions of Sec.  80.205.
    (c)(1) The refinery annual average standards specified in paragraph 
(a) of this section apply to the volume of gasoline produced by a small 
refiner's refinery up to the lesser of:
    (i) 105% of the baseline gasoline volume as determined under Sec.  
80.250(a)(1); or
    (ii) The volume of gasoline produced at that refinery during the 
averaging period by processing crude oil.
    (2) If a refiner exceeds the volume limitation in paragraph (c)(1) 
of this section during any averaging period, the annual average sulfur 
standard applicable to the refiner for that averaging period is 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR10FE00.008

Where:

Ssr = Small refiner annual average sulfur standard.
Vb = Applicable volume under paragraph (c)(1) of this 
          section.
Va = Averaging period gasoline volume.
Sb = Small refiner sulfur baseline as determined under Sec.  
          80.250.
AF = Adjustment factor (120 in 2004; 90 in 2005; and 30 in 2006 and 
          thereafter).

    (3) The small refiner average standards under paragraph (a) of this 
section may be met using sulfur allotments or credits as provided under 
Sec.  80.275 or Sec.  80.315.
    (4) The provisions for compliance deficits under Sec.  80.205(e) do 
not apply to small refiners subject to the standards under this section.
    (d) In the case of any refiner with small refiner status who 
generates sulfur allotments or credits pursuant to Sec.  80.275(a) or 
Sec.  80.305, the baseline applicable to that refiner's refinery for 
purposes of establishing the standard for the refinery under paragraph 
(a) of this section beginning in 2004 shall be the lowest annual average 
sulfur content for any year during the period in which

[[Page 268]]

the refiner generated allotments or credits.
    (e) Notwithstanding paragraph (a) of this section, the temporary 
sulfur standards for small refiners may be extended as provided under 
Sec.  80.553.
    (f)(1) In the case of a refiner without approved small refiner 
status who acquires a refinery from a refiner with approved small 
refiner status under Sec.  80.235, the applicable small refiner 
standards under paragraph (a) of this section will apply to the acquired 
small refinery for a period up to 30 months from the date of acquisition 
of the refinery, but no later than December 31, 2007, or, for a refinery 
for which the Administrator has approved an extension of the small 
refiner gasoline sulfur standards under Sec.  80.553(c), December 31, 
2010, after which time the standards of Sec.  80.195 shall apply to the 
acquired refinery.
    (2) A refiner may apply to EPA for an additional six months to 
comply with the standards of Sec.  80.195 for the acquired refinery if 
more than 30 months will be required for the necessary engineering, 
permitting, construction, and start-up work to be completed. Such 
applications must include detailed technical information supporting the 
need for additional time. EPA will base its decision to approve 
additional time on information provided by the refiner and on other 
relevant information. In no case will EPA extend the compliance date 
beyond December 31, 2007, or, for a refinery for which the Administrator 
has approved an extension of the small refiner gasoline sulfur standards 
under Sec.  80.553(c), December 31, 2010.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 5136, Jan. 18, 2001; 69 
FR 39167, June 29, 2004]



Sec.  80.245  How does a small refiner apply for a sulfur baseline?

    (a) Any refiner seeking small refiner status must apply for a 
refinery sulfur baseline by the deadline under Sec.  80.235 for each of 
the refiner's refineries by providing the following information:
    (1) A sulfur baseline and baseline volume for every refinery 
calculated in accordance with Sec.  80.250.
    (2) The following information for each batch of gasoline produced in 
1997-1998:
    (i) Batch number assigned to the batch under Sec.  80.65(d) or Sec.  
80.101(i);
    (ii) Volume; and
    (iii) Sulfur content.
    (3) For any refiner that acquires and/or reactivates a refinery that 
was shut down or non-operational between January 1, 1997, and December 
31, 1998, the average sulfur level and average volume of gasoline 
produced during each annual averaging period that the refinery was in 
operation after the refinery was acquired and/or reactivated. EPA will 
evaluate all of the information and data submitted by the refiner in 
determining the appropriate sulfur baseline for the refinery. Where EPA 
concludes that the data submitted reasonably reflects current sulfur 
levels, the refinery's baseline will be determined based on the average 
sulfur content of gasoline produced by the refinery during the most 
recent annual averaging period in which the refinery was in operation.
    (b) The sulfur baseline application must be submitted to the address 
specified in Sec.  80.235(b).
    (c)(1) Foreign refiners who do not have an approved individual 
refinery baseline under Sec.  80.94 must follow the procedures specified 
in Sec.  80.410(b).
    (2) Foreign refiners who have an approved individual refinery 
baseline under Sec.  80.94, but one that was not in effect for purposes 
of anti-dumping compliance during the 1997-1998 annual averaging 
periods, must comply with the requirements of this section for the 
gasoline produced at the refinery and imported into the United States 
during each of the annual averaging periods in which the refinery was 
subject to its individual anti-dumping baseline. EPA will evaluate all 
of the information and data submitted under this section in determining 
the foreign refinery's sulfur baseline pursuant to this paragraph. Where 
EPA concludes that the data submitted reasonably reflects current sulfur 
levels, the refinery's baseline will be determined based on the annual 
average sulfur level and volume of gasoline produced by the foreign 
refinery and imported into the U.S. during the most recent annual 
averaging

[[Page 269]]

period in which the refinery was subject to its individual anti-dumping 
baseline.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19307, Apr. 13, 2001]



Sec.  80.250  How is the small refiner sulfur baseline and volume
determined?

    (a)(1) The small refiner baseline volume is determined for each 
refinery as follows:
[GRAPHIC] [TIFF OMITTED] TR10FE00.009

Where:

VB = Baseline volume.
VI = Volume of gasoline batch i.
n = Total number of batches of gasoline produced from January 1, 1997, 
          through December 31, 1998 (or the total number of batches of 
          gasoline pursuant to Sec.  80.245(a)(3); or, for a foreign 
          refinery, the total number of batches of gasoline produced and 
          imported into the U.S. from January 1, 1997, through December 
          31, 1998, or the total number of batches of gasoline produced 
          and imported into the U.S. pursuant to Sec.  80.245(c)(2)).
i = Individual batch of gasoline produced from January 1, 1997, through 
          December 31, 1998 (or individual batch of gasoline pursuant to 
          Sec.  80.245(a)(3); or, for a foreign refinery, individual 
          batch of gasoline produced and imported into the U.S. from 
          January 1, 1997, through December 31, 1998, or individual 
          batch of gasoline produced and imported into the U.S. pursuant 
          to Sec.  80.245(c)(2)).

    (2) The small refiner sulfur baseline is determined for each 
refinery as follows:
[GRAPHIC] [TIFF OMITTED] TR10FE00.010

Where:

Sb = Small refiner sulfur baseline.
Vi = Volume of gasoline batch i.
Si = Sulfur content of batch i.
n = Total number of batches of gasoline produced from January 1, 1997, 
          through December 31, 1998 (or the total number of batches of 
          gasoline pursuant to Sec.  80.245(a)(3); or, for a foreign 
          refinery, the total number of batches of gasoline produced and 
          imported into the U.S. from January 1, 1997, through December 
          31, 1998, or the total number of batches of gasoline produced 
          and imported into the U.S. pursuant to Sec.  80.245(c)(2)).
i = Individual batch of gasoline produced from January 1, 1997, through 
          December 31, 1998 (or individual batch of gasoline produced 
          pursuant to Sec.  80.245(a)(3); or, for a foreign refinery, 
          individual batch of gasoline produced and imported into the 
          U.S. from January 1, 1997, through December 31, 1998, or 
          individual batch of gasoline produced and imported into the 
          U.S. pursuant to Sec.  80.245(c)(2)).

    (3) Any refiner who, under Sec.  80.69 or Sec.  80.101(d)(4), 
included oxygenate blended downstream in compliance calculations for 
1997-1998 must include this oxygenate in the baseline calculations for 
sulfur content under this section.
    (4) Sulfur baseline calculations under this section shall be 
conducted to two decimal places.
    (b) [Reserved]
    (c) If at any time a small refinery baseline is determined to be 
incorrect, the corrected baseline applies ab initio and the annual 
average standards and cap standards are deemed to be those applicable 
under the corrected information.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19307, Apr. 13, 2001]



Sec.  80.255  Compliance plans and demonstration of commitment to
produce low sulfur gasoline.

    The requirements of this section apply to any refiner approved for 
small refiner standards who wishes to be eligible for a hardship 
extension under Sec.  80.260.
    (a) Compliance commitment. By no later than June 1, 2004, any 
refiner who is approved for small refinery standards must submit a 
preliminary report to EPA which outlines the refiner's timeline for 
compliance and a project plan which discusses permits, capital 
commitments and engineering plans for making the necessary modifications 
to produce gasoline that meets the 30 ppm refinery average and 80 ppm 
per-gallon cap sulfur standards under Sec.  80.195 on or before January 
1, 2008. Documents showing activities and progress in these areas should 
be provided, if available.

[[Page 270]]

    (b) Demonstration of Progress. (1)(i) By no later than June 1, 2005, 
the small refiner must submit a report to EPA that states in detail the 
progress toward compliance with the 30 ppm refinery average and 80 ppm 
cap sulfur standards to date based on their timeline and project plan. 
The report must include:
    (A) Copies of approved permits for construction of the equipment, or 
the permit application if approval is still pending;
    (B) Copies of contracts for design and construction; and
    (C) Any available evidence of having secured the necessary financing 
to complete the required construction;
    (ii) If the refiner anticipates any difficulties in meeting its 
compliance commitments under this section, the refiner must submit a 
detailed report of all efforts made to date and the factors that may 
cause delay, including costs, specification of engineering or other 
design work needed and reasons for delay, specification of equipment 
needed and any reasons for delay, potential equipment suppliers and 
history of negotiations, and any other relevant information. If 
unavailability of equipment is a factor, the report must include a 
discussion of other options considered and the reasons these other 
options are not feasible.
    (2) By no later than June 1, 2006, the small refiner must submit to 
EPA evidence that on-site construction has begun and that, absent 
unforeseen difficulties, the small refiner will be producing complying 
gasoline by January 1, 2008. If construction has not begun, the refiner 
must demonstrate that it has made all reasonable efforts to begin 
construction, that substantial progress is being made to begin 
construction as soon as possible, and that construction can be completed 
in time to begin production of gasoline that complies with the standards 
of Sec.  80.195 by January 1, 2008.
    (c) Additional information. The Administrator may request any 
additional information necessary to determine a refiner's commitment 
and/or progress toward meeting the standards in Sec.  80.195 by 2008.
    (d) Failure to comply with requirements. Any small refiner who fails 
to submit the progress reports required under this section will not be 
eligible for a hardship extension under Sec.  80.260.



Sec.  80.260  What are the procedures and requirements for obtaining
a hardship extension?

    (a) An approved small refiner who has filed the reports specified in 
Sec.  80.255 may apply to EPA for a hardship extension of the small 
refiner standards for calendar years 2008 and 2009. The application must 
be submitted in writing no later than January 1, 2007, to U.S. EPA, 
Attn: Sulfur Program (6406J), 1200 Pennsylvania Ave., NW., Washington, 
DC 20460. For commercial (non-postal) delivery: U.S. EPA, Attn: Sulfur 
Program, 501 3rd Street NW, Washington, DC 20001.
    (b) The application must specify the factors that demonstrate a 
significant economic hardship and must provide a detailed discussion 
regarding the inability of the refinery to produce gasoline meeting the 
requirements of Sec.  80.195. Such an application must include, at a 
minimum, the following information:
    (1) Documentation of efforts made to obtain necessary financing, 
including:
    (i) Copies of loan applications for the necessary financing of the 
construction of appropriate sulfur reduction technology and other 
equipment procurements or improvements; and
    (ii) If financing has been disapproved or is otherwise unsuccessful, 
documents supporting the basis for that disapproval and evidence of 
efforts to pursue other means of financing;
    (2) A detailed analysis of the reasons the refinery is unable to 
produce gasoline meeting the standards of Sec.  80.195 in 2008, 
including costs, specification of equipment still needed, potential 
equipment suppliers, and efforts already completed to obtain the 
necessary equipment;
    (3) If unavailability of equipment is part of the reason for the 
inability to comply, a discussion of other options considered, and the 
reasons these other options are not feasible;
    (4) If relevant, a demonstration that a needed or lower cost 
technology is immediately unavailable, but will be available in the near 
future, and full

[[Page 271]]

information regarding when and from what sources it will be available;
    (5) Schematic drawings of the refinery configuration as of January 
1, 1999, and as of the date of the hardship extension application, and 
any planned future additions or changes;
    (6) If relevant, a demonstration that a temporary unavailability 
exists of engineering or construction resources necessary for design or 
installation of the needed equipment;
    (7) If sources of crude oil lower in sulfur than what the refiner is 
currently using are available, full information regarding the 
availability of these different crude sources, the sulfur content of 
those crude sources, the cost of the different crude sources over the 
past five years, and an estimate of gasoline sulfur levels achievable by 
the refinery if the lower sulfur crude sources were used;
    (8) A discussion of any sulfur reductions that can be achieved from 
current levels;
    (9) The date the refiner anticipates compliance with the standards 
in Sec.  80.195 can be achieved at its refinery;
    (10) An analysis of the economic impact of compliance on the 
refiner's business (including financial statements from the last 5 
years, or for any time period up to 10 years, at EPA's request); and
    (11) Any other information regarding other strategies considered, 
including strategies or components of strategies that do not involve 
installation of equipment, and why meeting the standards in Sec.  80.195 
beginning in 2008 is infeasible.
    (c) The hardship extension application must contain a letter signed 
by the president or the chief operating or chief executive officer of 
the company, or his/her designee, stating that the information contained 
in the application is true to the best of his/her knowledge.



Sec.  80.265  How will the EPA approve or disapprove a hardship
extension application?

    (a) EPA will evaluate each application for hardship extension on a 
case-by-case basis. The factors considered for a hardship extension may 
include: The refiner's financial position and efforts to obtain capital 
funding; the refiner's efforts to procure necessary equipment, obtain 
design and engineering services and construction contractors; the 
availability of desulfurization equipment; and any other relevant 
factor. An extension will be granted for a refinery for the 2008 
averaging period if the small refiner who owns the refinery adequately 
demonstrates that severe economic hardship would result if compliance 
with the standards in Sec.  80.195 is required in 2008, or that 
compliance with the standard in 2008 is not feasible for reasons beyond 
the refiner's control, and that the refiner has made the best efforts 
possible to achieve compliance with the national standards by January 1, 
2008. Upon reapplication by the refiner, if EPA determines that further 
relief is appropriate, EPA may grant a further extension through the 
2009 averaging period. In no case will a further extension for the 2009 
averaging period be granted unless the refiner demonstrates conclusively 
that it has financing in place and that it will be able to complete 
construction and meet the national gasoline sulfur standards no later 
than December 31, 2009.
    (b) EPA may request more information, if necessary, for evaluation 
of the application. If requested information is not submitted within the 
time specified in EPA's request, or any extensions granted, the 
application may be denied.
    (c) EPA will notify the refiner of approval or disapproval of 
hardship extension by letter.
    (1) If approved, EPA will also notify the refiner of the date that 
full compliance with the standards specified at Sec.  80.195 must be 
achieved or what interim sulfur levels or schedules apply, if any.
    (2) If disapproved, beginning January 1, 2008, the refinery is 
subject to the requirements in Sec.  80.195. Refiners who receive an 
extension for the 2008 averaging period shall meet the standards in 
Sec.  80.195 beginning on January 1, 2009, unless EPA grants an 
extension of the hardship relief for an additional year. If such an 
additional extension is granted, the refiner shall meet the standards in 
Sec.  80.195 on January 1, 2010.
    (d) Refiners who receive a hardship extension may be required to 
meet

[[Page 272]]

more stringent standards than those which apply to them during 2007, 
and/or could be required to offset excess sulfur levels. EPA may impose 
reasonable conditions on an extension, such as requiring segregation of 
the small refiner's gasoline or requiring the gasoline to be sold for 
use in older vehicles only.



Sec.  80.270  Can a refiner seek temporary relief from the requirements
of this subpart?

    (a) EPA may permit a refiner to produce and distribute gasoline 
which does not meet the requirements of this subpart if the refiner 
demonstrates that:
    (1) Unusual circumstances exist that impose extreme hardship and 
significantly affect ability to comply by the applicable date; and
    (2) It has made best efforts to comply with the requirements of this 
subpart (including making efforts to obtain credits and/or allotments).
    (b) Applications must be submitted to EPA by September 1, 2000. 
Relief may be granted from some or all of the requirements of this 
subpart, at EPA's discretion; however, EPA reserves the right to deny 
applications for appropriate reasons, including unacceptable 
environmental impact. Approval to distribute gasoline which does not 
meet the requirements of this subpart may be granted for such time 
period as EPA determines is appropriate, but shall not extend beyond 
January 1, 2008.
    (c)(1) Applications must include a plan demonstrating how the 
refiner will comply with the requirements of this subpart as 
expeditiously as possible. The plan shall include a showing that 
contracts are or will be in place for engineering and construction of 
desulfurization equipment, a plan for applying for and obtaining any 
permits necessary for construction, a description of plans to obtain 
necessary capital, and a detailed estimate of when the requirements of 
this subpart will be met.
    (2) Applications must include a detailed description of the refinery 
configuration and operations, including, at a minimum, the following 
information:
    (i) The portion of gasoline production that is produced using an FCC 
unit;
    (ii) The refinery's hydrotreating capacity;
    (iii) The refinery's total reformer unit throughput capacity;
    (iv) The refinery's total crude capacity;
    (v) Total crude capacity of any other refineries owned by the same 
entity;
    (vi) Total volume of gasoline production at the refinery;
    (vii) Total volume of other refinery products; and
    (viii) Geographic location(s) in which gasoline will be sold.
    (3) Applications must include, at a minimum, the following 
information:
    (i) Detailed description of efforts to obtain capital for refinery 
investments;
    (ii) Bond rating of entity that owns the refinery; and
    (iii) Estimated capital investment needed to comply with the 
requirements of this subpart by the applicable date.
    (4) Applicants must also provide any other relevant information 
requested by EPA.
    (d) EPA may impose any reasonable conditions on waivers granted 
under this section.

                        Allotment Trading Program



Sec.  80.271  How can a small refiner obtain an adjustment of its
2004-2007 per-gallon cap standard?

    (a) EPA may in its discretion adjust the small refiner per-gallon 
cap sulfur standard established for a refinery under Sec.  80.240(a) 
(the established small refiner per-gallon standard) if the refiner 
demonstrates that the burden of complying with the established small 
refiner per-gallon standard would effectively prevent the refiner from 
participating in the small refiner relief provided in Sec.  80.240. No 
refiner will be eligible for an adjustment of its established per-gallon 
standard above 450 ppm. The refinery annual average sulfur standards in 
Sec.  80.240(a) are not affected by this section.
    (b) A refiner wishing to apply for such an adjustment of its 
established small refiner per-gallon sulfur standard under Sec.  
80.240(a) must send a letter to Gasoline Sulfur Program, U.S. EPA, 
Office of Transportation and Air Quality, 2000 Traverwood Dr., Ann 
Arbor, MI 48105 no later than January 1, 2003.

[[Page 273]]

Such application must include the following information:
    (1) A detailed description of the nature of the difficulty that the 
per-gallon cap creates;
    (2) The refiner's proposed adjusted per-gallon cap standard and the 
proposed duration for the adjustment, including an explanation of how a 
lower per-gallon cap standard or shorter duration would not address the 
hardship;
    (3) The refiner's expected actual annual average sulfur level (i.e., 
prior to the use of any credits or allotments) for each year that the 
adjustment would be in effect;
    (4) The refiner's estimate of the number of gallons of gasoline it 
produces that will exceed the established small refiner per-gallon 
standard under Sec.  80.240(a) for each year that the adjusted per-
gallon cap would apply; and
    (5) The number of sulfur credits or allotments that the refiner 
estimates will be required under paragraph (d) of this section for each 
year that the adjusted per-gallon cap would apply and a plan for 
obtaining this number of credits or allotments.
    (6) Other relevant information that EPA requests.
    (c) EPA will evaluate each application for an adjusted per-gallon 
cap sulfur standard on a case-by-case basis. EPA may impose any 
reasonable conditions on adjustments granted under this section. EPA may 
in its discretion set forth the duration of the adjusted per-gallon cap 
sulfur standard but in no case shall it extend beyond December 31, 2007.
    (d)(1) A small refiner with an adjusted per-gallon sulfur cap 
standard under paragraph (a) of this section must obtain and use sulfur 
credits or allotments to offset the amount that the adjusted standard 
exceeds the established small refiner per-gallon standard under Sec.  
80.240(a). The number of sulfur credits or allotments needed for each 
year that the adjusted per-gallon cap would apply is calculated on a 
per-batch basis according to paragraph (d)(2) of this section and summed 
over the averaging period.
    (2) The formula for determining the number of sulfur credits or 
allotments that such a small refiner is required to use for any batch of 
gasoline exceeding the established small refiner per-gallon standard 
under Sec.  80.240(a) is as follows:

CRb = Vb x (Sb-Sc)

Where:

CRb = number of sulfur allotments or sulfur credits needed 
          for the gasoline batch (ppm-gallons)
Vb = Volume of the gasoline batch (gallons)
Sb = Sulfur level of the gasoline batch (ppm)
Sc = Small refiner per-gallon cap standard established for 
          that refinery under Sec.  80.240(a), in ppm.

    (3) Sulfur credits or allotments used when a small refiner exceeds 
an established per-gallon cap sulfur standard under Sec.  80.240(a) must 
be separate from and in addition to credits or allotments used for any 
other purposes provided under Sec.  80.275 or Sec.  80.315.
    (e) The approving official for an adjustment under this section is 
the Director of the Office of Transportation and Air Quality in the EPA 
Office of Air and Radiation.

[67 FR 40182, June 12, 2002]



Sec.  80.275  How are allotments generated and used?

    (a) Generation of allotments and credits in 2003. (1) During 2003 
only, any domestic or foreign refiner who produces gasoline from crude 
oil may have the option to generate credits in accordance with the 
provisions of Sec.  80.305 or generate allotments and credits under 
paragraph (a)(2) of this section.
    (2) If the average sulfur content of the gasoline produced at a 
refinery is less than the refinery's baseline as determined under Sec.  
80.295 and is 60 ppm or less, allotments and credits may be generated 
using the following procedures. This paragraph (a) does not apply to 
importers.
    (i) If the average sulfur content of the gasoline produced at a 
refinery is less than or equal to 30, and the refinery's sulfur baseline 
is greater than 120, the following procedures apply:

SATypeB = (30 - Sa) x V
SATypeA = V x 90
CR = (SBase - 120) x V

    (ii) If the average sulfur content of the gasoline produced at a 
refinery is less than or equal to 30, and the refinery's sulfur baseline 
is greater than 30

[[Page 274]]

but less than or equal to 120, the following procedures apply:

SATypeB = (30 - Sa) x V
SATypeA = (SBase - 30) x V

    (iii) If the average sulfur content of the gasoline produced at a 
refinery is less than or equal to 30, and the refinery's sulfur baseline 
is less than or equal to 30, the following procedures apply:

SATypeB = (SBase - Sa) x V

    (iv) If the average sulfur content of the gasoline produced at a 
refinery is greater than 30, and the refinery's sulfur baseline is 
greater than 120, the following procedures apply:

SATypeA = ((120 - Sa) x V) x 0.8
CR = (SBase - 120) x V

    (v) If the average sulfur content of the gasoline produced at a 
refinery is greater than 30, and the refinery's sulfur baseline is less 
than or equal to 120, the following procedures apply:

SATypeA = ((SBase - Sa) x V) x 0.8

    (vi) For purposes of the equations under paragraphs (a)(2)(i) 
through (v) of this section, the following definitions apply:

SATypeB = Type B sulfur allotments generated.
SATypeA = Type A sulfur allotments generated.
CR = Credits generated.
SBase = Refinery's sulfur baseline value under Sec.  80.295.
Sa = Average sulfur content of the gasoline produced at the 
          refinery during 2003 (or for a foreign refinery, all gasoline 
          produced during 2003 that was imported into the U.S.).
V = Volume of gasoline produced at the refinery during 2003 (or for a 
          foreign refinery, all gasoline produced during 2003 that was 
          imported into the U.S.).

    (b) Generation of allotments in 2004 and 2005. During 2004 and 2005 
only, refiners and importers that have corporate pool average sulfur 
levels below the corporate pool average standards under Sec.  80.195 may 
generate sulfur allotments separately for each year using the following 
procedures.
    (1) If the average sulfur content of the gasoline produced or 
imported is less than 30 the following procedures apply:

SATypeB = (30 - Sa) x Va
SATypeA = (SPS - 30) x Va

    (2) If the average sulfur content of the gasoline produced or 
imported is equal to or greater than 30 the following procedures apply:

SATypeA = (SPS - Sa) x Va

    (3) For purposes of the equations under paragraphs (b)(1) and (2) of 
this section, the following definitions apply:

SATypeB = Type B sulfur allotments generated.
SATypeA = Type A sulfur allotments generated.
Sa = Corporate pool average sulfur level for the year.
SPS = Corporate pool average standard (120 in 2004; 90 in 
          2005).
Va = Total volume of gasoline produced and/or imported during 
          the year.

    (4) Oxygenate blenders may not generate allotments under this 
section.
    (c) Use of sulfur allotments to meet standards. (1) Refiners and 
importers may use Type A and Type B sulfur allotments to meet the 
corporate pool average standards under Sec.  80.195, except that if 
allotments generated in 2003 or 2004 are used to meet the corporate pool 
standard in 2005 the allotments generated in 2003 or 2004 shall be 
reduced in value by 50%.
    (2)(i) Small refiners subject to the standards under Sec.  80.240, 
and refiners and importers of gasoline designated as GPA gasoline under 
Sec.  80.219(a), may use sulfur allotments to meet their annual average 
refinery or importer standards.
    (ii) Small refiners subject to the standards under Sec.  80.240 and 
that have received an adjustment of their per-gallon cap sulfur 
standards pursuant to Sec.  80.271(a) may also use sulfur allotments to 
meet the requirements of Sec.  80.271(d)(1) for any refinery that has 
received such an adjustment.
    (d) Transfers of sulfur allotments. Sulfur allotments generated 
under this section may be transferred, provided that:
    (1) No allotment may be transferred more than twice: The first 
transfer by the refiner or importer who generated the allotment may only 
be made to a refiner or importer who intends to use the allotment; if 
the transferee cannot use the allotment, it may make the

[[Page 275]]

second, and final, transfer only to a refiner or importer who intends to 
use the allotment. In no case may an allotment be transferred more than 
twice before being used or terminated.
    (2) The allotment transferor must apply any allotments necessary to 
meet the transferor's corporate pool average standard before 
transferring allotments to any other refiner or importer or before 
converting allotments into credits.
    (3) The transferor must supply to the transferee records indicating 
the year of generation and type of the allotments, the identity of the 
refiner or importer who generated the allotments, and the identity of 
the transferring party, if it is not the same part that generated the 
allotments.
    (4) The transferor must inform the transferee whether any 
transferred allotments are Type A allotments or Type B allotments, as 
defined in paragraphs (a) and (b) of this section.
    (5) In the case of allotments that have been calculated or created 
improperly, or are otherwise determined to be invalid, the following 
provisions apply:
    (i) Invalid allotments cannot be used to achieve compliance with the 
transferee's corporate pool average standard or be converted to credits, 
regardless of the transferee's good faith belief that the allotments 
were valid.
    (ii) The refiner or importer who used the allotments, and any 
transferor of the allotments, must adjust their allotment records and 
reports and sulfur calculations as necessary to reflect the proper 
allotments.
    (iii) Any allotments remaining after correcting for the improperly 
created allotments must first be applied to correct the invalid 
transfers before the transferor may transfer any other allotments or 
before converting allotments into credits.
    (e) Conversion of allotments into credits. A refiner or importer may 
convert allotments into credits using the following procedures:
    (1) Type A allotments may be converted into credits with the same 
requirements and limitations on use that apply under Sec.  80.315 to 
credits generated in 2000 through 2003.
    (2) Type B allotments may be converted into credits with the same 
requirements and limitations on use that apply under Sec.  80.315 to 
credits generated in 2004 and later, based on the year of creation of 
the allotment.
    (3) Allotments generated in 2003 or 2004 which are carried over to 
2005 are discounted by 50 percent. The discounted allotments may be used 
to demonstrate compliance with the corporate pool average standard in 
2005, or they may be converted into credits for use in demonstrating 
compliance with the refinery average standard in 2005, or in a 
subsequent averaging period, in accordance with the provisions of this 
paragraph (e). Any allotments generated in 2003 or 2004 that are 
converted into credits before being carried over to 2005 are not 
discounted. Any allotments generated in 2003 or 2004 that are converted 
into credits before being carried over to 2005 may be reconverted into 
allotments for use in demonstrating compliance with the corporate pool 
average standard in 2005, but such reconverted allotments are discounted 
by 50 percent.
    (f) Small refiners. Small refiners subject to the standards under 
Sec.  80.240 may not generate sulfur allotments under paragraph (b) of 
this section.
    (g) GPA gasoline. GPA gasoline that is included in the refiner's or 
importer's corporate pool average under Sec.  80.216(f)(2) must be 
included in the calculations under paragraph (b) of this section. No 
refiner or importer may generate allotments in 2004 or 2005 who is not 
required to meet the corporate pool average standards.
    (h) Allotments and credits under this program are in units of ``ppm-
gallons''.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40183, June 12, 2002]

    Averaging, Banking and Trading (ABT) Program--General Information



Sec.  80.280  [Reserved]



Sec.  80.285  Who may generate credits under the ABT program?

    (a) Credit generation in 2000 through 2003. (1) Credits may be 
generated in

[[Page 276]]

2000 through 2003 under Sec.  80.305 by refiners who produce gasoline 
from crude oil, and are:
    (i) Refiners who establish a sulfur baseline under Sec.  80.295 for 
a refinery;
    (ii) Foreign refiners for refineries with an approved baseline under 
Sec.  80.94, or refineries with baselines established in accordance with 
Sec.  80.290(d); or
    (iii) Small refiners for any refinery subject to the standards under 
Sec.  80.240, using their small refiner baseline established under Sec.  
80.250 for that refinery.
    (2) Importers and oxygenate blenders may not generate credits under 
Sec.  80.305.
    (b) Credit generation beginning in 2004. (1) Credits may be 
generated beginning in 2004 under Sec.  80.310 by:
    (i) Refiners for any refinery, and importers subject to the 
standards under Sec.  80.195;
    (ii) Refiners and importers of gasoline designated as GPA gasoline 
under Sec.  80.219, using the least of 150.00 ppm, or the refinery's or 
importer's 1997-98 baseline calculated under Sec.  80.295 plus 30.00 
ppm, or the refinery's lowest annual average sulfur level for any year 
from 2000 through 2003 during which the refinery generated credits or 
allotments plus 30.00 ppm (for any party generating credits under both 
paragraphs (b)(1)(i) of this section and this paragraph (b)(1)(ii), such 
credits must be calculated separately); or
    (iii) Small refiners for any refinery subject to the standards under 
Sec.  80.240, using refinery's standard established under Sec.  80.240.
    (2) Generation of credits under Sec.  80.310 for all imported 
gasoline shall be through the importer.
    (3) Oxygenate blenders may not generate credits under Sec.  80.310.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19307, Apr. 13, 2001; 67 
FR 40183, June 12, 2002; 71 FR 54912, Sept. 20, 2006]



Sec.  80.290  How does a refiner apply for a sulfur baseline?

    (a) The refiner must submit an application to EPA which includes the 
information required under paragraph (c) of this section no later than 
September 30 of the year in which the refiner plans to begin generating 
credits, or the refiner or an importer plans to sell gasoline in the 
geographic phase-in area in accordance with Sec.  80.217.
    (b) The sulfur baseline request must be sent to the attention of 
``Gasoline Sulfur Program (Sulfur Baseline)'' to the address in Sec.  
80.10(a).
    (c) The sulfur baseline application must include the following 
information:
    (1) A listing of the names and addresses of all refineries owned by 
the corporation for which the refiner is applying for a sulfur baseline.
    (2) The annual average gasoline sulfur baseline for gasoline 
produced in 1997-1998, for each refinery for which the refiner is 
applying for a sulfur baseline, calculated in accordance with Sec.  
80.295.
    (3) A letter signed by the president, chief operating or chief 
executive officer, of the company, or his/her delegate, stating that the 
information contained in the sulfur baseline determination is true to 
the best of his/her knowledge.
    (4) Name, address, phone number, facsimile number and E-mail address 
of a corporate contact person.
    (5) The following information for each batch of gasoline produced in 
1997-1998:
    (i) Batch number assigned to the batch under Sec.  80.65(d) or Sec.  
80.101(i);
    (ii) Volume; and
    (iii) Sulfur content.
    (6) For any refiner that acquires and/or reactivates a refinery that 
was shut down or non-operational between January 1, 1997, and December 
31, 1998, the average sulfur level of gasoline produced during each 
annual averaging period that the refinery was in operation after the 
refinery was acquired and/or reactivated. EPA will evaluate all of the 
data submitted by the refiner in determining the appropriate sulfur 
baseline for the refinery. Where EPA concludes that the data submitted 
reasonably reflects current sulfur levels, the refinery's baseline will 
be determined based on the average sulfur content of the refinery's 
gasoline production during the most recent annual averaging period the 
refinery was in operation.
    (d)(1) Foreign refiners who do not have an approved refinery 
baseline under Sec.  80.94 must follow the procedures specified in Sec.  
80.410(b).

[[Page 277]]

    (2) Foreign refiners who have an approved individual refinery 
baseline under Sec.  80.94, but one that was not in effect for purposes 
of anti-dumping compliance during the 1997-1998 annual averaging 
periods, must comply with the requirements of this section for the 
gasoline produced at the refinery and imported to the U.S. during each 
annual averaging period in which the refinery was subject to its 
individual anti-dumping baseline. EPA will evaluate all of the 
information and data submitted under this section in determining a 
foreign refinery's sulfur baseline pursuant to this paragraph (d). Where 
EPA concludes that the data submitted reasonably reflects current sulfur 
levels, a foreign refinery's baseline sulfur level under this paragraph 
will be determined based on the average sulfur level of gasoline 
produced by the foreign refinery and imported to the U.S. during the 
most recent annual averaging period in which the refinery was subject to 
its individual anti-dumping baseline.
    (e) Within 60 days of receipt of an application under this section, 
EPA will notify the refiner of approval of the refinery's baseline or of 
any deficiencies in the application.
    (f) If at any time the baseline submitted in accordance with the 
requirements of this section is determined to be incorrect, EPA will 
notify the refiner of the corrected baseline.
    (g) Any refiner that seeks temporary relief under Sec.  80.270 shall 
apply for a refinery sulfur baseline in accordance with the provisions 
of this section and Sec.  80.295, and if applicable, Sec.  80.410(b), no 
later than September 1, 2000.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19308, Apr. 13, 2001; 85 
FR 7073, Feb. 6, 2020]

                   ABT Program--Baseline Determination



Sec.  80.295  How is a refinery sulfur baseline determined?

    (a) A refinery's gasoline sulfur baseline for the purpose of 
generating credits during years 2000 through 2003 is calculated using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR10FE00.011

Where:

SBase = Sulfur baseline value.
Vi = Volume of gasoline batch i.
Si = Sulfur content of gasoline batch i.
n = Total number of batches of gasoline produced during January 1, 1997 
          through December 31, 1998 (or the total number of batches of 
          gasoline pursuant to Sec.  80.290(c)(6); or, for a foreign 
          refinery, the total number of batches of gasoline produced and 
          imported into the U.S. during January 1, 1997 through December 
          31, 1998, or, the total number of batches of gasoline produced 
          and imported into the U.S. pursuant to Sec.  80.290(d)(2)).
i = Individual batch of gasoline produced during January 1, 1997 through 
          December 31, 1998 (or individual batch of gasoline produced 
          pursuant to Sec.  80.290(c)(6); or, for a foreign refinery, 
          individual batch of gasoline produced and imported into the 
          U.S. during January 1, 1997 through December 31, 1998, or, 
          individual batch of gasoline produced and imported into the 
          U.S. pursuant to Sec.  80.290(d)(2)).

    (b) Any refiner who, under Sec.  80.69 or Sec.  80.101(d)(4), 
included oxygenate blended downstream in compliance calculations for 
1997-1998 for a refinery must include this oxygenate in the baseline 
calculations for sulfur content for that refinery under paragraph (a) of 
this section.
    (c) Sulfur baseline calculations under this section shall be 
conducted to two decimal places.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19308, Apr. 13, 2001]



Sec.  80.300  [Reserved]

                     ABT Program--Credit Generation



Sec.  80.305  How are credits generated during the time period 
2000 through 2003?

    (a) Credits must be calculated as follows:

CRa = Va x (SBase - Sa)

Where:

CRa = Credits generated for the averaging period.
Va = Total volume of gasoline produced during the averaging 
          period at the refinery

[[Page 278]]

          (or for a foreign refinery, the total volume of gasoline 
          produced during the averaging period at the refinery that was 
          imported into the U.S. in accordance with the requirements of 
          Sec.  80.410)
SBase = Sulfur baseline value for the refinery established 
          under Sec.  80.250 or Sec.  80.295.
Sa = Actual annual average sulfur level, calculated in 
          accordance with the provisions of Sec.  80.205, for gasoline 
          produced during the averaging period by the refinery, 
          exclusive of any credits, (or for a foreign refinery, the 
          actual average sulfur level, calculated in accordance with the 
          provisions of Sec.  80.205, for gasoline produced during the 
          averaging period at the refinery that was imported into the 
          U.S., in accordance with the requirements of Sec.  80.410, 
          exclusive of any credits.)

    (b) The refiner may include any oxygenates included in its RFG or 
conventional gasoline volume under Sec. Sec.  80.65 and 80.101(d)(4), 
respectively, for the purpose of generating credits.
    (c) Credits under this program are in units of ``ppm-gallons''.
    (d) Refiners may generate credits for gasoline produced during an 
averaging period for a refinery only if the annual average sulfur level 
for the gasoline produced at that refinery during the averaging period 
is less than 0.90 of the refinery's baseline under Sec.  80.250 or Sec.  
80.295.
    (e) Credits generated in accordance with paragraph (a) of this 
section must be identified by the year of creation.
    (f) For gasoline produced during the year 2000, the averaging period 
for credits generated in accordance with paragraph (a) of this section 
may be less than the full calendar year. Such partial-year averaging 
period will begin with the first full month for which all applicable 
sampling, testing, and documentation requirements are met.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19308, Apr. 13, 2001; 67 
FR 40183, June 12, 2002]



Sec.  80.310  How are credits generated beginning in 2004?

    (a) A refiner for any refinery, or an importer, may generate credits 
in 2004 and thereafter if the annual average sulfur level for gasoline 
produced or imported for the averaging period is less than 30.00 ppm; 
or, for refiners that are subject to the small refiner standards in 
Sec.  80.240, the small refiner annual average sulfur standard 
applicable to that refinery; or, for refiners and importers subject to 
the GPA standards in Sec.  80.216, the least of 150.00 ppm, or the 
refinery's or importer's 1997-1998 sulfur level calculated under Sec.  
80.295 plus 30.00 ppm, or the refinery's lowest annual average sulfur 
level for any year from 2000 through 2003 during which the refinery 
generated credits or allotments plus 30.00 ppm.
    (b) Credits are calculated as follows:

CRa = Va x (SCredit - Sa)

Where:

CRa = Credits generated for the averaging period.
Va = Total annual volume of gasoline produced at a refinery 
          or imported during the averaging period.
SCredit = 30.00 ppm; or the sulfur standard for a small 
          refinery established under Sec.  80.240; or, for gasoline 
          designated as GPA gasoline under Sec.  80.219, the least of 
          150.00 ppm, or the refinery's or importer's 1997-1998 sulfur 
          level calculated under Sec.  80.295 plus 30.00 ppm, or the 
          refinery's lowest annual average sulfur level for any year 
          from 2000 through 2003 during which the refinery generated 
          credits or allotments plus 30.00 ppm.
Sa = Actual annual average sulfur level, calculated in 
          accordance with the provisions of Sec.  80.205, for gasoline 
          produced at a refinery or imported during the averaging 
          period, exclusive of any credits.

    (c) Credits generated in accordance with this section must be 
identified by the year of creation.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19308, Apr. 13, 2001; 67 
FR 40184, June 12, 2002; 71 FR 54912, Sept. 20, 2006]

                         ABT Program--Credit Use



Sec.  80.315  How are credits used and what are the limitations
on credit use?

    (a) Credit use. Credits may be used to meet the applicable refinery 
or importer annual average sulfur standards under Sec.  80.195, Sec.  
80.216, or Sec.  80.240, or may be used to meet the offset requirement 
under Sec.  80.271(d)(1) for any refinery with an adjustment of itsper-
gallon cap standard pursuant to Sec.  80.271(a), provided that:
    (1) Sulfur credits used were generated pursuant to the requirements 
of this subpart; and

[[Page 279]]

    (2) The requirements of paragraphs (b) and (c) of this section are 
met.
    (b) Credit transfers. (1) Credits obtained from other persons may be 
used to meet the annual average standards specified in Sec.  80.195, 
Sec.  80.216, or Sec.  80.240, or may be used to meet the offset 
requirement under Sec.  80.271(d)(1) for any refinery with an adjustment 
of itsper-gallon cap standard pursuant to Sec.  80.271(a), if all the 
following conditions are met:
    (i) The credits are generated and reported according to the 
requirements of this subpart.
    (ii) The credits are used in compliance with the limitations 
regarding the appropriate periods for credit use in this subpart.
    (iii) Any credit transfer takes place no later than March 31 
following the calendar year averaging period when the credits are used.
    (iv) No credit may be transferred more than twice: The first 
transfer by the refiner or importer who generated the credit may only be 
made to a refiner or importer who intends to use the credit; if the 
transferee cannot use the credit, it may make the second, and final, 
transfer only to a refiner or importer who intends to use the credit. In 
no case may a credit be transferred more than twice before being used or 
terminated.
    (v) The credit transferor must apply any credits necessary to meet 
the transferor's applicable average standard before transferring credits 
to any other refiner or importer.
    (vi) No credits may be transferred that would result in the 
transferor having a negative credit balance.
    (vii) Each transferor must supply to the transferee records 
indicating the years the credits were generated, the identity of the 
refiner or importer who generated the credits, and the identity of the 
transferring party, if it is not the same party that generated the 
credits.
    (2) In the case of credits that have been calculated or created 
improperly, or are otherwise determined to be invalid, the following 
provisions apply:
    (i) Where a refiner's baseline has been determined to be incorrect 
under Sec.  80.250(c) or Sec.  80.290(f), any credits generated, banked, 
used or traded must be adjusted to reflect the corrected baseline.
    (ii) Invalid credits cannot be used to achieve compliance with the 
transferee's averaging standard, regardless of the transferee's good 
faith belief that the credits were valid.
    (iii) The refiner or importer who used the credits, and any 
transferor of the credits, must adjust their credit records and reports 
and sulfur calculations as necessary to reflect the proper credits.
    (iv) Any properly created credits existing in the transferor's 
credit balance after correcting the credit balance, and after the 
transferor applies credits as needed to meet the average standard at the 
end of the compliance year, must first be applied to correct the invalid 
transfers before the transferor trades or banks the credits.
    (c) Limitations on credit use. (1) Credits generated prior to 2004 
may only be used for demonstrating compliance with the refinery or 
importer annual average standards under Sec.  80.195 during the 2005 and 
2006 averaging periods. Such credits may be used to demonstrate 
compliance with the standards under Sec.  80.216 during the 2004 through 
2006 averaging periods, and with the standards under Sec.  80.240 during 
the 2004 through 2007 averaging periods, and the 2008 and 2009 averaging 
periods, if allowed under the terms of a hardship extension under Sec.  
80.265.
    (2) Credits generated in 2004 or later may only be used for 
demonstrating compliance with standards during an averaging period 
within five years of the year of generation.
    (3) A refiner or importer possessing credits must use all credits 
prior to falling into compliance deficit under Sec.  80.205(e).
    (4) Credits may not be used to meet corporate pool average standards 
under Sec.  80.195.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40184, June 12, 2002; 80 
FR 9095, Feb. 19, 2015]

[[Page 280]]



Sec. Sec.  80.320-80.325  [Reserved]

 Sampling, Testing and Retention Requirements for Refiners and Importers



Sec.  80.330  What are the sampling and testing requirements for 
refiners and importers?

    (a) Sample and test each batch of gasoline. (1) Refiners and 
importers shall collect a representative sample from each batch of 
gasoline produced or imported and test each sample to determine its 
sulfur content for compliance with requirements under this subpart prior 
to the gasoline leaving the refinery or import facility, using the 
sampling and testing methods provided in this section.
    (2) Except as provided in paragraph (a)(3) of this section, the 
requirements of this section apply beginning January 1, 2004, or January 
1 of the first year of allotment or credit generation under Sec.  80.275 
or Sec.  80.305, whichever is earlier.
    (3) Prior to January 1, 2004:
    (i) Any refiner may release gasoline from the refinery prior to 
obtaining the test results required under paragraph (a)(1) of this 
section.
    (ii) Any refiner of conventional gasoline may combine samples of 
gasoline from more than one batch of gasoline or blendstock prior to 
analysis and treat such composite sample as one batch of gasoline or 
blendstock pursuant to the requirements of Sec.  80.101(i)(2).
    (4)(i) Beginning January 1, 2004, any refiner who produces gasoline 
using computer-controlled in-line blending equipment is exempt from the 
requirement of paragraph (a)(1) of this section to obtain the test 
results required under paragraph (a)(1) of this section prior to the 
gasoline leaving the refinery, provided that the refiner obtains an 
exemption from this requirement from EPA. To obtain such exemption, the 
refiner must:
    (A) Have been granted an in-line blending exemption under Sec.  
80.65(f)(4); or
    (B) If the refiner has not been granted an exemption under Sec.  
80.65(f)(4), submit to EPA all of the information required under Sec.  
80.65(f)(4)(i)(A). A letter signed by the president, chief operating or 
chief executive officer of the company, or his/her designee, stating 
that the information contained in the submission is true to the best of 
his/her belief must accompany any submission under this paragraph 
(a)(4)(i)(B).
    (ii) Refiners who seek an exemption under paragraph (a)(4)(i) of 
this section must comply with any request by EPA for additional 
information or any other requirements that EPA includes as part of the 
exemption.
    (iii) Within 60 days of EPA's receipt of a submission under 
paragraph (a)(4)(i)(B) of this section, EPA will notify the refiner if 
the exemption is not approved or of any deficiencies in the refiner's 
submission, or if any additional information is required or other 
requirements are included in the exemption pursuant to paragraph 
(a)(4)(ii) of this section. In the absence of such notification from 
EPA, the effective date of an exemption under paragraph (a)(4)(i) of 
this section for refiners who do not hold an exemption under Sec.  
80.65(f)(4) is 60 days from EPA's receipt of the refiner's submission 
under paragraph (a)(4)(i)(B) of this section.
    (iv) EPA reserves the right to modify the requirements of an 
exemption under paragraph (a)(4)(i) of this section, in whole or in 
part, at any time, if EPA determines that the refiner's operation does 
not effectively or adequately control, monitor or document the sulfur 
content of the refinery's gasoline production, or if EPA determines that 
any other circumstances exist which merit modification of the 
requirements of an exemption, such as advancements in the state of the 
art for in-line blending measurement which allow for additional control 
or more accurate monitoring or documentation of sulfur content. If EPA 
finds that a refiner provided false or inaccurate information in any 
submission required for an exemption under this section, upon 
notification from EPA, the refiner's exemption will be void ab initio.
    (b) Sampling methods. For purposes of paragraph (a) of this section, 
refiners and importers shall sample each batch of gasoline by using one 
of the following methods:

[[Page 281]]

    (1) Manual sampling of tanks and pipelines shall be performed 
according to the applicable procedures specified in one of the two 
following methods:
    (i) ASTM D4057.
    (ii) Samples collected under the applicable procedures in ASTM D5842 
may be used for measuring sulfur content if there is no contamination 
present that could affect the sulfur test result.
    (2) Automatic sampling of petroleum products in pipelines shall be 
performed according to the applicable procedures specified in ASTM 
D4177.
    (c) Test method for measuring sulfur content of gasoline. (1) For 
purposes of paragraph (a) of this section, refiners and importers shall 
use the method provided in Sec.  80.46(a)(1) or one of the alternative 
test methods listed in Sec.  80.46(a)(3) to measure the sulfur content 
of gasoline they produce or import through December 31, 2015. Beginning 
January 1, 2016, for purposes of paragraph (a) of this section, refiners 
and importers shall use an approved method in Sec.  80.47.
    (2) Except as provided in Sec.  80.350 and in paragraph (c)(1) of 
this section, any ASTM sulfur test method for liquefied fuels may be 
used for quality assurance testing under Sec.  80.400, or to determine 
whether gasoline qualifies for a S-RGAS downstream standard, if the 
protocols of the ASTM method are followed and the alternative method is 
correlated to the method provided in Sec.  80.46(a)(1).
    (d) Test method for sulfur in butane. (1) Refiners and importers 
shall use the method provided in Sec.  80.46(a)(2) through December 31, 
2015 to measure the sulfur content of butane when the butane constitutes 
a batch of gasoline. Beginning January 1, 2016, refiners and importers 
shall use an approved method in Sec.  80.47 to measure the sulfur 
content of butane when the butane constitutes a batch of gasoline.
    (2) Except as provided in paragraph (d)(1) of this section, any ASTM 
sulfur test method for gaseous fuels may be used for quality assurance 
testing under Sec. Sec.  80.340(b)(4) and 80.400, if the protocols of 
the ASTM method are followed and the alternative test method is 
correlated to the method provided in Sec.  80.46(a)(2) through December 
31, 2015, or in Sec.  80.47 beginning January 1, 2016.
    (e) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D4057-12, Standard Practice for Manual Sampling of 
Petroleum and Petroleum Products, approved December 1, 2012 (``ASTM 
D4057'').
    (ii) ASTM D4177-95 (Reapproved 2010), Standard Practice for 
Automatic Sampling of Petroleum and Petroleum Products, approved May 1, 
2010 (``ASTM D4177'').
    (iii) ASTM D5842-14, Standard Practice for Sampling and Handling of 
Fuels for Volatility Measurement, approved January 15, 2014 (``ASTM 
D5842'').

[[Page 282]]

    (2) [Reserved]

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19308, Apr. 13, 2001; 68 
FR 57820, Oct. 7, 2003; 79 FR 23652, Apr. 28, 2014; 80 FR 9095, Feb. 19, 
2015]



Sec.  80.335  What gasoline sample retention requirements apply to
refiners and importers?

    (a) Sample retention requirements. Beginning January 1, 2004, or 
January 1 of the first year allotments or credits are generated under 
Sec. Sec.  80.275 and 80.305, whichever is earlier, any refiner or 
importer shall:
    (1) Collect a representative portion of each sample analyzed under 
Sec.  80.330(a), of at least 330 ml in volume;
    (2) Retain sample portions for the most recent 20 samples collected, 
or for each sample collected during the most recent 21 day period, 
whichever is greater, not to exceed 90 days for any given sample;
    (3) Comply with the gasoline sample handling and storage procedures 
under Sec.  80.330(b) for each sample portion retained; and
    (4) Comply with any request by EPA to:
    (i) Provide a retained sample portion to the Administrator's 
authorized representative; and
    (ii) Ship a retained sample portion to EPA, within 2 working days of 
the date of the request, by an overnight shipping service or comparable 
means, to the address and following procedures specified by EPA, and 
accompanied with the sulfur test result for the sample determined under 
Sec.  80.330(a).
    (b) Sample retention requirement for samples subject to independent 
analysis requirements. (1) Any refiner or importer who meets the 
independent analysis requirements under Sec.  80.65(f) for any batch of 
reformulated gasoline or RBOB will have met the requirements of 
paragraph (a) of this section, provided the independent laboratory meets 
the requirements of paragraph (a) of this section for the gasoline 
batch.
    (2) For samples retained by an independent laboratory under 
paragraph (b) of this section, the test results required to be submitted 
under paragraph (a) of this section shall be the test results determined 
under Sec.  80.65(e).
    (c) Sampling compliance certification. Any refiner or importer shall 
include with each annual report filed under Sec.  80.370, the following 
statement, which must accurately reflect the facts and must be signed 
and dated by the same person who signs the annual report:

    I certify that I have made inquiries that are sufficient to give me 
knowledge of the procedures to collect and store gasoline samples, and I 
further certify that the procedures meet the requirements of the ASTM 
procedures required under 40 CFR 80.330.

    (d) Prior to January 1, 2004, for purposes of complying with the 
requirements of this section, refiners who analyze composited samples 
under Sec.  80.330(a)(3) must retain portions of the composited samples. 
Portions of samples of each batch comprising the composited samples are 
not required to be retained.
    (e) For purposes of complying with the requirements of this section 
for RBOB, a sample of each RBOB batch produced plus a sample of the 
ethanol used to conduct the handblend testing pursuant to Sec.  80.69 
must be retained.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19309, Apr. 13, 2001]



Sec.  80.340  What standards and requirements apply to refiners 
producing gasoline by blending blendstocks into previously 
certified gasoline (PCG)?

    (a) Any refiner who produces gasoline by blending blendstock into 
PCG must meet the requirements of Sec.  80.330 to sample and test every 
batch of gasoline as follows:
    (1)(i) Sample and test to determine the volume and sulfur content of 
the PCG prior to blendstock blending.
    (ii) Sample and test to determine the volume and sulfur content of 
the gasoline subsequent to blendstock blending.
    (iii) Calculate the volume and sulfur content of the blendstock, by 
subtracting the volume and sulfur content of the PCG from the volume and 
sulfur content of the gasoline subsequent to blendstock blending. The 
blendstock is a batch for purposes of compliance calculations and 
reporting. For purposes of this paragraph (a), compliance with the 
applicable cap standard under Sec.  80.195(a) shall be determined based 
on

[[Page 283]]

the sulfur content of the gasoline subsequent to blendstock blending.
    (2) In the alternative, a refiner may sample and test each batch of 
blendstock when received at the refinery to determine the volume and 
sulfur content, and treat each blendstock receipt as a separate batch 
for purposes of compliance calculations for the annual average sulfur 
standard and for reporting. This alternative applies only if every batch 
of blendstock used at a refinery during an averaging period has a sulfur 
content that is equal to, or less than, the applicable per-gallon cap 
standard under Sec. Sec.  80.195 or 80.216.
    (b) Refiners who blend only butane into PCG may meet the sampling 
and testing requirements by using sulfur test results of the butane 
supplier, provided that the following requirements are also met:
    (1) The sulfur content of the butane received from the butane 
supplier must not exceed the following sulfur standards on a per-gallon 
basis as follows:
    (i)(A) 120 ppm in 2004;
    (B) 30 ppm from January 1, 2005 through December 31, 2016; and
    (C) 10 ppm on or after January 1, 2017.
    (ii) Except that the per-gallon sulfur content of butane blended to 
PCG that is designated as GPA gasoline shall not exceed 150 ppm from 
January 1, 2004, through December 31, 2006.
    (2) The refiner obtains test results from the butane supplier that 
demonstrate that the sulfur content of each load of butane supplied does 
not exceed the applicable per-gallon sulfur standard under paragraph 
(b)(1) of this section through test results of samples of the butane 
contained in the storage tank from which the butane blender is supplied.
    (i) Testing for the sulfur content of the butane by the supplier 
must be subsequent to each receipt of butane into the supplier's storage 
tank, or the testing must be immediately before transfer of butane to 
the butane blender.
    (ii) The testing must be performed by the method specified in Sec.  
80.46(a)(2) or by the alternative method specified in Sec.  80.46(a)(4).
    (iii) The butane blender must obtain a copy of the butane supplier's 
test results, at the time of each transfer of butane to the butane 
blender, that reflect the sulfur content of each load of butane supplied 
to the butane blender.
    (3) The sulfur content and volume of each batch of gasoline produced 
is that of the butane the refiner blends into gasoline for purposes of 
calculating compliance with the standards in Sec. Sec.  80.195 and 
80.216.
    (4) The refiner must conduct a quality assurance program of sampling 
and testing for each butane supplier that demonstrates the butane sulfur 
content does not exceed the applicable per-gallon sulfur standard in 
paragraph (b)(1) of this section. The frequency of butane sampling and 
testing, for each butane supplier, must be one sample for every 500,000 
gallons of butane received, or one sample every 3 months, whichever 
results in more frequent sampling.
    (5) If any of the requirements of this section are not met, in whole 
or in part, for any butane blended into gasoline, that butane is deemed 
in violation of the gasoline sulfur standards in Sec.  80.195 or Sec.  
80.216, as applicable.
    (c) The procedures in Sec. Sec.  80.65(i) and 80.101(g)(9) may be 
applied for purposes of demonstrating compliance with the sulfur 
standards under this subpart.
    (d) Refiners who blend only blender-grade pentane into PCG pursuant 
to the requirements of Sec.  80.85 may meet the sampling and testing 
requirements by using sulfur test results of the pentane supplier 
pursuant to the requirements Sec.  80.85, provided that the following 
requirements are also met:
    (1) The sulfur content and volume of each batch of gasoline produced 
is that of the blender-grade pentane the refiner blends into gasoline 
for purposes of calculating compliance with the standards in Sec. Sec.  
80.195 and 80.216.
    (2) If any of the requirements of this section are not met, in whole 
or in part, for any pentane blended into gasoline, that pentane is 
deemed in violation of the gasoline sulfur standards in Sec.  80.85, or 
Sec.  80.86, Sec.  80.195, Sec.  80.216 as applicable.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 67108, Dec. 28, 2001; 68 
FR 57820, Oct. 7, 2003; 79 FR 23652, Apr. 28, 2014]

[[Page 284]]



Sec.  80.345  [Reserved]



Sec.  80.350  What alternative sulfur standards and requirements
apply to importers who transport gasoline by truck?

    Importers who import gasoline into the United States by truck may 
comply with the following requirements instead of the requirements to 
sample and test every batch of gasoline under Sec.  80.330, and the 
annual sulfur average and per-gallon cap standards otherwise applicable 
to importers under Sec. Sec.  80.195 and 80.216:
    (a) Alternative standards. The imported gasoline must comply with 
the standards in paragraph (a)(1) or (a)(2) of this section as follows:
    (1) The applicable average standards, corporate average standards 
and per-gallon standards under Sec.  80.195(a)(1), except that imported 
gasoline designated for use in the geographic phase-in area from January 
1, 2004, through December 31, 2006 must comply with an average standard 
of 150 ppm and a per-gallon standard of 300 ppm; or
    (2) In 2004, a per-gallon standard of 120 ppm, and in 2005 and 
subsequent years a per-gallon standard of 30 ppm, except that imported 
gasoline designated for use in the geographic phase-in area from January 
1, 2004, through December 31, 2006 must comply with a per-gallon 
standard of 150 ppm.
    (b) Terminal testing. The importer may use test results for sulfur 
content testing conducted by the terminal operator, for gasoline 
contained in the storage tank from which trucks used to transport 
gasoline into the United States are loaded, for purposes of 
demonstrating compliance with the standards in paragraph (a) of this 
section, provided the following conditions are met:
    (1) The sampling and testing shall be performed after each receipt 
of gasoline into the storage tank, or immediately before each transfer 
of gasoline to the importer's truck.
    (2) The sampling and testing shall be performed using the methods 
specified in Sec.  80.330(b) and Sec.  80.46(a)(1) or one of the 
alternative test methods listed in Sec.  80.46(a)(3), respectively.
    (3) At the time of each transfer of gasoline to the importer's truck 
for import to the U.S., the importer must obtain a copy of the terminal 
test result that indicates the sulfur content of the truck load.
    (c) Quality assurance program. The importer must conduct a quality 
assurance program, as specified in this paragraph, for each truck 
loading terminal.
    (1) Quality assurance samples must be obtained from the truck-
loading terminal and tested by the importer, or by an independent 
laboratory, and the terminal operator must not know in advance when 
samples are to be collected.
    (2) The sampling and testing must be performed using the methods 
specified in Sec. Sec.  80.330(b) and 80.46(a)(1), respectively.
    (3) The quality assurance test results for sulfur must differ from 
the terminal test result by no more than the ASTM reproducibility of the 
terminal's test results, as determined by the following equation:

R = 105 x ((S + 2)/10\4\)\0.4\

Where:

R = ASTM reproducibility.
S = Sulfur content based on the terminal's test result.

    (4) The frequency of the quality assurance sampling and testing must 
be at least one sample for each fifty of an importer's trucks that are 
loaded at a terminal, or one sample per month, whichever is more 
frequent.
    (d) Party required to conduct quality assurance testing. The quality 
assurance program under paragraph (c) of this section shall be conducted 
by the importer. In the alternative, this testing may be conducted by an 
independent laboratory that meets the criteria under Sec.  
80.65(f)(2)(iii), provided the importer receives, no later than 21 days 
after the sample was taken, copies of all results of tests conducted.
    (e) Assignment of batch numbers. The importer must treat each truck 
load of imported gasoline as a separate batch for purposes of assigning 
batch numbers and maintaining records under Sec.  80.365, and reporting 
under Sec.  80.370.
    (f) EPA inspections of terminals. EPA inspectors or auditors, and 
auditors conducting attest engagements under

[[Page 285]]

Sec.  80.415, must be given full and immediate access to the truck-
loading terminal and any laboratory at which samples of gasoline 
collected at the terminal are analyzed, and must be allowed to conduct 
inspections, review records, collect gasoline samples, and perform 
audits. These inspections or audits may be either announced or 
unannounced.
    (g) Certified Sulfur-FRGAS. This section does not apply to Certified 
Sulfur-FRGAS.
    (h) Reporting requirements. Any importer who elects to comply with 
the alternative standards in paragraph (a) of this section shall comply 
with the following requirements:
    (1) All importer recordkeeping and reporting requirements under 
Sec. Sec.  80.365 and 80.370, except as provided in paragraph (h)(2) of 
this section.
    (2) An importer who elects to comply with the alternative standards 
in paragraph (a)(2) of this section must certify in the annual report 
whether it is in compliance with the applicable per-gallon batch 
standard set forth in paragraph (a)(2) of this section, in lieu of 
providing the information required by Sec.  80.370(a) regarding annual 
average sulfur content and compliance with the average standard under 
Sec.  80.195.
    (i) Effect of noncompliance. If any of the requirements of this 
section are not met, all gasoline imported by the truck importer during 
the time any requirements are not met is deemed in violation of the 
gasoline sulfur average and per-gallon cap standards in Sec.  80.195 or 
Sec.  80.216, as applicable. Additionally, if any requirement is not 
met, EPA may notify the importer of the violation and, if the 
requirement is not fulfilled within 10 days of notification, the truck 
importer may not in the future use the sampling and testing provisions 
in this section in lieu of the provisions in Sec.  80.330.

[38 FR 1255, Jan. 10, 1973, as amended at 68 FR 57820, Oct. 7, 2003]



Sec.  80.355  [Reserved]

                Recordkeeping and Reporting Requirements



Sec.  80.360  [Reserved]



Sec.  80.365  What records must be kept?

    (a) Records that must be kept. Beginning January 1, 2004, any person 
who produces, imports, sells, offers for sale, dispenses, distributes, 
supplies, offers for supply, stores, or transports gasoline, shall keep 
records that contain the following information:
    (1) The product transfer document information required under 
Sec. Sec.  80.77, 80.106, 80.210 and 80.219; and
    (2) For any sampling and testing for sulfur content required under 
this subpart:
    (i) The location, date, time and storage tank or truck 
identification for each sample collected;
    (ii) The name and title of the person who collected the sample and 
the person who performed the test;
    (iii) The results of the test as originally printed by the testing 
apparatus, or where no printed result is produced, the results as 
originally recorded by the person who performed the test; and
    (iv) Any record that contains a test result for the sample that is 
not identical to the result recorded under paragraph (a)(2)(iii) of this 
section.
    (b) Additional records that refiners and importers must keep. 
Beginning January 1, 2004, or January 1 of the first year allotments or 
credits are generated under Sec.  80.275 or Sec.  80.305, whichever is 
earlier, any refiner for each of its refineries, and any importer for 
the gasoline it imports, shall keep records that include the following 
information:
    (1) For each batch of gasoline produced or imported:
    (i) The batch volume;
    (ii) The batch number assigned under Sec.  80.65(d)(3) and the 
appropriate designation under paragraph (b)(1)(i) of this section; 
except that if composite samples of conventional gasoline representing 
multiple batches produced subsequent to December 31, 2003, are tested 
under Sec.  80.101(i)(2) for anti-dumping compliance purposes, for 
purposes of this subpart a separate batch number must be assigned to 
each batch

[[Page 286]]

using the batch numbering procedures under Sec.  80.65(d)(3);
    (iii) The date of production or importation; and
    (iv) If appropriate, the designation of the batch as GPA gasoline 
under Sec.  80.219, California gasoline under Sec.  80.375, exempt 
gasoline for research and development under Sec.  80.380, or for export 
outside the United States.
    (2) Information regarding credits and allotments, separately kept 
for credits and for allotments; separately kept according to the year of 
creation for the credits and for the allotments; and for credit 
generation or use starting in 2004, separately kept for GPA gasoline and 
other gasoline. Information shall be kept separately for different types 
of allotments and credits generated under Sec. Sec.  80.275(e)(1), 
80.275(e)(2), 80.305 and 80.310:
    (i) The number in the refiner's or importer's possession at the 
beginning of the averaging period;
    (ii) The number generated;
    (iii) The number used;
    (iv) If any were obtained from or transferred to other parties, for 
each other party its name, its EPA refiner or importer registration 
number, and the number obtained from, or transferred to, the other 
party;
    (v) The number that expired at the end of the averaging period;
    (vi) The number of allotments, by type, that were converted into 
credits under Sec.  80.275(e);
    (vii) The number in the refiner's or importer's possession that will 
carry over into the subsequent averaging period; and
    (viii) Contracts or other commercial documents that establish each 
transfer of credits and allotments from the transferor to the 
transferee.
    (3) The calculations used to determine the applicable refiner 
baseline under Sec.  80.250 or Sec.  80.295.
    (4) The calculations used to determine compliance with the 
applicable sulfur average standards of Sec.  80.195, Sec.  80.216, Sec.  
80.240, or Sec.  80.270.
    (5) The calculations used to determine the number of credits or 
allotments generated under Sec.  80.305, Sec.  80.310 or Sec.  80.275.
    (6) The calculations used to determine any applicable adjusted cap 
standard under Sec.  80.195(d).
    (7) A copy of all reports submitted to EPA under Sec.  80.370.
    (8) In the case of parties who process transmix, records of any 
sampling and testing required under Sec.  80.213.
    (c) Additional records importers must keep. Any importer shall keep 
records that identify and verify the source of each batch of certified 
Sulfur-FRGAS and non-certified Sulfur-FRGAS imported and demonstrate 
compliance with the requirements for importers under Sec.  80.410(o).
    (d) Length of time records must be kept. The records required in 
this section shall be kept for five years from the date they were 
created; except that:
    (1) Transfers of credits and allotments. Records relating to credit 
and allotment transfers, except as provided in paragraph (d)(2) of this 
section, shall be kept by the transferor for 5 years from the date the 
credits or allotments are transferred, and shall be kept by the 
transferee for 5 years from the date the credits or allotments were 
transferred, used or terminated, whichever is later.
    (2) Early credits and allotments. (i) Where the party generating the 
credits or allotments does not transfer the credits or allotments, 
records must be kept for 5 years from the date of creation, use, or 
termination, whichever is later.
    (ii) Where early credits or allotments are transferred, records 
relating to such credits or allotments shall be kept by both parties for 
5 years from the date the credits or allotments were transferred, used, 
or terminated, whichever is later.
    (e) Make records available to EPA. On request by EPA the records 
required in paragraphs (a), (b) and (c) of this section shall be 
provided to the Administrator's authorized representative. For records 
that are electronically generated or maintained the equipment and 
software necessary to read the records shall be made available, or if 
requested by EPA, electronic records shall be converted to paper 
documents

[[Page 287]]

which shall be provided to the Administrator's authorized 
representative.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40184, June 12, 2002; 71 
FR 31964, June 2, 2006]



Sec.  80.370  What are the sulfur reporting requirements?

    Beginning with the 2004 averaging period, or the first year credits 
or allotments are generated under Sec.  80.275 or Sec.  80.305, 
whichever is earlier, and continuing for each averaging period 
thereafter, any refiner or importer shall submit to EPA annual reports 
that contain the information required in this section, and such other 
information as EPA may require.
    (a) Refiner and importer annual reports. Any refiner, for each of 
its refineries, and any importer for the gasoline it imports, shall 
submit a report for each calendar year averaging period that includes 
the following information, and in the case of a refiner or importer 
producing or importing both GPA gasoline and other gasoline, the 
information shall be separately reported:
    (1) The EPA importer, or refiner and refinery facility registration 
numbers;
    (2) The applicable baseline, average standard, and adjusted cap 
standard as follows:
    (i) For the years 2000 through 2003, the applicable baseline under 
Sec.  80.250 or Sec.  80.295.
    (ii) For the 2004 averaging period and subsequent averaging periods:
    (A) All applicable average standards under Sec.  80.195, Sec.  
80.216, Sec.  80.240 or Sec.  80.270;
    (B) All applicable adjusted cap standards under Sec.  80.195(d), 
with the 2005 report identifying both the 2004 and 2005 applicable 
adjusted cap standards;
    (3) The total volume of gasoline produced or imported;
    (4) The annual average sulfur level of the gasoline produced or 
imported;
    (5) The annual average sulfur level after inclusion of any credits 
and allotments;
    (6) Information, separately provided, for credits and allotments, 
and separately by year of creation, as follows:
    (i) The number of credits and allotments at the beginning of the 
averaging period;
    (ii) The number of credits and allotments generated;
    (iii) The number of credits and allotments used;
    (iv) If any credits or allotments were obtained from or transferred 
to other parties, for each other party its name and EPA refiner or 
importer registration number, and the number of credits or allotments 
obtained from or transferred to the other party;
    (v) The number of credits and allotments that expired at the end of 
the averaging period;
    (vi) The number of credits and allotments that will carry over into 
the subsequent averaging period; and
    (vii) The number of each type of allotments converted to credits;
    (7) For each batch of gasoline produced or imported during the 
averaging period:
    (i) The batch number assigned under Sec.  80.65(d)(3) and the 
appropriate designation under Sec.  80.365; except that if composite 
samples of conventional gasoline representing multiple batches produced 
subsequent to December 31, 2003, are tested under Sec.  80.101(i)(2) for 
anti-dumping compliance purposes, for purposes of this subpart a 
separate batch number must be assigned to each batch using the batch 
numbering procedures under Sec.  80.65(d)(3);
    (ii) The date the batch was produced;
    (iii) The volume of the batch; and
    (iv) The sulfur content of the batch, along with identification of 
the test method used to measure the sulfur content of the batch, as 
determined under Sec.  80.330; and
    (v) For any batch of small refiner gasoline produced by any refinery 
with an adjustment of its per-gallon cap standard under Sec.  80.271(a), 
the number of sulfur credits or allotments required under paragraph 
(d)(1) of this section, the number of credits or allotments used, and 
the source(s) of these credits or allotments.
    (8) When submitting reports under this paragraph (a), any importer 
shall exclude certified Sulfur-FRGAS.
    (b) Additional reporting requirements for importers. Any importer 
shall report the following information for Sulfur-FRGAS imported during 
the averaging period:

[[Page 288]]

    (1) The EPA refiner and refinery registration numbers of each 
foreign refiner and refinery where the certified Sulfur-FRGAS was 
produced; and
    (2) The total gallons of certified Sulfur-FRGAS and non-certified 
Sulfur-FRGAS imported from each foreign refiner and refinery.
    (c) Corporate pool average reports. (1) Annual reports filed under 
this section for the 2004 and 2005 averaging periods must include the 
party's corporate pool average as determined under Sec.  80.205.
    (2) If the party submitting the annual report under paragraph (c)(1) 
of this section is a refiner with more than one refinery or is a refiner 
who also imports gasoline, then for the purposes of this paragraph, the 
party shall report the information required for individual refineries 
and for importers under paragraph (a) of this section, also in the 
aggregate for all the gasoline produced and imported during the calendar 
year.
    (3) Refiners and importers exempted from corporate pool standards 
under Sec.  80.216 or Sec.  80.240 are exempt from reporting the 
information required under paragraphs (c)(1) and (c)(2) of this section.
    (4) A parent company must identify in the corporate pool average 
reports required under paragraph (c)(1) of this section any refinery 
facilities owned by the parent company, any subsidiaries wholly-owned by 
the parent company, and any refinery facilities of the parent company's 
wholly-owned subsidiaries, except as provided in paragraph (c)(5) of 
this section.
    (5) Where the wholly-owned subsidiaries of a parent company comply 
with the corporate pool average standards individually pursuant to Sec.  
80.195(c)(6)(ii):
    (i) The corporate pool average reports required under paragraph 
(c)(1) of this section must be submitted by each wholly-owned subsidiary 
of the parent company;
    (ii) Each wholly-owned subsidiary of the parent company must 
identify in the corporate pool average reports required under paragraph 
(c)(1) of this section the subsidiary's parent company and any refinery 
facilities of the subsidiary; and
    (iii) The parent company must submit the corporate pool average 
reports required under paragraph (c)(1) of this section for any refinery 
facilities owned by the parent company which are not the refinery 
facilities of the parent company's wholly-owned subsidiaries.
    (d) Report submission. Any annual report required under this section 
shall be:
    (1) Signed and certified as meeting all of the applicable 
requirements of this subpart by the owner or a responsible corporate 
officer of the refiner or importer; and
    (2) Submitted to EPA by March 31 for the prior calendar year 
averaging period.
    (e) [Reserved]
    (f) Attest reports. Attest reports for refiner and importer attest 
engagements required under Sec.  80.415 shall be submitted to the 
Administrator by June 1 of each year for the prior calendar year 
averaging period.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40184, June 12, 2002; 79 
FR 23652, Apr. 28, 2014]



Sec. Sec.  80.371-80.373  [Reserved]

                               Exemptions



Sec.  80.374  What if a refiner or importer is unable to produce
gasoline conforming to the requirements of this subpart?

    In appropriate extreme and unusual circumstances (e.g., natural 
disaster or Act of God) which are clearly outside the control of the 
refiner or importer and which could not have been avoided by the 
exercise of prudence, diligence, and due care, EPA may permit a refiner 
or importer, for a brief period, to distribute gasoline which does not 
meet the requirements of this subpart provided the refiner or importer 
meets all the criteria, requirements and conditions contained in Sec.  
80.73 (a) through (e).



Sec.  80.375  What requirements apply to California gasoline?

    (a) Definition. For purposes of this subpart California gasoline 
means any gasoline designated by the refiner as for use in California.

[[Page 289]]

    (b) California gasoline exemption. California gasoline that complies 
with all the requirements of this section is exempt from all other 
provisions of this subpart.
    (c) Requirements for California gasoline. The requirements are:
    (1) Each batch of California gasoline must be designated as such by 
its refiner or importer;
    (2) Designated California gasoline must be kept segregated from 
gasoline that is not California gasoline, at all points in the 
distribution system;
    (3) Designated California gasoline must ultimately be used in the 
State of California and not used elsewhere;
    (4) In the case of California gasoline produced outside the State of 
California, the transferors and transferees must meet the product 
transfer document requirements under Sec.  80.81(g); and
    (5) Gasoline that is ultimately used in any part of the United 
States outside of the State of California must comply with the standards 
and requirements of this subpart, regardless of any designation as 
California gasoline.
    (d) Use of California test methods and off site sampling procedures. 
In the case of any gasoline that is not California gasoline and that is 
either produced at a refinery located in the State of California or is 
imported from outside the United States into the State of California, 
the refiner or importer may, with regard to such gasoline:
    (1) Use the sampling and testing methods approved in Title 13 of the 
California Code of Regulations instead of the sampling and testing 
methods required under Sec.  80.330; and
    (2) Determine the sulfur content of gasoline at off site tankage as 
permitted in Sec.  80.81(h)(2).



Sec.  80.380  What are the requirements for obtaining an exemption
for gasoline used for research, development or testing purposes?

    Any person may request an exemption from the provisions of this 
subpart for gasoline used for research, development or testing (``R&D'') 
purposes by submitting to EPA an application that includes all the 
information listed in paragraph (b) of this section.
    (a) Criteria for an R&D exemption. For an R&D exemption to be 
granted, the proposed test program must:
    (1) Have a purpose that constitutes an appropriate basis for 
exemption;
    (2) Necessitate the granting of an exemption;
    (3) Be reasonable in scope; and
    (4) Have a degree of control consistent with the purpose of the 
program and EPA's monitoring requirements.
    (b) Information required to be submitted. To demonstrate each of the 
four elements in paragraphs (a)(1) through (4) of this section, the 
application required under this section must include the following 
information:
    (1) A statement of the purpose of the program demonstrating that the 
program has an appropriate R&D purpose.
    (2) An explanation of why the stated purpose of the program cannot 
be achieved in a practicable manner without performing one or more of 
the prohibited acts under Sec.  80.385.
    (3) To demonstrate the reasonableness of the scope of the program:
    (i) An estimate of the program's beginning and ending dates;
    (ii) An estimate of the maximum number of vehicles and engines 
involved in the program, and the number of miles and engine hours that 
will be accumulated on each;
    (iii) The sulfur content of the gasoline expected to be used in the 
program; and
    (iv) The quantity of gasoline that exceeds the applicable sulfur 
standard that is expected to be used in the program.
    (4) With regard to control, a demonstration that the program affords 
EPA a monitoring capability, including at a minimum:
    (i) A description of the technical and operational aspects of the 
program;
    (ii) The site(s) of the program (including street address, city, 
county, State, and ZIP code);
    (iii) The manner in which information on vehicles and engines used 
in the program will be recorded and made available to EPA;
    (iv) The manner in which results of the program will be recorded and 
made available to EPA;
    (v) The manner in which information on the gasoline used in the 
program (including quantity, sulfur content, name, address, telephone 
number and

[[Page 290]]

contact person of the supplier, and the date received from the 
supplier), will be recorded and made available to EPA;
    (vi) The manner in which distribution pumps will be labeled to 
insure proper use of the gasoline where appropriate;
    (vii) The name, address, telephone number and title of the person(s) 
in the organization requesting an exemption from whom further 
information on the application may be obtained; and
    (viii) The name, address, telephone number and title of the 
person(s) in the organization requesting an exemption who is responsible 
for recording and making available the information specified in 
paragraphs (b)(4)(iii), (iv) and (v) of this section, and the location 
in which such information will be maintained.
    (c) Additional requirements. (1) The product transfer documents 
associated with R&D gasoline must identify the gasoline as such, and 
must state that the gasoline is to be used only for research, 
development, or testing purposes.
    (2) The R&D gasoline must be designated by the refiner or importer 
as exempt R&D gasoline.
    (3) The R&D gasoline must be kept segregated from non-exempt 
gasoline at all points in the distribution system of the gasoline.
    (4) The R&D gasoline must not be sold, distributed, offered for sale 
or distribution, dispensed, supplied, offered for supply, transported to 
or from, or stored by a gasoline retail outlet, or by a wholesale 
purchaser-consumer facility, unless the wholesale purchaser-consumer 
facility is associated with the R&D program that uses the gasoline.
    (d) Memorandum of exemption. The Administrator will grant an R&D 
exemption upon a demonstration that the requirements of this section 
have been met. The R&D exemption will be granted in the form of a 
memorandum of exemption signed by the applicant and the Administrator 
(or delegate), which may include such terms and conditions as the 
Administrator determines necessary to monitor the exemption and to carry 
out the purposes of this section, including restoration of motor vehicle 
emissions control systems. Any violation of such a term or condition of 
the exemption or any requirement under this section will cause the 
exemption to be void ab initio.
    (e) Effects of exemption. Gasoline that is subject to an R&D 
exemption under this section is exempt from other provisions of this 
subpart provided that the gasoline is used in a manner that complies 
with the memorandum of exemption granted under paragraph (d) of this 
section.



Sec.  80.382  What requirements apply to gasoline for use in American
Samoa, Guam and the Commonwealth of the Northern Mariana Islands?

    The gasoline sulfur standards of Sec. Sec.  80.195 and 80.240(a) do 
not apply to gasoline that is produced, imported, sold, offered for 
sale, supplied, offered for supply, stored, dispensed, or transported 
for use in the Territories of Guam, American Samoa or the Commonwealth 
of the Northern Mariana Islands, provided that such gasoline is:
    (a) Designated by the refiner or importer as high sulfur gasoline 
only for use in Guam, American Samoa, or the Commonwealth of the 
Northern Mariana Islands;
    (b) Used only in Guam, American Samoa, or the Commonwealth of the 
Northern Mariana Islands;
    (c) Accompanied by documentation that complies with the product 
transfer document requirements of Sec.  80.365; and
    (d) Segregated from non-exempt high sulfur fuel at all points in the 
distribution system from the point the fuel is designated as exempt fuel 
only for use in Guam, American Samoa, or the Commonwealth of the 
Northern Mariana Islands, while the exempt fuel is in the United States 
but outside these Territories.

[71 FR 78093, Dec. 28, 2006]

                          Violation Provisions



Sec.  80.385  What acts are prohibited under the gasoline sulfur
program?

    No person shall:
    (a) Averaging violation. Produce or import gasoline that does not 
comply with the applicable sulfur average

[[Page 291]]

standard under Sec.  80.195, Sec.  80.216 or Sec.  80.240.
    (b) Cap standard violation. Produce, import, sell, offer for sale, 
dispense, supply, offer for supply, store or transport gasoline that 
does not comply with the applicable sulfur cap standard under Sec.  
80.195, Sec.  80.216, Sec.  80.210, Sec.  80.220, Sec.  80.240, or does 
not comply with an adjusted cap standard approved for a small refiner 
under Sec.  80.271.
    (c) Causing an averaging, cap standard, or geographic phase-in area 
(GPA) use violation. Cause another person to commit an act in violation 
of paragraph (a), (b), or (f) of this section.
    (d) Causing violating gasoline to be in the distribution system. 
Cause gasoline to be in the distribution system which does not comply 
with an applicable sulfur cap standard under Sec.  80.195, Sec.  80.210, 
Sec.  80.216, Sec.  80.220 or Sec.  80.240; a sulfur average standard 
under Sec.  80.195, Sec.  80.216 or Sec.  80.240; or a GPA use 
prohibition under Sec.  80.219(c).
    (e) Denatured fuel ethanol violation. (1) Through December 31, 2016, 
blend into gasoline any denatured fuel ethanol with a sulfur content 
higher than 30 ppm.
    (2) Beginning January 1, 2017 and thereafter, blend into gasoline 
any denatured fuel ethanol with a sulfur content higher than 10 ppm.
    (f) GPA use violation. Produce, import, sell, offer for sale, 
dispense, supply, offer for supply, store or transport gasoline that 
does not comply with a GPA use prohibition under Sec.  80.219(c).
    (g) Failure to use sufficient sulfur credits or allotments to offset 
a per-gallon cap adjustment. For a small refiner that has an approved 
adjustment of its per-gallon cap sulfur standard for a refinery under 
Sec.  80.271, to fail to obtain (or generate) and use the required 
number of sulfur credits or allotments to offset the revised per-gallon 
cap sulfur standard under Sec.  80.217(d).

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40184, June 12, 2002; 79 
FR 23653, Apr. 28, 2014]



Sec.  80.390  What evidence may be used to determine compliance 
with the prohibitions and requirements of this subpart and liability
for violations of this subpart?

    (a) Compliance with the sulfur standards of this subpart shall be 
determined based on the sulfur level of the gasoline, measured using the 
methodologies specified in Sec. Sec.  80.330(b) and 80.46(a). Any 
evidence or information, including the exclusive use of such evidence or 
information, may be used to establish the sulfur level of gasoline if 
the evidence or information is relevant to whether the sulfur level of 
gasoline would have been in compliance with the standards if the 
appropriate sampling and testing methodology had been correctly 
performed. Such evidence may be obtained from any source or location and 
may include, but is not limited to, test results using methods other 
than those specified in Sec. Sec.  80.330(b) and 80.46(a), business 
records, and commercial documents.
    (b) Determinations of compliance with the requirements of this 
subpart other than the sulfur standards, and determinations of liability 
for any violation of this subpart, may be based on information obtained 
from any source or location. Such information may include, but is not 
limited to, business records and commercial documents.



Sec.  80.395  Who is liable for violations under the gasoline sulfur 
program?

    (a) Persons liable for violations of prohibited acts--(1) Averaging 
violation. Any refiner or importer who violates Sec.  80.385(a) is 
liable for the violation.
    (2) Causing an averaging violation. Any refiner, importer, 
distributor, reseller, carrier, retailer, wholesale purchaser-consumer, 
or oxygenate blender who causes another party to violate Sec.  
80.385(a), is liable for a violation of Sec.  80.385(c).
    (3) Cap standard violation. Any refiner, importer, distributor, 
reseller, carrier, retailer, wholesale purchaser-consumer, or oxygenate 
blender who owned, leased, operated, controlled or supervised a facility 
where a violation of Sec.  80.385 (b) occurred, is deemed in violation 
of Sec.  80.385(b).

[[Page 292]]

    (4) Causing a cap standard violation. Any refiner, importer, 
distributor, reseller, carrier, retailer, wholesale purchaser-consumer, 
or oxygenate blender who produced, imported, sold, offered for sale, 
dispensed, supplied, offered for supply, stored, transported, or caused 
the transportation or storage of gasoline that violates Sec.  80.385(b), 
is deemed in violation of Sec.  80.385(c).
    (5) GPA use violation. Any refiner, importer, distributor, reseller, 
carrier, retailer, wholesale purchaser-consumer, or oxygenate blender 
who owned, leased, operated, controlled or supervised a facility where a 
violation of Sec.  80.385(f) occurred, is deemed in violation of Sec.  
80.385(f).
    (6) Causing a GPA use violation. Any refiner, importer, distributor, 
reseller, carrier, retailer, wholesale purchaser-consumer, or oxygenate 
blender who produced, imported, sold, offered for sale, dispensed, 
supplied, offered for supply, stored, transported, or caused the 
transportation or storage of gasoline that violates Sec.  80.385(f), is 
deemed in violation of Sec.  80.385(c).
    (7) Branded refiner/importer liability. Any refiner or importer 
whose corporate, trade, or brand name, or whose marketing subsidiary's 
corporate, trade, or brand name appeared at a facility where a violation 
of Sec.  80.385(b) or (f) occurred, is deemed in violation of Sec.  
80.385(b) or (f), as applicable.
    (8) Causing violating gasoline to be in the distribution system. Any 
refiner, importer, distributor, reseller, carrier, or oxygenate blender, 
who owned, leased, operated, controlled or supervised a facility from 
which gasoline was released into the distribution system which does not 
comply with an applicable sulfur cap standard, a sulfur averaging 
standard, or a GPA use prohibition, is deemed in violation of Sec.  
80.385(d).
    (9) Carrier causation. In order for a carrier to be liable under 
paragraph (a)(2), (4), (6), or (8) of this section, EPA must 
demonstrate, by reasonably specific showing by direct or circumstantial 
evidence, that the carrier caused the violation.
    (10) Denatured ethanol violation. Any oxygenate blender who violates 
Sec.  80.385(e) is liable for the violation.
    (11) Parent corporation liability. Any parent corporation is liable 
for any violations of this subpart that are committed by any of its 
wholly-owned subsidiaries.
    (12) Joint venture and joint owner liability. Each partner to a 
joint venture, or each owner of a facility owned by two or more owners, 
is jointly and severally liable for any violation of this subpart that 
occurs at the joint venture facility or facility owned by the joint 
owners, or is committed by the joint venture operation or any of the 
joint owners of the facility.
    (13) Failure to use credits violation. Any small refiner that has an 
approved adjustment of its per-gallon cap under Sec.  80.271 and that 
does not obtain (or generate) and use the required number of sulfur 
credits or allotments under Sec.  80.271(d) by the time it submits its 
annual report under Sec.  80.370 is deemed in violation of Sec.  
80.385(g).
    (b) Persons liable for failure to meet other provisions of this 
subpart. (1) Any refiner, importer, distributor, reseller, carrier, 
wholesale purchaser-consumer, retailer, or oxygenate blender who fails 
to meet a provision of this subpart not addressed in paragraph (a) of 
this section is liable for a violation of that provision.
    (2) Any refiner, importer, distributor, reseller, carrier, wholesale 
purchaser-consumer, retailer, or oxygenate blender who caused another 
person to fail to meet a requirement of this subpart not addressed in 
paragraph (a) of this section, is liable for causing a violation of that 
provision.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40184, June 12, 2002]



Sec.  80.400  What defenses apply to persons deemed liable for a 
violation of a prohibited act?

    (a) Any person deemed liable for a violation of a prohibition under 
Sec.  80.395 (a)(3) through (8), will not be deemed in violation if the 
person demonstrates that:
    (1) The violation was not caused by the person or the person's 
employee or agent; and
    (2) The person conducted a quality assurance sampling and testing 
program, as described in paragraph (d) of this section. A carrier may 
rely on the quality assurance program carried out by another party, 
including the party

[[Page 293]]

who owns the gasoline in question, provided that the quality assurance 
program is carried out properly. Retailers and wholesale purchaser-
consumers are not required to conduct quality assurance programs.
    (b) In the case of a violation found at a facility operating under 
the corporate, trade or brand name of a refiner or importer, or a 
refiner's or importer's marketing subsidiary, the refiner or importer 
must show, in addition to the defense elements required under paragraphs 
(a)(1) and (2) of this section, that the violation was caused by:
    (1) An act in violation of law (other than the Clean Air Act or this 
part 80), or an act of sabotage or vandalism;
    (2) The action of any refiner, importer, retailer, distributor, 
reseller, oxygenate blender, carrier, retailer or wholesale purchaser-
consumer in violation of a contractual agreement between the branded 
refiner or importer and the person designed to prevent such action, and 
despite periodic sampling and testing by the branded refiner or importer 
to ensure compliance with such contractual obligation; or
    (3) The action of any carrier or other distributor not subject to a 
contract with the refiner or importer, but engaged for transportation of 
gasoline, despite specifications or inspections of procedures and 
equipment which are reasonably calculated to prevent such action.
    (c) Under paragraph (a) of this section for any person to show that 
a violation was not caused by that person, or under paragraph (b) of 
this section to show that a violation was caused by any of the specified 
actions, the person must demonstrate by reasonably specific showing, by 
direct or circumstantial evidence, that the violation was caused or must 
have been caused by another person and that the person asserting the 
defense did not contribute to that other person's causation.
    (d) Quality assurance and testing program. To demonstrate an 
acceptable quality assurance and testing program under paragraph (a)(2) 
of this section, a person must present evidence of the following:
    (1) A periodic sampling and testing program to ensure the gasoline 
the person sold, dispensed, supplied, stored, or transported, meets the 
applicable sulfur standard; and
    (2) On each occasion when gasoline is found not in compliance with 
the applicable sulfur standard:
    (i) The person immediately ceases selling, offering for sale, 
dispensing, supplying, offering for supply, storing or transporting the 
non-complying product; and
    (ii) The person promptly remedies the violation and the factors that 
caused the violation (for example, by removing the non-complying product 
from the distribution system until the applicable standard is achieved 
and taking steps to prevent future violations of a similar nature from 
occurring).
    (3) For any carrier who transports gasoline in a tank truck, the 
quality assurance program required under this paragraph (d) need not 
include periodic sampling and testing of gasoline in the tank truck, but 
in lieu of such tank truck sampling and testing, the carrier shall 
demonstrate evidence of an oversight program for monitoring compliance 
with the requirements of this subpart relating to the transport or 
storage of gasoline by tank truck, such as appropriate guidance to 
drivers regarding compliance with the applicable sulfur standard and 
product transfer document requirements, and the periodic review of 
records received in the ordinary course of business concerning gasoline 
quality and delivery.



Sec.  80.405  What penalties apply under this subpart?

    (a) Any person liable for a violation under Sec.  80.395 is subject 
to civil penalties as specified in section 205 of the Clean Air Act for 
every day of each such violation and the amount of economic benefit or 
savings resulting from each violation.
    (b) Any person liable under Sec.  80.395(a)(1) or (2) for a 
violation of the applicable sulfur averaging standard or causing another 
party to violate that standard during any averaging period, is subject 
to a separate day of violation for each and every day in the averaging 
period. Any person liable under

[[Page 294]]

Sec.  80.395(b) for a failure to fulfill any requirement for credit or 
allotment generation, transfer, use, banking, or deficit correction, is 
subject to a separate day of violation for each and every day in the 
averaging period in which invalid credits or allotments are generated or 
used.
    (c)(1) Any person liable under Sec.  80.395(a)(3), (4), (5), or (6) 
for a violation of an applicable sulfur per gallon cap standard under 
Sec.  80.195, Sec.  80.210, Sec.  80.216, Sec.  80.220 or Sec.  80.240, 
a GPA use prohibition under Sec.  80.219(c), or of causing another party 
to violate a cap standard or a GPA use prohibition, is subject to a 
separate day of violation for each and every day the non-complying 
gasoline remains any place in the gasoline distribution system.
    (2) Any person liable under Sec.  80.395(a)(8) for causing gasoline 
to be in the distribution system which does not comply with an 
applicable sulfur cap standard, a sulfur averaging standard, or a GPA 
use prohibition, is subject to a separate day of violation for each and 
every day that the non-complying gasoline remains any place in the 
gasoline distribution system.
    (3) For purposes of paragraph (c) of this section, the length of 
time the gasoline in question remained in the gasoline distribution 
system is deemed to be twenty-five days, unless a person subject to 
liability or EPA demonstrates by reasonably specific showings, by direct 
or circumstantial evidence, that the non-complying gasoline remained in 
the gasoline distribution system for fewer than or more than twenty-five 
days.
    (d) Any person liable under Sec.  80.395(b) for failure to meet, or 
causing a failure to meet, a provision of this subpart is liable for a 
separate day of violation for each and every day such provision remains 
unfulfilled.
    (e) Any person liable under Sec.  80.395(a)(13) for failing to 
obtain (or generate) and use the total required number of sulfur credits 
or allotments under Sec.  80.271(d) for a calendar year is subject to a 
separate day of violation for each day until the required number of 
credits or allotments is used.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40185, June 12, 2002]

    Provisions for Foreign Refiners With Individual Sulfur Baselines



Sec.  80.410  What are the additional requirements for gasoline
produced at foreign refineries having individual small refiner 
sulfur baselines, foreign 
          refineries granted temporary relief under Sec.  80.270, or 
          baselines for generating credits during 2000 through 2003?

    (a) Definitions. (1) A foreign refinery is a refinery that is 
located outside the United States, the Commonwealth of Puerto Rico, the 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands (collectively referred to in this section as 
``the United States'').
    (2) A foreign refiner is a person who meets the definition of 
refiner under Sec.  80.2(i) for a foreign refinery.
    (3) A small foreign refiner is a refiner that meets the definition 
of a small refiner under Sec.  80.225.
    (4) ``Sulfur-FRGAS'' means gasoline produced at a foreign refinery 
that has been assigned an individual refinery sulfur baseline under 
Sec. Sec.  80.250 or 80.295, or has been granted temporary relief under 
Sec.  80.270, and that is imported into the United States.
    (5) ``Non-Sulfur-FRGAS'' means gasoline that is produced at a 
foreign refinery that has not been assigned an individual refinery 
sulfur baseline, gasoline produced at a foreign refinery with an 
individual refinery sulfur baseline that is not imported into the United 
States, and gasoline produced at a foreign refinery with an individual 
sulfur baseline during a year when the foreign refiner has opted to not 
participate in the Sulfur-FRGAS program under paragraph (c)(3) of this 
section.
    (6) ``Certified Sulfur-FRGAS'' means Sulfur-FRGAS the foreign 
refiner intends to include in the foreign refinery's sulfur compliance 
calculations under Sec.  80.205 pursuant to Sec.  80.240 or Sec.  80.270 
or credit calculations under Sec. Sec.  80.305 or 80.310 and allotment 
calculations under Sec.  80.275(a), and does include in these compliance 
calculations when reported to EPA.
    (7) ``Non-Certified Sulfur-FRGAS'' means Sulfur-FRGAS that is not 
Certified Sulfur-FRGAS.
    (b) Baseline establishment. Any foreign refiner who does not have an 
approved

[[Page 295]]

refinery baseline under Sec.  80.94 may submit a petition to the 
Administrator for an individual refinery sulfur baseline pursuant to 
Sec. Sec.  80.245 and 80.250, a baseline for generating credits or 
allotments under Sec. Sec.  80.290 and 80.295, or a baseline for 
temporary refinery relief under Sec. Sec.  80.270 and 80.295.
    (1) The refiner shall follow the procedures specified in Sec. Sec.  
80.91 through 80.93 to establish the volume and sulfur content of 
gasoline that was produced at the foreign refinery and imported into the 
United States during 1997 and 1998 for purposes of establishing 
baselines under Sec.  80.250 or Sec.  80.295.
    (2) In making determinations for foreign refinery baselines EPA will 
consider all information supplied by a foreign refiner, and in addition 
may rely on any and all appropriate assumptions necessary to make such 
determinations.
    (3) Where a foreign refiner submits a petition that is incomplete or 
inadequate to establish an accurate baseline, and the refiner fails to 
cure this defect after a request for more information, EPA will not 
assign an individual refinery sulfur baseline.
    (c) General requirements for foreign refiners with individual 
refinery sulfur baselines. A foreign refiner of a refinery that has been 
assigned an individual sulfur baseline under Sec.  80.250 or Sec.  
80.295 must designate all gasoline produced at the foreign refinery that 
is exported to the United States as either Certified Sulfur-FRGAS or as 
Non-Certified Sulfur-FRGAS, except as provided in paragraph (c)(3) of 
this section.
    (1) In the case of Certified Sulfur-FRGAS, the foreign refiner must 
meet all provisions that apply to refiners under this subpart H.
    (2) In the case of Non-Certified Sulfur-FRGAS, the foreign refiner 
shall meet all the following provisions, except the foreign refiner 
shall substitute the name Non-Certified Sulfur-FRGAS for the names 
``reformulated gasoline'' or ``RBOB'' wherever they appear in the 
following provisions:
    (i) The designation requirements in this section;
    (ii) The recordkeeping requirements under Sec.  80.365;
    (iii) The reporting requirements in Sec.  80.370 and this section;
    (iv) The product transfer document requirements in this section;
    (v) The prohibitions in this section and Sec.  80.385; and
    (vi) The independent audit requirements under Sec.  80.415, 
paragraph (h) of this section, Sec. Sec.  80.125 through 80.127, Sec.  
80.128(a),(b),(c),(g) through (i), and Sec.  80.130.
    (3)(i) Any foreign refiner that generates sulfur credits under Sec.  
80.305 during the period 2000 through 2003, or allotments under Sec.  
80.275(a) during 2003, and any small refiner generating credits under 
Sec.  80.310, shall designate all Sulfur-FRGAS as Certified Sulfur-FRGAS 
for any year that such credits are generated.
    (ii) Any foreign refiner that has been assigned an individual sulfur 
baseline for a foreign refinery under Sec.  80.250 or Sec.  80.295 may 
elect to classify no gasoline imported into the United States as Sulfur-
FRGAS, provided the foreign refiner notifies EPA of the election no 
later than November 1 of the prior calendar year.
    (iii) An election under paragraph (c)(3)(ii) of this section shall:
    (A) Apply to an entire calendar year averaging period, and apply to 
all gasoline produced during the calendar year at the foreign refinery 
that is used in the United States; and
    (B) Remain in effect for each succeeding calendar year averaging 
period, unless and until the foreign refiner notifies EPA of a 
termination of the election. The change in election shall take effect at 
the beginning of the next calendar year.
    (d) Designation, product transfer documents, and foreign refiner 
certification. (1) Any foreign refiner of a foreign refinery that has 
been assigned an individual sulfur baseline must designate each batch of 
Sulfur-FRGAS as such at the time the gasoline is produced, unless the 
refinery has elected to classify no gasoline exported to the United 
States as Sulfur-FRGAS under paragraph (c)(3)(ii) of this section.
    (2) On each occasion when any person transfers custody or title to 
any Sulfur-FRGAS prior to its being imported into the United States, it 
must include the following information as part of the product transfer 
document information in this section:

[[Page 296]]

    (i) Identification of the gasoline as Certified Sulfur-FRGAS or as 
Non-Certified Sulfur-FRGAS; and
    (ii) The name and EPA refinery registration number of the refinery 
where the Sulfur-FRGAS was produced.
    (3) On each occasion when Sulfur-FRGAS is loaded onto a vessel or 
other transportation mode for transport to the United States, the 
foreign refiner shall prepare a certification for each batch of the 
Sulfur-FRGAS that meets the following requirements:
    (i) The certification shall include the report of the independent 
third party under paragraph (f) of this section, and the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the Sulfur-FRGAS;
    (B) The identification of the gasoline as Certified Sulfur-FRGAS or 
Non-Certified Sulfur-FRGAS;
    (C) The volume of Sulfur-FRGAS being transported, in gallons;
    (D) In the case of Certified Sulfur-FRGAS:
    (1) The sulfur content as determined under paragraph (f) of this 
section; and
    (2) A declaration that the Sulfur-FRGAS is being included in the 
compliance calculations under Sec.  80.205 or credit calculations under 
Sec.  80.305 or allotments under Sec.  80.275(a) for the refinery that 
produced the Sulfur-FRGAS.
    (ii) The certification shall be made part of the product transfer 
documents for the Sulfur-FRGAS. Prior to 2004, the information required 
under paragraph (d)(3)(i)(D)(1) of this section may be omitted from the 
product transfer documents that accompany the gasoline, provided that 
such information is provided to the United States importer prior to 
collection of the representative sample required under paragraph 
(o)(3)(ii)(A) of this section.
    (e) Transfers of Sulfur-FRGAS to non-United States markets. The 
foreign refiner is responsible to ensure that all gasoline classified as 
Sulfur-FRGAS is imported into the United States. A foreign refiner may 
remove the Sulfur-FRGAS classification, and the gasoline need not be 
imported into the United States, but only if:
    (1)(i) The foreign refiner excludes:
    (A) The volume of gasoline from the refinery's compliance 
calculations under Sec.  80.205; and
    (B) In the case of Certified Sulfur-FRGAS, the volume and sulfur 
content of the gasoline from the compliance calculations under Sec.  
80.205 or credit calculations under Sec.  80.305.
    (ii) The exclusions under paragraph (e)(1)(i) of this section shall 
be on the basis of the sulfur content and volumes determined under 
paragraph (f) of this section; and
    (2) The foreign refiner obtains sufficient evidence in the form of 
documentation that the gasoline was not imported into the United States.
    (f) Load port independent sampling, testing and refinery 
identification. (1) On each occasion Sulfur-FRGAS is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms;
    (ii) Determine the volume of Sulfur-FRGAS loaded onto the vessel 
(exclusive of any tank bottoms present before vessel loading);
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery;
    (iv) Determine the name and country of registration of the vessel 
used to transport the Sulfur-FRGAS to the United States; and
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (2) On each occasion Certified Sulfur-FRGAS is loaded onto a vessel 
for transport to the United States a foreign refiner shall have an 
independent third party:
    (i) Collect a representative sample of the Certified Sulfur-FRGAS 
from each vessel compartment subsequent to loading on the vessel and 
prior to departure of the vessel from the port serving the foreign 
refinery;
    (ii) Prepare a volume-weighted vessel composite sample from the 
compartment samples, and determine the value for sulfur in accordance 
with the methodology and requirements specified in Sec.  80.330, by:
    (A) The third party analyzing the sample; or

[[Page 297]]

    (B) The third party observing the foreign refiner analyze the 
sample;
    (iii) Review original documents that reflect movement and storage of 
the certified Sulfur-FRGAS from the refinery to the load port, and from 
this review determine:
    (A) The refinery at which the Sulfur-FRGAS was produced; and
    (B) That the Sulfur-FRGAS remained segregated from:
    (1) Non-Sulfur-FRGAS and Non-Certified Sulfur-FRGAS; and
    (2) Other Certified Sulfur-FRGAS produced at a different refinery.
    (3) The independent third party shall submit a report:
    (i) To the foreign refiner containing the information required under 
paragraphs (f)(1) and (2) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) To the Administrator containing the information required under 
paragraphs (f)(1) and (2) of this section, within thirty days following 
the date of the independent third party's inspection. This report shall 
include a description of the method used to determine the identity of 
the refinery at which the gasoline was produced, assurance that the 
gasoline remained segregated as specified in paragraph (n)(1) of this 
section, and a description of the gasoline's movement and storage 
between production at the source refinery and vessel loading.
    (4) The independent third party must:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (f);
    (ii) Be independent under the criteria specified in Sec.  
80.65(f)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(f).
    (g) Comparison of load port and port of entry testing. (1)(i) Except 
as described in paragraph (g)(1)(ii) of this section, any foreign 
refiner and any United States importer of Certified Sulfur-FRGAS shall 
compare the results from the load port testing under paragraph (f) of 
this section, with the port of entry testing as reported under paragraph 
(o) of this section, for the volume of gasoline and the sulfur value.
    (ii) Where a vessel transporting Certified Sulfur-FRGAS off loads 
this gasoline at more than one United States port of entry, and the 
conditions of paragraph (g)(2)(i) of this section are met at the first 
United States port of entry, the requirements of paragraph (g)(2) of 
this section do not apply at subsequent ports of entry if the United 
States importer obtains a certification from the vessel owner, that 
meets the requirements of paragraph (s) of this section, that the vessel 
has not loaded any gasoline or blendstock between the first United 
States port of entry and the subsequent port of entry.
    (2)(i) The requirements of this paragraph (g)(2) apply if:
    (A) The temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent; or
    (B) The sulfur value determined at the port of entry is higher than 
the sulfur value determined at the load port, and the amount of this 
difference is greater than the reproducibility amount specified for the 
port of entry test result by the American Society of Testing and 
Materials (ASTM).
    (ii) The United States importer and the foreign refiner shall treat 
the gasoline as Non-Certified Sulfur-FRGAS, and the foreign refiner 
shall exclude the gasoline volume and properties from its gasoline 
sulfur compliance calculations under Sec.  80.205.
    (h) Attest requirements. The following additional procedures shall 
be carried out by any foreign refiner of Sulfur-FRGAS as part of the 
applicable attest engagement for each foreign refinery under Sec.  
80.415:
    (1) The inventory reconciliation analysis under Sec.  80.128(b) and 
the tender analysis under Sec.  80.128(c) shall include Non-Sulfur-FRGAS 
in addition to the gasoline types listed in Sec.  80.128(b) and (c).
    (2) Obtain separate listings of all tenders of Certified Sulfur-
FRGAS, and of Non-Certified Sulfur-FRGAS. Agree the total volume of 
tenders from the listings to the gasoline inventory reconciliation 
analysis in Sec.  80.128(b), and to the volumes determined by the third

[[Page 298]]

party under paragraph (f)(1) of this section.
    (3) For each tender under paragraph (h)(2) of this section where the 
gasoline is loaded onto a marine vessel, report as a finding the name 
and country of registration of each vessel, and the volumes of Sulfur-
FRGAS loaded onto each vessel.
    (4) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified Sulfur-FRGAS, in 
accordance with the guidelines in Sec.  80.127, and for each vessel 
selected perform the following:
    (i) Obtain the report of the independent third party, under 
paragraph (f) of this section, and of the United States importer under 
paragraph (o) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification, gasoline volumes and test results.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry parameter and volume results differ by more than the 
amounts allowed in paragraph (g) of this section, and determine whether 
the foreign refiner adjusted its refinery calculations as required in 
paragraph (g) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the Certified Sulfur-FRGAS from 
the refinery to the load port, under paragraph (f) of this section. 
Obtain tank activity records for any storage tank where the Certified 
Sulfur-FRGAS is stored, and pipeline activity records for any pipeline 
used to transport the Certified Sulfur-FRGAS, prior to being loaded onto 
the vessel. Use these records to determine whether the Certified Sulfur-
FRGAS was produced at the refinery that is the subject of the attest 
engagement, and whether the Certified Sulfur-FRGAS was mixed with any 
Non-Certified Sulfur-FRGAS, Non-Sulfur-FRGAS, or any Certified Sulfur-
FRGAS produced at a different refinery.
    (5)(i) Select a sample from the list of vessels identified in 
paragraph (h)(3) of this section used to transport certified and Non-
Certified Sulfur-FRGAS, in accordance with the guidelines in Sec.  
80.127, and for each vessel selected perform the following:
    (ii) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel. Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (6) Obtain separate listings of all tenders of Non-Sulfur-FRGAS, and 
perform the following:
    (i) Agree the total volume of tenders from the listings to the 
gasoline inventory reconciliation analysis in Sec.  80.128(b).
    (ii) Obtain a separate listing of the tenders under paragraph (h)(6) 
of this section where the gasoline is loaded onto a marine vessel. 
Select a sample from this listing in accordance with the guidelines in 
Sec.  80.127, and obtain a commercial document of general circulation 
that lists vessel arrivals and departures, and that includes the port 
and date of departure and the ports and dates where the gasoline was off 
loaded for the selected vessels. Determine and report as a finding the 
country where the gasoline was off loaded for each vessel selected.
    (7) In order to complete the requirements of this paragraph (h) an 
auditor shall:
    (i) Be independent of the foreign refiner;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.130, Sec.  80.415 and this 
paragraph (h); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.130, Sec.  80.415 and this paragraph (h).
    (i) Foreign refiner commitments. Any foreign refiner shall commit to 
and comply with the provisions contained in this paragraph (i) as a 
condition to

[[Page 299]]

being assigned an individual refinery sulfur baseline.
    (1) Any United States Environmental Protection Agency inspector or 
auditor will be given full, complete and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Gasoline is produced;
    (B) Documents related to refinery operations are kept;
    (C) Gasoline or blendstock samples are tested or stored; and
    (D) Sulfur-FRGAS is stored or transported between the foreign 
refinery and the United States, including storage tanks, vessels and 
pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits will be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to:
    (A) Refinery baseline establishment, including the volume and sulfur 
content, and transfers of title or custody, of any gasoline or 
blendstocks, whether Sulfur-FRGAS or Non-Sulfur-FRGAS, produced at the 
foreign refinery during the period January 1, 1997 through the date of 
the refinery baseline petition or through the date of the inspection or 
audit if a baseline petition has not been approved, and any work papers 
related to refinery baseline establishment;
    (B) The volume and sulfur content of Sulfur-FRGAS;
    (C) The proper classification of gasoline as being Sulfur-FRGAS or 
as not being Sulfur-FRGAS, or as Certified Sulfur-FRGAS or as Non-
Certified Sulfur-FRGAS;
    (D) Transfers of title or custody to Sulfur-FRGAS;
    (E) Sampling and testing of Sulfur-FRGAS;
    (F) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section and 
Sec.  80.415 including work papers; and
    (G) Reports prepared for submission to EPA, and any work papers 
related to such reports.
    (vi) Inspections and audits by EPA may include taking samples of 
gasoline or blendstock, and interviewing employees.
    (vii) Any employee of the foreign refiner will be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents will be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters will be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia will be named, and service on this agent constitutes service on 
the foreign refiner or any employee of the foreign refiner for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart H.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting a petition for an individual refinery sulfur 
baseline, producing and exporting gasoline under an individual refinery 
sulfur baseline, and all other actions to comply with the requirements 
of this subpart H relating to the establishment and use of an individual 
refinery sulfur baseline constitute actions or activities that satisfy 
the provisions of 28 U.S.C. section 1605(a)(2), but solely with respect 
to actions instituted against the foreign refiner, its agents and 
employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign

[[Page 300]]

refiner under this subpart H, including conduct that violates Title 18 
U.S.C. section 1001 and Clean Air Act section 113(c)(2).
    (6) The foreign refiner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (i) shall be signed by 
the owner or president of the foreign refiner business.
    (8) In any case where Sulfur-FRGAS produced at a foreign refinery is 
stored or transported by another company between the refinery and the 
vessel that transports the Sulfur-FRGAS to the United States, the 
foreign refiner shall obtain from each such other company a commitment 
that meets the requirements specified in paragraphs (i)(1) through (7) 
of this section, and these commitments shall be included in the foreign 
refiner's baseline petition.
    (j) Sovereign immunity. By submitting a petition for an individual 
foreign refinery baseline under this section, or by producing and 
exporting gasoline to the United States under an individual refinery 
sulfur baseline under this section, the foreign refiner, its agents and 
employees, without exception, become subject to the full operation of 
the administrative and judicial enforcement powers and provisions of the 
United States without limitation based on sovereign immunity, with 
respect to actions instituted against the foreign refiner, its agents 
and employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign refiner 
under this subpart H, including conduct that violates Title 18 U.S.C. 
section 1001 and Clean Air Act section 113(c)(2).
    (k) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (k) as a condition to being assigned an individual 
refinery sulfur baseline.
    (1) The foreign refiner shall post a bond of the amount calculated 
using the following equation:


Bond = G x $ 0.01

where:

Bond = amount of the bond in U. S. dollars.
G = the largest volume of gasoline produced at the foreign refinery and 
          exported to the United States, in gallons, during a single 
          calendar year among the most recent of the following calendar 
          years, up to a maximum of five calendar years: the calendar 
          year immediately preceding the date the baseline petition is 
          submitted, the calendar year the baseline petition is 
          submitted, and each succeeding calendar year.

    (2) Bonds shall be posted by:
    (i) Paying the amount of the bond to the Treasurer of the United 
States;
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign refiner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement; or
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) If the bond amount for a foreign refinery increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (4) Bonds posted under this paragraph (k) shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart H, including where such conduct violates Title 18 U.S.C. 
section 1001 and Clean Air Act section 113(c)(2);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds and 
Acceptable Reinsuring Companies'' (Available from the U.S. Department of 
the Treasury, Financial Management Service, Surety Bond Branch, 3700 
East-West Highway, Room

[[Page 301]]

6A04, Hyattsville, Md. 20782. Also available on the internet at http://
www.fms.treas.gov/c570/c570.html); and
    (iii) Include a commitment that the bond will remain in effect for 
at least five (5) years following the end of latest averaging period 
that the foreign refiner produces gasoline pursuant to the requirements 
of this Subpart H.
    (5) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (l) [Reserved]
    (m) English language reports. Any report or other document submitted 
to EPA by any foreign refiner shall be in English language, or shall 
include an English language translation.
    (n) Prohibitions. (1) No person may combine Certified Sulfur-FRGAS 
with any Non-Certified Sulfur-FRGAS or Non-Sulfur-FRGAS, and no person 
may combine Certified Sulfur-FRGAS with any Certified Sulfur-FRGAS 
produced at a different refinery, until the importer has met all the 
requirements of paragraph (o) of this section, except as provided in 
paragraph (e) of this section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (n)(1) of this section, or that 
otherwise violates the requirements of this section.
    (o) United States importer requirements. Any United States importer 
shall meet the following requirements:
    (1) Each batch of imported gasoline shall be classified by the 
importer as being Sulfur-FRGAS or as Non-Sulfur-FRGAS, and each batch 
classified as Sulfur-FRGAS shall be further classified as Certified 
Sulfur-FRGAS or as Non-certified Sulfur-FRGAS.
    (2) Gasoline shall be classified as Certified Sulfur-FRGAS or as 
Non-Certified Sulfur-FRGAS according to the designation by the foreign 
refiner if this designation is supported by product transfer documents 
prepared by the foreign refiner as required in paragraph (d) of this 
section, unless the gasoline is classified as Non-Certified Sulfur-FRGAS 
under paragraph (g) of this section.
    (3) For each gasoline batch classified as Sulfur-FRGAS, any United 
States importer shall perform the following procedures:
    (i) In the case of both Certified and Non-Certified Sulfur-FRGAS, 
have an independent third party:
    (A) Determine the volume of gasoline in the vessel;
    (B) Use the foreign refiner's Sulfur-FRGAS certification to 
determine the name and EPA-assigned registration number of the foreign 
refinery that produced the Sulfur-FRGAS;
    (C) Determine the name and country of registration of the vessel 
used to transport the Sulfur-FRGAS to the United States; and
    (D) Determine the date and time the vessel arrives at the United 
States port of entry.
    (ii) In the case of Certified Sulfur-FRGAS, have an independent 
third party:
    (A) Collect a representative sample from each vessel compartment 
subsequent to the vessel's arrival at the United States port of entry 
and prior to off loading any gasoline from the vessel;
    (B) Prepare a volume-weighted vessel composite sample from the 
compartment samples; and
    (C) Determine the sulfur value using the methodologies specified in 
Sec.  80.330, by:
    (1) The third party analyzing the sample; or
    (2) The third party observing the importer analyze the sample.
    (4) Any importer shall submit reports within thirty days following 
the date any vessel transporting Sulfur-FRGAS arrives at the United 
States port of entry:
    (i) To the Administrator containing the information determined under 
paragraph (o)(3) of this section; and
    (ii) To the foreign refiner containing the information determined 
under paragraph (o)(3)(ii) of this section.
    (5)(i) Any United States importer shall meet the requirements 
specified in Sec.  80.195 for any imported gasoline that is not 
classified as Certified Sulfur-FRGAS under paragraph (o)(2) of this 
section.
    (p) Truck imports of Certified Sulfur-FRGAS produced at a small 
refinery. (1) Any refiner whose Certified Sulfur-FRGAS is transported 
into the United

[[Page 302]]

States by truck may petition EPA to use alternative procedures to meet 
the following requirements:
    (i) Certification under paragraph (d)(5) of this section;
    (ii) Load port and port of entry sampling and testing under 
paragraphs (f) and (g) of this section;
    (iii) Attest under paragraph (h) of this section; and
    (iv) Importer testing under paragraph (o)(3) of this section.
    (2) These alternative procedures must ensure Certified Sulfur-FRGAS 
remains segregated from Non-Certified Sulfur-FRGAS and from Non-Sulfur-
FRGAS until it is imported into the United States. The petition will be 
evaluated based on whether it adequately addresses the following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of Certified Sulfur-FRGAS 
from that refinery from all other gasoline;
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport Certified Sulfur-FRGAS, that prohibit the commingling of 
Certified Sulfur-FRGAS with any of the following:
    (A) Other Certified Sulfur-FRGAS from other refineries;
    (B) All Non-Certified Sulfur-FRGAS; or
    (C) All Non-Sulfur-FRGAS;
    (iii) Procedures for obtaining and reviewing truck loading records 
and United States import documents for Certified Sulfur-FRGAS to ensure 
that such gasoline is only loaded into trucks making deliveries to the 
United States; and
    (iv) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all Certified 
Sulfur-FRGAS remains segregated throughout the distribution system and 
is only loaded into trucks for import into the United States.
    (3) The petition required by this section must be submitted to EPA 
along with the application for small refiner status and individual 
refinery sulfur baseline and standards under Sec.  80.240 and this 
section.
    (q) Withdrawal or suspension of a foreign refinery's baseline. EPA 
may withdraw or suspend a baseline that has been assigned to a foreign 
refinery where:
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (i)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart H; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(k) of this section.
    (r) Early use of a foreign refinery baseline. (1) A foreign refiner 
may begin using an individual refinery baseline before EPA has approved 
the baseline, provided that:
    (i) A baseline petition has been submitted as required in paragraph 
(b) of this section;
    (ii) EPA has made a provisional finding that the baseline petition 
is complete;
    (iii) The foreign refiner has made the commitments required in 
paragraph (i) of this section;
    (iv) The persons who will meet the independent third party and 
independent attest requirements for the foreign refinery have made the 
commitments required in paragraphs (f)(4)(iii) and (h)(7)(iii) of this 
section; and
    (2) In any case where a foreign refiner uses an individual refinery 
baseline before final approval under paragraph (r)(1) of this section, 
and the foreign refinery baseline values that ultimately are approved by 
EPA are more stringent than the early baseline values used by the 
foreign refiner, the foreign refiner shall recalculate its compliance, 
ab initio, using the baseline values approved by EPA, and the foreign 
refiner shall be liable for any resulting violation of the conventional 
gasoline requirements.
    (s) Additional requirements for petitions, reports and certificates. 
Any petition for a refinery baseline under

[[Page 303]]

Sec.  80.250 or Sec.  80.295, any alternative procedures under paragraph 
(p) of this section, and any certification under paragraph (d)(3) of 
this section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator; and
    (2) Be signed by the president or owner of the foreign refiner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) that I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR. Part 
80, subpart H, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof.
    I affirm that I have read and understand the provisions of 40 CFR 
Part 80, subpart H, including 40 CFR 80.410 [insert name of foreign 
refiner]. Pursuant to Clean Air Act section 113(c) and Title 18, United 
States Code, section 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000, and/or imprisonment for up to five years.

[65 FR 6823, Feb. 10, 2000, as amended at 66 FR 19309, Apr. 13, 2001; 67 
FR 40185, June 12, 2002; 70 FR 74578, Dec. 15, 2005]

                           Attest Engagements



Sec.  80.415  What are the attest engagement requirements for 
gasoline sulfur compliance applicable to refiners and importers?

    In addition to the requirements for attest engagements that apply to 
refiners and importers under Sec. Sec.  80.125 through 80.130, and Sec.  
80.410, the attest engagements for importers and refiners must include 
the following procedures and requirements each year.
    (a) Baseline. (1) Obtain the EPA sulfur baseline approval letter for 
the refinery to determine the refinery's applicable sulfur baseline and 
baseline volume under Sec. Sec.  80.250 or 80.295.
    (2) If the year being reviewed is 2004 through 2006 (2007 for 
refineries with small refiner status) and the refinery or importer 
produced or imported any GPA gasoline under Sec.  80.216 or the refiner 
has approved status for a small refinery:
    (i) Obtain the refinery's annual sulfur reports for 2000 through 
2003; and
    (ii) Determine whether the annual average sulfur level for any year 
credits were generated for 2000 through 2003 was less than the baseline 
level under paragraph (a)(1) of this section.
    (iii) If the annual average sulfur level for any year in which 
credits were generated for 2000 through 2003 was less than the baseline 
level under paragraph (a)(1) of this section, for small refiners report 
as a finding the lowest annual sulfur level as the new baseline value 
for purposes of establishing the small refiner standards under Sec.  
80.240, and for GPA gasoline report as a finding the lowest annual 
sulfur level plus 30.00 ppm as the new sulfur level for purposes of 
credit generation under Sec.  80.310, if lower than 150.00 ppm.
    (iv) If the refinery being reviewed is a small refinery and the 
annual volume under paragraph (b)(2) of this section is greater than the 
baseline volume, calculate the applicable standard in accordance with 
Sec.  80.240(c).
    (3) Obtain a written representation from the company representative 
stating the sulfur value that the company used as its baseline and agree 
that number to paragraphs (a)(1) and (a)(2) of this section and to the 
reports to EPA.
    (b) EPA reports. (1) Obtain and read a copy of the refinery's or 
importer's annual sulfur reports filed with EPA for the year.
    (2) Agree the yearly volume of gasoline reported to EPA in the 
sulfur reports with the inventory reconciliation analysis under Sec.  
80.128.
    (3) For the years 2004 through 2006, calculate the annual volume and 
average sulfur level for gasoline classified as GPA gasoline under 
Sec. Sec.  80.216 and 80.219, and calculate the annual volume and 
average sulfur level for gasoline not classified as GPA gasoline, and 
agree these values with the values reported to EPA.

[[Page 304]]

    (4) Except as provided in paragraph (b)(3) of this section, 
calculate the annual average sulfur level for all gasoline and agree 
that value with the value reported to EPA.
    (5) Obtain and read a copy of the refinery's or importer's sulfur 
credit report.
    (6) Agree the information in the refinery's or importer's batch 
reports filed with EPA under Sec. Sec.  80.75 and 80.105, and any 
laboratory test results, with the information contained in the annual 
sulfur report required under Sec.  80.370.
    (c) Credit generation before 2004. In the case of a refinery that 
only generates credits during 2000 through 2003:
    (1) Obtain a written representation from the company representative 
stating the refinery produces gasoline from crude oil.
    (2) Compute and report as a finding the sulfur baseline from 
paragraph (a) of this section multiplied by 0.9.
    (3) Obtain the annual average sulfur level from paragraph (b)(4) of 
this section.
    (4) If the sulfur value under paragraph (c)(3) of this section is 
less than the sulfur value under paragraph (c)(2) of this section, 
compute and report as a finding the difference between the annual 
average sulfur level and the refinery's sulfur baseline from paragraph 
(a) of this section.
    (5) Compute and report as a finding the total number of sulfur 
credits generated by multiplying the value in paragraph (c)(4) of this 
section by the volume of gasoline in paragraph (b)(2) of this section, 
and agree this value with the value reported to EPA.
    (d) Credit generation in 2004 and thereafter. The following 
procedures shall be completed for a refinery or importer that generates 
credits in 2004 and thereafter:
    (1) Obtain the annual average sulfur level for gasoline not 
classified as GPA from paragraph (b)(3) of this section.
    (2) If the sulfur value under paragraph (d)(1) of this section is 
less than 30 ppm, compute and report as a finding the difference between 
the sulfur level under paragraph (d)(1) of this section and 30 ppm.
    (3) Compute and report as a finding the total number of sulfur 
credits generated by multiplying the value calculated in paragraph 
(d)(2) of this section by the volume of gasoline not classified as GPA 
in paragraph (b)(3) of this section, and agree this number with the 
number reported to EPA.
    (4) Obtain the annual average sulfur level for gasoline classified 
as GPA from paragraph (b)(3) of this section.
    (5) If the sulfur value under paragraph (d)(4) of this section is 
less than the applicable level under Sec.  80.310, compute and report as 
a finding the difference between the sulfur level under paragraph (d)(4) 
of this section and the appropriate level in Sec.  80.310 .
    (6) Compute and report as a finding the total number of sulfur 
credits generated by multiplying the value calculated in paragraph 
(d)(5) of this section by the volume of gasoline classified as GPA in 
paragraph (b)(3) of this section, and agree this number with the number 
reported to EPA.
    (7) If the refiner has an approved status as a small refinery, 
obtain the annual average sulfur level for gasoline from paragraph 
(b)(4) of this section.
    (8) If the sulfur value under paragraph (d)(7) of this section is 
less than the applicable standard under Sec.  80.240, compute and report 
as a finding the difference between the sulfur level under paragraph 
(d)(7) of this section and the appropriate standard under Sec.  80.240.
    (9) Compute and report as a finding the total number of sulfur 
credits generated by multiplying the value calculated in paragraph 
(d)(8) of this section by the volume of gasoline in paragraph (b)(4) of 
this section, and agree this number with the number reported to EPA.
    (e) Credit purchases and sales. The following attest procedures 
shall be completed for a refinery or importer that is a transferor or 
transferee of credits during an averaging period:
    (1) Obtain contracts or other documents for all credits transferred 
to another refinery or importer during the year being reviewed; compute 
and report as a finding the number and year of creation of credits 
represented in these documents as being transferred away; and agree with 
the report to EPA.

[[Page 305]]

    (2) Obtain contracts or other documents for all credits received 
during the year being reviewed; compute and report as a finding the 
number and year of creation of credits represented in these documents as 
being received; and agree with the report to EPA.
    (f) Credits required for non-GPA gasoline. The following attest 
procedures shall be completed for refineries and importers in 2005 and 
thereafter (2004 and thereafter for refineries having standards under 
Sec.  80.240):
    (1) Obtain the annual average sulfur level for gasoline not 
classified as GPA from paragraph (b)(3) of this section.
    (2) If the value in paragraph (f)(1) of this section is greater than 
30 ppm (or greater than the small refinery standard), compute and report 
as a finding the difference between 30 ppm (or the standard under Sec.  
80.240) and the value in paragraph (f)(1) of this section.
    (3) Compute and report as a finding the total sulfur credits 
required by multiplying the value in paragraph (f)(2) of this section 
times the volume of gasoline not classified as GPA in paragraph (b)(3) 
of this section, and agree with the report to EPA.
    (4) Obtain the refiner's or importer's representation as to the 
portion of the deficit under paragraph (f)(3) of this section that was 
resolved with credits, the portion that was resolved with allotments in 
2005 only or that was carried forward as a deficit under Sec.  80.205, 
and agree with the report to EPA (refineries subject to standards under 
Sec.  80.240 cannot carry deficits forward).
    (g) Credits required for GPA gasoline. The following attest 
procedures shall be completed in 2004 through 2006 for a refinery or 
importer that produces gasoline subject to the geographic phase-in area 
standards under Sec.  80.216:
    (1) Obtain the annual average sulfur level for the refinery's or 
importer's GPA gasoline from paragraph (b)(3) of this section.
    (2) If the value in paragraph (g)(1) of this section is greater than 
the refinery's or importer's baseline plus 30 ppm under Sec.  80.216, as 
determined in paragraph (a) of this section or 150 ppm, whichever is 
less, compute and report as a finding the difference between the annual 
average sulfur level and the baseline level plus 30 ppm, or 150 ppm, 
whichever is less.
    (3) Compute and report as a finding the total sulfur credits and/or 
allotments required by multiplying the value in paragraph (g)(2) of this 
section times the volume of GPA gasoline from paragraph (b)(3) of this 
section.
    (4) Obtain the refiner's or importer's representation as to the 
portion of the deficit under paragraph (g)(3) of this section that was 
resolved with credits, or the portion that was resolved with allotments 
in 2004 or 2005 only (compliance deficits for GPA gasoline cannot be 
carried forward).
    (h) Credit expiration. The following attest procedures shall be 
completed for a refinery or importer that possesses credits during an 
averaging period:
    (1) Obtain a list of all credits in the refiner's or importer's 
possession at any time during the year being reviewed, identified by the 
year of creation of the credits.
    (2) If the year being reviewed is 2006 and thereafter, except in the 
case of gasoline produced for use in the GPA and gasoline produced by 
small refiners, determine whether any credits identified in paragraph 
(h)(1) of this section or Type A sulfur allotments created under 
paragraph (i) of this section and converted to credits were created 
before 2004, and if so, report as a finding this number of expired 
credits.
    (3) If the year being reviewed is 2008 and thereafter, determine 
whether any credits identified in paragraph (h)(1) of this section or 
Type B sulfur allotments created under paragraph (i) of this section and 
converted to credits were created more than 5 years before the year 
being reviewed, and if so, report as a finding this number of expired 
credits (for example, unused credits created during the 2004 averaging 
period expire at the end of the 2009 averaging period).
    (i) Optional credit and allotment generation in 2003. The following 
requirements apply to any refinery that generates credits and allotments 
in 2003 under Sec.  80.275(a):
    (1) Obtain a written representation from the company representative 
stating the refinery produces gasoline from crude oil.

[[Page 306]]

    (2) Obtain the refinery baseline value from paragraph (b)(1) of this 
section, the annual volume from paragraph (b)(2) of this section and the 
annual average sulfur level from paragraph (b)(4) of this section.
    (3) Based on the annual sulfur level and refinery baseline, 
determine which equation under Sec.  80.275(a)(2) applies.
    (4) Using the applicable equations under Sec.  80.275(a)(2), 
recalculate the sulfur allotments, by type, and credits and report as a 
finding.
    (j) Credit reconciliation. The following attest procedures shall be 
completed each year credits were in the refiner's or importer's 
possession at any time during the year:
    (1) Obtain the credits remaining or the credit deficit from the 
previous year from the refiner's or importer's report to EPA for the 
previous year.
    (2) Compute and report as a finding the net credits remaining at the 
conclusion of the year being reviewed by totaling:
    (i) Credits remaining from the previous year; plus
    (ii) Credits generated under paragraphs (c), (d) and (i) of this 
section; plus
    (iii) Allotments generated under paragraph (i) of this section which 
are converted to credits; plus
    (iv) Credits purchased under paragraph (e) of this section; minus
    (v) Credits sold under paragraph (e) of this section; minus
    (vi) Credits used under paragraphs (f) and (g) of this section; 
minus
    (vii) Credits expiring under paragraph (h) of this section; minus
    (viii) Credit deficit from the previous year.
    (3) Agree the credits remaining or the credit deficit at the 
conclusion of the year being reviewed with the report to EPA.
    (4) If the refinery or importer had a credit deficit for both the 
previous year and the year being reviewed, report this fact as a 
finding.
    (k) Sulfur allotments in 2004 and 2005. The following requirements 
apply to any refinery or importer that is subject to corporate pool 
average standards under Sec.  80.195:
    (1) Corporate pool average. (i) Obtain the annual average sulfur 
level for the refiner or importer from the sulfur report filed with EPA 
for all gasoline subject to corporate pool standards (all gasoline 
produced and imported, except that if 50% or greater of the gasoline 
volume was GPA gasoline the refiner or importer is not subject to the 
corporate pool average).
    (ii) Compute and report as a finding the company's gasoline volume 
subject to corporate pool standards and average sulfur level for 
gasoline subject to corporate pool standards, and agree with the values 
reported to EPA.
    (2) Allotment generation. (i) For 2004, if the corporate pool 
average is less than 120 ppm, compute and report as a finding the number 
and type of sulfur allotments generated in accordance with the 
applicable provisions under Sec.  80.275(b).
    (ii) For 2005, if the corporate pool average is less than 90 ppm, 
compute and report as a finding the number and type of sulfur allotments 
generated in accordance with the applicable provisions under Sec.  
80.275(b).
    (iii) If the refiner or importer produced and imported 50% or more 
of its gasoline for GPA use in 2004 or 2005, no allotments can be 
generated in that year.
    (3) Allotment purchases and sales. (i) Obtain contracts or other 
documents for all allotments transferred to another company during the 
year being reviewed; compute and report as a finding the number of 
allotments represented in these documents as being transferred away; and 
agree with the report to EPA.
    (ii) Obtain contracts or other documents for all allotments received 
during the year being reviewed; compute and report as a finding the 
number of allotments represented in these documents as being received; 
and agree with the report to EPA.
    (4) Allotments required. (i) For 2004, if the corporate pool average 
is greater than 120 ppm, compute and report as a finding the number of 
allotments required by multiplying the amount the corporate pool average 
is above 120 ppm times the corporate pool volume, and agree with the 
report to EPA.
    (ii) For 2005, if the corporate pool average is greater than 90 ppm, 
compute and report as a finding the number of

[[Page 307]]

allotments required by multiplying the amount the corporate pool average 
is above 90 ppm times the corporate pool volume, and agree with the 
report to EPA.
    (iii) Obtain the number of allotments used to meet standards for GPA 
gasoline determined in paragraph (g) of this section.
    (5) Allotment reconciliation. (i) Compute and report as a finding 
the net allotments remaining at the conclusion of the year being 
reviewed by totaling allotments:
    (A) Generated under paragraphs (i)(4) and (k)(2) of this section; 
plus
    (B) Purchased under paragraph (k)(3) of this section; minus
    (C) Sold under paragraph (k)(3) of this section; minus
    (D) Used under paragraph (k)(4) of this section for demonstrating 
compliance with the corporate pool average.
    (ii) Report as a finding any allotments generated in 2003 or 2004 
that are used to meet the corporate pool standards in 2005 that were not 
reduced to 50% of their original value.
    (iii) If the company's net allotments remaining are less than zero, 
report this fact as a finding.

[65 FR 6823, Feb. 10, 2000, as amended at 67 FR 40185, June 12, 2002; 71 
FR 54912, Sept. 20, 2006]



  Subpart I_Motor Vehicle Diesel Fuel; Nonroad, Locomotive, and Marine 
                    Diesel Fuel; and ECA Marine Fuel

    Source: 66 FR 5136, Jan. 18, 2001, unless otherwise noted.

                           General Information



Sec.  80.500  What are the implementation dates for the motor 
vehicle diesel fuel sulfur control program?

    The implementation dates for standards for motor vehicle diesel fuel 
and diesel fuel additives, and for other provisions of this subpart, are 
as follows:
    (a) Implementation date for standards applicable to production or 
importation of motor vehicle diesel fuel, and to motor vehicle diesel 
fuel additives. Except as provided in paragraph (d) of this section, 
beginning June 1, 2006:
    (1) The standards and requirements under Sec.  80.520(a) and (b) 
shall apply to any motor vehicle diesel fuel produced or imported by any 
refiner or importer; and
    (2) The standards and requirements under Sec.  80.521 shall apply to 
any motor vehicle diesel fuel additive.
    (b) Implementation date for standards applicable to motor vehicle 
diesel fuel downstream of the refinery or importer. Except as provided 
in paragraphs (c) and (d) of this section, beginning September 1, 2006, 
the standards and requirements under Sec.  80.520(a) shall apply to any 
motor vehicle diesel fuel at any downstream location.
    (c) Implementation date for standards applicable to motor vehicle 
diesel fuel at retail outlets and wholesale purchaser-consumer 
facilities. Except as provided in paragraph (d) of this section, 
beginning October 15, 2006, the standards and requirements under Sec.  
80.520(a) shall apply to any motor vehicle diesel fuel at any retail 
outlet or wholesale purchaser-consumer facility.
    (d) Implementation date for motor vehicle diesel fuel subject to the 
500 ppm sulfur content standard in Sec.  80.520(c). (1) Beginning June 
1, 2006, the sulfur content standard of Sec.  80.520(c) shall apply to 
motor vehicle diesel fuel, but only where authorized under, and subject 
to, an applicable provision of this Subpart.
    (2) Beginning June 1, 2010, the sulfur content standard of Sec.  
80.520(c) shall no longer apply to any motor vehicle diesel fuel 
produced or imported by any refiner or importer.
    (3) Beginning October 1, 2010, the sulfur content standard of Sec.  
80.520(c) shall no longer apply to any motor vehicle diesel fuel at any 
downstream location other than a retail or wholesale purchaser-consumer 
facility.
    (4) Beginning December 1, 2010, the sulfur content standard of Sec.  
80.520(c) shall no longer apply to any motor vehicle diesel fuel.
    (e) Other provisions. All other provisions of this subpart apply 
beginning June 1, 2006, unless another date is specified.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39168, June 29, 2004; 70 
FR 70509, Nov. 22, 2005]

[[Page 308]]



Sec.  80.501  What fuel is subject to the provisions of this subpart?

    (a) Included fuel and additives. The provisions of this subpart 
apply to the following fuels and additives except as specified in 
paragraph (b) of this section:
    (1) Motor vehicle diesel fuel.
    (2) Nonroad, locomotive, or marine diesel fuel.
    (3) Diesel fuel additives.
    (4) Heating oil.
    (5) ECA marine fuel.
    (6) Distillate global marine fuel.
    (7) Other distillate fuels.
    (8) Motor oil that is used as or intended for use as fuel in diesel 
motor vehicles or nonroad diesel engines or is blended with diesel fuel 
for use in diesel motor vehicles or nonroad diesel engines, including 
locomotive and marine diesel engines, at any downstream location.
    (b) Excluded fuel. The provisions of this subpart do not apply to--
    (1) Distillate fuel that is designated for export outside the United 
States in accordance with Sec.  80.598, identified for export by a 
transfer document as required under Sec.  80.590, and that is exported.
    (2) Residual global marine fuel.

[69 FR 39168, June 29, 2004, as amended at 75 FR 22968, Apr. 30, 2010; 
84 FR 69340, Dec. 18, 2019]



Sec.  80.502  What definitions apply for purposes of this subpart?

    The definitions of Sec.  80.2 and the following additional 
definitions apply to this subpart I:
    (a) Entity means any refiner, importer, distributor, retailer or 
wholesale-purchaser consumer of any distillate fuel (or other product 
subject to the requirements of this subpart I).
    (b) Facility means any place, or series of places, where an entity 
produces, imports, or maintains custody of any distillate fuel (or other 
product subject to the requirements of this subpart I) from the time it 
is received to the time custody is transferred to another entity, except 
as described in paragraphs (b)(1) through (4) of this section:
    (1) Where an entity maintains custody of a batch of diesel fuel (or 
other product subject to the requirements of this subpart I) from one 
place in the distribution system to another place (e.g., from a pipeline 
to a terminal), all owned by the same entity, both places combined are 
considered to be one single aggregated facility, except where an entity 
chooses to treat components of such an aggregated facility as separate 
facilities. The choice made to treat these places as separate facilities 
may not be changed by the entity during any applicable compliance 
period. Except as specified in paragraph (b)(2) of this section, where 
compliance requirements depend upon facility-type, the entire facility 
must comply with the requirements that apply to its components as 
follows:
    (i) If an aggregated facility includes a refinery, the entire 
facility must comply with the requirements applicable to refineries.
    (ii) If an aggregated facility includes a truck loading terminal but 
not a refinery, the entire facility must comply with the requirements 
applicable to truck loading terminals.
    (iii) Situations where a refinery is aggregated with a truck loading 
terminal.(A) Where a refinery is aggregated with a truck loading 
terminal, diesel fuel or other product subject to the requirements of 
this subpart I produced by such refinery and distributed over the truck 
terminal rack must be included in refinery batches that may be based on 
shipments to a truck terminal rack tank or on the total volumes 
delivered to tanker trucks for a period not to exceed 1 calendar month 
per batch.
    (B) Where a refinery is aggregated with a truck loading terminal, 
diesel fuel or other product subject to the requirements of this subpart 
I that were imported or produced by another refinery, and that are 
distributed through the refinery or truck terminal rack, must be treated 
as previously designated fuel for which the aggregated facility is 
responsible for all applicable balance and downgrade requirements under 
Sec. Sec.  80.527, 80.598, 80.599 and related recordkeeping and 
reporting requirements like any other distributor downstream from the 
refiner or importer.
    (2) A refinery or import facility may not be aggregated with 
facilities that receive fuel from other refineries or

[[Page 309]]

import facilities, either directly or indirectly. For example, a 
refinery may not be aggregated with a terminal that receives any fuel 
from a common carrier pipeline. However, a refinery may be aggregated 
with a pipeline and terminal that are owned by the same entity and which 
receive no fuel from any source other than the refinery. Likewise, a 
refinery may not be aggregated with a mobile facility that is also 
carrying another entity's fuel; it may however be aggregated with a 
mobile facility that does not receive fuel from any source other than 
the refinery. If a refinery or import facility is aggregated with other 
facilities, then the aggregated facility is treated as a refinery or 
import facility.
    (3) Retail outlets or wholesale purchaser consumers may not be 
aggregated with any other facility.
    (4) Mobile components and mobile facilities. (i) Where an entity 
maintains custody of diesel fuel in one or more mobile components (e.g., 
rail, barge, shipping, or trucking operations), the mobile components 
may be aggregated as a single facility. Mobile components may also be 
aggregated with a facility from which they receive fuel or a facility to 
which they deliver fuel. However, mobile components may not be 
aggregated with both a facility from which they receive fuel and a 
facility to which they deliver fuel.
    (ii) When an entity maintains title to, but not custody of, diesel 
fuel in one or more mobile components, the entity may treat the mobile 
component(s) as a facility under this paragraph (b), but only for the 
fuel to which the entity has title. In the event that title changes 
while a mobile component is in transport (but the fuel physically 
remains in the same mobile facility), the original entity that had title 
to the fuel continues to be responsible for the designate and track 
requirements until custody of the fuel is transferred from the mobile 
facility.
    (5) An individual refinery or contiguous pipeline may not be 
subdivided into more than one facility. An individual terminal may not 
be subdivided into more than one facility unless approved by the 
Administrator.
    (c) Truck loading terminal means any facility that dyes NRLM diesel 
fuel or ECA marine fuel, pays taxes on motor vehicle diesel fuel per IRS 
code (26 CFR part 48), or adds a fuel marker pursuant to Sec.  80.510 to 
heating oil and delivers diesel fuel or heating oil into trucks for 
delivery to retail or ultimate consumer locations.
    (d) Batch means a quantity of diesel fuel (or other product subject 
to the requirements of this subpart I) which is homogeneous with regard 
to those properties that are specified for MVNRLM diesel fuel or ECA 
marine fuel under this subpart I, has the same designation under this 
subpart I (if applicable), and whose custody is transferred from one 
facility to another facility.
    (1) In the case of aggregated facilities consisting of a refinery 
and a truck loading terminal, a batch may be defined by one of the 
following methods:
    (i) The sum of the deliveries from the truck loading terminal rack 
to trucks for periods not to exceed 1 month;
    (ii) Each individual truck or truck compartment; or
    (iii) For refineries with ``certification tanks'' where testing is 
performed and ``rack tanks'' that feed the truck loading terminal rack, 
each transfer from the certification tank to the rack tank. If this 
method of determining a batch is selected, it must be the sole method 
used and must be performed such that no double-counting or undercounting 
of volumes occurs.
    (2) [Reserved]
    (e) Downstream location means any point in the diesel fuel 
distribution system that is downstream of refineries and import 
facilities, for example, diesel fuel at facilities of distributors, 
carriers, retailers, kerosene blenders, and wholesale purchaser-
consumers.
    (f) Definition of PADD. For the purposes of this subpart only, the 
following definitions of PADDs apply:
    (1) The following States are included in PADD I:

Connecticut
Delaware
District of Columbia
Florida
Georgia
Maine
Maryland
Massachusetts
New Hampshire
New Jersey
New York
North Carolina
Pennsylvania
Rhode Island
South Carolina
Vermont
Virginia
West Virginia


[[Page 310]]


    (2) The following States are included in PADD II:

Illinois
Indiana
Iowa
Kansas
Kentucky
Michigan
Minnesota
Missouri
Nebraska
North Dakota
Ohio
Oklahoma
South Dakota
Tennessee
Wisconsin

    (3) The following States are included in PADD III:

Alabama
Arkansas
Louisiana
Mississippi
New Mexico
Texas

    (4) The following States are included in PADD IV:

Colorado
Idaho
Montana
Utah
Wyoming

    (5) The following States are included in PADD V:

Alaska
Arizona
California
Hawaii
Nevada
Oregon
Washington

    (6) The following areas are included in PADD VI:

U.S. Virgin Islands
Commonwealth of Puerto Rico

    (g) Emission Control Area. An Emission Control Area (ECA), for the 
purposes of this subpart, means the ``ECA'' as defined in 40 CFR 1043.20 
as well as ``ECA associated area'' as defined in 40 CFR 1043.20.
    (h) Marine diesel engine. For the purposes of this subpart I only, 
marine diesel engine means a diesel engine installed on a Category 1 
(C1) or Category 2 (C2) marine vessel.

[69 FR 39168, June 29, 2004, as amended at 70 FR 70509, Nov. 22, 2005; 
71 FR 25716, May 1, 2006; 75 FR 22969, Apr. 30, 2010]



Sec. Sec.  80.503-80.509  [Reserved]



Sec.  80.510  What are the standards and marker requirements for
refiners and importers for NRLM diesel fuel and ECA marine fuel?

    (a) Beginning June 1, 2007. Except as otherwise specifically 
provided in this subpart, all NRLM diesel fuel is subject to the 
following per-gallon standards:
    (1) Sulfur content. 500 parts per million (ppm) maximum.
    (2) Cetane index or aromatic content, as follows:
    (i) A minimum cetane index of 40; or
    (ii) A maximum aromatic content of 35 volume percent.
    (b) Beginning June 1, 2010. Except as otherwise specifically 
provided in this subpart, all NR and LM diesel fuel is subject to the 
following per-gallon standards:
    (1) Sulfur content.
    (i) 15 ppm maximum for NR diesel fuel.
    (ii) 500 ppm maximum for LM diesel fuel.
    (2) Cetane index or aromatic content, as follows:
    (i) A minimum cetane index of 40; or
    (ii) A maximum aromatic content of 35 volume percent.
    (c) Beginning June 1, 2012. Except as otherwise specifically 
provided in this subpart, all NRLM diesel fuel is subject to the 
following per-gallon standards:
    (1) Sulfur content. 15 ppm maximum.
    (2) Cetane index or aromatic content, as follows:
    (i) A minimum cetane index of 40; or
    (ii) A maximum aromatic content of 35 volume percent.
    (d) Marking provisions. From June 1, 2007 through May 31, 2010:
    (1) Except as provided for in paragraph (i) of this section, prior 
to distribution from a truck loading terminal, all heating oil shall 
contain six milligrams per liter of marker solvent yellow 124.
    (2) All motor vehicle and NRLM diesel fuel shall be free of solvent 
yellow 124.
    (3) Any diesel fuel that contains greater than or equal to 0.10 
milligrams per liter of marker solvent yellow 124 shall be deemed to be 
heating oil and shall be prohibited from use in any motor vehicle or 
nonroad diesel engine (including locomotive, or marine diesel engines).
    (4) Except as provided for in paragraph (i) of this section, any 
diesel fuel, other than jet fuel or kerosene that is downstream of a 
truck loading terminal, that contains less than 0.10 milligrams per 
liter of marker solvent yellow 124 shall be considered motor vehicle 
diesel fuel or NRLM diesel fuel, as appropriate.

[[Page 311]]

    (5) Any heating oil that is required to contain marker solvent 
yellow 124 pursuant to the requirements of this paragraph (d) must also 
contain visible evidence of dye solvent red 164.
    (e) Marking provisions. From June 1, 2010 through May 31, 2012:
    (1) Except as provided for in paragraph (i) of this section, prior 
to distribution from a truck loading terminal, all heating oil and 
diesel fuel designated as 500 ppm sulfur LM diesel fuel shall contain 
six milligrams per liter of solvent yellow 124.
    (2) All motor vehicle and NR diesel fuel shall be free of marker 
solvent yellow 124.
    (3) Any diesel fuel that contains greater than or equal to 0.10 
milligrams per liter of marker solvent yellow 124 shall be deemed to be 
LM diesel fuel or heating oil, as appropriate, and shall be prohibited 
from use in any motor vehicle or nonroad diesel engine (except for 
locomotive or marine diesel engines).
    (4) Except as provided for in paragraph (i) of this section, any 
diesel fuel, other than jet fuel or kerosene that is downstream of a 
truck loading terminal, that contains less than 0.10 milligrams per 
liter of marker solvent yellow 124 shall be considered motor vehicle 
diesel fuel or NR diesel fuel, as appropriate.
    (5) Any LM diesel fuel or heating oil that is required to contain 
marker solvent yellow 124 pursuant to the requirements of this paragraph 
(e) must also contain visible evidence of dye solvent red 164.
    (f) Marking provisions. From June 1, 2012 through November 30, 2014:
    (1) Except as provided for in paragraph (i) of this section, prior 
to distribution from a truck loading terminal, all heating oil shall 
contain six milligrams per liter of marker solvent yellow 124 from June 
1, 2012 through May 31, 2014.
    (2) All motor vehicle and NR diesel fuel shall be free of marker 
solvent yellow 124, and all LM diesel fuel shall be free of marker 
solvent yellow 124 beginning December 1, 2012.
    (3) From June 1, 2012 through November 30, 2012, any diesel fuel 
that contains greater than or equal to 0.10 milligrams per liter of 
marker solvent yellow 124 shall be deemed to be either heating oil or 
500 ppm sulfur LM diesel fuel and shall be prohibited from use in any 
motor vehicle or nonroad diesel engine (excluding locomotive, or marine 
diesel engines).
    (4) From December 1, 2012 through November 30, 2014, any diesel fuel 
that contains greater than or equal to 0.10 milligrams per liter of 
marker solvent yellow 124 shall be deemed to be heating oil and shall be 
prohibited from use in any motor vehicle or nonroad diesel engine 
(including locomotive, or marine diesel engines).
    (5) Except as provided for in paragraph (i) of this section, from 
June 1, 2012 through November 30, 2014, any diesel fuel, other than jet 
fuel or kerosene that is downstream of a truck loading terminal, that 
contains less than 0.10 milligrams per liter of marker solvent yellow 
124 shall be considered motor vehicle diesel fuel or NRLM diesel fuel, 
as appropriate.
    (6) Any heating oil that is required to contain marker solvent 
yellow 124 pursuant to the requirements of this paragraph (f) must also 
contain visible evidence of dye solvent red 164.
    (7) Beginning December 1, 2014 there are no requirements or 
restrictions on the use of marker solvent yellow 124 under this subpart.
    (g) Special provisions in this part apply to the following areas:
    (1) Northeast/Mid-Atlantic Area, which includes the following States 
and counties, through May 31, 2014: North Carolina, Virginia, Maryland, 
Delaware, New Jersey, Connecticut, Rhode Island, Massachusetts, Vermont, 
New Hampshire, Maine, Washington DC, New York (except for the counties 
of Chautauqua, Cattaraugus, and Allegany), Pennsylvania (except for the 
counties of Erie, Warren, McKean, Potter, Cameron, Elk, Jefferson, 
Clarion, Forest, Venango, Mercer, Crawford, Lawrence, Beaver, 
Washington, and Greene), and the eight eastern-most counties of West 
Virginia (Jefferson, Berkeley, Morgan, Hampshire, Mineral, Hardy, Grant, 
and Pendleton).
    (2) Alaska.
    (h) Pursuant and subject to the provisions of Sec.  80.536, Sec.  
80.554, Sec.  80.560, or Sec.  80.561:

[[Page 312]]

    (1) Except as provided in paragraph (j) of this section, from June 
1, 2007 through May 31, 2010, NRLM diesel fuel produced or imported in 
full compliance with the requirements of Sec. Sec.  80.536, 80.554, 
80.560, and 80.561 is exempt from the per-gallon sulfur content standard 
and cetane or aromatics standard of paragraph (a) of this section.
    (2) Except as provided in paragraph (j) of this section, from June 
1, 2010 through May 31, 2012 for NR diesel fuel and from June 1, 2012 
through May 31, 2014 for NRLM diesel fuel produced or imported in full 
compliance with the requirements of Sec. Sec.  80.536, 80.554, 80.560, 
and 80.561 is exempt from the per-gallon standards of paragraphs (b) and 
(c) of this section, but is subject to the per-gallon standards of 
paragraph (a) of this section.
    (i) The marking requirements of paragraphs (d)(1), (d)(4), (e)(1), 
(e)(4), (f)(1), and (f)(4) of this section do not apply to heating oil, 
or, for paragraphs (e)(1) and (e)(4) of this section, diesel fuel 
designated as LM diesel fuel that is distributed from a truck loading 
terminal located within the areas listed in paragraphs (g)(1) and (g)(2) 
of this section and is for sale or intended for sale within these areas, 
or that is distributed from any other truck loading terminal and is for 
sale or intended for sale within the area listed in (g)(2) of this 
section.
    (j) The provisions of paragraphs (h)(1) and (h)(2) of this section 
do not apply to diesel fuel sold or intended for sale in the areas 
listed in paragraph (g)(1) of this section that is produced or imported 
in full compliance with the requirements of Sec. Sec.  80.536 and 80.554 
or to diesel fuel sold or intended for sale in the area listed in 
paragraph (g)(2) of this section that is produced or imported in full 
compliance with the requirements of Sec.  80.536.
    (k) Beginning June 1, 2014, all ECA marine fuel is subject to a 
maximum per-gallon sulfur content of 1,000 ppm. Note that ECA marine 
fuel does not include fuel used in exempted steamships (or other 
exempted or excluded vessels) or fuel that exceeds the fuel sulfur 
limits while operating in an ECA or an ECA associated area as allowed by 
the U.S. government consistent with MARPOL Annex VI Regulation 3 or 
Regulation 4 (see Sec.  80.2(ttt)).

[69 FR 39168, June 29, 2004, as amended at 70 FR 40895, July 15, 2005; 
75 FR 22969, Apr. 30, 2010; 77 FR 61293, Oct. 9, 2012; 80 FR 9096, Feb. 
19, 2015]



Sec.  80.511  What are the per-gallon and marker requirements that
apply to NRLM diesel fuel, ECA marine fuel, and heating oil
downstream of the refiner or importer?

    (a) Applicable dates for marker requirements. Beginning June 1, 
2006, all NRLM diesel fuel and ECA marine fuel shall contain less than 
0.10 milligrams per liter of the marker solvent yellow 124, except for 
LM diesel fuel subject to the marking requirements of Sec.  80.510(e).
    (b) Applicable dates for per-gallon standards. (1) Beginning June 1, 
2006, all NRLM diesel fuel must comply with the per-gallon sulfur 
standard for the designation or classification stated on its PTD, pump 
label, or other documentation. Based on the provisions of Sec.  
80.510(h) and (j), there is no uniform downstream sulfur standard until 
the downstream dates identified in paragraphs (b)(3) through (b)(8) of 
this section.
    (2) Except as provided in paragraphs (b)(5) and (b)(8) of this 
section, beginning December 1, 2010, all NRLM diesel fuel must comply 
with the cetane index or aromatics standard of Sec.  80.510.
    (3) Except as provided in paragraphs (b)(5) through (b)(8) of this 
section, the per-gallon sulfur standard of Sec.  80.510(a) shall apply 
to all NRLM diesel fuel beginning August 1, 2010 for all downstream 
locations other than retail outlets or wholesale purchaser-consumer 
facilities, shall apply to all NRLM diesel fuel beginning October 1, 
2010 for retail outlets and wholesale purchaser-consumer facilities, and 
shall apply to all NRLM diesel fuel beginning December 1, 2010 for all 
locations.
    (4) Except as provided in paragraphs (b)(5) through (8) of this 
section, the per-gallon sulfur standard of Sec.  80.510(c) shall apply 
to all NRLM diesel fuel beginning August 1, 2014 for all downstream 
locations other than retail outlets or wholesale purchaser-consumer 
facilities, shall apply to all NRLM diesel fuel beginning October 1, 
2014 for retail outlets and wholesale purchaser-

[[Page 313]]

consumer facilities, and shall apply to all NRLM diesel fuel beginning 
December 1, 2014 for all locations. This paragraph (b)(4) does not apply 
to LM diesel fuel produced from transmix or interface fuel that is sold 
or intended for sale in areas other than those listed in Sec.  
80.510(g)(1) or (g)(2), as provided by Sec.  80.513(f).
    (5) For all NRLM diesel fuel that is sold or intended for sale in 
the areas listed in Sec.  80.510(g)(1), the per-gallon sulfur standard 
and the cetane index or aromatics standard of 80.510(a) shall apply to 
all NRLM diesel fuel beginning August 1, 2007 for all downstream 
locations other than retail outlets or wholesale purchaser-consumer 
facilities, shall apply to all NRLM diesel fuel beginning October 1, 
2007 for retail outlets and wholesale purchaser-consumer facilities, and 
shall apply to all NRLM diesel fuel beginning December 1, 2007 for all 
locations.
    (6) For all NR diesel fuel that is sold or intended for sale in the 
areas listed in Sec.  80.510(g)(1), the per-gallon sulfur standard of 
Sec.  80.510(b) shall apply to all NR diesel fuel beginning August 1, 
2010 for all downstream locations other than retail outlets or wholesale 
purchaser-consumer facilities, shall apply to all NR diesel fuel 
beginning October 1, 2010 for retail outlets and wholesale purchaser-
consumer facilities, and shall apply to all NR diesel fuel beginning 
December 1, 2010 for all locations.
    (7) For all NRLM diesel fuel that is sold or intended for sale in 
the areas listed in Sec.  80.510(g)(1), the per-gallon sulfur standard 
of Sec.  80.510(c) shall apply to all NRLM diesel fuel beginning August 
1, 2012 for all downstream locations other than retail outlets or 
wholesale purchaser-consumer facilities, shall apply to all NRLM diesel 
fuel beginning October 1, 2012 for retail outlets and wholesale 
purchaser-consumer facilities, and shall apply to all NRLM diesel fuel 
beginning December 1, 2012 for all locations.
    (8) The provisions of paragraphs (b)(5) through (b)(7) of this 
section shall apply for all NRLM or NR diesel fuel that is sold or 
intended for sale in the area listed in Sec.  80.510(g)(2), except for 
NRLM or NR diesel fuel that is produced in accordance with a compliance 
plan approved under Sec.  80.554.
    (9) The per-gallon sulfur standard of Sec.  80.510(k) shall apply to 
all ECA marine fuel beginning August 1, 2014, for all downstream 
locations other than retail outlets or wholesale purchaser-consumer 
facilities, shall apply to all ECA marine fuel beginning October 1, 
2014, for retail outlets and wholesale purchaser-consumer facilities, 
and shall apply to all ECA marine fuel beginning December 1, 2014, for 
all locations. Note that ECA marine fuel does not include fuel used in 
exempted steamships (or other exempted or excluded vessels) or fuel that 
exceeds the fuel sulfur limits while operating in an ECA or an ECA 
associated area as allowed by the U.S. government consistent with MARPOL 
Annex VI Regulation 3 or Regulation 4 (see Sec.  80.2(ttt)).
    (10) For the purposes of this subpart, on any occasion where a 
distributor directly dispenses fuel into vehicles or equipment from a 
mobile facility such as a tanker truck, the distributor shall be treated 
as a retailer, and the mobile facility shall be treated as a retail 
outlet.

[69 FR 39169, June 29, 2004, as amended at 75 FR 22969, Apr. 30, 2010; 
77 FR 75879, Dec. 26, 2012; 79 FR 23653, Apr. 28, 2014; 80 FR 9096, Feb. 
19, 2015]



Sec.  80.512  May an importer treat diesel fuel as blendstock?

    An importer may exclude diesel fuel that it imports from the 
requirements under this subpart, and instead may designate such diesel 
fuel as diesel fuel treated as blendstock (DTAB), if all the following 
conditions are met:
    (a) The DTAB must be included in all applicable designation, credit 
and compliance calculations for diesel fuel for a refinery operated by 
the same entity that is the importer . That entity must meet all refiner 
standards and requirements.
    (b) The importer entity may not transfer title of the DTAB to 
another entity until the DTAB has been used to produce diesel fuel and 
all refiner standards and requirements have been met for the diesel fuel 
produced.
    (c) The refinery at which the DTAB is used to produce diesel fuel 
must be physically located at either the same terminal at which the DTAB 
first arrives in the U.S., the import facility, or

[[Page 314]]

at a facility to which the DTAB is directly transported from the import 
facility.
    (d) The DTAB must be completely segregated from any other diesel 
fuel, including any diesel fuel tank bottoms, prior to the point of 
blending, sampling and testing in the importer entity's refinery 
operation. The DTAB may, however, be added to a diesel fuel blending 
tank where the diesel fuel tank bottom is not included as part of the 
batch volume for a prior batch. In addition, the DTAB may be placed into 
a storage tank that contains other DTAB imported by that importer. The 
DTAB also may be discharged into a tank containing finished diesel fuel 
of the same category as the diesel fuel which will be produced using the 
DTAB (for example, 15 ppm sulfur undyed or 15 ppm sulfur dyed diesel 
fuel) provided the blending process is performed in that same tank.
    (e) The entity must account for the volume of diesel fuel produced 
using DTAB in a manner that excludes the volume of any previously 
designated diesel fuel. The diesel fuel tank bottom may not be included 
in the company's refinery compliance calculations for that batch of 
diesel fuel if the fuel in that tank bottom has been previously 
designated by a refiner or importer. This exclusion of previously 
designated diesel fuel must be accomplished using the following 
approach:
    (1) Determine the volume of any tank bottom that is previously 
designated diesel fuel before any diesel fuel production begins.
    (2) Add the DTAB plus any blendstock to the storage tank, and 
completely mix the tank.
    (3) Determine the volume and sulfur content of the diesel fuel 
contained in the storage tank after blending is complete. Mathematically 
subtract the volume of the tank bottom to determine the volume of the 
DTAB plus blendstock added, and subsequently transferred to another 
facility. Such fuel is reported to EPA as a batch of diesel fuel under 
Sec. Sec.  80.593, 80.601, and 80.604.
    (4) If previously designated motor vehicle diesel fuel having a 
sulfur content of 15 ppm or less is blended with DTAB, and the combined 
product after blending has a sulfur content that exceeds 15 ppm, the 
importer entity, in its capacity as a refiner, must redesignate all the 
diesel fuel as 500 ppm sulfur motor vehicle diesel fuel for purposes of 
the temporary compliance option under Sec.  80.530, or other permissible 
redesignation under Sec.  80.598. If 2D 15 ppm sulfur motor vehicle 
diesel fuel is redesignated as 2D 500 ppm sulfur motor vehicle diesel 
fuel, such entity must apply the volume of previously designated 15 ppm 
sulfur diesel fuel, for purposes of its operations as a distributor, to 
its downgrading limitation under Sec.  80.527, if applicable, and for 
volume balancing purposes under Sec.  80.599.
    (5) As an alternative to paragraphs (e)(1) through (e)(4) of this 
section, where an importer has a blending tank that is used only to 
combine DTAB and blending components, and no previously designated 
diesel fuel is added to the tank, the importer entity, in its capacity 
as a refiner, may account for the diesel fuel produced in such a 
blending tank by sampling and testing for the sulfur content of the 
batch after DTAB and blendstock are added and mixed, and reporting the 
volume of diesel fuel transferred from that tank to a different 
facility, up to the point where a new blend is produced by adding new 
DTAB and blendstock.
    (f) The importer must include the volume and sulfur content of each 
batch of DTAB in the annual importer reports to EPA, as prescribed under 
Sec. Sec.  80.593, 80.601, and 80.604, but with a notation that the 
batch is not included in the importer compliance calculations because 
the product is DTAB. Any DTAB that ultimately is not used in the 
importer's refinery operation (for example, a tank bottom of DTAB at the 
conclusion of the refinery operation), must be treated as newly imported 
diesel fuel, for which all required sampling and testing, and 
recordkeeping must be accomplished, and included in the importer's 
compliance calculations for the averaging period when this sampling and 
testing occurs.
    (g) The importer must retain records that reflect the importation, 
sampling and testing, and physical movement of any DTAB, and must make 
these records available to EPA on request.

[69 FR 39170, June 29, 2004]

[[Page 315]]



Sec.  80.513  What provisions apply to transmix processing facilities
and pipelines that produce diesel fuel from pipeline interface?

    For purposes of this section, transmix means a mixture of finished 
fuels, such as pipeline interface, that no longer meets the 
specifications for a fuel that can be used or sold without further 
processing or handling. For the purposes of this section, pipeline 
interface means the mixture between different fuels that abut each other 
during shipment by pipeline. This section applies to refineries (or 
other facilities) that produce diesel fuel from transmix by distillation 
or other refining processes but do not produce diesel fuel by processing 
crude oil and to pipelines that produce diesel fuel from transmix. This 
section only applies to the volume of diesel fuel produced from transmix 
by a transmix processor using these processes, and to the diesel fuel 
volume produced by a pipeline operator from transmix. This section does 
not apply to any diesel fuel volume produced by the blending of 
blendstocks.
    (a) From June 1, 2006 through May 31, 2010, motor vehicle diesel 
fuel produced by a transmix processor is subject to the 500 ppm sulfur 
standard under Sec.  80.520(c).
    (b) Beginning June 1, 2010, motor vehicle diesel fuel produced by a 
transmix processor is subject to the sulfur standard under Sec.  
80.520(a)(1).
    (c) From June 1, 2007 through May 31, 2010, NRLM diesel fuel 
produced by a transmix processor is exempt from the standards of Sec.  
80.510(a). This paragraph (c) does not apply to NRLM diesel fuel that is 
sold or intended for sale in the areas listed in Sec.  80.510(g)(1) or 
(g)(2).
    (d) From June 1, 2010 through May 31, 2014, NRLM diesel fuel 
produced by a transmix processor or a pipeline facility that produces 
diesel fuel from transmix is subject to the standards under Sec.  
80.510(a). This paragraph (d) does not apply to NRLM diesel fuel that is 
sold or intended for sale in the areas listed in Sec.  80.510(g)(1) or 
(g)(2).
    (e) From June 1, 2014 and beyond, NRLM diesel fuel produced by a 
transmix processor and a pipeline facility that produces diesel fuel 
from transmix is subject to the standards of Sec.  80.510(c).
    (f) From February 25, 2013 through May 31, 2014, LM diesel fuel 
produced by a transmix processor or a pipeline facility that produces 
diesel fuel from transmix that is sold or intended for sale in the area 
listed in Sec.  80.510(g)(1) is subject to the standards of Sec.  
80.510(a) provided that the conditions in paragraph (h) of this section 
are satisfied. Diesel fuel produced from transmix that does not meet the 
conditions in paragraph (h) of this section is subject to the sulfur 
standard in Sec.  80.510(c).
    (g) Beginning June 1, 2014, LM diesel fuel produced by a transmix 
processor or a pipeline facility that produces diesel fuel from transmix 
is subject to the sulfur standard of Sec.  80.510(a), provided that the 
conditions in paragraph (h) of this section are satisfied. Diesel fuel 
produced from transmix that does not meet the conditions in paragraph 
(h) of this section is subject to the sulfur standard in Sec.  
80.510(c).
    (h) The following conditions must be satisfied to allow the 
production of 500 ppm LM under paragraphs (f) and (g) of this section.
    (1) The fuel must be produced from transmix.
    (2) The fuel must not be sold or intended for sale in the area 
listed in Sec.  80.510(g)(2) (i.e., Alaska).
    (3) A facility producing 500 ppm LM diesel fuel must obtain approval 
from the Administrator for a compliance plan. The compliance plan must 
detail how the facility will segregate any 500 ppm LM diesel fuel 
produced subject to the standards under Sec.  80.510(a) from the 
producer through to the ultimate consumer from fuel having other 
designations. The compliance plan must demonstrate that the end users of 
500 ppm LM will also have access to 15 ppm diesel fuel for use in those 
engines that require the use of 15 ppm diesel fuel. The compliance plan 
must identify the entities that handle the 500 ppm LM through to the 
ultimate consumer. No more than 4 separate entities shall handle the 500 
ppm LM between the producer and the ultimate consumer. The compliance 
plan must also identify all ultimate consumers to whom the refiner 
supplies the 500 ppm LM diesel fuel. The compliance plan must detail how 
misfueling of 500 ppm LM into vehicles or equipment that require the

[[Page 316]]

use of 15 ppm diesel fuel will be prevented.
    (i) Producers of 500 ppm LM diesel fuel must be registered with EPA 
under Sec.  80.597 prior to the distribution of any 500 ppm LM diesel 
fuel.
    (ii) Producers of 500 ppm LM must initiate a PTD that meets the 
requirements in paragraph (h)(3)(iii) of this section.
    (iii) All transfers of 500 ppm LM diesel fuel must be accompanied by 
a PTD that clearly and accurately states the fuel designation; the PTD 
must also meet all other requirements of Sec.  80.590.
    (iv) Batches of 500 ppm LM may be shipped by pipeline provided that 
such batches do not come into physical contact in the pipeline with 
batches of other distillate fuel products that have a sulfur content 
greater than 15 ppm.
    (v) The volume of 500 ppm LM shipped via pipeline under paragraph 
(h)(3)(iv) of this section may swell by no more than 2% upon delivery to 
the next party. Such a volume increase may only be due to volume swell 
due to temperature differences when the volume was measured or due to 
normal pipeline interface cutting practices notwithstanding the 
requirement under paragraph (h)(3)(iv) of this section.
    (vi) Entities that handle 500 ppm LM must calculate the balance of 
500 ppm LM received versus the volume delivered and used on an annual 
basis.
    (vii) The records required in this section must be maintained for 
five years, by each entity that handles 500 ppm LM and be made available 
to EPA upon request.
    (4) All parties that take custody of 500 ppm LM must segregate the 
product from other fuels and observe the other requirements in the 
compliance plan approved by EPA pursuant to paragraph (h)(3) of this 
section.

[69 FR 39171, June 29, 2004, as amended at 75 FR 22969, Apr. 30, 2010; 
77 FR 75879, Dec. 26, 2012]



Sec. Sec.  80.514-80.519  [Reserved]

          Motor Vehicle Diesel Fuel Standards and Requirements



Sec.  80.520  What are the standards and dye requirements for
motor vehicle diesel fuel?

    (a) Standards. All motor vehicle diesel fuel is subject to the 
following per-gallon standards:
    (1) Sulfur content. 15 parts per million (ppm) maximum, except as 
provided in paragraph (c) of this section;
    (2) Cetane index and aromatic content. (i) A minimum cetane index of 
40; or
    (ii) A maximum aromatic content of 35 volume percent.
    (b) Dye requirements. (1) All motor vehicle diesel fuel shall be 
free of visible evidence of dye solvent red 164 (which has a 
characteristic red color in diesel fuel), except for motor vehicle 
diesel fuel that is used in a manner that is tax exempt under section 
4082 of the Internal Revenue Code. All motor vehicle diesel fuel shall 
be free of yellow solvent 124.
    (2) Until June 1, 2010, any 1D or 2D distillate, or NP diesel fuel 
that does not show visible evidence of dye solvent red 164 shall be 
considered to be motor vehicle diesel fuel and subject to all the 
requirements of this subpart for motor vehicle diesel fuel, except for 
distillate fuel designated or classified as any of the following:
    (i) For use only in the State of Alaska, as provided under 40 CFR 
69.51.
    (ii) For use under a national security exemption under Sec.  80.606 
or for use only in a research and development testing program exempted 
under Sec.  80.607.
    (iii) For use in the U.S. Territories as provided under Sec.  
80.608.
    (iv) Jet fuel meeting the definition under Sec.  80.2.
    (v) Kerosene meeting the definition under Sec.  80.2.
    (vi) Diesel fuel that is produced beginning June 1, 2006, with a 
sulfur level less than or equal to 500 ppm, and designated as NRLM or LM 
that has not yet been distributed from a truck loading terminal or bulk 
terminal to a retail outlet, wholesale purchaser-consumer or ultimate 
consumer.
    (c) Pursuant and subject to the provisions of Sec. Sec.  80.530-
80.532, 80.552(a), 80.560-80.561, and 80.620, only motor vehicle

[[Page 317]]

diesel fuel produced or imported in full compliance with the 
requirements of those provisions is subject to the following per-gallon 
standard for sulfur content: 500 ppm maximum.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39171, June 29, 2004; 71 
FR 25717, May 1, 2006]



Sec.  80.521  What are the standards and identification requirements
for diesel fuel additives?

    (a) Except as provided in paragraph (b) of this section, any diesel 
fuel additive that is added to, intended for adding to, used in, or 
offered for use in any MVNRLM diesel fuel subject to the 15 ppm sulfur 
content standards of Sec.  80.510(b), Sec.  80.510(c), or Sec.  
80.520(a) at any downstream location must--
    (1) Have a sulfur content less than or equal to 15 ppm.
    (2) Be accompanied by a product transfer document pursuant to Sec.  
80.591 indicating that the additive complies with the 15 ppm sulfur 
standard for diesel fuel, except for those diesel fuel additives which 
are only sold in containers for use by the ultimate consumer of diesel 
fuel and which are subject to the requirements of Sec.  80.591(d).
    (b) Any diesel fuel additive that is added to, intended for adding 
to, used in, or offered for use in diesel fuel subject to the 15 ppm 
sulfur content standards of Sec.  80.510(b) or (c) or Sec.  80.520(a) 
may have a sulfur content exceeding 15 ppm provided that each of the 
following conditions are met:
    (1) The additive is added to or used in the diesel fuel in a 
quantity less than one percent by volume of the resultant additive/
diesel fuel mixture;
    (2) The product transfer document complies with the informational 
requirements of Sec.  80.591; and
    (3) The additive is not used or intended for use by an ultimate 
consumer in diesel motor vehicles or nonroad diesel engines.

[69 FR 39171, June 29, 2004]



Sec.  80.522  May used motor oil be dispensed into diesel motor 
vehicles or nonroad diesel engines?

    No person may introduce used motor oil, or used motor oil blended 
with diesel fuel, into the fuel system of model year 2007 or later 
diesel motor vehicles or model year 2011 or later nonroad diesel engines 
(not including locomotive or marine diesel engines), unless both of the 
following requirements have been met:
    (a) The vehicle or engine manufacturer has received a Certificate of 
Conformity under 40 CFR part 86, 40 CFR part 89, or 40 CFR part 1039 and 
the certification of the vehicle or engine configuration is explicitly 
based on emissions data with the addition of motor oil; and
    (b) The oil is added in a manner and rate consistent with the 
conditions of the Certificate of Conformity.

[69 FR 39171, June 29, 2004]



Sec.  80.523  [Reserved]



Sec.  80.524  What sulfur content standard applies to motor 
vehicle diesel fuel downstream of the refinery or importer?

    (a) Except as provided in paragraph (b) of this section or otherwise 
in the provisions of this Subpart I, the 15 ppm sulfur content standard 
of Sec.  80.520(a) shall apply to all motor vehicle diesel fuel at any 
downstream location.
    (b) Prior to the October 1, 2010 and December 1, 2010 dates 
specified in Sec.  80.500(d)(3) and (4), the 500 ppm sulfur content 
standard of Sec.  80.520(c) shall apply to motor vehicle diesel fuel at 
any downstream location, provided the following conditions are met:
    (1) The product transfer documents comply with the requirements of 
Sec.  80.590, including indicating that the fuel complies with the 500 
ppm sulfur standard for motor vehicle diesel fuel and is for use only in 
model year 2006 and older diesel motor vehicles, or the fuel is 
downgraded pursuant to the provision of Sec.  80.527 to motor vehicle 
diesel fuel subject to the 500 ppm sulfur standard;
    (2) The motor vehicle diesel fuel is not represented or intended for 
sale or use as subject to the 15 ppm sulfur content standard, and is not 
dispensed, or intended to be dispensed, into model year 2007 and later 
motor vehicles by a retailer or wholesale purchaser-consumer; and
    (3) For retailers or wholesale purchaser-consumers, the pump 
labeling requirements of Sec.  80.570(a) are satisfied.

[[Page 318]]



Sec.  80.525  What requirements apply to kerosene blenders?

    (a) For purposes of this subpart, a kerosene blender means any 
refiner who produces NRLM or motor vehicle diesel fuel by adding 
kerosene to NRLM or motor vehicle diesel fuel downstream of the refinery 
that produced that fuel or of the import facility where the fuel was 
imported, without altering the quality or quantity of the fuel in any 
other manner.
    (b) Kerosene blenders are not subject to the requirements of this 
subpart applicable to refiners of diesel fuel, but are subject to the 
requirements and prohibitions applicable to downstream parties.
    (c) For purposes of compliance with Sec. Sec.  80.524(b)(1) and 
80.511(b)(1), the product transfer documents must indicate that the fuel 
to which kerosene is added complies with the 500 ppm sulfur standard for 
motor vehicle diesel fuel and is for use only in model year 2006 and 
older diesel motor vehicles, the fuel is properly downgraded pursuant to 
the provisions of Sec.  80.527 to motor vehicle diesel fuel subject to 
the 500 ppm sulfur standard, or the applicable NRLM standard.
    (d) Kerosene that a kerosene blender adds or intends to add to 
diesel fuel subject to the 15 ppm sulfur content standard must meet the 
15 ppm sulfur content standard, and either of the following 
requirements:
    (1) The product transfer document received by the kerosene blender 
indicates that the kerosene is diesel fuel that complies with the 15 ppm 
sulfur content standard.
    (2) The kerosene blender has test results indicating the kerosene 
complies with the 15 ppm sulfur standard.

[66 FR 5136, Jan. 18, 2001, as amended at 70 FR 40895, July 15, 2005; 75 
FR 22969, Apr. 30, 2010]



Sec.  80.526  [Reserved]



Sec.  80.527  Under what conditions may motor vehicle diesel fuel
subject to the 15 ppm sulfur standard be downgraded to motor 
vehicle diesel fuel subject to the 500 ppm sulfur standard?

    (a) Definitions. As used in this section, downgrade means changing 
the designation or classification of motor vehicle diesel fuel subject 
to the 15 ppm sulfur standard under Sec.  80.520(a)(1) to motor vehicle 
diesel fuel subject to the 500 ppm sulfur standard under Sec.  
80.520(c). A downgrade occurs when the change in designation or 
classification takes place. Changing the designation or classification 
of motor vehicle diesel fuel subject to the 15 ppm sulfur standard under 
Sec.  80.520(a)(1) to any designation or classification that is not a 
motor vehicle diesel fuel is not a downgrade for purposes of this 
section.
    (b) Who is subject to the downgrade limitation: Any distributor, 
retailer, or wholesale purchaser consumer that takes custody of any 
diesel fuel designated or classified as 2D 15 ppm sulfur motor vehicle 
diesel fuel and delivers any diesel fuel designated or classified as 2D 
500 ppm motor vehicle diesel fuel.
    (c) Downgrading limitation. The provisions of this section apply 
beginning October 15, 2006.
    (1) Except as provided in paragraphs (d) and (e) of this section, a 
person described in paragraph (b) of this section may not downgrade a 
total of more than 20 percent of the 2D motor vehicle diesel fuel (by 
volume) that is subject to the 15 ppm sulfur standard of Sec.  
80.520(a)(1) to 2D motor vehicle diesel fuel subject to the sulfur 
standard of Sec.  80.520(c) while such person has custody of such fuel.
    (2) The limitation of paragraph (c)(1) of this section applies 
separately to each facility as defined under Sec.  80.502 where there is 
custody of the fuel when it is downgraded.
    (3) Compliance with the limitation of paragraph (c)(1) of this 
section applies separately for the compliance periods of October 15, 
2006 through May 31, 2007; June 1, 2007 through June 30, 2008; July 1, 
2008 through June 30, 2009; July 1, 2009 through May 31, 2010.
    (4) Except as provided in paragraph (e) of this section, compliance 
with the limitation of paragraph (c)(1) of this section shall be as 
calculated under Sec.  80.599(e).
    (d) Diesel fuel in violation of the 15 ppm standard. Where motor 
vehicle diesel fuel subject to the 15 ppm sulfur standard of Sec.  
80.520(a)(1) is found to be in violation of any standard under Sec.  
80.520(a)

[[Page 319]]

and is consequently downgraded to 500 ppm sulfur motor vehicle diesel 
fuel, the person having custody of the fuel at the time it is found to 
be in violation must include the volume of such downgraded fuel toward 
its 20 percent volume limitation under paragraph (c)(1) of this section, 
unless the person demonstrates that it did not cause the violation.
    (e) Special provisions for retail outlets and wholesale purchaser-
consumer facilities. Notwithstanding the provisions of paragraph (c)(1) 
of this section, retailers and wholesale purchaser-consumers shall 
comply with the downgrading limitation as follows:
    (1) Retailers and wholesale purchaser-consumers who sell, offer for 
sale, or dispense motor vehicle diesel fuel that is subject to the 15 
ppm sulfur standard under Sec.  80.520(a)(1) are exempt from the volume 
limitations of paragraph (c)(1) of this section.
    (2) A retailer or wholesale purchaser-consumer who does not sell, 
offer for sale, or dispense motor vehicle diesel fuel subject to the 15 
ppm sulfur standard under Sec.  80.520(a)(1) must comply with the 
downgrading limitations of paragraph (c) of this section, such that it 
may not downgrade a volume of motor vehicle diesel fuel, designated as 
subject to the 15 ppm sulfur standard, for more than 20% of the total 
volume of motor vehicle diesel fuel that it sells, offers for sale, or 
dispenses in any compliance period.
    (f) Termination of downgrading limitations. The provisions of this 
section shall not apply after May 31, 2010.

[69 FR 39172, June 29, 2004, as amended at 71 FR 25717, May 1, 2006]



Sec. Sec.  80.528-80.529  [Reserved]

                       Temporary Compliance Option



Sec.  80.530  Under what conditions can 500 ppm motor vehicle
diesel fuel be produced or imported after May 31, 2006?

    (a) Beginning June 1, 2006, a refiner or importer may produce or 
import motor vehicle diesel fuel subject to the 500 ppm sulfur content 
standard of Sec.  80.520(c) if all of the following requirements are 
met:
    (1) Each batch of motor vehicle diesel fuel subject to the 500 ppm 
sulfur content standard must be designated by the refiner or importer as 
subject to such standard, pursuant to Sec.  80.598(a).
    (2) The refiner or importer must meet the requirements for product 
transfer documents in Sec.  80.590 for each batch subject to the 500 ppm 
sulfur content standard.
    (3)(i) The volume of motor vehicle diesel fuel that is produced or 
imported during a compliance period (V500, as provided in 
paragraph (a)(5) of this section, may not exceed the following volume 
limit:
    (A) For the compliance periods prior to the period from July 1, 2009 
through May 31, 2010, 20 percent of the volume of motor vehicle diesel 
fuel that is produced or imported during a compliance period 
(Vt) plus an additional volume of motor vehicle diesel fuel 
represented by credits properly generated and used pursuant to the 
requirements of Sec. Sec.  80.531 and 80.532.
    (B) For the compliance period from July 1, 2009 through May 31, 
2010, 20 percent of the volume of motor vehicle diesel fuel that is 
produced or imported prior to January 1, 2010 during the compliance 
period (Vt), plus an additional volume of motor vehicle 
diesel fuel represented by credits properly generated and used pursuant 
to the requirements of Sec. Sec.  80.531 and 80.532. From January 1, 
2010 through May 31, 2010, the volume of motor vehicle diesel fuel that 
is produced or imported shall not exceed the volume represented by 
credits used pursuant to Sec.  80.532.
    (ii) The terms V500 and Vt have the meaning 
specified in Sec.  80.531(a)(2).
    (4) Compliance with the volume limit in paragraph (a)(3) of this 
section must be determined separately for each refinery. For an 
importer, such compliance must be determined separately for each Credit 
Trading Area (as defined in Sec.  80.531) into which motor vehicle 
diesel fuel is imported. If a party is both a refiner and an importer, 
such compliance shall be determined separately for the refining and 
importation activities.
    (5) Compliance with the volume limit in paragraph (a)(3) of this 
section shall be determined on an annual basis, where the annual 
compliance period is from July 1 through June 30. For the year 2006, 
compliance shall be determined for the period June 1, 2006

[[Page 320]]

through June 30, 2007. For the year 2010, compliance shall be determined 
for the period of July 1, 2009 through May 31, 2010.
    (6) Any motor vehicle diesel fuel produced or imported above the 
volume limit in paragraph (a)(3) of this section shall be subject to the 
15 ppm sulfur content standard. However, for any compliance period prior 
to the compliance period July 1, 2009 through May 31, 2010, a refiner or 
importer may exceed the volume limit in paragraph (a)(3) of this section 
by no more than 5 percent of the volume of diesel fuel produced or 
imported during the compliance period (Vt), provided that for 
the immediately following compliance period:
    (i) The refiner or importer complies with the volume limit in 
paragraph (a)(3) of this section; and
    (ii) The refiner or importer produces or imports a volume of motor 
vehicle diesel fuel subject to the 15 ppm sulfur standard, or obtains 
credits properly generated and used pursuant to the requirements of 
Sec. Sec.  80.531 and 80.532 that represent a volume of motor vehicle 
diesel fuel, equal to the volume of the exceedance for the prior 
compliance period.
    (b) After May 31, 2010, no refiner or importer may produce or import 
motor vehicle diesel fuel subject to the 500 ppm sulfur content standard 
pursuant to this section.

[69 FR 39172, June 29, 2004]



Sec.  80.531  How are motor vehicle diesel fuel credits generated?

    (a) Generation of credits from June 1, 2006 through December 31, 
2009. (1) A refiner or importer may generate credits during the period 
June 1, 2006 through December 31, 2009, for motor vehicle diesel fuel 
produced or imported that is designated as subject to the 15 ppm sulfur 
content standard under Sec.  80.520(a)(1). Credits may be generated only 
if the volume of motor vehicle diesel fuel designated under Sec.  
80.598(a) as subject to the 15 ppm sulfur standard of Sec.  80.520(a) 
exceeds 80 percent of the total volume of motor vehicle diesel fuel 
produced or imported as described in paragraph (a)(2) of this section.
    (2) The number of motor vehicle diesel fuel credits generated shall 
be calculated for each compliance period (as specified in Sec.  
80.530(a)(5)) as follows:

C = V1515-(0.80 x Vt)

Where:

C = the positive number of motor vehicle diesel fuel credits generated, 
          in gallons.
V15 = the total volume in gallons of diesel fuel produced or 
          imported that is designated under Sec.  80.598 as motor 
          vehicle diesel fuel and subject to the standards of Sec.  
          80.520(a) during the compliance period.
Vtn = V15 + V500
V500 = the total volume in gallons of diesel fuel produced or 
          imported that is designated under Sec.  80.598(a) as motor 
          vehicle diesel fuel and subject to the 500 ppm sulfur standard 
          under Sec.  80.520(c) plus the total volume of any other 
          diesel fuel (not including V15, diesel fuel that is 
          dyed in accordance with Sec.  80.520(b) at the refinery or 
          import facility where the diesel fuel is produced or imported, 
          or diesel fuel that is designated as NRLM under Sec.  
          80.598(a)) represented as having a sulfur content less than or 
          equal to 500 ppm.

    (3) Credits shall be generated and designated as follows:
    (i) Credits shall be generated separately for each refinery of a 
refiner.
    (ii) Credits shall be generated separately for each credit trading 
area (CTA), as defined in paragraph (a)(5) of this section, into which 
motor vehicle diesel fuel is imported by an importer.
    (iii) Credits shall be designated separately by year of generation 
and by CTA of generation. In the case of a refiner, credits shall also 
be designated by refinery, and in the case of an importer, credits shall 
also be designated by port of import.
    (iv) Credits may not be generated by both a foreign refiner and by 
an importer for the same motor vehicle diesel fuel.
    (4) Credits shall be generated by a foreign refiner as provided in 
Sec.  80.620(c) and this section.
    (5) For purposes of this subpart, the CTAs are:
    (i) PADDs I, II, III and IV, as described in Sec.  80.502(f) except 
as provided in paragraph (a)(5)(iv) of this section. The CTAs shall be 
designated as CTA 1, 2, 3, and 4, respectively, and correspond to PADDs 
I, II, III, and IV, respectively;

[[Page 321]]

    (ii) CTA 5 shall correspond to PADD V, as described in Sec.  
80.502(f), except as provided in paragraphs (a)(5)(iii) and (iv) of this 
section;
    (iii) The states of Hawaii and Alaska shall each be treated as a 
separate CTA and not a part of CTA 5. Alaska shall be CTA 6. Hawaii 
shall be CTA 7;
    (iv) If any state (through a waiver of federal preemption under 
Section 211(c)(4) of the Clean Air Act, 42 U.S.C. 7545(c)(4)) implements 
a law or regulation that requires a greater volume of motor vehicle 
diesel fuel to meet a sulfur standard of less than or equal to 15 ppm 
than the volume that is required under this subpart, no motor vehicle 
diesel fuel produced in that state or imported directly into that state 
may generate credits under this subpart, effective on the implementation 
date of the sulfur program under the state statute or regulation that 
implements the more stringent state requirements.
    (v) The U.S. territories specified in Sec.  80.502(f)(6) shall be 
included in CTA 1.
    (6) No credits may be generated under this paragraph (a) after 
December 31, 2009.
    (7) No refinery may generate credits under both this paragraph (a) 
and under paragraph (e) of this section.
    (b) Generation of early credits from June 1, 2001 through May 31, 
2005. (1) Beginning June 1, 2001, a refiner or importer may generate one 
credit for each gallon of motor vehicle diesel fuel meeting the sulfur 
content standard in Sec.  80.520(a)(1) that is used in vehicles with 
engines that are certified to meet the model year 2007 heavy duty engine 
PM standard under 40 CFR 86.007-11, or vehicles with retrofit 
technologies that achieve emission levels equivalent to the 2007 
NOX or PM emission standard verified as part of a retrofit 
program administered by EPA or a state. Such refiners and importers must 
comply with the requirements of paragraphs (b) and (d) of this section.
    (2)(i) Any refiner or importer planning to generate credits under 
this paragraph must provide notice of intent to generate early credits 
at least 120 calendar days prior to the date it begins generating 
credits under this paragraph by submitting such notice to Attn: Early 
Diesel Credits Notice, at the address in Sec.  80.595.
    (ii) The notice shall include a detailed plan that demonstrates that 
the motor vehicle diesel fuel meeting the 15 ppm sulfur standard of 
Sec.  80.520(a)(1) for which credits are generated under this paragraph 
will be used in vehicles with engines that are certified to meet the 
model year 2007 heavy duty engine PM standard under 40 CFR 86.007-11 or 
in vehicles with retrofit technologies that achieve emission levels 
equivalent to the 2007 NOX or PM emission standard verified 
as part of a retrofit program administered by EPA or a state. The notice 
must include the refiner's or importer's detailed plan for ensuring that 
all motor vehicle diesel fuel that generates early credits under this 
paragraph will be segregated from all other motor vehicle diesel fuel 
not meeting the sulfur standard under Sec.  80.520(a)(1), from the 
refinery or import facility to its ultimate use in motor vehicles.
    (3) No credits may be generated under this paragraph (b) after May 
31, 2005.
    (4) A refiner or importer may generate credits under this paragraph 
and also generate credits under paragraph (a) of this section, and a 
small refiner, as defined under Sec.  80.550, may generate credits under 
this paragraph (b) and paragraph (e) of this section.
    (c) Generation of early credits from June 1, 2005 through May 31, 
2006. (1) Beginning June 1, 2005, a refiner or importer may generate one 
credit for each gallon of motor vehicle diesel fuel produced or imported 
that meets the 15 ppm sulfur standard in Sec.  80.520(a)(1) that is 
delivered into the distribution system. Such refiners and importers must 
comply with the requirements of this paragraph (c) and paragraph (d) of 
this section.
    (2)(i) Any refiner or importer planning to generate credits under 
this paragraph must provide notice of intent to generate early credits 
at least 30 calendar days prior to the date it begins generating credits 
under this paragraph (c).
    (ii) [Reserved]
    (3) No credits may be generated under this paragraph after May 31, 
2006.
    (4) A refiner or importer may generate credits under this paragraph 
(c) and also generate credits under paragraph (a) of this section, and a 
small

[[Page 322]]

refiner, as defined under Sec.  80.550, may generate credits under this 
paragraph (c) and paragraph (e) of this section.
    (5) Credit transfers for early credits. For early credits generated 
under Sec.  80.531(c), credits may be used in any of the CTAs 1 through 
5 that were generated in any of the CTAs 1 through 7 to achieve 
compliance with the volume limit in Sec.  80.503(a)(3);
    (d) Additional requirements for early credits. Early credits 
generated under paragraphs (b) and (c) of this section are subject to 
the following additional requirements:
    (1) The designation requirements of Sec.  80.598, and all 
recordkeeping and reporting requirements of Sec. Sec.  80.592 (except 
for paragraph (a)(3)), 80.593, 80.594, 80.600, and 80.601.
    (2) Credits generated under paragraphs (b) and (c) of this section 
shall be generated separately by CTA as defined in paragraph (a)(5) of 
this section and must be designated by CTA of generation, and by the 
refiner and refinery, or by importer and port of import, as applicable, 
except as provided under paragraph (c)(5) of this section.
    (3) Credits may not be generated for the same fuel by both a foreign 
refiner and an importer.
    (4) [Reserved]
    (5) In addition to the reporting requirements under paragraph (d)(1) 
of this section, the refiner or importer must submit a report to the 
Administrator no later than August 31, 2005 for the period from June 1, 
2004 through May 31, 2005, or August 31, 2006 for the period from June 
1, 2005 through May 31, 2006, demonstrating that all the motor vehicle 
diesel fuel produced or imported for which credits were generated met 
the applicable requirements of paragraph (b), (c), or (d)(4) of this 
section. If the Administrator finds that such credits did not in fact 
meet the requirements of paragraphs (b)(1) and (c)(1) of this section, 
as applicable, or if the Administrator determines that there is 
insufficient information to determine the validity of such credits, the 
Administrator may deny the credits submitted in whole or in part.
    (e) Credits generated by small refiners. (1) Notwithstanding the 
provisions of paragraph (a) of this section, a small refiner that is 
approved by the EPA as a small refiner under Sec.  80.551(g) may 
generate credits under Sec.  80.552(b). Such a small refiner may 
generate one credit for each gallon of motor vehicle diesel fuel 
produced that is designated under Sec.  80.598 as motor vehicle diesel 
fuel subject to the 15 ppm sulfur standard under Sec.  80.520(a)(1).
    (2)(i) Credits may be generated under this paragraph (e) and Sec.  
80.552(b) only during the compliance periods beginning June 1, 2006 and 
ending on May 31, 2010, however diesel fuel produced after December 31, 
2009 shall not generate credits. Credits shall be designated separately 
by refinery, separately by CTA of generation, and separately by annual 
compliance period. The annual compliance period for 2006 shall be June 
1, 2006 through June 30, 2007. The annual compliance period for 2010 
shall be July 1, 2009 through May 31, 2010.
    (ii) The small refiner must meet the requirements of paragraphs 
(d)(1), (d)(2) and (d)(3) of this section, and the recordkeeping and 
reporting requirements of Sec. Sec.  80.592, 80.593 and 80.594.
    (iii) In addition, a foreign refiner that is approved by the 
Administrator to generate credits under Sec.  80.552(b) shall comply 
with the requirements of Sec.  80.620.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39173, June 29, 2004; 70 
FR 40895, July 15, 2005; 70 FR 70510, Nov. 22, 2005; 71 FR 25717, May 1, 
2006]



Sec.  80.532  How are motor vehicle diesel fuel credits used
and transferred?

    (a) Credit use stipulations. Motor vehicle diesel fuel credits 
generated under Sec.  80.531 may be used to meet the volume limit of 
Sec.  80.530(a)(3) provided that:
    (1) The motor vehicle diesel fuel credits were generated and 
reported according to the requirements of this subpart; and
    (2) The conditions of this section are met.
    (b) Use of credits generated under Sec.  80.531. Motor vehicle 
diesel fuel credits generated under Sec.  80.531 may be used by a 
refiner or by an importer to comply with Sec.  80.530 by applying one 
credit for every gallon of motor vehicle diesel fuel needed to meet 
compliance with the volume limit of Sec.  80.530(a)(3).
    (c) Credit banking. Motor vehicle diesel fuel credits generated may 
be

[[Page 323]]

banked for use or transfer in a later compliance period or may be 
transferred to another refiner or importer for use as provided in 
paragraph (d) of this section.
    (d) Credit transfers. (1) Motor vehicle diesel fuel credits obtained 
from another refiner or from another importer, including early motor 
vehicle diesel fuel credits and small refiner motor vehicle diesel fuel 
credits as described in Sec.  80.531(b) through (e), may be used to 
satisfy the volume limit of Sec.  80.530(a)(3) if all the following 
conditions are met:
    (i) The motor vehicle diesel fuel credits were generated in the same 
CTA as the CTA in which motor vehicle diesel fuel credits are used to 
achieve compliance, except as provided in Sec.  80.531(c)(5);
    (ii) The motor vehicle diesel fuel credits are used in compliance 
with the time period limitations for credit use in this subpart;
    (iii) Any credit transfer takes place no later than the August 31 
following the compliance period when the motor vehicle diesel fuel 
credits are used;
    (iv) No credit may be transferred more than twice, as follows: The 
first transfer by the refiner or importer who generated the credit may 
only be made to a refiner or importer who intends to use the credit; if 
the transferee cannot use the credit, it may make a second and final 
transfer only to a refiner or importer who intends to use the credit. In 
no case may a credit be transferred more than twice before being used or 
terminated;
    (v) The credit transferor must apply any motor vehicle diesel fuel 
credits necessary to meet the transferor's annual compliance 
requirements before transferring motor vehicle diesel fuel credits to 
any other refinery or importer;
    (vi) No motor vehicle diesel fuel credits may be transferred that 
would result in the transferor having a negative credit balance; and
    (vii) Each transferor must supply to the transferee records 
indicating the year the motor vehicle diesel fuel credits were 
generated, the identity of the refiner (and refinery) or importer who 
generated the motor vehicle diesel fuel credits, the CTA of credit 
generation, and the identity of the transferring entity, if it is not 
the same entity who generated the motor vehicle diesel fuel credits.
    (2) In the case of motor vehicle diesel fuel credits that have been 
calculated or created improperly, or are otherwise determined to be 
invalid, the following provisions apply:
    (i) Invalid motor vehicle diesel fuel credits cannot be used to 
achieve compliance with the transferee's volume requirements regardless 
of the transferee's good faith belief that the motor vehicle diesel fuel 
credits were valid.
    (ii) The refiner or importer who used the motor vehicle diesel fuel 
credits, and any transferor of the motor vehicle diesel fuel credits, 
must adjust their credit records, reports and compliance calculations as 
necessary to reflect the proper motor vehicle diesel fuel credits.
    (iii) Any properly created motor vehicle diesel fuel credits 
existing in the transferor's credit balance after correcting the credit 
balance, and after the transferor applies motor vehicle diesel fuel 
credits as needed to meet the compliance requirements at the end of the 
compliance period, must first be applied to correct the invalid 
transfers before the transferor trades or banks the motor vehicle diesel 
fuel credits.
    (e) Limitations on credit use. (1) Motor vehicle diesel fuel credits 
may not be used to achieve compliance with any requirements of this 
subpart other than the volume limit of Sec.  80.530(a)(3), unless 
specifically approved by the Administrator pursuant to a hardship relief 
petition under Sec.  80.560 or 80.561.
    (2) A refiner or importer possessing motor vehicle diesel fuel 
credits must use all motor vehicle diesel fuel credits in its possession 
prior to applying the credit deficit provisions of Sec.  80.530(a)(6).
    (3) No motor vehicle diesel fuel credits may be used to meet 
compliance with this subpart subsequent to the compliance period ending 
May 31, 2010.

[69 FR 39173, June 29, 2004, as amended at 71 FR 25717, May 1, 2006]

[[Page 324]]



Sec.  80.533  How does a refiner or importer apply for a motor
vehicle or non-highway baseline for the generation of NRLM 
credits or the use of the NRLM small refiner compliance options?

    (a) A refiner or importer wishing to generate credits under Sec.  
80.535 or use the small refiner provisions under Sec.  80.554 must 
submit an application to EPA that includes the information required 
under paragraph (c) of this section by the dates specified in paragraph 
(f) of this section. A refiner must apply for a motor vehicle baseline 
for each refinery in order to generate credits under Sec.  80.535 and 
apply for a non-highway baseline for each refinery to use the provisions 
of Sec.  80.554 (a), (b), or (d).
    (b) The baseline must be sent to the attention of ``Nonroad Rule 
Diesel Fuel Baseline'' to the address in Sec.  80.10(a).
    (c) A baseline application must be submitted for each refinery or 
import facility and include the following information:
    (1) A listing of the names and addresses of all refineries or import 
facilities owned by the company for which the refiner or importer is 
applying for a motor vehicle or non-highway baseline.
    (2)(i) For purposes of a motor vehicle baseline volume for use in 
determining early credits per Sec.  80.535(a) and (b) and for purposes 
of a non-highway baseline volume used in determining compliance with the 
provisions of Sec.  80.554(a) or (d), the baseline volume produced 
during the three calendar years beginning January 1, 2003, 2004, and 
2005, as calculated under paragraph (e)(1) of this section.
    (ii) For purposes of a motor vehicle baseline volume for use in 
determining early credits per Sec.  80.535(c) and for purposes of a non-
highway baseline volume used in determining compliance with the 
provisions of Sec.  80.554(b), the baseline volumes produced during the 
three calendar years beginning January 1, 2006, 2007, and 2008, as 
calculated under paragraph (e)(2) of this section.
    (iii) For purposes of a total diesel baseline volume for use in 
determining compliance with the provisions of Sec.  80.554(d), the 
baseline volumes of motor vehicle diesel fuel produced during the 
calendar years beginning January 1, 1998 and 1999 (per Sec. Sec.  
80.595(a) and 80.596(a)); and the baseline volumes of non-highway diesel 
fuel produced during the three calendar years beginning January 1, 2003, 
2004, and 2005. This shall be calculated as stated under paragraph (f) 
of this section.
    (3) A letter signed by the president, chief operating officer of the 
company, or his/her delegate, stating that the information contained in 
the motor vehicle or non-highway baseline application is true to the 
best of his/her knowledge.
    (4) Name, address, phone number, facsimile number and e-mail address 
of a corporate contact person.
    (5) For each batch of diesel fuel produced or imported during each 
calendar year:
    (i) The date that production was completed or importation occurred 
for the batch and the batch designation or classification.
    (ii) The batch volume.
    (6) Other appropriate information as requested by EPA.
    (d) Calculation of the Motor vehicle Baseline, BMV. (1) 
Under paragraph (c)(2)(i) of this section, BMV equals the 
average annual volume of motor vehicle diesel fuel produced or imported 
from January 1, 2003 through December 31, 2005.
    (2) Under paragraph (c)(2)(ii) of this section, BMV 
equals the average annual volume of motor vehicle diesel fuel produced 
or imported during the period from January 1, 2006 through December 31, 
2008.
    (3) For purposes of this paragraph, fuel produced for export, jet 
fuel (kerosene), and fuel specifically produced to meet military 
specifications (such as JP-4, JP-8, and F-76), shall not be included in 
baseline calculations.
    (e) Calculation of the Non-highway Baseline, BNRLM. For 
purposes of this paragraph (e), BMV shall only include the 
average annual volume of 2D distillate fuel.
    (1) Under paragraphs (c)(2)(i) and (c)(2)(iii) of this section, 
BNRLM equals the average annual volume of all 2D distillate 
produced or imported from January 1, 2003 through December 31, 2005, 
less BMV as determined in paragraph (d)(1) of this section.

[[Page 325]]

    (2) Under paragraph (c)(2)(ii) of this section, BNRLM 
equals the average annual volume of MVNRLM produced or imported from 
January 1, 2006 through December 31, 2008, less BMV as 
determined in paragraph (d)(2) of this section.
    (3) For purposes of this paragraph (e), fuel produced for export, 
jet fuel, kerosene, and fuel specifically produced to meet military 
specification (such as JP-4, JP-8, and F-76), shall not be included in 
baseline calculations.
    (f) Calculation of the Total Diesel Baseline, BMVNRLM. 
BMVNRLM equals the sum of BMV (as calculated under 
Sec.  80.596) plus BNRLM (as calculated under paragraph 
(e)(1) of this section).
    (g)(1) Applications submitted under paragraphs (c)(2)(i) and 
(c)(2)(iii) of this section must be postmarked by February 28, 2006.
    (2) Applications submitted under paragraph (c)(2)(ii) of this 
section must be postmarked by February 28, 2009.
    (h)(1) For applications submitted under paragraphs (c)(2)(i) and 
(c)(2)(iii) of this section, EPA will notify refiners or importers by 
June 1, 2006 of approval of the baselines for each of the refiner's 
refineries or importer's import facilities or of any deficiencies in the 
refiner's or importer's application.
    (2) For applications submitted under paragraph (c)(2)(ii) of this 
section, EPA will notify refiners or importers by June 1, 2009 regarding 
approval of the baselines for each of the refiner's refineries or 
importer's import facilities of any deficiencies in the refiner's or 
importer's application.
    (i) If at any time the motor vehicle baseline or non-highway 
baseline submitted in accordance with the requirements of this section 
is determined to be incorrect, EPA will notify the refiner or importer 
of the corrected baseline and any compliance calculations made on the 
basis of that baseline will have to be adjusted retroactively.

[69 FR 39174, June 29, 2004, as amended at 70 FR 70510, Nov. 22, 2005; 
71 FR 25717, May 1, 2006; 85 FR 7073, Feb. 6, 2020]



Sec.  80.534  [Reserved]



Sec.  80.535  How are NRLM diesel fuel credits generated?

    (a) Generation of high sulfur NRLM credits from June 1, 2006 through 
May 31, 2007. (1) During the period June 1, 2006 through May 31, 2007, a 
refiner or importer may generate credits pursuant to the provisions of 
this section if all of the following conditions are met:
    (i) The refiner or importer notifies EPA of its intention to 
generate credits and the period during which it will generate credits. 
This notification must be received by EPA at least 30 calendar days 
prior to the date it begins generating credits under this section.
    (ii) Each batch or partial batch of NRLM diesel fuel for which 
credits are claimed shall be subject to all of the provisions of this 
subpart for NRLM diesel fuel as if it had been produced after June 1, 
2007 and before June 1, 2010.
    (iii) The number of high-sulfur NRLM credits (HSC) that are 
generated shall be a positive number.
    (2) The refiner or importer shall choose one of the following 
methods for calculating credits for each calculation period.
    (i) For fuel that is dyed under the provisions of Sec.  80.520, HSC 
equals the volume of fuel in gallons produced or imported during the 
period identified in paragraph (a)(1) of this section that is designated 
as NRLM diesel fuel and that is subject to and complies with the 
provisions of Sec.  80.510(a); or
    (ii) For dyed or undyed fuel that complies with the provisions of 
Sec.  80.598 for a calculation period of June 1, 2006 through May 31, 
2007, determine HSC as follows:

HSC = V510 + V520 - BMV

Where:

V510 = The total volume of NRLM diesel fuel produced or 
          imported during the annual calculation period that complies 
          with the standards of Sec.  80.510(a) or (b).
V520 = The total volume of motor vehicle diesel fuel produced 
          or imported during the annual calculation period that complies 
          with the standards of Sec.  80.520(a) or (c).
BMV = As calculated in Sec.  80.533(d)(1).

    (3) High-sulfur NRLM credits shall be generated and designated as 
follows:

[[Page 326]]

    (i) Credits shall be generated separately for each refiner or 
importer.
    (ii) Credits may not be generated by both a foreign refiner and by 
an importer for the same motor vehicle diesel fuel.
    (iii) Credits shall not be generated under both Sec.  80.531 and 
this section for the same diesel fuel.
    (iv) Any credits generated by a foreign refiner shall be generated 
as provided in Sec.  80.620(c) and this section.
    (4) No credits may be generated under this paragraph (a) after May 
31, 2007.
    (5) Any fuel for which a refiner or importer wishes to generate 
credits must be designated as 500 ppm sulfur NRLM diesel fuel when 
delivered to the next entity. The refiner may not designate the fuel as 
500 ppm sulfur with the intent that it be mixed by the next entity with 
a batch of distillate with a higher sulfur level to create a fuel with a 
classification other than 500 ppm sulfur or the classification of the 
fuel it is mixed with (e.g., it cannot mix fuel designated as 500 ppm 
sulfur with fuel classified as high sulfur to produce a fuel classified 
as 2000 ppm sulfur to meet state or local sulfur limits).
    (6) The refiner or importer must submit a report to the 
Administrator no later than July 31, 2007. The report must demonstrate 
that all the NRLM diesel fuel produced or imported which generated 
credits met the applicable requirements of paragraphs (a)(1) through 
(a)(5) of this section. If the Administrator finds that such credits did 
not in fact meet the requirements of paragraphs (a)(1) through (a)(5) of 
this section, as applicable, or if the Administrator determines that 
there is insufficient information to determine the validity of such 
credits, the Administrator may deny the credits submitted in whole or in 
part.
    (b) Generation of high-sulfur NRLM credits by small refiners from 
June 1, 2006 through May 31, 2010. (1) Notwithstanding the dates 
specified in paragraph (a) of this section, during the period from June 
1, 2006 through May 31, 2010, a refiner that is approved by the EPA as a 
small refiner under Sec.  80.551 may generate credits under paragraph 
(a) of this section during any compliance period as specified under 
Sec.  80.599(a)(2) for diesel fuel produced or imported that is 
designated as NRLM diesel fuel and complies with the provisions of Sec.  
80.510(a).
    (2) The small refiner must submit a report to the Administrator no 
later than August 31 after the end of each calculation period during 
which credits were generated. The report must demonstrate that all the 
NRLM diesel fuel produced or imported which generated credits met the 
applicable requirements of paragraphs (a)(1) through (a)(5) of this 
section. If the Administrator finds that such credits did not in fact 
meet the requirements of paragraphs (a)(1) through (a)(5) of this 
section, as applicable, or if the Administrator determines that there is 
insufficient information to determine the validity of such credits, the 
Administrator may deny the credits submitted in whole or in part.
    (3) In addition, a foreign refiner that is approved by the 
Administrator to generate credits under Sec.  80.554 shall comply with 
the requirements of Sec.  80.620.
    (c) Generation of 500 ppm sulfur NRLM credits from June 1, 2009 
through May 31, 2010. (1) During the period of June 1, 2009 through May 
31, 2010, a refiner or importer may generate credits pursuant to the 
provisions of this section if all of the following conditions are met:
    (i) The refiner or importer notifies EPA of its intention to 
generate credits and the period during which it will generate credits. 
This notification must be received by EPA at least 30 calendar days 
prior to the date it begins generating credits under this section.
    (ii) Each batch or partial batch of NRLM diesel fuel for which 
credits are claimed shall be subject to all of the provisions of this 
subpart for NRLM diesel fuel as if it had been produced after June 1, 
2010.
    (iii) The number of 500 ppm sulfur NRLM credits in gallons that are 
generated, C500, shall be a positive number calculated as 
follows:

C500 = V15-BMV

Where:

V15 = The total volume in gallons of 15 ppm diesel fuel 
          produced or imported during the period stated under paragraph 
          (c)(1)(i) of this section that is designated

[[Page 327]]

          as either motor vehicle diesel fuel or NRLM diesel fuel.
BMV = As determined in Sec.  80.533(d)(2).

    (2) 500 ppm sulfur NRLM credits shall be generated and designated as 
follows:
    (i) Credits shall be generated separately for each refiner or 
importer.
    (ii) Credits may not be generated by both a foreign refiner and by 
an importer for the same diesel fuel.
    (iii) Credits shall not be generated under both Sec.  80.531 and 
this section for the same diesel fuel.
    (iv) Any credits generated by a foreign refiner shall be generated 
as provided in Sec.  80.620(c) and this section.
    (3) No credits may be generated under this paragraph (c) after May 
31, 2010.
    (4) The refiner or importer must submit a report to the 
Administrator no later than August 31, 2010. The report must demonstrate 
that all the 15 ppm sulfur NRLM diesel fuel produced or imported which 
generated credits met the applicable requirements of paragraphs (c)(1) 
through (c)(3) of this section. If the Administrator finds that such 
credits did not in fact meet the requirements of paragraphs (c)(1) 
through (c)(3) of this section, as applicable, or if the Administrator 
determines that there is insufficient information to determine the 
validity of such credits, the Administrator may deny the credits 
submitted in whole or in part.
    (d) Generation of 500 ppm sulfur NRLM credits by small refiners from 
June 1, 2009 through December 31, 2013. (1) Notwithstanding the dates 
specified in paragraph (c) of this section, during the period from June 
1, 2009 through December 31, 2013, a refiner that is approved by the EPA 
as a small refiner under Sec.  80.551 may generate credits under 
paragraph (c) of this section during any compliance period as specified 
under Sec.  80.599(a)(2) for diesel fuel produced or imported that is 
designated as NR or NRLM diesel fuel and complies with the provisions of 
Sec.  80.510(b) or (c).
    (2) The small refiner must submit a report to the Administrator no 
later than August 31 after the end of each calculation period during 
which credits were generated. The report must demonstrate that all the 
15 ppm sulfur NR or NRLM diesel fuel produced or imported for which 
credits were generated met the applicable requirements of paragraphs 
(c)(1) through (c)(3) of this section. If the Administrator finds that 
such credits did not in fact meet the requirements of paragraphs (c)(1) 
through (c)(3) of this section, as applicable, or if the Administrator 
determines that there is insufficient information to determine the 
validity of such credits, the Administrator may deny the credits 
submitted in whole or in part.
    (3) In addition, a foreign refiner that is approved by the 
Administrator to generate credits under Sec.  80.554 shall comply with 
the requirements of Sec.  80.620.

[69 FR 39175, June 29, 2004, as amended at 71 FR 25718, May 1, 2006]



Sec.  80.536  How are NRLM diesel fuel credits used and transferred?

    (a) Credit use stipulations. Credits generated under Sec.  80.535(a) 
and (b) may be used to meet the NRLM diesel fuel sulfur standard of 
Sec.  80.510(a), and credits generated under 80.535(c) and (d) may be 
used to meet the NR and NRLM diesel fuel sulfur standard of 80.510(b) 
and (c), respectively, provided that:
    (1) The credits were generated and reported according to the 
requirements of this subpart; and
    (2) The conditions of this section are met.
    (b) Using credits generated under Sec.  80.535. Credits generated 
under Sec.  80.535 may be used by a refiner or an importer to comply 
with the diesel fuel standards of Sec.  80.510 (a), (b), and (c) by 
applying one credit for every gallon of diesel fuel that does not comply 
with the applicable standard.
    (c) Credit banking. Credits generated may be banked for use at a 
later time or may be transferred to any other refiner or importer 
nationwide for use as provided in paragraph (d) of this section.
    (d) Credit transfers. (1) Credits generated under Sec.  80.535 that 
are obtained from another refiner or importer may be used to comply with 
the diesel fuel sulfur standards of Sec.  80.510(a), (b), and (c) if all 
the following conditions are met:

[[Page 328]]

    (i) The credits are used in compliance with the time period 
limitations for credit use in this subpart;
    (ii) Any credit transfer is completed no later than August 31 
following the compliance period when the credits are used to comply with 
a standard under paragraph (a) of this section;
    (iii) No credit is transferred more than twice, as follows:
    (A) The first transfer by the refiner or importer who generated the 
credit may only be made to a refiner or importer that intends to use the 
credit; if the transferee cannot use the credit, it may make a second 
and final transfer only to a refiner or importer who intends to use the 
credit; and
    (B) In no case may a credit be transferred more than twice before it 
is used or it expires;
    (iv) The credit transferor applies any credits necessary to meet the 
transferor's annual compliance requirements before transferring credits 
to any other refinery or importer;
    (v) No credits are transferred that would result in the transferor 
having a negative credit balance; and
    (vi) Each transferor supplies to the transferee records indicating 
the year the credits were generated, the identity of the refiner (and 
refinery) or importer that generated the credits, and the identity of 
the transferor, if it is not the same party that generated the credits.
    (2) In the case of credits that have been calculated or created 
improperly, or are otherwise determined to be invalid, the following 
provisions apply:
    (i) Invalid credits cannot be used to achieve compliance with the 
transferee's volume requirements regardless of the transferee's good 
faith belief that the credits were valid.
    (ii) The refiner or importer that used the credits, and any 
transferor of the credits, must adjust its credit records, reports and 
compliance calculations as necessary to reflect the proper credits.
    (iii) Any properly created credits existing in the transferor's 
credit balance after correcting the credit balance, and after the 
transferor applies credits as needed to meet the compliance requirements 
at the end of the calendar year, must first be applied to correct the 
invalid transfers before the transferor trades or banks the credits.
    (e) General limitation on credit use. Credits may not be used to 
achieve compliance with any requirements of this subpart other than the 
standards of Sec.  80.510(a), (b), and (c), unless specifically approved 
by the Administrator pursuant to a hardship relief petition under Sec.  
80.560 or Sec.  80.561.
    (f) Use of high sulfur NRLM credits. (1) High sulfur NRLM credits 
generated under Sec.  80.535(a) or (b) may be used on a one-for-one 
basis to meet the NRLM diesel fuel sulfur standard of Sec.  80.510(a) 
from June 1, 2007 through May 31, 2010. For example, one credit 
generated by the production or importation of one gallon of NRLM diesel 
fuel subject to the NRLM diesel fuel sulfur standard of Sec.  80.510 (a) 
may be used to produce or import one gallon of NRLM diesel fuel that is 
exempt from the sulfur standard of Sec.  80.510(a) during the period 
from June 1, 2007 through May 31, 2010.
    (2) Any high sulfur NRLM diesel fuel produced after June 1, 2007 
through the use of credits must--
    (i) Be dyed red under the provisions of Sec.  80.520 at the point of 
production or importation;
    (ii) Be associated with a product transfer document that bears a 
unique product code as specified in Sec.  80.590; and
    (iii) Not be used to sell or deliver diesel fuel into areas 
specified in Sec.  80.510(g)(1) or (g)(2).
    (3) No high sulfur NRLM credits may be used subsequent to the 
compliance period ending May 31, 2010.
    (4) Any high sulfur NRLM credits not used under the provisions of 
paragraph (f)(1) of this section may be converted into 500 ppm sulfur 
NRLM credits on a one-for-one basis for use under paragraph (g) of this 
section.
    (g) Use of 500 ppm sulfur NRLM credits. (1) 500 ppm sulfur NRLM 
credits generated under Sec.  80.535(c) or (d) or converted from high 
sulfur NRLM credits under paragraph (f)(3) of this section may be used 
on a one-for-one basis to meet the NR or NRLM diesel fuel sulfur 
standards of Sec.  80.510(b) or (c) from June 1, 2010 through May 31, 
2014. For example, one credit generated by the production or importation 
of one gallon of NRLM diesel fuel subject to the NRLM diesel fuel sulfur 
standard of

[[Page 329]]

Sec.  80.510 (c) may be used to produce or import one gallon of NR 
diesel fuel that is subject to the sulfur standard of Sec.  80.510(a) 
during the period from June 1, 2010 through May 31, 2014.
    (2) Any 500 ppm sulfur NR or NRLM diesel fuel produced or imported 
after June 1, 2010 through the use of these credits must--
    (i) Bear a unique product code as specified in Sec.  80.590; and
    (ii) Not be used to sell or deliver diesel fuel into areas specified 
in Sec.  80.510(g)(1) or (g)(2).
    (3) No 500 ppm sulfur NRLM credits may be used after May 31, 2014.

[69 FR 39176, June 29, 2004]



Sec. Sec.  80.537-80.539  [Reserved]

                     Geographic Phase-In Provisions



Sec.  80.540  How may a refiner be approved to produce gasoline
under the GPA gasoline sulfur standards in 2007 and 2008?

    (a) A refiner that has been approved by EPA under Sec.  80.217 for 
the geographic phase-in area (GPA) gasoline sulfur content standards 
under Sec.  80.216 may apply to EPA for approval to produce gasoline 
subject to the GPA standards in 2007 and 2008. Such application shall be 
submitted to EPA, at the address provided in Sec.  80.595(b), by 
December 31, 2001. A foreign refiner must apply under the provisions of 
paragraph (n) of this section.
    (b) The refiner must submit an application in accordance with the 
provisions of Sec. Sec.  80.595 and 80.596. The application must also 
include information, as provided in Sec.  80.594(c), demonstrating that 
starting no later than June 1, 2006, 95 percent of the motor vehicle 
diesel fuel produced by the refinery for United States use will comply 
with the 15 ppm sulfur standard under Sec.  80.520(a)(1), and that the 
volume of motor vehicle diesel fuel produced will comply with the volume 
requirements of paragraph (e) of this section.
    (c) The Administrator may approve a refiner's application to produce 
gasoline subject to the GPA gasoline sulfur content standards in 2007 
and 2008 if the provisions of paragraph (b) of this section are 
satisfied. In approving an application, the Administrator shall 
establish a motor vehicle diesel fuel volume baseline under Sec. Sec.  
80.595 and 80.596.
    (d) From June 1, 2006 through December 31, 2008, 95 percent of the 
motor vehicle diesel fuel produced by a refiner that has been approved 
under paragraph (c) of this section to produce gasoline subject to the 
GPA gasoline sulfur standards in 2007 and 2008, must be accurately 
designated under Sec.  80.598 as meeting the 15 ppm sulfur standard of 
Sec.  80.520(a)(1).
    (e) The total volume of motor vehicle diesel fuel produced for use 
in the United States and designated as meeting the 15 ppm sulfur 
standard under paragraph (d) of this section must meet or exceed 85 
percent of the baseline volume established under paragraph (c) of this 
section, except that for the first compliance period from June 1, 2006 
through June 30, 2007, the total volume must meet or exceed 92 percent 
of the baseline volume.
    (f) Compliance with the volume requirements in paragraph (e) of this 
section shall be determined each compliance period. Annual compliance 
periods shall be from July 1 through June 30. For the year 2006, the 
compliance period shall be from June 1, 2006 through June 30, 2007.
    (g) If a refiner fails to comply with the requirements of paragraph 
(d) of this section, or if the approval of the application, including 
the baseline, was based on false or inaccurate information, the approval 
to produce gasoline subject to the GPA gasoline sulfur content standards 
under this section during the years 2007 and 2008 shall be void ab 
initio, and gasoline produced for use in the GPA must meet the gasoline 
sulfur content standards of subpart H of this Part as if there had been 
no approval to produce gasoline subject to the GPA gasoline sulfur 
content standards in 2007 and 2008.
    (h) If for any compliance period a refiner fails to meet the volume 
requirements in paragraph (e) of this section, the approval to produce 
gasoline subject to the GPA gasoline sulfur content standards shall be 
void for that compliance period and for all succeeding compliance 
periods, and gasoline produced for use in the GPA must meet the gasoline 
sulfur standards under subpart H of this subpart as if there had been no

[[Page 330]]

approval to produce gasoline subject to the GPA gasoline sulfur content 
standards under this section in 2007 and 2008.
    (i) A refiner that is approved for production of gasoline subject to 
the GPA gasoline sulfur standards under this section in 2007 and 2008 
must meet all applicable recordkeeping and reporting requirements of 
Sec. Sec.  80.592, 80.593, and 80.594, and shall meet all the 
recordkeeping and reporting requirements under Sec. Sec.  80.219, 80.365 
and 80.370.
    (j) A refiner approved to produce gasoline subject to the GPA 
gasoline sulfur standards under this section in 2007 and 2008 may not 
generate or use credits under Sec.  80.531(a) or (e), or Sec.  80.532 
unless the approval is vacated as provided in paragraph (k) of this 
section.
    (k) A refiner may petition the Administrator to vacate approval to 
produce gasoline subject to the GPA gasoline sulfur content standards in 
2007 and 2008. EPA may grant such a petition, effective January 1 of the 
compliance period following EPA's receipt of such petition (or effective 
June 1, in 2006, if applicable). Upon such effective date and 
thereafter, gasoline produced for use in the GPA must meet the gasoline 
sulfur content standards under subpart H of this Part as if there had 
been no approval to produce gasoline subject to the GPA gasoline sulfur 
content standards under this section in 2007 and 2008. Upon such 
effective date, the refiner shall not be subject to the requirements of 
this section.
    (l) The provisions of this section shall apply separately for each 
refinery of a refiner.
    (m) If any refinery is approved for production of gasoline subject 
to GPA gasoline sulfur content standards under this section in 2007 and 
2008, the GPA downstream gasoline sulfur standard under Sec.  
80.220(a)(2) shall apply as follows:
    (1) During the period of February 1, 2005 through January 31, 2009, 
the sulfur content of GPA gasoline at any downstream location other than 
at a retail outlet or wholesale purchaser-consumer facility shall not 
exceed 326 ppm.
    (2) During the period of March 1, 2005 through February 28, 2009, 
the sulfur content of GPA gasoline at any downstream location shall not 
exceed 326 ppm.
    (n) A foreign refiner may apply to the Administrator to produce 
gasoline that is subject to the gasoline sulfur standards for GPA 
gasoline under Sec.  80.216 for the compliance years 2007 and 2008. Such 
application must be submitted to the EPA, at the address in Sec.  
80.595(b), by December 31, 2001.
    (1) The Administrator may approve such interim GPA gasoline sulfur 
standards for the foreign refiner provided that the foreign refiner 
applies for a gasoline sulfur baseline under paragraph (n)(2) of this 
section and complies with:
    (i) The requirements of paragraphs (b) through (l) of this section;
    (ii) The requirements for the import of motor vehicle diesel fuel 
under Sec.  80.620; and
    (iii) All applicable gasoline requirements for refiners under 
subpart H of this Part, including the foreign refiner requirements under 
Sec.  80.410, the attest requirements of Sec.  80.415, the recordkeeping 
and reporting requirements of Sec. Sec.  80.365 and 80.370, the 
designation and product transfer document requirements of Sec.  80.219, 
the sampling and testing requirements of Sec.  80.330, and the sample 
retention requirements of Sec.  80.335.
    (2) The refiner must submit an application for a gasoline sulfur 
baseline under the provisions of Sec. Sec.  80.216(a), 80.295, and 
80.410(b).
    (3) After review of the foreign refiner's individual refinery 
gasoline sulfur baseline, its individual refinery motor vehicle diesel 
fuel baseline, and other information submitted with the application, the 
Administrator may approve such baselines and the application for GPA 
gasoline sulfur standards for 2007 and 2008.
    (o) An importer is not eligible for approval to import gasoline 
subject to the GPA standards in 2007 or 2008 under this section.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39177, June 29, 2004]

[[Page 331]]



Sec. Sec.  80.541-80.549  [Reserved]

                    Small Refiner Hardship Provisions



Sec.  80.550  What is the definition of a motor vehicle diesel
fuel small refiner or a NRLM diesel fuel small refiner under
this subpart?

    (a) A motor vehicle diesel fuel small refiner is defined as any 
person, as defined by 42 U.S.C. 7602(e), who--
    (1) Produces diesel fuel at a refinery by processing crude oil 
through refinery processing units; and
    (2) Employed an average of no more than 1,500 people, based on the 
average number of employees for all pay periods from January 1, 1999, to 
January 1, 2000; and
    (3) Had an average crude oil capacity less than or equal to 155,000 
barrels per calendar day (bpcd) for 1999; or
    (4) Has been approved by EPA as a small refiner under Sec.  80.235 
and continues to meet the criteria of a small refiner under Sec.  
80.225.
    (b) A NRLM diesel fuel small refiner is defined as any person, as 
defined by 42 U.S.C. 7602(e), who--
    (1) Produces diesel fuel at a refinery by processing crude oil 
through refinery processing units;
    (2) Employed an average of no more than 1,500 people, based on the 
average number of employees for all pay periods from January 1, 2002, to 
January 1, 2003; and
    (3) Had an average crude oil capacity less than or equal to 155,000 
barrels per calendar day (bpcd) for 2002.
    (c) Determine the number of employees and crude oil capacity under 
paragraphs (a) or (b) of this section, as follows:
    (1) The refiner shall include the employees and crude oil capacity 
of any subsidiary companies, any parent company and subsidiaries of the 
parent company in which the parent has 50 percent or greater ownership, 
and any joint venture partners.
    (2) For any refiner owned by a governmental entity, the number of 
employees and total crude oil capacity as specified in paragraph (a) of 
this section shall include all employees and crude oil production of the 
government to which the governmental entity is a part.
    (3) Any refiner owned and controlled by an Alaska Regional or 
Village Corporation organized pursuant to the Alaska Native Claims 
Settlement Act (43 U.S.C. 1601) is not considered an affiliate of such 
entity, or with other concerns owned by such entity solely because of 
their common ownership.
    (d)(1) Notwithstanding the provisions of paragraph (a) of this 
section, a refiner that acquires or reactivates a refinery that was shut 
down or non-operational between January 1, 1999, and January 1, 2000, 
may apply for motor vehicle diesel fuel small refiner status in 
accordance with the provisions of Sec.  80.551(c)(1)(ii).
    (2) Notwithstanding the provisions of paragraph (b) of this section, 
a refiner that acquires or reactivates a refinery that was shutdown or 
non-operational between January 1, 2002, and January 1, 2003, may apply 
for NRLM diesel fuel small refiner status in accordance with the 
provisions of Sec.  80.551(c)(2)(ii).
    (e) The following are ineligible for the small refiner provisions:
    (1)(i) For motor vehicle diesel fuel, refiners with refineries built 
or started up after January 1, 2000.
    (ii) For NRLM diesel fuel, refiners with refineries built or started 
up after January 1, 2003.
    (2)(i) For motor vehicle diesel fuel, persons who exceed the 
employee or crude oil capacity criteria under this section on January 1, 
2000, but who meet these criteria after that date, regardless of whether 
the reduction in employees or crude oil capacity is due to operational 
changes at the refinery or a company sale or reorganization.
    (ii) For NRLM diesel fuel, persons who exceed the employee or crude 
oil capacity criteria under this section on January 1, 2003, but who 
meet these criteria after that date, regardless of whether the reduction 
in employees or crude oil capacity is due to operational changes at the 
refinery or a company sale or reorganization.
    (3) Importers.
    (4) Refiners who produce motor vehicle diesel fuel or NRLM diesel 
fuel other than by processing crude oil through refinery processing 
units.
    (f)(1)(i) Refiners who qualify as motor vehicle diesel fuel small 
refiners under this section and subsequently cease

[[Page 332]]

production of diesel fuel from processing crude oil through refinery 
processing units, or employ more than 1,500 people or exceed the 155,000 
bpcd crude oil capacity limit after January 1, 2004 as a result of 
merger with or acquisition of or by another entity, are disqualified as 
small refiners, except as provided for under paragraph (f)(4) of this 
section. If disqualification occurs, the refiner shall notify EPA in 
writing no later than 20 days following this disqualifying event.
    (ii) Except as provided under paragraph (f)(3) of this section, any 
refiner whose status changes under this paragraph shall meet the 
applicable standards of Sec.  80.520 within a period of up to 30 months 
from the disqualifying event for any of its refineries that were 
previously subject to the small refiner standards of Sec.  80.552, but 
no later than the May 31, 2010.
    (2)(i) Refiners who qualify as NRLM diesel fuel small refiners under 
this section and subsequently cease production of diesel fuel from crude 
oil, or employ more than 1,500 people or exceed the 155,000 bpcd crude 
oil capacity limit after January 1, 2004 as a result of merger with or 
acquisition of or by another entity, are disqualified as small refiners, 
except as provided for under paragraph (f)(4) of this section. If 
disqualification occurs, the refiner shall notify EPA in writing no 
later than 20 days following this disqualifying event.
    (ii) Except as provided under paragraph (f)(3) of this section, any 
refiner whose status changes under this paragraph shall meet the 
applicable standards of Sec.  80.510 within a period of up to 30 months 
of the disqualifying event for any of its refineries that were 
previously subject to the small refiner standards of Sec.  80.552, but 
no later than the dates specified in Sec.  80.554(a) or (b), as 
applicable.
    (3) A refiner may apply to EPA for up to an additional six months to 
comply with the standards of Sec.  80.510 or Sec.  80.520 if more than 
30 months would be required for the necessary engineering, permitting, 
construction, and start-up work to be completed. Such applications must 
include detailed technical information supporting the need for 
additional time. EPA will base a decision to approve additional time on 
information provided by the refiner and on other relevant information. 
In no case will EPA extend the compliance date beyond May 31, 2010 for a 
motor vehicle diesel fuel small refiner or beyond the dates specified in 
Sec.  80.554(a) or (b), as applicable, for a NRLM diesel fuel small 
refiner.
    (4) Disqualification under paragraphs (f)(1) or (f)(2) of this 
section shall not apply in the case of a merger between two previously 
approved small refiners.
    (5) During the period of time up to 30 months provided under 
paragraph (f)(1)(ii) of this section, and any extension provided under 
paragraph (f)(3) of this section, the refiner may not generate motor 
vehicle diesel fuel sulfur credits under Sec.  80.531(e). During the 
period of time up to 30 months provided under paragraph (f)(2)(ii) of 
this section, and any extension provided under paragraph (f)(3) of this 
section, the refiner may not generate NRLM diesel fuel sulfur credits 
under Sec.  80.535(b) or (d).
    (g) Notwithstanding the criteria in paragraph (a) of this section, 
any small refiner that has been approved by EPA as a small refiner under 
Sec.  80.235 and meets the criteria of paragraph (a)(1) of this section, 
will be considered a small refiner under this section as well, for as 
long as they are a small refiner under Sec.  80.225. The provisions of 
paragraph (f) of this section apply to any such refiner.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39177, June 29, 2004; 70 
FR 40896, July 15, 2005]



Sec.  80.551  How does a refiner obtain approval as a small refiner
under this subpart?

    (a)(1)(i) Applications for motor vehicle diesel fuel small refiner 
status must be submitted to EPA by December 31, 2001.
    (ii) Applications for NRLM diesel fuel small refiner status must be 
submitted to EPA by December 31, 2004.
    (2)(i) In the case of a refiner who acquires or reactivates a 
refinery that was shutdown or non-operational between January 1, 1999, 
and January 1, 2000, the application for motor vehicle diesel fuel small 
refiner status must be submitted to EPA by June 1, 2003.

[[Page 333]]

    (ii) In the case of a refiner who acquires or reactivates a refinery 
that was shutdown or non-operational between January 1, 2002, and 
January 1, 2003, the application for NRLM diesel fuel small refiner 
status must be submitted to EPA by June 1, 2006.
    (b) Applications for small refiner status must be sent via certified 
mail with return receipt or express mail with return receipt to: U.S. 
EPA--Attn: Diesel Small Refiner Status (6406J), 1200 Pennsylvania 
Avenue, NW., Washington, DC 20460 (certified mail/return receipt) or 
Attn: Diesel Small Refiner Status, Transportation and Regional Programs 
Division, 1310 L Street, NW., 6th floor, Washington, DC 20005 (express 
mail/return receipt).
    (c) The small refiner status application must contain the following 
information for the company seeking small refiner status, plus any 
subsidiary companies, any parent company and subsidiaries of the parent 
company in which the parent has 50 percent or greater ownership, and any 
joint venture partners:
    (1) For motor vehicle diesel fuel small refiners--
    (i) A listing of the name and address of each location where any 
employee worked during the 12 months preceding January 1, 2000; the 
average number of employees at each location based upon the number of 
employees for each pay period for the 12 months preceding January 1, 
2000; and the type of business activities carried out at each location; 
or
    (ii) In the case of a refiner who acquires or reactivates a refinery 
that was shutdown or non-operational between January 1, 1999, and 
January 1, 2000, a listing of the name and address of each location 
where any employee of the refiner worked since the refiner acquired or 
reactivated the refinery; the average number of employees at any such 
acquired or reactivated refinery during each calendar year since the 
refiner acquired or reactivated the refinery; and the type of business 
activities carried out at each location.
    (2) For NRLM diesel fuel small refiners--
    (i) A listing of the name and address of each location where any 
employee worked during the 12 months preceding January 1, 2003; the 
average number of employees at each location based upon the number of 
employees for each pay period for the 12 months preceding January 1, 
2003; and the type of business activities carried out at each location; 
or
    (ii) In the case of a refiner who acquires or reactivates a refinery 
that was shutdown or non-operational between January 1, 2002, and 
January 1, 2003, a listing of the name and address of each location 
where any employee of the refiner worked since the refiner acquired or 
reactivated the refinery; the average number of employees at any such 
acquired or reactivated refinery during each calendar year since the 
refiner acquired or reactivated the refinery; and the type of business 
activities carried out at each location.
    (3) The total corporate crude oil capacity of each refinery as 
reported to the Energy Information Administration (EIA) of the U.S. 
Department of Energy (DOE) for the most recent 12 months of operation. 
The information submitted to EIA is presumed to be correct. In cases 
where a company disagrees with this information, the company may 
petition EPA with appropriate data to correct the record when the 
company submits its application for small refiner status. EPA may accept 
such alternate data at its discretion.
    (4) For motor vehicle diesel fuel, an indication of whether the 
refiner, for each refinery, is applying for--
    (i) The ability to produce motor vehicle diesel fuel subject to the 
500 ppm sulfur standard under Sec.  80.520(c) or generate credits under 
Sec.  80.531, pursuant to the provisions of Sec.  80.552(a) or (b); or
    (ii) An extension of the duration of its small refiner gasoline 
sulfur standard under Sec.  80.553, pursuant to the provisions of Sec.  
80.552(c).
    (5) For NRLM diesel fuel, an indication of whether the refiner, for 
each refinery, is applying for--
    (i) The ability to delay compliance under Sec.  80.554(a) or (b), or 
to generate NRLM diesel sulfur credits under Sec.  80.535(b) or (d), 
pursuant to the provisions of Sec.  80.554(c); or
    (ii) An adjustment to its small refiner gasoline sulfur standards 
under

[[Page 334]]

Sec.  80.240(a), pursuant to the provisions of Sec.  80.554(d).
    (6) A letter signed by the president, chief operating or chief 
executive officer of the company, or his/her designee, stating that the 
information contained in the application is true to the best of his/her 
knowledge.
    (7) Name, address, phone number, facsimile number and e-mail address 
(if available) of a corporate contact person.
    (d) For joint ventures, the total number of employees includes the 
combined employee count of all corporate entities in the venture.
    (e) For government-owned refiners, the total employee count includes 
all government employees.
    (f) Approval of small refiner status for refiners who apply under 
Sec.  80.550(d) will be based on all information submitted under 
paragraph (c) of this section, except as provided in Sec.  80.550(e).
    (g) EPA will notify a refiner of approval or disapproval of small 
refiner status by letter. If disapproved, the refiner must comply with 
the sulfur standards in Sec.  80.510 or 80.520, as appropriate, except 
as otherwise provided in this subpart.
    (h) If EPA finds that a refiner provided false or inaccurate 
information on its application for small refiner status, upon notice 
from EPA the refiner's small refiner status will be void ab initio.
    (i) Upon notification to EPA, an approved small refiner may withdraw 
its status as a small refiner. Effective on January 1 of the year 
following such notification, the small refiner will become subject to 
the sulfur standards in Sec.  80.510 or 80.520, as appropriate, unless 
one of the other hardship provisions of this subpart apply.

[69 FR 39178, June 29, 2004, as amended at 70 FR 40896, July 15, 2005; 
75 FR 22970, Apr. 30, 2010]



Sec.  80.552  What compliance options are available to motor vehicle
diesel fuel small refiners?

    (a) A refiner that has been approved by EPA as a motor vehicle 
diesel fuel small refiner under Sec.  80.551(g) may produce motor 
vehicle diesel fuel subject to the 500 ppm sulfur standard pursuant to 
the provisions of Sec.  80.530, except that the volume limits of Sec.  
80.530(a)(3) shall only apply to that volume of diesel fuel that is 
produced or imported during an annual compliance period that exceeds 105 
percent of the baseline volume established under Sec.  80.595 
(V500). The annual compliance period shall be from July 1 
through June 30. For the year 2006, the compliance period shall be from 
June 1, 2006 through June 30, 2007, and the volume limits shall only 
apply to that volume V500 that exceeds 113 percent of the 
baseline volume.
    (b) A refiner that has been approved by EPA as a motor vehicle 
diesel fuel small refiner under Sec.  80.551(g) may generate motor 
vehicle diesel fuel credits pursuant to the provisions of Sec.  80.531, 
except that for purposes of Sec.  80.531(a), the term ``Credit'' shall 
equal V15, without further adjustment.
    (c) A refiner that has been approved by EPA as a motor vehicle 
diesel fuel small refiner under Sec.  80.551(g) may apply for an 
extension of the duration of its small refiner gasoline sulfur standards 
pursuant to Sec.  80.553.
    (d) A refiner that produces motor vehicle diesel fuel under the 
provisions of paragraph (a) of this section or generates credits under 
the provisions of paragraph (b) of this section may not receive an 
extension of its small refiner gasoline sulfur standard under the 
provisions of paragraph (c) of this section. A refiner that receives an 
extension of its small refiner gasoline sulfur standard under the 
provisions of paragraph (c) of this section may not produce motor 
vehicle diesel fuel under the provisions of paragraph (a) of this 
section and may not generate credits under the provisions of paragraph 
(b) of this section.
    (e) The provisions of this section shall apply separately for each 
refinery owned or operated by a motor vehicle diesel fuel small refiner.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39179, June 29, 2004]



Sec.  80.553  Under what conditions may the small refiner gasoline
sulfur standards be extended for a small refiner of motor vehicle
diesel fuel?

    (a) A refiner that has been approved by EPA for small refiner 
gasoline sulfur standards under Sec.  80.240 may apply,

[[Page 335]]

under Sec.  80.551, for an extension of the duration of its small 
refiner gasoline sulfur standards through the calendar year 2010 annual 
averaging period.
    (b) As part of its application, the refiner must submit an 
application for a motor vehicle diesel fuel baseline in accordance with 
the provisions of Sec. Sec.  80.595 and 80.596. The application must 
also include information, as provided in Sec.  80.594, demonstrating 
that starting no later than June 1, 2006, 95 percent of the motor 
vehicle diesel fuel produced by the refiner will comply with the 15 ppm 
sulfur content standard under Sec.  80.520(a)(1), and that the volume of 
motor vehicle diesel fuel produced will comply with the volume 
requirements of paragraph (e) of this section.
    (c) The Administrator may approve an application for extension of 
the small refiner gasoline sulfur standards if the provisions of 
paragraph (b) of this section and Sec. Sec.  80.595 and 80.596 are 
satisfied. In approving an application for extension, the Administrator 
shall establish a motor vehicle diesel fuel volume baseline under 
Sec. Sec.  80.595 and 80.596.
    (d) Beginning June 1, 2006, and continuing through December 31, 
2010, 95 percent of the motor vehicle diesel fuel produced by a refiner 
that has received an extension of its small refiner gasoline sulfur 
standards under this section must be accurately designated under Sec.  
80.598 as meeting the 15 ppm sulfur content standard under Sec.  
80.520(a)(1).
    (e) The total volume of motor vehicle diesel fuel produced for use 
in the United States and designated as meeting the 15 ppm sulfur content 
standard under paragraph (d) of this section must meet or exceed 85 
percent of the baseline volume established under paragraph (c) of this 
section, except that for the first compliance period from June 1, 2006 
through June 30, 2007, the total volume must meet or exceed 92 percent 
of the baseline volume.
    (f) Compliance with the volume requirements in paragraph (e) of this 
section shall be determined each compliance period. Annual compliance 
periods shall be from July 1 through June 30. For the year 2006, the 
compliance period shall be from June 1, 2006 through June 30, 2007 and 
for the year 2009 the compliance period shall be from July 1, 2009 
through May 31, 2010.
    (g) If a refiner fails to comply with the requirements of paragraph 
(d) of this section, or if approval of the application, including the 
baseline, was based on false or inaccurate information, the extension of 
the applicable small refiner gasoline sulfur standards under this 
section shall be void ab initio, and all gasoline produced by the 
refinery must meet the gasoline sulfur standards under subpart H of this 
Part as if there had been no extension of the small refiner gasoline 
sulfur standards.
    (h) If for any compliance period a refiner fails to meet the volume 
requirements in paragraph (e) of this section, the extension of the 
small refiner gasoline sulfur standards shall be void for that 
compliance period and for all succeeding compliance periods and all 
gasoline produced by the refinery must meet the gasoline sulfur 
standards under subpart H of this part as if there had been no extension 
of the small refiner gasoline sulfur standards under this section for 
such compliance periods.
    (i) A refiner that is approved for an extension of the interim small 
refiner gasoline sulfur standards under this section must meet all 
applicable recordkeeping and reporting requirements of Sec. Sec.  
80.592, 80.593, and 80.594, and shall meet all the recordkeeping and 
reporting requirements under Sec. Sec.  80.210, 80.365 and 80.370. Any 
foreign refiner shall meet all additional requirements under Sec. Sec.  
80.620 and 80.410.
    (j) A refiner approved for the small refiner gasoline sulfur 
standards extension under this section may not generate or use credits 
under Sec.  80.531(a) or (e), or Sec.  80.532.
    (k) A refiner may petition the Administrator to vacate an extension 
of the small refiner gasoline sulfur content standards. EPA may grant 
such a petition, effective July 1 of the compliance period following 
receipt of such petition (or effective June 1, 2006, if applicable). 
Upon such effective date, all gasoline produced by the refiner must meet 
the gasoline sulfur content standards under subpart H of this part as if 
there had been no extension of the small refiner gasoline sulfur content 
standards under this section. Upon

[[Page 336]]

such effective date, the refiner shall not be subject to the 
requirements of this section.
    (l) The provisions of this section shall apply separately for each 
refinery of a refiner.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39179, June 29, 2004; 71 
FR 25718, May 1, 2006]



Sec.  80.554  What compliance options are available to NRLM diesel
fuel small refiners?

    (a) Option 1: A refiner that has been approved by EPA as a NRLM 
diesel fuel small refiner under Sec.  80.551(g) may produce NRLM diesel 
fuel from crude oil from June 1, 2007 through May 31, 2010, that is 
exempt from the standards under Sec.  80.510(a), but only for a refinery 
located outside the areas specified under Sec.  80.510(g)(1).
    (1) The volume of NRLM diesel fuel that is exempt from Sec.  
80.510(a) must be less than or equal to 105 percent of BNRLM 
as defined under Sec.  80.533, less any volume of heating oil produced.
    (2) Any volume of NRLM diesel fuel in excess of the volume allowed 
under (a)(1) of this section will be subject to the 500 ppm sulfur 
standard under Sec.  80.510(a).
    (3) High-sulfur NRLM produced under this paragraph must--
    (i) Be dyed red pursuant to the provisions of Sec.  80.520 at the 
point of production or importation;
    (ii) Be associated with a product transfer document that bears a 
unique product code as specified under Sec.  80.590; and
    (iii) Not be delivered into areas specified under Sec.  
80.510(g)(1).
    (4) From June 1, 2007 through May 31, 2010, a refiner that has been 
approved by EPA as a NRLM diesel fuel small refiner under Sec.  
80.551(g) may produce at a refinery located in 80.510(g)(2) NRLM diesel 
fuel that is exempt from the standards under Sec.  80.510(a) only if the 
refiner first obtains approval from the Administrator for a compliance 
plan. The compliance plan must detail how the refiner will segregate any 
fuel produced that does not meet the standards under Sec.  80.510(a) 
from the refinery through to the ultimate consumer from fuel having any 
other designations and from fuel produced by any other refiner. The 
compliance plan must also identify all ultimate consumers to whom the 
refiner supplies the fuel that does not meet the standards under Sec.  
80.510(a).
    (b) Option 2: A refiner that has been approved by EPA as a NRLM 
diesel fuel small refiner under Sec.  80.551(g) may produce NR diesel 
fuel from crude oil from June 1, 2010, through May 31, 2014, and NRLM 
diesel fuel from crude oil from June 1, 2012 through May 31, 2014 that 
is subject to the standards under Sec.  80.510(a), but only for a 
refinery located outside the areas specified under Sec.  80.510(g)(1).
    (1) The volume of NR diesel fuel that may be subject to the 500 ppm 
sulfur standard from June 1, 2010 through June 30, 2011 must be less 
than or equal to 113 percent of BNRLM, and from July 1, 2011 
through May 31, 2012 must be less than or equal to 96 percent of 
BNRLM, as defined under Sec.  80.533, less any volume of 
locomotive and marine diesel fuel produced.
    (2) The volume of NRLM diesel fuel that may be subject to the 500 
ppm sulfur standard from June 1, 2012 through June 30, 2013 must be less 
than or equal to 113 percent of BNRLM, and from July 1, 2013 
through May 31, 2014 must be less than or equal to 96 percent of 
BNRLM, as defined under Sec.  80.533.
    (3) NRLM diesel fuel produced in excess of the volume allowed under 
paragraph (b)(1) of this section will be subject to the standards under 
Sec.  80.510(b) and (c).
    (4) 500 ppm sulfur NRLM diesel fuel produced under this paragraph 
must--
    (i) Bear a unique product code as specified under Sec.  80.590; and
    (ii) Not be sold or delivered into areas specified under Sec.  
80.510(g)(1).
    (5) From June 1, 2010 through May 31, 2012, for NR diesel fuel, and 
from June 1, 2012 through May 31, 2014 for NRLM diesel fuel, a refiner 
that has been approved by EPA as a NRLM diesel fuel small refiner under 
Sec.  80.551(g) may produce, at a refinery located in Alaska, NR and 
NRLM diesel fuel, as applicable, from crude oil that is subject to the 
standards of Sec.  80.510(a), only if the refiner first obtains approval 
from the Administrator for a compliance plan. The compliance plan must 
detail how

[[Page 337]]

the refiner will segregate any fuel produced subject to the standards 
under Sec.  80.510(a) from the refinery through to the ultimate consumer 
from fuel having any other designations and from fuel produced by any 
other refiner. The compliance plan must also identify all ultimate 
consumers to whom the refiner supplies the fuel that does not meet the 
standards under Sec.  80.510(a).
    (c) Option 3: A refiner that has been approved by EPA as a NRLM 
diesel fuel small refiner under Sec.  80.551(g) may generate diesel fuel 
credits under the provisions of Sec.  80.535(b) and (d), except as 
provided in paragraph (d)(1) of this section.
    (d) Option 4: (1) In lieu of Options 1, 2, and 3 of this section, a 
refiner that has been approved by EPA as a NRLM diesel fuel small 
refiner under Sec.  80.551(g) may choose to adjust its small refiner 
gasoline sulfur standards, subject to the following conditions:
    (i) From June 1, 2006 until the expiration of the refiner's small 
refiner gasoline sulfur standards (through December 31, 2007 or 2010) 95 
percent of the total MVNRLM diesel fuel produced by the refiner must be 
accurately designated under Sec.  80.598(a) as meeting the 15 ppm sulfur 
standard of Sec.  80.510(b).
    (ii) The refiner must produce MVNRLM diesel fuel each year or 
partial year under paragraph (d)(1)(i) of this section at a volume that 
is equal to or greater than 85 percent of BMVNRLM, as defined 
in Sec.  80.533, calculated on an annual basis.
    (2)(i) For a refiner meeting the conditions of paragraph (d)(1) of 
this section, beginning January 1, 2004, the applicable small refiner's 
annual average and per-gallon cap gasoline sulfur standards will be the 
standards of Sec.  80.240(a) increased by a factor of 1.20 for the 
duration of the refiner's small refiner gasoline sulfur standards under 
Sec.  80.240(a) or Sec.  80.553 (i.e., through calendar years 2007 or 
2010).
    (ii) In no case may the per-gallon cap exceed 450 ppm.
    (3)(i) If the refiner fails to produce the necessary volume of 15 
ppm sulfur MVNRLM diesel fuel by June 1, 2006 and every year thereafter 
through the deadlines specified under paragraph (d)(1)(i) of this 
section, the refiner must report this in its annual report under Sec.  
80.604, and the adjustment of gasoline sulfur standards under paragraph 
(d)(2)(i) of this section will be considered void as of January 1, 2004.
    (ii) If such a refiner had produced gasoline above its interim 
gasoline sulfur standard of Sec.  80.240(a) prior to June 1, 2006, such 
fuel will not be considered in violation of the small refiner standards 
under Sec.  80.240(a), provided the refiner obtains and uses a quantity 
of gasoline sulfur credits equal to the volume of gasoline exceeding the 
small refiner standards multiplied by the number of parts per million by 
which the gasoline exceeded the small refiner standards.
    (e) Multiple refineries. The provisions of this section shall apply 
separately for each refinery owned or operated by a NRLM diesel fuel 
small refiner.
    (f) Other provisions. From June 1, 2007 through May 31, 2010, a 
refiner who is an approved motor vehicle diesel fuel small refiner under 
Sec.  80.550(a) but does not qualify as a NRLM diesel fuel small refiner 
under Sec.  80.550(b) may produce NRLM diesel fuel that is exempt from 
the per-gallon sulfur standard and the cetane or aromatics standard of 
Sec.  80.510(a). This exemption does not apply to diesel fuel sold or 
intended for sale in the areas listed in Sec.  80.510(g)(1) or (g)(2). 
From June 1, 2010 through May 31, 2012, NR and LM diesel fuel produced 
by such refiners is subject to the standards under Sec.  80.510(b) and 
beginning June 1, 2012, all NRLM diesel fuel is subject to the standards 
under Sec.  80.510(c).

[69 FR 39179, June 29, 2004, as amended at 71 FR 25718, May 1, 2006]



Sec.  80.555  What provisions are available to a large refiner
that acquires a small refiner or one or more of its refineries?

    (a) In the case of a refiner without approved small refiner status 
who acquires a refinery from a refiner with approved status as a motor 
vehicle diesel fuel small refiner or a NRLM diesel fuel small refiner 
under Sec.  80.551(g), the applicable small refiner provisions of 
Sec. Sec.  80.552 and 80.554 may apply to the acquired refinery for a 
period of up to 30 months from the date of acquisition of the refinery. 
In no case shall this period extend beyond May 31, 2010 for a

[[Page 338]]

refinery acquired from a motor vehicle diesel fuel small refiner or 
beyond the dates specified in Sec.  80.554(a) or (b), as applicable, for 
a refinery acquired from a NRLM diesel fuel small refiner.
    (b) A refiner may apply to EPA for up to an additional six months to 
comply with the standards of Sec.  80.510 or 80.520 for the acquired 
refinery if more than 30 months would be required for the necessary 
engineering, permitting, construction, and start-up work to be 
completed. Such applications must include detailed technical information 
supporting the need for additional time. EPA will base a decision to 
approve additional time on information provided by the refiner and on 
other relevant information. In no case will EPA extend the compliance 
date beyond May 31, 2010 for a refinery acquired from a motor vehicle 
diesel fuel small refiner or beyond the dates specified in Sec.  
80.554(a) or (b), as applicable, for a refinery acquired from a NRLM 
diesel fuel small refiner.
    (c) Refiners who acquire a refinery from a refiner with approved 
status as a motor vehicle diesel fuel small refiner or a NRLM diesel 
fuel small refiner under Sec.  80.551(g), shall notify EPA in writing no 
later than 20 days following the acquisition.

[69 FR 39180, June 29, 2004]



Sec. Sec.  80.556-80.559  [Reserved]

                        Other Hardship Provisions



Sec.  80.560  How can a refiner seek temporary relief from the
requirements of this subpart in case of extreme hardship circumstances?

    (a) EPA may, at its discretion, grant a refiner of crude oil that 
processes crude oil through refinery processing units, for one or more 
of its refineries, temporary relief from some or all of the provisions 
of this subpart. Such relief shall be no less stringent than the small 
refiner compliance options specified in Sec.  80.552 for motor vehicle 
diesel fuel and Sec.  80.554 for NRLM diesel fuel. EPA may grant such 
relief provided that the refiner demonstrates that--
    (1) Unusual circumstances exist that impose extreme hardship and 
significantly affect the refiner's ability to comply by the applicable 
date; and
    (2) It has made best efforts to comply with the requirements of this 
subpart.
    (b)(1) For motor vehicle diesel fuel, applications must be submitted 
to EPA by June 1, 2002 to the following address: U.S. EPA--Attn: Diesel 
Hardship, Transportation and Regional Programs Division (6406J), 1200 
Pennsylvania Avenue, NW., Washington, DC 20460 (certified mail/return 
receipt) or Attn: Diesel Hardship, Transportation and Regional Programs 
Division, 1310 L Street, NW., 6th floor, Washington, DC 20005 (express 
mail/return receipt). EPA reserves the right to deny applications for 
appropriate reasons, including unacceptable environmental impact. 
Approval to distribute motor vehicle diesel fuel not subject to the 15 
ppm sulfur standard may be granted for such time period as EPA 
determines is appropriate, but shall not extend beyond May 31, 2010.
    (2) For NRLM diesel fuel, applications must be submitted to EPA by 
June 1, 2005 to the following address: U.S. EPA--Attn: Diesel Hardship, 
Transportation and Regional Programs Division (6406J), 1200 Pennsylvania 
Avenue, NW., Washington, DC 20460 (certified mail/return receipt) or 
Attn: Diesel Hardship, Transportation and Regional Programs Division, 
1310 L Street, NW., 6th floor, Washington, DC 20005 (express mail/return 
receipt). EPA reserves the right to deny applications for appropriate 
reasons, including unacceptable environmental impact. Approval to 
distribute NRLM diesel fuel not subject to the 500 ppm sulfur standard 
may be granted for such time period as EPA determines is appropriate, 
but shall not extend beyond May 31, 2010 for NR diesel fuel and May 31, 
2012 for NRLM diesel fuel. Approval to distribute NRLM diesel fuel not 
subject to the 15 ppm sulfur standard may be granted for such time 
period as EPA determines is appropriate, but shall not extend beyond May 
31, 2014.
    (c) Applications must include a plan demonstrating how the refiner 
will comply with the requirements of this subpart as expeditiously as 
possible. The plan shall include a showing that contracts are or will be 
in place for engineering and construction of desulfurization equipment a 
plan for applying for and obtaining any permits

[[Page 339]]

necessary for construction or operation, projected timeline for 
beginning and completing construction, and for beginning actual 
operation of such equipment, and a description of plans to obtain 
necessary capital, and a detailed estimate of when the requirements of 
this subpart will be met.
    (d) Applicants must provide, at a minimum, the following 
information:
    (1) Detailed description of efforts to obtain capital for refinery 
investments and efforts made to obtain credits for compliance under 
Sec.  80.531 for motor vehicle diesel fuel or Sec. Sec.  80.535 through 
80.536 for NRLM diesel fuel;
    (2) Bond rating of entity that owns the refinery (in the case of 
joint ventures, include the bond rating of the joint venture entity and 
the bond ratings of all partners; in the case of corporations, include 
the bond ratings of any parent or subsidiary corporations); and
    (3) Estimated capital investment needed to comply with the 
requirements of this subpart by the applicable date.
    (e) In addition to the application requirements of paragraph (b) 
through (d) of this section, a refiner's application for temporary 
relief under this paragraph (e) must also include a compliance plan. 
Such compliance plan shall demonstrate how the refiner will engage in a 
quality assurance testing program, where appropriate, to ensure that the 
following conditions are met:
    (1)(i) Its motor vehicle diesel fuel subject solely to the sulfur 
standards under Sec.  80.520(c) has not caused motor vehicle diesel fuel 
subject to the 15 ppm sulfur standard Sec.  80.520(a)(1) to fail to 
comply with that standard; or
    (ii) Its NRLM diesel fuel subject solely to the 500 ppm sulfur 
standard under Sec.  80.510(a) has not caused NRLM diesel fuel subject 
to the 15 ppm sulfur standard under Sec.  80.510(b) or (c) to fail to 
comply with that standard.
    (2) The quality assurance program must at least include periodic 
sampling and testing at the party's own facilities and at downstream 
facilities in the refiner's or importer's diesel fuel distribution 
system, to determine compliance with the applicable sulfur standards for 
both categories of motor vehicle diesel fuel; examination at the party's 
own facilities and at applicable downstream facilities, of product 
transfer documents to confirm appropriate transfers and deliveries of 
both products; and inspection of retailer and wholesale purchaser-
consumer pump stands for the presence of the labels and warning signs 
required under this section. Any violations that are discovered shall be 
reported to EPA within 48 hours of discovery.
    (f) Applications under this section must be accompanied by:
    (1) A letter signed by the president, chief operating or chief 
executive officer of the company, or his/her designee, stating that the 
information contained in the application is true to the best of his/her 
knowledge.
    (2) The name, address, phone number, facsimile number and e-mail 
address of a corporate contact person.
    (g) Applicants must also provide any other relevant information 
requested by EPA.
    (h) Refiners who are granted a hardship relief standard for any 
refinery and importers of fuel subject to temporary foreign refiner 
relief standards, must comply with the requirements of Sec.  80.561(f).
    (i) EPA may impose any reasonable conditions on waivers under this 
section, including limitations on the refinery's volume of motor vehicle 
diesel fuel and NRLM diesel fuel subject to temporary refiner relief 
standards.
    (j) The provisions of this section are available only to refineries 
that produce diesel fuel from crude.
    (k) The individual refinery sulfur standard and the compliance plan 
will be approved or disapproved by the Administrator, and approval will 
be effective when the refiner receives an approval letter from EPA. 
Unless approved, the refiner or, where applicable, the importer must 
comply with the motor vehicle diesel fuel standard under Sec.  
80.520(a)(1) by the appropriate compliance date specified in Sec.  
80.500 or the NRLM diesel fuel standards and compliance dates under 
Sec.  80.510(a), (b), and (c) as applicable.
    (l) If EPA finds that a refiner provided false or inaccurate 
information on its application for hardship relief,

[[Page 340]]

EPA's approval of the refiners application will be void ab initio.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39181, June 29, 2004]



Sec.  80.561  How can a refiner or importer seek temporary relief
from the requirements of this subpart in case of extreme unforeseen
circumstances?

    In appropriate extreme, unusual, and unforseen circumstances (for 
example, natural disaster or refinery fire) which are clearly outside 
the control of the refiner or importer and which could not have been 
avoided by the exercise of prudence, diligence, and due care, EPA may 
permit a refiner or importer, for a brief period, to distribute motor 
vehicle diesel fuel or NRLM diesel fuel which does not meet the 
requirements of this subpart if:
    (a) It is in the public interest to do so (e.g., distribution of the 
nonconforming diesel fuel is necessary to meet projected shortfalls 
which cannot otherwise be compensated for);
    (b) The refiner or importer exercised prudent planning and was not 
able to avoid the violation and has taken all reasonable steps to 
minimize the extent of the nonconformity;
    (c) The refiner or importer can show how the requirements for motor 
vehicle diesel fuel or NRLM diesel fuel will be expeditiously achieved;
    (d) The refiner or importer agrees to make up any air quality 
detriment associated with the nonconforming motor vehicle diesel fuel or 
NRLM diesel fuel, where practicable;
    (e) The refiner or importer pays to the U.S. Treasury an amount 
equal to the economic benefit of the nonconformity minus the amount 
expended pursuant to paragraph (d) of this section, in making up the air 
quality detriment; and
    (f)(1) In the case of motor vehicle diesel fuel distributed under 
this section that does not meet the 15 ppm sulfur standard under Sec.  
80.520(a)(1), such diesel fuel shall not be distributed for use in model 
year 2007 or later motor vehicles, and must meet all the requirements 
and prohibitions of this subpart applicable to diesel fuel meeting the 
sulfur standard under Sec.  80.520(c), or to diesel fuel that is not 
motor vehicle diesel fuel, as applicable.
    (2) In the case of NRLM diesel fuel distributed under this section 
from June 1, 2007 through May 31, 2010 that does not meet the 500 ppm 
sulfur standard under Sec.  80.510(a), such diesel fuel must meet the 
requirements and prohibitions applicable to high sulfur NRLM credit fuel 
under Sec.  80.536(f)(1)(i) and (ii).
    (3) In the case of NR diesel fuel distributed under this section 
after May 31, 2010 that does not meet the 15 ppm sulfur standard under 
Sec.  80.510(b), such diesel fuel shall not be distributed for use in 
model year 2011 or later nonroad engines, and must meet all the 
requirements and prohibitions of this subpart applicable to diesel fuel 
meeting the sulfur standard under Sec.  80.510(a) for NRLM diesel fuel.
    (4) In the case of NRLM diesel fuel distributed under this section 
after May 31, 2012 that does not meet the 15 ppm sulfur standard under 
Sec.  80.510(c), such diesel fuel shall not be distributed for use in 
model year 2011 or later nonroad engines, and must meet all the 
requirements and prohibitions of this subpart applicable to diesel fuel 
meeting the sulfur standard under Sec.  80.510(a) for NRLM diesel fuel.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39181, June 29, 2004; 75 
FR 22970, Apr. 30, 2010]



Sec. Sec.  80.562-80.569  [Reserved]

                          Labeling Requirements



Sec.  80.570  What labeling requirements apply to retailers and
wholesale purchaser-consumers of diesel fuel beginning June 1, 2006?

    (a) From June 1, 2006 through November 30, 2010, any retailer or 
wholesale purchaser-consumer who sells, dispenses, or offers for sale or 
dispensing, motor vehicle diesel fuel subject to the 15 ppm sulfur 
standard of Sec.  80.520(a)(1), must affix the following conspicuous and 
legible label, in block letters of no less than 24-point bold type, and 
printed in a color contrasting with the background, to each pump stand:

[[Page 341]]

      ULTRA-LOW SULFUR HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)

    Required for use in all model year 2007 and later highway diesel 
vehicles and engines.
    Recommended for use in all diesel vehicles and engines.
    (b) From June 1, 2006, through November 30, 2010, any retailer or 
wholesale purchaser-consumer who sells, dispenses, or offers for sale or 
dispensing, motor vehicle diesel fuel subject to the 500 ppm sulfur 
standard of Sec.  80.520(c), must prominently and conspicuously display 
in the immediate area of each pump stand from which motor vehicle fuel 
subject to the 500 ppm sulfur standard is offered for sale or 
dispensing, the following legible label, in block letters of no less 
than 24-point bold type, printed in a color contrasting with the 
background:

         LOW SULFUR HIGHWAY DIESEL FUEL (500 ppm Sulfur Maximum)

                                 WARNING

    Federal law prohibits use in model year 2007 and later highway 
vehicles and engines.
    Its use may damage these vehicles and engines.

    (c) From June 1, 2006 through May 31, 2007, any retailer or 
wholesale purchaser-consumer who sells, dispenses, or offers for sale or 
dispensing, diesel fuel for non-motor vehicle equipment that does not 
meet the standards for motor vehicle diesel fuel, must affix the 
following conspicuous and legible label, in block letters of no less 
than 24-point bold type, and printed in a color contrasting with the 
background, to each pump stand:

           NON-HIGHWAY DIESEL FUEL (May Exceed 500 ppm Sulfur)

                                 WARNING

    Federal law prohibits use in highway vehicles or engines.
    Its use may damage these vehicles and engines.

    (d) The labels required by paragraphs (a) through (c) of this 
section must be placed on the vertical surface of each pump housing and 
on each side that has gallon and price meters. The labels shall be on 
the upper two-thirds of the pump, in a location where they are clearly 
visible.
    (e) Alternative labels to those specified in paragraphs (a) through 
(c) of this section may be used as approved by EPA.

[69 FR 39182, June 29, 2004, as amended at 71 FR 25718, May 1, 2006; 75 
FR 22970, Apr. 30, 2010]



Sec.  80.571  What labeling requirements apply to retailers and
wholesale purchaser-consumers of NRLM diesel fuel or heating oil
beginning June 1, 2007?

    Any retailer or wholesale purchaser-consumer who sells, dispenses, 
or offers for sale or dispensing nonroad, locomotive or marine (NRLM) 
diesel fuel (including nonroad (NR) and locomotive or marine (LM)), or 
heating oil, must prominently and conspicuously display in the immediate 
area of each pump stand from which non-highway diesel fuel is offered 
for sale or dispensing, one of the following legible labels, as 
applicable, in block letters of no less than 24-point bold type, printed 
in a color contrasting with the background:
    (a) From June 1, 2007 through May 31, 2010, for pumps dispensing 
NRLM diesel fuel meeting the 15 ppm sulfur standard of Sec.  80.510(b):

    ULTRA-LOW SULFUR NON-HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)

    Required for use in all model year 2011 and newer nonroad diesel 
engines.
    Recommended for use in all nonroad, locomotive, and marine diesel 
engines.

                                 WARNING

    Federal Law prohibits use in highway vehicles or engines.

    (b) From June 1, 2007, through September 30, 2010, for pumps 
dispensing NRLM diesel fuel meeting the 500 ppm sulfur standard of Sec.  
80.510(a):

       LOW SULFUR NON-HIGHWAY DIESEL FUEL (500 ppm Sulfur Maximum)

                                 WARNING

    Federal Law prohibits use in highway vehicles or engines.

    (c) From June 1, 2007 through September 30, 2010, for pumps 
dispensing NRLM diesel fuel not meeting, or not

[[Page 342]]

offered as meeting, the 500 ppm sulfur standard of Sec.  80.510(a) or 
the 15 ppm sulfur standard of Sec.  80.510(b):

     HIGH SULFUR NON-HIGHWAY DIESEL FUEL (May Exceed 500 ppm Sulfur)

                                 WARNING

    Federal law prohibits use in highway vehicles or engines.
    May damage nonroad diesel engines required to use low-sulfur or 
ultra-low sulfur diesel fuel.

    (d) From June 1, 2007, and beyond, for pumps dispensing non-motor 
vehicle diesel fuel for use other than in nonroad, locomotive, or marine 
engines, such as for use as heating oil:

                 HEATING OIL (May Exceed 500 ppm Sulfur)

                                 WARNING

    Federal law prohibits use in highway vehicles or engines, or in 
nonroad, locomotive, or marine diesel engines.
    Its use may damage these diesel engines.

    (e) The labels required by paragraphs (a) through (d) of this 
section must be placed on the vertical surface of each pump housing and 
on each side that has gallon and price meters. The labels shall be on 
the upper two-thirds of the pump, in a location where they are clearly 
visible.
    (f) Alternative labels to those specified in paragraphs (a) through 
(d) of this section may be used as approved by EPA.

[69 FR 39182, June 29, 2004, as amended at 71 FR 25718, May 1, 2006; 75 
FR 22970, Apr. 30, 2010]



Sec.  80.572  What labeling requirements apply to retailers and
wholesale purchaser-consumers of Motor Vehicle, NR, LM and NRLM
diesel fuel and heating oil beginning June 1, 2010?

    Any retailer or wholesale purchaser-consumer who sells, dispenses, 
or offers for sale or dispensing nonroad, locomotive or marine (NRLM) 
diesel fuel (including nonroad (NR) and locomotive or marine (LM)), or 
heating oil, must prominently and conspicuously display in the immediate 
area of each pump stand from which non-highway diesel fuel is offered 
for sale or dispensing, one of the following legible labels, as 
applicable, in block letters of no less than 24-point bold type, printed 
in a color contrasting with the background:
    (a) From June 1, 2010 through November 30, 2014, any retailer or 
wholesale purchaser-consumer who sells, dispenses, or offers for sale or 
dispensing, motor vehicle diesel fuel subject to the 15 ppm sulfur 
standard of Sec.  80.520(a)(1), must affix the following conspicuous and 
legible label, in block letters of no less than 24-point bold type, and 
printed in a color contrasting with the background, to each pump stand:
ULTRA-LOW SULFUR HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)
    Required for use in all highway diesel vehicles and engines.
    Recommended for use in all diesel vehicles and engines.
    (b) From June 1, 2010, through September 30, 2012, for pumps 
dispensing NR diesel fuel subject to the 15 ppm sulfur standard of Sec.  
80.510(b):

    ULTRA-LOW SULFUR NON-HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)

    Required for use in all model year 2011 and later nonroad diesel 
engines.
    Recommended for use in all other non-highway diesel engines.

                                 WARNING

    Federal law prohibits use in highway vehicles or engines.
    (c) From June 1, 2010 through September 30, 2014, for pumps 
dispensing NRLM diesel fuel subject to the 500 ppm sulfur standard of 
Sec.  80.510(a):

       LOW SULFUR NON-HIGHWAY DIESEL FUEL (500 ppm Sulfur Maximum)

                                 WARNING

    Federal law prohibits use in all model year 2011 and newer nonroad 
engines.
    May damage model year 2011 and newer nonroad engines.
    Federal law prohibits use in highway vehicles or engines.

    (d) From June 1, 2010 through September 30, 2012 and from February 
25, 2013 and thereafter, for pumps dispensing LM diesel fuel subject to 
the 500 ppm sulfur standard of Sec.  80.510(a):

[[Page 343]]

  LOW SULFUR LOCOMOTIVE AND MARINE DIESEL FUEL (500 ppm Sulfur Maximum)

                                 WARNING

    Federal law prohibits use in nonroad engines or in highway vehicles 
or engines.

    (e) The labels required by paragraphs (a) through (d) of this 
section must be placed on the vertical surface of each pump housing and 
on each side that has gallon and price meters. The labels shall be on 
the upper two-thirds of the pump, in a location where they are clearly 
visible.
    (f) Alternative labels to those specified in paragraphs (a) through 
(d) of this section may be used as approved by EPA.

[69 FR 39183, June 29, 2004, as amended at 71 FR 25718, May 1, 2006; 75 
FR 22970, Apr. 30, 2010; 77 FR 75880, Dec. 26, 2012; 79 FR 23653, Apr. 
28, 2014]



Sec.  80.573  What labeling requirements apply to retailers and
wholesale purchaser-consumers of NRLM diesel fuel and heating oil
beginning June 1, 2012?

    Any retailer or wholesale purchaser-consumer who sells, dispenses, 
or offers for sale or dispensing nonroad, locomotive or marine (NRLM) 
diesel fuel (including nonroad (NR) and locomotive or marine (LM)), or 
heating oil, must prominently and conspicuously display in the immediate 
area of each pump stand from which non-highway diesel fuel is offered 
for sale or dispensing, one of the following legible labels, as 
applicable, in block letters of no less than 24-point bold type, printed 
in a color contrasting with the background:
    (a) From June 1, 2012 through September 30, 2014, for pumps 
dispensing NRLM diesel fuel subject to the 15 ppm sulfur standard of 
Sec.  80.510(c):
ULTRA-LOW SULFUR NON-HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)
    Required for use in all model year 2011 and later nonroad diesel 
engines.
    Recommended for use in all other non-highway diesel engines.

                                 WARNING

    Federal law prohibits use in highway vehicles or engines.

    (b) The labels required by paragraph (a) of this section must be 
placed on the vertical surface of each pump housing and on each side 
that has gallon and price meters. The labels shall be on the upper two-
thirds of the pump, in a location where they are clearly visible.
    (c) Alternative labels to those specified in paragraph (a) of this 
section may be used as approved by EPA.

[69 FR 39183, June 29, 2004, as amended at 71 FR 25718, May 1, 2006; 75 
FR 22970, Apr. 30, 2010; 79 FR 23653, Apr. 28, 2014]



Sec.  80.574  What labeling requirements apply to retailers and
wholesale purchaser-consumers of ECA marine fuel beginning June 1, 2014?

    (a) Any retailer or wholesale purchaser-consumer who sells, 
dispenses, or offers for sale or dispensing ECA marine fuel must 
prominently and conspicuously display in the immediate area of each pump 
stand from which ECA marine fuel is offered for sale or dispensing, one 
of the following legible labels, as applicable, in block letters of no 
less than 24-point bold type, printed in a color contrasting with the 
background:
    (1) From June 1, 2014 and beyond, for pumps dispensing ECA marine 
fuel subject to the 1,000 ppm sulfur standard of Sec.  80.510(k):
1,000 ppm SULFUR ECA MARINE FUEL (1,000 ppm Sulfur Maximum).
    For use in Category 3 (C3) marine vessels only.

                                 WARNING

    Federal law prohibits use in any engine that is not installed on a 
C3 marine vessel; use of fuel oil with a sulfur content greater than 
1,000 ppm in an ECA is prohibited except as allowed by 40 CFR part 1043.
    (2) The labels required by paragraph (a)(1) of this section must be 
placed on the vertical surface of each pump housing and on each side 
that has gallon and price meters. The labels shall be on the upper two-
thirds of the pump, in a location where they are clearly visible.
    (b) Alternative labels to those specified in paragraph (a) of this 
section may be used as approved by EPA. Send

[[Page 344]]

requests to the attention of ``ECA Marine Fuel Alternative Label 
Request'' to the address in Sec.  80.10(a).

[79 FR 23653, Apr. 28, 2014, as amended at 80 FR 9096, Feb. 19, 2015; 85 
FR 7073, Feb. 6, 2020]



Sec. Sec.  80.575-80.579  [Reserved]

                          Sampling and Testing



Sec.  80.580  What are the sampling and testing methods for sulfur?

    The sulfur content of diesel fuel and diesel fuel additives is to be 
determined in accordance with this section.
    (a) Sampling method. The applicable sampling methodology is provided 
in Sec.  80.330(b).
    (b) Test method for sulfur--(1) For ECA marine fuel subject to the 
1,000 ppm sulfur standard of Sec.  80.510(k), sulfur content may be 
determined using ASTM D2622 (incorporated by reference, see paragraph 
(e) of this section).
    (2) For motor vehicle diesel fuel and diesel fuel additives subject 
to the 500 ppm sulfur standard of Sec.  80.520(c), and NRLM diesel fuel 
subject to the 500 ppm sulfur standard of Sec.  80.510(a)(1), sulfur 
content may be determined using ASTM D2622 (incorporated by reference, 
see paragraph (e) of this section).
    (3) Beginning August 30, 2004, for motor vehicle diesel fuel and 
diesel fuel additives subject to the 15 ppm sulfur standard of Sec.  
80.520(a)(1), sulfur content may be determined using any test method 
approved under Sec.  80.585.
    (4) Beginning August 30, 2004, for NRLM diesel fuel and diesel fuel 
additives subject to the 15 ppm standard of Sec.  80.510(b), sulfur 
content may be determined using any test method approved under Sec.  
80.585.
    (c) Alternative test methods for sulfur--(1) Options for testing 
sulfur content of 1,000 ppm diesel fuel. (i) For ECA marine fuel subject 
to the 1,000 ppm sulfur standard of Sec.  80.510(k), sulfur content may 
be determined using ASTM D4294, ASTM D5453, or ASTM D6920 (all 
incorporated by reference, see paragraph (e) of this section), provided 
that the refiner or importer test result is correlated with the 
appropriate method specified in paragraph (b)(1) of this section; or
    (ii) For ECA marine fuel subject to the 1,000 ppm sulfur standard of 
Sec.  80.510(k), sulfur content may be determined using any test method 
approved under Sec.  80.585.
    (2) Options for testing sulfur content of 500 ppm diesel fuel. (i) 
For motor vehicle diesel fuel and diesel fuel additives subject to the 
500 ppm sulfur standard of Sec.  80.520(c), and for NRLM diesel fuel 
subject to the 500 ppm sulfur standard of Sec.  80.510(a), sulfur 
content may be determined using ASTM D4294, ASTM D5453, or ASTM D6920 
(all incorporated by reference, see paragraph (e) of this section), 
provided that the refiner or importer test result is correlated with the 
appropriate method specified in paragraph (b)(2) of this section; or
    (ii) For motor vehicle diesel fuel and diesel fuel additives subject 
to the 500 ppm sulfur standard of Sec.  80.520(c), and for NRLM diesel 
fuel subject to the 500 ppm sulfur standard of Sec.  80.510(a), sulfur 
content may be determined using any test method approved under Sec.  
80.585.
    (d) Adjustment factor for downstream test results. (1) Except as 
specified in paragraph (d)(1)(i) of this section, an adjustment factor 
of negative two ppm sulfur shall be applied to the test results from any 
testing of motor vehicle diesel fuel or NRLM diesel fuel downstream of 
the refinery or import facility, to account for test variability, but 
only for testing of motor vehicle diesel fuel or NRLM diesel fuel 
identified as subject to the 15 ppm sulfur standard of Sec.  80.510(b) 
or Sec.  80.520(a)(1).
    (i) Prior to October 15, 2008 an adjustment factor of negative three 
ppm sulfur shall be applied to the test results, to account for test 
variability, but only for testing of motor vehicle diesel fuel or NRLM 
diesel fuel identified as subject to the 15 ppm sulfur standard of Sec.  
80.510(b) or Sec.  80.520(a)(1).
    (ii) [Reserved]
    (2) In addition to the adjustment factor provided in paragraph 
(d)(1)(i) of this section, prior to September 1, 2006, an adjustment 
factor of negative 7 ppm shall be applied to the test results from any 
testing of motor vehicle diesel fuel downstream of the refinery or 
import facility, to facilitate the transition to ULSD fuel, but only for 
testing of motor vehicle diesel fuel identified as

[[Page 345]]

subject to the 15 ppm sulfur standard of Sec.  80.520(a)(1).
    (3) In addition to the adjustment factor provided in paragraph 
(d)(1)(i) of this section, prior to October 15, 2006, an adjustment 
factor of negative 7 ppm shall be applied to the test results from any 
testing of motor vehicle diesel fuel at any retail outlet or wholesale 
purchaser-consumer facility, to facilitate the transition to ULSD fuel, 
but only for testing of motor vehicle diesel fuel identified as subject 
to the 15 ppm sulfur standard of Sec.  80.520(a)(1).
    (e) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428-2959, (877) 909-ASTM, or http://
www.astm.org:
    (i) ASTM D2622-10, Standard Test Method for Sulfur in Petroleum 
Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, 
approved February 15, 2010.
    (ii) ASTM D4294-10, Standard Test Method for Sulfur in Petroleum and 
Petroleum Products by Energy Dispersive X-ray Fluorescence Spectrometry, 
approved February 15, 2010.
    (iii) 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.
    (iv) ASTM D6920-13, Standard Test Method for Total Sulfur in 
Naphthas, Distillates, Reformulated Gasolines, Diesels, Biodiesels, and 
Motor Fuels by Oxidative Combustion and Electrochemical Detection, 
approved September 15, 2013.
    (2) [Reserved]

[69 FR 39184, June 29, 2004, as amended at 70 FR 40896, July 15, 2005; 
70 FR 70510, Nov. 22, 2005; 71 FR 16500, Apr. 3, 2006; 71 FR 25719, May 
1, 2006; 73 FR 74357, Dec. 8, 2008; 75 FR 22971, Apr. 30, 2010; 79 FR 
23653, Apr. 28, 2014]



Sec.  80.581  What are the batch testing and sample retention
requirements for motor vehicle diesel fuel, NRLM diesel fuel,
and ECA marine fuel?

    (a) Beginning on June 1, 2006 (or earlier pursuant to Sec.  80.531), 
for motor vehicle diesel fuel, and beginning June 1, 2010 (or earlier 
pursuant to Sec.  80.535), for NRLM diesel fuel, and beginning June 1, 
2014, for ECA marine fuel, each refiner and importer shall collect a 
representative sample from each batch of motor vehicle or NRLM diesel 
fuel produced or imported and subject to the 15 ppm sulfur content 
standard, or ECA marine fuel subject to the 1,000 ppm sulfur content 
standard. Batch, for the purposes of this section, means batch as 
defined under Sec.  80.2 but without the reference to transfer of 
custody from one facility to another facility.
    (b) Except as provided in paragraph (c) of this section, the refiner 
or importer shall test each sample collected pursuant to paragraph (a) 
of this section to determine its sulfur content for compliance with the 
requirements of this subpart prior to the diesel fuel leaving the 
refinery or import facility, using an appropriate sampling and testing 
method as specified in Sec.  80.580.

[[Page 346]]

    (c)(1) Any refiner who produces motor vehicle, NRLM diesel fuel, or 
ECA marine fuel using computer-controlled in-line blending equipment, 
including the use of an on-line analyzer test method that is approved 
under the provisions of Sec.  80.580, and who, subsequent to the 
production of the diesel fuel batch tests a composited sample of the 
batch under the provisions of Sec.  80.580 for purposes of designation 
and reporting, is exempt from the requirement of paragraph (b) of this 
section to obtain the test result required under this section prior to 
the diesel fuel leaving the refinery, provided that the refiner obtains 
approval from EPA. The requirement of this paragraph (c)(1) that the in-
line blending equipment must include an on-line analyzer test method 
that is approved under the provisions of Sec.  80.580 is effective 
beginning June 1, 2006.
    (2) To obtain an exemption from paragraph (b) of this section, the 
refiner must submit to EPA all the information required under Sec.  
80.65(f)(4)(i)(A). A letter signed by the president, chief operating or 
chief executive officer of the company, or his/her designee, stating 
that the information contained in the submission is true to the best of 
his/her belief must accompany any submission under this paragraph 
(c)(2).
    (3) Refiners who seek an exemption under paragraph (c)(2) of this 
section must comply with any request by EPA for additional information 
or any other requirements that EPA includes as part of the exemption.
    (4) Within 60 days of EPA's receipt of a submission under paragraph 
(c)(2) of this section, EPA will notify the refiner if the exemption is 
not approved or of any deficiencies in the refiner's submission, or if 
any additional information is required or other requirements are 
included in the exemption pursuant to paragraph (c)(3) of this section. 
In the absence of such notification from EPA, the effective date of an 
exemption under this paragraph (c) is 60 days from EPA's receipt of the 
refiner's submission.
    (5) EPA reserves the right to modify the requirements of an 
exemption under this paragraph (c), in whole or in part, at any time, if 
EPA determines that the refiner's operation does not effectively or 
adequately control, monitor or document the sulfur content of the 
refinery's diesel fuel production, or if EPA determines that any other 
circumstances exist which merit modification of the requirements of an 
exemption, such as advancements in the state of the art for in-line 
blending measurement which allow for additional control or more accurate 
monitoring or documentation of sulfur content. If EPA finds that a 
refiner provided false or inaccurate information in any submission 
required for an exemption under this section, upon notification from 
EPA, the refiner's exemption will be void ab initio.
    (d) All test results under this section shall be retained for five 
years and must be provided to EPA upon request.
    (e) Samples collected under this section must be retained for at 
least 30 days and provided to EPA upon request.

[69 FR 39184, June 29, 2004, as amended at 71 FR 25719, May 1, 2006; 75 
FR 22971, Apr. 30, 2010]



Sec.  80.582  What are the sampling and testing methods for the
fuel marker?

    For heating oil and NRLM diesel fuel subject to the fuel marker 
requirement in Sec.  80.510(d), (e), or (f), the identification of the 
presence and concentration of the fuel marker in diesel fuel may be 
determined using the test procedures qualified in accordance with the 
requirements in this section.
    (a) Sampling and testing for methods for the fuel marker. The 
sampling, sample preparation, and testing methods qualified for use in 
accordance with the requirements of this section may involve the use of 
hazardous materials, operations and equipment. This section does not 
address the associated safety problems which may exist. It is the 
responsibility of the user of the procedures specified in this section 
to establish appropriate safety and health practices prior to their use. 
It is also the responsibility of the user to dispose of any byproducts 
which might result from conducting these procedures in a manner 
consistent with applicable safety and health requirements.
    (b) What are the precision and accuracy criteria for qualification 
of fuel marker

[[Page 347]]

test methods?--(1) Precision. A standard deviation of less than 0.10 
milligrams per liter is required, computed from the results of a minimum 
of 20 repeat tests made over 20 days on samples taken from a homogeneous 
commercially available diesel fuel which meets the applicable industry 
consensus and federal regulatory specifications and which contains the 
fuel marker at a concentration in the range of 0.10 to 8 milligrams per 
liter. In order to qualify, the 20 results must be a series of tests on 
the same material and there must be a sequential record of the analysis 
with no omissions. A laboratory facility may exclude a given sample or 
test result only if the exclusion is for a valid reason under good 
laboratory practices and it maintains records regarding the sample and 
test results and the reason for excluding them.
    (2) Accuracy. (i) The arithmetic average of a continuous series of 
at least 10 tests performed on a commercially available marker solvent 
yellow 124 standard in the range of 0.10 to 1 milligrams per liter shall 
not differ from the ARV of that standard by more than 0.05 milligrams 
per liter.
    (ii) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available marker solvent yellow 124 
standard in the range of 4 to 10 milligrams per liter shall not differ 
from the ARV of that standard by more than 0.05 milligrams per liter.
    (iii) In applying the tests of paragraphs (b)(2)(i) and (ii) of this 
section, individual test results shall be compensated for any known 
chemical interferences.
    (c) What process must a test facility follow in order to qualify a 
test method for determining the fuel marker content of distillate fuels 
and how will EPA qualify or decline to qualify a test method?--(1) 
Qualification of test methods approved by voluntary consensus-based 
standards bodies. Any standard test method developed by a Voluntary 
Consensus-Based Standards Body, such as the American Society for Testing 
and Materials (ASTM) or International Standards Organization (ISO), 
shall be considered a qualified test method for determining the fuel 
marker content of distillate fuel provided that it meets the precision 
and accuracy criteria under paragraph (b) of this section. The 
qualification of a test method is limited to the single test facility 
that performed the testing for accuracy and precision. The individual 
facility must submit the accuracy and precision results for each method, 
including information on the date and time of each test measurement used 
to demonstrate precision, following procedures established by the 
Administrator.
    (2) Qualification of test methods that have not been approved by a 
voluntary consensus-based standards body. A test method that has not 
been approved by a voluntary consensus-based standards body may be 
qualified upon approval by the Administrator. The following information 
must be submitted in the application for approval by each test facility, 
for each test method that it wishes to have approved:
    (i) Full test method documentation, including a description of the 
technology and/or instrumentation that makes the method functional.
    (ii) Information demonstrating that the test method meets the 
accuracy and precision criteria under paragraph (b) of this section, 
including information on the date and time of each test measurement used 
to demonstrate precision.
    (iii) Samples used for precision and accuracy determination must be 
retained for 90 days.
    (iv) If requested by the Administrator, test results utilizing the 
method and performed on a sample of commercially available distillate 
fuel which meets the applicable industry consensus and federal 
regulatory specifications and which contains the fuel marker.
    (v) Any additional information requested by the Administrator and 
necessary to render a decision as to qualification of the test method.
    (vi) The qualification of a test method is limited to the single 
test facility that performed the testing for accuracy and precision and 
any other required testing.
    (3)(i) Within 90 days of receipt of all materials required to be 
submitted under paragraph (c)(1) or (c)(2) of this

[[Page 348]]

section, the Administrator shall determine whether to qualify the test 
method under this section. The Administrator shall qualify the test 
method if all materials required under this section are received and the 
test method meets the accuracy and precision criteria of paragraph (b) 
of this section.
    (ii) If the Administrator denies approval of the test method, within 
90 days of receipt of all materials required to be submitted under this 
section, the Administrator will notify the applicant of the reasons for 
not approving the method. If the Administrator does not notify the 
applicant within 90 days of receipt of the application, that the test 
method is not approved, then the test method shall be deemed approved.
    (iii) If the Administrator finds that an individual test facility 
has provided false or inaccurate information under this section, upon 
notice from the Administrator, the qualification shall be void ab 
initio.
    (iv) The qualification of any test method under this paragraph (c) 
shall be valid for the duration of the period during which the fuel 
marker requirements remain applicable under this subpart.
    (d) Quality control procedures for fuel marker measurement 
instrumentation. A test shall not be considered a test using a qualified 
test method unless the following quality control procedures are 
performed separately for each instrument used to make measurements:
    (1) Follow all mandatory provisions of ASTM D 6299-02 and construct 
control charts from the mandatory quality control testing prescribed in 
paragraph 7.1 of the reference method, following guidelines under A 
1.5.1 for individual observation charts and A 1.5.2 for moving range 
charts. The Director of the Federal Register approved the incorporation 
by reference of ASTM D 6299-02, Standard Practice for Applying 
Statistical Quality Assurance Techniques to Evaluate Analytical 
Measurement System Performance, as prescribed in 5 U.S.C. 552(a) and 1 
CFR part 51. Anyone may purchase copies of this standard from the 
American Society for Testing and Materials, 100 Barr Harbor Dr., West 
Conshohocken, PA 19428. Anyone may inspect copies at the U.S. EPA, Air 
and Radiation Docket and Information Center, 1301 Constitution Ave., 
NW., Room B102, EPA West Building, Washington, DC 20460 or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (2) Follow paragraph 7.3.1 of ASTM D 6299-02 to check standards 
using a reference material at least monthly or following any major 
change to the laboratory equipment or test procedure. Any deviation from 
the accepted reference value of a check standard greater than 0.10 
milligrams per liter must be investigated.
    (3) Samples of tested batches must be retained for 30 days or the 
period equal to the interval between quality control sample tests, 
whichever is longer.
    (4) Upon discovery of any quality control testing violation of 
paragraph A 1.5.1.3 or A 1.5.2.1 of ASTM D 6299-02, or any check 
standard deviation greater than 0.10 milligrams per liter, conduct an 
investigation into the cause of such violation or deviation and, after 
restoring method performance to statistical control, retest retained 
samples from batches originally tested since the last satisfactory 
quality control material or check standard testing occasion.
    (5) Retain results of quality control testing and retesting of 
retained samples under paragraph (d)(3) of this section for five years.

[69 FR 39185, June 29, 2004]



Sec.  80.583  What alternative sampling and testing requirements
apply to importers who transport motor vehicle diesel fuel,
NRLM diesel fuel, or ECA marine fuel by truck or rail car?

    Importers who import diesel fuel subject to the 15 ppm sulfur 
standard under Sec.  80.510(b) or (c) or 80.520(a) into the United 
States by truck or by rail car may comply with the following 
requirements instead of the requirements to sample and test each batch 
of fuel

[[Page 349]]

designated as subject to the 15 ppm sulfur standard under Sec.  80.581 
otherwise applicable to importers:
    (a) Terminal testing. For purposes of determining compliance with 
the 15 ppm sulfur standard, the importer may use test results for sulfur 
content testing conducted by the foreign truck-loading or rail car-
loading terminal operator for diesel fuel contained in the storage tank 
from which trucks or rail cars used to transport diesel fuel designated 
as subject to the 15 ppm sulfur content standard into the United States 
are loaded, provided the following conditions are met:
    (1) The sampling and testing shall be performed after each receipt 
of diesel fuel into the storage tank, or immediately before each 
transfer of diesel fuel to the importer's truck or rail car.
    (2) The sampling and testing shall be performed according to Sec.  
80.580.
    (3) At the time of each transfer of diesel fuel to the importer's 
truck or rail car for import to the U.S., the importer must obtain a 
copy of the terminal test result that indicates the sulfur content of 
the truck or rail car load, or truck or rail car compartment load, as 
applicable.
    (b) Quality assurance program. The importer must conduct a quality 
assurance program, as specified in this paragraph (b), for each truck or 
rail car loading terminal.
    (1) Quality assurance samples must be obtained from the truck-
loading or rail car loading terminal and tested by the importer, or by 
an independent laboratory, and the terminal operator must not know in 
advance when samples are to be collected.
    (2) The sampling and testing must be performed using the methods 
specified in Sec.  80.580.
    (3) The frequency of the quality assurance sampling and testing must 
be at least one sample for each 50 of an importer's trucks or rail cars 
that are loaded at a terminal, or one sample per month, whichever is 
more frequent.
    (c) Party required to conduct quality assurance testing. The quality 
assurance program under paragraph (b) of this section shall be conducted 
by the importer. In the alternative, this testing may be conducted by an 
independent laboratory that meets the criteria under Sec.  
80.65(f)(2)(iii), provided the importer receives copies of all results 
of tests conducted no later than 21 days after the sample was taken.
    (d) Alternative batch designations. For purposes of maintaining 
batch records under Sec. Sec.  80.592, 80.600, and 80.602, designation 
of batches under Sec.  80.598, and reporting under Sec. Sec.  80.593, 
80.601, and 80.604:
    (1) In lieu of treating each portion of a tank truck compartment 
delivered to a different facility as a different batch, a truck importer 
may treat each compartment as a batch, if all the fuel in the 
compartment is delivered only to retail outlets, wholesale purchaser-
consumers or other end users. Where different compartments contain 
homogeneous product of identical designations, the total volume of those 
compartments may be treated as a single batch, if the entire volume is 
delivered only to retail outlets, wholesale purchaser-consumers or other 
ultimate consumers.
    (2) Each portion of a rail car (or rail cars) delivery of a 
different designation or each delivery to a different facility is 
considered to be a separate batch.
    (e) EPA inspections of terminals. EPA inspectors or auditors must be 
given full and immediate access to the truck or rail car-loading 
terminal and any laboratory at which samples of diesel fuel collected at 
the terminal are analyzed, and must be allowed to conduct inspections, 
review records, collect diesel fuel samples and perform audits. These 
inspections or audits may be either announced or unannounced.
    (f) Certified DFR-Diesel. This section does not apply to Certified 
DFR-Diesel as defined in Sec.  80.620.
    (g) Effect of noncompliance. If any of the requirements of this 
section are not met, all motor vehicle diesel fuel and NRLM diesel fuel 
imported by the truck or rail car importer during the time the 
requirements are not met is deemed in violation of the 15 ppm sulfur 
diesel fuel standards in Sec.  80.510(b) or (c) or Sec.  80.520(a), as 
applicable. Additionally, if any requirement is not met, EPA may notify 
the importer of the violation, and, if the requirement is not fulfilled 
within 10 days of notification, the truck importer may not in the future 
use the sampling and testing

[[Page 350]]

provisions in this section in lieu of the provisions in Sec.  80.581.

[69 FR 39186, June 29, 2004, as amended at 75 FR 22971, Apr. 30, 2010]



Sec.  80.584  What are the precision and accuracy criteria for
approval of test methods for determining the sulfur content of
motor vehicle diesel fuel, NRLM diesel fuel, and ECA marine fuel?

    (a) Precision. (1) For motor vehicle diesel fuel and diesel fuel 
additives subject to the 15 ppm sulfur standard of Sec.  80.520(a)(1) 
and NRLM diesel fuel and diesel fuel additives subject to the 15 ppm 
sulfur standard of Sec.  80.510(b) and (c), a standard deviation less 
than 0.72 ppm, computed from the results of a minimum of 20 tests made 
over 20 days (tests may be arranged into no fewer than five batches of 
four or fewer tests each, with only one such batch allowed per day over 
the minimum of 20 days) on samples taken from a single homogeneous 
commercially available diesel fuel with a sulfur content in the range of 
5-15 ppm. The 20 results must be a series of tests with a sequential 
record of the analyses and no omissions. A laboratory facility may 
exclude a given sample or test result only if the exclusion is for a 
valid reason under good laboratory practices and it maintains records 
regarding the sample and test results and the reason for excluding them.
    (2) For motor vehicle diesel fuel subject to the 500 ppm sulfur 
standard of Sec.  80.520(c), and for NRLM diesel fuel subject to the 500 
ppm sulfur standard of Sec.  80.510(a), of a standard deviation less 
than 9.68 ppm, computed from the results of a minimum of 20 tests made 
over 20 days (tests may be arranged into no fewer than five batches of 
four or fewer tests each, with only one such batch allowed per day over 
the minimum of 20 days) on samples taken from a single homogeneous 
commercially available diesel fuel with a sulfur content in the range of 
200-500 ppm. The 20 results must be a series of tests with a sequential 
record of the analyses and no omissions. A laboratory facility may 
exclude a given sample or test result only if the exclusion is for a 
valid reason under good laboratory practices and it maintains records 
regarding the sample and test results and the reason for excluding them.
    (3) For ECA marine fuel subject to the 1,000 ppm sulfur standard of 
Sec.  80.510(k), of a standard deviation less than 18.07 ppm, computed 
from the results of a minimum of 20 tests made over 20 days (tests may 
be arranged into no fewer than five batches of four or fewer tests each, 
with only one such batch allowed per day over the minimum of 20 days) on 
samples taken from a single homogeneous commercially available diesel 
fuel with a sulfur content in the range of 700-1,000 ppm. The 20 results 
must be a series of tests with a sequential record of the analyses and 
no omissions. A laboratory facility may exclude a given sample or test 
result only if the exclusion is for a valid reason under good laboratory 
practices and it maintains records regarding the sample and test results 
and the reason for excluding them.
    (b) Accuracy. (1) For motor vehicle diesel fuel and diesel fuel 
additives subject to the 15 ppm sulfur standard of Sec.  80.520(a)(1) 
and NRLM diesel fuel and diesel fuel additives subject to the 15 ppm 
sulfur standard of Sec.  80.510(b) and (c):
    (i) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available gravimetric sulfur standard 
in the range of 1-10 ppm sulfur shall not differ from the accepted 
reference value (ARV) of that standard by more than 0.54 ppm sulfur;
    (ii) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available gravimetric sulfur standard 
in the range of 10-20 ppm sulfur shall not differ from the ARV of that 
standard by more than 0.54 ppm sulfur; and
    (iii) In applying the tests of paragraphs (b)(1)(i) and (ii) of this 
section, individual test results shall be compensated for any known 
chemical interferences.
    (2) For motor vehicle diesel fuel subject to the 500 ppm sulfur 
standard of Sec.  80.520(c), and for NRLM diesel fuel subject to the 500 
ppm sulfur standard of Sec.  80.510(a):
    (i) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available

[[Page 351]]

gravimetric sulfur standard in the range of 100-200 ppm sulfur shall not 
differ from the ARV of that standard by more than 7.26 ppm sulfur;
    (ii) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available gravimetric sulfur standard 
in the range of 400-500 ppm sulfur shall not differ from the ARV of that 
standard by more than 7.26 ppm sulfur; and
    (iii) In applying the tests of paragraphs (b)(2)(i) and (ii) of this 
section, individual test results shall be compensated for any known 
chemical interferences.
    (3) For ECA marine fuel subject to the 1,000 ppm sulfur standard of 
Sec.  80.510(k):
    (i) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available gravimetric sulfur standard 
in the range of 300-400 ppm sulfur shall not differ from the ARV of that 
standard by more than 13.55 ppm sulfur;
    (ii) The arithmetic average of a continuous series of at least 10 
tests performed on a commercially available gravimetric sulfur standard 
in the range of 900-1,000 ppm sulfur shall not differ from the ARV of 
that standard by more than 13.55 ppm sulfur; and
    (iii) In applying the tests of paragraphs (b)(3)(i) and (ii) of this 
section, individual test results shall be compensated for any known 
chemical interferences.

[69 FR 39187, June 29, 2004, as amended at 75 FR 22971, Apr. 30, 2010; 
80 FR 9096, Feb. 19, 2015]



Sec.  80.585  What is the process for approval of a test method 
for determining the sulfur content of diesel or ECA marine fuel?

    (a)(1) Approval of test methods approved by voluntary consensus-
based standards bodies. Through December 31, 2015, for such a method to 
be approved, the following information must be submitted to the 
Administrator by each test facility for each test method that it wishes 
to have approved: Any test method approved by a voluntary consensus-
based standards body, such as ASTM International or the International 
Organization for Standardization (ISO), shall be approved as a test 
method for determining the sulfur content of diesel fuel if it meets the 
applicable accuracy and precision criteria under Sec.  80.584. The 
approval of a test method is limited to the single test facility that 
performed the testing for accuracy and precision. The individual 
facility must submit the accuracy and precision results for each method, 
including information on the date and time of each test measurement used 
to demonstrate precision, following procedures established by the 
Administrator.
    (2) Approval of test methods approved by voluntary consensus-based 
standards bodies. Beginning January 1, 2016, any test method approved by 
a voluntary consensus-based standards body, such as the ASTM 
International or the International Organization for Standardization 
(ISO), shall be approved as a test method for determining the sulfur 
content of diesel fuel if it meets the applicable accuracy and precision 
criteria under Sec.  80.584. These records must be kept by the facility 
for a period of five years.
    (b) Approval of test methods not approved by a voluntary consensus-
based standards body. For such a method to be approved, the following 
information must be submitted to the Administrator by each test facility 
for each test method that it wishes to have approved:
    (1) Full test method documentation, including a description of the 
technology and/or instrumentation that makes the method functional.
    (2) Information demonstrating that the test method meets the 
applicable accuracy and precision criteria of Sec.  80.584, including 
information on the date and time of each test measurement used to 
demonstrate precision.
    (3) If requested by the Administrator, test results from use of the 
method to analyze samples of commercially available fuel provided by 
EPA.
    (4) Any additional information requested by the Administrator and 
necessary to render a decision as to approval of the test method.
    (c) Sample retention. Samples used for precision and accuracy 
determination must be retained for 90 days.
    (d) EPA approval. (1) Within 90 days of receipt of all materials 
required to be

[[Page 352]]

submitted under paragraph (b) of this section, the Administrator shall 
determine whether the test method is approved under this section.
    (2) If the Administrator denies approval of the test method, within 
90 days of receipt of all materials required to be submitted under 
paragraph (b) of this section, the Administrator will notify the 
applicant of the reasons for not approving the method. If the 
Administrator does not notify the applicant within 90 days of receipt of 
the application, that the test method is not approved, then the test 
method shall be deemed approved.
    (3) If the Administrator finds that an individual test facility has 
provided false or inaccurate information under this section, upon notice 
from the Administrator the approval shall be void ab initio.
    (4) The approval of any test method under paragraph (b) of this 
section shall be valid from the date of approval from the Administrator.
    (e) Quality assurance procedures for sulfur measurement 
instrumentation. A test shall not be considered a test using an approved 
test method unless the following quality control procedures are 
performed separately for each instrument used to make measurements:
    (1) Follow all mandatory provisions of ASTM D6299 and construct 
control charts from the mandatory quality control testing prescribed in 
paragraph 7.1 of the reference method, following guidelines under A 
1.5.1 for individual observation charts and A 1.5.4 for moving range 
charts.
    (2) Follow paragraph 7.3.1 of ASTM D6299 to check standards using a 
reference material at least monthly or following any major change to the 
laboratory equipment or test procedure. Any deviation from the accepted 
reference value of a check standard greater than 1.44 ppm (for diesel 
fuel subject to the 15 ppm sulfur standard), 19.36 ppm (for diesel fuel 
subject to the 500 ppm sulfur standard), or 36.14 ppm (for ECA marine 
fuel subject to the 1,000 ppm sulfur standard must be investigated.
    (3) Samples of tested batches must be retained for 30 days or the 
period equal to the interval between quality control sample tests, 
whichever is longer.
    (4) Upon discovery of any quality control testing violation of 
paragraph A 1.5.1.3 for individual observation charts or A1.5.4.1 and 
A1.5.4.2 for moving range charts of ASTM D6299, or any check standard 
deviation greater than 1.44 ppm (for diesel fuel subject to the 15 ppm 
sulfur standard), 19.36 ppm (for diesel fuel subject to the 500 ppm 
sulfur standard), or 36.14 ppm (for ECA marine fuel subject to the 1,000 
ppm sulfur standard), conduct an investigation into the cause of such 
violation or deviation and, after restoring method performance to 
statistical control, retest retained samples from batches originally 
tested since the last satisfactory quality control material or check 
standard testing occasion.
    (f) Materials incorporated by reference. The published materials 
identified in this section are incorporated by reference into this 
section 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.
    (1) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor

[[Page 353]]

Dr., P.O. Box C700, West Conshohocken, PA 19428-2959, (877) 909-ASTM, or 
http://www.astm.org:
    (i) ASTM D6299-13, Standard Practice for Applying Statistical 
Quality Assurance and Control Charting Techniques to Evaluate Analytical 
Measurement System Performance, approved October 1, 2013 (``ASTM 
D6299'').
    (ii) [Reserved]
    (2) [Reserved]

[69 FR 39187, June 29, 2004, as amended at 75 FR 22972, Apr. 30, 2010; 
79 FR 23654, Apr. 28, 2014; 80 FR 9097, Feb. 19, 2015; 85 FR 7073, Feb. 
6, 2020]



Sec.  80.586  What are the record retention requirements for test
methods approved under this subpart?

    Each individual test facility must retain records related to the 
establishment of accuracy and precision values, all test method 
documentation, and any quality control testing and analysis under 
Sec. Sec.  80.582, 80.584 and 80.585, for five years.

[69 FR 39188, June 29, 2004]



Sec. Sec.  80.587-80.589  [Reserved]

                Recordkeeping and Reporting Requirements



Sec.  80.590  What are the product transfer document requirements 
for motor vehicle diesel fuel, NRLM diesel fuel, heating oil,
distillate global marine fuel, ECA marine fuel, and other distillates?

    (a) This paragraph (a) applies on each occasion that any person 
transfers custody or title to MVNRLM diesel fuel, heating oil, 
distillate global marine fuel, or ECA marine fuel (including distillates 
used or intended to be used as MVNRLM diesel fuel, heating oil, global 
marine fuel, or ECA marine fuel) except when such fuel is dispensed into 
motor vehicles or nonroad equipment, locomotives, marine diesel engines 
or steamships or Category 3 vessels. Note that 40 CFR part 1043 
specifies requirements for documenting fuel transfers to certain marine 
vessels. For all fuel transfers subject to this paragraph (a), the 
transferor must provide to the transferee documents which include the 
following information:
    (1) The names and addresses of the transferor and transferee.
    (2) The volume of diesel fuel or distillate which is being 
transferred.
    (3) The location of the diesel fuel or distillate at the time of the 
transfer.
    (4) The date of the transfer.
    (5) For transfers of MVNRLM diesel fuel or ECA marine fuel 
(beginning June 1, 2014), the sulfur content standard the transferor 
represents the fuel to meet.
    (6) Beginning June 1, 2006, when an entity, from a facility at any 
point in the distribution system, transfers custody of a distillate or 
residual fuel designated under Sec.  80.598, the following information 
must also be included:
    (i) The facility registration number of the transferor and 
transferee, for terminals and all parties upstream, under Sec.  80.597, 
if any.
    (ii) An accurate and clear statement of the applicable designation 
and/or classification under Sec.  80.598(a) and (b), for example, ``500 
ppm sulfur NRLM diesel fuel'', or ``jet fuel''; and whether the fuel is 
dyed or undyed, and for heating oil, whether marked or unmarked where 
applicable.
    (7) For transfers of title or custody from one facility to another 
in the distribution system where diesel fuel or distillates are taxed, 
dyed or marked, and for any subsequent transfers (except when such fuel 
is dispensed into motor vehicles or nonroad, locomotive, or marine 
equipment), an accurate statement on the product transfer document of 
the applicable fuel uses and classifications, as follows (however, in 
instances where space is constrained, substantially similar language may 
be used following approval from EPA):
    (i) Undyed 15 ppm sulfur diesel fuel. For the period from June 1, 
2006 and beyond, ``15 ppm sulfur (maximum) Undyed Ultra-Low Sulfur 
Diesel Fuel. For use in all diesel vehicles and engines.'' From June 1, 
2006 through May 31, 2010, the product transfer document must also state 
whether the diesel fuel is 1D or 2D, or NP diesel.
    (ii) Dyed 15 ppm sulfur diesel fuel. From June 1, 2006 and beyond, 
``15 ppm sulfur (maximum) Dyed Ultra-Low Sulfur Diesel Fuel. For use in 
all nonroad diesel engines. Not for use in highway vehicles or engines 
except for tax-exempt use in accordance with section 4082 of the 
Internal Revenue Code.''

[[Page 354]]

    (iii) Undyed 500 ppm sulfur diesel fuel. From June 1, 2006 through 
September 30, 2010, ``500 ppm sulfur (maximum) Undyed Low Sulfur Diesel 
Fuel. For use in Model Year 2006 and older diesel highway vehicles and 
engines. Also for use in nonroad, locomotive, and marine diesel engines. 
Not for use in model year 2007 and newer highway vehicles or engines.''
    (iv) Dyed 500 ppm sulfur diesel fuel. (A) For the period of June 1, 
2006 through September 30, 2010, ``500 ppm sulfur (maximum) Dyed Low 
Sulfur Nonroad, Locomotive or Marine Diesel Fuel. Not for use in highway 
vehicles or engines except for use in Model Year 2006 and older highway 
diesel vehicles or engines for tax-exempt use in accordance with section 
4082 of the Internal Revenue Code.''
    (B) From June 1, 2010 through September 30, 2014, ``500 ppm sulfur 
(maximum) Dyed Low Sulfur Nonroad Diesel Fuel. For use in model year 
2010 and older nonroad diesel engines. May be used in locomotive and 
marine diesel engines. Not for use in highway vehicles and engines or 
model year 2011 or later nonroad engines other than locomotive or marine 
diesel engines. Not for use in the Northeast/Mid-Atlantic Area.''
    (C) For dyed locomotive and marine diesel fuel beginning June 1, 
2010, ``500 ppm sulfur (maximum) Dyed Low Sulfur Locomotive and Marine 
diesel fuel. Not for use in highway or other nonroad vehicles and 
engines.''
    (v) Dyed High Sulfur NRLM Fuel. From June 1, 2007 through September 
30, 2010, ``High Sulfur Dyed Nonroad, Locomotive, or Marine Engine 
Diesel fuel--sulfur content may exceed 500 ppm sulfur. Not for use in 
highway vehicles or engines. Not for use in any nonroad engines 
requiring Ultra-Low Sulfur Diesel Fuel. Not for use in the Northeast/
Mid-Atlantic Area.''
    (vi) Heating oil. For heating oil produced or imported beginning 
June 1, 2007, ``Heating Oil. Not for use in highway vehicles or engines 
or nonroad, locomotive, or marine engines.''
    (vii) ECA marine fuel. For ECA marine fuel produced or imported 
beginning June 1, 2014, ``1,000 ppm sulfur (maximum) ECA marine fuel. 
For use in Category 3 marine vessels only. Not for use in engines not 
installed on C3 marine vessels.''
    (viii) Distillate global marine fuel. ``For use only in steamships 
or Category 3 marine vessels operating outside the boundaries of an 
Emission Control Area (ECA), consistent with MARPOL Annex VI.''
    (b) Any of the following may be substituted for the descriptions in 
paragraph (a) of this section, as appropriate:
    (1) ``This is high sulfur diesel fuel for use only in Guam, American 
Samoa, or the Northern Mariana Islands.''
    (2) ``This diesel fuel is for export use only.''
    (3) ``This diesel fuel is for research, development, or testing 
purposes only.''
    (4) ``This diesel fuel is for use in diesel highway vehicles or 
nonroad equipment under an EPA-approved national security exemption 
only.''
    (5) ``High sulfur fuel. For use only in ships with an approved 
permit as allowed by MARPOL Annex VI, Regulation 3.''
    (6) ``High sulfur fuel. For use only in ships as allowed by MARPOL 
Annex VI, Regulation 4.''
    (7) ``High sulfur fuel. For use only in ships as allowed by MARPOL 
Annex VI, Regulation 3 or Regulation 4.''
    (c) If undyed and/or unmarked distillate fuel is dyed and/or marked 
subsequent to the issuance of a product transfer document, at the time 
the distillate fuel is dyed and/or marked, a new product transfer 
document must be prepared with the language under paragraph (a)(7) of 
this section applicable to the changed fuel and provided to subsequent 
transferees.
    (d) Except for transfers to truck carriers, retailers or wholesale 
purchaser-consumers, product codes may be used to convey the information 
required under this section if such codes are clearly understood by each 
transferee. ``15'', ``500'', or ``greater than 500'' or 
``500'' must appear clearly on the product transfer document, 
and may be contained in the product code. If the designation is included 
in the code: codes used to convey the statement in paragraphs (a)(7)(i) 
and (a)(7)(ii) of this section must contain the number ``15'', codes 
used to convey the statement in

[[Page 355]]

paragraphs (a)(7)(iii) and (a)(7)(iv) of this section must contain the 
number ``500''; codes used to convey the statement in paragraph 
(a)(7)(v) of this section must contain the statement ``greater than 
500'' or ``500''. If another letter, number, or symbol is 
being used to convey any of the statements in paragraphs (a)(7)(i), 
(a)(7)(ii), (a)(7)(iii), (a)(7)(iv), and/or (a)(7)(v) of this section, 
it must be clearly defined and denoted on the product transfer document.
    (e) Beginning June 1, 2014, for ECA marine fuel only (except for 
transfers to truck carriers, retailers or wholesale purchaser-
consumers), product codes may be used to convey the information required 
under this section if such codes are clearly understood by each 
transferee. ``1000'' must appear clearly on the product transfer 
document, and may be contained in the product code. If the designation 
is included in the code, codes used to convey the statement in paragraph 
(a)(7)(vii) of this section must contain the number ``1000''. If another 
letter, number, or symbol is being used to convey the statement in 
paragraph (a)(7)(vii) of this section, it must be clearly defined and 
denoted on the product transfer document.
    (f) From June 1, 2001 through May 31, 2005, any transfer subject to 
this section, which is also subject to the early credit provisions of 
Sec.  80.531(b), must comply with all applicable requirements of this 
section.
    (g) From June 1, 2005 through May 31, 2006, any transfer subject to 
this section, which is also subject to the early credit requirements of 
Sec.  80.531(c), must comply with all applicable requirements of this 
section.
    (h) Mobile refuelers. The provisions of this section shall also 
apply to a mobile refueler that dispenses fuel from tanker trucks or 
other vessels into motor vehicles, nonroad diesel engines or nonroad 
diesel engine equipment. Each visit by the mobile refueler to a location 
shall be considered a separate occasion for purposes of paragraph (a) of 
this section. The tank trucks used by mobile refuelers are not subject 
to the labeling requirements in Sec. Sec.  80.570 through 80.574.
    (i) Identifications of fuel designations can be limited to a sub-
designation that accurately identifies the fuel and do not need to also 
include the broader designation. For example, NR diesel fuel does not 
also need to be designated as NRLM or MVNRLM diesel fuel.
    (j) Pipeline ticketing. For the case where a pipeline delivers a 
batch of ULSD to another facility that contains slight amounts of 
another type of fuel from a preceding or following batch, a clear 
statement must be included on the PTD denoting this. When this occurs, 
the receiving facility must handle the fuel appropriately (e.g., 
redesignate or downgrade any amount of fuel in that batch that does not 
meet the applicable sulfur standard), in accordance with the provisions 
of Sec. Sec.  80.527 and 80.599.

[69 FR 39188, June 29, 2004, as amended at 70 FR 40896, July 15, 2005; 
70 FR 70510, Nov. 22, 2005, as amended at 71 FR 25719, May 1, 2006; 75 
FR 22972, Apr. 30, 2010; 80 FR 9097, Feb. 19, 2015; 84 FR 69341, Dec. 
18, 2019]



Sec.  80.591  What are the product transfer document requirements
for additives to be used in diesel fuel?

    (a) Except as provided in paragraphs (b) and (d) of this section, on 
each occasion that any person transfers custody or title to a diesel 
fuel additive that is subject to the provisions of Sec.  80.521 to a 
party in the additive distribution system or in the diesel fuel 
distribution system for use downstream of the diesel fuel refiner, the 
transferor must provide to the transferee documents which identify the 
additive, and--
    (1) Identify the name and address of the transferor and transferee; 
the date of transfer; the location at which the transfer took place; the 
volume of additive transferred; and
    (2) Indicate compliance with the 15 ppm sulfur standard by inclusion 
of the following statement: ``The sulfur content of this diesel fuel 
additive does not exceed 15 ppm.''
    (b) On each occasion that any person transfers custody or title to a 
diesel fuel additive subject to the requirements of Sec.  80.521(b), to 
a party in the additive distribution system or in the diesel fuel 
distribution system for use in diesel fuel downstream of the diesel

[[Page 356]]

fuel refiner, the transferor must provide to the transferee documents 
which identify the additive, and do each of the following:
    (1) Identify the name and address of the transferor and transferee; 
the date of transfer; the location at which the transfer took place; the 
volume of additive transferred.
    (2) Indicate the high sulfur potential of the additive by inclusion 
of the following statement:

    This diesel fuel additive may exceed the federal 15 ppm sulfur 
standard. Improper use of this additive may result in non-complying 
diesel fuel.

    (3) If the additive package contains a static dissipater additive 
and/or red dye having a sulfur content greater than 15 ppm, a statement 
must be included which accurately describes the contents of the additive 
package pursuant to one of the following choices:
    (i) ``This diesel fuel additive contains a static dissipater 
additive having a sulfur content greater than 15 ppm.''
    (ii) ``This diesel fuel additive contains red dye having a sulfur 
content greater than 15 ppm.''
    (iii) ``This diesel fuel additive contains a static dissipater 
additive and red dye having a sulfur content greater than 15 ppm.''
    (4) Include the following information:
    (i) The additive package's maximum sulfur concentration.
    (ii) The maximum recommended concentration in volume percent for use 
of the additive package in diesel fuel.
    (iii) The contribution to the sulfur level of the fuel, in ppm, that 
would result if the additive package is used at the maximum recommended 
concentration.
    (c) Except for transfers of diesel fuel additives to truck carriers, 
retailers or wholesale purchaser-consumers, product codes may be used to 
convey the information required under paragraphs (a) and (b) of this 
section, if such codes are clearly understood by each transferee. Codes 
used to convey the statement in paragraph (a)(2) of this section must 
contain the number ``15'' and codes used to convey the statement in 
paragraph (b)(2) of this section must not contain such number.
    (d) For those diesel fuel additives which are sold in containers for 
use by the ultimate consumer of diesel fuel, each transferor must have 
displayed on the additive container, in a legible and conspicuous 
manner, either of the following statements, as applicable:
    (1) ``This diesel fuel additive complies with the federal low sulfur 
content requirements for use in diesel motor vehicles and nonroad 
engines.''; or
    (2) For those additives sold in containers for use by the ultimate 
consumer, with a sulfur content in excess of 15 ppm the following 
statement: ``This diesel fuel additive does not comply with federal 
ultra-low sulfur content requirements for use in model year 2007 and 
newer diesel motor vehicles or model year 2011 and newer diesel nonroad 
equipment engines.''

[69 FR 39189, June 29, 2004, as amended at 70 FR 40896, July 15, 2005; 
71 FR 25719, May 1, 2006]



Sec.  80.592  What records must be kept by entities in the motor
vehicle diesel fuel and diesel fuel additive distribution systems?

    (a) Records that must be kept by entities in the motor vehicle 
diesel fuel and diesel fuel additive distribution systems. Beginning 
June 1, 2006, or for a refiner or importer, the first compliance period 
in which the refiner or importer is generating early credits under Sec.  
80.531(b) or (c), whichever is earlier, any person who produces, 
imports, sells, offers for sale, dispenses, distributes, supplies, 
offers for supply, stores, or transports motor vehicle diesel fuel 
subject to the provisions of this subpart, must keep all the following 
records:
    (1) The applicable product transfer documents required under 
Sec. Sec.  80.590 and 80.591.
    (2) For any sampling and testing for sulfur content for a batch of 
motor vehicle diesel fuel produced or imported and subject to the 15 ppm 
sulfur standard or any sampling and testing for sulfur content as part 
of a quality assurance testing program, and any sampling and testing for 
cetane index, aromatics content, solvent yellow 124 content or dye 
solvent red 164 content of motor vehicle diesel fuel or motor vehicle 
diesel fuel additives:
    (i) The location, date, time and storage tank or truck 
identification for each sample collected;

[[Page 357]]

    (ii) The name and title of the person who collected the sample and 
the person who performed the testing; and
    (iii) The results of the tests for sulfur content (including, where 
applicable, the test results with and without application of the 
adjustment factor under Sec.  80.580(d)) and for cetane index or 
aromatics content (as applicable), and the volume of product in the 
storage tank or container from which the sample was taken.
    (3) The actions the party has taken, if any, to stop the sale or 
distribution of any motor vehicle diesel fuel found not to be in 
compliance with the sulfur standards specified in this subpart, and the 
actions the party has taken, if any, to identify the cause of any 
noncompliance and prevent future instances of noncompliance.
    (b) Additional records to be kept by refiners and importers of motor 
vehicle diesel fuel subject to hardship standards, small refiner 
standards and early credit provisions. Beginning June 1, 2006, or for a 
refiner or importer, the first compliance period in which the refiner or 
importer is generating early credits under Sec.  80.531(b) or (c), any 
refiner producing motor vehicle diesel fuel subject to the sulfur 
standard under Sec.  80.520(a)(1), for each of its refineries, and any 
importer importing such motor vehicle diesel fuel, shall keep records 
that include the following information for each batch of motor vehicle 
diesel fuel produced or imported:
    (1) The batch volume.
    (2) The batch number, assigned under the batch numbering procedures 
under Sec.  80.65(d)(3).
    (3) The date of production or import.
    (4) A record designating the batch as motor vehicle diesel fuel 
meeting the 500 ppm sulfur standard or as motor vehicle diesel fuel 
meeting the 15 ppm sulfur standard.
    (5) For foreign refiners, the designations and other records 
required to be kept under Sec.  80.620.
    (6) In the case of importers, the designations and other records 
required under Sec.  80.620(o).
    (7) Information regarding credits, kept separately for each calendar 
year compliance period, kept separately for each refinery and in the 
case of importers, kept separately for imports into each CTA, and 
designated as motor vehicle diesel fuel credits and kept separately from 
NRLM credits, as follows:
    (i) The number of credits in the refiner's or importer's possession 
at the beginning of the calendar year;
    (ii) The number of credits generated;
    (iii) The number of credits used;
    (iv) If any were obtained from or transferred to other parties, for 
each such other party, its name, its EPA refiner or importer 
registration number consistent with Sec.  80.593(d), in the case of 
credits generated by an importer the port and CTA of import of the 
diesel fuel that generated the credits, and the number obtained from, or 
transferred to, the other party;
    (v) The number in the refiner's or importer's possession that will 
carry over into the subsequent calendar year compliance period; and
    (vi) Commercial documents that establish each transfer of credits 
from the transferor to the transferee.
    (8) The calculations used to determine compliance with the volume 
requirements of this subpart.
    (9) The calculations used to determine the number of credits 
generated.
    (10) A copy of reports submitted to EPA under Sec.  80.593.
    (c) Additional records importers must keep. Any importer shall keep 
records that identify and verify the source of each batch of certified 
diesel fuel program foreign refiner DFR-Diesel and non-certified DFR-
Diesel imported and demonstrate compliance with the requirements under 
Sec.  80.620.
    (d) Length of time records must be kept. The records required in 
this section shall be kept for five years from the date they were 
created, except that records relating to credit transfers shall be kept 
by the transferor for 5 years from the date the credits were 
transferred, and shall be kept by the transferee for 5 years from the 
date the credits were transferred, used or terminated, whichever is 
later.
    (e) Make records available to EPA. On request by EPA, the records 
required in this section must be made available to the Administrator or 
the Administrator's representative. For records that are electronically 
generated or maintained, the equipment and software necessary to read 
the records shall be

[[Page 358]]

made available, or if requested by EPA, electronic records shall be 
converted to paper documents which shall be provided to the 
Administrator's authorized representative.
    (f) Additional records to be kept by aggregated facilities 
consisting of a refinery and a truck loading terminal. In addition to 
the records required by paragraph (a) of this section, such aggregated 
facilities must also keep the following records beginning June 1, 2006:
    (1) The following information for each batch of motor vehicle diesel 
fuel produced by the refinery and sent over the aggregated facility's 
truck rack:
    (i) The batch volume;
    (ii) The batch number, assigned under the batch numbering procedures 
under Sec. Sec.  80.65(d)(3) and 80.502(d)(1);
    (iii) The date of receipt or import;
    (iv) A record designating the batch as motor vehicle diesel fuel 
meeting the 500 ppm sulfur standard or as motor vehicle diesel fuel 
meeting the 15 ppm sulfur standard; and,
    (v) A record indicating the volumes that were either taxed, dyed, or 
dyed and marked.
    (2) Volume reports for all motor vehicle diesel fuel from external 
sources (i.e., from another refiner or importer), as described in Sec.  
80.601(f)(2), sent over the aggregated facility's truck rack.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39189, June 29, 2004; 70 
FR 70510, Nov. 22, 2005; 71 FR 25719, May 1, 2006]



Sec.  80.593  What are the reporting requirements for refiners and
importers of motor vehicle diesel fuel subject to temporary refiner
relief standards?

    Beginning with 2006, or the first compliance period during which 
credits are generated under Sec.  80.531(b) or (c), whichever is 
earlier, any refiner or importer who produces or imports motor vehicle 
diesel fuel subject to the 500 ppm sulfur standard under Sec.  
80.520(c), or any refiner or importer who generates, uses, obtains, or 
transfers credits under Sec. Sec.  80.530 through 80.532, and continuing 
for each year thereafter, must submit to EPA annual reports that contain 
the information required in this section, and such other information as 
EPA may require:
    (a) Refiners and importers. Refiners and importers must report the 
following information separately for each refinery or CTA, in the case 
of importers, subject to a phase-in sulfur standard, small refiner 
standard or temporary refiner relief sulfur standard, or who generates, 
uses or transfers credits under Sec. Sec.  80.530 through 80.532:
    (1) The refiner's name and the EPA refinery registration number.
    (2) For all motor vehicle diesel fuel produced for use in the United 
States during the compliance period:
    (i) The total volume of motor vehicle diesel fuel produced;
    (ii) The volume, in gallons, that complied with a sulfur content 
standard of 500 ppm; and
    (iii) The volume, in gallons, that complied with the 15 ppm sulfur 
content standard.
    (3) The percentage of the volume of motor vehicle diesel fuel 
produced during the compliance period that met the 15 ppm sulfur 
standard and the percentage that met the 500 ppm sulfur standard prior 
to the application of any volume credits.
    (4) The percentage of volume of motor vehicle diesel fuel produced 
meeting the 15 ppm sulfur standard after the inclusion of any credits.
    (5) Information regarding credits, separately for each refinery and 
for credits or debits related to imported motor diesel fuel, separately 
by importer and separately by CTA of import as follows:
    (i) The CTA of the refiner's refinery or the importer's or the 
foreign refiner's CTA and port of importation;
    (ii) The number of credits at the beginning of the compliance 
period;
    (iii) The number of credits generated;
    (iv) The number of credits used;
    (v) If any credits were obtained from or transferred to other 
refineries or import ports, for each other refinery or importer, its 
name, address (or Port) and CTA, EPA refinery or importer registration 
number, and the number of credits obtained from or transferred to the 
other refinery or importer (by import CTA);
    (vi) The number of credits, if any, that will carry over to the 
subsequent compliance period; and

[[Page 359]]

    (vii) The number of credits in deficit that must be made up for the 
following year;
    (6) The reporting requirements under Sec.  80.620, if applicable.
    (7) For each batch of motor vehicle diesel fuel produced or imported 
during the compliance period:
    (i) The batch number assigned using the batch numbering conventions 
under Sec.  80.65(d)(3) and the appropriate designation under Sec.  
80.598.
    (ii) The date the batch was produced; and
    (iii) The volume of the batch, in gallons.
    (8) When submitting reports under this paragraph (a), any importer 
shall exclude certified DFR-Diesel.
    (b) Additional reporting requirements for importers. Importers of 
motor vehicle diesel fuel subject to the 500 ppm sulfur standard must 
report the following information:
    (1) The importer's name and EPA registration number.
    (2) For each foreign refinery from which motor vehicle diesel fuel 
is imported that is subject to a sulfur standard under Sec.  80.520(c), 
the importer must report, for each batch of diesel fuel imported, the 
information required to be reported under Sec.  80.620(o).
    (c) Report submission. Any annual report required by this section 
shall be:
    (1) Signed and certified as meeting all the applicable requirements 
of this subpart by the owner or a responsible corporate officer of the 
refiner or importer; and
    (2) Submitted to EPA no later than August 31 for the prior annual 
compliance period.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39190, June 29, 2004; 70 
FR 70510, Nov. 22, 2005; 75 FR 22972, Apr. 30, 2010]



Sec.  80.594  What are the pre-compliance reporting requirements
for motor vehicle diesel fuel?

    (a) Except as provided in paragraph (d) of this section, beginning 
on June 1, 2003, and on June 1, 2004 and June 1, 2005, all refiners and 
importers planning to produce or import motor vehicle diesel fuel 
subject to the provisions of this subpart, shall submit the following 
information to EPA:
    (1) Any changes to the information submitted for the company 
registration;
    (2) Any changes to the information submitted for any refinery or 
import facility registration;
    (3) An estimate of the average daily volumes (in gallons) of each 
sulfur grade of motor vehicle diesel fuel produced (or imported) at each 
refinery (or import facility). These volume estimates must be provided 
both for fuel produced from crude oil, as well as any fuel produced from 
other sources, and must be provided for the periods of June 1, 2006 
through December 31, 2006, January 1, 2007 through December 31, 2007, 
January 1, 2008 through December 31, 2008, January 1, 2009 through 
December 31, 2009, and January 1, 2010 through May 31, 2010, for each 
refinery and import facility;
    (4) If expecting to participate in the temporary compliance options 
provisions and the credit trading program, estimates of the number of 
credits to be generated and/or used each year the program is applicable;
    (5) Information on project schedule by quarter of known or projected 
completion date by the stage of the project, for example, following the 
five project phases described in EPA's June 2002 Highway Diesel Progress 
Review report (EPA420-R-02-016, http://www.epa.gov/otaq/regs/hd2007/
420r02016.pdf): Strategic planning, Planning and front-end engineering, 
Detailed engineering and permitting, Procurement and construction, and 
Commissioning and startup;
    (6) Basic information regarding the selected technology pathway for 
compliance (e.g., conventional hydrotreating vs. other technologies, 
revamp vs. grassroots, etc.);
    (7) Whether capital commitments have been made or are projected to 
be made; and
    (8) The pre-compliance reports due 2004 and 2005 must provide an 
update of the progress in each of these areas.
    (b) Beginning on June 1, 2003, all approved motor vehicle diesel 
fuel small refiners shall submit the following additional information to 
EPA, as applicable:
    (1) In the case of a refinery with an approved application under 
Sec.  80.552(a):

[[Page 360]]

    (i) A showing that sufficient sources of 15 ppm motor vehicle diesel 
fuel will likely be available in its marketing area after June 1, 2006 
and through 2010;
    (ii) If after 2003 the sources of 15 ppm motor vehicle diesel fuel 
decrease, the pre-compliance reports for 2004 and/or 2005 must identify 
this change and must include a supplementary showing that the sources of 
15 ppm motor vehicle diesel fuel are still sufficient.
    (2) In the case of a refinery with an approved application under 
Sec.  80.552(c), a demonstration that by June 1, 2006, 95 percent of its 
motor vehicle diesel fuel will be at 15 ppm sulfur at a volume meeting 
the requirements of Sec.  80.553(e).
    (c) For each refiner and importer approved under Sec.  80.540, a 
demonstration that by June 1, 2006, 95 percent of its motor vehicle 
diesel fuel will be at 15 ppm sulfur at a volume of meeting the 
requirements of Sec.  80.540(e).
    (d) By July 1, 2006, each refiner and importer of motor vehicle 
diesel fuel shall submit a report to EPA stating that the production or 
importation of 15 ppm sulfur motor vehicle diesel fuel commenced by June 
1, 2006.
    (e) The pre-compliance reporting requirements of this section do not 
apply to refineries subject to the provisions of Sec.  80.513.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39190, June 29, 2004; 70 
FR 40896, July 15, 2005]



Sec.  80.595  How does a small or GPA refiner apply for a motor
vehicle diesel fuel volume baseline for the purpose of extending
their gasoline sulfur standards?

    (a) Any small refiner applying for an extension of the duration of 
its small refiner gasoline sulfur standards of Sec.  80.240, under 
Sec. Sec.  80.552(c) and 80.553, any small refiner applying to produce 
MVDF under Sec.  80.552(a), or any refiner applying for an extension of 
the duration of the GPA standards under Sec.  80.540 must apply for a 
motor vehicle diesel fuel volume baseline by December 31, 2001. A 
separate volume baseline must be sought for each refinery for which 
application of the provisions of Sec.  80.553 or Sec.  80.540 is sought.
    (b) The volume baseline must be sent via certified mail with return 
receipt or express mail with return receipt to the attention of ``Diesel 
Baseline'' to the address in Sec.  80.10(a).
    (c) The motor vehicle diesel fuel volume baseline application must 
include the following information:
    (1) A listing of the names and addresses of all refineries owned by 
the refiner for which the refiner is applying for a motor vehicle diesel 
fuel volume baseline.
    (2) The average annual volume (in gallons) of motor vehicle diesel 
fuel produced for U.S. use in 1998 and 1999, for each refinery for which 
the refiner is applying for such baseline, calculated in accordance with 
Sec.  80.596. The refiner shall follow the procedures, applicable to 
volume baselines and using motor vehicle diesel fuel instead of 
gasoline, specified in Sec. Sec.  80.91 through 80.93 to establish the 
volume of motor vehicle diesel fuel that was produced for U.S. use in 
1998 and 1999 for purposes of establishing a volume baseline under this 
section.
    (3) A letter signed by the president, chief operating, or chief 
executive officer of the company, or his/her delegate, stating that the 
information contained in the volume baseline determination is true to 
the best of his/her knowledge.
    (4) Name, address, phone number, facsimile number, and e-mail 
address (if available) of a corporate contact person.
    (5) The following information for each batch of motor vehicle diesel 
fuel produced for U.S. use in 1998 and 1999:
    (i) Batch number assigned to the batch under procedures such as 
those in Sec.  80.65(d) or Sec.  80.101(i), or, if unavailable, such 
other identifying information as is available; and
    (ii) Volume of the batch, in gallons.
    (6) For a refinery that was not in operation during part or all of 
the period 1998 and 1999, the information required under this paragraph 
(c) for the motor vehicle diesel fuel produced for U.S. use during the 
most recent calendar year that the refinery was in operation after the 
refinery was reactivated.
    (d) Within 120 days of receipt of an application under this section, 
EPA will notify the refiner of an approval of the refinery's baseline, 
or of any deficiencies in the application.

[[Page 361]]

    (e) If at any time the baseline submitted in accordance with the 
requirements of this section is determined to be incorrect, EPA will 
notify the refiner of the corrected baseline. The corrected baseline 
shall apply to all applicable compliance calculations under this 
subpart.
    (f)(1) If insufficient information is available for the 
Administrator to establish a baseline under the provisions of paragraph 
(c) of this section and Sec.  80.596(a), the refiner shall submit 
additional information sufficient for the Administrator to establish a 
baseline.
    (2) To satisfy the requirements of paragraph (f)(1) of this section, 
the Administrator may require, and consider, any information pertinent 
to establish a baseline, including:
    (i) Motor vehicle diesel fuel production volumes for other years;
    (ii) Crude capacity of the refinery;
    (iii) The ratio, or the typical ratio, for other similarly sized or 
configured refineries, between motor vehicle diesel fuel production and 
gasoline production.

[66 FR 5136, Jan. 18, 2001, as amended at 70 FR 40896, July 15, 2005; 85 
FR 7073, Feb. 6, 2020]



Sec.  80.596  How is a refinery motor vehicle diesel fuel volume
baseline calculated?

    (a) For purposes of this subpart, a refinery's motor vehicle diesel 
fuel volume baseline is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TR18JA01.007

Where:

Vbase = Volume baseline value, in gallons.
Vi = Volume of motor vehicle diesel fuel batch i, in gallons.
n = Total number of batches of motor vehicle diesel fuel produced for 
          U.S. use during January 1, 1998 through December 31, 1999 (or 
          the total number of batches of motor vehicle diesel fuel 
          produced during the most recent calendar year the refinery was 
          in operation after being reactivated pursuant to Sec.  
          80.595(c)(6)); or, for a foreign refinery, the total number of 
          batches of motor vehicle diesel fuel produced and imported 
          into the U.S. during January 1, 1998 through December 31, 1999 
          (or the total number of batches of motor vehicle diesel fuel 
          produced and imported into the U.S. during the most recent 
          calendar year the refinery was in operation after being 
          reactivated pursuant to Sec.  80.595(c)(6)).
i = Individual batch of motor vehicle diesel fuel produced during 
          January 1, 1998 through December 31, 1999 (or individual batch 
          of motor vehicle diesel fuel produced during the most recent 
          calendar year the refinery was in operation after being 
          reactivated pursuant to Sec.  80.595(c)(6)); or, for a foreign 
          refinery, individual batch of motor vehicle diesel fuel 
          produced and imported into the U.S. during January 1, 1998 
          through December 31, 1999 (or individual batch of motor 
          vehicle diesel fuel produced and imported into the U.S. during 
          the most recent calendar year the refinery was in operation 
          after being reactivated pursuant to Sec.  80.595(c)(6)).
m = Number of months in the baseline period (24 except in the case of a 
          startup or reactivation).

    (b) If insufficient information is available for the Administrator 
to establish a baseline under paragraph (a) of this section, the 
baseline may be determined under the provisions of Sec.  80.595(f).

[66 FR 5136, Jan. 18, 2001, as amended at 70 FR 40896, July 15, 2005]



Sec.  80.597  What are the registration requirements?

    The following registration requirements apply under this subpart:
    (a) Registration for motor vehicle diesel fuel. Refiners having any 
refinery that is subject to a sulfur standard under Sec.  80.520(a), and 
importers importing such diesel fuel, must provide EPA the information 
under Sec.  80.76, if such information has not been provided under the 
provisions of this part. In addition, for each import facility, the same 
identifying information as required for each refinery under Sec.  
80.76(c) must be provided.
    (b) Registration for NRLM diesel. Refiners and importers that intend 
to produce or supply NRLM diesel fuel by June 1, 2007, must provide EPA 
the information under Sec.  80.76 no later than December 31, 2005, if 
such information has not been provided under the provisions of this 
part. In addition, for each import facility, the same identifying 
information as required for each refinery under Sec.  80.76(c) must be 
provided.

[[Page 362]]

    (c) Registration for ECA marine fuel. Refiners and importers that 
intend to produce or supply ECA marine fuel beginning June 1, 2014, must 
provide EPA the information under Sec.  80.76 no later than December 31, 
2012, if such information has not been previously provided under the 
provisions of this part. In addition, for each import facility, the same 
identifying information as required for each refinery under Sec.  
80.76(c) must be provided.
    (d) Entity registration. (1) Except as prescribed in paragraph 
(d)(6) of this section, each entity as defined in Sec.  80.502 that 
intends to deliver or receive custody of any of the following fuels from 
June 1, 2006 through May 31, 2010, must register with EPA by December 
31, 2005, or six months prior to commencement of producing, importing, 
or distributing any distillate listed in paragraphs (d)(1)(i) through 
(d)(1)(iii) of this section:
    (i) Fuel designated as 500 ppm sulfur MVNRLM diesel fuel under Sec.  
80.598 on which taxes have not been assessed pursuant to IRS code (26 
CFR part 48).
    (ii) Fuel designated as 15 ppm sulfur MVNRLM diesel fuel under Sec.  
80.598 on which taxes have not been assessed pursuant to IRS code (26 
CFR part 48).
    (iii) Fuel designated as NRLM diesel fuel under Sec.  80.598 that is 
undyed pursuant to Sec.  80.520.
    (iv) Fuel designated as California Diesel fuel under Sec.  80.598 on 
which taxes have not been assessed and red dye has not been added (if 
required) pursuant to IRS code (26 CFR part 48) and that is delivered by 
pipeline to a terminal outside of the State of California pursuant to 
the provisions of Sec.  80.617(b).
    (2) Except as prescribed in paragraph (d)(6) of this section, each 
entity as defined in Sec.  80.502 that intends to deliver or receive 
custody of any of the following fuels from June 1, 2007, through May 31, 
2014, must register with EPA by December 31, 2005, or six months prior 
to commencement of producing, importing, or distributing any distillate 
listed in paragraph (d)(1) of this section:
    (i) Fuel designated as 500 ppm sulfur MVNRLM diesel fuel under Sec.  
80.598 on which taxes have not been assessed pursuant to IRS code (26 
CFR part 48).
    (ii) Fuel designated as NRLM diesel fuel under Sec.  80.598 that is 
undyed pursuant to Sec.  80.520.
    (iii) Fuel designated as heating oil under Sec.  80.598 that is 
unmarked pursuant to Sec.  80.510(d) through (f).
    (iv) Fuel designated as LM diesel fuel under Sec.  80.598(a)(2)(iii) 
that is unmarked pursuant to Sec.  80.510(e).
    (3) Except as prescribed in paragraph (d)(6) of this section, each 
entity as defined in Sec.  80.502 that intends to deliver or receive 
custody of any of the following fuels beginning June 1, 2014, must 
register with EPA by December 31, 2012, or prior to commencement of 
producing, importing, or distributing any distillate or residual fuel 
listed in this paragraph (d)(3):
    (i) Fuel designated as 1,000 ppm sulfur ECA marine fuel under Sec.  
80.598.
    (ii) Fuel designated as 500 ppm LM diesel fuel.
    (4) Registration shall be on forms prescribed by the Administrator, 
and shall include the name, business address, contact name, telephone 
number, e-mail address, and type of production, importation, or 
distribution activity or activities engaged in by the entity.
    (5) Registration shall include the information required under 
paragraph (e) of this section for each facility owned or operated by the 
entity that delivers or receives custody of a fuel described in 
paragraphs (d)(1) through (3) of this section.
    (6) Exceptions for Excluded Liquids. An entity that would otherwise 
be required to register pursuant to the requirements of paragraphs 
(d)(1) through (3) of this section is exempted from the registration 
requirements under this section provided that:
    (i) The only diesel fuel or heating oil that the entity delivers or 
receives on which taxes have not been assessed or which is not received 
dyed pursuant to IRS code 26 CFR part 48 is an excluded liquid as 
defined pursuant to IRS code 26 CFR 48.4081-1(b).
    (ii) The entity does not transfer the excluded liquid to a facility 
which delivers or receives diesel fuel other than an excluded liquid on 
which taxes have not been assessed pursuant to IRS code (26 CFR part 
48).

[[Page 363]]

    (e) Facility registration. (1) List for each separate facility of an 
entity required to register under paragraph (d) of this section, the 
facility name, physical location, contact name, telephone number, e-mail 
address and type of facility. For facilities that are aggregated under 
Sec.  80.502, provide information regarding the nature and location of 
each of the components. If aggregation is changed for any subsequent 
compliance period, the entity must provide notice to EPA prior to the 
beginning of such compliance period.
    (2) If facility records are kept off-site, list the off-site storage 
facility name, physical location, contact name, and telephone number.
    (3) Mobile facilities: (i) A description shall be provided in the 
registration detailing the types of mobile vessels that will likely be 
included and the nature of the operations.
    (ii) Entities may combine all mobile operations into one facility; 
or may split the operations by vessel, region, route, waterway, etc. and 
register separate mobile facilities for each.
    (iii) The specific vessels need not be identified in the 
registration, however information regarding specific vessel contracts 
shall be maintained by each registered entity for its mobile facilities, 
pursuant to Sec.  80.602(d).
    (f) Changes to registration information. Any company or entity shall 
submit updated registration information to the Administrator within 30 
days of any occasion when the registration information previously 
supplied for an entity, or any of its registered facilities, becomes 
incomplete or inaccurate.
    (g) Issuance of registration numbers. EPA will supply a registration 
number to each entity and a facility registration number to each of an 
entity's facilities that is identified, which shall be used in all 
reports to the Administrator.

[69 FR 39190, June 29, 2004, as amended at 70 FR 70510, Nov. 22, 2005; 
71 FR 25720, May 1, 2006; 75 FR 22972, Apr. 30, 2010; 77 FR 75880, Dec. 
26, 2012; 80 FR 9097, Feb. 19, 2015]



Sec.  80.598  What are the designation requirements for refiners, 
importers, and distributors?

    (a) Designation requirements for refiners and importers. (1) Any 
refiner or importer shall accurately and clearly designate all fuel it 
produces or imports for use in diesel motor vehicles as either motor 
vehicle diesel fuel meeting the 15 ppm sulfur standard under Sec.  
80.520(a)(1) or as motor vehicle diesel fuel meeting the 500 ppm sulfur 
standard under Sec.  80.520(c).
    (2) Subject to the restrictions in paragraph (a)(3) of this section, 
beginning June 1, 2006, any refiner or importer shall accurately and 
clearly designate each batch of diesel fuel or distillate fuel for which 
they transfer custody to another entity, according to the following 
categories, including specifying its volume:
    (i) Designate the fuel as one of the following fuel types:
    (A) Motor vehicle, nonroad, locomotive or marine (MVNRLM) diesel 
fuel.
    (B) Heating oil.
    (C) Jet fuel.
    (D) Kerosene.
    (E) No. 4 fuel.
    (F) Distillate fuel for export only.
    (G) Exempt distillate fuels such as distillate global marine fuels 
under Sec.  80.605, fuels that are covered by a national security 
exemption under Sec.  80.606, fuels that are used for purposes of 
research and development pursuant to Sec.  80.607, and fuels used in the 
U.S. Territories pursuant to Sec.  80.608 (including additional 
identifying information).
    (H) ECA marine fuel. This designation may be used beginning June 1, 
2014, and fuel designated as such is subject to the restrictions in 
paragraph (a)(3)(xv) of this section.
    (ii) From June 1, 2006 through May 31, 2014 any batch designated as 
MVNRLM diesel fuel must also be designated as one of the following:
    (A) Motor vehicle diesel fuel; or
    (B) NRLM diesel fuel.
    (iii) From June 1, 2010 through May 31, 2012 any batch designated as 
NRLM must also be designated as one of the following:
    (A) NR diesel fuel; or
    (B) LM diesel fuel.

[[Page 364]]

    (iv) Until June 1, 2014, any batch designated as MVNRLM diesel fuel 
must also be designated according to one of the following three sulfur 
level specifications:
    (A) 15 ppm if its sulfur content is less than or equal to 15 ppm.
    (B) 500 ppm if its sulfur content is less than or equal to 500 ppm.
    (C) High Sulfur if its sulfur content is greater than 500 ppm.
    (v) From June 1, 2006, through May 31, 2010, any batch designated as 
motor vehicle diesel fuel must also be designated according to one of 
the following distillation classifications that most accurately 
represents the fuel:
    (A) 1D.
    (B) 2D.
    (C) NP diesel (NP).
    (3) The following restrictions and clarifications apply:
    (i) Prior to June 1, 2006, any batch of MVNRLM not containing 
visible evidence of red dye under Sec.  80.520(b) must be designated as 
motor vehicle diesel fuel.
    (ii) Any distillate fuel containing visible evidence of dye may not 
be designated as motor vehicle diesel fuel unless it is further 
designated as tax exempt motor vehicle diesel fuel.
    (iii) Any distillate containing the marker required pursuant to the 
provisions of Sec.  80.510(d) through (f) must be designated as heating 
oil, except that from June 1, 2010 through May 31, 2012 it may also be 
designated as LM diesel fuel, pursuant to Sec.  80.510(e).
    (iv) Prior to June 1, 2009 all 15 ppm sulfur MVNRLM diesel fuel must 
be designated as motor vehicle diesel fuel. A refiner that has been 
approved as a NRLM diesel fuel small refiner under Sec.  80.551(g) and 
has elected to use the compliance option specified under Sec.  80.554(d) 
may also designate 15 ppm sulfur MVNRLM fuel as NRLM diesel fuel 
beginning June 1, 2006.
    (v) Beginning June 1, 2010 any distillate fuel having a sulfur 
content greater than 15 ppm may not be designated as motor vehicle 
diesel fuel.
    (vi) Beginning June 1, 2014, any distillate fuel having a sulfur 
content greater than 15 ppm may not be designated as MVNRLM diesel fuel.
    (vii) Any batch of 1D fuel which is suitable for use as MVNRLM and 
which is also suitable for use as kerosene or jet fuel (i.e., commonly 
referred to as dual use kerosene) may be designated as MVNRLM, kerosene, 
or jet fuel (as applicable).
    (viii) Beginning June 1, 2007, any distillate fuel with a sulfur 
content greater than 500 ppm distributed or intended for distribution in 
the area specified in Sec.  80.510(g)(1), may not be designated as 
MVNRLM diesel fuel.
    (ix) From June 1, 2010 through May 31, 2012, any distillate fuel 
with a sulfur content greater than 15 ppm distributed or intended for 
distribution in the area specified in Sec.  80.510(g)(1), may not be 
designated as NR diesel fuel.
    (x) From June 1, 2012 through May 31, 2014, any distillate fuel with 
a sulfur content greater than 15 ppm distributed or intended for 
distribution in the area specified in Sec.  80.510(g)(1), may not be 
designated as NRLM diesel fuel.
    (xi) Beginning June 1, 2007, any distillate fuel with a sulfur 
content greater than 500 ppm distributed or intended for distribution in 
the area specified in Sec.  80.510(g)(2) may not be designated as NRLM 
diesel fuel unless EPA has first approved a compliance plan for the 
refiner for segregating the fuel from all other types of NRLM diesel 
fuel from the refinery gate to the ultimate consumer, as specified under 
Sec.  80.554(a)(4).
    (xii) From June 1, 2010 through May 31, 2012, any distillate fuel 
with a sulfur content greater than 15 ppm distributed or intended for 
distribution in the area specified in Sec.  80.510(g)(2) may not be 
designated as NR diesel fuel unless EPA has first approved a compliance 
plan for the refiner for segregating the fuel from all other types of 
NRLM diesel fuel from the refinery gate to the ultimate consumer, as 
specified under Sec.  80.554(b)(4).
    (xiii) From June 1, 2012 through May 31, 2014, any distillate fuel 
with a sulfur content greater than 15 ppm distributed or intended for 
distribution in the area specified in Sec.  80.510(g)(2) may not be 
designated as NRLM diesel fuel unless, EPA has first approved a 
compliance plan for the refiner for segregating the fuel from all other 
types of NRLM diesel fuel from the refinery gate to the ultimate 
consumer, as specified under Sec.  80.554(b)(4).

[[Page 365]]

    (xiv) Beginning June 1, 2014, any distillate fuel with a sulfur 
content greater than 15 ppm may not be designated as MVNRLM diesel fuel.
    (xv) Beginning June 1, 2014, any fuel designated as ECA marine fuel 
will be subject to all the following restrictions:
    (A) Such fuel may not exceed a sulfur level of 1,000 ppm.
    (B) Such fuel may only be produced, distributed, sold, and purchased 
for use in C3 marine vessels.
    (b) Designation requirements for fuel distributors. (1) Pursuant to 
the provisions of paragraphs (b)(2) through (b)(9) of this section, 
beginning June 1, 2006, any distributor shall accurately and clearly 
designate each batch of diesel fuel or distillate fuel for which they 
transfer custody to another facility, including specifying its volume, 
as specified in this paragraph (b). Distributors must also accurately 
and clearly classify such diesel fuel and distillate fuel by sulfur 
content, while it is in their custody between receipt and delivery.
    (2) From June 1, 2006 through May 31, 2009, whenever custody of a 
batch of 15 ppm sulfur motor vehicle diesel fuel is transferred to 
another facility, the entity transferring custody must accurately and 
clearly designate the batch as one of the following and specify its 
volume:
    (i) 1D 15 ppm sulfur motor vehicle diesel fuel.
    (ii) 2D 15 ppm sulfur motor vehicle diesel fuel.
    (iii) Fuel that meets the requirements specified in Sec.  80.616 
which is transferred by a pipeline facility to a terminal facility 
outside of the State of California pursuant to Sec.  80.617(b) may be 
designated as California diesel fuel. Such fuel must subsequently be 
redesignated by the receiving terminal as either 1D or 2D 15 ppm motor 
vehicle diesel fuel, or segregated for delivery by tank truck to a 
retail or wholesale purchaser consumer facility inside the State of 
California pursuant to Sec.  80.617(b)(2).
    (iv) NP 15 ppm sulfur motor vehicle diesel fuel.
    (3) From June 1, 2009 through May 31, 2010, whenever custody of a 
batch of 15 ppm sulfur MVNRLM diesel fuel is transferred to another 
facility, the entity transferring custody must accurately and clearly 
designate the batch as one of the following and specify its volume:
    (i) 1D 15 ppm sulfur motor vehicle diesel fuel.
    (ii) 2D 15 ppm sulfur motor vehicle diesel fuel.
    (iii) 15 ppm sulfur NRLM diesel fuel.
    (iv) Fuel that meets the requirements specified in Sec.  80.616 that 
is transferred by a pipeline facility to a terminal facility outside of 
the State of California pursuant to Sec.  80.617(b) may be designated as 
California diesel fuel. Such fuel must either be redesignated by the 
receiving terminal as either 1D or 2D 15 ppm motor vehicle diesel fuel 
as prescribed in paragraph (b)(9)(xvi) of this section, or segregated 
for delivery by tank truck to a retail or wholesale purchaser consumer 
facility inside the State of California pursuant to Sec.  80.617(b)(2).
    (v) NP 15 ppm sulfur motor vehicle diesel fuel.
    (4) From June 1, 2006 through May 31, 2010, whenever custody of a 
batch of undyed, 500 ppm sulfur MVNRLM is transferred to another 
facility, the entity transferring custody must accurately and clearly 
designate the batch as one of the following and specify its volume:
    (i) 1D 500 ppm sulfur motor vehicle diesel fuel.
    (ii) 2D 500 ppm sulfur motor vehicle diesel fuel.
    (iii) 500 ppm sulfur NRLM diesel fuel.
    (iv) NP 500 ppm sulfur motor vehicle diesel fuel.
    (5) From June 1, 2007 through May 31, 2010, whenever custody of a 
batch of distillate fuel (other than jet fuel, kerosene, No. 4 fuel, or 
fuel for export) having a sulfur content greater than 500 ppm is 
transferred to another facility, the entity transferring custody must 
accurately and clearly designate the batch as one of the following and 
specify its volume:
    (i) High sulfur NRLM diesel fuel (HSNRLM);
    (ii) Heating oil; or
    (iii) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607,

[[Page 366]]

and fuels used in the U.S. Territories pursuant to Sec.  80.608 
(including additional identifying information).
    (6) From June 1, 2010 through May 31, 2012, whenever custody of a 
batch of distillate fuel (other than jet fuel, kerosene, No. 4 fuel, or 
fuel for export) having a sulfur content greater than 15 ppm is 
transferred to another facility, the entity transferring custody must 
accurately and clearly designate the batch as one of the following and 
specify its volume:
    (i) 500 ppm sulfur NR diesel fuel;
    (ii) 500 ppm sulfur LM diesel fuel;
    (iii) Heating oil; or
    (iv) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (7) From June 1, 2012 through May 31, 2014, whenever custody of a 
batch of distillate fuel (other than jet fuel, kerosene, No. 4 fuel, or 
fuel for export) having a sulfur content greater than 15 ppm is 
transferred to another facility, the entity transferring custody must 
accurately and clearly designate the batch as one of the following and 
specify its volume:
    (i) 500 ppm sulfur NRLM diesel fuel.
    (ii) Heating oil.
    (iii) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (8) Beginning June 1, 2014, whenever custody of a batch of 
distillate or residual fuel (other than jet fuel, kerosene, No. 4 fuel, 
fuel for export, fuel intended for use outside an ECA, or fuel otherwise 
allowed to be used under 40 CFR part 1043) having a sulfur content 
greater than 15 ppm is transferred to another facility, the entity 
transferring custody must accurately and clearly designate the batch as 
one of the following and specify its volume:
    (i) ECA marine fuel.
    (ii) Heating oil.
    (iii) Exempt distillate fuels such as distillate global marine fuels 
under Sec.  80.605, fuels that are covered by a national security 
exemption under Sec.  80.606, fuels that are used for purposes of 
research and development pursuant to Sec.  80.607, and fuels used in the 
U.S. Territories pursuant to Sec.  80.608 (including additional 
identifying information).
    (9) The following restrictions and clarifications apply. Subject to 
the provisions of this paragraph (b)(9) and subject to the dye and 
marker provisions of Sec.  80.520(b) and Sec.  80.510(d) through (f), 
when custody of a batch of distillate fuel is transferred, the 
designation provided by the entity transferring custody pursuant to 
paragraphs (b)(1) through (b)(8) of this section may be different from 
the designation of the fuel when that same entity received custody.
    (i) Any 500 ppm sulfur diesel fuel designated under this paragraph 
(b) and containing visible evidence of red dye may not be designated as 
motor vehicle diesel fuel.
    (ii) Until June 1, 2014, any distillate fuel containing greater than 
or equal to 0.10 milligrams per liter of marker solvent yellow 124 
required under Sec.  80.510(d), (e), or (f) must be designated as 
heating oil except that from June 1, 2010, through November 30, 2012, it 
may also be designated as LM diesel fuel as specified under Sec.  
80.510(e).
    (iii) Any batch of 1D fuel which is suitable for use as MVNRLM 
diesel fuel and which is also suitable for use as kerosene or jet fuel 
(i.e., commonly referred to as dual use kerosene) may be designated as 
either MVNRLM diesel fuel, kerosene, or jet fuel (as applicable).
    (iv) Any MVNRLM diesel fuel with a sulfur content of 500 ppm or less 
in inventory as of June 1, 2007 may be designated as motor vehicle 
diesel fuel.
    (v) Batches or portions of batches of fuel received designated as 15 
ppm sulfur 2D motor vehicle diesel fuel may be re-designated as 500 ppm 
sulfur motor vehicle diesel fuel, but only in accordance with the 
limitations of Sec.  80.527(c).
    (vi) Batches or portions of batches received designated as 500 ppm 
sulfur NRLM diesel fuel may be re-designated

[[Page 367]]

as 500 ppm sulfur motor vehicle diesel fuel by a truck loading terminal 
only if the terminal maintains a neutral or positive balance at the end 
of each quarterly compliance period on their motor vehicle diesel fuel 
volume from June 1, 2006 as calculated in Sec.  80.599(b)(4).
    (vii) Batches or portions of batches received designated as 500 ppm 
sulfur NRLM diesel fuel may be re-designated as 500 ppm sulfur motor 
vehicle diesel fuel by a facility other than a truck loading terminal 
only if the following restrictions are met:
    (A) At the end of each annual compliance period, the facility has a 
neutral or positive balance on its motor vehicle diesel fuel volume from 
June 1, 2007 as calculated in Sec.  80.599(b)(4); and
    (B) At the end of each annual compliance period, the facility's 
balance for motor vehicle diesel fuel volume, from the beginning of the 
compliance period must be less than two percent of the total volume of 
motor vehicle diesel fuel received during the compliance period, as 
calculated in Sec.  80.599(b)(5).
    (viii) For facilities in areas other than those specified in Sec.  
80.510(g)(1) and (2), batches or portions of batches of unmarked 
distillate received designated as heating oil may be re-designated as 
NRLM or LM diesel fuel only if all the following restrictions are met:
    (A) From June 1, 2007, through May 31, 2010, for any compliance 
period, the volume of high sulfur NRLM diesel fuel delivered from a 
facility cannot be greater than the volume received, unless the volume 
of heating oil delivered from the facility is also greater than the 
volume it received by an equal or greater proportion, as calculated in 
Sec.  80.599(c)(2).
    (B) From June 1, 2010, through May 31, 2014, for any compliance 
period, the volume of fuel designated as heating oil delivered from a 
facility cannot be less than the volume of fuel designated as heating 
oil received, as calculated in Sec.  80.599(c)(4).
    (ix) For facilities in areas other than those specified in Sec.  
80.510(g)(1) and (g)(2), from June 1, 2010 through May 31, 2012, batches 
or portions of batches received designated as 500 ppm LM diesel fuel may 
be redesignated as 500 ppm NR diesel fuel only if for any compliance 
period the following restrictions are met:
    (A) The volume of fuel designated as 500 ppm sulfur NR diesel fuel 
delivered from the facility cannot be greater than the volume received 
as calculated in Sec.  80.599(d)(2)(i); or
    (B) The volume of fuel designated as 500 ppm sulfur NR diesel fuel 
delivered from the facility in relation to the volume received is not a 
greater proportion than the volume of fuel designated as 500 ppm sulfur 
LM diesel fuel delivered from the facility in relation to the volume 
received, as calculated in Sec.  80.599(d)(2)(ii).
    (x) Notwithstanding the provisions of paragraphs (b)(5) and (8) of 
this section, beginning October 1, 2007:
    (A) No distillate fuel with a sulfur content greater than 500 ppm 
distributed or intended for distribution in the areas specified in Sec.  
80.510(g)(1) and (g)(2), may be designated as NRLM diesel fuel, 
including LM diesel fuel except as provided in paragraph (b)(9)(xiii) of 
this section; and
    (B) Distillate fuel with a sulfur content greater than 500 ppm 
distributed from within the areas specified in Sec.  80.510(g)(1) and 
(g)(2) to areas outside these areas is subject to the provisions of 
paragraph (b)(5) of this section.
    (xi) Notwithstanding the provisions of paragraphs (b)(6) through 
(b)(8) of this section, beginning October 1, 2010--
    (A) No distillate fuel with a sulfur content greater than 15 ppm 
distributed or intended for distribution in the areas specified in Sec.  
80.510(g)(1) and (g)(2), may be designated as NR diesel fuel, except as 
provided in paragraph (b)(9)(xiv) of this section; and
    (B) Distillate fuel with a sulfur content greater than 15 ppm 
distributed from within the areas specified in Sec.  80.510(g)(1) and 
(g)(2) to areas outside these areas is subject to the provisions of 
paragraphs (b)(6) through (b)(7) of this section.
    (xii) Notwithstanding the provisions of paragraphs (b)(7) and (8) of 
this section, beginning October 1, 2012--
    (A) No distillate fuel with a sulfur content greater than 15 ppm 
distributed or intended for distribution in the areas specified in Sec.  
80.510(g)(1) and

[[Page 368]]

(g)(2), may be designated as NRLM diesel fuel, including LM diesel fuel, 
except as provided in paragraph (b)(9)(xv) of this section; and
    (B) Distillate fuel with a sulfur content greater than 15 ppm 
distributed from within the areas specified in Sec.  80.510(g)(1) and 
(g)(2) to areas outside these areas is subject to the provisions of 
paragraphs (b)(7) and (8) of this section.
    (xiii) From June 1, 2007 through September 30, 2010, in the area 
specified in Sec.  80.510(g)(2) only segregated batches of distillate 
fuel received designated as HSNRLM diesel fuel may be distributed 
designated as HSNRLM diesel fuel and must remain segregated from fuel 
with any other designations unless otherwise approved by EPA in a 
refiner compliance plan under Sec.  80.554(a)(4).
    (xiv) From June 1, 2010 through September 30, 2012, in the area 
specified in Sec.  80.510(g)(2) only segregated batches of distillate 
fuel received designated as 500 ppm sulfur NR diesel fuel may be 
distributed designated as 500 ppm sulfur NR diesel fuel and must remain 
segregated from fuel with any other designations and from any other 500 
ppm sulfur NRLM diesel fuel from any other sources, except as approved 
by EPA in a refiner compliance plan under Sec.  80.554(a)(4).
    (xv) From June 1, 2012 through September 30, 2014, in the area 
specified in Sec.  80.510(g)(2) only segregated batches of distillate 
fuel received designated as 500 ppm sulfur NRLM diesel fuel may be 
distributed designated as 500 ppm sulfur NRLM diesel fuel and must 
remain segregated from fuel with any other designations and from any 
other 500 ppm sulfur NRLM diesel fuel from any other sources, except as 
approved by EPA in a refiner compliance plan under Sec.  80.554(a)(4).
    (xvi) Fuel designated as California diesel fuel under paragraph 
(b)(3)(iv) of this section that is received by a terminal facility 
pursuant to the provisions of Sec.  80.617(b)(1) must be redesignated as 
either 1D or 2D 15 ppm motor vehicle diesel fuel as prescribed in 
paragraph (b)(9)(xvi) of this section, or segregated for delivery by 
tank truck to a retail or wholesale purchaser consumer facility inside 
the State of California pursuant to Sec.  80.617(b)(2).
    (c) Notwithstanding the provisions of paragraph (b) of this section, 
an entity is not required to designate heating oil that is delivered 
from a facility that only receives heating oil which is marked pursuant 
to Sec.  80.510(d) through (f).
    (d) Notwithstanding the provisions of paragraph (b)(4) of this 
section, an entity is not required to designate 500 ppm sulfur MVNRLM 
diesel fuel that is delivered from a facility that only receives 500 ppm 
sulfur MVNRLM diesel fuel on which taxes have been paid or into which 
red dye has been added pursuant to Sec.  80.520(b).
    (e) Notwithstanding the provisions of paragraph (b)(6) of this 
section, an entity is not required to designate 500 ppm sulfur LM diesel 
fuel that is delivered from a facility that only receives 500 ppm sulfur 
LM diesel fuel which is marked pursuant to Sec.  80.510(e).
    (f) Any entity that is both a distributor and a refiner or importer 
must comply with the provisions of paragraph (a) of this section for all 
distillate fuel produced or imported, and the provisions of paragraph 
(b) of this section for all distillate fuel for which it acted as 
distributor but not refiner or importer.
    (g) No refiner, importer, or distributor may use the designation 
provisions of this section to circumvent the standards or requirements 
of Sec.  80.510, 80.511, or 80.520.

[69 FR 39191, June 29, 2004, as amended at 70 FR 70511, Nov. 22, 2005; 
71 FR 25720, May 1, 2006; 75 FR 22973, Apr. 30, 2010; 77 FR 61294, Oct. 
9, 2012; 84 FR 69341, Dec. 18, 2019]



Sec.  80.599  How do I calculate volume balances for designation purposes?

    (a) Quarterly compliance periods. The quarterly compliance periods 
are shown in the following table:

------------------------------------------------------------------------
  Beginning date of quarterly compliance      Ending date of quarterly
                  period                          compliance period
------------------------------------------------------------------------
June 1, 2006..............................  September 30, 2006.
October 1, 2006...........................  December 31, 2006.
January 1, 2007...........................  March 31, 2007.
April 1, 2007.............................  May 31, 2007.
June 1, 2007..............................  September 30, 2007.
October 1, 2007...........................  December 31, 2007.
January 1, 2008...........................  March 31, 2008.
April 1, 2008.............................  June 30, 2008.
July 1, 2008..............................  September 30, 2008.

[[Page 369]]

 
October 1, 2008...........................  December 31, 2008.
January 1, 2009...........................  March 31, 2009.
April 1, 2009.............................  June 30, 2009.
July 1, 2009..............................  September 30, 2009.
October 1, 2009...........................  December 31, 2009.
January 1, 2010...........................  March 31, 2010.
April 1, 2010.............................  May 31, 2010.
June 1, 2010..............................  September 30, 2010.
------------------------------------------------------------------------

    (1) The annual compliance periods are shown in the following table:

------------------------------------------------------------------------
                                                Ending date of annual
Beginning date of annual compliance period        compliance period
------------------------------------------------------------------------
June 1, 2006..............................  May 31, 2007.
June 1, 2007..............................  June 30, 2008.
July 1, 2008..............................  June 30, 2009.
July 1, 2009..............................  May 31, 2010.
June 1, 2010..............................  June 30, 2011.
July 1, 2011..............................  May 31, 2012.
June 1, 2012..............................  June 30, 2013.
July 1, 2013..............................  May 31, 2014.
------------------------------------------------------------------------

    (2) [Reserved]
    (b) Volume balance for motor vehicle diesel fuel. (1) A facility's 
motor vehicle diesel fuel volume balance is calculated as follows:

MVB = MVI-MVO-MVINVCHG

Where:

MVB = the volume balance for motor vehicle diesel fuel for the 
          compliance period.
MVI = the total volume of all batches of fuel designated as 
          motor vehicle diesel fuel received for the compliance period. 
          Any motor vehicle diesel fuel produced by or imported into the 
          facility shall also be included in this volume.
MVO = the total volume of all batches of fuel designated as 
          motor vehicle diesel fuel delivered for the compliance period.
MVINVCHG = the total volume of 15 ppm sulfur and 500 ppm 
          sulfur motor vehicle diesel fuel in inventory at the end of 
          the compliance period minus the total volume of 15 ppm sulfur 
          and 500 ppm sulfur motor vehicle diesel fuel in inventory at 
          the beginning of the compliance period, including accounting 
          for any corrections in inventory due to volume swell or 
          shrinkage, difference in measurement calibration between 
          receiving and delivering meters, and similar matters, where 
          corrections that increase inventory are defined as positive.

    (2) Calculate the motor vehicle diesel fuel received, as follows:

MVI = MV15I + MV500I

Where:

MV15I = the total volume of all the batches of fuel 
          designated as 15 ppm sulfur motor vehicle diesel fuel received 
          for the compliance period. Any motor vehicle diesel fuel 
          produced by or imported into the facility shall also be 
          included in this volume. Any untaxed and undyed California 
          diesel fuel received by a terminal pursuant to Sec.  80.617 
          (b)(1) shall be included in this volume.
MV500I = the total volume of all batches of fuel designated 
          as 500 ppm sulfur motor vehicle diesel fuel received for the 
          compliance period. Any motor vehicle diesel fuel produced by 
          or imported into the facility shall also be included in this 
          volume.

    (3) Calculate the motor vehicle diesel fuel delivered, as follows:

MVO = MV15O + MV500O

Where:

MV15O = the total volume of all batches of fuel designated as 
          15 ppm sulfur motor vehicle diesel fuel and delivered during 
          the compliance period.
MV500O = the total volume of all batches of fuel designated 
          as 500 ppm sulfur motor vehicle diesel fuel and delivered 
          during the compliance period.

    (4) The neutral or positive volume balance required for purposes of 
compliance with Sec.  80.598(b)(9)(vi) and (b)(9)(vii)(A) means that the 
net balance of motor vehicle diesel fuel in inventory as of the end of 
the last day of the compliance period (MVNBE) must be greater 
than or equal to zero. MVNBE is defined by the following equation:

MVNBE = MV15BINV + MV500BINV + 
[Sigma]MVB

Where:

MV15BINV = the total volume of fuel designated as 15 ppm 
          sulfur motor vehicle diesel fuel in inventory at the beginning 
          of the program on June 1, 2006.
MV500BINV = the total volume of fuel designated as 500 ppm 
          sulfur motor vehicle diesel fuel in inventory at the beginning 
          of the program on June 1, 2006. Any 2D 500 ppm sulfur MVNRLM 
          in inventory at the beginning of the program on June 1, 2006 
          may be designated as motor vehicle diesel fuel.
[Sigma]MVB = the sum of the balances for motor vehicle diesel fuel for 
          the current compliance period and previous compliance periods.


[[Page 370]]


    (5) The volume balance required for purposes of compliance with 
Sec.  80.598(b)(9)(vii)(B) means:

-MVB <=0.02 x MVI

    (6) Calculations in paragraphs (b)(4) and (b)(5) of this section may 
be combined for all facilities wholly owned by an entity.
    (7) For purposes of calculations in paragraphs (b)(1) through (b)(5) 
of this section, for batches of fuel received from facilities without an 
EPA facility ID, any batches of fuel received on which taxes have been 
paid pursuant to IRS code (26 CFR part 48) shall be deemed to be 
MV15I or MV500I as appropriate for purposes of 
this paragraph.
    (c) Volume balance for high sulfur NRLM diesel fuel and heating oil. 
(1) A facility's high sulfur NRLM balance is calculated as follows:

HSNRLMB = HSNRLMII - HSNRLMO - 
HSNRLMINVCHG

Where:

HSNRLMB = the balance for high sulfur NRLM diesel fuel for the 
          compliance period.
HSNRLMI = the total volume of all batches of fuel designated 
          as high sulfur NRLM received diesel fuel for the compliance 
          period. Any high sulfur NRLM produced by or imported into the 
          facility shall also be included in this volume.
HSNRLMO = the total volume of all batches of fuel designated 
          as high sulfur NRLM diesel fuel delivered for the compliance 
          period.
HSNRLMINVCHG = the volume of high sulfur NRLM diesel fuel in 
          inventory at the end of the compliance period minus the volume 
          of high sulfur NRLM diesel fuel in inventory at the beginning 
          of the compliance period, including accounting for any 
          corrections in inventory due to volume swell or shrinkage, 
          difference in measurement calibration between receiving and 
          delivering meters, and similar matters, where corrections that 
          increase inventory are defined as positive.

    (2) The volume balance required for purposes of compliance with 
Sec.  80.598(b)(9)(viii)(A) means one of the following:

(i) HSNRLMB =0

(ii) (HSNRLMO + HSNRLMINVCHG) / HSNRLMI 
<=(HOO + HOINVCHG) / HOI

    (3) A facility's heating oil volume balance is calculated as 
follows:

HOB = HOI - HOO - HOINVCHG

Where:

HOB = the balance for heating oil for the compliance period.
HOI = the total volume of all batches of fuel designated as 
          heating oil received for the compliance period. Any heating 
          oil produced by or imported into the facility shall also be 
          included in this volume.
HOO = the total volume of all batches of fuel designated as 
          heating oil delivered to all downstream entities for the 
          compliance period.
HOINVCHG = the volume of heating oil in inventory at the end 
          of the compliance period minus the volume of heating oil in 
          inventory at the beginning of the compliance period, including 
          accounting for any corrections in inventory due to volume 
          swell or shrinkage, difference in measurement calibration 
          between receiving and delivering meters, and similar matters, 
          where corrections that increase inventory are defined as 
          positive.

    (4) The volume balance required for purposes of compliance with 
Sec.  80.598(b)(9)(viii)(B) means:

HOB <=0

    (5) Calculations in paragraphs (c)(3) and (c)(4) of this section may 
be combined for all facilities wholly owned by an entity.
    (6) For purposes of calculations in paragraphs (c)(1) through (c)(4) 
of this section, for batches of fuel received from facilities without an 
EPA facility ID, any batches of fuel received marked pursuant to Sec.  
80.510(d) or (f) shall be deemed to be HOI, any batches of 
fuel received marked pursuant to Sec.  80.510(e) shall be deemed to be 
HOI or LM500I, any diesel fuel with less than or 
equal to 500 ppm sulfur that is dyed pursuant to Sec.  80.520(b) and not 
marked pursuant to Sec.  80.510(d) or (f) shall be deemed to be NRLM 
diesel fuel, and any diesel fuel with less than or equal to 500 ppm 
sulfur which is dyed pursuant to Sec.  80.520(b) and not marked pursuant 
to Sec.  80.510(e) shall be deemed to be NR diesel fuel.
    (d) Volume balance for NR diesel fuel. (1) A facility's 500 ppm 
nonroad diesel fuel balance is calculated as follows:

NR500B = NR500I - NR500O - NR500INVCHG

Where:

NR500B = the balance for 500 ppm sulfur NR diesel fuel for the 
          compliance period.

[[Page 371]]

NR500I = the total volume of all batches of fuel designated 
          as 500 ppm sulfur NR diesel fuel received for the compliance 
          period. Any 500 ppm sulfur NR diesel fuel produced by or 
          imported into the facility shall also be included in this 
          volume.
NR500O = the total volume of all batches of fuel designated 
          as 500 ppm sulfur NR diesel fuel delivered for the compliance 
          period.
NR500INVCHG = the volume of 500 ppm sulfur NR diesel fuel in 
          inventory at the end of the compliance period minus the volume 
          of 500 ppm sulfur NR diesel fuel in inventory at the beginning 
          of the compliance period, and accounting for any corrections 
          in inventory due to volume swell or shrinkage, difference in 
          measurement calibration between receiving and delivering 
          meters, and similar matters, where corrections that increase 
          inventory are defined as positive.

    (2) The volume balance required for purposes of compliance with 
Sec.  80.598(b)(9)(ix) means one of the following:

(i) NR500B =0

(ii) (NR500O + NR500INVCHG) / NR500I 
<=(LM500O + LM500INVCHG) / LM500I.

Where:

LM500I = the total volume of all batches of fuel designated 
          as 500 ppm sulfur LM diesel fuel received for the compliance 
          period. Any 500 ppm sulfur LM diesel fuel produced by or 
          imported into the facility shall also be included in this 
          volume.
LM500O = the total volume of all batches of fuel designated 
          as 500 ppm sulfur LM diesel fuel delivered for the compliance 
          period.
LM500INVCHG = the volume of 500 ppm sulfur LM diesel fuel in 
          inventory at the end of the compliance period minus the volume 
          of 500 ppm sulfur LM diesel fuel in inventory at the beginning 
          of the compliance period, and accounting for any corrections 
          in inventory due to volume swell or shrinkage, difference in 
          measurement calibration between receiving and delivering 
          meters, and similar matters, where corrections that increase 
          inventory are defined as positive.

    (e) Anti-downgrading for motor vehicle diesel fuel. (1) A facility 
must satisfy the provisions in either paragraphs (e)(2), (e)(3), (e)(4), 
or (e)(5) of this section to comply with the anti-downgrading limitation 
of paragraph Sec.  80.527(c)(1), for the annual compliance periods 
defined in Sec.  80.527(c)(3).
    (2) The volume of 2D 15 ppm sulfur motor vehicle delivered must 
meet the following requirement:

(2MV15O + 2MV15INVCHG) =0.8 * 
2MV15I

Where:

2MV15O = the total volume of fuel delivered during the 
          compliance period that is designated as 2D 15 ppm sulfur 
          motor vehicle diesel fuel.
2MV15INVCHG = the total volume of diesel fuel designated as 
          2D 15 ppm sulfur motor vehicle diesel fuel in inventory at 
          the end of the compliance period minus the total volume of 2D 
          15 ppm sulfur motor vehicle diesel fuel in inventory at the 
          beginning of the compliance period, and accounting for any 
          corrections in inventory due to volume swell or shrinkage, 
          difference in measurement calibration between receiving and 
          delivering meters, and similar matters, where corrections that 
          increase inventory are defined as positive.
2MV15I = the total volume of fuel received during the 
          compliance period that is designated as 2D 15 ppm sulfur 
          motor vehicle diesel fuel. Any untaxed and undyed California 
          diesel fuel received by a terminal pursuant to Sec.  
          80.617(b)(1) shall be included in this volume.

    (3) The volume of 2D 500 ppm sulfur motor vehicle diesel fuel 
delivered must meet the following requirement:

2MV500O <=2MV500I - 2MV500INVCHG + 
0.2 * 2MV15I

Where:

2MV500O = the total volume of fuel delivered during the 
          compliance period that is designated as 2D 500 ppm sulfur 
          motor vehicle diesel fuel.
2MV500I = the total volume of fuel received during the 
          compliance period that is designated as 2D 500 ppm sulfur 
          motor vehicle diesel fuel.
2MV500INVCHG = the total volume of diesel fuel designated as 
          2D 500 ppm sulfur motor vehicle diesel fuel in inventory at 
          the end of the compliance period minus the total volume of 2D 
          500 ppm sulfur motor vehicle diesel fuel in inventory at the 
          beginning of the compliance period, and accounting for any 
          corrections in inventory due to volume swell or shrinkage, 
          difference in measurement calibration between receiving and 
          delivering meters, and similar matters, where corrections that 
          increase inventory are defined as positive.


[[Page 372]]


    (4) The following calculation may be used to account for wintertime 
blending of kerosene and the blending of non-petroleum diesel:

2MV500O<=2MV500I + 2MV500P - 
2MV500INVCHG + 0.2 * (1MV15I + 
2MV15I + NPMV15I)

Where:

1MV15I = the total volume of fuel received during the 
          compliance period that is designated as 1D 15 ppm sulfur 
          motor vehicle diesel fuel. Any motor vehicle diesel fuel 
          produced by or imported into the facility shall not be 
          included in this volume.
NPMV15I = the total volume of fuel received during the 
          compliance period that is designated as NP15 ppm sulfur motor 
          vehicle diesel fuel. Any motor vehicle diesel fuel produced by 
          or imported into the facility shall not be included in this 
          volume.
1MV15P = the total volume of fuel produced by or imported 
          into the facility during the compliance period that was 
          designated as 1D 15 ppm sulfur motor vehicle diesel fuel when 
          it was delivered.

    (5) The following calculation may be used to account for wintertime 
blending of kerosene, the blending of non-petroleum diesel, and/or 
changes in the facility's volume balance of motor vehicle diesel fuel 
resulting from a temporary shift of 500 ppm sulfur NRLM diesel fuel to 
500 ppm sulfur motor vehicle diesel fuel during the compliance period:

2MV500O <2MV500I + 2MV500P - 
2MV500INVCHG + 0.2 * 2MV15I + 1MV15B 
+ 2NRLM500S + NPB

Where:

1MV15B = the total volume of fuel received during the 
          compliance period that is designated as 1D 15 ppm sulfur 
          motor vehicle diesel fuel and that the facility can 
          demonstrate they blended into 2D 500 ppm sulfur motor vehicle 
          diesel fuel. Any motor vehicle diesel fuel produced by or 
          imported into the facility shall not be included in this 
          volume.
2MV500P = the total volume of fuel produced by or imported 
          into the facility during the compliance period that was 
          designated as 2MV 500 ppm sulfur motor vehicle diesel fuel 
          when it was delivered.
2NRLM500S = the total volume of 2D 500 ppm sulfur NRLM 
          diesel fuel that the facility can demonstrate they 
          redesignated as 2D 500 ppm sulfur motor vehicle diesel fuel 
          during the compliance period.
NPB = the total volume of fuel received during the compliance 
          period that is designated as NP15 ppm sulfur motor vehicle 
          diesel fuel, and/or NP500 ppm sulfur motor vehicle diesel fuel 
          which the facility can demonstrate they blended into 2D 500 
          ppm sulfur motor vehicle diesel fuel.

    (f) Inventory adjustments. Adjustments to inventory under this 
section must be based on normal business practices for the industry, 
appropriate physical plant operations and use of good engineering 
judgments.
    (g) Unique circumstances. EPA may, at its discretion, grant a fuel 
distributor's application to modify its inventory of motor vehicle 
diesel fuel, NRLM diesel fuel, or heating oil for a given compliance 
period. EPA may grant an application to address unique circumstances, 
where appropriate, such as the start up of a new pipeline or pipeline 
segment.
    (h) Additional requirements for aggregated facilities consisting of 
a refinery and a truck loading terminal. In addition to the volume 
balance requirements required by paragraphs (a) through (g) of this 
section, aggregated facilities consisting of a refinery and a truck 
loading terminal are responsible for balance calculations on the volume 
difference between the total volume of diesel fuel sold over the truck 
loading terminal rack and the production volume from the batch reports. 
Mathematically, the difference will be the volume of fuel received from 
external sources and passed through to another facility.

[69 FR 39194, June 29, 2004, as amended at 70 FR 40896, July 15, 2005; 
70 FR 70511, Nov. 22, 2005; 71 FR 25720, May 1, 2006; 75 FR 22974, Apr. 
30, 2010]



Sec.  80.600  What records must be kept for purposes of the designate
and track provisions?

    (a) In addition to the requirements of Sec.  80.592 and Sec.  
80.602, the following recordkeeping requirements shall apply to refiners 
and importers:
    (1) Any refiner or importer shall maintain the records specified in 
paragraphs (a)(6) through (a)(10) of this section for each batch of 
distillate fuel that it transfers custody of and designates during the 
time period from

[[Page 373]]

June 1, 2006 through May 31, 2010, with the following categories:
    (i) 1D 15 ppm sulfur motor vehicle diesel fuel;
    (ii) 2D 15 ppm sulfur motor vehicle diesel fuel;
    (iii) 15 ppm sulfur NRLM diesel fuel;
    (iv) 1D 500 ppm sulfur motor vehicle diesel fuel;
    (v) 2D 500 ppm sulfur motor vehicle diesel fuel;
    (vi) 500 ppm sulfur NRLM diesel fuel;
    (vii) NP 15 ppm sulfur motor vehicle diesel fuel;
    (viii) NP 500 ppm sulfur motor vehicle diesel fuel; or,
    (ix) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (2) Any refiner or importer shall maintain the records specified in 
paragraphs (a)(6) through (a)(10) of this section for each batch of 
distillate fuel that it transfers custody of and designates during the 
time period from June 1, 2007 through May 31, 2010 with the following 
categories:
    (i) High sulfur NRLM diesel fuel; or
    (ii) Heating oil.
    (3) Any refiner or importer shall maintain the records specified in 
paragraphs (a)(6) through (a)(10) of this section for each batch of 
distillate fuel that it transfers custody of and designates during the 
time period from June 1, 2010 through May 31, 2012 with the following 
categories:
    (i) 500 ppm sulfur NR diesel fuel;
    (ii) 500 ppm sulfur LM diesel fuel;
    (iii) Heating oil; or
    (iv) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (4) Any refiner or importer shall maintain the records specified in 
paragraphs (a)(6) through (a)(10) of this section for each batch of 
distillate fuel that it transfers custody of and designates during the 
time period from June 1, 2012 through May 31, 2014 with the following 
categories:
    (i) 500 ppm sulfur NRLM diesel fuel;
    (ii) Heating oil; or
    (iii) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (5) Any refiner or importer shall maintain the records specified in 
paragraphs (a)(6) through (10) of this section for each batch of 
distillate or residual fuel that it transfers custody of and designates 
from June 1, 2014, and later as any of the following categories:
    (i) Heating oil.
    (ii) ECA marine fuel.
    (6) The records for each batch with designations identified in 
paragraphs (a)(1) through (a)(5) of this section must clearly and 
accurately identify the batch number (including an indication as to 
whether the batch was received into the facility, produced by the 
facility, imported into the facility, or delivered from the facility), 
date and time of day (if multiple batches are delivered per day) that 
custody was transferred, the designation, the volume in gallons of the 
batch, and the name and the EPA entity and facility registration number 
of the facility to whom such batch was transferred.
    (7) Any refiner or importer shall, for each of its facilities, 
maintain records that clearly and accurately identify the total volume 
in gallons of designated fuel identified in paragraphs (a)(1) through 
(a)(5) of this section transferred over each compliance period. The 
records shall be maintained separately for each fuel designated in 
paragraphs (a)(1) through (a)(5) of this section, and for each EPA 
entity and facility registration number to whom custody of the fuel was 
transferred.
    (8) Notwithstanding the provisions of paragraphs (a)(6) and (a)(7) 
of this section, records of batches delivered of 500 ppm sulfur motor 
vehicle diesel fuel on which taxes have been paid per Section 4082 of 
the Internal Revenue Code (26 U.S.C. 4082) and of 500 ppm sulfur NRLM 
diesel fuel into which dye has

[[Page 374]]

been added per Section 4082 of the Internal Revenue Code (26 U.S.C. 
4082), and of 500 ppm sulfur LM diesel fuel which has been properly 
marked pursuant to Sec.  80.510(e) are not required to be maintained 
separately for each entity and facility to which the fuel was delivered.
    (9) Notwithstanding the provisions of paragraphs (a)(6) and (a)(7) 
of this section, records of heating oil batches delivered that have been 
properly marked pursuant to Sec.  80.510(d) through (f) and records of 
LM diesel fuel batches delivered that have been properly marked pursuant 
to Sec.  80.510(e) are not required to be maintained separately for each 
entity and facility to which the fuel was delivered.
    (10) Any refiner or importer shall maintain copies of all product 
transfer documents required under Sec.  80.590. If all information 
required in paragraph (a)(6) of this section is on the product transfer 
document for a batch, then the provisions of this paragraph (a)(10) 
shall satisfy the requirements of paragraph (a)(6) of this section for 
that batch.
    (11) Any refiner or importer shall maintain records related to 
annual compliance calculations performed under Sec.  80.599 and to 
information required to be reported to the Administrator under Sec.  
80.601.
    (12) Records must be maintained that demonstrate compliance with a 
refiner's compliance plan required under Sec.  80.554, for distillate 
fuel designated as high sulfur NRLM diesel fuel and delivered from June 
1, 2007 through May 31, 2010, for distillate fuel designated as 500 ppm 
sulfur NR diesel fuel and delivered from June 1, 2010, through May 31, 
2012, and for distillate fuel designated as 500 ppm sulfur NRLM diesel 
fuel and delivered from June 1, 2012, through May 31, 2014, in the areas 
specified in Sec.  80.510(g)(2).
    (13) Refiners and importers who also receive fuel from another 
facility must also comply with the requirements of paragraph (b) of this 
section separately for those volumes.
    (b) In addition to the requirements of Sec.  80.592 and Sec.  
80.602, the following recordkeeping requirements shall apply to 
distributors:
    (1) Any distributor shall maintain the records specified in 
paragraphs (b)(2) through (b)(10) of this section for each batch of 
distillate fuel with the following designations for which custody is 
received or delivered as well as any batches produced. Records shall be 
kept separately for each of its facilities.
    (i) For each facility that receives or distributes 2D 15 ppm sulfur 
motor vehicle diesel fuel or 2D 500 ppm sulfur motor vehicle diesel 
fuel, records for each batch of diesel fuel with the following 
designations for which custody is received or delivered during the time 
period from June 1, 2006 through May 31, 2007:
    (A) 1D 15 ppm sulfur motor vehicle diesel fuel;
    (B) 2D 15 ppm sulfur motor vehicle diesel fuel;
    (C) 1D 500 ppm sulfur motor vehicle diesel fuel;
    (D) 2D 500 ppm sulfur motor vehicle diesel fuel;
    (E) California diesel fuel as defined in Sec.  80.616 which is 
transferred out of the State of California pursuant to the provisions of 
Sec.  80.617(b);
    (F) NP 15 ppm sulfur motor vehicle diesel fuel;
    (G) NP 500 ppm sulfur motor vehicle diesel fuel; or
    (H) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (ii) For each facility, records for each batch of diesel fuel with 
the following designations for which custody is received or delivered as 
well as any batches produced during the time period from June 1, 2007 
through May 31, 2010:
    (A) 1D 15 ppm sulfur motor vehicle diesel fuel;
    (B) 2D 15 ppm sulfur motor vehicle diesel fuel;
    (C) 1D 500 ppm sulfur motor vehicle diesel fuel;
    (D) 2D 500 ppm sulfur motor vehicle diesel fuel;
    (E) 500 ppm sulfur NRLM diesel fuel;
    (F) 15 ppm sulfur NRLM diesel fuel;

[[Page 375]]

    (G) High sulfur NRLM diesel fuel;
    (H) Heating oil;
    (I) California diesel fuel as defined in Sec.  80.616 which is 
transferred out of the State of California pursuant to the provisions of 
Sec.  80.617(b);
    (J) NP 15 ppm sulfur motor vehicle diesel fuel;
    (K) NP 500 ppm sulfur motor vehicle diesel fuel; or
    (L) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (iii) For each facility that receives unmarked fuel designated as NR 
diesel fuel, LM diesel fuel or heating oil, records for each batch of 
diesel fuel with the following designations for which custody is 
received or delivered as well as any batches produced during the time 
period from June 1, 2010 through May 31, 2012:
    (A) 500 ppm sulfur NR diesel fuel;
    (B) 500 ppm sulfur LM diesel fuel;
    (C) Heating oil; or
    (D) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (iv) For each facility that receives unmarked fuel designated as 
heating oil, records for each batch of diesel fuel with the following 
designations for which custody is received or delivered as well as any 
batches produced during the time period from June 1, 2012 through May 
31, 2014:
    (A) 500 ppm sulfur NRLM diesel fuel;
    (B) Heating oil; or
    (C) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (v) For each facility that receives fuel designated as heating oil, 
records for each batch of distillate or residual fuel with any of the 
following designations for which custody is received or delivered as 
well as any batches produced from June 1, 2014, and beyond:
    (A) 1,000 ppm sulfur ECA marine fuel.
    (B) Heating oil.
    (C) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (vi) From June 1, 2007 through May 31, 2010, for those facilities in 
the areas specified in Sec.  80.510(g)(2) that receive unmarked fuel 
designated as high sulfur NRLM diesel fuel:
    (A) High sulfur NRLM diesel fuel;
    (B) Heating oil; or
    (C) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (vii) From June 1, 2010 through May 31, 2012, for those facilities 
in the areas specified in Sec.  80.510(g)(2) that receive unmarked fuel 
designated as 500 ppm sulfur NR diesel fuel, 500 ppm sulfur LM diesel 
fuel, or heating oil:
    (A) 500 ppm sulfur NR diesel fuel;
    (B) 500 ppm sulfur LM diesel fuel;
    (C) Heating oil; or
    (D) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories pursuant to Sec.  80.608 (including 
additional identifying information).
    (viii) From June 1, 2012 through May 31, 2014, for those facilities 
in the areas specified in Sec.  80.510(g)(2) that receive unmarked fuel 
designated as 500 ppm sulfur NRLM diesel fuel or heating oil.
    (A) 500 ppm sulfur NRLM diesel fuel;
    (B) Heating oil; or
    (C) Exempt distillate fuels such as fuels that are covered by a 
national security exemption under Sec.  80.606, fuels that are used for 
purposes of research and development pursuant to Sec.  80.607, and fuels 
used in the U.S. Territories

[[Page 376]]

pursuant to Sec.  80.608 (including additional identifying information).
    (2) Records that for each batch clearly and accurately identify the 
batch number (including an indication as to whether the batch was 
received into the facility, produced by the facility, imported into the 
facility, or delivered from the facility), date and time of day (if 
multiple batches are delivered per day) that custody was transferred, 
the designation, the volume in gallons of each batch of each fuel, and 
the name and the EPA entity and facility registration number of the 
facility to whom or from whom such batch was transferred.
    (3) Records that clearly and accurately identify the total volume in 
gallons of each designated fuel identified under paragraph (b)(1) of 
this section transferred over each of the compliance periods, and over 
the periods from June 1, 2006 to the end of each compliance period. The 
records shall be maintained separately for each fuel designated under 
paragraph (b)(1) of this section, and for each EPA entity and facility 
registration number from whom the fuel was received or to whom it was 
delivered. For batches of fuel received from facilities without an EPA 
facility registration number:
    (i) Any batches of fuel received marked pursuant to Sec.  80.510(d) 
or (f) shall be deemed to be designated as heating oil.
    (ii) Any batches of fuel received marked pursuant to Sec.  80.510(e) 
shall be deemed to be designated as heating oil or LM diesel fuel.
    (iii) Any batches of fuel received on which taxes have been paid 
pursuant to Section 4082 of the Internal Revenue Code (26 CFR 48.4082) 
shall be deemed to be designated as motor vehicle diesel fuel.
    (iv) Any 500 ppm sulfur diesel fuel dyed pursuant to Sec.  80.520(b) 
and not marked pursuant to Sec.  80.510(d) or (f) shall be deemed to be 
designated as NRLM diesel fuel.
    (v) Any diesel fuel with less than or equal to 500 ppm sulfur which 
is dyed pursuant to Sec.  80.520(b) and not marked pursuant to Sec.  
80.510(e) shall be deemed to be NR diesel fuel.
    (vi) Beginning June 1, 2014, any batches of fuel with greater than 
15 ppm sulfur, but less than or equal to 1,000 ppm sulfur, and not 
designated as heating oil shall be deemed to be 1,000 ppm ECA marine 
fuel.
    (4) Notwithstanding the provisions of paragraphs (b)(2) and (b)(3) 
of this section, for batches of 500 ppm sulfur motor vehicle diesel fuel 
delivered on which taxes have been paid per Section 4082 of the Internal 
Revenue Code (26 U.S.C. 4082) and 500 ppm sulfur NRLM diesel fuel into 
which red dye has been added per Section 4082 of the Internal Revenue 
Code (26 U.S.C. 4082), records are not required to be maintained 
separately for each entity or facility to whom fuel was delivered.
    (5) Notwithstanding the provisions of paragraphs (b)(2) and (b)(3) 
of this section, for batches of heating oil delivered that are marked 
pursuant to Sec.  80.510(d) through (f), records do not need to identify 
the EPA entity or facility registration number to which fuel was 
delivered.
    (6) Notwithstanding the provisions of paragraphs (b)(2) and (b)(3) 
of this section, for batches of LM diesel fuel delivered that are marked 
pursuant to Sec.  80.510(e), records do not need to identify the EPA 
entity or facility registration number to which fuel was delivered.
    (7) Records that clearly and accurately reflect the beginning and 
ending inventory volume for each of the fuels for which records must be 
kept under paragraph (b)(1) of this section. Such records shall be 
maintained separately by each entity and facility consistent with the 
compliance periods defined in Sec. Sec.  80.598 and 80.599.
    (8) (i) If adjustments are made to inventory, the records must 
include detailed information related to the amount, type of, and reason 
for such adjustment.
    (ii) If adjustments are made because of measurement error or 
variation, the records must include the adjustment made, the meter or 
gauge or other reading(s), and the name of the person who took such 
reading(s) and or applied the adjustment.
    (9) For distributors that are required to keep records under 
paragraphs (b)(1) through (b)(8) of this section for truck loading 
terminals, records related to

[[Page 377]]

quarterly or annual compliance calculations, as applicable, performed 
under Sec.  80.599 and to information required to be reported to the 
Administrator under Sec.  80.601.
    (10) For distributors that are required to keep records under 
paragraphs (b)(1) through (b)(8) of this section for facilities other 
than truck loading terminals, records related to annual compliance 
calculations performed under Sec.  80.599 and to information required to 
be reported to the Administrator under Sec.  80.601.
    (c) Notwithstanding the provisions of paragraph (b) of this section, 
records of heating oil received are not required to be maintained for 
facilities that do not receive any heating oil which is unmarked 
pursuant to Sec.  80.510(d) through (f), or LM diesel fuel which is 
unmarked pursuant to Sec.  80.510(e).
    (d) Notwithstanding the provisions of paragraph (b) of this section, 
records of 500 ppm sulfur MVNRLM diesel fuel received are not required 
to be maintained for facilities that do not receive any motor vehicle 
diesel fuel for which taxes have not already been paid pursuant to 
Section 4082 of the Internal Revenue Code (26 U.S.C. 4082) or NRLM 
diesel fuel which is undyed pursuant to Sec.  80.520(b).
    (e) The provisions of paragraphs (b)(1)(iii) and (iv) of this 
section do not apply to facilities located in the areas specified in 
Sec.  80.510(g)(1) and (g)(2) unless they deliver marked heating oil or 
LM diesel fuel to areas outside the areas specified in Sec.  
80.510(g)(1) and (g)(2).
    (f) Ultimate consumers that receive any batch of high sulfur NRLM 
diesel fuel beginning June 1, 2007 in areas listed in Sec.  80.510(g)(2) 
must maintain records of each batch of fuel received for use in NRLM 
equipment pursuant to the compliance plan provisions of Sec.  80.554, 
unless otherwise allowed by EPA.
    (g) Ultimate consumers that receive any batch of 500 ppm sulfur NR 
diesel fuel beginning June 1, 2010 or NRLM diesel fuel beginning June 1, 
2012 in the areas listed in Sec.  80.510(g)(2) must maintain records of 
each batch of fuel received for use in NR or NRLM equipment, as 
appropriate, pursuant to the compliance plan provisions of Sec.  80.554, 
unless otherwise allowed by EPA.
    (h) For purposes of this section, each portion of a shipment of 
designated distillate fuel under this section that is differently 
designated from any other portion, even if shipped as fungible product 
having the same sulfur content, shall be a separate batch.
    (i) Additional records that must be kept by mobile facilities. Any 
registered mobile facility must keep records of all contracts from any 
contracted components (e.g., tank truck, barge, marine tanker, rail car, 
etc.) in each of its registered mobile facilities.
    (j) The records required in this section must be made available to 
the Administrator or the Administrator's designated representative upon 
request.
    (k) Notwithstanding the provisions of this section, product transfer 
documents must be maintained under the provisions of Sec. Sec.  80.590, 
80.592, and 80.602.
    (l) The records required in this section must be kept for five years 
after they are required to be collected.
    (m) Identifications of fuel designations can be limited to a sub-
designation that accurately identifies the fuel and do not need to also 
include the broader designation. For example, NR diesel fuel does not 
also need to be designated as NRLM or MVNRLM diesel fuel.
    (n) Notwithstanding the provisions of paragraphs (b)(2) and (b)(3) 
of this section, for batches of 15 ppm sulfur motor vehicle diesel fuel 
or California diesel fuel under Sec.  80.617(b) on which taxes have been 
paid per Section 4082 of the Internal Revenue Code (26 U.S.C. 4082), and 
15 ppm sulfur NRLM diesel fuel or California diesel fuel under Sec.  
80.617(b) into which red dye has been added per Section 4082 of the 
Internal Revenue Code (26 U.S.C. 4082), records are not required to be 
maintained separately for each entity or facility to whom fuel was 
delivered.
    (o) In addition to the requirements of Sec. Sec.  80.592 and 80.602, 
the following recordkeeping requirements shall apply to aggregated 
facilities consisting of a refinery and truck loading terminal:
    (1) Any aggregated facility consisting of a refinery and truck 
loading terminal shall maintain records of all the following information 
for each batch of

[[Page 378]]

distillate fuel (and/or residual fuel with a sulfur level of 1,000 ppm 
or less that is intended for use in an ECA) produced by the refinery and 
sent over the aggregated facility's truck loading terminal rack:
    (i) The batch volume.
    (ii) The batch number, assigned under the batch numbering procedures 
under Sec. Sec.  80.65(d)(3) and 80.502(d)(1).
    (iii) The date of production.
    (iv) A record designating the batch as distillate or residual fuel 
meeting the 500 ppm, 15 ppm, or 1,000 ppm ECA marine sulfur standard.
    (v) A record indicating the volumes that were either taxed, dyed, or 
dyed and marked.
    (2) Volume reports for all distillate fuel (and/or residual fuel 
with a sulfur level of 1,000 ppm or less that is intended for use in an 
ECA) from external sources (i.e., from another refiner or importer), as 
described in Sec.  80.601(f)(2), sent over the aggregated facility's 
truck rack.

[69 FR 39196, June 29, 2004, as amended at 70 FR 40898, July 15, 2005; 
70 FR 70511, Nov. 22, 2005; 71 FR 25721, May 1, 2006; 75 FR 22974, Apr. 
30, 2010]



Sec.  80.601  What are the reporting requirements for purposes of
the designate and track provisions?

    (a) Quarterly compliance period reports. Beginning February 28, 2007 
and continuing through August 31, 2010, each entity required to register 
under Sec.  80.597 and to maintain records under Sec.  80.600 must 
report the following information separately for each of its facilities 
to the Administrator as specified in paragraph (d)(1) of this section 
except as provided in paragraph (e) of this section.
    (1) Separately for each fuel designation category specified in 
paragraphs (a)(1)(i) and (a)(1)(ii) of this section and separately for 
each transferee facility, the total volume in gallons of distillate fuel 
designated under Sec.  80.598 for which custody was delivered by the 
reporting facility to any other entity or facility, and the EPA entity 
and facility registration number(s), as applicable, of the transferee.
    (i) Beginning with the first compliance period and continuing up to 
and including the compliance period that starts April 1, 2007, fuel 
designated as 15 ppm or 500 ppm motor vehicle diesel fuel, or California 
diesel fuel as defined in Sec.  80.616 which is distributed outside the 
State of California pursuant to Sec.  80.617(b).
    (ii) Beginning with the compliance period that starts June 1, 2007 
and continuing up to and including the final reporting period, all fuel 
designation categories.
    (2) Separately for each designation category specified in paragraphs 
(a)(2)(i) and (a)(2)(ii) of this section and separately for each 
transferor facility, the total volume in gallons of distillate fuel 
designated under Sec.  80.598 for which custody was received by the 
reporting facility, and the EPA entity and facility registration 
number(s), as applicable, of the transferor.
    (i) Beginning with the first compliance period and continuing up to 
and including the compliance period that starts April 1, 2007, fuel 
designated as 15 ppm or 500 ppm motor vehicle diesel fuel, or California 
diesel fuel as defined in Sec.  80.616 which is distributed outside the 
State of California pursuant to Sec.  80.617(b).
    (ii) Beginning with the compliance period that starts June 1, 2007 
and continuing up to and including the final reporting period, all fuel 
designation categories.
    (3) Any entity that receives custody of distillate fuel from another 
entity or facility that does not have an EPA facility identification 
number must report such batches as follows:
    (i) Any batch of distillate fuel for which custody is received and 
which is marked pursuant to Sec.  80.510(d) or (f) shall be deemed 
designated as heating oil, any batch of distillate fuel for which 
custody is received and which is marked pursuant to Sec.  80.510(e) 
shall be deemed designated as heating oil or LM diesel fuel as 
applicable, and the report shall include that information under that 
designation.
    (ii) Any batch of distillate fuel for which custody is received and 
for which taxes have been paid pursuant to Section 4082 of the Internal 
Revenue Code (26 U.S.C. 4082) shall be deemed designated as motor 
vehicle diesel fuel and the report shall include it under that 
designation.

[[Page 379]]

    (iii) Any batch of 500 ppm sulfur diesel fuel dyed pursuant to Sec.  
80.520(b) and not marked pursuant to Sec.  80.510(d) and (f), and for 
which custody is received, shall be deemed designated as NRLM diesel 
fuel and the report shall include it under that designation.
    (iv) Any batch of 500 ppm sulfur diesel fuel dyed pursuant to Sec.  
80.520(b) and not marked pursuant to Sec.  80.510(e), and for which 
custody is received, shall be deemed designated as NR diesel fuel and 
the report shall include it under that designation.
    (4) In the case of truck loading terminals, the results of all 
compliance calculations required under Sec.  80.599, and including:
    (i) The total volumes received of each fuel designation required to 
be reported in paragraphs (a)(1) through (a)(3) of this section over the 
quarterly compliance period.
    (ii) The total volumes delivered of each fuel designation required 
to be reported in paragraphs (a)(1) through (a)(3) of this section over 
the quarterly compliance period.
    (iii) The total volumes produced or imported at the facility of each 
fuel designation required to be reported in paragraphs (a)(1) through 
(a)(3) of this section over the quarterly compliance period.
    (iv) Beginning and ending inventories of each fuel designation 
required to be reported in paragraphs (a)(1) through(a)(3) of this 
section over the quarterly compliance period.
    (v) The volume balance under Sec. Sec.  80.599(b)(4) and 
80.598(b)(9)(vi).
    (vi) Beginning with the compliance period starting June 1, 2007, the 
volume balance under Sec. Sec.  80.599(c)(2) and 80.598(b)(9)(viii)(A).
    (b) Annual reports. Beginning August 31, 2007, all entities required 
to register under Sec.  80.597 and to maintain records for batches of 
fuel under Sec.  80.600 must report the following information separately 
for each of its facilities to the Administrator on an annual basis, as 
specified in paragraph (d)(2) of this section except as provided in 
paragraph (e) of this section.
    (1) Separately for each designation category for which records are 
required to be kept under Sec.  80.600 and separately for each 
transferor facility;
    (i) The total volume in gallons of distillate fuel designated under 
Sec.  80.598 for which custody was received by the reporting facility, 
and the EPA entity and facility registration number(s), as applicable, 
of the transferor; and
    (ii) The total volume in gallons of distillate fuel designated under 
Sec.  80.598 which was produced or imported by the reporting facility.
    (2) Separately for each designation category for which records are 
required to be kept under Sec.  80.600 and separately for each 
transferee facility, the total volume in gallons of distillate fuel 
designated under Sec.  80.598 for which custody was delivered by the 
reporting facility to any other entity or facility, and the EPA entity 
and facility registration number(s), as applicable, of the transferee 
except as provided under Sec.  80.600(a)(7), (a)(8), (b)(4), and (b)(5).
    (3) The results of all compliance calculations required under Sec.  
80.599, and including:
    (i) The total volumes in gallons received of each fuel designation 
required to be reported in paragraph (b)(1) of this section over the 
applicable annual compliance period.
    (ii) The total volumes produced or imported at the facility of each 
fuel designation required to be reported in paragraph (b)(1) of this 
section over the quarterly compliance period.
    (iii) The total volumes in gallons delivered of each fuel 
designation required to be reported in paragraph (b)(2) of this section 
over the applicable annual compliance period.
    (iv) Beginning and ending inventories of each fuel designation 
required to be reported in paragraphs (b)(1) and (b)(2) of this section 
for the annual compliance period.
    (v) In the areas specified in Sec.  80.510(g)(2), for fuel 
designated as high sulfur NRLM diesel fuel delivered from June 1, 2007 
through May 31, 2010, for fuel designated as 500 ppm NR diesel fuel 
delivered from June 1, 2010 through May 31, 2012, and for fuel 
designated as 500 ppm sulfur NRLM diesel fuel from June 1, 2012 through 
May 31, 2014, the refiner must report all information required under its 
compliance plan approved pursuant to Sec.  80.554(a)(4) and (b)(4) and 
including the ultimate consumers to whom each batch of fuel was

[[Page 380]]

delivered and the total delivered to each ultimate consumer for the 
compliance period.
    (vi) Ending with the report due August 31, 2010, the volume balance 
under Sec.  80.598(b)(9)(vi) and Sec.  80.599(b)(4).
    (vii) Ending with the report due August 31, 2010, the volume balance 
under Sec.  80.598(b)(9)(vii) and Sec.  80.599(b)(5), if applicable.
    (viii) Ending with the report due August 31, 2010, the volume 
balance under Sec.  80.598(b)(9)(viii)(A) and Sec.  80.599(c)(2).
    (ix) Beginning with the report due August 31, 2010, the volume 
balance under Sec.  80.598(b)(8)(viii)(B) and Sec.  80.599(c)(4).
    (x) Beginning with the report due August 31, 2011, and ending with 
the report due August 31, 2012, the volume balance under Sec. Sec.  
80.598(b)(9)(ix) and 80.599(d)(2).
    (4) In the case of aggregated facilities consisting of a refinery 
and truck loading terminal, the results of annual compliance 
calculations under Sec.  80.598 for any distillate fuel received from an 
external source on which taxes have not been assessed and is not dyed 
and/or marked that the refinery will be handing off to another party, 
rather than selling over the truck loading terminal rack.
    (c) Additional information. The Administrator may request any 
additional information necessary to determine compliance with the 
requirements of Sec. Sec.  80.598 and 80.599.
    (d) Submission of reports for quarterly and annual compliance 
periods. (1) All quarterly reports shall be submitted to the 
Administrator for the compliance periods defined in Sec.  80.599(a)(1) 
as follows:
    (i) The reports for the first and second quarterly compliance 
periods covering June 1, 2006 to September 30, 2006 and October 1, 2006 
to December 31, 2006 respectively shall be submitted by February 28, 
2007.
    (ii) The reports for the third and fourth quarterly compliance 
periods covering January 1, 2007 to March 31, 2007 and April 1, 2007 to 
May 31, 2007 respectively shall be submitted by August 31, 2007.
    (iii) The report for the fifth quarterly compliance period covering 
June 1, 2007 to September 30, 2007 shall be submitted by November 30, 
2007.
    (iv) The report for the sixth quarterly compliance period covering 
October 1, 2007 to December 31, 2007 shall be submitted by February 28, 
2008.
    (v) The reports for the quarterly compliance periods beginning with 
the first period in 2008 up to and including the first period in 2010 
shall be submitted as follows:
    (A) The report for the period covering January 1 to March 31 shall 
be submitted by the following May 31.
    (B) The report covering the period covering April 1 to June 30 shall 
be submitted by the following August 31.
    (C) The report for the period from July 1 to September 30 shall be 
submitted by the following November 30.
    (D) The report for the quarterly compliance period from October 1 to 
December 31 shall be submitted by the following February 28.
    (vi) The report for the quarterly compliance period from April 1, 
2010 to May 31, 2010 shall be submitted by August 31, 2010.
    (vii) The report for the last quarterly compliance period from June 
1, 2010 to September 30, 2010 shall be submitted by November 30, 2010.
    (2) All annual reports shall be submitted to the Administrator for 
the compliance periods defined in Sec.  80.599(a)(2) by August 31.
    (3) All reports shall be submitted on forms and following procedures 
specified by the Administrator, shall include a statement that volumes 
reported to the Administrator under this section are in substantial 
agreement to volumes reported to the Internal Revenue Service (and if 
these volumes are not in substantial agreement, an explanation must be 
included) and shall be signed and certified by a responsible corporate 
officer of the reporting entity.
    (e) Exclusions. Notwithstanding the provisions of this section, an 
entity is not required to report under paragraphs (a) or (b) of this 
section for facilities whose only recordkeeping requirements under Sec.  
80.600 are under Sec.  80.600 (f) or (g) or to maintain records solely 
related to calculating compliance with the downgrading limitation

[[Page 381]]

under Sec.  80.527, Sec.  80.599(e) and Sec.  80.600(b)(1)(i) and (ii).
    (f) Additional requirements for aggregated facilities consisting of 
a refinery and a truck loading terminal. In addition to the reporting 
requirements listed by paragraphs (a) through (e) of this section, as 
applicable, such aggregated facilities are also subject to the following 
requirements:
    (1) Batch reports. Reports containing the requirements detailed in 
Sec. Sec.  80.592(f) and 80.600(m), must be submitted for all distillate 
produced by the refinery and sent over the truck loading terminal rack.
    (2) Quarterly volume reports. Reports detailing the quarterly totals 
of all designations, including whether the fuel was taxed or contained 
red dye (or red dye and the yellow marker), that left the truck loading 
terminal rack must be submitted for all distillate received from an 
external source or produced by the refinery.
    (3) Quarterly hand-off reports. (i) Reports detailing the quarterly 
totals of all designations of fuel received from external refiner/
importer sources, if any.
    (ii) Reports detailing the quarterly totals of all undesignated fuel 
received from external refiner/importer sources that entered the 
designate and track system.

[69 FR 39198, June 29, 2004, as amended at 70 FR 40898, July 15, 2005; 
70 FR 70512, Nov. 22, 2005; 71 FR 25722, May 1, 2006; 75 FR 22975, Apr. 
30, 2010]



Sec.  80.602  What records must be kept by entities in the NRLM 
diesel fuel, ECA marine fuel, distillate global marine fuel, and 
diesel fuel additive production, importation, and distribution
systems?

    (a) Records that must be kept by parties in the NRLM diesel fuel, 
ECA marine fuel, distillate global marine fuel and diesel fuel additive 
production, importation, and distribution systems. Beginning June 1, 
2007, or June 1, 2006, if that is the first period credits are generated 
under Sec.  80.535, any person who produces, imports, sells, offers for 
sale, dispenses, distributes, supplies, offers for supply, stores, or 
transports nonroad, locomotive or marine diesel fuel, or ECA marine fuel 
(beginning June 1, 2014) subject to the provisions of this subpart, must 
keep all the records specified in this paragraph (a). The recordkeeping 
requirements for distillate global marine fuel in this paragraph (a) 
start January 1, 2020.
    (1) The applicable product transfer documents required under 
Sec. Sec.  80.590 and 80.591.
    (2) For any sampling and testing for sulfur content for a batch of 
NRLM diesel fuel produced or imported and subject to the 15 ppm sulfur 
standard or any sampling and testing for sulfur content of any fuel 
subject to the provisions of this subpart as part of a quality assurance 
testing program, and any sampling and testing for cetane index, 
aromatics content, marker solvent yellow 124 content or dye solvent red 
164 content of NRLM diesel fuel, ECA marine fuel, NRLM diesel fuel 
additives or heating oil:
    (i) The location, date, time and storage tank or truck 
identification for each sample collected;
    (ii) The name and title of the person who collected the sample and 
the person who performed the testing; and
    (iii) The results of the tests for sulfur content (including, where 
applicable, the test results with and without application of the 
adjustment factor under Sec.  80.580(d)), for cetane index or aromatics 
content, dye solvent red 164, marker solvent yellow 124 (as applicable), 
and the volume of product in the storage tank or container from which 
the sample was taken.
    (3) The actions the party has taken, if any, to stop the sale or 
distribution of any NRLM diesel fuel, distillate global marine fuel, or 
ECA marine fuel found not to be in compliance with the sulfur standards 
specified in this subpart, and the actions the party has taken, if any, 
to identify the cause of any noncompliance and prevent future instances 
of noncompliance.
    (b) Additional records to be kept by refiners and importers of NRLM 
diesel fuel and ECA marine fuel. Beginning June 1, 2007, or June 1, 
2006, pursuant to the provisions of Sec. Sec.  80.535 or 80.554(d) (or 
June 1, 2014, pursuant to the provisions of Sec.  80.510(k)), any 
refiner producing distillate or residual fuel subject to a sulfur 
standard under Sec. Sec.  80.510, 80.513, 80.536, 80.554, 80.560, or 
80.561, for each

[[Page 382]]

of its refineries, and any importer importing such fuel separately for 
each facility, shall keep records that include the following information 
for each batch of NRLM diesel fuel, ECA marine fuel, or heating oil 
produced or imported:
    (1) The batch volume.
    (2) The batch number, assigned under the batch numbering procedures 
under Sec.  80.65(d)(3).
    (3) The date of production or import.
    (4) A record designating the batch as one of the following:
    (i) NRLM diesel fuel, NR diesel fuel, LM diesel fuel, distillate 
global marine fuel, ECA marine fuel, or heating oil, as applicable.
    (ii) Meeting the 500 ppm sulfur standard of Sec.  80.510(a), the 15 
ppm sulfur standard of Sec.  80.510(b) and (c), the 1,000 ppm sulfur 
standard of Sec.  80.510(k), or other applicable standard.
    (iii) Dyed or undyed with visible evidence of solvent red 164.
    (iv) Marked or unmarked with solvent yellow 124.
    (5) For foreign refiners and importers of their fuel, the 
designations and other records required to be kept under Sec.  80.620.
    (6) All of the following information regarding credits, kept 
separately for each compliance period, kept separately for each refinery 
and for each importer facility, kept separately if converted under Sec.  
80.535(a) and (b) or Sec.  80.535(c) and (d), and kept separately from 
motor vehicle diesel fuel credits:
    (i) The number of credits in the refiner's or importer's possession 
at the beginning of the calendar year.
    (ii) The number of credits generated.
    (iii) The number of credits used.
    (iv) If any were obtained from or transferred to other parties, for 
each other party, its name, its EPA refiner or importer registration 
number consistent with Sec.  80.597, and the number obtained from, or 
transferred to, the other party.
    (v) The number in the refiner's or importer's possession that will 
carry over into the subsequent calendar year compliance period.
    (vi) Commercial documents that establish each transfer of credits 
from the transferor to the transferee.
    (7) The calculations used to determine baselines or compliance with 
the volume requirements and volume percentages, as applicable, under 
this subpart.
    (8) The calculations used to determine the number of credits 
generated.
    (9) A copy of reports submitted to EPA under Sec.  80.604.
    (c) Additional records importers must keep. Any importer shall keep 
records that identify and verify the source of each batch of certified 
DFR-Diesel and non-certified DFR-Diesel imported and demonstrate 
compliance with the requirements under Sec.  80.620.
    (d) Additional records that must be kept by mobile facilities. Any 
registered mobile facility must keep records of all contracts from any 
contracted components (e.g. tank truck, barge, marine tanker, rail car, 
etc.) of each of its registered mobile facilities.
    (e) Length of time records must be kept. The records required in 
this section shall be kept for five years from the date they were 
created, except that records relating to credit transfers shall be kept 
by the transferor for five years from the date the credits were 
transferred, and shall be kept by the transferee for five years from the 
date the credits were transferred, used or terminated, whichever is 
later.
    (f) Make records available to EPA. On request by EPA, the records 
required in this section must be made available to the Administrator or 
the Administrator's representative. For records that are electronically 
generated or maintained, the equipment and software necessary to read 
the records shall be made available, or if requested by EPA, electronic 
records shall be converted to paper documents which shall be provided to 
the Administrator's authorized representative.
    (g) Additional records to be kept by aggregated facilities 
consisting of a refinery and a truck loading terminal. In addition to 
the applicable records required by paragraphs (a) through (f) of this 
section, such aggregated facilities must also keep the following 
records:
    (1) All the following information for each batch of distillate fuel 
(or residual fuel with a sulfur level of 1,000 ppm or less if such fuel 
is intended for use in an ECA) produced by the refinery

[[Page 383]]

and sent over the aggregated facility's truck rack:
    (i) The batch volume.
    (ii) The batch number, assigned under the batch numbering procedures 
under Sec. Sec.  80.65(d)(3) and 80.502(d)(1).
    (iii) The date of production.
    (iv) A record designating the batch as one of the following:
    (A) NRLM diesel fuel, NR diesel fuel, LM diesel fuel, ECA marine 
fuel, or heating oil, as applicable.
    (B) Meeting the 500 ppm sulfur standard of Sec.  80.510(a), the 15 
ppm sulfur standard of Sec.  80.510(b) and (c), the 1,000 ppm sulfur 
standard of Sec.  80.510(k), or other applicable standard.
    (C) Dyed or undyed with visible evidence of solvent red 164.
    (D) Marked or unmarked with solvent yellow 124.
    (2) Hand-off reports for all distillate fuel (or residual fuel with 
a sulfur level of 1,000 ppm or less if such fuel is intended for use in 
an ECA) from external sources (i.e., from another refiner or importer), 
as described in Sec.  80.601(f)(2).

[69 FR 39199, June 29, 2004, as amended at 70 FR 70513, Nov. 22, 2005; 
71 FR 25723, May 1, 2006; 75 FR 22975, Apr. 30, 2010; 84 FR 69341, Dec. 
18, 2019]



Sec.  80.603  What are the pre-compliance reporting requirements
for NRLM diesel fuel?

    (a) Except as provided in paragraph (c) of this section, beginning 
on June 1, 2005, and for each year until June 1, 2011, or until the 
entity produces or imports NR or NRLM diesel fuel meeting the 15 ppm 
sulfur standard of Sec.  80.510(b) or (c), all refiners and importers 
planning to produce or import NR or NRLM diesel fuel, shall submit the 
following information to EPA:
    (1) Any changes to the information submitted for the company 
registration;
    (2) Any changes to the information submitted for any refinery or 
import facility registration;
    (3) Any estimate of the average daily volumes (in gallons) of each 
sulfur grade of motor vehicle and NRLM diesel fuel produced (or 
imported) at each refinery (or import facility). These volume estimates 
must be provided both for fuel produced from crude oil, as well as any 
fuel produced from other sources, and must be provided for the periods 
of June 1, 2010 through December 31, 2010, calendar years 2011 through 
2013, January 1, 2014 through May 31, 2014, and June 1, 2014 through 
December 31, 2014;
    (4) If expecting to participate in the credit trading program, 
estimates of the number of credits to be generated and/or used each year 
the program;
    (5) Information on project schedule by quarter of known or projected 
completion date by the stage of the project, for example, following the 
five project phases described in EPA's June 2002 Highway Diesel Progress 
Review report (EPA420-R-02-016, http://www.epa.gov/otaq/regs/hd2007/
420r02016.pdf): Strategic planning, Planning and front-end engineering, 
Detailed engineering and permitting, Procurement and construction, and 
Commissioning and startup;
    (6) Basic information regarding the selected technology pathway for 
compliance (e.g., conventional hydrotreating vs. other technologies, 
revamp vs. grassroots, etc.);
    (7) Whether capital commitments have been made or are projected to 
be made; and
    (8) The pre-compliance reports due in 2006 and later years must 
provide an update of the progress in each of these areas.
    (b) Reports under this section may be submitted in conjunction with 
reports submitted under Sec.  80.594.
    (c) The pre-compliance reporting requirements of this section do not 
apply to refineries subject to the provisions of Sec.  80.513.

[69 FR 39200, June 29, 2004]



Sec.  80.604  What are the annual reporting requirements for refiners
and importers of NRLM diesel fuel?

    Beginning with the annual compliance period that begins June 1, 
2007, or the first period during which credits are generated, 
transferred or used, or the first period during which NRLM diesel fuel 
or heating oil is produced under a small refiner compliance option under 
this subpart, whichever is earlier, any refiner or importer who produces 
or imports NRLM diesel fuel

[[Page 384]]

must submit annual compliance reports for each refinery and importer 
facility that contain the following information required, and such other 
information as EPA may require.
    (a) All refiners and importers. (1) The refiner or importer's 
company name and the EPA company and facility identification number.
    (2) If the refiner is a small refiner, a statement regarding to 
which small refiner option it is subject.
    (b) Small refiners. (1) For each refinery of small refiners subject 
to the provisions of Sec.  80.551(g) and Sec.  80.554(a) for each 
compliance period from June 1, 2007 through May 31, 2010, report the 
following:
    (i) The total volume of diesel fuel produced and designated as NRLM 
diesel fuel.
    (ii) The volume of diesel fuel produced and designated as NRLM 
diesel fuel having a sulfur content less than or equal to the 500 ppm 
sulfur standard under Sec.  80.510(a).
    (iii) The total volume of diesel fuel produced and designated as 
NRLM diesel fuel having a sulfur content greater than the 500 ppm sulfur 
standard under Sec.  80.510(a).
    (iv) The total volume of heating oil produced.
    (v) The baseline under Sec.  80.554(a)(1).
    (vi) The total volume of diesel fuel produced and designated as NRLM 
diesel fuel that is exempt from the 500 ppm sulfur standard of Sec.  
80.510(a).
    (vii) The total volume, if any, of NRLM diesel fuel subject to the 
500 ppm sulfur standard Sec.  80.510(a) that had a sulfur content 
exceeding 500 ppm.
    (2) For each refinery of small refiners subject to the provisions of 
Sec.  80.551(g) and Sec.  80.554(b), for each compliance period between 
June 1, 2010 and May 31, 2012, report the following:
    (i) The total volume of diesel fuel produced and designated as NR 
diesel fuel.
    (ii) The total volume of diesel fuel produced and designated as LM 
diesel fuel.
    (iii) The total volume of diesel fuel produced and designated as NR 
diesel fuel subject to the 500 ppm sulfur standard under Sec.  
80.510(a).
    (iv) The total volume of diesel fuel produced and designated as LM 
diesel fuel subject to the 500 ppm sulfur standard under Sec.  
80.510(a).
    (v) The volume of diesel fuel produced and designated as NR diesel 
fuel having a sulfur content of 15 ppm or less.
    (vi) The baseline under Sec.  80.554(b)(1).
    (vii) The total volume of NRLM diesel fuel produced that is eligible 
for the sulfur standard under Sec.  80.510(a).
    (viii) The total volume, if any, of NRLM diesel fuel subject to the 
15 ppm sulfur standard that had a sulfur content in excess of 15 ppm.
    (3) For each refinery of small refiners subject to the provisions of 
Sec.  80.551(g) and Sec.  80.554(b), for each compliance period between 
June 1, 2012 and May 31, 2014, report the following:
    (i) The total volume of diesel fuel produced and designated as NRLM 
diesel fuel.
    (ii) The total volume diesel fuel produced and designated as NRLM 
diesel fuel subject to the 500 ppm sulfur standard under Sec.  
80.510(a).
    (iii) The total volume of diesel fuel produced and designated as 
NRLM diesel fuel having a sulfur content less than or equal to the 15 
ppm sulfur standard under Sec.  80.510(c).
    (iv) The baseline under Sec.  80.554(b)(1).
    (v) The total volume of NRLM diesel fuel produced that is eligible 
for the 500 ppm sulfur standard under Sec.  80.510(a).
    (vi) The total volume, if any, of NRLM diesel fuel subject to the 15 
ppm sulfur standard that had a sulfur content in excess of 15 ppm.
    (4) For each refinery of a small refiner that elects to produce NRLM 
diesel fuel subject to the 15 ppm sulfur standard of Sec.  80.510(c) 
beginning June 1, 2006 under Sec.  80.551(g) and Sec.  80.554(d), for 
each compliance period report the following:
    (i) The total volume of diesel fuel produced and designated as NRLM 
diesel fuel.
    (ii) The total volume of diesel fuel produced and designated as NRLM 
diesel fuel having a sulfur content less than or equal to 15 ppm.
    (iii) The percentages of NRLM diesel fuel produced and designated 
having a sulfur content less than or equal to 15 ppm under Sec.  
80.554(d)(1)(i) and (ii).
    (iv) The deficit, if any, and the number of credits purchased, if 
any, to

[[Page 385]]

cover any deficit as provided in Sec.  80.554(d)(3).
    (v) A report of the small refiner's progress toward compliance with 
the gasoline standards under Sec. Sec.  80.240 and 80.255.
    (c) Credit generation and use. Information regarding the generation, 
use, transfer and retirement of credits, separately by refinery and 
import facility, including the following:
    (1) The number of credits at the beginning of the compliance period.
    (2) The number of credits generated.
    (3) The number of credits used.
    (4) If any credits were obtained from or transferred to other 
refineries or importers, for each other refinery or importer, the name, 
address, the EPA company identification number, and the number of 
credits obtained from or transferred to the other party.
    (5) The number of credits retired.
    (6) The credit balance at the beginning and end of the compliance 
period.
    (d) Batch reports. For each batch of NRLM diesel fuel and heating 
oil (if applicable) produced or imported and delivered during the 
compliance periods under paragraph (b) of this section, include the 
following:
    (1) The batch volume.
    (2) The batch number assigned using the batch numbering conventions 
under Sec.  80.65(d)(3) and the appropriate designation under Sec.  
80.598.
    (3) The date of production or import.
    (4) For each batch provide the information specified in paragraph 
(a)(1) of this section.
    (5) [Reserved]
    (6) Whether the batch was dyed with visible evidence of dye solvent 
red 164 before leaving the refinery or import facility or was undyed.
    (7) Whether the batch was marked with marker solvent yellow 124 
before leaving the refinery or import facility or was unmarked.
    (e) Additional reporting requirements for importers. Importers of 
NRLM diesel fuel are subject to the following additional requirements:
    (1) The reporting requirements under Sec.  80.620, if applicable.
    (2) Importers must exclude certified DFR-Diesel from calculations 
under this section.
    (f) Report submission. Any report required by this section must be--
    (1) On forms and following procedures specified by the Administrator 
of EPA;
    (2) Signed and certified as meeting all the applicable requirements 
of this subpart by the owner or a responsible corporate officer of the 
refiner or importer; and
    (3) Except for small refiners subject to Sec.  80.554(d), submitted 
to EPA by September 1 each year for the prior annual compliance period. 
Small refiners subject to the provisions of Sec.  80.554(d), reports 
must be submitted by September 1 for the previous reporting period.
    (4) With the exception of reports required under paragraph (b)(3) of 
this section, no reports will be required under this section after 
September 1, 2014.

[69 FR 39200, June 29, 2004, as amended at 70 FR 40899, July 15, 2005; 
79 FR 23654, Apr. 28, 2014]

                               Exemptions



Sec.  80.605  Global marine fuel exemption.

    (a) The standards of this subpart do not apply to distillate global 
marine fuel that is produced, imported, sold, offered for sale, 
supplied, offered for supply, stored, dispensed, or transported for use 
in steamships or Category 3 marine vessels when operating outside of ECA 
boundaries.
    (b) The exempt fuel must meet all the following conditions:
    (1) It must not exceed 0.50 weight percent sulfur (5.0[middot]10\3\ 
ppm).
    (2) It must be accompanied by product transfer documents as required 
under Sec.  80.590.
    (3) It must be designated as specified under Sec.  80.598.
    (4) It must be segregated from non-exempt fuel at all points in the 
distribution system.
    (5) It may not be used in any vehicles, engines, or equipment other 
than those referred to in paragraph (a) of this section.
    (c) Fuel not meeting the conditions specified in paragraph (b) of 
this section is subject to the standards, requirements, and prohibitions 
that

[[Page 386]]

apply for MVNRLM diesel fuel. Similarly, any person who produces, 
imports, sells, offers for sale, supplies, offers for supply, stores, 
dispenses, or transports distillate global marine fuel without meeting 
the recordkeeping requirements under Sec.  80.602 may not claim the fuel 
is exempt from the standards, requirements, and prohibitions that apply 
for MVNRLM diesel fuel.

[84 FR 69341, Dec. 18, 2019]



Sec.  80.606  What national security exemption applies to fuels 
covered under this subpart?

    (a) The standards of all the fuels listed in paragraph (b) of this 
section do not apply to fuel that is produced, imported, sold, offered 
for sale, supplied, offered for supply, stored, dispensed, or 
transported for use in any of the following:
    (1) Tactical military motor vehicles or tactical military nonroad 
engines, vehicles or equipment, including locomotive and marine, having 
an EPA national security exemption from the motor vehicle emission 
standards under 40 CFR 85.1708, or from the nonroad engine emission 
standards under 40 CFR part 89, 92, 94, 1042, or 1068.
    (2) Tactical military motor vehicles or tactical military nonroad 
engines, vehicles or equipment, including locomotive and marine, that 
are not subject to a national security exemption from vehicle or engine 
emissions standards as described in paragraph (a)(1) of this section 
but, for national security purposes (for purposes of readiness for 
deployment oversees), need to be fueled on the same fuel as the 
vehicles, engines, or equipment for which EPA has granted such a 
national security exemption.
    (b) The exempt fuel must meet any of the following:
    (1) The motor vehicle diesel fuel standards of Sec.  80.520(a)(1), 
(a)(2), and (c).
    (2) The nonroad, locomotive, and marine diesel fuel standards of 
Sec.  80.510(a), (b), and (c).
    (3) The 1,000 ppm ECA marine fuel standards of Sec.  80.510(k).
    (c) The exempt fuel must meet all the following conditions:
    (1) It must be accompanied by product transfer documents as required 
under Sec.  80.590.
    (2) It must be segregated from non-exempt MVNRLM diesel fuel and ECA 
marine fuel at all points in the distribution system.
    (3) It must be dispensed from a fuel pump stand, fueling truck or 
tank that is labeled with the appropriate designation of the fuel, such 
as ``JP-5'' or ``JP-8''.
    (4) It may not be used in any motor vehicles or nonroad engines, 
equipment or vehicles, including locomotive and marine, other than the 
vehicles, engines, and equipment referred to in paragraph (a) of this 
section.

[69 FR 39201, June 29, 2004, as amended at 75 FR 22975, Apr. 30, 2010]



Sec.  80.607  What are the requirements for obtaining an exemption
for diesel fuel used for research, development or testing purposes?

    (a) Written request for a research and development exemption. Any 
person may receive an exemption from the provisions of this subpart for 
diesel fuel or ECA marine fuel used for research, development, or 
testing purposes by submitting the information listed in paragraph (c) 
of this section to the attention of ``Diesel Program (Diesel Exemption 
Request)'' to the address in Sec.  80.10(a).
    (b) Criteria for a research and development exemption. For a 
research and development exemption to be granted, the person requesting 
an exemption must--
    (1) Demonstrate a purpose that constitutes an appropriate basis for 
exemption;
    (2) Demonstrate that an exemption is necessary;
    (3) Design a research and development program to be reasonable in 
scope; and
    (4) Exercise a degree of control consistent with the purpose of the 
program and EPA's monitoring requirements.
    (c) Information required to be submitted. To demonstrate each of the 
elements in paragraphs (b)(1) through (4) of this section, the person 
requesting

[[Page 387]]

an exemption must include the following information in the written 
request required under paragraph (a) of this section:
    (1) A concise statement of the purpose of the program demonstrating 
that the program has an appropriate research and development purpose.
    (2) An explanation of why the stated purpose of the program cannot 
be achieved in a practicable manner without performing one or more of 
the prohibited acts under this subpart.
    (3) To demonstrate the reasonableness of the scope of the program:
    (i) An estimate of the program's duration in time and, if 
appropriate, mileage;
    (ii) An estimate of the maximum number of vehicles or engines 
involved in the program;
    (iii) The manner in which the information on vehicles and engines 
used in the program will be recorded and made available to the 
Administrator upon request; and
    (iv) The quantity of fuel which does not comply with the 
requirements of Sec. Sec.  80.520 and 80.521 for motor vehicle diesel 
fuel, or Sec.  80.510 for NRLM diesel fuel.
    (4) With regard to control, a demonstration that the program affords 
EPA a monitoring capability, including all the following:
    (i) The site(s) of the program (including facility name, street 
address, city, county, State, and zip code).
    (ii) The manner in which information on vehicles and engines used in 
the program will be recorded and made available to the Administrator 
upon request.
    (iii) The manner in which information on the fuel used in the 
program (including quantity, fuel properties, name, address, telephone 
number and contact person of the supplier, and the date received from 
the supplier), will be recorded and made available to the Administrator 
upon request.
    (iv) The manner in which the party will ensure that the research and 
development fuel will be segregated from motor vehicle diesel fuel or 
NRLM diesel fuel, as applicable, and how fuel pumps will be labeled to 
ensure proper use of the research and development fuel.
    (v) The name, address, telephone number and title of the person(s) 
in the organization requesting an exemption from whom further 
information on the application may be obtained.
    (vi) The name, address, telephone number and title of the person(s) 
in the organization requesting an exemption who is responsible for 
recording and making available the information specified in this 
paragraph (c), and the location where such information will be 
maintained.
    (d) Additional requirements. (1) The product transfer documents 
associated with research and development diesel fuel must comply with 
the product transfer document requirements of Sec.  80.590(b)(3).
    (2) The research and development fuel must be designated by the 
refiner or supplier, as applicable, as research and development fuel.
    (3) The research and development fuel must be kept segregated from 
non-exempt MVNRLM diesel fuel at all points in the distribution system.
    (4) The research and development fuel must not be sold, distributed, 
offered for sale or distribution, dispensed, supplied, offered for 
supply, transported to or from, or stored by a fuel retail outlet, or by 
a wholesale purchaser-consumer facility, unless the wholesale purchaser-
consumer facility is associated with the research and development 
program that uses the fuel.
    (5) At the completion of the program, any emission control systems 
or elements of design which are damaged or rendered inoperative shall be 
replaced on vehicles remaining in service, or the responsible person 
will be liable for a violation of the Clean Air Act section 203(a)(3) 
(42 U.S.C. 7522 (a)(3)) unless sufficient evidence is supplied that the 
emission controls or elements of design were not damaged.
    (e) Mechanism for granting of an exemption. A request for a research 
and development exemption will be deemed approved by the earlier of 60 
days from the date on which EPA receives the request for exemption, 
(provided that EPA has not notified the applicant of potential 
disapproval by that time), or the date on which the applicant receives a 
written approval letter from EPA.

[[Page 388]]

    (1) The volume of fuel subject to the approval shall not exceed the 
estimated amount under paragraph (c)(3)(iv) of this section, unless EPA 
grants a greater amount in writing.
    (2) Any exemption granted under this section will expire at the 
completion of the test program or three years from the date of approval, 
whichever occurs first, and may only be extended upon re-application 
consistent will all requirements of this section.
    (3) The passage of 60 days will not signify the acceptance by EPA of 
the validity of the information in the request for an exemption. EPA may 
elect at any time to review the information contained in the request, 
and where appropriate may notify the responsible person of disapproval 
of the exemption.
    (4) In granting an exemption the Administrator may include terms and 
conditions, including replacement of emission control devices or 
elements of design, that the Administrator determines are necessary for 
monitoring the exemption and for assuring that the purposes of this 
subpart are met.
    (5) Any violation of a term or condition of the exemption, or of any 
requirement of this section, will cause the exemption to be void ab 
initio.
    (6) If any information required under paragraph (c) of this section 
should change after approval of the exemption, the responsible person 
must notify EPA in writing immediately. Failure to do so may result in 
disapproval of the exemption or may make it void ab initio, and may make 
the party liable for a violation of this subpart.
    (f) Effects of exemption. Motor vehicle diesel fuel or NRLM diesel 
fuel that is subject to a research and development exemption under this 
section is exempt from other provisions of this subpart provided that 
the fuel is used in a manner that complies with the purpose of the 
program under paragraph (c) of this section and the requirements of this 
section.
    (g) Notification of completion. The party shall notify EPA in 
writing within 30 days after completion of the research and development 
program.

[69 FR 39202, June 29, 2004, as amended at 75 FR 22976, Apr. 30, 2010; 
80 FR 9098, Feb. 19, 2015; 85 FR 7073, Feb. 6, 2020]



Sec.  80.608  What requirements apply to diesel fuel and ECA marine
fuel for use in the Territories?

    The sulfur standards of Sec.  80.520(a)(1) and (c) related to motor 
vehicle diesel fuel, of Sec.  80.510(a), (b), and (c) related to NRLM 
diesel fuel, and of Sec.  80.510(k) related to ECA marine fuel, do not 
apply to fuel that is produced, imported, sold, offered for sale, 
supplied, offered for supply, stored, dispensed, or transported for use 
in the Territories of Guam, American Samoa or the Commonwealth of the 
Northern Mariana Islands, provided that such diesel fuel is all the 
following:
    (a) Designated by the refiner or importer as high sulfur diesel fuel 
only for use in Guam, American Samoa, or the Commonwealth of the 
Northern Mariana Islands.
    (b) Used only in Guam, American Samoa, or the Commonwealth of the 
Northern Mariana Islands.
    (c) Accompanied by documentation that complies with the product 
transfer document requirements of Sec.  80.590(b)(1).
    (d) Segregated from non-exempt MVNRLM diesel fuel and/or non-exempt 
ECA marine fuel at all points in the distribution system from the point 
the fuel is designated as exempt fuel only for use in Guam, American 
Samoa, or the Commonwealth of the Northern Mariana Islands, while the 
exempt fuel is in the United States (including an Emission Control Area, 
or an ECA associated area per 40 CFR 1043.20) but outside these 
Territories.

[75 FR 22976, Apr. 30, 2010, as amended at 80 FR 9098, Feb. 19, 2015]



Sec.  80.609  [Reserved]

                          Violation Provisions



Sec.  80.610  What acts are prohibited under the diesel fuel 
sulfur program?

    No person shall--
    (a) Standard, dye, marker or product violation. (1) Produce, import, 
sell, offer for sale, dispense, supply, offer for supply, store or 
transport motor vehicle diesel fuel, NRLM diesel fuel, ECA marine fuel 
or heating oil that does not comply with the applicable standards,

[[Page 389]]

dye, marking or any other product requirements under this subpart I and 
40 CFR part 69, except as allowed by 40 CFR part 1043 for ECA marine 
fuel.
    (2) Beginning June 1, 2007, produce, import, sell, offer for sale, 
dispense, supply, offer for supply, store or transport any diesel fuel 
for use in motor vehicle or nonroad engines that contains greater than 
0.10 milligrams per liter of solvent yellow 124, except for 500 ppm 
sulfur diesel fuel sold, offered for sale, dispensed, supplied, offered 
for supply, stored, or transported for use in LM. from June 1, 2010 
through November 30, 2012 for use only in locomotive or marine diesel 
engines that is marked under the provisions of Sec.  80.510(e).
    (3) Beginning June 1, 2007, produce, import, sell, offer for sale, 
dispense, supply, offer for supply, store or transport heating oil for 
use in any nonroad diesel engine, including any locomotive or marine 
diesel engine.
    (b) Designation and volume balance violation. Produce, import, sell, 
offer for sale, dispense, supply, offer for supply, store or transport 
motor vehicle diesel, NRLM diesel fuel, ECA marine fuel, heating oil or 
other fuel that does not comply with the applicable designation or 
volume balance requirements under Sec. Sec.  80.598 and 80.599.
    (c) Additive violation. (1) Produce, import, sell, offer for sale, 
dispense, supply, offer for supply, store or transport any fuel additive 
for use at a downstream location that does not comply with the 
applicable requirements of Sec.  80.521.
    (2) Blend or permit the blending into motor vehicle diesel fuel, 
NRLM diesel fuel, or ECA marine fuel at a downstream location, or use, 
or permit the use, in motor vehicle diesel fuel, NRLM diesel fuel, or 
ECA marine fuel, of any additive that does not comply with the 
applicable requirements of Sec.  80.521.
    (d) Used motor oil violation. Introduce into the fuel system of a 
model year 2007 or later diesel motor vehicle or model year 2011 or 
later nonroad diesel engine (except for locomotive or marine engines) or 
other nonroad diesel engine certified for the use of 15 ppm sulfur 
content fuel, or permit the introduction into the fuel system of such 
vehicle or nonroad engine of used motor oil, or used motor oil blended 
with diesel fuel, that does not comply with the requirements of Sec.  
80.522.
    (e) Improper fuel usage violation. (1) Introduce, or permit the 
introduction of, fuel into model year 2007 or later diesel motor 
vehicles, and beginning December 1, 2010 into any diesel motor vehicle, 
that does not comply with the standards and dye requirements of Sec.  
80.520(a) and (b);
    (2) Introduce, or permit the introduction of, fuel into any nonroad 
diesel engine (including any locomotive or marine diesel engine) that 
does not comply with the applicable standards, dye and marking 
requirements of Sec.  80.510(a), (d), and (e) and Sec.  80.520(b) 
beginning on the following dates:
    (i) This prohibition begins December 1, 2007 in the areas specified 
in Sec.  80.510(g)(1) and (g)(2), except as specified in paragraph 
(e)(2)(ii) of this section.
    (ii) This prohibition begins December 1, 2010 in the area specified 
in Sec.  80.510(g)(2) for NRLM diesel fuel that is produced in 
accordance with a compliance plan approved under Sec.  80.554.
    (iii) This prohibition begins December 1, 2010 in all other areas.
    (3) Introduce, or permit the introduction of, fuel into any nonroad 
diesel engine (other than locomotive and marine diesel engines) that 
does not comply with the applicable standards, dye and marking 
requirements of Sec.  80.510(b) and (e) beginning on the following 
dates:
    (i) This prohibition begins December 1, 2010 in the areas specified 
in Sec.  80.510(g)(1) and (g)(2), except as specified paragraph 
(e)(3)(ii) of this section.
    (ii) This prohibition begins December 1, 2014 in the area specified 
in Sec.  80.510(g)(2) for NRLM diesel fuel that is produced in 
accordance with a compliance plan approved under Sec.  80.554.
    (iii) This prohibition begins December 1, 2014, in all other areas.
    (4) Introduce, or permit the introduction of, fuel into any 
locomotive and marine diesel engine which does not comply with the 
applicable standards, dye and marking requirements of Sec.  80.510(c) 
and Sec.  80.510(f) in the following areas beginning on the following 
dates:
    (i) This prohibition begins December 1, 2012 in the areas specified 
in

[[Page 390]]

Sec.  80.510(g)(1) and (g)(2), except as specified in paragraph 
(e)(4)(ii) of this section.
    (ii) This prohibition does not apply in the area specified in Sec.  
80.510(g)(2) for NRLM diesel fuel that is produced in accordance with a 
compliance plan approved under Sec.  80.554.
    (iii) This prohibition begins December 1, 2014, in all other areas.
    (5) Introduce, or permit the introduction of, fuel into any model 
year 2011 or later nonroad diesel engine certified for use on 15 ppm 
sulfur content fuel, diesel fuel which does not comply with the 
applicable standards, dye and marking requirements of Sec.  80.510(b) 
through (f).
    (6) Beginning January 1, 2015, introduce (or permit the introduction 
of) any fuel with a sulfur content greater than 1,000 ppm for use in a 
Category 3 marine vessel within an ECA, except as allowed by 40 CFR part 
1043. This prohibition is in addition to other prohibitions in this 
section.
    (f) Cause another party to violate. Cause another person to commit 
an act in violation of paragraphs (a) through (e) of this section.
    (g) Cause violating fuel or additive to be in the distribution 
system. Cause motor vehicle diesel fuel, NRLM diesel fuel, or ECA marine 
fuel to be in the diesel fuel distribution system which does not comply 
with the applicable standard, dye or marker requirements or the product 
segregation requirements of this subpart I, or cause any fuel additive 
to be in the fuel additive distribution system which does not comply 
with the applicable sulfur standards under Sec.  80.521.

[69 FR 39203, June 29, 2004, as amended at 75 FR 22976, Apr. 30, 2010; 
77 FR 61294, Oct. 9, 2012]



Sec.  80.611  What evidence may be used to determine compliance
with the prohibitions and requirements of this subpart and liability
for violations of this subpart?

    (a) Compliance with sulfur, cetane, and aromatics standards, dye and 
marker requirements. Compliance with the standards, dye, and marker 
requirements in Sec. Sec.  80.510, 80.511, 80.520, and 80.521 shall be 
determined based on the level of the applicable component or parameter, 
using the sampling methodologies specified in Sec.  80.330(b), as 
applicable, and an approved testing methodology under the provisions of 
Sec. Sec.  80.580 through 80.586 for sulfur; Sec.  80.2(w) for cetane 
index; Sec.  80.2(z) for aromatic content; and Sec.  80.582 for fuel 
marker. Any evidence or information, including the exclusive use of such 
evidence or information, may be used to establish the level of the 
applicable component or parameter in the diesel fuel or additive, or 
motor oil to be used in diesel fuel, if the evidence or information is 
relevant to whether that level would have been in compliance with the 
standard if the regulatory sampling and testing methodology had been 
correctly performed. Such evidence may be obtained from any source or 
location and may include, but is not limited to, test results using 
methods other than the compliance methods in this paragraph (a), 
business records, and commercial documents.
    (b) Compliance with other requirements. Determination of compliance 
with the requirements and prohibitions of this subpart other than the 
standards described in paragraph (a) of this section and in Sec. Sec.  
80.510, 80.511, 80.520, and 80.521, and determination of liability for 
any violation of this subpart, may be based on information obtained from 
any source or location. Such information may include, but is not limited 
to, business records and commercial documents.

[69 FR 39204, June 29, 2004]



Sec.  80.612  Who is liable for violations of this subpart?

    (a) Persons liable for violations of prohibited acts--(1) Standard, 
dye, marker, additives, used motor oil, heating oil, fuel introduction, 
and other product requirement violations. (i) Any refiner, importer, 
distributor, reseller, carrier, retailer, wholesale purchaser-consumer 
who owned, leased, operated, controlled or supervised a facility where a 
violation of any provision of Sec.  80.610(a) through (e) occurred, or 
any other person who violates any provision of Sec.  80.610(a) through 
(e), is deemed liable for the applicable violation, except that 
distributors who receive diesel fuel or distillate from the point where

[[Page 391]]

it is taxed, dyed or marked, and retailers and wholesale purchaser-
consumers are not deemed liable for any violation of Sec.  80.610(b).
    (ii) Any person who causes another person to violate Sec.  80.610(a) 
through (e) is liable for a violation of Sec.  80.610(f).
    (iii) Any refiner, importer, distributor, reseller, carrier, 
retailer, or wholesale purchaser-consumer who produced, imported, sold, 
offered for sale, dispensed, supplied, offered to supply, stored, 
transported, or caused the transportation or storage of, diesel fuel or 
distillate that violates Sec.  80.610(a), is deemed in violation of 
Sec.  80.610(f).
    (iv) Any person who produced, imported, sold, offered for sale, 
dispensed, supplied, offered to supply, stored, transported, or caused 
the transportation or storage of a diesel fuel additive which is used in 
motor vehicle diesel fuel or NRLM diesel fuel that is found to violate 
Sec.  80.610(a), is deemed in violation of Sec.  80.610(f).
    (2) Cause violating diesel fuel or additive to be in the 
distribution system. Any refiner, importer, distributor, reseller, 
carrier, retailer, or wholesale purchaser-consumer or any other person 
who owned, leased, operated, controlled or supervised a facility from 
which distillate fuel or additive was released into the distribution 
system which does not comply with the applicable standards, marking or 
dye requirements of this Subpart I is deemed in violation of Sec.  
80.610(g).
    (3) Branded refiner/importer liability. Any refiner or importer 
whose corporate, trade, or brand name, or whose marketing subsidiary's 
corporate, trade, or brand name appeared at a facility where a violation 
of Sec.  80.610(a) or (b) occurred, is deemed in violation of Sec.  
80.610(a) or (b), as applicable.
    (4) Carrier causation. In order for a distillate fuel or diesel fuel 
additive carrier to be liable under paragraph (a)(1)(ii), (a)(1)(iii), 
or (a)(1)(iv) of this section, as applicable, EPA must demonstrate, by 
reasonably specific showing by direct or circumstantial evidence, that 
the carrier caused the violation.
    (5) Parent corporation. Any parent corporation is liable for any 
violations of this subpart that are committed by any subsidiary.
    (6) Joint venture. Each partner to a joint venture is jointly and 
severally liable for any violation of this subpart that occurs at the 
joint venture facility or is committed by the joint venture operation.
    (b) Persons liable for failure to comply with other provisions of 
this subpart. Any person who:
    (1) Fails to comply with the requirements of a provision of this 
subpart not addressed in paragraph (a) of this section is liable for a 
violation of that provision; or
    (2) Causes another person to fail to comply with the requirements of 
a provision of this subpart not addressed in paragraph (a) of this 
section, is liable for causing a violation of that provision.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39204, June 29, 2004; 75 
FR 22977, Apr. 30, 2010]



Sec.  80.613  What defenses apply to persons deemed liable for a
violation of a prohibited act under this subpart?

    (a) Presumptive liability defenses. (1) Any person deemed liable for 
a violation of a prohibition under Sec.  80.612(a)(1)(i), (a)(1)(iii), 
(a)(2), or (a)(3), will not be deemed in violation if the person 
demonstrates all of the following, as applicable:
    (i) The violation was not caused by the person or the person's 
employee or agent;
    (ii) Product transfer documents account for fuel or additive found 
to be in violation and indicate that the violating product was in 
compliance with the applicable requirements when it was under the 
person's control;
    (iii) The person conducted a quality assurance sampling and testing 
program, as described in paragraph (d) of this section, except for those 
persons subject to the provisions of paragraph (a)(1)(iv), (a)(1)(v), or 
(a)(1)(vi) of this section or Sec.  80.614. A carrier may rely on the 
quality assurance program carried out by another party, including the 
party who owns the diesel fuel in question, provided that the quality 
assurance program is carried out properly. Retailers, wholesale 
purchaser-

[[Page 392]]

consumers, and ultimate consumers of diesel fuel are not required to 
conduct quality assurance programs;
    (iv) For refiners and importers of diesel fuel subject to the 15 ppm 
sulfur standard under Sec.  80.510(b) or (c) or Sec.  80.520(a)(1), the 
500 ppm sulfur standard under Sec.  80.510(a) or Sec.  80.520(c), and/or 
the 1,000 ppm sulfur standard under Sec.  80.510(k), test results that--
    (A) Were conducted according to an appropriate test methodology 
approved or designated under Sec. Sec.  80.580 through 80.586, 80.2(w), 
or 80.2(z), as appropriate; and
    (B) Establish that, when it left the party's control, the fuel did 
not violate the sulfur, cetane or aromatics standard, or the dye or 
marking provisions of Sec. Sec.  80.510 or 80.511, as applicable;
    (v) For any truck loading terminal or any other person who delivers 
heating oil for delivery to the ultimate consumer and is subject to the 
requirement to mark heating oil or LM diesel fuel under Sec.  80.510(d) 
through (f), data which demonstrates that when it left the truck loading 
terminal or other facility, the concentration of marker solvent yellow 
124 was equal to or greater than six milligrams per liter. In lieu of 
testing for marker solvent yellow 124 concentration, evidence may be 
presented of an oversight program, including records of marker 
inventory, purchase and additization, and records of periodic inspection 
and calibration of additization equipment that ensures that marker is 
added to heating oil or LM diesel fuel, as applicable, under Sec.  
80.510(d) through (f) in the required concentration;
    (vi) Except as provided in Sec.  80.614, for any person who, at a 
downstream location, blends a diesel fuel additive subject to the 
requirements of Sec.  80.521(b) into motor vehicle diesel fuel or NRLM 
diesel fuel subject to the 15 ppm sulfur standard under Sec.  80.520(a) 
or Sec.  80.510(b) or (c), except a person who blends additives into 
fuel tanker trucks at a truck loading rack subject to the provisions of 
paragraph (d)(2) of this section, test results which are conducted 
subsequent to the blending of the additive into the fuel, and which 
comply with the requirements of paragraphs (a)(1)(iv)(A) and (B) of this 
section; and
    (vii) Any person deemed liable for a designation or volume balance 
provisions violation under Sec.  80.610(b) and 80.612(a) will not be 
deemed in violation if the person demonstrates, through product transfer 
documents, records, reports and other evidence that the diesel fuel or 
distillate was properly designated and volume balance requirements were 
met.
    (2) Any person deemed liable for a violation under Sec.  
80.612(a)(1)(iv), in regard to a diesel fuel additive subject to the 
requirements of Sec.  80.521(a), will not be deemed in violation if the 
person demonstrates that--
    (i) Product transfer document(s) account for the additive in the 
fuel found to be in violation, which comply with the requirements under 
Sec.  80.591(a), and indicate that the additive was in compliance with 
the applicable requirements while it was under the party's control; and
    (ii) For the additive's manufacturer or importer, test results which 
accurately establish that, when it left the party's control, the 
additive in the diesel fuel determined to be in violation did not have a 
sulfur content greater than or equal to 15 ppm.
    (A) Analysis of the additive sulfur content pursuant to this 
paragraph (a)(2) may be conducted at the time the batch was manufactured 
or imported, or on a sample of that batch which the manufacturer or 
importer retains for such purpose for a minimum of two years from the 
date the batch was manufactured or imported.
    (B) After two years from the date the additive batch was 
manufactured or imported, the additive manufacturer or importer is no 
longer required to retain samples for the purpose of complying with the 
testing requirements of this paragraph (a)(2).
    (C) The analysis of the sulfur content of the additive must be 
conducted pursuant to the requirements of Sec.  80.580.
    (3) Any person who is deemed liable for a violation under Sec.  
80.612(a)(1)(iv) with regard to a diesel fuel additive subject to the 
requirements of Sec.  80.521(b), will not be deemed in violation if the 
person demonstrates that--
    (i) The violation was not caused by the party or the party's 
employee or agent;

[[Page 393]]

    (ii) Product transfer document(s) which comply with the additive 
information requirements under Sec.  80.591(b), account for the additive 
in the fuel found to be in violation, and indicate that the additive was 
in compliance with the applicable requirements while it was under the 
party's control; and
    (iii) For the additive's manufacturer or importer, test results 
which accurately establish that, when it left the party's control, the 
additive in the diesel fuel determined to be in violation was in 
conformity with the information on the additive product transfer 
document pursuant to the requirements of Sec.  80.591(b). The testing 
procedures applicable under paragraph (a)(2) of this section, also apply 
under this paragraph (a)(3).
    (b) Branded refiner defenses. In the case of a violation found at a 
facility operating under the corporate, trade or brand name of a refiner 
or importer, or a refiner's or importer's marketing subsidiary, the 
refiner or importer must show, in addition to the defense elements 
required under paragraph (a)(1) of this section, that the violation was 
caused by:
    (1) An act in violation of law (other than the Clean Air Act or this 
Part 80), or an act of sabotage or vandalism;
    (2) The action of any refiner, importer, retailer, distributor, 
reseller, oxygenate blender, carrier, retailer or wholesale purchaser-
consumer in violation of a contractual agreement between the branded 
refiner or importer and the person designed to prevent such action, and 
despite periodic sampling and testing by the branded refiner or importer 
to ensure compliance with such contractual obligation; or
    (3) The action of any carrier or other distributor not subject to a 
contract with the refiner or importer, but engaged for transportation of 
diesel fuel, despite specifications or inspections of procedures and 
equipment which are reasonably calculated to prevent such action.
    (c) Causation demonstration. Under paragraph (a)(1) of this section 
for any person to show that a violation was not caused by that person, 
or under paragraph (b) of this section to show that a violation was 
caused by any of the specified actions, the person must demonstrate by 
reasonably specific showing, by direct or circumstantial evidence, that 
the violation was caused or must have been caused by another person and 
that the person asserting the defense did not contribute to that other 
person's causation.
    (d) Quality assurance and testing program. To demonstrate an 
acceptable quality assurance program under paragraph (a)(1)(iii) of this 
section, a person must present evidence of the following:
    (1) A periodic sampling and testing program to ensure the diesel 
fuel or additive the person sold, dispensed, supplied, stored, or 
transported, meets the applicable standards and requirements, including 
the requirements relating to the presence of marker solvent yellow 124.
    (2) For those parties who, at a downstream location, blend diesel 
fuel additives subject to the requirements of Sec.  80.521(b) into fuel 
trucks at a truck loading rack, the periodic sampling and testing 
program required under this paragraph (d) must ensure, by taking into 
account the greater risk of noncompliance created through use of a high 
sulfur additive, that the diesel fuel into which the additive was 
blended meets the applicable standards subsequent to the blending.
    (3) On each occasion when diesel fuel or additive is found not in 
compliance with the applicable standard:
    (i) The person immediately ceases selling, offering for sale, 
dispensing, supplying, offering for supply, storing or transporting the 
non-complying product.
    (ii) The person promptly remedies the violation and the factors that 
caused the violation (for example, by removing the non-complying product 
from the distribution system until the applicable standard is achieved 
and taking steps to prevent future violations of a similar nature from 
occurring).
    (4) For any carrier who transports diesel fuel or additive in a tank 
truck, the quality assurance program required under this paragraph (d) 
need not include its own periodic sampling and testing of the diesel 
fuel or additive in the tank truck, but in lieu of such tank truck 
sampling and testing, the carrier

[[Page 394]]

shall demonstrate evidence of an oversight program for monitoring 
compliance with the requirements of this subpart relating to the 
transport or storage of such product by tank truck, such as appropriate 
guidance to drivers regarding compliance with the applicable sulfur 
standard, product segregation and product transfer document 
requirements, and the periodic review of records received in the 
ordinary course of business concerning diesel fuel or additive quality 
and delivery.
    (e) Alternative defense requirements. A person deemed liable under 
Sec.  80.612(a) for a violation of Sec.  80.610(a)(1), concerning diesel 
fuel that is sold, offered for sale, or dispensed at a retail outlet and 
that does not meet the applicable sulfur content standard under Sec.  
80.520(a)(1), as adjusted under Sec.  80.580(d), may comply with the 
following alternative defense requirements in lieu of the requirements 
in paragraphs (a) through (d) of this section to the extent provided 
for, and subject to the conditions and limitations set forth in this 
paragraph (e):
    (1) Independent survey association. To comply with the alternative 
defense requirements under this paragraph (e), a person must participate 
in the funding of a consortium which arranges to have an independent 
survey association conduct a statistically valid program of annual 
compliance surveys pursuant to a survey plan which has been approved by 
EPA, in accordance with the requirements of paragraphs (e)(2) through 
(e)(4) of this section.
    (2) General requirements. The consortium survey program under this 
paragraph (e) must be:
    (i) Planned and conducted by an independent survey association that 
meets the requirements in Sec.  80.68(c)(13)(i);
    (ii) Conducted at diesel fuel retail outlets nationwide; and
    (iii) Representative of all motor vehicle diesel fuel subject to the 
15 ppm sulfur standard under Sec.  80.520(a)(1) dispensed at diesel fuel 
retail outlets nationwide.
    (3) Independent survey association requirements. The consortium 
described in paragraph (e)(1) of this section shall require the 
independent survey association conducting the surveys to:
    (i) Submit to EPA for approval each calendar year a proposed survey 
plan in accordance with the requirements of paragraph (e)(4) of this 
section.
    (ii) Obtain samples of motor vehicle diesel fuel subject to the 15 
ppm sulfur standard under Sec.  80.520(a)(1) in accordance with the 
survey plan approved under this paragraph (e), or immediately notify EPA 
of any refusal of retail outlets to allow samples to be taken;
    (iii) Test, or arrange to be tested, the samples required under 
paragraph (e)(3)(ii) of this section for sulfur content as follows--
    (A) Samples collected at retail outlets shall be shipped the same 
day the samples are collected via overnight service to the laboratory, 
and analyzed for sulfur content within twenty-four hours after receipt 
of the sample in the laboratory.
    (B) Any laboratory to be used by the independent survey association 
for sulfur testing shall be approved by EPA and its sulfur test method 
shall comply with the provisions of Sec. Sec.  80.584, 80.585 and 
80.586.
    (C) For purposes of the alternative defense requirements in this 
paragraph (e), test results shall be rounded to a whole number using 
ASTM E 29-02 e1, Standard Practice for Using Significant 
Digits in Test Data to Determine Conformance with Specifications, 
rounding method procedures. The Director of the Federal Register 
approved the incorporation by reference of ASTM E 29-02e1 as 
prescribed in 5 U.S.C. 552(a) and 1 CFR part 51. Anyone may purchase 
copies of this standard from ASTM International, 100 Barr Harbor Dr., 
West Conshohocken, PA 19428, (610) 832-9585. Anyone may inspect copies 
at the U.S. EPA, EPA Docket Center, Room 3334, EPA West Building, 1301 
Constitution Ave., NW., Washington, DC 20460, (202) 566-9744, or at the 
National Archives and Records Administration (NARA). For information on 
the availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal-register/cfr/ibr-locations.html.
    (iv) Provide notice of samples with sulfur content greater than the 
15 ppm standard under Sec.  80.520(a)(1), as adjusted under Sec.  
80.580(d), as follows:

[[Page 395]]

    (A) In the case of any test result that is one or two ppm greater 
than the 15 ppm standard under Sec.  80.520(a)(1), as adjusted under 
Sec.  80.580(d), the independent survey association shall, within 
twenty-four hours after the laboratory receives the sample, send 
notification of the test result as follows: In the case of a sample 
collected at a retail outlet at which the brand name of a refiner or 
importer is displayed, to the refiner or importer, and EPA; and in the 
case of a sample collected at other retail outlets, to the retailer and 
EPA. This initial notification to a refiner shall include specific 
information concerning the name and address of the retail outlet, 
contact information, the brand, and the sulfur content of the sample.
    (B) In the case of any test result that is three or more ppm greater 
than the 15 ppm standard under Sec.  80.520(a)(1), as adjusted under 
Sec.  80.580(d), or for a test result that is one or two ppm greater 
than the 15 ppm standard under Sec.  80.520(a)(1), as adjusted under 
Sec.  80.580(d), and the retail outlet has had an exceedance within the 
previous two years, the independent survey association shall, within the 
time limits specified in paragraph (e)(3)(iv)(A) of this section, 
provide notice to the parties described in paragraph (e)(3)(iv)(A) of 
this section. The notice to EPA must include the name and address of the 
retail outlet, and the telephone number, if known.
    (C) The independent survey association shall provide notice to the 
identified contact person or persons for each party specified in 
paragraphs (e)(3)(iv)(A) and (B) of this section in writing (e.g. e-mail 
or facsimile) and, if requested by the identified contact person, by 
telephone.
    (v) Provide to EPA quarterly and annual summary survey reports which 
include the information specified in paragraph (e)(8) of this section.
    (vi) Maintain all records relating to the surveys conducted under 
this paragraph (e) for a period of at least 5 years.
    (vii) At any time permit any representative of EPA to monitor the 
conduct of the surveys, including sample collection, transportation, 
storage, and analysis.
    (4) Survey plan design requirements. The proposed survey plan 
required under paragraph (e)(3)(i) of this section shall, at a minimum, 
include the following:
    (i) Number of surveys. The survey plan shall include four surveys 
each calendar year. The four surveys collectively are called the survey 
series.
    (ii) Sampling areas. The survey plan shall include sampling in three 
types of areas, called sampling strata, during each survey: Densely 
populated areas, transportation corridors and rural areas. These 
sampling strata shall be further divided into discrete sampling areas, 
or clusters. Each survey shall include sampling in at least 40 sampling 
areas in each stratum, randomly selected.
    (iii) No advance notice of surveys. The survey plan shall include 
procedures to keep confidential from any regulated party, but not from 
EPA, the identification of the sampling areas that are included in any 
survey plan prior to the beginning of a survey in an area.
    (iv) Retail outlet selection.
    (A) The retail outlets to be sampled in a sampling area shall be 
selected from among all retail outlets in the sampling area that sell 
motor vehicle diesel fuel subject to the 15 ppm sulfur standard under 
Sec.  80.520(a)(1), with probability of selection proportionate to the 
volume of motor vehicle diesel fuel subject to the 15 ppm sulfur 
standard under Sec.  80.520(a)(1) sold at the retail outlets, and 
inclusion of retail outlets with different brand names and unbranded, if 
possible.
    (B) In the case of any retail outlet from which a sample of motor 
vehicle diesel fuel subject to the 15 ppm sulfur standard under Sec.  
80.520(a)(1) was collected during a survey and determined to have a 
sulfur content that exceeds the 15 ppm sulfur standard under Sec.  
80.520(a)(1), as adjusted under Sec.  80.580(d), that retail outlet 
shall be included in the subsequent survey.
    (C) Only a single sample shall be collected at each retail outlet, 
except that where a retail outlet had a sample from the preceding survey 
with a test result that exceeds the 15 ppm standard under Sec.  
80.520(a)(1), as adjusted under Sec.  80.580(d), separate samples shall 
be taken that represent the diesel fuel

[[Page 396]]

contained in each storage tank containing motor vehicle diesel fuel 
subject to the 15 ppm sulfur standard under Sec.  80.520(a)(1), unless 
collection of separate samples is not practicable (for example, due to 
diesel piping arrangements or pump outages).
    (v) Number of samples. (A) The minimum number of samples to be 
included in the survey plan for each calendar year shall be calculated 
as follows:
[GRAPHIC] [TIFF OMITTED] TR11MY10.288

Where:

n = minimum number of samples in a year-long survey series. However, in 
          no case shall n be larger than 9,600 or smaller than 1,800.
Z[alpha] = upper percentile point from the normal distribution to 
          achieve a one-tailed 95% confidence level (5% [alpha]-level). 
          Thus, Z[alpha] equals 1.645.
Z[beta] = upper percentile point to achieve 95% power. Thus, Z[beta] 
          equals 1.645.
[phis]l = the maximum proportion of stations selling non-
          compliant fuel for the fuel in a region to be deemed 
          compliant. In this test, the parameter needs to be 5% or 
          greater, i.e., 5% or more of the stations, within a stratum 
          such that the region is considered non-compliant. For this 
          survey, [phis]l will be 5%.
[phis]o = the underlying proportion of non-compliant stations in a 
          sample. For calendar year 2011, [phis]owill be 1.9%. For 
          calendar years 2012 and beyond, [phis]o will be the average of 
          the proportion of stations to be non-compliant over the 
          previous four surveys.
Stn = number of sampling strata. For purposes of this survey 
          program, Stn equals 3.
Fa = adjustment factor for the number of extra samples 
          required to compensate for collected samples that cannot be 
          included in the survey, based on the number of additional 
          samples required during the previous four surveys. However, in 
          no case shall the value of Fa be smaller than 1.1. 
          For purposes of this adjustment factor, a sample shall be 
          treated as one that can be included in the survey only if the 
          fuel was offered for sale as motor vehicle diesel fuel subject 
          to the 15 ppm sulfur standard under Sec.  80.520(a)(1) at the 
          retail outlet where the sample was collected and if an 
          appropriate laboratory analysis of this fuel is conducted.
Fb = adjustment factor for the number of samples required to 
          resample each retail outlet with test results greater than 17 
          ppm (resampling), based on the rate of resampling required 
          during the previous four surveys. However, in no case shall 
          the value of Fb be smaller than 1.1.
Sun = number of surveys per year. For purposes of this survey 
          program, Sun equals 4.

    (B) The number of samples obtained from the formula in paragraph 
(e)(4)(v)(A) of this section, after being incremented as necessary to 
allocate whole numbers of samples to each cluster, shall be distributed 
approximately equally for the surveys conducted during the calendar 
year. Within a survey, the samples shall be divided approximately 
equally for the three strata.
    (5) Sulfur test result that is one or two ppm Greater than the 15 
ppm standard under Sec.  80.520(a)(1), as adjusted under Sec.  
80.580(d). The following provisions apply if the tested sulfur level of 
a diesel fuel sample collected by the independent survey association is 
one or two ppm greater than the 15 ppm standard under Sec.  
80.520(a)(1), as adjusted under Sec.  80.580(d).
    (i) Branded refiner or importer. Where the sample was collected at a 
retail outlet at which the brand name of a refiner or importer is 
displayed, the branded refiner or importer will be deemed to have 
established its defense under this section, provided that the refiner or 
importer participates in a consortium as described in paragraph (e)(1) 
of this section, and provided that the refiner or importer also 
demonstrates the following:
    (A) The sulfur content of the diesel fuel at the terminal(s) that 
most recently supplied the retail outlet was no greater than 15 ppm 
prior to adjustment under Sec.  80.580(d) when dispensed for delivery to 
the retail outlet;

[[Page 397]]

    (B) Best efforts and accepted business practices are used by parties 
downstream from the refiner or importer to avoid diesel fuel 
contamination. These would include, for example, procedures for ensuring 
motor vehicle diesel fuel subject to the 15 ppm sulfur standard under 
Sec.  80.520(a)(1) is not contaminated in delivery trucks, and 
procedures for ensuring delivery truck drivers can identify retail 
outlet drop points for motor vehicle diesel fuel subject to the 15 ppm 
sulfur standard under Sec.  80.520(a)(1).
    (C) Upon receiving the notification required under paragraph 
(e)(3)(iv)(A) of this section, any pumps supplied by the retail storage 
tank where the noncompliant diesel fuel was found were shutdown until 
such time that the fuel at issue was retested and the sulfur content of 
the fuel was found to be no greater than the 15 ppm standard under Sec.  
80.520(a)(1), as adjusted under Sec.  80.580(d). Prior to May 31, 2010, 
as an alternative to shutting down pumps supplied by the retail storage 
tank where the noncompliant diesel fuel was found, such pumps may be 
relabeled with the language required under Sec.  80.571(b). The steps 
required in this paragraph (e)(5)(i)(C) must be taken as soon as 
practicable after receiving the notification required under paragraph 
(e)(3)(iv)(A) of this section, which normally will be within the same 
business day, but no longer than twenty-four hours after notification is 
received unless the refiner or importer demonstrates this timing is not 
possible.
    (D) A root cause analysis is performed to determine the cause of the 
noncompliant diesel fuel and appropriate actions are taken to prevent 
future violations.
    (E) The independent survey association samples and retests the 
diesel fuel at the retail outlet during its next survey, in addition to 
the scheduled sampling and testing under the approved survey program.
    (F) The refiner or importer submits a report to EPA no later than 
120 days following the date the sample was collected at the retail 
outlet, which includes the information specified in paragraph (e)(7) of 
this section.
    (G) The refiner or importer supplies EPA with copies of the 
contracts with downstream parties specified in Sec.  80.613(b)(2) or the 
specifications or inspections of procedures and equipment described in 
Sec.  80.613(b)(3), as appropriate, which are designed to prevent the 
contamination of motor vehicle diesel fuel subject to the 15 ppm sulfur 
standard under Sec.  80.520(a)(1).
    (ii) Unbranded refiner or importer. Any unbranded refiner or 
importer that is deemed liable under Sec.  80.612(a) for a violation of 
Sec.  80.610(a)(1), concerning diesel fuel that is sold, offered for 
sale, or dispensed at a retail outlet and that does not meet the 
applicable sulfur content standard under Sec.  80.520(a)(1), as adjusted 
under Sec.  80.580(d), will be deemed to have established its defense 
under this section if the unbranded refiner or importer is a member of 
the consortium described in paragraph (e)(1) of this section and the 
refiner or importer meets the requirements of paragraphs (e)(5)(i)(A) 
through (F) of this section.
    (iii) Distributor or retailer. Any distributor (e.g., pipeline, 
terminal operator, marketer, truck carrier) or retailer that is deemed 
liable under Sec.  80.612(a) for a violation of Sec.  80.610(a)(1), 
concerning diesel fuel that is sold, offered for sale, or dispensed at a 
retail outlet and that does not meet the applicable sulfur content 
standard under Sec.  80.520(a)(1), as adjusted under Sec.  80.580(d), 
will be deemed to have established its defense under this section, 
provided that, within two years prior to the time the diesel fuel sample 
was collected by the independent survey association, the retail outlet 
had no instances where the tested sulfur level of a diesel fuel sample 
was greater than the 15 ppm standard under Sec.  80.520(a)(1), as 
adjusted under Sec.  80.580(d); and
    (A) Where the retailer displays the brand name of a refiner or 
importer, the requirements in paragraphs (e)(5)(i) of this section are 
met by the branded refiner or importer; or
    (B) Where the branded refiner or importer has elected not to 
participate in a consortium as described in paragraph (e)(1) of this 
section, or where the retailer does not display the brand name of a 
refiner or importer, the distributor or retailer is a member of the 
consortium described in paragraph (e)(1) of

[[Page 398]]

this section and the distributor or retailer meets the requirements in 
paragraphs (e)(5)(i)(A) through (F) of this section.
    (C) If within two years prior to the time the diesel fuel sample was 
collected by the independent survey association, the retail outlet had 
an instance where the tested sulfur level of a diesel fuel sample was 
greater than the 15 ppm standard under Sec.  80.520(a)(1), as adjusted 
under Sec.  80.580(d), any distributor or retailer that is deemed liable 
for a violation under Sec.  80.612 will be deemed to have established 
its defense under this section if the party meets the requirements under 
paragraph (e)(5)(iii)(A) or (B) of this section (in lieu of the 
requirement in paragraph (a)(1)(iii) of this section), and the party 
meets the requirements under paragraphs (a)(1)(i), (a)(1)(ii), and (c) 
of this section.
    (6) Sulfur test result that is three or more ppm Greater than the 15 
ppm standard under Sec.  80.520(a)(1), as adjusted under Sec.  
80.580(d). The following provisions apply if the tested sulfur level of 
a diesel fuel sample collected by the independent survey association is 
three or more ppm greater than the 15 ppm standard under Sec.  
80.520(a)(1), as adjusted under Sec.  80.580(d):
    (i) Branded refiner or importer. Any branded refiner or importer 
that is deemed liable under Sec.  80.612(a) for a violation of Sec.  
80.610(a)(1), concerning diesel fuel that is sold, offered for sale, or 
dispensed at a retail outlet and that does not meet the applicable 
sulfur content standard under Sec.  80.520(a)(1), as adjusted under 
Sec.  80.580(d), will be deemed to have established its defense under 
this section if the refiner or importer meets the requirements under 
paragraph (e)(5)(i) of this section and meets the requirements under 
paragraphs (a)(1)(i), (a)(1)(ii), (b)(1), (b)(2), (b)(3), and (c) of 
this section.
    (ii) Unbranded refiner or importer. Any unbranded refiner or 
importer that is deemed liable under Sec.  80.612(a) for a violation of 
Sec.  80.610(a)(1), concerning diesel fuel that is sold, offered for 
sale, or dispensed at a retail outlet and that does not meet the 
applicable sulfur content standard under Sec.  80.520(a)(1), as adjusted 
under Sec.  80.580(d), will be deemed to have established its defense 
under this section if the refiner or importer meets the requirements 
under paragraph (e)(5)(ii) of this section and meets the requirements 
under paragraphs (a)(1)(i), (a)(1)(ii), (a)(1)(iv), and (c) of this 
section.
    (iii) Distributor or retailer. Any distributor or retailer that is 
deemed liable under Sec.  80.612(a) for a violation of Sec.  
80.610(a)(1), concerning diesel fuel that is sold, offered for sale, or 
dispensed at a retail outlet and that does not meet the applicable 
sulfur content standard under Sec.  80.520(a)(1), as adjusted under 
Sec.  80.580(d), will be deemed to have established its defense under 
this section if the requirements under paragraph (e)(5)(iii)(A) or (B) 
of this section, as appropriate, are met, and the distributor or 
retailer meets the requirements under paragraphs (a)(1)(i), (a)(1)(ii), 
and (c) of this section. Distributors that blend a diesel fuel additive 
subject to the requirements of Sec.  80.521(b) into motor vehicle diesel 
fuel subject to the 15 ppm sulfur standard under Sec.  80.520(a) must 
also meet the requirement under paragraph (a)(1)(iv) of this section.
    (7) Report regarding motor vehicle diesel fuel subject to the 15 ppm 
sulfur standard under Sec.  80.520(a)(1) with high sulfur content. The 
report that is required to be submitted to EPA under paragraph 
(e)(5)(i)(F) of this section shall contain the following information:
    (i) The name, address and contact information for the regulated 
party submitting the report;
    (ii) The name, address and contact information for the retail outlet 
where the high sulfur diesel fuel was found;
    (iii) The brand name of the refiner or importer displayed at the 
retail outlet, if any;
    (iv) The date of sampling, the analysis results, and the label that 
appeared on the pump where the sample was collected.
    (v) For each of the most recent three deliveries (i.e., the three 
deliveries that immediately preceded the taking of the violating sample) 
of diesel fuel to the retail outlet storage tank at issue, or the most 
recent five deliveries if the cause of the violation is not demonstrated 
following analysis of the most recent three deliveries:

[[Page 399]]

    (A) A copy of the product transfer documents for the delivery;
    (B) The name, address and contact information for the terminal and 
truck distributor that supplied the diesel fuel;
    (C) The date of delivery and the volume of diesel fuel delivered;
    (D) The designation of the diesel fuel on the product transfer 
document;
    (E) The test results (or other evidence of the diesel sulfur 
content) for the diesel fuel in the terminal tank from which the 
delivery truck was loaded, and copies of the test result reports; and
    (F) A description of the procedures used by the truck distributor to 
avoid diesel contamination (e.g., dedicated trucks).
    (vi) A description of any actions taken to prevent sale of the 
noncompliant diesel fuel, including:
    (A) The date and time the regulated party was notified of the high 
sulfur test result, the date and time the retailer was notified, and the 
date and time the sale of motor vehicle diesel fuel subject to the 15 
ppm sulfur standard under Sec.  80.520(a)(1) was suspended;
    (B) A description of the actions taken to prevent sale of the 
noncompliant diesel fuel; and
    (C) The date and time that sales of motor vehicle diesel fuel 
subject to the 15 ppm sulfur standard under Sec.  80.520(a)(1) from the 
retail storage tank at issue were resumed, the results of the test used 
to establish the fuel met applicable standards, and a copy of the test 
result report.
    (vii) A description of the root-cause analysis required in paragraph 
(e)(5)(i)(D) of this section, including:
    (A) A description of the investigation conducted to determine the 
root-cause of the noncompliant diesel fuel, and the conclusions reached 
as a result of this investigation; and
    (B) A description of the steps taken to prevent future problems from 
the identified cause.
    (8) Summary survey reports. The quarterly and annual summary survey 
reports required under paragraph (e)(3)(v) of this section shall include 
the following information:
    (i) The identification of each sampling area included in a survey 
and the dates that the samples were collected in that area;
    (ii) For each retail outlet sampled:
    (A) The identification of the retail outlet;
    (B) The refiner or importer brand name displayed, if any;
    (C) The pump labeling; and
    (D) The sample test result.
    (iii) Sulfur level summary statistics by brand and unbranded for 
each sampling area, strata, survey and annual survey series. These 
summary statistics shall:
    (A) Include the number of samples, and the average, median and range 
of sulfur levels; and
    (B) Be provided separately for the diesel fuel samples from pumps 
labeled as dispensing motor vehicle diesel fuel subject to the 15 ppm 
sulfur standard under Sec.  80.520(a)(1), motor vehicle diesel fuel 
subject to the 500 ppm sulfur standard under Sec.  80.520(c), and pumps 
that are not labeled.
    (iv) The quarterly reports required under this paragraph (e)(8) are 
due sixty days following the end of the quarter. The annual reports 
required under this paragraph (e)(8) are due sixty days following the 
end of the calendar year.
    (v) The reports required under this paragraph (e)(8) shall be 
submitted to EPA in both electronic spreadsheet and hard copy form.
    (9) EPA inspections. If EPA inspects any facility and determines 
that the sulfur content of diesel fuel exceeds the 15 ppm standard under 
Sec.  80.520(a)(1), as adjusted under Sec.  80.580(d), liability for 
such sulfur content violation under Sec.  80.612 will be treated as 
provided in paragraph (e)(6) of this section for branded refiners or 
distributors that participate in the consortium under this paragraph 
(e). Any other party deemed liable for a violation under Sec.  80.612 
must establish a defense under paragraphs (a) through (d) of this 
section, as applicable.
    (10) Procedures for obtaining approval of survey plan. The procedure 
for obtaining EPA approval of a survey plan under this paragraph (e), 
and for revocation of such approval, is as follows:
    (i) A survey plan that complies with the requirements of this 
paragraph (e) must be submitted to EPA no later

[[Page 400]]

than November 1 of the year preceding the calendar year in which the 
surveys will be conducted;
    (ii) The survey plan must be signed by a responsible officer of the 
consortium which arranges to have an independent surveyor conduct the 
survey program;
    (iii) The survey plan must be sent to the following address: 
Director, Compliance and Innovative Strategies Division, U.S. 
Environmental Protection Agency, 1200 Pennsylvania Ave., NW. Mail Code 
6506J, Washington, DC 20460;
    (iv) EPA will send a letter to the party submitting a survey plan 
under this section, either approving or disapproving the survey plan;
    (v) EPA may revoke any approval of a survey plan under this section 
for cause, including an EPA determination that the approved survey plan 
has proved to be inadequate in practice or that it was not diligently 
implemented;
    (vi) The approving official for a survey plan under this section is 
the Director of the Compliance and Innovative Strategies Division, 
Office of Transportation and Air Quality.
    (vii) Any notifications or reports required to be submitted to EPA 
under this paragraph (e) must be directed to the official designated in 
paragraph (e)(10)(vi) of this section.
    (11) Independent surveyor contract. (i) No later than December 1 of 
the year preceding the year in which the surveys will be conducted, the 
contract with the independent surveyor shall be in effect, and an amount 
of money necessary to carry out the entire survey plan shall be paid to 
the independent surveyor or placed into an escrow account with 
instructions to the escrow agent to pay the money to the independent 
surveyor during the course of the conduct of the survey plan.
    (ii) No later than December 15 of the year preceding the year in 
which the surveys will be conducted, EPA must receive a copy of the 
contract with the independent surveyor, proof that the money necessary 
to carry out the survey plan has either been paid to the independent 
surveyor or placed into an escrow account, and, if placed into an escrow 
account, a copy of the escrow agreement, to be sent to the official 
designated in paragraph (e)(10)(vi) of this section.
    (12) Failure to fulfill requirements. A failure to fulfill or cause 
to be fulfilled any of the requirements of this paragraph (e) will cause 
the option to use the alternative quality assurance requirement under 
this paragraph (e) to be void ab initio.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39204, June 29, 2004; 70 
FR 40899, July 15, 2005; 75 FR 22977, Apr. 30, 2010; 75 FR 26127, May 
11, 2010; 79 FR 42159, July 18, 2014]



Sec.  80.614  What are the alternative defense requirements in
lieu of Sec. 80.613(a)(1)(vi)?

    Any person who blends a MVNRLM diesel fuel additive package into 
MVNRLM diesel fuel subject to the 15 ppm sulfur standards of Sec.  
80.510(b) or (c) or Sec.  80.520(a) which contains a static dissipater 
additive that has a sulfur content greater than 15 ppm but whose 
contribution to the sulfur content of the MVNRLM diesel fuel is less 
than 0.4 ppm at its maximum recommended concentration, and/or red dye 
that has a sulfur content greater than 15 ppm but whose contribution to 
the sulfur content of the MVNRLM diesel fuel is less than 0.04 ppm at 
its maximum recommended concentration, and which contains no other 
additives with a sulfur content greater than 15 ppm must establish all 
the following in order to use this section as an alternative to the 
defense element under Sec.  80.613(a)(1)(vi):
    (a)(1) The blender of the additive package has a sulfur content test 
result for the MVNRLM diesel fuel prior to blending of the additive 
package that indicates that the additive package, when added, will not 
cause the MVNRLM diesel fuel sulfur content to exceed 15 ppm sulfur.
    (2) In cases where the storage tank that contains MVNRLM diesel fuel 
prior to additization contains multiple fuel batches, the blender of the 
additive package must have sulfur test results on each batch of MVNRLM 
diesel fuel that was added to the storage tank during the current and 
previous volumetric accounting reconciliation (VAR) periods, which 
indicates that the additive package, when added to the component MVNRLM 
diesel fuel

[[Page 401]]

batch in the storage tank with the highest sulfur level would not cause 
that component batch to exceed 15 ppm sulfur.
    (b) The VAR standard is attained as determined under the provisions 
of this section. The VAR reconciliation standard is attained when the 
actual concentration of the additive package used per the VAR formula 
record under paragraph (f) of this section is less than the 
concentration that would have caused any batch of MVNRLM diesel fuel to 
exceed a sulfur content of 15 ppm given the maximum sulfur test result 
on any MVNRLM diesel fuel batch described in paragraph (a) of this 
section that is additized with the additive package during the VAR 
period.
    (c) The product transfer document complies with the applicable 
sulfur information requirements of Sec.  80.591.
    (d) If more than one additive package containing a static dissipater 
additive and/or red dye is used during a VAR period, then a separate VAR 
formula record must be created for MVNRLM diesel fuel additized for each 
of the additive packages used. In such cases, the amount of the each 
additive package used must be accurately and separately measured, either 
through the use of a separate storage tank, a separate meter, or some 
other measurement system that is able to accurately distinguish its use.
    (e) Recorded volumes of MVNRLM diesel fuel and the additive package 
must be expressed to the nearest gallon (or smaller units), except that 
additive package volumes of five gallons or less must be expressed to 
the nearest tenth of a gallon (or smaller units). However, if the 
blender's equipment cannot accurately measure to the nearest tenth of a 
gallon, then such volumes must be rounded upward to the next higher 
gallon for purposes of determining compliance with this section.
    (f) Each VAR formula record must also contain the following 
information:
    (1) Automated blending facilities. In the case of an automated 
additive package blending facility, for each VAR period, for each 
storage system for an additive package containing a static dissipater 
additive and/or red dye, and each additive package in that storage 
system, the following must be recorded:
    (i)(A) The manufacturer and commercial identifying name of the 
package being reconciled, the maximum recommended treatment level, the 
potential contribution to the sulfur content of the finished fuel that 
might result when the additive package is used at its maximum 
recommended treatment level, the intended treatment level, and the 
contribution to the sulfur content of the finished fuel that would 
result when the additive package is used at its intended treatment 
level. The intended treatment level is the treatment level that the 
additive injection equipment is set to.
    (B) The maximum recommended treatment level and the intended 
treatment level must be expressed in terms of gallons of the additive 
package per thousand gallons of MVNRLM diesel fuel, and expressed to 
four significant figures. If the additive package storage system which 
is the subject of the VAR formula record is a proprietary system under 
the control of a customer, this fact must be indicated on the record.
    (ii) The total volume of the additive package blended into MVNRLM 
diesel fuel, in accordance with one of the following methods, as 
applicable.
    (A) For a facility which uses in-line meters to measure usage, the 
total volume of additive package measured, together with supporting data 
which includes one of the following: the beginning and ending meter 
readings for each meter being measured, the metered batch volume 
measurements for each meter being measured, or other comparable metered 
measurements. The supporting data may be supplied on the VAR formula 
record or in the form of computer printouts or other comparable VAR 
supporting documentation.
    (B) For a facility which uses a gauge to measure the inventory of 
the additive package storage tank, the total volume of additive package 
shall be calculated from the following equation:

Additive package volume = (A) - (B) + (C) - (D)

Where:

A = Initial additive package inventory of the tank
B = Final additive package inventory of the tank

[[Page 402]]

C = Sum of any additions to additive package inventory
D = Sum of any withdrawals from additive package inventory for purposes 
          other than the additization of MVNRLM diesel fuel.

    (C) The value of each variable in the equation in paragraph 
(f)(1)(ii)(B) of this section must be separately recorded on the VAR 
formula record. In addition, a list of each additive package addition 
included in variable C and a list of each additive package withdrawal 
included in variable D must be provided, either on the formula record or 
as VAR supporting documentation.
    (iii) The total volume of MVNRLM diesel fuel to which the additive 
package has been added, together with supporting data which includes one 
of the following: the beginning and ending meter measurements for each 
meter being measured, the metered batch volume measurements for each 
meter being measured, or other comparable metered measurements. The 
supporting data may be supplied on the VAR formula record or in the form 
of computer printouts or other comparable VAR supporting documentation.
    (iv) The actual concentration of the additive package, calculated as 
the total volume of the additive package added (pursuant to paragraph 
(f)(1)(ii) of this section), divided by the total volume of MVNRLM 
diesel fuel (pursuant to paragraph (f)(1)(iii) of this section). The 
concentration must be calculated and recorded to 4 significant figures.
    (v) A list of each additive package concentration rate set for the 
additive package that is the subject of the VAR record, together with 
the date and description of each adjustment to any initially set 
concentration. The concentration adjustment information may be supplied 
on the VAR formula record or in the form of computer printouts or other 
comparable VAR supporting documentation. No concentration setting is 
permitted above the maximum recommended concentration supplied by the 
additive manufacturer, except as described in paragraph (f)(1)(vii) of 
this section.
    (vi) The dates of the VAR period, which shall be no longer than 
thirty-one days. If the VAR period is contemporaneous with a calendar 
month, then specifying the month will fulfill this requirement; if not, 
then the beginning and ending dates and times of the VAR period must be 
listed. The times may be supplied on the VAR formula record or in 
supporting documentation. Any adjustment to any additive package 
concentration rate initially set in the VAR period shall terminate that 
VAR period and initiate a new VAR period, except as provided in 
paragraph (f)(1)(vii) of this section.
    (vii) The concentration setting for the additive package injector 
may be changed from the concentration initially set in the VAR period 
without terminating that VAR period, provided that:
    (A) The purpose of the change is to correct a batch under-
additization prior to the end of the VAR period and prior to the 
transfer of the batch to another party, or to correct an equipment 
malfunction where there has been no over-additization of the additive;
    (B) The concentration is immediately returned after the correction 
to a concentration that fulfills the requirements of this paragraph (f);
    (C) The blender creates and maintains documentation establishing the 
date and adjustments of the correction; and
    (D) If the correction is initiated only to rectify an equipment 
malfunction, and the amount of additive package used in this procedure 
is not added to MVNRLM diesel fuel within the compliance period, then 
this amount is subtracted from the additive package volume listed on the 
VAR formula record. In such a case, the addition of this amount of 
additive must be reflected in the following VAR period.
    (viii) The measured sulfur level for each batch of MVNRLM diesel 
fuel to which the additive package is added during each VAR period. In 
cases where the storage tank that contains MVNRLM diesel fuel prior to 
additization contains multiple fuel batches, a measured sulfur level on 
each batch added to the storage tank during the current and previous VAR 
periods must be recorded.

[[Page 403]]

    (2) Non-automated facilities. In the case of a facility in which 
hand blending or any other non-automated method is used to blend the 
additive packages, for each additive package and for each batch of 
MVNRLM diesel fuel to which the additive package is being added, the 
following shall be recorded:
    (i) The manufacturer and commercial identifying name of the additive 
package being reconciled, the maximum recommended treatment level, the 
potential contribution to the sulfur content of the finished fuel that 
might result when the additive package is used at its maximum 
recommended treatment level, the intended treatment level, and the 
contribution to the sulfur content of the finished fuel that would 
result when the additive package is used at its intended treatment 
level.
    (A) The maximum recommended treatment level and the intended 
treatment level must be expressed in terms of gallons of additive 
package per thousand gallons of MVNRLM diesel fuel, and expressed to 
four significant figures.
    (B) If the additive package storage system which is the subject of 
the VAR formula record is a proprietary system under the control of a 
customer, this fact must be indicated on the record.
    (ii) The date of the additization that is the subject of the VAR 
formula record.
    (iii) The volume of added additive package.
    (iv) The volume of the MVNRLM diesel fuel to which the additive 
package has been added.
    (v) The brand (if known) of MVNRLM diesel fuel.
    (vi) The actual additive package concentration, calculated as the 
volume of added additive package (pursuant to paragraph (f)(1)(ii)(B) of 
this section), divided by the volume of MVNRLM diesel fuel (pursuant to 
paragraph (f)(1)(iii) of this section). The concentration must be 
calculated and recorded to four significant figures.
    (vii) The measured sulfur level for each batch of MVNRLM diesel fuel 
to which the additive package is added during each VAR period. In cases 
where the storage tanks that contains MVNRLM diesel fuel prior to 
additization contains multiple fuel batches, a measured sulfur level on 
each batch added to the storage tank during the current and previous VAR 
periods must be recorded.
    (3) VAR formula records. Every VAR formula record created pursuant 
to paragraphs (f)(1) and (f)(2) of this section shall contain the 
following:
    (i) The signature of the creator of the VAR record;
    (ii) The date of the creation of the VAR record; and
    (iii) A certification of correctness by the creator of the VAR 
record.
    (4) Electronically-generated VAR formula and supporting records. (i) 
Electronically-generated records are acceptable for VAR formula records 
and supporting documentation (including PTDs), provided that they are 
complete, accessible, and easily readable. VAR formula records must also 
be stored with access and audit security, which must restrict to a 
limited number of specified people those who have the ability to alter 
or delete the records. In addition, parties maintaining records 
electronically must make available to EPA the hardware and software 
necessary to review the records.
    (ii) Electronically-generated VAR formula records may use an 
electronic user identification code to satisfy the signature 
requirements of paragraph (f)(3)(i) of this section, provided that:
    (A) The use of the identification is limited to the record creator; 
and
    (B) A paper record is maintained, which is signed and dated by the 
VAR formula record creator, acknowledging that the use of that 
particular user ID on a VAR formula record is equivalent to his/her 
signature on the document.
    (5) Calibration requirements for automated blending facilities. 
Automated static dissipater additive package blenders must calibrate 
their additive package equipment at least once in each calendar half 
year, with the acceptable calibrations being no less than one hundred 
twenty days apart, except that calibrations may be closer in time so 
long as at least two calibrations meet the requirements to be in 
separate halves of the calendar year and no less than 120 days apart. 
Equipment recalibration is also required each time the static dissipater 
additive package

[[Page 404]]

is changed, unless written documentation indicates that the new additive 
package has the same viscosity as the previous additive package. 
Additive package change calibrations may be used to satisfy the 
semiannual requirement provided that the calibrations occur in the 
appropriate half calendar year and are no less than one hundred twenty 
days apart.
    (6) Additional VAR documentation. The following VAR supporting 
documentation must also be created and maintained:
    (i) For all automated additive package blending facilities, 
documentation reflecting performance of the calibrations required by 
paragraph (f)(5) of this section, and any associated adjustments of the 
automated additive package injection equipment;
    (ii) For all blending facilities that blend an additive package 
containing a static dissipater additive and/or red dye, product transfer 
documents for all such additive packages, and MVNRLM diesel fuel 
transferred into or out of the facility that is additized with an 
additive package containing a static dissipater additive and/or red dye;
    (iii) For all automated additive package blending facilities that 
use an additive package containing a static dissipater additive and/or 
red dye, documentation establishing the brands (if known) of the MVNRLM 
diesel fuel which is the subject of the VAR formula record; and
    (iv) For all hand blenders of an additive package that contains a 
static dissipater additive and/or red dye, the documentation, if in the 
party's possession, supporting the volumes of MVNRLM diesel fuel and 
additive package reported on the VAR formula record.
    (7) Document retention and availability. All blenders of an additive 
package that contains a static dissipater additive and/or red dye shall 
retain the documents required under this section for a period of five 
years from the date the VAR formula records and supporting documentation 
are created, and shall deliver them upon request to the EPA 
Administrator or the Administrator's authorized representative.
    (i) Except as provided in paragraph (f)(7)(iii) of this section, 
automated additive package blender facilities and hand-blender 
facilities which are terminals, which physically blend an additive 
packages that contains a static dissipater additive and/or red dye into 
MVNRLM diesel fuel, must make immediately available to EPA, upon 
request, the preceding twelve months of VAR formula records plus the 
preceding two months of VAR supporting documentation.
    (ii) Except as provided in paragraph (f)(7)(iii) of this section, 
other hand-blending additive package facilities which physically blend 
additive package that contains a static dissipater additive and/or red 
dye into MVNRLM diesel fuel must make immediately available to EPA, upon 
request, the preceding two months of VAR formula records and VAR 
supporting documentation.
    (iii) Facilities which have centrally maintained records at other 
locations, or have customers who maintain their own records at other 
locations for their proprietary additive package injection systems, and 
which can document this fact to the Agency, may have until the start of 
the next business day after the EPA request to supply VAR supporting 
documentation, or longer if approved by the Agency.
    (iv) In this paragraph (f)(7), the term ``immediately available'' 
means that the records must be provided, electronically or otherwise, 
within approximately one hour of EPA's request, or within a longer time 
frame as approved by EPA.

[69 FR 39205, June 29, 2004, as amended at 71 FR 25723, May 1, 2006]



Sec.  80.615  What penalties apply under this subpart?

    (a) Any person liable for a violation under Sec.  80.612 is subject 
to civil penalties as specified in section 205 of the Clean Air Act (42 
U.S.C. 7524) for every day of each such violation and the amount of 
economic benefit or savings resulting from each violation.
    (b)(1) Any person liable under Sec.  80.612(a)(1) for a violation of 
an applicable standard or requirement under this Subpart I or for 
causing another party to violate such standard or requirement, is 
subject to a separate day of violation for each and every day the

[[Page 405]]

non-complying diesel fuel remains any place in the distribution system.
    (2) Any person liable under Sec.  80.612(a)(2) for causing motor 
vehicle diesel fuel, NRLM diesel fuel, ECA marine fuel, heating oil, or 
other distillate fuel to be in the distribution system which does not 
comply with an applicable standard or requirement of this subpart I, 
except as allowed under 40 CFR part 1043, is subject to a separate day 
of violation for each and every day that the noncomplying fuel remains 
any place in the diesel fuel distribution system.
    (3) Any person liable under Sec.  80.612(a)(1) for blending into 
diesel fuel an additive violating the applicable sulfur standard 
pursuant to the requirements of Sec.  80.521(a) or (b), as applicable, 
or of causing another party to so blend such an additive, is subject to 
a separate day of violation for each and every day the motor vehicle 
diesel fuel or NRLM diesel fuel into which the noncomplying additive was 
blended, remains any place in the fuel distribution system.
    (4) For purposes of this paragraph (b):
    (i) The length of time the motor vehicle diesel fuel, NRLM diesel 
fuel, ECA marine fuel, heating oil, or other distillate fuel in question 
remained in the diesel fuel distribution system is deemed to be 25 days, 
except as further specified in paragraph (b)(4)(ii) of this section.
    (ii) The length of time is deemed not to be 25 days if a person 
subject to liability demonstrates by reasonably specific showings, by 
direct or circumstantial evidence, that the non-complying motor vehicle, 
NR diesel fuel, NRLM diesel fuel, ECA marine fuel, heating oil, or 
distillate fuel remained in the distribution system for fewer than or 
more than 25 days.
    (c) Any person liable under Sec.  80.612(b) for failure to meet, or 
causing a failure to meet, a provision of this subpart is liable for a 
separate day of violation for each and every day such provision remains 
unfulfilled.

[69 FR 39208, June 29, 2004, as amended at 75 FR 22977, Apr. 30, 2010]



Sec.  80.616  What are the enforcement exemptions for California
diesel distributed within the State of California?

    (a) For the purpose of this section, ``California diesel fuel'' is 
defined as any diesel fuel physically within the State of California 
that satisfies all requirements of Title 13, California Code of 
Regulations, Sections 2281-2285, and is sold, intended for sale, or made 
available for sale as a motor fuel in the State of California, 
subsequent to May 31, 2006.
    (b) Any retailer or wholesale purchaser-consumer of California 
diesel fuel is, with regard to such diesel fuel, exempt from the 
labeling requirements contained in Sec. Sec.  80.570, 80.571, 80.572, 
80.573, and 80.574.
    (c)(1) Any refiner, importer, or distributor of California diesel 
fuel is, with regard to such diesel fuel, exempt from the product 
transfer requirements of Sec.  80.590, provided that the product 
transfer document contains the following statement:

    ``California diesel fuel. Maximum 15 ppm sulfur.''

    (2) Product codes may be used to satisfy this product transfer 
document requirement.
    (d) Any refiner, importer, or distributor of California diesel fuel 
is, with regard to such diesel fuel, exempt from the designation 
requirements of Sec.  80.598, provided that:
    (1) The refiner, importer, or distributor does not transfer custody 
of the California diesel fuel to facility outside the State of 
California;
    (2) The fuel is intended to be sold or made available for sale in 
the State of California; and
    (3) The PTD requirements in paragraph (f) of the section are 
satisfied.
    (e) Any refiner, importer, or distributor of California diesel fuel 
is, with regard to such diesel fuel, exempt from the volume balance 
requirements of Sec.  80.599.
    (f) Any refiner, importer, or distributor of California diesel fuel 
is, with regard to such diesel fuel, exempt from the recordkeeping 
requirements under designate and track provisions of Sec.  80.600.

[[Page 406]]

    (g) Any refiner, importer, or distributor of California diesel fuel 
is, with regard to such diesel fuel, exempt from the reporting 
requirements for the purposes of the designate and track provisions of 
Sec.  80.601.
    (h) Any refiner, importer, or distributor of California diesel fuel 
is, with regard to such diesel fuel, exempt from the recordkeeping 
requirements for entities in the MV or NRLM diesel fuel and diesel fuel 
additive production, importation, and distribution systems of Sec. Sec.  
80.592 and 80.602 except those relating to sampling and testing, under 
Sec. Sec.  80.581, 80.584, 80.585, and 80.586.
    (i) Any refiner or importer of California diesel fuel is, with 
regard to such diesel fuel, exempt from the annual reporting 
requirements for NRLM diesel under Sec.  80.604.

[71 FR 25725, May 1, 2006]



Sec.  80.617  How may California diesel fuel be distributed or sold
outside of the State of California?

    California diesel may be distributed or sold outside of the State of 
California provided the provisions of either paragraph (a) or (b) of 
this section are satisfied:
    (a) Distribution of taxed or dyed California diesel fuel. California 
diesel fuel that is distributed from a truck loading terminal after such 
diesel has been taxed or dyed may be distributed or sold outside of the 
State of California, provided that it is accompanied by a Product 
Transfer Document that states: ``California diesel fuel. Maximum 15 ppm 
sulfur.''; or
    (b) Distribution of untaxed and undyed diesel California diesel 
fuel. California diesel may be distributed or sold outside of the State 
of California without having been dyed or taxed provided that the 
requirements of either paragraph (b)(1) or (b)(2) of this section are 
satisfied. (Note that the requirements of IRS code 26 CFR part 48 along 
with other applicable requirements outside of this 40 CFR part 80 
subpart I must also be satisfied.)
    (1)(i) Prior to shipment outside the State of California, the 
California diesel fuel meets all requirements of Sec.  80.616 and meets 
all of the requirements of 40 CFR part 80, subpart I that are not 
exempted under this section;
    (ii) The California diesel fuel is shipped out of the state via 
pipeline;
    (iii) The pipeline shipping the California diesel out of state 
maintains the California diesel fuel designation while the product is in 
the pipeline's custody;
    (iv) The pipeline provides a product transfer document that clearly 
indicates that the product is designated as California diesel fuel;
    (v) Upon delivery into the terminal, the terminal receiving the 
California diesel fuel redesignates it as motor vehicle diesel meeting 
the 15 ppm sulfur standard; and
    (vi) The terminal includes the volumes of California diesel fuel 
redesignated as motor vehicle diesel fuel in the total volume of motor 
vehicle diesel designated meeting the 15 ppm sulfur standard received by 
the terminal, per the volume balance and anti-downgrading equations for 
motor vehicle diesel fuel found in Sec.  80.599(b) and (e).
    (2)(i) The California diesel fuel is delivered via pipeline to a 
terminal outside the State of California that has a tank dedicated to 
the receipt of California diesel fuel and which intends to distribute 
the diesel fuel from the dedicated tank back into the State of 
California;
    (ii) The terminal must maintain the designation of the diesel fuel 
as ``California diesel fuel'' and not redesignate it to another product;
    (iii) The product transfer documents for California diesel fuel 
distributed by a terminal outside of the state of California must 
indicate ``California diesel fuel. Maximum 15 ppm sulfur.''; and,
    (iv) Any volume of California diesel fuel distributed by a terminal 
outside the state of California must be taxed or dyed and must be 
excluded from the terminal's volume balance equations under Sec.  
80.599.

[71 FR 25726, May 1, 2006]

[[Page 407]]



Sec. Sec.  80.618-80.619  [Reserved]

 Provisions for Foreign Refiners and Importers for Motor Vehicle Diesel 
   Fuel Subject to a Temporary Compliance Option or Hardship Provision



Sec.  80.620  What are the additional requirements for diesel fuel
or distillates produced by foreign refineries subject to a temporary
refiner compliance option, hardship provisions, or motor vehicle
or NRLM diesel fuel credit provisions?

    (a) Definitions. (1) A foreign refinery is a refinery that is 
located outside the United States, the Commonwealth of Puerto Rico, the 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands (collectively referred to in this section as 
``the United States'').
    (2) A foreign refiner is a person who meets the definition of 
refiner under Sec.  80.2(i) for a foreign refinery.
    (3) A diesel fuel program foreign refiner (``DFR'') is a foreign 
refiner that has been approved by EPA for participation in any motor 
vehicle diesel fuel or NRLM diesel fuel provision of Sec.  80.530 
through 80.533, or Sec. Sec.  80.535, 80.536, 80.540, 80.552, 80.553, 
80.554, 80.560 or 80.561 (collectively referred to as ``diesel foreign 
refiner program'').
    (4) ``DFR-Diesel'' means diesel fuel or distillate fuel as 
applicable under subpart I of this part produced at a DFR refinery that 
is imported into the United States.
    (5) ``Non-DFR-Diesel'' means diesel fuel or distillate fuel that is 
produced at a foreign refinery that has not been approved as a DFR 
foreign refiner, diesel fuel produced at a DFR foreign refinery that is 
not imported into the United States, and diesel fuel produced at a DFR 
foreign refinery during a period when the foreign refiner has opted to 
not participate in the DFR-Diesel foreign refiner program under 
paragraph (c)(3) of this section.
    (6) ``Certified DFR-Diesel'' means DFR-Diesel the foreign refiner 
intends to include in the foreign refinery's compliance calculations 
under any provisions of Sec.  80.530 through 80.533, or Sec. Sec.  
80.535, 80.536, 80.540, 80.552, 80.553, 80.554, 80.560 or 80.561 and 
does include in these compliance calculations when reported to EPA.
    (7) ``Non-Certified DFR-Diesel'' means DFR-Diesel fuel that a DFR 
foreign refiner imports to the United States that is not Certified DFR-
Diesel.
    (b) Baseline. For any foreign refiner to obtain approval under the 
diesel foreign refiner program of this subpart for any refinery, it must 
apply for approval under the applicable provisions of this subpart. To 
obtain approval the refiner is required, as applicable, to demonstrate a 
volume baseline under subpart I of this part.
    (1) The refiner shall follow the procedures, applicable to volume 
baselines and using diesel fuel, or if applicable, heating oil, instead 
of gasoline, in Sec. Sec.  80.91 through 80.93 to establish the volume 
of motor vehicle diesel fuel that was produced at the refinery and 
imported into the United States during the applicable years for purposes 
of establishing a baseline under Subpart I for applicable fuels produced 
for use in the United States.
    (2) In making determinations for foreign refinery baselines EPA will 
consider all information supplied by a foreign refiner, and in addition 
may rely on any and all appropriate assumptions necessary to make such 
determinations.
    (3) Where a foreign refiner submits a petition that is incomplete or 
inadequate to establish an accurate baseline, and the refiner fails to 
correct this deficiency after a request for more information, EPA will 
not assign an individual refinery baseline.
    (c) General requirements for DFR foreign refiners. A foreign refiner 
of a refinery that is approved under the diesel foreign refiner program 
of this subpart must designate each batch of diesel fuel produced at the 
foreign refinery that is exported to the United States as either 
Certified DFR-Diesel or as Non-Certified DFR-Diesel, except as provided 
in paragraph (c)(3) of this section. It must further designate all 
Certified DFR-Diesel as provided in Sec.  80.598, and designate whether 
the diesel fuel is dyed or undyed, and for heating oil and/or locomotive 
or marine diesel fuel whether it is marked or unmarked under Sec.  
80.510(d) through (f). It

[[Page 408]]

must further designate any credits earned as either nonroad diesel 
credits or motor vehicle diesel credits.
    (1) In the case of Certified DFR-Diesel, the foreign refiner must 
meet all requirements that apply to refiners under this subpart, except 
that:
    (i) For purposes of complying with the compliance option 
requirements of Sec.  80.530, motor vehicle diesel fuel produced by a 
foreign refinery must comply separately for each Credit Trading Area of 
import, as defined in Sec.  80.531(a)(5).
    (ii) For purposes of complying with the compliance option 
requirements of Sec.  80.530, credits obtained from any other refinery 
or from any importer must have been generated in the same Credit Trading 
Area as the Credit Trading Area of import of the fuel for which credits 
are needed to achieve compliance.
    (iii) For purposes of generating credits under Sec.  80.531, credits 
shall be generated separately by Credit Trading Area of import and shall 
be designated by Credit Trading Area of importation and by port of 
importation.
    (2) In the case of Non-Certified DFR-Diesel, the foreign refiner 
shall meet all the following requirements:
    (i) The designation requirements in this section.
    (ii) The reporting requirements in this section and in Sec. Sec.  
80.593, 80.594, 80.601, and 80.604.
    (iii) The product transfer document requirements in this section and 
in Sec. Sec.  80.590 and 80.591.
    (iv) The prohibitions in this section and in Sec.  80.610.
    (3)(i) Any foreign refiner that has been approved to produce diesel 
fuel subject to the diesel foreign refiner program for a foreign 
refinery under this subpart may elect to classify no diesel fuel 
imported into the United States as DFR-Diesel provided the foreign 
refiner notifies EPA of the election no later than 60 calendar days 
prior to the beginning of the compliance period.
    (ii) An election under paragraph (c)(3)(i) of this section shall be 
for a 12 month compliance period and apply to all diesel fuel that is 
produced by the foreign refinery that is imported into the United 
States, and shall remain in effect for each succeeding year unless and 
until the foreign refiner notifies EPA of the termination of the 
election. The change in election shall take effect at the beginning of 
the next annual compliance period.
    (d) Designation, product transfer documents, and foreign refiner 
certification. (1) Any foreign refiner of a foreign refinery that has 
been approved by EPA to produce motor vehicle diesel fuel subject to the 
diesel foreign refiner program must designate each batch of DFR-Diesel 
as such at the time the diesel fuel is produced, unless the refiner has 
elected to classify no diesel fuel exported to the United States as DFR-
Diesel under paragraph (c)(3) of this section.
    (2) On each occasion when any person transfers custody or title to 
any DFR-Diesel prior to its being imported into the United States, it 
must include the following information as part of the product transfer 
document information in this section:
    (i) Designation of the diesel fuel or distillate as Certified DFR-
Diesel or as Non-Certified DFR-Diesel, and if it is Certified DFR-
Diesel, further designate the fuel pursuant to Sec.  80.598, and whether 
the diesel fuel or distillate is dyed or undyed, and for heating oil 
whether it is marked or unmarked under Sec.  80.510(d) through (f), and 
all other applicable product transfer document information required 
under Sec.  80.590; and
    (ii) The name and EPA refinery registration number (under Sec.  
80.597) of the refinery where the DFR-Diesel was produced.
    (3) On each occasion when DFR-Diesel is loaded onto a vessel or 
other transportation mode for transport to the United States, the 
foreign refiner shall prepare a certification for each batch of the DFR-
Diesel that meets the following requirements.
    (i) The certification shall include the report of the independent 
third party under paragraph (f) of this section, and the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the DFR-Diesel;
    (B) The identification of the diesel fuel as Certified DFR-Diesel or 
Non-Certified DFR-Diesel;

[[Page 409]]

    (C) The volume of DFR-Diesel being transported, in gallons;
    (D) In the case of Certified DFR-Diesel:
    (1) The sulfur content as determined under paragraph (f) of this 
section, and the applicable designations stated in paragraph (d)(2)(i) 
of this section; and
    (2) A declaration that the DFR-Diesel is being included in the 
applicable compliance calculations required by EPA under this subpart.
    (ii) The certification shall be made part of the product transfer 
documents for the DFR-Diesel.
    (e) Transfers of DFR-Diesel to non-United States markets. The 
foreign refiner is responsible to ensure that all diesel fuel classified 
as DFR-Diesel is imported into the United States. A foreign refiner may 
remove the DFR-Diesel classification, and the diesel fuel need not be 
imported into the United States, but only if:
    (1)(i) The foreign refiner excludes:
    (A) The volume of diesel from the refinery's compliance report under 
Sec.  80.593, Sec.  80.601, or Sec.  80.604; and
    (B) In the case of Certified DFR-Diesel, the volume of the diesel 
fuel from the compliance report under Sec.  80.593, Sec.  80.601, or 
Sec.  80.604.
    (ii) The exclusions under paragraph (e)(1)(i) of this section shall 
be on the basis of the designations under Sec.  80.598 and this section, 
and volumes determined under paragraph (f) of this section.
    (2) The foreign refiner obtains sufficient evidence in the form of 
documentation that the diesel fuel was not imported into the United 
States.
    (f) Load port independent sampling, testing and refinery 
identification. (1) On each occasion that DFR-Diesel is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms;
    (ii) Determine the volume of DFR-Diesel loaded onto the vessel 
(exclusive of any tank bottoms before loading);
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery;
    (iv) Determine the name and country of registration of the vessel 
used to transport the DFR-Diesel to the United States; and
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (2) On each occasion that Certified DFR-Diesel is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party:
    (i) Collect a representative sample of the Certified DFR-Diesel from 
each vessel compartment subsequent to loading on the vessel and prior to 
departure of the vessel from the port serving the foreign refinery;
    (ii) Determine the sulfur content value for each compartment, and if 
applicable, the marker content under Sec.  80.510(d) through (f) using 
an approved methodology as specified in Sec. Sec.  80.580 through 80.586 
by one of the following:
    (A) The third party analyzing each sample; or
    (B) The third party observing the foreign refiner analyze the 
sample;
    (iii) Review original documents that reflect movement and storage of 
the certified DFR-Diesel from the refinery to the load port, and from 
this review determine:
    (A) The refinery at which the DFR-Diesel was produced; and
    (B) That the DFR-Diesel remained segregated from:
    (1) Non-DFR-Diesel and Non-Certified DFR-Diesel; and
    (2) Other Certified DFR-Diesel produced at a different refinery.
    (3) The independent third party shall submit a report:
    (i) To the foreign refiner containing the information required under 
paragraphs (f)(1) and (f)(2) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) To the Administrator containing the information required under 
paragraphs (f)(1) and (f)(2) of this section, within thirty days 
following the date of the independent third party's inspection. This 
report shall include a description of the method used to determine the 
identity of the refinery at which the diesel fuel or distillate was 
produced, assurance that the diesel fuel or distillate remained 
segregated as specified in paragraph (n)(1) of this section, and a 
description of the diesel

[[Page 410]]

fuel's movement and storage between production at the source refinery 
and vessel loading.
    (4) The independent third party must:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (f);
    (ii) Be independent under the criteria specified in Sec.  
80.65(e)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(f).
    (g) Comparison of load port and port of entry testing. (1)(i) Any 
foreign refiner and any United States importer of Certified DFR-Diesel 
shall compare the results from the load port testing under paragraph (f) 
of this section, with the port of entry testing as reported under 
paragraph (o) of this section, for the volume of diesel fuel and the 
sulfur content value; except as specified in paragraph (g)(1)(ii) of 
this section.
    (ii) Where a vessel transporting Certified DFR-Diesel off loads this 
diesel fuel at more than one United States port of entry, and the 
conditions of paragraph (g)(2)(i) of this section are met at the first 
United States port of entry, the requirements of paragraph (g)(2) of 
this section do not apply at subsequent ports of entry if the United 
States importer obtains a certification from the vessel owner that meets 
the requirements of paragraph (s) of this section, that the vessel has 
not loaded any diesel fuel or blendstock between the first United States 
port of entry and the subsequent port of entry.
    (2)(i) The requirements of this paragraph (g)(2) apply if--
    (A) The temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent; or
    (B) The sulfur content value determined at the port of entry is 
higher than the sulfur content value determined at the load port, and 
the amount of this difference is greater than the reproducibility amount 
specified for the port of entry test result by the American Society of 
Testing and Materials (ASTM) for a test method used for testing the port 
of entry sample under the provisions Sec. Sec.  80.580 through 80.586.
    (ii) The United States importer and the foreign refiner shall treat 
the diesel fuel as Non-Certified DFR-Diesel, and the foreign refiner 
shall exclude the diesel fuel volume from its diesel fuel volumes 
calculations and sulfur standard designations under Sec.  80.598.
    (h) Attest requirements. Refiners, for each annual compliance 
period, must arrange to have an attest engagement performed of the 
underlying documentation that forms the basis of any report required 
under this subpart. The attest engagement must comply with the 
procedures and requirements that apply to refiners under Sec. Sec.  
80.125 through 80.130, or other applicable attest engagement provisions, 
and must be submitted to the Administrator of EPA by August 31 of each 
year for the prior annual compliance period. The following additional 
procedures shall be carried out for any foreign refiner of DFR-Diesel.
    (1) The inventory reconciliation analysis under Sec.  80.128(b) and 
the tender analysis under Sec.  80.128(c) shall include Non-DFR-Diesel.
    (2) Obtain separate listings of all tenders of Certified DFR-Diesel 
and of Non-Certified DFR-Diesel, and obtain separate listings of 
Certified DFR-Diesel based on whether it is 15 ppm sulfur content diesel 
fuel, 500 ppm sulfur content diesel fuel or high sulfur fuel having a 
sulfur content greater than 500 ppm (and if so, whether the fuel is 
heating oil, small refiner diesel fuel, diesel fuel produced through the 
use of credits, or other applicable designation under Sec.  80.598). 
Agree the total volume of tenders from the listings to the diesel fuel 
inventory reconciliation analysis in Sec.  80.128(b), and to the volumes 
determined by the third party under paragraph (f)(1) of this section.
    (3) For each tender under paragraph (h)(2) of this section, where 
the diesel fuel is loaded onto a marine vessel, report as a finding the 
name and country of registration of each vessel, and the volumes of DFR-
Diesel loaded onto each vessel.
    (4) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified DFR-Diesel, in 
accordance with the

[[Page 411]]

guidelines in Sec.  80.127, and for each vessel selected perform the 
following:
    (i) Obtain the report of the independent third party, under 
paragraph (f) of this section, and of the United States importer under 
paragraph (o) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification, diesel fuel volumes and sulfur content test results.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry sulfur content and volume results differ by more than 
the amounts allowed in paragraph (g) of this section, and determine 
whether the foreign refiner adjusted its refinery calculations as 
required in paragraph (g) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the Certified DFR-Diesel from 
the refinery to the load port, under paragraph (f) of this section. 
Obtain tank activity records for any storage tank where the Certified 
DFR-Diesel is stored, and pipeline activity records for any pipeline 
used to transport the Certified DFR-Diesel, prior to being loaded onto 
the vessel. Use these records to determine whether the Certified DFR-
Diesel was produced at the refinery that is the subject of the attest 
engagement, and whether the Certified DFR-Diesel was mixed with any Non-
Certified DFR-Diesel, Non-DFR-Diesel, or any Certified DFR-Diesel 
produced at a different refinery.
    (5) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport certified and Non-Certified 
DFR-Diesel, in accordance with the guidelines in Sec.  80.127, and for 
each vessel selected perform the following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (6) Obtain separate listings of all tenders of Non-DFR-Diesel, and 
perform the following:
    (i) Agree the total volume and sulfur content of tenders from the 
listings to the diesel fuel inventory reconciliation analysis in Sec.  
80.128(b).
    (ii) Obtain a separate listing of the tenders under this paragraph 
(h)(6) where the diesel fuel is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the diesel fuel was off 
loaded for the selected vessels. Determine and report as a finding the 
country where the diesel fuel was off loaded for each vessel selected.
    (7) In order to complete the requirements of this paragraph (h) an 
auditor shall:
    (i) Be independent of the foreign refiner;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.130 and this paragraph (h); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.130 and this paragraph (h).
    (i) Foreign refiner commitments. Any foreign refiner shall commit to 
and comply with the provisions contained in this paragraph (i) as a 
condition to being approved for a temporary refiner diesel fuel program 
option.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Diesel fuel is produced;

[[Page 412]]

    (B) Documents related to refinery operations are kept;
    (C) Diesel fuel or blendstock samples are tested or stored; and
    (D) DFR-Diesel is stored or transported between the foreign refinery 
and the United States, including storage tanks, vessels and pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to:
    (A) Refinery baseline establishment, if applicable, including the 
volume, sulfur content and dye and marker status of diesel fuel, heating 
oil and other distillates; transfers of title or custody of any diesel 
fuel, heating oil or blendstocks whether DFR-Diesel or Non-DFR-Diesel, 
produced at the foreign refinery during the period January 1, 1998 
through the date of the refinery baseline petition or through the date 
of the inspection or audit if a baseline petition has not been approved, 
and any work papers related to refinery baseline establishment;
    (B) The volume and sulfur content of DFR-Diesel;
    (C) The proper classification of diesel fuel as being DFR-Diesel or 
as not being DFR-Diesel, or as Certified DFR-Diesel or as Non-Certified 
DFR-Diesel, and all other relevant designations under this subpart, 
including Sec.  80.598 and this section;
    (D) Transfers of title or custody to DFR-Diesel;
    (E) Sampling and testing of DFR-Diesel;
    (F) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers; and
    (G) Reports prepared for submission to EPA, and any work papers 
related to such reports.
    (vi) Inspections and audits by EPA may include taking samples of 
diesel fuel, heating oil, other distillates, diesel fuel additives or 
blendstock, dyes and chemical markers and interviewing employees.
    (vii) Any employee of the foreign refiner must be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign refiner or any employee of the foreign refiner for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting a petition for participation in the diesel foreign 
refiner program or producing and exporting diesel fuel or heating oil 
under any such program, and all other actions to comply with the 
requirements of this subpart relating to participation in any diesel 
foreign refiner program, or to establish an individual refinery motor 
vehicle diesel fuel volume baseline or other baseline under subpart I of 
this part (if applicable) constitute actions or activities that satisfy 
the provisions of 28 U.S.C. 1605(a)(2), but solely with respect to 
actions instituted against the foreign refiner, its agents and employees 
in any court or other tribunal in the United States for conduct that 
violates the requirements applicable to the foreign refiner under this 
subpart, including conduct that violates the False Statements 
Accountability Act of 1996 (18 U.S.C. 1001) and section

[[Page 413]]

113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (6) The foreign refiner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (i) shall be signed by 
the owner or president of the foreign refiner business.
    (8) In any case where DFR-Diesel produced at a foreign refinery is 
stored or transported by another company between the refinery and the 
vessel that transports the DFR-Diesel to the United States, the foreign 
refiner shall obtain from each such other company a commitment that 
meets the requirements specified in paragraphs (i)(1) through (7) of 
this section, and these commitments shall be included in the foreign 
refiner's petition to participate in any diesel foreign refiner program 
.
    (j) Sovereign immunity. By submitting a petition for participation 
in any diesel foreign refiner program under this subpart (and baseline, 
if applicable) under this section, or by producing and exporting diesel 
fuel to the United States under any such program, the foreign refiner, 
and its agents and employees, without exception, become subject to the 
full operation of the administrative and judicial enforcement powers and 
provisions of the United States without limitation based on sovereign 
immunity, with respect to actions instituted against the foreign 
refiner, its agents and employees in any court or other tribunal in the 
United States for conduct that violates the requirements applicable to 
the foreign refiner under this subpart including conduct that violates 
the False Statements Accountability Act of 1996 (18 U.S.C. 1001) and 
section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (k) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (k) as a condition to approval for any diesel foreign 
refiner program under this subpart.
    (1) The foreign refiner shall post a bond of the amount calculated 
using the following equation:


Bond = G x $ 0.01

Where:

Bond = amount of the bond in U.S. dollars
G = the applicable volume baseline under Subpart I for diesel fuel or 
          distillate produced at the foreign refinery and exported to 
          the United States, in gallons.

    (2) Bonds shall be posted by:
    (i) Paying the amount of the bond to the Treasurer of the United 
States;
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign refiner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement; or
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) Bonds posted under this paragraph (k) shall--
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds;'' and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest annual reporting period 
that the foreign refiner produces diesel fuel pursuant to the 
requirements of this subpart.
    (4) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (5) If the bond amount for a foreign refiner increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner

[[Page 414]]

may reduce the amount of the bond beginning 90 days after the date the 
bond amount changes.
    (l) [Reserved]
    (m) English language reports. Any report or other document submitted 
to EPA by a foreign refiner shall be in English language, or shall 
include an English language translation.
    (n) Prohibitions. (1) No person may combine Certified DFR-Diesel 
with any Non-Certified DFR-Diesel or Non-DFR-Diesel, and no person may 
combine Certified DFR-Diesel with any Certified DFR-Diesel produced at a 
different refinery, until the importer has met all the requirements of 
paragraph (o) of this section, except as provided in paragraph (e) of 
this section. No person may violate the product segregation requirements 
of Sec.  80.511.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (n)(1) of this section, or that 
otherwise violates the requirements of this section.
    (o) United States importer requirements. Any United States importer 
shall meet the following requirements:
    (1) Each batch of imported diesel fuel and heating oil shall be 
classified by the importer as being DFR-Diesel or as Non-DFR-Diesel, and 
each batch classified as DFR-Diesel shall be further classified as 
Certified DFR-Diesel or as Non-Certified DFR-Diesel, and each batch of 
Certified DFR-Diesel shall be further designated pursuant to the 
designation requirements of Sec.  80.598 and this section.
    (2) Diesel fuel shall be classified as Certified DFR-Diesel or as 
Non-Certified DFR-Diesel according to the designation by the foreign 
refiner if this designation is supported by product transfer documents 
prepared by the foreign refiner as required in paragraph (d) of this 
section, unless the diesel fuel is classified as Non-Certified DFR-
Diesel under paragraph (g) of this section. Additionally, the importer 
shall comply with all requirements of this subpart applicable to 
importers.
    (3) For each diesel fuel batch classified as DFR-Diesel, any United 
States importer shall perform the following procedures.
    (i) In the case of both Certified and Non-Certified DFR-Diesel, have 
an independent third party:
    (A) Determine the volume of diesel fuel in the vessel;
    (B) Use the foreign refiner's DFR-Diesel certification to determine 
the name and EPA-assigned registration number of the foreign refinery 
that produced the DFR-Diesel;
    (C) Determine the name and country of registration of the vessel 
used to transport the DFR-Diesel to the United States; and
    (D) Determine the date and time the vessel arrives at the United 
States port of entry.
    (ii) In the case of Certified DFR-Diesel, have an independent third 
party:
    (A) Collect a representative sample from each vessel compartment 
subsequent to the vessel's arrival at the United States port of entry 
and prior to off loading any diesel fuel from the vessel;
    (B) Obtain the compartment samples; and
    (C) Determine the sulfur content value, and if applicable, the 
marker content, of each compartment sample using an appropriate 
methodology as specified in Sec. Sec.  80.580 through 80.586 by the 
third party analyzing the sample or by the third party observing the 
importer analyze the sample.
    (4) Any importer shall submit reports within 30 days following the 
date any vessel transporting DFR-Diesel arrives at the United States 
port of entry:
    (i) To the Administrator containing the information determined under 
paragraph (o)(3) of this section; and
    (ii) To the foreign refiner containing the information determined 
under paragraph (o)(3)(ii) of this section, and including identification 
of the port and Credit Trading Area at which the product was offloaded.
    (5) Any United States importer shall meet the requirements specified 
in Sec. Sec.  80.510 and 80.520 and all other requirements of this 
subpart, for any imported diesel fuel or heating oil that is not 
classified as Certified DFR-Diesel under paragraph (o)(2) of this 
section.
    (p) Truck imports of Certified DFR-Diesel produced at a foreign 
refinery. (1) Any refiner whose Certified DFR-Diesel is transported into 
the United States by

[[Page 415]]

truck may petition EPA to use alternative procedures to meet the 
following requirements:
    (i) Certification under paragraph (d)(5) of this section;
    (ii) Load port and port of entry sampling and testing under 
paragraphs (f) and (g) of this section;
    (iii) Attest under paragraph (h) of this section; and
    (iv) Importer testing under paragraph (o)(3) of this section.
    (2) These alternative procedures must ensure Certified DFR-Diesel 
remains segregated from Non-Certified DFR-Diesel and from Non-DFR-Diesel 
until it is imported into the United States. The petition will be 
evaluated based on whether it adequately addresses the following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of Certified DFR-Diesel from 
that refinery from all other diesel fuel;
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport Certified DFR-Diesel, that prohibit the commingling of 
Certified DFR-Diesel with any of the following:
    (A) Other Certified DFR-Diesel from other refineries.
    (B) All Non-Certified DFR-Diesel.
    (C) All Non-DFR-Diesel.
    (D) All diesel fuel or heating oil products required to be 
segregated under this subpart;
    (iii) Procedures for obtaining and reviewing truck loading records 
and United States import documents for Certified DFR-Diesel to ensure 
that such diesel fuel is only loaded into trucks making deliveries to 
the United States;
    (iv) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all Certified 
DFR-Diesel remains segregated throughout the distribution system and is 
only loaded into trucks for import into the United States.
    (3) The petition required by this section must be submitted to EPA 
along with the application for temporary refiner relief individual 
refinery diesel sulfur standard under this subpart.
    (q) Withdrawal or suspension of a foreign refinery's temporary 
refinery flexibility program approval. EPA may withdraw or suspend a 
diesel refiner baseline or standard approval for a foreign refinery 
where--
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (i)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(k) of this section.
    (r) Early use of a foreign refiner motor vehicle diesel fuel 
baseline. (1) A foreign refiner may begin using an individual refinery 
baseline under subpart I of this part before EPA has approved the 
baseline, provided that:
    (i) A baseline petition has been submitted as required in paragraph 
(b) of this section;
    (ii) EPA has made a provisional finding that the baseline petition 
is complete;
    (iii) The foreign refiner has made the commitments required in 
paragraph (i) of this section;
    (iv) The persons who will meet the independent third party and 
independent attest requirements for the foreign refinery have made the 
commitments required in paragraphs (f)(3)(iii) and (h)(7)(iii) of this 
section; and
    (v) The foreign refiner has met the bond requirements of paragraph 
(k) of this section.
    (2) In any case where a foreign refiner uses an individual refinery 
baseline before final approval under paragraph (r)(1) of this section, 
and the foreign refinery baseline values that ultimately are approved by 
EPA are more stringent than the early baseline values used by the 
foreign refiner, the foreign refiner shall recalculate its compliance, 
ab initio, using the baseline values approved by the EPA, and the 
foreign refiner shall be liable for any resulting violation of the motor 
vehicle highway diesel fuel requirements.

[[Page 416]]

    (s) Additional requirements for petitions, reports and certificates. 
Any petition for approval to produce diesel fuel subject to the diesel 
foreign refiner program, any alternative procedures under paragraph (p) 
of this section, any report or other submission required by paragraph 
(c), (f)(2), or (i) of this section, and any certification under 
paragraph (d)(3) of this section shall be--
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Be signed by the president or owner of the foreign refiner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR part 
80, subpart I, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof.
    I affirm that I have read and understand the provisions of 40 CFR 
part 80, subpart I, including 40 CFR 80.620 apply to [insert name of 
foreign refiner]. Pursuant to Clean Air Act section 113(c) and 18 U.S.C. 
1001, the penalty for furnishing false, incomplete or misleading 
information in this certification or submission is a fine of up to 
$10,000 U.S., and/or imprisonment for up to five years.

[66 FR 5136, Jan. 18, 2001, as amended at 69 FR 39208, June 29, 2004]



                        Subpart J_Gasoline Toxics

                           General Information

    Source: 66 FR 17263, Mar. 29, 2001, unless otherwise noted.



Sec. Sec.  80.800-80.805  [Reserved]



Sec.  80.810  Who shall register with EPA under the gasoline
toxics program?

    (a) Refiners and importers who are registered by EPA under Sec.  
80.76 are deemed to be registered for purposes of this subpart.
    (b) Refiners and importers subject to the standards in Sec.  80.815 
who are not registered by EPA under Sec.  80.76 shall provide to EPA the 
information required by Sec.  80.76 by October 1, 2001, or not later 
than three months in advance of the first date that such person produces 
or imports gasoline, whichever is later.

                Gasoline Toxics Performance Requirements



Sec.  80.815  What are the gasoline toxics performance requirements
for refiners and importers?

    (a)(1) The gasoline toxics performance requirements of this subpart 
require that the annual average toxics value of a refinery or importer 
be compared to that refinery's or importer's compliance baseline, where 
compliance has been achieved if--
    (i) For conventional gasoline, the annual average toxics value is 
less than or equal to the compliance baseline;
    (ii) For reformulated gasoline and RBOB, combined, the annual 
average toxics value is greater than or equal to the compliance 
baseline.
    (A) Refineries that only produce RBOB and importers that only import 
RBOB shall treat RBOB as reformulated gasoline for the purposes of 
determining compliance with the requirements of this subpart.
    (B) Refineries that produce both RFG and RBOB and importers that 
import both RFG and RBOB must combine any RFG and RBOB qualities and 
volumes for the purposes of determining compliance with the requirements 
of this subpart.
    (2) The requirements under this paragraph (a) shall be met by the 
importer for all imported gasoline, except gasoline imported as 
Certified Toxics-FRGAS under Sec.  80.1030.
    (b) The gasoline toxics requirements of this subpart apply 
separately for each of the following types of gasoline produced at a 
refinery or imported:
    (1) Reformulated gasoline and RBOB, combined;
    (2) Conventional gasoline.

[[Page 417]]

    (c) Compliance baseline. (1) The compliance baseline of a refinery 
or importer is determined in accordance with Sec.  80.915 or Sec.  
80.855, as applicable.
    (2) Refiners who have chosen, under subpart E of this part, to 
comply with the requirements of subpart E of this part on an aggregate 
basis, shall comply with the requirements of this subpart on the same 
aggregate basis.
    (d) Compliance determination. (1)(i) The gasoline toxics performance 
requirements of this subpart apply to gasoline produced at a refinery or 
imported by an importer during each calendar year starting January 1, 
2002. The averaging period is January 1 through December 31 of each 
year.
    (ii)(A) Beginning January 1, 2011, or January 1, 2015 for small 
refiners approved under Sec.  80.1340, the gasoline toxics performance 
requirements of this subpart shall apply only to gasoline that is not 
subject to the benzene standard of Sec.  80.1230, pursuant to the 
provisions of Sec.  80.1235.
    (B) The gasoline toxics performance requirements of this subpart 
shall not apply to gasoline produced by a refinery approved under Sec.  
80.1334, pursuant to Sec.  80.1334(c).
    (2) The annual average toxics value is calculated in accordance with 
Sec.  80.825.
    (e) Deficit carryforward. (1) A refinery or importer creates a 
toxics deficit, separately for reformulated gasoline and conventional 
gasoline, for a given averaging period, when--
    (i) For conventional gasoline, its annual average toxics value is 
greater than the compliance baseline;
    (ii) For reformulated gasoline and RBOB, combined, the annual 
average toxics value is less than the compliance baseline.
    (2) In the calendar year following the year the toxics deficit is 
created, the refinery or importer shall:
    (i) Achieve compliance with the refinery or importer toxics 
performance requirement specified in paragraph (a) of this section; and
    (ii) Generate additional toxics credits sufficient to offset the 
toxics deficit of the previous year.
    (f) Credit carryforward. (1) A refinery or importer generates toxics 
credits, separately for reformulated gasoline and conventional gasoline, 
for a given averaging period, when--
    (i) For conventional gasoline, its annual average toxics value is 
less than the compliance baseline;
    (ii) For reformulated gasoline and RBOB, combined, the annual 
average toxics value is greater than the compliance baseline.
    (2) Toxics credits may be used to offset a toxics deficit in the 
calendar year following the year the credits are generated, provided the 
following criteria are met:
    (i) Reformulated gasoline toxics credits are only to be used to 
offset a reformulated gasoline toxics deficit; conventional gasoline 
credits are only to be used to offset a conventional gasoline toxics 
deficit.
    (ii) A refiner only offsets a toxics deficit at a refinery with 
toxics credits generated by that refinery.
    (iii) Credits generated on an aggregate basis may only be used to 
offset a deficit calculated on an aggregate basis.
    (iv) Credits used to offset a deficit from the previous year may not 
also be carried forward to the following year. Credits in excess of 
those used to offset a deficit from the previous year may be used to 
offset a deficit in the following year.
    (v) Only toxics credits generated under this subpart may be used to 
offset a toxics deficit created under this subpart.

[66 FR 17263, Mar. 29, 2001, as amended at 72 FR 8544, Feb. 26, 2007]



Sec.  80.820  What gasoline is subject to the toxics performance
requirements of this subpart?

    For the purpose of this subpart, all reformulated gasoline, 
conventional gasoline and RBOB, collectively called ``gasoline'' unless 
otherwise specified, is subject to the requirements under this subpart, 
as applicable, with the following exceptions:
    (a) Gasoline that is used to fuel aircraft, racing vehicles or 
racing boats that are used only in sanctioned racing events, provided 
that:
    (1) Product transfer documents associated with such gasoline, and 
any pump stand from which such gasoline

[[Page 418]]

is dispensed, identify the gasoline either as gasoline that is 
restricted for use in aircraft, or as gasoline that is restricted for 
use in racing motor vehicles or racing boats that are used only in 
sanctioned racing events;
    (2) The gasoline is completely segregated from all other gasoline 
throughout production, distribution and sale to the ultimate consumer; 
and
    (3) The gasoline is not made available for use as motor vehicle 
gasoline, or dispensed for use in motor vehicles, except for motor 
vehicles used only in sanctioned racing events.
    (b) Gasoline that is exported for sale outside the U.S.
    (c) Gasoline designated as California gasoline under Sec.  80.845, 
and used in California.
    (d) Gasoline used in American Samoa, Guam and the Commonwealth of 
the Northern Mariana Islands.
    (e) Gasoline exempt per Sec.  80.995.
    (f) Gasoline exempt per Sec.  80.1000.



Sec.  80.825  How is the refinery or importer annual average toxics
value determined?

    (a) The refinery or importer annual average toxics value is 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR29MR01.000

Where:

Ta = The refinery or importer annual average toxics value, as 
          applicable.
Vi = The volume of applicable gasoline produced or imported 
          in batch i.
Ti = The toxics value of batch i.
n = The number of batches of gasoline produced or imported during the 
          averaging period.
i = Individual batch of gasoline produced or imported during the 
          averaging period.

    (b) The calculation specified in paragraph (a) of this section shall 
be made separately for each type of gasoline specified at Sec.  
80.815(b).
    (c) The toxics value, Ti, of each batch of gasoline is 
determined using the Phase II Complex Model specified at Sec.  80.45.
    (1) The toxics value, Ti, of each batch of reformulated 
gasoline or RBOB, and the annual average toxics value, Ta, 
for reformulated gasoline and RBOB, combined, under this subpart are in 
percent reduction from the statutory baseline described in Sec.  
80.45(b) and volumes are in gallons.
    (2) (i) The toxics value, Ti, of each batch of 
conventional gasoline, and the annual average toxics value, 
Ta, for conventional gasoline under this subpart are in 
milligrams per mile (mg/mile) and volumes are in gallons.
    (ii) Any refiner for any refinery or importer that has received EPA 
approval of a petition submitted in accordance with the provisions of 
Sec.  80.93(d) shall determine the toxics value, Ti, of each 
batch of conventional gasoline produced or imported for use in Alaska, 
and/or Hawaii, the Commonwealth of Puerto Rico, and the Virgin Islands 
in accordance with Sec.  80.101(g)(1)(ii).
    (d) All refinery or importer annual average toxics value 
calculations shall be conducted to two decimal places.
    (e) A refiner or importer may include oxygenate added downstream 
from the refinery or import facility when calculating the toxics value, 
provided the following requirements are met:
    (1) For oxygenate added to conventional gasoline, the refiner or 
importer shall comply with the requirements of Sec.  80.101(d)(4)(ii).
    (2) For oxygenate added to RBOB, the refiner or importer shall 
comply with the requirements of Sec.  80.69(a).
    (f) Gasoline excluded. Refiners and importers shall exclude from 
compliance calculations all of the following:
    (1) Gasoline that was not produced at the refinery;
    (2) In the case of an importer, gasoline that was imported as 
Certified Toxics-FRGAS under Sec.  80.1030;
    (3) Blending stocks transferred to others;
    (4) Gasoline that has been included in the compliance calculations 
for another refinery or importer; and
    (5) Gasoline exempted from standards under Sec.  80.820.

[66 FR 17263, Mar. 29, 2001, as amended at 72 FR 60581, Oct. 25, 2007]

[[Page 419]]



Sec.  80.830  What requirements apply to oxygenate blenders?

    Oxygenate blenders who blend oxygenate into gasoline downstream of 
the refinery that produced the gasoline or the import facility where the 
gasoline was imported are not subject to the requirements of this 
subpart applicable to refiners for this gasoline.



Sec.  80.835  What requirements apply to butane blenders?

    Butane blenders who blend butane into gasoline downstream of the 
refinery that produced the gasoline or the import facility where the 
gasoline was imported are not subject to the requirements of this 
subpart applicable to refiners for this gasoline.



Sec.  80.840  What requirements apply to transmix processors?

    Any transmix processor who produces gasoline or gasoline blendstock 
from transmix, or recovers gasoline or gasoline blendstock from transmix 
through transmix processing under Sec.  80.84 (c) shall include such 
gasoline or gasoline blendstock in the baseline and compliance 
calculations of this subpart to the same extent such gasoline or 
gasoline blendstock must be included in compliance calculations under 
subpart D of this part for reformulated gasoline and RBOB, and under 
subpart E of this part for conventional gasoline, according to the 
requirements specified in Sec.  80.84(c).

[71 FR 31964, June 2, 2006]



Sec.  80.845  What requirements apply to California gasoline?

    (a) Definition. For purposes of this subpart ``California gasoline'' 
means any gasoline designated by the refiner or importer as for use in 
California.
    (b) California gasoline exemption. California gasoline that complies 
with all the requirements of this section is exempt from all other 
provisions of this subpart.
    (c) Requirements for California gasoline. (1) Each batch of 
California gasoline shall be designated as such by its refiner or 
importer.
    (2) [Reserved]
    (3) Designated California gasoline must ultimately be used in the 
State of California and not used elsewhere.
    (4) In the case of California gasoline produced outside the State of 
California, the transferors and transferees shall meet the product 
transfer document requirements under Sec.  80.81(g).
    (5) Gasoline that is ultimately used in any part of the United 
States outside of the State of California shall comply with the 
standards and requirements of this subpart, regardless of any 
designation as California gasoline.



Sec.  80.850  How is the compliance baseline determined?

    (a) The compliance baseline to which annual average toxics values 
are compared according to Sec.  80.815(a) is calculated according to the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR29MR01.001

Where:

TCBase = Compliance baseline toxics value.
TBase = Baseline toxics value for the refinery or importer, 
          calculated according to Sec.  80.915(b)(1).
VBase = Baseline volume for the refinery or importer, 
          calculated according to Sec.  80.915(b)(2).
TExist = Existing toxics standard, per paragraph (b) of this 
          section.
Vinc = Volume of gasoline produced during the averaging 
          period in excess of VBase.

    (b) The value of existing toxics standard, TExist, is 
equal to:
    (1) 21.5 percent, for reformulated gasoline and RBOB, combined;
    (2) The refinery's or importer's anti-dumping compliance baseline 
value for exhaust toxics, in mg/mi, per Sec.  80.101(f), for 
conventional gasoline.
    (c) Any refiner for any refinery or importer with an approved anti-
dumping baseline under Sec.  80.93(d) for gasoline produced or imported 
for use in Alaska, and/or Hawaii, the Commonwealth of Puerto Rico, and 
the Virgin Islands, and for which a conventional gasoline baseline 
toxics value for such gasoline can be determined according to Sec.  
80.915(b)(1), shall determine its compliance baseline applicable to such 
gasoline according to the following equation:

[[Page 420]]

[GRAPHIC] [TIFF OMITTED] TR25OC07.002

Where:

TCBase = Compliance baseline toxics value.
TBase = Baseline toxics value for the refinery or importer, 
          calculated according to Sec.  80.915(b)(1) for all gasoline 
          except gasoline produced or imported for use in Alaska, 
          Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands.
VBase = Baseline volume for the refinery or importer, 
          calculated according to Sec.  80.915(b)(2) for all gasoline 
          except gasoline produced or imported for use in Alaska, 
          Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands.
TExist = The refinery's or importer's anti-dumping compliance 
          baseline value for exhaust toxics, in mg/mi, per Sec.  
          80.101(f) for all gasoline except gasoline produced or 
          imported for use in Alaska, Hawaii, the Commonwealth of Puerto 
          Rico, and the Virgin Islands.
VInc = Volume of gasoline produced or imported, excluding the 
          volume of gasoline produced or imported for use in Alaska, 
          Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands during the averaging period, which is in excess of 
          VBase.
TSBase = Baseline toxics value for the refinery or importer, 
          calculated according to Sec.  80.915(e)(2)(i) for gasoline 
          produce or imported for use in Hawaii, the Commonwealth of 
          Puerto Rico, and the Virgin Islands.
VSBase = Baseline volume for the refinery or importer, 
          calculated according to Sec.  80.915(e)(2)(ii) for gasoline 
          produce or imported for use in Hawaii, the Commonwealth of 
          Puerto Rico, and the Virgin Islands.
TSExist = The refinery's or importer's anti-dumping 
          compliance baseline value for exhaust toxics, in mg/mi, per 
          Sec.  80.101(f) for gasoline produce or imported for use in 
          Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands.
VSInc = Volume of gasoline produced or imported for use in 
          Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands during the averaging period which is in excess of 
          VSBase.
TWBase = Baseline toxics value for the refinery or importer, 
          calculated according to Sec.  80.915(e)(1)(i) for gasoline 
          produce or imported for use in Alaska.
VWBase = Baseline volume for the refinery or importer, 
          calculated according to Sec.  80.915(e)(1)(ii) for gasoline 
          produce or imported for use in Alaska.
TWExist = The refinery's or importer's anti-dumping 
          compliance baseline value for exhaust toxics, in mg/mi, per 
          Sec.  80.101(f) for gasoline produce or imported for use in 
          Alaska.
VWInc = Volume of gasoline produced or imported for use in 
          Alaska during the averaging period which is in excess of 
          VWBase.

    (d) If the refinery or importer produced less gasoline during the 
compliance period than its applicable baseline volume, the value of 
Vinc, VSInc or VWInc, as applicable, 
will be zero.

[66 FR 17263, Mar. 29, 2001, as amended at 72 FR 60581, Oct. 25, 2007]



Sec.  80.855  What is the compliance baseline for refineries or 
importers with insufficient data?

    (a) A refinery or importer shall use the methodology specified in 
this section for determining a compliance baseline if it cannot 
determine an applicable toxics value for every batch of gasoline 
produced or imported for 12 or more consecutive months during January 1, 
1998 through December 31, 2000.
    (b)(1) A refinery or importer that cannot determine an applicable 
toxics value on every batch of gasoline produced or imported for 12 or 
more consecutive months during the period January 1, 1998 through 
December 31, 2000 or a refinery or importer that did not produce or 
import reformulated gasoline and/or RBOB (combined) or conventional 
gasoline or both during the period between January 1, 1998 and December 
31, 2000, inclusive, shall have the following as its compliance baseline 
for the purposes of this subpart:
    (i) For conventional gasoline, prior to January 1, 2006, 94.64 mg/
mile; starting January 1, 2006, 97.38 mg/mile.
    (ii) For reformulated gasoline, prior to January 1, 2006, 25.31 
percent reduction from statutory baseline; starting January 1, 2006, 
26.78 percent reduction from statutory baseline.
    (2)(i) A refinery or importer that has an approved anti-dumping 
baseline under Sec.  80.93(d) for gasoline produced or imported for use 
in Alaska, and that cannot determine an applicable toxics

[[Page 421]]

value according to paragraph (b)(1) of this section, shall have the 
following as its compliance baseline for the purposes of this subpart: 
110.72 mg/mile.
    (ii) A refinery or importer that has an approved anti-dumping 
baseline under Sec.  80.93(d) for gasoline produce or imported for use 
in Hawaii, the Commonwealth of Puerto Rico, and the Virgin Islands and 
that cannot determine an applicable toxics value according to paragraph 
(b)(1) of this section, shall have the following as its compliance 
baseline for the purposes of this subpart: 77.82 mg/mile.
    (iii) The provisions of this paragraph (b)(2) shall apply to any 
refiner, for any refinery, or importer that received approval of a 
petition under Sec.  80.93(d) prior to November 26, 2007 beginning with 
the 2008 annual averaging period.
    (iv) Any new refiner or importer without a toxics baseline that 
produces or imports gasoline for use in Alaska, Hawaii, the Commonwealth 
of Puerto Rico or the Virgin Islands shall be subject to the applicable 
toxics default baseline under paragraph (b)(1) of this section unless 
the refiner or importer petitions for and receives approval of use of a 
seasonal baseline and seasonal Complex Model under Sec.  80.93(d).
    (c)(1) Eligibility to petition. A refiner who has been granted an 
alternative anti-dumping averaging period under Sec.  80.101(k) may 
petition the Administrator to have the statutory baseline exhaust toxics 
emissions, Phase II value specified in Sec.  80.91(c)(5)(iv) as its 
compliance baseline for the purposes of this subpart J for one or more 
of the years of the refiner's approved alternative anti-dumping 
averaging period.
    (2) Application process. Applications must be submitted to the 
attention of ``Anti-Dumping Compliance Period'' to the address in Sec.  
80.10(a).
    (3) Contents of the application petition. Each petition must 
include:
    (i) A copy of the refinery's approval for an alternative averaging 
period under section 80.101(k).
    (ii) A description of the hardships that make it infeasible, on a 
cost and/or technological basis, for the refinery to comply with the 
compliance baseline specified in paragraph (b) of this section.
    (iii) A quarterly timeline, from the date of the application, 
indicating the expected exhaust toxics emissions performance of the 
refinery's conventional gasoline, and the reasons for any expected non-
compliance with the compliance baseline specified in paragraph (b) of 
this section (for example, a particular gasoline blendstock-producing 
unit not yet installed). The timeline shall include the date by which 
the refinery will produce conventional gasoline that complies with the 
baseline specified in paragraph (b) of this section on an annual average 
basis.
    (4) Approval or disapproval of petitions. (i) The Administrator may 
approve a petition if it includes information sufficient to demonstrate 
to the Administrator's satisfaction that cost and/or technological 
constraints make it infeasible for the refinery to comply with the 
baseline specified in paragraph (b) of this section. The Administrator 
will approve or deny a petition in writing within six months of receipt.
    (ii)(A) Each approval will specify the date by which the refinery 
must comply with the baseline specified in paragraph (b) of this 
section. No petition approval shall allow for use of the statutory 
baseline exhaust toxics emissions, Phase II value as a refinery's 
compliance baseline under this subpart J beyond the last day of a 
refinery's alternative anti-dumping averaging period under Sec.  
80.101(k) or Sec.  80.101(l).
    (B) An approval may include any conditions or other requirements to 
which the approval is subject.
    (5) Effective date for petition. (i) Beginning with the averaging 
period immediately following the end of the approved period under 
paragraph (c)(4) of this section, the compliance baseline for the 
purposes of this subpart J shall be as specified in paragraph (b) of 
this section.
    (ii) Notwithstanding the requirement specified in paragraph 
(c)(5)(i) of this section, if at any time the alternative compliance 
period approved under Sec.  80.101(k) or Sec.  80.101(l) ceases to 
apply, the approval granted under this paragraph (c) shall also cease to 
apply.

[68 FR 24309, May 6, 2003, as amended at 70 FR 58335, Oct. 6, 2005; 72 
FR 60582, Oct. 25, 2007; 85 FR 7073, Feb. 6, 2020]

[[Page 422]]



Sec. Sec.  80.860-80.905  [Reserved]

                         Baseline Determination



Sec.  80.910  How does a refiner or importer apply for a toxics
baseline?

    (a)(1) A refiner or importer shall submit an application to EPA 
which includes the information required under paragraph (c) of this 
section no later than June 30, 2001, or 3 months prior to the first 
introduction of gasoline into commerce from the refinery or by the 
importer, whichever is later.
    (2) A refiner or importer shall submit an application to EPA for the 
purposes of this subpart simultaneously with the submission of a 
petition under Sec.  80.93(d).
    (b) The toxics baseline request shall be sent to: U.S. EPA, Attn: 
Toxics Program (6406J), 1200 Pennsylvania Ave., NW, Washington, DC 
20460. For commercial (non-postal) delivery: U.S. EPA, Attn: Toxics 
Program, 501 3rd Street NW, Washington, DC 20001.
    (c) The toxics baseline application shall include the following 
information:
    (1) A listing of the names and addresses of all refineries owned by 
the company for which the refiner is applying for a toxics baseline, or 
the name and address of the importer applying for a toxics baseline.
    (2) For each refinery and importer--
    (i) The baseline toxics value for each type of gasoline, per Sec.  
80.815(b), calculated in accordance with Sec.  80.915;
    (ii) The baseline toxics volume for each type of gasoline, per Sec.  
80.815(b), calculated in accordance with Sec.  80.915;
    (iii) For those with insufficient data pursuant to Sec.  80.855, a 
statement that the refinery's or importer's baseline toxics value is the 
default compliance baseline specified at Sec.  80.855(b), and that its 
baseline toxics volume is zero.
    (3) A letter signed by the president, chief operating or chief 
executive officer, of the company, or his/her delegate, stating that the 
information contained in the toxics baseline determination is true to 
the best of his/her knowledge.
    (4) Name, address, phone number, facsimile number and E-mail address 
of a company contact person.
    (5) The following information for each batch of gasoline produced or 
imported during the period 1998-2000, separately for each type of 
gasoline listed at Sec.  80.815(b):
    (i) Batch number assigned to the batch under Sec.  80.65(d) or Sec.  
80.101(i);
    (ii) Volume; and
    (iii) Applicable toxics value determined as specified at Sec.  
80.915(c).
    (d) Foreign refiners shall follow the procedures specified in Sec.  
80.1030(b) to establish individual toxics baseline values for a foreign 
refinery.
    (e) By October 31, 2001, or 4 months after the submission date, 
whichever is later, EPA will notify the submitter of approval of its 
toxics baseline.
    (f) If at any time the baseline submitted in accordance with the 
requirements of this section is determined to be incorrect, the 
corrected baseline applies ab initio and the annual average toxics 
requirements are deemed to be those applicable under the corrected 
information.

[66 FR 17263, Mar. 29, 2001, as amended at 72 FR 60582, Oct. 25, 2007]



Sec.  80.915  How are the baseline toxics value and baseline toxics
volume determined?

    (a)(1) A refinery or importer shall use the methodology specified in 
this section for determining a baseline toxics value if it can determine 
an applicable toxics value for every batch of gasoline produced or 
imported for 12 or more consecutive months during January 1, 1998 
through December 31, 2000.
    (2) The determination in paragraph (a)(1) of this section is made 
separately for each type of gasoline listed at Sec.  80.815(b) produced 
or imported between January 1, 1998 and December 31, 2000, inclusive.
    (3) All consecutive and non-consecutive batch toxics measurements 
between January 1, 1998 and December 31, 2000, inclusive, are to be 
included in the baseline determination, unless the refinery or importer 
petitions EPA to exclude such data on the basis of data quality, per 
Sec.  80.91(d)(6), and receives permission from EPA to exclude such 
data.
    (b)(1) A refinery's or importer's baseline toxics value is 
calculated using the following equation:

[[Page 423]]

[GRAPHIC] [TIFF OMITTED] TR29MR01.002

Where:

TBase = Baseline toxics value.
Vi = Volume of gasoline batch i produced or imported between 
          January 1, 1998 and December 31, 2000, inclusive.
Ti = Toxics value of gasoline batch i produced or imported 
          between January 1, 1998 and December 31, 2000, inclusive.
i = Individual batch of gasoline produced or imported between January 1, 
          1998 and December 31, 2000, inclusive.
n = Total number of batches of gasoline produced or imported between 
          January 1, 1998 and December 31, 2000, inclusive.
M = Compliance margin.

    (2) A refinery's or importer's baseline toxics volume is calculated 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR29MR01.003

Where:

Vbase = Baseline toxics volume.
Vi = Volume of gasoline batch i produced or imported between 
          January 1, 1998 and December 31, 2000, inclusive.
i = Individual batch of gasoline produced or imported between January 1, 
          1998 and December 31, 2000, inclusive.
n = Total number of batches of gasoline produced or imported between 
          January 1, 1998 and December 31, 2000, inclusive.
Y = Number of years between 1998 and 2000, inclusive, during some or all 
          of which the refinery produced, or the importer imported, 
          gasoline.

    (c) The calculation specified in paragraph (b) of this section shall 
be made separately for each type of gasoline listed at Sec.  80.815(b).
    (d) The toxics value, Ti, of each batch of gasoline is 
determined using the Phase II Complex Model specified at Sec.  80.45.
    (1) The toxics value, Ti, of each batch of reformulated 
gasoline or RBOB, and the baseline toxics value, TBase, for 
reformulated gasoline and RBOB, combined, under this subpart are in 
percent reduction from the statutory baseline defined in 40 CFR 80.45(b) 
and volumes are in gallons.
    (2) The toxics value, Ti, of each batch of conventional 
gasoline, and the baseline toxics value, TBase, for 
conventional gasoline under this subpart are in milligrams per mile (mg/
mile) and volumes are in gallons.
    (e)(1)(i) A refiner or importer which is approved for a petition 
submitted under Sec.  80.910(a)(2) for gasoline produced or imported for 
use in Alaska shall calculate the applicable toxics baseline value using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC07.003

Where:

TWBase = Baseline toxics value for gasoline produced or 
          imported for use in Alaska.
Vi = Volume of gasoline batch i produced or imported for use 
          in Alaska between January 1, 1998 and December 31, 2000, 
          inclusive.
Ti = Toxics value of gasoline batch i produced or imported 
          for use in Alaska between January 1, 1998 and December 31, 
          2000, inclusive.
i = Individual batch of gasoline produced or imported for use in Alaska 
          between January 1, 1998 and December 31, 2000, inclusive.
n = Total number of batches of gasoline produced or imported for use in 
          Alaska between January 1, 1998 and December 31, 2000, 
          inclusive.
M = Compliance margin.

    (ii) The baseline volume associated with the baseline value 
calculated in paragraph (e)(1)(i) of this section shall be calculated 
using the methodology in paragraph (b)(2) of this section for the 
gasoline described in paragraph (e)(1)(i) of this section.
    (2)(i) A refiner or importer which is approved for a petition 
submitted under Sec.  80.910(a)(2) for gasoline produced or imported for 
use in Hawaii, the Commonwealth of Puerto Rico, and the Virgin Islands 
shall calculate the applicable toxics baseline value using the following 
equation:

[[Page 424]]

[GRAPHIC] [TIFF OMITTED] TR25OC07.004

Where:

TSBase = Baseline toxics value for gasoline produced or 
          imported for use in Hawaii, the Commonwealth of Puerto Rico, 
          and the Virgin Islands.
Vi = Volume of gasoline batch i produced or imported for use 
          in Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands between January 1, 1998 and December 31, 2000, 
          inclusive.
Ti= Toxics value of gasoline batch i produced or imported for 
          use in Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands between January 1, 1998 and December 31, 2000, 
          inclusive.
i = Individual batch of gasoline produced or imported for use 
          in Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands between January 1, 1998 and December 31, 2000, 
          inclusive.
n = Total number of batches of gasoline produced or imported for use in 
          Hawaii, the Commonwealth of Puerto Rico, and the Virgin 
          Islands between January 1, 1998 and December 31, 2000, 
          inclusive.
M = Compliance margin.

    (ii) The baseline volume associated with the baseline value 
calculated in paragraph (e)(2)(i) of this section shall be calculated 
using the methodology in paragraph (b)(2) of this section for the 
gasoline described in paragraph (e)(2)(i) of this section.
    (f) All refinery or importer baseline toxics value calculations 
shall be conducted to two decimal places.
    (g) Any refinery for which oxygenate blended downstream was included 
in compliance calculations for 1998-2000, pursuant to Sec.  80.65 or 
Sec.  80.101(d)(4), shall include this oxygenate in the baseline 
calculations for toxics value under paragraph (a) of this section.
    (h) Baseline adjustment. (1) A toxics baseline determined 
differently than described in paragraphs (a) through (e) of this section 
may be allowed upon petition by the refiner or importer and approval by 
the Administrator or designee. The petition must be included with the 
baseline submittal under Sec.  80.910.
    (2) A toxics baseline adjustment petition shall, at minimum, be 
accompanied by:
    (i) Unadjusted and adjusted baseline fuel parameters, applicable 
toxics values, and volumes; and
    (ii) A narrative describing how the circumstances during 1998-2000 
materially affected the baseline toxics value calculated under paragraph 
(a) of this section. The narrative shall also describe and show the 
calculations, and the reasoning supporting the calculations, used to 
determine the adjusted values.
    (i) The compliance margin, M, that will be added to the toxics 
baseline calculated according to paragraph (a) of this section shall be 
equal to:
    (1) -0.7% for reformulated gasoline or RBOB;
    (2) 2.5 mg/mile for conventional gasoline.

[66 FR 17263, Mar. 29, 2001, as amended at 72 FR 60582, Oct. 25, 2007]



Sec. Sec.  80.920-80.980  [Reserved]

                Recordkeeping and Reporting Requirements



Sec.  80.985  What records shall be kept?

    (a) The recordkeeping requirements specified under Sec.  80.74 
applicable to refiners and importers of reformulated gasoline, RBOB and/
or conventional gasoline apply under this subpart, however, duplicate 
records are not required.
    (b) Additional records that refiners and importers shall keep. 
Beginning January 1, 2002, any refiner for each of its refineries, and 
any importer for the gasoline it imports, shall keep records that 
include the following information:
    (1) The calculations used to determine the applicable compliance 
baseline under Sec.  80.915.
    (2) The calculations used to determine compliance with the 
applicable toxics requirements per Sec.  80.815.
    (3) A copy of all reports submitted to EPA under Sec.  80.990, 
however, duplicate records are not required.
    (c) Additional records importers shall keep. Any importer shall keep 
records that identify and verify the source of each batch of Certified 
Toxics-FRGAS

[[Page 425]]

and Non-Certified Toxics-FRGAS imported and demonstrate compliance with 
the requirements for importers under Sec.  80.1030(o).
    (d) Length of time records shall be kept. The records required in 
this section shall be kept for five years from the date they were 
created.
    (e) Make records available to EPA. On request by EPA the records 
required in paragraphs (a), (b) and (c) of this section shall be 
provided to the Administrator's authorized representative. For records 
that are electronically generated or maintained the equipment and 
software necessary to read the records shall be made available, or upon 
approval by EPA, electronic records shall be converted to paper 
documents which shall be provided to the Administrator's authorized 
representative.



Sec.  80.990  What are the toxics reporting requirements?

    Beginning with the 2002 averaging period, and continuing for each 
averaging period thereafter, any refiner or importer shall submit to EPA 
the information required in this section, and such other information as 
EPA may require.
    (a) Refiner and importer annual reports. Any refiner, for each of 
its refineries and/or aggregate(s) of refineries, and any importer for 
the gasoline it imports, shall:
    (1) Include in its reformulated gasoline toxics emissions 
performance averaging report per Sec.  80.75(e) the compliance baseline 
and incremental volume, Vinc, for its reformulated gasoline 
and RBOB, combined, per Sec.  80.850.
    (2) Include in its conventional gasoline report per Sec.  80.105 the 
compliance baseline and incremental volume, Vinc, for its 
conventional gasoline per Sec.  80.850.
    (3) Exclude Certified Toxics-FRGAS under Sec.  80.1030, if an 
importer.
    (b) Additional reporting requirements for importers. Any importer 
shall report the following information for Toxics-FRGAS imported during 
the averaging period:
    (1) The EPA refiner and refinery registration numbers of each 
foreign refiner and refinery where the Certified Toxics-FRGAS was 
produced; and
    (2) The total gallons of Certified Toxics-FRGAS and Non-Certified 
Toxics-FRGAS imported from each foreign refiner and refinery.

                               Exemptions



Sec.  80.995  What if a refiner or importer is unable to produce
gasoline conforming to the requirements of this subpart?

    In appropriate extreme and unusual circumstances (e.g., natural 
disaster or Act of God) which are clearly outside the control of the 
refiner or importer and which could not have been avoided by the 
exercise of prudence, diligence, and due care, EPA may permit a refiner 
or importer, for a brief period, to not meet the requirements of this 
subpart, separately for reformulated gasoline (and RBOB, combined) and 
conventional gasoline, provided the refiner or importer meets all the 
criteria, requirements and conditions contained in Sec.  80.73 (a) 
through (e).



Sec.  80.1000  What are the requirements for obtaining an exemption
for gasoline used for research, development or testing purposes?

    Gasoline used for research, development or testing purposes is 
exempt from the requirements of this subpart if it is exempted for these 
purposes under the reformulated and conventional gasoline programs, as 
applicable.

                          Violation Provisions



Sec.  80.1005  What acts are prohibited under the gasoline toxics program?

    No person shall:
    (a) Averaging violation. Produce or import gasoline subject to this 
subpart that does not comply with the applicable toxics requirement 
under Sec.  80.815.
    (b) Causing an averaging use violation. Cause another person to 
commit an act in violation of paragraph (a) of this section.



Sec.  80.1010  [Reserved]



Sec.  80.1015  Who is liable for violations under the gasoline
toxics program?

    (a) Persons liable for violations of prohibited acts--(1) Averaging 
violation. Any

[[Page 426]]

person who violates Sec.  80.1005(a) is liable for the violation.
    (2) Causing an averaging violation. Any person who causes another 
party to violate Sec.  80.1005(a), is liable for a violation of Sec.  
80.1005(b).
    (3) Parent corporation liability. Any parent corporation is liable 
for any violations of this subpart that are committed by any of its 
wholly-owned subsidiaries.
    (b) Persons liable for failure to meet other provisions of this 
subpart. (1) Any person who fails to meet a provision of this subpart 
not addressed in paragraph (a) of this section is liable for a violation 
of that provision.
    (2) Any person who causes another party to fail to meet a 
requirement of this subpart not addressed in paragraph (a) of this 
section, is liable for causing a violation of that provision.



Sec.  80.1020  [Reserved]



Sec.  80.1025  What penalties apply under this subpart?

    (a) Any person liable for a violation under Sec.  80.1015 is subject 
to civil penalties as specified in sections 205 and 211(d) of the Clean 
Air Act for every day of each such violation and the amount of economic 
benefit or savings resulting from each violation.
    (b) Any person liable under Sec.  80.1015(a) for a violation of the 
applicable toxics requirements or causing another party to violate the 
requirements during any averaging period, is subject to a separate day 
of violation for each and every day in the averaging period.
    (c) Any person liable under Sec.  80.1015(b) for failure to meet, or 
causing a failure to meet, a provision of this subpart is liable for a 
separate day of violation for each and every day such provision remains 
unfulfilled.

    Provisions for Foreign Refiners With Individual Toxics Baselines



Sec.  80.1030  What are the requirements for gasoline produced at
foreign refineries having individual refiner toxics baselines?

    (a) Definitions. (1) A foreign refinery is a refinery that is 
located outside the United States, the Commonwealth of Puerto Rico, the 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands (collectively referred to in this section as 
``the United States'').
    (2) A foreign refiner is a person who meets the definition of 
refiner under Sec.  80.2(i) for a foreign refinery.
    (3) Toxics-FRGAS means gasoline produced at a foreign refinery that 
has been assigned an individual refinery toxics baseline under Sec.  
80.915 and that is imported into the U.S.
    (4) Non-Toxics-FRGAS means gasoline that is produced at a foreign 
refinery that has not been assigned an individual refinery toxics 
baseline, gasoline produced at a foreign refinery with an individual 
refinery toxics baseline that is not imported into the United States, 
and gasoline produced at a foreign refinery with an individual toxics 
baseline during a year when the foreign refiner has opted to not 
participate in the Toxics-FRGAS program under paragraph (c)(3) of this 
section.
    (5) Certified Toxics-FRGAS means Toxics-FRGAS the foreign refiner 
intends to include in the foreign refinery's toxics compliance 
calculations under Sec.  80.825, and does include in these compliance 
calculations when reported to EPA.
    (6) Non-Certified Toxics-FRGAS means Toxics-FRGAS that is not 
Certified Toxics-FRGAS.
    (b) Baseline establishment. Any foreign refiner may submit a 
petition to the Administrator for an individual refinery toxics baseline 
pursuant to Sec.  80.915 for all gasoline that was produced at the 
foreign refinery and imported into the United States between January 1, 
1998 and December 31, 2000.
    (1) The refiner shall follow the procedures specified in Sec. Sec.  
80.91 through 80.93 to establish an anti-dumping baseline, if it does 
not already have such a baseline.
    (2) In making determinations for foreign refinery baselines, EPA 
will consider all information supplied by a foreign refiner, and in 
addition may rely on any and all appropriate assumptions necessary to 
make such determinations.
    (3)(i) Where a foreign refiner submits a petition that is incomplete 
or inadequate to establish an accurate toxics baseline, and the refiner 
fails to cure

[[Page 427]]

this defect after a request for more information, EPA will not assign an 
individual refinery toxics baseline.
    (ii) If a foreign refiner does not already have an anti-dumping 
individual baseline per Sec.  80.94, and if pursuant to Sec.  
80.94(b)(5) EPA does not assign an individual anti-dumping baseline, EPA 
will also not assign an individual refinery toxics baseline.
    (c) General requirements for foreign refiners with individual 
refinery toxics baselines. A foreign refiner of a refinery that has been 
assigned an individual toxics baseline according to Sec.  80.915 shall 
designate all gasoline produced at the foreign refinery that is exported 
to the United States as either Certified Toxics-FRGAS or as Non-
Certified Toxics-FRGAS, except as provided in paragraph (c)(3) of this 
section.
    (1) In the case of Certified Toxics-FRGAS, the foreign refiner shall 
meet all provisions that apply to refiners under this subpart J.
    (2) In the case of Non-Certified Toxics-FRGAS, the foreign refiner 
shall meet all the following provisions, except the foreign refiner 
shall use the name Non-Certified Toxics-FRGAS instead of the names 
``reformulated gasoline'' or ``RBOB'' wherever they appear in the 
following provisions:
    (i) The designation requirements in this section.
    (ii) The recordkeeping requirements under Sec.  80.985.
    (iii) The reporting requirements in Sec.  80.990 and this section.
    (iv) The product transfer document requirements in this section.
    (v) The prohibitions in this section and Sec.  80.1005.
    (vi) The independent audit requirements under Sec.  80.1035, 
paragraph (h) of this section, Sec. Sec.  80.125 through 80.127, Sec.  
80.128(a), (b), (c), (g) through (i), and Sec.  80.130.
    (3)(i) Any foreign refiner that has been assigned an individual 
toxics baseline for a foreign refinery under Sec.  80.915 may elect to 
classify no gasoline imported into the United States as Toxics-FRGAS, 
provided the foreign refiner notifies EPA of the election no later than 
November 1 of the prior calendar year.
    (ii) An election under paragraph (c)(3)(i) of this section shall:
    (A) Apply to an entire calendar year averaging period, and apply to 
all gasoline produced during the calendar year at the foreign refinery 
that is used in the United States; and
    (B) Remain in effect for each succeeding calendar year averaging 
period, unless and until the foreign refiner notifies EPA of a 
termination of the election. The change in election shall take effect at 
the beginning of the next calendar year.
    (4) In the case of information required under this section which 
would duplicate information submitted in accordance with Sec.  80.94, 
the refiner may indicate that such information is also submitted in 
accordance with the requirements of this section. Duplicate submissions 
are not required.
    (d) Designation, product transfer documents, and foreign refiner 
certification. (1) Any foreign refiner of a foreign refinery that has 
been assigned an individual toxics baseline shall designate each batch 
of Toxics-FRGAS as such at the time the gasoline is produced, unless the 
refiner has elected to classify no gasoline exported to the United 
States as Toxics-FRGAS under paragraph (c)(3)(i) of this section.
    (2) On each occasion when any person transfers custody or title to 
any Toxics-FRGAS prior to its being imported into the United States, it 
shall include the following information as part of the product transfer 
document information in this section:
    (i) Identification of the gasoline as Certified Toxics-FRGAS or as 
Non-Certified Toxics-FRGAS; and
    (ii) The name and EPA refinery registration number of the refinery 
where the Toxics-FRGAS was produced.
    (3) On each occasion when Toxics-FRGAS is loaded onto a vessel or 
other transportation mode for transport to the United States, the 
foreign refiner shall prepare a written verification for each batch of 
the Toxics-FRGAS that meets the following requirements:
    (i) The verification shall include the report of the independent 
third party under paragraph (f) of this section, and the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the Toxics-FRGAS;

[[Page 428]]

    (B) The identification of the gasoline as Certified Toxics-FRGAS or 
Non-Certified Toxics-FRGAS;
    (C) The volume of Toxics-FRGAS being transported, in gallons;
    (D) In the case of Certified Toxics-FRGAS:
    (1) The toxics value as determined under paragraph (f) of this 
section; and
    (2) A declaration that the Toxics-FRGAS is being included in the 
compliance calculations under Sec.  80.825 for the refinery that 
produced the Toxics-FRGAS.
    (ii) The verification shall be made part of the product transfer 
documents for the Toxics-FRGAS.
    (e) Transfers of Toxics-FRGAS to non-United States markets. The 
foreign refiner is responsible to ensure that all gasoline classified as 
Toxics-FRGAS is imported into the United States. A foreign refiner may 
remove the Toxics-FRGAS classification, and the gasoline need not be 
imported into the United States, but only if:
    (1)(i) The foreign refiner excludes:
    (A) The volume of gasoline from the refinery's compliance 
calculations under Sec.  80.825; and
    (B) In the case of Certified Toxics-FRGAS, the volume and toxics 
value of the gasoline from the compliance calculations under Sec.  
80.825.
    (ii) The exclusions under paragraph (e)(1)(i) of this section shall 
be on the basis of the toxics value and volumes determined under 
paragraph (f) of this section; and
    (2) The foreign refiner obtains sufficient evidence in the form of 
documentation that the gasoline was not imported into the United States.
    (f) Load port independent sampling, testing and refinery 
identification. (1) On each occasion Toxics-FRGAS is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms;
    (ii) Determine the volume of Toxics-FRGAS loaded onto the vessel 
(exclusive of any tank bottoms present before vessel loading);
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery;
    (iv) Determine the name and country of registration of the vessel 
used to transport the Toxics-FRGAS to the United States; and
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (2) On each occasion Certified Toxics-FRGAS is loaded onto a vessel 
for transport to the United States a foreign refiner shall have an 
independent third party:
    (i) Collect a representative sample of the Certified Toxics-FRGAS 
from each vessel compartment subsequent to loading on the vessel and 
prior to departure of the vessel from the port serving the foreign 
refinery;
    (ii) Prepare a volume-weighted vessel composite sample from the 
compartment samples, and determine the value for toxics using the 
methodology specified in Sec.  80.730 by:
    (A) The third party analyzing the sample; or
    (B) The third party observing the foreign refiner analyze the 
sample;
    (iii) Review original documents that reflect movement and storage of 
the Certified Toxics-FRGAS from the refinery to the load port, and from 
this review determine:
    (A) The refinery at which the Toxics-FRGAS was produced; and
    (B) That the Toxics-FRGAS remained segregated from:
    (1) Non-Toxics-FRGAS and Non-Certified Toxics-FRGAS; and
    (2) Other Certified Toxics-FRGAS produced at a different refinery.
    (3) The independent third party shall submit a report:
    (i) To the foreign refiner containing the information required under 
paragraphs (f)(1) and (2) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) To the Administrator containing the information required under 
paragraphs (f)(1) and (2) of this section, within thirty days following 
the date of the independent third party's inspection. This report shall 
include a description of the method used to determine the identity of 
the refinery at which the gasoline was produced, assurance that the 
gasoline remained segregated as specified in paragraph (n)(1) of this 
section, and a description

[[Page 429]]

of the gasoline's movement and storage between production at the source 
refinery and vessel loading.
    (4) The independent third party shall:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (f);
    (ii) Be independent under the criteria specified in Sec.  
80.65(e)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(f).
    (g) Comparison of load port and port of entry testing. (1)(i) Except 
as described in paragraph (g)(1)(ii) of this section, any foreign 
refiner and any United States importer of Certified Toxics-FRGAS shall 
compare the results from the load port testing under paragraph (f) of 
this section, with the port of entry testing as reported under paragraph 
(o) of this section, for the volume of gasoline and the toxics value.
    (ii) Where a vessel transporting Certified Toxics-FRGAS off loads 
this gasoline at more than one United States port of entry, and the 
conditions of paragraph (g)(2)(i) of this section are met at the first 
United States port of entry, the requirements of paragraph (g)(2) of 
this section do not apply at subsequent ports of entry if the United 
States importer obtains a certification from the vessel owner, that 
meets the requirements of paragraph (s) of this section, that the vessel 
has not loaded any gasoline or blendstock between the first United 
States port of entry and the subsequent port of entry.
    (2)(i) The requirements of this paragraph (g)(2) apply if:
    (A) The temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent; or
    (B) The toxics value determined at the port of entry is higher than 
the toxics value determined at the load port, and the amount of this 
difference is greater than the reproducibility amount specified for the 
port of entry test result by the American Society of Testing and 
Materials (ASTM).
    (ii) The United States importer and the foreign refiner shall treat 
the gasoline as Non-Certified Toxics-FRGAS, and the foreign refiner 
shall exclude the gasoline volume and properties from its gasoline 
toxics compliance calculations under Sec.  80.825.
    (h) Attest requirements. The following additional procedures shall 
be carried out by any foreign refiner of Toxics-FRGAS as part of the 
applicable attest engagement for each foreign refinery under Sec.  
80.1035:
    (1) The inventory reconciliation analysis under Sec.  80.128(b) and 
the tender analysis under Sec.  80.128(c) shall include Non-Toxics-FRGAS 
in addition to the gasoline types listed in Sec.  80.128(b) and (c).
    (2) Obtain separate listings of all tenders of Certified Toxics-
FRGAS, and of Non-Certified Toxics-FRGAS. Agree the total volume of 
tenders from the listings to the gasoline inventory reconciliation 
analysis in Sec.  80.128(b), and to the volumes determined by the third 
party under paragraph (f)(1) of this section.
    (3) For each tender under paragraph (h)(2) of this section where the 
gasoline is loaded onto a marine vessel, report as a finding the name 
and country of registration of each vessel, and the volumes of Toxics-
FRGAS loaded onto each vessel.
    (4) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified Toxics-FRGAS, in 
accordance with the guidelines in Sec.  80.127, and for each vessel 
selected perform the following:
    (i) Obtain the report of the independent third party, under 
paragraph (f) of this section, and of the United States importer under 
paragraph (o) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification, gasoline volumes and test results.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry parameter and volume results differ by more than the 
amounts allowed in paragraph (g) of this section, and determine whether 
the foreign refiner adjusted its refinery calculations as required in 
paragraph (g) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine

[[Page 430]]

transportation and storage of the Certified Toxics-FRGAS from the 
refinery to the load port, under paragraph (f) of this section. Obtain 
tank activity records for any storage tank where the Certified Toxics-
FRGAS is stored, and pipeline activity records for any pipeline used to 
transport the Certified Toxics-FRGAS, prior to being loaded onto the 
vessel. Use these records to determine whether the Certified Toxics-
FRGAS was produced at the refinery that is the subject of the attest 
engagement, and whether the Certified Toxics-FRGAS was mixed with any 
Non-Certified Toxics-FRGAS, Non-Toxics-FRGAS, or any Certified Toxics-
FRGAS produced at a different refinery.
    (5) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified and Non-Certified 
Toxics-FRGAS, in accordance with the guidelines in Sec.  80.127, and for 
each vessel selected perform the following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (6) Obtain separate listings of all tenders of Non-Toxics-FRGAS, and 
perform the following:
    (i) Agree the total volume of tenders from the listings to the 
gasoline inventory reconciliation analysis in Sec.  80.128(b).
    (ii) Obtain a separate listing of the tenders under this paragraph 
(h)(6) where the gasoline is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the gasoline was off 
loaded for the selected vessels. Determine and report as a finding the 
country where the gasoline was off loaded for each vessel selected.
    (7) In order to complete the requirements of this paragraph (h) an 
auditor shall:
    (i) Be independent of the foreign refiner;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.130 and this paragraph (h); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.130, Sec.  80.1035 and this paragraph (h).
    (i) Foreign refiner commitments. Any foreign refiner shall commit to 
and comply with the provisions contained in this paragraph (i) as a 
condition to being assigned an individual refinery toxics baseline.
    (1) Any United States Environmental Protection Agency inspector or 
auditor will be given full, complete and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Gasoline is produced;
    (B) Documents related to refinery operations are kept;
    (C) Gasoline or blendstock samples are tested or stored; and
    (D) Toxics-FRGAS is stored or transported between the foreign 
refinery and the United States, including storage tanks, vessels and 
pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits will be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to:
    (A) Refinery baseline establishment, including the volume and toxics 
value,

[[Page 431]]

and transfers of title or custody, of any gasoline or blendstocks, 
whether Toxics-FRGAS or Non-toxics-FRGAS, produced at the foreign 
refinery during the period January 1, 1998 through the date of the 
refinery baseline petition or through the date of the inspection or 
audit if a baseline petition has not been approved, and any work papers 
related to refinery baseline establishment;
    (B) The volume and toxics value of Toxics-FRGAS;
    (C) The proper classification of gasoline as being Toxics-FRGAS or 
as not being Toxics-FRGAS, or as Certified Toxics-FRGAS or as Non-
Certified Toxics-FRGAS;
    (D) Transfers of title or custody to Toxics-FRGAS;
    (E) Sampling and testing of Toxics-FRGAS;
    (F) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section and 
Sec.  80.1035 including work papers; and
    (G) Reports prepared for submission to EPA, and any work papers 
related to such reports.
    (vi) Inspections and audits by EPA may include taking samples of 
gasoline or blendstock, and interviewing employees.
    (vii) Any employee of the foreign refiner will be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents will be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters will be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia will be named, and service on this agent constitutes service on 
and personal and subject matter jurisdiction in the United States over 
the foreign refiner or any employee of the foreign refiner for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart J.
    (3) A foreign refiner shall be subject to civil liability for 
violations of this section, sections 114, 202(l), 211, and 301(a) of the 
Clean Air Act, as amended (42 U.S.C. 7414, 7521(l), 7545 and 7601(a)), 
and all other applicable laws or regulations and shall be subject to the 
provisions thereof. The Administrator may assess a penalty against a 
foreign refiner for any violation of this section by a foreign refiner, 
in the manner set forth in sections 205(c) of the CAA, 42 U.S.C. 7524(c) 
or commence a civil action against a foreign refiner to assess and 
recover a civil penalty in the manner set forth in section 205(b) of the 
CAA, 42 U.S.C. 7524(b). A FR shall be subject to criminal liability for 
violations of this section, section 113(c)(2) of the CAA, 42 U.S.C. 
7413(c)(2), 18 U.S.C. 1001 and all other applicable provisions and shall 
be subject to the provisions thereof.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting a petition for an individual refinery toxics 
baseline, producing and exporting gasoline under an individual refinery 
toxics baseline, and all other actions to comply with the requirements 
of this subpart J relating to the establishment and use of an individual 
refinery toxics baseline constitute actions or activities that satisfy 
the provisions of 28 U.S.C. 1605(a)(2), but solely with respect to 
actions instituted against the foreign refiner, its agents and employees 
in any court or other tribunal in the United States for conduct that 
violates the requirements applicable to the foreign refiner under this 
subpart J, including conduct that violates Title 18 U.S.C. section 1001 
and Clean Air Act section 113(c)(2).
    (6) The foreign refiner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (i) shall be signed by 
the owner or president of the foreign refiner business.

[[Page 432]]

    (8) In any case where Toxics-FRGAS produced at a foreign refinery is 
stored or transported by another company between the refinery and the 
vessel that transports the Toxics-FRGAS to the United States, the 
foreign refiner shall obtain from each such other company a commitment 
that meets the requirements specified in paragraphs (i)(1) through (7) 
of this section, and these commitments shall be included in the foreign 
refiner's baseline petition.
    (j) Sovereign immunity. By submitting a petition for an individual 
foreign refinery baseline under this section, or by producing and 
exporting gasoline to the United States under an individual refinery 
toxics baseline under this section, the foreign refiner, its agents and 
employees, without exception, become subject to the full operation of 
the administrative and judicial enforcement powers and provisions of the 
United States without limitation based on sovereign immunity, with 
respect to actions instituted against the foreign refiner, its agents 
and employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign refiner 
under this subpart J, including conduct that violates Title 18 U.S.C. 
section 1001 and Clean Air Act section 113(c)(2).
    (k) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (k) as a condition to being assigned an individual 
refinery toxics baseline.
    (1) The foreign refiner shall annually post a bond of the amount 
calculated using the following equation:

Bond = G x $ 0.01 - BondCG

Where:

Bond = amount of the bond in U. S. dollars.
G = the largest volume of gasoline produced at the foreign refinery and 
          exported to the United States, in gallons, during a single 
          calendar year among the five preceding calendar years.
BondCG = amount of bond currently posted by the refinery 
          pursuant to Sec.  80.94.

    (2) Bonds shall be posted by:
    (i) Paying the amount of the bond to the Treasurer of the United 
States;
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign refiner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement; or
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) If the bond amount for a foreign refinery increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (4) Bonds posted under this paragraph (k) shall:
    (i) Be used to satisfy any judicial or administrative judgment, 
order, assessment or payment under a judicial or administrative 
settlement agreement that results from an administrative or judicial 
enforcement action for conduct in violation of this subpart J, including 
where such conduct violates Title 18 U.S.C. section 1001 and Clean Air 
Act section 113(c)(2);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds'; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five (5) years following the end of latest averaging period 
that the foreign refiner produces gasoline pursuant to the requirements 
of this subpart J.
    (5) On any occasion a foreign refiner bond is used to satisfy any 
judgment or other obligation, the foreign refiner shall increase the 
bond to cover the amount used within 90 days of the date the bond is 
used.
    (6) The bond is used for payment of, not in lieu of, any obligation 
arising under any judgment, order, assessment or settlement agreement. 
Nothing herein is intended to waive any portion of any obligation except 
what portion is actually paid by use of funds from the bond.
    (l) [Reserved]

[[Page 433]]

    (m) English language reports. Any report or other document submitted 
to EPA by a foreign refiner shall be in English language, or shall 
include an English language translation.
    (n) Prohibitions. (1) No person may combine Certified Toxics-FRGAS 
with any Non-Certified Toxics-FRGAS or Non-Toxics-FRGAS, and no person 
may combine Certified Toxics-FRGAS with any Certified Toxics-FRGAS 
produced at a different refinery, until the importer has met all the 
requirements of paragraph (o) of this section, except as provided in 
paragraph (e) of this section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (n)(1) of this section, or that 
otherwise violates the requirements of this section.
    (o) United States importer requirements. Any United States importer 
shall meet the following requirements:
    (1) Each batch of imported gasoline shall be classified by the 
importer as being Toxics-FRGAS or as Non-Toxics-FRGAS, and each batch 
classified as Toxics-FRGAS shall be further classified as Certified 
Toxics-FRGAS or as Non-Certified Toxics-FRGAS.
    (2) Gasoline shall be classified as Certified Toxics-FRGAS or as 
Non-Certified Toxics-FRGAS according to the designation by the foreign 
refiner if this designation is supported by product transfer documents 
prepared by the foreign refiner as required in paragraph (d) of this 
section, unless the gasoline is classified as Non-Certified Toxics-FRGAS 
under paragraph (g) of this section.
    (3) For each gasoline batch classified as Toxics-FRGAS, any United 
States importer shall perform the following procedures:
    (i) In the case of both Certified and Non-Certified Toxics-FRGAS, 
have an independent third party:
    (A) Determine the volume of gasoline in the vessel;
    (B) Use the foreign refiner's Toxics-FRGAS certification to 
determine the name and EPA-assigned registration number of the foreign 
refinery that produced the Toxics-FRGAS;
    (C) Determine the name and country of registration of the vessel 
used to transport the Toxics-FRGAS to the United States; and
    (D) Determine the date and time the vessel arrives at the United 
States port of entry.
    (ii) In the case of Certified Toxics-FRGAS, have an independent 
third party:
    (A) Collect a representative sample from each vessel compartment 
subsequent to the vessel's arrival at the United States port of entry 
and prior to off loading any gasoline from the vessel;
    (B) Prepare a volume-weighted vessel composite sample from the 
compartment samples; and
    (C) Determine the toxics value using the methodologies specified in 
Sec.  80.730, by:
    (1) The third party analyzing the sample; or
    (2) The third party observing the importer analyze the sample.
    (4) Any importer shall submit reports within thirty days following 
the date any vessel transporting Toxics-FRGAS arrives at the United 
States port of entry:
    (i) To the Administrator containing the information determined under 
paragraph (o)(3) of this section; and
    (ii) To the foreign refiner containing the information determined 
under paragraph (o)(3)(ii) of this section.
    (5) Any United States importer shall meet the requirements specified 
in Sec.  80.815 for any imported gasoline that is not classified as 
Certified Toxics-FRGAS under paragraph (o)(2) of this section.
    (p) Truck imports of Certified Toxics-FRGAS produced at a Refinery 
(1) Any refiner whose Certified Toxics-FRGAS is transported into the 
United States by truck may petition EPA to use alternative procedures to 
meet the following requirements:
    (i) Certification under paragraph (d)(5) of this section;
    (ii) Load port and port of entry sampling and testing under 
paragraphs (f) and (g) of this section;
    (iii) Attest under paragraph (h) of this section; and
    (iv) Importer testing under paragraph (o)(3) of this section.

[[Page 434]]

    (2) These alternative procedures shall ensure Certified Toxics-FRGAS 
remains segregated from Non-Certified Toxics-FRGAS and from Non-Toxics-
FRGAS until it is imported into the United States. The petition will be 
evaluated based on whether it adequately addresses the following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of Certified Toxics-FRGAS 
from that refinery from all other gasoline;
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport Certified Toxics-FRGAS, that prohibit the commingling of 
Certified Toxics-FRGAS with any of the following:
    (A) Other Certified Toxics-FRGAS from other refineries.
    (B) All Non-Certified Toxics-FRGAS.
    (C) All Non-Toxics-FRGAS;
    (iii) Procedures for obtaining and reviewing truck loading records 
and United States import documents for Certified Toxics-FRGAS to ensure 
that such gasoline is only loaded into trucks making deliveries to the 
United States;
    (iv) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all Certified 
Toxics-FRGAS remains segregated throughout the distribution system and 
is only loaded into trucks for import into the United States.
    (3) The petition required by this section shall be submitted to EPA 
along with the application for small refiner status and individual 
refinery toxics baseline and standards under Sec.  80.240 and this 
section.
    (q) Withdrawal or suspension of a foreign refinery's baseline. EPA 
may withdraw or suspend a baseline that has been assigned to a foreign 
refinery where:
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (i)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart J; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(k) of this section.
    (r) Early use of a foreign refinery baseline. (1) A foreign refiner 
may begin using an individual refinery baseline before EPA has approved 
the baseline, provided that:
    (i) A baseline petition has been submitted as required in paragraph 
(b) of this section;
    (ii) EPA has made a provisional finding that the baseline petition 
is complete;
    (iii) The foreign refiner has made the commitments required in 
paragraph (i) of this section;
    (iv) The persons who will meet the independent third party and 
independent attest requirements for the foreign refinery have made the 
commitments required in paragraphs (f)(3)(iii) and (h)(7)(iii) of this 
section; and
    (v) The foreign refiner has met the bond requirements of paragraph 
(k) of this section.
    (2) In any case where a foreign refiner uses an individual refinery 
baseline before final approval under paragraph (r)(1) of this section, 
and the foreign refinery baseline values that ultimately are approved by 
EPA are more stringent than the early baseline values used by the 
foreign refiner, the foreign refiner shall recalculate its compliance, 
ab initio, using the baseline values approved by EPA, and the foreign 
refiner shall be liable for any resulting violation of the gasoline 
toxics requirements.
    (s) Additional requirements for petitions, reports and certificates. 
Any petition for a refinery baseline under Sec.  80.915, any alternative 
procedures under paragraph (r) of this section, any report or other 
submission required by paragraph (c), (f)(2), or (i) of this section, 
and any certification under paragraph (d)(3) of this section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.

[[Page 435]]

    (2) Be signed by the president or owner of the foreign refiner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR Part 
80, subpart J, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof.
    I affirm that I have read and understand the provisions of 40 CFR 
Part 80, subpart J, including 40 CFR 80.1030 [insert name of foreign 
refiner]. Pursuant to Clean Air Act section 113(c) and Title 18, United 
States Code, section 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000, and/or imprisonment for up to five years.

                           Attest Engagements



Sec.  80.1035  What are the attest engagement requirements for 
gasoline toxics compliance applicable to refiners and importers?

    In addition to the requirements for attest engagements that apply to 
refiners and importers under Sec. Sec.  80.125 through 80.130, and Sec.  
80.1030, the attest engagements for refiners and importers applicable to 
this subpart J shall include the following procedures and requirements 
each year, which should be applied separately to reformulated gasoline 
(and RBOB, combined) and conventional gasoline:
    (a) Obtain the EPA toxics baseline approval letter for the refinery 
to determine the refinery's applicable baseline toxics value and 
baseline toxics volume under Sec.  80.915.
    (b) Obtain a written representation from the company representative 
stating the toxics value(s) that the company used as its baseline(s) and 
agree that number to paragraph (a) of this section.
    (c) Obtain and read a copy of the refinery's or importer's annual 
toxics reports per Sec. Sec.  1A80.75(e) and 80.105 filed with EPA for 
the year to determine the compliance baseline and incremental volume.
    (d) Agree the yearly volume of gasoline reported to EPA in the 
toxics reports with the inventory reconciliation analysis under Sec.  
80.128.
    (e) Calculate the annual average toxics value level for each type of 
gasoline specified at Sec.  80.815(b) and agree the applicable values 
with the values reported to EPA.
    (f) Calculate the difference between the yearly volume of gasoline 
reported to EPA and the baseline volume, if applicable, to determine the 
yearly incremental volume and agree that value with the value reported 
to EPA.
    (g) Calculate the compliance baseline per Sec.  80.850, and agree 
that value with the value reported to EPA.
    (h) Beginning January 1, 2011, or January 1, 2015 for small refiners 
approved per Sec.  80.1340, the requirements of this section shall apply 
only to gasoline that is not subject to the benzene standard of Sec.  
80.1230, pursuant to the provisions of Sec.  80.1235.

[66 FR 17263, Mar. 29, 2001, as amended at 72 FR 8544, Feb. 26, 2007]



Sec.  80.1040  [Reserved]

                          Additional Rulemaking



Sec.  80.1045  What additional rulemaking will EPA conduct?

    No later than July 1, 2003, the Administrator shall propose any 
requirements to control hazardous air pollutants from motor vehicles and 
motor vehicle fuels that the Administrator determines are appropriate 
pursuant to section 202(l)(2) of the Act. The Administrator will take 
final action on such proposal no later than July 1, 2004. During this 
rulemaking, EPA also intends to evaluate emissions and potential 
strategies relating to hazardous air pollutants from nonroad engines and 
vehicles.

[[Page 436]]



                    Subpart K_Renewable Fuel Standard



Sec.  80.1100  How is the statutory default requirement for 2006
implemented?

    (a) Definitions. For calendar year 2006, the definitions of section 
80.2 and the following additional definitions apply to this section.
    (1) Renewable fuel. (i) Renewable fuel means motor vehicle fuel that 
is used to replace or reduce the quantity of fossil fuel present in a 
fuel mixture used to operate a motor vehicle, and which:
    (A) Is produced from grain, starch, oil seeds, vegetable, animal, or 
fish materials including fats, greases, and oils, sugarcane, sugar 
beets, sugar components, tobacco, potatoes, or other biomass; or
    (B) Is natural gas produced from a biogas source, including a 
landfill, sewage waste treatment plant, feedlot, or other place where 
decaying organic material is found.
    (ii) The term ``renewable fuel'' includes cellulosic biomass 
ethanol, waste derived ethanol, biodiesel, and any blending components 
derived from renewable fuel.
    (2) Cellulosic biomass ethanol means ethanol derived from any 
lignocellulosic or hemicellulosic matter that is available on a 
renewable or recurring basis, including dedicated energy crops and 
trees, wood and wood residues, plants, grasses, agricultural residues, 
fibers, animal wastes and other waste materials, and municipal solid 
waste. The term also includes any ethanol produced in facilities where 
animal wastes or other waste materials are digested or otherwise used to 
displace 90 percent or more of the fossil fuel normally used in the 
production of ethanol.
    (3) Waste derived ethanol means ethanol derived from animal wastes, 
including poultry fats and poultry wastes, and other waste materials, or 
municipal solid waste.
    (4) Small refinery means a refinery for which the average aggregate 
daily crude oil throughput for a calendar year (as determined by 
dividing the aggregate throughput for the calendar year by the number of 
days in the calendar year) does not exceed 75,000 barrels.
    (5) Biodiesel means a diesel fuel substitute produced from 
nonpetroleum renewable resources that meets the registration 
requirements for fuels and fuel additives established by the 
Environmental Protection Agency under section 211 of the Clean Air Act. 
It includes biodiesel derived from animal wastes (including poultry fats 
and poultry wastes) and other waste materials, or biodiesel derived from 
municipal solid waste and sludges and oils derived from wastewater and 
the treatment of wastewater.
    (b) Renewable Fuel Standard for 2006. The percentage of renewable 
fuel in the total volume of gasoline sold or dispensed to consumers in 
2006 in the United States shall be a minimum of 2.78 percent on an 
annual average volume basis.
    (c) Responsible parties. Parties collectively responsible for 
attainment of the standard in paragraph (b) of this section are refiners 
(including blenders) and importers of gasoline. However, a party that is 
a refiner only because he owns or operates a small refinery is exempt 
from this responsibility.
    (d) EPA determination of attainment. EPA will determine after the 
close of 2006 whether or not the requirement in paragraph (b) of this 
section has been met. EPA will base this determination on information 
routinely published by the Energy Information Administration on the 
annual domestic volume of gasoline sold or dispensed to U.S. consumers 
and of ethanol produced for use in such gasoline, supplemented by 
readily available information concerning the use in motor fuel of other 
renewable fuels such as cellulosic biomass ethanol, waste derived 
ethanol, biodiesel, and other non-ethanol renewable fuels.
    (1) The renewable fuel volume will equal the sum of all renewable 
fuel volumes used in motor fuel, provided that:
    (i) One gallon of cellulosic biomass ethanol or waste derived 
ethanol shall be considered to be the equivalent of 2.5 gallons of 
renewable fuel; and
    (ii) Only the renewable fuel portion of blending components derived 
from renewable fuel shall be counted towards the renewable fuel volume.

[[Page 437]]

    (2) If the nationwide average volume percent of renewable fuel in 
gasoline in 2006 is equal to or greater than the standard in paragraph 
(b) of this section, the standard has been met.
    (e) Consequence of nonattainment in 2006. In the event that EPA 
determines that the requirement in paragraph (b) of this section has not 
been attained in 2006, a deficit carryover volume shall be added to the 
renewable fuel volume obligation for 2007 for use in calculating the 
standard applicable to gasoline in 2007.
    (1) The deficit carryover volume shall be calculated as follows:


DC = Vgas * (Rs-Ra)

Where:

DC = Deficit carryover, in gallons, of renewable fuel.
Vgas = Volume of gasoline sold or dispensed to U.S. consumers in 2006, 
          in gallons.
Rs = 0.0278.
Ra = Ratio of renewable fuel volume divided by total gasoline volume 
          determined in accordance with paragraph (d)(2) of this 
          section.

    (2) There shall be no other consequence of failure to attain the 
standard in paragraph (b) of this section in 2006 for any of the parties 
in paragraph (c) of this section.

[72 FR 23991, May 1, 2007]



Sec.  80.1101  Definitions.

    The definitions of Sec.  80.2 and the following additional 
definitions apply for the purposes of this subpart. For calendar year 
2007 and beyond, the definitions in this section Sec.  80.1101 supplant 
those in Sec.  80.1100.
    (a) Cellulosic biomass ethanol means either of the following:
    (1) Ethanol derived from any lignocellulosic or hemicellulosic 
matter that is available on a renewable or recurring basis and includes 
any of the following:
    (i) Dedicated energy crops and trees.
    (ii) Wood and wood residues.
    (iii) Plants.
    (iv) Grasses.
    (v) Agricultural residues.
    (vi) Animal wastes and other waste materials, the latter of which 
may include waste materials that are residues (e.g., residual tops, 
branches, and limbs from a tree farm).
    (vii) Municipal solid waste.
    (2) Ethanol made at facilities at which animal wastes or other waste 
materials are digested or otherwise used onsite to displace 90 percent 
or more of the fossil fuel that is combusted to produce thermal energy 
integral to the process of making ethanol, by:
    (i) The direct combustion of the waste materials or a byproduct 
resulting from digestion of such waste materials (e.g., methane from 
animal wastes) to make thermal energy; and/or
    (ii) The use of waste heat captured from an off-site combustion 
process as a source of thermal energy.
    (b) Waste derived ethanol means ethanol derived from either of the 
following:
    (1) Animal wastes, including poultry fats and poultry wastes, and 
other waste materials.
    (2) Municipal solid waste.
    (c) Biogas means methane or other hydrocarbon gas produced from 
decaying organic material, including landfills, sewage waste treatment 
plants, and animal feedlots.
    (d) Renewable fuel. (1) Renewable fuel is any motor vehicle fuel 
that is used to replace or reduce the quantity of fossil fuel present in 
a fuel mixture used to fuel a motor vehicle, and is produced from any of 
the following:
    (i) Grain.
    (ii) Starch.
    (iii) Oilseeds.
    (iv) Vegetable, animal, or fish materials including fats, greases, 
and oils.
    (v) Sugarcane.
    (vi) Sugar beets.
    (vii) Sugar components.
    (viii) Tobacco.
    (ix) Potatoes.
    (x) Other biomass.
    (xi) Natural gas produced from a biogas source, including a 
landfill, sewage waste treatment plant, feedlot, or other place where 
there is decaying organic material.
    (2) The term ``Renewable fuel'' includes cellulosic biomass ethanol, 
waste derived ethanol, biodiesel (mono-alkyl ester), non-ester renewable 
diesel, and blending components derived from renewable fuel.

[[Page 438]]

    (3) Ethanol covered by this definition shall be denatured as 
required and defined in 27 CFR parts 20 and 21. Any volume of denaturant 
in ethanol in excess of 5 volume percent shall not be included in the 
volume of ethanol for purposes of determining compliance with the 
requirements under this subpart.
    (4) Small volume additives (excluding denaturants) less than 1.0 
percent of the total volume of a renewable fuel shall be counted as part 
of the total renewable fuel volume.
    (5) A fuel produced by a renewable fuel producer that is used in 
boilers or heaters is not a motor vehicle fuel and therefore is not a 
renewable fuel.
    (e) Blending component has the same meaning as ``Gasoline blending 
stock, blendstock, or component'' as defined at Sec.  80.2(s), for which 
the portion that can be counted as renewable fuel is calculated as set 
forth in Sec.  80.1115(a).
    (f) Motor vehicle has the meaning given in Section 216(2) of the 
Clean Air Act (42 U.S.C. 7550).
    (g) Small refinery means a refinery for which the average aggregate 
daily crude oil throughput for the calendar year 2004 (as determined by 
dividing the aggregate throughput for the calendar year by the number of 
days in the calendar year) does not exceed 75,000 barrels.
    (h) Biodiesel (mono-alkyl ester) means a motor vehicle fuel or fuel 
additive which is all the following:
    (1) Registered as a motor vehicle fuel or fuel additive under 40 CFR 
part 79.
    (2) A mono-alkyl ester.
    (3) Meets ASTM D-6751-07, entitled ``Standard Specification for 
Biodiesel Fuel Blendstock (B100) for Middle Distillate Fuels.'' ASTM D-
6751-07 is incorporated by reference. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. A copy may be obtained from the 
American Society for Testing and Materials, 100 Barr Harbor Drive, West 
Conshohocken, Pennsylvania. A copy may be inspected at the EPA Docket 
Center, Docket No. EPA-HQ-OAR-2005-0161, EPA/DC, EPA West, Room 3334, 
1301 Constitution Ave., NW., Washington, DC, or at the National Archives 
and Records Administration (NARA). For information on the availability 
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal-register/cfr/ibr-locations.html.
    (4) Intended for use in engines that are designed to run on 
conventional diesel fuel.
    (5) Derived from nonpetroleum renewable resources (as defined in 
paragraph (m) of this section).
    (i) Non-ester renewable diesel means a motor vehicle fuel or fuel 
additive which is all the following:
    (1) Registered as a motor vehicle fuel or fuel additive under 40 CFR 
part 79.
    (2) Not a mono-alkyl ester.
    (3) Intended for use in engines that are designed to run on 
conventional diesel fuel.
    (4) Derived from nonpetroleum renewable resources (as defined in 
paragraph (m) of this section).
    (j) Renewable crude means biologically derived liquid feedstocks 
including but not limited to poultry fats, poultry wastes, vegetable 
oil, and greases that are used as feedstocks to make gasoline or diesel 
fuels at production units as specified in paragraph (k) of this section.
    (k) Renewable crude-based fuels are renewable fuels that are 
gasoline or diesel products resulting from the processing of renewable 
crudes in production units within refineries or at dedicated facilities 
within refineries, that process petroleum based feedstocks and which 
make gasoline and diesel fuel.
    (l) Importers. For the purposes of this subpart only, an importer of 
gasoline or renewable fuel is:
    (1) Any person who brings gasoline or renewable fuel into the 48 
contiguous states of the United States from a foreign country or from an 
area that has not opted in to the program requirements of this subpart 
pursuant to Sec.  80.1143; and
    (2) Any person who brings gasoline or renewable fuel into an area 
that has opted in to the program requirements of this subpart pursuant 
to Sec.  80.1143.
    (m) Nonpetroleum renewable resources include, but are not limited to 
the following:
    (1) Plant oils.

[[Page 439]]

    (2) Animal fats and animal wastes, including poultry fats and 
poultry wastes, and other waste materials.
    (3) Municipal solid waste and sludges and oils derived from 
wastewater and the treatment of wastewater.
    (n) Export of renewable fuel means:
    (1) Transfer of a batch of renewable fuel to a location outside the 
United States; and
    (2) Transfer of a batch of renewable fuel from a location in the 
contiguous 48 states to Alaska, Hawaii, or a United States territory, 
unless that state or territory has received an approval from the 
Administrator to opt-in to the renewable fuel program pursuant to Sec.  
80.1143.
    (o) Renewable Identification Number (RIN), is a unique number 
generated to represent a volume of renewable fuel pursuant to Sec. Sec.  
80.1125 and 80.1126.
    (1) Gallon-RIN is a RIN that represents an individual gallon of 
renewable fuel; and
    (2) Batch-RIN is a RIN that represents multiple gallon-RINs.
    (p) Neat renewable fuel is a renewable fuel to which only de minimis 
amounts of conventional gasoline or diesel have been added.

[72 FR 23992, May 1, 2007, as amended at 73 FR 57254, Oct. 2, 2008]



Sec. Sec.  80.1102-80.1103  [Reserved]



Sec.  80.1104  What are the implementation dates for the Renewable
Fuel Standard Program?

    The RFS standards and other requirements of Sec.  80.1101 and all 
sections following are effective beginning on September 1, 2007.

[72 FR 23993, May 1, 2007]



Sec.  80.1105  What is the Renewable Fuel Standard?

    (a) The annual value of the renewable fuel standard for 2007 shall 
be 4.02 percent.
    (b) Beginning with the 2008 compliance period, EPA will calculate 
the value of the annual standard and publish this value in the Federal 
Register by November 30 of the year preceding the compliance period.
    (c) EPA will base the calculation of the standard on information 
provided by the Energy Information Administration regarding projected 
gasoline volumes and projected volumes of renewable fuel expected to be 
used in gasoline blending for the upcoming year.
    (d) EPA will calculate the annual renewable fuel standard using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR01MY07.059

Where:

RFStdi = Renewable Fuel Standard, in year i, in percent.
RFVi = Nationwide annual volume of renewable fuels required 
          by section 211(o)(2)(B) of the Act (42 U.S.C. 7545), for year 
          i, in gallons.
Gi = Amount of gasoline projected to be used in the 48 
          contiguous states, in year i, in gallons.
Ri = Amount of renewable fuel blended into gasoline that is 
          projected to be used in the 48 contiguous states, in year i, 
          in gallons.
GSi = Amount of gasoline projected to be used in 
          noncontiguous states or territories (if the state or territory 
          opts-in), in year i, in gallons.
RSi = Amount of renewable fuel blended into gasoline that is 
          projected to be used in noncontiguous states or territories 
          (if the state or territory opts-in), in year i, in gallons.
GEi = Amount of gasoline projected to be produced by exempt 
          small refineries and small refiners, in year i, in gallons 
          (through 2010 only, except to the extent that a small refinery 
          exemption is extended pursuant to Sec.  80.1141(e)).
Celli = Beginning in 2013, the amount of renewable fuel that 
          is required to come from cellulosic sources, in year i, in 
          gallons.

    (e) Beginning with the 2013 compliance period, EPA will calculate 
the value of the annual cellulosic standard and publish this value in 
the Federal Register by November 30 of the year preceding the compliance 
period.

[[Page 440]]

    (f) EPA will calculate the annual cellulosic standard using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR01MY07.060

Where:

RFCelli = Renewable Fuel Cellulosic Standard in year i, in 
          percent.
Gi = Amount of gasoline projected to be used in the 48 
          contiguous states, in year i, in gallons.
Ri = Amount of renewable fuel blended into gasoline that is 
          projected to be used in the 48 contiguous states, in year i, 
          in gallons.
GSi = Amount of gasoline projected to be used in 
          noncontiguous states or territories (if the state or territory 
          opts-in), in year i, in gallons.
RSi = Amount of renewable fuel blended into gasoline that is 
          projected to be used in noncontiguous states or territories 
          (if the state or territory opts-in), in year i, in gallons.
Celli = Amount of renewable fuel that is required to come 
          from cellulosic sources, in year i, in gallons.

[72 FR 23993, May 1, 2007]



Sec.  80.1106  To whom does the Renewable Volume Obligation apply?

    (a) (1) An obligated party is a refiner that produces gasoline 
within the 48 contiguous states, or an importer that imports gasoline 
into the 48 contiguous states. A party that simply adds renewable fuel 
to gasoline, as defined in Sec.  80.1107(c), is not an obligated party.
    (2) If the Administrator approves a petition of Alaska, Hawaii, or a 
United States territory to opt-in to the renewable fuel program under 
the provisions in Sec.  80.1143, then ``obligated party'' shall also 
include any refiner that produces gasoline within that state or 
territory, or any importer that imports gasoline into that state or 
territory.
    (3) For the purposes of this section, ``gasoline'' refers to any and 
all of the products specified at Sec.  80.1107(c).
    (b) For each compliance period starting with 2007, any obligated 
party is required to demonstrate, pursuant to Sec.  80.1127, that it has 
satisfied the Renewable Volume Obligation for that compliance period, as 
specified in Sec.  80.1107(a).
    (c) An obligated party may comply with the requirements of paragraph 
(b) of this section for all of its refineries in the aggregate, or for 
each refinery individually.
    (d) An obligated party must comply with the requirements of 
paragraph (b) of this section for all of its imported gasoline in the 
aggregate.
    (e) An obligated party that is both a refiner and importer must 
comply with the requirements of paragraph (b) of this section for its 
imported gasoline separately from gasoline produced by its refinery or 
refineries.
    (f) Where a refinery or importer is jointly owned by two or more 
parties, the requirements of paragraph (b) of this section may be met by 
one of the joint owners for all of the gasoline produced at the 
refinery, or all of the imported gasoline, in the aggregate, or each 
party may meet the requirements of paragraph (b) of this section for the 
portion of the gasoline that it owns, as long as all of the gasoline 
produced at the refinery, or all of the imported gasoline, is accounted 
for in determining the renewable fuels obligation under Sec.  80.1107.
    (g) The requirements in paragraph (b) of this section apply to the 
following compliance periods:
    (1) For 2007, the compliance period is September 1 through December 
31.
    (2) Beginning in 2008, and every year thereafter, the compliance 
period is January 1 through December 31.

[72 FR 23993, May 1, 2007]



Sec.  80.1107  How is the Renewable Volume Obligation calculated?

    (a) The Renewable Volume Obligation for an obligated party is 
determined according to the following formula:

RVOi = (RFStdi * GVi) + Di-1

Where:

RVOi = The Renewable Volume Obligation for an obligated party 
          for calendar year i, in gallons of renewable fuel.
RFStdi = The renewable fuel standard for calendar year i, 
          determined by EPA pursuant to Sec.  80.1105, in percent.
GVi = The non-renewable gasoline volume, determined in 
          accordance with paragraphs (b), (c), and (d) of this section, 
          which is produced or imported by the obligated party in 
          calendar year i, in gallons.

[[Page 441]]

Di-1 = Renewable fuel deficit carryover from the previous 
          year, per Sec.  80.1127(b), in gallons.

    (b) The non-renewable gasoline volume for a refiner, blender, or 
importer for a given year, GVi, specified in paragraph (a) of 
this section is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR01MY07.061

Where:

x = Individual batch of gasoline produced or imported in calendar year 
          i.
n = Total number of batches of gasoline produced or imported in calendar 
          year i.
GX = Volume of batch x of gasoline produced or imported, in 
          gallons.
y = Individual batch of renewable fuel blended into gasoline in calendar 
          year i.
m = Total number of batches of renewable fuel blended into gasoline in 
          calendar year i.
RBy = Volume of batch y of renewable fuel blended into 
          gasoline, in gallons.

    (c) All of the following products that are produced or imported 
during a compliance period, collectively called ``gasoline'' for 
purposes of this section (unless otherwise specified), are to be 
included (but not double-counted) in the volume used to calculate a 
party's renewable volume obligation under paragraph (a) of this section, 
except as provided in paragraph (d) of this section:
    (1) Reformulated gasoline, whether or not renewable fuel is later 
added to it.
    (2) Conventional gasoline, whether or not renewable fuel is later 
added to it.
    (3) Reformulated gasoline blendstock that becomes finished 
reformulated gasoline upon the addition of oxygenate (``RBOB'').
    (4) Conventional gasoline blendstock that becomes finished 
conventional gasoline upon the addition of oxygenate (``CBOB'').
    (5) Blendstock (including butane and gasoline treated as blendstock 
(``GTAB'')) that has been combined with other blendstock and/or finished 
gasoline to produce gasoline.
    (6) Any gasoline, or any unfinished gasoline that becomes finished 
gasoline upon the addition of oxygenate, that is produced or imported to 
comply with a state or local fuels program.
    (d) The following products are not included in the volume of 
gasoline produced or imported used to calculate a party's renewable 
volume obligation under paragraph (a) of this section:
    (1) Any renewable fuel as defined in Sec.  80.1101(d).
    (2) Blendstock that has not been combined with other blendstock or 
finished gasoline to produce gasoline.
    (3) Gasoline produced or imported for use in Alaska, Hawaii, the 
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 
Samoa, and the Commonwealth of the Northern Marianas, unless the area 
has opted into the RFS program under Sec.  80.1143.
    (4) Gasoline produced by a small refinery that has an exemption 
under Sec.  80.1141 or an approved small refiner that has an exemption 
under Sec.  80.1142 until January 1, 2011 (or later, for small 
refineries, if their exemption is extended pursuant to Sec.  
80.1141(e)).
    (5) Gasoline exported for use outside the 48 United States, and 
gasoline exported for use outside Alaska, Hawaii, the Commonwealth of 
Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and the 
Commonwealth of the Northern Marianas, if the area has opted into the 
RFS program under Sec.  80.1143.
    (6) For blenders, the volume of finished gasoline, RBOB, or CBOB to 
which a blender adds blendstocks.
    (7) The gasoline portion of transmix produced by a transmix 
processor, or the transmix blended into gasoline by a transmix blender, 
under 40 CFR 80.84.

[72 FR 23993, May 1, 2007, as amended at 73 FR 57255, Oct. 2, 2008]



Sec. Sec.  80.1108-80.1114  [Reserved]



Sec.  80.1115  How are equivalence values assigned to renewable fuel?

    (a)(1) Each gallon of a renewable fuel shall be assigned an 
equivalence value by the producer or importer pursuant to paragraph (b) 
or (c) of this section.
    (2) The equivalence value is a number that is used to determine how 
many gallon-RINs can be generated for a batch of renewable fuel 
according to Sec.  80.1126.
    (b) Equivalence values shall be assigned for certain renewable fuels 
as follows:

[[Page 442]]

    (1) Cellulosic biomass ethanol and waste derived ethanol produced on 
or before December 31, 2012 which is denatured shall have an equivalence 
value of 2.5.
    (2) Ethanol other than cellulosic biomass ethanol or waste-derived 
ethanol which is denatured shall have an equivalence value of 1.0.
    (3) Biodiesel (mono-alkyl ester) shall have an equivalence value of 
1.5.
    (4) Butanol shall have an equivalence value of 1.3.
    (5) Non-ester renewable diesel, including that produced from 
coprocessing a renewable crude with fossil fuels in a hydrotreater, 
shall have an equivalence value of 1.7.
    (6) All other renewable crude-based renewable fuels shall have an 
equivalence value of 1.0.
    (c)(1) For renewable fuels not listed in paragraph (b) of this 
section, a producer or importer shall submit an application to the 
Agency for an equivalence value following the provisions of paragraph 
(d) of this section.
    (2) A producer or importer may also submit an application for an 
alternative equivalence value pursuant to paragraph (d) of this section 
if the renewable fuel is listed in paragraph (b) of this section, but 
the producer or importer has reason to believe that a different 
equivalence value than that listed in paragraph (b) of this section is 
warranted.
    (d) Determination of equivalence values. (1) Except as provided in 
paragraph (d)(4) of this section, the equivalence value for renewable 
fuels described in paragraph (c) of this section shall be calculated 
using the following formula:

EV = (R / 0.931) * (EC / 77,550)

Where:

EV = Equivalence Value for the renewable fuel, rounded to the nearest 
          tenth.
R = Renewable content of the renewable fuel. This is a measure of the 
          portion of a renewable fuel that came from a renewable source, 
          expressed as a percent, on an energy basis.
EC = Energy content of the renewable fuel, in Btu per gallon (lower 
          heating value).

    (2) The application for an equivalence value shall include a 
technical justification that includes a description of the renewable 
fuel, feedstock(s) used to make it, and the production process.
    (3) The Agency will review the technical justification and assign an 
appropriate Equivalence Value to the renewable fuel based on the 
procedure in this paragraph (d).
    (4) For biogas, the Equivalence Value is 1.0, and 77,550 Btu of 
biogas is equivalent to 1 gallon of renewable fuel.

[72 FR 23995, May 1, 2007]



Sec. Sec.  80.1116-80.1124  [Reserved]



Sec.  80.1125  Renewable Identification Numbers (RINs).

    Each RIN is a 38 character numeric code of the following form:
    KYYYYCCCCFFFFFBBBBBRRDSS

SSSSSSEEEEEEEE
    (a) K is a number identifying the type of RIN as follows:
    (1) K has the value of 1 when the RIN is assigned to a volume of 
renewable fuel pursuant to Sec. Sec.  80.1126(e) and 80.1128(a).
    (2) K has the value of 2 when the RIN has been separated from a 
volume of renewable fuel pursuant to Sec.  80.1126(e)(4) or Sec.  
80.1129.
    (b) YYYY is the calendar year in which the batch of renewable fuel 
was produced or imported. YYYY also represents the year in which the RIN 
was originally generated.
    (c) CCCC is the registration number assigned according to Sec.  
80.1150 to the producer or importer of the batch of renewable fuel.
    (d) FFFFF is the registration number assigned according to Sec.  
80.1150 to the facility at which the batch of renewable fuel was 
produced or imported.
    (e) BBBBB is a serial number assigned to the batch which is chosen 
by the producer or importer of the batch such that no two batches have 
the same value in a given calendar year.
    (f) RR is a number representing the equivalence value of the 
renewable fuel as specified in Sec.  80.1115 and multiplied by 10 to 
produce the value for RR.
    (g) D is a number identifying the type of renewable fuel, as 
follows:
    (1) D has the value of 1 if the renewable fuel can be categorized as 
cellulosic biomass ethanol as defined in Sec.  80.1101(a).

[[Page 443]]

    (2) D has the value of 2 if the renewable fuel cannot be categorized 
as cellulosic biomass ethanol as defined in Sec.  80.1101(a).
    (h) SSSSSSSS is a number representing the first gallon-RIN 
associated with a batch of renewable fuel.
    (i) EEEEEEEE is a number representing the last gallon-RIN associated 
with a batch of renewable fuel. EEEEEEEE will be identical to SSSSSSSS 
if the batch-RIN represents a single gallon-RIN. Assign the value of 
EEEEEEEE as described in Sec.  80.1126.

[72 FR 23995, May 1, 2007]



Sec.  80.1126  How are RINs generated and assigned to batches of
renewable fuel by renewable fuel producers or importers?

    (a) Regional applicability. (1) Except as provided in paragraph (b) 
of this section, a batch RIN must be generated by a renewable fuel 
producer or importer for every batch of renewable fuel produced by a 
facility located in the contiguous 48 states of the United States, or 
imported into the contiguous 48 states.
    (2) If the Administrator approves a petition of Alaska, Hawaii, or a 
United States territory to opt-in to the renewable fuel program under 
the provisions in Sec.  80.1143, then the requirements of paragraph 
(a)(1) of this section shall also apply to renewable fuel produced or 
imported into that state or territory beginning in the next calendar 
year.
    (b) Volume threshold. Renewable fuel producers located within the 
United States that produce less than 10,000 gallons of renewable fuel 
each year, and importers that import less than 10,000 gallons of 
renewable fuel each year, are not required to generate and assign RINs 
to batches of renewable fuel. Such producers and importers are also 
exempt from the registration, reporting, and recordkeeping requirements 
of Sec. Sec.  80.1150-80.1152, and the attest engagement requirements of 
Sec.  80.1164. However, for such producers and importers that 
voluntarily generate and assign RINs, all the requirements of this 
subpart apply.
    (c) Definition of batch. For the purposes of this section and Sec.  
80.1125, a ``batch of renewable fuel'' is a volume of renewable fuel 
that has been assigned a unique RIN code BBBBB within a calendar year by 
the producer or importer of the renewable fuel in accordance with the 
provisions of this section and Sec.  80.1125.
    (1) The number of gallon-RINs generated for a batch of renewable 
fuel may not exceed 99,999,999.
    (2) A batch of renewable fuel cannot represent renewable fuel 
produced or imported in excess of one calendar month.
    (d) Generation of RINs. (1) Except as provided in paragraph (b) of 
this section, the producer or importer of a batch of renewable fuel must 
generate a batch-RIN for that batch, including any renewable fuel 
contained in imported gasoline.
    (2) A producer or importer of renewable fuel may generate RINs for 
volumes of renewable fuel that it owns on September 1, 2007.
    (3) A party generating a RIN shall specify the appropriate numerical 
values for each component of the RIN in accordance with the provisions 
of Sec.  80.1125 and this paragraph (d).
    (4) Except as provided in paragraph (d)(6) of this section, the 
number of gallon-RINs that shall be generated for a given batch of 
renewable fuel shall be equal to a volume calculated according to the 
following formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use determining the number 
          of gallon-RINs that shall be generated.
EV = Equivalence value for the renewable fuel per Sec.  80.1115.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (d)(7) of this section.

    (5) Multiple gallon-RINs generated to represent a given volume of 
renewable fuel can be represented by a single batch-RIN through the 
appropriate designation of the RIN volume codes SSSSSSSS and EEEEEEEE.
    (i) The value of SSSSSSSS in the batch-RIN shall be 00000001 to 
represent the first gallon-RIN associated with the volume of renewable 
fuel.
    (ii) The value of EEEEEEEE in the batch-RIN shall represent the last 
gallon-RIN associated with the volume of

[[Page 444]]

renewable fuel, based on the RIN volume determined pursuant to paragraph 
(d)(4) of this section.
    (6) (i) For renewable crude-based renewable fuels produced in a 
facility or unit that coprocesses renewable crudes and fossil fuels, the 
number of gallon-RINs that shall be generated for a given batch of 
renewable fuel shall be equal to the gallons of renewable crude used 
rather than the gallons of renewable fuel produced.
    (ii) Parties that produce renewable crude-based renewable fuels in a 
facility or unit that coprocesses renewable crudes and fossil fuels may 
submit a petition to the Agency requesting the use of volumes of 
renewable fuel produced as the basis for the number of gallon-RINs, 
pursuant to paragraph (d)(4) of this section.
    (7) Standardization of volumes. In determining the standardized 
volume of a batch of renewable fuel for purposes of generating RINs 
under this paragraph (d), the batch volumes shall be adjusted to a 
standard temperature of 60 [deg]F.
    (i) For ethanol, the following formula shall be used:

Vs,e = Va,e * (-0.0006301 * T + 1.0378)

Where:

Vs,e = Standardized volume of ethanol at 60 [deg]F, in 
          gallons.
Va,e = Actual volume of ethanol, in gallons.
T = Actual temperature of the batch, in [deg]F.

    (ii) For biodiesel (mono alkyl esters), the following formula shall 
be used:

Vs,b = Va,b * (-0.0008008 * T + 1.0480)

Where:

Vs,b = Standardized volume of biodiesel at 60 [deg]F, in 
          gallons.
Va,b = Actual volume of biodiesel, in gallons.
T = Actual temperature of the batch, in [deg]F.

    (iii) For other renewable fuels, an appropriate formula commonly 
accepted by the industry shall be used to standardize the actual volume 
to 60 [deg]F. Formulas used must be reported to the Agency, and may be 
reviewed for appropriateness.
    (8) (i) A party is prohibited from generating RINs for a volume of 
renewable fuel that it produces if:
    (A) The renewable fuel has been produced from a chemical conversion 
process that uses another renewable fuel as a feedstock; and
    (B) The renewable fuel used as a feedstock was produced by another 
party.
    (ii) Any RINs that the party acquired with renewable fuel used as a 
feedstock shall be assigned to the new renewable fuel that was made with 
that feedstock.
    (e) Assignment of RINs to batches. (1) Except as provided in 
paragraph (e)(4) of this section, the producer or importer of renewable 
fuel must assign all RINs generated to volumes of renewable fuel.
    (2) A RIN is assigned to a volume of renewable fuel when ownership 
of the RIN is transferred along with the transfer of ownership of the 
volume of renewable fuel, pursuant to Sec.  80.1128(a).
    (3) All assigned RINs shall have a K code value of 1.
    (4) RINs not assigned to batches. (i) If a party produces or imports 
a batch of cellulosic biomass ethanol or waste-derived ethanol having an 
equivalence value of 2.5, that party must assign at least one gallon-RIN 
to each gallon of cellulosic biomass ethanol or waste-derived ethanol, 
representing the first 1.0 portion of the Equivalence Value.
    (ii) Any remaining gallon-RINs generated for the cellulosic biomass 
ethanol or waste-derived ethanol which represent the remaining 1.5 
portion of the Equivalence Value may remain unassigned.
    (iii) The producer or importer of cellulosic biomass ethanol or 
waste-derived ethanol shall designate the K code as 2 for all unassigned 
RINs.

[72 FR 23995, May 1, 2007, as amended at 73 FR 57255, Oct. 2, 2008]



Sec.  80.1127  How are RINs used to demonstrate compliance?

    (a) Renewable volume obligations. (1) Except as specified in 
paragraph (b) of this section, each party that is obligated to meet the 
Renewable Volume Obligation under Sec.  80.1107, or each party that is 
an exporter of renewable fuels that is obligated to meet a Renewable 
Volume Obligation under Sec.  80.1130, must demonstrate pursuant to 
Sec.  80.1152(a)(1) that it has taken ownership of sufficient RINs to 
satisfy the following equation:

([sum]RINNUM)i + ([sum]RINNUM)i-1 = 
RVOi

Where:


[[Page 445]]


([sum]RINNUM)i = Sum of all owned gallon-RINs that were 
          generated in year i and are being applied towards the 
          RVOi, in gallons.
([sum]RINNUM)i-1 = Sum of all owned gallon-RINs that were 
          generated in year i-1 and are being applied towards the 
          RVOi, in gallons.
RVOi = The Renewable Volume Obligation for the obligated 
          party or renewable fuel exporter for calendar year i, in 
          gallons, pursuant to Sec.  80.1107 or Sec.  80.1130.

    (2) For compliance for calendar years 2008 and later, the value of 
([sum]RINNUM)i-1 may not exceed a value determined by the 
following inequality:

([sum]RINNUM)i-1 <=0.20 x RVOi

    (3) RINs may only be used to demonstrate compliance with the RVO for 
the calendar year in which they were generated or the following calendar 
year. RINs used to demonstrate compliance in one year cannot be used to 
demonstrate compliance in any other year.
    (4) A party may only use a RIN for purposes of meeting the 
requirements of paragraphs (a)(1) and (a)(2) of this section if that RIN 
is an unassigned RIN with a K code of 2 obtained in accordance with 
Sec. Sec.  80.1126(e)(4), 80.1128, and 80.1129.
    (5) The number of gallon-RINs associated with a given batch-RIN that 
can be used for compliance with the RVO shall be calculated from the 
following formula:

RINNUM = EEEEEEEE-SSSSSSSS + 1

Where:

RINNUM = Number of gallon-RINs associated with a batch-RIN, where each 
          gallon-RIN represents one gallon of renewable fuel for 
          compliance purposes.
EEEEEEEE = Batch-RIN component identifying the last gallon-RIN 
          associated with the batch-RIN.
SSSSSSSS = Batch-RIN component identifying the first gallon-RIN 
          associated with the batch-RIN.

    (b) Deficit carryovers. (1) An obligated party or an exporter of 
renewable fuel that fails to meet the requirements of paragraphs (a)(1) 
or (a)(2) of this section for calendar year i is permitted to carry a 
deficit into year i + 1 under the following conditions:
    (i) The party did not carry a deficit into calendar year i from 
calendar year i-1.
    (ii) The party subsequently meets the requirements of paragraph 
(a)(1) of this section for calendar year i + 1 and carries no deficit 
into year i + 2.
    (2) A deficit is calculated according to the following formula:

Di = RVOi - [([Sigma]RINNUM)i + 
([Sigma]RINNUM)i-1]

Where:

Di = The deficit, in gallons, generated in calendar year i 
          that must be carried over to year i + 1 if allowed to do so 
          pursuant to paragraph (b)(1)(i) of this section.
RVOi = The Renewable Volume Obligation for the obligated 
          party or renewable fuel exporter for calendar year i, in 
          gallons.
([Sigma]RINNUM)i = Sum of all acquired gallon-RINs that were 
          generated in year i and are being applied towards the 
          RVOi, in gallons.
([Sigma]RINNUM)i-1 = Sum of all acquired gallon-RINs that 
          were generated in year i-1 and are being applied towards the 
          RVOi, in gallons.

[72 FR 23995, May 1, 2007, as amended at 73 FR 57255, Oct. 2, 2008; 73 
FR 71560, Nov. 25, 2008]



Sec.  80.1128  General requirements for RIN distribution.

    (a) RINs assigned to volumes of renewable fuel. (1) Assigned RIN, 
for the purposes of this subpart, means a RIN assigned to a volume of 
renewable fuel pursuant to Sec.  80.1126(e) with a K code of 1.
    (2) Except as provided in Sec.  80.1126(e)(4) and Sec.  80.1129, no 
party can separate a RIN that has been assigned to a batch pursuant to 
Sec.  80.1126(e).
    (3) An assigned RIN cannot be transferred to another party without 
simultaneously transferring a volume of renewable fuel to that same 
party.
    (4) No more than 2.5 assigned gallon-RINs with a K code of 1 can be 
transferred to another party with every gallon of renewable fuel 
transferred to that same party.
    (5)(i) On each of the dates listed in paragraph (a)(5)(v) of this 
section in any calendar year, the following equation must be satisfied 
for assigned RINs and volumes of renewable fuel owned by a party:

[sum](RIN)D <=[sum](Vsi x 
EVi)D


[[Page 446]]


Where:

D = Applicable date.
[sum](RIN)D = Sum of all assigned gallon-RINs with a K code 
          of 1 that are owned on date D.
(Vsi)D = Volume i of renewable fuel owned on date 
          D, standardized to 60 [deg]F, in gallons.
EVi = Equivalence value representing volume i.
[sum](Vsi x EVi)D = Sum of all volumes of 
          renewable fuel owned on date D, multiplied by their respective 
          equivalence values.

    (ii) The equivalence value EVi for use in the equation in paragraph 
(a)(5)(i) of this section for any volume of renewable fuel shall be 2.5.
    (iii) The applicable dates are March 31, June 30, September 30, and 
December 31. For 2007 only, the applicable dates are September 30 and 
December 31.
    (6) Any transfer of ownership of assigned RINs must be documented on 
product transfer documents generated pursuant to Sec.  80.1153.
    (i) The RIN must be recorded on the product transfer document used 
to transfer ownership of the RIN and the volume to another party; or
    (ii) The RIN must be recorded on a separate product transfer 
document transferred to the same party on the same day as the product 
transfer document used to transfer ownership of the volume of renewable 
fuel.
    (b) RINs not assigned to volumes of renewable fuel. (1) Unassigned 
RIN, for the purposes of this subpart, means a RIN with a K code of 2 
that has been separated from a volume of renewable fuel pursuant to 
Sec.  80.1126(e)(4) or Sec.  80.1129.
    (2) Any party that has registered pursuant to Sec.  80.1150 can hold 
title to an unassigned RIN.
    (3) Unassigned RINs can be transferred from one party to another any 
number of times.
    (4) An unassigned batch-RIN can be divided by its holder into 
multiple batch-RINs, each representing a smaller number of gallon-RINs, 
if all of the following conditions are met:
    (i) All RIN components other than SSSSSSSS and EEEEEEEE are 
identical for the original parent and newly formed daughter RINs.
    (ii) The sum of the gallon-RINs associated with the multiple 
daughter batch-RINs is equal to the gallon-RINs associated with the 
parent batch-RIN.

[72 FR 23995, May 1, 2007, as amended at 73 FR 57255, Oct. 2, 2008]



Sec.  80.1129  Requirements for separating RINs from volumes
of renewable fuel.

    (a)(1) Separation of a RIN from a volume of renewable fuel means 
termination of the assignment of the RIN to a volume of renewable fuel.
    (2) RINs that have been separated from volumes of renewable fuel 
become unassigned RINs subject to the provisions of Sec.  80.1128(b).
    (b) A RIN that is assigned to a volume of renewable fuel is 
separated from that volume only under one of the following conditions:
    (1) Except as provided in paragraphs (b)(6) and (b)(8) of this 
section, a party that is an obligated party according to Sec.  80.1106 
must separate any RINs that have been assigned to a volume of renewable 
fuel if they own that volume.
    (2) Except as provided in paragraph (b)(5) of this section, any 
party that owns a volume of renewable fuel must separate any RINs that 
have been assigned to that volume once the volume is blended with 
gasoline or diesel to produce a motor vehicle fuel. A party may separate 
up to 2.5 RINs per gallon of fuel that is blended.
    (3) Any party that exports a volume of renewable fuel must separate 
any RINs that have been assigned to the exported volume.
    (4) Any party that produces, imports, owns, sells or uses a volume 
of neat renewable fuel may separate any RINs that have been assigned to 
that volume of neat renewable fuel if the party designates the neat 
renewable fuel as motor vehicle fuel, and the neat renewable fuel is 
used as a motor vehicle fuel.
    (5) RINs assigned to a volume of biodiesel (mono-alkyl ester) can 
only be separated from that volume pursuant to paragraph (b)(2) of this 
section if such biodiesel is blended into diesel fuel at a concentration 
of 80 volume percent biodiesel (mono-alkyl ester) or less.
    (i) This paragraph (b)(5) shall not apply to obligated parties or 
exporters of renewable fuel.

[[Page 447]]

    (ii) This paragraph (b)(5) shall not apply to any party meeting the 
requirements of paragraph (b)(4) of this section.
    (6) For RINs that an obligated party generates from renewable fuel 
that has not been blended into gasoline, the obligated party can only 
separate such RINs from volumes of renewable fuel if the number of 
gallon-RINs separated is less than or equal to its annual RVO.
    (7) A producer or importer of cellulosic biomass ethanol or waste-
derived ethanol can separate a portion of the RINs that it generates 
pursuant to Sec.  80.1126(e)(4).
    (8) For a party that has received a small refinery exemption under 
Sec.  80.1141 or a small refiner exemption under Sec.  80.1142, and who 
is not otherwise an obligated party, during the period of time that the 
small refinery or small refiner exemption is in effect the party may 
only separate RINs that have been assigned to volumes of renewable fuel 
that the party blends into motor vehicle fuel in accordance with 
paragraph (b)(2) of this section.
    (c) The party responsible for separating a RIN from a volume of 
renewable fuel shall change the K code in the RIN from a value of 1 to a 
value of 2 prior to transferring the RIN to any other party.
    (d) Upon and after separation of a RIN from its associated volume, 
product transfer documents used to transfer ownership of the volume must 
continue to meet the requirements of Sec.  80.1153(a)(5)(iii).
    (e) Any obligated party that uses a renewable fuel in a boiler or 
heater must retire any RINs associated with that volume of renewable 
fuel and report the retired RINs in the applicable reports under Sec.  
80.1152.

[72 FR 23995, May 1, 2007, as amended at 73 FR 57255, Oct. 2, 2008; 74 
FR 29952, June 24, 2009]



Sec.  80.1130  Requirements for exporters of renewable fuels.

    (a) Any party that owns any amount of renewable fuel (in its neat 
form or blended with gasoline or diesel) that is exported from the 
region described in Sec.  80.1126(a) shall acquire sufficient RINs to 
offset a Renewable Volume Obligation representing the exported renewable 
fuel.
    (b) Renewable Volume Obligations. An exporter of renewable fuel 
shall determine its Renewable Volume Obligation from the volumes of the 
renewable fuel exported.
    (1) A renewable fuel exporter's total Renewable Volume Obligation 
shall be calculated according to the following formula:

RVOi = (VOLk * EVk)i + 
Di-1

Where:

RVOi = The Renewable Volume Obligation for the exporter for 
          calendar year i, in gallons of renewable fuel.
k = A discrete volume of renewable fuel.
VOLk = The standardized volume of discrete volume k of 
          exported renewable fuel, in gallons, calculated in accordance 
          with Sec.  80.1126(d)(7).
EVk = The equivalence value associated with discrete volume 
          k.
 = Sum involving all volumes of renewable fuel exported.
Di-1 = Renewable fuel deficit carryover from the previous 
          year, in gallons.

    (2)(i) If the equivalence value for a volume of renewable fuel can 
be determined pursuant to Sec.  80.1115 based on its composition, then 
the appropriate equivalence value shall be used in the calculation of 
the exporter's Renewable Volume Obligation.
    (ii) If the equivalence value for a volume of renewable fuel cannot 
be determined, the value of EVk shall be 1.0.
    (c) Each exporter of renewable fuel must demonstrate compliance with 
its RVO using RINs it has acquired pursuant to Sec.  80.1127.

[72 FR 23995, May 1, 2007]



Sec.  80.1131  Treatment of invalid RINs.

    (a) Invalid RINs. An invalid RIN is a RIN that is any of the 
following:
    (1) Is a duplicate of a valid RIN.
    (2) Was based on volumes that have not been standardized to 60 
[deg]F.
    (3) Has expired.
    (4) Was based on an incorrect equivalence value.
    (5) Is deemed invalid under Sec.  80.1167(g).
    (6) Does not represent renewable fuel as it is defined in Sec.  
80.1101.
    (7) Was otherwise improperly generated.

[[Page 448]]

    (8) In the event that the same RIN is transferred to two or more 
parties, all such RINs will be deemed to be invalid, unless EPA in its 
sole discretion determines that some portion of these RINs is valid.
    (b) In the case of RINs that are invalid, the following provisions 
apply:
    (1) Invalid RINs cannot be used to achieve compliance with the 
Renewable Volume Obligation of an obligated party or exporter, 
regardless of the party's good faith belief that the RINs were valid at 
the time they were acquired.
    (2) Upon determination by any party that RINs owned are invalid, the 
party must adjust their records, reports, and compliance calculations as 
necessary to reflect the deletion of the invalid RINs.
    (3) Any valid RINs remaining after deleting invalid RINs must first 
be applied to correct the transfer of invalid RINs to another party 
before applying the valid RINs to meet the party's Renewable Volume 
Obligation at the end of the compliance year.

[72 FR 23995, May 1, 2007, as amended at 74 FR 29952, June 24, 2009]



Sec.  80.1132  Reported spillage or disposal of renewable fuel.

    (a) A reported spillage or disposal under this subpart means a 
spillage or disposal of renewable fuel associated with a requirement by 
a federal, state or local authority to report the spillage or disposal.
    (b) Except as provided in paragraph (c) of this section, in the 
event of a reported spillage or disposal of any volume of renewable 
fuel, the owner of the renewable fuel must retire a number of gallon-
RINs corresponding to the volume of spilled or disposed of renewable 
fuel multiplied by the lesser of its equivalence value or the number of 
RINs received with the spilled or disposed fuel, not to exceed 2.5 RINs 
per gallon.
    (1) If the equivalence value for the spilled volume may be 
determined pursuant to Sec.  80.1115 based on its composition, then the 
appropriate equivalence value shall be used.
    (2) If the equivalence value for a spilled volume of renewable fuel 
cannot be determined, the equivalence value shall be 1.0.
    (c) If the owner of a volume of renewable fuel that is spilled or 
disposed of and reported establishes that no RINs were generated to 
represent the volume, then no gallon-RINs shall be retired.
    (d) A RIN that is retired under paragraph (b) of this section:
    (1) Must be reported as a retired RIN in the applicable reports 
under Sec.  80.1152.
    (2) May not be transferred to another party or used by any obligated 
party to demonstrate compliance with the party's Renewable Volume 
Obligation.

[72 FR 23995, May 1, 2007, as amended at 73 FR 57256, Oct. 2, 2008]



Sec. Sec.  80.1133-80.1140  [Reserved]



Sec.  80.1141  Small refinery exemption.

    (a)(1) Gasoline produced at a refinery by a refiner, or foreign 
refiner (as defined at Sec.  80.1165(a)), is exempt from the renewable 
fuel standards of Sec.  80.1105 and the requirements that apply to 
obligated parties under this subpart if that refinery meets the 
definition of a small refinery under Sec.  80.1101(g) for calendar year 
2004.
    (2) This exemption shall apply through December 31, 2010, unless a 
refiner chooses to waive this exemption (as described in paragraph (f) 
of this section), or the exemption is extended (as described in 
paragraph (e) of this section).
    (3) For the purposes of this section, the term ``refiner'' shall 
include foreign refiners.
    (4) This exemption shall only apply to refineries that process crude 
oil, or feedstocks derived from crude oil, through refinery processing 
units.
    (b)(1) The small refinery exemption is effective immediately, except 
as specified in paragraph (b)(4) of this section.
    (2) A refiner owning a small refinery must submit a verification 
letter to EPA containing all of the following information:
    (i) The annual average aggregate daily crude oil throughput for the 
period January 1, 2004, through December 31, 2004 (as determined by 
dividing the aggregate throughput for the calendar year by the number 
365).

[[Page 449]]

    (ii) A letter signed by the president, chief operating or chief 
executive officer of the company, or his/her designee, stating that the 
information contained in the letter is true to the best of his/her 
knowledge, and that the refinery was small as of December 31, 2004.
    (iii) Name, address, phone number, facsimile number, and e-mail 
address of a corporate contact person.
    (3) Verification letters must be submitted by August 31, 2007, to 
one of the addresses listed in paragraph (h) of this section.
    (4) For foreign refiners the small refinery exemption shall be 
effective upon approval, by EPA, of a small refinery application. The 
application must contain all of the elements required for small refinery 
verification letters (as specified in paragraph (b)(2) of this section), 
must satisfy the provisions of Sec.  80.1165(f) through (h) and (o), and 
must be submitted by August 31, 2007 to one of the addresses listed in 
paragraph (h) of this section.
    (c) If EPA finds that a refiner provided false or inaccurate 
information regarding a refinery's crude throughput (pursuant to 
paragraph (b)(2)(i) of this section) in its small refinery verification 
letter, the exemption will be void as of the effective date of these 
regulations.
    (d) If a refiner is complying on an aggregate basis for multiple 
refineries, any such refiner may exclude from the calculation of its 
Renewable Volume Obligation (under Sec.  80.1107(a)) gasoline from any 
refinery receiving the small refinery exemption under paragraph (a) of 
this section.
    (e)(1) The exemption period in paragraph (a) of this section shall 
be extended by the Administrator for a period of not less than two 
additional years if a study by the Secretary of Energy determines that 
compliance with the requirements of this subpart would impose a 
disproportionate economic hardship on the small refinery.
    (i) A refiner may at any time petition the Administrator for an 
extension of its small refinery exemption under paragraph (a) of this 
section for the reason of disproportionate economic hardship.
    (ii) A petition for an extension of the small refinery exemption 
must specify the factors that demonstrate a disproportionate economic 
hardship and must provide a detailed discussion regarding the inability 
of the refinery to produce gasoline meeting the requirements of Sec.  
80.1105 and the date the refiner anticipates that compliance with the 
requirements can be achieved at the small refinery.
    (2) The Administrator shall act on such a petition not later than 90 
days after the date of receipt of the petition.
    (f) At any time, a refiner with an approved small refinery exemption 
under paragraph (a) of this section may waive that exemption upon 
notification to EPA.
    (1) A refiner's notice to EPA that it intends to waive its small 
refinery exemption must be received by November 1 to be effective in the 
next compliance year.
    (2) The waiver will be effective beginning on January 1 of the 
following calendar year, at which point the gasoline produced at that 
refinery will be subject to the renewable fuels standard of Sec.  
80.1105.
    (3) The waiver must be sent to EPA at one of the addresses listed in 
paragraph (h) of this section.
    (g) A refiner that acquires a refinery from either an approved small 
refiner (as defined under Sec.  80.1142(a)) or another refiner with an 
approved small refinery exemption under paragraph (a) of this section 
shall notify EPA in writing no later than 20 days following the 
acquisition.
    (h) Verification letters under paragraph (b) of this section, 
petitions for small refinery hardship extensions under paragraph (e) of 
this section, and small refinery exemption waivers under paragraph (f) 
of this section shall be sent to one of the following addresses:
    (1) For U.S. mail: U.S. EPA--Attn: RFS Program, 6406J, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460.
    (2) For overnight or courier services: U.S. EPA, Attn: RFS Program, 
6406J, 1310 L Street, NW., 6th floor, Washington, DC 20005.

[72 FR 23999, May 1, 2007, as amended at 73 FR 57256, Oct. 2, 2008]

[[Page 450]]



Sec.  80.1142  What are the provisions for small refiners under
the RFS program?

    (a)(1) Gasoline produced by a refiner, or foreign refiner (as 
defined at Sec.  80.1165(a)), is exempt from the renewable fuel 
standards of Sec.  80.1105 and the requirements that apply to obligated 
parties under this subpart if the refiner or foreign refiner does not 
meet the definition of a small refinery under Sec.  80.1101(g) but meets 
all of the following criteria:
    (i) The refiner produced gasoline at its refineries by processing 
crude oil through refinery processing units from January 1, 2004 through 
December 31, 2004.
    (ii) The refiner employed an average of no more than 1,500 people, 
based on the average number of employees for all pay periods for 
calendar year 2004 for all subsidiary companies, all parent companies, 
all subsidiaries of the parent companies, and all joint venture 
partners.
    (iii) The refiner had a corporate-average crude oil capacity less 
than or equal to 155,000 barrels per calendar day (bpcd) for 2004.
    (2) The small refiner exemption shall apply through December 31, 
2010, unless a refiner chooses to waive the exemption (pursuant to 
paragraph (h) of this section) prior to that date.
    (3) For the purposes of this section, the term ``refiner'' shall 
include foreign refiners.
    (4) This exemption shall only apply to refineries that process crude 
oil, or feedstocks derived from crude oil, through refinery processing 
units.
    (b) The small refiner exemption is effective immediately, except as 
provided in paragraph (d) of this section. Refiners who qualify for the 
small refiner exemption under paragraph (a) of this section must submit 
a verification letter (and any other relevant information) to EPA 
containing all of the following information for the refiner and for all 
subsidiary companies, all parent companies, all subsidiaries of the 
parent companies, and all joint venture partners:
    (1)(i) A listing of the name and address of each company location 
where any employee worked for the period January 1, 2004 through 
December 31, 2004.
    (ii) The average number of employees at each location based on the 
number of employees for each pay period for the period January 1, 2004 
through December 31, 2004.
    (iii) The type of business activities carried out at each location.
    (iv) For joint ventures, the total number of employees includes the 
combined employee count of all corporate entities in the venture.
    (v) For government-owned refiners, the total employee count includes 
all government employees.
    (2) The total corporate crude oil capacity of each refinery as 
reported to the Energy Information Administration (EIA) of the U.S. 
Department of Energy (DOE), for the period January 1, 2004 through 
December 31, 2004. The information submitted to EIA is presumed to be 
correct. In cases where a company disagrees with this information, the 
company may petition EPA with appropriate data to correct the record 
when the company submits its verification letter.
    (3) The verification letter must be signed by the president, chief 
operating or chief executive officer of the company, or his/her 
designee, stating that the information is true to the best of his/her 
knowledge, and that the company owned the refinery as of December 31, 
2004.
    (4) Name, address, phone number, facsimile number, and e-mail 
address of a corporate contact person.
    (c) Verification letters under paragraph (b) of this section must be 
submitted by September 1, 2007.
    (d) For foreign refiners the small refiner exemption shall be 
effective upon approval, by EPA, of a small refiner application. The 
application must contain all of the elements required for small refiner 
verification letters (as specified in paragraphs (b)(1), (b)(3), and 
(b)(4) of this section), must demonstrate compliance with the crude oil 
capacity criterion of paragraph (a)(1)(iii) of this section, must 
satisfy the provisions of Sec.  80.1165(f) through (h) and (o), and must 
be submitted by September 1, 2007 to one of the addresses listed in 
paragraph (j) of this section.

[[Page 451]]

    (e) A refiner who qualifies as a small refiner under this section 
and subsequently fails to meet all of the qualifying criteria as set out 
in paragraph (a) of this section will have its small refiner exemption 
terminated effective January 1 of the next calendar year.
    (1) In the event such disqualification occurs, the refiner shall 
notify EPA in writing no later than 20 days following the disqualifying 
event.
    (2) Disqualification under this paragraph (e) shall not apply in the 
case of a merger between two approved small refiners.
    (f) If EPA finds that a refiner provided false or inaccurate 
information in its small refiner status verification letter under this 
subpart, the small refiner's exemption will be void as of the effective 
date of these regulations.
    (g) If a small refiner is complying on an aggregate basis for 
multiple refineries, the refiner may exempt the refineries from the 
calculation of its Renewable Volume Obligation under Sec.  80.1107.
    (h)(1) A refiner may, at any time, waive the small refiner exemption 
under paragraph (a) of this section upon notification to EPA.
    (2) A refiner's notice to EPA that it intends to waive the small 
refiner exemption must be received by November 1 in order for the waiver 
to be effective for the following calendar year. The waiver will be 
effective beginning on January 1 of the following calendar year, at 
which point the refiner will be subject to the renewable fuel standard 
of Sec.  80.1105.
    (3) The waiver must be sent to EPA at one of the addresses listed in 
paragraph (j) of this section.
    (i) Any refiner that acquires a refinery from another refiner with 
approved small refiner status under paragraph (a) of this section shall 
notify EPA in writing no later than 20 days following the acquisition.
    (j) Verification letters under paragraph (b) of this section and 
small refiner exemption waivers under paragraph (h) of this section 
shall be sent to one of the following addresses:
    (1) For U.S. Mail: U.S. EPA--Attn: RFS Program, 6406J, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460.
    (2) For overnight or courier services: U.S. EPA, Attn: RFS Program, 
6406J, 1310 L Street, NW., 6th floor, Washington, DC 20005.

[72 FR 23999, May 1, 2007, as amended at 73 FR 57256, Oct. 2, 2008]



Sec.  80.1143  What are the opt-in provisions for noncontiguous states
and territories?

    (a) A noncontiguous state or United States territory may petition 
the Administrator to opt-in to the program requirements of this subpart.
    (b) The Administrator will approve the petition if it meets the 
provisions of paragraphs (c) and (d) of this section.
    (c) The petition must be signed by the Governor of the state or his 
authorized representative (or the equivalent official of the territory).
    (d)(1) A petition submitted under this section must be received by 
the Agency by November 1 for the state or territory to be included in 
the RFS program in the next calendar year.
    (2) A petition submitted under this section should be sent to either 
of the following addresses:
    (i) For U.S. Mail: U.S. EPA--Attn: RFS Program, 6406J, 1200 
Pennsylvania Avenue, NW., Washington, DC 20460.
    (ii) For overnight or courier services: U.S. EPA, Attn: RFS Program, 
6406J, 1310 L Street, NW., 6th floor, Washington, DC 20005.
    (e) Upon approval of the petition by the Administrator:
    (1) EPA shall calculate the standard for the following year, 
including the total gasoline volume for the State or territory in 
question.
    (2) Beginning on January 1 of the next calendar year, all gasoline 
refiners and importers in the state or territory for which a petition 
has been approved shall be obligated parties as defined in Sec.  
80.1106.
    (3) Beginning on January 1 of the next calendar year, all renewable 
fuel producers in the State or territory for which a petition has been 
approved shall, pursuant to Sec.  80.1126(a)(2), be required to generate 
RINs and assign them to batches of renewable fuel.

[72 FR 23999, May 1, 2007]

[[Page 452]]



Sec. Sec.  80.1144-80.1149  [Reserved]



Sec.  80.1150  What are the registration requirements under the
RFS program?

    (a) Any obligated party described in Sec.  80.1106 and any exporter 
of renewable fuel described in Sec.  80.1130 must provide EPA with the 
information specified for registration under Sec.  80.76, if such 
information has not already been provided under the provisions of this 
part. An obligated party or an exporter of renewable fuel must receive 
EPA-issued identification numbers prior to engaging in any transaction 
involving RINs. Registration information may be submitted to EPA at any 
time after promulgation of this rule in the Federal Register.
    (b) Any importer or producer of a renewable fuel must provide EPA 
the information specified under Sec.  80.76, if such information has not 
already been provided under the provisions of this part, and must 
receive EPA-issued company and facility identification numbers prior to 
generating or assigning any RINs. Registration information may be 
submitted to EPA at any time after promulgation of this rule in the 
Federal Register.
    (c) Any party who owns or intends to own RINs, but who is not 
covered by paragraphs (a) and (b) of this section, must provide EPA the 
information specified under Sec.  80.76, if such information has not 
already been provided under the provisions of this part and must receive 
an EPA-issued company identification number prior to owning any RINs. 
Registration information may be submitted to EPA at any time after 
promulgation of this rule in the Federal Register.
    (d) Registration shall be on forms, and following policies, 
established by the Administrator.

[72 FR 24000, May 1, 2007]



Sec.  80.1151  What are the recordkeeping requirements under the
RFS program?

    (a) Beginning September 1, 2007, any obligated party (as described 
at Sec.  80.1106) or exporter of renewable fuel (as described at Sec.  
80.1130) must keep all of the following records:
    (1) Product transfer documents consistent with Sec.  80.1153 and 
associated with the obligated party's activity, if any, as transferor or 
transferee of renewable fuel.
    (2) Copies of all reports submitted to EPA under Sec.  80.1152(a).
    (3) Records related to each RIN transaction, which includes all the 
following:
    (i) A list of the RINs owned, purchased, sold, or retired.
    (ii) The parties involved in each RIN transaction including the 
transferor, transferee, and any broker or agent.
    (iii) The date of the transfer of the RIN(s).
    (iv) Additional information related to details of the transaction 
and its terms.
    (4) Records related to the use of RINs (by facility, if applicable) 
for compliance, which includes all the following:
    (i) Methods and variables used to calculate the Renewable Volume 
Obligation pursuant to Sec.  80.1107 or Sec.  80.1130.
    (ii) List of RINs used to demonstrate compliance.
    (iii) Additional information related to details of RIN use for 
compliance.
    (b) Beginning September 1, 2007, any producer or importer of a 
renewable fuel as defined at Sec.  80.1101(d) must keep all of the 
following records:
    (1) Product transfer documents consistent with Sec.  80.1153 and 
associated with the renewable fuel producer's or importer's activity, if 
any, as transferor or transferee of renewable fuel.
    (2) Copies of all reports submitted to EPA under Sec.  80.1152(b).
    (3) Records related to the generation and assignment of RINs for 
each facility, including all of the following:
    (i) Batch volume in gallons.
    (ii) Batch number.
    (iii) RIN number as assigned under Sec.  80.1126.
    (iv) Identification of batches meeting the definition of cellulosic 
biomass ethanol.
    (v) Date of production or import.
    (vi) Results of any laboratory analysis of batch chemical 
composition or physical properties.
    (vii) Additional information related to details of RIN generation.

[[Page 453]]

    (4) Records related to each RIN transaction, including all of the 
following:
    (i) A list of the RINs owned, purchased, sold, or retired.
    (ii) The parties involved in each transaction including the 
transferor, transferee, and any broker or agent.
    (iii) The date of the transfer of the RIN(s).
    (iv) Additional information related to details of the transaction 
and its terms.
    (5) Records related to the production, importation, ownership, sale 
or use of any volume of neat renewable fuel that any party designates as 
motor vehicle fuel and uses as motor vehicle fuel.
    (c) Beginning September 1, 2007, any producer of a renewable fuel 
defined at Sec.  80.1101(d) must keep verifiable records of the 
following:
    (1) The amount and type of fossil fuel and waste material-derived 
fuel used in producing on-site thermal energy dedicated to the 
production of ethanol at plants producing cellulosic biomass ethanol 
through the displacement of 90 percent or more of the fossil fuel 
normally used in the production of ethanol, as described at Sec.  
80.1101(a)(2).
    (2) The amount and type of feedstocks used in producing cellulosic 
biomass ethanol as defined in Sec.  80.1101(a)(1).
    (3) The equivalent amount of fossil fuel (based on reasonable 
estimates) associated with the use of off-site generated waste heat that 
is used in the production of ethanol at plants producing cellulosic 
biomass ethanol through the displacement of 90 percent or more of the 
fossil fuel normally used in the production of ethanol, as described at 
Sec.  80.1101(a)(2).
    (4) The plot plan and process flow diagram for plants producing 
cellulosic biomass and waste derived ethanol as defined in Sec.  
80.1101(a) and (b), respectively.
    (5) The independent third party verification required under Sec.  
80.1155 for producers of cellulosic biomass ethanol and waste derived 
ethanol.
    (d) Beginning September 1, 2007, any party, other than those parties 
covered in paragraphs (a) and (b) of this section, that owns RINs must 
keep all of the following records:
    (1) Product transfer documents consistent with Sec.  80.1153 and 
associated with the party's activity, if any, as transferor or 
transferee of renewable fuel.
    (2) Copies of all reports submitted to EPA under Sec.  80.1152(c).
    (3) Records related to each RIN transaction, including all of the 
following:
    (i) A list of the RINs owned, purchased, sold or retired.
    (ii) The parties involved in each RIN transaction including the 
transferor, transferee, and any broker or agent.
    (iii) The date of the transfer of the RIN(s).
    (iv) Additional information related to details of the transaction 
and its terms.
    (e) The records required under this section and under Sec.  80.1153 
shall be kept for five years from the date they were created, except 
that records related to transactions involving RINs shall be kept for 
five years from the date of transfer.
    (f) On request by EPA, the records required under this section and 
under Sec.  80.1153 must be made available to the Administrator or the 
Administrator's authorized representative. For records that are 
electronically generated or maintained, the equipment or software 
necessary to read the records shall be made available; or, if requested 
by EPA, electronic records shall be converted to paper documents.

[72 FR 24000, May 1, 2007, as amended at 73 FR 57256, Oct. 2, 2008; 74 
FR 29952, June 24, 2009]



Sec.  80.1152  What are the reporting requirements under the RFS
program?

    (a) Any obligated party described in Sec.  80.1106 or exporter of 
renewable fuel described in Sec.  80.1130 must submit to EPA reports 
according to the schedule, and containing the information, that is set 
forth in this paragraph (a).
    (1) An annual compliance demonstration report for the previous 
compliance period shall be submitted every February 28, except as noted 
in paragraph (a)(1)(x) of this section, and shall include all of the 
following information:
    (i) The obligated party's name.

[[Page 454]]

    (ii) The EPA company registration number.
    (iii) Whether the party is complying on a corporate (aggregate) or 
facility-by-facility basis.
    (iv) The EPA facility registration number, if complying on a 
facility-by-facility basis.
    (v) The production volume of all of the products listed in Sec.  
80.1107(c) for the reporting year.
    (vi) The renewable volume obligation (RVO), as defined in Sec.  
80.1127(a) for obligated parties and Sec.  80.1130(b) for exporters of 
renewable fuel, for the reporting year.
    (vii) Any deficit RVO carried over from the previous year.
    (viii) The total current-year gallon-RINs used for compliance.
    (ix) The total prior-years gallon-RINs used for compliance.
    (x) A list of all RINs used for compliance in the reporting year. 
For compliance demonstrations covering calendar year 2007 only, this 
list shall be reported by May 31, 2008. In all subsequent years, this 
list shall be submitted by February 28.
    (xi) Any deficit RVO carried into the subsequent year.
    (xii) Any additional information that the Administrator may require.
    (2) The quarterly RIN transaction reports required under paragraph 
(c)(1) of this section.
    (3) The quarterly gallon-RIN activity reports required under 
paragraph (c)(2) of this section.
    (4) Reports required under this paragraph (a) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the owner or a responsible corporate officer of the obligated party.
    (b) Any producer or importer of a renewable fuel must, beginning 
November 30, 2007, submit to EPA reports according to the schedule, and 
containing the information, that is set forth in this paragraph (b).
    (1) A quarterly RIN-generation report for each facility owned by the 
renewable fuel producer, and each importer, shall be submitted according 
to the schedule specified in paragraph (d) of this section, and shall 
include for the reporting period all of the following information for 
each batch of renewable fuel produced or imported, where ``batch'' means 
a discreet quantity of renewable fuel produced or imported and assigned 
a unique RIN:
    (i) The renewable fuel producer's or importer's name.
    (ii) The EPA company registration number.
    (iii) The EPA facility registration number.
    (iv) The applicable quarterly reporting period.
    (v) The RINs generated for each batch according to Sec.  80.1126.
    (vi) The production date of each batch.
    (vii) The type of renewable fuel of each batch, as defined in Sec.  
80.1101(d).
    (viii) Information related to the volume of denaturant and 
applicable equivalence value of each batch.
    (ix) The volume of each batch produced or imported.
    (x) Any additional information the Administrator may require.
    (2) The RIN transaction reports required under paragraph (c)(1) of 
this section.
    (3) The quarterly gallon-RIN activity report required under 
paragraph (c)(2) of this section.
    (4) Reports required under this paragraph (b) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the owner or a responsible corporate officer of the renewable fuel 
producer.
    (c) Any party, including any party specified in paragraphs (a) and 
(b) of this section, that owns RINs during a reporting period must, 
beginning November 30, 2007, submit reports to EPA according to the 
schedule, and containing the information, that is set forth in this 
paragraph (c).
    (1) A RIN transaction report for each RIN transaction shall be 
submitted by the end of the quarter in which the transaction occurred, 
according to the schedule specified in paragraph (d) of this section. 
Each report shall include all of the following:
    (i) The submitting party's name.
    (ii) The party's EPA company registration number.
    (iii) [Reserved]
    (iv) The applicable quarterly reporting period.

[[Page 455]]

    (v) Transaction type (RIN purchase, RIN sale, retired RIN).
    (vi) Transaction date.
    (vii) For a RIN purchase or sale, the trading partner's name.
    (viii) For a RIN purchase or sale, the trading partner's EPA company 
registration number. For all other transactions, the submitting party's 
EPA company registration number.
    (ix) RIN subject to the transaction.
    (x) For a retired RIN, the reason for retiring the RIN (e.g., 
reportable spill under Sec.  80.1132, import volume correction under 
Sec.  80.1166(k), renewable fuel used in boiler or heater under Sec.  
80.1129(e), enforcement obligation).
    (xi) Any additional information that the Administrator may require.
    (2) A quarterly gallon-RIN activity report shall be submitted to EPA 
according to the schedule specified in paragraph (d) of this section. 
Each report shall summarize gallon-RIN activities for the reporting 
period, separately for RINs assigned to a renewable fuel volume and RINs 
separated from a renewable fuel volume. The quarterly gallon-RIN 
activity report shall include all of the following information:
    (i) The submitting party's name.
    (ii) The party's EPA company registration number.
    (iii) The number of current-year gallon-RINs owned at the start of 
the quarter.
    (iv) The number of prior-year gallon-RINs owned at the start of the 
quarter.
    (v) The total current-year gallon-RINs purchased.
    (vi) The total prior-year gallon-RINs purchased.
    (vii) The total current-year gallon-RINs sold.
    (viii) The total prior-year gallon-RINs sold.
    (ix) The total current-year gallon-RINs retired.
    (x) The total prior-year gallon-RINs retired.
    (xi) The number of current-year gallon-RINs owned at the end of the 
quarter.
    (xii) The number of prior-year gallon-RINs owned at the end of the 
quarter.
    (xiii) For parties reporting gallon-RIN activity under this 
paragraph for RINs assigned to a volume of renewable fuel, the total 
volume of renewable fuel (in gallons) owned at the end of the quarter.
    (xiv) Any additional information that the Administrator may require.
    (3) All reports required under this paragraph (c) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the RIN owner or a responsible corporate officer of the RIN owner.
    (d) Quarterly reports shall be submitted to EPA by: May 31st for the 
first calendar quarter of January through March; August 31st for the 
second calendar quarter of April through June; November 30th for the 
third calendar quarter of July through September; and February 28th for 
the fourth calendar quarter of October through December. For 2007, 
quarterly reports shall commence on November 30, 2007.
    (e) Reports required under this section shall be submitted on forms 
and following procedures as prescribed by EPA.

[72 FR 24000, May 1, 2007, as amended at 73 FR 57256, Oct. 2, 2008]



Sec.  80.1153  What are the product transfer document (PTD)
requirements for the RFS program?

    (a) Any time that a person transfers ownership of renewable fuels 
subject to this subpart, the transferor must provide to the transferee 
documents identifying the renewable fuel and any assigned RINs which 
include all of the following information as applicable:
    (1) The name and address of the transferor and transferee.
    (2) The transferor's and transferee's EPA company registration 
number.
    (3) The volume of renewable fuel that is being transferred.
    (4) The date of the transfer.
    (5) Whether any RINs are assigned to the volume, as follows:
    (i) If the assigned RINs are being transferred on the same PTD used 
to transfer ownership of the renewable fuel, then the assigned RINs 
shall be listed on the PTD.
    (ii) If the assigned RINs are being transferred on a separate PTD 
from that which is used to transfer ownership of the renewable fuel, 
then the PTD which is used to transfer ownership of the renewable fuel 
shall state

[[Page 456]]

the number of gallon-RINs being transferred as well as a unique 
reference to the PTD which is transferring the assigned RINs.
    (iii) If no assigned RINs are being transferred with the renewable 
fuel, the PTD which is used to transfer ownership of the renewable fuel 
shall state ``No assigned RINs transferred''.
    (b) Except for transfers to truck carriers, retailers, or wholesale 
purchaser-consumers, product codes may be used to convey the information 
required under paragraphs (a)(1) through (a)(4) of this section if such 
codes are clearly understood by each transferee. The RIN number required 
under paragraph (a)(5) of this section must always appear in its 
entirety.

[72 FR 24000, May 1, 2007, as amended at 73 FR 57257, Oct. 2, 2008]



Sec.  80.1154  What are the provisions for renewable fuel producers
and importers who produce or import less than 10,000 gallons of
renewable fuel per year?

    (a) Renewable fuel producers located within the United States that 
produce less than 10,000 gallons of renewable fuel each year, and 
importers who import less than 10,000 gallons of renewable fuel each 
year, are not required to generate RINs or to assign RINs to batches of 
renewable fuel. Such producers and importers that do not generate and/or 
assign RINs to batches of renewable fuel are also exempt from all the 
following requirements of this subpart K, except as stated in paragraph 
(b) of this section:
    (1) The registration requirements of Sec.  80.1150.
    (2) The recordkeeping requirements of Sec.  80.1151.
    (3) The reporting requirements of Sec.  80.1152.
    (4) The attest engagement requirements of Sec.  80.1164.
    (b) Renewable fuel producers and importers who produce or import 
less than 10,000 gallons of renewable fuel each year and that generate 
and/or assign RINs to batches of renewable fuel are subject to the 
provisions of Sec. Sec.  80.1150 through 80.1152, and Sec.  80.1164.

[72 FR 24000, May 1, 2007, as amended at 73 FR 57257, Oct. 2, 2008]



Sec.  80.1155  What are the additional requirements for a producer
of cellulosic biomass ethanol or waste derived ethanol?

    (a) A producer of cellulosic biomass ethanol or waste derived 
ethanol (hereinafter referred to as ``ethanol producer'' under this 
section) is required to arrange for an independent third party to review 
the records required in Sec.  80.1151(c) and provide the ethanol 
producer with a written verification that the records support a claim 
that:
    (1) The ethanol producer's facility is a facility that has the 
capability of producing cellulosic biomass ethanol as defined in Sec.  
80.1101(a) or waste derived ethanol as defined in Sec.  80.1101(b); and
    (2) The ethanol producer produces cellulosic biomass ethanol as 
defined in Sec.  80.1101(a) or waste derived ethanol as defined in Sec.  
80.1101(b).
    (b) The verifications required under paragraph (a) of this section 
must be conducted by a Professional Chemical Engineer who is based in 
the United States and is licensed by the appropriate state agency, 
unless the ethanol producer is a foreign producer subject to Sec.  
80.1166.
    (c) To be considered an independent third party under paragraph (a) 
of this section:
    (1) The third party shall not be operated by the ethanol producer or 
any subsidiary of employee of the ethanol producer.
    (2) The third party shall be free from any interest in the ethanol 
producer's business.
    (3) The ethanol producer shall be free from any interest in the 
third party's business.
    (4) Use of a third party that is debarred, suspended, or proposed 
for debarment pursuant to the Government-wide Debarment and Suspension 
regulations, 40 CFR part 32, or the Debarment, Suspension and 
Ineligibility provisions of the Federal Acquisition Regulations, 48 CFR, 
part 9, subpart 9.4, shall be deemed noncompliance with the requirements 
of this section.
    (d) The ethanol producer must obtain the written verification 
required under paragraph (a)(1) of this section by February 28 of the 
year following the first year in which the ethanol producer

[[Page 457]]

claims to be producing cellulosic biomass ethanol or waste derived 
ethanol.
    (e) The verification in paragraph (a)(2) of this section is required 
for each calendar year that the ethanol producer claims to be producing 
cellulosic biomass ethanol or waste derived ethanol. The ethanol 
producer must obtain the written verification required under paragraph 
(a)(2) of this section by February 28 for the previous calendar year.
    (f) The ethanol producer must retain records of the verifications 
required under paragraph (a) of this section, as required in Sec.  
80.1151(c)(5).
    (g) The independent third party shall retain all records pertaining 
to the verification required under this section for a period of five 
years from the date of creation and shall deliver such records to the 
Administrator upon request.

[72 FR 24000, May 1, 2007]



Sec. Sec.  80.1156-80.1159  [Reserved]



Sec.  80.1160  What acts are prohibited under the RFS program?

    (a) Renewable fuel producer or importer violation. Except as 
provided in Sec.  80.1154, no person shall produce or import a renewable 
fuel without generating a batch-RIN as required under Sec.  80.1126.
    (b) RIN generation and transfer violations. No person shall do any 
of the following:
    (1) Improperly generate a RIN (e.g., generate a RIN for which the 
applicable renewable fuel volume was not produced).
    (2) Create or transfer to any person a RIN that is invalid under 
Sec.  80.1131.
    (3) Transfer to any person a RIN that is not properly identified as 
required under Sec.  80.1125.
    (4) Transfer to any person a RIN with a K code of 1 without 
transferring an appropriate volume of renewable fuel to the same person 
on the same day.
    (c) RIN use violations. No person shall do any of the following:
    (1) Fail to acquire sufficient RINs, or use invalid RINs, to meet 
the party's renewable fuel volume obligation under Sec.  80.1127.
    (2) Fail to acquire sufficient RINs to meet the party's renewable 
fuel volume obligation under Sec.  80.1130.
    (3) Use a validly generated RIN to meet the party's renewable fuel 
volume obligation under Sec.  80.1127, or separate and transfer a 
validly generated RIN, where the party ultimately uses the renewable 
fuel volume associated with the RIN in a heater or boiler.
    (d) RIN retention violation. No person shall retain RINs in 
violation of the requirements in Sec.  80.1128(a)(5).
    (e) Causing a violation. No person shall cause another person to 
commit an act in violation of any prohibited act under this section.
    (f) Failure to meet a requirement. No person shall fail to meet any 
requirement that applies to that person under this subpart.

[72 FR 24003, May 1, 2007, as amended at 73 FR 57257, Oct. 2, 2008]



Sec.  80.1161  Who is liable for violations under the RFS program?

    (a) Persons liable for violations of prohibited acts. (1) Any person 
who violates a prohibition under Sec.  80.1160(a) through (d) is liable 
for the violation of that prohibition.
    (2) Any person who causes another person to violate a prohibition 
under Sec.  80.1160(a) through (d) is liable for a violation of Sec.  
80.1160(e).
    (b) Persons liable for failure to meet other provisions of this 
subpart. (1) Any person who fails to meet a requirement of any provision 
of this subpart is liable for a violation of that provision.
    (2) Any person who causes another person to fail to meet a 
requirement of any provision of this subpart is liable for causing a 
violation of that provision.
    (c) Parent corporation liability. Any parent corporation is liable 
for any violation of this subpart that is committed by any of its 
subsidiaries.
    (d) Joint venture liability. Each partner to a joint venture is 
jointly and severally liable for any violation of this subpart that is 
committed by the joint venture operation.

[72 FR 24003, May 1, 2007]



Sec.  80.1162  [Reserved]



Sec.  80.1163  What penalties apply under the RFS program?

    (a) Any person who is liable for a violation under Sec.  80.1161 is 
subject to a

[[Page 458]]

civil penalty of up to $32,500, as specified in sections 205 and 211(d) 
of the Clean Air Act, for every day of each such violation and the 
amount of economic benefit or savings resulting from each violation.
    (b) Any person liable under Sec.  80.1161(a) for a violation of 
Sec.  80.1160(c) for failure to meet a renewable volume obligation, or 
Sec.  80.1160(e) for causing another party to fail to meet a renewable 
volume obligation, during any averaging period, is subject to a separate 
day of violation for each day in the averaging period.
    (c) Any person liable under Sec.  80.1161(b) for failure to meet, or 
causing a failure to meet, a requirement of any provision of this 
subpart is liable for a separate day of violation for each day such a 
requirement remains unfulfilled.

[72 FR 24004, May 1, 2007]



Sec.  80.1164  What are the attest engagement requirements under
the RFS program?

    The requirements regarding annual attest engagements in Sec. Sec.  
80.125 through 80.127, and 80.130, also apply to any attest engagement 
procedures required under this subpart. In addition to any other 
applicable attest engagement procedures, the following annual attest 
engagement procedures are required under this subpart.
    (a) The following attest procedures shall be completed for any 
obligated party as stated in Sec.  80.1106(a) or exporter of renewable 
fuel that is subject to the renewable fuel standard under Sec.  80.1105:
    (1) Annual compliance demonstration report. (i) Obtain and read a 
copy of the annual compliance demonstration report required under Sec.  
80.1152(a)(1) which contains information regarding all the following:
    (A) The obligated party's volume of finished gasoline, reformulated 
gasoline blendstock for oxygenate blending (RBOB), and conventional 
gasoline blendstock that becomes finished conventional gasoline upon the 
addition of oxygenate (CBOB) produced or imported during the reporting 
year.
    (B) Renewable volume obligation (RVO).
    (C) RINs used for compliance.
    (ii) Obtain documentation of any volumes of renewable fuel used in 
gasoline at the refinery or import facility or exported during the 
reporting year; compute and report as a finding the total volumes of 
renewable fuel represented in these documents.
    (iii) Compare the volumes of gasoline reported to EPA in the report 
required under Sec.  80.1152(a)(1) with the volumes, excluding any 
renewable fuel volumes, contained in the inventory reconciliation 
analysis under Sec.  80.133, and verify that the volumes reported to EPA 
agree with the volumes in the inventory reconciliation analysis.
    (iv) Compute and report as a finding the obligated party's or 
exporter's RVO, and any deficit RVO carried over from the previous year 
or carried into the subsequent year, and verify that the values agree 
with the values reported to EPA.
    (v) Obtain the database, spreadsheet, or other documentation for all 
RINs used for compliance during the year being reviewed; calculate the 
total number of RINs used for compliance by year of generation 
represented in these documents; state whether this information agrees 
with the report to EPA and report as a finding any exceptions.
    (vi) Identify a representative sample, selected in accordance with 
the guidelines in Sec.  80.127, of RINs used for compliance during the 
year being reviewed.
    (vii) Obtain contracts, invoices or other documentation for RINs in 
the representative sample obtained in paragraph (a)(1)(vi) of this 
section, and the product transfer documents for the RINs in the 
representative sample; state whether the information in these documents 
agrees with the information in the party's report to EPA and report as a 
finding any exceptions.
    (viii) Verify that the product transfer documents for the 
representative sample of RINs used for compliance contain the applicable 
information required under Sec.  80.1153 and report as a finding any 
product transfer document that does not contain the required 
information; verify the accuracy of the information contained in the 
product transfer documents for the representative sample and report as a 
finding any exceptions.

[[Page 459]]

    (2) RIN transaction reports. (i) Identify a representative sample, 
selected in accordance with the guidelines in Sec.  80.127, separately 
for each RIN transaction type (RINs purchased, RINs sold, RINs retired) 
included in the RIN transaction reports required under Sec.  
80.1152(a)(2) for the compliance year.
    (ii) Obtain contracts, invoices, or other documentation for each of 
the representative samples of RIN transactions, and the product transfer 
documents for each of the representative samples of RIN transactions; 
compute the transaction types, transaction dates, and RINs traded; state 
whether the information agrees with the party's reports to EPA and 
report as a finding any exceptions.
    (iii) Verify that the product transfer documents for the 
representative sample of RINs sold and the representative sample of RINs 
purchased contain the applicable information required under Sec.  
80.1153 and report as a finding any product transfer document that does 
not contain the required information; verify the accuracy of the 
information contained in the product transfer documents for the 
representative samples and report as a finding any exceptions.
    (3) Gallon-RIN activity reports. (i) Obtain and read copies of all 
quarterly gallon-RIN activity reports required under Sec.  80.1152(a)(3) 
for the compliance year.
    (ii) Obtain the database, spreadsheet, or other documentation used 
to generate the information in the gallon-RIN activity reports; compare 
the RIN transaction samples reviewed under paragraph (a)(2) of this 
section with the corresponding entries in the database or spreadsheet 
and report as a finding any discrepancies; compute the total number of 
current-year and prior-year gallon-RINs owned at the start and end of 
the quarter, purchased, sold and retired, and for parties that reported 
gallon-RIN activity for RINs assigned to a volume of renewable fuel, the 
volume of renewable fuel owned at the end of the quarter, as represented 
in these documents; and state whether this information agrees with the 
party's reports to EPA.
    (b) The following attest procedures shall be completed for any 
renewable fuel producer or importer:
    (1) RIN-generation reports. (i) Obtain and read copies of the 
quarterly RIN generation reports required under Sec.  80.1152(b)(1) for 
the compliance year.
    (ii) Obtain production data for each renewable fuel batch produced 
or imported during the year being reviewed; compute the RIN numbers, 
production dates, types, volumes of denaturant and applicable 
equivalence values, and production volumes for each batch; state whether 
this information agrees with the party's reports to EPA and report as a 
finding any exceptions.
    (iii) Verify that the proper number of RINs were generated and 
assigned for each batch of renewable fuel produced or imported, as 
required under Sec.  80.1126.
    (iv) Identify a representative sample, selected in accordance with 
the guidelines in Sec.  80.127, of renewable fuel batches produced or 
imported during the year being reviewed; obtain product transfer 
documents for the representative sample; verify that the product 
transfer documents contain the applicable information required under 
Sec.  80.1153; verify the accuracy of the information contained in the 
product transfer documents; report as a finding any product transfer 
document that does not contain the applicable information required under 
Sec.  80.1153.
    (2) RIN transaction reports. (i) Identify a representative sample, 
selected in accordance with the guidelines in Sec.  80.127, separately 
for each transaction type (RINs purchased, RINs sold, RINs retired) 
included in the RIN transaction reports required under Sec.  
80.1152(b)(2) for the compliance year.
    (ii) Obtain contracts, invoices, or other documentation for each of 
the representative samples of RIN transactions, and the product transfer 
documents for each of the representative samples of RIN transactions; 
compute the transaction types, transaction dates, and the RINs traded; 
state whether this information agrees with the party's reports to EPA 
and report as a finding any exceptions.
    (iii) Verify that the product transfer documents for the 
representative sample of RINs sold and the representative sample of RINs 
purchased contain the applicable information required under Sec.  
80.1153 and report as a finding any product transfer document that does

[[Page 460]]

not contain the required information; verify the accuracy of the 
information contained in the product transfer documents for the 
representative samples and report as a finding any exceptions.
    (3) Gallon-RIN activity reports. (i) Obtain and read copies of the 
quarterly gallon-RIN activity reports required under Sec.  80.1152(b)(3) 
for the compliance year.
    (ii) Obtain the database, spreadsheet, or other documentation used 
to generate the information in the gallon-RIN activity reports; compare 
the RIN transaction samples reviewed under paragraph (b)(2) of this 
section with the corresponding entries in the data base or spreadsheet 
and report as a finding any discrepancies; compute the total number of 
current-year and prior-year gallon-RINs owned at the start and end of 
the quarter, purchased, sold and retired, and for parties that reported 
gallon-RIN activity for RINs assigned to a volume of renewable fuel, the 
volume of renewable fuel owned at the end of the quarter, as represented 
in these documents; and state whether this information agrees with the 
party's reports to EPA.
    (c) The following attest procedures shall be completed for any party 
other than an obligated party or renewable fuel producer or importer 
that owns any RINs during a calendar year.
    (1) RIN transaction reports. (i) Identify a representative sample, 
selected in accordance with the guidelines in Sec.  80.127, separately 
for each RIN transaction type (RINs purchased, RINs sold, RINs retired) 
included in the RIN transaction reports required under Sec.  
80.1152(c)(1) for the compliance year.
    (ii) Obtain contracts, invoices, or other documentation for the 
representative samples of RIN transactions, and the product transfer 
documents for the representative samples of RIN transactions; compute 
the transaction types, transaction dates, and the RINs traded; state 
whether this information agrees with the party's reports to EPA and 
report as a finding any exceptions.
    (iii) Verify that the transfer documents for the representative 
sample of RINs sold and the representative sample of RINs purchased 
contain the applicable information required under Sec.  80.1153 and 
report as a finding any product transfer document that does not contain 
the required information; verify the accuracy of the information 
contained in the product transfer documents for the representative 
samples and report as a finding any exceptions.
    (2) Gallon-RIN activity reports. (i) Obtain and read copies of the 
gallon-RIN activity reports required under Sec.  80.1152(c)(2) for the 
compliance year.
    (ii) Obtain the database, spreadsheet, or other documentation used 
to generate the information in the gallon-RIN activity reports; compare 
the RIN transaction samples reviewed under paragraph (c)(1) of this 
section with the corresponding entries in the data base or spreadsheet 
and report as a finding any discrepancies; compute the total number of 
current-year and prior-year gallon-RINs owned at the start and end of 
the quarter, purchased, sold and retired, and for parties that reported 
gallon-RIN activity for RINs assigned to a volume of renewable fuel, the 
volume of renewable fuel owned at the end of the quarter, as represented 
in these documents; and state whether this information agrees with the 
party's reports to EPA.
    (d) The following submission dates apply to the attest engagements 
required under this section. (1) For each compliance year, each party 
subject to the attest engagement requirements under this section shall 
cause the reports required under this section to be submitted to EPA by 
May 31 of the year following the compliance year.
    (2) For the 2007 compliance year only, the attest engagement 
required under paragraph (a) of this section may be submitted to EPA 
with the attest engagement for the 2008 compliance year.
    (e) The party conducting the procedures under this section shall 
obtain a written representation from a company representative that the 
copies of the reports required by this section are complete and accurate 
copies of the reports filed with EPA.
    (f) The party conducting the procedures under this section shall 
identify and report as a finding the commercial computer program used by 
the party to track the data required by the regulations in this subpart, 
if any.

[72 FR 24004, May 1, 2007, as amended at 73 FR 57257, Oct. 2, 2008]

[[Page 461]]



Sec.  80.1165  What are the additional requirements under this 
subpart for a foreign small refiner?

    (a) Definitions. The following definitions apply for this subpart:
    (1) Foreign refinery is a refinery that is located outside the 
United States, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands (collectively referred to in this section as ``the United 
States'').
    (2) Foreign refiner is a person that meets the definition of refiner 
under Sec.  80.2(i) for a foreign refinery.
    (3) RFS-FRGAS is gasoline produced at a foreign refinery that has 
received a small refinery exemption under Sec.  80.1141 or a small 
refiner exemption under Sec.  80.1142 that is imported into the United 
States.
    (4) Non-RFS-FRGAS is one of the following:
    (i) Gasoline produced at a foreign refinery that has received a 
small refinery exemption under Sec.  80.1141 or a small refiner 
exemption under Sec.  80.1142 that is not imported into the United 
States.
    (ii) Gasoline produced at a foreign refinery that has not received a 
small refinery exemption under Sec.  80.1141 or small refiner exemption 
under Sec.  80.1142.
    (5) A foreign small refiner is a foreign refiner that has received a 
small refinery exemption under Sec.  80.1141 for one or more of its 
refineries or a small refiner exemption under Sec.  80.1142.
    (b) General requirements for RFS-FRGAS foreign small refineries and 
small refiners.
    (1) A foreign small refiner must designate, at the time of 
production, each batch of gasoline produced at the foreign refinery that 
is exported for use in the United States as RFS-FRGAS; and
    (2) Meet all requirements that apply to refiners who have received a 
small refinery or small refiner exemption under this subpart.
    (c) Designation, foreign refiner certification, and product transfer 
documents. (1) Any foreign small refiner must designate each batch of 
RFS-FRGAS as such at the time the gasoline is produced.
    (2) On each occasion when RFS-FRGAS is loaded onto a vessel or other 
transportation mode for transport to the United States, the foreign 
refiner shall prepare a certification for each batch of RFS-FRGAS that 
meets all the following requirements:
    (i) The certification shall include the report of the independent 
third party under paragraph (d) of this section, and all the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the RFS-FRGAS.
    (B) [Reserved]
    (ii) The identification of the gasoline as RFS-FRGAS.
    (iii) The volume of RFS-FRGAS being transported, in gallons.
    (3) On each occasion when any person transfers custody or title to 
any RFS-FRGAS prior to its being imported into the United States, it 
must include all the following information as part of the product 
transfer document information:
    (i) Designation of the gasoline as RFS-FRGAS.
    (ii) The certification required under paragraph (c)(2) of this 
section.
    (d) Load port independent testing and refinery identification. (1) 
On each occasion that RFS-FRGAS is loaded onto a vessel for transport to 
the United States the foreign small refiner shall have an independent 
third party do all the following:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms.
    (ii) Determine the volume of RFS-FRGAS loaded onto the vessel 
(exclusive of any tank bottoms before loading).
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery.
    (iv) Determine the name and country of registration of the vessel 
used to transport the RFS-FRGAS to the United States.
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (vi) Review original documents that reflect movement and storage of 
the RFS-FRGAS from the foreign refinery to the load port, and from this 
review determine:
    (A) The refinery at which the RFS-FRGAS was produced; and

[[Page 462]]

    (B) That the RFS-FRGAS remained segregated from Non-RFS-FRGAS and 
other RFS-FRGAS produced at a different refinery.
    (2) The independent third party shall submit a report to:
    (i) The foreign small refiner containing the information required 
under paragraph (d)(1) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) The Administrator containing the information required under 
paragraph (d)(1) of this section, within thirty days following the date 
of the independent third party's inspection. This report shall include a 
description of the method used to determine the identity of the refinery 
at which the gasoline was produced, assurance that the gasoline remained 
segregated as specified in paragraph (j)(1) of this section, and a 
description of the gasoline's movement and storage between production at 
the source refinery and vessel loading.
    (3) The independent third party must:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (d);
    (ii) Be independent under the criteria specified in Sec.  
80.65(f)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities, facilities, and 
documents relevant to compliance with the requirements of this paragraph 
(d).
    (e) Comparison of load port and port of entry testing. (1)(i) Any 
small foreign small refiner and any United States importer of RFS-FRGAS 
shall compare the results from the load port testing under paragraph (d) 
of this section, with the port of entry testing as reported under 
paragraph (k) of this section, for the volume of gasoline, except as 
specified in paragraph (e)(1)(ii) of this section.
    (ii) Where a vessel transporting RFS-FRGAS off loads this gasoline 
at more than one United States port of entry, the requirements of 
paragraph (e)(1)(i) of this section do not apply at subsequent ports of 
entry if the United States importer obtains a certification from the 
vessel owner that the requirements of paragraph (e)(1)(i) of this 
section were met and that the vessel has not loaded any gasoline or 
blendstock between the first United States port of entry and the 
subsequent port of entry.
    (2) If the temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent, the United 
States importer and the foreign small refiner shall not treat the 
gasoline as RFS-FRGAS and the importer shall include the volume of 
gasoline in the importer's RFS compliance calculations.
    (f) Foreign refiner commitments. Any small foreign small refiner 
shall commit to and comply with the provisions contained in this 
paragraph (f) as a condition to being approved for a small refinery or 
small refiner exemption under this subpart.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Gasoline is produced;
    (B) Documents related to refinery operations are kept; and
    (C) RFS-FRGAS is stored or transported between the foreign refinery 
and the United States, including storage tanks, vessels and pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to all the following:
    (A) The volume of RFS-FRGAS.
    (B) The proper classification of gasoline as being RFS-FRGAS or as 
not being RFS-FRGAS.
    (C) Transfers of title or custody to RFS-FRGAS.
    (D) Testing of RFS-FRGAS.
    (E) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers.

[[Page 463]]

    (vi) Inspections and audits by EPA may include interviewing 
employees.
    (vii) Any employee of the foreign refiner must be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign refiner or any employee of the foreign refiner for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting an application for a small refinery or small refiner 
exemption, or producing and exporting gasoline under such exemption, and 
all other actions to comply with the requirements of this subpart 
relating to such exemption constitute actions or activities covered by 
and within the meaning of the provisions of 28 U.S.C. 1605(a)(2), but 
solely with respect to actions instituted against the foreign refiner, 
its agents and employees in any court or other tribunal in the United 
States for conduct that violates the requirements applicable to the 
foreign refiner under this subpart, including conduct that violates the 
False Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (6) The foreign refiner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (f) shall be signed by 
the owner or president of the foreign refiner business.
    (8) In any case where RFS-FRGAS produced at a foreign refinery is 
stored or transported by another company between the refinery and the 
vessel that transports the RFS-FRGAS to the United States, the foreign 
refiner shall obtain from each such other company a commitment that 
meets the requirements specified in paragraphs (f)(1) through (f)(7) of 
this section, and these commitments shall be included in the foreign 
refiner's application for a small refinery or small refiner exemption 
under this subpart.
    (g) Sovereign immunity. By submitting an application for a small 
refinery or small refiner exemption under this subpart, or by producing 
and exporting gasoline to the United States under such exemption, the 
foreign refiner, and its agents and employees, without exception, become 
subject to the full operation of the administrative and judicial 
enforcement powers and provisions of the United States without 
limitation based on sovereign immunity, with respect to actions 
instituted against the foreign refiner, its agents and employees in any 
court or other tribunal in the United States for conduct that violates 
the requirements applicable to the foreign refiner under this subpart, 
including conduct that violates the False Statements Accountability Act 
of 1996 (18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 
U.S.C. 7413).
    (h) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (h) as a condition to approval of a small foreign 
refinery or small foreign refiner exemption under this subpart.
    (1) The foreign refiner shall post a bond of the amount calculated 
using the following equation:

Bond = G * $0.01

Where:


[[Page 464]]


Bond = amount of the bond in United States dollars.
G = the largest volume of gasoline produced at the foreign refinery and 
          exported to the United States, in gallons, during a single 
          calendar year among the most recent of the following calendar 
          years, up to a maximum of five calendar years: The calendar 
          year immediately preceding the date the refinery's application 
          is submitted, the calendar year the application is submitted, 
          and each succeeding calendar year.

    (2) Bonds shall be posted by:
    (i) Paying the amount of the bond to the Treasurer of the United 
States;
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign refiner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement; or
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) Bonds posted under this paragraph (h) shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds''; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest annual reporting period 
that the foreign refiner produces gasoline pursuant to the requirements 
of this subpart.
    (4) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (5) If the bond amount for a foreign refiner increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (i) English language reports. Any document submitted to EPA by a 
foreign refiner shall be in English language, or shall include an 
English language translation.
    (j) Prohibitions. (1) No person may combine RFS-FRGAS with any Non-
RFS-FRGAS, and no person may combine RFS-FRGAS with any RFS-FRGAS 
produced at a different refinery, until the importer has met all the 
requirements of paragraph (k) of this section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (j)(1) of this section, or that 
otherwise violates the requirements of this section.
    (k) United States importer requirements. Any United States importer 
of RFS-FRGAS shall meet the following requirements:
    (1) Each batch of imported RFS-FRGAS shall be classified by the 
importer as being RFS-FRGAS.
    (2) Gasoline shall be classified as RFS-FRGAS according to the 
designation by the foreign refiner if this designation is supported by 
product transfer documents prepared by the foreign refiner as required 
in paragraph (c) of this section. Additionally, the importer shall 
comply with all requirements of this subpart applicable to importers.
    (3) For each gasoline batch classified as RFS-FRGAS, any United 
States importer shall have an independent third party do all the 
following:
    (i) Determine the volume of gasoline in the vessel.
    (ii) Use the foreign refiner's RFS-FRGAS certification to determine 
the name and EPA-assigned registration number of the foreign refinery 
that produced the RFS-FRGAS.
    (iii) Determine the name and country of registration of the vessel 
used to transport the RFS-FRGAS to the United States.
    (iv) Determine the date and time the vessel arrives at the United 
States port of entry.

[[Page 465]]

    (4) Any importer shall submit reports within 30 days following the 
date any vessel transporting RFS-FRGAS arrives at the United States port 
of entry to:
    (i) The Administrator containing the information determined under 
paragraph (k)(3) of this section; and
    (ii) The foreign refiner containing the information determined under 
paragraph (k)(3)(i) of this section, and including identification of the 
port at which the product was off loaded.
    (5) Any United States importer shall meet all other requirements of 
this subpart for any imported gasoline that is not classified as RFS-
FRGAS under paragraph (k)(2) of this section.
    (l) Truck imports of RFS-FRGAS produced at a foreign refinery. (1) 
Any refiner whose RFS-FRGAS is transported into the United States by 
truck may petition EPA to use alternative procedures to meet all the 
following requirements:
    (i) Certification under paragraph (c)(2) of this section.
    (ii) Load port and port of entry testing requirements under 
paragraphs (d) and (e) of this section.
    (iii) Importer testing requirements under paragraph (k)(3) of this 
section.
    (2) These alternative procedures must ensure RFS-FRGAS remains 
segregated from Non-RFS-FRGAS until it is imported into the United 
States. The petition will be evaluated based on whether it adequately 
addresses the following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of RFS-FRGAS from that 
refinery from all other gasoline.
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport RFS-FRGAS that prohibit the commingling of RFS-FRGAS with 
Non-RFS-FRGAS or RFS-FRGAS from other foreign refineries.
    (iii) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all RFS-FRGAS 
remains segregated throughout the distribution system.
    (3) The petition described in this section must be submitted to EPA 
along with the application for a small refinery or small refiner 
exemption under this subpart.
    (m) Additional attest requirements for importers of RFS-FRGAS. The 
following additional procedures shall be carried out by any importer of 
RFS-FRGAS as part of the attest engagement required for importers under 
this subpart K.
    (1) Obtain listings of all tenders of RFS-FRGAS. Agree the total 
volume of tenders from the listings to the gasoline inventory 
reconciliation analysis required in Sec.  80.133(b), and to the volumes 
determined by the third party under paragraph (d) of this section.
    (2) For each tender under paragraph (m)(1) of this section, where 
the gasoline is loaded onto a marine vessel, report as a finding the 
name and country of registration of each vessel, and the volumes of RFS-
FRGAS loaded onto each vessel.
    (3) Select a sample from the list of vessels identified in paragraph 
(m)(2) of this section used to transport RFS-FRGAS, in accordance with 
the guidelines in Sec.  80.127, and for each vessel selected perform the 
following:
    (i) Obtain the report of the independent third party, under 
paragraph (d) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification and gasoline volume.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry volume results differ by more than the amount allowed 
in paragraph (e)(2) of this section, and determine whether all of the 
requirements of paragraph (e)(2) of this section have been met.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the RFS-FRGAS from the refinery 
to the load port, under paragraph (d) of this section. Obtain tank 
activity records for any storage tank where the RFS-FRGAS is stored, and 
pipeline activity records for any pipeline used to transport the RFS-
FRGAS prior to being loaded onto the vessel. Use these records to 
determine whether the RFS-FRGAS was produced at the refinery

[[Page 466]]

that is the subject of the attest engagement, and whether the RFS-FRGAS 
was mixed with any Non-RFS-FRGAS or any RFS-FRGAS produced at a 
different refinery.
    (4) Select a sample from the list of vessels identified in paragraph 
(m)(2) of this section used to transport RFS-FRGAS, in accordance with 
the guidelines in Sec.  80.127, and for each vessel selected perform the 
following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (5) Obtain separate listings of all tenders of RFS-FRGAS, and 
perform the following:
    (i) Agree the volume of tenders from the listings to the gasoline 
inventory reconciliation analysis in Sec.  80.133(b).
    (ii) Obtain a separate listing of the tenders under this paragraph 
(m)(5) where the gasoline is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the gasoline was off 
loaded for the selected vessels. Determine and report as a finding the 
country where the gasoline was off loaded for each vessel selected.
    (6) In order to complete the requirements of this paragraph (m), an 
auditor shall:
    (i) Be independent of the foreign refiner or importer;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.127, 80.130, 80.1164, and this 
paragraph (m); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.127, 80.130, 80.1164, and this paragraph (m).
    (n) Withdrawal or suspension of foreign refiner status. EPA may 
withdraw or suspend a foreign refiner's small refinery or small refiner 
exemption where:
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (f)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(h) of this section.
    (o) Additional requirements for applications, reports and 
certificates. Any application for a small refinery or small refiner 
exemption, alternative procedures under paragraph (l) of this section, 
any report, certification, or other submission required under this 
section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Signed by the president or owner of the foreign refiner company, 
or by that person's immediate designee, and shall contain the following 
declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being Certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR part 
80, subpart K, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being Certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof. I affirm that I have read and understand the 
provisions of 40 CFR part 80, subpart K, including 40 CFR 80.1165 apply 
to [insert name of foreign refiner]. Pursuant to Clean Air Act section 
113(c) and 18 U.S.C. 1001, the penalty for furnishing

[[Page 467]]

false, incomplete or misleading information in this certification or 
submission is a fine of up to $10,000 U.S., and/or imprisonment for up 
to five years.

[72 FR 24004, May 1, 2007, as amended at 73 FR 57258, Oct. 2, 2008]



Sec.  80.1166  What are the additional requirements under this
subpart for a foreign producer of cellulosic biomass ethanol or
waste derived ethanol?

    (a) Foreign producer of cellulosic biomass ethanol or waste derived 
ethanol. For purposes of this subpart, a foreign producer of cellulosic 
biomass ethanol or waste derived ethanol is a person located outside the 
United States, the Commonwealth of Puerto Rico, the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands (collectively referred to in this section as ''the United 
States'') that has been approved by EPA to assign RINs to cellulosic 
biomass ethanol or waste derived ethanol that the foreign producer 
produces and exports to the United States, hereinafter referred to as a 
``foreign producer'' under this section.
    (b) General requirements. (1) An approved foreign producer under 
this section must meet all requirements that apply to cellulosic biomass 
ethanol or waste derived ethanol producers under this subpart, except to 
the extent otherwise specified in paragraph (b)(2) of this section.
    (2)(i) The independent third party that conducts the facility 
verification required under Sec.  80.1155(a) must inspect the foreign 
producer's facility and submit a report to EPA which describes in detail 
the physical plant and its operation.
    (ii) The independent third party that conducts the facility 
verification required under Sec.  80.1155(a) must be a licensed 
Professional Engineer in the chemical engineering field, but need not be 
based in the United States. The independent third party must include 
documentation of its qualifications as a licensed Professional Engineer 
in the report required in paragraph (b)(2)(i) of this section.
    (iii) The requirements of paragraphs (b)(2)(i) and (ii) of this 
section must be met before a foreign entity may be approved as a foreign 
producer under this subpart.
    (c) Designation, foreign producer certification, and product 
transfer documents. (1) Any approved foreign producer under this section 
must designate each batch of cellulosic biomass ethanol or waste derived 
ethanol as ``RFS-FRETH'' at the time the ethanol is produced.
    (2) On each occasion when RFS-FRETH is loaded onto a vessel or other 
transportation mode for transport to the United States, the foreign 
producer shall prepare a certification for each batch of RFS-FRETH; the 
certification shall include the report of the independent third party 
under paragraph (d) of this section, and all the following additional 
information:
    (i) The name and EPA registration number of the company that 
produced the RFS-FRETH.
    (ii) The identification of the ethanol as RFS-FRETH.
    (iii) The volume of RFS-FRETH being transported, in gallons.
    (3) On each occasion when any person transfers custody or title to 
any RFS-FRETH prior to its being imported into the United States, it 
must include all the following information as part of the product 
transfer document information:
    (i) Designation of the ethanol as RFS-FRETH.
    (ii) The certification required under paragraph (c)(2) of this 
section.
    (d) Load port independent testing and refinery identification. (1) 
On each occasion that RFS-FRETH is loaded onto a vessel for transport to 
the United States the foreign producer shall have an independent third 
party do all the following:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms.
    (ii) Determine the volume of RFS-FRETH loaded onto the vessel 
(exclusive of any tank bottoms before loading).
    (iii) Obtain the EPA-assigned registration number of the foreign 
producer.
    (iv) Determine the name and country of registration of the vessel 
used to transport the RFS-FRETH to the United States.

[[Page 468]]

    (v) Determine the date and time the vessel departs the port serving 
the foreign producer.
    (vi) Review original documents that reflect movement and storage of 
the RFS-FRETH from the foreign producer to the load port, and from this 
review determine the following:
    (A) The facility at which the RFS-FRETH was produced.
    (B) That the RFS-FRETH remained segregated from Non-RFS-FRETH and 
other RFS-FRETH produced by a different foreign producer.
    (2) The independent third party shall submit a report to the 
following:
    (i) The foreign producer containing the information required under 
paragraph (d)(1) of this section, to accompany the product transfer 
documents for the vessel.
    (ii) The Administrator containing the information required under 
paragraph (d)(1) of this section, within thirty days following the date 
of the independent third party's inspection. This report shall include a 
description of the method used to determine the identity of the foreign 
producer facility at which the ethanol was produced, assurance that the 
ethanol remained segregated as specified in paragraph (j)(1) of this 
section, and a description of the ethanol's movement and storage between 
production at the source facility and vessel loading.
    (3) The independent third party must:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (d);
    (ii) Be independent under the criteria specified in Sec.  
80.65(e)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(d).
    (e) Comparison of load port and port of entry testing. (1)(i) Any 
foreign producer and any United States importer of RFS-FRETH shall 
compare the results from the load port testing under paragraph (d) of 
this section, with the port of entry testing as reported under paragraph 
(k) of this section, for the volume of ethanol, except as specified in 
paragraph (e)(1)(ii) of this section.
    (ii) Where a vessel transporting RFS-FRETH off loads the ethanol at 
more than one United States port of entry, the requirements of paragraph 
(e)(1)(i) of this section do not apply at subsequent ports of entry if 
the United States importer obtains a certification from the vessel owner 
that the requirements of paragraph (e)(1)(i) of this section were met 
and that the vessel has not loaded any ethanol between the first United 
States port of entry and the subsequent port of entry.
    (2)(i) If the temperature-corrected volumes determined at the port 
of entry and at the load port differ by more than one percent, the 
number of RINs associated with the ethanol shall be calculated based on 
the lesser of the two volumes in paragraph (e)(1)(i) of this section.
    (ii) Where the port of entry volume is the lesser of the two volumes 
in paragraph (e)(1)(i) of this section, the importer shall calculate the 
difference between the number of RINs originally assigned by the foreign 
producer and the number of RINs calculated under Sec.  80.1126 for the 
volume of ethanol as measured at the port of entry, and retire that 
amount of RINs in accordance with paragraph (k)(4) of this section.
    (f) Foreign producer commitments. Any foreign producer shall commit 
to and comply with the provisions contained in this paragraph (f) as a 
condition to being approved as a foreign producer under this subpart.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete and immediate access to conduct 
inspections and audits of the foreign producer facility.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Ethanol is produced;
    (B) Documents related to ethanol producer operations are kept; and
    (C) RFS-FRETH is stored or transported between the foreign producer 
and the United States, including storage tanks, vessels and pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.

[[Page 469]]

    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to the following:
    (A) The volume of RFS-FRETH.
    (B) The proper classification of gasoline as being RFS-FRETH;
    (C) Transfers of title or custody to RFS-FRETH.
    (D) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers.
    (vi) Inspections and audits by EPA may include interviewing 
employees.
    (vii) Any employee of the foreign producer must be made available 
for interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign producer or any employee of the foreign producer for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign producer or any 
employee of the foreign producer related to the provisions of this 
section.
    (5) Applying to be an approved foreign producer under this section, 
or producing or exporting ethanol under such approval, and all other 
actions to comply with the requirements of this subpart relating to such 
approval constitute actions or activities covered by and within the 
meaning of the provisions of 28 U.S.C. 1605(a)(2), but solely with 
respect to actions instituted against the foreign producer, its agents 
and employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign 
producer under this subpart, including conduct that violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (6) The foreign producer, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (f) shall be signed by 
the owner or president of the foreign producer company.
    (8) In any case where RFS-FRETH produced at a foreign producer 
facility is stored or transported by another company between the 
refinery and the vessel that transports the RFS-FRETH to the United 
States, the foreign producer shall obtain from each such other company a 
commitment that meets the requirements specified in paragraphs (f)(1) 
through (7) of this section, and these commitments shall be included in 
the foreign producer's application to be an approved foreign producer 
under this subpart.
    (g) Sovereign immunity. By submitting an application to be an 
approved foreign producer under this subpart, or by producing and 
exporting ethanol to the United States under such approval, the foreign 
producer, and its agents and employees, without exception, become 
subject to the full operation of the administrative and judicial 
enforcement powers and provisions of the United States without 
limitation based on sovereign immunity, with respect to actions 
instituted against the foreign producer, its agents and employees in any 
court or other tribunal in the United States for conduct that violates

[[Page 470]]

the requirements applicable to the foreign producer under this subpart, 
including conduct that violates the False Statements Accountability Act 
of 1996 (18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 
U.S.C. 7413).
    (h) Bond posting. Any foreign producer shall meet the requirements 
of this paragraph (h) as a condition to approval as a foreign producer 
under this subpart.
    (1) The foreign producer shall post a bond of the amount calculated 
using the following equation:

Bond = G * $ 0.01

Where:

Bond = amount of the bond in U.S. dollars.
G = The largest volume of ethanol produced at the foreign producer's 
          facility and exported to the United States, in gallons, during 
          a single calendar year among the most recent of the following 
          calendar years, up to a maximum of five calendar years: The 
          calendar year immediately preceding the date the refinery's 
          application is submitted, the calendar year the application is 
          submitted, and each succeeding calendar year.

    (2) Bonds shall be posted by any of the following methods:
    (i) Paying the amount of the bond to the Treasurer of the United 
States.
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign producer, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement.
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States provided EPA agrees in advance as to the alternative commitment.
    (3) Bonds posted under this paragraph (h) shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ''Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds''; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of the latest annual reporting 
period that the foreign producer produces ethanol pursuant to the 
requirements of this subpart.
    (4) On any occasion a foreign producer bond is used to satisfy any 
judgment, the foreign producer shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (5) If the bond amount for a foreign producer increases, the foreign 
producer shall increase the bond to cover the shortfall within 90 days 
of the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (i) English language reports. Any document submitted to EPA by a 
foreign producer shall be in English language, or shall include an 
English language translation.
    (j) Prohibitions. (1) No person may combine RFS-FRETH with any Non-
RFS-FRETH, and no person may combine RFS-FRETH with any RFS-FRETH 
produced at a different refinery, until the importer has met all the 
requirements of paragraph (k) of this section.
    (2) No foreign producer or other person may cause another person to 
commit an action prohibited in paragraph (j)(1) of this section, or that 
otherwise violates the requirements of this section.
    (k) Requirements for United States importers of RFS-FRETH. Any 
United States importer shall meet the following requirements:
    (1) Each batch of imported RFS-FRETH shall be classified by the 
importer as being RFS-FRETH.
    (2) Ethanol shall be classified as RFS-FRETH according to the 
designation by the foreign producer if this designation is supported by 
product transfer documents prepared by the foreign producer as required 
in paragraph (c) of this section.

[[Page 471]]

    (3) For each ethanol batch classified as RFS-FRETH, any United 
States importer shall have an independent third party do all the 
following:
    (i) Determine the volume of gasoline in the vessel.
    (ii) Use the foreign producer's RFS-FRETH certification to determine 
the name and EPA-assigned registration number of the foreign producer 
that produced the RFS-FRETH.
    (iii) Determine the name and country of registration of the vessel 
used to transport the RFS-FRETH to the United States.
    (iv) Determine the date and time the vessel arrives at the United 
States port of entry.
    (4) Where the importer is required to retire RINs under paragraph 
(e)(2) of this section, the importer must report the retired RINs in the 
applicable reports under Sec.  80.1152.
    (5) Any importer shall submit reports within 30 days following the 
date any vessel transporting RFS-FRETH arrives at the United States port 
of entry to the following:
    (i) The Administrator containing the information determined under 
paragraph (k)(3) of this section.
    (ii) The foreign producer containing the information determined 
under paragraph (k)(3)(i) of this section, and including identification 
of the port at which the product was off loaded, and any RINs retired 
under paragraph (e)(2) of this section.
    (6) Any United States importer shall meet all other requirements of 
this subpart for any imported ethanol or other renewable fuel that is 
not classified as RFS-FRETH under paragraph (k)(2) of this section.
    (l) Truck imports of RFS-FRETH produced by a foreign producer. (1) 
Any foreign producer whose RFS-FRETH is transported into the United 
States by truck may petition EPA to use alternative procedures to meet 
all the following requirements:
    (i) Certification under paragraph (c)(2) of this section.
    (ii) Load port and port of entry testing under paragraphs (d) and 
(e) of this section.
    (iii) Importer testing under paragraph (k)(3) of this section.
    (2) These alternative procedures must ensure RFS-FRETH remains 
segregated from Non-RFS-FRETH until it is imported into the United 
States. The petition will be evaluated based on whether it adequately 
addresses the following:
    (i) Contracts with any facilities that receive and/or transport RFS-
FRETH that prohibit the commingling of RFS-FRETH with Non-RFS-FRETH or 
RFS-FRETH from other foreign producers.
    (ii) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation to confirm that all RFS-FRETH remains segregated.
    (3) The petition described in this section must be submitted to EPA 
along with the application for approval as a foreign producer under this 
subpart.
    (m) Additional attest requirements for producers of RFS-FRETH. The 
following additional procedures shall be carried out by any producer of 
RFS-FRETH as part of the attest engagement required for renewable fuel 
producers under this subpart K.
    (1) Obtain listings of all tenders of RFS-FRETH. Agree the total 
volume of tenders from the listings to the volumes determined by the 
third party under paragraph (d) of this section.
    (2) For each tender under paragraph (m)(1) of this section, where 
the ethanol is loaded onto a marine vessel, report as a finding the name 
and country of registration of each vessel, and the volumes of RFS-FRETH 
loaded onto each vessel.
    (3) Select a sample from the list of vessels identified in paragraph 
(m)(2) of this section used to transport RFS-FRETH, in accordance with 
the guidelines in Sec.  80.127, and for each vessel selected perform the 
following:
    (i) Obtain the report of the independent third party, under 
paragraph (d) of this section, and of the United States importer under 
paragraph (k) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification and ethanol volume.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry volume results differ by more

[[Page 472]]

than the amount allowed in paragraph (e) of this section, and determine 
whether the importer retired the appropriate amount of RINs as required 
under paragraph (e)(2) of this section, and submitted the applicable 
reports under Sec.  80.1152 in accordance with paragraph (k)(4) of this 
section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the RFS-FRETH from the foreign 
producer's facility to the load port, under paragraph (d) of this 
section. Obtain tank activity records for any storage tank where the 
RFS-FRETH is stored, and activity records for any mode of transportation 
used to transport the RFS-FRGAS prior to being loaded onto the vessel. 
Use these records to determine whether the RFS-FRETH was produced at the 
foreign producer's facility that is the subject of the attest 
engagement, and whether the RFS-FRETH was mixed with any Non-RFS-FRETH 
or any RFS-FRETH produced at a different facility.
    (4) Select a sample from the list of vessels identified in paragraph 
(m)(2) of this section used to transport RFS-FRETH, in accordance with 
the guidelines in Sec.  80.127, and for each vessel selected perform the 
following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (5) Obtain a separate listing of the tenders under this paragraph 
(m)(5) where the gasoline is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the ethanol was off 
loaded for the selected vessels. Determine and report as a finding the 
country where the ethanol was off loaded for each vessel selected.
    (6) In order to complete the requirements of this paragraph (m) an 
auditor shall:
    (i) Be independent of the foreign producer;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.127, 80.130, 80.1164, and this 
paragraph (m); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.127, 80.130, 80.1164, and this paragraph (m).
    (n) Withdrawal or suspension of foreign producer approval. EPA may 
withdraw or suspend a foreign producer's approval where any of the 
following occur:
    (1) A foreign producer fails to meet any requirement of this 
section.
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (f)(1) of this section.
    (3) A foreign producer asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart.
    (4) A foreign producer fails to pay a civil or criminal penalty that 
is not satisfied using the foreign producer bond specified in paragraph 
(g) of this section.
    (o) Additional requirements for applications, reports and 
certificates. Any application for approval as a foreign producer, 
alternative procedures under paragraph (l) of this section, any report, 
certification, or other submission required under this section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Signed by the president or owner of the foreign producer 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign producer] with regard to

[[Page 473]]

all statements contained herein; (2) that I am aware that the 
information contained herein is being Certified, or submitted to the 
United States Environmental Protection Agency, under the requirements of 
40 CFR part 80, subpart K, and that the information is material for 
determining compliance under these regulations; and (3) that I have read 
and understand the information being Certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof. I affirm that I have read and understand the 
provisions of 40 CFR part 80, subpart K, including 40 CFR 80.1165 apply 
to [insert name of foreign producer]. Pursuant to Clean Air Act section 
113(c) and 18 U.S.C. 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000 U.S., and/or imprisonment for up to five years.

[72 FR 24004, May 1, 2007, as amended at 73 FR 57258, Oct. 2, 2008]



Sec.  80.1167  What are the additional requirements under this subpart
for a foreign RIN owner?

    (a) Foreign RIN owner. For purposes of this subpart, a foreign RIN 
owner is a person located outside the United States, the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Commonwealth of the Northern Mariana Islands (collectively referred to 
in this section as ``the United States'') that has been approved by EPA 
to own RINs.
    (b) General Requirement. An approved foreign RIN owner must meet all 
requirements that apply to persons who own RINs under this subpart.
    (c) Foreign RIN owner commitments. Any person shall commit to and 
comply with the provisions contained in this paragraph (c) as a 
condition to being approved as a foreign RIN owner under this subpart.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete and immediate access to conduct 
inspections and audits of the foreign RIN owner's place of business.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced; and
    (ii) Access will be provided to any location where documents related 
to RINs the foreign RIN owner has obtained, sold, transferred or held 
are kept.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to the following:
    (A) Transfers of title to RINs.
    (B) Work performed and reports prepared by independent auditors 
under the requirements of this section, including work papers.
    (vi) Inspections and audits by EPA may include interviewing 
employees.
    (vii) Any employee of the foreign RIN owner must be made available 
for interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign RIN owner or any employee of the foreign RIN owner for 
any action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign RIN owner or 
any employee of the foreign RIN owner related to the provisions of this 
section.
    (5) Submitting an application to be a foreign RIN owner, and all 
other actions to comply with the requirements of this subpart constitute 
actions or activities covered by and within the meaning of the 
provisions of 28 U.S.C.

[[Page 474]]

1605(a)(2), but solely with respect to actions instituted against the 
foreign RIN owner, its agents and employees in any court or other 
tribunal in the United States for conduct that violates the requirements 
applicable to the foreign RIN owner under this subpart, including 
conduct that violates the False Statements Accountability Act of 1996 
(18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 U.S.C. 
7413).
    (6) The foreign RIN owner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (c) shall be signed by 
the owner or president of the foreign RIN owner business.
    (d) Sovereign immunity. By submitting an application to be a foreign 
RIN owner under this subpart, the foreign entity, and its agents and 
employees, without exception, become subject to the full operation of 
the administrative and judicial enforcement powers and provisions of the 
United States without limitation based on sovereign immunity, with 
respect to actions instituted against the foreign RIN owner, its agents 
and employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign RIN 
owner under this subpart, including conduct that violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (e) Bond posting. Any foreign entity shall meet the requirements of 
this paragraph (e) as a condition to approval as a foreign RIN owner 
under this subpart.
    (1) The foreign entity shall post a bond of the amount calculated 
using the following equation:

Bond = G * $0.01

Where:

Bond = amount of the bond in U.S. dollars.
G = The total of the number of gallon-RINs the foreign entity expects to 
          sell or transfer during the first calendar year that the 
          foreign entity is a RIN owner, plus the number of gallon-RINs 
          the foreign entity expects to sell or transfer during the next 
          four calendar years. After the first calendar year, the bond 
          amount shall be based on the actual number of gallon-RINs sold 
          or transferred during the current calendar year and the number 
          held at the conclusion of the current averaging year, plus the 
          number of gallon-RINs sold or transferred during the four most 
          recent calendar years preceding the current calendar year. For 
          any year for which there were fewer than four preceding years 
          in which the foreign entity sold or transferred RINs, the bond 
          shall be based on the total of the number of gallon-RINs sold 
          or transferred during the current calendar year and the number 
          held at the end of the current calendar year, plus the number 
          of gallon-RINs sold or transferred during any calendar year 
          preceding the current calendar year, plus the number of 
          gallon-RINs expected to be sold or transferred during 
          subsequent calendar years, the total number of years not to 
          exceed four calendar years in addition to the current calendar 
          year.

    (2) Bonds shall be posted by doing any of the following:
    (i) Paying the amount of the bond to the Treasurer of the United 
States.
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign RIN owner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement.
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) Bonds posted under this paragraph (e) shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570

[[Page 475]]

``Companies Holding Certificates of Authority as Acceptable Sureties on 
Federal Bonds''; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest reporting period in 
which the foreign RIN owner obtains, sells, transfers or holds RINs.
    (4) On any occasion a foreign RIN owner bond is used to satisfy any 
judgment, the foreign RIN owner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (f) English language reports. Any document submitted to EPA by a 
foreign RIN owner shall be in English language, or shall include an 
English language translation.
    (g) Prohibitions. (1) A foreign RIN owner is prohibited from 
obtaining, selling, transferring or holding any RIN that is in excess of 
the number for which the bond requirements of this section have been 
satisfied.
    (2) Any RIN that is sold, transferred or held that is in excess of 
the number for which the bond requirements of this section have been 
satisfied is an invalid RIN under Sec.  80.1131.
    (3) Any RIN that is obtained from a person located outside the 
United States that is not an approved foreign RIN owner under this 
section is an invalid RIN under Sec.  80.1131.
    (4) No foreign RIN owner or other person may cause another person to 
commit an action prohibited in this paragraph (g), or that otherwise 
violates the requirements of this section.
    (h) Additional attest requirements for foreign RIN owners. The 
following additional requirements apply to any foreign RIN owner as part 
of the attest engagement required for RIN owners under this subpart K.
    (1) The attest auditor must be independent of the foreign RIN owner.
    (2) The attest auditor must be licensed as a Certified Public 
Accountant in the United States and a citizen of the United States, or 
be approved in advance by EPA based on a demonstration of ability to 
perform the procedures required in Sec. Sec.  80.125 through 80.127, 
80.130, and 80.1164.
    (3) The attest auditor must sign a commitment that contains the 
provisions specified in paragraph (c) of this section with regard to 
activities and documents relevant to compliance with the requirements of 
Sec. Sec.  80.125 through 80.127, 80.130, and 80.1164.
    (i) Withdrawal or suspension of foreign RIN owner status. EPA may 
withdraw or suspend its approval of a foreign RIN owner where any of the 
following occur:
    (1) A foreign RIN owner fails to meet any requirement of this 
section, including, but not limited to, the bond requirements.
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (c)(1) of this section.
    (3) A foreign RIN owner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart.
    (4) A foreign RIN owner fails to pay a civil or criminal penalty 
that is not satisfied using the foreign RIN owner bond specified in 
paragraph (e) of this section.
    (j) Additional requirements for applications, reports and 
certificates. Any application for approval as a foreign RIN owner, any 
report, certification, or other submission required under this section 
shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Signed by the president or owner of the foreign RIN owner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign RIN owner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being Certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR part 
80, subpart K, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being Certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof. I affirm that I have read and understand the 
provisions of 40 CFR part 80, subpart K, including 40 CFR 80.1167 apply 
to [insert name of foreign RIN owner].

[[Page 476]]

Pursuant to Clean Air Act section 113(c) and 18 U.S.C. 1001, the penalty 
for furnishing false, incomplete or misleading information in this 
certification or submission is a fine of up to $10,000 U.S., and/or 
imprisonment for up to five years.

[72 FR 24004, May 1, 2007, as amended at 73 FR 57259, Oct. 2, 2008]



                       Subpart L_Gasoline Benzene

    Source: 72 FR 8544, Feb. 26, 2007, unless otherwise noted.



Sec. Sec.  80.1200-80.1219  [Reserved]

                           General Information



Sec.  80.1220  What are the implementation dates for the gasoline
benzene program?

    (a) Benzene standard. (1) For the annual averaging period beginning 
January 1, 2011, and for each annual averaging period thereafter, 
gasoline produced at each refinery of a refiner or imported by an 
importer, must meet the benzene standard specified in Sec.  80.1230(a), 
except as otherwise specifically provided for in this subpart.
    (2) For the period July 1, 2012 through December 31, 2013, and for 
each annual averaging period thereafter, gasoline produced at each 
refinery of a refiner or imported by an importer, must meet the maximum 
average benzene standard specified in Sec.  80.1230(b), except as 
otherwise specifically provided for in this subpart.
    (3) Small refiners approved under Sec.  80.1340 may defer meeting 
the benzene standard specified in Sec.  80.1230(a) until the annual 
averaging period beginning January 1, 2015 and may defer meeting the 
benzene standard specified in Sec.  80.1230(b) until the averaging 
period beginning July 1, 2016, as described in Sec.  80.1342.
    (b) Early credit generation. (1) Effective with the averaging period 
beginning June 1, 2007, a refiner for each of its refineries that has an 
approved benzene baseline per Sec.  80.1285 may generate early benzene 
credits in accordance with the provisions of Sec.  80.1275.
    (2) Early benzene credits may be generated through the end of the 
averaging period ending December 31, 2010, or through the end of the 
averaging period ending December 31, 2014 for small refiners approved 
under Sec.  80.1340.
    (c) Standard credit generation. (1) Effective with the annual 
averaging period beginning January 1, 2011, a refiner for any of its 
refineries or an importer for its imported gasoline, may generate 
standard benzene credits in accordance with the provisions of Sec.  
80.1290.
    (2) Effective with the annual averaging period beginning January 1, 
2015, a small refiner approved under Sec.  80.1340, for any of its 
refineries, may generate standard benzene credits in accordance with the 
provisions of Sec.  80.1290.



Sec.  80.1225  Who must register with EPA under the gasoline
benzene program?

    (a) Refiners and importers that are registered by EPA under Sec.  
80.76, Sec.  80.103, Sec.  80.190, or Sec.  80.810 are deemed to be 
registered for purposes of this subpart.
    (b) Refiners and importers subject to the requirements in Sec.  
80.1230 that are not registered by EPA under Sec. Sec.  80.76, 80.103, 
80.190 or 80.810 shall provide to EPA the information required in Sec.  
80.76 by September 30, 2010, or not later than three months in advance 
of the first date that such person produces or imports gasoline, 
whichever is later.
    (c) Refiners that plan to generate early credits under Sec.  80.1275 
and that are not registered by EPA under Sec. Sec.  80.76, 80.103, 
80.190, or 80.810 must provide to EPA the information required in Sec.  
80.76 not later than 60 days prior to the end of the first year of 
credit generation.

                      Gasoline Benzene Requirements



Sec.  80.1230  What are the gasoline benzene requirements for
refiners and importers?

    (a) Annual average benzene standard. (1) Except as specified in 
paragraph (c) of this section, a refinery's or importer's average 
gasoline benzene concentration in any annual averaging period shall not 
exceed 0.62 volume percent.
    (2) Compliance with the standard specified in paragraph (a)(1) of 
this section, or creation of a deficit in accordance with paragraph (c) 
of this section, is determined in accordance with Sec.  80.1240(a).

[[Page 477]]

    (3) The annual averaging period for achieving compliance with the 
requirement of paragraph (a)(1) of this section is January 1 through 
December 31 of each calendar year beginning January 1, 2011, or 
beginning January 1, 2015 for small refiners approved under Sec.  
80.1340.
    (4) Refinery grouping per Sec.  80.101(h) does not apply to 
compliance with the gasoline benzene requirement specified in this 
paragraph (a).
    (5) Gasoline produced at foreign refineries that is subject to the 
gasoline benzene requirements per Sec.  80.1235 shall be included in the 
importer's compliance determination beginning January 1, 2011, or 
beginning January 1, 2015 for small foreign refiners approved under 
Sec.  80.1340.
    (b) Maximum average benzene standard. (1) A refinery's or importer's 
maximum average gasoline benzene concentration in any averaging period 
shall not exceed 1.30 volume percent.
    (2) Compliance with the standard specified in paragraph (b)(1) of 
this section is determined in accordance with Sec.  80.1240(b).
    (3) The averaging period for achieving compliance with the 
requirement of paragraph (b)(1) of this section is July 1, 2012 through 
December 31, 2013 and each calendar year thereafter, or July 1, 2016 
through December 31, 2017, and each calendar year thereafter for small 
refiners approved under Sec.  80.1340.
    (c) Deficit carry-forward. (1) A refinery or importer creates a 
benzene deficit for a given averaging period when its compliance benzene 
value, per Sec.  80.1240(a), is greater than the benzene standard 
specified in paragraph (a) of this section.
    (2) A refinery or importer may carry the benzene deficit forward to 
the calendar year following the year the benzene deficit is created but 
only if no deficit had been previously carried forward to the year the 
deficit is created. If a refinery or importer carries forward a deficit, 
the following provisions apply in the second year:
    (i) The refinery or importer must achieve compliance with the 
benzene standard specified in paragraph (a) of this section.
    (ii) The refinery or importer must achieve further reductions in its 
gasoline benzene concentrations sufficient to offset the benzene deficit 
of the previous year.
    (iii) Benzene credits may be used, per Sec.  80.1295, to meet the 
requirements of paragraphs (c)(2)(i) and (ii) of this section.
    (iv) A refinery that has banked credits per Sec.  80.1295(a)(3) must 
use all of its banked credits to achieve compliance with the benzene 
standard specified in paragraph (a) of this section before creating a 
deficit.
    (3) EPA may allow an extended period of deficit carry-forward if it 
grants hardship relief under Sec. Sec.  80.1335 or 80.1336 from the 
annual average standard specified in paragraph (a) of this section.



Sec.  80.1235  What gasoline is subject to the benzene requirements 
of this subpart?

    (a) For the purposes of determining compliance with the requirements 
of Sec.  80.1230, all of the following products that are produced or 
imported for use in the United States during a refinery's or importer's 
applicable compliance period are collectively ``gasoline'' and are to be 
included in a refinery's or importer's compliance determination under 
Sec.  80.1240, except as provided in paragraph (b) of this section:
    (1) Reformulated gasoline.
    (2) Conventional gasoline.
    (3) Reformulated gasoline blendstock for oxygenate blending 
(``RBOB'').
    (4) Conventional gasoline blendstock that becomes finished 
conventional gasoline upon the addition of oxygenate (``CBOB'').
    (5) Blendstock that has been combined with finished gasoline, other 
blendstock, transmix, or gasoline produced from transmix to produce 
gasoline.
    (6) Blendstock that is combined with PCG to produce gasoline must be 
sampled and tested in accordance with the provisions at Sec.  
80.1347(a)(5) or (6).
    (b) The following products are not to be included in a refinery's or 
importer's compliance determination under Sec.  80.1240:
    (1) Blendstock that has not been combined with other blendstock or 
finished gasoline to produce gasoline.
    (2) Oxygenate added to PCG downstream of the refinery that produced 
the PCG, or downstream of the import

[[Page 478]]

facility where the PCG was imported, shall not be included in a 
refiner's or importer's compliance calculations unless the refiner or 
importer that produced or imported the PCG complies with the 
requirements of Sec.  80.1238(b). On any occasion where any person 
downstream of the refinery or importer that produced or imported PCG 
adds oxygenate to such product, it shall not include the volume and 
benzene content of the oxygenate in any compliance calculations or for 
credit generation under this subpart.
    (3) Butane added to finished gasoline, RBOB, CBOB downstream of the 
refinery that produced the gasoline or import facility where the 
gasoline was imported.
    (4) Gasoline produced by separating gasoline from transmix.
    (5) PCG.
    (6) Gasoline produced or imported for use in Guam, American Samoa, 
and the Commonwealth of the Northern Mariana Islands.
    (7) Gasoline exported for use outside the United States.
    (8) Gasoline produced by a small refiner approved under Sec.  
80.1340 prior to January 1, 2015, or prior to the small refiner's first 
compliance period pursuant to Sec.  80.1342(a), whichever is earlier.
    (9) Gasoline that is used to fuel aircraft, racing vehicles or 
racing boats that are used only in sanctioned racing events, provided 
that --
    (i) Product transfer documents associated with such gasoline, and 
any pump stand from which such gasoline is dispensed, identify the 
gasoline either as gasoline that is restricted for use in aircraft, or 
as gasoline that is restricted for use in racing motor vehicles or 
racing boats that are used only in sanctioned events;
    (ii) The gasoline is completely segregated from all other gasoline 
throughout production, distribution and sale to the ultimate consumer; 
and
    (iii) The gasoline is not made available for use as motor vehicle 
gasoline, or dispensed for use in motor vehicles, except for motor 
vehicles used only in sanctioned racing events.
    (10) California gasoline, as defined in Sec.  80.1236.

[72 FR 8544, Feb. 26, 2007, as amended at 79 FR 23654, Apr. 28, 2014]



Sec.  80.1236  What requirements apply to California gasoline?

    (a) Definition. For purposes of this subpart, ``California 
gasoline'' means any gasoline designated by the refiner or importer as 
for use only in California and that is actually used in California.
    (b) California gasoline exemption. California gasoline that complies 
with all the requirements of this section is exempt from the 
requirements in Sec.  80.1230.
    (c) Requirements for California gasoline. The following requirements 
apply to California gasoline:
    (1) Each batch of California gasoline must be designated as such by 
its refiner or importer.
    (2) Designated California gasoline must be kept segregated from 
gasoline that is not California gasoline at all points in the 
distribution system.
    (3) Designated California gasoline must ultimately be used in the 
State of California and not used elsewhere in the United States.
    (4) In the case of California gasoline produced outside the State of 
California, the transferors and transferees must meet the product 
transfer document requirements under Sec.  80.81(g).
    (5) Gasoline that is ultimately used in any part of the United 
States outside of the State of California must comply with the 
requirements specified in Sec.  80.1230, regardless of any designation 
as California gasoline.



Sec.  80.1238  How is a refinery's or importer's average benzene 
concentration determined?

    (a) The average benzene concentration of gasoline produced at a 
refinery or imported by an importer for an applicable averaging period 
is calculated according to the following equation:
[GRAPHIC] [TIFF OMITTED] TR26FE07.012

Where:

Bavg = Average benzene concentration for the applicable 
          averaging period (volume percent benzene).

[[Page 479]]

i = Individual batch of gasoline produced at the refinery or imported 
          during the applicable averaging period.
n = Total number of batches of gasoline produced at the refinery or 
          imported during the applicable annual averaging period.
Vi = Volume of gasoline in batch i (gallons).
Bi = Benzene concentration of batch i (volume percent 
          benzene), per Sec.  80.46(e).

    (b) A refiner or importer may include the volume of oxygenate added 
downstream from the refinery or import facility in the calculation 
specified in paragraph (a) of this section, provided the following 
requirements are met:
    (1) For oxygenate added to conventional gasoline or CBOB, the 
refiner or importer must comply with the requirements of Sec.  
80.101(d)(4)(ii). The benzene content of the oxygenate must be 
determined using the applicable test method at Sec.  80.46 through 
December 31, 2015, and at Sec.  80.47 beginning January 1, 2016.
    (2) For oxygenate added to RBOB, the refiner or importer must comply 
with the requirements of Sec.  80.69(a).
    (c) Refiners and importers must exclude from the calculation 
specified in paragraph (a) of this section all of the following:
    (1) Gasoline that was not produced at the refinery or imported by 
the importer.
    (2) Except as provided in paragraph (b) of this section, any 
blendstocks or unfinished gasoline transferred to others.
    (3) Gasoline that has been included in the compliance calculations 
for another refinery or importer.
    (4) Gasoline exempted from the standards under Sec.  80.1235(b).

[72 FR 8544, Feb. 26, 2007, as amended at 79 FR 23654, Apr. 28, 2014]



Sec.  80.1240  How is a refinery's or importer's compliance with
the gasoline benzene requirements of this subpart determined?

    (a) A refinery's or importer's compliance with the annual average 
benzene standard at Sec.  80.1230(a) is determined as follows:
    (1)(i) The compliance benzene value for a refinery or importer is:
    [GRAPHIC] [TIFF OMITTED] TR26FE07.013
    
Where:

CBVy = Compliance benzene value (gallons benzene) for year y.
Vy = Gasoline volume produced or imported in year y 
          (gallons).
Bavg,y = Average benzene concentration in year y (volume 
          percent benzene), calculated in accordance with Sec.  80.1238.
Dy-1 = Benzene deficit from the previous reporting period, 
          per Sec.  80.1230(c) (gallons benzene).
BC = Banked benzene credits used to show compliance (gallons benzene).
OC = Benzene credits used by the refinery or importer to show compliance 
          (gallons benzene).

    (ii) Benzene credits used in the calculation specified in paragraph 
(a)(1)(i) of this section must be used in accordance with the 
requirements at Sec.  80.1295.
    (2)(i) If CBVy <=Vy x (0.62)/100, then 
compliance with the benzene requirement at Sec.  80.1230(a) is achieved 
for calendar year y.
    (ii) If CBVy Vy x (0.62)/100, then 
compliance with the benzene requirement at Sec.  80.1230(a) is not 
achieved for calendar year y, and a deficit is created per Sec.  
80.1230(c). The deficit value to be included in the following year's 
compliance calculation per paragraph (a) of this section is calculated 
as follows:
[GRAPHIC] [TIFF OMITTED] TR26FE07.014

Where:

Dy = Benzene deficit created in compliance period y (gallons 
          benzene).

    (b) Compliance with the maximum average benzene standard at Sec.  
80.1230(b) is achieved by a refinery or importer if the value of 
Bavg calculated in accordance with Sec.  80.1238(a) is no 
greater 1.30 volume percent for an applicable averaging period per Sec.  
80.1230(b)(3).

[72 FR 8544, Feb. 26, 2007, as amended at 85 FR 7073, Feb. 6, 2020]

[[Page 480]]

              Averaging, Banking and Trading (ABT) Program



Sec.  80.1270  Who may generate benzene credits under the ABT program?

    (a) Early benzene credits. Early benzene credits are credits 
generated prior to 2011, or prior to 2015 if generated by a small 
refiner approved under Sec.  80.1340.
    (1)(i) Early credits may be generated under Sec.  80.1275 by a 
refiner for any refinery it owns that has an approved benzene baseline 
under Sec.  80.1285, including a refinery of a foreign refiner that is 
subject to the provisions of Sec.  80.1363.
    (ii) The refinery specified in paragraph (a)(1)(i) of this section 
must process crude oil and/or intermediate feedstocks through refinery 
processing units.
    (iii) Early benzene credits shall be calculated separately for each 
refinery of a refiner.
    (iv) A refinery that is approved for early compliance under Sec.  
80.1334 may not generate early credits for the gasoline subject to the 
early compliance provisions.
    (2)(i) A refinery that was shut down during the entire 2004-2005 
benzene baseline period is not eligible to generate early credits under 
Sec.  80.1275.
    (ii) A refinery not in full production, excluding normal refinery 
downtime, or not showing consistent or regular gasoline production 
activity during 2004-2005 may be eligible to generate early benzene 
credits under Sec.  80.1275 upon petition to and approval by EPA, 
pursuant to Sec.  80.1285(d).
    (3) Importers may not generate early credits.
    (b) Standard benzene credits. Standard benzene credits are credits 
generated after 2010, or after 2014 if generated by a small refiner 
approved under Sec.  80.1340.
    (1) Unless otherwise provided for elsewhere in this subpart, 
standard credits may be generated under Sec.  80.1290 as follows:
    (i) A refiner may generate standard credits separately for each of 
its refineries.
    (ii) An importer may generate standard credits for all of its 
imported gasoline.
    (2) Oxygenate blenders, butane blenders using the provisions of 
Sec.  80.82, pentane blenders using the provisions of Sec.  80.85, and 
transmix producers may not generate standard credits.
    (3) Foreign refiners may not generate standard credits.

[72 FR 8544, Feb. 26, 2007, as amended at 80 FR 9098, Feb. 19, 2015]



Sec.  80.1275  How are early benzene credits generated?

    (a) For each averaging period per paragraph (b) of this section in 
which a refinery plans to generate early credits, its average gasoline 
benzene concentration calculated according to Sec.  80.1238(a) must be 
at least 10% lower than its benzene baseline concentration approved 
under Sec.  80.1280.
    (b) The early credit averaging periods are as follows:
    (1) For 2007, the seven-month period from June 1, 2007 through 
December 31, 2007.
    (2) For 2008, 2009 and 2010, the 12-month calendar year.
    (3) For small refiners approved under Sec.  80.1340, the 12-month 
calendar years 2011, 2012, 2013, and 2014 in addition to the periods 
specified in paragraphs (b)(1) and (b)(2) of this section.
    (c) The number of early benzene credits generated shall be 
calculated for each applicable averaging period as follows:
[GRAPHIC] [TIFF OMITTED] TR26FE07.015

Where:

ECy = Early credits generated in averaging period y (gallons 
          benzene).
BBase = Baseline benzene concentration of the refinery 
          (volume percent benzene), per Sec.  80.1280(a).
Bavg,y = Average benzene concentration of gasoline produced 
          at the refinery during averaging period y (volume percent 
          benzene), per Sec.  80.1238.
Ve,y = Total volume of gasoline produced at the refinery 
          during averaging period y (gallons).

    (d) A refinery that plans to generate early credits must also show 
that it has met all of the following requirements prior to or during the 
first early credit averaging period, per paragraph (b) of this section, 
in which it generates early credits:

[[Page 481]]

    (1) Since 2005, has made operational changes and/or improvements in 
benzene control technology to reduce gasoline benzene levels, including 
at least one of the following:
    (i) Treating the heavy straight run naphtha entering the reformer 
using light naphtha splitting and/or isomerization.
    (ii) Treating the reformate stream exiting the reformer using 
benzene extraction or benzene saturation.
    (iii) Directing additional refinery streams to the reformer for 
treatment described paragraphs (d)(1)(i) and (ii) of this section.
    (iv) Directing reformate streams to other refineries with treatment 
capabilities described in paragraph (d)(1)(ii) of this section.
    (v) Providing for benzene alkylation.
    (2)(i) A refiner may petition EPA to approve, for purposes of 
paragraph (d)(1) of this section, the use of operational changes and/or 
improvements in benzene control technology that are not listed in 
paragraph (d)(1) of this section to reduce gasoline benzene levels at a 
refinery.
    (ii) The petition specified in paragraph (d)(2)(i) of this section 
must be sent to: U.S. EPA, NVFEL-ASD, Attn: MSAT2 Early Credit Benzene 
Reduction Technology, 2000 Traverwood Dr., Ann Arbor, MI 48105.
    (iii) The petition specified in paragraph (d)(2)(i) of this section 
must show how the benzene control technology improvement or operational 
change results in a net reduction in the refinery's average gasoline 
benzene level, exclusive of benzene reductions due simply to blending 
practices.
    (iv) The petition specified in paragraph (d)(2)(i) of this section 
must be submitted to EPA prior to the start of the first averaging 
period in which the refinery plans to generate early credits.
    (v) The refiner must provide additional information as requested by 
EPA.
    (e) Early benzene credits calculated in accordance with paragraph 
(c) of this section shall be expressed to the nearest gallon. Fractional 
values shall be rounded down if less than 0.50, and rounded up if 
greater than or equal to 0.50.

[72 FR 8544, Feb. 26, 2007, as amended at 73 FR 61363, Oct. 16, 2008; 77 
FR 1354, Jan. 9, 2012]



Sec.  80.1280  How are refinery benzene baselines calculated?

    (a) A refinery's benzene baseline is based on the refinery's 2004-
2005 average gasoline benzene concentration, calculated according to the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR26FE07.016

Where:

BBase = Benzene baseline concentration (volume percent 
          benzene).
i = Individual batch of gasoline produced at the refinery 
          from January 1, 2004 through December 31, 2005.
n = Total number of batches of gasoline produced at the refinery from 
          January 1, 2004 through December 31, 2005 (or the total number 
          of batches of gasoline pursuant to Sec.  80.1285(d)).
Vi = Volume of gasoline in batch i (gallons).
Bi = Benzene content of batch i (volume percent benzene).

    (b) A refiner for a refinery that included oxygenate blended 
downstream of the refinery in compliance calculations for RFG or 
conventional gasoline for calendar years 2004 or 2005 under Sec.  80.69 
or Sec.  80.101(d)(4) must include the volume and benzene concentration 
of this oxygenate in the benzene baseline calculation for that refinery 
under paragraph (a) of this section.



Sec.  80.1285  How does a refiner apply for a benzene baseline?

    (a) A benzene baseline application must be submitted for each 
refinery that plans to generate early credits under Sec.  80.1275. The 
application must include the information specified in paragraph (c) of 
this section and must be submitted to EPA at least 60 days before the 
first averaging period in which the refinery plans to generate early 
credits.
    (b) For U.S. Postal delivery, the benzene baseline application shall 
be sent

[[Page 482]]

to the attention of ``MSAT2 Benzene'' to the address in Sec.  80.10(a).
    (c) The benzene baseline application must include the following 
information:
    (1) A listing of the names and addresses of all refineries owned by 
the company.
    (2) The benzene baseline for gasoline produced in 2004-2005 at the 
refinery, calculated in accordance with Sec.  80.1280.
    (3) Copies of the annual reports required under Sec.  80.75 for RFG 
and Sec.  80.105 for conventional gasoline.
    (4) A letter signed by the president, chief operating officer, or 
chief executive officer, of the company, or his/her designee, stating 
that the information contained in the benzene baseline determination is 
true to the best of his/her knowledge.
    (5) Name, address, phone number, facsimile number and e-mail address 
of a corporate contact person.
    (d) For a refinery that may be eligible to generate early credits 
under Sec.  80.1270(a)(2)(ii), a refiner may submit to EPA a benzene 
baseline application per the requirements of this section. The refiner 
must also submit information regarding the nature and cause of the 
refinery's production activity that resulted in irregular or less than 
full production, how it affected the baseline benzene concentration, and 
whether and how an alternative calculation to the calculation specified 
in Sec.  80.1280 produces a more representative benzene baseline value. 
Upon consideration of the submitted information, EPA may approve a 
benzene baseline for such a refinery.
    (e) EPA will notify the refiner of approval of the refinery's 
benzene baseline or any deficiencies in the application. However, except 
for applications submitted in accordance with paragraph (d) of this 
section, the refinery's benzene baseline application may be considered 
approved 60 days after EPA's receipt of the baseline application, 
subject to paragraph (f) of this section.
    (f) If at any time the baseline submitted in accordance with the 
requirements of this section is determined to be incorrect, EPA will 
notify the refiner of the corrected baseline.

[72 FR 8544, Feb. 26, 2007, as amended at 85 FR 7073, Feb. 6, 2020]



Sec.  80.1290  How are standard benzene credits generated?

    (a) The standard credit averaging periods are the calendar years 
beginning January 1, 2011, or beginning January 1, 2015 for small 
refiners approved under Sec.  80.1340.
    (b) [Reserved]
    (c)(1) The number of standard benzene credits generated shall be 
calculated annually for each applicable averaging period according to 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR26FE07.017

Where:

SCy = Standard credits generated in year y (gallons benzene).
Bavg,y = Annual average benzene concentration for year y 
          (volume percent benzene), per Sec.  80.1238.
Vy = Total volume of gasoline produced or imported in year y 
          (gallons).

    (2) No credits shall be generated unless the value SCy is 
positive.
    (d) Standard benzene credits calculated in accordance with paragraph 
(c) of this section shall be expressed to the nearest gallon. Fractional 
values shall be rounded down if less than 0.50, and rounded up if 
greater than or equal to 0.50.



Sec.  80.1295  How are gasoline benzene credits used?

    (a) Credit use. (1) Gasoline benzene credits may be used to comply 
with the gasoline benzene standard of Sec.  80.1230(a) provided that--
    (i) The gasoline benzene credits were generated according to 
Sec. Sec.  80.1275 or 80.1290.
    (ii) The recordkeeping requirements for gasoline benzene credits 
under Sec.  80.1350 are met.
    (iii) The gasoline benzene credits are correctly reported according 
to Sec. Sec.  80.1352 and 80.1354.
    (iv) The conditions of this section are met.
    (2) Gasoline benzene credits generated under Sec. Sec.  80.1275 and 
80.1290 may

[[Page 483]]

be used interchangeably in all credit use scenarios, subject to the 
credit life provisions specified in paragraph (c) of this section.
    (3) Gasoline benzene credits may be used by a refiner or importer to 
comply with the gasoline benzene content standard of Sec.  80.1230(a), 
may be banked by a refiner or importer for future use or transfer, may 
be transferred to another refinery or importer within a company 
(intracompany trading), or may be transferred to another refiner or 
importer outside of the company.
    (b) Credit transfers. (1) Gasoline benzene credits obtained from 
another refinery or importer may be used to comply with the gasoline 
benzene content requirement of Sec.  80.1230(a) provided the following 
conditions are met:
    (i) The credits are generated and reported according to the 
requirements of this subpart, and the transferred credits have not 
expired, per paragraph (c) of this section.
    (ii) Any credit transfer takes place no later than March 31 
following the calendar year averaging period when the credits are used.
    (iii) The credit has not been transferred more than twice. The first 
transfer by the refinery or importer that generated the credit may only 
be made to a refiner or importer that intends to use the credit; if the 
transferee cannot use the credit, it may make the second, and final, 
transfer only to a refiner or importer that intends to use or to 
terminate the credit. In no case may a credit be transferred more than 
twice before being used or terminated.
    (iv) The credit transferor has applied any gasoline benzene credits 
necessary to meet its own annual compliance requirements (including any 
deficit carried forward, pursuant to Sec.  80.1230(c), if applicable) 
before transferring any gasoline benzene credits to any other refiner or 
importer.
    (v) The credit transferor does not create a deficit as a result of a 
credit transfer.
    (vi) The transferor supplies records to the transferee indicating 
the year the gasoline benzene credits were generated, the identity of 
the refiner (and refinery) or importer that generated the gasoline 
benzene credits, and the identity of the transferring entity if it is 
not the same entity that generated the gasoline benzene credits.
    (2) In the case of gasoline benzene credits that have been 
calculated or created improperly, or that EPA has otherwise determined 
to be invalid, the following provisions apply:
    (i) Invalid gasoline benzene credits cannot be used to achieve 
compliance with the gasoline benzene content requirement of Sec.  
80.1230(a), regardless of the transferee's good-faith belief that the 
gasoline benzene credits were valid.
    (ii) The refiner or importer that used the gasoline benzene credits 
and any transferor of the gasoline benzene credits must adjust their 
credit records, reports, and compliance calculations as necessary to 
reflect the proper gasoline benzene credits.
    (iii) Any properly created gasoline benzene credits existing in the 
transferor's credit balance following the corrections and adjustments 
specified in paragraph (b)(2)(ii) of this section must first be applied 
to correct the invalid transfers to the transferee, before the 
transferor uses, trades or banks the gasoline benzene credits.
    (c) Credit life. (1)(i) Early credits, per Sec.  80.1275, may be 
used for compliance purposes under Sec.  80.1240(a) for any of the 
following annual averaging periods: 2011, 2102, 2013.
    (ii) Early credits, per Sec.  80.1275, may be used for compliance 
purposes under Sec.  80.1240(a) by small refiners approved under Sec.  
80.1340 for any of the following averaging periods: 2015, 2016, 2017.
    (2)(i) Standard credits, per Sec.  80.1290, may be used for 
compliance purposes under Sec.  80.1240(a) within five years from the 
year they were generated, except as noted under paragraph (c)(2)(ii) of 
this section. Example: Standard credits generated during 2011 may be 
used to achieve compliance under Sec.  80.1240(a) for any calendar year 
averaging period prior to the 2017 averaging period.
    (ii) Standard credits, per Sec.  80.1290, may be used for compliance 
purposes under Sec.  80.1240(a) within seven years from the year they 
were generated if traded to and ultimately used by a small refiner 
approved under Sec.  80.1340. Example: Standard credits generated in 
2011 may be used to achieve compliance under Sec.  80.1240(a) for any 
calendar year

[[Page 484]]

averaging period prior to the 2019 averaging period if traded to and 
ultimately used by a small refiner approved under Sec.  80.1340.
    (d) Deficit provision limitation. A refiner or importer possessing 
gasoline benzene credits must use all gasoline benzene credits in its 
possession before applying the benzene deficit provisions of Sec.  
80.1230(c).

[72 FR 8544, Feb. 26, 2007, as amended at 80 FR 9098, Feb. 19, 2015]

                           Hardship Provisions



Sec.  80.1334  What are the requirements for early compliance with
the gasoline benzene program?

    (a)(1) A refinery may comply with the benzene requirements at Sec.  
80.1230 for its RFG and/or conventional gasoline (CG) prior to the 2011 
compliance period if it applies for this early compliance option as 
specified in paragraph (b) of this section, and is approved by EPA.
    (2) Only refineries that produce gasoline by processing crude and/or 
intermediate feedstocks through refinery processing units may apply for 
this early compliance option.
    (b) Refiners must submit an application in order to be considered 
for early compliance as described in this section.
    (1) Applications for early compliance as described in this section 
must be submitted to EPA by December 31, 2007.
    (2) Applications must be sent to: U.S. EPA, NVFEL-ASD, Attn: MSAT2 
Early Compliance, 2000 Traverwood Dr., Ann Arbor, MI 48105.
    (3) Application must be made separately for a refinery's RFG and CG 
pools.
    (4) The early compliance application must show that all the 
following criteria are met:
    (i) For an RFG early compliance application--
    (A) The refinery's RFG baseline value under Sec.  80.915 is greater 
than or equal to 30 percent reduction.
    (B) The refinery's 2003 RFG annual average benzene concentration was 
less than or equal to 0.62 vol%.
    (C) The refinery's 2003 RFG annual average sulfur concentration was 
less than or equal to 140 ppm.
    (D) The refinery's 2003 RFG annual average MTBE concentration was 
greater than or equal to 6 vol%.
    (ii) For a CG early compliance application--
    (A) The refinery's CG baseline under Sec.  80.915 is less than or 
equal to 80 mg/mile.
    (B) The refinery's 2003 CG annual average benzene concentration was 
less than or equal to 0.62 vol%.
    (C) The refinery's 2003 CG annual average sulfur concentration was 
less than or equal to 140 ppm.
    (D) The refinery's 2003 CG annual average MTBE concentration was 
greater than or equal to 6 vol%.
    (5) In addition, the application must demonstrate that the refinery 
has extremely limited ability to adjust its operations in order to 
comply with its applicable RFG or CG toxics performance requirements 
under Sec.  80.815.
    (6) The refiner must provide additional information as requested by 
EPA.
    (c)(1) If approved for early compliance with the provisions of this 
subpart, the refinery may comply with the provisions of Sec.  80.1230 as 
follows:
    (i) For the compliance period beginning January 1, 2007, and each 
annual compliance period through 2010; or
    (ii) For the compliance period beginning January 1, 2008, and each 
annual compliance period through 2010.
    (2) The refinery must notify EPA under which compliance period 
specified in paragraph (c)(1) of this section it will begin compliance.
    (3) Beginning with the compliance period chosen pursuant to 
paragraph (c)(2) of this section--
    (i) For early compliance approved for a refinery's RFG pool, the 
toxics air pollutants emissions performance requirements specified in 
Sec. Sec.  80.41(e)(1) and (f)(1) and 80.815 shall not apply to the 
reformulated gasoline produced by the refinery.
    (ii) For early compliance approved for a refinery's CG pool, the 
annual average exhaust toxics emissions requirements specified in 
Sec. Sec.  80.101(c)(2) and 80.815 shall not apply to conventional 
gasoline produced by the refinery.
    (4) Refineries approved for early compliance under this section may 
not generate early credits under Sec.  80.1275.

[[Page 485]]

    (d) If EPA finds that a refiner provided false or inaccurate 
information in its application for early compliance, the early 
compliance approval will be void ab initio.



Sec.  80.1335  Can a refiner seek relief from the requirements of
this subpart?

    (a) A refiner may apply for relief from the requirements specified 
in Sec.  80.1230(a) or (b) for a refinery, if it can show that--
    (1) Unusual circumstances exist that impose extreme hardship and 
significantly affect the ability to comply with the gasoline benzene 
standards at Sec.  80.1230(a) or (b) by the applicable date(s); and
    (2) It has made best efforts to comply with the requirements of this 
subpart.
    (b) A refiner must apply for and be approved for relief under this 
section.
    (1) An application must include the following information:
    (i) A plan demonstrating how the refiner will comply with the 
requirements of Sec.  80.1230(a) or (b), as applicable, as expeditiously 
as possible. The plan shall include a showing that contracts are or will 
be in place for engineering and construction of benzene reduction 
technology, a plan for applying for and obtaining any permits necessary 
for construction, a description of plans to obtain necessary capital, 
and a detailed estimate of when the requirements of Sec.  80.1230(a) or 
(b), as applicable, will be met.
    (ii) A detailed description of the refinery configuration and 
operations including, at minimum, the following information:
    (A) The refinery's total reformer unit throughput capacity;
    (B) The refinery's total crude capacity;
    (C) Total crude capacity of any other refineries owned by the same 
entity;
    (D) Total volume of gasoline production at the refinery;
    (E) Total volume of other refinery products;
    (F) Geographic location(s) where the refinery's gasoline will be 
sold;
    (G) Detailed descriptions of efforts to obtain capital for refinery 
investments;
    (H) Bond rating of entity that owns the refinery; and
    (I) Estimated capital investment needed to comply with the 
requirements of this subpart.
    (iii) For a hardship related to complying with the requirement at 
Sec.  80.1230(a), detailed descriptions of efforts to obtain credits, 
including the prices of credits available, but deemed uneconomical by 
the refiner.
    (2) Applicants must also provide any other relevant information 
requested by EPA.
    (3) An application for relief from the requirements specified in 
Sec.  80.1230(b) must be submitted to EPA by January 1, 2008, or by 
January 1, 2013 for small refiners approved under Sec.  80.1340.
    (c)(1) Approval of a hardship application under this section for 
relief from the annual average benzene standard at Sec.  80.1230(a) 
shall be in the form of an extended period of deficit carry-forward, per 
Sec.  80.1230(c), for such period of time as EPA determines is 
appropriate.
    (2) Approval of a hardship application under this section for relief 
from the maximum average benzene standard at Sec.  80.1230(b) shall be 
in the form of a waiver of the standard for such period of time as EPA 
determines is appropriate.
    (3) EPA may deny any application for appropriate reasons, including 
unacceptable environmental impact.
    (d) EPA may impose any other reasonable conditions on relief 
provided under this section, including rescinding, or reducing the 
length of, the extended deficit carry-forward period if conditions or 
situations change between approval of the hardship application and the 
end of the approved relief period.



Sec.  80.1336  What if a refiner or importer cannot produce gasoline
conforming to the requirements of this subpart?

    In extreme, unusual, and unforeseen circumstances (for example, a 
natural disaster or a refinery fire) that are clearly outside the 
control of the refiner or importer and that could not have been avoided 
by the exercise of prudence, diligence, and due care, EPA may permit a 
refinery or importer to exceed the allowable average benzene levels 
specified in Sec.  80.1230(a) or (b), as applicable, if--

[[Page 486]]

    (a) It is in the public interest to do so;
    (b) The refiner or importer exercised prudent planning and was not 
able to avoid the violation and has taken all reasonable steps to 
minimize the extent of the nonconformity;
    (c) The refiner or importer can show how the requirements at Sec.  
80.1230(a) or (b), as applicable, will be achieved as expeditiously as 
possible;
    (d) The refiner or importer agrees to make up any air quality 
detriment associated with the nonconformity, where practicable; and
    (e) The refiner or importer pays to the U.S. Treasury an amount 
equal to the economic benefit of the nonconformity minus the amount 
expended making up the air quality detriment pursuant to paragraph (d) 
of this section.

                        Small Refiner Provisions



Sec.  80.1338  What criteria must be met to qualify as a small refiner
for the gasoline benzene requirements of this subpart?

    (a) A small refiner is any person that demonstrates that it--
    (1) Produced gasoline at a refinery by processing crude oil through 
refinery processing units from January 1, 2005 through December 31, 
2005.
    (2) Employed an average of no more than 1,500 people, based on the 
average number of employees for all pay periods from January 1, 2005 
through December 31, 2005.
    (3) Had a corporate average crude oil capacity less than or equal to 
155,000 barrels per calendar day (bpcd) for 2005.
    (4) Following the submission of a small refiner application, 
pursuant to Sec.  80.1340, has been approved as a small refiner for this 
subpart.
    (b) For the purpose of determining the number of employees and the 
crude oil capacity under paragraph (a) of this section, the following 
determinations shall be observed:
    (1) The refiner shall include the employees and crude oil capacity 
of any subsidiary companies, any parent company, subsidiaries of the 
parent company in which the parent has a controlling interest, and any 
joint venture partners.
    (2) For any refiner owned by a governmental entity, the number of 
employees and total crude oil capacity as specified in paragraph (a) of 
this section shall include all employees and crude oil production of the 
government to which the governmental entity is a part.
    (3) Any refiner owned and controlled by an Alaska Regional or 
Village Corporation organized pursuant to the Alaska Native Claims 
Settlement Act (43 U.S.C. 1601) is not considered an affiliate of such 
entity, or with other concerns owned by such entity, solely because of 
their common ownership.
    (c) Notwithstanding the provisions of paragraph (a) of this section, 
a refiner that reactivates a refinery that it had previously operated, 
and that was shut down or non-operational for the entire period between 
January 1, 2005 and December 31, 2005, may apply for small refiner 
status in accordance with the provisions of Sec.  80.1340.



Sec.  80.1339  Who is not eligible for the provisions for small
refiners?

    The following are not eligible for the hardship provisions for small 
refiners:
    (a) A refiner with one or more refineries built after December 31, 
2005.
    (b) A refiner that exceeds the employee or crude oil capacity 
criteria under Sec.  80.1338 but that meets these criteria after 
December 31, 2005, regardless of whether the reduction in employees or 
crude capacity is due to operational changes at the refinery or a 
company sale or reorganization.
    (c) Importers.
    (d) A refiner that produce gasoline other than by processing crude 
oil through refinery processing units.
    (e)(1) A small refiner approved under Sec.  80.1340 that 
subsequently ceases production of gasoline from processing crude oil 
through refinery processing units, employs more than 1,500 people, or 
exceeds the 155,000 bpcd crude oil capacity limit after December 31, 
2005 as a result of merger with or acquisition of or by another entity, 
is disqualified as a small refiner, except that this shall not apply in 
the case of a merger between two previously approved small refiners. If 
disqualification occurs, the refiner shall notify EPA in writing no

[[Page 487]]

later than 20 days following this disqualifying event.
    (2) Except as provided under paragraph (e)(3) of this section, any 
refiner whose status changes as specified in paragraph (e)(1) under this 
paragraph (b) shall meet the applicable standards of Sec.  80.1230 
within 30 months of the disqualifying event for all its refineries. 
However, such period shall not extend beyond December 31, 2014.
    (3) A refiner may apply to EPA for an additional six months to 
comply with the standards of Sec.  80.1230 if it believes that more than 
30 months will be required for the necessary engineering, permitting, 
construction, and start-up work to be completed. Such applications must 
include detailed technical information supporting the need for 
additional time. EPA will base its decision to approve additional time 
on the information provided by the refiner and on other relevant 
information. In no case will EPA extend the compliance date beyond 
December 31, 2014.
    (4) During the period provided under paragraph (e)(2) of this 
section, and any extension provided under paragraph (e)(3) of this 
section, the refiner may not generate gasoline benzene credits under 
Sec.  80.1275(b)(3) for any of its refineries where under Sec.  80.1342 
the refiner was previously allowed to defer compliance with the 
standards in Sec. Sec.  80.1230(a) and 80.1230(b).
    (f) A small refiner approved under Sec.  80.1340 which notifies EPA 
that it wishes to withdraw its small refiner status pursuant to Sec.  
80.1340(g).

[72 FR 8544, Feb. 26, 2007, as amended at 75 FR 26131, May 11, 2010]



Sec.  80.1340  How does a refiner obtain approval as a small refiner?

    (a) Applications for small refiner status must be submitted to EPA 
by December 31, 2007.
    (b) Applications for small refiner status must be sent to the 
attention of ``MSAT2 Benzene'' to the address in Sec.  80.10(a).
    (c) The small refiner status application must contain the following 
information for the company seeking small refiner status, and for all 
subsidiary companies, all parent companies, all subsidiaries of the 
parent companies, and all joint venture partners:
    (1) Employees. For joint ventures, the total number of employees 
includes the combined employee count of all corporate entities in the 
venture. For government-owned refiners, the total employee count 
includes all government employees.
    (i) Pursuant to paragraph (c) of this section, a listing of each 
company facility and each facility's address where any employee, as 
specified in paragraph (a)(1) of this section, worked during the 12 
months preceding January 1, 2006.
    (ii) The average number of employees at each facility based upon the 
number of employees for each pay period for the 12 months preceding 
January 1, 2006.
    (iii) The type of business activities carried out at each location.
    (iv) In the case of a refiner that reactivates a refinery that it 
previously owned and operated and that was shut down or non-operational 
between January 1, 2005 and January 1, 2006, include the following:
    (A) Pursuant to paragraph (c) of this section, a listing of each 
company refinery each refinery's address where any employee, as 
specified in paragraph (a)(1) of this section, worked since the refiner 
acquired or reactivated the refinery.
    (B) The average number of employees at any such reactivated refinery 
during each calendar year since the refiner reactivated the refinery.
    (C) The type of business activities carried out at each location.
    (2) Crude oil capacity.(i) The total corporate crude oil capacity of 
each refinery as reported to the Energy Information Administration (EIA) 
of the U.S. Department of Energy (DOE), for the period January 1, 2005 
through December 31, 2005.
    (ii) The information submitted to EIA is presumed to be correct. In 
cases where a company disagrees with this information, the company may 
petition EPA with appropriate data to correct the record when the 
company submits its application for small refiner status.
    (3) The type of business activity carried out at each location.
    (4) For each refinery, an indication of the small refiner option(s), 
pursuant to

[[Page 488]]

Sec.  80.1342, intended to be utilized at the refinery.
    (5) A letter signed by the president, chief operating officer or 
chief executive officer of the company, or his/her designee, stating 
that the information contained in the application is true to the best of 
his/her knowledge, and that the company owned the refinery as of January 
1, 2006.
    (6) Name, address, phone number, facsimile number, and e-mail 
address of a corporate contact person.
    (d) Approval of a small refiner status application will be based on 
the information submitted under paragraph (c) of this section and any 
other relevant information.
    (e) EPA will notify a refiner of approval or disapproval of small 
refiner status by letter.
    (1) If approved, all refineries of the refiner may defer meeting the 
standard specified in Sec.  80.1230(a) until the annual averaging period 
beginning January 1, 2015, and the standard specified in Sec.  
80.1230(b) until the averaging period beginning July 1, 2016.
    (2) If disapproved, all refineries of the refiner must meet the 
standard specified in Sec.  80.1230(a) beginning with the annual 
averaging period beginning January 1, 2011, and must meet the standard 
specified in Sec.  80.1230(b) beginning with the averaging period 
beginning July 1, 2012.
    (f) If EPA finds that a refiner provided false or inaccurate 
information on its application for small refiner status, the refiner's 
small refiner status will be void ab initio.
    (g) Prior to January 1, 2014, and upon notification to EPA, a small 
refiner approved per this section may withdraw its status as a small 
refiner. Effective on January 1 of the year following such notification, 
the small refiner will become subject to the standards at Sec.  80.1230.

[72 FR 8544, Feb. 26, 2007, as amended at 85 FR 7073, Feb. 6, 2020]



Sec.  80.1342  What compliance options are available to small refiners
under this subpart?

    (a) A refiner that has been approved as a small refiner under Sec.  
80.1340 may--
    (1)(i) Defer meeting the standard specified in Sec.  80.1230(a) 
until the annual averaging period beginning January 1, 2015; or
    (ii) Meet the standard specified in Sec.  80.1230(a) in any annual 
averaging period from 2011 through 2014, inclusive, provided it notifies 
EPA in writing no later than November 15 prior to the year in which it 
will produce compliant gasoline.
    (2)(i) Defer meeting the standard specified in Sec.  80.1230(b) 
until the averaging period beginning July 1, 2016; or
    (ii) Meet the standard specified in Sec.  80.1230(b) in any 
averaging period specified in Sec.  80.1230(b)(3) prior to the averaging 
period beginning July 1, 2016 provided it notifies EPA in writing no 
later than November 15 prior to the year in which it will produce 
compliant gasoline.
    (b) Any refiner that makes an election under paragraphs (a)(1) or 
(a)(2) of this section must comply with the applicable benzene standards 
at Sec.  80.1230 beginning with the first averaging period subsequent to 
the status change.
    (c) The provisions of paragraph (a) of this section shall apply 
separately for each of an approved small refiner's refineries.



Sec.  80.1343  What hardship relief provisions are available only
to small refiners?

    (a)(1) In the case of a small refiner approved under Sec.  80.1340 
for which compliance with the requirement at Sec.  80.1230(a) would be 
feasible only through the purchase of credits, but for whom purchase of 
credits is not practically or economically feasible, EPA may approve a 
delay of the requirements applicable to the first compliance period for 
that refiner for up to two years.
    (2) No delay in accordance with paragraph (a) of this section will 
be granted to any small refiner prior to the EPA issuing a review of the 
credit program.
    (3) A small refiner may request one or more extensions of an 
approved delay if it can continue to demonstrate extreme difficulty in 
achieving compliance, through the use of credits, with the annual 
average benzene standard at Sec.  80.1230(a).

[[Page 489]]

    (b) In the case of a small refiner approved under Sec.  80.1340 for 
which compliance with the maximum average benzene requirement at Sec.  
80.1230(b) is not feasible, the refiner may apply for hardship relief 
under Sec.  80.1335.



Sec.  80.1344  What provisions are available to a non-small refiner
that acquires one or more of a small refiner's refineries?

    (a) In the case of a refiner that is not an approved small refiner 
under Sec.  80.1340 and that acquires a refinery from a small refiner 
approved under Sec.  80.1340, the small refiner provisions of the 
gasoline benzene program of this subpart continue to apply to the 
acquired refinery for a period of up to 30 months from the date of 
acquisition of the refinery. In no case shall this period extend beyond 
December 31, 2014.
    (b) A refiner may apply to EPA for up to an additional six months to 
comply with the standards of Sec.  80.1230 for the acquired refinery if 
it believes that more than 30 months would be required for the necessary 
engineering, permitting, construction, and start-up work to be 
completed. Such applications must include detailed technical information 
supporting the need for additional time. EPA will base a decision to 
approve additional time on information provided by the refiner and on 
other relevant information. In no case shall this period extend beyond 
December 31, 2014.
    (c) A refiner that acquires a refinery from a small refiner approved 
per Sec.  80.1340 shall notify EPA in writing no later than 20 days 
following the acquisition.

              Sampling, Testing and Retention Requirements



Sec.  80.1347  What are the sampling and testing requirements for
refiners and importers?

    (a) Sample and test each batch of gasoline. (1) The sampling and 
testing requirements specified in subpart D for reformulated gasoline 
shall continue to apply to reformulated gasoline and shall be extended 
to conventional gasoline (CG) for the purpose of complying with the 
benzene requirements of this subpart, except as modified by paragraphs 
(a)(2), (a)(3) and (a)(4) of this section.
    (2) Refiners and importers shall collect a representative sample 
from each batch of gasoline produced or imported, according to the 
earliest applicable date in the following schedule:
    (i) Beginning January 1, 2011;
    (ii) Beginning January 1, 2015 for small refiners approved under 
Sec.  80.1340;
    (iii) Beginning January 1 of the year prior to 2015 in which a small 
refiner approved under Sec.  80.1340 has opted, per Sec.  80.1342(a), to 
begin meeting the standards at Sec.  80.1230;
    (iv) Beginning June 1, 2007, for any refinery planning to generate 
early credits for the averaging period specified at Sec.  80.1275(b)(1);
    (v) Beginning January 1 of each averaging period specified at Sec.  
80.1275(b)(2) or (b)(3) for which the refinery plans to generate early 
credits;
    (vi) Beginning January 1 of the year, per Sec.  80.1334(c)(1), in 
which a refinery approved for early compliance under Sec.  80.1334 opts 
to begin early compliance. The provisions shall only apply to the type 
of gasoline, RFG or CG, for which early compliance was approved.
    (3)(i) Each sample shall be tested in accordance with the 
methodology specified at Sec.  80.46(e) through December 31, 2015, to 
determine its benzene concentration for compliance with the requirements 
of this subpart. Beginning January 1, 2016, each sample shall be tested 
in accordance with the methodology specified at Sec.  80.47 to determine 
its benzene concentration for compliance with the requirements of this 
subpart. Any negative test result must be reported as zero.
    (ii) Independent sample analysis, under Sec.  80.65(f), is not 
required for conventional gasoline.
    (4) Any refiner or importer may release CG prior to obtaining the 
test results for benzene required under paragraph (a)(1) of this 
section.
    (5) Previously certified gasoline (PCG) may be excluded as follows:
    (i) Any refiner who uses PCG to produce gasoline at a refinery, must 
exclude the PCG for purposes of demonstrating compliance with the 
benzene standards at Sec.  80.1230.

[[Page 490]]

    (ii) To accomplish the exclusion required in paragraph (a)(5)(i) of 
this section, the refiner must determine the volume and benzene content 
of the PCG used at the refinery and the volume and benzene content of 
gasoline produced at the refinery, and use the compliance calculation 
procedures in paragraphs (a)(5)(iii) and (iv) of this section.
    (iii) For each batch of PCG that is used to produce gasoline the 
refiner must include the volume and benzene content of the PCG as a 
negative volume and a positive benzene content in the refiner's 
compliance calculations in accordance with the requirements at Sec.  
80.1238.
    (iv) For each batch of gasoline produced at the refinery using PCG 
and blendstock, the refiner must determine the volume and benzene 
content of the combined product and include each batch for purposes of 
benzene compliance in the refinery's compliance calculations at Sec.  
80.1240 without regard to the presence of previously certified gasoline 
in the batch.
    (v) The refiner must use any PCG that it includes as a negative 
batch in its compliance calculations pursuant to Sec.  80.1240 as a 
component in gasoline production during the annual averaging period in 
which the PCG was included as a negative batch in the refiner's 
compliance calculations.
    (vi) Any negative annual average value must be reported as zero.
    (vii) The refiner must also comply with Sec.  80.65(i) when 
producing RBOB or RFG and Sec.  80.101(g)(9) when producing conventional 
gasoline.
    (6) As an alternative to the sampling and testing requirements in 
paragraph (a)(5) of this section, a refiner who produces gasoline by 
blending one or more blendstocks into PCG may sample and test each batch 
of blendstock when received at the refinery to determine the volume and 
benzene content, and treat each blendstock receipt as a separate batch 
for purposes of demonstrating compliance with the benzene standards in 
Sec.  80.1230, and for benzene reporting.
    (b) Batch numbering. The batch numbering convention of Sec.  
80.365(b) shall apply to batches of conventional gasoline beginning with 
earliest applicable date specified in paragraph (a)(2) of this section.

[72 FR 8544, Feb. 26, 2007, as amended at 79 FR 23654, Apr. 28, 2014]



Sec.  80.1348  What gasoline sample retention requirements apply
to refiners and importers?

    (a) Through December 31, 2015, the gasoline sample retention 
requirements specified in subpart H of this part for the gasoline sulfur 
provisions apply for the purpose of complying with the requirements of 
this subpart L, except that in addition to including the sulfur test 
result as provided by Sec.  80.335(a)(4)(ii), the refiner, importer, or 
independent laboratory shall also include with the retained sample the 
test result for benzene as conducted pursuant to Sec.  80.46(e).
    (b) Beginning January 1, 2016, pursuant to Sec.  80.47, the gasoline 
sample retention requirements specified in subpart O of this part for 
the gasoline sulfur provisions apply for the purpose of complying with 
the requirements of this subpart L, except that in addition to including 
the sulfur test result as provided by Sec.  80.335(a)(4)(ii), the 
refiner, importer, or independent laboratory shall also include with the 
retained sample the test result for benzene as conducted pursuant to 
Sec.  80.47.

[79 FR 23655, Apr. 28, 2014]



Sec.  80.1349  Alternative sampling and testing requirements for
importers who import gasoline into the United States by truck.

    Importers who import conventional gasoline into the United States by 
truck may comply with the sampling and testing requirements in Sec.  
80.101(i)(3) instead of the requirements to sample and test every batch 
of gasoline under Sec.  80.1347. An importer that uses this approach 
must meet the 0.62 volume percent benzene standard on a per-gallon 
basis.

[79 FR 23655, Apr. 28, 2014]

                Recordkeeping and Reporting Requirements



Sec.  80.1350  What records must be kept?

    (a) General requirements. The recordkeeping requirements specified 
in

[[Page 491]]

Sec. Sec.  80.74 and 80.104, as applicable, apply for the purpose of 
complying with the requirements of this subpart; however, duplicate 
records are not required.
    (b) Additional records that refiners and importers shall keep. (1) 
Beginning with earliest applicable date specified in Sec.  
80.1347(a)(2), any refiner for each of its refineries, and any importer 
for the gasoline it imports, shall keep records that include the 
following information, as applicable:
    (i) Its compliance benzene value per Sec.  80.1240, and the 
calculations used to obtain that value.
    (ii) Its benzene baseline value, per Sec.  80.1280, if the refinery 
or importer submitted a benzene baseline application to EPA per Sec.  
80.1285.
    (iii) The number of early benzene credits generated under Sec.  
80.1275, separately by year of generation.
    (iv) The number of early benzene credits obtained, separately by 
generating refinery and year of generation.
    (v) The number of valid credits in possession of the refinery or 
importer at the beginning of each averaging period, separately by 
generating facility and year of generation.
    (vi) The number of standard credits generated by the refinery or 
importer under Sec.  80.1290, separately by transferor (if applicable), 
by facility and by year of generation.
    (vii) The number of credits used, separately by generating facility 
and year of generation.
    (viii) If any credits were obtained from, or transferred to, other 
parties, for each other party, its name, its EPA refinery or importer 
registration number, and the number of credits obtained from, or 
transferred to, the other party, and the price per credit.
    (ix) The number of credits that expired at the end of each averaging 
period, separately by generating facility and year of generation.
    (x) The number of credits that will be carried over into a 
subsequent averaging period, separately by generating facility and year 
of generation.
    (xi) Contracts or other commercial documents that establish each 
transfer of credits from the transferor to the transferee.
    (xii) A copy of all reports submitted to EPA under Sec. Sec.  
80.1352 and 80.1354; however, duplicate records are not required.
    (2)(i) Beginning July 1, 2012, any refiner for each of its 
refineries, and any importer for the gasoline it imports, shall include, 
in the records required by paragraph (b)(1) of this section, its maximum 
average benzene value for the period July 1, 2012 through December 31, 
2013, and for each annual compliance period thereafter.
    (ii) Notwithstanding the requirements specified in paragraph 
(b)(2)(i) of this section, beginning July 1, 2016, a small refiner 
approved under Sec.  80.1340, for each of its refineries, shall include, 
in the records required by paragraph (b)(1) of this section, its maximum 
average benzene value for the period July 1, 2016 through December 31, 
2017, and for each annual compliance period thereafter.
    (3) Records of all supporting calculations pursuant to paragraphs 
(b)(1) or (b)(2) of this section shall also be kept.
    (c) Length of time records shall be kept. Records required in this 
section shall be kept for five years from the date they were created, 
except that records relating to credit transfers shall be kept by the 
transferor for five years from the date the credits were transferred, 
and shall be kept by the transferee for five years from the date the 
credits were transferred, used or terminated, whichever is later.
    (d) Make records available to EPA. On request by EPA, the records 
specified in this section shall be provided to the Administrator. For 
records that are electronically generated or maintained, the equipment 
and software necessary to read the records shall be made available, or 
upon approval by EPA, electronic records shall be converted to paper 
documents which shall be provided to the Administrator.



Sec.  80.1352  What are the pre-compliance reporting requirements
for the gasoline benzene program?

    (a) Except as provided in paragraph (c) of this section, a refiner 
for each of its refineries shall submit the following information, as 
applicable, to EPA by June 1, 2008 and annually thereafter through June 
1, 2011, or through June 1, 2015 for small refiners approved under Sec.  
80.1340:

[[Page 492]]

    (1) Changes to the information submitted in the company's 
registration;
    (2) Changes to the information submitted for any refinery or import 
facility registration;
    (3) Gasoline production.(i) An estimate of the average daily volume 
(in gallons) of gasoline produced at each refinery. This estimate shall 
include RFG, RBOB, conventional gasoline and conventional gasoline 
blendstock that becomes finished gasoline solely upon the addition of 
oxygenate but shall exclude gasoline exempted pursuant to Sec.  80.1235.
    (ii) The volume estimates specified in paragraph (a)(3)(i) of this 
section must be provided for the periods of June 1, 2007 through 
December 31, 2007, and calendar years 2008 through 2015.
    (4) Benzene concentration. An estimate of the average gasoline 
benzene concentration corresponding to the time periods specified in 
paragraph (a)(3)(ii) of this section.
    (5) ABT participation. For each year through 2015, the following 
information related to crdits shall be provided to EPA, if applicable:
    (i) If the refinery is expecting to generate benzene credits per 
Sec.  80.1275 and/or Sec.  80.1290, the actual or estimated, as 
applicable, numbers of early credits and standard credits expected to be 
generated.
    (ii) If the refinery is expecting to use benzene credits per Sec.  
80.1295, the actual or estimated, as applicable, numbers of early 
credits and standard credits expected to be banked, transferred or used 
to achieve compliance in accordance with Sec.  80.1240.
    (6) Information on any project schedule by quarter of known or 
projected completion date, by the stage of the project. See, for 
example, the five project phases described in EPA's June 2002 Highway 
Diesel Progress Review report (EPA420-R-02-016, http://www.epa.gov/otaq/
regs/hd2007/420r02016.pdf): Strategic planning, Planning and front-end 
engineering, Detailed engineering and permitting, Procurement and 
Construction, and Commissioning and startup.
    (7) Basic information regarding the selected technology pathway for 
compliance (e.g., precursor re-routing or other technologies, revamp vs. 
grassroots, etc.).
    (8) Whether capital commitments have been made or are projected to 
be made.
    (b) The pre-compliance reports due in 2008 and succeeding years must 
provide an update of the progress in each of these areas and include 
actual values where available.
    (c) The pre-compliance reporting requirements of this section do not 
apply to refineries that only produce products exempt from the 
requirements of this subpart per Sec.  80.1235(b).



Sec.  80.1354  What are the reporting requirements for the gasoline
benzene program?

    (a) Beginning with earliest applicable date specified in Sec.  
80.1347(a)(2), any refiner for each of its refineries, and any importer 
for the gasoline it imports, shall submit to EPA an Annual Gasoline 
Benzene Report that contains the information required in this section, 
and such other information as EPA may require for each applicable 
averaging period.
    (b) The Annual Gasoline Benzene Report shall contain the following 
information:
    (1) Benzene volume percent and volume of any RFG, RBOB, and 
conventional gasoline, separately by batch, produced by the refinery or 
imported, and the sum of the volumes and the volume-weighted benzene 
concentration, in volume percent.
    (2)(i) The annual average benzene concentration, per Sec.  80.1238, 
along with identification of the test method(s) used to measure the 
annual average benzene concentration.
    (ii) The maximum average benzene concentration, per Sec.  
80.1240(b), along with identification of the test method(s) used to 
measure the maximum average benzene concentration.
    (3) Any benzene deficit from the previous reporting period, per 
Sec.  80.1230(b).
    (4) The number of banked benzene credits from the previous reporting 
period.
    (5) The number of benzene credits generated under Sec.  80.1275, if 
applicable.
    (6) The number of benzene credits generated under Sec.  80.1290, if 
applicable.

[[Page 493]]

    (7) The number of benzene credits transferred to the refinery or 
importer, per Sec.  80.1295(c), and the cost of the credits, if 
applicable.
    (8) The number of benzene credits transferred from the refinery or 
importer, per Sec.  80.1295(c), and the price of the credits, if 
applicable.
    (9) The number of benzene credits terminated or expired.
    (10) The compliance benzene value per Sec.  80.1240.
    (11) The number of banked benzene credits.
    (12) Projected credit generation through compliance year 2015.
    (13) Projected credit use through compliance year 2015.
    (c) EPA may require submission of additional information to verify 
compliance with the requirements of this subpart.
    (d) The report required by paragraph (a) of this section shall be--
    (1) Submitted on forms and following procedures specified by the 
Administrator.
    (2) Submitted to EPA by March 31 each year for the prior calendar 
year averaging period.
    (3) Signed and certified as correct by the owner or a responsible 
corporate officer of the refiner or importer.

[72 FR 8544, Feb. 26, 2007, as amended at 79 FR 23655, Apr. 28, 2014]

                           Attest Engagements



Sec.  80.1356  What are the attest engagement requirements for
gasoline benzene compliance?

    In addition to the requirements for attest engagements that apply to 
refiners and importers under Sec. Sec.  80.125 through 80.130, 80.410, 
and 80.1030, the attest engagements for refiners and importers must 
include the following:
    (a) EPA Early Credit Generation Baseline Years' Reports. (1) Obtain 
and read a copy of the refinery's or importer's annual reports and batch 
reports filed with EPA for 2004 and 2005 that contain gasoline benzene 
and gasoline volume information.
    (2) Agree the yearly volumes of gasoline and benzene concentration, 
in volume percent and benzene gallons, reported to EPA in the reports 
specified in paragraph (a)(1) of this section with the inventory 
reconciliation analysis under Sec.  80.128.
    (3) Verify that the information in the refinery's or importer's 
batch reports filed with EPA under Sec. Sec.  80.75 and 80.105, and any 
laboratory test results, agree with the information contained in the 
reports specified in paragraph (a)(1) of this section.
    (4) Calculate the average benzene concentration for all of the 
refinery's or importer's gasoline volume over 2004 and 2005 and verify 
that those values agree with the values reported to EPA per Sec.  
80.1285.
    (b) Baseline for Early Credit Generation. Take the following steps 
for the first attest reporting period following approval of a benzene 
baseline:
    (1) Obtain the EPA benzene baseline approval letter for the refinery 
to determine the refinery's applicable benzene baseline under Sec.  
80.1285.
    (2) Obtain a written statement from the company representative 
identifying the benzene value used as the refinery's baseline and agree 
that number to paragraph (b)(1) of this section and to the reports to 
EPA.
    (c) Early Credit Generation. The following procedures shall be 
completed for a refinery or importer that generates early benzene 
credits per Sec.  80.1275:
    (1) Obtain the baseline benzene concentration and gasoline volume 
from paragraph (a)(4) of this section.
    (2) Obtain the annual benzene report per Sec.  80.1354.
    (3) If the benzene value under paragraph (c)(2) of this section is 
at least 10 percent less than the value in paragraph (c)(1) of this 
section, compute and report as a finding the difference according to 
Sec.  80.1275.
    (4) Compute and report as a finding the total number of benzene 
credits generated by multiplying the value calculated in paragraph 
(c)(3) of this section by the volume of gasoline listed in the report 
specified in paragraph (c)(2) of this section, and agree this number 
with the number reported to EPA.
    (d) Standard Credit Generation. The following procedures shall be 
completed for a refinery or importer that generates benzene credits per 
Sec.  80.1290:

[[Page 494]]

    (1) Obtain the annual average benzene value from the annual benzene 
report per Sec.  80.1285.
    (2) If the annual average benzene value under paragraph (d)(1) of 
this section is less than 0.62 percent by volume, compute and report as 
a finding the difference according to Sec.  80.1290.
    (3) Compute and report as a finding the total number of benzene 
credits generated by multiplying the value calculated in paragraph 
(d)(2) of this section by the volume of gasoline listed in the report 
specified in paragraph (d)(1) of this section, and agree this number 
with the number reported to EPA.
    (e) Credits Required. The following attest procedures shall be 
completed for refineries and importers:
    (1) Obtain the annual average benzene concentration and volume from 
the annual benzene report per Sec.  80.1285.
    (2) If the value in paragraph (e)(1) of this section is greater than 
0.62 percent by volume, compute and report as a finding the difference 
between 0.62 percent by volume and the value in paragraph (e)(1) of this 
section.
    (3) Compute and report as a finding the total benzene credits 
required by multiplying the value in paragraph (e)(2) of this section 
times the volume of gasoline in paragraph (e)(1) of this section, and 
agree this number with the report to EPA.
    (4) Obtain a statement from the refiner or importer as to the 
portion of the deficit under paragraph (e)(3) of this section that was 
resolved with credits, or that was carried forward as a deficit under 
Sec.  80.1230(b), and agree these figures with the report to EPA.
    (f) Credit Purchases and Sales. The following attest procedures 
shall be completed for a refinery or importer that is a transferor or 
transferee of credits during an averaging period:
    (1) Obtain contracts or other documents for all credits transferred 
to another refinery or importer during the year being reviewed; compute 
and report as a finding the number and year of creation of credits 
represented in these documents as being transferred; and agree these 
figures with the report to EPA.
    (2) Obtain contracts or other documents for all credits received 
during the year being reviewed; compute and report as a finding the 
number and year of creation of credits represented in these documents as 
being received; and agree with the report to EPA.
    (g) Credit Reconciliation. The following attest procedures shall be 
completed each year credits were in the refiner's or importer's 
possession at any time during the year:
    (1) Obtain the credits remaining or the credit deficit from the 
previous year from the refiner's or importer's report to EPA for the 
previous year.
    (2) Compute and report as a finding the net credits remaining at the 
conclusion of the year being reviewed by totaling credits as follows:
    (i) Credits remaining from the previous year; plus
    (ii) Credits generated under paragraphs (c) and (d) of this section; 
plus
    (iii) Credits purchased under paragraph (f) of this section; minus
    (iv) Credits sold under paragraph (f) of this section; minus
    (v) Credits used under paragraphs (e) of this section; minus
    (vi) Credits expired; minus
    (vii) Credit deficit from the previous year.
    (3) Agree the credits remaining or the credit deficit at the 
conclusion of the year being reviewed with the report to EPA.
    (4) If the refinery or importer had a credit deficit for both the 
previous year and the year being reviewed, report this fact as a 
finding.

                        Violations and Penalties



Sec.  80.1358  What acts are prohibited under the gasoline benzene
program?

    No person shall--
    (a)(1) Produce or import gasoline subject to this subpart that does 
not comply with the applicable benzene standards under Sec.  80.1230.
    (2) Fail to meet any other requirements of this subpart.
    (b) Cause another person to commit an act in violation of paragraph 
(a) of this section.

[[Page 495]]



Sec.  80.1359  What evidence may be used to determine compliance 
with the prohibitions and requirements of this subpart and liability
for violations of this subpart?

    (a) Compliance with the benzene standards of this subpart shall be 
determined based on the benzene concentration of the gasoline, measured 
using the methodologies specified in Sec.  80.46(e), and other allowable 
adjustments. Any evidence or information, including the exclusive use of 
such evidence or information, may be used to establish the benzene 
concentration of the gasoline if the evidence or information is relevant 
to whether the benzene concentration of the gasoline would have been in 
compliance with the standard if the appropriate sampling and testing 
methodologies had been correctly performed. Such evidence may be 
obtained from any source or location and may include, but is not limited 
to, test results using methods other than those specified in Sec.  
80.46(e), business records, and commercial documents.
    (b) Determinations of compliance with the requirements of this 
subpart other than the benzene standards, and determinations of 
liability for any violation of this subpart, may be based on information 
from any source or location. Such information may include, but is not 
limited to, business records and commercial documents.



Sec.  80.1360  Who is liable for violations under the gasoline
benzene program?

    (a) The following persons are liable for violations of prohibited 
acts:
    (1) Any refiner or importer that violates Sec.  80.1358(a) is liable 
for the violation.
    (2) Any person that causes another party to violate Sec.  80.1358(a) 
is liable for a violation of Sec.  80.1358(b).
    (3) Any parent corporation is liable for any violations of this 
subpart that are committed by any of its wholly-owned subsidiaries.
    (4) Each partner to a joint venture, or each owner of a facility 
owned by two or more owners, is jointly and severally liable for any 
violation of this subpart that occurs at the joint venture facility or a 
facility that is owned by the joint owners, or a facility that is 
committed by the joint venture operation or any of the joint owners of 
the facility.
    (b) Any person who violates Sec.  80.1358 is liable for the 
violation.



Sec.  80.1361  What penalties apply under the gasoline benzene program?

    (a) Any person liable for a violation under Sec.  80.1360 is subject 
to civil penalties as specified in sections 205 and 211(d) of the Clean 
Air Act for every day of each such violation and the amount of economic 
benefit or savings resulting from each violation.
    (b) Any person liable under Sec.  80.1358(a) and (b) for a violation 
of the applicable benzene standards or causing another person to violate 
the requirements during any averaging period, is subject to a separate 
day of violation for each and every day in the averaging period. Any 
person liable under Sec.  80.1360(b) for a failure to fulfill any 
requirement of credit generation, transfer, use, banking, or deficit 
carry-forward correction is subject to a separate violation for each and 
every day in the averaging period in which invalid credits are 
generated, banked, transferred or used.
    (c) Any person liable under Sec.  80.1360(b) for failure to meet, or 
causing a failure to meet, a provision of this subpart is liable for a 
separate day of violation for each and every day such provision remains 
unfulfilled.

                            Foreign Refiners



Sec.  80.1363  What are the additional requirements under this subpart
for gasoline produced at foreign refineries?

    (a) Definitions. (1) A foreign refinery is a refinery that is 
located outside the United States, the Commonwealth of Puerto Rico, the 
Virgin Islands, Guam, American Samoa, and the Commonwealth of the 
Northern Mariana Islands (collectively referred to in this section as 
``the United States'').
    (2) A foreign refiner is a person that meets the definition of 
refiner under Sec.  80.2(i) for a foreign refinery.
    (3) Benzene-FRGAS means gasoline produced at a foreign refinery that 
has been assigned an individual refinery benzene baseline under Sec.  
80.1285, has

[[Page 496]]

been approved as a small refiner under Sec.  80.1340, or has been 
granted temporary relief under Sec.  80.1335, and that is imported into 
the United States.
    (4) Non-Benzene-FRGAS means
    (i) Gasoline meeting any of the conditions specified in paragraph 
(a)(3) of this section that is not imported into the United States.
    (ii) Gasoline meeting any of the conditions specified in paragraph 
(a)(3) of this section during a year when the foreign refiner has opted 
to not participate in the Benzene-FRGAS program under paragraph (c)(3) 
of this section.
    (iii) Gasoline produced at a foreign refinery that has not been 
assigned an individual refinery benzene baseline under Sec.  80.1285, or 
that has not been approved as a small refiner under Sec.  80.1340, or 
that has not been granted temporary relief under Sec.  80.1335.
    (5) Certified Benzene-FRGAS means Benzene-FRGAS the foreign refiner 
intends to include in the foreign refinery's benzene compliance 
calculations under Sec.  80.1240 or credit calculations under Sec.  
80.1275 and does include in these calculations when reported to EPA.
    (6) Non-Certified Benzene-FRGAS means Benzene-FRGAS that is not 
Certified Benzene-FRGAS.
    (b) Baseline for Early Credits. For any foreign refiner to obtain 
approval under the benzene foreign refiner program of this subpart for 
any refinery in order to generate early credits under Sec.  80.1275, it 
must apply for approval under the applicable provisions of this subpart.
    (1) The refiner shall follow the procedures specified in Sec. Sec.  
80.1280 and 80.1285 to establish a baseline of the volume of gasoline 
that was produced at the refinery and imported into the United States 
during the applicable years.
    (2) In making determinations for foreign refinery baselines EPA will 
consider all information supplied by a foreign refiner, and in addition 
may rely on any and all appropriate assumptions necessary to make such 
determinations.
    (3) Where a foreign refiner submits a petition that is incomplete or 
inadequate to establish an accurate baseline, and the refiner fails to 
correct this deficiency after a request for more information, EPA will 
not assign an individual refinery baseline.
    (c) General requirements for Benzene-FRGAS foreign refiners. A 
foreign refiner of a refinery that is approved under the benzene foreign 
refiner program of this subpart must designate each batch of gasoline 
produced at the foreign refinery that is exported to the United States 
as either Certified Benzene-FRGAS or as Non-Certified Benzene-FRGAS, 
except as provided in paragraph (c)(3) of this section.
    (1) In the case of Certified Benzene-FRGAS, the foreign refiner must 
meet all requirements that apply to refiners under this subpart.
    (2) In the case of Non-Certified Benzene-FRGAS, the foreign refiner 
shall meet all the following requirements:
    (i) The designation requirements in this section;
    (ii) The recordkeeping requirements in this section and in Sec.  
80.1350;
    (iii) The reporting requirements in this section and in Sec. Sec.  
80.1352 and 80.1354;
    (iv) The product transfer document requirements in this section;
    (v) The prohibitions in this section and in Sec.  80.1358; and
    (vi) The independent audit requirements in this section and in Sec.  
80.1356.
    (3)(i) Any foreign refiner that generates early benzene credits 
under Sec.  80.1275 shall designate all Benzene-FRGAS as Certified 
Benzene-FRGAS for any year that such credits are generated.
    (ii) Any foreign refiner that has been approved to produce gasoline 
subject to the benzene foreign refiner program for a foreign refinery 
under this subpart may elect to classify no gasoline imported into the 
United States as Benzene-FRGAS provided the foreign refiner notifies EPA 
of the election no later than November 1 preceding the beginning of the 
next compliance period.
    (iii) An election under paragraph (c)(3)(ii) of this section shall 
be for a 12 month compliance period and apply to all gasoline that is 
produced by the foreign refinery that is imported into the United 
States, and shall remain in effect for each succeeding year unless and 
until the foreign refiner notifies EPA of the termination of the 
election. The change in election shall take effect

[[Page 497]]

at the beginning of the next annual compliance period.
    (d) Designation, product transfer documents, and foreign refiner 
certification. (1) Any foreign refiner of a foreign refinery that has 
been approved by EPA to produce gasoline subject to the benzene foreign 
refiner program must designate each batch of Benzene-FRGAS as such at 
the time the gasoline is produced, unless the refiner has elected to 
classify no gasoline exported to the United States as Benzene-FRGAS 
under paragraph (c)(3) of this section.
    (2) On each occasion when any person transfers custody or title to 
any Benzene-FRGAS prior to its being imported into the United States, it 
must include the following information as part of the product transfer 
document information:
    (i) Designation of the gasoline as Certified Benzene-FRGAS or as 
Non-Certified Benzene-FRGAS; and
    (ii) The name and EPA refinery registration number of the refinery 
where the Benzene-FRGAS was produced.
    (3) On each occasion when Benzene-FRGAS is loaded onto a vessel or 
other transportation mode for transport to the United States, the 
foreign refiner shall prepare a certification for each batch of the 
Benzene-FRGAS that meets the following requirements.
    (i) The certification shall include the report of the independent 
third party under paragraph (f) of this section, and the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the Benzene-FRGAS;
    (B) The identification of the gasoline as Certified Benzene-FRGAS or 
Non-Certified Benzene-FRGAS;
    (C) The volume of Benzene-FRGAS being transported, in gallons;
    (D) In the case of Certified Benzene-FRGAS:
    (1) The benzene content as determined under paragraph (f) of this 
section, and the applicable designations stated in paragraph (d)(2)(i) 
of this section; and
    (2) A declaration that the Benzene-FRGAS is being included in the 
applicable compliance calculations required by EPA under this subpart.
    (ii) The certification shall be made part of the product transfer 
documents for the Benzene-FRGAS.
    (e) Transfers of Benzene-FRGAS to non-United States markets. The 
foreign refiner is responsible to ensure that all gasoline classified as 
Benzene-FRGAS is imported into the United States. A foreign refiner may 
remove the Benzene-FRGAS classification, and the gasoline need not be 
imported into the United States, but only if:
    (1) The foreign refiner excludes:
    (i) The volume of gasoline from the refinery's compliance report 
under Sec.  80.1354; and
    (ii) In the case of Certified Benzene-FRGAS, the volume of the 
gasoline from the compliance report under Sec.  80.1354.
    (2) The foreign refiner obtains sufficient evidence in the form of 
documentation that the gasoline was not imported into the United States.
    (f) Load port independent sampling, testing and refinery 
identification. (1) On each occasion that Benzene-FRGAS is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms;
    (ii) Determine the volume of Benzene-FRGAS loaded onto the vessel 
(exclusive of any tank bottoms before loading);
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery;
    (iv) Determine the name and country of registration of the vessel 
used to transport the Benzene-FRGAS to the United States; and
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (2) On each occasion that Certified Benzene-FRGAS is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party:
    (i) Collect a representative sample of the Certified Benzene-FRGAS 
from each vessel compartment subsequent to loading on the vessel and 
prior to departure of the vessel from the port serving the foreign 
refinery;

[[Page 498]]

    (ii) Determine the benzene content value for each compartment using 
the methodology as specified in Sec.  80.46(e) by one of the following:
    (A) The third party analyzing each sample; or
    (B) The third party observing the foreign refiner analyze the 
sample;
    (iii) Review original documents that reflect movement and storage of 
the Certified Benzene-FRGAS from the refinery to the load port, and from 
this review determine:
    (A) The refinery at which the Benzene-FRGAS was produced; and
    (B) That the Benzene-FRGAS remained segregated from:
    (1) Non-Benzene-FRGAS and Non-Certified Benzene-FRGAS; and
    (2) Other Certified Benzene-FRGAS produced at a different refinery.
    (3) The independent third party shall submit a report:
    (i) To the foreign refiner containing the information required under 
paragraphs (f)(1) and (f)(2) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) To the Administrator containing the information required under 
paragraphs (f)(1) and (f)(2) of this section, within thirty days 
following the date of the independent third party's inspection. This 
report shall include a description of the method used to determine the 
identity of the refinery at which the gasoline was produced, assurance 
that the gasoline remained segregated as specified in paragraph (n)(1) 
of this section, and a description of the gasoline's movement and 
storage between production at the source refinery and vessel loading.
    (4) The independent third party must:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (f);
    (ii) Be independent under the criteria specified in Sec.  
80.65(f)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(f).
    (g) Comparison of load port and port of entry testing. (1)(i) Any 
foreign refiner and any United States importer of Certified Benzene-
FRGAS shall compare the results from the load port testing under 
paragraph (f) of this section, with the port of entry testing as 
reported under paragraph (o) of this section, for the volume of gasoline 
and the benzene content value; except as specified in paragraph 
(g)(1)(ii) of this section.
    (ii) Where a vessel transporting Certified Benzene-FRGAS off loads 
this gasoline at more than one United States port of entry, and the 
conditions of paragraph (g)(2)(i) of this section are met at the first 
United States port of entry, the requirements of paragraph (g)(2) of 
this section do not apply at subsequent ports of entry if the United 
States importer obtains a certification from the vessel owner that meets 
the requirements of paragraph (s) of this section, that the vessel has 
not loaded any gasoline or blendstock between the first United States 
port of entry and the subsequent port of entry.
    (2)(i) The requirements of this paragraph (g)(2) apply if--
    (A) The temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent; or
    (B) The benzene content value determined at the port of entry is 
higher than the benzene content value determined at the load port, and 
the amount of this difference is greater than the reproducibility amount 
specified for the port of entry test result by the American Society of 
Testing and Materials (ASTM) for the test method specified at Sec.  
80.46(e).
    (ii) The United States importer and the foreign refiner shall treat 
the gasoline as Non-Certified Benzene-FRGAS, and the foreign refiner 
shall exclude the gasoline volume from its gasoline volumes calculations 
and benzene standard designations under this subpart.
    (h) Attest requirements. Refiners, for each annual compliance 
period, must arrange to have an attest engagement performed of the 
underlying documentation that forms the basis of any report required 
under this subpart. The attest engagement must comply with the 
procedures and requirements that apply to refiners under Sec. Sec.  
80.125 through

[[Page 499]]

80.130, Sec.  80.1356, and other applicable attest engagement 
provisions, and must be submitted to the Administrator of EPA for the 
prior annual compliance period within the time period required under 
Sec.  80.130. The following additional procedures shall be carried out 
for any foreign refiner of Benzene-FRGAS.
    (1) The inventory reconciliation analysis under Sec.  80.128(b) and 
the tender analysis under Sec.  80.128(c) shall include Non-Benzene-
FRGAS.
    (2) Obtain separate listings of all tenders of Certified Benzene-
FRGAS and of Non-Certified Benzene-FRGAS, and obtain separate listings 
of Certified Benzene-FRGAS based on whether it is small refiner 
gasoline, gasoline produced through the use of credits, or other 
applicable designation under this subpart. Agree the total volume of 
tenders from the listings to the gasoline inventory reconciliation 
analysis in Sec.  80.128(b), and to the volumes determined by the third 
party under paragraph (f)(1) of this section.
    (3) For each tender under paragraph (h)(2) of this section, where 
the gasoline is loaded onto a marine vessel, report as a finding the 
name and country of registration of each vessel, and the volumes of 
Benzene-FRGAS loaded onto each vessel.
    (4) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified Benzene-FRGAS, in 
accordance with the guidelines in Sec.  80.127, and for each vessel 
selected perform the following:
    (i) Obtain the report of the independent third party, under 
paragraph (f) of this section, and of the United States importer under 
paragraph (o) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification, gasoline volumes and benzene content test results.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry benzene content and volume results differ by more than 
the amounts allowed in paragraph (g) of this section, and determine 
whether the foreign refiner adjusted its refinery calculations as 
required in paragraph (g) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the Certified Benzene-FRGAS from 
the refinery to the load port, under paragraph (f) of this section. 
Obtain tank activity records for any storage tank where the Certified 
Benzene-FRGAS is stored, and pipeline activity records for any pipeline 
used to transport the Certified Benzene-FRGAS, prior to being loaded 
onto the vessel. Use these records to determine whether the Certified 
Benzene-FRGAS was produced at the refinery that is the subject of the 
attest engagement, and whether the Certified Benzene-FRGAS was mixed 
with any Non-Certified Benzene-FRGAS, Non-Benzene-FRGAS, or any 
Certified Benzene-FRGAS produced at a different refinery.
    (5) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified and Non-Certified 
Benzene-FRGAS, in accordance with the guidelines in Sec.  80.127, and 
for each vessel selected perform the following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (6) Obtain separate listings of all tenders of Non-Benzene-FRGAS, 
and perform the following:
    (i) Agree the total volume and benzene content of tenders from the 
listings to the gasoline inventory reconciliation analysis in Sec.  
80.128(b).
    (ii) Obtain a separate listing of the tenders under this paragraph 
(h)(6) where the gasoline is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the gasoline was off 
loaded for the selected vessels. Determine and report as a finding the 
country where

[[Page 500]]

the gasoline was off loaded for each vessel selected.
    (7) In order to complete the requirements of this paragraph (h) an 
auditor shall:
    (i) Be independent of the foreign refiner;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.130 and this paragraph (h); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.130 and this paragraph (h).
    (i) Foreign refiner commitments. Any foreign refiner shall commit to 
and comply with the provisions contained in this paragraph (i) as a 
condition to being approved as a foreign refiner under this subpart.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Gasoline is produced;
    (B) Documents related to refinery operations are kept;
    (C) Gasoline or blendstock samples are tested or stored; and
    (D) Benzene-FRGAS is stored or transported between the foreign 
refinery and the United States, including storage tanks, vessels and 
pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to:
    (A) Refinery baseline establishment, if applicable, including the 
volume and benzene content of gasoline; transfers of title or custody of 
any gasoline or blendstocks whether Benzene-FRGAS or Non-Benzene-FRGAS, 
produced at the foreign refinery during the period January 1, 2004 
through December 31, 2005, and any work papers related to refinery 
baseline establishment;
    (B) The volume and benzene content of Benzene-FRGAS;
    (C) The proper classification of gasoline as being Benzene-FRGAS or 
as not being Benzene-FRGAS, or as Certified Benzene-FRGAS or as Non-
Certified Benzene-FRGAS, and all other relevant designations under this 
subpart;
    (D) Transfers of title or custody to Benzene-FRGAS;
    (E) Sampling and testing of Benzene-FRGAS;
    (F) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers; and
    (G) Reports prepared for submission to EPA, and any work papers 
related to such reports.
    (vi) Inspections and audits by EPA may include taking samples of 
gasoline, gasoline additives or blendstock, and interviewing employees.
    (vii) Any employee of the foreign refiner must be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign refiner or any employee of the foreign refiner for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the

[[Page 501]]

EPA administrative forum where allowed under the Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting a petition for participation in the benzene foreign 
refiner program or producing and exporting gasoline under any such 
program, and all other actions to comply with the requirements of this 
subpart relating to participation in any benzene foreign refiner 
program, or to establish an individual refinery gasoline benzene 
baseline under this subpart constitute actions or activities covered by 
and within the meaning of the provisions of 28 U.S.C. 1605(a)(2), but 
solely with respect to actions instituted against the foreign refiner, 
its agents and employees in any court or other tribunal in the United 
States for conduct that violates the requirements applicable to the 
foreign refiner under this subpart, including conduct that violates the 
False Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (6) The foreign refiner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (i) shall be signed by 
the owner or president of the foreign refiner business.
    (8) In any case where Benzene-FRGAS produced at a foreign refinery 
is stored or transported by another company between the refinery and the 
vessel that transports the Benzene-FRGAS to the United States, the 
foreign refiner shall obtain from each such other company a commitment 
that meets the requirements specified in paragraphs (i)(1) through (7) 
of this section, and these commitments shall be included in the foreign 
refiner's petition to participate in any benzene foreign refiner 
program.
    (j) Sovereign immunity. By submitting a petition for participation 
in any benzene foreign refiner program under this subpart (and baseline, 
if applicable) under this section, or by producing and exporting 
gasoline to the United States under any such program, the foreign 
refiner, and its agents and employees, without exception, become subject 
to the full operation of the administrative and judicial enforcement 
powers and provisions of the United States without limitation based on 
sovereign immunity, with respect to actions instituted against the 
foreign refiner, its agents and employees in any court or other tribunal 
in the United States for conduct that violates the requirements 
applicable to the foreign refiner under this subpart, including conduct 
that violates the False Statements Accountability Act of 1996 (18 U.S.C. 
1001) and section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (k) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (k) as a condition to approval as benzene foreign refiner 
under this subpart.
    (1) The foreign refiner shall post a bond of the amount calculated 
using the following equation:

Bond = G x $0.01

Where:

Bond = amount of the bond in U.S. dollars

G = the largest volume of gasoline produced at the foreign refinery and 
          exported to the United States, in gallons, during a single 
          calendar year among the most recent of the following calendar 
          years, up to a maximum of five calendar years: the calendar 
          year immediately preceding the date the refinery's baseline 
          petition is submitted, the calendar year the baseline petition 
          is submitted, and each succeeding calendar year.

    (2) Bonds shall be posted by:
    (i) Paying the amount of the bond to the Treasurer of the United 
States;
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign refiner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement; or

[[Page 502]]

    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) Bonds posted under this paragraph (k) shall--
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds''; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest annual reporting period 
that the foreign refiner produces gasoline pursuant to the requirements 
of this subpart.
    (4) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (5) If the bond amount for a foreign refiner increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (l) [Reserved]
    (m) English language reports. Any report or other document submitted 
to EPA by a foreign refiner shall be in English language, or shall 
include an English language translation.
    (n) Prohibitions. (1) No person may combine Certified Benzene-FRGAS 
with any Non-Certified Benzene-FRGAS or Non-Benzene-FRGAS, and no person 
may combine Certified Benzene-FRGAS with any Certified Benzene-FRGAS 
produced at a different refinery, until the importer has met all the 
requirements of paragraph (o) of this section, except as provided in 
paragraph (e) of this section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (n)(1) of this section, or that 
otherwise violates the requirements of this section.
    (o) United States importer requirements. Any United States importer 
shall meet the following requirements:
    (1) Each batch of imported gasoline shall be classified by the 
importer as being Benzene-FRGAS or as Non-Benzene-FRGAS, and each batch 
classified as Benzene-FRGAS shall be further classified as Certified 
Benzene-FRGAS or as Non-Certified Benzene-FRGAS.
    (2) Gasoline shall be classified as Certified Benzene-FRGAS or as 
Non-Certified Benzene-FRGAS according to the designation by the foreign 
refiner if this designation is supported by product transfer documents 
prepared by the foreign refiner as required in paragraph (d) of this 
section, unless the gasoline is classified as Non-Certified Benzene-
FRGAS under paragraph (g) of this section. Additionally, the importer 
shall comply with all requirements of this subpart applicable to 
importers.
    (3) For each gasoline batch classified as Benzene-FRGAS, any United 
States importer shall perform the following procedures.
    (i) In the case of both Certified and Non-Certified Benzene-FRGAS, 
have an independent third party:
    (A) Determine the volume of gasoline in the vessel;
    (B) Use the foreign refiner's Benzene-FRGAS certification to 
determine the name and EPA-assigned registration number of the foreign 
refinery that produced the Benzene-FRGAS;
    (C) Determine the name and country of registration of the vessel 
used to transport the Benzene-FRGAS to the United States; and
    (D) Determine the date and time the vessel arrives at the United 
States port of entry.
    (ii) In the case of Certified Benzene-FRGAS, have an independent 
third party:
    (A) Collect a representative sample from each vessel compartment 
subsequent to the vessel's arrival at the United States port of entry 
and prior

[[Page 503]]

to off loading any gasoline from the vessel;
    (B) Obtain the compartment samples; and
    (C) Determine the benzene content value of each compartment sample 
using the methodology specified at Sec.  80.46(e) by the third party 
analyzing the sample or by the third party observing the importer 
analyze the sample.
    (4) Any importer shall submit reports within 30 days following the 
date any vessel transporting Benzene-FRGAS arrives at the United States 
port of entry:
    (i) To the Administrator containing the information determined under 
paragraph (o)(3) of this section; and
    (ii) To the foreign refiner containing the information determined 
under paragraph (o)(3)(ii) of this section, and including identification 
of the port at which the product was offloaded.
    (5) Any United States importer shall meet all other requirements of 
this subpart for any imported gasoline that is not classified as 
Certified Benzene-FRGAS under paragraph (o)(2) of this section.
    (p) Truck imports of Certified Benzene-FRGAS produced at a foreign 
refinery. (1) Any refiner whose Certified Benzene-FRGAS is transported 
into the United States by truck may petition EPA to use alternative 
procedures to meet the following requirements:
    (i) Certification under paragraph (d)(5) of this section;
    (ii) Load port and port of entry sampling and testing under 
paragraphs (f) and (g) of this section;
    (iii) Attest under paragraph (h) of this section; and
    (iv) Importer testing under paragraph (o)(3) of this section.
    (2) These alternative procedures must ensure Certified Benzene-FRGAS 
remains segregated from Non-Certified Benzene-FRGAS and from Non-
Benzene-FRGAS until it is imported into the United States. The petition 
will be evaluated based on whether it adequately addresses the 
following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of Certified Benzene-FRGAS 
from that refinery from all other gasoline;
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport Certified Benzene-FRGAS, that prohibit the commingling of 
Certified Benzene-FRGAS with any of the following:
    (A) Other Certified Benzene-FRGAS from other refineries.
    (B) All Non-Certified Benzene-FRGAS.
    (C) All Non-Benzene-FRGAS;
    (iii) Procedures for obtaining and reviewing truck loading records 
and United States import documents for Certified Benzene-FRGAS to ensure 
that such gasoline is only loaded into trucks making deliveries to the 
United States;
    (iv) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all Certified 
Benzene-FRGAS remains segregated throughout the distribution system and 
is only loaded into trucks for import into the United States.
    (3) The petition required by this section must be submitted to EPA 
along with the application for temporary refiner relief individual 
refinery benzene standard under this subpart.
    (q) Withdrawal or suspension of foreign refiner status. EPA may 
withdraw or suspend a foreign refiner's benzene baseline or standard 
approval for a foreign refinery where--
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (i)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(k) of this section.
    (r) Early use of a foreign refiner benzene baseline. (1) A foreign 
refiner may begin using an individual refinery benzene baseline under 
this subpart before EPA has approved the baseline, provided that:

[[Page 504]]

    (i) A baseline petition has been submitted as required in paragraph 
(b) of this section;
    (ii) EPA has made a provisional finding that the baseline petition 
is complete;
    (iii) The foreign refiner has made the commitments required in 
paragraph (i) of this section;
    (iv) The persons that will meet the independent third party and 
independent attest requirements for the foreign refinery have made the 
commitments required in paragraphs (f)(3)(iii) and (h)(7)(iii) of this 
section; and
    (v) The foreign refiner has met the bond requirements of paragraph 
(k) of this section.
    (2) In any case where a foreign refiner uses an individual refinery 
baseline before final approval under paragraph (r)(1) of this section, 
and the foreign refinery baseline values that ultimately are approved by 
EPA are more stringent than the early baseline values used by the 
foreign refiner, the foreign refiner shall recalculate its compliance, 
ab initio, using the baseline values approved by the EPA, and the 
foreign refiner shall be liable for any resulting violation of the 
requirements of this subpart.
    (s) Additional requirements for petitions, reports and certificates. 
Any petition for approval to produce gasoline subject to the benzene 
foreign refiner program, any alternative procedures under paragraph (p) 
of this section, any report or other submission required by paragraph 
(c), (f)(2), or (i) of this section, and any certification under 
paragraph (d)(3) of this section shall be--
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Be signed by the president or owner of the foreign refiner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being Certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR part 
80, subpart L, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being Certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof. I affirm that I have read and understand the 
provisions of 40 CFR part 80, subpart L, including 40 CFR 80.1363 apply 
to [insert name of foreign refiner]. Pursuant to Clean Air Act section 
113(c) and 18 U.S.C. 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000 U.S., and/or imprisonment for up to five years.



                    Subpart M_Renewable Fuel Standard

    Source: 75 FR 14863, Mar. 26, 2010, unless otherwise noted.



Sec.  80.1400  Applicability.

    The provisions of this Subpart M shall apply for all renewable fuel 
produced on or after July 1, 2010, for all RINs generated on or after 
July 1, 2010, and for all renewable volume obligations and compliance 
periods starting with January 1, 2010. Except as provided otherwise in 
this Subpart M, the provisions of Subpart K of this Part 80 shall not 
apply for such renewable fuel, RINs, renewable volume obligations, or 
compliance periods.



Sec.  80.1401  Definitions.

    The definitions of Sec.  80.2 and of this section apply for the 
purposes of this Subpart M. The definitions of this section do not apply 
to other subparts unless otherwise noted. Note that many terms defined 
here are common terms that have specific meanings under this subpart M. 
The definitions follow:
    A-RIN means a RIN verified during the interim period by a registered 
independent third-party auditor using a QAP that has been approved under 
Sec.  80.1469(a) following the audit process described in Sec.  80.1472.
    Actual peak capacity means 105% of the maximum annual volume of 
renewable fuels produced from a specific renewable fuel production 
facility on a calendar year basis.
    (1) For facilities that commenced construction prior to December 19,

[[Page 505]]

2007, the actual peak capacity is based on the last five calendar years 
prior to 2008, unless no such production exists, in which case actual 
peak capacity is based on any calendar year after startup during the 
first three years of operation.
    (2) For facilities that commenced construction after December 19, 
2007 and before January 1, 2010 that are fired with natural gas, 
biomass, or a combination thereof, the actual peak capacity is based on 
any calendar year after startup during the first three years of 
operation.
    (3) For all other facilities not included above, the actual peak 
capacity is based on the last five calendar years prior to the year in 
which the owner or operator registers the facility under the provisions 
of Sec.  80.1450, unless no such production exists, in which case actual 
peak capacity is based on any calendar year after startup during the 
first three years of operation.
    Adjusted cellulosic content means the percent of organic material 
that is cellulose, hemicellulose, and lignin.
    Advanced biofuel means renewable fuel, other than ethanol derived 
from cornstarch, that has lifecycle greenhouse gas emissions that are at 
least 50 percent less than baseline lifecycle greenhouse gas emissions.
    Agricultural digester means an anaerobic digester that processes 
predominantly cellulosic materials, including animal manure, crop 
residues, and/or separated yard waste.
    Algae grown photosynthetically are algae that are grown such that 
their energy and carbon are predominantly derived from photosynthesis.
    Annual cover crop means an annual crop, planted as a rotation 
between primary planted crops, or between trees and vines in orchards 
and vineyards, typically to protect soil from erosion and to improve the 
soil between periods of regular crops. An annual cover crop has no 
existing market to which it can be sold except for its use as feedstock 
for the production of renewable fuel.
    Areas at risk of wildfire are those areas in the ``wildland-urban 
interface'', where humans and their development meet or intermix with 
wildland fuel. Note that, for guidance, the SILVIS laboratory at the 
University of Wisconsin maintains a Web site that provides a detailed 
map of areas meeting this criteria at: http://
www.silvis.forest.wisc.edu/projects/US_WUI_2000.asp. The SILVIS 
laboratory is located at 1630 Linden Drive, Madison, Wisconsin 53706 and 
can be contacted at (608) 263-4349.
    B-RIN means a RIN verified during the interim period by a registered 
independent third-party auditor using a QAP that has been approved under 
Sec.  80.1469(b) following the audit process described in Sec.  80.1472.
    Baseline lifecycle greenhouse gas emissions means the average 
lifecycle greenhouse gas emissions for gasoline or diesel (whichever is 
being replaced by the renewable fuel) sold or distributed as 
transportation fuel in 2005.
    Baseline volume means the permitted capacity or, if permitted 
capacity cannot be determined, the actual peak capacity of a specific 
renewable fuel production facility on a calendar year basis.
    Biodiesel means a mono-alkyl ester that meets ASTM D 6751 
(incorporated by reference, see Sec.  80.1468).
    Biogas means a mixture of hydrocarbons that is a gas at 60 degrees 
Fahrenheit and 1 atmosphere of pressure that is produced through the 
anaerobic digestion of organic matter.
    Biomass-based diesel means a renewable fuel that has lifecycle 
greenhouse gas emissions that are at least 50 percent less than baseline 
lifecycle greenhouse gas emissions and meets all of the requirements of 
paragraph (1) of this definition:
    (1)(i) Is a transportation fuel, transportation fuel additive, 
heating oil, or jet fuel.
    (ii) Meets the definition of either biodiesel or non-ester renewable 
diesel.
    (iii) Is registered as a motor vehicle fuel or fuel additive under 
40 CFR part 79, if the fuel or fuel additive is intended for use in a 
motor vehicle.
    (2) Renewable fuel that is co-processed with petroleum is not 
biomass-based diesel.
    Cellulosic biofuel means renewable fuel derived from any cellulose, 
hemi-cellulose, or lignin that has lifecycle greenhouse gas emissions 
that are at

[[Page 506]]

least 60 percent less than the baseline lifecycle greenhouse gas 
emissions.
    Cellulosic diesel is any renewable fuel which meets both the 
definitions of cellulosic biofuel and biomass-based diesel, as defined 
in this section 80.1401. Cellulosic diesel includes heating oil and jet 
fuel made from cellulosic feedstocks.
    Certified non-transportation 15 ppm distillate fuel or certified 
NTDF means distillate fuel that meets all of the following:
    (1) It has been certified as complying with the 15 ppm sulfur 
standard, cetane/aromatics standard, and all applicable sampling, 
testing, and recordkeeping requirements of subpart I of this part.
    (2) It has been designated as 15 ppm heating oil, 15 ppm ECA marine 
fuel, or other non-transportation fuel (e.g., jet fuel, kerosene, 
heating oil, or No. 4 fuel) on its product transfer document and has not 
been designated as MVNRLM diesel fuel.
    (3) The PTD for the distillate fuel meets the requirements in Sec.  
80.1453(e).
    Combined heat and power (CHP), also known as cogeneration, refers to 
industrial processes in which waste heat from the production of 
electricity is used for process energy in the renewable fuel production 
facility.
    Contractual affiliate means one of the following:
    (1) Two parties are contractual affiliates if they have an explicit 
or implicit agreement in place for one to purchase or hold RINs on 
behalf of the other or to deliver RINs to the other. This other party 
may or may not be registered under the RFS program.
    (2) Two parties are contractual affiliates if one RIN-owning party 
purchases or holds RINs on behalf of the other. This other party may or 
may not be registered under the RFS program.
    Co-processed means that renewable biomass was simultaneously 
processed with fossil fuels or other non-renewable feedstock in the same 
unit or units to produce a fuel that is partially derived from renewable 
biomass.
    Co-processed cellulosic diesel is any renewable fuel that meets the 
definition of cellulosic biofuel, as defined in this section 80.1401, 
and meets all of the requirements of paragraph (1) of this definition:
    (1)(i) Is a transportation fuel, transportation fuel additive, 
heating oil, or jet fuel.
    (ii) Meets the definition of either biodiesel or non-ester renewable 
diesel.
    (iii) Is registered as a motor vehicle fuel or fuel additive under 
40 CFR part 79, if the fuel or fuel additive is intended for use in a 
motor vehicle.
    (2) Co-processed cellulosic diesel includes heating oil and jet fuel 
made from cellulosic feedstocks and cellulosic biofuel produced as a 
result of co-processing cellulosic feedstocks with petroleum.
    Corporate affiliate means one of the following:
    (1) Two RIN-holding parties are corporate affiliates if one owns or 
controls ownership of more than 20 percent of the other.
    (2) Two RIN-holding parties are corporate affiliates if one parent 
company owns or controls ownership of more than 20 percent of both.
    Corporate affiliate group means a group of parties in which each 
party is a corporate affiliate to at least one other party in the group.
    Corn oil extraction means the recovery of corn oil from the thin 
stillage and/or the distillers grains and solubles produced by a dry 
mill corn ethanol plant, most often by mechanical separation.
    Corn oil fractionation means a process whereby seeds are divided in 
various components and oils are removed prior to fermentation for the 
production of ethanol.
    Covered location means the contiguous 48 states, Hawaii, and any 
state or territory that has received an approval from the Administrator 
to opt-in to the RFS program under Sec.  80.1443.
    Crop residue means biomass left over from the harvesting or 
processing of planted crops from existing agricultural land and any 
biomass removed from existing agricultural land that facilitates crop 
management (including biomass removed from such lands in relation to 
invasive species control or fire management), whether or not the biomass 
includes any portion of a crop or crop plant. Biomass is considered crop 
residue only if the use of that biomass for the production of renewable

[[Page 507]]

fuel has no significant impact on demand for the feedstock crop, 
products produced from that feedstock crop, and all substitutes for the 
crop and its products, nor any other impact that would result in a 
significant increase in direct or indirect GHG emissions.
    Cropland is land used for production of crops for harvest and 
includes cultivated cropland, such as for row crops or close-grown 
crops, and non-cultivated cropland, such as for horticultural or aquatic 
crops.
    Diesel, for the purposes of this subpart, refers to any and all of 
the products specified at Sec.  80.1407(e).
    Distillers corn oil means corn oil recovered at any point downstream 
of when a dry mill ethanol or butanol plant grinds the corn, provided 
that the corn starch is converted to ethanol or butanol, the recovered 
oil is unfit for human food use without further refining, and the 
distillers grains remaining after the dry mill and oil recovery 
processes are marketable as animal feed.
    Distillers sorghum oil means grain sorghum oil recovered at any 
point downstream of when a dry mill ethanol or butanol plant grinds the 
grain sorghum, provided that the grain sorghum is converted to ethanol 
or butanol, the recovered oil is unfit for human food use without 
further refining, and the distillers grains remaining after the dry mill 
and oil recovery processes are marketable as animal feed.
    DX RIN means a RIN with a D code of X, where X is the D code of the 
renewable fuel as identified under Sec.  80.1425(g), generated under 
Sec.  80.1426, and submitted under Sec.  80.1452. For example, a D6 RIN 
is a RIN with a D code of 6.
    Ecologically sensitive forestland means forestland that meets either 
of the following criteria:
    (1) An ecological community with a global or state ranking of 
critically imperiled, imperiled or rare pursuant to a State Natural 
Heritage Program. For examples of such ecological communities, see 
``Listing of Forest Ecological Communities Pursuant to 40 CFR 80.1401; 
S1-S3 communities,'' which is number EPA-HQ-OAR-2005-0161-1034.1 in the 
public docket, and ``Listing of Forest Ecological Communities Pursuant 
to 40 CFR 80.1401; G1-G2 communities,'' which is number EPA-HQ-OAR-2005-
0161-2906.1 in the public docket. This material is available for 
inspection at the EPA Docket Center, EPA/DC, EPA West, Room 3334, 1301 
Constitution Ave., NW., Washington DC. The telephone number for the Air 
Docket is (202) 566-1742.
    (2) Old growth or late successional, characterized by trees at least 
200 years in age.
    End of day means 7:00 a.m. Coordinated Universal Time (UTC).
    Energy cane means a complex hybrid in the Saccharum genus that has 
been bred to maximize cellulosic rather than sugar content. For the 
purposes of this subpart:
    (1) Energy cane excludes the species Saccharum spontaneum, but may 
include hybrids derived from S. spontaneum that have been developed and 
publicly released by USDA; and
    (2) Energy cane only includes cultivars that have, on average, at 
least 75% adjusted cellulosic content on a dry mass basis.
    EPA Moderated Transaction System, or EMTS, means a closed, EPA 
moderated system that provides a mechanism for screening and tracking 
Renewable Identification Numbers (RINs) as per Sec.  80.1452.
    Existing agricultural land is cropland, pastureland, and land 
enrolled in the Conservation Reserve Program (administered by the U.S. 
Department of Agriculture's Farm Service Agency) that was cleared or 
cultivated prior to December 19, 2007, and that, on December 19, 2007, 
was:
    (1) Nonforested; and
    (2) Actively managed as agricultural land or fallow, as evidenced by 
records which must be traceable to the land in question, which must 
include one of the following:
    (i) Records of sales of planted crops, crop residue, or livestock, 
or records of purchases for land treatments such as fertilizer, weed 
control, or seeding.
    (ii) A written management plan for agricultural purposes.
    (iii) Documented participation in an agricultural management program 
administered by a Federal, state, or local government agency.

[[Page 508]]

    (iv) Documented management in accordance with a certification 
program for agricultural products.
    Exporter of renewable fuel means all buyers, sellers, and owners of 
the renewable fuel in any transaction that results in renewable fuel 
being transferred from a covered location to a destination outside of 
the covered locations.
    Facility means all of the activities and equipment associated with 
the production of renewable fuel starting from the point of delivery of 
feedstock material to the point of final storage of the end product, 
which are located on one property, and are under the control of the same 
person (or persons under common control).
    Fallow means cropland, pastureland, or land enrolled in the 
Conservation Reserve Program (administered by the U.S. Department of 
Agriculture's Farm Service Agency) that is intentionally left idle to 
regenerate for future agricultural purposes with no seeding or planting, 
harvesting, mowing, or treatment during the fallow period.
    Foreign ethanol producer means a foreign renewable fuel producer who 
produces ethanol for use in transportation fuel, heating oil, or jet 
fuel but who does not add ethanol denaturant to their product as 
described in paragraph (2) of the definition of ``renewable fuel'' in 
this section.
    Foreign renewable fuel producer means a person from a foreign 
country or from an area outside the covered locations who produces 
renewable fuel (including neat (undenatured) ethanol for use in 
transportation fuel, heating oil, or jet fuel).
    Forestland is generally undeveloped land covering a minimum area of 
1 acre upon which the primary vegetative species are trees, including 
land that formerly had such tree cover and that will be regenerated and 
tree plantations. Tree-covered areas in intensive agricultural crop 
production settings, such as fruit orchards, or tree-covered areas in 
urban settings, such as city parks, are not considered forestland.
    Fuel for use in an ocean-going vessel means, for this subpart only:
    (1) Any marine residual fuel (whether burned in ocean waters, Great 
Lakes, or other internal waters);
    (2) Emission Control Area (ECA) marine fuel, pursuant to Sec. Sec.  
80.2(ttt) and 80.510(k) (whether burned in ocean waters, Great Lakes, or 
other internal waters); and
    (3) Any other fuel intended for use only in ocean-going vessels.
    Gasoline, for the purposes of this subpart, refers to any and all of 
the products specified at Sec.  80.1407(c).
    Heating oil means:
    (1) A fuel meeting the definition of heating oil set forth in Sec.  
80.2(ccc); or
    (2) A fuel oil that is used to heat or cool interior spaces of homes 
or buildings to control ambient climate for human comfort. The fuel oil 
must be liquid at 60 degrees Fahrenheit and 1 atmosphere of pressure, 
and contain no more than 2.5% mass solids.
    Importers. For the purposes of this subpart, an importer of 
transportation fuel or renewable fuel is any U.S. domestic person who:
    (1) Brings transportation fuel or renewable fuel into the 48 
contiguous states of the United States or Hawaii, from a foreign country 
or from an area that has not opted in to the program requirements of 
this subpart pursuant to Sec.  80.1443; or
    (2) Brings transportation fuel or renewable fuel into an area that 
has opted in to the program requirements of this subpart pursuant to 
Sec.  80.1443 from a foreign country or from an area that has not opted 
in to the program requirements of this subpart.
    Independent third-party auditor means a party meeting the 
requirements of Sec.  80.1471(b) that conducts QAP audits and verifies 
RINs.
    Interim period means the period between February 21, 2013 and 
December 31, 2014.
    Membrane separation means the process of dehydrating ethanol to fuel 
grade (99.5% purity) using a hydrophilic membrane.
    Motor vehicle has the meaning given in Section 216(2) of the Clean 
Air Act (42 U.S.C. 7550(2)).
    Nameplate capacity means the peak design capacity of a facility for 
the purposes of registration of a facility under Sec.  
80.1450(b)(1)(v)(C).
    Naphtha means a blendstock or fuel blending component falling within 
the

[[Page 509]]

boiling range of gasoline which is composed of only hydrocarbons, is 
commonly or commercially known as naphtha and is used to produce 
gasoline through blending.
    Neat renewable fuel is a renewable fuel to which 1% or less of 
gasoline (as defined in this section) or diesel fuel has been added.
    Non-ester renewable diesel, also known as renewable diesel, means 
renewable fuel that is not a mono-alkyl ester and that is either:
    (1) A fuel or fuel additive that meets the ASTM D 975-13a 
(incorporated by reference, see Sec.  80.1468) Grade No. 1-D or No. 2-D 
specifications and can be used in an engine designed to operate on 
conventional diesel fuel; or
    (2) A fuel or fuel additive that is registered under 40 CFR part 79 
and can be used in an engine designed to operate using conventional 
diesel fuel.
    Nonforested land means land that is not forestland.
    Non-qualifying fuel use means a use of renewable fuel in an 
application other than transportation fuel, heating oil, or jet fuel.
    Non-renewable feedstock means a feedstock that does not meet the 
definition of renewable biomass.
    Non-RIN-generating foreign producer means a foreign renewable fuel 
producer that has been registered by EPA to produce renewable fuel for 
which RINs have not been generated.
    Nonroad vehicle has the meaning given in Section 216(11) of the 
Clean Air Act (42 U.S.C. 7550(11)).
    Q-RIN means a RIN verified by a registered independent third-party 
auditor using a QAP that has been approved under Sec.  80.1469(c) 
following the audit process described in Sec.  80.1472.
    Quality assurance audit means an audit of a renewable fuel 
production facility conducted by an independent third-party auditor in 
accordance with a QAP that meets the requirements of Sec.  80.1469 and 
requirements of Sec.  80.1472.
    Quality assurance plan, or QAP, means the list of elements that an 
independent third-party auditor will check to verify that the RINs 
generated by a renewable fuel producer or importer are valid. A QAP 
includes both general and pathway specific elements.
    Pastureland is land managed for the production of select indigenous 
or introduced forage plants for livestock grazing or hay production, and 
to prevent succession to other plant types.
    Permitted capacity means 105% of the maximum permissible volume 
output of renewable fuel that is allowed under operating conditions 
specified in the most restrictive of all applicable preconstruction, 
construction and operating permits issued by regulatory authorities 
(including local, regional, state or a foreign equivalent of a state, 
and federal permits, or permits issued by foreign governmental agencies) 
that govern the construction and/or operation of the renewable fuel 
facility, based on an annual volume output on a calendar year basis. If 
the permit specifies maximum rated volume output on an hourly basis, 
then annual volume output is determined by multiplying the hourly output 
by 8,322 hours per year.
    (1) For facilities that commenced construction prior to December 19, 
2007, the permitted capacity is based on permits issued or revised no 
later than December 19, 2007.
    (2) For facilities that commenced construction after December 19, 
2007 and before January 1, 2010 that are fired with natural gas, 
biomass, or a combination thereof, the permitted capacity is based on 
permits issued or revised no later than December 31, 2009.
    (3) For facilities other than those described in paragraphs (1) and 
(2) of this definition, permitted capacity is based on the most recent 
applicable permits.
    Planted crops are all annual or perennial agricultural crops from 
existing agricultural land that may be used as feedstocks for renewable 
fuel, such as grains, oilseeds, sugarcane, switchgrass, prairie grass, 
duckweed, and other species (but not including algae species or planted 
trees), providing that they were intentionally applied by humans to the 
ground, a growth medium, a pond or tank, either by direct application as 
seed or plant, or through intentional natural seeding or vegetative 
propagation by mature plants introduced or left undisturbed for that 
purpose.
    Planted trees are trees harvested from a tree plantation.

[[Page 510]]

    Pre-commercial thinnings are trees, including unhealthy or diseased 
trees, removed to reduce stocking to concentrate growth on more 
desirable, healthy trees, or other vegetative material that is removed 
to promote tree growth.
    Raw starch hydrolysis means the process of hydrolyzing corn starch 
into simple sugars at low temperatures, generally not exceeding 100 
[deg]F (38 [deg]C), using enzymes designed to be effective under these 
conditions.
    Renewable biomass means each of the following (including any 
incidental, de minimis contaminants that are impractical to remove and 
are related to customary feedstock production and transport):
    (1) Planted crops and crop residue harvested from existing 
agricultural land cleared or cultivated prior to December 19, 2007 and 
that was nonforested and either actively managed or fallow on December 
19, 2007.
    (2) Planted trees and tree residue from a tree plantation located on 
non-federal land (including land belonging to an Indian tribe or an 
Indian individual that is held in trust by the U.S. or subject to a 
restriction against alienation imposed by the U.S.) that was cleared at 
any time prior to December 19, 2007 and actively managed on December 19, 
2007.
    (3) Animal waste material and animal byproducts.
    (4) Slash and pre-commercial thinnings from non-federal forestland 
(including forestland belonging to an Indian tribe or an Indian 
individual, that are held in trust by the United States or subject to a 
restriction against alienation imposed by the United States) that is not 
ecologically sensitive forestland.
    (5) Biomass (organic matter that is available on a renewable or 
recurring basis) obtained from within 200 feet of buildings and other 
areas regularly occupied by people, or of public infrastructure, in an 
area at risk of wildfire.
    (6) Algae.
    (7) Separated yard waste or food waste, including recycled cooking 
and trap grease, and materials described in Sec.  80.1426(f)(5)(i).
    Renewable compressed natural gas (CNG) means biogas or biogas-
derived pipeline quality gas that is compressed for use as 
transportation fuel and meets the definition of renewable fuel.
    Renewable electricity means electricity that meets the definition of 
renewable fuel.
    Renewable fuel means a fuel which meets all of the requirements of 
paragraph (1) of this definition:
    (1)(i) Fuel that is produced from renewable biomass.
    (ii) Fuel that is used to replace or reduce the quantity of fossil 
fuel present in a transportation fuel, heating oil, or jet fuel.
    (iii) Has lifecycle greenhouse gas emissions that are at least 20 
percent less than baseline lifecycle greenhouse gas emissions, unless 
the fuel is exempt from this requirement pursuant to Sec.  80.1403.
    (2) Ethanol covered by this definition shall be denatured using an 
ethanol denaturant as required in 27 CFR parts 19 through 21. Any volume 
of ethanol denaturant added to the undenatured ethanol by a producer or 
importer in excess of 2 volume percent shall not be included in the 
volume of ethanol for purposes of determining compliance with the 
requirements under this subpart.
    Renewable gasoline means renewable fuel made from renewable biomass 
that is composed of only hydrocarbons and which meets the definition of 
gasoline in Sec.  80.2(c).
    Renewable gasoline blendstock means a blendstock made from renewable 
biomass that is composed of only hydrocarbons and which meets the 
definition of gasoline blendstock in Sec.  80.2(s).
    Renewable Identification Number (RIN), is a unique number generated 
to represent a volume of renewable fuel pursuant to Sec. Sec.  80.1425 
and 80.1426.
    (1) Gallon-RIN is a RIN that represents an individual gallon of 
renewable fuel used for compliance purposes pursuant to Sec.  80.1427 to 
satisfy a renewable volume obligation.
    (2) Batch-RIN is a RIN that represents multiple gallon-RINs.
    Renewable liquefied natural gas (LNG) means biogas or biogas-derived 
pipeline quality gas that goes through the process of liquefaction in 
which it is cooled below its boiling point, and which meets the 
definition of renewable fuel.

[[Page 511]]

    RIN-generating foreign producer means a foreign renewable fuel 
producer that has been registered by EPA to generate RINs for renewable 
fuel it produces.
    Slash is the residue, including treetops, branches, and bark, left 
on the ground after logging or accumulating as a result of a storm, 
fire, delimbing, or other similar disturbance.
    Small refinery means a refinery for which the average aggregate 
daily crude oil throughput (as determined by dividing the aggregate 
throughput for the calendar year by the number of days in the calendar 
year) does not exceed 75,000 barrels.
    Transportation fuel means fuel for use in motor vehicles, motor 
vehicle engines, nonroad vehicles, or nonroad engines (except fuel for 
use in ocean-going vessels).
    Tree plantation is a stand of no less than 1 acre composed primarily 
of trees established by hand- or machine-planting of a seed or sapling, 
or by coppice growth from the stump or root of a tree that was hand- or 
machine-planted. Tree plantations must have been cleared prior to 
December 19, 2007 and must have been actively managed on December 19, 
2007, as evidenced by records which must be traceable to the land in 
question, which must include:
    (1) Sales records for planted trees or tree residue together with 
other written documentation connecting the land in question to these 
purchases;
    (2) Purchasing records for seeds, seedlings, or other nursery stock 
together with other written documentation connecting the land in 
question to these purchases;
    (3) A written management plan for silvicultural purposes;
    (4) Documentation of participation in a silvicultural program 
sponsored by a Federal, state or local government agency;
    (5) Documentation of land management in accordance with an 
agricultural or silvicultural product certification program;
    (6) An agreement for land management consultation with a 
professional forester that identifies the land in question; or
    (7) Evidence of the existence and ongoing maintenance of a road 
system or other physical infrastructure designed and maintained for 
logging use, together with one of the above-mentioned documents.
    Tree residue is slash and any woody residue generated during the 
processing of planted trees from tree plantations for use in lumber, 
paper, furniture or other applications, provided that such woody residue 
is not mixed with similar residue from trees that do not originate in 
tree plantations.
    Verified RIN means a RIN generated by a renewable fuel producer that 
was subject to a QAP audit executed by an independent third-party 
auditor, and determined by the independent third-party auditor to be 
valid. Verified RINs includes A-RINs, B-RINs, and Q-RINs.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26035, May 10, 2010, 
and 75 FR 37733, June 30, 2010; 75 FR 79976, Dec. 21, 2010; 77 FR 1354, 
Jan. 9, 2012; 78 FR 14215, Mar. 5, 2013; 78 FR 62470, Oct. 22, 2013; 79 
FR 42159, July 18, 2014; 79 FR 42113, July 18, 2014; 80 FR 77517, Dec. 
14, 2016; 83 FR 37746, Aug. 2, 2018; 84 FR 27021, June 10, 2019; 85 FR 
7073, Feb. 6, 2020]



Sec.  80.1402  Availability of information; confidentiality of information.

    (a) Beginning January 1, 2020, no claim of business confidentiality 
may be asserted by any person with respect to information submitted to 
EPA under Sec.  80.1451(c)(2)(ii)(E), whether submitted electronically 
or in paper format. EPA may make information submitted under Sec.  
80.1451(c)(2)(ii)(E) available to the public.
    (b) [Reserved]

[84 FR 27022, June 10, 2019]



Sec.  80.1403  Which fuels are not subject to the 20% GHG thresholds?

    (a) For purposes of this section, the following definitions apply:
    (1) Commence construction, as applied to facilities that produce 
renewable fuel, means that:
    (i) The owner or operator has all necessary preconstruction 
approvals or permits (as defined at 40 CFR 52.21(b)(10)), and has 
satisfied either of the following:
    (A) Begun, or caused to begin, a continuous program of actual 
construction on-site (as defined in 40 CFR 52.21(b)(11)).

[[Page 512]]

    (B) Entered into binding agreements or contractual obligations, 
which cannot be cancelled or modified without substantial loss to the 
owner or operator, to undertake a program of actual construction of the 
facility.
    (ii) For multi-phased projects, the commencement of construction of 
one phase does not constitute commencement of construction of any later 
phase, unless each phase is mutually dependent for physical and chemical 
reasons only.
    (2) [Reserved]
    (b) The lifecycle greenhouse gas emissions from renewable fuels must 
be at least 20 percent less than baseline lifecycle greenhouse gas 
emissions, with the exception of the baseline volumes of renewable fuel 
produced from facilities described in paragraphs (c) and (d) of this 
section.
    (c) The baseline volume of renewable fuel that is produced from 
facilities and any expansions, all of which commenced construction on or 
before December 19, 2007, shall not be subject to the requirement that 
lifecycle greenhouse gas emissions be at least 20 percent less than 
baseline lifecycle greenhouse gas emissions if the owner or operator:
    (1) Did not discontinue construction for a period of 18 months after 
commencement of construction; and
    (2) Completed construction by December 19, 2010.
    (d) The baseline volume of ethanol that is produced from facilities 
and any expansions all of which commenced construction after December 
19, 2007 and on or before December 31, 2009, shall not be subject to the 
requirement that lifecycle greenhouse gas emissions be at least 20 
percent less than baseline lifecycle greenhouse gas emissions if such 
facilities are fired with natural gas, biomass, or a combination thereof 
at all times the facility operated between December 19, 2007 and 
December 31, 2009 and if:
    (1) The owner or operator did not discontinue construction for a 
period of 18 months after commencement of construction;
    (2) The owner or operator completed construction within 36 months of 
commencement of construction; and
    (3) The baseline volume continues to be produced through processes 
fired with natural gas, biomass, or any combination thereof.
    (e) The annual volume of renewable fuel during a calendar year from 
facilities described in paragraphs (c) and (d) of this section that 
exceeds the baseline volume shall be subject to the requirement that 
lifecycle greenhouse gas emissions be at least 20 percent less than 
baseline lifecycle greenhouse gas emissions.
    (f) If there are any changes in the mix of renewable fuels produced 
by those facilities described in paragraph (d) of this section, only the 
ethanol volume (to the extent it is less than or equal to baseline 
volume) will not be subject to the requirement that lifecycle greenhouse 
gas emissions be at least 20 percent less than baseline lifecycle 
greenhouse gas emissions. Any party that changes the fuel mix must 
update their registration as specified in Sec.  80.1450(d).

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26036, May 10, 2010; 75 
FR 37733, June 30, 2010; 75 FR 79976, Dec. 21, 2010]



Sec.  80.1404  [Reserved]



Sec.  80.1405  What are the Renewable Fuel Standards?

    (a)(1) Renewable Fuel Standards for 2010.
    (i) The value of the cellulosic biofuel standard for 2010 shall be 
0.004 percent.
    (ii) The value of the biomass-based diesel standard for 2010 shall 
be 1.10 percent.
    (iii) The value of the advanced biofuel standard for 2010 shall be 
0.61 percent.
    (iv) The value of the renewable fuel standard for 2010 shall be 8.25 
percent.
    (2) Renewable Fuel Standards for 2011.
    (i) [Reserved]
    (ii) The value of the biomass-based diesel standard for 2011 shall 
be 0.69 percent.
    (iii) The value of the advanced biofuel standard for 2011 shall be 
0.78 percent.
    (iv) The value of the renewable fuel standard for 2011 shall be 8.01 
percent.
    (3) Renewable Fuel Standards for 2012.
    (i) [Reserved]

[[Page 513]]

    (ii) The value of the biomass-based diesel standard for 2012 shall 
be 0.91 percent.
    (iii) The value of the advanced biofuel standard for 2012 shall be 
1.21 percent.
    (iv) The value of the renewable fuel standard for 2012 shall be 9.23 
percent.
    (4) Renewable Fuel Standards for 2013.
    (i) The value of the cellulosic biofuel standard for 2013 shall be 
0.0005 percent.
    (ii) The value of the biomass-based diesel standard for 2013 shall 
be 1.13 percent.
    (iii) The value of the advanced biofuel standard for 2013 shall be 
1.62 percent.
    (iv) The value of the renewable fuel standard for 2013 shall be 9.74 
percent.
    (5) Renewable Fuel Standards for 2014.
    (i) The value of the cellulosic biofuel standard for 2014 shall be 
0.019 percent.
    (ii) The value of the biomass-based diesel standard for 2014 shall 
be 1.41 percent.
    (iii) The value of the advanced biofuel standard for 2014 shall be 
1.51 percent.
    (iv) The value of the renewable fuel standard for 2014 shall be 9.19 
percent.
    (6) Renewable Fuel Standards for 2015.
    (i) The value of the cellulosic biofuel standard for 2015 shall be 
0.069 percent.
    (ii) The value of the biomass-based diesel standard for 2015 shall 
be 1.49 percent.
    (iii) The value of the advanced biofuel standard for 2015 shall be 
1.62 percent.
    (iv) The value of the renewable fuel standard for 2015 shall be 9.52 
percent.
    (7) Renewable Fuel Standards for 2016.
    (i) The value of the cellulosic biofuel standard for 2016 shall be 
0.128 percent.
    (ii) The value of the biomass-based diesel standard for 2016 shall 
be 1.59 percent.
    (iii) The value of the advanced biofuel standard for 2016 shall be 
2.01 percent.
    (iv) The value of the renewable fuel standard for 2016 shall be 
10.10 percent.
    (8) Renewable Fuel Standards for 2017.
    (i) The value of the cellulosic biofuel standard for 2017 shall be 
0.173 percent.
    (ii) The value of the biomass-based diesel standard for 2017 shall 
be 1.67 percent.
    (iii) The value of the advanced biofuel standard for 2017 shall be 
2.38 percent.
    (iv) The value of the renewable fuel standard for 2017 shall be 
10.70 percent.
    (9) Renewable Fuel Standards for 2018.
    (i) The value of the cellulosic biofuel standard for 2018 shall be 
0.159 percent.
    (ii) The value of the biomass-based diesel standard for 2018 shall 
be 1.74 percent.
    (iii) The value of the advanced biofuel standard for 2018 shall be 
2.37 percent.
    (iv) The value of the renewable fuel standard for 2018 shall be 
10.67 percent.
    (10) Renewable Fuel Standards for 2019.
    (i) The value of the cellulosic biofuel standard for 2019 shall be 
0.230 percent.
    (ii) The value of the biomass-based diesel standard for 2019 shall 
be 1.73 percent.
    (iii) The value of the advanced biofuel standard for 2019 shall be 
2.71 percent.
    (iv) The value of the renewable fuel standard for 2019 shall be 
10.97 percent.
    (11) Renewable Fuel Standards for 2020. (i) The value of the 
cellulosic biofuel standard for 2020 shall be 0.34 percent.
    (ii) The value of the biomass-based diesel standard for 2020 shall 
be 2.10 percent.
    (iii) The value of the advanced biofuel standard for 2020 shall be 
2.93 percent.
    (iv) The value of the renewable fuel standard for 2020 shall be 
11.56 percent.
    (b) EPA will calculate the value of the annual standards and publish 
these values in the Federal Register by November 30 of the year 
preceding the compliance period.
    (c) EPA will calculate the annual renewable fuel percentage 
standards using the following equations:

[[Page 514]]

[GRAPHIC] [TIFF OMITTED] TR09JA12.003

Where:

StdCB,i = The cellulosic biofuel standard for year i, in 
          percent.
StdBBD,i= The biomass-based diesel standard for year i, in 
          percent.
StdAB,i= The advanced biofuel standard for year i, in 
          percent.
StdRF,i= The renewable fuel standard for year i, in percent.
RFVCB,i= Annual volume of cellulosic biofuel required by 42 
          U.S.C. 7545(o)(2)(B) for year i, or volume as adjusted 
          pursuant to 42 U.S.C. 7545(o)(7)(D), in gallons.
RFVBBD,i= Annual volume of biomass-based diesel required by 
          42 U.S.C. 7545 (o)(2)(B) for year i, in gallons.
RFVAB,i= Annual volume of advanced biofuel required by 42 
          U.S.C. 7545(o)(2)(B) for year i, in gallons.
RFVRF,i= Annual volume of renewable fuel required by 42 
          U.S.C. 7545(o)(2)(B) for year i, in gallons.
Gi= Amount of gasoline projected to be used in the 48 
          contiguous states and Hawaii, in year i, in gallons.
Di= Amount of diesel projected to be used in the 48 
          contiguous states and Hawaii, in year i, in gallons.
RGi= Amount of renewable fuel blended into gasoline that is 
          projected to be consumed in the 48 contiguous states and 
          Hawaii, in year i, in gallons.
RDi= Amount of renewable fuel blended into diesel that is 
          projected to be consumed in the 48 contiguous states and 
          Hawaii, in year i, in gallons.
GSi= Amount of gasoline projected to be used in Alaska or a 
          U.S. territory, in year i, if the state or territory has 
          opted-in or opts-in, in gallons.
RGSi= Amount of renewable fuel blended into gasoline that is 
          projected to be consumed in Alaska or a U.S. territory, in 
          year i, if the state or territory opts-in, in gallons.
DSi= Amount of diesel projected to be used in Alaska or a 
          U.S. territory, in year i, if the state or territory has 
          opted-in or opts-in, in gallons.
RDSi= Amount of renewable fuel blended into diesel that is 
          projected to be consumed in Alaska or a U.S. territory, in 
          year i, if the state or territory opts-in, in gallons.
GEi = The total amount of gasoline projected to be exempt in 
          year i, in gallons, per Sec. Sec.  80.1441 and 80.1442.
DEi = The total amount of diesel fuel projected to be exempt 
          in year i, in gallons, per Sec. Sec.  80.1441 and 80.1442.


[[Page 515]]


    (d) The price for cellulosic biofuel waiver credits will be 
calculated in accordance with Sec.  80.1456(d) and published on EPA's 
Web site.

[77 FR 1354, Jan. 9, 2012, as amended at 78 FR 49830, Aug. 15, 2013; 79 
FR 25031, May 2, 2014; 80 FR 18140, Apr. 3, 2015; 80 FR 77517, Dec. 14, 
2015; 81 FR 89804, Dec. 12, 2016; 82 FR 58527, Dec. 12, 2017; 83 FR 
63744, Dec. 11, 2018; 85 FR 7074, Feb. 6, 2020]



Sec.  80.1406  Who is an obligated party under the RFS program?

    (a)(1) An obligated party is any refiner that produces gasoline or 
diesel fuel within the 48 contiguous states or Hawaii, or any importer 
that imports gasoline or diesel fuel into the 48 contiguous states or 
Hawaii during a compliance period. A party that simply blends renewable 
fuel into gasoline or diesel fuel, as defined in Sec.  80.1407(c) or 
(e), is not an obligated party.
    (2) If the Administrator approves a petition of Alaska or a United 
States territory to opt-in to the renewable fuel program under the 
provisions in Sec.  80.1443, then ``obligated party'' shall also include 
any refiner that produces gasoline or diesel fuel within that state or 
territory, or any importer that imports gasoline or diesel fuel into 
that state or territory.
    (b) For each compliance period starting with 2010, an obligated 
party is required to demonstrate, pursuant to Sec.  80.1427, that it has 
satisfied the Renewable Volume Obligations for that compliance period, 
as specified in Sec.  80.1407(a).
    (c) Aggregation of facilities--(1) Except as provided in paragraphs 
(c)(2), (d) and (e) of this section, an obligated party may comply with 
the requirements of paragraph (b) of this section in the aggregate for 
all of the refineries that it operates, or for each refinery 
individually.
    (2) An obligated party that carries a deficit into year i + 1 must 
use the same approach to aggregation of facilities in year i + 1 as it 
did in year i.
    (d) An obligated party must comply with the requirements of 
paragraph (b) of this section for all of its imported gasoline or diesel 
fuel in the aggregate.
    (e) An obligated party that is both a refiner and importer must 
comply with the requirements of paragraph (b) of this section for its 
imported gasoline or diesel fuel separately from gasoline or diesel fuel 
produced by its domestic refinery or refineries.
    (f) Where a refinery or import facility is jointly owned by two or 
more parties, the requirements of paragraph (b) of this section may be 
met by one of the joint owners for all of the gasoline or diesel fuel 
produced/imported at the facility, or each party may meet the 
requirements of paragraph (b) of this section for the portion of the 
gasoline or diesel fuel that it produces or imports, as long as all of 
the gasoline or diesel fuel produced/imported at the facility is 
accounted for in determining the Renewable Volume Obligations under 
Sec.  80.1407. In either case, all joint owners are subject to the 
liability provisions of Sec.  80.1461(d).
    (g) The requirements in paragraph (b) of this section apply to the 
following compliance periods: Beginning in 2010, and every year 
thereafter, the compliance period is January 1 through December 31.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26037, May 10, 2010]



Sec.  80.1407  How are the Renewable Volume Obligations calculated?

    (a) The Renewable Volume Obligations for an obligated party are 
determined according to the following formulas:
    (1) Cellulosic biofuel.

RVOCB,i = (RFStdCB,i * (GVi + 
DVi)) + DCB,i-1

Where:

RVOCB,i = The Renewable Volume Obligation for cellulosic 
          biofuel for an obligated party for calendar year i, in 
          gallons.
RFStdCB,i = The standard for cellulosic biofuel for calendar 
          year i, determined by EPA pursuant to Sec.  80.1405, in 
          percent.
GVi = The non-renewable gasoline volume, determined in 
          accordance with paragraphs (b), (c), and (f) of this section, 
          which is produced in or imported into the 48 contiguous states 
          or Hawaii by an obligated party in calendar year i, in 
          gallons.
DVi = The non-renewable diesel volume, determined in 
          accordance with paragraphs (d), (e), and (f) of this section, 
          produced in or imported into the 48 contiguous states or 
          Hawaii by an obligated party in calendar year i, in gallons.

[[Page 516]]

DCB,i-1 = Deficit carryover from the previous year for 
          cellulosic biofuel, in gallons.

    (2) Biomass-based diesel.

RVOBBD,i = (RFStdBBD,i * (GVi + 
DVi)) + DBBD,i-1

Where:

RVOBBD,i = The Renewable Volume Obligation for biomass-based 
          diesel for an obligated party for calendar year i, in gallons.
RFStdBBD,i = The standard for biomass-based diesel for 
          calendar year i, determined by EPA pursuant to Sec.  80.1405, 
          in percent.
GVi = The non-renewable gasoline volume, determined in 
          accordance with paragraphs (b), (c), and (f) of this section, 
          which is produced in or imported into the 48 contiguous states 
          or Hawaii by an obligated party in calendar year i, in 
          gallons.
DVi = The non-renewable diesel volume, determined in 
          accordance with paragraphs (d), (e), and (f) of this section, 
          produced in or imported into the 48 contiguous states or 
          Hawaii by an obligated party in calendar year i, in gallons.
DBBD,i-1 = Deficit carryover from the previous year for 
          biomass-based diesel, in gallons.

    (3) Advanced biofuel.

RVOAB,i = (RFStdAB,i * (GVi + 
DVi)) + DAB,i-1

Where:

RVOAB,i = The Renewable Volume Obligation for advanced 
          biofuel for an obligated party for calendar year i, in 
          gallons.
RFStdAB,i = The standard for advanced biofuel for calendar 
          year i, determined by EPA pursuant to Sec.  80.1405, in 
          percent.
GVi = The non-renewable gasoline volume, determined in 
          accordance with paragraphs (b), (c), and (f) of this section, 
          which is produced in or imported into the 48 contiguous states 
          or Hawaii by an obligated party in calendar year i, in 
          gallons.
DVi = The non-renewable diesel volume, determined in 
          accordance with paragraphs (d), (e), and (f) of this section, 
          produced in or imported into the 48 contiguous states or 
          Hawaii by an obligated party in calendar year i, in gallons.
DAB,i-1 = Deficit carryover from the previous year for 
          advanced biofuel, in gallons.

    (4) Renewable fuel.

RVORF,i = (RFStdRF,i * (GVi + 
DVi)) + DRF,i-1

Where:

RVORF,i = The Renewable Volume Obligation for renewable fuel 
          for an obligated party for calendar year i, in gallons.
RFStdRF,i = The standard for renewable fuel for calendar year 
          i, determined by EPA pursuant to Sec.  80.1405, in percent.
GVi = The non-renewable gasoline volume, determined in 
          accordance with paragraphs (b), (c), and (f) of this section, 
          which is produced in or imported into the 48 contiguous states 
          or Hawaii by an obligated party in calendar year i, in 
          gallons.
DVi = The non-renewable diesel volume, determined in 
          accordance with paragraphs (d), (e), and (f) of this section, 
          produced in or imported into the 48 contiguous states or 
          Hawaii by an obligated party in calendar year i, in gallons.
DRF,i-1 = Deficit carryover from the previous year for 
          renewable fuel, in gallons.

    (b) The non-renewable gasoline volume, GVi, for an 
obligated party for a given year as specified in paragraph (a) of this 
section is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR26MR10.430

Where:

x = Individual batch of gasoline produced or imported in calendar year 
          i.
n = Total number of batches of gasoline produced or imported in calendar 
          year i.
GX = Volume of batch x of gasoline produced or imported, as 
          defined in paragraph (c) of this section, in gallons.
y = Individual batch of renewable fuel blended into gasoline in calendar 
          year i.
m = Total number of batches of renewable fuel blended into gasoline in 
          calendar year i.
RBGy = Volume of batch y of renewable fuel blended into 
          gasoline, in gallons.

    (c) Except as specified in paragraph (f) of this section, all of the 
following products that are produced or imported during a compliance 
period, collectively called ``gasoline'' for the purposes of this 
section (unless otherwise

[[Page 517]]

specified), are to be included (but not double-counted) in the volume 
used to calculate a party's Renewable Volume Obligations under paragraph 
(a) of this section, except as provided in paragraph (f) of this 
section:
    (1) Reformulated gasoline, whether or not renewable fuel is later 
added to it.
    (2) Conventional gasoline, whether or not renewable fuel is later 
added to it.
    (3) Reformulated gasoline blendstock that becomes finished 
reformulated gasoline upon the addition of oxygenate (RBOB).
    (4) Conventional gasoline blendstock that becomes finished 
conventional gasoline upon the addition of oxygenate (CBOB).
    (5) Blendstock (including butane, pentane, and gasoline treated as 
blendstock (GTAB)) that has been combined with other blendstock and/or 
finished gasoline to produce gasoline.
    (6) Any gasoline, or any unfinished gasoline that becomes finished 
gasoline upon the addition of oxygenate, that is produced or imported to 
comply with a state or local fuels program.
    (d) The diesel non-renewable volume, DVi, for an 
obligated party for a given year as specified in paragraph (a) of this 
section is calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR26MR10.431

Where:

x = Individual batch of diesel produced or imported in calendar year i.
n = Total number of batches of diesel produced or imported in calendar 
          year i.
DX = Volume of batch x of diesel produced or imported, as 
          defined in paragraph (e) of this section, in gallons.
y = Individual batch of renewable fuel blended into diesel in calendar 
          year i.
m = Total number of batches of renewable fuel blended into diesel in 
          calendar year i.
RBDy = Volume of batch y of renewable fuel blended into 
          diesel, in gallons.

    (e) Except as specified in paragraph (f) of this section, all 
products meeting the definition of MVNRLM diesel fuel at Sec.  80.2(qqq) 
that are produced or imported during a compliance period, collectively 
called ``diesel fuel'' for the purposes of this section (unless 
otherwise specified), are to be included (but not double-counted) in the 
volume used to calculate a party's Renewable Volume Obligations under 
paragraph (a) of this section.
    (f) The following products are not included in the volume of 
gasoline or diesel fuel produced or imported used to calculate a party's 
Renewable Volume Obligations according to paragraph (a) of this section:
    (1) Any renewable fuel as defined in Sec.  80.1401.
    (2) Blendstock that has not been combined with other blendstock, 
finished gasoline, or diesel to produce gasoline or diesel.
    (3) Gasoline or diesel fuel produced or imported for use in Alaska, 
the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, American 
Samoa, and the Commonwealth of the Northern Marianas, unless the area 
has opted into the RFS program under Sec.  80.1443.
    (4) Gasoline or diesel fuel produced by a small refinery that has an 
exemption under Sec.  80.1441 or an approved small refiner that has an 
exemption under Sec.  80.1442.
    (5) Gasoline or diesel fuel exported for use outside the 48 United 
States and Hawaii, and gasoline or diesel fuel exported for use outside 
Alaska, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, 
American Samoa, and the Commonwealth of the Northern Marianas, if the 
area has opted into the RFS program under Sec.  80.1443.
    (6) For blenders, the volume of finished gasoline, finished diesel 
fuel, RBOB, or CBOB to which a blender adds blendstocks.
    (7) The gasoline or diesel fuel portion of transmix produced by a 
transmix processor, or the transmix blended into gasoline or diesel fuel 
by a transmix blender, under Sec.  80.84.
    (8) Any gasoline or diesel fuel that is not transportation fuel.
    (9) Distillate fuel with a sulfur content greater than 15 ppm that 
is clearly designated for a use other than transportation fuel, such as 
heating oil or ECA marine fuel.
    (10) Distillate fuel that meets a 15 ppm sulfur standard, is 
designated for non-transportation use, and that remains completely 
segregated from MVNRLM diesel fuel from the point of

[[Page 518]]

production through to the point of use for a non-transportation
purpose, 
such as heating oil or ECA marine fuel.
    (11) Certified NTDF, if the refiner or importer has a reasonable 
expectation that the fuel will be used for non-transportation purposes. 
To establish a reasonable expectation that the fuel will be used for 
non-transportation purposes, a refiner or importer must, at a minimum, 
be able to demonstrate that they supply areas that use heating oil, ECA 
marine fuel, or 15 ppm distillate fuel for non-transportation purposes 
in quantities that are consistent with past practices or changed 
circumstances. EPA may consider any other relevant information, 
including the price of the fuel, in assessing whether a refiner or 
importer has a reasonable expectation that the fuel will be used for 
non-transportation purposes.

[75 FR 14863, Mar. 26, 2010, as amended at 79 FR 23655, Apr. 28, 2014; 
85 FR 7074, Feb. 6, 2020]



Sec.  80.1408  What are the requirements for parties that own and
redesignate certified NTDF as MVNRLM diesel fuel?

    (a) Beginning January 1, 2021, a party that owns certified NTDF, and 
only a party that owns certified NTDF, may redesignate NTDF as MVNRLM 
diesel fuel if they meet all of the following requirements:
    (1) Register as a refiner and register each facility where 
redesignation occurs as a refinery under Sec.  80.76. NTDF may only be 
redesignated as MVNRLM diesel fuel at a facility registered as a 
refinery.
    (2) At each facility, calculate a balance of MVNRLM diesel fuel 
during each annual compliance period according to the following 
equation:

MVNRLMBAL = MVNRLMO + MVNRLMINVCHG-
MVNRLMI

Where:

MVNRLMBAL = the balance for MVNRLM diesel fuel for the 
          compliance period.
MVNRLMI = the total volume of all batches of fuel designated 
          as MVNRLM diesel fuel owned when the fuel was received at the 
          facility and acquired at the facility during the compliance 
          period. Any MVNRLM diesel fuel produced (apart from 
          redesignation of NTDF to MVNRLM diesel fuel) or imported into 
          the facility must also be included in this volume.
MVNRLMO = the total volume of all batches of fuel designated 
          as MVNRLM diesel fuel owned and sold or transferred to other 
          parties at the facility during the compliance period.
MVNRLMINVCHG = the volume of MVNRLM diesel fuel owned at the 
          end of the compliance period minus the volume of MVNRLM diesel 
          fuel owned at the beginning of the compliance period, 
          including accounting for any corrections in inventory due to 
          volume swell or shrinkage, difference in measurement 
          calibration between receiving and delivering meters, and 
          similar matters, where corrections that increase inventory are 
          defined as positive.

    (i) If MVNRLMBAL is greater than 0, an RVO is incurred by 
the redesignating party for the volume of diesel fuel equal to MVNRLM. 
The redesignating party must also comply with all of the following:
    (A) The reporting requirements of Sec.  80.1451(a)(1)(xix).
    (B) The recordkeeping requirements of Sec.  80.1454(t).
    (C) The attest engagement requirements of Sec. Sec.  80.1464 and 
80.1475, as applicable.
    (ii) If MVNRLMBAL is less than or equal to 0, no RVO is 
incurred by the redesignating party for any redesignated certified NTDF. 
These parties must comply with all of the following:
    (A) The reporting requirements of Sec.  80.1451(i).
    (B) The recordkeeping requirements of Sec.  80.1454(t).
    (b) Parties that incur an RVO under paragraph (a)(2)(i) of this 
section must comply with all applicable requirements for obligated 
parties under this subpart.
    (c) The provisions of this section do not apply to gasoline or 
diesel fuel that is designated for export.

[85 FR 7074, Feb. 6, 2020]



Sec. Sec.  80.1409-80.1414  [Reserved]



Sec.  80.1415  How are equivalence values assigned to renewable fuel?

    (a)(1) Each gallon of a renewable fuel, or gallon equivalent 
pursuant to paragraph (b)(5) or (b)(6) of this section, shall be 
assigned an equivalence value

[[Page 519]]

by the producer or importer pursuant to paragraph (b) or (c) of this 
section.
    (2) The equivalence value is a number that is used to determine how 
many gallon-RINs can be generated for a gallon of renewable fuel 
according to Sec.  80.1426.
    (b) Equivalence values shall be assigned for certain renewable fuels 
as follows:
    (1) Ethanol which is denatured shall have an equivalence value of 
1.0.
    (2) Biodiesel (mono-alkyl ester) shall have an equivalence value of 
1.5.
    (3) Butanol shall have an equivalence value of 1.3.
    (4) Non-ester renewable diesel with a lower heating value of at 
least 123,500 Btu/gal shall have an equivalence value of 1.7.
    (5) 77,000 Btu (lower heating value) of compressed natural gas (CNG) 
or liquefied natural gas (LNG) shall represent one gallon of renewable 
fuel with an equivalence value of 1.0.
    (6) 22.6 kW-hr of electricity shall represent one gallon of 
renewable fuel with an equivalence value of 1.0.
    (7) For all other renewable fuels, a producer or importer shall 
submit an application to the Agency for an equivalence value following 
the provisions of paragraph (c) of this section. A producer or importer 
may also submit an application for an alternative equivalence value 
pursuant to paragraph (c) if the renewable fuel is listed in this 
paragraph (b), but the producer or importer has reason to believe that a 
different equivalence value than that listed in this paragraph (b) is 
warranted.
    (c) Calculation of new equivalence values. (1) The equivalence value 
for renewable fuels described in paragraph (b)(7) of this section shall 
be calculated using the following formula:

EV = (R/0.972) * (EC/77,000)

Where:

EV = Equivalence Value for the renewable fuel, rounded to the nearest 
          tenth.
R = Renewable content of the renewable fuel. This is a measure of the 
          portion of a renewable fuel that came from renewable biomass, 
          expressed as a fraction, on an energy basis.
EC = Energy content of the renewable fuel, in Btu per gallon (lower 
          heating value).

    (2) The application for an equivalence value shall include a 
technical justification that includes all the following:
    (i) A calculation for the requested equivalence value according to 
the equation in paragraph (c)(1) of this section, including supporting 
documentation for the value of EC used in the calculation such as a 
certificate of analysis from a laboratory that verifies the lower 
heating value in Btu per gallon of the renewable fuel produced.
    (ii) For each feedstock, component, or additive that is used to make 
the renewable fuel, provide a description, the percent input, and 
identify whether or not it is renewable biomass or is derived from 
renewable biomass.
    (iii) For each feedstock that also qualifies as a renewable fuel, 
state whether or not RINs have been previously generated for such 
feedstock.
    (iv) A description of the renewable fuel and the production process, 
including a block diagram that shows all inputs and outputs at each step 
of the production process with a sample quantity of all inputs and 
outputs for one batch of renewable fuel produced.
    (3) The Agency will review the technical justification and assign an 
appropriate equivalence value to the renewable fuel based on the 
procedure in this paragraph (c).
    (4) Applications for equivalence values must be sent to the 
attention of ``RFS2 Program (Equivalence Value Application)'' to the 
address in Sec.  80.10(a).
    (5) All applications required under this section shall be submitted 
on forms and following procedures prescribed by the Administrator.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26037, May 10, 2010; 77 
FR 1355, Jan. 9, 2012; 79 FR 42159, July 18, 2014; 85 FR 7075, Feb. 6, 
2020]



Sec.  80.1416  Petition process for evaluation of new renewable
fuels pathways.

    (a) Pursuant to this section, a party may petition EPA to assign a D 
code for their renewable fuel if any of the following apply:

[[Page 520]]

    (1) The renewable fuel pathway has not been evaluated by EPA to 
determine if it qualifies for a D code pursuant to Sec.  80.1426(f).
    (2) The renewable fuel pathway has been determined by EPA not to 
qualify for a D code pursuant to Sec.  80.1426(f) and the party can 
document significant differences between their fuel production processes 
and the fuel production processes already considered by EPA.
    (3) The renewable fuel pathway has been determined to qualify for a 
certain D code pursuant to Sec.  80.1426(f) and the party can document 
significant differences between their fuel production processes and the 
fuel production processes already considered by EPA that may qualify 
their fuel pathway for a different D code.
    (b)(1) Any petition under paragraph (a) of this section shall 
include all the following:
    (i) The information specified under Sec.  80.76.
    (ii) A technical justification that includes a description of the 
renewable fuel, feedstock(s) used to make it, and the production 
process. The justification must include process modeling flow charts.
    (iii) A mass balance for the pathway, including feedstocks, fuels 
produced, co-products, and waste materials production.
    (iv) Information on co-products, including their expected use and 
market value.
    (v) An energy balance for the pathway, including a list of any 
energy and process heat inputs and outputs used in the pathway, 
including such sources produced off site or by another entity.
    (vi) Any other relevant information, including information 
pertaining to energy saving technologies or other process improvements.
    (vii) The Administrator may ask for additional information to 
complete the lifecycle greenhouse gas assessment of the new fuel or 
pathway.
    (2) For those companies who use a feedstock not previously evaluated 
by EPA under this subpart, the petition must include all the following 
in addition to the requirements in paragraph (b)(1) of this section:
    (i) Type of feedstock and description of how it meets the definition 
of renewable biomass.
    (ii) Market value of the feedstock.
    (iii) List of other uses for the feedstock.
    (iv) List of chemical inputs needed to produce the renewable biomass 
source of the feedstock and prepare the renewable biomass for processing 
into feedstock.
    (v) Identify energy needed to obtain the feedstock and deliver it to 
the facility. If applicable, identify energy needed to plant and harvest 
the renewable biomass source of the feedstock and modify the source to 
create the feedstock.
    (vi) Current and projected quantities of the feedstock that will be 
used to produce the fuel, including information on current and projected 
yields for feedstocks that are harvested or collected.
    (vii) The Administrator may ask for additional information to 
complete the lifecycle Greenhouse Gas assessment of the new fuel or 
pathway.
    (c)(1) A company may only submit one petition per pathway. If EPA 
determines the petition to be incomplete, then the company may resubmit.
    (2) The petition must be signed and certified as meeting all the 
applicable requirements of this subpart by the responsible corporate 
officer of the applicant company.
    (3) If EPA determines that the petition is incomplete then EPA will 
notify the applicant in writing that the petition is incomplete and will 
not be reviewed further. However, an amended petition that corrects the 
omission may be re-submitted for EPA review.
    (4) If the fuel or pathway described in the petition does not meet 
the definitions in Sec.  80.1401 of renewable fuel, advanced biofuel, 
cellulosic biofuel, or biomass-based diesel, then EPA will notify the 
applicant in writing that the petition is denied and will not be 
reviewed further.
    (d) A D code must be approved prior to the generation of RINs for 
the fuel in question. During petition review EPA will evaluate whether a 
feedstock meets the 75% cellulosic content threshold allowing cellulosic 
RINs to be generated for the entire fuel volume

[[Page 521]]

produced. The Administrator may ask for additional information to 
complete this evaluation.
    (e) The petition under this section shall be submitted on forms and 
following procedures as prescribed by EPA.

[75 FR 26037, May 10, 2010, as amended at 79 FR 42160, July 18, 2014]



Sec. Sec.  80.1417-80.1424  [Reserved]



Sec.  80.1425  Renewable Identification Numbers (RINs).

    RINs generated on or after July 1, 2010 shall not be generated as a 
38-digit code, but shall be identified by the information specified in 
paragraphs (a) through (i) of this section and introduced into EMTS as 
data elements during the generation of RINs pursuant to Sec.  
80.1452(b). For RINs generated prior to July 1, 2010, each RIN is a 38-
digit code of the following form:

                         KYYYYCCCCFFFFFBBBBBRRD

                            SSSSSSSSEEEEEEEE

    (a) K is a number identifying the type of RIN as follows:
    (1) K has the value of 1 when the RIN is assigned to a volume of 
renewable fuel pursuant to Sec.  80.1426(e) and Sec.  80.1428(a).
    (2) K has the value of 2 when the RIN has been separated from a 
volume of renewable fuel pursuant to Sec.  80.1429.
    (b) YYYY is the calendar year in which the RIN was generated.
    (c) CCCC is the registration number assigned, according to Sec.  
80.1450, to the producer or importer of the batch of renewable fuel.
    (d) FFFFF is the registration number assigned, according to Sec.  
80.1450, to the facility at which the batch of renewable fuel was 
produced or imported.
    (e) BBBBB is a serial number assigned to the batch which is chosen 
by the producer or importer of the batch such that no two batches have 
the same value in a given calendar year.
    (f) RR is a number representing 10 times the equivalence value of 
the renewable fuel as specified in Sec.  80.1415.
    (g) D is a number determined according to Sec.  80.1426(f) and 
identifying the type of renewable fuel, as follows:
    (1) D has the value of 3 to denote fuel categorized as cellulosic 
biofuel.
    (2) D has the value of 4 to denote fuel categorized as biomass-based 
diesel.
    (3) D has the value of 5 to denote fuel categorized as advanced 
biofuel.
    (4) D has the value of 6 to denote fuel categorized as renewable 
fuel.
    (5) D has the value of 7 to denote fuel categorized as cellulosic 
diesel.
    (h) SSSSSSSS is a number representing the first gallon-RIN 
associated with a batch of renewable fuel.
    (i) EEEEEEEE is a number representing the last gallon-RIN associated 
with a volume of renewable fuel.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 79977, Dec. 21, 2010]



Sec.  80.1426  How are RINs generated and assigned to batches of
renewable fuel?

    (a) General requirements. (1) To the extent permitted under 
paragraphs (b) and (c) of this section, producers and importers of 
renewable fuel must generate RINs to represent that fuel if all of the 
following occur:
    (i) The fuel qualifies for a D code pursuant to Sec.  80.1426(f), or 
the EPA has approved a petition for use of a D code pursuant to Sec.  
80.1416.
    (ii) The fuel is demonstrated to be produced from renewable biomass 
pursuant to the reporting requirements of Sec.  80.1451 and the 
recordkeeping requirements of Sec.  80.1454.
    (A) Feedstocks meeting the requirements of renewable biomass through 
the aggregate compliance provision at Sec.  80.1454(g) are deemed to be 
renewable biomass.
    (B) [Reserved]
    (iii) The fuel was produced in compliance with the registration 
requirements of Sec.  80.1450, the reporting requirements of Sec.  
80.1451, the recordkeeping requirements of Sec.  80.1454, all conditions 
set forth in an approval document for a pathway petition submitted under 
Sec.  80.1416, and all other applicable regulations of this subpart M.
    (iv) The renewable fuel is designated on a product transfer document 
(PTD) for use as transportation fuel, heating oil, or jet fuel in 
accordance with Sec.  80.1453(a)(12).
    (2) To generate RINs for imported renewable fuel, including any 
renewable

[[Page 522]]

fuel contained in imported transportation fuel, heating oil, or jet 
fuel, importers must obtain information from a non-RIN-generating 
foreign renewable fuel producer that is registered pursuant to Sec.  
80.1450 sufficient to make the appropriate determination regarding the 
applicable D code and compliance with the renewable biomass definition 
for each imported batch for which RINs are generated.
    (3) A party generating a RIN shall specify the appropriate numerical 
values for each component of the RIN in accordance with the provisions 
of Sec.  80.1425(a) and paragraph (f) of this section.
    (b) Regional applicability. (1) Except as provided in paragraph (c) 
of this section, a RIN must be generated by a renewable fuel producer or 
importer for a batch of renewable fuel that satisfies the requirements 
of paragraph (a)(1) of this section if it is produced or imported for 
use as transportation fuel, heating oil, or jet fuel in the 48 
contiguous states or Hawaii.
    (2) If the Administrator approves a petition of Alaska or a United 
States territory to opt-in to the renewable fuel program under the 
provisions in Sec.  80.1443, then the requirements of paragraph (b)(1) 
of this section shall also apply to renewable fuel produced or imported 
for use as transportation fuel, heating oil, or jet fuel in that state 
or territory beginning in the next calendar year.
    (c) Cases in which RINs are not generated.(1) Fuel producers and 
importers may not generate RINs for fuel that does not satisfy the 
requirements of paragraph (a)(1) of this section.
    (2) Small producer/importer threshold. Pursuant to Sec.  80.1455(a) 
and (b), renewable fuel producers that produce less than 10,000 gallons 
a year of renewable fuel, and importers that import less than 10,000 
gallons a year of renewable fuel, are not required to generate and 
assign RINs to batches of renewable fuel that satisfy the requirements 
of paragraph (a)(1) of this section that they produce or import.
    (3) Temporary new producer threshold. Pursuant to Sec.  80.1455(c) 
and (d), new renewable fuel producers that produce less than 125,000 
gallons of renewable fuel a year are not required to generate and assign 
RINs to batches of renewable fuel to satisfy the requirements of 
paragraph (a)(1) of this section.
    (i) The provisions of this paragraph (c)(3) apply only to new 
facilities, for a maximum of three years beginning with the calendar 
year in which the production facility produces its first gallon of 
renewable fuel.
    (ii) [Reserved]
    (4) Importers shall not generate RINs for renewable fuel imported 
from a non-RIN-generating foreign renewable fuel producer unless the 
foreign renewable fuel producer is registered with EPA as required in 
Sec.  80.1450.
    (5) Importers shall not generate RINs for renewable fuel that has 
already been assigned RINs by a RIN-generating foreign renewable fuel 
producer.
    (6) A party is prohibited from generating RINs for a volume of fuel 
that it produces if the fuel has been produced by a process that uses a 
renewable fuel as a feedstock, and the renewable fuel that is used as a 
feedstock was produced by another party, except that RINs may be 
generated for such fuel if allowed by the EPA in response to a petition 
submitted pursuant to Sec.  80.1416 and the petition approval specifies 
a mechanism to prevent double counting of RINs.
    (7) For renewable fuel oil that is heating oil as defined in 
paragraph (2) of the definition of heating oil in Sec.  80.1401, 
renewable fuel producers and importers shall not generate RINs unless 
they have received affidavits from the final end user or users of the 
fuel oil as specified in Sec.  80.1451(b)(1)(ii)(T)(2).
    (d)(1) Definition of batch. For the purposes of this section and 
Sec.  80.1425, a ``batch of renewable fuel'' is a volume of renewable 
fuel that has been assigned a unique identifier within a calendar year 
by the producer or importer of the renewable fuel in accordance with the 
provisions of this section and Sec.  80.1425.
    (i) The number of gallon-RINs generated for a batch of renewable 
fuel may not exceed 99,999,999.
    (ii) A batch of renewable fuel cannot represent renewable fuel 
produced or imported in excess of one calendar month.
    (2) Multiple gallon-RINs generated to represent a given volume of 
renewable

[[Page 523]]

fuel can be represented by a single batch-RIN through the appropriate 
designation of the RIN volume codes SSSSSSSS and EEEEEEEE.
    (i) The value of SSSSSSSS in the batch-RIN shall be 00000001 to 
represent the first gallon-RIN associated with the volume of renewable 
fuel.
    (ii) The value of EEEEEEEE in the batch-RIN shall represent the last 
gallon-RIN associated with the volume of renewable fuel, based on the 
RIN volume VRIN determined pursuant to paragraph (f) of this 
section.
    (iii) Under Sec.  80.1452, RIN volumes will be managed by EMTS. RIN 
codes SSSSSSSS and EEEEEEEE do not have a role in EMTS.
    (e) Assignment of RINs to batches--(1) Except as provided in 
paragraph (g) of this section for delayed RINs, the producer or importer 
of renewable fuel must assign all RINs generated to volumes of renewable 
fuel.
    (2) A RIN is assigned to a volume of renewable fuel when ownership 
of the RIN is transferred along with the transfer of ownership of the 
volume of renewable fuel, pursuant to Sec.  80.1428(a).
    (3) All assigned RINs shall have a K code value of 1.
    (f) Generation of RINs--(1) Applicable pathways. D codes shall be 
used in RINs generated by producers or importers of renewable fuel 
according to the pathways listed in Table 1 to this section, paragraph 
(f)(6) of this section, or as approved by the Administrator. In choosing 
an appropriate D code, producers and importers may disregard any 
incidental, de minimis feedstock contaminants that are impractical to 
remove and are related to customary feedstock production and transport. 
Tables 1 and 2 to this section do not apply to, and impose no 
requirements with respect to, volumes of fuel for which RINs are 
generated pursuant to paragraph (f)(6) of this section.

         Table 1 to Sec.   80.1426--Applicable D Codes for Each Fuel Pathway for Use in Generating RINs
----------------------------------------------------------------------------------------------------------------
                                                                           Production process
                 Fuel type                     Feedstock                      requirements              D-Code
----------------------------------------------------------------------------------------------------------------
     A  Ethanol...................  Corn starch....................  All of the following: Dry mill            6
                                                                      process, using natural gas,
                                                                      biomass, or biogas for
                                                                      process energy and at least
                                                                      two advanced technologies
                                                                      from Table 2 to this section.
     B  Ethanol...................  Corn starch....................  All of the following: Dry mill            6
                                                                      process, using natural gas,
                                                                      biomass, or biogas for
                                                                      process energy and at least
                                                                      one of the advanced
                                                                      technologies from Table 2 to
                                                                      this section plus drying no
                                                                      more than 65% of the
                                                                      distillers grains with
                                                                      solubles it markets annually.
     C  Ethanol...................  Corn starch....................  All of the following: Dry mill            6
                                                                      process, using natural gas,
                                                                      biomass, or biogas for
                                                                      process energy and drying no
                                                                      more than 50% of the
                                                                      distillers grains with
                                                                      solubles it markets annually.
     D  Ethanol...................  Corn starch....................  Wet mill process using biomass            6
                                                                      or biogas for process energy.
     E  Ethanol...................  Starches from crop residue and   Fermentation using natural                6
                                     annual covercrops.               gas, biomass, or biogas for
                                                                      process energy.
     F  Biodiesel, renewable        Soy bean oil; Oil from annual    One of the following:                     4
         diesel, jet fuel and        covercrops; Oil from algae       Transesterification with or
         heating oil.                grown photosynthetically;        without esterification pre-
                                     Biogenic waste oils/fats/        treatment, or Hydrotreating;
                                     greases; Camelina sativa oil;    excludes processes that co-
                                     Distillers corn oil;             process renewable biomass and
                                     Distillers sorghum oil;          petroleum.
                                     Commingled distillers corn oil
                                     and sorghum oil.
     G  Biodiesel, heating oil....  Canola/Rapeseed oil............  Trans-Esterification using                4
                                                                      natural gas or biomass for
                                                                      process energy.
     H  Biodiesel, renewable        Soy bean oil; Oil from annual    One of the following:                     5
         diesel, jet fuel and        covercrops; Oil from algae       Transesterification with or
         heating oil.                grown photosynthetically;        without esterification pre-
                                     Biogenic waste oils/fats/        treatment, or Hydrotreating;
                                     greases; Camelina sativa oil;    includes only processes that
                                     Distillers corn oil;             co-process renewable biomass
                                     Distillers sorghum oil;          and petroleum.
                                     Commingled distillers corn oil
                                     and sorghum oil.

[[Page 524]]

 
     I  Naphtha, LPG..............  Camelina sativa oil; Distillers  Hydrotreating.................            5
                                     sorghum oil; Distillers corn
                                     oil; Commingled distillers
                                     corn oil and distillers
                                     sorghum oil.
     J  Ethanol...................  Sugarcane......................  Fermentation..................            5
     K  Ethanol...................  Crop residue, slash, pre-        Any process that converts                 3
                                     commercial thinnings and tree    cellulosic biomass to fuel.
                                     residue, switchgrass,
                                     miscanthus, energy cane,
                                     Arundo donax, Pennisetum
                                     purpureum, and separated yard
                                     waste; biogenic components of
                                     separated MSW; cellulosic
                                     components of separated food
                                     waste; and cellulosic
                                     components of annual cover
                                     crops.
     L  Cellulosic diesel, jet      Crop residue, slash, pre-        Any process that converts                 7
         fuel and heating oil.       commercial thinnings and tree    cellulosic biomass to fuel.
                                     residue, switchgrass,
                                     miscanthus, energy cane,
                                     Arundo donax, Pennisetum
                                     purpureum, and separated yard
                                     waste; biogenic components of
                                     separated MSW; cellulosic
                                     components of separated food
                                     waste; and cellulosic
                                     components of annual cover
                                     crops.
     M  Renewable Gasoline and      Crop residue, slash, pre-        Catalytic Pyrolysis and                   3
         Renewable Gasoline          commercial thinnings, tree       Upgrading, Gasification and
         Blendstock; Co-Processed    residue, and separated yard      Upgrading, Thermo-Catalytic
         Cellulosic Diesel, Jet      waste; biogenic components of    Hydrodeoxygenation and
         Fuel, and Heating Oil.      separated MSW; cellulosic        Upgrading, Direct Biological
                                     components of separated food     Conversion, Biological
                                     waste; and cellulosic            Conversion and Upgrading
                                     components of annual cover       utilizing natural gas,
                                     crops.                           biogas, and/or biomass as the
                                                                      only process energy sources
                                                                      providing that process used
                                                                      converts cellulosic biomass
                                                                      to fuel; any process
                                                                      utilizing biogas and/or
                                                                      biomass as the only process
                                                                      energy sources which converts
                                                                      cellulosic biomass to fuel.
     N  Naphtha...................  Switchgrass, miscanthus, energy  Gasification and upgrading                3
                                     cane, Arundo donax, and          processes that converts
                                     Pennisetum purpureum.            cellulosic biomass to fuel.
     O  Butanol...................  Corn starch....................  Fermentation; dry mill using              6
                                                                      natural gas, biomass, or
                                                                      biogas for process energy.
     P  Ethanol, renewable diesel,  The non-cellulosic portions of   Any...........................            5
         jet fuel, heating oil,      separated food waste and non-
         and naphtha.                cellulosic components of
                                     annual cover crops.
     Q  Renewable Compressed        Biogas from landfills,           Any...........................            3
         Natural Gas, Renewable      municipal wastewater treatment
         Liquefied Natural Gas,      facility digesters,
         Renewable Electricity.      agricultural digesters, and
                                     separated MSW digesters; and
                                     biogas from the cellulosic
                                     components of biomass
                                     processed in other waste
                                     digesters.
     R  Ethanol...................  Grain Sorghum..................  Dry mill process using biogas             6
                                                                      from landfills, waste
                                                                      treatment plants, and/or
                                                                      waste digesters, and/or
                                                                      natural gas, for process
                                                                      energy.
     S  Ethanol...................  Grain Sorghum..................  Dry mill process, using only              5
                                                                      biogas from landfills, waste
                                                                      treatment plants, and/or
                                                                      waste digesters for process
                                                                      energy and for on-site
                                                                      production of all electricity
                                                                      used at the site other than
                                                                      up to 0.15 kWh of electricity
                                                                      from the grid per gallon of
                                                                      ethanol produced, calculated
                                                                      on a per batch basis.

[[Page 525]]

 
     T  Renewable Compressed        Biogas from waste digesters....  Any...........................            5
         Natural Gas, Renewable
         Liquefied Natural Gas,
         and Renewable Electricity.
----------------------------------------------------------------------------------------------------------------


            Table 2 to Sec.   80.1426--Advanced Technologies
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
Corn oil fractionation that is applied to at least 90% of the corn used
 to produce ethanol on a calendar year basis.
Corn oil extraction that is applied to the whole stillage and/or
 derivatives of whole stillage and results in recovery of corn oil at an
 annual average rate equal to or greater than 1.33 pounds oil per bushel
 of corn processed into ethanol.
Membrane separation in which at least 90% of ethanol dehydration is
 carried out using a hydrophilic membrane on a calendar year basis.
Raw starch hydrolysis that is used for at least 90% of starch hydrolysis
 used to produce ethanol instead of hydrolysis using a traditional high
 heat cooking process, calculated on a calendar year basis.
Combined heat and power such that, on a calendar year basis, at least
 90% of the thermal energy associated with ethanol production (including
 thermal energy produced at the facility and that which is derived from
 an off-site waste heat supplier), exclusive of any thermal energy used
 for the drying of distillers grains and solubles, is used to produce
 electricity prior to being used to meet the process heat requirements
 of the facility.
------------------------------------------------------------------------

    (2) Renewable fuel that can be described by a single pathway.
    (i) The number of gallon-RINs that shall be generated for a batch of 
renewable fuel by a producer or importer for renewable fuel that can be 
described by a single pathway shall be equal to a volume calculated 
according to the following formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.

    (ii) The D code that shall be used in the RINs generated shall be 
the D code specified in Table 1 to this section, or a D code as approved 
by the Administrator, which corresponds to the pathway that describes 
the producer's operations.
    (3) Renewable fuel that can be described by two or more pathways.
    (i) The D codes that shall be used in the RINs generated by a 
producer or importer whose renewable fuel can be described by two or 
more pathways shall be the D codes specified in Table 1 to this section, 
or D codes as approved by the Administrator, which correspond to the 
pathways that describe the renewable fuel throughout that calendar year.
    (ii) If all the pathways describing the producer's operations have 
the same D code and each batch is of a single fuel type, then that D 
code shall be used in all the RINs generated and the number of gallon-
RINs that shall be generated for a batch of renewable fuel shall be 
equal to a volume calculated according to the following formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.


[[Page 526]]


    (iii) If all the pathways describing the producer's operations have 
the same D code but individual batches are comprised of a mixture of 
fuel types with different equivalence values, then that D code shall be 
used in all the RINs generated and the number of gallon-RINs that shall 
be generated for a batch of renewable fuel shall be equal to a volume 
calculated according to the following formula:

VRIN = [Sigma](EVi * Vs,i)

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the batch.
EVi = Equivalence value for fuel type i in the batch of 
          renewable fuel per Sec.  80.1415.
    Vs,i = Standardized volume of fuel type i in the batch of 
renewable fuel at 60 [deg]F, in gallons, calculated in accordance with 
paragraph (f)(8) of this section.

    (iv) If the pathway applicable to a producer changes on a specific 
date, such that one pathway applies before the date and another pathway 
applies on and after the date, and each batch is of a single fuel type, 
then the applicable D code and batch identifier used in generating RINs 
must change on the date that the change in pathway occurs and the number 
of gallon-RINs that shall be generated for a batch of renewable fuel 
shall be equal to a volume calculated according to the following 
formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for a batch with 
          a single applicable D code.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.

    (v) If a producer produces batches that are comprised of a mixture 
of fuel types with different equivalence values and different applicable 
D codes, then separate values for VRIN shall be calculated 
for each category of renewable fuel according to formulas in Table 3 to 
this section. All batch-RINs thus generated shall be assigned to unique 
batch identifiers for each portion of the batch with a different D code.

Table 3 to Sec.   80.1426--Number of Gallon-RINs To assign to Batch-RINs
                   With D codes dependent on Fuel Type
------------------------------------------------------------------------
   D code to use in batch-RIN             Number of gallon-RINs
------------------------------------------------------------------------
D = 3..........................  VRIN, CB = EVCB * Vs, CB
D = 4..........................  VRIN, BBD = EVBBD * Vs, BBD
D = 5..........................  VRIN, AB = EVAB * Vs, AB
D = 6..........................  VRIN, RF = EVRF * Vs, RF
D = 7..........................  VRIN, CD = EVCD * Vs, CD
------------------------------------------------------------------------

Where:

VRIN,CB = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the 
          cellulosic biofuel portion of the batch with a D code of 3.
VRIN,BBD = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the biomass-
          based diesel portion of the batch with a D code of 4.
VRIN,AB = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the advanced 
          biofuel portion of the batch with a D code of 5.
VRIN,RF = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the 
          renewable fuel portion of the batch with a D code of 6.
VRIN,CD = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the 
          cellulosic diesel portion of the batch with a D code of 7.
EVCB = Equivalence value for the cellulosic biofuel portion 
          of the batch per Sec.  80.1415.
EVBBD = Equivalence value for the biomass-based diesel 
          portion of the batch per Sec.  80.1415.
EVAB = Equivalence value for the advanced biofuel portion of 
          the batch per Sec.  80.1415.
EVRF = Equivalence value for the renewable fuel portion of 
          the batch per Sec.  80.1415.
EVCD = Equivalence value for the cellulosic diesel portion of 
          the batch per Sec.  80.1415.
Vs,CB = Standardized volume at 60 [deg]F of the portion of 
          the batch that must be assigned a D code of 3, in gallons, 
          calculated in accordance with paragraph (f)(8) of this 
          section.
Vs,BBD = Standardized volume at 60 [deg]F of the portion of 
          the batch that must be assigned a D code of 4, in gallons, 
          calculated in accordance with paragraph (f)(8) of this 
          section.

[[Page 527]]

Vs,AB = Standardized volume at 60 [deg]F of the portion of 
          the batch that must be assigned a D code of 5, in gallons, 
          calculated in accordance with paragraph (f)(8) of this 
          section.
Vs,RF = Standardized volume at 60 [deg]F of the portion of 
          the batch that must be assigned a D code of 6, in gallons, 
          calculated in accordance with paragraph (f)(8) of this 
          section.
Vs,CD = Standardized volume at 60 [deg]F of the portion of 
          the batch that must be assigned a D code of 7, in gallons, 
          calculated in accordance with paragraph (f)(8) of this 
          section.

    (vi) If a producer produces a single type of renewable fuel using 
two or more different feedstocks which are processed simultaneously, and 
each batch is comprised of a single type of fuel, then the number of 
gallon-RINs that shall be generated for a batch of renewable fuel and 
assigned a particular D code shall be determined according to the 
formulas in Table 4 to this section.
[GRAPHIC] [TIFF OMITTED] TR18JY14.002

Where:

VRIN,CB = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for a batch of 
          cellulosic biofuel with a D code of 3.
VRIN,BBD = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for a batch of 
          biomass-based diesel with a D code of 4.
VRIN,AB = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for a batch of 
          advanced biofuel with a D code of 5.
VRIN,RF = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for a batch of 
          renewable fuel with a D code of 6.
VRIN,CD = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for a batch of 
          cellulosic diesel with a D code of 7.
EV = Equivalence value for the renewable fuel per Sec.  80.1415.
VS = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.
FE3 = Feedstock energy from all feedstocks whose pathways 
          have been assigned a D code of 3 under Table 1 to this 
          section, or a D code of 3 as approved by the Administrator, in 
          Btu.
FE4 = Feedstock energy from all feedstocks whose pathways 
          have been assigned a D code of 4 under Table 1 to this 
          section, or a D code of 4 as approved by the Administrator, in 
          Btu.
FE5 = Feedstock energy from all feedstocks whose pathways 
          have been assigned a D code of 5 under Table 1 to this 
          section, or a D code of 5 as approved by the Administrator, in 
          Btu.
FE6 = Feedstock energy from all feedstocks whose pathways 
          have been assigned a D code of 6 under Table 1 to this 
          section, or a D code of 6 as approved by the Administrator, in 
          Btu.
FE7 = Feedstock energy from all feedstocks whose pathways 
          have been assigned a D code of 7 under Table 1 to this 
          section, or

[[Page 528]]

          a D code of 7 as approved by the Administrator, in Btu.

    Feedstock energy values, FE, shall be calculated according to the 
following formula:

FE = M * (1 - m) * CF * E

Where:
FE = Feedstock energy, in Btu.
M = Mass of feedstock, in pounds, measured on a daily or per-batch 
          basis.
m = Average moisture content of the feedstock, in mass percent.
CF = Converted Fraction in annual average mass percent, except as 
          otherwise provided by Sec.  80.1451(b)(1)(ii)(U), representing 
          that portion of the feedstock that is converted into renewable 
          fuel by the producer.
E = Energy content of the components of the feedstock that are converted 
          to renewable fuel, in annual average Btu/lb, determined 
          according to paragraph (f)(7) of this section.

    (4) Renewable fuel that is produced by co-processing renewable 
biomass and non-renewable feedstocks simultaneously to produce a fuel 
that is partially renewable.(i) The number of gallon-RINs that shall be 
generated for a batch of partially renewable fuel shall be equal to a 
volume VRIN calculated according to Method A or Method B.
    (A) Method A. (1) VRIN shall be calculated according to 
the following formula:

VRIN = EV * Vs * FER/(FER + 
FENR)

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415, subject to qualification in paragraph (f)(4)(iii) of 
          this section.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.
FER = Feedstock energy from renewable biomass used to make 
          the transportation fuel, in Btu.
FENR = Feedstock energy from non-renewable feedstocks used to 
          make the transportation fuel, heating oil, or jet fuel, in 
          Btu.

    (2) The value of FE for use in paragraph (f)(4)(i)(A)(1) of this 
section shall be calculated from the following formula:

FE = M * (1 - m) * CF * E

Where:

FE = Feedstock energy, in Btu.
M = Mass of feedstock, in pounds, measured on a daily or per-batch 
          basis.
m = Average moisture content of the feedstock, in mass percent.
CF = Converted Fraction in annual average mass percent, except as 
          otherwise provided by Sec.  80.1451(b)(1)(ii)(U), representing 
          that portion of the feedstock that is converted into 
          transportation fuel, heating oil, or jet fuel by the producer.
E = Energy content of the components of the feedstock that are converted 
          to fuel, in annual average Btu/lb, determined according to 
          paragraph (f)(7) of this section.

    (B) Method B. VRIN shall be calculated according to the 
following formula:

VRIN = EV * Vs * R

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415, subject to qualification in paragraph (f)(4)(iii) of 
          this section.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.
R = The renewable fraction of the fuel as measured by a carbon-14 dating 
          test method as provided in paragraph (f)(9) of this section.

    (ii) The D code that shall be used in the RINs generated to 
represent partially renewable transportation fuel, heating oil, or jet 
fuel shall be the D code specified in Table 1 to this section, or a D 
code as approved by the Administrator, which corresponds to the pathway 
that describes a producer's operations. In determining the appropriate 
pathway, the contribution of non-renewable feedstocks to the production 
of partially renewable fuel shall be ignored.
    (iii) In determining the RIN volume VRIN according to 
paragraph (f)(4)(i)(A) or (f)(4)(i)(B) of this section, the equivalence 
value used to determine VRIN which is calculated according to 
Sec.  80.1415 shall use a value of 1.0 to represent R, the renewable 
content of the renewable fuel.
    (5) Renewable fuel produced from separated yard and food waste.(i) 
Separated yard waste and food waste means, for

[[Page 529]]

the purposes of this section, waste that is one of the following:
    (A) Separated yard waste, which is a feedstock stream consisting of 
yard waste kept separate since generation from other waste materials. 
Separated yard waste is deemed to be composed entirely of cellulosic 
materials.
    (B) Separated food waste, which is a feedstock stream consisting of 
food waste kept separate since generation from other waste materials, 
and which includes food and beverage production waste and post-consumer 
food and beverage waste. Separated food waste is deemed to be composed 
entirely of non-cellulosic materials, unless a party demonstrates that a 
portion of the feedstock is cellulosic through approval of their 
facility registration.
    (C) Separated municipal solid waste (separated MSW), which is 
material remaining after separation actions have been taken to remove 
recyclable paper, cardboard, plastics, rubber, textiles, metals, and 
glass from municipal solid waste, and which is composed of both 
cellulosic and non-cellulosic materials.
    (ii) (A) A feedstock qualifies under paragraph (f)(5)(i)(A) or 
(f)(5)(i)(B) of this section only if it is collected according to a plan 
submitted to and accepted by U.S. EPA under the registration procedures 
specified in Sec.  80.1450(b)(1)(vii).
    (B) A feedstock qualifies under paragraph (f)(5)(i)(C) of this 
section only if it is collected according to a plan submitted to and 
approved by U.S. EPA.
    (iii) Separation and recycling actions specified in paragraph 
(f)(5)(i)(C) of this section are considered to occur if:
    (A) Recyclable paper, cardboard, plastics, rubber, textiles, metals, 
and glass that can be recycled are separated and removed from the 
municipal solid waste stream to the extent reasonably practicable 
according to a plan submitted to and approved by U.S. EPA under the 
registration procedures specified in Sec.  80.1450(b)(1)(viii); and
    (B) The fuel producer has evidence of all contracts relating to the 
disposition of paper, cardboard, plastics, rubber, textiles, metals, and 
glass that are recycled.
    (iv)(A) The number of gallon-RINs that shall be generated for a 
batch of renewable fuel derived from separated yard waste as defined in 
paragraph (f)(5)(i)(A) of this section shall be equal to a volume 
VRIN and is calculated according to the following formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of cellulosic biofuel gallon-RINs that shall be 
          generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.

    (B) The number of gallon-RINs that shall be generated for a batch of 
renewable fuel derived from separated food waste as defined in paragraph 
(f)(5)(i)(B) of this section shall be equal to a volume VRIN 
and is calculated according to the following formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of cellulosic or advanced biofuel gallon-RINs that 
          shall be generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.

    (v) The number of cellulosic biofuel gallon-RINs that shall be 
generated for the cellulosic portion of a batch of renewable fuel 
derived from separated MSW as defined in paragraph (f)(5)(i)(C) of this 
section shall be determined according to the following formula:

VRIN = EV * VS * R

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of cellulosic biofuel gallon-RINs that shall be 
          generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
VS = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.
R = The calculated non-fossil fraction of the fuel as measured by a 
          carbon-14 dating test method as provided in paragraph (f)(9) 
          of this section, except that for

[[Page 530]]

          biogas-derived fuels made from separated MSW, no testing is 
          required and R = 1.

    (vi) The D code that shall be used in the RINs generated to 
represent separated yard waste, food waste, and MSW shall be the D code 
specified in Table 1 to this section, or a D code as approved by the 
Administrator, which corresponds to the pathway that describes the 
producer's operations and feedstocks.
    (6) Renewable fuel neither covered by the pathways in Table 1 to 
this section, nor given an approval by the Administrator for use of a 
specific D code.If none of the pathways described in Table 1 to this 
section apply to a producer's operations, and the producer has not 
received approval for the use of a specific D code by the Administrator, 
the party may generate RINs if the fuel from its facility is made from 
renewable biomass and qualifies for an exemption under Sec.  80.1403 
from the requirement that renewable fuel achieve at least a 20 percent 
reduction in lifecycle greenhouse gas emissions compared to baseline 
lifecycle greenhouse gas emissions.
    (i) The number of gallon-RINs that shall be generated for a batch of 
renewable fuel that qualifies for an exemption from the 20 percent GHG 
reduction requirements under Sec.  80.1403 shall be equal to a volume 
calculated according to the following formula:

VRIN = EV * Vs

Where:

VRIN = RIN volume, in gallons, for use in determining the 
          number of gallon-RINs that shall be generated for the batch.
EV = Equivalence value for the batch of renewable fuel per Sec.  
          80.1415.
Vs = Standardized volume of the batch of renewable fuel at 60 
          [deg]F, in gallons, calculated in accordance with paragraph 
          (f)(8) of this section.

    (ii) A D code of 6 shall be used in the RINs generated under this 
paragraph (f)(6).
    (7) Determination of feedstock energy content factors.(i) For 
purposes of paragraphs (f)(3)(vi) and (f)(4)(i)(A)(2) of this section, 
producers must specify the value for E, the energy content of the 
components of the feedstock that are converted to renewable fuel, used 
in the calculation of the feedstock energy value FE.
    (ii) The value for E shall represent the higher or gross calorific 
heating value for a feedstock on a zero moisture basis.
    (iii) Producers must specify the value for E for each type of 
feedstock at least once per calendar year.
    (iv) A producer must use default values for E as provided in 
paragraph (f)(7)(vi) of this section, or must determine alternative 
values for its own feedstocks according to paragraph (f)(7)(v) of this 
section.
    (v) Producers that do not use a default value for E must use the 
following test methods, or alternative test methods as approved by EPA, 
to determine the value of E. The value of E shall be based upon the test 
results of a sample of feedstock that, based upon good engineering 
judgment, is representative of the feedstocks used to produce renewable 
fuel:
    (A) ASTM E 870 or ASTM E 711 for gross calorific value (both 
incorporated by reference, see Sec.  80.1468).
    (B) ASTM D 4442 or ASTM D 4444 for moisture content (both 
incorporated by reference, see Sec.  80.1468).
    (vi) Default values for E.
    (A) Starch: 7,600 Btu/lb.
    (B) Sugar: 7,300 Btu/lb.
    (C) Vegetable oil: 17,000 Btu/lb.
    (D) Waste cooking oil or trap grease: 16,600 Btu/lb.
    (E) Tallow or fat: 16,200 Btu/lb.
    (F) Manure: 6,900 Btu/lb.
    (G) Woody biomass: 8,400 Btu/lb.
    (H) Herbaceous biomass: 7,300 Btu/lb.
    (I) Yard wastes: 2,900 Btu/lb.
    (J) Biogas: 11,000 Btu/lb.
    (K) Food waste: 2,000 Btu/lb.
    (L) Paper: 7,200 Btu/lb.
    (M) Crude oil: 19,100 Btu/lb.
    (N) Coal--bituminous: 12,200 Btu/lb.
    (O) Coal--anthracite: 13,300 Btu/lb.
    (P) Coal--lignite or sub-bituminous: 7,900 Btu/lb.
    (Q) Natural gas: 19,700 Btu/lb.
    (R) Tires or rubber: 16,000 Btu/lb.
    (S) Plastic: 19,000 Btu/lb.
    (8) Standardization of volumes. In determining the standardized 
volume of a batch of renewable fuel for purposes of generating RINs 
under this paragraph (f), the batch volumes shall be adjusted to a 
standard temperature of 60 [deg]F.
    (i) For ethanol, the following formula shall be used:


[[Page 531]]


Vs,e = Va,e * (-0.0006301 * T + 1.0378)

Where:

Vs,e = Standardized volume of ethanol at 60 [deg]F, in 
          gallons.
Va,e = Actual volume of ethanol, in gallons.
T = Actual temperature of the batch, in [deg]F.

    (ii) For biodiesel (mono-alkyl esters), one of the following two 
methods for biodiesel temperature standardization to 60 [deg]Fahrenheit 
([deg]F) shall be used

(A) Vs,b = Va.b * (-0.00045767 * T + 1.02746025

Where

Vs,b = Standardized volume of biodiesel at 60 [deg]F, in 
          gallons.
Va,b = Actual volume of biodiesel, in gallons.
T = Actual temperature of the batch, in [deg]F.

    (B) The standardized volume of biodiesel at 60 [deg]F, in gallons, 
as calculated from the use of the American Petroleum Institute Refined 
Products Table 6B, as referenced in ASTM D 1250 (incorporated by 
reference, see Sec.  80.1468).
    (iii) For other renewable fuels, an appropriate formula commonly 
accepted by the industry shall be used to standardize the actual volume 
to 60 [deg]F. Formulas used must be reported to EPA, and may be 
determined to be inappropriate.
    (9) Use of radiocarbon dating test methods.(i) Parties may use a 
radiocarbon dating test method for determination of the renewable 
fraction of a fuel R used to determine VRIN as provided in 
paragraphs (f)(4) and (f)(5) of this section.
    (ii) Parties must use Method B or Method C of ASTM D 6866 
(incorporated by reference, see Sec.  80.1468), or an alternative test 
method as approved by EPA.
    (iii) For each batch of fuel, the value of R must be based on:
    (A) A radiocarbon dating test of the batch of fuel produced; or
    (B) A radiocarbon dating test of a composite sample of previously 
produced fuel, if all of the following conditions are met:
    (1) Based upon good engineering judgment, the renewable fraction of 
the composite sample must be representative of the batch of fuel 
produced.
    (2) The composite sample is comprised of a volume weighted 
combination of samples from every batch of partially renewable 
transportation fuel produced by the party over a period not to exceed 
one calendar month, or more frequently if necessary to ensure that the 
test results are representative of the renewable fraction of the 
partially renewable fuel.
    (3) The composite sample must be well mixed prior to testing.
    (4) A volume of each composite sample must be retained for a minimum 
of two years, and be of sufficient volume to permit two additional tests 
to be conducted.
    (iv) If the party is using the composite sampling approach according 
to paragraph (f)(9)(iii)(B) of this section, the party may estimate the 
value of R for use in generating RINs in the first month if all of the 
following conditions are met:
    (A) The estimate of R for the first month is based on information on 
the composition of the feedstock;
    (B) The party calculates R in the second month based on the 
application of a radiocarbon dating test on a composite sample pursuant 
to (f)(9)(iii)(B) of this section; and
    (C) The party adjusts the value of R used to generate RINs in the 
second month using the following formula

Ri + 1,adj = 2 x Ri + 1,calc-Ri,est

Where

Ri + 1,adj = Adjusted value of R for use in generating RINs 
          in month the second month i + 1.
Ri + 1,calc = Calculated value of R in second month i + 1 by 
          applying a radiocarbon dating test method to a composite 
          sample of fuel.
Ri,est = Estimate of R for the first month i.

    (10)(i) For purposes of this section, electricity that is only 
distributed via a closed, private, non-commercial system is considered 
renewable fuel and RINs may be generated if all of the following apply:
    (A) The electricity is produced from renewable biomass and qualifies 
for a D code in Table 1 to this section or has received approval for use 
of a D code by the Administrator.
    (B) The RIN generator has documentation for the sale, if applicable, 
and use of a specific quantity of renewable electricity as 
transportation fuel, or has obtained affidavits from all parties selling 
or using the electricity as transportation fuel.

[[Page 532]]

    (C) The electricity is used as a transportation fuel and for no 
other purposes.
    (ii) For purposes of this section, CNG or LNG produced from biogas 
that is only distributed via a closed, private, non-commercial system is 
considered renewable fuel for which RINs may be generated if all of the 
following apply:
    (A) The CNG/LNG is produced from renewable biomass and qualifies for 
a D code in Table 1 to this section or has received approval for use of 
a D code by the Administrator.
    (B) The RIN generator has entered into a written contract for the 
sale or use of a specific quantity of CNG/LNG to be used as 
transportation fuel, or obtained affidavits from all parties selling or 
using the CNG/LNG as transportation fuel.
    (C) The CNG/LNG is used as a transportation fuel and for no other 
purposes.
    (iii) A producer of electricity that is generated by co-firing a 
combination of renewable biomass and fossil fuel may generate RINs only 
for the portion attributable to the renewable biomass, using the 
procedure described in paragraph (f)(4) of this section.
    (11)(i) For purposes of this section, electricity that is introduced 
into a commercial distribution system (transmission grid) is considered 
renewable fuel for which RINs may be generated if all of the following 
apply:
    (A) The electricity is produced from renewable biomass and qualifies 
for a D code in Table 1 of this section or has received approval for use 
of a D code by the Administrator.
    (B) The RIN generator has documentation for the sale and use of a 
specific quantity of renewable electricity as transportation fuel, or 
has obtained affidavits from all parties selling or using the 
electricity as transportation fuel.
    (C) The quantity of electricity for which RINs were generated was 
sold for use as transportation fuel and for no other purpose.
    (D) The renewable electricity was loaded onto and withdrawn from a 
physically connected transmission grid.
    (E) The amount of electricity sold for use as transportation fuel 
corresponds to the amount of electricity derived from biogas that was 
placed into the commercial distribution system.
    (F) No other party relied upon the renewable electricity for the 
creation of RINs.
    (ii) For purposes of this section, CNG or LNG produced from biogas 
that is introduced into a commercial distribution system is considered 
renewable fuel for which RINs may be generated if all the following 
apply:
    (A) The fuel is produced from renewable biomass and qualifies for a 
D code in Table 1 to this section or has received approval for use of a 
D code by the Administrator.
    (B) The RIN generator has entered into a written contract for the 
sale or use of a specific quantity of renewable CNG/LNG, taken from a 
commercial distribution system (e.g., physically connected pipeline, 
barge, truck, rail), for use as a transportation fuel, or has obtained 
affidavits from all parties selling or using the CNG/LNG taken from a 
commercial distribution system as a transportation fuel.
    (C) The quantity of CNG/LNG for which RINs were generated was sold 
for use as transportation fuel and for no other purposes.
    (D) The biogas/CNG/LNG was injected into and withdrawn from the same 
commercial distribution system.
    (E) The biogas/CNG/LNG that is ultimately withdrawn from the 
commercial distribution system for use as transportation fuel is 
withdrawn in a manner and at a time consistent with the transport of the 
biogas/CNG/LNG between the injection and withdrawal points.
    (F) The volume and heat content of biogas/CNG/LNG injected into a 
pipeline and the volume of biogas/CNG/LNG withdrawn to make a 
transportation fuel are measured by continuous metering.
    (G) The amount of fuel sold for use as transportation fuel 
corresponds to the amount of fuel derived from biogas that was placed 
into the commercial distribution system.
    (H) No other party relied upon the volume of biogas/CNG/LNG for the 
creation of RINs.
    (iii) For renewable electricity that is generated by co-firing a 
combination of

[[Page 533]]

renewable biomass and fossil fuel, the producer may generate RINs only 
for the portion attributable to the renewable biomass, using the 
procedure described in paragraph (f)(4) of this section.
    (12) For purposes of Table 1 of this section, process heat produced 
from combustion of gas at a renewable fuel facility is considered 
derived from biomass if the gas is biogas.
    (i) For biogas directly transported to the facility without being 
placed in a commercial distribution system, all of the following 
conditions must be met:
    (A) The producer has entered into a written contract for the 
procurement of a specific volume of biogas with a specific heat content.
    (B) The volume of biogas was sold to the renewable fuel production 
facility, and to no other facility.
    (C) The volume and heat content of biogas injected into the pipeline 
and the volume of gas used as process heat are measured by continuous 
metering.
    (ii) For biogas that has been gathered, processed and injected into 
a common carrier pipeline, all of the following conditions must be met:
    (A) The producer has entered into a written contract for the 
procurement of a specific volume of biogas with a specific heat content.
    (B) The volume of biogas was sold to the renewable fuel production 
facility, and to no other facility.
    (C) The volume of biogas that is withdrawn from the pipeline is 
withdrawn in a manner and at a time consistent with the transport of 
fuel between the injection and withdrawal points.
    (D) The volume and heat content of biogas injected into the pipeline 
and the volume of gas used as process heat are measured by continuous 
metering.
    (E) The common carrier pipeline into which the biogas is placed 
ultimately serves the producer's renewable fuel facility.
    (iii) The process heat produced from combustion of gas at a 
renewable fuel facility described in paragraph (f)(12)(i) of this 
section shall not be considered derived from biomass if any other party 
relied upon the contracted volume of biogas for the creation of RINs.
    (13) In order for facilities to satisfy the requirements of the 
advanced biofuel grain sorghum pathway all of the following conditions 
(in addition to other applicable requirements) apply.
    (i) The quantity of electricity used at the site that is purchased 
from the grid must be measured and recorded by continuous metering.
    (ii) All electricity used on-site that is not purchased from the 
grid must be produced on-site from biogas from landfills, waste 
treatment plants, and/or waste digesters.
    (iii) For biogas directly transported to the facility without being 
placed in a commercial distribution system, all of the following 
conditions must be met:
    (A) The producer has entered into a written contract for the 
procurement of biogas that specifies the volume of biogas, its heat 
content, and that the biogas must be derived from a landfill, waste 
treatment plant and/or waste digester.
    (B) The volume of biogas was sold to the renewable fuel production 
facility, and to no other facility.
    (C) The volume and heat content of biogas injected into the pipeline 
and the volume of gas used at the renewable fuel production facility are 
measured by continuous metering.
    (iv) [Reserved]
    (v) For biogas that has been gathered, processed and injected into a 
common carrier pipeline, all of the following conditions must be met:
    (A) The producer has entered into a written contract for the 
procurement of biogas that specifies a specific volume of biogas, with a 
specific heat content, and that the biogas must be derived from a 
landfill, waste treatment plant and/or waste digester.
    (B) The volume of biogas was sold to the renewable fuel production 
facility, and to no other facility.
    (C) The volume of biogas that is withdrawn from the pipeline is 
withdrawn in a manner and at a time consistent with the transport of 
fuel between the injection and withdrawal points.
    (D) The volume and heat content of biogas injected into the pipeline 
and

[[Page 534]]

the volume of gas used at the renewable fuel production facility are 
measured by continuous metering.
    (E) The common carrier pipeline into which the biogas is placed 
ultimately serves the producer's renewable fuel facility.
    (vi) No party relied upon the contracted volume of biogas for the 
creation of RINs.
    (14) A producer or importer of renewable fuel using giant reed 
(Arundo donax) or napier grass (Pennisetum purpureum) as a feedstock may 
generate RINs for that renewable fuel if:
    (i) The feedstock is produced, managed, transported, collected, 
monitored, and processed according to a Risk Mitigation Plan approved by 
EPA under the registration procedures specified in Sec.  
80.1450(b)(1)(x)(A); or,
    (ii) EPA has determined that there is not a significant likelihood 
of spread beyond the planting area of the feedstock used for production 
of the renewable fuel. Any determination that Arundo donax or Pennisetum 
purpureum does not present a significant likelihood of spread beyond the 
planting area must be based upon clear and compelling evidence, 
including information and supporting data submitted by the producer. 
Such a determination must be made by EPA as specified in Sec.  
80.1450(b)(1)(x)(B).
    (15) Application of formulas in paragraph (f)(3)(vi) of this section 
to certain producers generating D3 or D7 RINs.
    (i) If a producer seeking to generate D code 3 or D code 7 RINs 
produces a single type of renewable fuel using two or more feedstocks 
converted simultaneously, and at least one of the feedstocks does not 
have a minimum 75% average adjusted cellulosic content, one of the 
following additional requirements apply:
    (A) If the producer is using a thermochemical process to convert 
cellulosic biomass into cellulosic biofuel, the producer is subject to 
additional registration requirements under Sec.  80.1450(b)(1)(xiii)(A).
    (B) If the producer is using any process other than a thermochemical 
process, or is using a combination of processes, the producer is subject 
to additional registration requirements under Sec.  
80.1450(b)(1)(xiii)(B) and reporting requirements under Sec.  
80.1451(b)(1)(ii)(U).
    (ii) [Reserved]
    (16) Renewable fuel produced from crop residue. Producers generating 
RINs for qualifying renewable fuel utilizing crop residue as feedstock 
under Pathway K or Pathway L must meet all of the following conditions 
(in addition to any other applicable requirements):
    (i) Registration requirements under Sec.  80.1450(b)(1)(xv).
    (ii) Reporting requirements under Sec.  80.1451(b)(1)(ii)(V).
    (iii) Recordkeeping requirements under Sec.  80.1454(s).
    (17)(i) For purposes of this section, any renewable fuel other than 
ethanol, biodiesel, or renewable diesel that meets the ASTM D 975-13a 
Grade No. 1-D or No. 2-D specifications (incorporated by reference, see 
Sec.  80.1468) is considered renewable fuel and the producer or importer 
may generate RINs for such fuel only if all of the following apply:
    (A) The fuel is produced from renewable biomass and qualifies for a 
D code in Table 1 to this section or has been otherwise approved by the 
Administrator.
    (B) The fuel producer or importer maintains records demonstrating 
that the fuel was produced for use as a transportation fuel, heating oil 
or jet fuel by any of the following:
    (1) Blending the renewable fuel into gasoline or diesel fuel to 
produce a transportation fuel, heating oil or jet fuel that meets all 
applicable standards.
    (2) Entering into a written contract for the sale of the renewable 
fuel, which specifies the purchasing party shall blend the fuel into 
gasoline or diesel fuel to produce a transportation fuel, heating oil or 
jet fuel that meets all applicable standards.
    (3) Entering into a written contract for the sale of the renewable 
fuel, which specifies that the fuel shall be used in its neat form as a 
transportation fuel, heating oil or jet fuel that meets all applicable 
standards.
    (C) The fuel was sold for use in or as a transportation fuel, 
heating oil, or jet fuel, and for no other purpose.
    (ii) [Reserved]

[[Page 535]]

    (g) Delayed RIN generation--(1) Parties who produce or import 
renewable fuel may elect to generate delayed RINs to represent renewable 
fuel volumes that have already been transferred to another party if 
those renewable fuel volumes meet all of the following requirements.
    (i) The renewable fuel volumes can be described by a new pathway 
that has been added to Table 1 to Sec.  80.1426, or approved by petition 
pursuant to Sec.  80.1416, after July 1, 2010.
    (A) For new pathways that EPA approves in response to petitions 
submitted pursuant to Sec.  80.1416, complete petitions must be received 
by EPA by January 31, 2011.
    (B) [Reserved]
    (ii) The renewable fuel volumes can be described by a pathway that:
    (A) Is biodiesel that is made from canola oil through 
transesterification using natural gas or biomass for process energy; or
    (B) EPA has determined was in use as of July 1, 2010, for the 
primary purpose of producing transportation fuel, heating oil, or jet 
fuel for commercial sale.
    (iii) The renewable fuel volumes were not designated or intended for 
export from the 48 contiguous states plus Hawaii by the renewable fuel 
producer or importer, and the producer or importer of the renewable fuel 
volumes does not know or have reason to know that the volumes were 
exported from the 48 contiguous states plus Hawaii.
    (2) When a new pathway is added to Table 1 to Sec.  80.1426 or 
approved by petition pursuant to Sec.  80.1416, EPA will specify in its 
approval action the effective date on which the new pathway becomes 
valid for the generation of RINs and whether the fuel in question meets 
the requirements of paragraph (g)(1)(ii) of this section.
    (i) The effective date for the pathway describing biodiesel that is 
made from canola oil through transesterification using natural gas or 
biomass for process energy is September 28, 2010.
    (ii) [Reserved]
    (3) Delayed RINs can only be generated to represent renewable fuel 
volumes produced in the 48 contiguous states plus Hawaii or imported 
into the 48 contiguous states plus Hawaii between July 1, 2010, and the 
earlier of either of the following dates:
    (i) The effective date (identified pursuant to paragraph (g)(2) of 
this section) of the new pathway through which the fuel in question was 
produced; or
    (ii) December 31, 2011.
    (4) Delayed RINs must be generated no later than 60 days after the 
effective date (identified pursuant to paragraph (g)(2) of this section) 
of the pathway by which the fuel in question was produced.
    (5) A party authorized pursuant to paragraph (g)(1) of this section 
to generate delayed RINs, and electing to do so, who generated RINs 
pursuant to 80.1426(f)(6) for fuel produced through a pathway described 
in paragraph (g)(1) of this section, and transferred those RINs with 
renewable fuel volumes between July 1, 2010 and the effective date 
(identified pursuant to paragraph (g)(2) of this section) of that 
pathway, must retire a number of gallon-RINs prior to generating delayed 
RINs.
    (i) The number of gallon-RINs retired by a party pursuant to this 
paragraph must not exceed the number of gallon-RINs originally generated 
by the party to represent fuel described in paragraph (g)(1) of this 
section that was produced in the 48 contiguous states plus Hawaii or 
imported into the 48 contiguous states plus Hawaii, and transferred to 
another party, between July 1, 2010 and the earlier of either of the 
following dates:
    (A) The effective date (identified pursuant to paragraph (g)(2) of 
this section) of the new pathway through which the fuel in question was 
produced; or
    (B) December 31, 2011.
    (ii) Retired RINs must have a D code of 6.
    (iii) Retired RINs must have a K code of 2.
    (iv) Retired RINs must have been generated in the same year as the 
gallon-RINs originally generated by the party to represent fuel 
described in paragraph (g)(1) of this section.
    (A) For gallon-RINs originally generated in 2010 to represent fuel 
described in paragraph (g)(1) of this section, the generation year of 
retired RINs shall be 2010.

[[Page 536]]

    (B) For gallon-RINs originally generated in 2011 to represent fuel 
described in paragraph (g)(1) of this section, the generation year of 
retired RINs shall be 2011.
    (6) For parties that retire RINs pursuant to paragraph (g)(5) of 
this section, the number of delayed gallon-RINs generated shall be equal 
to the number of gallon-RINs retired in accordance with paragraph (g)(5) 
of this section.
    (7) A party authorized pursuant to paragraph (g)(1) of this section 
to generate delayed RINs, and electing to do so, who did not generate 
RINs pursuant to Sec.  80.1426(f)(6) for renewable fuel produced in the 
48 contiguous states plus Hawaii or imported into the 48 contiguous 
states plus Hawaii between July 1, 2010 and the effective date 
(identified pursuant to paragraph (g)(2) of this section) of a new 
pathway for the fuel in question, may generate a number of delayed 
gallon-RINs for that renewable fuel in accordance with paragraph (f) of 
this section.
    (i) The standardized volume of fuel (Vs) used by a party 
to determine the RIN volume (VRIN) under paragraph (f) of 
this section shall be the standardized volume of the fuel described in 
paragraph (g)(1)(i) of this section that was produced in the 48 
contiguous states plus Hawaii or imported into the 48 contiguous states 
plus Hawaii by the party, and transferred to another party, between July 
1, 2010 and the earlier of either of the following dates:
    (A) The effective date (identified pursuant to paragraph (g)(2) of 
this section) of the new pathway through which the fuel in question was 
produced; or
    (B) December 31, 2011.
    (ii) [Reserved]
    (8) The renewable fuel for which delayed RINs are generated must be 
described by a pathway that satisfies the requirements of paragraph 
(g)(1) of this section.
    (9) All delayed RINs generated by a renewable fuel producer or 
importer must be generated within EMTS on the same date.
    (10) The generation year of delayed RINs as designated in EMTS shall 
be the year that the renewable fuel volumes they represent were either 
produced or imported into the 48 contiguous states plus Hawaii.
    (i) For renewable fuel volumes produced or imported in 2010, the 
generation year of delayed RINs shall be 2010 and the production date 
specified in EMTS shall be 07/01/2010.
    (ii) For renewable fuel volumes produced or imported in 2011, the 
generation year of delayed RINs shall be 2011 and the production date 
specified in EMTS shall be 01/01/2011.
    (11) Delayed RINs shall be generated as assigned RINs in EMTS with a 
batch number that begins with ``DRN'', and then immediately separated by 
the RIN generator.
    (12) The D code that shall be used in delayed RINs shall be the D 
code which corresponds to the new pathway.
    (13) Except as provided in this paragraph (g), all other provisions 
in this Subpart M that pertain to the identification of fuels for which 
RINs may be generated, the generation and use of RINs, and recordkeeping 
and reporting, are also applicable to delayed RINs.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26038, May 10, 2010; 75 
FR 37733, June 30, 2010; 75 FR 59632, Sept. 28, 2010; 75 FR 76828, Dec. 
9, 2010; 75 FR 79977, Dec. 21, 2010; 77 FR 1355, Jan. 9, 2012; 77 FR 
61294, Oct. 9, 2012; 77 FR 74605, Dec. 17, 2012; 78 FR 14216, Mar. 5, 
2013; 78 FR 41714, July 11, 2013; 78 FR 62470, Oct. 22, 2013; 79 FR 
42160, July 18, 2014; 79 FR 42113, July 18, 2014; 80 FR 9098, Feb. 19, 
2015; 80 FR 18141, Apr. 3, 2015; 80 FR 77517, Dec. 14, 2015; 83 FR 
37746, Aug. 2, 2018; 85 FR 7075, Feb. 6, 2020]



Sec.  80.1427  How are RINs used to demonstrate compliance?

    (a) Obligated party renewable volume obligations. (1) Except as 
specified in paragraph (b) of this section or Sec.  80.1456, each party 
that is an obligated party under Sec.  80.1406 and is obligated to meet 
the Renewable Volume Obligations under Sec.  80.1407 must demonstrate 
pursuant to Sec.  80.1451(a)(1) that it has retired for compliance 
purposes a sufficient number of RINs to satisfy the following equations:
    (i) Cellulosic biofuel.

([sum]RINNUM)CB,i + ([sum]RINNUM)CB,i-1 = 
RVOCB,i

Where:

([sum]RINNUM)CB,i = Sum of all owned gallon-RINs that are 
          valid for use in complying with the cellulosic biofuel RVO, 
          were

[[Page 537]]

          generated in year i, and are being applied towards the 
          RVOCB,i, in gallons.
([sum]RINNUM)CB,i-1 = Sum of all owned gallon-RINs that are 
          valid for use in complying with the cellulosic biofuel RVO, 
          were generated in year i-1, and are being applied towards the 
          RVOCB,i, in gallons.
RVOCB,i = The Renewable Volume Obligation for cellulosic 
          biofuel for the obligated party for calendar year i, in 
          gallons, pursuant to Sec.  80.1407.

    (ii) Biomass-based diesel. Except as provided in paragraph (a)(7) of 
this section,

([sum]RINNUM)BBD,i + ([sum]RINNUM)BBD,i-1 = 
RVOBBD,i

Where:

([sum]RINNUM)BBD,i = Sum of all owned gallon-RINs that are 
          valid for use in complying with the biomass-based diesel RVO, 
          were generated in year i, and are being applied towards the 
          RVOBBD,i, in gallons.
([sum]RINNUM)BBD,i-1 = Sum of all owned gallon-RINs that are 
          valid for use in complying with the biomass-based diesel RVO, 
          were generated in year i-1, and are being applied towards the 
          RVOBBD,i, in gallons.
RVOBBD,i = The Renewable Volume Obligation for biomass-based 
          diesel for the obligated party for calendar year i after 2010, 
          in gallons, pursuant to Sec.  80.1407.

    (iii) Advanced biofuel.

([sum]RINNUM)AB,i + ([sum]RINNUM)AB,i-1 = 
RVOAB,i

Where:

([sum]RINNUM)AB,i = Sum of all owned gallon-RINs that are 
          valid for use in complying with the advanced biofuel RVO, were 
          generated in year i, and are being applied towards the 
          RVOAB,i, in gallons.
([sum]RINNUM)AB,i-1 = Sum of all owned gallon-RINs that are 
          valid for use in complying with the advanced biofuel RVO, were 
          generated in year i-1, and are being applied towards the 
          RVOAB,i, in gallons.
RVOAB,i = The Renewable Volume Obligation for advanced 
          biofuel for the obligated party for calendar year i, in 
          gallons, pursuant to Sec.  80.1407.

    (iv) Renewable fuel.

([sum]RINNUM)RF,i + ([sum]RINNUM)RF,i-1 = 
RVORF,i

Where:

([sum]RINNUM)RF,i = Sum of all owned gallon-RINs that are 
          valid for use in complying with the renewable fuel RVO, were 
          generated in year i, and are being applied towards the 
          RVORF,i, in gallons.
([sum]RINNUM)RF,i-1 = Sum of all owned gallon-RINs that are 
          valid for use in complying with the renewable fuel RVO, were 
          generated in year i-1, and are being applied towards the 
          RVORF,i, in gallons.
RVORF,i = The Renewable Volume Obligation for renewable fuel 
          for the obligated party for calendar year i, in gallons, 
          pursuant to Sec.  80.1407.

    (2) Except as described in paragraph (a)(4) of this section, RINs 
that are valid for use in complying with each Renewable Volume 
Obligation are determined by their D codes.
    (i) RINs with a D code of 3 or 7 are valid for compliance with the 
cellulosic biofuel RVO.
    (ii) RINs with a D code of 4 or 7 are valid for compliance with the 
biomass-based diesel RVO.
    (iii) RINs with a D code of 3, 4, 5, or 7 are valid for compliance 
with the advanced biofuel RVO.
    (iv) RINs with a D code of 3, 4, 5, 6, or 7 are valid for compliance 
with the renewable fuel RVO.
    (3)(i) Except as provided in paragraph (a)(3)(ii) of this section, a 
party may use the same RIN to demonstrate compliance with more than one 
RVO so long as it is valid for compliance with all RVOs to which it is 
applied.
    (ii) A cellulosic diesel RIN with a D code of 7 cannot be used to 
demonstrate compliance with both a cellulosic biofuel RVO and a biomass-
based diesel RVO.
    (4) Notwithstanding the requirements of Sec.  80.1428(c) or 
paragraph (a)(6)(i) of this section, for purposes of demonstrating 
compliance for calendar years 2010 or 2011, RINs generated pursuant to 
Sec.  80.1126 that have not been used for compliance purposes may be 
used for compliance in 2010 or 2011, as follows, insofar as permissible 
pursuant to paragraphs (a)(5) and (a)(7)(iii) of this section:
    (i) A RIN generated pursuant to Sec.  80.1126 with a D code of 2 and 
an RR code of 15, 16, or 17 is deemed equivalent to a RIN generated 
pursuant to Sec.  80.1426 having a D code of 4.
    (ii) A RIN generated pursuant to Sec.  80.1126 with a D code of 1 is 
deemed equivalent to a RIN generated pursuant to Sec.  80.1426 having a 
D code of 3.
    (iii) All other RINs generated pursuant to Sec.  80.1126 are deemed 
equivalent to RINs generated pursuant to Sec.  80.1426 having D codes of 
6.

[[Page 538]]

    (iv) A RIN generated pursuant to Sec.  80.1126 that was retired 
pursuant to Sec.  80.1129(e) because the associated volume of fuel was 
not used as motor vehicle fuel may be reinstated for use in complying 
with a 2010 RVO pursuant to Sec.  80.1429(g).
    (5) The value of ([Sigma]RINNUM)i-1 may not exceed values 
determined by the following inequalities except as provided in paragraph 
(a)(7)(iii) of this section and Sec.  80.1442(d)

([Sigma]RINNUM)CB,i-1 <=0.20 * RVOCB,i
([Sigma]RINNUM)BBD,i-1 <=0.20 * RVOBBD,i
([Sigma]RINNUM)AB,i-1 <=0.20 * RVOAB,i
([Sigma]RINNUM)RF,i-1 <=0.20 * RVORF,i

    (6) Except as provided in paragraph (a)(7) of this section:
    (i) RINs may only be used to demonstrate compliance with the RVOs 
for the calendar year in which they were generated or the following 
calendar year.
    (ii) RINs used to demonstrate compliance in one year cannot be used 
to demonstrate compliance in any other year.
    (7) Biomass-based diesel in 2010.
    (i) Prior to determining compliance with the 2010 biomass-based 
diesel RVO, obligated parties may reduce the value of 
RVOBBD,2010 by an amount equal to the sum of all 2008 and 
2009 RINs that they used for compliance purposes for calendar year 2009 
which have a D code of 2 and an RR code of 15, 16, or 17.
    (ii) For calendar year 2010 only, the following equation shall be 
used to determine compliance with the biomass-based diesel RVO instead 
of the equation in paragraph (a)(1)(ii) of this section

([Sigma]RINNUM)BBD,2010 + ([Sigma]RINNUM)BBD,2009 
+ ([Sigma]RINNUM)BBD,2008 = RVOBBD,2010

Where

([Sigma]RINNUM)BBD,2010 = Sum of all owned gallon-RINs that 
          are valid for use in complying with the biomass-based diesel 
          RVO, were generated in year 2010, and are being applied 
          towards the RVOBBD,2010, in gallons.
([Sigma]RINNUM)BBD,2009 = Sum of all owned gallon-RINs that 
          are valid for use in complying with the biomass-based diesel 
          RVO, were generated in year 2009, have not previously been 
          used for compliance purposes, and are being applied towards 
          the RVOBBD,2010, in gallons.
([Sigma]RINNUM)BBD,2008 = Sum of all owned gallon-RINs that 
          are valid for use in complying with the biomass-based diesel 
          RVO, were generated in year 2008, have not previously been 
          used for compliance purposes, and are being applied towards 
          the RVOBBD,2010, in gallons.
RVOBBD,2010 = The Renewable Volume Obligation for biomass-
          based diesel for the obligated party for calendar year 2010, 
          in gallons, pursuant to Sec.  80.1407 or Sec.  80.1430, as 
          adjusted by paragraph (a)(7)(i) of this section.

    (iii) The values of ([Sigma]RINNUM)2008 and 
([Sigma]RINNUM)2009 may not exceed values determined by both 
of the following inequalities

([Sigma]RINNUM)BBD,2008 <=0.087 * RVOBBD,2010
([Sigma]RINNUM)BBD,2008 + ([Sigma]RINNUM)BBD,2009 
<=0.20 * RVOBBD,2010

    (8) A party may only use a RIN for purposes of meeting the 
requirements of paragraph (a)(1) or (a)(7) of this section if that RIN 
is a separated RIN with a K code of 2 obtained in accordance with 
Sec. Sec.  80.1428 and 80.1429.
    (9) The number of gallon-RINs associated with a given batch-RIN that 
can be used for compliance with the RVOs shall be calculated from the 
following formula:

RINNUM = EEEEEEEE - SSSSSSSS + 1

Where:

RINNUM = Number of gallon-RINs associated with a batch-RIN, where each 
          gallon-RIN represents one gallon of renewable fuel for 
          compliance purposes.
EEEEEEEE = Batch-RIN component identifying the last gallon-RIN 
          associated with the batch-RIN.
SSSSSSSS = Batch-RIN component identifying the first gallon-RIN 
          associated with the batch-RIN.

    (b) Deficit carryovers. (1) An obligated party that fails to meet 
the requirements of paragraph (a)(1) or (a)(7) of this section for 
calendar year i is permitted to carry a deficit into year i + 1 under 
the following conditions:
    (i) The party did not carry a deficit into calendar year i from 
calendar year i-1 for the same RVO.
    (ii) The party subsequently meets the requirements of paragraph 
(a)(1) of this section for calendar year i + 1 and carries no deficit 
into year i + 2 for the same RVO.

[[Page 539]]

    (iii) For compliance with the biomass-based diesel RVO in calendar 
year 2011, the deficit which is carried over from 2010 is no larger than 
57% of the party's 2010 biomass-based diesel RVO as determined prior to 
any adjustment applied pursuant to paragraph (a)(7)(i) of this section.
    (iv) The party uses the same compliance approach in year i + 1 as it 
did in year i, as provided in Sec.  80.1406(c)(2).
    (2) A deficit is calculated according to the following formula:

Di = RVOi - [([Sigma]RINNUM)i + 
([Sigma]RINNUM)i-1]

Where:

Di = The deficit, in gallons, generated in calendar year i 
          that must be carried over to year i + 1 if allowed pursuant to 
          paragraph (b)(1) of this section.
RVOi = The Renewable Volume Obligation for the obligated 
          party or exporter of renewable fuel for calendar year i, in 
          gallons.
([Sigma]RINNUM)i = Sum of all acquired gallon-RINs that were 
          generated in year i and are being applied towards the 
          RVOi, in gallons.
([Sigma]RINNUM)i-1 = Sum of all acquired gallon-RINs that 
          were generated in year i-1 and are being applied towards the 
          RVOi, in gallons.
    (c) Exporter Renewable Volume Obligations (ERVOs). (1) Each exporter 
of renewable fuel that is obligated to meet Exporter Renewable Volume 
Obligations under Sec.  80.1430 must demonstrate pursuant to Sec.  
80.1451(a)(1) that is has retired for compliance purposes a sufficient 
number of RINs to meet its ERVOs by the deadline specified in Sec.  
80.1430(f).
    (2) In fulfillment of its ERVOs, each exporter of renewable fuel is 
subject to the provisions of paragraphs (a)(2), (3), (6), and (8) of 
this section.
    (3) No more than 20 percent of the ERVO calculated according to a 
formula at Sec.  80.1430(b) may be fulfilled using RINs generated in the 
year prior to the year in which the RVO was incurred.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26042, May 10, 2010; 79 
FR 42114, July 18, 2014; 85 FR 7076, Feb. 6, 2020]



Sec.  80.1428  General requirements for RIN distribution.

    (a) RINs assigned to volumes of renewable fuel--(1) Assigned RIN, 
for the purposes of this subpart, means a RIN assigned to a volume of 
renewable fuel pursuant to Sec.  80.1426(e) with a K code of 1.
    (2) Except as provided in Sec.  80.1429, no person can separate a 
RIN that has been assigned to a batch pursuant to Sec.  80.1426(e).
    (3) An assigned RIN cannot be transferred to another person without 
simultaneously transferring a volume of renewable fuel to that same 
person.
    (4) No more than 2.5 assigned gallon-RINs with a K code of 1 can be 
transferred to another person with every gallon of renewable fuel 
transferred to that same person.
    (5)(i) On each of the dates listed in paragraph (a)(5)(ii) of this 
section in any calendar year, the following equation must be satisfied 
for assigned RINs and volumes of renewable fuel owned by a person:

[Sigma](RIN)D <=[Sigma](Vsi * 2.5)D

Where:

D = Applicable date.
[Sigma](RIN)D = Sum of all assigned gallon-RINs with a K code 
          of 1 that are owned on date D.
(Vsi)D = Volume i of renewable fuel owned on date 
          D, standardized to 60 [deg]F, in gallons.

    (ii) The applicable dates are March 31, June 30, September 30, and 
December 31.
    (6) Any transfer of ownership of assigned RINs must be documented on 
product transfer documents generated pursuant to Sec.  80.1453.
    (i) The RIN must be recorded on the product transfer document used 
to transfer ownership of the volume of renewable fuel to another person; 
or
    (ii) The RIN must be recorded on a separate product transfer 
document transferred to the same person on the same day as the product 
transfer document used to transfer ownership of the volume of renewable 
fuel.
    (b) RINs separated from volumes of renewable fuel--(1) Separated 
RIN, for the purposes of this subpart, means a RIN with a K code of 2 
that has been separated from a volume of renewable fuel pursuant to 
Sec.  80.1429.
    (2) Any person that has registered pursuant to Sec.  80.1450 can own 
a separated RIN.

[[Page 540]]

    (3) Separated RINs can be transferred any number of times.
    (c) RIN expiration. Except as provided in Sec.  80.1427(a)(7), a RIN 
is valid for compliance during the calendar year in which it was 
generated, or the following calendar year. Any RIN that is not used for 
compliance purposes for the calendar year in which it was generated, or 
for the following calendar year, will be considered an expired RIN. 
Pursuant to Sec.  80.1431(a), an expired RIN will be considered an 
invalid RIN and cannot be used for compliance purposes.
    (d) Any batch-RIN can be divided into multiple batch-RINs, each 
representing a smaller number of gallon-RINs, if all of the following 
conditions are met:
    (1) All RIN components other than SSSSSSSS and EEEEEEEE are 
identical for the original parent and newly formed daughter RINs.
    (2) The sum of the gallon-RINs associated with the multiple daughter 
batch-RINs is equal to the gallon-RINs associated with the parent batch-
RIN.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26042, May 10, 2010]



Sec.  80.1429  Requirements for separating RINs from volumes of renewable fuel.

    (a)(1) Separation of a RIN from a volume of renewable fuel means 
termination of the assignment of the RIN to a volume of renewable fuel.
    (2) RINs that have been separated from volumes of renewable fuel 
become separated RINs subject to the provisions of Sec.  80.1428(b).
    (b) A RIN that is assigned to a volume of renewable fuel can be 
separated from that volume only under one of the following conditions:
    (1) Except as provided in paragraphs (b)(7) and (b)(9) of this 
section, a party that is an obligated party according to Sec.  80.1406 
must separate any RINs that have been assigned to a volume of renewable 
fuel if that party owns that volume.
    (2) Except as provided in paragraph (b)(6) of this section, any 
party that owns a volume of renewable fuel must separate any RINs that 
have been assigned to that volume once the volume is blended with 
gasoline or fossil-based diesel to produce a transportation fuel, 
heating oil, or jet fuel. A party may separate up to 2.5 RINs per gallon 
of blended renewable fuel.
    (3) Any exporter of renewable fuel must separate any RINs that have 
been assigned to the exported renewable fuel volume. An exporter of 
renewable fuel may separate up to 2.5 RINs per gallon of exported 
renewable fuel.
    (4) Any party that produces, imports, owns, sells, or uses a volume 
of neat renewable fuel, or a blend of renewable fuel and diesel fuel, 
must separate any RINs that have been assigned to that volume of neat 
renewable fuel or that blend if:
    (i) The party designates the neat renewable fuel or blend as 
transportation fuel, heating oil, or jet fuel; and
    (ii) The neat renewable fuel or blend is used without further 
blending, in the designated form, as transportation fuel, heating oil, 
or jet fuel.
    (5) Any party that produces, imports, owns, sells, or uses a volume 
of electricity or biogas for which RINs have been generated in 
accordance with Sec.  80.1426(f) must separate any RINs that have been 
assigned to that volume of renewable electricity or biogas if:
    (i) The party designates the electricity or biogas as transportation 
fuel; and
    (ii) The electricity or biogas is used as transportation fuel.
    (6) RINs assigned to a volume of biodiesel (mono-alkyl ester) can 
only be separated from that volume pursuant to paragraph (b)(2) of this 
section if such biodiesel is blended into diesel fuel at a concentration 
of 80 volume percent biodiesel (mono-alkyl ester) or less.
    (i) This paragraph (b)(6) shall not apply to biodiesel owned by 
obligated parties or to exported volumes of biodiesel.
    (ii) This paragraph (b)(6) shall not apply to parties meeting the 
requirements of paragraph (b)(4) of this section.
    (7) For RINs that an obligated party generates for renewable fuel 
that has not been blended into gasoline or diesel to produce a 
transportation fuel, heating oil, or jet fuel, the obligated party can 
only separate such RINs from volumes of renewable fuel if the number of

[[Page 541]]

gallon-RINs separated in a calendar year are less than or equal to a 
limit set as follows:
    (i) For RINs with a D code of 3, the limit shall be equal to 
RVOCB.
    (ii) For RINs with a D code of 4, the limit shall be equal to 
RVOBBD.
    (iii) For RINs with a D code of 7, the limit shall be equal to the 
larger of RVOBBD or RVOCB.
    (iv) For RINs with a D code of 5, the limit shall be equal to 
RVOAB-RVOCB-RVOBBD.
    (v) For RINs with a D code of 6, the limit shall be equal to 
RVORF-RVOAB.
    (8) Small refiners and small refineries may only separate RINs that 
have been assigned to volumes of renewable fuel that the party blends 
into gasoline or diesel to produce transportation fuel, heating oil, or 
jet fuel, or that the party used as transportation fuel, heating oil, or 
jet fuel. This paragraph (b)(8) shall apply only under the following 
conditions:
    (i) During the calendar year in which the party has received a small 
refinery exemption under Sec.  80.1441 or a small refiner exemption 
under Sec.  80.1442; and
    (ii) The party is not otherwise an obligated party during the period 
of time that the small refinery or small refiner exemption is in effect.
    (9) Except as provided in paragraphs (b)(2) through (b)(5) and 
(b)(8) of this section, parties whose non-export renewable volume 
obligations are solely related to either the importation of products 
listed in Sec.  80.1407(c) or Sec.  80.1407(e) or to the addition of 
blendstocks into a volume of finished gasoline, finished diesel fuel, 
RBOB, or CBOB, can only separate RINs from volumes of renewable fuel if 
the number of gallon-RINs separated in a calendar year is less than or 
equal to a limit set as follows:
    (i) For RINs with a D code of 3, the limit shall be equal to 
RVOCB.
    (ii) For RINs with a D code of 4, the limit shall be equal to 
RVOBBD.
    (iii) For RINs with a D code of 7, the limit shall be equal to the 
larger of RVOBBD or RVOCB.
    (iv) For RINs with a D code of 5, the limit shall be equal to 
RVOAB-RVOCB-RVOBBD.
    (v) For RINs with a D code of 6, the limit shall be equal to 
RVORF-RVOAB.
    (10) Any party that produces a volume of renewable fuel may separate 
any RINs that have been generated to represent that volume of renewable 
fuel or that blend if that party retires the separated RINs to replace 
invalid RINs according to Sec.  80.1474.
    (c) The party responsible for separating a RIN from a volume of 
renewable fuel shall change the K code in the RIN from a value of 1 to a 
value of 2 prior to transferring the RIN to any other party.
    (d) Upon and after separation of a RIN from its associated volume of 
renewable fuel, the separated RIN must be accompanied by a PTD pursuant 
to Sec.  80.1453 when transferred to another party.
    (e) Upon and after separation of a RIN from its associated volume of 
renewable fuel, product transfer documents used to transfer ownership of 
the volume must meet the requirements of Sec.  80.1453.
    (f) [Reserved]
    (g) Any 2009 or 2010 RINs retired pursuant to Sec.  80.1129 because 
renewable fuel was used in a nonroad vehicle or nonroad engine (except 
for ocean-going vessels), or as heating oil or jet fuel may be 
reinstated by the retiring party for sale or use to demonstrate 
compliance with a 2010 RVO.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26042, May 10, 2010; 77 
FR 1355, Jan. 9, 2012; 79 FR 42115, July 18, 2014; 85 FR 7076, Feb. 6, 
2020]



Sec.  80.1430  Requirements for exporters of renewable fuels.

    (a) Any exporter of renewable fuel, whether in its neat form or 
blended shall acquire sufficient RINs to comply with all applicable 
Renewable Volume Obligations under paragraphs (b) through (e) of this 
section representing the exported renewable fuel. No provision of this 
section applies to renewable fuel purchased directly from the renewable 
fuel producer and for which the exporter of renewable fuel can 
demonstrate that no RINs were generated through the recordkeeping 
requirements of Sec.  80.1454(a)(6).
    (b) Exporter Renewable Volume Obligations (ERVOs). An exporter of 
renewable fuel shall determine its Exporter Renewable Volume Obligations 
from

[[Page 542]]

the volumes of the renewable fuel exported.
    (1) Cellulosic biofuel.

ERVOCB,k = VOLk* EVk

Where:

ERVOCB,k = The Exporter Renewable Volume Obligation for 
          cellulosic biofuel for discrete volume k in gallons.
k = A discrete volume of renewable fuel that the exporter of renewable 
          fuel knows or has reason to know is cellulosic biofuel that is 
          exported in a single shipment.
VOLk = The standardized volume of discrete volume k, in 
          gallons, calculated in accordance with Sec.  80.1426(f)(8).
EVk = The equivalence value associated with discrete volume 
          k.

    (2) Biomass-based diesel.

ERVOBBD,k = VOLk* EVk

Where:

ERVOBBDI,k = The Exporter Renewable Volume Obligation for 
          biomass-based diesel for discrete volume k, in gallons.
k = A discrete volume of renewable fuel that is biodiesel or renewable 
          diesel and is exported in a single shipment.
VOLk = The standardized volume of discrete volume k 
          calculated in accordance with Sec.  80.1426(f)(8).
EVk = The equivalence value associated with discrete volume 
          k.

    (3) Advanced biofuel.

ERVOAB,k = VOLk* EVk

Where:

ERVOAB,k = The Exporter Renewable Volume Obligation for 
          advanced biofuel for discrete volume k, in gallons.
k = A discrete volume of renewable fuel that is advanced biofuel 
          (including biomass-based diesel, renewable diesel, cellulosic 
          biofuel and other advanced biofuel) and is exported in a 
          single shipment.
VOLk = The standardized volume of discrete volume k, in 
          gallons, calculated in accordance with Sec.  80.1426(f)(8).
EVk = The equivalence value associated with discrete volume 
          k.

    (4) Renewable fuel.

ERVORF,i = VOLk* EVk

Where:

ERVORF,i = The Renewable Volume Obligation for renewable fuel 
          for discrete volume k, in gallons.
k = A discrete volume of exported renewable fuel that is exported in a 
          single shipment.
VOLk = The standardized volume of discrete volume k, in 
          gallons, calculated in accordance with Sec.  80.1426(f)(8).
EVk = The equivalence value associated with discrete volume 
          k.

    (c) If the exporter of renewable fuel knows or has reason to know 
that a volume of exported renewable fuel is cellulosic diesel, the 
exporter of renewable fuel must treat the exported volume as either 
cellulosic biofuel or biomass-based diesel when determining his 
Renewable Volume Obligations pursuant to paragraph (b) of this section.
    (d) For the purposes of calculating the Renewable Volume 
Obligations:
    (1) If the equivalence value for a volume of exported renewable fuel 
can be determined pursuant to Sec.  80.1415 based on its composition, 
then the appropriate equivalence value shall be used in the calculation 
of the exporter of renewable fuel's Renewable Volume Obligations under 
paragraph (b) of this section.
    (2) If the category of the exported renewable fuel is known to be 
biomass-based diesel but the composition is unknown, the value of 
EVk shall be 1.5.
    (3) If neither the category nor composition of a volume of exported 
renewable fuel can be determined, the value of EVk shall be 
1.0.
    (e) For renewable fuels that are in the form of a blend at the time 
of export, the exporter of renewable fuel shall determine the volume of 
exported renewable fuel based on one of the following:
    (1) Information from the supplier of the blend of the concentration 
of renewable fuel in the blend.
    (2) Determination of the renewable portion of the blend using Method 
B or Method C of ASTM D 6866 (incorporated by reference, see Sec.  
80.1468), or an alternative test method as approved by the EPA.
    (3) Assuming the maximum concentration of the renewable fuel in the 
blend as allowed by law and/or regulation.
    (f) Each exporter of renewable fuel must fulfill its ERVO for each 
discrete volume of exported renewable fuel within thirty days of export, 
and must demonstrate compliance with its ERVOs pursuant to Sec.  
80.1427(c).
    (g) Each exporter of renewable fuel must fulfill any 2014 ERVOs 
existing as of September 16, 2014 for which RINs

[[Page 543]]

have not yet been retired by the compliance demonstration deadline for 
the 2013 compliance period, and must demonstrate compliance with such 
ERVOs pursuant to Sec.  80.1427(c).
    (h) Each person meeting the definition of exporter of renewable fuel 
for a particular export transaction is jointly and severally liable for 
completion of the requirements of this section and all associated RIN 
retirement demonstration, registration, reporting, and attest engagement 
obligations under this subpart. However, these requirements for 
exporters of renewable fuel must be met only once for any export 
transaction.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26042, May 10, 2010; 79 
FR 42115, July 18, 2014; 85 FR 7076, Feb. 6, 2020]



Sec.  80.1431  Treatment of invalid RINs.

    (a) Invalid RINs. (1) An invalid RIN is a RIN that is any of the 
following:
    (i) A duplicate of a valid RIN.
    (ii) Was based on incorrect volumes or volumes that have not been 
standardized to 60 [deg]F.
    (iii) Has expired, as provided in Sec.  80.1428(c).
    (iv) Was based on an incorrect equivalence value.
    (v) Deemed invalid under Sec.  80.1467(g).
    (vi) Does not represent renewable fuel as defined in Sec.  80.1401.
    (vii) Was assigned an incorrect ``D'' code value under Sec.  
80.1426(f) for the associated volume of fuel.
    (viii) [Reserved]
    (ix) Was otherwise improperly generated.
    (2) In the event that the same RIN is transferred to two or more 
parties, all such RINs are deemed invalid, unless EPA in its sole 
discretion determines that some portion of these RINs is valid.
    (b) Except as provided in Sec.  80.1473, the following provisions 
apply in the case of RINs that are invalid:
    (1) Upon determination by any party that RINs owned are invalid, the 
party must keep copies and adjust its records, reports, and compliance 
calculations in which the invalid RINs were used. The party must retire 
the invalid RINs in the applicable RIN transaction reports under Sec.  
80.1451(c)(2) for the quarter in which the RINs were determined to be 
invalid.
    (2) Invalid RINs cannot be used to achieve compliance with the 
Renewable Volume Obligations of an obligated party or exporter of 
renewable fuel, regardless of the party's good faith belief that the 
RINs were valid at the time they were acquired.
    (3) Any valid RINs remaining after invalid RINs are retired must 
first be applied to correct the transfer of invalid RINs to another 
party before applying the valid RINs to meet the party's Renewable 
Volume Obligations at the end of the compliance year.
    (c) Notwithstanding paragraph (b) of this section, improperly 
generated RINs may be used for compliance provided that all of the 
following conditions and requirements are satisfied and the renewable 
fuel producer or importer who improperly generated the RINs demonstrates 
that the conditions and requirements are satisfied through the reporting 
and recordkeeping requirements set forth below, that:
    (1) The number of RINs generated for a batch exceeds the number of 
RINs that should have been properly generated.
    (2) The RINs were improperly generated as a result of a broken 
meter, an inadvertent temperature correction error, or an inadvertent 
administrative error.
    (3) The renewable fuel producer or importer had in place at the time 
the RINs were improperly generated a quality assurance/quality control 
plan designed to ensure that process measuring equipment such as meters 
and temperature probes are properly maintained and to prevent 
inadvertent administrative errors.
    (4) The renewable fuel producer or importer has taken any 
appropriate additional steps to prevent similar violations from 
occurring in the future.
    (5) The improperly generated RINs have been transferred to another 
party.
    (6) The renewable fuel producer or importer has not improperly 
generated RINs for the reasons described in paragraph (c)(2) of this 
section on more than five batches during any calendar year.
    (7) All of the following remedial actions have been implemented 
within 30

[[Page 544]]

days of the EMTS submission date of the improper RIN generation:
    (i) The renewable fuel producer or importer retires an equal number 
of valid RINs with the same D Code and RIN year as the properly 
generated RINs, using an EMTS retire code of 110.
    (ii) The renewable fuel producer or importer reports all the 
following information to EPA via EMTS, which EPA may make publicly 
available:
    (A) Company name.
    (B) Company ID.
    (C) Facility name.
    (D) Facility ID.
    (E) The date the renewable fuel was produced.
    (F) The date the RINs were originally generated.
    (G) The number of RINs generated.
    (H) The number of RINs improperly generated.
    (I) RIN year.
    (J) D codes of generated RINs.
    (K) Batch numbers.
    (L) EMTS Transaction ID of the original generation.
    (M) An explanation of how the violation occurred, and why the 
improperly generated RINs meet the criteria in paragraph (c)(2) of this 
section.
    (N) Steps taken to prevent similar violations from occurring in the 
future.
    (O) Information under paragraphs (c)(3), (c)(4), and (c)(5) of this 
section.
    (P) Any additional information the Administrator may require.
    (8) The renewable fuel producer or importer maintains all records 
relating to the improper RIN generation and the associated remedial 
actions taken, including but not limited to any of the following:
    (i) All information regarding the generation of invalid RINs, 
including information that is sufficient to demonstrate that the 
improperly generated RINs meet the criteria in paragraph (c)(2) of this 
section.
    (ii) Documents demonstrating that the renewable fuel producer or 
importer has implemented the quality control/quality assurance plan 
required in paragraph (c)(3) of this section, and has taken all 
appropriate additional steps to prevent similar violations from 
occurring in the future.
    (iii) All correspondence with EPA.
    (iv) All EMTS transactions (Generation, Buy, Sell and Retire).
    (v) All Product Transfer Documents (PTDs).
    (d) If EPA determines that a renewable fuel producer improperly 
generated RINs but did not meet the requirements set forth in paragraph 
(c) of this section, then the requirements of paragraph (b) of this 
section apply from the moment that the invalid RINs were generated in 
EMTS. Once the RIN generator has identified improperly generated RINs to 
EPA, then EPA may remove these improperly generated RINs from EMTS.

[75 FR 14863, Mar. 26, 2010, as amended at 77 FR 1355, Jan. 9, 2012; 79 
FR 42115, July 18, 2014; 85 FR 7076, Feb. 6, 2020]



Sec.  80.1432  Reported spillage or disposal of renewable fuel.

    (a) A reported spillage or disposal under this subpart means a 
spillage or disposal of renewable fuel associated with a requirement by 
a federal, state, or local authority to report the spillage or disposal.
    (b) Except as provided in paragraph (c) of this section, in the 
event of a reported spillage or disposal of any volume of renewable 
fuel, the owner of the renewable fuel must retire a number of RINs 
corresponding to the volume of spilled or disposed of renewable fuel 
multiplied by its equivalence value.
    (1) If the equivalence value for the spilled or disposed of volume 
may be determined pursuant to Sec.  80.1415 based on its composition, 
then the appropriate equivalence value shall be used.
    (2) If the equivalence value for a spilled or disposed of volume of 
renewable fuel cannot be determined, the equivalence value shall be 1.0.
    (c) If the owner of a volume of renewable fuel that is spilled or 
disposed of and reported establishes that no RINs were generated to 
represent the volume, then no RINs shall be retired.
    (d) A RIN that is retired under paragraph (b) of this section:
    (1) Must be reported as a retired RIN in the applicable reports 
under Sec.  80.1451.
    (2) May not be transferred to another person or used by any 
obligated party to demonstrate compliance with the party's Renewable 
Volume Obligations.

[[Page 545]]



Sec.  80.1433  [Reserved]



Sec.  80.1434  RIN retirement.

    (a) A RIN must be retired in any of the following cases:
    (1) Demonstrate annual compliance. Except as specified in paragraph 
(b) of this section or Sec.  80.1456, each party that is an obligated 
party under Sec.  80.1406 and is obligated to meet the RVO under Sec.  
80.1407 must retire a sufficient number of RINs to demonstrate 
compliance with an applicable RVO.
    (2) Exported renewable fuel. Any exporter of renewable fuel that 
incurs an ERVO as described in Sec.  80.1430(a) shall retire RINs 
pursuant to Sec. Sec.  80.1430(b) through (g) and 80.1427(c).
    (3) Volume error correction. A RIN must be retired when it was based 
on incorrect volumes or volumes that have not been standardized to 60 
[deg]F as described in Sec.  80.1426(f)(8).
    (4) Import volume correction. Where the port of entry volume is the 
lesser of the two volumes in Sec.  80.1466(e)(1)(i), the importer shall 
calculate the difference between the number of RINs originally assigned 
by the foreign producer and the number of RINs calculated under Sec.  
80.1426 for the volume of renewable fuel as measured at the port of 
entry, and retire that amount of RINs in accordance with Sec.  
80.1466(k)(4).
    (5) Spillage or disposal of renewable fuels. Except as provided in 
Sec.  80.1432(c), in the event that a reported spillage or disposal of 
any volume of renewable fuel, the owner of the renewable fuel must 
notify any holder or holders of the attached RINs and retire a number of 
gallon-RINs corresponding to the volume of spilled or disposed of 
renewable fuel multiplied by its equivalence value in accordance with 
Sec.  80.1432(b).
    (6) Contaminated or spoiled fuel. In the event that contamination or 
spoliation of any volume of renewable fuel is reported, the owner of the 
renewable fuel must notify any holder or holders of the attached RINs 
and retire a number of gallon-RINs corresponding to the volume of 
contaminated or spoiled renewable fuel multiplied by its equivalence 
value.
    (i) If the equivalence value for the contaminated or spoiled volume 
may be determined pursuant to Sec.  80.1415 based on its composition, 
then the appropriate equivalence value shall be used.
    (ii) If the equivalence value for a contaminated or spoiled volume 
of renewable fuel cannot be determined, the equivalence value shall be 
1.0.
    (iii) If the owner of a volume of renewable fuel that is 
contaminated or spoiled and reported establishes that no RINs were 
generated to represent the volume, then no gallon-RINs shall be retired.
    (7) Delayed RIN generation. In the event that a party generated a 
delayed RIN as described in Sec.  80.1426(g)(1) through (4), parties 
must retire RINs as described in accordance with Sec.  80.1426(g)(5) and 
(6).
    (8) Invalid RIN. In the case that a RIN is invalid as described in 
Sec.  80.1431(a), the RIN will be considered invalid and must be retired 
as described in Sec.  80.1431(b).
    (9) Potentially invalid RINs. In the case that a RIN is identified 
as a PIR under Sec.  80.1474(b)(1), the PIRs or replacement RINs must be 
retired as described in Sec.  80.1474(b)(2) through (5).
    (10) Replacement. As required by Sec.  80.1431(b) or Sec.  80.1474, 
any party that must replace an invalid RIN or PIR that was used for 
compliance must retire valid RINs to replace the invalid RINs originally 
used for any RVO.
    (11) Other. Any other instance identified by EPA.
    (b) In the case that retirement of a RIN is necessary, the following 
provisions apply:
    (1) Any party affected by such retirement must keep copies and 
adjust its records, reports, and compliance calculations in which the 
retired RIN was used.
    (2) The retired RIN must be reported in the applicable reports under 
Sec.  80.1451.
    (3) The retired RIN must be reported in the EPA Moderated 
Transaction System pursuant to Sec.  80.1452(c).
    (4) Where the importer of renewable fuel is required to retire RINs 
under paragraph (a)(5) of this section, the importer must report the 
retired RINs in the applicable reports under Sec. Sec.  80.1451, 
80.1466(k), and 80.1466(m).

[85 FR 7076, Feb. 6, 2020]

[[Page 546]]



Sec.  80.1435  How are RIN holdings and RIN holding thresholds calculated?

    Beginning January 1, 2020, any party that holds RINs must comply 
with the requirements of this section.
    (a) RIN holdings calculation. (1) Each party must calculate daily 
end-of-day separated D6 RIN holdings by aggregating its end-of-day 
separated D6 RIN holdings with the end-of-day separated D6 RIN holdings 
of all corporate affiliates in a corporate affiliate group and use the 
end-of-day separated D6 RIN holdings as specified in paragraph (b) of 
this section.
    (2) Each party must calculate, as applicable, the holdings-to-market 
percentage under paragraph (b)(1) of this section and the holdings-to-
obligation percentage under paragraph (b)(2) of this section quarterly 
in accordance with the schedule specified in Table 1 to Sec.  80.1451.
    (3) For a corporate affiliate group containing at least one 
obligated party that has a holdings-to-market percentage greater than 
3.00 percent for any calendar day in a compliance period, as determined 
under paragraph (b)(1) of this section, each party must calculate the 
corporate affiliate group's holdings-to-obligation percentage as 
specified in paragraph (b)(2) of this section.
    (4) Each party must individually keep copies of all calculations and 
supporting information for separated D6 RIN holding threshold 
calculations required under this section as specified in Sec.  
80.1454(u).
    (b) RIN holding thresholds calculations. (1) Primary test 
calculations. For each day in a compliance period, each party that owns 
RINs must calculate the holdings-to-market percentage for their 
corporate affiliate group using the method specified in paragraph 
(b)(1)(i) or (b)(1)(ii) of this section, as applicable.
    (i) For each day beginning January 1 through March 31, calculate the 
holdings-to-market percentage for a corporate affiliate group as 
follows:

HTMPd = [([Sigma]D6RINd)a/
(CNV_VOLTOT,i * 1.25)] * 100

Where:

HTMPd = The holdings-to-market percentage is the percentage 
          of separated D6 RINs a corporate affiliate group holds on 
          calendar day d relative to the total expected number of 
          separated D6 RINs in the market in compliance period i, in 
          percent.
d = A given calendar day.
i = The compliance period, typically expressed as a calendar year.
a = Individual corporate affiliate in a corporate affiliate group.
([Sigma]D6RINd)a = Sum of the number of separated 
          D6 RINs each individual corporate affiliate a holds at the end 
          of calendar day d, in RIN-gallons.
CNV_VOLTOT,i = The total expected annual volume of 
          conventional renewable fuels for the compliance period i, in 
          gallons. Unless otherwise specified, this number is 15 billion 
          gallons.

    (ii) For each day beginning April 1 through December 31, calculate 
the holdings-to-market percentage for a corporate affiliate group as 
follows:

HTMPd = [([Sigma]D6RINd)a/
(CNV_VOLTOT,i)] * 100

Where:

HTMPd = The holdings-to-market percentage is the percentage 
          of separated D6 RINs a corporate affiliate group holds on 
          calendar day d relative to the total expected number of 
          separated D6 RINs in the market in compliance period i, in 
          percent.
d = A given calendar day.
i = The compliance period, typically expressed as a calendar year.
a = Individual corporate affiliate in a corporate affiliate group.
([Sigma]D6RINd)a = Sum of the number of separated 
          D6 RINs each individual corporate affiliate a holds at the end 
          of calendar day d, in RIN-gallons.
CNV_VOLTOT,i = The total expected annual volume of 
          conventional renewable fuels for compliance period i, in 
          gallons. Unless otherwise specified, this number is 15 billion 
          gallons.

    (2) Secondary threshold calculations. For each day in a compliance 
period where a corporate affiliate group is required to calculate with 
the secondary threshold requirement under paragraph (a)(3) of this 
section, each party must calculate the holdings-to-obligation percentage 
for their corporate affiliate group using the methods at paragraph 
(b)(2)(i) or (b)(2)(ii) of this section, as applicable.
    (i) For each day beginning January 1 through March 31, calculate the 
holdings-to-obligation percentage as follows:


[[Page 547]]


HTOPd = [([Sigma]D6RINd)a/
{[([Sigma]CNV_RVOi-1)a + 
([Sigma]CNV_DEFi-1)a + 
([Sigma]CNV_DEFi-2)a] * 1.25{time} ] * 100

Where:

HTOPd = The holdings-to-obligation percentage is the 
          percentage of separated D6 RINs a corporate affiliate group 
          holds on calendar day d relative to their expected separated 
          D6 RIN holdings based on the corporate affiliate group's 
          conventional RVO for compliance period i-1, in percent.
d = A given calendar day.
i = The compliance period, typically expressed as a calendar year.
a = Individual corporate affiliate in a corporate affiliate group.
([Sigma]D6RINd)a = Sum of the number of separated 
          D6 RINs each individual corporate affiliate a holds on 
          calendar day d, in RIN-gallons.
([Sigma]CNV_RVOi-1)a = Sum of the conventional 
          RVOs for each individual corporate affiliate a for compliance 
          period i-1 as calculated in paragraph (b)(2)(iii) of this 
          section, in RIN-gallons.
([Sigma]CNV_DEFi-1)a = Sum of the conventional 
          deficits for each individual corporate affiliate a as 
          calculated in paragraph (b)(2)(iv) of this section for 
          compliance period i-1, in RIN-gallons.
([Sigma]CNV_DEFi-2)a = Sum of the conventional 
          deficits for each individual corporate affiliate a as 
          calculated in paragraph (b)(2)(iv) of this section for 
          compliance period i-2, in RIN-gallons.

    (ii) For each day beginning April 1 through December 31, calculate 
the holdings-to-obligation percentage as follows:

HTOPd = {([Sigma]D6RINd)a/
[([Sigma]CNV_RVOi-1)a + 
([Sigma]CNV_DEFi-1)a]{time}  * 100

Where:

HTOPd = The holdings-to-obligation percentage is the 
          percentage of separated D6 RINs a corporate affiliate group 
          holds on calendar day d relative to their expected separated 
          D6 RIN holdings based on the corporate affiliate group's 
          conventional RVO for compliance period i-1, in percent.
d = A given calendar day.
i = The compliance period, typically expressed as a calendar year.
a = Individual corporate affiliate in a corporate affiliate group.
([Sigma]D6RINd)a = Sum of the number of separated 
          D6 RINs each individual corporate affiliate a holds on 
          calendar day d, in RIN gallons.
([Sigma]CNV_RVOi-1)a = Sum of the conventional 
          RVOs for each individual corporate affiliate a for compliance 
          period i-1 as calculated in paragraph (b)(2)(iii) of this 
          section, in RIN-gallons.
([Sigma]CNV_DEFi-1)a = Sum of the conventional 
          deficits for each individual corporate affiliate a as 
          calculated in paragraph (b)(2)(iv) of this section for 
          compliance period i-1, in RIN-gallons.

    (iii) As needed to calculate the holdings-to-obligation percentage 
in paragraphs (b)(2)(i) and (b)(2)(ii) of this section, calculate the 
conventional RVO for an individual corporate affiliate as follows:

CNV_RVOi = {[RFStdRF,i * (GVi + 
DVi)]--[RFStdAB,i * (GVi + 
DVi)]{time}  + ERVORF,i

Where:

CNV_RVOi = The conventional RVO for an individual corporate 
          affiliate for compliance period i without deficits, in RIN-
          gallons.
i = The compliance period, typically expressed as a calendar year.
RFStdRF,i = The standard for renewable fuel for compliance 
          period i determined by EPA pursuant to Sec.  80.1405, in 
          percent.
RFStdAB,i = The standard for advanced biofuel for compliance 
          period i determined by EPA pursuant to Sec.  80.1405, in 
          percent.
GVi = The non-renewable gasoline volume, determined in 
          accordance with Sec.  80.1407(b), (c), and (f), which is 
          produced in or imported into the 48 contiguous states or 
          Hawaii by an obligated party for compliance period i, in 
          gallons.
DVi = The non-renewable diesel volume, determined in 
          accordance with Sec.  80.1407(b), (c), and (f), which is 
          produced in or imported into the 48 contiguous states or 
          Hawaii by an obligated party for compliance period i, in 
          gallons.
ERVORF,i = The sum of all renewable volume obligations from 
          exporting renewable fuels, as calculated under Sec.  80.1430, 
          by an obligated party for compliance period i, in RIN-gallons.

(iv) As needed to calculate the holdings-to-obligation percentage in 
paragraphs (b)(2)(i) and (b)(2)(ii) of this section, calculate the 
conventional deficit for an individual corporate affiliate as follows:

CNV_DEFi = DRF,i--DAB,i

Where:

CNV_DEFi = The conventional deficit for an individual 
          corporate affiliate for compliance period i, in RIN-gallons. 
          If a conventional deficit is less than zero, use zero for 
          conventional deficits in paragraphs (b)(2)(i) and (b)(2)(ii) 
          of this section.

[[Page 548]]

i = The compliance period, typically expressed as a calendar year.
DRF,i = Deficit carryover from compliance period i for 
          renewable fuel, in RIN-gallons.
DAB,i = Deficit carryover from compliance period i for 
          advanced biofuel, in RIN-gallons.

    (c) Exceeding the D6 RIN holding thresholds. (1) Primary threshold 
test. A non-obligated party or corporate affiliate group that does not 
contain an obligated party and that has a holdings-to-market percentage 
greater than 3.00 percent for any calendar day in a compliance period, 
as determined under paragraph (b)(1) of this section, has exceeded the 
primary threshold.
    (2) Secondary threshold test. Any party or corporate affiliate group 
required to calculate a holdings-to-obligation percentage under 
paragraph (a)(3) of this section and that has a holdings-to-obligation 
percentage greater than 130.00 percent for any calendar day in a 
compliance period, as determined under paragraph (b)(2) of this section, 
has exceeded the secondary threshold.
    (d) Alternative gasoline and diesel production volume allowance. 
Parties that must calculate the secondary threshold under paragraph 
(b)(2) of this section may use alternative gasoline and diesel 
production volumes if all the following requirements are met:
    (1) The party must have a reasonable basis for using the alternative 
production numbers (e.g., selling or acquiring a refinery or a shutdown 
of a refinery).
    (2) When substituting the alternative production volume for the 
conventional RVO volume, the party must use actual production numbers 
for any completed quarter in the compliance period and extrapolated 
production numbers for any future quarters.
    (3) The party must meet the applicable recordkeeping requirements of 
Sec.  80.1454.
    (4) The party must retain documentation of the reasonable basis and 
the calculations used and must provide these to the auditor conducting 
the attest engagement under Sec.  80.1464.
    (e) Exemption from aggregation requirements. (1) A party may claim 
exemption from the requirement to aggregate D6 RIN holdings for any 
affiliate where one or more of the following apply:
    (i) There is an absence of common trading-level control and 
information sharing with the affiliate.
    (ii) The sharing of information regarding aggregation with the 
affiliate could lead either party to violate state or Federal law, or 
the law of a foreign jurisdiction.
    (iii) The affiliate is exempt from the regulations regarding 
commodities and securities exchanges under 17 CFR 150.4(b)(7).
    (2) A party must retain detailed, explanatory documentation 
supporting its exemption and must provide this documentation to the 
attest auditor under Sec.  80.1464, and to EPA upon request. Such 
records include, but are not limited to, the following:
    (i) Documents that reflect that the parties do not have knowledge of 
the trading decisions of the other.
    (ii) Documents that demonstrate that there are developed and 
independent trading systems in place.
    (iii) Documents that demonstrate that the parties have and enforce 
written procedures to preclude each from having knowledge of, gaining 
access to, or receiving data about, trades of the other.
    (iv) Documents reflective of the risk management and other systems 
in place.
    (v) Documents that support an exemption under 17 CFR 150.4(b)(7).
    (vi) Any other documents that support the applicability of the 
exemption.

[84 FR 27022, June 10, 2019]



Sec. Sec.  80.1436-80.1439  [Reserved]



Sec.  80.1440  What are the provisions for blenders who handle
and blend less than 250,000 gallons of renewable fuel per year or
who handle renewable fuel blended for fuels under a national security
exemption?
          

    (a)(1) Renewable fuel blenders who handle and blend less than 
250,000 gallons of renewable fuel per year, and who do not have one or 
more reported or unreported Renewable Volume Obligations, are permitted 
to delegate their RIN-related responsibilities to the party directly 
upstream of them who supplied the renewable fuel for blending.

[[Page 549]]

    (2) Renewable fuel blenders who handle and blend renewable fuel for 
parties that have a national security exemption under paragraph (f) of 
this section, or a national security exemption under any other subpart 
of 40 CFR part 80 (e.g., Sec. Sec.  80.606, 80.1655), and who do not 
have one or more reported or unreported Renewable Volume Obligations, 
are permitted to delegate their RIN-related responsibilities to the 
party directly upstream of them who supplied the renewable fuel for 
blending.
    (b) The RIN-related responsibilities that may be delegated directly 
upstream include all of the following:
    (1) The RIN separation requirements of Sec.  80.1429.
    (2) The reporting requirements of Sec.  80.1451.
    (3) The recordkeeping requirements of Sec.  80.1454.
    (4) The attest engagement requirements of Sec.  80.1464.
    (c) For upstream delegation of RIN-related responsibilities, both 
parties must agree on the delegation, and a quarterly written statement 
signed by both parties must be included with the reporting party's 
reports under Sec.  80.1451.
    (1) Both parties must keep copies of the signed quarterly written 
statement agreeing to the upward delegation for 5 years.
    (2) Parties delegating their RIN responsibilities upward shall keep 
copies of their registration forms as submitted to EPA.
    (3) A renewable fuel blender who delegates its RIN-related 
responsibilities under this section will remain liable for any violation 
of this subpart M associated with its renewable fuel blending 
activities.
    (d) Renewable fuel blenders who handle and blend less than 250,000 
gallons of renewable fuel per year and delegate their RIN-related 
responsibilities under paragraph (b) of this section must register 
pursuant to Sec.  80.1450(e), and may not own RINs.
    (e) Renewable fuel blenders who handle and blend less than 250,000 
gallons of renewable fuel per year and who do not opt to delegate their 
RIN-related responsibilities, or own RINs, will be subject to all 
requirements stated in paragraph (b) of this section, and all other 
applicable requirements of this subpart M.
    (f) The requirements described in paragraph (b) of this section may 
be delegated directly upstream for renewable fuel (neat or blended) that 
is produced, imported, sold, offered for sale, supplied, offered for 
supply, stored, dispensed, or transported for use in any of the 
following:
    (1) Tactical military vehicles, engines, or equipment having an EPA 
national security exemption from emission standards under 40 CFR 
85.1708, 89.908, 92.908, 94.908, 1042.635, or 1068.225.
    (2) Tactical military vehicles, engines, or equipment that are not 
subject to a national security exemption from vehicle or engine 
emissions standards as described in paragraph (f)(1) of this section 
but, for national security purposes (for purposes of readiness for 
deployment overseas), need to be fueled on the same transportation fuel, 
heating oil, or jet fuel as the vehicles, engines, or equipment for 
which EPA has granted such a national security exemption.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26042, May 10, 2010; 79 
FR 42162, July 18, 2014; 85 FR 7077, Feb. 6, 2020]



Sec.  80.1441  Small refinery exemption.

    (a)(1) Transportation fuel produced at a refinery by a refiner, or 
foreign refiner (as defined at Sec.  80.1465(a)), is exempt from January 
1, 2010 through December 31, 2010 from the renewable fuel standards of 
Sec.  80.1405, and the owner or operator of the refinery, or foreign 
refinery, is exempt from the requirements that apply to obligated 
parties under this subpart M for fuel produced at the refinery if the 
refinery meets the definition of a small refinery under Sec.  80.1401 
for calendar year 2006.
    (2) The exemption of paragraph (a)(1) of this section shall apply 
unless a refiner chooses to waive this exemption (as described in 
paragraph (f) of this section), or the exemption is extended (as 
described in paragraph (e) of this section).
    (3) For the purposes of this section, the term ``refiner'' shall 
include foreign refiners.
    (4) This exemption shall only apply to refineries that process crude 
oil through refinery processing units.

[[Page 550]]

    (5) The small refinery exemption is effective immediately, except as 
specified in paragraph (b)(3) of this section.
    (6) Refiners who own refineries that qualified as small under 40 CFR 
80.1141 do not need to resubmit a small refinery verification letter 
under this subpart M. This paragraph (a) does not supersede Sec.  
80.1141.
    (b)(1) A refiner owning a small refinery must submit a verification 
letter to EPA containing all of the following information:
    (i) The annual average aggregate daily crude oil throughput for the 
period January 1, 2006 through December 31, 2006 (as determined by 
dividing the aggregate throughput for the calendar year by the number 
365).
    (ii) A letter signed by the president, chief operating or chief 
executive officer of the company, or his/her designee, stating that the 
information contained in the letter is true to the best of his/her 
knowledge, and that the refinery was small as of December 31, 2006.
    (iii) Name, address, phone number, facsimile number, and e-mail 
address of a corporate contact person.
    (2) Verification letters must be submitted by July 1, 2010 to one of 
the addresses listed in paragraph (h) of this section.
    (3) For foreign refiners the small refinery exemption shall be 
effective upon approval, by EPA, of a small refinery application. The 
application must contain all of the elements required for small refinery 
verification letters (as specified in paragraph (b)(1) of this section), 
must satisfy the provisions of Sec.  80.1465(f) through (i) and (o), and 
must be submitted by July 1, 2010 to one of the addresses listed in 
paragraph (h) of this section.
    (4) Small refinery verification letters are not required for those 
refiners who have already submitted a complete verification letter under 
subpart K of this part 80. Verification letters submitted under subpart 
K prior to July 1, 2010 that satisfy the requirements of subpart K shall 
be deemed to satisfy the requirements for verification letters under 
this subpart M.
    (c) If EPA finds that a refiner provided false or inaccurate 
information regarding a refinery's crude throughput (pursuant to 
paragraph (b)(1)(i) of this section) in its small refinery verification 
letter, the exemption will be void as of the effective date of these 
regulations.
    (d) If a refiner is complying on an aggregate basis for multiple 
refineries, any such refiner may exclude from the calculation of its 
Renewable Volume Obligations (under Sec.  80.1407) transportation fuel 
from any refinery receiving the small refinery exemption under paragraph 
(a) of this section.
    (e)(1) The exemption period in paragraph (a) of this section shall 
be extended by the Administrator for a period of not less than two 
additional years if a study by the Secretary of Energy determines that 
compliance with the requirements of this subpart would impose a 
disproportionate economic hardship on a small refinery.
    (2) A refiner may petition the Administrator for an extension of its 
small refinery exemption, based on disproportionate economic hardship, 
at any time.
    (i) A petition for an extension of the small refinery exemption must 
specify the factors that demonstrate a disproportionate economic 
hardship and must provide a detailed discussion regarding the hardship 
the refinery would face in producing transportation fuel meeting the 
requirements of Sec.  80.1405 and the date the refiner anticipates that 
compliance with the requirements can reasonably be achieved at the small 
refinery.
    (ii) The Administrator shall act on such a petition not later than 
90 days after the date of receipt of the petition.
    (iii) In order to qualify for an extension of its small refinery 
exemption, a refinery must meet the definition of ``small refinery'' in 
Sec.  80.1401 for the most recent full calendar year prior to seeking an 
extension and must be projected to meet the definition of ``small 
refinery'' in Sec.  80.1401 for the year or years for which an exemption 
is sought. Failure to meet the definition of small refinery for any 
calendar year for which an exemption was granted would invalidate the 
exemption for that calendar year.
    (f) At any time, a refiner with a small refinery exemption under 
paragraph (a) of this section may waive

[[Page 551]]

that exemption upon notification to EPA.
    (1) A refiner's notice to EPA that it intends to waive its small 
refinery exemption must be received by November 1 to be effective in the 
next compliance year.
    (2) The waiver will be effective beginning on January 1 of the 
following calendar year, at which point the transportation fuel produced 
at that refinery will be subject to the renewable fuels standard of 
Sec.  80.1405 and the owner or operator of the refinery shall be subject 
to all other requirements that apply to obligated parties under this 
Subpart M.
    (3) The waiver notice must be sent to EPA at one of the addresses 
listed in paragraph (h) of this section.
    (g) A refiner that acquires a refinery from either an approved small 
refiner (as defined under Sec.  80.1442(a)) or another refiner with an 
approved small refinery exemption under paragraph (a) of this section 
shall notify EPA in writing no later than 20 days following the 
acquisition.
    (h) Verification letters under paragraph (b) of this section, 
petitions for small refinery hardship extensions under paragraph (e) of 
this section, and small refinery exemption waiver notices under 
paragraph (f) of this section shall be sent to the attention of ``RFS 
Program'' to the address in Sec.  80.10(a).

[75 FR 14863, Mar. 26, 2010, as amended at 79 FR 42163, July 18, 2014; 
85 FR 7077, Feb. 6, 2020]



Sec.  80.1442  What are the provisions for small refiners under
the RFS program?

    (a)(1) To qualify as a small refiner under this section, a refiner 
must meet all of the following criteria:
    (i) The refiner produced transportation fuel at its refineries by 
processing crude oil through refinery processing units from January 1, 
2006 through December 31, 2006.
    (ii) The refiner employed an average of no more than 1,500 people, 
based on the average number of employees for all pay periods for 
calendar year 2006 for all subsidiary companies, all parent companies, 
all subsidiaries of the parent companies, and all joint venture 
partners.
    (iii) The refiner had a corporate-average crude oil capacity less 
than or equal to 155,000 barrels per calendar day (bpcd) for 2006.
    (2) For the purposes of this section, the term ``refiner'' shall 
include foreign refiners.
    (3) Refiners who qualified as small under 40 CFR 80.1142 do not need 
to reapply for small refiner status under this subpart M. This paragraph 
(a) does not supersede Sec.  80.1142.
    (b)(1) The small refiner exemption in paragraph (c) of this section 
is effective immediately, except as provided in paragraph (b)(5) of this 
section, provided that all requirements of this section are satisfied.
    (2) Refiners who qualify for the small refiner exemption under 
paragraph (a) of this section must submit a verification letter (and any 
other relevant information) to EPA by July 1, 2010. The small refiner 
verification letter must include all of the following information for 
the refiner and for all subsidiary companies, all parent companies, all 
subsidiaries of the parent companies, and all joint venture partners:
    (i) A listing of the name and address of each company location where 
any employee worked for the period January 1, 2006 through December 31, 
2006.
    (ii) The average number of employees at each location based on the 
number of employees for each pay period for the period January 1, 2006 
through December 31, 2006.
    (iii) The type of business activities carried out at each location.
    (iv) For joint ventures, the total number of employees includes the 
combined employee count of all corporate entities in the venture.
    (v) For government-owned refiners, the total employee count includes 
all government employees.
    (vi) The total corporate crude oil capacity of each refinery as 
reported to the Energy Information Administration (EIA) of the U.S. 
Department of Energy (DOE), for the period January 1, 2006 through 
December 31, 2006. The information submitted to EIA is presumed to be 
correct. In cases where a company disagrees with this information, the 
company may petition EPA with appropriate data to correct the

[[Page 552]]

record when the company submits its application.
    (vii) The verification letter must be signed by the president, chief 
operating or chief executive officer of the company, or his/her 
designee, stating that the information is true to the best of his/her 
knowledge, and that the company owned the refinery as of December 31, 
2006.
    (viii) Name, address, phone number, facsimile number, and e-mail 
address of a corporate contact person.
    (3) In the case of a refiner who acquires or reactivates a refinery 
that was shutdown or non-operational between January 1, 2005 and January 
1, 2006, the information required in paragraph (b)(2) of this section 
must be provided for the time period since the refiner acquired or 
reactivated the refinery.
    (4) [Reserved]
    (5) For foreign refiners the small refiner exemption shall be 
effective upon approval, by EPA, of a small refiner application. The 
application must contain all of the elements required for small refiner 
verification letters (as specified in paragraph (b)(2) of this section), 
must satisfy the provisions of Sec.  80.1465(f) through (h) and (o), 
must demonstrate compliance with the crude oil capacity criterion of 
paragraph (a)(1)(iii) of this section, and must be submitted by July 1, 
2010 to one of the addresses listed in paragraph (i) of this section.
    (6) Small refiner verification letters submitted under subpart K 
(Sec.  80.1142) prior to July 1, 2010 that satisfy the requirements of 
subpart K shall be deemed to satisfy the requirements for small refiner 
verification letters under this subpart M.
    (c) Small refiner temporary exemption. (1) Transportation fuel 
produced by an small refiner pursuant to paragraph (b)(1) of this 
section, or an approved foreign small refiner (as defined at Sec.  
80.1465(a)), is exempt from January 1, 2010 through December 31, 2010 
from the renewable fuel standards of Sec.  80.1405 and the requirements 
that apply to obligated parties under this subpart if the refiner or 
foreign refiner meets all the criteria of paragraph (a)(1) of this 
section.
    (2) The small refiner exemption shall apply to a small refiner 
pursuant to paragraph (b)(1) of this section or an approved foreign 
small refiner unless that refiner chooses to waive this exemption (as 
described in paragraph (d) of this section).
    (d)(1) A refiner may, at any time, waive the small refiner exemption 
under paragraph (c) of this section upon notification to EPA.
    (2) A refiner's notice to EPA that it intends to waive the small 
refiner exemption must be received by November 1 of a given year in 
order for the waiver to be effective for the following calendar year. 
The waiver will be effective beginning on January 1 of the following 
calendar year, at which point the refiner will be subject to the 
renewable fuel standards of Sec.  80.1405 and the requirements that 
apply to obligated parties under this subpart.
    (3) The waiver must be sent to EPA at one of the addresses listed in 
paragraph (i) of this section.
    (e) Refiners who qualify as small refiners under this section and 
subsequently fail to meet all of the qualifying criteria as set out in 
paragraph (a) of this section are disqualified as small refiners of 
January 1 of the next calendar year, except as provided under paragraphs 
(d) and (e)(2) of this section.
    (1) In the event such disqualification occurs, the refiner shall 
notify EPA in writing no later than 20 days following the disqualifying 
event.
    (2) Disqualification under this paragraph (e) shall not apply in the 
case of a merger between two approved small refiners.
    (f) If EPA finds that a refiner provided false or inaccurate 
information in its small refiner status verification letter under this 
subpart M, the refiner will be disqualified as a small refiner as of the 
effective date of this subpart.
    (g) Any refiner that acquires a refinery from another refiner with 
approved small refiner status under paragraph (a) of this section shall 
notify EPA in writing no later than 20 days following the acquisition.
    (h) Extensions of the small refiner temporary exemption. (1) A small 
refiner may apply for an extension of the temporary exemption of 
paragraph (c)(1) of

[[Page 553]]

this section based on a showing of all the following:
    (i) Circumstances exist that impose disproportionate economic 
hardship on the refiner and significantly affects the refiner's ability 
to comply with the RFS standards.
    (ii) The refiner has made best efforts to comply with the 
requirements of this subpart.
    (2) A refiner must apply, and be approved, for small refiner status 
under this section.
    (3) A small refiner's hardship application must include all the 
following information:
    (i) A plan demonstrating how the refiner will comply with the 
requirements of Sec.  80.1405 (and all other requirements of this 
subpart applicable to obligated parties), as expeditiously as possible.
    (ii) A detailed description of the refinery configuration and 
operations including, at a minimum, all the following information:
    (A) The refinery's total crude capacity.
    (B) Total crude capacity of any other refineries owned by the same 
entity.
    (C) Total volume of gasoline and diesel produced at the refinery.
    (D) Detailed descriptions of efforts to comply.
    (E) Bond rating of the entity that owns the refinery.
    (F) Estimated investment needed to comply with the requirements of 
this subpart M.
    (4) A small refiner shall notify EPA in writing of any changes to 
its situation between approval of the extension application and the end 
of its approved extension period.
    (5) EPA may impose reasonable conditions on extensions of the 
temporary exemption, including reducing the length of such an extension, 
if conditions or situations change between approval of the application 
and the end of the approved extension period.
    (i) Small refiner status verification letters, small refiner 
exemption waivers, or applications for extensions of the small refiner 
temporary exemption under this section must be sent to the attention of 
``RFS Program'' to the address in Sec.  80.10(a).

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26042, May 10, 2010; 85 
FR 7077, Feb. 6, 2020]



Sec.  80.1443  What are the opt-in provisions for noncontiguous
states and territories?

    (a) Alaska or a United States territory may petition the 
Administrator to opt-in to the program requirements of this subpart.
    (b) The Administrator will approve the petition if it meets the 
provisions of paragraphs (c) and (d) of this section.
    (c) The petition must be signed by the Governor of the state or his 
authorized representative (or the equivalent official of the territory).
    (d)(1) A petition submitted under this section must be received by 
EPA by November 1 for the state or territory to be included in the RFS 
program in the next calendar year.
    (2) A petition submitted under this section should be sent to the 
attention of ``RFS Program'' to the address in Sec.  80.10(a).
    (e) Upon approval of the petition by the Administrator:
    (1) EPA shall calculate the standards for the following year, 
including the total gasoline and diesel fuel volume for the state or 
territory in question.
    (2) Beginning on January 1 of the next calendar year, all gasoline 
and diesel fuel refiners and importers in the state or territory for 
which a petition has been approved shall be obligated parties as defined 
in Sec.  80.1406.
    (3) Beginning on January 1 of the next calendar year, all renewable 
fuel producers in the state or territory for which a petition has been 
approved shall, pursuant to Sec.  80.1426(a)(2), be required to generate 
RINs and comply with other requirements of this subpart M that are 
applicable to producers of renewable fuel.

[75 FR 14863, Mar. 26, 2010, as amended at 85 FR 7077, Feb. 6, 2020]

[[Page 554]]



Sec. Sec.  80.1444-80.1448  [Reserved]



Sec.  80.1449  What are the Production Outlook Report requirements?

    (a) By June 1 of each year (September 1 for the report due in 2010), 
a registered renewable fuel producer or importer must submit and an 
unregistered renewable fuel producer may submit all of the following 
information for each of its facilities, as applicable, to EPA:
    (1) The type, or types, of renewable fuel expected to be produced or 
imported at each facility owned by the renewable fuel producer or 
importer.
    (2) The volume of each type of renewable fuel expected to be 
produced or imported at each facility.
    (3) The number of RINs expected to be generated by the renewable 
fuel producer or importer for each type of renewable fuel.
    (4) Information about all the following:
    (i) Existing and planned production capacity.
    (ii) Long-range plans for expansion of production capacity at 
existing facilities or construction of new facilities.
    (iii) Feedstocks and production processes to be used at each 
production facility.
    (iv) Changes to the facility that would raise or lower emissions of 
any greenhouse gases from the facility.
    (5) For expanded production capacity that is planned or underway at 
each existing facility, or new production facilities that are planned or 
underway, information on all the following, as available:
    (i) Strategic planning.
    (ii) Planning and front-end engineering.
    (iii) Detailed engineering and permitting.
    (iv) Procurement and construction.
    (v) Commissioning and startup.
    (6) Whether capital commitments have been made or are projected to 
be made.
    (b) The information listed in paragraph (a) of this section shall 
include the reporting party's best estimates for the five following 
calendar years.
    (c) Production outlook reports must provide an update of the 
progress in each of the areas listed in paragraph (a) of this section in 
comparison to information provided in previous year production outlook 
reports.
    (d) Production outlook reports shall be sent to the attention of 
``RFS Program (Production Output Reports)'' to the address in Sec.  
80.10(a).
    (e) All production outlook reports required under this section shall 
be submitted on forms and following procedures prescribed by the 
Administrator.

[75 FR 14863, Mar. 26, 2010, as amended at 77 FR 1356, Jan. 9, 2012; 85 
FR 7077, Feb. 6, 2020]



Sec.  80.1450  What are the registration requirements under the
RFS program?

    (a) Obligated parties and exporters. Any obligated party described 
in Sec.  80.1406, and any exporter of renewable fuel described in Sec.  
80.1430, must provide EPA with the information specified for 
registration under Sec.  80.76, if such information has not already been 
provided under the provisions of this part. An obligated party or an 
exporter of renewable fuel must receive EPA-issued identification 
numbers prior to engaging in any transaction involving RINs. 
Registration information may be submitted to EPA at any time after 
publication of this rule in the Federal Register, but must be submitted 
and accepted by EPA by July 1, 2010, or 60 days prior to RIN ownership, 
whichever date comes later.
    (b) Producers. Any RIN-generating foreign producer, any non-RIN-
generating foreign producer, or any domestic renewable fuel producer 
that generates RINs must provide EPA the information specified under 
Sec.  80.76 if such information has not already been provided under the 
provisions of this part, and must receive EPA-issued company and 
facility identification numbers prior to the generation of any RINs for 
their fuel or for fuel made with their ethanol. Unless otherwise 
specifically indicated, all the following registration information must 
be submitted and accepted by EPA by July 1, 2010, or 60 days prior to 
the generation of RINs, whichever date comes later, subject to this 
subpart:
    (1) A description of the types of renewable fuels or ethanol that 
the producer intends to produce at the facility

[[Page 555]]

and that the facility is capable of producing without significant 
modifications to the existing facility. For each type of renewable fuel 
or ethanol, the renewable fuel producer or foreign ethanol producer 
shall also provide all the following:
    (i) A list of all the feedstocks the facility is capable of 
utilizing without significant modification to the existing facility.
    (ii) A description of the facility's renewable fuel or ethanol 
production processes.
    (A) For registrations indicating production of cellulosic biofuel (D 
codes 3 or 7) from feedstocks other than biogas (including through 
pathways in rows K, L, M, and N of Table 1 to Sec.  80.1426), the 
producer must demonstrate the ability to convert cellulosic components 
of feedstock into fuel by providing all of the following:
    (1) A process diagram with all relevant unit processes labeled and a 
designation of which unit process is capable of performing cellulosic 
treatment, including required inputs and outputs at each step.
    (2) A description of the cellulosic biomass treatment process, 
including required inputs and outputs used at each step.
    (3) A description of the mechanical, chemical and biochemical 
mechanisms by which cellulosic materials can be converted to biofuel 
products.
    (B) [Reserved]
    (iii) The type of co-products produced with each type of renewable 
fuel or ethanol.
    (iv) A process heat fuel supply plan that includes all of the 
following:
    (A) For all process heat fuel, provide all the following 
information:
    (1) Each type of process heat fuel used at the facility.
    (2) Name and address of the company supplying each process heat fuel 
to the renewable fuel or foreign ethanol facility.
    (B) For biogas used for process heat, provide all the following 
information:
    (1) Locations from which the biogas was produced or extracted.
    (2) Name of suppliers of all biogas the producer purchases for use 
for process heat in the facility.
    (3) An affidavit from the biogas supplier stating its intent to 
supply biogas to the renewable fuel producer or foreign ethanol 
producer, and the quantity and energy content of the biogas that it 
intends to provide to the renewable fuel producer or foreign ethanol 
producer.
    (v) The following records that support the facility's baseline 
volume as defined in Sec.  80.1401 or, for foreign ethanol facilities, 
their production volume:
    (A) For all facilities except those described in paragraph 
(b)(1)(v)(B) of this section, copies of the most recent applicable air 
permits issued by the U.S. Environmental Protection Agency, state, local 
air pollution control agencies, or foreign governmental agencies and 
that govern the construction and/or operation of the renewable fuel or 
foreign ethanol facility.
    (B) For facilities claiming the exemption described in Sec.  
80.1403(c) or (d), applicable air permits issued by the U.S. 
Environmental Protection Agency, state, local air pollution control 
agencies, or foreign governmental agencies that govern the construction 
and/or operation of the renewable fuel facility that were:
    (1) Issued or revised no later than December 19, 2007, for 
facilities described in Sec.  80.1403(c); or
    (2) Issued or revised no later than December 31, 2009, for 
facilities described in Sec.  80.1403(d).
    (C)(1) For all facilities, copies of documents demonstrating each 
facility's actual peak capacity as defined in Sec.  80.1401 if the 
maximum rated annual volume output of renewable fuel is not specified in 
the air permits specified in paragraphs (b)(1)(v)(A) and (b)(1)(v)(B) of 
this section, as appropriate.
    (2) For facilities not claiming the exemption described in Sec.  
80.1403(c) or (d) which are exempt from air permit requirements and for 
which insufficient production records exist to establish actual peak 
capacity, copies of documents demonstrating the facility's nameplate 
capacity, as defined in Sec.  80.1401.
    (D) For all facilities producing renewable electricity or other 
renewable fuel from biogas, submit all relevant

[[Page 556]]

information in Sec.  80.1426(f)(10) or (11), including:
    (1) Copies of all contracts or affidavits, as applicable, that 
follow the track of the biogas/CNG/LNG or renewable electricity from its 
original source, to the producer that processes it into renewable fuel, 
and finally to the end user that will actually use the renewable 
electricity or the renewable CNG/LNG for transportation purposes.
    (2) Specific quantity, heat content, and percent efficiency of 
transfer, as applicable, and any conversion factors, for the renewable 
fuel derived from biogas.
    (E) Any other records as requested by the Administrator.
    (vi) For facilities claiming the exemption described in Sec.  
80.1403(c) or (d), evidence demonstrating the date that construction 
commenced (as defined in Sec.  80.1403(a)(1)) including all of the 
following:
    (A) Contracts with construction and other companies.
    (B) Applicable air permits issued by the U.S. Environmental 
Protection Agency, state, local air pollution control agencies, or 
foreign governmental agencies that governed the construction and/or 
operation of the renewable fuel facility during construction and when 
first operated.
    (vii)(A) For a producer of renewable fuel or a foreign producer of 
ethanol made from separated yard waste per Sec.  80.1426(f)(5)(i)(A):
    (1) The location of any establishment from which the waste stream 
consisting solely of separated yard waste is collected.
    (2) A plan documenting how the waste will be collected and how the 
renewable fuel producer or foreign ethanol producer will conduct ongoing 
verification that such waste consists only of yard waste (and incidental 
other components such as paper and plastics) that is kept separate since 
generation from other waste materials.
    (B) For a producer of renewable fuel or a foreign producer of 
ethanol made from separated food waste per Sec.  80.1426(f)(5)(i)(B) or 
from biogenic waste oils/fats/greases:
    (1) A plan documenting the type(s) of separated food waste or 
biogenic waste oils/fats/greases, the type(s) of establishment from 
which the waste is collected, how the waste will be collected, a 
description of ongoing verification measures that demonstrate such waste 
consists only of food waste (and an incidental amount of other 
components such as paper and plastics) or biogenic waste oils/fats/
greases that is kept separate from other waste materials, and if 
applicable, how the cellulosic and non-cellulosic portions of the waste 
will be quantified.
    (2) [Reserved]
    (viii) For a producer of renewable fuel, or a foreign producer of 
ethanol, made from separated municipal solid waste per Sec.  
80.1426(f)(5)(i)(C):
    (A) The location of the municipal waste establishment(s) from which 
the separated municipal solid waste is collected or from which material 
is collected that will be processed to produce separated municipal solid 
waste.
    (B) A plan providing ongoing verification that there is separation 
of recyclable paper, cardboard, plastics, rubber, textiles, metals, and 
glass wastes to the extent reasonably practicable and which documents 
the following:
    (1) Extent and nature of recycling that occurred prior to receipt of 
the waste material by the renewable fuel producer or foreign ethanol 
producer;
    (2) Identification of available recycling technology and practices 
that are appropriate for removing recycling materials from the waste 
stream by the fuel producer or foreign ethanol producer; and
    (3) Identification of the technology or practices selected for 
implementation by the fuel producer or foreign ethanol producer 
including an explanation for such selection, and reasons why other 
technologies or practices were not.
    (C) Contracts relevant to materials recycled from municipal waste 
streams as described in Sec.  80.1426(f)(5)(iii).
    (D) Certification by the producer that recycling is conducted in a 
manner consistent with goals and requirements of applicable State and 
local laws relating to recycling and waste management.
    (ix)(A) For a producer of ethanol from grain sorghum or a foreign 
ethanol producer making product from grain sorghum and seeking to have 
it

[[Page 557]]

sold as renewable fuel after addition of ethanol denaturant, provide a 
plan that has been submitted and accepted by U.S. EPA that includes the 
following information:
    (1) Locations from which the biogas used at the facility was 
produced or extracted.
    (2) Name of suppliers of all biogas used at the facility.
    (3) An affidavit from each biogas supplier stating its intent to 
supply biogas to the renewable fuel producer or foreign ethanol 
producer, the quantity and energy content of the biogas that it intends 
to provide to the renewable fuel producer or foreign ethanol producer, 
and that the biogas will be derived solely from landfills, waste 
treatment plants, and/or waste digesters.
    (4) If the producer intends to generate advanced biofuel RINs, 
estimates of the total amount of electricity used from the grid, the 
total amount of ethanol produced, and a calculation of the amount of 
electricity used from the grid per gallon of ethanol produced.
    (5) If the producer intends to generate advanced biofuel RINs, a 
description of how the facility intends to demonstrate and document that 
not more than 0.15 kWh of grid electricity is used per gallon of ethanol 
produced, calculated on a per batch basis, at the time of RIN 
generation.
    (B) [Reserved]
    (x)(A) For a producer of renewable fuel made from Arundo donax or 
Pennisetum purpureum per Sec.  80.1426(f)(14)(i):
    (1) A Risk Mitigation Plan (Plan) that demonstrates the growth of 
Arundo donax or Pennisetum purpureum will not pose a significant 
likelihood of spread beyond the planting area of the feedstock used for 
production of the renewable fuel. The Plan must identify and incorporate 
best management practices (BMPs) into the production, management, 
transport, collection, monitoring, and processing of the feedstock. To 
the extent practicable, the Risk Mitigation Plan should utilize a Hazard 
Analysis Critical Control Point (HACCP) approach to examine each phase 
of the pathway to identify spread reduction steps. BMPs should include 
the development of mitigation strategies and plans to minimize escape 
and other impacts (e.g., minimize soil disturbance), incorporate 
desirable traits (e.g., sterility or reduced seed production), develop 
and implement dispersal mitigation protocols prior to cultivation, 
develop multiple year eradication controls. Eradication controls should 
follow an approach of early detection and rapid response (EDRR) to 
unintended spread. EDRR efforts should demonstrate the likelihood that 
invasions will be halted while still localized and identify and employ 
cooperative networks, communication forums, and consultation processes 
with federal, state, and local agencies. The Risk Mitigation Plan must 
provide for the following:
    (i) Monitoring and reporting data for a period prior to planting 
that is sufficient to establish a baseline, through crop production, and 
extending beyond crop production for a sufficient period after the field 
is no longer used for feedstock production to ensure no remnants of 
giant reed or napier grass survive or spread.
    (ii) Monitoring must include the area encompassing the feedstock 
growing areas, the transportation corridor between the growing areas and 
the renewable fuel production facility, and the renewable fuel 
production facility, extending to the distance of potential propagation 
of the feedstock species, or further if necessary.
    (iii) Monitoring must reflect the likelihood of spread specific to 
the feedstock.
    (iv) A closure plan providing for the destruction and removal of 
feedstock from the growing area upon abandonment by the feedstock grower 
or end of production.
    (v) A plan providing for an independent third party who will audit 
the monitoring and reporting conducted in accordance with the Plan on an 
annual basis, subject to approval of a different frequency by EPA.
    (2) A letter from the United States Department of Agriculture 
(``USDA'') to the renewable fuel producer stating USDA's conclusions and 
the bases therefore regarding whether the Arundo donax or Pennisetum 
purpureum does or does not present a significant

[[Page 558]]

likelihood of spread beyond the planting area of the feedstock used for 
production of the renewable fuel as proposed by the producer. This 
letter shall also include USDA's recommendation of whether it is 
appropriate to require the use of a financial mechanism to ensure the 
availability of financial resources sufficient to cover reasonable 
potential remediation costs associated with the invasive spread of giant 
reed or napier grass beyond the intended planting areas. In coordination 
with USDA, EPA shall identify for the producer the appropriate USDA 
office from which the letter should originate.
    (3) Identification of all federal, state, regional, and local 
requirements related to invasive species that are applicable for the 
feedstock at the growing site and at all points between the growing site 
and the fuel production site.
    (4) A copy of all state and local growing permits held by the 
feedstock grower.
    (5) A communication plan for notifying EPA's Office of 
Transportation and Air Quality, USDA, adjacent federal land management 
agencies, and any relevant state, tribal, regional, and local 
authorities as soon as possible after identification of the issue if the 
feedstock is detected outside planted area.
    (6) A copy of the agreement between the feedstock grower and fuel 
producer establishing all rights and duties of the parties related to 
the Risk Mitigation Plan and any other activities and liability 
associated with the prevention of the spread of Arundo donax and/or 
Pennisetum purpureum outside of the intended planting area.
    (7) A copy of the agreement between the fuel producer and an 
independent third party describing how the third party will audit the 
monitoring and reporting conducted in accordance with the Risk 
Mitigation Plan on an annual basis, subject to approval of a different 
timeframe by EPA.
    (8) Information on the financial resources or other financial 
mechanism (such as a state-administered fund, bond, or certificate of 
deposit) that would be available to finance reasonable remediation 
activities associated with the potential spread of giant reed or napier 
grass beyond the intended planting areas, and information on whether it 
is necessary to have any further such resources or mechanism. EPA may 
require a demonstration that there is an adequate financial mechanism 
(such as a state-administered fund, bond, or certificate of deposit) to 
ensure the availability of financial resources sufficient to cover 
reasonable potential remediation costs associated with the spread of 
giant reed or napier grass beyond the intended planting areas.
    (9) EPA may require additional information as appropriate.
    (B) For a producer of renewable fuel made from Arundo donax or 
Pennisetum purpureum per Sec.  80.1426(f)(14)(ii):
    (1) Clear and compelling evidence, including information and 
supporting data, demonstrating that Arundo donax or Pennisetum purpureum 
does not present a significant likelihood of spread beyond the planting 
area of the feedstock used for production of the renewable fuel. 
Evidence must include data collected from similar environments (soils, 
temperatures, precipitation, USDA Hardiness Zones) as the proposed 
feedstock production project site and accepted by the scientific 
community. Such a demonstration should include consideration of the 
elements of a Risk Mitigation Plan set forth in paragraph (b)(1)(x)(A) 
of this section, fully disclose the potential invasiveness of the 
feedstock, provide a closure plan for the destruction and removal of 
feedstock from the growing area upon abandonment by the feedstock grower 
or end of production, and explain why a Risk Mitigation Plan is not 
needed to make the required determination.
    (2) A letter from the United States Department of Agriculture 
(``USDA'') to the renewable fuel producer stating USDA's conclusions and 
the bases therefore regarding whether the Arundo donax or Pennisetum 
purpureum does or does not present a significant likelihood of spread 
beyond the planting area of the feedstock used for production of the 
renewable fuel as proposed by the producer or importer. In coordination 
with USDA, EPA shall identify for the producer the appropriate USDA 
office from which the letter should originate.

[[Page 559]]

    (C) EPA may suspend a producer's registration for purposes of 
generating RINs for renewable fuel using Arundo donax or Pennisetum 
purpureum as a feedstock if such feedstock has spread beyond the 
intended planting area.
    (xi) For a producer of fuel oil meeting paragraph (2) of the 
definition of heating oil in Sec.  80.1401:
    (A) An affidavit from the producer of the fuel oil meeting paragraph 
(2) of the definition of ``heating oil'' in Sec.  80.1401 stating that 
the fuel oil for which RINs have been generated will be sold for the 
purposes of heating or cooling interior spaces of homes or buildings to 
control ambient climate for human comfort, and no other purpose.
    (B) Affidavits from the final end user or users of the fuel oil 
stating that the fuel oil meeting paragraph (2) of the definition of 
``heating oil'' in Sec.  80.1401 is being used or will be used for 
purposes of heating or cooling interior spaces of homes or buildings to 
control ambient climate for human comfort, and no other purpose, and 
acknowledging that any other use of the fuel oil would violate EPA 
regulations and subject the user to civil and/or criminal penalties 
under the Clean Air Act.
    (xii) For a producer or importer of any renewable fuel other than 
ethanol, biodiesel, renewable gasoline, renewable diesel that meets the 
ASTM 975-13a Grade No. 1-D or No. 2-D specifications (incorporated by 
reference, see Sec.  80.1468), biogas or renewable electricity all the 
following:
    (A) A description of the renewable fuel and how it will be blended 
to into gasoline or diesel fuel to produce a transportation fuel, 
heating oil or jet fuel that meets all applicable standards.
    (B) A statement regarding whether the renewable fuel producer or 
importer will blend the renewable fuel into gasoline or diesel fuel or 
enter into a written contract for the sale and use of a specific 
quantity of the renewable fuel with a party who blends the fuel into 
gasoline or diesel fuel to produce a transportation fuel, heating oil or 
jet fuel that meets all applicable standards.
    (C) If the renewable fuel producer or importer enters into a written 
contract for the sale and use of a specific quantity of the renewable 
fuel with a party who blends the fuel into gasoline or diesel fuel to 
produce a transportation fuel, heating oil or jet fuel, provide all the 
following:
    (1) The name, location and contact information for the party that 
will blend the renewable fuel.
    (2) A copy of the contract that requires the party to blend the 
renewable fuel into gasoline or diesel fuel to produce a transportation 
fuel, heating oil or jet fuel that meets all applicable standards.
    (xiii) (A) A producer of renewable fuel seeking to generate D code 3 
or D code 7 RINs, or a foreign ethanol producer seeking to have its 
product sold as cellulosic biofuel after it is denatured, who intends to 
produce a single type of fuel using two or more feedstocks converted 
simultaneously, where at least one of the feedstocks does not have a 
minimum 75% average adjusted cellulosic content, and who uses only a 
thermochemical process to convert feedstock into renewable fuel, must 
provide all the following:
    (1) Data showing the average adjusted cellulosic content of the 
feedstock(s) to be used to produce fuel, based on the average of at 
least three representative samples. Cellulosic content data must come 
from an analytical method certified by a voluntary consensus standards 
body or using a method that would produce reasonably accurate results as 
demonstrated through peer reviewed references provided to the third 
party engineer performing the engineering review at registration. 
Samples must be of representative feedstock from the primary feedstock 
supplier that will provide the fuel producer with feedstock subsequent 
to registration.
    (2) For producers who want to use a new feedstock(s) after initial 
registration, updates to their registration under paragraph (d) of this 
section indicating the average adjusted cellulosic content of the new 
feedstock.
    (3) For producers already registered as of August 18, 2014, to 
produce a single type of fuel that qualifies for D code 3 or D code 7 
RINs (or would do so after denaturing) using two or more feedstocks 
converted simultaneously using only a thermochemical process,

[[Page 560]]

the information specified in this paragraph (b)(1)(xiii)(A) shall be 
provided at the next required registration update under paragraph (d) of 
this section.
    (B) A producer of renewable fuel seeking to generate D code 3 or D 
code 7 RINs, or a foreign ethanol producer seeking to have its product 
sold as cellulosic biofuel after it is denatured, who intends to produce 
a single type of fuel using two or more feedstocks converted 
simultaneously, where at least one of the feedstocks does not have a 
minimum 75% adjusted cellulosic content, and who uses a process other 
than a thermochemical process or a combination of processes to convert 
feedstock into renewable fuel, must provide all the following:
    (1) The expected overall fuel yield, calculated as the total volume 
of fuel produced per batch (e.g., cellulosic biofuel plus all other 
fuel) divided by the total feedstock mass per batch on a dry weight 
basis (e.g., cellulosic feedstock plus all other feedstocks).
    (2) The cellulosic Converted Fraction (CF) that will be used for 
generating RINs under Sec.  80.1426(f)(3)(vi).
    (3) Chemical analysis data supporting the calculated cellulosic 
Converted Fraction and a discussion of the possible variability that 
could be expected between reporting periods per Sec.  
80.1451(b)(1)(ii)(U)(1). Data used to calculate the cellulosic CF must 
be representative and obtained using an analytical method certified by a 
voluntary consensus standards body, or using a method that would produce 
reasonably accurate results as demonstrated through peer reviewed 
references provided to the third party engineer performing the 
engineering review at registration.
    (4) A description and calculations showing how the data were used to 
determine the cellulosic Converted Fraction.
    (5) For producers already registered as of August 18, 2014, to 
produce a single type of fuel that qualifies for D code 3 or D code 7 
RINs (or would do so after denaturing) using two or more feedstocks 
converted simultaneously using a combination of processes or a process 
other than a thermochemical process, the information specified in this 
paragraph (b)(1)(xiii)(B) shall be provided at the next required 
registration update under paragraph (d) of this section.
    (xiv) For a producer of cellulosic biofuel made from energy cane, or 
a foreign renewable fuel producer making ethanol from energy cane and 
seeking to have it sold after denaturing as cellulosic biofuel, provide 
all of the following:
    (A) Data showing that the average adjusted cellulosic content of 
each cane cultivar they intend to use is at least 75%, based on the 
average of at least three representative samples of each cultivar. 
Cultivars must be grown under normal growing conditions and consistent 
with acceptable farming practices. Samples must be of feedstock from a 
feedstock supplier that the fuel producer intends to use to supply 
feedstock for their production process and must represent the feedstock 
supplier's range of growing conditions and locations. Cellulosic content 
data must come from an analytical method certified by a voluntary 
consensus standards body or using a method that would produce reasonably 
accurate results as demonstrated through peer reviewed references 
provided to the third party engineer performing the engineering review 
at registration.
    (B) Producers that want to change or add new cultivar(s) after 
initial registration must update their registration and provide EPA with 
data in accordance with paragraph (d) of this section demonstrating that 
the average adjusted cellulosic content for any new cultivar is at least 
75%. Cultivars that do not meet this requirement are considered 
sugarcane for purposes of Table 1 to Sec.  80.1426.
    (xv) For a producer of cellulosic biofuel made from crop residue or 
a foreign renewable fuel producer making ethanol from crop residue and 
seeking to have it sold after denaturing as cellulosic biofuel, provide 
all the following information:
    (A) A list of all feedstocks the producer intends to utilize as crop 
residue.
    (B) A written justification which explains why each feedstock a 
producer lists according to paragraph (b)(1)(xv)(A) of this section 
meets the definition of ``crop residue'' per Sec.  80.1401.

[[Page 561]]

    (C) For producers already registered as of August 18, 2014 to 
produce a renewable fuel using crop residue, the information specified 
in this paragraph (b)(1)(xv) shall be provided at the next required 
registration update under paragraph (d) of this section.
    (2) An independent third-party engineering review and written report 
and verification of the information provided pursuant to paragraph 
(b)(1) of this section. The report and verification shall be based upon 
a site visit and review of relevant documents and shall separately 
identify each item required by paragraph (b)(1) of this section, 
describe how the independent third-party evaluated the accuracy of the 
information provided, state whether the independent third-party agrees 
with the information provided, and identify any exceptions between the 
independent third-party's findings and the information provided.
    (i) The verifications required under this section must be conducted 
by a professional engineer, as specified in paragraphs (b)(2)(i)(A) and 
(b)(2)(i)(B) of this section, who is an independent third-party. The 
verifying engineer must be:
    (A) For a domestic renewable fuel production facility or a foreign 
ethanol production facility, a professional engineer who is licensed by 
an appropriate state agency in the United States, with professional work 
experience in the chemical engineering field or related to renewable 
fuel production.
    (B) For a foreign renewable fuel production facility, an engineer 
who is a foreign equivalent to a professional engineer licensed in the 
United States with professional work experience in the chemical 
engineering field or related to renewable fuel production.
    (ii) To be considered an independent third-party under this 
paragraph (b)(2):
    (A) The third-party shall not be operated by the renewable fuel 
producer or foreign ethanol producer, or any subsidiary or employee of 
the renewable fuel producer or foreign ethanol producer.
    (B) The third-party shall be free from any interest in the renewable 
fuel producer or foreign ethanol producer's business.
    (C) The renewable fuel producer or foreign ethanol producer shall be 
free from any interest in the third-party's business.
    (D) Use of a third-party that is debarred, suspended, or proposed 
for debarment pursuant to the Government-wide Debarment and Suspension 
regulations, 40 CFR part 32, or the Debarment, Suspension and 
Ineligibility provisions of the Federal Acquisition Regulations, 48 CFR, 
part 9, subpart 9.4, shall be deemed noncompliance with the requirements 
of this section.
    (iii) The independent third-party shall retain all records 
pertaining to the verification required under this section for a period 
of five years from the date of creation and shall deliver such records 
to the Administrator upon request.
    (iv) The renewable fuel producer or foreign ethanol producer must 
retain records of the review and verification, as required in Sec.  
80.1454(b)(6).
    (v) The third-party must provide to EPA documentation of his or her 
qualifications as part of the engineering review, including proof of 
appropriate professional license or foreign equivalent.
    (vi) Owners and operators of facilities described in Sec.  
80.1403(c) and (d) must submit the engineering review no later than 
December 31, 2010.
    (c) Importers. Importers of renewable fuel must provide EPA the 
information specified under Sec.  80.76, if such information has not 
already been provided under the provisions of this part and must receive 
an EPA-issued company identification number prior to generating or 
owning RINs. Registration information must be submitted and accepted by 
EPA by July 1, 2010, or 60 days prior to an importer importing any 
renewable fuel with assigned RINs or generating any RINs for renewable 
fuel, whichever dates comes later.
    (d) Registration updates. (1) Any producer of renewable fuel or any 
foreign ethanol producer that makes changes to their facility that will 
allow them to produce renewable fuel that is not reflected in the 
producer's registration information on file with EPA must update their 
registration information and submit a copy of an updated independent 
third-party engineering review

[[Page 562]]

on file with EPA at least 60 days prior to producing the new type of 
renewable fuel. The producer may also submit an addendum to the 
independent third-party engineering review on file with EPA provided the 
addendum meets all the requirements in paragraph (b)(2) of this section 
and verifies for EPA the most up-to-date information at the producer's 
existing facility.
    (2) Any producer of renewable fuel and any foreign ethanol producer 
who makes any other changes to a facility that will affect the 
producer's registration information but will not affect the renewable 
fuel category for which the producer is registered per paragraph (b) of 
this section must update his registration information 7 days prior to 
the change.
    (3) All producers of renewable fuel and foreign ethanol producers 
must update registration information and submit an updated independent 
third-party engineering review according to the schedule in paragraph 
(d)(3)(i) or (d)(3)(ii) of this section, and including the information 
specified in paragraph (d)(3)(iii) of this section:
    (i) For all producers of renewable fuel and foreign ethanol 
producers registered in calendar year 2010, the updated registration 
information and independent third-party engineering review shall be 
submitted to EPA by January 31, 2013, and by January 31 of every third 
calendar year thereafter; or
    (ii) For all producers of renewable fuel and foreign ethanol 
producers registered in any calendar year after 2010, the updated 
registration information and independent third-party engineering review 
shall be submitted to EPA by January 31 of every third calendar year 
after the first year of registration.
    (iii) In addition to conducting the engineering review and written 
report and verification required by paragraph (b)(2) of this section, 
the updated independent third-party engineering review shall include a 
detailed review of the renewable fuel producer's calculations used to 
determine VRIN of a representative sample of batches of each 
type of renewable fuel produced since the last registration. The 
representative sample shall be selected in accordance with the sample 
size guidelines set forth at Sec.  80.127.
    (e) Any party who owns RINs, intends to own RINs, or intends to 
allow another party to separate RINs as per Sec.  80.1440, but who is 
not covered by paragraph (a), (b), or (c) of this section, must provide 
EPA the information specified under Sec.  80.76, if such information has 
not already been provided under the provisions of this part and must 
receive an EPA-issued company identification number prior to owning any 
RINs. Registration information must be submitted at least 30 days prior 
to RIN ownership.
    (f) Registration for any facility claiming an exemption under Sec.  
80.1403(c) or (d), must be submitted by July 1, 2013. EPA may in its 
sole discretion waive this requirement if it determines that the 
information submitted in any later registration can be verified by EPA 
in the same manner as would have been possible with a timely submission.
    (g) Any independent third-party auditor described in Sec.  80.1471 
must register with the EPA as an independent third-party auditor and 
receive an EPA issued company identification number prior to conducting 
quality assurance audits pursuant to Sec.  80.1472. Registration 
information must be submitted at least 30 days prior to conducting 
audits of renewable fuel production facilities. The independent third-
party auditor must provide to the EPA all the following:
    (1) The information specified under Sec.  80.76, if such information 
has not already been provided under the provisions of this part.
    (2) Documentation of professional qualifications as follows:
    (i) For a professional engineer as described in Sec.  
80.1450(b)(2)(i)(A) and (b)(2)(i)(B).
    (ii) For a domestic independent third-party auditor or a foreign 
independent third-party auditor, a certified public accountant who is 
licensed by an appropriate state agency in the United States.
    (iii) For a foreign independent third-party auditor, an accountant 
who is a foreign equivalent to a certified public accountant licensed in 
the United States.

[[Page 563]]

    (3) Documentation of professional liability insurance as described 
in Sec.  80.1471(c).
    (4) Any quality assurance plans as described in Sec.  80.1469.
    (5) Name, address, and company and facility identification numbers 
of all renewable fuel production facilities that the independent third-
party auditor intends to audit under Sec.  80.1472.
    (6) An affidavit, or electronic consent, from each renewable fuel 
producer or foreign renewable fuel producer stating its intent to have 
the independent third-party auditor conduct a quality assurance audit of 
any of the renewable fuel producer's or foreign renewable fuel 
producer's facilities.
    (7) An affidavit stating that an independent third-party auditor and 
its contractors and subcontractors are independent, as described in 
Sec.  80.1471(b), of any renewable fuel producer or foreign renewable 
fuel producer.
    (8) The name and contact information for each person employed (or 
under contract or subcontract) by the independent third-party auditor to 
conduct audits or verify RINs, as well as the name and contact 
information for any professional engineer and certified public 
accountant performing the review.
    (9) Registration updates. (i) Any independent third-party auditor 
who makes changes to its quality assurance plan(s) that will allow it to 
audit new renewable fuel production facilities, as defined in Sec.  
80.1401, that is not reflected in the independent third-party auditor's 
registration information on file with EPA must update its registration 
information and submit a copy of an updated QAP on file with EPA at 
least 60 days prior to auditing new renewable fuel production 
facilities.
    (ii) Any independent third-party auditor who makes any changes other 
than those specified in paragraphs (g)(9)(i), (iii), and (iv) of this 
section that will affect the third-party auditor's registration 
information must update its registration information 7 days prior to the 
change.
    (iii) Independent third-party auditors must update their QAPs at 
least 60 days prior to verifying RINs generated by a renewable fuel 
facility for a pathway not covered in the independent third-party 
auditor's QAPs.
    (iv) Independent third-party auditors must update their QAPs at 
least 60 days prior to verifying RINs generated by any renewable fuel 
facility not identified in the independent third-party auditor's 
existing registration.
    (10) Registration renewal. Registrations for independent third-party 
auditors expire December 31 of each calendar year. Previously approved 
registrations will renew automatically if all the following conditions 
are met:
    (i) The independent third-party auditor resubmits all information, 
updated as necessary, described in Sec.  80.1450(g)(1) through (g)(7) no 
later than October 31 before the next calendar year.
    (ii) The independent third-party auditor submits an affidavit 
affirming that he or she has only verified RINs using a QAP approved 
under Sec.  80.1469, notified all appropriate parties of all potentially 
invalid RINs as described in Sec.  80.1471(d), and fulfilled all of his 
or her RIN replacement obligations under Sec.  80.1474.
    (iii) The auditor has not received a notice of deficiency from the 
EPA regarding its registration renewal materials.
    (11) Revocation of registration. (i) The Administrator may issue a 
notice of intent to revoke the registration of a third-party auditor if 
the Administrator determines that the auditor has failed to fulfill any 
requirement of this subpart. The notice of intent shall include an 
explanation of the reasons for the proposed revocation.
    (ii) Within 60 days of receipt of the notice of intent to revoke, 
the independent third-party auditor may submit written comments 
concerning the notice, including but not limited to a demonstration of 
compliance with the requirements which provide the basis for the 
proposed revocation. Communications should be sent to the EMTS support 
line ([email protected]). The Administrator shall review and 
consider any such submission before taking final action concerning the 
proposed revocation.
    (iii) If the auditor fails to respond in writing within 60 days to 
the notice of intent to revoke, the revocation shall become final by 
operation of law and

[[Page 564]]

the Administrator shall notify the independent third-party auditor of 
such revocation.
    (h) Deactivation of registration. (1) EPA may deactivate the 
registration of any party required to register under this section Sec.  
80.1450, using the process in paragraph (h)(2) of this section, if any 
of the following criteria are met:
    (i) The party has reported no activity in EMTS for twenty-four 
consecutive months.
    (ii) The party has failed to comply with the registration 
requirements of this section.
    (iii) The party has failed to submit any required notification or 
report within 30 days of the required submission date under Sec.  
80.1451.
    (iv) The attest engagement required under Sec.  80.1464 has not been 
received within 30 days of the required submission date.
    (v) The party fails to pay a penalty or to perform any requirements 
under the terms of a court order, administrative order, consent decree, 
or administrative settlement between the party and EPA.
    (vi) The party submits false or incomplete information.
    (vii) The party denies EPA access or prevents EPA from completing 
authorized activities under sections 114 or 208 of the Clean Air Act 
despite presenting a warrant or court order. This includes a failure to 
provide reasonable assistance.
    (viii) The party fails to keep or provide the records required by 
this subpart.
    (ix) The party otherwise circumvents the intent of the Clean Air Act 
or of this subpart.
    (2) Except as provided in paragraph (h)(3) of this section, EPA will 
use the following process whenever it decides to deactivate the 
registration of a party:
    (i) EPA will provide written notification to the responsible 
corporate officer identifying the reasons or deficiencies for which EPA 
intends to deactivate the party's registration. The party will have 
fourteen calendar days from the date of the notification to correct the 
deficiencies identified or explain why there is no need for corrective 
action.
    (ii) If the basis for EPA's notice of intent to deactivate 
registration is the absence of EMTS activity under paragraph (h)(1)(i) 
of this section, a stated intent to engage in activity reported through 
EMTS will be sufficient to avoid deactivation of registration.
    (iii) If the party does not correct identified deficiencies under 
paragraphs (h)(1)(ii) through (ix) of this section, or does not provide 
an adequate explanation regarding why such correction is not necessary 
within the time allotted for response, EPA may deactivate the party's 
registration without further notice to the party.
    (3) In instances of willfulness or those in which public health, 
interest, or safety requires otherwise, EPA may deactivate the 
registration of the party without any notice to the party. EPA will 
provide written notification to the responsible corporate officer 
identifying the reasons EPA deactivated the registration of the party.
    (4) Impact of registration deactivation:
    (i) A party whose registration is deactivated shall still be liable 
for violation of any requirements of this subpart.
    (ii) A party whose registration is deactivated will not be listed on 
any public list of actively registered parties that is maintained by 
EPA.
    (iii) A party whose registration is deactivated will not have access 
to any of the electronic reporting systems associated with the renewable 
fuel standard program, including the EPA Moderated Transaction System 
(EMTS).
    (iv) A party whose registration is deactivated must submit any 
corrections of deficiencies to EPA on forms, and following policies, 
established by EPA.
    (v) If a party whose registration has been deactivated wishes to re-
register, they may seek to do so by submitting a new registration 
pursuant to the requirements in paragraphs (a) through (c), (e), and (g) 
of this section, as applicable.
    (i) Registration procedures. (1) Registration shall be on forms, and 
following policies, established by the Administrator.
    (2) English language registrations--Any document submitted to EPA 
under this section must be submitted in

[[Page 565]]

English, or shall include an English translation.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26043, May 10, 2010; 77 
FR 1356, Jan. 9, 2012; 77 FR 74606, Dec. 17, 2012; 78 FR 41714, July 11, 
2013; 78 FR 62471, Oct. 22, 2013; 79 FR 42163, July 18, 2014; 79 FR 
42115, July 18, 2014; 85 FR 7077, Feb. 6, 2020]



Sec.  80.1451  What are the reporting requirements under the RFS program?

    (a) Obligated parties and exporters. Any obligated party described 
in Sec.  80.1406 or exporter of renewable fuel described in Sec.  
80.1430 must submit to EPA reports according to the schedule, and 
containing all the information, that is set forth in this paragraph (a).
    (1) Annual compliance reports for the previous compliance period 
shall be submitted by March 31 of each year, except as provided in 
paragraph (a)(1)(xiv) of this section, and shall include all the 
following information:
    (i) The obligated party's or exporter of renewable fuel's name.
    (ii) The EPA company registration number.
    (iii) Whether the domestic refiner, as defined in Sec.  80.1406, is 
complying on a corporate (aggregate) or facility-by-facility basis.
    (iv) The EPA facility registration number, if complying on a 
facility-by-facility basis.
    (v)(A) For the 2010 through 2019 compliance periods, the production 
volume and import volume of all of the products listed in Sec.  
80.1407(c) and (e) for the compliance period.
    (B) For the 2020 compliance period, separately, the production 
volume and import volume of all of the gasoline products listed in Sec.  
80.1407(c), the production volume and import volume of all of the MVNRLM 
diesel fuel products listed in Sec.  80.1407(e), and the combined volume 
of all gasoline products and MVNRLM diesel fuel listed in Sec.  
80.1407(c) and (e) for the compliance period.
    (C) Beginning with the 2021 compliance period, separately, the 
production volume and import volume for the compliance period of all of 
the following:
    (1) All of the gasoline products listed in Sec.  80.1407(c).
    (2) All of the MVNRLM diesel fuel products listed in Sec.  
80.1407(e).
    (3) The combined production volume of all gasoline products and 
MVNRLM diesel fuel.
    (4) Distillate fuel that is not transportation fuel.
    (5) Distillate fuel that is certified NTDF.
    (vi) The RVOs, as defined in Sec.  80.1427(a) for obligated parties 
and Sec.  80.1430(b) for exporters of renewable fuel, for the reporting 
year.
    (vii) Any deficit RVOs carried over from the previous year.
    (viii) The total current-year RINs by category of renewable fuel, as 
those fuels are defined in Sec.  80.1401 (i.e., cellulosic biofuel, 
biomass-based diesel, advanced biofuel, renewable fuel, and cellulosic 
diesel), retired for compliance.
    (ix) The total prior-year RINs by renewable fuel category, as those 
fuels are defined in Sec.  80.1401, retired for compliance.
    (x) The total cellulosic biofuel waiver credits used to meet the 
party's cellulosic biofuel RVO.
    (xi) A list of all RINs generated prior to July 1, 2010 that were 
retired for compliance in the reporting period.
    (xii) Any deficit RVO(s) carried into the subsequent year.
    (xiii) Any additional information that the Administrator may 
require.
    (xiv)(A) For the 2013 compliance year, annual compliance reports 
shall be submitted no later than March 1, 2016 or 60 days from 
publication in the Federal Register of a final rule establishing 2014 
RFS standards, whichever date is later.
    (B) For obligated parties, for the 2014 compliance year, annual 
compliance reports shall be submitted no later August 1, 2016.
    (C) For exporters of renewable fuel, for the 2014 compliance period 
from January 1, 2014, through September 16, 2014, full annual compliance 
reports (containing the information specified in paragraphs (a)(1)(i), 
(ii), (vi), (viii), and (x) of this section) for that period shall be 
submitted no later than March 1, 2016 or 60 days from publication in the 
Federal Register of a final rule establishing 2014 RFS standards, 
whichever date is later.

[[Page 566]]

    (D) For obligated parties, for the 2015 compliance year, annual 
compliance reports shall be submitted no later than December 1, 2016.
    (xv) [Reserved]
    (xvi) The total current-year RINs by category of renewable fuel, as 
those fuels are defined in Sec.  80.1401 (i.e., cellulosic biofuel, 
biomass-based diesel, advanced biofuel, renewable fuel, and cellulosic 
diesel), retired for compliance that are invalid as defined in Sec.  
80.1431(a).
    (xvii) The total prior-year RINs by renewable fuel category, as 
those fuels are defined in Sec.  80.1401, retired for compliance that 
are invalid as defined in Sec.  80.1431(a).
    (xviii) A list of all RINs that were retired for compliance in the 
reporting period and are invalid as defined in Sec.  80.1431(a).
    (xix) For parties that redesignate certified NTDF as MVNRLM diesel 
fuel under Sec.  80.1408 at any time during the compliance period, the 
volumes MVNRLMBAL, MVNRLMO, 
MVNRLMINVCHG, and MVNRLMI as calculated in Sec.  
80.1408(a)(2).
    (2) The RIN transaction reports required under paragraph (c)(1) of 
this section.
    (3) The quarterly RIN activity reports required under paragraph 
(c)(2) of this section.
    (4) Reports required under this paragraph (a) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the owner or a responsible corporate officer of the obligated party or 
exporter of renewable fuel.
    (b) Renewable fuel producers (domestic and foreign) and importers. 
Any domestic producer or importer of renewable fuel who generates RINs, 
or any RIN-generating foreign producer must submit to EPA reports 
according to the schedule, and containing all of the following 
information:
    (1)(i) For RINs generated beginning on July 1, 2010, RIN generation 
reports for each facility owned by the renewable fuel producer or 
importer shall be submitted according to the schedule specified in 
paragraph (f)(2) of this section.
    (ii) The RIN generation reports shall include all the following 
information for each batch of renewable fuel produced or imported, where 
``batch'' means a discrete quantity of renewable fuel produced or 
imported and assigned a unique batch-RIN per Sec.  80.1426(d):
    (A) The RIN generator's name.
    (B) The RIN generator's EPA company registration number.
    (C) The renewable fuel producer EPA facility registration number.
    (D) The importer EPA facility registration number and foreign 
renewable fuel producer company registration number, if applicable.
    (E) The applicable reporting period.
    (F) The quantity of RINs generated for each batch according to Sec.  
80.1426.
    (G) The production date of each batch.
    (H) The fuel type of each batch.
    (I) The volume of ethanol denaturant and applicable equivalence 
value of each batch.
    (J) The volume of each batch produced.
    (K) The types and quantities of feedstocks used.
    (L) The process(es) and feedstock(s) used and proportion of 
renewable volume attributable to each process and feedstock.
    (M) The type of co-products produced with each batch.
    (N) The quantity of co-products produced in each quarter.
    (O) A list of the RINs generated and an affirmation that the 
feedstock(s) used for each batch meets the definition of renewable 
biomass as defined in Sec.  80.1401.
    (P) Producers of renewable electricity and producers or importers of 
biogas used for transportation as described in Sec.  80.1426(f)(10) and 
(11), shall report all of the following:
    (1) The total energy produced and supplied for use as a 
transportation fuel, in units of energy (for example, MMBtu or MW) based 
on metering of gas volume or electricity.
    (2) The name and location of where the fuel is sold for use as a 
transportation fuel.
    (Q) Producers or importers of renewable fuel produced at facilities 
that use biogas for process heat as described in

[[Page 567]]

Sec.  80.1426(f)(12), shall report the total energy supplied to the 
renewable fuel facility, in MMBtu based on metering of gas volume.
    (R) Producers or importers of renewable fuel made from separated 
municipal solid waste as described in Sec.  80.1426(f)(5)(i)(C), shall 
report the amount of paper, cardboard, plastics, rubber, textiles, 
metals, and glass separated from municipal solid waste for recycling. 
Reporting shall be in units of weight (in tons).
    (S) Producers of advanced biofuel using grain sorghum shall report 
all of the following:
    (1) The total amount of electricity that is purchased from the grid 
and used at the site, based on metering, in kWh.
    (2) Total amount of ethanol produced.
    (3) Calculation of the amount of grid electricity used at the site 
per gallon of ethanol produced in each batch.
    (4) Each batch number as specified in Sec.  80.1452(b).
    (5) Reference ID for documents required by Sec.  80.1454(k)(2)(D).
    (T) Producers or importers of any renewable fuel other than ethanol, 
biodiesel, renewable gasoline, renewable diesel that meets ASTM D 975-
13a Grade No. 1-D or No. 2-D specifications (incorporated by reference, 
see Sec.  80.1468), biogas or renewable electricity, shall report, on a 
quarterly basis, all the following for each volume of fuel:
    (1) Total volume of renewable fuel produced or imported, total 
volume of renewable fuel blended into gasoline and diesel fuel by the 
producer or importer, and the percentage of renewable fuel in each batch 
of finished fuel.
    (2) If the renewable fuel producer or importer enters into a written 
contract for the sale of a specific quantity of the renewable fuel to a 
party who blends the fuel into gasoline or diesel fuel to produce a 
transportation fuel, heating oil or jet fuel, or who uses the neat fuel 
for a qualifying fuel use, the name, location and contact information 
for each purchasing party, and one or more affidavits from that party 
including all the following information:
    (i) Quantity of renewable fuel received from the producer or 
importer.
    (ii) Date the renewable fuel was received from producer.
    (iii) A description of the fuel that the renewable fuel was blended 
into and the blend ratios for each batch, if applicable.
    (iv) A description of the finished fuel, and a statement that the 
fuel meets all applicable standards and was sold for use as a 
transportation fuel, heating oil or jet fuel.
    (v) Quantity of assigned RINs received with the renewable fuel, if 
applicable.
    (vi) Quantity of assigned RINs that the end user separated from the 
renewable fuel, if applicable.
    (U) Producers generating D code 3 or D code 7 RINs for fuel derived 
from feedstocks other than biogas (including through pathways listed in 
rows K, L, M, and N of Table 1 to Sec.  80.1426), and that was produced 
from two or more feedstocks converted simultaneously, at least one of 
which has less than 75% average adjusted cellulosic content, and using a 
combination of processes or a process other than a thermochemical 
process or a combination of processes shall report all of the following:
    (1) The cellulosic converted fraction as determined by collecting 
new representative process data and performing the same chemical 
analysis method accepted at registration. Producers shall calculate this 
information on an annual basis or within 10 business days of generating 
every 500,000 gallons of cellulosic biofuel, whichever is more frequent, 
and report quarterly. Reports shall include all values used to calculate 
feedstock energy according to Sec.  80.1426(f)(3)(vi). If new data shows 
that the cellulosic Converted Fraction is different than previously 
calculated, the formula used to generate RINs under Sec.  80.1426(f)(3) 
must be updated as soon as practical but no later than 5 business days 
after the producer receives the updated data. If new testing data 
results in a change to the cellulosic Converted Fraction, only RINs 
generated after the new testing data were received, subject to the 5-day 
allowance, would be affected.
    (2) If the cellulosic Converted Fraction deviates from the 
previously calculated cellulosic Converted Fraction

[[Page 568]]

by 10% or more then the producer must notify EPA within 5 business days 
of receiving the new data and must adjust the formula used to generate 
RINs under Sec.  80.1426(f)(3) for all fuel generated as soon as 
practical but no later than 5 business days after the producer receives 
the new data. If new testing data results in a change to the cellulosic 
Converted Fraction, only RINs generated after the new testing data were 
received, subject to the 5-day allowance, would be affected.
    (V) Producers of renewable fuel using crop residue as a feedstock 
shall report all of the following according to the schedule specified in 
paragraph (f)(2) of this section:
    (1) The specific feedstock(s) utilized to produce renewable fuel 
under a pathway allowing the use of crop residue as feedstock.
    (2) The total quantity of each specific feedstock used to produce 
renewable fuel.
    (3) The total amount of qualifying renewable fuel produced under the 
crop residue pathway(s) in that quarter.
    (W) Any additional information the Administrator may require.
    (2) The RIN transaction reports required under paragraph (c)(1) of 
this section.
    (3) The RIN activity reports required under paragraph (c)(2) of this 
section.
    (4) Reports required under this paragraph (b) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the owner or a responsible corporate officer of the renewable fuel 
producer or importer.
    (c) All RIN-owning parties. Any party, including any party specified 
in paragraphs (a) and (b) of this section, that owns RINs during a 
reporting period, must submit reports to EPA according to the schedule, 
and containing all the information, that is set forth in this paragraph 
(c).
    (1)(i) For RIN transactions beginning on July 1, 2010, RIN 
transaction reports listing each RIN transaction shall be submitted 
according to the schedule in paragraph (f)(2) of this section.
    (ii) As per Sec.  80.1452, RIN transaction information listing each 
RIN transaction shall be submitted to the EMTS.
    (iii) Each report required by paragraph (c)(1)(i) of this section 
shall include all of the following information:
    (A) The submitting party's name.
    (B) The submitting party's EPA company registration number.
    (C) The applicable reporting period.
    (D) Transaction type (i.e., RIN buy, RIN sell, RIN separation, RIN 
retire, reinstated 2009 or 2010 RINs).
    (E) Transaction date.
    (F) For a RIN purchase or sale, the trading partner's name.
    (G) For a RIN purchase or sale, the trading partner's EPA company 
registration number. For all other transactions, the submitting party's 
EPA company registration number.
    (H) RIN subject to the transaction.
    (I) For a RIN purchase or sale, the per gallon RIN price and/or the 
per gallon price of renewable fuel price with RINs included.
    (J) The reason code for retiring RINs, separating RINs, buying RINs, 
or selling RINs.
    (K) Any additional information that the Administrator may require.
    (2) RIN activity reports must be submitted to EPA according to the 
schedule specified in paragraph (f)(2) of this section. Each report must 
summarize RIN activities for the reporting period, separately for RINs 
separated from a renewable fuel volume and RINs assigned to a renewable 
fuel volume.
    (i) For compliance periods ending on or before December 31, 2019, 
each report must include all of the following information:
    (A) The submitting party's name.
    (B) The submitting party's EPA company registration number.
    (C) The number of current-year RINs owned at the start of the 
quarter.
    (D) The number of prior-year RINs owned at the start of the quarter.
    (E) The total current-year RINs purchased.
    (F) The total prior-year RINs purchased.
    (G) The total current-year RINs sold.
    (H) The total prior-year RINs sold.
    (I) The total current-year RINs retired.
    (J) The total current-year RINs retired that are invalid as defined 
in Sec.  80.1431(a).
    (K) The total prior-year RINs retired.

[[Page 569]]

    (L) The total prior-year RINs retired that are invalid as defined in 
Sec.  80.1431(a).
    (M) The number of current-year RINs owned at the end of the quarter.
    (N) The number of prior-year RINs owned at the end of the quarter.
    (O) The number of RINs generated.
    (P) The volume of renewable fuel (in gallons) owned at the end of 
the quarter.
    (Q) The total 2009 and 2010 retired RINs reinstated.
    (R) Any additional information that the Administrator may require.
    (ii) For compliance periods starting on or after January 1, 2020, 
each report must include all of the following information:
    (A) The submitting party's name.
    (B) The submitting party's EPA-issued company identification number.
    (C) Primary registration designation or compliance level for 
compliance year (e.g., ``Aggregated Refiner,'' ``Exporter,'' ``Renewable 
Fuel Producer,'' ``RIN Owner Only,'' etc.).
    (D) All of the following information:
    (1) The number of current-year RINs owned at the start of the 
quarter.
    (2) The number of prior-year RINs owned at the start of the quarter.
    (3) The total current-year RINs purchased.
    (4) The total prior-year RINs purchased.
    (5) The total current-year RINs sold.
    (6) The total prior-year RINs sold.
    (7) The total current-year RINs retired.
    (8) The total current-year RINs retired that are invalid as defined 
in Sec.  80.1431(a).
    (9) The total prior-year RINs retired.
    (10) The total prior-year RINs retired that are invalid as defined 
in Sec.  80.1431(a).
    (11) The number of current-year RINs owned at the end of the 
quarter.
    (12) The number of prior-year RINs owned at the end of the quarter.
    (13) The number of RINs generated.
    (14) The volume of renewable fuel (in gallons) owned at the end of 
the quarter.
    (E)(1) Indicate if the submitting party or the submitting party's 
corporate affiliate group exceeded the primary threshold for any day in 
the quarter under Sec.  80.1435(c)(1). If the submitting party is in an 
affiliate group that does not contain an obligated party, and the 
affiliate group has exceeded the primary threshold, then EPA may publish 
the name and EPA-issued company identification number of the submitting 
party.
    (2) Indicate if the submitting party or the submitting party's 
corporate affiliate group exceeded the secondary threshold for any day 
in the quarter under Sec.  80.1435(c)(2). If the submitting party is an 
obligated party and has exceeded the secondary threshold or is in a 
corporate affiliate group containing an obligated party that has 
exceeded the secondary threshold, then EPA may publish the name and EPA-
issued company identification number of the submitting party.
    (F) A list of all corporate and contractual affiliates during the 
reporting period. For each affiliate, include the identification 
information (including the EPA company ID number, if registered) and the 
affiliate type.
    (G) The RVO used to calculate D6 RIN threshold, if alternative 
gasoline and diesel production volumes were used under Sec.  80.1435(d).
    (H) A list of contractual affiliates that had a contract with the 
party that did not result in transfer of RINs to the party during the 
reporting period.
    (I) Any additional information that the Administrator may require.
    (3) All reports required under this paragraph (c) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the RIN owner or a responsible corporate officer of the RIN owner.
    (d) Except for those producers using feedstocks subject to the 
aggregate compliance approach described in Sec.  80.1454(g), producers 
and RIN-generating importers of renewable fuel made from feedstocks that 
are planted crops and crop residue from existing foreign agricultural 
land, planted trees or tree residue from actively managed tree 
plantations, slash and pre-commercial thinnings from forestlands or 
biomass obtained from areas at risk of wildfire must submit quarterly 
reports according to the schedule in paragraph (f)(2) of this section 
that include all of the following:

[[Page 570]]

    (1) A summary of the types and quantities of feedstocks used in that 
quarter.
    (2) Electronic data identifying the land by coordinates of the 
points defining the boundaries from which each type of feedstock listed 
per paragraph (d)(1) of this section was harvested.
    (3) If electronic data identifying a plot of land have been 
submitted previously, producers and RIN-generating importers may submit 
a cross-reference to that electronic data.
    (e) If EPA finds that the 2007 baseline amount of agricultural land 
has been exceeded in any year beginning in 2010, beginning on the first 
day of July of the following calendar year any producers or importers of 
renewable fuel as defined in Sec.  80.1401 who use planted crops and/or 
crop residue from existing U.S. agricultural lands as feedstock must 
submit quarterly reports according to the schedule in paragraph (f)(2) 
of this section that include all of the following:
    (1) A summary of the types and quantities of feedstocks used in that 
quarter.
    (2) Electronic data identifying the land by coordinates of the 
points defining the boundaries from which each type of feedstock listed 
per paragraph (d)(1) of this section was harvested.
    (3) If electronic data identifying a plot of land have been 
submitted previously, producers and RIN-generating importers may submit 
a cross-reference to that electronic data.
    (f) Quarterly report submission deadlines. The submission deadlines 
for quarterly reports shall be as follows:
    (1) [Reserved]
    (2) Quarterly reports shall be submitted by the required deadline as 
shown in Table 1 of this section. Any reports generated by EMTS must be 
reviewed, supplemented, and/or corrected if not complete and accurate, 
and verified by the owner or responsible corporate officer prior to 
submittal. Table 1 follows:

                            Table 1 to Sec.   80.1451--Quarterly Reporting Deadlines
----------------------------------------------------------------------------------------------------------------
            Calendar quarter                       Time period covered              Quarterly report deadline
----------------------------------------------------------------------------------------------------------------
Quarter 1...............................  January 1-March 31...................  June 1.
Quarter 2...............................  April 1-June 30......................  September 1.
Quarter 3...............................  July 1-September 30..................  December 1.
Quarter 4...............................  October 1-December 31................  March 31.
----------------------------------------------------------------------------------------------------------------

    (3) Reports required must be signed and certified as meeting all the 
applicable requirements of this subpart by the owner or a responsible 
corporate officer of the submitter.
    (g) All independent third-party auditors. Any party that is an 
independent third-party auditor that verifies RINs must submit to the 
EPA reports according to the schedule, and containing all the 
information, that is set forth in this paragraph (g).
    (1)(i) For RINs verified beginning on September 16, 2014, RIN 
verification reports for each facility audited by the independent third-
party auditor shall be submitted according to the schedule specified in 
paragraph (f)(2) of this section.
    (ii) The RIN verification reports shall include all the following 
information for each batch of renewable fuel produced or imported 
verified per Sec.  80.1469(c), where ``batch'' means a discrete quantity 
of renewable fuel produced or imported and assigned a unique batch-RIN 
per Sec.  80.1426(d):
    (A) The RIN generator's name.
    (B) The RIN generator's EPA company registration number.
    (C) The renewable fuel producer EPA facility registration number.
    (D) The importer EPA facility registration number and foreign 
renewable fuel producer company registration number, if applicable.
    (E) The applicable reporting period.
    (F) The quantity of RINs generated for each verified batch according 
to Sec.  80.1426.
    (G) The production date of each verified batch.
    (H) The D-code of each verified batch.
    (I) The volume of ethanol denaturant and applicable equivalence 
value of each verified batch.

[[Page 571]]

    (J) The volume of each verified batch produced.
    (K) The volume and type of each feedstock used to produce the 
verified batch.
    (L) Whether the feedstocks used to produce each verified batch met 
the definition of renewable biomass.
    (M) Whether appropriate RIN generation calculations were followed 
per Sec.  80.1426(f)(3), (4), or (5) for each verified batch, as 
applicable.
    (N) The quantity and type of co-products produced.
    (O) Invoice document identification numbers associated with each 
verified batch, if applicable.
    (P) Laboratory sample identification numbers for each verified batch 
associated with the generation of any certificates of analysis used to 
verify fuel type and quality, if applicable.
    (Q) Any additional information the Administrator may require.
    (2) Aggregate RIN verification reports shall be submitted to the EPA 
according to the schedule specified in paragraph (f)(2) of this section. 
Each report shall summarize RIN verification activities for the 
reporting period. The quarterly aggregate RIN verification reports shall 
include all of the following information:
    (i) The submitting party's name.
    (ii) The submitting party's EPA company registration number.
    (iii) The number of current-year RINs verified at the start of the 
quarter.
    (iv) The number of prior-year RINs verified at the start of the 
quarter.
    (v) The total current-year RINs verified.
    (vi) The number of current-year RINs verified at the end of the 
quarter.
    (vii) A list of all facilities including the EPA's company and 
facility registration numbers audited under an approved quality 
assurance plan under Sec.  80.1469 along with the date the independent 
third-party auditor conducted the on-site visit and audit.
    (viii) Mass and energy balances calculated for each facility audited 
under an approved quality assurance plan under Sec.  80.1469.
    (ix) A list of all RINs that were identified as Potentially Invalid 
RINs (PIRs) pursuant to Sec.  80.1474, along with a narrative 
description of why the RINs were not verified or were identified as 
PIRs.
    (x) Any additional information that the Administrator may require.
    (3) All reports required under this paragraph (g) must be signed and 
certified as meeting all the applicable requirements of this subpart by 
the independent third-party auditor or a responsible corporate officer 
of the independent third-party auditor.
    (h) Producers or importers of renewable fuel made from Arundo donax 
or Pennisetum purpureum per Sec.  80.1426(f)(14) must report all the 
following:
    (1) Any detected growth of Arundo donax or Pennisetum purpureum 
outside the intended planting areas, both surrounding the field of 
production and feedstock storage sites, along the transportation route, 
and around the biofuel production facility, within 5 business days after 
detection and in accordance with the Risk Mitigation Plan, if 
applicable.
    (2) As available, any updated information related to the Risk 
Mitigation Plan, as applicable. An updated Risk Mitigation Plan must be 
approved by the Administrator in consultation with USDA and as 
appropriate other federal agencies prior to its implementation.
    (3) On an annual basis, a description of and maps or electronic data 
showing the average and total size and prior use of lands planted with 
Arundo donax or Pennisetum purpureum, the average and total size and 
prior use of lands set aside to control the invasive spread of these 
crops, and a description and explanation of any change in land use from 
the previous year.
    (4) On an annual basis, the report from an independent third party 
auditor evaluating monitoring and reporting activities conducted in 
accordance with the Risk Mitigation Plan, as applicable subject to 
approval of a different frequency by the EPA.
    (5) Information submitted pursuant to paragraphs (h)(3) and (h)(4) 
of this section must be submitted as part of the producer or importer's 
fourth quarterly report, which covers the reporting period October-
December, according to the schedule in paragraph (f)(2) of this section.
    (i) Parties that redesignate certified NTDF as MVNRLM diesel fuel 
under

[[Page 572]]

Sec.  80.1408 at any time during the compliance period, but do not incur 
an RVO under Sec.  80.1408(a)(2)(i), must submit a report to EPA stating 
that they redesignated certified NTDF to MVNRLM diesel fuel during the 
compliance period, but that their net redesignated volume was less than 
or equal to zero, and they therefore did not incur an RVO for the 
compliance period.
    (j) All reports required under this section shall be submitted on 
forms and following procedures prescribed by the Administrator.
    (k) English language reports. Any document submitted to EPA under 
this section must be submitted in English, or shall include an English 
translation.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26044, May 10, 2010; 75 
FR 79978, Dec. 21, 2010; 77 FR 1356, Jan. 9, 2012; 77 FR 74606, Dec. 17, 
2012; 78 FR 41715, July 11, 2013; 78 FR 49830, Aug. 15, 2013; 78 FR 
62471, Oct. 21, 2013; 79 FR 34244, June 16, 2014; 79 FR 23655, Apr. 28, 
2014; 79 FR 42164, July 18, 2014; 79 FR 42116, July 18, 2014; 79 FR 
46356, Aug. 8, 2014; 80 FR 77518, Dec. 14, 2015; 84 FR 27023, June 10, 
2019; 85 FR 7079, Feb. 6, 2020]



Sec.  80.1452  What are the requirements related to the EPA Moderated
Transaction System (EMTS)?

    (a) Each party required to submit information under this section 
must establish an account with the EPA Moderated Transaction System 
(EMTS) at least 60 days prior to engaging in any RIN transactions, or 
July 1, 2010, whichever is later.
    (b) Starting July 1, 2010, each time a domestic or foreign producer 
or importer of renewable fuel assigns RINs to a batch of renewable fuel 
pursuant to Sec.  80.1426(e), all the following information must be 
submitted to EPA via the submitting party's EMTS account within five (5) 
business days of the date of RIN assignment.
    (1) The name of the renewable fuel producer or importer.
    (2) The EPA company registration number of the renewable fuel 
producer or foreign ethanol producer, as applicable.
    (3) The importer's EPA company registration number if applicable.
    (4) The EPA facility registration number of the facility at which 
the renewable fuel producer or foreign ethanol producer produced the 
batch, as applicable.
    (5) The EPA facility registration number of the importer that 
imported the batch, if applicable.
    (6) The D code of RINs generated for the batch.
    (7) The production process(es) used for the batch.
    (8) The production date of the batch.
    (9) The fuel type of the batch.
    (10) The volume of the batch.
    (11) The volume of ethanol denaturant and applicable equivalence 
value of each batch.
    (12) Quantity of RINs generated for the batch.
    (13) The type and quantity of feedstock(s) used for the batch.
    (14) An affirmation that the feedstock(s) used for each batch meets 
the definition of renewable biomass as defined in Sec.  80.1401.
    (15) The type and quantity of co-products produced with the batch of 
renewable fuel.
    (16) Any additional information the Administrator may require.
    (c) Starting July 1, 2010, each time any party sells, separates, or 
retires RINs generated on or after July 1, 2010, all the following 
information must be submitted to EPA via the submitting party's EMTS 
account within five (5) business days of the reportable event. Starting 
July 1, 2010, each time any party purchases RINs generated on or after 
July 1, 2010, all the following information must be submitted to EPA via 
the submitting party's EMTS account within ten (10) business days of the 
reportable event. The reportable event for a RIN purchase or sale occurs 
on the date of transfer per Sec.  80.1453(a)(4). The reportable event 
for a RIN separation or retirement occurs on the date of separation or 
retirement as described in Sec.  80.1429 or Sec.  80.1434.
    (1) The submitting party's name.
    (2) The submitting party's EPA company registration number.
    (3) The generation year of the RINs.
    (4) The RIN status (Assigned or Separated).
    (5) The D code of the RINs.
    (6) Transaction type (i.e., RIN buy, RIN sell, RIN separation, RIN 
retire).
    (7) The date of transfer per Sec.  80.1453(a)(4), if applicable.

[[Page 573]]

    (8) For a RIN purchase or sale, the trading partner's name.
    (9) For a RIN purchase or sale, the trading partner's EPA company 
registration number.
    (10) For an assigned RIN purchase or sale, the renewable fuel volume 
associated with the sale.
    (11) Quantity of RINs involved in a transaction.
    (12)(i) For transactions through December 31, 2019, the per gallon 
RIN price or the per-gallon price of renewable fuel with RINs included.
    (ii) For transactions on or after January 1, 2020:
    (A) For RIN buy or sell transaction types including assigned RINs, 
the per-gallon RIN price or the per-gallon price of renewable fuel with 
RINs included.
    (B) For RIN buy or sell transaction types including separated RINs, 
the per-gallon RIN price.
    (13) The reason for retiring RINs, separating RINs, buying RINs, or 
selling RINs.
    (14) Any additional information that the Administrator may require.
    (15) For buy or sell transactions of separated RINs on or after 
January 1, 2020, the mechanism used to purchase the RINs (e.g., spot 
market or fulfilling a term contract).
    (d) All information required under this section shall be submitted 
on forms and following procedures prescribed by the Administrator.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 79978, Dec. 21, 2010; 
77 FR 1357, Jan. 9, 2012; 84 FR 27024, June 10, 2019; 85 FR 7079, Feb. 
6, 2020]



Sec.  80.1453  What are the product transfer document (PTD) 
requirements for the RFS program?

    (a) On each occasion when any party transfers ownership of neat and/
or blended renewable fuels, except when such fuel is dispensed into 
motor vehicles or nonroad vehicles, engines, or equipment, or separated 
RINs subject to this subpart, the transferor must provide to the 
transferee documents that include all of the following information, as 
applicable:
    (1) The name and address of the transferor and transferee.
    (2) The transferor's and transferee's EPA company registration 
numbers.
    (3) The volume of renewable fuel that is being transferred, if any.
    (4) The date of the transfer.
    (5) [Reserved]
    (6) The quantity of RINs being traded.
    (7) The D code of the RINs.
    (8) The RIN status (Assigned or Separated).
    (9) The RIN generation year.
    (10) The associated reason for the sell or buy transaction (e.g., 
standard trade or remedial action).
    (11) Additional RIN-related information, as follows:
    (i) If assigned RINs are being transferred on the same PTD used to 
transfer ownership of the renewable fuel, then the assigned RIN 
information shall be identified on the PTD.
    (A) The identifying information for a RIN that is transferred in 
EMTS generically is the information specified in paragraphs (a)(1) 
through (a)(10) of this section.
    (B) The identifying information for a RIN that is transferred in 
EMTS uniquely is the information specified in paragraphs (a)(1) through 
(a)(10) of this section, the RIN generator company ID, the RIN generator 
facility ID, and the batch number.
    (C) The identifying information for a RIN that is generated prior to 
July 1, 2010, is the 38-digit code pursuant to Sec.  80.1425, in its 
entirety.
    (ii) If assigned RINs are being transferred on a separate PTD from 
that which is used to transfer ownership of the renewable fuel, then the 
PTD which is used to transfer ownership of the renewable fuel shall 
include all the following:
    (A) The number of gallon-RINs being transferred.
    (B) A unique reference to the PTD which is transferring the assigned 
RINs.
    (C) The information specified in paragraphs (a)(11)(i)(A) through 
(a)(11)(i)(C) of this section, as appropriate.
    (iii) If no assigned RINs are being transferred with the renewable 
fuel, the PTD which is used to transfer ownership of the renewable fuel 
shall state ``No assigned RINs transferred.''.
    (iv) If RINs have been separated from the renewable fuel or fuel 
blend pursuant to Sec.  80.1429(b)(4), then all PTDs

[[Page 574]]

which are at any time used to transfer ownership of the renewable fuel 
or fuel blend shall state ``This volume of fuel must be used in the 
designated form, without further blending.''.
    (12) For the transfer of renewable fuel for which RINs were 
generated, an accurate and clear statement on the product transfer 
document of the fuel type from Table 1 to Sec.  80.1426, and designation 
of the fuel use(s) intended by the transferor, as follows:
    (i) Ethanol. ``This volume of neat or blended ethanol is designated 
and intended for use as transportation fuel or jet fuel in the 48 U.S. 
contiguous states and Hawaii. Any person exporting this fuel is subject 
to the requirements of 40 CFR 80.1430.''.
    (ii) Biodiesel. ``This volume of neat or blended biodiesel is 
designated and intended for use as transportation fuel, heating oil or 
jet fuel in the 48 U.S. contiguous states and Hawaii. Any person 
exporting this fuel is subject to the requirements of 40 CFR 80.1430.''.
    (iii) Renewable heating oil. ``This volume of heating oil is 
designated and intended for use as heating oil in the 48 U.S. contiguous 
states and Hawaii. Any person exporting this fuel is subject to the 
requirements of 40 CFR 80.1430.''.
    (iv) Renewable diesel. ``This volume of neat or blended renewable 
diesel is designated and intended for use as transportation fuel, 
heating oil or jet fuel in the 48 U.S. contiguous states and Hawaii. Any 
person exporting this fuel is subject to the requirements of 40 CFR 
80.1430.''.
    (v) Naphtha. ``This volume of neat or blended naphtha is designated 
and intended for use as transportation fuel or jet fuel in the 48 U.S. 
contiguous states and Hawaii. This naphtha may only be used as a 
gasoline blendstock or jet fuel. Any person exporting this fuel is 
subject to the requirements of 40 CFR 80.1430.''.
    (vi) Butanol. ``This volume of neat or blended butanol is designated 
and intended for use as transportation fuel or jet fuel in the 48 U.S. 
contiguous states and Hawaii. This butanol may only be used as a 
gasoline blendstock or jet fuel. Any person exporting this fuel is 
subject to the requirements of 40 CFR 80.1430.''.
    (vii) Renewable fuels other than ethanol, biodiesel, heating oil, 
renewable diesel, naptha or butanol. ``This volume of neat or blended 
renewable fuel is designated and intended to be used as transportation 
fuel, heating oil, or jet fuel in the 48 U.S. contiguous states and 
Hawaii. Any person exporting this fuel is subject to the requirements of 
40 CFR 80.1430.''.
    (b) Except for transfers to truck carriers, retailers, or wholesale 
purchaser-consumers, product codes may be used to convey the information 
required under paragraphs (a)(1) through (11) and (e) of this section if 
such codes are clearly understood by each transferee.
    (c) For renewable fuel, other than ethanol, that is not registered 
as motor vehicle fuel under 40 CFR Part 79, the PTD which is used to 
transfer ownership of the renewable fuel shall state ``This volume of 
renewable fuel may not be used as a motor vehicle fuel.''
    (d) For fuel oil meeting paragraph (2) of the definition of 
``heating oil'' in Sec.  80.1401, the PTD of the fuel oil shall state: 
``This volume of renewable fuel oil is designated and intended to be 
used to heat or cool interior spaces of homes or buildings to control 
ambient climate for human comfort. Do NOT use for process heat or 
cooling or any other purpose, as these uses are prohibited pursuant to 
40 CFR 80.1460(g).''.
    (e) Beginning January 1, 2021, on each occasion when any party 
transfers custody or ownership of certified NTDF, except when such fuel 
is dispensed into motor vehicles or nonroad vehicles, engines, or 
equipment, the transferor must provide to the transferee documents that 
include all the following information, as applicable:
    (1) The transferor of certified NTDF must list all applicable 
required information as specified at Sec.  80.590 and, if the distillate 
fuel contains renewable fuel, all applicable required information in 
paragraphs (a), (b), and (d) of this section.
    (2) The transferor must include the following statement on the PTD: 
``15 ppm sulfur (maximum) certified

[[Page 575]]

NTDF--This fuel is designated for non-transportation use.''

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26045, May 10, 2010; 78 
FR 62471, Oct. 22, 2013; 79 FR 42118, July 18, 2014; 81 FR 23645, Apr. 
22, 2016; 85 FR 7079, Feb. 6, 2020]



Sec.  80.1454  What are the recordkeeping requirements under the
RFS program?

    (a) Requirements for obligated parties and exporters of renewable 
fuel. Beginning July 1, 2010, any obligated party (as described at Sec.  
80.1406) or exporter of renewable fuel (as described at Sec.  80.1430) 
must keep all of the following records:
    (1) Product transfer documents consistent with Sec.  80.1453 and 
associated with the obligated party's or exporter of renewable fuel's 
activity, if any, as transferor or transferee of renewable fuel or 
separated RINs.
    (2) Copies of all reports submitted to EPA under Sec.  80.1451(a), 
as applicable.
    (3) Records related to each RIN transaction, including all of the 
following:
    (i) A list of the RINs owned, purchased, sold, separated, retired, 
or reinstated.
    (ii) The parties involved in each RIN transaction including the 
transferor, transferee, and any broker or agent.
    (iii) The date of the transfer of the RIN(s).
    (iv) Additional information, including contracts, correspondence, 
and invoices, related to details of the RIN transaction and its terms.
    (4) Records related to the use of RINs (by facility, if applicable) 
for compliance, including all of the following:
    (i) Methods and variables used to calculate the Renewable Volume 
Obligations pursuant to Sec.  80.1407 or Sec.  80.1430.
    (ii) List of RINs used to demonstrate compliance.
    (iii) Additional information related to details of RIN use for 
compliance.
    (5) Records related to the separation of assigned RINs from 
renewable fuel volume.
    (6) For exported renewable fuel, invoices, bills of lading and other 
documents describing the exported renewable fuel.
    (i) For exporters of renewable fuel for which no RINs were 
generated, an affidavit signed by the producer of the exported renewable 
fuel affirming that no RINs were generated for that volume of renewable 
fuel.
    (ii) [Reserved]
    (b) Requirements for all producers of renewable fuel. Beginning July 
1, 2010, any domestic or RIN-generating foreign producer of a renewable 
fuel as defined in Sec.  80.1401 must keep all of the following records 
in addition to those required under paragraphs (c) or (d) of this 
section:
    (1) Product transfer documents consistent with Sec.  80.1453 and 
associated with the renewable fuel producer's activity, if any, as 
transferor or transferee of renewable fuel or separated RINs.
    (2) Copies of all reports submitted to EPA under Sec. Sec.  80.1449 
and 80.1451(b).
    (3) Records related to the generation and assignment of RINs for 
each facility, including all of the following:
    (i) Batch volume in gallons.
    (ii) Batch number.
    (iii) RIN as assigned under Sec.  80.1426, if applicable.
    (iv) Identification of batches by renewable category.
    (v) Type and quantity of co-products produced.
    (vi) Type and quantity of feedstocks used.
    (vii) Type and quantity of fuel used for process heat.
    (viii) Feedstock energy calculations per Sec.  80.1426(f)(4).
    (ix) Date of production.
    (x) Results of any laboratory analysis of batch chemical composition 
or physical properties.
    (xi) For RINs generated for ethanol produced from corn starch at a 
facility using a pathway in Table 1 to Sec.  80.1426 that requires the 
use of one or more of the advanced technologies listed in Table 2 to 
Sec.  80.1426, documentation to demonstrate that employment of the 
required advanced technology or technologies was conducted in accordance 
with the specifications in Tables 1 and 2 to Sec.  80.1426, including 
any requirement for application to 90% of the production on a calendar 
year basis.
    (xii) All commercial documents and additional information related to 
details of RIN generation.

[[Page 576]]

    (4) Records related to each RIN transaction, separately for each 
transaction, including all of the following:
    (i) A list of the RINs owned, purchased, sold, separated, retired, 
or reinstated.
    (ii) The parties involved in each transaction including the 
transferor, transferee, and any broker or agent.
    (iii) The date of the transfer of the RIN(s).
    (iv) Additional information related to details of the transaction 
and its terms.
    (5) Records related to the production, importation, ownership, sale 
or use of any volume of renewable fuel for which RINs were generated or 
blend of renewable fuel for which RINs were generated and gasoline or 
diesel fuel that any party designates for use as transportation fuel, 
jet fuel, or heating oil and the use of the fuel or blend as 
transportation fuel, jet fuel, or heating oil without further blending, 
in the designated form.
    (6) Copies of registration documents required under Sec.  80.1450, 
including information on fuels and products, feedstocks, facility 
production processes, process changes, and capacity, energy sources, and 
a copy of the independent third party engineering review submitted to 
EPA per Sec.  80.1450(b)(2).
    (7) For any producer of renewable fuel made from Arundo donax or 
Pennisetum purpureum per Sec.  80.1426(f)(14), all the following:
    (i) Records related to all requirements and duties set forth in the 
registration documents described in Sec.  80.1450(b)(1)(x)(A), including 
but not limited to the Risk Mitigation Plan, monitoring records and 
reports, and adherence to state, local and federal invasive species 
requirements and permits.
    (ii) Records associated with feedstock purchases and transfers that 
identify where the feedstocks were produced and are sufficient to verify 
that feedstocks used were produced and transported in accordance with an 
EPA approved Risk Mitigation Plan or were produced on land that the EPA 
determined does not present a significant likelihood of invasive spread 
beyond the planting area of the feedstock used for production of the 
renewable fuel, including all the following:
    (A) Maps or electronic data identifying the boundaries of the land 
where each type of feedstock was produced.
    (B) Bills of lading, product transfer documents, or other commercial 
documents showing the quantity of feedstock purchased from each area 
identified above, and showing each transfer of custody of the feedstock 
from the location where it was produced to the renewable fuel production 
facility.
    (8) A producer of fuel oil meeting paragraph (2) of the definition 
of heating oil in Sec.  80.1401 shall keep copies of all contracts which 
describe the fuel oil under contract with each end user.
    (9) Records, including contracts, related to the implementation of a 
QAP under Sec.  80.1469.
    (10) Records related to any volume of renewable fuel where RINs were 
not generated by the renewable fuel producer or importer pursuant to 
Sec.  80.1426(c).
    (c) Additional requirements for imports of renewable fuel. (1) 
Beginning July 1, 2010, any RIN-generating foreign producer of a 
renewable fuel or RIN-generating importer must keep records of feedstock 
purchases and transfers associated with renewable fuel for which RINs 
are generated, sufficient to verify that feedstocks used are renewable 
biomass (as defined in Sec.  80.1401).
    (i) RIN-generating foreign producers and importers of renewable fuel 
made from feedstocks that are planted crops or crop residue from 
existing foreign agricultural land, planted trees or tree residue from 
actively managed tree plantations, slash and pre-commercial thinnings 
from forestlands or biomass obtained from wildland-urban interface must 
maintain all the following records to verify the location where these 
feedstocks were produced:
    (A) Maps or electronic data identifying the boundaries of the land 
where each type of feedstock was produced.
    (B) Bills of lading, product transfer documents, or other commercial 
documents showing the quantity of feedstock purchased from each area 
identified in paragraph (c)(1)(i)(A) of this section, and showing each 
transfer of custody of the feedstock from the location

[[Page 577]]

where it was produced to the renewable fuel production facility.
    (ii)(A) RIN-generating foreign producers and importers of renewable 
fuel made from planted crops or crop residue from existing foreign 
agricultural land must keep records that serve as evidence that the land 
from which the feedstock was obtained was cleared or cultivated prior to 
December 19, 2007 and actively managed or fallow, and nonforested on 
December 19, 2007. RIN-generating foreign producers or importers of 
renewable fuel made from planted trees or tree residue from actively 
managed tree plantations must keep records that serve as evidence that 
the land from which the feedstock was obtained was cleared prior to 
December 19, 2007 and actively managed on December 19, 2007.
    (B) The records must be provided by the feedstock producer, 
traceable to the land in question, and consist of at least one of the 
following documents:
    (1) Sales records for planted crops or trees, crop or tree residue, 
or livestock; purchasing records for fertilizer, weed control, or 
reseeding, including seeds, seedlings, or other nursery stock.
    (2) A written management plan for agricultural or silvicultural 
purposes; documentation of participation in an agricultural or 
silvicultural program sponsored by a Federal, state, or local government 
agency.
    (3) Documentation of land management in accordance with an 
agricultural or silvicultural product certification program, an 
agreement for land management consultation with a professional forester 
that identifies the land in question.
    (4) Evidence of the existence and ongoing maintenance of a road 
system or other physical infrastructure designed and maintained for 
logging use, together with one of the aforementioned documents in this 
paragraph (c)(1)(ii)(B).
    (iii) RIN-generating foreign producers and importers of renewable 
fuel made from any other type of renewable biomass must have documents 
from their feedstock supplier certifying that the feedstock qualifies as 
renewable biomass as defined in Sec.  80.1401, describing the feedstock 
and identifying the process that was used to generate the feedstock.
    (2) Beginning July 1, 2010, any RIN-generating importer of renewable 
fuel (as defined in Sec.  80.1401) must keep all of the following 
records:
    (i) Product transfer documents consistent with Sec.  80.1453 and 
associated with the renewable fuel importer's activity, if any, as 
transferor or transferee of renewable fuel.
    (ii) Copies of all reports submitted to EPA under Sec. Sec.  80.1449 
and 80.1451(b).
    (iii) Records related to the generation and assignment of RINs for 
each facility, including all of the following:
    (A) Batch volume in gallons.
    (B) Batch number.
    (C) RIN as assigned under Sec.  80.1426.
    (D) Identification of batches by renewable category.
    (E) Type and quantity of feedstocks used.
    (F) Type and quantity of fuel used for process heat.
    (G) Date of import.
    (H) Results of any laboratory analysis of batch chemical composition 
or physical properties.
    (I) The EPA registration number of the foreign renewable fuel 
producers producing the fuel.
    (J) Additional information related to details of RIN generation.
    (iv) Records related to each RIN transaction, including all of the 
following:
    (A) A list of the RINs owned, purchased, sold, separated, retired, 
or reinstated.
    (B) The parties involved in each transaction including the 
transferor, transferee, and any broker or agent.
    (C) The date of the transfer of the RIN(s).
    (D) Additional information related to details of the transaction and 
its terms.
    (v) Copies of registration documents required under Sec.  80.1450.
    (vi) Records related to the import of any volume of renewable fuel 
that the importer designates for use as transportation fuel, jet fuel, 
or heating oil.
    (d) Additional requirements for domestic producers of renewable 
fuel. Except as provided in paragraphs (g) and (h) of this section, 
beginning July 1, 2010, any domestic producer of renewable fuel as

[[Page 578]]

defined in Sec.  80.1401 that generates RINs for such fuel must keep 
documents associated with feedstock purchases and transfers that 
identify where the feedstocks were produced and are sufficient to verify 
that feedstocks used are renewable biomass (as defined in Sec.  80.1401) 
if RINs are generated.
    (1) Domestic producers of renewable fuel made from feedstocks that 
are planted trees or tree residue from actively managed tree 
plantations, slash and pre-commercial thinnings from forestlands or 
biomass obtained from areas at risk of wildfire must maintain all the 
following records to verify the location where these feedstocks were 
produced:
    (i) Maps or electronic data identifying the boundaries of the land 
where each type of feedstock was produced.
    (ii) Bills of lading, product transfer documents or other commercial 
documents showing the quantity of feedstock purchased from each area 
identified in paragraph (d)(1)(i) of this section, and showing each 
transfer of custody of the feedstock from the location where it was 
produced to the renewable fuel production facility.
    (2) Domestic producers of renewable fuel made from planted trees or 
tree residue from actively managed tree plantations must keep records 
that serve as evidence that the land from which the feedstock was 
obtained was cleared prior to December 19, 2007 and actively managed on 
December 19, 2007. The records must be provided by the feedstock 
producer and must include at least one of the following documents, which 
must be traceable to the land in question:
    (i) Sales records for planted trees or tree residue.
    (ii) Purchasing records for fertilizer, weed control, or reseeding, 
including seeds, seedlings, or other nursery stock.
    (iii) A written management plan for silvicultural purposes.
    (iv) Documentation of participation in a silvicultural program 
sponsored by a Federal, state, or local government agency.
    (v) Documentation of land management in accordance with a 
silvicultural product certification program, an agreement for land 
management consultation with a professional forester.
    (vi) Evidence of the existence and ongoing maintenance of a road 
system or other physical infrastructure designed and maintained for 
logging use, together with one of the aforementioned documents.
    (3) Domestic producers of renewable fuel made from planted crops or 
crop residue from existing foreign agricultural land must keep all the 
following records:
    (i) Records that serve as evidence that the land from which the 
feedstock was obtained was cleared or cultivated prior to December 19, 
2007 and actively managed or fallow, and nonforested on December 19, 
2007. The records must be provided by the feedstock producer and must 
include at least one of the following documents, which must be traceable 
to the land in question:
    (A) Sales records for planted crops, crop residue, or livestock.
    (B) Purchasing records for fertilizer, weed control, seeds, 
seedlings, or other nursery stock.
    (C) A written management plan for agricultural purposes.
    (D) Documentation of participation in an agricultural program 
sponsored by a Federal, State, or local government agency.
    (E) Documentation of land management in accordance with an 
agricultural product certification program.
    (ii) Records to verify the location where the feedstocks were 
produced:
    (A) Maps or electronic data identifying the boundaries of the land 
where each type of feedstock was produced; and
    (B) Bills of lading, product transfer documents or other commercial 
documents showing the quantity of feedstock purchased from each area 
identified in paragraph (d)(3)(ii)(A) of this section, and showing each 
transfer of custody of the feedstock from the location where it was 
produced to the renewable fuel facility.
    (4) Domestic producers of renewable fuel made from any other type of 
renewable biomass must have documents from their feedstock supplier 
certifying that the feedstock qualifies as renewable biomass as defined 
in Sec.  80.1401, describing the feedstock. Separated

[[Page 579]]

yard and food waste, biogenic oils/fats/greases, and separated municipal 
solid waste are also subject to the requirements in paragraph (j) of 
this section.
    (e) Additional requirements for producers of fuel exempt from the 
20% GHG reduction requirement. Beginning July 1, 2010, any production 
facility with a baseline volume of fuel that is not subject to the 20% 
GHG threshold, pursuant to Sec.  80.1403(c) and (d), must keep all of 
the following:
    (1) Detailed engineering plans for the facility.
    (2) Federal, State, and local (or foreign governmental) 
preconstruction approvals and permitting.
    (3) Procurement and construction contracts and agreements.
    (f) Requirements for other parties that own RINs. Beginning July 1, 
2010, any party, other than those parties covered in paragraphs (a) and 
(b) of this section, that owns RINs must keep all of the following 
records:
    (1) Product transfer documents consistent with Sec.  80.1453 and 
associated with the party's activity, if any, as transferor or 
transferee of renewable fuel or separated RINs.
    (2) Copies of all reports submitted to EPA under Sec.  80.1451(c).
    (3) Records related to each RIN transaction by renewable fuel 
category, including all of the following:
    (i) A list of the RINs owned, purchased, sold, separated, retired, 
or reinstated.
    (ii) The parties involved in each RIN transaction including the 
transferor, transferee, and any broker or agent.
    (iii) The date of the transfer of the RIN(s).
    (iv) Additional information related to details of the transaction 
and its terms.
    (4) Records related to any volume of renewable fuel that the party 
designated for use as transportation fuel, jet fuel, or heating oil and 
from which RINs were separated pursuant to Sec.  80.1429(b)(4).
    (g) Aggregate compliance with renewable biomass requirement. Any 
producer or RIN-generating importer of renewable fuel made from planted 
crops or crop residue from existing U.S. agricultural land as defined in 
Sec.  80.1401, or from planted crops or crop residue from existing 
agricultural land in a country covered by a petition approved pursuant 
to Sec.  80.1457, is covered by the aggregate compliance approach and is 
not subject to the recordkeeping requirements for planted crops and crop 
residue at Sec.  80.1454(g)(2) unless EPA publishes a finding that the 
2007 baseline amount of agricultural land in the U.S. has been exceeded 
or, for the aggregate compliance approach in a foreign country, that the 
withdrawal of EPA approval of the aggregate compliance approach is 
warranted pursuant to Sec.  80.1457(e).
    (1) EPA will make findings concerning whether the 2007 baseline 
amount of agricultural land in the U.S. or other country covered by a 
petition approved pursuant to Sec.  80.1457 has been exceeded and will 
publish these findings in the Federal Register by November 30 of the 
year preceding the compliance period.
    (2) If EPA finds that the 2007 baseline amount of agricultural land 
in the U.S. or other country covered by a petition approved pursuant to 
Sec.  80.1457 has been exceeded, beginning on the first day of July of 
the compliance period in question any producer or RIN-generating 
importer of renewable fuel made from planted crops or crop residue in 
the country for which such a finding is made must keep all the following 
records:
    (i) Records that serve as evidence that the land from which the 
feedstock was obtained was cleared or cultivated prior to December 19, 
2007 and actively managed or fallow, and nonforested on December 19, 
2007. The records must be provided by the feedstock producer and must 
include at least one of the following documents, which must be traceable 
to the land in question:
    (A) Sales records for planted crops, crop residue or livestock.
    (B) Purchasing records for fertilizer, weed control, seeds, 
seedlings, or other nursery stock.
    (C) A written management plan for agricultural purposes.
    (D) Documentation of participation in an agricultural program 
sponsored by a Federal, state, or local government agency.

[[Page 580]]

    (E) Documentation of land management in accordance with an 
agricultural product certification program.
    (ii) Records to verify the location where the feedstocks were 
produced:
    (A) Maps or electronic data identifying the boundaries of the land 
where each type of feedstock was produced; and
    (B) Bills of lading, product transfer documents or other commercial 
documents showing the quantity of feedstock purchased from each area 
identified in paragraph (g)(2)(ii)(A) of this section, and showing each 
transfer of custody of the feedstock from the location where it was 
produced to the renewable fuel facility.
    (h) Alternative renewable biomass tracking requirement. Any foreign 
or domestic renewable fuel producer or RIN-generating importer may 
comply with the following alternative renewable biomass tracking 
requirement instead of the recordkeeping requirements in paragraphs 
(c)(1), (d), and (g) of this section:
    (1) To comply with the alternative renewable biomass tracking 
requirement under this paragraph (h), a renewable fuel producer or 
importer must either arrange to have an independent third party conduct 
a comprehensive program of annual compliance surveys, or participate in 
the funding of an organization which arranged to have an independent 
third party conduct a comprehensive program of annual compliance 
surveys, to be carried out in accordance with a survey plan which has 
been approved by EPA.
    (2) The annual compliance surveys under this paragraph (h) must be 
all the following:
    (i) Planned and conducted by an independent surveyor that meets the 
requirements in Sec.  80.68(c)(13)(i).
    (ii) Conducted at renewable fuel production and import facilities 
and their feedstock suppliers.
    (iii) Representative of all renewable fuel producers and importers 
in the survey area and representative of their feedstock suppliers.
    (iv) Designed to achieve at least the same level of quality 
assurance required in paragraphs (c)(1), (d) and (g) of this section.
    (3) The compliance survey program shall require the independent 
surveyor conducting the surveys to do all the following:
    (i) Conduct feedstock audits of renewable fuel production and import 
facilities in accordance with the survey plan approved under this 
paragraph (h), or immediately notify EPA of any refusal of these 
facilities to allow an audit to be conducted.
    (ii) Obtain the records and product transfer documents associated 
with the feedstocks being audited.
    (iii) Determine the feedstock supplier(s) that supplied the 
feedstocks to the renewable fuel producer.
    (iv) Confirm that feedstocks used to produce RIN-generating 
renewable fuels meet the definition of renewable biomass as defined in 
Sec.  80.1401.
    (v) Immediately notify EPA of any case where the feedstocks do not 
meet the definition of renewable biomass as defined in Sec.  80.1401.
    (vi) Immediately notify EPA of any instances where a renewable fuel 
producer, importer or feedstock supplier subject to review under the 
approved plan fails to cooperate in the manner described in this 
section.
    (vii) Submit to EPA a report of each survey, within thirty days 
following the completion of each survey, such report to include all the 
following information:
    (A) The identification of the person who conducted the survey.
    (B) An attestation by the officer of the surveyor company that the 
survey was conducted in accordance with the survey plan and the survey 
results are accurate.
    (C) Identification of the parties for whom the survey was conducted.
    (D) Identification of the covered area surveyed.
    (E) The dates on which the survey was conducted.
    (F) The address of each facility at which the survey audit was 
conducted and the date of the audit.
    (G) A description of the methodology used to select the locations 
for survey audits and the number of audits conducted.
    (viii) Maintain all records relating to the survey audits conducted 
under this

[[Page 581]]

section (h) for a period of at least 5 years.
    (ix) At any time permit any representative of EPA to monitor the 
conduct of the surveys, including observing audits, reviewing records, 
and analysis of the audit results.
    (4) A survey plan under this paragraph (h) must include all the 
following:
    (i) Identification of the parties for whom the survey is to be 
conducted.
    (ii) Identification of the independent surveyor.
    (iii) A methodology for determining all the following:
    (A) When the audits will be conducted.
    (B) The audit locations.
    (C) The number of audits to be conducted during the annual 
compliance period.
    (iv) Any other elements determined by EPA to be necessary to achieve 
the level of quality assurance required under paragraphs (c)(1), (d), 
and (g) of this section.
    (5)(i) Each renewable fuel producer and importer who participates in 
the alternative renewable biomass tracking under this paragraph (h) must 
take all reasonable steps to ensure that each feedstock producer, 
aggregator, distributor, or supplier cooperates with this program by 
allowing the independent surveyor to audit their facility and by 
providing to the independent surveyor and/or EPA, upon request, copies 
of management plans, product transfer documents, and other records or 
information regarding the source of any feedstocks received.
    (ii) Reasonable steps under paragraph (h)(5)(i) of this section must 
include, but typically should not be limited to: Contractual agreements 
with feedstock producers, aggregators, distributors, and suppliers, 
which require them to cooperate with the independent surveyor and/or EPA 
in the manner described in paragraph (h)(5)(i) of this section.
    (6) The procedure for obtaining EPA approval of a survey plan under 
this paragraph (h), and for revocation of any such approval, are as 
follows:
    (i) A detailed survey plan which complies with the requirements of 
this paragraph (h) must be submitted to EPA, no later than September 1 
of the year preceding the calendar year in which the surveys will be 
conducted.
    (ii) The survey plan must be signed by a responsible corporate 
officer of the renewable fuel producer or importer, or responsible 
officer of the organization which arranges to have an independent 
surveyor conduct a program of renewable biomass compliance surveys, as 
applicable.
    (iii) The survey plan must be sent to the attention of ``RFS 
Program'' to the address in Sec.  80.10(a).
    (iv) EPA will send a letter to the party submitting a survey plan 
under this section, either approving or disapproving the survey plan.
    (v) EPA may revoke any approval of a survey plan under this section 
for cause, including an EPA determination that the approved survey plan 
had proved inadequate in practice or that it was not fully implemented.
    (vi) The approving official for an alternative quality assurance 
program under this section is the Director of the Compliance and 
Innovative Strategies Division, Office of Transportation and Air 
Quality.
    (vii) Any notifications required under this paragraph (h) must be 
directed to the officer designated in paragraph (h)(6)(vi) of this 
section.
    (7)(i) No later than December 1 of the year preceding the year in 
which the surveys will be conducted, the contract with the independent 
surveyor shall be in effect, and an amount of money necessary to carry 
out the entire survey plan shall be paid to the independent surveyor or 
placed into an escrow account with instructions to the escrow agent to 
pay the money to the independent surveyor during the course of the 
conduct of the survey plan.
    (ii) No later than December 15 of the year preceding the year in 
which the surveys will be conducted, EPA must receive a copy of the 
contract with the independent surveyor, proof that the money necessary 
to carry out the survey plan has either been paid to the independent 
surveyor or placed into an escrow account, and, if placed into an escrow 
account, a copy of the escrow agreement, to be sent to the official 
designated in paragraph (h)(6)(iii) of this section.

[[Page 582]]

    (8) A failure of any renewable fuel producers or importer to fulfill 
or cause to be fulfilled any of the requirements of this paragraph (h) 
will cause the option for such party to use the alternative quality 
assurance requirements under this paragraph (h) to be void ab initio.
    (i) Beginning July 1, 2010, all parties must keep transaction 
information sent to EMTS in addition to other records required under 
this section.
    (1) For buy or sell transactions of separated RINs, parties must 
retain records substantiating the price reported to EPA under Sec.  
80.1452.
    (2) For buy or sell transactions of separated RINs on or after 
January 1, 2020, parties must retain records demonstrating the 
transaction mechanism (e.g., spot market or fulfilling a term contract).
    (j) A renewable fuel producer that produces fuel from separated yard 
waste (as described in Sec.  80.1426(f)(5)(i)(A)), separated food waste 
(as described in Sec.  80.1426(f)(5)(i)(B)), separated municipal solid 
waste (as described in Sec.  80.1426(f)(5)(i)(C)), or biogenic waste 
oils/fats/greases must keep all the following additional records:
    (1) For separated yard waste, separated food waste, and biogenic 
waste oils/fats/greases:
    (i) Documents demonstrating the amounts, by weight, purchased of 
separated yard waste, separated food waste, or biogenic waste oils/fats/
greases for use as a feedstock in producing renewable fuel.
    (ii) Documents demonstrating the location of any establishment(s) 
from which the waste stream consisting solely of separated yard waste, 
separated food waste, or biogenic waste oils/fats/greases is collected.
    (iii) Such other records as may be requested by the Administrator.
    (2) For separated municipal solid waste:
    (i) Contracts and documents memorializing the sale of paper, 
cardboard, plastics, rubber, textiles, metals, and glass separated from 
municipal solid waste for recycling.
    (ii) Documents demonstrating the amounts by weight purchased of 
post-recycled separated yard and food waste for use as a feedstock in 
producing renewable fuel.
    (iii) Documents demonstrating the fuel sampling methods used 
pursuant to Sec.  80.1426(f)(9) and the results of all fuel analyses to 
determine the non-fossil fraction of fuel made from separated municipal 
solid waste.
    (iv) Such other records as may be requested by the Administrator.
    (k)(1) Biogas/CNG/LNG and electricity in pathways involving 
feedstocks other than grain sorghum. A renewable fuel producer that 
generates RINs for renewable CNG, renewable LNG or renewable electricity 
pursuant to Sec.  80.1426(f)(10) or (11), or that uses process heat from 
biogas to produce renewable fuel pursuant to Sec.  80.1426(f)(12) shall 
keep all of the following additional records:
    (i) Documentation recording the sale of renewable CNG, renewable LNG 
or renewable electricity for use as transportation fuel relied upon in 
Sec.  80.1426(f)(10), Sec.  80.1426(f)(11), or for use of biogas for 
process heat to make renewable fuel as relied upon in Sec.  
80.1426(f)(12) and the transfer of title of the biogas/CNG/LNG or 
renewable electricity from the point of biogas production to the 
facility which sells or uses the fuel for transportation purposes.
    (ii) Documents demonstrating the volume and energy content of 
biogas/CNG/LNG, or kilowatts of renewable electricity, relied upon under 
Sec.  80.1426(f)(10) that was delivered to the facility which sells or 
uses the fuel for transportation purposes.
    (iii) Documents demonstrating the volume and energy content of 
biogas/CNG/LNG, or kilowatts of renewable electricity, relied upon under 
Sec.  80.1426(f)(11), or biogas relied upon under Sec.  80.1426(f)(12) 
that was placed into the commercial distribution.
    (iv) Documents demonstrating the volume and energy content of biogas 
relied upon under Sec.  80.1426(f)(12) at the point of distribution.
    (v) Affidavits, EPA-approved documentation, or data from a real-time 
electronic monitoring system, confirming that the amount of the biogas/
CNG/LNG or renewable electricity relied upon under Sec.  80.1426(f)(10) 
and (11) was used for transportation purposes

[[Page 583]]

only, and for no other purpose. The RIN generator shall obtain 
affidavits, or monitoring system data under this paragraph (k), at least 
once per calendar quarter.
    (vi) The biogas or renewable electricity producer's Compliance 
Certification required under Title V of the Clean Air Act.
    (vii) Any other records as requested by the Administrator.
    (2) Biogas and electricity in pathways involving grain sorghum as 
feedstock. A renewable fuel producer that produces fuel pursuant to a 
pathway that uses grain sorghum as a feedstock shall keep all of the 
following additional records, as appropriate:
    (i) Contracts and documents memorializing the purchase and sale of 
biogas and the transfer of biogas from the point of generation to the 
ethanol production facility.
    (ii) If the advanced biofuel pathway is used, documents 
demonstrating the total kilowatt-hours (kWh) of electricity used from 
the grid, and the total kWh of grid electricity used on a per gallon of 
ethanol basis, pursuant to Sec.  80.1426(f)(13).
    (iii) Affidavits from the producer of biogas used at the facility, 
and all parties that held title to the biogas, confirming that title and 
environmental attributes of the biogas relied upon under Sec.  
80.1426(f)(13) were used for producing ethanol at the renewable fuel 
production facility and for no other purpose. The renewable fuel 
producer shall obtain these affidavits at least once per calendar 
quarter.
    (iv) The biogas producer's Compliance Certification required under 
Title V of the Clean Air Act.
    (v) Such other records as may be requested by the Administrator.
    (l) Requirements for producers or importers of any renewable fuel 
other than ethanol, biodiesel, renewable gasoline, renewable diesel that 
meets ASTM D 975-13a Grade No. 1-D or No. 2-D specifications 
(incorporated by reference, see Sec.  80.1468), biogas or renewable 
electricity. A renewable fuel producer that generates RINs for any 
renewable fuel other than ethanol, biodiesel, renewable gasoline, 
renewable diesel that meets ASTM D 975-13a Grade No. 1-D or No. 2-D 
specifications (incorporated by reference, see Sec.  80.1468), biogas or 
renewable electricity shall keep all of the following additional 
records:
    (1) Documents demonstrating the total volume of renewable fuel 
produced, total volume of renewable fuel blended into gasoline and 
diesel fuel, and the percentage of renewable fuel in each batch of 
finished fuel.
    (2) Contracts and documents memorializing the sale of renewable fuel 
to parties who blend the fuel into gasoline or diesel fuel to produce a 
transportation fuel, heating oil or jet fuel, or who use the renewable 
fuel in its neat form for a qualifying fuel use.
    (3) Such other records as may be requested by the Administrator.
    (m) Requirements for independent third-party auditors. Any 
independent third-party auditor (as described at Sec.  80.1471) must 
keep all of the following records for a period of at least five years:
    (1) Copies of all reports submitted to the EPA under Sec.  
80.1451(g), as applicable.
    (2) Records related to the implementation of a QAP under Sec.  
80.1469 for each facility including records from facility audits and 
ongoing and quarterly monitoring activities.
    (3) Records related to the verification of RINs under Sec.  
80.1471(e).
    (4) Copies of communications sent to and received from renewable 
fuel producers or foreign renewable fuel producers, feedstock suppliers, 
purchasers of RINs, and obligated parties.
    (5) Copies of all notes relating to the implementation of a QAP 
under Sec.  80.1469.
    (6) List of RINs reported to the EPA and renewable fuel producers or 
foreign renewable fuel producers as potentially invalidly generated 
under Sec.  80.1474 compliance.
    (7) Records related to the professional liability insurance 
requirement under Sec.  80.1471(c).
    (8) Copies of all records related to any financial assurance 
instrument as required under Sec.  80.1470 under a quality assurance 
plan implemented under Sec.  80.1469(a) during the interim period.
    (9) Copies of all records and notifications related to the 
identification of a

[[Page 584]]

potentially invalid RIN under Sec.  80.1474(b).
    (10) Such other records as may be requested by the Administrator.
    (n) The records required under paragraphs (a) through (d), (f) 
through (l), and (t) of this section and under Sec.  80.1453 shall be 
kept for five years from the date they were created, except that records 
related to transactions involving RINs shall be kept for five years from 
the date of the RIN transaction.
    (o) The records required under paragraph (e) of this section shall 
be kept through calendar year 2022.
    (p) On request by the EPA, the records required under this section 
and under Sec.  80.1453 must be made available to the Administrator or 
the Administrator's authorized representative. For records that are 
electronically generated or maintained, the equipment or software 
necessary to read the records shall be made available; or, if requested 
by the EPA, electronic records shall be converted to paper documents.
    (q) The records required in paragraphs (b)(3) and (c)(1) of this 
section must be transferred with any renewable fuel sent to the importer 
of that renewable fuel by any non-RIN-generating foreign producer.
    (r) Copies of all reports required under Sec.  80.1464.
    (s) Producers of renewable fuel using crop residue shall keep 
records of all of the following:
    (1) The specific crop residue feedstock(s) utilized to produce 
renewable fuel for each batch of renewable fuel produced.
    (2) The total quantity of each specific crop residue feedstock used 
for each batch.
    (3) Total amount of fuel produced under the crop residue pathway for 
each batch.
    (t) Requirements for parties that redesignate certified NTDF as 
MVNRLM diesel fuel. Parties that redesignate certified NTDF as MVNRLM 
diesel fuel under Sec.  80.1408 must keep all of the following 
additional records:
    (1) Records related to all transactions in which certified NTDF is 
redesignated as MVNRLM diesel fuel.
    (2) Records related to all transactions in which MVNRLM diesel fuel 
is redesignated to a non-transportation use.
    (3) Records related to the volume of MVNRLM diesel fuel received.
    (4) Records related to the volume of MVNRLM diesel fuel delivered.
    (5) Records related to the volume of certified NTDF received.
    (6) Records related to the volume of certified NTDF delivered.
    (u) Requirements for recordkeeping of RIN holdings for all parties 
transacting or owning RINs. (1) Starting January 1, 2020, parties must 
retain records related to end-of-day separated D6 RIN holdings, and any 
associated calculations recorded in order to meet the RIN holdings 
requirements described in Sec.  80.1435 for a period of at least five 
years. Such records must include information related to any corporate 
affiliates, contractual affiliates, and their RIN holdings and 
calculations.
    (2) Parties must retain records related to their reports to EPA 
regarding threshold compliance under Sec. Sec.  80.1435 and 80.1451 for 
a period of at least five years.
    (v) Requirements for recordkeeping of contractual and corporate 
affiliates. (1) Parties must retain records including, but not limited 
to, the name, address, business location, contact information, and 
description of relationship, for each RIN-holding corporate affiliate 
for a period of at least five years. For the corporate affiliate group, 
a relational diagram.
    (2) Parties must retain records including, but not limited to, the 
name, address, business location, contact information, and contract or 
other agreement for each contractual affiliate for a period of at least 
five years.
    (3) If a party claims an exemption from aggregation under Sec.  
80.1435(e), the party must retain all records in support of the 
exemption for a period of at least five years and must provide these 
records to the attest auditor under Sec.  80.1464, and to EPA upon 
request.
    (w) English language records. Any document requested by the 
Administrator under this section must be submitted

[[Page 585]]

in English, or shall include an English translation.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26046, May 10, 2010; 75 
FR 76829, Dec. 9, 2010; 75 FR 79978, Dec. 21, 2010; 77 FR 74606, Dec. 
17, 2012; 78 FR 22789, Apr. 17, 2013; 78 FR 41715, July 11, 2013; 78 FR 
62471, Oct. 22, 2013; 79 FR 42118, 42165, July 18, 2014; 84 FR 27024, 
June 10, 2019; 85 FR 7080, Feb. 6, 2020]



Sec.  80.1455  What are the small volume provisions for renewable
fuel production facilities and importers?

    (a) Standard volume threshold. Renewable fuel production facilities 
located within the United States that produce less than 10,000 gallons 
of renewable fuel each year, and importers who import less than 10,000 
gallons of renewable fuel each year, are not subject to the requirements 
of Sec.  80.1426(a) and (e) related to the generation and assignment of 
RINs to batches of renewable fuel. Except as stated in paragraph (b) of 
this section, such production facilities and importers that do not 
generate and assign RINs to batches of renewable fuel are also exempt 
from all the following requirements of this subpart:
    (1) The registration requirements of Sec.  80.1450.
    (2) The reporting requirements of Sec.  80.1451.
    (3) The EMTS requirements of Sec.  80.1452.
    (4) The recordkeeping requirements of Sec.  80.1454.
    (5) The attest engagement requirements of Sec.  80.1464.
    (6) The production outlook report requirements of Sec.  80.1449.
    (b)(1) Renewable fuel production facilities and importers who 
produce or import less than 10,000 gallons of renewable fuel each year 
and that generate and assign RINs to batches of renewable fuel are 
subject to the provisions of Sec. Sec.  80.1426, 80.1449 through 
80.1452, 80.1454, and 80.1464.
    (2) Renewable fuel production facilities and importers who produce 
or import less than 10,000 gallons of renewable fuel each year but wish 
to own RINs will be subject to all requirements stated in paragraphs 
(a)(1) through (a)(6) and (b)(1) of this section, and all other 
applicable requirements of this subpart M.
    (c) Temporary volume threshold. Renewable fuel production facilities 
located within the United States that produce less than 125,000 gallons 
of renewable fuel each year are not subject to the requirements of Sec.  
80.1426(a) and (e) related to the generation and assignment of RINs to 
batches of renewable fuel for up to three years, beginning with the 
calendar year in which the production facility produces its first gallon 
of renewable fuel. Except as stated in paragraph (d) of this section, 
such production facilities that do not generate and assign RINs to 
batches of renewable fuel are also exempt from all the following 
requirements of this subpart for a maximum of three years:
    (1) The registration requirements of Sec.  80.1450.
    (2) The reporting requirements of Sec.  80.1451.
    (3) The EMTS requirements of Sec.  80.1452.
    (4) The recordkeeping requirements of Sec.  80.1454.
    (5) The attest engagement requirements of Sec.  80.1464.
    (6) The production outlook report requirements of Sec.  80.1449.
    (d)(1) Renewable fuel production facilities who produce less than 
125,000 gallons of renewable fuel each year and that generate and assign 
RINs to batches of renewable fuel are subject to the provisions of 
Sec. Sec.  80.1426, 80.1449 through 80.1452, 80.1454, and 80.1464.
    (2) Renewable fuel production facilities who produce less than 
125,000 gallons of renewable fuel each year but wish to own RINs will be 
subject to all requirements stated in paragraphs (c)(1) through (c)(6) 
and (d)(1) of this section, and all other applicable requirements of 
this subpart M.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26047, May 10, 2010]



Sec.  80.1456  What are the provisions for cellulosic biofuel
waiver credits?

    (a) If EPA reduces the applicable volume of cellulosic biofuel 
pursuant to section 211(o)(7)(D)(i) of the Clean Air Act (42 U.S.C. 
7545(o)(7)(D)(i)) for any given compliance year, then EPA will provide 
cellulosic biofuel waiver credits for purchase for that compliance year.
    (1) The price of these cellulosic biofuel waiver credits will be set 
by

[[Page 586]]

EPA on an annual basis in accordance with paragraph (d) of this section.
    (2) The total cellulosic biofuel waiver credits available will be 
equal to the reduced cellulosic biofuel volume established by EPA for 
the compliance year.
    (b) Use of cellulosic biofuel waiver credits. (1) Cellulosic biofuel 
waiver credits are only valid for use in the compliance year that they 
are made available.
    (2) Cellulosic biofuel waiver credits are nonrefundable.
    (3) Cellulosic biofuel waiver credits are nontransferable.
    (4) Cellulosic biofuel waiver credits may only be used for an 
obligated party's current year cellulosic biofuel RVO and not towards 
any prior year deficit cellulosic biofuel volume obligations.
    (c) Purchase of cellulosic biofuel waiver credits. (1) Only parties 
with an RVO for cellulosic biofuel may purchase cellulosic biofuel 
waiver credits.
    (2) Cellulosic biofuel waiver credits shall be purchased from EPA at 
the time that a party submits its annual compliance report to EPA 
pursuant to Sec.  80.1451(a)(1).
    (3) Parties may not purchase more cellulosic biofuel waiver credits 
than their current year cellulosic biofuel RVO minus cellulosic biofuel 
RINs with a D code of 3 that they own.
    (4) Cellulosic biofuel waiver credits may only be used to meet an 
obligated party's cellulosic biofuel RVO.
    (d) Setting the price of cellulosic biofuel waiver credits. (1) The 
price for cellulosic biofuel waiver credits shall be set equal to the 
greater of:
    (i) $0.25 per cellulosic biofuel waiver credit, adjusted for 
inflation in comparison to calendar year 2008; or
    (ii) $3.00 less the wholesale price of gasoline per cellulosic 
biofuel waiver credit, adjusted for inflation in comparison to calendar 
year 2008.
    (2) The wholesale price of gasoline will be calculated by averaging 
the most recent twelve monthly values for U.S. Total Gasoline Bulk Sales 
(Price) by Refiners as provided by the Energy Information Administration 
that are available as of September 30 of the year preceding the 
compliance period.
    (3) The inflation adjustment will be calculated by comparing the 
Consumer Price Index for All Urban Consumers (CPI-U): U.S. City Average, 
Unadjusted Index for All Items expenditure category as provided by the 
Bureau of Labor Statistics for June of the year preceding the compliance 
period to the comparable value reported for January 2009.
    (e) Cellulosic biofuel waiver credits under this section will only 
be able to be purchased on forms and following procedures prescribed by 
EPA.

[75 FR 14863, Mar. 26, 2010, as amended at 80 FR 18141, Apr. 3, 2015]



Sec.  80.1457  Petition process for aggregate compliance approach 
for foreign countries.

    (a) EPA may approve a petition for application of the aggregate 
compliance approach to planted crops and crop residue from existing 
agricultural land in a foreign country if EPA determines that an 
aggregate compliance approach will provide reasonable assurance that 
planted crops and crop residue from the country in question meet the 
definition of renewable biomass and will continue to meet the definition 
of renewable biomass, based on the submission of credible, reliable, and 
verifiable data.
    (1) As part of its evaluation, EPA will consider all of the 
following:
    (i) Whether there has been a reasonable identification of the ``2007 
baseline area of land,'' defined as the total amount of cropland, 
pastureland, and land that is equivalent to U.S. Conservation Reserve 
Program land in the country in question that was actively managed or 
fallow and nonforested on December 19, 2007.
    (ii) Whether information on the total amount of cropland, 
pastureland, and land that is equivalent to U.S. Conservation Reserve 
Program land in the country in question for years preceding and 
following calendar year 2007 shows that the 2007 baseline area of land 
identified in paragraph (a)(1)(i) of this section is not likely to be 
exceeded in the future.
    (iii) Whether economic considerations, legal constraints, historical 
land use and agricultural practices and other factors show that it is 
likely that

[[Page 587]]

producers of planted crops and crop residue will continue to use 
agricultural land within the 2007 baseline area of land identified in 
paragraph (a)(1)(i) of this section into the future, as opposed to 
clearing and cultivating land not included in the 2007 baseline area of 
land.
    (iv) Whether there is a reliable method to evaluate on an annual 
basis whether the 2007 baseline area of land identified in paragraph 
(a)(1)(i) of this section is being or has been exceeded.
    (v) Whether a credible and reliable entity has been identified to 
conduct data gathering and analysis, including annual identification of 
the aggregate amount of cropland, pastureland, and land that is 
equivalent to U.S. Conservation Reserve Program land, needed for the 
annual EPA evaluation specified in Sec.  80.1454(g)(1), and whether the 
data, analyses, and methodologies are publicly available.
    (2) [Reserved]
    (b) Any petition and all supporting materials submitted under 
paragraph (a) of this section must be submitted both in English and its 
original language (if other than English), and must include all of the 
following or an explanation of why it is not needed for EPA to consider 
the petition:
    (1) Maps or electronic data identifying the boundaries of the land 
for which the petitioner seeks approval of an aggregate compliance 
approach.
    (2) The total amount of land that is cropland, pastureland, or land 
equivalent to U.S. Conservation Reserve Program land within the 
geographic boundaries specified in paragraph (b)(1) of this section that 
was cleared or cultivated prior to December 19, 2007 and that was 
actively managed or fallow and nonforested on that date, and
    (3) Land use data that demonstrates that the land identified in 
paragraph (b)(1) of this section is cropland, pastureland or land 
equivalent to U.S. Conservation Reserve Program land that was cleared or 
cultivated prior to December 19, 2007, and that was actively managed or 
fallow and nonforested on that date, which may include any of the 
following:
    (i) Satellite imagery or data.
    (ii) Aerial photography.
    (iii) Census data.
    (iv) Agricultural survey data.
    (v) Agricultural economic modeling data.
    (4) Historical land use data for the land within the geographic 
boundaries specified in paragraph (b)(1) of this section to the current 
year, which may include any of the following:
    (i) Satellite imagery or data.
    (ii) Aerial photography.
    (iii) Census data.
    (iv) Agricultural surveys.
    (v) Agricultural economic modeling data.
    (5) A description of any applicable laws, agricultural practices, 
economic considerations, or other relevant factors that had or may have 
an effect on the use of agricultural land within the geographic 
boundaries specified in paragraph (b)(1) of this section, including 
information regarding the efficacy and enforcement of relevant laws and 
regulations.
    (6) A plan describing how the petitioner will identify a credible 
and reliable entity who will, on a continuing basis, conduct data 
gathering, analysis, and submittal to assist EPA in making an annual 
determination of whether the criteria specified in paragraph (a) of this 
section remains satisfied.
    (7) A letter, signed by a national government representative at the 
ministerial level or equivalent, confirming that the petition and all 
supporting data have been reviewed and verified by the ministry (or 
ministries) or department(s) of the national government with primary 
expertise in agricultural land use patterns, practices, data, and 
statistics, that the data support a finding that planted crops and crop 
residue from the specified country meet the definition of renewable 
biomass and will continue to meet the definition of renewable biomass, 
and that the responsible national government ministry (or ministries) or 
department(s) will review and verify the data submitted on an annual 
basis to facilitate EPA's annual evaluation of the 2007 baseline area of 
land specified in Sec.  80.1454(g)(1) for the country in question.
    (8) Any additional information the Administrator may require.

[[Page 588]]

    (c) EPA will issue a Federal Register notice informing the public of 
receipt of any petition submitted pursuant to this section and will 
provide a 60-day period for public comment. If EPA approves a petition 
it will issue a Federal Register notice announcing its decision and 
specifying an effective date for the application of the aggregate 
compliance approach to planted crops and crop residue from the country. 
Thereafter, the planted crops and crop residue from the country will be 
covered by the aggregate compliance approach set forth in Sec.  
80.1454(g), or as otherwise specified pursuant to paragraph (d) of this 
section.
    (d) If EPA grants a petition to establish an aggregate compliance 
approach for planted crops and crop residue from a foreign country, it 
may include any conditions that EPA considers appropriate in light of 
the conditions and circumstances involved.
    (e)(1) EPA may withdraw its approval of the aggregate compliance 
approach for the planted crops and crop residue from the country in 
question if:
    (i) EPA determines that the data submitted pursuant to the plan 
described in paragraph (b)(6) of this section does not demonstrate that 
the amount of cropland, pastureland and land equivalent to U.S. 
Conservation Reserve Program land within the geographic boundaries 
covered by the approved petition does not exceed the 2007 baseline area 
of land;
    (ii) EPA determines based on other information that the criteria 
specified in paragraph (a) of this section is no longer satisfied; or
    (iii) EPA determines that the data needed for its annual evaluation 
has not been collected and submitted in a timely and appropriate manner.
    (2) If EPA withdraws its approval for a given country, then 
producers using planted crops or crop residue from that country will be 
subject to the individual recordkeeping and reporting requirements of 
Sec.  80.1454(b) through (d) in accordance with the schedule specified 
in Sec.  80.1454(g).

[75 FR 76829, Dec. 9, 2010]



Sec. Sec.  80.1458-80.1459  [Reserved]



Sec.  80.1460  What acts are prohibited under the RFS program?

    (a) Renewable fuels producer or importer violation. Except as 
provided in Sec.  80.1455, no person shall produce or import a renewable 
fuel without complying with the requirements of Sec.  80.1426 regarding 
the generation and assignment of RINs.
    (b) RIN generation and transfer violations. No person shall do any 
of the following:
    (1) Generate a RIN for a fuel that is not a renewable fuel, or for 
which the applicable renewable fuel volume was not produced.
    (2) Create or transfer to any person a RIN that is invalid under 
Sec.  80.1431.
    (3) Transfer to any person a RIN that is not properly identified as 
required under Sec.  80.1425.
    (4) Transfer to any person a RIN with a K code of 1 without 
transferring an appropriate volume of renewable fuel to the same person 
on the same day.
    (5) Introduce into commerce any renewable fuel produced from a 
feedstock or through a process that is not described in the person's 
registration information.
    (6) Generate a RIN for fuel for which RINs have previously been 
generated.
    (7) Generate a RIN for fuel that fails to meet all the conditions 
set forth in an approval document for a pathway petition submitted under 
Sec.  80.1416.
    (c) RIN use violations. No person shall do any of the following:
    (1) Fail to acquire sufficient RINs, or use invalid RINs, to meet 
the person's RVOs under Sec.  80.1427.
    (2) Use a validly generated RIN to meet the person's RVOs under 
Sec.  80.1427, or separate and transfer a validly generated RIN, where 
the person using the RIN ultimately uses the renewable fuel volume 
associated with the RIN in an application other than for use as 
transportation fuel, jet fuel, or heating oil (as defined in Sec.  
80.1401).
    (3) Use a validly generated RIN to meet the person's RVOs under 
Sec.  80.1427, or separate and transfer a validly generated RIN, where 
the person ultimately uses the renewable fuel volume

[[Page 589]]

associated with the RIN in an application other than for use as 
transportation fuel, jet fuel, or heating oil (as defined in Sec.  
80.1401).
    (d) RIN retention violation. No person shall retain RINs in 
violation of the requirements in Sec.  80.1428(a)(5).
    (e) Causing a violation. No person shall cause another person to 
commit an act in violation of any prohibited act under this section.
    (f) Failure to meet a requirement. No person shall fail to meet any 
requirement that applies to that person under this subpart.
    (g) Failing to use a renewable fuel oil for its intended use. No 
person shall use fuel oil that meets paragraph (2) of the definition of 
``heating oil'' in Sec.  80.1401 and for which RINs have been generated 
in an application other than to heat or cool interior spaces of homes or 
buildings to control ambient climate for human comfort.
    (h) RIN separation violations. No person shall do any of the 
following:
    (1) Identify separated RINs in EMTS with the wrong separation reason 
code.
    (2) Identify separated RINs in EMTS without having a qualifying 
separation event pursuant to Sec.  80.1429.
    (3) Separate more than 2.5 RINs per gallon of renewable fuel that 
has a valid qualifying separation event pursuant to Sec.  80.1429.
    (4) Separate RINs outside of the requirements in Sec.  80.1452(c).
    (5) Improperly separate RINs in any other way not listed in 
paragraphs (h)(1)-(4) of this section.
    (i) Independent third-party auditor violations. No person shall do 
any of the following:
    (1) Fail to fully implement a QAP approved under Sec.  80.1469.
    (2) Fail to fully, accurately, and timely notify all appropriate 
parties of potentially invalid RINs under Sec.  80.1474(b).
    (3) Verify a RIN under Sec.  80.1471(e) without verifying every 
applicable requirement in Sec.  80.1469 and verifying each element in an 
approved QAP.
    (j) Redesignation violations. No person may exceed the balance 
requirements at Sec.  80.1408(a)(2)(i) without incurring an RVO.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26047, May 10, 2010; 77 
FR 1357, Jan. 9, 2012; 78 FR 62471, Oct. 22, 2013; 79 FR 42119, July 18, 
2014; 85 FR 7080, Feb. 6, 2020]



Sec.  80.1461  Who is liable for violations under the RFS program?

    (a) Liability for violations of prohibited acts. (1) Any person who 
violates a prohibition under Sec.  80.1460(a) through (d) or Sec.  
80.1460(g) through (j) is liable for the violation of that prohibition.
    (2) Any person who causes another person to violate a prohibition 
under Sec.  80.1460(a) through (d) or Sec.  80.1460(g) through (j) is 
liable for a violation of Sec.  80.1460(e).
    (b) Liability for failure to meet other provisions of this subpart. 
(1) Any person who fails to meet a requirement of any provision of this 
subpart is liable for a violation of that provision.
    (2) Any person who causes another person to fail to meet a 
requirement of any provision of this subpart is liable for causing a 
violation of that provision.
    (c) Parent corporation liability. Any parent corporation is liable 
for any violation of this subpart that is committed by any of its 
subsidiaries.
    (d) Joint venture liability. Each partner to a joint venture is 
jointly and severally liable for any violation of this subpart that is 
committed by the joint venture operation.

[75 FR 14863, Mar. 26, 2010, as amended at 79 FR 42119, July 18, 2014; 
85 FR 7080, Feb. 6, 2020]



Sec.  80.1462  [Reserved]



Sec.  80.1463  What penalties apply under the RFS program?

    (a) Any person who is liable for a violation under Sec.  80.1461 is 
subject to a civil penalty as specified in sections 205 and 211(d) of 
the Clean Air Act, for every day of each such violation and the amount 
of economic benefit or savings resulting from each violation.
    (b) Any person liable under Sec.  80.1461(a) for a violation of 
Sec.  80.1460(c) for failure to meet its RVOs, or Sec.  80.1460(e) for 
causing another person to fail to meet their RVOs during any

[[Page 590]]

compliance period, is subject to a separate day of violation for each 
day in the compliance period.
    (c) Any person liable under Sec.  80.1461(b) for failure to meet, or 
causing a failure to meet, a requirement of any provision of this 
subpart is liable for a separate day of violation for each day such a 
requirement remains unfulfilled.
    (d) Any person liable under Sec.  80.1461(a) for a violation of 
Sec.  80.1460(b)(1) through (4), (6), or (7) is subject to a separate 
day of violation for each day that an invalid RIN remains available for 
an obligated party or exporter of renewable fuel to demonstrate 
compliance with the RFS program.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26047, May 10, 2010; 79 
FR 42165, July 18, 2014; 85 FR 7080, Feb. 6, 2020]



Sec.  80.1464  What are the attest engagement requirements under
the RFS program?

    The requirements regarding annual attest engagements in Sec. Sec.  
80.125 through 80.127, and 80.130, also apply to any attest engagement 
procedures required under this subpart M. In addition to any other 
applicable attest engagement procedures, such as the requirements in 
Sec. Sec.  80.1465 and 80.1466, the following annual attest engagement 
procedures are required under this subpart.
    (a) Obligated parties and exporters of renewable fuel. The following 
attest procedures shall be completed for any obligated party (as 
described at Sec.  80.1406(a)) or exporter of renewable fuel (as 
described at Sec.  80.1430):
    (1) Annual compliance demonstration report. (i) Obtain and read a 
copy of the annual compliance demonstration report required under Sec.  
80.1451(a)(1) which contains information regarding all the following:
    (A) The obligated party's volume of all products listed in Sec.  
80.1407(c) and (e), or the exporter of renewable fuel's volume of each 
category of exported renewable fuel identified in Sec.  80.1430(b)(1) 
through (b)(4).
    (B) RVOs.
    (C) RINs used for compliance.
    (ii) Obtain documentation of any volumes of renewable fuel used in 
products listed in Sec.  80.1407(c) and (e) at the refinery or import 
facility or exported during the reporting year; compute and report as a 
finding the total volumes of renewable fuel represented in these 
documents.
    (iii) For obligated parties, compare the volumes of products listed 
in Sec.  80.1407(c), (e), and (f) reported to EPA in the report required 
under Sec.  80.1451(a)(1) with the volumes, excluding any renewable fuel 
volumes, contained in the inventory reconciliation analysis under Sec.  
80.133 and the volume of non-renewable diesel produced or imported. 
Verify that the volumes reported to EPA agree with the volumes in the 
inventory reconciliation analysis and the volumes of non-renewable 
diesel produced or imported, and report as a finding any exception.
    (iv) For exporters of renewable fuel, perform all of the following:
    (A) Obtain the database, spreadsheet, or other documentation that 
the exporter of renewable fuel maintains for all exported renewable 
fuel.
    (B) Compare the volume of products identified in these documents 
with the volumes reported to EPA.
    (C) Verify that the volumes reported to EPA agree with the volumes 
identified in the database, spreadsheet, or other documentation, and 
report as a finding any exception.
    (D) Select sample batches in accordance with the guidelines in Sec.  
80.127 from each separate category of renewable fuel exported and 
identified in Sec.  80.1451(a); obtain invoices, bills of lading and 
other documentation for the representative samples; state whether any of 
these documents refer to the exported fuel as advanced biofuel or 
cellulosic biofuel; and report as a finding whether or not the exporter 
of renewable fuel calculated an advanced biofuel or cellulosic biofuel 
RVO for these fuels pursuant to Sec.  80.1430(b)(1) or (3).
    (v) Compute and report as a finding the RVOs for the obligated party 
or exporter of renewable fuel, and any deficit RVOs carried over from 
the previous year or carried into the subsequent year, and verify that 
the values agree with the values reported to EPA.
    (vi) Obtain the database, spreadsheet, or other documentation for 
all RINs by

[[Page 591]]

type of renewable fuel used for compliance during the year being 
reviewed; calculate the total number of RINs associated with each type 
of renewable fuel used for compliance by year of generation represented 
in these documents; state whether this information agrees with the 
report to EPA and report as a finding any exceptions.
    (vii) For obligated parties that redesignate certified NTDF as 
MVNRLM diesel fuel under Sec.  80.1408, perform the additional attest 
engagement procedures described at Sec.  80.1475 and report any findings 
in the report described in paragraph (d) of this section. Parties that 
do not incur an RVO under Sec.  80.1408(a)(2)(i) and do not otherwise 
need to complete an attest engagement under this paragraph (a) do not 
need to arrange for the additional attest engagement procedures under 
Sec.  80.1475 to be performed.
    (2) RIN transaction reports and product transfer documents. (i) 
Obtain and read copies of a representative sample, selected in 
accordance with the guidelines in Sec.  80.127, of each RIN transaction 
type (RINs purchased, RINs sold, RINs retired, RINs separated, RINs 
reinstated) included in the RIN transaction reports required under Sec.  
80.1451(a)(2) for the compliance year.
    (ii) Obtain contracts, invoices, or other documentation for the 
representative samples of RIN transactions; compute the transaction 
types, transaction dates, and RINs traded; state whether the information 
agrees with the party's reports to EPA and report as a finding any 
exceptions.
    (iii) Verify that the product transfer documents for the 
representative samples under paragraph (a)(2)(i) of this section of RINs 
sold and the RINs purchased contain the applicable information required 
under Sec.  80.1453 and report as a finding any product transfer 
document that does not contain the required information.
    (iv) Verify the accuracy of the information contained in the product 
transfer documents reviewed pursuant to paragraph (a)(2)(iii) of this 
section and report as a finding any exceptions.
    (3) RIN activity reports. (i) Obtain and read copies of all 
quarterly RIN activity reports required under Sec.  80.1451(a)(3) for 
the compliance year.
    (ii) Obtain the database, spreadsheet, or other documentation used 
to generate the information in the RIN activity reports; compare the RIN 
transaction samples reviewed under paragraph (a)(2) of this section with 
the corresponding entries in the database or spreadsheet and report as a 
finding any discrepancies; compute the total number of current-year and 
prior-year RINs owned at the start and end of each quarter, purchased, 
separated, sold, retired and reinstated, and for parties that reported 
RIN activity for RINs assigned to a volume of renewable fuel, the volume 
and type of renewable fuel (as defined in Sec.  80.1401) owned at the 
end of each quarter; as represented in these documents; and state 
whether this information agrees with the party's reports to EPA.
    (4) RIN holdings. (i) Obtain and read copies of the RIN holdings 
calculations performed under Sec.  80.1435 for the party and any 
corporate affiliates and the applicable database, spreadsheet, or other 
documentation the party maintains.
    (ii) Select sample calculations in accordance with the guidelines in 
Sec.  80.127; compute and report as a finding the results of these 
calculations and verify that the results agree with the values reported 
to EPA.
    (iii) Identify any date(s) where the aggregated calculation exceeded 
the RIN holding threshold(s) specified in Sec.  80.1435. Compute and 
state as a finding whether this information agrees with the party's 
reports (notification of threshold exceedance) to EPA.
    (5) Affiliates. Review reports and records related to corporate and 
contractual affiliates and state whether this information agrees with 
the party's reports to EPA, and report as a finding any exceptions.
    (6) Exemption. Review and confirm the existence of records 
supporting an exemption from aggregation claimed by the party under 
Sec.  80.1435(e), and report as a finding any exceptions.
    (b) Renewable fuel producers and RIN-generating importers. The 
following attest procedures shall be completed for any RIN-generating 
renewable fuel producer or importer:
    (1) RIN generation reports. (i) Obtain and read copies of the 
reports required

[[Page 592]]

under Sec.  80.1451(b)(1), (e), and (d) for the compliance year.
    (ii) Obtain production data for each renewable fuel batch by type of 
renewable fuel that was produced or imported during the year being 
reviewed; compute the RIN numbers, production dates, types, volumes of 
ethanol denaturant and applicable equivalence values, and production 
volumes for each batch; report the total RINs generated during the year 
being reviewed; and state whether this information agrees with the 
party's reports to EPA. Report as a finding any exceptions.
    (iii) Verify that the proper number of RINs were generated and 
assigned pursuant to the requirements of Sec.  80.1426 for each batch of 
renewable fuel produced or imported. For RINs generated for ethanol 
produced from corn starch at a facility using a pathway in Table 1 to 
Sec.  80.1426 that requires the use of one or more of the advanced 
technologies listed in Table 2 to Sec.  80.1426, verify that the 
required advanced technology or technologies were employed in accordance 
with the specifications in Tables 1 and 2 to Sec.  80.1426, including 
any requirement for application to 90% of the production on a calendar 
year basis.
    (iv) Obtain product transfer documents for a representative sample, 
selected in accordance with the guidelines in Sec.  80.127, of renewable 
fuel batches produced or imported during the year being reviewed; verify 
that the product transfer documents contain the applicable information 
required under Sec.  80.1453; verify the accuracy of the information 
contained in the product transfer documents; report as a finding any 
product transfer document that does not contain the applicable 
information required under Sec.  80.1453.
    (v)(A) Obtain documentation, as required under Sec.  80.1451(b), 
(d), and (e) associated with feedstock purchases for a representative 
sample, selected in accordance with the guidelines in Sec.  80.127, of 
renewable fuel batches produced or imported during the year being 
reviewed.
    (B) Verify that feedstocks were properly identified in the reports 
and met the definition of renewable biomass in Sec.  80.1401.
    (2) RIN transaction reports and product transfer documents. (i) 
Obtain and read copies of a representative sample, selected in 
accordance with the guidelines in Sec.  80.127, of each transaction type 
(RINs purchased, RINs sold, RINs retired, RINs separated, RINs 
reinstated) included in the RIN transaction reports required under Sec.  
80.1451(b)(2) for the compliance year.
    (ii) Obtain contracts, invoices, or other documentation for the 
representative samples of RIN transactions; compute the transaction 
types, transaction dates, and the RINs traded; state whether this 
information agrees with the party's reports to EPA and report as a 
finding any exceptions.
    (iii) Verify that the product transfer documents for the 
representative samples under paragraph (b)(2)(i) of this section of RINs 
sold and the RINs purchased contain the applicable information required 
under Sec.  80.1453 and report as a finding any product transfer 
document that does not contain the required information.
    (iv) Verify the accuracy of the information contained in the product 
transfer documents reviewed pursuant to paragraph (b)(2)(iii) of this 
section and report as a finding any exceptions.
    (3) RIN activity reports. (i) Obtain and read copies of the 
quarterly RIN activity reports required under Sec.  80.1451(b)(3) for 
the compliance year.
    (ii) Obtain the database, spreadsheet, or other documentation used 
to generate the information in the RIN activity reports; compare the RIN 
transaction samples reviewed under paragraph (b)(2) of this section with 
the corresponding entries in the database or spreadsheet and report as a 
finding any discrepancies; report the total number of each RIN generated 
during each quarter and compute and report the total number of current-
year and prior-year RINs owned at the start and end of each quarter, 
purchased, separated, sold, retired and reinstated, and for parties that 
reported RIN activity for RINs assigned to a volume of renewable fuel, 
the volume of renewable fuel owned at the end of each quarter, as 
represented in these documents; and state whether this information 
agrees with the party's reports to EPA.

[[Page 593]]

    (4) Independent Third Party Engineering Review. (i) Obtain 
documentation of independent third party engineering reviews required 
under Sec.  80.1450(b)(2).
    (ii) Review and verify the written verification and records 
generated as part of the independent third party engineering review.
    (5) RIN holdings. (i) Obtain and read copies of the RIN holdings 
calculations performed under Sec.  80.1435 for the party and any 
corporate affiliates and the applicable database, spreadsheet, or other 
documentation the party maintains.
    (ii) Select sample calculations in accordance with the guidelines in 
Sec.  80.127; compute and report as a finding the results of these 
calculations and verify that the results agree with the values reported 
to EPA.
    (iii) Identify any date(s) where the aggregated calculation exceeded 
the RIN holding threshold(s) specified in Sec.  80.1435. Compute and 
state as a finding whether this information agrees with the party's 
reports (notification of threshold exceedance) to EPA.
    (6) Affiliates. Review reports and records related to corporate and 
contractual affiliates and state whether this information agrees with 
the party's reports to EPA, and report as a finding any exceptions.
    (7) Exemption. Review and confirm the existence of records 
supporting an exemption from aggregation claimed by the party under 
Sec.  80.1435(e), and report as a finding any exceptions.
    (c) Other parties owning RINs. The following attest procedures shall 
be completed for any party other than an obligated party or renewable 
fuel producer or importer that owns any RINs during a calendar year:
    (1) RIN transaction reports and product transfer documents.
    (i) Obtain and read copies of a representative sample, selected in 
accordance with the guidelines in Sec.  80.127, of each RIN transaction 
type (RINs purchased, RINs sold, RINs retired, RINs separated, RINs 
reinstated) included in the RIN transaction reports required under Sec.  
80.1451(c)(1) for the compliance year.
    (ii) Obtain contracts, invoices, or other documentation for the 
representative samples of RIN transactions; compute the transaction 
types, transaction dates, and the RINs traded; state whether this 
information agrees with the party's reports to EPA and report as a 
finding any exceptions.
    (iii) Verify that the product transfer documents for the 
representative samples under paragraph (c)(1)(i) of this section of RINs 
sold and RINs purchased contain the applicable information required 
under Sec.  80.1453 and report as a finding any product transfer 
document that does not contain the required information.
    (iv) Verify the accuracy of the information contained in the product 
transfer documents reviewed pursuant to paragraph (c)(1)(iii) of this 
section and report as a finding any exceptions.
    (2) RIN activity reports.
    (i) Obtain and read copies of the quarterly RIN activity reports 
required under Sec.  80.1451(c)(2) for the compliance year.
    (ii) Obtain the database, spreadsheet, or other documentation used 
to generate the information in the RIN activity reports; compare the RIN 
transaction samples reviewed under paragraph (c)(1) of this section with 
the corresponding entries in the database or spreadsheet and report as a 
finding any discrepancies; compute the total number of current-year and 
prior-year RINs owned at the start and end of each quarter, purchased, 
sold, retired, separated, and reinstated and for parties that reported 
RIN activity for RINs assigned to a volume of renewable fuel, the volume 
of renewable fuel owned at the end of each quarter, as represented in 
these documents; and state whether this information agrees with the 
party's reports to EPA.
    (3) RIN holdings. (i) Obtain and read copies of the RIN holdings 
calculations performed under Sec.  80.1435 for the party and any 
corporate affiliates and the applicable database, spreadsheet, or other 
documentation the party maintains.
    (ii) Select sample calculations in accordance with the guidelines in 
Sec.  80.127; compute and report as a finding the results of these 
calculations and verify that the results agree with the values reported 
to EPA.
    (iii) Identify any date(s) where the aggregated calculation exceeded 
the RIN holding threshold(s) specified in

[[Page 594]]

Sec.  80.1435. Compute and state as a finding whether this information 
agrees with the party's reports (notification of threshold exceedance) 
to EPA.
    (4) Affiliates. Review reports and records related to corporate and 
contractual affiliates and state whether this information agrees with 
the party's reports to EPA, and report as a finding any exceptions.
    (5) Exemption. Review and confirm the existence of records 
supporting an exemption from aggregation claimed by the party under 
Sec.  80.1435(e), and report as a finding any exceptions.
    (d) For each compliance year, each party subject to the attest 
engagement requirements under this section shall cause the reports 
required under this section to be submitted to EPA by June 1 of the year 
following the compliance year, except as provided in paragraph (g) of 
this section.
    (e) The party conducting the procedures under this section shall 
obtain a written representation from a company representative that the 
copies of the reports required under this section are complete and 
accurate copies of the reports filed with EPA.
    (f) The party conducting the procedures under this section shall 
identify and report as a finding the commercial computer program used by 
the party to track the data required by the regulations in this subpart, 
if any.
    (g)(1) For obligated parties and exporters of renewable fuel, for 
the 2013 compliance year, reports required under this section shall be 
submitted to the EPA no later than June 1, 2016.
    (2) For RIN-generating renewable fuel producers, RIN-generating 
importers of renewable fuel, and other parties owning RINs, for the 2013 
compliance year, reports required under this section shall be submitted 
to the EPA no later than March 1, 2016 or 60 days from publication in 
the Federal Register of a final rule establishing 2014 RFS standards, 
whichever date is later.
    (3) For obligated parties, for the 2014 compliance year, reports 
required under this section shall be submitted to the EPA no later than 
December 1, 2016.
    (4) For exporters of renewable fuel, for the 2014 compliance period 
from January 1, 2014, through September 16, 2014, full reports for that 
period required under this section shall be submitted no later than June 
1, 2016.
    (5) For RIN-generating renewable fuel producers, RIN-generating 
importers of renewable fuel, and other parties owning RINs, for the 2014 
compliance year, reports required under this section shall be submitted 
to the EPA no later than March 1, 2016 or 60 days from publication in 
the Federal Register of a final rule establishing 2014 RFS standards, 
whichever date is later.
    (6) For obligated parties, for the 2015 compliance year, reports 
required under this section shall be submitted to the EPA no later than 
March 1, 2017.
    (h) [Reserved]
    (i) Independent third-party auditors. The following attest 
procedures shall be completed for any independent third-party auditor 
that implements a quality assurance plan in a calendar year:
    (1) Comparing RIN verification reports with approved QAPs.
    (i) Obtain and read copies of reports required under Sec.  
80.1451(g)(1).
    (ii) Obtain and read copies of any quality assurance plans approved 
under Sec.  80.1469.
    (iii) Confirm that the independent third-party auditor only verified 
RINs covered by approved QAPs under Sec.  80.1469. Identify as a finding 
any discrepancies.
    (2) Checking third-party auditor's RIN verification.
    (i) Obtain and read copies of reports required under Sec.  
80.1451(g)(2).
    (ii) Obtain all notifications of potentially invalid RINs submitted 
to the EPA under Sec.  80.1474(b)(3).
    (iii)(A) Obtain the database, spreadsheet, or other documentation 
used to generate the information in the RIN verification reports;
    (B) Obtain all underlying documents that the QAP provider relied 
upon to verify the RINs;
    (C) Review the documents that the QAP auditor relied on to prepare 
the reports obtained in paragraph (d)(2)(i) of this section, verify that 
the underlying documents appropriately reflect the information reported 
to the EPA,

[[Page 595]]

and identify as a finding any discrepancies between the underlying 
documents and the information in the RIN verification reports;
    (D) Compute the total number of current-year RINs and current-year 
potentially invalid RINs verified at the start and end of each quarter, 
as represented in these documents; and state whether this information 
agrees with the party's reports to the EPA; and
    (E) Verify that all parties were appropriately notified under Sec.  
80.1474(b)(3) and report any missing notifications as a finding.
    (3) Reporting requirements. For the 2014 compliance year, reports 
required under this paragraph (i) shall be submitted to the EPA no later 
than March 1, 2016 or 60 days from publication in the Federal Register 
of a final rule establishing 2014 RFS standards, whichever date is 
later. For the 2015 compliance year and each subsequent year, reports 
required under this paragraph (i) shall be submitted pursuant to 
paragraph (d) of this section.

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26048, May 10, 2010; 75 
FR 79978, Dec. 21, 2010; 77 FR 1357, Jan. 9, 2012; 78 FR 49830, Aug. 15, 
2013; 79 FR 34244, June 16, 2014; 79 FR 23655, Apr. 28, 2014; 79 FR 
42119, July 18, 2014; 79 FR 46356, Aug. 8, 2014; 80 FR 77518, Dec. 14, 
2015; 84 FR 27024, June 10, 2019; 85 FR 7080, Feb. 6, 2020]



Sec.  80.1465  What are the additional requirements under this subpart
for foreign small refiners, foreign small refineries, and importers
of RFS-FRFUEL?

    (a) Definitions. The following additional definitions apply for this 
subpart:
    (1) Foreign refinery is a refinery that is located outside the 
United States, the Commonwealth of Puerto Rico, the U.S. Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands (collectively referred to in this section as ``the United 
States'').
    (2) Foreign refiner is a person that meets the definition of refiner 
under Sec.  80.2(i) for a foreign refinery.
    (3) Foreign small refinery is a foreign refinery that has received a 
small refinery exemption under Sec.  80.1441.
    (4) Foreign small refiner is a foreign refiner that has received a 
small refiner exemption under Sec.  80.1442.
    (5) RFS-FRFUEL is transportation fuel produced at a foreign refinery 
that has received a small refinery exemption under Sec.  80.1441 or by a 
foreign refiner with a small refiner exemption under Sec.  80.1442.
    (6) Non-RFS-FRFUEL is transportation fuel produced at a foreign 
refinery that has not received a small refinery exemption under Sec.  
80.1441 or by a foreign refiner that has not received a small refiner 
exemption under Sec.  80.1442.
    (b) General requirements for RFS-FRFUEL for foreign small refineries 
and small refiners. A foreign refiner must do all the following:
    (1) Designate, at the time of production, each batch of 
transportation fuel produced at the foreign refinery that is exported 
for use in the United States as RFS-FRFUEL.
    (2) Meet all requirements that apply to refiners who have received a 
small refinery or small refiner exemption under this subpart.
    (c) Designation, foreign small refiner certification, and product 
transfer documents. (1) Any foreign small refiner must designate each 
batch of RFS-FRFUEL as such at the time the transportation fuel is 
produced.
    (2) On each occasion when RFS-FRFUEL is loaded onto a vessel or 
other transportation mode for transport to the United States, the 
foreign small refiner shall prepare a certification for each batch of 
RFS-FRFUEL that meets all the following requirements:
    (i) The certification shall include the report of the independent 
third party under paragraph (d) of this section, and all the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the RFS-FRFUEL.
    (B) [Reserved]
    (ii) The identification of the transportation fuel as RFS-FRFUEL.
    (iii) The volume of RFS-FRFUEL being transported, in gallons.
    (3) On each occasion when any person transfers custody or title to 
any RFS-FRFUEL prior to its being imported into the United States, it 
must include

[[Page 596]]

all the following information as part of the product transfer document 
information:
    (i) Designation of the transportation fuel as RFS-FRFUEL.
    (ii) The certification required under paragraph (c)(2) of this 
section.
    (d) Load port independent testing and refinery identification. (1) 
On each occasion that RFS-FRFUEL is loaded onto a vessel for transport 
to the United States the foreign small refiner shall have an independent 
third party do all the following:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms.
    (ii) Determine the volume of RFS-FRFUEL loaded onto the vessel, 
temperature-corrected to 60 [deg]F (exclusive of any tank bottoms before 
loading).
    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery.
    (iv) Determine the name and country of registration of the vessel 
used to transport the RFS-FRFUEL to the United States.
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (vi) Review original documents that reflect movement and storage of 
the RFS-FRFUEL from the foreign refinery to the load port, and from this 
review determine:
    (A) The refinery at which the RFS-FRFUEL was produced; and
    (B) That the RFS-FRFUEL remained segregated from Non-RFS-FRFUEL and 
other RFS-FRFUEL produced at a different refinery.
    (2) The independent third party shall submit a report to all the 
following:
    (i) The foreign small refiner or owner of the foreign small 
refinery, containing the information required under paragraph (d)(1) of 
this section, to accompany the product transfer documents for the 
vessel.
    (ii) The Administrator, containing the information required under 
paragraph (d)(1) of this section, within thirty days following the date 
of the independent third party's inspection. This report shall include a 
description of the method used to determine the identity of the refinery 
at which the transportation fuel was produced, assurance that the 
transportation fuel remained segregated as specified in paragraph (j)(1) 
of this section, and a description of the transportation fuel's movement 
and storage between production at the source refinery and vessel 
loading.
    (3) The independent third party must do all the following:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (d).
    (ii) Be independent under the criteria specified in Sec.  
80.65(f)(2)(iii).
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities, facilities, and 
documents relevant to compliance with the requirements of this paragraph 
(d).
    (e) Comparison of load port and port of entry testing. (1)(i) Any 
foreign small refiner or foreign small refinery and any United States 
importer of RFS-FRFUEL shall compare the results from the load port 
testing under paragraph (d) of this section, with the port of entry 
testing as reported under paragraph (k) of this section, for the volume 
of transportation fuel, except as specified in paragraph (e)(1)(ii) of 
this section.
    (ii) Where a vessel transporting RFS-FRFUEL offloads this 
transportation fuel at more than one United States port of entry, the 
requirements of paragraph (e)(1)(i) of this section do not apply at 
subsequent ports of entry if the United States importer obtains a 
certification from the vessel owner that the requirements of paragraph 
(e)(1)(i) of this section were met and that the vessel has not loaded 
any transportation fuel or blendstock between the first United States 
port of entry and any subsequent port of entry.
    (2) If the temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent, the United 
States importer and the foreign small refiner or foreign small refinery 
shall not treat the transportation fuel as RFS-FRFUEL and the importer 
shall include the volume of transportation fuel in the importer's RFS 
compliance calculations.

[[Page 597]]

    (f) Foreign refiner commitments. Any foreign small refinery or 
foreign small refiner shall commit to and comply with the provisions 
contained in this paragraph (f) as a condition to being approved for a 
small refinery or small refiner exemption under this subpart.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete, and immediate access to conduct 
inspections and audits of the foreign refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Transportation fuel is produced;
    (B) Documents related to refinery operations are kept; and
    (C) RFS-FRFUEL is stored or transported between the foreign refinery 
and the United States, including storage tanks, vessels, and pipelines.
    (iii) EPA inspectors and auditors may be EPA employees or 
contractors to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits may include review and copying of any 
documents related to all the following:
    (A) The volume of RFS-FRFUEL.
    (B) The proper classification of transportation fuel as being RFS-
FRFUEL or as not being RFS-FRFUEL.
    (C) Transfers of title or custody to RFS-FRFUEL.
    (D) Testing of RFS-FRFUEL.
    (E) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers.
    (vi) Inspections and audits may include interviewing employees.
    (vii) Any employee of the foreign refiner must be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign refiner or any employee of the foreign refiner for any 
action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign refiner or any 
employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting an application for a small refinery or small refiner 
exemption, or producing and exporting transportation fuel under such 
exemption, and all other actions to comply with the requirements of this 
subpart relating to such exemption constitute actions or activities 
covered by and within the meaning of the provisions of 28 U.S.C. 
1605(a)(2), but solely with respect to actions instituted against the 
foreign refiner, its agents and employees in any court or other tribunal 
in the United States for conduct that violates the requirements 
applicable to the foreign refiner under this subpart, including conduct 
that violates the False Statements Accountability Act of 1996 (18 U.S.C. 
1001) and section 113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (6) The foreign refiner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment or contract related to the 
provisions of this section.
    (7) The commitment required by this paragraph (f) shall be signed by 
the owner or president of the foreign refiner business.

[[Page 598]]

    (8) In any case where RFS-FRFUEL produced at a foreign refinery is 
stored or transported by another company between the refinery and the 
vessel that transports the RFS-FRFUEL to the United States, the foreign 
refiner shall obtain from each such other company a commitment that 
meets the requirements specified in paragraphs (f)(1) through (f)(7) of 
this section, and these commitments shall be included in the foreign 
refiner's application for a small refinery or small refiner exemption 
under this subpart.
    (g) Sovereign immunity. By submitting an application for a small 
refinery or small refiner exemption under this subpart, or by producing 
and exporting transportation fuel to the United States under such 
exemption, the foreign refiner, and its agents and employees, without 
exception, become subject to the full operation of the administrative 
and judicial enforcement powers and provisions of the United States 
without limitation based on sovereign immunity, with respect to actions 
instituted against the foreign refiner, its agents and employees in any 
court or other tribunal in the United States for conduct that violates 
the requirements applicable to the foreign refiner under this subpart, 
including conduct that violates the False Statements Accountability Act 
of 1996 (18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 
U.S.C. 7413).
    (h) Bond posting. Any foreign refiner shall meet the requirements of 
this paragraph (h) as a condition to approval of a foreign small 
refinery or foreign small refiner exemption under this subpart.
    (1) The foreign refiner shall post a bond of the amount calculated 
using the following equation:

Bond = G * $ 0.01

Where:

Bond = amount of the bond in United States dollars.
G = the largest volume of transportation fuel produced at the foreign 
          refinery and exported to the United States, in gallons, during 
          a single calendar year among the most recent of the following 
          calendar years, up to a maximum of five calendar years: the 
          calendar year immediately preceding the date the refinery's or 
          refiner's application is submitted, the calendar year the 
          application is submitted, and each succeeding calendar year.

    (2) Bonds shall be posted by any of the following methods:
    (i) Paying the amount of the bond to the Treasurer of the United 
States.
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign refiner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement.
    (3) Bonds posted under this paragraph (h) shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds''; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest annual reporting period 
that the foreign refiner produces transportation fuel pursuant to the 
requirements of this subpart.
    (4) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (5) If the bond amount for a foreign refiner increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (i) English language reports. Any document submitted to EPA by a 
foreign refiner shall be in English, or shall include an English 
language translation.
    (j) Prohibitions. (1) No person may combine RFS-FRFUEL with any Non-
RFS-FRFUEL, and no person may

[[Page 599]]

combine RFS-FRFUEL with any RFS-FRFUEL produced at a different refinery, 
until the importer has met all the requirements of paragraph (k) of this 
section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (j)(1) of this section, or that 
otherwise violates the requirements of this section.
    (k) United States importer requirements. Any United States importer 
of RFS-FRFUEL shall meet the following requirements:
    (1) Each batch of imported RFS-FRFUEL shall be classified by the 
importer as being RFS-FRFUEL.
    (2) Transportation fuel shall be classified as RFS-FRFUEL according 
to the designation by the foreign refiner if this designation is 
supported by product transfer documents prepared by the foreign refiner 
as required in paragraph (c) of this section. Additionally, the importer 
shall comply with all requirements of this subpart applicable to 
importers.
    (3) For each transportation fuel batch classified as RFS-FRFUEL, any 
United States importer shall have an independent third party do all the 
following:
    (i) Determine the volume of transportation fuel in the vessel.
    (ii) Use the foreign refiner's RFS-FRFUEL certification to determine 
the name and EPA-assigned registration number of the foreign refinery 
that produced the RFS-FRFUEL.
    (iii) Determine the name and country of registration of the vessel 
used to transport the RFS-FRFUEL to the United States.
    (iv) Determine the date and time the vessel arrives at the United 
States port of entry.
    (4) Any importer shall submit reports within 30 days following the 
date any vessel transporting RFS-FRFUEL arrives at the United States 
port of entry to:
    (i) The Administrator, containing the information determined under 
paragraph (k)(3) of this section; and
    (ii) The foreign refiner, containing the information determined 
under paragraph (k)(3)(i) of this section, and including identification 
of the port at which the product was off loaded.
    (5) Any United States importer shall meet all other requirements of 
this subpart for any imported transportation fuel that is not classified 
as RFS-FRFUEL under paragraph (k)(2) of this section.
    (l) Truck imports of RFS-FRFUEL produced at a foreign refinery. (1) 
Any refiner whose RFS-FRFUEL is transported into the United States by 
truck may petition EPA to use alternative procedures to meet all the 
following requirements:
    (i) Certification under paragraph (c)(2) of this section.
    (ii) Load port and port of entry testing requirements under 
paragraphs (d) and (e) of this section.
    (iii) Importer testing requirements under paragraph (k)(3) of this 
section.
    (2) These alternative procedures must ensure RFS-FRFUEL remains 
segregated from Non-RFS-FRFUEL until it is imported into the United 
States. The petition will be evaluated based on whether it adequately 
addresses all the following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of RFS-FRFUEL from that 
refinery from all other transportation fuel.
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport RFS-FRFUEL that prohibit the commingling of RFS-FRFUEL with 
Non-RFS-FRFUEL or RFS-FRFUEL from other foreign refineries.
    (iii) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all RFS-FRFUEL 
remains segregated throughout the distribution system.
    (3) The petition described in this section must be submitted to EPA 
along with the application for a small refinery or small refiner 
exemption under this subpart.
    (m) Additional attest requirements for importers of RFS-FRFUEL. The 
following additional procedures shall be carried out by any importer of 
RFS-FRFUEL as part of the attest engagement required for importers under 
this subpart M.

[[Page 600]]

    (1) Obtain listings of all tenders of RFS-FRFUEL. Agree the total 
volume of tenders from the listings to the transportation fuel inventory 
reconciliation analysis required in Sec.  80.133(b), and to the volumes 
determined by the third party under paragraph (d) of this section.
    (2) For each tender under paragraph (m)(1) of this section, where 
the transportation fuel is loaded onto a marine vessel, report as a 
finding the name and country of registration of each vessel, and the 
volumes of RFS-FRFUEL loaded onto each vessel.
    (3) Select a sample from the list of vessels identified per 
paragraph (m)(2) of this section used to transport RFS-FRFUEL, in 
accordance with the guidelines in Sec.  80.127, and for each vessel 
selected perform all the following:
    (i) Obtain the report of the independent third party, under 
paragraph (d) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification and transportation fuel volume.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry volume results differ by more than the amount allowed 
in paragraph (e)(2) of this section, and determine whether all of the 
requirements of paragraph (e)(2) of this section have been met.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the RFS-FRFUEL from the refinery 
to the load port, under paragraph (d) of this section. Obtain tank 
activity records for any storage tank where the RFS-FRFUEL is stored, 
and pipeline activity records for any pipeline used to transport the 
RFS-FRFUEL prior to being loaded onto the vessel. Use these records to 
determine whether the RFS-FRFUEL was produced at the refinery that is 
the subject of the attest engagement, and whether the RFS-FRFUEL was 
mixed with any Non-RFS-FRFUEL or any RFS-FRFUEL produced at a different 
refinery.
    (4) Select a sample from the list of vessels identified per 
paragraph (m)(2) of this section used to transport RFS-FRFUEL, in 
accordance with the guidelines in Sec.  80.127, and for each vessel 
selected perform all of the following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (5) Obtain separate listings of all tenders of RFS-FRFUEL, and 
perform all the following:
    (i) Agree the volume of tenders from the listings to the 
transportation fuel inventory reconciliation analysis in Sec.  
80.133(b).
    (ii) Obtain a separate listing of the tenders under this paragraph 
(m)(5) where the transportation fuel is loaded onto a marine vessel. 
Select a sample from this listing in accordance with the guidelines in 
Sec.  80.127, and obtain a commercial document of general circulation 
that lists vessel arrivals and departures, and that includes the port 
and date of departure and the ports and dates where the transportation 
fuel was off loaded for the selected vessels. Determine and report as a 
finding the country where the transportation fuel was off loaded for 
each vessel selected.
    (6) In order to complete the requirements of this paragraph (m), an 
auditor shall do all the following:
    (i) Be independent of the foreign refiner or importer.
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.127, 80.130, 80.1464, and this 
paragraph (m).
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.127, 80.130, 80.1464, and this paragraph (m).
    (n) Withdrawal or suspension of foreign small refiner or foreign 
small refinery status. EPA may withdraw or suspend a

[[Page 601]]

foreign refiner's small refinery or small refiner exemption where:
    (1) A foreign refiner fails to meet any requirement of this section;
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (f)(1) of this section;
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart; or
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(h) of this section.
    (o) Additional requirements for applications, reports and 
certificates. Any application for a small refinery or small refiner 
exemption, alternative procedures under paragraph (l) of this section, 
any report, certification, or other submission required under this 
section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Signed by the president or owner of the foreign refiner company, 
or by that person's immediate designee, and shall contain the following 
declaration: ``I hereby certify: (1) That I have actual authority to 
sign on behalf of and to bind [insert name of foreign refiner] with 
regard to all statements contained herein; (2) that I am aware that the 
information contained herein is being Certified, or submitted to the 
United States Environmental Protection Agency, under the requirements of 
40 CFR part 80, subpart M, and that the information is material for 
determining compliance under these regulations; and (3) that I have read 
and understand the information being Certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof. I affirm that I have read and understand the 
provisions of 40 CFR part 80, subpart M, including 40 CFR 80.1465 apply 
to [INSERT NAME OF FOREIGN REFINER]. Pursuant to Clean Air Act section 
113(c) and 18 U.S.C. 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000 U.S., and/or imprisonment for up to five years.''

[75 FR 14863, Mar. 26, 2010, as amended at 75 FR 26048, May 10, 2010; 77 
FR 1357, Jan. 9, 2012]



Sec.  80.1466  What are the additional requirements under this subpart
for foreign renewable fuel producers and importers of renewable fuels?

    (a) Applicability. This section only applies to foreign renewable 
fuel producers that are located outside the United States, the 
Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, 
and the Commonwealth of the Northern Mariana Islands (collectively 
referred to in this section as ``the United States'').
    (b) General requirements. A registered foreign renewable fuel 
producer under this section must meet all requirements that apply to 
renewable fuel producers under this subpart.
    (c) Designation, RIN-generating foreign producer certification, and 
product transfer documents. (1) Any registered foreign renewable fuel 
producer must designate each batch of such renewable fuel as ``RFS-
FRRF'' at the time the renewable fuel is produced.
    (2) On each occasion when RFS-FRRF is transferred for transport to a 
vessel or loaded onto a vessel or other transportation mode for 
transport to the United States, the RIN-generating foreign producer 
shall prepare a certification for each batch of RFS-FRRF; the 
certification shall include the report of the independent third party 
under paragraph (d) of this section, and all the following additional 
information:
    (i) The name and EPA registration number of the company that 
produced the RFS-FRRF.
    (ii) The identification of the renewable fuel as RFS-FRRF.
    (iii) The identification of the renewable fuel by type, D code, and 
number of RINs generated.
    (iv) The volume of RFS-FRRF, standardized per Sec.  80.1426(f)(8), 
being transported, in gallons.
    (3) On each occasion when any person transfers custody or title to 
any RFS-FRRF prior to its being imported into the United States, it must 
include all

[[Page 602]]

the following information as part of the product transfer document 
information:
    (i) Designation of the renewable fuel as RFS-FRRF.
    (ii) The certification required under paragraph (c)(2) of this 
section.
    (d) Load port independent testing and producer identification. (1) 
On each occasion that RFS-FRRF is loaded onto a vessel for transport to 
the United States the RIN-generating foreign producer shall have an 
independent third party do all the following:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms.
    (ii) Determine the volume of RFS-FRRF, standardized per Sec.  
80.1426(f)(8), loaded onto the vessel (exclusive of any tank bottoms 
before loading).
    (iii) Obtain the EPA-assigned registration number of the foreign 
renewable fuel producer.
    (iv) Determine the name and country of registration of the vessel 
used to transport the RFS-FRRF to the United States.
    (v) Determine the date and time the vessel departs the port serving 
the RIN-generating foreign producer.
    (vi) Review original documents that reflect movement and storage of 
the RFS-FRRF from the RIN-generating foreign producer to the load port, 
and from this review determine all the following:
    (A) The facility at which the RFS-FRRF was produced.
    (B) That the RFS-FRRF remained segregated from Non-RFS-FRRF and 
other RFS-FRRF produced by a different foreign producer.
    (2) The independent third party shall submit a report to the 
following:
    (i) The RIN-generating foreign producer, containing the information 
required under paragraph (d)(1) of this section, to accompany the 
product transfer documents for the vessel.
    (ii) The Administrator, containing the information required under 
paragraph (d)(1) of this section, within thirty days following the date 
of the independent third party's inspection. This report shall include a 
description of the method used to determine the identity of the foreign 
producer facility at which the renewable fuel was produced, assurance 
that the renewable fuel remained segregated as specified in paragraph 
(j)(1) of this section, and a description of the renewable fuel's 
movement and storage between production at the source facility and 
vessel loading.
    (3) The independent third party must:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (d);
    (ii) Be independent under the criteria specified in Sec.  
80.65(f)(2)(iii); and
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(d).
    (e) Comparison of load port and port of entry testing. (1)(i) Any 
RIN-generating foreign producer and any United States importer of RFS-
FRRF shall compare the results from the load port testing under 
paragraph (d) of this section, with the port of entry testing as 
reported under paragraph (k) of this section, for the volume of 
renewable fuel, standardized per Sec.  80.1426(f)(8), except as 
specified in paragraph (e)(1)(ii) of this section.
    (ii) Where a vessel transporting RFS-FRRF offloads the renewable 
fuel at more than one United States port of entry, the requirements of 
paragraph (e)(1)(i) of this section do not apply at subsequent ports of 
entry if the United States importer obtains a certification from the 
vessel owner that the requirements of paragraph (e)(1)(i) of this 
section were met and that the vessel has not loaded any renewable fuel 
between the first United States port of entry and the subsequent ports 
of entry.
    (2)(i) If the temperature-corrected volumes, after accounting for 
tank bottoms, determined at the port of entry and at the load port 
differ by more than one percent, the number of RINs associated with the 
renewable fuel shall be calculated based on the lesser of the two 
volumes in paragraph (e)(1)(i) of this section.
    (ii) Where the port of entry volume is the lesser of the two volumes 
in paragraph (e)(1)(i) of this section, the importer shall calculate the 
difference between the number of RINs originally

[[Page 603]]

assigned by the RIN-generating foreign producer and the number of RINs 
calculated under Sec.  80.1426 for the volume of renewable fuel as 
measured at the port of entry, and acquire and retire that amount of 
RINs in accordance with paragraph (k)(3) of this section.
    (f) Foreign producer commitments. Any foreign renewable fuel 
producer shall commit to and comply with the following provisions as a 
condition to being registered as a foreign renewable fuel producer under 
this subpart:
    (1) Any EPA inspector or auditor must be given full, complete, and 
immediate access to conduct inspections and audits of the foreign 
renewable fuel producer facility.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where:
    (A) Renewable fuel is produced;
    (B) Documents related to renewable fuel producer operations are 
kept; and
    (C) Renewable fuel is stored or transported between the foreign 
renewable fuel producer and the United States, including storage tanks, 
vessels and pipelines.
    (iii) EPA inspectors and auditors may be EPA employees or 
contractors to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits may include review and copying of any 
documents related to the following:
    (A) The volume of renewable fuel.
    (B) The proper classification of renewable fuel as being RFS-FRRF.
    (C) Transfers of title or custody to renewable fuel.
    (D) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section, 
including work papers.
    (vi) Inspections and audits by EPA may include interviewing 
employees.
    (vii) Any employee of the foreign renewable fuel producer must be 
made available for interview by the EPA inspector or auditor, on 
request, within a reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign renewable fuel producer or any employee of the foreign 
renewable fuel producer for any action by EPA or otherwise by the United 
States related to the requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign renewable fuel 
producer or any employee of the foreign renewable fuel producer related 
to the provisions of this section.
    (5) Applying to be an approved foreign renewable fuel producer under 
this section, or producing or exporting renewable fuel under such 
approval, and all other actions to comply with the requirements of this 
subpart relating to such approval constitute actions or activities 
covered by and within the meaning of the provisions of 28 U.S.C. 
1605(a)(2), but solely with respect to actions instituted against the 
foreign renewable fuel producer, its agents and employees in any court 
or other tribunal in the United States for conduct that violates the 
requirements applicable to the foreign renewable fuel producer under 
this subpart, including conduct that violates the False Statements 
Accountability Act of 1996 (18 U.S.C. 1001) and section 113(c)(2) of the 
Clean Air Act (42 U.S.C. 7413).
    (6) The foreign renewable fuel producer, or its agents or employees, 
will not seek to detain or to impose civil or criminal remedies against 
EPA inspectors or auditors for actions performed within the scope of EPA 
employment

[[Page 604]]

or contract related to the provisions of this section.
    (7) The commitment required by this paragraph shall be signed by the 
owner or president of the foreign renewable fuel producer company.
    (8) In any case where renewable fuel produced at a foreign renewable 
fuel production facility is stored or transported by another company 
between the production facility and the vessel that transports the 
renewable fuel to the United States, the foreign renewable fuel producer 
shall obtain from each such other company a commitment that meets the 
requirements specified in paragraphs (f)(1) through (7) of this section, 
and these commitments shall be included in the foreign renewable fuel 
producer's application to be an approved foreign renewable fuel producer 
under this subpart.
    (g) Sovereign immunity. By submitting an application to be an 
approved foreign renewable fuel producer under this subpart, or by 
producing and exporting renewable fuel to the United States under such 
approval, the foreign renewable fuel producer, and its agents and 
employees, without exception, become subject to the full operation of 
the administrative and judicial enforcement powers and provisions of the 
United States without limitation based on sovereign immunity, with 
respect to actions instituted against the foreign renewable fuel 
producer, its agents and employees in any court or other tribunal in the 
United States for conduct that violates the requirements applicable to 
the foreign renewable fuel producer under this subpart, including 
conduct that violates the False Statements Accountability Act of 1996 
(18 U.S.C. 1001) and section 113(c)(2) of the Clean Air Act (42 U.S.C. 
7413).
    (h) Bond posting. Any RIN-generating foreign producer shall meet the 
following requirements as a condition to approval as a RIN-generating 
foreign producer under this subpart:
    (1) The RIN-generating foreign producer shall post a bond of the 
amount calculated using the following equation

Bond = G * $0.01

Where

Bond = amount of the bond in U.S. dollars.
G = the greater of: the largest volume of renewable fuel produced by the 
          RIN-generating foreign producer and exported to the United 
          States, in gallons, during a single calendar year among the 
          five preceding calendar years, or the largest volume of 
          renewable fuel that the Rin-generating foreign producers 
          expects to export to the United States during any calendar 
          year identified in the Production Outlook Report required by 
          Sec.  80.1449. If the volume of renewable fuel exported to the 
          United States increases above the largest volume identified in 
          the Production Outlook Report during any calendar year, the 
          RIN-generating foreign producer shall increase the bond to 
          cover the shortfall within 90 days.

    (2) Bonds shall be posted by any of the following methods:
    (i) Paying the amount of the bond to the Treasurer of the United 
States.
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign producer, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement.
    (3) Bonds posted under this paragraph (h) shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413);
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds''; and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest annual reporting period 
that the RIN-generating foreign producer produces renewable fuel 
pursuant to the requirements of this subpart.
    (4) On any occasion a RIN-generating foreign producer bond is used 
to satisfy any judgment, the RIN-generating foreign producer shall 
increase the bond to cover the amount used within 90 days of the date 
the bond is used.

[[Page 605]]

    (i) English language reports. Any document submitted to EPA by a 
foreign renewable fuel producer shall be in English, or shall include an 
English language translation.
    (j) Prohibitions. (1) No person may combine RFS-FRRF with any Non-
RFS-FRRF, and no person may combine RFS-FRRF with any RFS-FRRF produced 
at a different production facility, until the importer has met all the 
requirements of paragraph (k) of this section.
    (2) No foreign renewable fuel producer or other person may cause 
another person to commit an action prohibited in paragraph (j)(1) of 
this section, or that otherwise violates the requirements of this 
section.
    (3) No foreign renewable fuel producer or importer may generate RINs 
for the same volume of renewable fuel.
    (4) A foreign renewable fuel producer is prohibited from generating 
RINs in excess of the number for which the bond requirements of this 
section have been satisfied.
    (k) Requirements for United States importers of RFS-FRRF. Any United 
States importers of RFS-FRRF shall meet all the following requirements:
    (1) Renewable fuel shall be classified as RFS-FRRF according to the 
designation by the RIN-generating foreign producer if this designation 
is supported by product transfer documents prepared by the foreign 
producer as required in paragraph (c) of this section.
    (2) For each renewable fuel batch classified as RFS-FRRF, any United 
States importer shall have an independent third party do all the 
following:
    (i) Determine the volume of renewable fuel, standardized per Sec.  
80.1426(f)(8), in the vessel.
    (ii) Use the RIN-generating foreign producer's RFS-FRRF 
certification to determine the name and EPA-assigned registration number 
of the RIN-generating foreign producer that produced the RFS-FRRF.
    (iii) Determine the name and country of registration of the vessel 
used to transport the RFS-FRRF to the United States.
    (iv) Determine the date and time the vessel arrives at the United 
States port of entry.
    (3) Where the importer is required to retire RINs under paragraph 
(e)(2) of this section, the importer must report the retired RINs in the 
applicable reports under Sec.  80.1451.
    (4) Any importer shall submit reports within 30 days following the 
date any vessel transporting RFS-FRRF arrives at the United States port 
of entry to all the following:
    (i) The Administrator, containing the information determined under 
paragraph (k)(2) of this section.
    (ii) The RIN-generating foreign producer, containing the information 
determined under paragraph (k)(2)(i) of this section, and including 
identification of the port at which the product was offloaded, and any 
RINs retired under paragraph (e)(2) of this section.
    (5) Any United States importer shall meet all other requirements of 
this subpart for any imported renewable fuel that is not classified as 
RFS-FRRF under paragraph (k)(1) of this section.
    (l) Truck imports of RFS-FRRF produced by a RIN-generating foreign 
producer. (1) Any RIN-generating foreign producer whose RFS-FRRF is 
transported into the United States by truck may petition EPA to use 
alternative procedures to meet all the following requirements:
    (i) Certification under paragraph (c)(2) of this section.
    (ii) Load port and port of entry testing under paragraphs (d) and 
(e) of this section.
    (iii) Importer testing under paragraph (k)(2) of this section.
    (2) These alternative procedures must ensure RFS-FRRF remains 
segregated from Non-RFS-FRRF until it is imported into the United 
States. The petition will be evaluated based on whether it adequately 
addresses all of the following:
    (i) Contracts with any facilities that receive and/or transport RFS-
FRRF that prohibit the commingling of RFS-FRRF with Non-RFS-FRRF or RFS-
FRRF from other foreign renewable fuel producers.
    (ii) Attest procedures to be conducted annually by an independent 
third party that review loading records and import

[[Page 606]]

documents based on volume reconciliation to confirm that all RFS-FRRF 
remains segregated.
    (3) The petition described in this section must be submitted to EPA 
along with the application for approval as a RIN-generating foreign 
producer under this subpart.
    (m) Additional attest requirements for producers of RFS-FRRF. The 
following additional procedures shall be carried out by any producer of 
RFS-FRRF as part of the attest engagement required for renewable fuel 
producers under this subpart M.
    (1) Obtain listings of all tenders of RFS-FRRF. Agree the total 
volume of tenders from the listings to the volumes determined by the 
third party under paragraph (d) of this section.
    (2) For each tender under paragraph (m)(1) of this section, where 
the renewable fuel is loaded onto a marine vessel, report as a finding 
the name and country of registration of each vessel, and the volumes of 
RFS-FRRF loaded onto each vessel.
    (3) Select a sample from the list of vessels identified in paragraph 
(m)(2) of this section used to transport RFS-FRRF, in accordance with 
the guidelines in Sec.  80.127, and for each vessel selected perform all 
the following:
    (i) Obtain the report of the independent third party, under 
paragraph (d) of this section, and of the United States importer under 
paragraph (k) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification and renewable fuel volume.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry volume results differ by more than the amount allowed 
in paragraph (e) of this section, and determine whether the importer 
retired the appropriate amount of RINs as required under paragraph 
(e)(2) of this section, and submitted the applicable reports under Sec.  
80.1451 in accordance with paragraph (k)(4) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the RFS-FRRF from the RIN-
generating foreign producer's facility to the load port, under paragraph 
(d) of this section. Obtain tank activity records for any storage tank 
where the RFS-FRRF is stored, and activity records for any mode of 
transportation used to transport the RFS-FRRF prior to being loaded onto 
the vessel. Use these records to determine whether the RFS-FRRF was 
produced at the RIN-generating foreign producer's facility that is the 
subject of the attest engagement, and whether the RFS-FRRF was mixed 
with any Non-RFS-FRRF or any RFS-FRRF produced at a different facility.
    (4) Select a sample from the list of vessels identified in paragraph 
(m)(2) of this section used to transport RFS-FRRF, in accordance with 
the guidelines in Sec.  80.127, and for each vessel selected perform the 
following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and United States importer reports to 
the information contained in the commercial document.
    (5) Obtain a separate listing of the tenders under this paragraph 
(m)(5) where the RFS-FRRF is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the renewable fuel was 
offloaded for the selected vessels. Determine and report as a finding 
the country where the renewable fuel was offloaded for each vessel 
selected.
    (6) In order to complete the requirements of this paragraph (m) an 
auditor shall:
    (i) Be independent of the RIN-generating foreign producer;
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in Sec. Sec.  80.125 through 80.127, 80.130, 80.1464, and this 
paragraph (m); and

[[Page 607]]

    (iii) Sign a commitment that contains the provisions specified in 
paragraph (f) of this section with regard to activities and documents 
relevant to compliance with the requirements of Sec. Sec.  80.125 
through 80.127, 80.130, 80.1464, and this paragraph (m).
    (n) Withdrawal or suspension of foreign renewable fuel producer 
approval. EPA may withdraw or suspend a foreign renewable fuel 
producer's approval where any of the following occur:
    (1) A foreign renewable fuel producer fails to meet any requirement 
of this section.
    (2) A foreign government fails to allow EPA inspections or audits as 
provided in paragraph (f)(1) of this section.
    (3) A foreign renewable fuel producer asserts a claim of, or a right 
to claim, sovereign immunity in an action to enforce the requirements in 
this subpart.
    (4) A foreign renewable fuel producer fails to pay a civil or 
criminal penalty that is not satisfied using the foreign renewable fuel 
producer bond specified in paragraph (h) of this section.
    (o) Additional requirements for applications, reports, and 
certificates. Any application for approval as a foreign renewable fuel 
producer, alternative procedures under paragraph (l) of this section, 
any report, certification, or other submission required under this 
section shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Signed by the president or owner of the foreign renewable fuel 
producer company, or by that person's immediate designee, and shall 
contain the following declarations:
    (i) ``I hereby certify:
    (A) That I have actual authority to sign on behalf of and to bind 
[NAME OF FOREIGN RENEWABLE FUEL PRODUCER] with regard to all statements 
contained herein;
    (B) That I am aware that the information contained herein is being 
Certified, or submitted to the United States Environmental Protection 
Agency, under the requirements of 40 CFR part 80, subpart M, and that 
the information is material for determining compliance under these 
regulations; and
    (C) That I have read and understand the information being Certified 
or submitted, and this information is true, complete and correct to the 
best of my knowledge and belief after I have taken reasonable and 
appropriate steps to verify the accuracy thereof.''
    (ii) ``I affirm that I have read and understand the provisions of 40 
CFR part 80, subpart M, including 40 CFR 80.1465 apply to [NAME OF 
FOREIGN RENEWABLE FUEL PRODUCER]. Pursuant to Clean Air Act section 
113(c) and 18 U.S.C. 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000 U.S., and/or imprisonment for up to five years.''.
    (p) Requirements for non-RIN-generating foreign producer. Any non-
RIN-generating foreign producer must comply with the requirements of 
this section beginning on the effective date of the final rule or prior 
to EPA acceptance, whichever is later.

[75 FR 14863, Mar. 26, 2010, as amended at 77 FR 1357, Jan. 9, 2012; 85 
FR 7081, Feb. 6, 2020]



Sec.  80.1467  What are the additional requirements under this
subpart for a foreign RIN owner?

    (a) Foreign RIN owner. For purposes of this subpart, a foreign RIN 
owner is a person located outside the United States, the Commonwealth of 
Puerto Rico, the Virgin Islands, Guam, American Samoa, and the 
Commonwealth of the Northern Mariana Islands (collectively referred to 
in this section as ``the United States'') that has been approved by EPA 
to own RINs.
    (b) General requirement. An approved foreign RIN owner must meet all 
requirements that apply to parties who own RINs under this subpart.
    (c) Foreign RIN owner commitments. Any person shall commit to and 
comply with the provisions contained in this paragraph (c) as a 
condition to being approved as a foreign RIN owner under this subpart.
    (1) Any United States Environmental Protection Agency inspector or 
auditor must be given full, complete, and immediate access to conduct 
inspections and audits of the foreign RIN owner's place of business.

[[Page 608]]

    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where documents related 
to RINs the foreign RIN owner has obtained, sold, transferred or held 
are kept.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits must be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to the following:
    (A) Transfers of title to RINs.
    (B) Work performed and reports prepared by independent auditors 
under the requirements of this section, including work papers.
    (vi) Inspections and audits by EPA may include interviewing 
employees.
    (vii) Any employee of the foreign RIN owner must be made available 
for interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service of process located in the District of 
Columbia shall be named, and service on this agent constitutes service 
on the foreign RIN owner or any employee of the foreign RIN owner for 
any action by EPA or otherwise by the United States related to the 
requirements of this subpart.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) United States substantive and procedural laws shall apply to any 
civil or criminal enforcement action against the foreign RIN owner or 
any employee of the foreign RIN owner related to the provisions of this 
section.
    (5) Submitting an application to be a foreign RIN owner, and all 
other actions to comply with the requirements of this subpart constitute 
actions or activities covered by and within the meaning of the 
provisions of 28 U.S.C. 1605(a)(2), but solely with respect to actions 
instituted against the foreign RIN owner, its agents and employees in 
any court or other tribunal in the United States for conduct that 
violates the requirements applicable to the foreign RIN owner under this 
subpart, including conduct that violates the False Statements 
Accountability Act of 1996 (18 U.S.C. 1001) and section 113(c)(2) of the 
Clean Air Act (42 U.S.C. 7413).
    (6) The foreign RIN owner, or its agents or employees, will not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (c) shall be signed by 
the owner or president of the foreign RIN owner business.
    (d) Sovereign immunity. By submitting an application to be a foreign 
RIN owner under this subpart, the foreign entity, and its agents and 
employees, without exception, become subject to the full operation of 
the administrative and judicial enforcement powers and provisions of the 
United States without limitation based on sovereign immunity, with 
respect to actions instituted against the foreign RIN owner, its agents 
and employees in any court or other tribunal in the United States for 
conduct that violates the requirements applicable to the foreign RIN 
owner under this subpart, including conduct that violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (e) Bond posting. Any foreign entity shall meet the requirements of 
this paragraph (e) as a condition to approval as a foreign RIN owner 
under this subpart.
    (1) The foreign entity shall post a bond of the amount calculated 
using the following equation:


Bond = G * $ 0.01


[[Page 609]]


Where:

Bond = Amount of the bond in U.S. dollars.
G = The total of the number of gallon-RINs the foreign entity expects to 
          obtain, sell, transfer or hold during the first calendar year 
          that the foreign entity is a RIN owner, plus the number of 
          gallon-RINs the foreign entity expects to obtain, sell, 
          transfer or hold during the next four calendar years. After 
          the first calendar year, the bond amount shall be based on the 
          actual number of gallon-RINs obtained, sold, or transferred so 
          far during the current calendar year plus the number of 
          gallon-RINs obtained, sold, or transferred during the four 
          calendar years immediately preceding the current calendar 
          year. For any year for which there were fewer than four 
          preceding years in which the foreign entity obtained, sold, or 
          transferred RINs, the bond shall be based on the total of the 
          number of gallon-RINs sold or transferred so far during the 
          current calendar year plus the number of gallon-RINs obtained, 
          sold, or transferred during any immediately preceding calendar 
          years in which the foreign entity owned RINs, plus the number 
          of gallon-RINs the foreign entity expects to obtain, sell or 
          transfer during subsequent calendar years, the total number of 
          years not to exceed four calendar years in addition to the 
          current calendar year.

    (2) Bonds shall be posted by any of the following methods:
    (i) Paying the amount of the bond to the Treasurer of the United 
States.
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy United States administrative or 
judicial judgments against the foreign RIN owner, provided EPA agrees in 
advance as to the third party and the nature of the surety agreement.
    (3) All the following shall apply to bonds posted under this 
paragraph (e); bonds shall:
    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart, including where such conduct violates the False 
Statements Accountability Act of 1996 (18 U.S.C. 1001) and section 
113(c)(2) of the Clean Air Act (42 U.S.C. 7413).
    (ii) Be provided by a corporate surety that is listed in the United 
States Department of Treasury Circular 570 ``Companies Holding 
Certificates of Authority as Acceptable Sureties on Federal Bonds''.
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest reporting period in 
which the foreign RIN owner obtains, sells, transfers, or holds RINs.
    (4) On any occasion a foreign RIN owner bond is used to satisfy any 
judgment, the foreign RIN owner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (f) English language reports. Any document submitted to EPA by a 
foreign RIN owner shall be in English, or shall include an English 
language translation.
    (g) Prohibitions. (1) A foreign RIN owner is prohibited from 
obtaining, selling, transferring, or holding any RIN that is in excess 
of the number for which the bond requirements of this section have been 
satisfied.
    (2) Any RIN that is obtained, sold, transferred, or held that is in 
excess of the number for which the bond requirements of this section 
have been satisfied is an invalid RIN under Sec.  80.1431.
    (3) Any RIN that is obtained from a person located outside the 
United States that is not an approved foreign RIN owner under this 
section is an invalid RIN under Sec.  80.1431.
    (4) No foreign RIN owner or other person may cause another person to 
commit an action prohibited in this paragraph (g), or that otherwise 
violates the requirements of this section.
    (h) Additional attest requirements for foreign RIN owners. The 
following additional requirements apply to any foreign RIN owner as part 
of the attest engagement required for RIN owners under this subpart M.
    (1) The attest auditor must be independent of the foreign RIN owner.
    (2) The attest auditor must be licensed as a Certified Public 
Accountant in the United States and a citizen of the United States, or 
be approved in advance by EPA based on a demonstration of ability to 
perform the procedures required in Sec. Sec.  80.125 through 80.127, 
80.130, and 80.1464.
    (3) The attest auditor must sign a commitment that contains the 
provisions specified in paragraph (c) of this

[[Page 610]]

section with regard to activities and documents relevant to compliance 
with the requirements of Sec. Sec.  80.125 through 80.127, 80.130, and 
80.1464.
    (i) Withdrawal or suspension of foreign RIN owner status. EPA may 
withdraw or suspend its approval of a foreign RIN owner where any of the 
following occur:
    (1) A foreign RIN owner fails to meet any requirement of this 
section, including, but not limited to, the bond requirements.
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (c)(1) of this section.
    (3) A foreign RIN owner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart.
    (4) A foreign RIN owner fails to pay a civil or criminal penalty 
that is not satisfied using the foreign RIN owner bond specified in 
paragraph (e) of this section.
    (j) Additional requirements for applications, reports and 
certificates. Any application for approval as a foreign RIN owner, any 
report, certification, or other submission required under this section 
shall be:
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator.
    (2) Signed by the president or owner of the foreign RIN owner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [INSERT NAME OF FOREIGN RIN OWNER] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being Certified, or submitted to the United States 
Environmental Protection Agency, under the requirements of 40 CFR part 
80, subpart M, and that the information is material for determining 
compliance under these regulations; and (3) that I have read and 
understand the information being Certified or submitted, and this 
information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof. I affirm that I have read and understand the 
provisions of 40 CFR part 80, subpart M, including 40 CFR 80.1467 apply 
to [INSERT NAME OF FOREIGN RIN OWNER]. Pursuant to Clean Air Act section 
113(c) and 18 U.S.C. 1001, the penalty for furnishing false, incomplete 
or misleading information in this certification or submission is a fine 
of up to $10,000 U.S., and/or imprisonment for up to five years.

[75 FR 14863, Mar. 26, 2010, as amended at 77 FR 1358, Jan. 9, 2012]



Sec.  80.1468  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 (EPA) 
must publish notice of change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030 or go to: http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html. This material is also 
available for inspection at the EPA Docket Center, Docket No. EPA-HQ-
OAR-2005-0161, EPA/DC, EPA West, Room 3334, 1301 Constitution Ave., NW., 
Washington DC. The telephone number for the Air Docket is (202) 566-
1742. Also, this material is available from the source listed in 
paragraph (b) of this section.
    (b) American Society for Testing and Materials, 100 Barr Harbor 
Drive, P.O. Box C-700, West Conshohocken, Pennsylvania 19428 (1-800-262-
1373, www.astm.org).
    (1) ASTM D 1250-08 (``ASTM D 1250''), Standard Guide for Use of the 
Petroleum Measurement Tables, Approved 2008; IBR approved for Sec.  
80.1426(f)(8)(ii)(B).
    (2) ASTM D 4442-07 (``ASTM D 4442''), Standard Test Methods for 
Direct Moisture Content Measurement of Wood and Wood-Base Materials, 
Approved 2007; IBR approved for Sec.  80.1426(f)(7)(v)(B).
    (3) ASTM D 4444-08 (``ASTM D 4444''), Standard Test Method for 
Laboratory Standardization and Calibration of Hand-Held Moisture Meters, 
Approved 2008; IBR approved for Sec.  80.1426(f)(7)(v)(B).

[[Page 611]]

    (4) ASTM D 6751-09 (``ASTM D 6751''), Standard Specification for 
Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels, Approved 
2009; IBR approved for Sec.  80.1401.
    (5) ASTM D 6866-08 (``ASTM D 6866''), Standard Test Methods for 
Determining the Biobased Content of Solid, Liquid, and Gaseous Samples 
Using Radiocarbon Analysis, Approved 2008; IBR approved for Sec. Sec.  
80.1426(f)(9)(ii) and 80.1430(e)(2).
    (6) ASTM E 711-87 (``ASTM E 711''), Standard Test Method for Gross 
Calorific Value of Refuse-Derived Fuel by the Bomb Calorimeter, 
Reapproved 2004; IBR approved for Sec.  80.1426(f)(7)(v)(A).
    (7) ASTM E 870-82 (``ASTM E 870''), Standard Test Methods for 
Analysis of Wood Fuels, Reapproved 2006); IBR approved for Sec.  
80.1426(f)(7)(v)(A).
    (8) ASTM D 975-13a, Standard Specification for Diesel Fuel Oils, 
Approved December 1, 2013; IBR approved for Sec. Sec.  80.1401, 
80.1426(f), 80.1450(b), 80.1451(b), and 80.1454(l).

[75 FR 14863, Mar. 26, 2010, as amended at 79 FR 42119, July 18, 2014]



Sec.  80.1469  Requirements for Quality Assurance Plans.

    This section specifies the requirements for Quality Assurance Plans 
(QAPs).
    (a) Option A QAP Requirements, for Option A QAPs that were performed 
during the interim period.
    (1) Feedstock-related components. (i) Components requiring ongoing 
monitoring:
    (A) Feedstocks are renewable biomass as defined in Sec.  80.1401.
    (B) Feedstocks are being separated according to a separation plan, 
if applicable under Sec.  80.1426(f)(5)(ii).
    (C) Crop and crop residue feedstocks meet land use restrictions, or 
alternatively the aggregate compliance provisions of Sec.  80.1454(g).
    (D) If applicable, verify that feedstocks with additional 
recordkeeping requirements meet requirements of Sec.  80.1454(d).
    (E) Feedstocks are valid for the D code being used, and are 
consistent with information recorded in EMTS.
    (F) Feedstock is consistent with production process and D code being 
used as permitted under Table 1 to Sec.  80.1426 or a petition approved 
through Sec.  80.1416.
    (G) Feedstock is not renewable fuel for which RINs were previously 
generated.
    (ii) Components requiring quarterly monitoring:
    (A) Separated food waste or separated yard waste plan is accepted 
and up to date, if applicable under Sec.  80.1426(f)(5)(ii).
    (B) Separated municipal solid waste plan is approved and up to date, 
if applicable under Sec.  80.1426(f)(5)(ii).
    (C) Contracts or agreements for feedstock acquisition are sufficient 
for facility production.
    (D) Feedstock processing and storage equipment are sufficient and 
are consistent with the most recent engineering review under Sec.  
80.1450(b)(2).
    (E) If applicable, accuracy of feedstock energy FE calculation 
factors related to feedstocks, including average moisture content m and 
feedstock energy content E.
    (2) Production process-related components. (i) Components requiring 
ongoing monitoring:
    (A) Production process is consistent with that reported in EMTS.
    (B) Production process is consistent with D code being used as 
permitted under Table 1 to Sec.  80.1426 or a petition approved through 
Sec.  80.1416.
    (C) Certificates of analysis verifying fuel type and quality, as 
applicable.
    (ii) Components requiring quarterly monitoring:
    (A) Mass and energy balances are appropriate for type and size of 
facility.
    (B) Workforce size is appropriate for type and size of facility, and 
sufficient workers are on site for facility operations.
    (C) If applicable, process-related factors used in feedstock energy 
FE calculation are accurate, in particular the converted fraction CF.
    (D) Verify existence of quality process controls designed to ensure 
that fuel continues to meet applicable property and quality 
specifications.
    (E) Volume production is consistent with that reported to the EPA 
and EIA, as well as other federal or state reporting.
    (F) Volume production is consistent with storage and distribution 
capacity.

[[Page 612]]

    (G) Volume production capacity is consistent with RFS registration.
    (3) RIN generation-related components. (i) Components requiring 
ongoing monitoring:
    (A) Standardization of volumes pursuant to Sec.  80.1426(f)(8) are 
accurate.
    (B) Renewable fuel type matches the D code being used.
    (C) RIN generation is consistent with wet gallons produced or 
imported.
    (D) Fuel shipments are consistent with production volumes.
    (E) If applicable, renewable content R is accurate pursuant to Sec.  
80.1426(f)(9).
    (F) Equivalence value EV is accurate and appropriate.
    (G) Renewable fuel was intended and sold for qualifying uses as 
transportation fuel, heating oil, or jet fuel.
    (H) Verify that appropriate RIN generation calculations are being 
followed under Sec.  80.1426(f)(3), (f)(4), or (f)(5), as applicable.
    (ii) Components requiring quarterly monitoring:
    (A) Registration, reporting and recordkeeping components.
    (B) [Reserved]
    (4) RIN separation-related components. (i) Components requiring 
ongoing monitoring:
    (A) If applicable, verify that RIN separation is appropriate under 
Sec.  80.1429(b)(4).
    (B) If applicable, verify that RINs were retired for any fuel that 
the producer produced and exported.
    (ii) Components requiring quarterly monitoring:
    (A) Verify that annual attestation report is accurate.
    (B) [Reserved]
    (b) Option B QAP Requirements, for Option B QAPs that were performed 
during the interim period. All components specified in this paragraph 
(b) require quarterly monitoring, except for paragraph (b)(4)(iii) of 
this section, which must be done annually.
    (1) Feedstock-related components. (i) Feedstocks are renewable 
biomass as defined in Sec.  80.1401.
    (ii) If applicable, separated food waste or separated yard waste 
plan under Sec.  80.1426(f)(5)(ii) is accepted and up to date.
    (iii) If applicable, separated municipal solid waste plan under 
Sec.  80.1426(f)(5)(ii) is approved and current.
    (iv) Feedstocks are being separated according to a separation plan, 
if applicable under Sec.  80.1426(f)(5)(ii).
    (v) Crop and crop residue feedstocks meet land use restrictions, or 
alternatively the aggregate compliance provisions of Sec.  80.1454(g).
    (vi) Feedstock is consistent with production process and D code 
being used as permitted under Table 1 to Sec.  80.1426 or a petition 
approved through Sec.  80.1416, and is consistent with information 
recorded in EMTS.
    (vii) Feedstock is not renewable fuel for which RINs were previously 
generated.
    (viii) If applicable, accuracy of feedstock energy FE calculation 
factors related to feedstocks, including average moisture content m and 
feedstock energy content E.
    (2) Production process-related components. (i) Production process is 
consistent with that reported in EMTS.
    (ii) Production process is consistent with D code being used as 
permitted under Table 1 to Sec.  80.1426 or a petition approved through 
Sec.  80.1416.
    (iii) Mass and energy balances are appropriate for type and size of 
facility.
    (iv) If applicable, process-related factors used in feedstock energy 
FE calculation are accurate, in particular the converted fraction CF.
    (3) RIN generation-related components. (i) Renewable fuel was 
intended and sold for qualifying uses as transportation fuel, heating 
oil, or jet fuel.
    (ii) Certificates of analysis verifying fuel type and quality, as 
applicable.
    (iii) Renewable fuel type matches the D code being used.
    (iv) If applicable, renewable content R is accurate pursuant to 
Sec.  80.1426(f)(9).
    (v) Equivalence value EV is accurate and appropriate.
    (vi) Volume production capacity is consistent with RFS registration.
    (vii) Verify that appropriate RIN generation calculations are being 
followed under Sec.  80.1426(f)(3), (f)(4), or (f)(5), as applicable.
    (4) RIN separation-related components. (i) If applicable, verify 
that RIN separation is appropriate under Sec.  80.1429(b)(4).

[[Page 613]]

    (ii) Verify that fuel that is exported was not used to generate 
RINs, or alternatively that were generated but retired.
    (iii) Verify that annual attestation report is accurate.
    (c) QAP Requirements. All components specified in this paragraph (c) 
require quarterly monitoring, except for paragraph (c)(4)(iii) of this 
section which must be done annually.
    (1) Feedstock-related components. (i) Feedstocks are renewable 
biomass as defined in Sec.  80.1401.
    (ii) If applicable, plans under Sec.  80.1426(f)(5)(ii) are accepted 
and up to date.
    (iii) If applicable, separated municipal solid waste plan under 
Sec.  80.1426(f)(5) is approved and current.
    (iv) Feedstocks are being separated according to a separation plan, 
if applicable under Sec.  80.1426(f)(5).
    (v) Crop and crop residue feedstocks meet land use restrictions, or 
alternatively the aggregate compliance provisions of Sec.  80.1454(g).
    (vi) Feedstock is consistent with production process and D code 
being used as permitted under Table 1 to Sec.  80.1426 or a petition 
approved through Sec.  80.1416, and is consistent with information 
recorded in EMTS.
    (vii) Feedstock is not renewable fuel for which RINs were previously 
generated.
    (viii) If applicable, accuracy of feedstock energy FE calculation 
factors related to feedstocks, including average moisture content m and 
feedstock energy content E.
    (2) Production process-related components. (i) Production process is 
consistent with that reported in EMTS.
    (ii) Mass and energy balances are appropriate for type and size of 
facility.
    (iii) If applicable, process-related factors used in feedstock 
energy FE calculation are accurate, in particular the converted fraction 
CF, pursuant to Sec.  80.1426(f)(3).
    (3) RIN generation-related components. (i) Renewable fuel was 
designated for qualifying uses as transportation fuel, heating oil, or 
jet fuel in the 48 contiguous states or Hawaii pursuant to Sec.  
80.1453.
    (ii) Certificates of analysis verifying fuel type and quality, as 
applicable.
    (iii) Renewable fuel type matches the D code being used.
    (iv) If applicable, renewable content R is accurate pursuant to 
Sec.  80.1426(f)(9).
    (v) Equivalence value EV is accurate and appropriate.
    (vi) Volume production capacity is consistent with RFS registration.
    (vii) Verify that appropriate RIN generation calculations are being 
followed under Sec.  80.1426(f)(3), (f)(4), or (f)(5), as applicable.
    (viii) RIN generation is consistent with wet gallons produced or 
imported.
    (4) RIN separation-related components. (i) If applicable, verify 
that RIN separation is appropriate under Sec.  80.1429(b)(4).
    (ii) Verify that fuel that is exported was not used to generate 
RINs, or alternatively that were generated but retired pursuant to Sec.  
80.1430.
    (iii) Verify that annual attestation report is accurate.
    (5) Representative sampling. Independent third-party auditors may 
use a representative sample of batches of renewable fuel in accordance 
with the procedures described in Sec.  80.127 for all components of this 
paragraph (c) except for paragraphs (c)(1)(ii), (c)(1)(iii), (c)(2)(ii), 
(c)(3)(vi), (c)(4)(ii), and (c)(4)(iii) of this section.
    (d) In addition to a general QAP encompassing elements common to all 
pathways, for each QAP there shall be at least one pathway-specific plan 
for a RIN-generating pathway as provided in Table 1 to Sec.  80.1426 or 
as approved by the Administrator pursuant to Sec.  80.1416, and shall 
contain elements specific to particular feedstocks, production 
processes, and fuel types as applicable.
    (e) Submission and approval of a QAP. (1) Each independent third-
party auditor shall annually submit a general and at least one pathway-
specific QAP to the EPA which demonstrates adherence to the requirements 
of paragraphs (a) and (d), (b) and (d), or (c) and (d) of this section, 
as applicable, and request approval on forms and using procedures 
specified by the Administrator.
    (2) No third-party independent auditor may present a QAP as approved 
by the EPA without having received written approval from the EPA.

[[Page 614]]

    (3) A QAP is approved on the date that the EPA notifies the third-
party independent auditor of such approval.
    (4) The EPA may revoke its approval of a QAP for cause, including, 
but not limited to, an EPA determination that the approved QAP has 
proven to be inadequate in practice.
    (5) The EPA may void ab initio its approval of a QAP upon the EPA's 
determination that the approval was based on false information, 
misleading information, or incomplete information, or if there was a 
failure to fulfill, or cause to be fulfilled, any of the requirements of 
the QAP.
    (f) Conditions for revisions of a QAP. (1) A new QAP shall be 
submitted to EPA according to paragraph (e) of this section and the 
third-party auditor shall update their registration according to Sec.  
80.1450(g)(9) whenever any of the following changes occur at a 
production facility audited by a third-party independent auditor and the 
auditor does not possess an appropriate pathway-specific QAP that 
encompasses the changes:
    (i) Change in feedstock.
    (ii) Change in type of fuel produced.
    (iii) Change in facility operations or equipment that may impact the 
capability of the QAP to verify that RINs are validly generated.
    (2) A QAP ceases to be valid as the basis for verifying RINs under a 
new pathway until a new pathway-specific QAP, submitted to the EPA under 
this paragraph (f), is approved pursuant to paragraph (e) of this 
section.

[79 FR 42119, July 18, 2014, as amended at 85 FR 7083, Feb. 6, 2020]



Sec.  80.1470  RIN replacement mechanisms for Option A independent
third party auditors.

    (a) Applicability. This section applies to independent third-party 
auditors using a QAP approved under Option A pursuant to Sec.  
80.1469(a) and (d) during the interim period.
    (b) Requirements. An independent third party auditor must establish 
or participate in the establishment of a RIN replacement mechanism. The 
RIN replacement mechanism must fulfill, at a minimum, all the following 
conditions:
    (1) The RIN replacement mechanism must be capable of fulfilling the 
independent third party auditor's RIN replacement responsibility, as 
described in Sec.  80.1474(b)(5)(i).
    (2) The independent third party auditor is responsible for 
calculating and maintaining the minimum coverage afforded by the RIN 
replacement mechanism at all times.
    (3) RINs held by the RIN replacement mechanism (if any) must be 
identified in a unique EMTS account designated for the exclusive use of 
the replacement mechanism.
    (4) Distribution and removal of RINs from the replacement mechanism 
may not be under the sole operational control of the third-party 
auditor.
    (5) An originally signed duplicate of the agreement or contract 
establishing the RIN replacement mechanism must be submitted to the EPA 
by the independent third party auditor in accordance with Sec.  
80.1450(g)(7).
    (6) Any substantive change to the agreement establishing the RIN 
replacement mechanism must be submitted to the EPA within 30 days of the 
change.
    (c) Cap on RIN replacement for independent third party auditors of 
A-RINs. (1) If required to replace invalid A-RINs pursuant to paragraph 
(b) of this section, the independent third party auditor shall be 
required to replace no more than the percentage specified in paragraph 
(c)(2) of this section of each D code of A-RINs verified by the auditor 
in the current calendar year and four previous calendar years.
    (2) The cap on RIN replacement for auditors of A-RINs shall be two 
percent for A-RINs generated in the interim period.
    (3) The auditor's potential replacement responsibility for a given 
RIN will expire at the end of the fourth calendar year after the 
calendar year in which the RIN was verified.
    (d) Applicability of the RIN replacement cap. The cap on RIN 
replacement does not apply when invalid verified RINs are a result of 
auditor error, omission, negligence, fraud, collusion with the renewable 
fuel producer, or a failure to implement the QAP properly or fully.

[79 FR 42121, July 18, 2014]

[[Page 615]]



Sec.  80.1471  Requirements for QAP auditors.

    (a) QAP audits conducted pursuant to Sec.  80.1472 must be conducted 
by an independent third-party auditor.
    (b) To be considered an independent third-party auditor under 
paragraph (a) of this section:
    (1) The independent third-party auditor and its contractors and 
subcontractors shall not be owned or operated by the renewable fuel 
producer or foreign ethanol producer, or any subsidiary or employee of 
the renewable fuel producer or foreign ethanol producer.
    (2) The independent third-party auditor and its contractors and 
subcontractors shall not be owned or operated by an obligated party or 
any subsidiary or employee of an obligated party as defined in Sec.  
80.1406.
    (3) The independent third-party auditor shall not own, buy, sell, or 
otherwise trade RINs unless required to maintain a financial assurance 
mechanism for a QAP implemented under QAP Option A pursuant to Sec.  
80.1469(a) during the interim period or to replace an invalid RIN 
pursuant to Sec.  80.1474.
    (4) The independent third-party auditor and its contractors and 
subcontractors shall be free from any interest or the appearance of any 
interest in the renewable fuel producer or foreign renewable fuel 
producer's business.
    (5) The renewable fuel producer or foreign renewable fuel producer 
shall be free from any interest or the appearance of any interest in the 
third-party auditor's business and the businesses of third-party 
auditor's contractors and subcontractors.
    (6) The independent third-party auditor and its contractors and 
subcontractors shall not have performed an attest engagement under Sec.  
80.1464 for the renewable fuel producer or foreign renewable fuel 
producer in the same calendar year as a QAP audit conducted pursuant to 
Sec.  80.1472.
    (7) The independent third-party auditor and its contractors and 
subcontractors must not be debarred, suspended, or proposed for 
debarment pursuant to the Government-wide Debarment and Suspension 
regulations, 40 CFR part 32, or the Debarment, Suspension and 
Ineligibility provisions of the Federal Acquisition Regulations, 48 CFR 
part 9, subpart 9.4.
    (c) Independent third-party auditors shall maintain professional 
liability insurance, as defined in 31 CFR 50.5(q). Independent third-
party auditors shall use insurance providers that possess a financial 
strength rating in the top four categories from either Standard & Poor's 
or Moody's, i.e., AAA, AA, A or BBB for Standard & Poor's and Aaa, Aa, 
A, or Baa for Moody's. Independent third-party auditors shall disclose 
the level of professional liability insurance they possess when entering 
into contracts to provide RIN verification services.
    (d)(1) In the event that an independent third-party auditor 
identifies a RIN that may have been invalidly generated, the independent 
third-party auditor shall, within five business days, send notification 
of the potentially invalidly generated RIN to the EPA and the renewable 
fuel producer that generated the RIN.
    (2) The independent third-party auditor shall provide the 
notification required under paragraph (d)(1) of this section in writing 
(which includes email or facsimile) and, if requested by the party being 
notified of a potentially invalidly generated RIN, by telephone.
    (e) The independent third-party auditor shall identify RINs 
generated from a renewable fuel producer or foreign renewable fuel 
producer as having been verified under a QAP.
    (1) For RINs verified under QAP Option A pursuant to Sec.  
80.1469(a) during the interim period, RINs shall be designated as A-
RINs.
    (2) For RINs verified under QAP Option B pursuant to Sec.  
80.1469(b), during the interim period, RINs shall be designated as B-
RINs.
    (3) For RINs verified under a QAP pursuant to Sec.  80.1469(c), RINs 
shall be designated as Q-RINs and shall be identified as having been 
verified under a QAP in EMTS.
    (4) The independent third-party auditor shall not identify RINs 
generated from a renewable fuel producer or foreign renewable fuel 
producer as having been verified under a QAP if a revised QAP must be 
submitted to and approved by the EPA under Sec.  80.1469(f).

[[Page 616]]

    (f)(1) Except as specified in paragraph (f)(2) of this section, 
auditors may only verify RINs that have been generated after the audit 
required under Sec.  80.1472 has been completed.
    (i) For A-RINs, ongoing monitoring must have been initiated.
    (ii) Verification of RINs may continue for no more than 200 days 
following an on-site visit or 380 days after an on-site visit if a 
previously the EPA-approved remote monitoring system is in place at the 
renewable fuel production facility.
    (2) Auditors may verify RINs that were generated before the audit 
required under Sec.  80.1472 has been completed, under the following 
conditions:
    (i) The RINs in question were generated during the interim period.
    (ii) The audit is completed during the interim period.
    (iii) The audit is performed in accordance with the elements 
specified in a QAP that has been approved by the EPA per Sec.  
80.1469(e).
    (iv) The audit requirements of Sec.  80.1472 are met for every batch 
of renewable fuel for which RINs were generated and are being verified.
    (v) The auditor may not perform more than one audit under this 
subparagraph for any single RIN generator.
    (g) The independent third-party auditor shall permit any 
representative of the EPA to monitor at any time the implementation of 
QAPs and renewable fuel production facility audits.
    (h) Any person who fails to meet a requirement under of this section 
shall be subject to a separate violation pursuant to Sec.  80.1460(f).

[79 FR 42122, July 18, 2014, as amended at 80 FR 9098, Feb. 19, 2015]



Sec.  80.1472  Requirements for quality assurance audits.

    (a) General requirements. (1) An audit shall be performed by an 
auditor who meets the requirements of Sec.  80.1471.
    (2) An audit shall be based on either an Option A QAP per Sec.  
80.1469(a) during the interim period, an Option B QAP per Sec.  
80.1469(b) during the interim period, or a QAP per Sec.  80.1469(c).
    (3) Each audit shall verify every element contained in an applicable 
and approved QAP.
    (4) Each audit shall include a review of documents generated by the 
renewable fuel producer.
    (b) On-site visits--(1) Option A QAP during the interim period. (i) 
The auditor shall conduct an on-site visit at the renewable fuel 
production facility at least 4 times per calendar year.
    (ii) The on-site visits specified in paragraph (b)(1)(i) of this 
section shall occur at least 60 days apart. The 60-day period shall 
start the day after the previous on-site ends.
    (iii) The on-site visit shall include verification of all QAP 
elements that require inspection or evaluation of the physical 
attributes of the renewable fuel production facility, except for any 
physical attribute that is verified through remote monitoring equipment 
per the applicable QAP.
    (2) Option B QAP during the interim period. (i) The auditor shall 
conduct an on-site visit at the renewable fuel production facility at 
least 4 times per calendar year.
    (ii) The on-site visits specified in paragraph (b)(2)(i) of this 
section shall occur at least 60 days apart. The 60-day period shall 
start the day after the previous on-site ends.
    (iii) The on-site visit shall include verification of all QAP 
elements that require inspection or evaluation of the physical 
attributes of the renewable fuel production facility.
    (3) QAP. (i) The independent third-party auditor shall conduct an 
on-site visit at the renewable fuel production facility or foreign 
ethanol production facility:
    (A) At least two times per calendar year; or
    (B) In the event an auditor uses a remote monitoring system approved 
by the EPA, at least one time per calendar year.
    (ii) An on-site visit specified in paragraph (b)(3)(i) of this 
section shall occur no more than:
    (A) 200 days after the previous on-site visit. The 200-day period 
shall start the day after the previous on-site visit ends; or
    (B) 380 days after the previous on-site visit if a previously 
approved (by EPA) remote monitoring system is in place

[[Page 617]]

at the renewable fuel production facility or foreign ethanol production 
facility, as applicable. The 380-day period shall start the day after 
the previous on-site visit ends.
    (iii) An on-site visit shall include verification of all QAP 
elements that require inspection or evaluation of the physical 
attributes of the renewable fuel production facility or foreign ethanol 
production facility.
    (iv) The on-site visit shall be overseen by a professional engineer, 
as specified in Sec.  80.1450(b)(2)(i)(A) and (b)(2)(i)(B).

[79 FR 42122, July 18, 2014, as amended at 85 FR 7083, Feb. 6, 2020]



Sec.  80.1473  Affirmative defenses.

    (a) Criteria. Any person who engages in actions that would be a 
violation of the provisions of either Sec.  80.1460(b)(2) or (c)(1), 
other than the generator of an invalid RIN, will not be deemed in 
violation if the person demonstrates that the criteria under paragraphs 
(c), (d), or (e) of this section are met.
    (b) Applicability of affirmative defenses. The following provisions 
apply to affirmative defenses asserted under paragraph (a) of this 
section:
    (1) Affirmative defenses only apply to RINs that were invalidly 
generated and verified through a quality assurance audit using an EPA-
approved QAP.
    (2) Affirmative defenses only apply in situations where an invalidly 
generated verified RIN is either transferred to another person 
(violation of Sec.  80.1460(b)(2)) or used for compliance for an 
obligated party's RVO (use violation of Sec.  80.1460(c)(1)).
    (3) Affirmative defenses do not apply to the generator of an invalid 
RIN.
    (c) Asserting an affirmative defense for invalid A-RINs verified 
during the interim period. To establish an affirmative defense to a 
violation of Sec.  80.1460(b)(2) or (c)(1) involving invalid A-RINs, the 
person must meet the notification requirements of paragraph (f) of this 
section and prove by a preponderance of evidence all of the following:
    (1) The RIN in question was verified through a quality assurance 
audit pursuant to Sec.  80.1472 using an approved Option A QAP as 
defined in Sec.  80.1469(a).
    (2) The person did not know or have reason to know that the RINs 
were invalidly generated prior to being verified by the independent 
third-party auditor.
    (3) If the person self-identified the RIN as having been invalidly 
generated, the person notified the EPA within five business days of 
discovering the invalidity.
    (4) The person did not cause the invalidity.
    (5) The person did not have a financial interest in the company that 
generated the invalid RIN.
    (d) Asserting an affirmative defense for invalid B-RINs verified 
during the interim period. To establish an affirmative defense to a 
violation of Sec.  80.1460(b)(2) or (c)(1) involving invalid B-RINs, the 
person must meet the notification requirements of paragraph (f) of this 
section and prove by a preponderance of evidence all of the following:
    (1) The RIN in question was verified through a quality assurance 
audit pursuant to Sec.  80.1472 using an approved Option B QAP as 
defined in Sec.  80.1469(b).
    (2) The person did not know or have reason to know that the RINs 
were invalidly generated at the time of transfer or use for compliance, 
unless the RIN generator replaced the RIN pursuant to Sec.  80.1474.
    (3) If the person self-identified the RIN as having been invalidly 
generated, the person notified the EPA within five business days of 
discovering the invalidity.
    (4) The person did not cause the invalidity.
    (5) The person did not have a financial interest in the company that 
generated the invalid RIN.
    (6) If the person used the invalid B-RIN for compliance, the person 
adjusted its records, reports, and compliance calculations in which the 
invalid B-RIN was used as required by Sec.  80.1431, unless the RIN 
generator replaced the RIN pursuant to Sec.  80.1474.
    (e) Asserting an affirmative defense for invalid Q-RINs. To 
establish an affirmative defense to a violation of Sec.  80.1460(b)(2) 
or (c)(1) involving invalid Q-RINs, the person must meet the 
notification requirements of paragraph (f) of this section and prove by 
a preponderance of evidence all of the following:

[[Page 618]]

    (1) The RIN in question was verified through a quality assurance 
audit pursuant to Sec.  80.1472 using an approved QAP as defined in 
Sec.  80.1469(c).
    (2) The person did not know or have reason to know that the RINs 
were invalidly generated at the time of transfer or use for compliance, 
unless the RIN generator replaced the RIN pursuant to Sec.  80.1474.
    (3) If the person self-identified the RIN as having been invalidly 
generated, the person notified the EPA within five business days of 
discovering the invalidity.
    (4) The person did not cause the invalidity.
    (5) The person did not have a financial interest in the company that 
generated the invalid RIN.
    (6) If the person used the invalid Q-RIN for compliance, the person 
adjusted its records, reports, and compliance calculations in which the 
invalid Q-RIN was used as required by Sec.  80.1431, unless the RIN 
generator replaced the RIN pursuant to Sec.  80.1474.
    (f) Notification requirements. A person asserting an affirmative 
defense to a violation of Sec.  80.1460(b)(2) or (c)(1), arising from 
the transfer or use of an invalid A-RIN, B-RIN, or Q-RIN must submit a 
written report to the EPA via the EMTS support line (support@epamts-
support.com), including all pertinent supporting documentation, 
demonstrating that the requirements of paragraphs (c), (d), or (e) of 
this section were met. The written report must be submitted within 30 
days of the person discovering the invalidity.

[79 FR 42123, July 18, 2014]



Sec.  80.1474  Replacement requirements for invalidly generated RINs.

    (a) Responsibility for replacement of invalid verified RINs. (1) The 
generator of the A-RIN and the independent third-party auditor that 
verified the A-RIN are required to replace invalidly generated A-RINs 
with valid RINs pursuant to the procedures specified in paragraph (b) of 
this section.
    (2) The generator of the B-RIN and the obligated party that owns the 
B-RIN are required to replace invalidly generated B-RINs with valid RINs 
pursuant to the procedures specified in paragraph (b) of this section.
    (3) The generator of the Q-RIN and the obligated party that owns the 
Q-RIN are required to replace invalidly generated Q-RINs with valid RINs 
pursuant to the procedures specified in paragraph (b) of this section.
    (4) The generator of an unverified RIN and the obligated party that 
owns an unverified RIN are required to replace invalidly generated and 
unverified RINs pursuant to the procedures specified in paragraph (b) of 
this section.
    (b) Identification and treatment of potentially invalid RINs (PIRs). 
(1) Any RIN can be identified as a PIR by the RIN generator, an 
independent third-party auditor that verified the RIN, or the EPA.
    (2) For PIRs identified by the RIN generator, the generator is 
required to notify the EPA via the EMTS support line (support@epamts-
support.com) within five business days of the identification, including 
an initial explanation of why the RIN is believed to be invalid, and is 
required to take any of the following corrective actions within 30 days:
    (i) Retire the PIR.
    (ii) Retire a valid RIN meeting the requirements of paragraph (d) of 
this section.
    (3) For PIRs identified by the independent third-party auditor that 
verified the RIN, the independent third-party auditor is required to 
notify the EPA via the EMTS support line ([email protected]) 
and the RIN generator in writing within five business days of the 
identification, including an initial explanation of why the RIN is 
believed to be invalid.
    (4) Within 30 days of being notified by the EPA or the independent 
third-party auditor that verified the RIN that a RIN is a PIR, the RIN 
generator is required to take one of the following actions:
    (i) In the event that the EPA identifies a RIN as a PIR, do one of 
the following:
    (A) Retire the PIR.
    (B) Retire a valid RIN following the requirements of paragraph (d) 
of this section.

[[Page 619]]

    (C) Submit a demonstration in writing to the EPA via the EMTS 
support line ([email protected]) that the PIR is valid.
    (1) If the EPA determines that the demonstration is satisfactory, 
the RIN will no longer be considered a PIR.
    (2) If the EPA determines that the demonstration is not 
satisfactory, the PIR will be deemed invalid and the PIR generator must 
retire the PIR or a valid RIN following the requirements of paragraph 
(d) of this section within 30 days of notification by the EPA.
    (ii) In the event that the independent third-party auditor 
identifies a RIN as a PIR, do one of the following:
    (A) Retire the PIR.
    (B) Retire a valid RIN following the requirements of paragraph (d) 
of this section.
    (C) Submit a demonstration in writing to the independent third-party 
auditor and the EPA via the EMTS support line (support@epamts-
support.com) that the PIR is valid.
    (1) If the independent third-party auditor determines that the 
demonstration is satisfactory, the PIR will be deemed to be a valid RIN; 
however, the EPA reserves the right to make a determination regarding 
the validity of the RIN.
    (2) If the independent third-party auditor determines that the 
demonstration is not satisfactory, the EPA will then make a 
determination whether the demonstration is not satisfactory, and if so, 
the PIR will be deemed invalid and the PIR generator must retire the PIR 
or a valid RIN following the requirements of paragraph (d) of this 
section within 30 days of notification by the EPA.
    (5) Within 60 days of receiving a notification from the EPA that a 
PIR generator has failed to perform a corrective action required 
pursuant to this section:
    (i) For A-RINs, the independent third-party auditor that verified 
the PIR is required to retire valid RINs meeting the requirements of 
paragraph (d) of this section.
    (ii) For Q-RINs, B-RINs, and unverified RINs, the party that owns 
the invalid RIN is required to do one of the following:
    (A) Retire the invalid RIN.
    (B) If the invalid RIN has already been used for compliance with an 
obligated party's RVO, correct the RVO to subtract the invalid RIN.
    (c) Failure to take corrective action. Any person who fails to meet 
a requirement under paragraph (b)(4) or (b)(5) of this section shall be 
liable for full performance of such requirement, and each day of non-
compliance shall be deemed a separate violation pursuant to Sec.  
80.1460(f). The administrative process for replacement of invalid RINs 
does not, in any way, limit the ability of the United States to exercise 
any other authority to bring an enforcement action under section 211 of 
the Clean Air Act, the fuels regulations at 40 CFR part 80, or any other 
applicable law.
    (d) The following specifications apply when retiring valid RINs to 
replace PIRs or invalid RINs:
    (1) When a RIN is retired to replace a PIR or invalid RIN, the D 
code of the retired RIN must be eligible to be used towards meeting all 
the renewable volume obligations as the PIR or invalid RIN it is 
replacing, as specified in Sec.  80.1427(a)(2).
    (2) The number of RINs retired must be equal to the number of PIRs 
or invalid RINs being replaced, subject to paragraph (e) or (f) of this 
section if applicable, and Sec.  80.1470(c).
    (e) Limited exemption for invalid B-RINs verified during the interim 
period. (1) In the event that an obligated party is required to retire 
or replace an invalid RIN that is a B-RIN pursuant to paragraph (b) of 
this section, the obligated party will be afforded a ``limited 
exemption'' (LE) equal to two percent of its annual Renewable Volume 
Obligation (RVO) for calendar years 2013 and 2014 during the interim 
period.
    (2) Limited exemptions are calculated as follows:

LECB,i = 0.02 x RVOCB,i
LEBBD,i = 0.02 x RVOBBD,i
LEAB,i = 0.02 x RVOAB,i
LERF,i = 0.02 x RVORF,i

Where:

LECB,i = Limited exemption for cellulosic biofuel for year i.
LEBBD,i = Limited exemption for biomass-based diesel for year 
          i.
LEAB,i = Limited exemption for advanced biofuel for year i.

[[Page 620]]

LERF,i = Limited exemption for renewable for year i.
RVOCB,i = The Renewable Volume Obligation for cellulosic 
          biofuel for the obligated party for calendar year i, in 
          gallons, pursuant to Sec.  80.1407.
RVOBBD,i = The Renewable Volume Obligation for biomass-based 
          diesel for the obligated party for calendar year i after 2010, 
          in gallons, pursuant to Sec.  80.1407.
RVOAB,i = The Renewable Volume Obligation for advanced 
          biofuel for the obligated party for calendar year i, in 
          gallons, pursuant to Sec.  80.1407.
RVORF,i = The Renewable Volume Obligation for renewable fuel 
          for the obligated party for calendar year i, in gallons, 
          pursuant to Sec.  80.1407.

    (3) If the number of invalidly generated B-RINs required to be 
retired or replaced in a calendar year is less than or equal to LE as 
calculated in paragraph (d)(2) of this section, the entire RIN 
retirement obligation is excused.
    (4) If the number of invalidly generated B-RINs required to be 
retired or replaced in a calendar year is greater than LE as calculated 
in paragraph (d)(2) of this section, the retirement of a number of B-
RINs equal to two percent of the obligated party's RVO is excused.
    (5) The limited exemption for B-RINs applies only in calendar years 
2013 and 2014 during the interim period.
    (f) Limited exemption for invalid Q-RINs. (1) In the event that an 
obligated party is required to retire or replace an invalid RIN that is 
a Q-RIN pursuant to paragraph (b) of this section, the obligated party 
will be afforded a ``limited exemption'' (LE) equal to two percent of 
its annual Renewable Volume Obligation (RVO) for calendar years 2014, 
2015, and 2016.
    (2) Limited exemptions are calculated as follows:

LECB,i = 0.02 x RVOCB,i
LEBBD,i = 0.02 x RVOBBD,i
LEAB,i = 0.02 x RVOAB,i
LERF,i = 0.02 x RVORF,i

Where:

LECB,i = Limited exemption for cellulosic biofuel for year i.
LEBBD,i = Limited exemption for biomass-based diesel for year 
          i.
LEAB,i = Limited exemption for advanced biofuel for year i.
LERF,i = Limited exemption for renewable for year i.
RVOCB,i = The Renewable Volume Obligation for cellulosic 
          biofuel for the obligated party for calendar year i, in 
          gallons, pursuant to Sec.  80.1407.
RVOBBD,i = The Renewable Volume Obligation for biomass-based 
          diesel for the obligated party for calendar year i after 2010, 
          in gallons, pursuant to Sec.  80.1407.
RVOAB,i = The Renewable Volume Obligation for advanced 
          biofuel for the obligated party for calendar year i, in 
          gallons, pursuant to Sec.  80.1407.
RVORF,i = The Renewable Volume Obligation for renewable fuel 
          for the obligated party for calendar year i, in gallons, 
          pursuant to Sec.  80.1407.

    (3) If the number of invalidly generated Q-RINs required to be 
retired or replaced in a calendar year is less than or equal to LE as 
calculated in paragraph (d)(2) of this section, the entire RIN 
retirement obligation is excused.
    (4) If the number of invalidly generated Q-RINs required to be 
retired or replaced in a calendar year is greater than LE as calculated 
in paragraph (d)(2) of this section, the retirement of a number of Q-
RINs equal to two percent of the obligated party's RVO is excused.
    (5) The limited exemption for Q-RINs applies only in calendar years 
2014, 2015, and 2016.
    (g) All parties who retire RINs under this section shall use the 
forms and follow the procedures prescribed by the Administrator.

[79 FR 42123, July 18, 2014]



Sec.  80.1475  What are the additional attest engagement requirements
for parties that redesignate certified NTDF as MVNRLM diesel fuel?

    (a) General requirements. (1) In addition to the attest engagement 
requirements under Sec.  80.1464, all obligated parties required to 
arrange for additional attest engagement procedures under Sec.  
80.1464(a)(1)(vii) must have an annual attest engagement conducted by an 
auditor using the minimum attest procedures specified in this section.
    (2) All applicable requirements and procedures outlined in 
Sec. Sec.  80.125 through 80.127 and Sec.  80.130 apply to the auditors 
and attest engagement procedures specified in this section.
    (3) Obligated parties must include any additional information 
required

[[Page 621]]

under this section in the attest engagement report under Sec.  
80.1464(d).
    (4) Report as a finding if the party failed to either incur or 
satisfy an RVO if required.
    (b) EPA reports. Auditors must perform the following:
    (1) Obtain and read a copy of the obligated party's reports filed 
with EPA as required by Sec.  80.1451(a)(1)(xix) for the reporting 
period.
    (2) In the case of an obligated party's report to EPA that 
represents aggregate calculations for more than one facility, obtain the 
facility-specific volume and property information that was used by the 
refiner to prepare the aggregate report. Foot and crossfoot the 
facility-specific totals and agree to the values in the aggregate 
report. The procedures in paragraphs (b) and (c) of this section are 
then performed separately for each facility.
    (3) Obtain a written representation from a company representative 
that the report copies are complete and accurate copies of the reports 
filed with EPA.
    (4) Identify, and report as a finding, the name of the commercial 
computer program used by the refiner or importer to track the data 
required by the regulations in this part, if any.
    (c) Inventory reconciliation analysis. Auditors must perform the 
following:
    (1) Obtain an inventory reconciliation analysis for the facility for 
the reporting period for each of the following and perform the 
procedures at paragraphs (c)(2) through (4) of this section separately 
for each of the following products:
    (i) The volume of certified NTDF that was redesignated as MVNRLM 
diesel fuel.
    (ii) The volume of MVNRLM diesel fuel that was redesignated to a 
non-transportation use.
    (iii) The volume of MVNRLM diesel fuel owned when the fuel was 
received at the facility and acquired at the facility during the 
compliance period.
    (iv) The volume of MVNRLM diesel fuel owned and sold or transferred 
to other parties at the facility during the compliance period.
    (v) The volume of certified NTDF received.
    (vi) The volume of certified NTDF delivered.
    (2) Foot and crossfoot the volume totals reflected in the analysis.
    (3) Agree the beginning and ending inventory amounts in the analysis 
to the facility's inventory records.
    (4) If the obligated party delivered more MVNRLM diesel fuel than 
received, agree the annual balance with the reports obtained at Sec.  
80.1475(b)(1) and verify whether the obligated party incurred and 
satisfied its RVO under Sec.  80.1408(a)(2)(i).
    (5) Report as a finding each of the volume totals along with any 
discrepancies.
    (d) Listing of tenders. Auditors must perform the following:
    (1) For each of the volumes listed in paragraphs (b)(1)(iii) through 
(b)(1)(vi) of this section, obtain a separate listing of all tenders 
from the refiner or importer for the reporting period. Each listing 
should provide for each tender the volume shipped and other information 
as needed to distinguish tenders.
    (2) Foot to the volume totals per the listings.
    (3) Agree the volume totals on the listing to the tender volume 
total in the inventory reconciliation analysis obtained in paragraph (b) 
of this section.
    (4) For each of the listings select a representative sample of the 
tenders in accordance with the guidelines in Sec.  80.127, and for each 
tender selected perform the following:
    (i) Obtain product transfer documents associated with the tender and 
agree the volume on the tender listing to the volume on the product 
transfer documents.
    (ii) Note whether the product transfer documents include the 
information required by Sec.  80.590 and, for tenders involving the 
transfer of certified NTDF, the information required by Sec.  
80.1453(e).
    (5) Report as a finding any discrepancies.

[85 FR 7083, Feb. 6, 2020]

[[Page 622]]



      Subpart N_Additional Requirements for Gasoline-Ethanol Blends

    Source: 76 FR 44443, July 25, 2011, unless otherwise noted.



Sec.  80.1500  Definitions.

    The definitions in Sec.  80.2 apply to this subpart. For purposes of 
this subpart only:
    Blendstock for oxygenate blending means gasoline blendstock which 
could become gasoline solely upon the addition of an oxygenate.
    Conventional blendstock for oxygenate blending means gasoline 
blendstock which could become conventional gasoline solely upon the 
addition of an oxygenate.
    Carrier has the same meaning as defined in Sec.  80.2(t).
    Conventional gasoline has the same meaning as defined in Sec.  
80.2(ff).
    E0 means a gasoline that contains no ethanol.
    E10 means a gasoline-ethanol blend that contains at least 9 and no 
more than 10 volume percent ethanol.
    E15 means a gasoline-ethanol blend that contains greater than 10 
volume percent ethanol and not more than 15 volume percent ethanol.
    EX means a gasoline-ethanol blend that contains less than 9 volume 
percent ethanol where X equals the maximum volume percent ethanol in the 
gasoline-ethanol blend.
    EXX means a gasoline-ethanol blend above E15 where XX equals the 
maximum volume percent ethanol in the gasoline-ethanol blend.
    Ethanol blender has the same meaning as defined in Sec.  80.2(v).
    Ethanol importer means a person who brings ethanol into the United 
States (including from the Commonwealth of Puerto Rico, the Virgin 
Islands, Guam, American Samoa, and the Northern Mariana Islands) for use 
in motor vehicles and nonroad engines.
    Ethanol producer means any person who owns, leases, operates, 
controls, or supervises a facility that produces ethanol for use in 
motor vehicles or nonroad engines.
    Flex-fuel vehicle has the same meaning as flexible-fuel vehicle as 
defined in Sec.  86.1803-01.
    Fuel dispenser means the apparatus used to dispense fuel into motor 
vehicles or nonroad vehicles, engines or equipment, or into a portable 
fuel container as defined at Sec.  59.680.
    Gasoline has the same meaning as defined in Sec.  80.2(c).
    Gasoline importer means an importer as defined in Sec.  80.2(r) that 
imports gasoline or gasoline blending stocks that could become gasoline 
solely upon the addition of oxygenates.
    Gasoline refiner means a refiner as defined as in Sec.  80.2(i) that 
produces gasoline or gasoline blending stocks that could become gasoline 
solely upon the addition of oxygenates.
    Oxygenate blender has the same meaning as defined in Sec.  80.2(mm).
    Oxygenate blending facility has the same meaning as defined in Sec.  
80.2(ll).
    Regulatory control periods has the same meaning as defined in Sec.  
80.27(a)(2)(ii) or in any State Implementation Plan (SIP) approved or 
promulgated under Sec. Sec.  110 or 172 of the Clean Air Act.
    Retail outlet has the same meaning as defined Sec.  80.2(j).
    Retailer has the same meaning as defined in Sec.  80.2(k).
    Survey series means the four quarterly surveys that comprise a 
survey program.
    Sampling strata means the three types of areas sampled during a 
survey which include the following:
    (1) Densely populated areas;
    (2) Transportation corridors; and
    (3) Rural areas.
    Wholesale purchaser-consumer has the same meaning as defined in 
Sec.  80.2(o).

[76 FR 44443, July 25, 2011, as amended at 79 FR 42165, July 18, 2014]



Sec.  80.1501  Labeling requirements that apply to retailers and
wholesale purchaser-consumers of gasoline that contains greater 
than 10 volume percent ethanol and not more than 15 volume percent
ethanol.

    (a) Any retailer or wholesale purchaser-consumer who sells, 
dispenses, or offers for sale or dispensing E15 shall affix the 
following conspicuous and legible label to the fuel dispenser:

Attention
E15
Up to 15% ethanol

[[Page 623]]

Use only in
 2001 and newer passenger vehicles
 Flex-fuel vehicles
    Don't use in other vehicles, boats, or gasoline-powered equipment. 
It may cause damage and is prohibited by Federal law.

    (b) Labels under this section shall meet the following requirements 
for appearance and placement:
    (1) Dimensions. The label shall measure 3 and \5/8\ inches wide by 3 
and \1/8\ inches high.
    (2) Placement. The label shall be placed on the upper two-thirds of 
each fuel dispenser where the consumer will see the label when selecting 
a fuel to purchase. For dispensers with one nozzle, the label shall be 
placed above the button or other control used for selecting E15, or in 
any other manner which clearly indicates which control is used to select 
E15. For dispensers with multiple nozzles, the label shall be placed in 
the location that is most likely to be seen by the consumer at the time 
of selection of E15.
    (3) Text. The text shall be justified and the fonts and backgrounds 
shall be as described in paragraphs (b)(3)(i) through (vi) and (b)(4)(i) 
through (iv) of this section.
    (i) The word ``ATTENTION'' shall be capitalized in 20-point, black, 
Helvetica Neue LT 77 Bold Condensed font, and shall be placed in the top 
1.25 inches of the label as further described in paragraph (b)(4)(iii) 
of this section.
    (ii) The word ``E15'' shall be in 42-point, orange, Helvetica Black 
font, and shall be placed in the top 1.25 inches of the label.
    (iii) The ethanol content: ``Up to 15% ethanol'' shall be in 14-
point, center-justified, orange, Helvetica Black font in the top 1.25 
inches of the label, below the word E15.
    (iv) The words ``Use only in'' shall be in 20-point, left-justified, 
black, Helvetica Bold font in the bottom 1.875 inches of the label.
    (v) The words, and symbols `` 2001 and newer 
passenger vehicles  Flex-fuel vehicles'' shall be in 
14-point, left-justified, black, Helvetica Bold font.
    (vi) The remaining two sentences shall be in 12-point, left-
justified, Helvetica Bold font, except that the word ``prohibited'' in 
the second sentence shall be in 12-point, black, Helvetica Black Italics 
font.
    (4) Color. (i) The background of the top 1.25 inches of the label 
shall be black.
    (ii) The background of the bottom 1.875 inches of the label shall be 
orange.
    (iii) The label shall have on the upper left side of the label a 
diagonal orange stripe that is .3125 inches tall. The stripe shall be 
placed as far down and across the label as is necessary so as to as to 
create a black triangle of the upper left corner of the label whose 
vertical side is contiguous to the vertical edge of the label and 
is.4375 inches long, and whose horizontal side is contiguous to the 
horizontal edge of the label and is 1.0 inches long. The word 
``Attention'' shall be centered to the upper edge of this stripe.
    (5) Alternative labels to those specified in this section may be 
used if approved by EPA in advance. Such labels must contain all of the 
informational elements specified in paragraph (a) of this section, and 
must use colors and other design elements similar in substance and 
appearance to the label required by this section. Such labels may differ 
in size and shape from the label required by this section only to a 
small degree, except to the extent a larger label is necessary to 
accommodate additional information or translation of label information.
    (i) A request for approval of an alternative label shall be sent to 
the attention of ``E15 Alternative Label Request'' to the address in 
Sec.  80.10(a).
    (ii) [Reserved]

[76 FR 44443, July 25, 2011, as amended at 79 FR 42165, July 18, 2014; 
85 FR 7084, Feb. 6, 2020]



Sec.  80.1502  What are the survey requirements related to 
gasoline-ethanol blends?

    Any gasoline refiner, gasoline importer, ethanol blender, ethanol 
producer, or ethanol importer who manufactures, introduces into 
commerce, sells or offers for sale E15, gasoline, blendstock for 
oxygenate blending, ethanol, or gasoline-ethanol blend that is intended 
for use in or as E15 shall comply with the survey program requirements 
in either paragraph (a) or paragraph (b) of this section. These

[[Page 624]]

same parties are also subject to paragraphs (c), (d) and (e) of this 
section regardless of whether they choose the survey program 
requirements in paragraph (a) or paragraph (b) of this section. In the 
case of ethanol producers and ethanol importers, the ethanol that is 
produced or imported shall be deemed as intended for use in E15 unless 
an ethanol producer or an ethanol importer demonstrates that it was not 
intended for such use.
    (a) Survey option 1. In order to satisfy the survey program 
requirements, any gasoline refiner, gasoline importer, ethanol blender, 
ethanol producer, or ethanol importer who manufactures, introduces into 
commerce, sells or offers for sale E15, gasoline, blendstock for 
oxygenate blending, ethanol, or gasoline-ethanol blend intended for use 
in or as E15 shall properly conduct a program of compliance surveys in 
accordance with a survey program plan which has been approved by EPA in 
all areas which may be reasonably expected to be supplied with their 
gasoline, blendstock for oxygenate blending, ethanol, or gasoline-
ethanol blend if these may be used to manufacture E15 or as E15 at any 
time during the year. Such approval shall be based upon the survey 
program plan meeting the following criteria:
    (1) The survey program shall consist of at least quarterly surveys 
which shall occur during the following time periods in every year during 
which the gasoline refiner, gasoline importer, ethanol blender, ethanol 
producer, or ethanol importer introduces E15 into commerce:
    (i) One survey during the period January 1 through March 31;
    (ii) One survey during the period April 1 through June 30;
    (iii) One survey during the period July 1 through September 30; and
    (iv) One survey during the period October 1 through December 31.
    (2) The survey program plan shall meet all of the requirements of 
paragraph (b), except paragraphs (b)(4)(ii) and (b)(4)(v) of this 
section. The survey program plan shall specify the sampling strata, 
clusters and area, and number of samples to be included. Notwithstanding 
paragraph (b)(2) of this section, in order to comply with this paragraph 
the survey plan need not be conducted by a consortium.
    (b) Survey option 2. (1) To comply with the requirements under this 
paragraph (b), any gasoline refiner, gasoline importer, ethanol blender, 
ethanol producer, or ethanol importer who manufactures, introduces into 
commerce, sells or offers for sale E15, gasoline, blendstock for 
oxygenate blending, ethanol, or gasoline-ethanol blend intended for use 
in or as E15 must participate in a consortium which arranges to have an 
independent survey association conduct a statistically valid program of 
compliance surveys pursuant to a survey program plan which has been 
approved by EPA, in accordance with the requirements of paragraphs 
(b)(2) through (b)(5) of this section.
    (2) The consortium survey program under this paragraph (b) must be:
    (i) Planned and conducted by a survey association that is 
independent of the ethanol blenders, ethanol producers, ethanol 
importers, gasoline refiners, and/or gasoline importers that arrange to 
have the survey conducted. In order to be considered independent:
    (A) Representatives of the survey association shall not be an 
employee of any ethanol blender, ethanol producer, ethanol importer, 
gasoline refiner, or gasoline importer;
    (B) The survey association shall be free from any obligation to or 
interest in any ethanol blender, ethanol producer, ethanol importer, 
gasoline refiner, or gasoline importer; and
    (C) The ethanol blenders, ethanol producers, ethanol importers, 
gasoline refiners, and/or gasoline importers that arrange to have the 
survey conducted shall be free from any obligation to or interest in the 
survey association.
    (ii) Conducted at retail outlets that sell gasoline; and
    (iii) Represent all gasoline dispensed nationwide.
    (3) Independent Survey Association Requirements. The consortium 
described in paragraph (b)(1) of this section shall require the 
independent survey association conducting the surveys to:

[[Page 625]]

    (i) Submit to EPA for approval each calendar year a proposed survey 
program plan in accordance with the requirements of paragraph (b)(4) of 
this section.
    (ii) Obtain samples of gasoline offered for sale at gasoline retail 
outlets in accordance with the survey program plan approved under this 
paragraph (b), or immediately notify EPA of any refusal of retail 
outlets to allow samples to be taken.
    (iii) Test, or arrange to be tested, the samples required under 
paragraph (b)(3)(ii) of this section for Reid vapor pressure (RVP), and 
oxygenate content as follows:
    (A) Samples collected at retail outlets shall be shipped the same 
day the samples are collected via ground service to the laboratory and 
analyzed for oxygenate content. Samples collected at a dispenser labeled 
E15 in any manner, or at a tank serving such a dispenser, shall also be 
analyzed for RVP during the high ozone season defined in Sec.  
80.27(a)(2)(ii) or any SIP approved or promulgated under sections 110 or 
172 of the Clean Air Act. Such analysis shall be completed within 10 
days after receipt of the sample in the laboratory. Nothing in this 
section shall be interpreted to require RVP testing of a sample from any 
dispenser or tank serving it unless the dispenser is labeled E15 in any 
manner.
    (B) Any laboratory to be used by the independent survey association 
for oxygenate or RVP testing shall be approved by EPA and its test 
method for determining oxygenate content shall be a method permitted 
under Sec.  80.46(g), and its test method for determining RVP shall be 
the method permitted under Sec.  80.46(b).
    (iv) In the case of any test that yields a result that does not 
match the label affixed to the product (e.g., a sample greater than 15 
volume percent ethanol dispensed from a fuel dispenser labeled as 
``E15'' or a sample containing greater than 10 volume percent ethanol 
and not more than 15 volume percent ethanol dispensed from a fuel 
dispenser not labeled as ``E15''), or the RVP standard of Sec.  
80.27(a)(2) or any SIP approved or promulgated under sections 110 or 172 
of the Clean Air Act, the independent survey association shall, within 
24 hours after the laboratory has completed analysis of the sample, send 
notification of the test result as follows:
    (A) In the case of a sample collected at a retail outlet at which 
the brand name of a gasoline refiner or gasoline importer is displayed, 
to the gasoline refiner or gasoline importer, and EPA. This initial 
notification to a gasoline refiner or gasoline importer shall include 
specific information concerning the name and address of the retail 
outlet, contact information, the brand, and the ethanol content, and the 
RVP if required, of the sample.
    (B) In the case of a sample collected at other retail outlets, to 
the retailer and EPA, and such notice shall contain the same information 
as in paragraph (b)(3)(iv)(A) of this section.
    (C) The independent survey association shall provide notice to the 
identified contact person or persons for each party in writing (which 
includes e-mail or facsimile) and, if requested by the identified 
contact person, by telephone.
    (v) Confirm that each fuel dispenser sampled is labeled as required 
in Sec.  80.1501 by confirming that:
    (A) The label meets the appearance and content requirements of Sec.  
80.1501.
    (B) The label is located on the fuel dispenser according to the 
requirements in Sec.  80.1501.
    (vi) In the case of a fuel dispenser that is improperly labeled, or 
whose fuel does not meet the RVP standards of Sec.  80.27(a)(2) the 
survey association shall provide notice as provided in paragraphs 
(b)(2)(iv)(A) through (C) of this section.
    (vii) Provide to EPA quarterly and annual summary survey reports 
which include the information specified in paragraph (b)(5) of this 
section.
    (viii) Maintain all records relating to the surveys conducted under 
this paragraph (b) for a period of at least five (5) years.
    (ix) Permit any representative of EPA to monitor at any time the 
conducting of the surveys, including sample collection, transportation, 
storage, and analysis.
    (4) Survey Plan Design Requirements. The proposed survey program 
plan required under paragraph (b)(3)(i) of this

[[Page 626]]

section shall, at a minimum, include the following:
    (i) Number of Surveys. The survey program plan shall include four 
quarterly surveys each calendar year. The four quarterly surveys 
collectively are called the survey series as defined in Sec.  80.1500.
    (ii) Sampling Areas. The survey program plan shall include sampling 
in all sampling strata, as defined in Sec.  80.1500, during each survey. 
These sampling strata shall be further divided into discrete sampling 
areas or clusters. Each survey shall include sampling in at least 40 
sampling areas in each stratum which are randomly selected.
    (iii) No advance notice of surveys. The survey plan shall include 
procedures to keep the identification of the sampling areas that are 
included in any survey plan confidential from any regulated party prior 
to the beginning of a survey in an area. However, this information shall 
not be kept confidential from EPA.
    (iv) Retail outlet selection. (A) The retail outlets to be sampled 
in a sampling area shall be selected from among all retail outlets in 
the sampling area that sell gasoline, with the probability of selection 
proportionate to the volume of gasoline sold at the retail outlets; the 
sample should also include retail outlets with different brand names as 
well as those retail outlets that are unbranded.
    (B) In the case of any retail outlet from which a sample of gasoline 
was collected during a survey and determined to have an ethanol content 
that does not match the fuel dispenser label (e.g., a sample greater 
than 15 volume percent ethanol dispensed from a fuel dispenser labeled 
as ``E15'' or a sample with greater than 10 volume percent ethanol and 
not more than 15 volume percent ethanol dispensed from a fuel dispenser 
not labeled as ``E15'') or determined to have a dispenser containing 
fuel whose RVP does not comply with Sec.  80.27(a)(2) or any SIP 
approved or promulgated under sections 110 or 172 of the Clean Air Act, 
that retail outlet shall be included in the subsequent survey.
    (C) One sample of each product dispensed as gasoline shall be 
collected at each retail outlet, and separate samples shall be taken 
that represent the gasoline contained in each gasoline storage tank 
unless collection of separate samples is not practicable.
    (v) Number of samples. (A) The minimum number of samples to be 
included in the survey plan for each calendar year shall be calculated 
as follows:
[GRAPHIC] [TIFF OMITTED] TR18JY14.003

Where:
n = Minimum number of samples in a year-long survey series.
    However, in no case shall n be smaller than 7,500.
Z[alpha] = Upper percentile point from the normal distribution to 
          achieve a one-tailed 95% confidence level (5% [alpha]-level). 
          Thus, Z[alpha] equals 1.645.
Z[beta] = Upper percentile point to achieve 95% power. Thus, Z[beta] 
          equals 1.645.
[phis]1 = The maximum proportion of non-compliant stations 
          for a region to be deemed compliant. In this test, the 
          parameter needs to be 5% or greater, i.e., 5% or more of the 
          stations, within a stratum such that the region is considered 
          non-compliant. For this survey, [phis]1 will be 5%.
[phis]o = The underlying proportion of non-compliant stations 
          in a sample. For the first survey plan, [phis]o 
          will be 2.3%. For subsequent survey plans, [phis]o 
          will be the average of the proportion of stations found to be 
          non-compliant over the previous four surveys.
Stn = Number of sampling strata. For purposes of this survey 
          program, Stn equals 3.
Fa = Adjustment factor for the number of extra samples 
          required to compensate for collected samples that cannot be 
          included in the survey, based on the number of additional 
          samples required during the previous four surveys. However, in 
          no case shall the value of Fa be smaller than 1.1.
Fb = Adjustment factor for the number of samples required to 
          resample each retail outlet with test results exceeding the 
          labeled amount (e.g., a sample greater than 15 volume percent 
          ethanol dispensed from a fuel dispenser labeled as ``E15'', a

[[Page 627]]

          sample with greater than 10 volume percent ethanol and not 
          more than 15 volume percent ethanol dispensed from a fuel 
          dispenser not labeled as ``E15''), or a sample dispensed from 
          a fuel dispenser labeled as ``E15'' with greater than the 
          applicable seasonal and geographic RVP pursuant to Sec.  
          80.27, based on the rate of resampling required during the 
          previous four surveys. However, in no case shall the value of 
          Fb be smaller than 1.1.
Sun = Number of surveys per year. For purposes of this survey 
          program, Sun equals 4.

    (B) The number of samples determined pursuant to paragraph 
(b)(4)(v)(A) of this section, after being incremented as necessary to 
allocate whole numbers of samples to each cluster, shall be distributed 
approximately equally for the quarterly surveys conducted during the 
calendar year.
    (5) Summary survey reports. The quarterly and annual summary survey 
reports required under paragraph (b)(3)(vii) of this section shall 
include the following information:
    (i) An identification of the parties that are participating in the 
survey.
    (ii) The identification of each sampling area included in a survey 
and the dates that the samples were collected in that area.
    (iii) For each retail outlet sampled:
    (A) The identification of the retail outlet;
    (B) The gasoline refiner or gasoline importer brand name displayed, 
if any;
    (C) The fuel dispenser labeling (e.g., ``E15'');
    (D) The sample test result for oxygenate content, and RVP result, if 
any;
    (E) The test method used to determine oxygenate content under Sec.  
80.46(g); and
    (F) The test method used to determine RVP under Sec.  80.46(b).
    (iv) Ethanol level summary statistics by brand and unbranded for 
each sampling area, strata, and survey series. These summary statistics 
shall:
    (A) Include the number of samples, the average, median and range of 
ethanol content, expressed in volume percent.
    (B) [Reserved]
    (v) The quarterly reports required under this paragraph (b)(5) are 
due 60 days following the end of the quarter. The annual reports 
required under this paragraph (b)(5) are due 60 days following the end 
of the calendar year.
    (vi) The reports required under this paragraph (b)(5) shall be 
submitted to EPA in an electronic spreadsheet.
    (c) Procedures for obtaining approval of survey plan and providing 
required notices. The first year in which a survey program is conducted 
may consist of only a portion of a calendar year ending on December 31 
(i.e., in the initial year, a survey program may begin on a date after 
January 1, but would still end on December 31). Subsequent survey 
programs shall be conducted on a calendar year basis. The procedure for 
obtaining EPA approval of a survey program plan under paragraph (b) or 
paragraph (c) of this section is as follows:
    (1) For the first year in which a survey will be conducted, a survey 
program plan that complies with the requirements of paragraph (a) or 
paragraph (b) of this section must be submitted to EPA no later than 60 
days prior to the date on which the survey program is to begin.
    (2) For subsequent years in which a survey will be conducted, a 
survey program plan that complies with the requirements of paragraph (a) 
or paragraph (b) of this section must be submitted to EPA no later than 
November 1 of the year preceding the calendar year in which the survey 
will be conducted.
    (3) The survey program plan must be signed by a responsible officer 
of the consortium which arranges to have an independent surveyor conduct 
the survey program.
    (4) The survey program plan must be sent to the following address: 
Director, Compliance Division, U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave. NW. Mail Code 6506J, Washington, DC 20460.
    (5) EPA will send a letter to the party submitting the survey 
program plan that indicates whether EPA approves or disapproves the 
survey plan.
    (6) The approving official for a survey plan under this section is 
the Director of the Compliance Division, Office of Transportation and 
Air Quality.
    (7) Any notifications or reports required to be submitted to EPA 
under

[[Page 628]]

this section must be directed to the official designated in paragraph 
(c)(4) of this section.
    (d) Independent surveyor contract. (1) For the first year in which a 
survey program will be conducted, no later than 30 days preceding the 
start of the survey, the contract with the independent surveyor shall be 
in effect, and an amount of money necessary to carry out the entire 
survey plan shall be paid to the independent surveyor or placed into an 
escrow account with instructions to the escrow agent to pay the money to 
the independent surveyor during the course of the conduct of the survey 
plan.
    (2) For subsequent years in which a survey program will be 
conducted, no later than December 1 of the year preceding the year in 
which the survey will be conducted, the contract with the independent 
surveyor shall be in effect, and an amount of money necessary to carry 
out the entire survey plan shall be paid to the independent surveyor or 
placed into an escrow account with instructions to the escrow agent to 
pay the money to the independent surveyor during the course of the 
conduct of the survey plan.
    (3) For the first year in which a survey program will be conducted, 
no later than 15 days preceding the start of the survey EPA must receive 
a copy of the contract with the independent surveyor and proof that the 
money necessary to carry out the survey plan has either been paid to the 
independent surveyor or placed into an escrow account; if the money has 
been placed into an escrow account, a copy of the escrow agreement must 
to be sent to the official designated in paragraph (c)(4) of this 
section.
    (4) For subsequent years in which a survey program will be 
conducted, no later than December 15 of the year preceding the year in 
which the survey will be conducted, EPA must receive a copy of the 
contract with the independent surveyor and proof that the money 
necessary to carry out the survey plan has either been paid to the 
independent surveyor or placed into an escrow account; if placed into an 
escrow account, a copy of the escrow agreement must be sent to the 
official designated in paragraph (c)(4) of this section.
    (e) Consequences of failure to fulfill requirements. A failure to 
fulfill or cause to be fulfilled any of the requirements of this section 
is a prohibited act under Clean Air Act section 211(c) and Sec.  
80.1504.
    (1) EPA may revoke its approval of a survey plan under this section 
for cause, including, but not limited to, an EPA determination that the 
approved survey plan has proved to be inadequate in practice.
    (2) EPA may void ab initio its approval of a survey plan if EPA's 
approval was based on false information, misleading information, or 
incomplete information, or if there was a failure to fulfill, or cause 
to be fulfilled, any of the requirements of the survey plan.

[76 FR 44443, July 25, 2011, as amended at 79 FR 42166, July 18, 2014]



Sec.  80.1503  What are the product transfer document requirements
for gasoline-ethanol blends, gasolines, and conventional blendstocks
for oxygenate blending subject to this subpart?

    (a) Product transfer documentation for conventional blendstock for 
oxygenate blending, or gasoline transferred upstream of an ethanol 
blending facility. (1) In addition to any other product transfer 
document requirements under 40 CFR part 80, on each occasion after 
October 31, 2011, when any person transfers custody or title to any 
conventional blendstock for oxygenate blending which could become 
conventional gasoline solely upon the addition of ethanol, or gasoline 
upstream of an oxygenate blending facility, as defined in Sec.  
80.2(ll), the transferor shall provide to the transferee product 
transfer documents which include the following information:
    (i) The name and address of the transferor;
    (ii) The name and address of the transferee;
    (iii) The volume of conventional blendstock for oxygenate blending 
or gasoline being transferred;
    (iv) The location of the conventional blendstock for oxygenate 
blending or gasoline at the time of the transfer;
    (v) The date of the transfer;

[[Page 629]]

    (vi) For gasoline during the regulatory control periods defined in 
Sec.  80.27(a)(2)(ii) or any SIP approved or promulgated under 
Sec. Sec.  110 or 172 of the Clean Air Act:
    (A) The maximum RVP, as determined by a method permitted under Sec.  
80.46(c), stated in the following format: ``The RVP of this gasoline 
does not exceed [fill in appropriate value]''; and
    (B) The conspicuous statement that the gasoline being shipped 
contains ethanol and the percentage concentration of ethanol as 
described in Sec.  80.27(d)(3).
    (2) The requirements in paragraph (a)(1) of this section do not 
apply to reformulated gasoline blendstock for oxygenate blending, as 
defined in Sec.  80.2(kk), which is subject to the product transfer 
document requirements of Sec. Sec.  80.69 and 80.77.
    (3) Except for transfers to truck carriers, retailers, or wholesale 
purchaser-consumers, product codes may be used to convey the information 
required under paragraph (a)(1) of this section if such codes are 
clearly understood by each transferee.
    (b) Product transfer documentation for gasoline transferred 
downstream of an oxygenate blending facility. (1) In addition to any 
other product transfer document requirements under 40 CFR part 80, on 
each occasion after October 31, 2011, when any person transfers custody 
or title to any gasoline-ethanol blend downstream of an oxygenate 
blending facility, as defined in Sec.  80.2(ll), except for transfers to 
the ultimate consumer, the transferor shall provide to the transferee 
product transfer documents which include the following information:
    (i) The name and address of the transferor;
    (ii) The name and address of the transferee;
    (iii) The volume of gasoline being transferred;
    (iv) The location of the gasoline at the time of the transfer;
    (v) The date of the transfer; and
    (vi) One of the statements detailed in paragraph (b)(1)(vi)(A) 
though (E) which accurately describes the gasoline-ethanol blend. The 
information regarding the ethanol content of the fuel is required year-
round. The information regarding the RVP of the fuel is only required 
for gasoline during the regulatory control periods.
    (A) For gasoline containing no ethanol (E0), the following 
statement; ``E0: Contains no ethanol. The RVP does not exceed [fill in 
appropriate value] psi.''
    (B)(1) For gasoline containing less than 9 volume percent ethanol, 
the following statement: ``EX--Contains up to X% ethanol. The RVP does 
not exceed [fill in appropriate value] psi.'' The term X refers to the 
maximum volume percent ethanol present in the gasoline.
    (2) The conspicuous statement that the gasoline being shipped 
contains ethanol and the percentage concentration of ethanol as 
described in Sec.  80.27(d)(3) may be used in lieu of the statement 
required under paragraph (b)(1)(vi)(B)(1) of this section.
    (2) Except for transfers to truck carriers, retailers, or wholesale 
purchaser-consumers, product codes may be used to convey the information 
required under paragraph (b)(1) of this section if such codes are 
clearly understood by each transferee.
    (c) The records required by this section must be kept by the 
transferor and transferee for five (5) years from the date they were 
created or received by each party in the distribution system.
    (d) On request by EPA, the records required by this section must be 
made available to the Administrator or the Administrator's authorized 
representative. For records that are electronically generated or 
maintained, the equipment or software necessary to read the records 
shall be made available, or, if requested by EPA, electronic records 
shall be converted to paper documents.

[76 FR 44443, July 25, 2011, as amended at 79 FR 42167, July 18, 2014; 
84 FR 27025, June 10, 2019]



Sec.  80.1504  What acts are prohibited under this subpart?

    No person shall--
    (a)(1) Sell, introduce, cause or permit the sale or introduction of 
gasoline containing greater than 10 volume percent ethanol (i.e., 
greater than E10)

[[Page 630]]

into any model year 2000 or older light-duty gasoline motor vehicle, any 
heavy-duty gasoline motor vehicle or engine, any highway or off-highway 
motorcycle, or any gasoline-powered nonroad engines, vehicles or 
equipment.
    (2) Manufacture or introduce into commerce E15 in any calendar year 
for use in an area prior to commencement of a survey approved under 
80.1502 for that area.
    (3) Be prohibited from manufacturing, selling, introducing, or 
causing or allowing the sale or introduction of gasoline containing 
greater than 10 volume percent ethanol into any flex-fuel vehicle, 
notwithstanding paragraphs (a)(1) and (a)(2) of this section.
    (b) Sell, offer for sale, dispense, or otherwise make available at a 
retail or wholesale purchaser-consumer facility E15 that is not 
correctly labeled in accordance with Sec.  80.1501.
    (c) Fail to fully or timely implement, or cause a failure to fully 
or timely implement, an approved survey required under Sec.  80.1502.
    (d) Fail to generate, use, transfer and maintain product transfer 
documents that accurately reflect the type of product, ethanol content, 
maximum RVP, and other information required under Sec.  80.1503.
    (e)(1) Improperly blend, or cause the improper blending of, ethanol 
into conventional blendstock for oxygenate blending, gasoline or 
gasoline already containing ethanol, in a manner inconsistent with the 
information on the product transfer document under Sec.  
80.1503(a)(1)(vi) or (b)(1)(vi).
    (2) No person shall produce a fuel designated as E10 by blending 
ethanol and gasoline in a manner designed to produce a fuel that 
contains less than 9.0 or more than 10.0 volume percent ethanol.
    (3) No person shall produce a fuel designated as E15 by blending 
ethanol and gasoline in a manner designed to produce a fuel that 
contains less than 10.0 volume percent ethanol or more than 15.0 volume 
percent ethanol.
    (f)-(g) [Reserved]
    (h) Fail to meet any other requirement of this subpart.
    (i) Cause another person to commit an act in violation of paragraphs 
(a) through (h) of this section.

[78 FR 44443, July 25, 2011, as amended at 79 FR 42167, July 18, 2014; 
84 FR 27025, June 10, 2019]



Sec.  80.1505  Who is liable for violations of this subpart?

    (a) Persons liable. Any person who violates Sec.  80.1504(a) through 
(i) is liable for the violation. In addition, when the gasoline 
contained in any storage tank at any facility owned, leased, operated, 
controlled or supervised by any gasoline refiner, gasoline importer, 
oxygenate blender, carrier, distributor, reseller, retailer, or 
wholesale purchaser-consumer is found in violation of the prohibitions 
described in Sec.  80.1504(a), and (c) through (i), the following 
persons shall be deemed in violation:
    (1) Each gasoline refiner, gasoline importer, oxygenate blender, 
carrier, distributor, reseller, retailer, or wholesale purchaser-
consumer who owns, leases, operates, controls or supervises the facility 
where the violation is found.
    (2) Each gasoline refiner or gasoline importer whose corporate, 
trade, or brand name, or whose marketing subsidiary's corporate, trade, 
or brand name, appears at the facility where the violation is found.
    (3) Each gasoline refiner, gasoline importer, oxygenate blender, 
distributor, and reseller who manufactured, imported, sold, offered for 
sale, dispensed, supplied, offered for supply, stored, transported, or 
caused the transportation of any gasoline which is in the storage tank 
containing gasoline found to be in violation.
    (4) Each carrier who dispensed, supplied, stored, or transported any 
gasoline which is in the storage tank containing gasoline found to be in 
violation, provided that EPA demonstrates, by reasonably specific 
showings using direct or circumstantial evidence, that the carrier 
caused the violation.
    (b) For label violations under Sec.  80.1504(b), only the wholesale 
purchaser-consumer or retailer and the branded gasoline refiner or 
branded gasoline importer, if any, shall be liable.

[[Page 631]]

    (c) Each partner to a joint venture, or each owner of a facility 
owned by two or more owners, is jointly and severally liable for any 
violation of this subpart that occurs at the joint venture facility or a 
facility that is owned by the joint owners, or a facility that is 
committed by the joint venture operation or any of the joint owners of 
the facility.
    (d) Any parent corporation is liable for any violations of this 
subpart that are committed by any of its solely-owned subsidiaries.



Sec.  80.1506  What penalties apply under this subpart?

    (a) Any person under Sec.  80.1505 who is liable for a violation 
under Sec.  80.1504 is subject to an administrative or civil penalty, as 
specified in sections 205 and 211(d) of the Clean Air Act, for every day 
of each such violation and the amount of economic benefit or savings 
resulting from the violation.
    (b)(1) Any violation of any requirement that pertains to the ethanol 
content of gasoline shall constitute a separate day of violation for 
each and every day such gasoline giving rise to such violations remains 
any place in the gasoline distribution system, beginning on the day that 
the gasoline that violates such requirement is produced or imported and 
distributed and/or offered for sale, and ending on the last day that any 
such gasoline is offered for sale or is dispensed to any ultimate 
consumer for use in any motor vehicle, unless the violation is corrected 
by altering the properties and characteristics of the gasoline giving 
rise to the violations and any mixture of gasolines that contains any of 
the gasoline giving rise to the violations such that the gasoline or 
mixture of gasolines has the properties and characteristics that would 
have existed if the gasoline giving rise to the violations had been 
produced or imported in compliance with all requirements that pertain to 
the ethanol content of gasoline.
    (2) For the purposes of this paragraph (b), the length of time the 
gasoline in question remained in the gasoline distribution system shall 
be deemed to be 25 days; unless the respective party or EPA demonstrates 
by reasonably specific showings, using direct or circumstantial 
evidence, that the gasoline giving rise to the violations remained any 
place in the gasoline distribution system for fewer than or more than 25 
days.
    (c) Any violation of any affirmative requirement or prohibition not 
included in paragraph (b) of this section shall constitute a separate 
day of violation for each and every day such affirmative requirement is 
not properly accomplished, and/or for each and every day the prohibited 
activity continues. For those violations that may be ongoing each and 
every day the prohibited activity continues shall constitute a separate 
day of violation.



Sec.  80.1507  What are the defenses for acts prohibited under
this subpart?

    (a) Defenses for prohibited activities. (1) In any case in which a 
gasoline refiner, gasoline importer, oxygenate blender, carrier, 
distributor, reseller, retailer, or wholesale purchaser-consumer would 
be in violation under Sec.  80.1504(a), and (c) through (i) it shall be 
deemed not in violation if it can demonstrate:
    (i) That the regulated party or its employee or agent did not 
commit, cause, or contribute to another person's causing the violation;
    (ii) That product transfer documents account for all of the gasoline 
in the storage tank found in violation and indicate that the gasoline 
met relevant requirements; and
    (iii)(A) That it has conducted a quality assurance program, 
including a sampling and testing program, as described in paragraph (b) 
of this section;
    (B) A carrier may rely on the sampling and testing program carried 
out by another party, including the party that owns the gasoline in 
question, provided that the sampling and testing program is carried out 
properly.
    (2)(i) Where a violation is found at a facility which is operating 
under the corporate, trade or brand name of a refiner, that refiner must 
show, in addition to the defense elements required by paragraph (a)(1) 
of this section, that the violation was caused by:
    (A) An act in violation of law (other than the Act or this part), or 
an act of sabotage or vandalism;
    (B) The action of any reseller, distributor, oxygenate blender, 
carrier, or

[[Page 632]]

a retailer or wholesale purchaser-consumer supplied by any of these 
persons, in violation of a contractual undertaking imposed by the 
gasoline refiner designed to prevent such action, and despite periodic 
sampling and testing by the gasoline refiner to ensure compliance with 
such contractual obligation; or
    (C) The action of any carrier or other distributor not subject to a 
contract with the gasoline refiner but engaged by the gasoline refiner 
for transportation of gasoline, despite specification or inspection of 
procedures and equipment by the gasoline refiner which are reasonably 
calculated to prevent such action.
    (ii) In this paragraph (a) of this section, to show that the 
violation ``was caused'' by any of the specified actions the party must 
demonstrate by reasonably specific showings using direct or 
circumstantial evidence, that the violation was caused or must have been 
caused by another.
    (3) For label violations under Sec.  80.1504(b), the branded 
gasoline refiner or branded gasoline importer shall not be deemed liable 
if the requirements of paragraph (b)(4) of this section are met.
    (b) Quality assurance program. In order to demonstrate an acceptable 
quality assurance program for gasoline at all points in the gasoline 
distribution network, other than at retail outlets and wholesale 
purchaser-consumer facilities, a party must present evidence of the 
following in addition to other regular appropriate quality assurance 
procedures and practices.
    (1) A periodic sampling and testing program to determine if the 
gasoline contains applicable maximum and/or minimum volume percent of 
ethanol.
    (2) That on each occasion when gasoline is found in noncompliance 
with one of the requirements referred to in paragraph (b)(1) of this 
section:
    (i) The party immediately ceases selling, offering for sale, 
dispensing, supplying, offering for supply, storing, transporting, or 
causing the transportation of the violating product; and
    (ii) The party promptly remedies the violation (such as by removing 
the violating product or adding more complying product until the 
applicable requirements are achieved).
    (3) An oversight program conducted by a carrier under paragraph 
(b)(1) of this section need not include periodic sampling and testing of 
gasoline in a tank truck operated by a common carrier, but in lieu of 
such tank truck sampling and testing the common carrier shall 
demonstrate evidence of an oversight program for monitoring compliance 
with the requirements of Sec.  80.1504 relating to the transport or 
storage of gasoline by tank truck, such as appropriate guidance to 
drivers on compliance with applicable requirements and the periodic 
review of records normally received in the ordinary course of business 
concerning gasoline quality and delivery.
    (4) The periodic sampling and testing program specified in paragraph 
(b)(1) of this section shall be deemed to have been in effect during the 
relevant time period for any party, including branded gasoline refiners 
and branded gasoline importers, if:
    (i) An EPA approved survey program under Sec.  80.1502 was in effect 
and was implemented fully and properly;
    (ii) Any retailer at which a violation was discovered allowed survey 
inspectors to take samples and inspect labels; and
    (iii) For truck loading terminals and truck distributors that 
perform oxygenate blending, additional quality assurance procedures and 
practices were in place, such as regular checks to reconcile volumes of 
ethanol in inventory and regular checks of equipment for proper ethanol 
blend rates.



Sec.  80.1508  What evidence may be used to determine compliance
with the requirements of this subpart and liability for violations
of this subpart?

    (a) Compliance with the requirements of this subpart pertaining to 
the ethanol content of gasoline shall be determined based on the ethanol 
level of the gasoline, measured using the methodologies specified in 
Sec.  80.46(g). Any evidence or information, including the exclusive use 
of such evidence or information, may be used to establish the ethanol 
content of gasoline if the evidence or information is relevant to 
whether the ethanol content of gasoline would have been in compliance 
with the requirements of this subpart

[[Page 633]]

if the appropriate sampling and testing methodology had been correctly 
performed. Such evidence may be obtained from any source or location and 
may include, but is not limited to, test results using methods other 
than those specified in Sec.  80.46(g), business records, and commercial 
documents.
    (b) Determinations of compliance with the requirements of this 
subpart other than those pertaining to the ethanol content of gasoline, 
and determinations of liability for any violation of this subpart, may 
be based on information obtained from any source or location. Such 
information may include, but is not limited to, business records and 
commercial documents.



Sec.  80.1509  Rounding a test result for purposes of this subpart N.

    The provisions of Sec.  80.9 apply for purposes of determining the 
ethanol content of a gasoline-ethanol blend under this subpart.

[79 FR 42167, July 18, 2014]



                        Subpart O_Gasoline Sulfur

    Source: 79 FR 23655, Apr. 28, 2014, unless otherwise noted.



Sec.  80.1600  Additional definitions for subpart O.

    The definitions of Sec.  80.2 and the following additional 
definitions apply to this subpart O:
    California gasoline means any gasoline designated by a refiner or 
importer for use in California.
    Certified ethanol denaturant means ethanol denaturant that meets the 
requirements of Sec.  80.1611.
    Certified Sulfur-FRGAS has the meaning given in Sec.  80.1666(a)(5).
    Denatured fuel ethanol (DFE) means an alcohol of the chemical 
formula C2H6O which contains a denaturant to make 
it unfit for human consumption, that is produced or imported for use in 
motor gasoline, and that meets the requirements of Sec.  80.1610.
    Foreign refiner is a person who meets the definition of refiner 
under Sec.  80.2(i) for a foreign refinery.
    Foreign refinery means a refinery that is located outside the United 
States. Note that the United States includes the Commonwealth of Puerto 
Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of 
the Northern Mariana Islands.
    Non-Certified Sulfur-FRGAS has the meaning given in Sec.  
80.1666(a)(6).
    Non-Sulfur-FRGAS has the meaning given in Sec.  80.1666(a)(4).
    Sulfur-FRGAS has the meaning given in Sec.  80.1666(a)(3).
    Transmix has the meaning given at Sec.  80.84(a)(2).
    Transmix blender has the meaning given at Sec.  80.84(a)(7).
    Transmix gasoline product (TGP) has the meaning given at Sec.  
80.84(a)(3).
    Transmix processing facility has the meaning given at Sec.  
80.84(a)(4).
    Transmix processor has the meaning given at Sec.  80.84(a)(5).

[79 FR 23655, Apr. 28, 2014, as amended at 85 FR 7084, Feb. 6, 2020]



Sec.  80.1601  Fuels subject to the provisions of this subpart.

    (a) For the purposes of this subpart, the following fuels are 
subject to the standards and requirements of this subpart:
    (1) Reformulated and conventional gasoline and RBOB, and CBOB 
(collectively called ``gasoline'' unless otherwise specified).
    (2) Any blendstock blended with PCG, as defined in Sec.  80.2(d).
    (3) Oxygenates blended with gasoline, RBOB, or CBOB.
    (b) For the purposes of this subpart, the following fuels are not 
subject to the standards and requirements of this subpart:
    (1) Gasoline that is used to fuel aircraft, racing vehicles or 
racing boats that are used only in sanctioned racing events, provided 
that--
    (i) Product transfer documents associated with such gasoline, and 
any pump stand from which such gasoline is dispensed, identify the 
gasoline either as gasoline that is restricted for use in aircraft, or 
as gasoline that is restricted for use in racing motor vehicles or 
racing boats that are used only in sanctioned racing events;
    (ii) The gasoline is completely segregated from all other gasoline 
throughout production, distribution and sale to the ultimate consumer; 
and

[[Page 634]]

    (iii) The gasoline is not made available for use as motor vehicle 
gasoline, or dispensed for use in motor vehicles, except for motor 
vehicles used only in sanctioned racing events.
    (2) California gasoline as defined in Sec.  80.1600 subject to the 
provisions of Sec.  80.1654.
    (3) Gasoline that is exported for sale and use outside the United 
States.
    (4) Exempt fuels under Sec. Sec.  80.1655 (national security 
exemptions), 80.1656 (gasoline used for research, development, or 
testing purposes), and 80.1658 (gasoline used in American Samoa, Guam, 
and the Northern Mariana Islands).



Sec.  80.1602  Applicability.

    (a) The provisions of this subpart O shall apply beginning January 
1, 2017, unless otherwise provided.
    (b) The standards and requirements for gasoline sulfur under subpart 
H of this part shall continue to apply until the gasoline produced or 
imported by any refiner or importer is required to comply with the 
standards and requirements under this subpart O.



Sec.  80.1603  Gasoline sulfur standards for refiners and importers.

    (a) Sulfur standards--(1) Annual average standard. (i) The refinery 
or importer annual average gasoline sulfur standard is 10.00 parts per 
million (ppm) or milligrams per kilogram (mg/kg), except as provided in 
paragraph (a)(1)(iii) of this section.
    (ii) The averaging period is a calendar year (January 1 through 
December 31).
    (iii) The refinery or importer annual average gasoline sulfur 
standard is the maximum average sulfur level allowed for gasoline 
produced at a refinery or imported by an importer during each calendar 
year beginning January 1, 2017, except as provided by the following:
    (A) The credit use provisions of Sec.  80.1616.
    (B) Beginning January 1, 2020, for small refiners and small volume 
refineries approved pursuant to the provisions of Sec.  80.1622. Small 
refiners and small volume refineries will continue to be subject to the 
provisions of subpart H of this part through December 31, 2019 (or until 
compliance with this subpart O begins).
    (C) Fuels not subject to the standards and requirements of this 
subpart O as specified in Sec.  80.1601(b).
    (iv) The annual average sulfur level is calculated in accordance 
with paragraph (c) of this section.
    (2) Per-gallon cap standard. (i) The refinery or importer per-gallon 
cap standard is 80 ppm, on a per-gallon basis except as otherwise 
provided by this section.
    (ii) The per-gallon cap of paragraph (a)(2)(i) of this section is 
the maximum sulfur level allowed for any batch of gasoline produced at a 
refinery or imported by an importer beginning January 1, 2017, except 
for fuels not subject to the standards and requirements of this subpart 
O as specified in Sec.  80.1601(b).
    (3) Use of credits. The refinery or importer annual average gasoline 
sulfur standard may be met using credits as provided under Sec.  
80.1616. Credits cannot be used to meet the applicable per-gallon 
standard.
    (b) [Reserved]
    (c) Calculation of the annual average sulfur level. (1) The annual 
refinery or importer average gasoline sulfur level is calculated as 
follows:
[GRAPHIC] [TIFF OMITTED] TR28AP14.141

Where:

Sa = The refinery or importer annual average sulfur level, in ppm (mg/
          kg).
Vi = The volume of gasoline produced or imported in batch i, in gallons.
Si = The sulfur content of batch i determined under Sec.  80.1630, in 
          ppm (mg/kg).
n = The number of batches of gasoline produced or imported during the 
          averaging period.
i = Individual batch of gasoline produced or imported during the 
          averaging period.

    (2) The annual average sulfur level calculation in paragraph (c)(1) 
of this section shall be conducted to two decimal places using the 
rounding procedure specified in Sec.  80.9.
    (d) Oxygenate added downstream from the refinery or import facility. 
A refiner or importer may include oxygenate added downstream from the 
refinery or import facility when calculating the

[[Page 635]]

sulfur content of a batch, provided that the following requirements are 
met:
    (1) The refiner or importer shall calculate the sulfur content of 
the batch by volume weighting the sulfur content of the gasoline or BOB 
and the sulfur content of the added oxygenate pursuant to one of the 
methods listed in paragraphs (d)(1)(i) and (ii) of this section. A 
refiner or importer must choose to use only one method during each 
annual compliance period.
    (i) Testing the sulfur content of a sample of the oxygenate pursuant 
to Sec.  80.46 or Sec.  80.47, as applicable. The refiner or importer 
must demonstrate through records relating to sampling, testing, and 
blending that the test result was derived from a representative sample 
of the oxygenate that was blended with the batch of gasoline or BOB.
    (ii) If the oxygenate is denatured fuel ethanol, and the sulfur 
content has not been tested under paragraph (d)(1)(i) of this section, 
then the sulfur content must be assumed to be 5.00 ppm.
    (2) For denatured fuel ethanol, the refiner or importer may assume 
that the denatured fuel ethanol was blended with gasoline or BOB at a 
concentration of 10 volume percent, unless the refiner or importer can 
demonstrate that a different amount of denatured fuel ethanol was 
actually blended with a batch of gasoline or BOB.
    (i) The refiner or importer of conventional gasoline or CBOB must 
comply with the requirements of Sec.  80.101(d)(4)(ii).
    (ii) The refiner or importer of reformulated gasoline or RBOB must 
comply with the requirements of Sec.  80.69(a).
    (iii) Any gasoline or BOB must meet the per-gallon sulfur standard 
of paragraph (a)(2) of this section prior to calculating any dilution 
from the oxygenate added downstream.
    (iv) The reported volume of the batch is the combined volume of the 
reformulated gasoline, RBOB, conventional gasoline, or CBOB and the 
downstream added oxygenate.
    (3) The refiner or importer who first certifies the gasoline, CBOB, 
or RBOB is the only person who may account for the downstream addition 
of oxygenate pursuant to the requirements of paragraph (d) of this 
section. On any occasion where any person downstream of the refinery or 
importer that produced or imported previously certified gasoline, CBOB 
or RBOB adds oxygenate to such product, it shall not include the volume 
and sulfur content of the oxygenate in any compliance calculations or 
for credit generation under this subpart O.
    (e) Exclusions. Refiners and importers must exclude from compliance 
calculations all the following:
    (1) Gasoline that was not produced at the refinery or imported by 
the importer.
    (2) In the case of an importer, gasoline that was imported as 
Certified Sulfur-FRGAS.
    (3) Blendstocks transferred to others, except RBOB and CBOB as 
provided in this subpart O.
    (4) Previously certified gasoline (PCG).
    (5) Gasoline exempted from standards under Sec.  80.1601(b).
    (f) Compliance calculation for the annual average sulfur standard. 
(1) Compliance by a refinery or importer with the gasoline sulfur annual 
average standard at paragraph (a)(1) of this section is achieved if, for 
calendar year y, the compliance sulfur value is less than or equal to 10 
times the total gasoline volume produced or imported, as determined by 
the following equation:

CSVy = (Vy x Sa) + D(y-1) - OC

Where:

CSVy = Compliance sulfur value for year y, in ppm-gallons.
Vy = Total gasoline volume produced or imported in year y, in gallons.
Sa = Annual average sulfur level calculated in accordance with paragraph 
          (c) of this section, in ppm (mg/kg).
D(y-1) = Sulfur deficit from the previous reporting period, per Sec.  
          80.1605, in ppm-gallons.
OC = Sulfur credits used by the refinery or importer to show compliance, 
          in ppm-gallons.

    (2) Sulfur credits used in the calculation specified in paragraph 
(f)(1) of this section must be used in accordance with the requirements 
at Sec.  80.1616.
    (3) Compliance with the gasoline sulfur annual average standard at 
paragraph (a)(1) of this section is not achieved, and a deficit is 
created per Sec.  80.1605, if for calendar year y, the

[[Page 636]]

compliance sulfur value is greater than 10 times the total gasoline 
volume produced or imported. The deficit value to be included in the 
following year's compliance calculation per paragraph (f) of this 
section is calculated as follows:

Dy = CSVy - (Vy x 10y)

Where:

Dy = Sulfur deficit created in compliance period y, in ppm-gallons.

[79 FR 23655, Apr. 28, 2014, as amended at 85 FR 7084, Feb. 6, 2020]



Sec.  80.1604  Gasoline sulfur standards and requirements for parties
downstream of refiners and importers.

    (a) The sulfur standard for gasoline at any downstream location 
shall be determined in accordance with the provisions of this section. A 
downstream location is any point in the gasoline distribution system 
downstream from refineries and import facilities, including, but not 
limited to, facilities of any of the following parties:
    (1) Distributors.
    (2) Carriers.
    (3) Oxygenate blenders.
    (4) Retailers.
    (5) Wholesale purchaser-consumers.
    (b) Except as otherwise provided in this subpart O, the sulfur 
content of gasoline at any downstream location shall not exceed 95 ppm, 
on a per-gallon basis, beginning January 1, 2017.



Sec.  80.1605  Deficit carryforward for refiners and importers.

    (a) Deficit carryforward. A refiner or importer may exceed the 
annual average sulfur standard for a given calendar year, creating a 
compliance deficit, provided that, in the calendar year following the 
year the standard is not met, the refinery or importer--
    (1) Achieves compliance with the annual average sulfur standard in 
Sec.  80.1603(a)(1); and
    (2) Uses additional sulfur credits sufficient to offset the 
compliance deficit of the previous year.
    (b) The compliance deficit value shall be calculated in accordance 
with Sec.  80.1603(f)(3).



Sec.  80.1606  [Reserved]



Sec.  80.1607  Gasoline sulfur standards and requirements for 
transmix processors and transmix blenders.

    Transmix processors and transmix blenders may comply with the 
following sampling and testing requirements and standards instead of the 
sampling and testing requirements and standards otherwise applicable to 
a refiner under this subpart O.
    (a) Any transmix processor who recovers transmix gasoline product 
(TGP) from transmix through transmix processing under Sec.  80.84(c) 
must show through sampling and testing (using the methods in Sec.  
80.1630) that the TGP meets the applicable sulfur standards under Sec.  
80.1604(b), prior to the TGP leaving the transmix processing facility.
    (b) The sampling and testing required under paragraph (a) of this 
section shall be conducted following each occasion TGP is produced.
    (c) Any transmix processor who produces gasoline by adding 
blendstock to TGP must, for such blendstock, comply with all 
requirements and standards that apply to a refiner under this subpart O, 
and must meet the downstream sulfur standards under Sec.  80.1604 for 
the gasoline produced by blending blendstock and TGP, prior to the 
gasoline leaving the transmix processing facility.
    (d) Any transmix processor who produces gasoline by blending 
blendstock into TGP must meet the sampling and testing requirements of 
this subpart O using one of the following methods:
    (1) Option 1. (i) Sample and test the blendstock that will be added 
to TGP during the compliance year when received at the transmix 
processing facility, using the methods specified in Sec.  80.1630, to 
determine the volume and sulfur content, and treat each volume of 
blendstock that is blended into a volume of TGP as a separate batch for 
purposes of calculating and reporting compliance with the applicable 
annual average and per-gallon cap sulfur standards in Sec.  80.1603.
    (ii) Use sulfur test results of the blendstock supplier provided 
that all the following requirements are met:

[[Page 637]]

    (A) Sampling and testing by the blendstock supplier is performed 
using the methods specified in Sec.  80.1630.
    (B) Testing for the sulfur content of the blendstock in the 
supplier's storage tank must be conducted following the last receipt of 
blendstock into the supplier's storage tank that supplies the transmix 
processor.
    (C) The transmix processor must obtain a copy of the blendstock 
supplier's test results, reflecting the sulfur content of each load of 
blendstock supplied to the transmix processor, at the time of each 
transfer of blendstock to the transmix processor.
    (D) The transmix processor must conduct a quality assurance program 
of sampling and testing for each blendstock supplier. The frequency of 
blendstock sampling and testing must be one sample for every 500,000 
gallons of blendstock received or one sample every 3 months, whichever 
results in more frequent sampling.
    (iii) If any of the requirements of paragraph (d)(1)(ii) of this 
section are not met, in whole or in part, for any blendstock blended 
into TGP, the gasoline produced with that blendstock is deemed in 
violation of the gasoline sulfur standards of this subpart O.
    (2) Option 2. (i) Sample and test each batch of TGP and determine 
the volume of the TGP.
    (ii) Sample and test the gasoline produced by blending blendstock 
into TGP, and determine its volume.
    (iii) Calculate the sulfur content and the volume of the batch by 
subtracting the volume and sulfur content of the TGP from the volume and 
sulfur content of the gasoline after blendstock blending. For purposes 
of compliance and reporting, the sulfur content shall be the calculated 
volume and sulfur content of the blendstock, and the applicable 
standards shall be the average and cap standards in Sec.  80.1603. The 
applicable cap standard of the gasoline blend shall be the cap standard 
under Sec.  80.1604.
    (iv) Tests shall be performed using the methods specified in Sec.  
80.1630, to determine the sulfur content of the batch.
    (v) The sulfur content of each batch of gasoline produced by 
blending blendstock into TGP must be no greater than the downstream 
sulfur standard under Sec.  80.1604 applicable to the designation of the 
TGP.
    (e) Any transmix blender who produces gasoline by blending transmix, 
or mixtures of gasoline and distillate fuel described in Sec.  80.84(e), 
into previously certified gasoline under Sec.  80.84(d) must meet the 
applicable downstream sulfur standards under Sec.  80.1604 for the 
gasoline produced by blending transmix and previously certified gasoline 
and the endpoint standard specified in Sec.  80.84.
    (f) Any transmix processor or transmix blender who adds any 
feedstock to its transmix other than gasoline, distillate fuel, or 
gasoline blendstocks from pipeline interface must meet all requirements 
and standards that apply to a refiner under this subpart O for all 
gasoline it produces during a compliance period.



Sec.  80.1608  [Reserved]



Sec.  80.1609  Oxygenate blender requirements.

    (a) Oxygenate blenders who blend only oxygenate that complies with 
the requirements of paragraph (b) of this section into gasoline 
downstream of the refinery that produced the gasoline or the import 
facility where the gasoline was imported are not subject to the refiner 
or importer requirements of this subpart for such gasoline, but are 
subject to the requirements and prohibitions applicable to downstream 
parties in this subpart. Such oxygenate blenders are subject to the 
requirements of paragraph (b) of this section, the requirements and 
prohibitions applicable to downstream parties, the requirements of Sec.  
80.1603(d)(3), and the prohibition specified in Sec.  80.1660(e).
    (b) Beginning January 1, 2017, the DFE or other oxygenate used must 
comply with the requirements of Sec.  80.1610 and all of the other 
requirements of this subpart O. Prior to January 1, 2017, DFE is subject 
to the sulfur requirements of Sec.  80.385(e).

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9098, Feb. 19, 2015; 85 
FR 7084, Feb. 6, 2020]

[[Page 638]]



Sec.  80.1610  Standards and requirements for producers and importers
of denatured fuel ethanol and other oxygenates designated for use in
transportation fuel.

    Beginning January 1, 2017, producers and importers of denatured fuel 
ethanol (DFE) or other oxygenates designated for use in transportation 
fuel must comply with the following requirements:
    (a) Standards. (1) The sulfur content must not be greater than 10 
ppm.
    (2) The DFE or other oxygenate must be composed solely of carbon, 
hydrogen, nitrogen, oxygen and sulfur.
    (3) In the case of DFE, only previously certified gasoline 
(including previously certified blendstocks for oxygenate blending), 
gasoline blendstocks, or natural gas liquids may be used as denaturants.
    (4) The concentration of all denaturants used in DFE is limited to a 
maximum of 3.0 volume percent.
    (b) Registration. Unless registered under Sec.  80.1450, the 
producer or importer of DFE or other oxygenate must register with EPA 
pursuant to the requirements of Sec.  80.1650.
    (c) PTDs. In addition to any other product transfer document 
requirements under this part, on each occasion when any person transfers 
custody or title to any oxygenate upstream of any oxygenate blending 
facility, the transferor shall provide to the transferee product 
transfer documents which include the following information:
    (1) For DFE, ``Denatured fuel ethanol, maximum 10 ppm sulfur.''; or
    (2) For oxygenates other than DFE, The name of the specific 
oxygenate must be identified on the PTD, followed by ``maximum 10 ppm 
sulfur''.
    (3) PTDs that are complaint with the requirements in paragraph (c) 
of this section must be transferred from each party transferring 
oxygenate to each party that receives oxygenate through to the oxygenate 
blender.
    (4) Alternative PTD language to that specified in paragraphs (c)(1) 
and (2) of this section may be used as approved by EPA.
    (d) Batch numbers. Every batch of oxygenate produced or imported at 
oxygenate production or import facility shall be assigned a number (the 
``batch number''), consisting of the EPA-assigned oxygenate producer or 
importer registration number, the EPA facility registration number, the 
last two digits of the year in which the batch was produced, and a 
unique number for the batch, beginning with the number one for the first 
batch produced or imported each calendar year and each subsequent batch 
during the calendar year being assigned the next sequential number 
(e.g., 4321-54321-95-000001, 4321-54321-95-000002, etc.). An alternative 
batch numbering protocol may be used as approved by the Administrator.
    (e) Annual Reports. Submit annual reports to EPA pursuant to the 
requirements of Sec.  80.1652.



Sec.  80.1611  Standards and requirements for certified ethanol
denaturant.

    Producers and importers of ethanol denaturant that is suitable for 
the manufacture of denatured fuel ethanol (DFE) meeting federal quality 
requirements may designate the denaturant as certified ethanol 
denaturant if the following requirements are met.
    (a) Standards. (1) The sulfur content must not be greater than 330 
ppm as determined in accordance with the test requirements of Sec.  
80.1630. If the denaturant manufacturer represents a batch of denaturant 
as having a maximum sulfur content lower than 330 ppm in the PTD (for 
example, no greater than 120 ppm), then the actual sulfur content must 
be no greater than the stated value as determined in accordance with the 
requirements of Sec.  80.1644.
    (2) The ethanol denaturant must be composed solely of carbon, 
hydrogen, nitrogen, oxygen and sulfur.
    (3) Only previously certified gasoline (including previously 
certified blendstocks for oxygenate blending), gasoline blendstocks, or 
natural gas liquids may be used as denaturants.
    (b) Registration. Unless registered under Sec.  80.76, Sec.  80.103, 
or Sec.  80.1450, the producer or importer of ethanol denaturant must 
register with EPA pursuant to the requirements of Sec.  80.1650.
    (c) PTDs. In addition to any other product transfer document 
requirements under this part 80, on each occasion when any person 
transfers custody

[[Page 639]]

or title to any certified ethanol denaturant upstream of a DFE 
production or import facility, the transferor shall provide to the 
transferee product transfer documents which include all the following 
information.
    (1) The following statement: ``Certified Ethanol Denaturant suitable 
for use in the manufacture of denatured fuel ethanol meeting EPA 
standards.''
    (2) The PTD must state the sulfur content is 330 ppm or less, or if 
the certified ethanol denaturant manufacturer represents a batch of 
denaturant as having a maximum sulfur content lower than 330 ppm the PTD 
must state that lower sulfur maximum (e.g., has a sulfur content of 120 
ppm or less).
    (3) Alternative PTD language to that specified in paragraph (c)(1) 
of this section may be used as approved by EPA.
    (d) Batch numbers. Every batch of certified ethanol denaturant 
produced or imported at a denaturant production or import facility shall 
be assigned a number (the ``batch number''), consisting of the EPA-
assigned ethanol denaturant producer or importer registration number, 
the EPA facility registration number, the last two digits of the year in 
which the batch was produced, and a unique number for the batch, 
beginning with the number one for the first batch produced or imported 
each calendar year and each subsequent batch during the calendar year 
being assigned the next sequential number (e.g., 4321-54321-95-000001, 
4321-54321-95-000002, etc.).

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9099, Feb. 19, 2015]



Sec.  80.1612  [Reserved]



Sec.  80.1613  Standards and other requirements for gasoline
additive manufacturers and blenders.

    Gasoline additive manufacturers and blenders must meet the following 
requirements:
    (a) Gasoline additive manufacturers, as defined in 40 CFR 79.2(f), 
who manufacture additives with a maximum allowed treatment rate of less 
than 1.0 volume percent must meet all the following requirements:
    (1) The additive must contribute no more than 3 ppm on a per gallon 
basis to the sulfur content of gasoline when used at the maximum 
recommended treatment rate.
    (2) The additive manufacturer must maintain records of its additive 
production quality control activities which demonstrates that the sulfur 
content of additive production batches complies with the sulfur 
requirement in paragraph (a)(1) of this section and make these records 
available to EPA upon request.
    (3) The maximum treatment rate on the product transfer document for 
the additive must state all the following:
    (i) The maximum registered concentration.
    (ii) The maximum allowed treatment rate which corresponds to the 
maximum registered concentration. The maximum allowed concentration must 
be less than 1.0% by volume.
    (b) Any person who blends an additive that meets the requirements of 
paragraph (a) in this section into PCG is not subject to any requirement 
of this subpart O, except the downstream gasoline sulfur standard of 
Sec.  80.1604(b) and the prohibition in Sec.  80.1660(f), if all the 
following conditions are met:
    (1) The person blends the additive to PCG at a concentration of less 
than 1.0% by volume.
    (2) The person does not add any other blendstock or additive except 
for oxygenates meeting the requirements of Sec.  80.1610 and additives 
meeting the requirements of this section to PCG.
    (3) The person does not add the additive at a concentration that 
contributes more than 3 ppm on a per gallon basis to the sulfur content 
of gasoline.
    (c) Any person who blends any additive that does not meet the 
requirements of paragraphs (a) and (b) of this section, is subject to 
all of the requirements of this subpart O, including the standards and 
requirements at Sec.  80.1640 that apply to refiners producing gasoline 
by blending blendstocks into PCG.
    (d) Oxygenates subject to the 10 ppm per-gallon sulfur standard and 
the requirements of Sec.  80.1610 are not subject to the provisions of 
this section. On any occasion where the additive blender is solely 
acting as an oxygenate blender, as defined in Sec.  80.2(mm), it is 
subject to the downstream gasoline

[[Page 640]]

sulfur standard of Sec.  80.1604(b) and the prohibition in Sec.  
80.1660(e).

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9099, Feb. 19, 2015]



Sec.  80.1614  [Reserved]



Sec.  80.1615  Credit generation.

    (a) Any of the following entities may generate credits under this 
subpart O:
    (1) U.S. refiners, including small refiners under Sec.  80.1620, and 
refiners owning small volume refineries under Sec.  80.1621.
    (2) Importers.
    (3) Credits may not be generated by transmix processors, producers 
or blenders of ethanol and other oxygenates, butane blenders using the 
flexibilities in Sec.  80.82, or pentane blenders using the 
flexibilities in Sec.  80.85.
    (b) Beginning with the 2014 annual averaging period, the number of 
credits generated for use in complying with the annual average standards 
of either subpart H of this part or Sec.  80.1603(a) shall be calculated 
annually for each applicable averaging period according to the following 
equation (pursuant to Sec.  80.310):

CRa = Va x (SCredit - Sa)

Where:

CRa = Credits generated for the averaging period.
Va = Total annual volume of gasoline produced at a refinery 
          or imported during the averaging period.
SCredit = 30.00 ppm.
Sa = Actual annual average sulfur level, calculated in 
          accordance with the provisions of Sec.  80.205, for gasoline 
          produced at a refinery or imported during the averaging 
          period, exclusive of any credits. The value of Sa 
          must be less than 30.00.

    (c) Except as provided in paragraph (d) of this section, beginning 
with the 2017 annual averaging period, the number of credits generated 
for use in complying with the annual average standards of Sec.  
80.1603(c)(1) shall be calculated annually for each applicable averaging 
period according to the following equation:

CRa = Va x (10 - Sa)

Where:

CRa = Credits generated for the averaging period for use in 
          complying with the annual average standards of Sec.  
          80.1603(a).
Va = Total annual volume of gasoline produced at a refinery 
          or imported during the averaging period.
Sa = Actual annual average sulfur level, calculated in 
          accordance with the provisions of Sec.  80.1603(c)(1), for 
          gasoline produced at a refinery or imported during the 
          averaging period, exclusive of any credits. The value of 
          Sa must be less than 10.00.

    (d) For approved small refiners and small volume refineries only, 
the number of credits generated from January 1, 2017 through December 
31, 2019 shall be calculated annually for each applicable averaging 
period as follows:
    (1) From January 1, 2017 through December 31, 2019, if a small 
refiner or small volume refinery has an annual average sulfur level 
(Sa) less than 30.00 ppm but greater than 10.00 ppm, the 
refiner may generate credits using the equation specified in paragraph 
(b) of this section for use in complying with the annual average 
standards of subpart H of this part.
    (2) From January 1, 2017 through December 31, 2019, if a small 
refiner or small volume refinery has an annual average sulfur level 
(Sa) less than 10.00 ppm, the refiner may generate credits 
using the equation specified in paragraph (c) of this section for use in 
complying with the annual average standards of Sec.  80.1603(c)(1) and 
the following equation for complying with the annual average standards 
of subpart H of this part:

CRT2 = Va x (20.00)

Where:

CRT2 = Credits generated for the averaging period for use in 
          complying with the annual average standards of subpart H of 
          this part only.
Va = Total annual volume of gasoline produced at a refinery 
          or imported during the averaging period.


(For example: A small refiner with an annual average sulfur level of 8 
ppm in 2018 may generate CRa = 2 ppm-volume credits (10-8) 
for compliance with the annual average standards of Sec.  80.1603(c)(1) 
plus CRT2 = 20 ppm-volume credits (30-10) for compliance with 
the annual average sulfur standards of subpart H of this part.)
    (3) Beginning January 1, 2020, small refiners and small volume 
refineries

[[Page 641]]

must follow paragraph (c) of this section for calculating credits under 
this subpart O.
    (e) No credits shall be generated--
    (1) Under paragraphs (b), (c) and (d) of this section unless the 
value of CRa is positive.
    (2) Under paragraph (d)(2) of this section unless the value of 
CRT2 is positive.
    (f) The values of CRa and CRT2 shall be 
rounded to the nearest ppm-gallon in accordance with the rounding 
procedure specified in Sec.  80.9.
    (g) A refiner or importer that includes downstream added oxygenates 
in its RFG or conventional gasoline volume under the provisions of 
Sec. Sec.  80.69 and 80.101(d)(4), respectively and Sec. Sec.  80.340 
and 80.1603(d), shall include the downstream added oxygenate for the 
purpose of generating credits under paragraphs (b) through (d) of this 
section.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9099, Feb. 19, 2015]



Sec.  80.1616  Credit use and transfer.

    (a) Credit use. (1) Only refiners and importers may generate, use, 
transfer or own credits generated under this subpart O.
    (2) CRa credits generated pursuant to subpart H of this 
part in the 2012 and 2013 averaging periods and generated pursuant to 
Sec.  80.1615 may be used by refiners and importers to meet the 
applicable annual average sulfur standards of Sec.  80.1603(a)(1).
    (3) CRa credits generated under Sec.  80.1615 may be used 
to meet the requirements of either subpart H of this part or this 
subpart O, subject to the credit life restrictions in paragraph (b) of 
this section.
    (4) [Reserved]
    (5) Credits generated under Sec.  80.1615(c) may only be used to 
meet the requirements of this subpart O.
    (6) CRT2 credits generated under Sec.  80.1615(d) may 
only be used to meet the requirements of subpart H of this part.
    (b) Credit life. (1) Except as provided in paragraph (b)(2) of this 
section, credits are valid for use for five years after the year in 
which they are generated.
    (2) Credits generated under Sec.  80.1615(b) through (d) are valid 
for use for five years after the year in which they are generated, 
except that any CRa credits generated in 2015 and 2016 and 
any remaining CRT2 credits will expire and become invalid 
after December 31, 2019 (with the 2019 annual compliance report, due 
March 31, 2020).
    (3) A refiner or importer possessing credits must use all credits 
prior to falling into a compliance deficit.
    (4) In no case may a credit be transferred more than twice before 
being used or terminated.
    (c) Credit transfers. (1) Credits obtained from other refiners or 
importers may be used to meet the annual average standards of this 
subpart O, if all the following conditions are met:
    (i) The credits are generated and reported according to the 
requirements of this subpart O.
    (ii) The credits are used in compliance with the limitations 
regarding the appropriate periods for credit use pursuant to paragraph 
(a) of this section.
    (iii) Any credit transfer takes place by March 31 following the 
calendar year averaging period when the credits are used.
    (iv) The credit has not been transferred between EPA registered 
companies more than twice. The first transfer by the refiner or importer 
who generated the credit (``transferor'') may only be made to a refiner 
or importer who intends to use the credit (``transferee''); if the 
transferee cannot use the credit, it may make the second, and final, 
transfer only to a refiner or importer who intends to use the credit. 
Credit transfers that occur within a company are unlimited.
    (v) The credit transferor must apply any credits necessary to meet 
the transferor's applicable average standard before transferring credits 
to any other refiner or importer.
    (vi) The credit transferor does not create a negative credit balance 
as a result of the credit transfer.
    (vii) Each transferor must supply to the transferee records 
indicating all the following:
    (A) The years the credits were generated.
    (B) The identity of the refiner or importer who generated the 
credits.

[[Page 642]]

    (C) The identity of the transferring party (if it is not the same 
party that generated the credits).
    (2) In the case of credits that have been calculated or created 
improperly, or are otherwise determined to be invalid, all the following 
provisions apply:
    (i) Invalid credits cannot be used to achieve compliance with the 
transferee's averaging standard, regardless of the transferee's good 
faith belief that the credits were valid.
    (ii) The refiner or importer who used the credits, and any 
transferor of the credits, must adjust their credit records and reports 
and sulfur calculations as necessary to reflect the proper credits.
    (iii) Any properly created credits existing in the transferor's 
credit balance after correcting the credit balance, and after the 
transferor applies credits as needed to meet the average standard at the 
end of the compliance year, must first be applied to correct the invalid 
transfers before the transferor trades or banks the credits.
    (3) CRT2 credits generated under Sec.  80.1615(d) from 
January 1, 2017, through December 31, 2019, may only be traded to and 
ultimately used from January 1, 2017, through December 31, 2019, by 
small refiners and small volume refineries approved under Sec.  80.1622.

[79 FR 23655, Apr. 28, 2014, as amended at 81 FR 23645, Apr. 22, 2016; 
85 FR 7085, Feb. 6, 2020]



Sec. Sec.  80.1617-80.1619  [Reserved]



Sec.  80.1620  Small refiner definition.

    (a) For the purposes of this subpart O, a gasoline small refiner is 
defined as any refiner who meets all the following criteria and has been 
approved by EPA as a small refiner per Sec.  80.1622:
    (1) Produces gasoline at its refineries by processing crude oil 
through refinery processing units.
    (2) Employed an average of no more than 1,500 people, based on the 
average number of employees for all pay periods for calendar year 2012 
for all subsidiary companies, all parent companies, all subsidiaries of 
the parent companies, and all joint venture partners.
    (3) Had a corporate-average crude oil capacity less than or equal to 
155,000 barrels per calendar day (bpcd) for 2012.
    (b) For the purposes of this section, the term ``refiner'' shall 
include foreign refiners.
    (c) The number of employees and crude oil capacity under paragraph 
(a) of this section shall be determined as follows:
    (1) The refiner shall include the employees and crude oil capacity 
of any subsidiary companies, any parent company and subsidiaries of the 
parent company in which the parent has 50 percent or greater ownership, 
and any joint venture partners.
    (2) For any refiner owned by a governmental entity, the number of 
employees and total crude oil capacity as specified in paragraph (a) of 
this section shall include all employees and crude oil production of the 
government to which the governmental entity is a part.
    (d) Notwithstanding the provisions of paragraphs (a) and (e)(1) of 
this section, a refiner that acquires or reactivates a refinery that was 
shut down or non-operational during calendar year 2012, may apply for 
small refiner status under this subpart O.
    (e) The following are ineligible for small refiner provisions under 
this subpart O:
    (1) Refiners with refineries built or started up on or after January 
1, 2013.
    (2) Persons who exceed the employee or crude oil capacity criteria 
under this section on January 1, 2013, but who meet these criteria after 
that date, regardless of whether the reduction in employees or crude oil 
capacity is due to operational changes at the refinery or a company sale 
or reorganization.
    (3) Importers.
    (4) Refiners who produce gasoline other than by processing crude oil 
through refinery processing units.
    (f)(1) A refiner approved as a small refiner under Sec.  80.1622 who 
subsequently ceases production of gasoline from processing crude oil 
through refinery processing units, employs more than 1,500 people, or 
exceeds the 155,000 bpcd crude oil capacity limit after January 1, 2013 
as a result of merger with or acquisition of or by another entity, is 
disqualified as a small refiner, except

[[Page 643]]

as provided for under paragraph (f)(4) of this section. If such 
disqualification occurs, the refiner shall notify EPA in writing no 
later than 20 days following the disqualifying event.
    (2) Except as provided under paragraph (f)(3) of this section, any 
refiner whose status changes under this paragraph (f) shall meet the 
applicable standards of Sec.  80.1603 within a period of up to 30 months 
from the disqualifying event for any of its refineries that were 
previously subject to the small refiner standards of Sec.  80.1623.
    (3) A refiner may apply to EPA for up to an additional six months to 
comply with the standards of Sec.  80.1603 if more than 30 months would 
be required for the necessary engineering, permitting, construction, and 
start-up work to be completed. Such applications must include detailed 
technical information supporting the need for additional time. EPA will 
base a decision to approve additional time on information provided by 
the refiner and on other relevant information.
    (4) Disqualification under this paragraph (f) of this section shall 
not apply in the case of a merger between two previously approved small 
refiners.
    (5) If a refiner receives a delay per paragraphs (f)(2) and/or 
(f)(3) of this section, the refiner may not generate gasoline sulfur 
credits under this subpart O during that 30 or 36 month period.
    (6) All written notifications to EPA should be submitted to the 
address listed in Sec.  80.1622.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9099, Feb. 19, 2015]



Sec.  80.1621  Small volume refinery definition.

    (a) For the purposes of this subpart O, a gasoline small volume 
refinery is defined as any refinery that meets all the following 
criteria, and has been approved by EPA as a small volume refinery per 
Sec.  80.1622:
    (1) Produces gasoline by processing crude oil through refinery 
processing units.
    (2) The average aggregate daily crude oil throughput, including 
feedstocks derived from crude oil, for the calendar year 2012 (as 
determined by dividing the aggregate throughput for the calendar year by 
the number of days in the calendar year) does not exceed 75,000 barrels. 
Throughput means the total crude oil feedstock input into the refinery 
less volumes injected into the crude oil supply after refinery 
processing.
    (b) The following are ineligible for the small volume refinery 
provisions under this subpart O:
    (1) Refineries built or started up on or after January 1, 2013.
    (2) Persons who exceed the crude oil throughput under this section 
for calendar year 2012 but who meet these criteria after that date, 
regardless of whether the reduction in crude oil capacity is due to 
operational changes at the refinery or a company sale or reorganization.
    (3) Importers.
    (4) Refineries that produce gasoline other than by processing crude 
oil through refinery processing units.
    (c) [Reserved]
    (d)(1) A refinery approved as a small volume refinery under Sec.  
80.1622 that subsequently ceases production of gasoline from processing 
crude oil through refinery processing units or exceeds the 75,000 barrel 
average aggregate daily crude oil throughput limit is disqualified as a 
small volume refinery. If such disqualification occurs, the refinery 
shall notify EPA in writing no later than 20 days following the 
disqualifying event.
    (2) Any refinery whose status changes under this paragraph (d) shall 
meet the applicable standards of Sec.  80.1603 within a period of up to 
30 months from the disqualifying event.

[79 FR 23655, Apr. 28, 2014, as amended at 81 FR 23645, Apr. 22, 2016]



Sec.  80.1622  Approval for small refiner and small volume refinery status.

    (a) Applications for small refiner or small volume refinery status 
under this subpart O must be submitted to EPA by January 1, 2015.
    (b) To qualify for small refiner status under this subpart a refiner 
must submit an application to EPA containing all the following 
information for the refiner and for all subsidiary companies, all parent 
companies, all subsidiaries of the parent companies, and all joint 
venture partners:

[[Page 644]]

    (1)(i) A listing of the name and address of all company locations 
for the period January 1, 2012 through December 31, 2012.
    (ii) The average number of employees at each location, based on the 
number of employees for each pay period for the period January 1, 2012 
through December 31, 2012.
    (iii) The type of business activities carried out at each location.
    (iv) For joint ventures, the total number of employees includes the 
combined employee count of all corporate entities in the venture.
    (v) For government-owned refiners, the total employee count includes 
all government employees.
    (2)(i) The total corporate crude oil capacity of each refinery as 
reported to the Energy Information Administration (EIA) of the U.S. 
Department of Energy (DOE), for the period January 1, 2012 through 
December 31, 2012. The information submitted to EIA is presumed to be 
correct. In cases where a company disagrees with this information, the 
company may petition EPA with appropriate data to correct the record 
when the company submits its application.
    (ii) Foreign small refiners applying for approval under this section 
must send the total corporate crude oil capacity of each refinery for 
the period January 1, 2012 through December 31, 2012, to the address 
listed in paragraph (g) of this section.
    (3) The application must be signed by the president, chief operating 
or chief executive officer of the company, or his/her designee, stating 
that the information is true to the best of his/her knowledge, and that 
the company owned the refinery as of December 31, 2012.
    (4) Name, address, phone number, facsimile number, and email address 
of a corporate contact person.
    (c) To qualify for small volume refinery status under this subpart, 
a refiner must submit an application to EPA containing all the following 
information for the refinery, or refineries, for which the refiner is 
applying for small volume refinery status:
    (1) A listing of the name and address of each small volume refinery 
owned by the company.
    (2)(i) The total crude throughput of each small volume refinery, 
defined as the total crude oil feedstock input into the refinery less 
the volumes injected into the crude oil supply after refinery 
processing, as reported to EIA, for the period January 1, 2012 through 
December 31, 2012. The information submitted to EIA is presumed to be 
correct. In cases where a company disagrees with this information, the 
company may petition EPA with appropriate data to correct the record 
when the company submits its application.
    (ii) Foreign refiners applying for small volume refinery approval 
under this section must send the total crude throughput of each small 
volume refinery, defined as the total crude oil feedstock input into the 
refinery less the volumes injected into the crude oil supply after 
refinery processing of each refinery for the period January 1, 2012 
through December 31, 2012, to the address listed in paragraph (g) of 
this section.
    (3) The application must be signed by the president, chief operating 
or chief executive officer of the company, or his/her designee, stating 
that the information is true to the best of his/her knowledge, and that 
the company owned the refinery as of December 31, 2012.
    (4) Name, address, phone number, facsimile number, and email address 
of a corporate contact person.
    (d) For foreign refiners, the small refiner or small volume refinery 
status application must contain all of the elements required in 
paragraph (b) or (c) of this section, as applicable, must demonstrate 
compliance with Sec.  80.1620, and must be submitted by June 1, 2016 to 
the address listed in paragraph (g) of this section.
    (e) A refiner who qualifies as a small refiner or small volume 
refinery under this subpart and subsequently fails to meet all the 
qualifying criteria as set out in Sec. Sec.  80.1620 and 80.1621 will be 
disqualified pursuant to Sec.  80.1620(f) or Sec.  80.1621(d).
    (1) In the event such disqualification occurs, the refiner shall 
notify EPA in writing no later than 20 days following the disqualifying 
event.
    (2) Disqualification under this paragraph (e) shall not apply in the 
case of

[[Page 645]]

a merger between two approved small refiners.
    (3) Any refiner that acquires a refinery from another refiner with 
approved small refiner or small volume refinery status under this 
subpart shall notify EPA in writing no later than 20 days following the 
acquisition.
    (f) If EPA finds that a refiner provided false or inaccurate 
information in its small refiner status or small volume refinery status 
application under this subpart, the refiner's small refiner or small 
volume refinery status will be void as of the effective date of this 
subpart.
    (g) Small refiner and small volume refinery status applications, and 
any other correspondence required by this section, Sec.  80.1620, or 
Sec.  80.1621 shall be sent to the attention of ``Tier 3 Program (Small 
Refiner/Small Volume Refinery Application)'' to the address in Sec.  
80.10(a).

[79 FR 23655, Apr. 28, 2014, as amended at 85 FR 7085, Feb. 6, 2020]



Sec. Sec.  80.1623-80.1624  [Reserved]



Sec.  80.1625  Hardship provisions.

    EPA may, at its discretion, grant a refiner of gasoline that 
processes crude oil through refinery processing units, for one or more 
of its refineries, temporary relief from some or all of the provisions 
of this subpart.
    (a) Extreme hardship circumstances. (1) EPA may, at its discretion, 
grant a refiner of gasoline that processes crude oil through refinery 
processing units, for one or more of its refineries, temporary relief 
from some or all of the provisions of this subpart. EPA may grant such 
relief provided that the refiner demonstrates all the following:
    (i) Unusual circumstances exist that impose extreme hardship and 
significantly affect the refiner's ability to comply by the applicable 
date.
    (ii) It has made best efforts to comply with the requirements of 
this subpart.
    (2) The application must specify the factors that demonstrate a 
significant economic hardship and must provide a detailed discussion 
regarding the inability of the refinery to produce gasoline meeting the 
requirements of Sec.  80.1603. Such an application must include, at a 
minimum, all the following information:
    (i) Documentation of efforts made to obtain necessary financing, 
including all the following:
    (A) Copies of loan applications for the necessary financing of the 
construction of appropriate sulfur reduction technology and other 
equipment procurements or improvements.
    (B) If financing has been disapproved or is otherwise unsuccessful, 
documents supporting the basis for that disapproval and evidence of 
efforts to pursue other means of financing.
    (ii) A detailed analysis of the reasons the refinery is unable to 
produce gasoline meeting the standards of this subpart O in 2017, 
including costs, specification of equipment still needed, potential 
equipment suppliers, and efforts already completed to obtain the 
necessary equipment.
    (iii) If unavailability of equipment is part of the reason for the 
inability to comply, a discussion of other options considered, and the 
reasons these other options are not feasible.
    (iv) If relevant, a demonstration that a needed or lower cost 
technology is immediately unavailable, but will be available in the near 
future, and full information regarding when and from what sources it 
will be available.
    (v) Schematic drawings of the refinery configuration as of January 
1, 2011, and as of the date of the hardship extension application, and 
any planned future additions or changes.
    (vi) If relevant, a demonstration that a temporary unavailability 
exists of engineering or construction resources necessary for design or 
installation of the needed equipment.
    (vii) A detailed analysis of the reasons the refinery is unable to 
use credits to meet the gasoline standards of this subpart O, including 
all avenues pursued to generate and/or procure credits, their cost, and 
ability to finance them.
    (viii) A discussion of any sulfur reductions that can be achieved 
from current levels.
    (ix) The date the refiner anticipates compliance with the standards 
in Sec.  80.1603 can be achieved at its refinery.
    (x) An analysis of the economic impact of compliance on the 
refiner's

[[Page 646]]

business (including financial statements from the last 5 years, or for 
any time period up to 10 years, at EPA's request).
    (xi) Any other information regarding other strategies considered, 
including strategies or components of strategies that do not involve 
installation of equipment, and why meeting the standards in Sec.  
80.1603 beginning in 2017 (or 2020 for approved small refiners and small 
volume refineries) is infeasible.
    (3) Hardship applications under this paragraph (a) must be submitted 
to EPA by January 1, 2016 to the address listed in paragraph (d) of this 
section.
    (b) Extreme unforeseen circumstances hardship. (1) In appropriate 
extreme, unusual, and unforeseen circumstances (for example, natural 
disaster or refinery fire) which are clearly outside the control of the 
refiner or importer and which could not have been avoided by the 
exercise of prudence, diligence, and due care, EPA may permit a refiner 
or importer, for a brief period, to distribute gasoline which does not 
meet the requirements of this subpart for all the following reasons:
    (i) It is in the public interest to do so (e.g., distribution of the 
nonconforming gasoline is necessary to meet projected shortfalls which 
cannot otherwise be compensated for).
    (ii) The refiner or importer exercised prudent planning and was not 
able to avoid the violation and has taken all reasonable steps to 
minimize the extent of the nonconformity.
    (iii) The refiner or importer can show how the requirements for 
making compliant gasoline, and/or purchasing credits to partially or 
completely offset the nonconformity, will be expeditiously achieved.
    (iv) The refiner or importer agrees to make up any air quality 
detriment associated with the nonconforming gasoline, where practicable.
    (v) The refiner or importer pays to the U.S. Treasury an amount 
equal to the economic benefit of the nonconformity minus the amount 
expended pursuant to paragraph (b)(1)(iv) of this section, in making up 
the air quality detriment.
    (2) The hardship application must meet all other applicable 
requirements of this section, except paragraph (a) of this section.
    (c) Applications. (1) The hardship extension application must 
contain a letter signed by the president or the chief operating officer 
or chief executive officer of the company, or his/her designee, stating 
that the information contained in the application is true to the best of 
his/her knowledge.
    (2) Hardship applications under this section must be sent to the 
attention of ``Tier 3 Program (Hardship Application)'' to the address in 
Sec.  80.10(a).

[79 FR 23655, Apr. 28, 2014, as amended at 85 FR 7085, Feb. 6, 2020]



Sec. Sec.  80.1626-80.1629  [Reserved]



Sec.  80.1630  Sampling and testing requirements for refiners, 
gasoline importers and producers and importers of certified ethanol
denaturant.

    (a) Sample and test each batch of gasoline and certified ethanol 
denaturant. (1) Refiners and importers shall collect a representative 
sample from each batch of gasoline produced or imported and test each 
sample to determine its sulfur content for compliance with requirements 
under this subpart prior to the gasoline leaving the refinery or import 
facility, using the sampling and testing methods provided in this 
section or Sec. Sec.  80.8 (sampling) and 80.47 (testing).
    (2) Producers and importers of certified ethanol denaturant shall 
collect a representative sample from each batch of certified ethanol 
denaturant produced or imported and test each sample to determine its 
sulfur content for compliance with requirements under this subpart prior 
to the certified ethanol denaturant leaving the certified ethanol 
denaturant production or import facility, using the sampling and testing 
methods provided in this section or Sec. Sec.  80.8 (sampling) and 80.47 
(testing).
    (3) Except as provided in paragraph (a)(4) of this section, the 
requirements of this section apply beginning January 1, 2017 for 
gasoline refiners and importers. For producers and importers of 
certified ethanol denaturants, the requirements of this section apply 
beginning January 1, 2017, or the first date

[[Page 647]]

that certified ethanol denaturant is introduced into commerce, whichever 
is earlier.
    (4)(i) Beginning January 1, 2017, any refiner who produces gasoline 
using computer-controlled in-line blending equipment is exempt from the 
requirement of paragraph (a)(1) of this section to obtain the test 
results required under paragraph (a)(1) of this section prior to the 
gasoline leaving the refinery, provided that the refiner obtains an 
exemption from this requirement from EPA. To obtain such exemption, the 
refiner must--
    (A) Have been granted an in-line blending exemption under Sec.  
80.65(f)(4); or
    (B) If the refiner has not been granted an exemption under Sec.  
80.65(f)(4), submit to EPA all of the information required under Sec.  
80.65(f)(4)(i)(A). A letter signed by the president, chief operating 
officer or chief executive officer of the company, or his/her designee, 
stating that the information contained in the submission is true to the 
best of his/her belief must accompany any submission under this 
paragraph (a)(4)(i)(B).
    (ii) Refiners who seek an exemption under paragraph (a)(4)(i) of 
this section must comply with any EPA request for additional information 
or any other requirements that EPA includes as part of the exemption.
    (iii) Within 60 days of EPA's receipt of a submission under 
paragraph (a)(4)(i)(B) of this section, EPA will notify the refiner if 
the exemption is not approved or of any deficiencies in the refiner's 
submission, or if any additional information is required or other 
requirements are included in the exemption pursuant to paragraph 
(a)(4)(ii) of this section. In the absence of such notification from 
EPA, the effective date of an exemption under paragraph (a)(4)(i) of 
this section for refiners who do not hold an exemption under Sec.  
80.65(f)(4) is 60 days from EPA's receipt of the refiner's submission 
under paragraph (a)(4)(i)(B) of this section.
    (iv) EPA reserves the right to modify the requirements of an 
exemption under paragraph (a)(4)(i) of this section, in whole or in 
part, at any time, if EPA determines that the refiner's operation does 
not effectively or adequately control, monitor or document the sulfur 
content of the refinery's gasoline production, or if EPA determines that 
any other circumstances exist which merit modification of the 
requirements of an exemption, such as advancements in the state of the 
art for in-line blending measurement which allow for additional control 
or more accurate monitoring or documentation of sulfur content. If EPA 
finds that a refiner provided false or inaccurate information in any 
submission required for an exemption under this section, upon 
notification from EPA, the refiner's exemption will be void ab initio.
    (b) Sampling methods. For purposes of paragraph (a) of this section, 
refiners, gasoline importers, and producers and importers of certified 
ethanol denaturant shall sample each batch of gasoline by using one of 
the methods specified in Sec.  80.8. Alternative methods for sampling 
batches of certified ethanol denaturant may be used as approved by the 
Administrator.
    (c) Test method for measuring sulfur content of gasoline and 
certified ethanol denaturant. (1) For purposes of paragraph (a) of this 
section, refiners, gasoline importers, and producers and importers of 
certified ethanol denaturant shall use the method provided in Sec.  
80.47, as applicable, to measure the sulfur content of gasoline or 
certified ethanol denaturant they produce or import.
    (2) Sulfur content shall be reported to the nearest ppm.
    (3) Alternative methods for the measurement of the sulfur content of 
certified ethanol denaturants may be used as approved by the 
Administrator.



Sec.  80.1631  Gasoline, RBOB, and CBOB sample retention requirements.

    (a) Sample retention requirements. Beginning January 1, 2017, or 
January 1 of the first year credits are generated under Sec.  80.1615, 
whichever is earlier, any refiner or importer shall do all the 
following:
    (1) Collect a representative portion of each sample analyzed under 
Sec.  80.1630, of at least 330 milliliters in volume.
    (2) Retain sample portions for the most recent 20 samples collected, 
or for each sample collected during the most recent 21 day period, 
whichever is

[[Page 648]]

greater, not to exceed 90 days for any given sample.
    (3) Comply with the gasoline sample handling and storage procedures 
under Sec.  80.1630 for each sample portion retained.
    (4) Comply with any request by EPA to--
    (i) Provide a retained sample portion to the Administrator's 
authorized representative; and
    (ii) Ship a retained sample portion to EPA, within two working days 
of the date of the request, by an overnight shipping service or 
comparable means, to the address and following procedures specified by 
EPA, and accompanied with the sulfur test result for the sample 
determined under Sec.  80.1630.
    (b) Sample retention requirement for samples subject to independent 
analysis requirements. (1) Any refiner or importer who meets the 
independent analysis requirements under Sec.  80.65(f) for any batch of 
reformulated gasoline or RBOB will have met the requirements of 
paragraph (a) of this section, provided the independent laboratory meets 
the requirements of paragraph (a) of this section for the gasoline 
batch; except that the retained RBOB sample for purposes of this subpart 
O must be a sample of the RBOB prior to hand blending with oxygenate.
    (2) For samples retained by an independent laboratory under this 
paragraph (b), the test results required to be submitted under paragraph 
(a) of this section shall be the test results determined under Sec.  
80.65(e).
    (c) Sampling compliance certification. Any refiner or importer shall 
include with each annual report filed under Sec.  80.1652, the following 
statement, which must accurately reflect the facts and must be signed 
and dated by the same person who signs the annual report:
    I certify that I have made inquiries that are sufficient to give me 
knowledge of the procedures to collect and store gasoline samples, and I 
further certify that the procedures meet the requirements of the ASTM 
procedures required under 40 CFR 80.1630.
    (d) Requirements for refiners who analyze composited samples. Prior 
to January 1, 2017, for purposes of complying with the requirements of 
this section, refiners who analyze composited samples under Sec.  
80.1630 must retain portions of the composited samples. Portions of 
samples of each batch comprising the composited samples are not required 
to be retained.
    (e) Requirements for RBOB. For purposes of complying with the 
requirements of this section for RBOB, a sample of each RBOB batch 
produced must be retained.



Sec. Sec.  80.1632-80.1639  [Reserved]



Sec.  80.1640  Standards and requirements that apply to refiners 
producing gasoline by blending blendstocks into previously certified 
gasoline (PCG).

    (a) Any refiner who produces gasoline by blending blendstock into 
PCG, as defined at Sec.  80.2(d), must meet the requirements of Sec.  
80.1630 to sample and test every batch of gasoline as follows:
    (1) Exclude the PCG for purposes of demonstrating compliance with 
the sulfur standards of this subpart O.
    (2) To accomplish the exclusion required in paragraph (a)(1) of this 
section, the refiner must determine the volume and sulfur content of the 
PCG used at the refinery and the volume and sulfur content of the 
gasoline produced at the refinery, and use the compliance calculation 
procedures in paragraphs (a)(3) and (4) of this section.
    (3) For each batch of PCG that is used to produce gasoline the 
refiner must include the volume and sulfur content of the PCG as a 
negative volume and a positive sulfur content in the refiner's 
compliance calculations in accord with the requirements at Sec.  
80.1603.
    (4) For each batch of gasoline produced at the refinery using PCG 
and blendstock, the refiner must determine the volume and sulfur content 
of the combined product and include each batch of combined product for 
purposes of sulfur compliance in the refinery's compliance calculations 
at Sec.  80.1603 without regard to the presence of previously certified 
gasoline in the batch.
    (5) The refiner must use any PCG that it includes as a negative 
batch in its compliance calculations pursuant to Sec.  80.1603 as a 
component in gasoline

[[Page 649]]

production during the annual averaging period in which the PCG was 
included as a negative batch in the refiner's compliance calculations.
    (6) The refiner must also comply with Sec.  80.65(i) when producing 
RBOB or RFG and Sec.  80.101(g)(9) when producing conventional gasoline 
or CBOB.
    (7) Any negative annual average sulfur value shall be reported as 
zero and not as a negative result.
    (b) In the alternative, a refiner may sample and test each batch of 
blendstock when received at the refinery to determine the volume and 
sulfur content, and treat each blendstock receipt as a separate batch 
for purposes of compliance calculations for the annual average sulfur 
standard and for reporting. This alternative applies only if every batch 
of blendstock used at a refinery during an averaging period has a sulfur 
content that is equal to, or less than, the applicable per-gallon cap 
standard under Sec.  80.1603.
    (c) Refiners who blend only butane into PCG may meet the sampling 
and testing requirements of this subpart O for sulfur by using sulfur 
test results of the butane supplier, provided that the requirements of 
Sec.  80.82 are met.
    (d) Refiners who blend only blender grade pentane into PCG may meet 
the sampling and testing requirements of this subpart O for sulfur by 
using sulfur test results of the pentane supplier, provided that the 
requirements of Sec.  80.85 are met.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015]



Sec.  80.1641  Alternative sulfur standards and requirements that
apply to importers who transport gasoline by truck.

    Importers who import gasoline into the United States by truck may 
comply with the following requirements instead of the requirements to 
sample and test every batch of gasoline under Sec.  80.1630, and the 
annual sulfur average and per-gallon cap standards otherwise applicable 
to importers under Sec.  80.1603:
    (a) Alternative standards. The imported gasoline must comply with 
the following standards:
    (1) The annual average standard of 10 ppm and the per-gallon 
standard of 80 ppm as provided by Sec.  80.1603; or
    (2) A per-gallon standard of 10 ppm.
    (b) Terminal testing. The importer may use test results for sulfur 
content testing conducted by the terminal operator, for gasoline 
contained in the storage tank from which trucks used to transport 
gasoline into the United States are loaded, for purposes of 
demonstrating compliance with the standards in paragraph (a) of this 
section, provided all the following conditions are met:
    (1) The sampling and testing shall be performed after each receipt 
of gasoline into the storage tank, or immediately before each transfer 
of gasoline to the importer's truck.
    (2) The sampling and testing shall be performed using the methods 
specified in Sec. Sec.  80.8 and 80.47, respectively.
    (3) At the time of each transfer of gasoline to the importer's truck 
for import to the United States, the importer must obtain a copy of the 
terminal test result that indicates the sulfur content of the truck load 
(or each compartment if fuel was loaded from different storage tanks).
    (c) Quality assurance program. The importer must conduct a quality 
assurance program for each truck loading terminal as follows:
    (1) Quality assurance samples must be obtained from the truck-
loading terminal and tested by the importer, or by an independent 
laboratory, and the terminal operator must not know in advance when 
samples are to be collected.
    (2) The sampling and testing must be performed using the methods 
specified in Sec. Sec.  80.8 and 80.47, respectively.
    (3) The quality assurance test results for sulfur must differ from 
the terminal test result by no more than the ASTM reproducibility of the 
terminal's test results, as determined by the following equation:

R = 105 x ((S + 2) / 104) 0.4

Where:

R = ASTM reproducibility.
S = Sulfur content based on the terminal's test result.

    (4) The frequency of the quality assurance sampling and testing must 
be at least one sample for each fifty of an importer's trucks that are 
loaded at a

[[Page 650]]

terminal, or one sample per month, whichever is more frequent.
    (d) Party required to conduct quality assurance testing. The quality 
assurance program under paragraph (c) of this section shall be conducted 
by the importer. In the alternative, this testing may be conducted by an 
independent laboratory that meets the criteria under Sec.  
80.65(f)(2)(iii), provided the importer receives, no later than 21 days 
after the sample was taken, copies of all results of tests conducted.
    (e) Assignment of batch numbers. The importer must treat each 
truckload of imported gasoline as a separate batch for purposes of 
reporting under Sec.  80.1652 and assigning batch numbers and 
maintaining records under Sec.  80.1653.
    (f) EPA inspections of terminals. EPA inspectors or auditors, and 
auditors conducting attest engagements under Sec.  80.1667, must be 
given full and immediate access to the truck-loading terminal and any 
laboratory at which samples of gasoline collected at the terminal are 
analyzed, and must be allowed to conduct inspections, review records, 
collect gasoline samples, and perform audits. These inspections or 
audits may be either announced or unannounced.
    (g) Certified Sulfur-FRGAS. This section does not apply to Certified 
Sulfur-FRGAS.
    (h) Reporting requirements. Any importer who elects to comply with 
the alternative standards in paragraph (a) of this section shall comply 
with all the following requirements:
    (1) All importer recordkeeping and reporting requirements under 
Sec. Sec.  80.1652 and 80.1653, except as provided in paragraph (h)(2) 
of this section.
    (2) An importer who elects to comply with the alternative standards 
in paragraph (a)(2) of this section must certify in the annual report 
whether it is in compliance with the applicable per-gallon batch 
standard set forth in paragraph (a)(2) of this section, in lieu of 
providing the information required by Sec.  80.1652 regarding annual 
average sulfur content and compliance with the average standard under 
Sec.  80.1603.
    (i) Effect of noncompliance. If any of the requirements of this 
section are not met, all gasoline imported by the truck importer during 
the time any requirements are not met is deemed in violation of the 
gasoline sulfur average and per-gallon cap standards in Sec.  80.1603. 
Additionally, if any requirement is not met, EPA may notify the importer 
of the violation and, if the requirement is not fulfilled within 10 days 
of notification, the truck importer may not in the future use the 
sampling and testing provisions in this section in lieu of the 
provisions in Sec.  80.1630.



Sec.  80.1642  Sampling and testing requirements for producers and 
importers of denatured fuel ethanol and other oxygenates for use by
oxygenate blenders.

    Beginning January 1, 2017, producers and importers of denatured fuel 
ethanol (DFE) and other oxygenates for use by oxygenate blenders must 
satisfy the sampling and testing requirements in this section prior to 
the addition of the oxygenate to gasoline or blendstocks for oxygenate 
blending.
    (a) Sampling requirements. Producers and importers of oxygenates for 
use by oxygenate blenders shall collect a representative sample from 
each batch of oxygenate produced or imported prior to the oxygenate 
leaving the oxygenate production or import facility, using the sampling 
methods specified in Sec.  80.8 or Sec.  80.47.
    (b) Determination of oxygenate sulfur content. Producers and 
importers of oxygenates must test each batch of oxygenate they produce 
or import to determine its sulfur content to the nearest ppm using a 
test method provided in Sec.  80.47, or, with respect to DFE may use the 
alternative means of determining the sulfur content contained in 
paragraph (c) of this section.
    (c) Alternative means of determining the sulfur content of DFE. As 
an alternative to testing each batch of DFE pursuant to the requirements 
of paragraph (b) of this section, the sulfur content of batches of DFE 
produced using certified denaturant meeting the requirements of Sec.  
80.1611 may be determined as follows:
    (1) The sulfur content of the batch of DFE shall be calculated by 
volume weighting the sulfur contribution from the denaturant, and the 
neat ethanol used.

[[Page 651]]

    (2) The sulfur content of the neat (un-denatured) ethanol used in 
the calculation in paragraph (c)(1) of this section may be assumed to be 
negligible or assumed to be some specific value for the purposes of 
calculating the sulfur content of the DFE batch provided that the DFE 
manufacturer or importer conducts production quality control which 
demonstrates that such an assumption is valid. Otherwise, the sulfur 
content of the neat ethanol must be determined in accordance with the 
test requirements of Sec.  80.1630.
    (3) The sulfur content of the certified denaturant used in the 
calculation in paragraph (c)(1) of this section must be consistent with 
the PTD obtained from a registered certified ethanol denaturant producer 
or importer in accordance with the requirements of Sec.  80.1611. If the 
PTD from the certified ethanol denaturant states that the sulfur content 
is 330 ppm, then the sulfur content of the sulfur content of the ethanol 
denaturant must be assumed to be 330 ppm.
    (4) A sample of each batch of DFE must be retained pursuant to the 
requirements of Sec.  80.1643.
    (5) The sulfur content of each batch of DFE shall be reported to the 
nearest ppm.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015]



Sec.  80.1643  Sample retention requirements for oxygenate producers
and importers.

    (a) Sample retention requirements. Beginning January 1, 2017, any 
producer or importer of oxygenate shall do all the following:
    (1) Retain a representative portion of each sample analyzed under 
Sec.  80.1642(b), of at least 330 milliliters in volume.
    (2) Retain a representative sample of each batch of DFE for which 
the DEF producer or importer used the alternative means of determining 
the sulfur contents of the DFE batch pursuant to the requirements of 
Sec.  80.1642(c), of at least 330 milliliters in volume.
    (3) Retain sample portions for the most recent 20 samples collected, 
or for each sample collected during the most recent 21 day period, 
whichever is greater, not to exceed 90 days for any given sample.
    (4) Comply with the DFE sample handling and storage procedures under 
Sec.  80.1642 for each sample portion retained.
    (5) Comply with any request by EPA to--
    (i) Provide a retained sample portion to the Administrator's 
authorized representative; and
    (ii) Ship a retained sample portion to EPA, within two working days 
of the date of the request, by an overnight shipping service or 
comparable means, to the address and following procedures specified by 
EPA, and accompanied with the sulfur test result for the sample 
determined under Sec.  80.1642 or the calculated sulfur content of the 
batch from which the sample was drawn determined pursuant to the 
requirements of Sec.  80.1611(e).
    (b) [Reserved]



Sec.  80.1644  Sampling and testing requirements for producers and
importers of certified ethanol denaturant.

    (a) Sample and test each batch of certified ethanol denaturant. (1) 
Producers and importers of certified ethanol denaturant shall collect a 
representative sample from each batch of certified ethanol denaturant 
produced or imported and test each sample to determine its sulfur 
content for compliance with requirements under this subpart prior to the 
ethanol denaturant leaving the production or import facility, using the 
sampling and testing methods provided in this section or Sec. Sec.  80.8 
(sampling) and 80.47 (testing).
    (2) The requirements of this section apply beginning January 1, 2017 
or on the first day that an ethanol denaturant manufacturer designates a 
batch of ethanol denaturant as compliant with the requirements of Sec.  
80.1611, whichever is earlier.
    (b) Determination of certified ethanol denaturant sulfur content. 
Producers and importers of certified ethanol denaturant who are required 
to test each batch of certified ethanol denaturant they produce or 
import to determine its sulfur content pursuant to the requirements of 
Sec.  80.1611 shall use the testing methods specified in paragraph (c) 
of this section.

[[Page 652]]

    (c) Test method for measuring sulfur content of certified ethanol 
denaturant. (1) For purposes of paragraph (b) of this section, producers 
and importers of certified ethanol denaturant shall use the method 
provided in Sec.  80.47 to measure the sulfur content of certified 
ethanol denaturant they produce or import. Alternative test methods may 
be used as approved by the Administrator.
    (2) The sulfur content of each batch of ethanol denaturant shall be 
reported to the nearest ppm.



Sec.  80.1645  Sample retention requirements for producers and
importers of certified ethanol denaturant.

    Beginning January 1, 2017, or on the first day that any producer or 
importer of ethanol denaturant designates a batch of certified ethanol 
denaturant, whichever is earlier, the ethanol denaturant producer or 
importer shall do all the following:
    (a) Retain a representative portion of each sample collected under 
Sec.  80.1644, of at least 330 milliliters in volume.
    (b) Retain sample portions for the most recent 20 samples collected, 
or for each sample collected during the most recent 21 day period, 
whichever is greater, not to exceed 90 days for any given sample.
    (c) Comply with the ethanol denaturant sample handling and storage 
procedures under Sec.  80.1644 for each sample portion retained.
    (d) Comply with any request by EPA to--
    (1) Provide a retained sample portion to the Administrator's 
authorized representative; and
    (2) Ship a retained sample portion to EPA, within two working days 
of the date of the request, by an overnight shipping service or 
comparable means, to the address and following procedures specified by 
EPA, and accompanied with the sulfur test result for the sample 
determined under Sec.  80.1644.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015]



Sec. Sec.  80.1646-80.1649  [Reserved]



Sec.  80.1650  Registration.

    The following registration requirements apply under this subpart:
    (a) Registration. Registration with the EPA Administrator is 
required for any--
    (1) Gasoline refiner or importer having any refinery or import 
facility subject to the gasoline sulfur standards under this subpart O, 
unless already registered as a gasoline refiner or importer under Sec.  
80.76 or Sec.  80.103.
    (2) Oxygenate producer or importer having any oxygenate production 
facility or import facility subject to the oxygenate sulfur standards 
under Sec.  80.1610.
    (3) Oxygenate blender who has any oxygenate blending facility that 
blends oxygenate into gasoline, RBOB, or CBOB where the resulting 
gasoline is subject to the gasoline sulfur standards under this subpart 
O, unless already registered as an oxygenate blender under Sec.  80.76.
    (4) Producer or importer of certified ethanol denaturant subject to 
the standards under Sec.  80.1611.
    (b) Registration dates. (1) Any gasoline refiner or importer 
required to register shall do so by December 1, 2016, or at least 30 
days in advance of the first date that such person will produce or 
import reformulated gasoline, conventional gasoline, RBOB, or CBOB. If a 
previously unregistered refiner or importer intends to generate credits 
prior to January 1, 2017 (pursuant to Sec.  80.1615), registration must 
occur at least 90 days prior to submitting an annual compliance report 
demonstrating credit generation.
    (2) Any oxygenate producer or importer required to register shall do 
so by November 1, 2016, or at least 60 days in advance of the first date 
that such person will produce or import oxygenate.
    (3) Any oxygenate blender required to register shall do so by 
November 1, 2016, or at least 90 days in advance of the first date that 
such person will blend oxygenate into gasoline, RBOB, or CBOB where the 
resulting gasoline is subject to the gasoline sulfur standards under 
this subpart O.
    (4) Any ethanol denaturant producer or importer required to register 
shall do so by November 1, 2016, or at least 60 days in advance of the 
first date that such person will produce or import ethanol denaturant.

[[Page 653]]

    (c) Refiner registration. (1) Registration shall be on forms and use 
procedures prescribed by the Administrator, and shall include all the 
following information:
    (i) The name, business address, contact name, email address, and 
telephone number of the refiner.
    (ii) For each separate refinery, the facility name, physical 
location, contact name, email address, telephone number, and type of 
facility.
    (iii) For each separate refinery--
    (A) Whether records are kept on-site or off-site of the refinery.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, email address, and 
telephone number.
    (iv) For each separate refinery that produces reformulated gasoline 
and/or RBOB, the name, address, contact name, email address, and 
telephone number of the independent laboratory used to meet the 
independent analysis requirements of Sec.  80.65(f).
    (2) EPA will supply a company registration number to each refiner, 
and a facility registration number for each refinery that is identified. 
These registration numbers shall be used in all reports to the 
Administrator.
    (3)(i) Any refiner shall submit updated registration information to 
the Administrator within thirty days of any occasion when the 
registration information previously supplied becomes incomplete or 
inaccurate; except that
    (ii) EPA must be notified in writing of any change in designated 
independent laboratory under paragraph (a)(1)(iv) of this section at 
least thirty days in advance of such change.
    (d) Gasoline importer registration. (1) Registration shall be on 
forms and use procedures prescribed by the Administrator, and shall 
include all the following information:
    (i) The name, business address, contact name, email address, and 
telephone number of the importer.
    (ii) For each importer's operations in a single PADD:
    (A) Whether records are kept on-site at the registered address or 
off-site.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, email address, and 
telephone number.
    (C) For importers that import reformulated gasoline and/or RBOB, the 
name, address, contact name and telephone number of the independent 
laboratory used to meet the independent analysis requirements of Sec.  
80.65(f).
    (2) EPA will supply a company registration number to each importer. 
This registration number shall be used in all reports to the 
Administrator.
    (3)(i) Any importer shall submit updated registration information to 
the Administrator within thirty days of any occasion when the 
registration information previously supplied becomes incomplete or 
inaccurate; except that
    (ii) EPA must be notified in writing of any change in designated 
independent laboratory under paragraph (d)(1)(ii)(C) of this section at 
least thirty days in advance of such change.
    (e) Oxygenate producer registration. (1) Registration shall be on 
forms and use procedures prescribed by the Administrator, and shall 
include all the following information:
    (i) The name, business address, contact name, email address, and 
telephone number of the oxygenate producer.
    (ii) For each separate oxygenate production facility, the facility 
name, physical location, contact name, telephone number, and type of 
facility.
    (iii) For each separate oxygenate production facility--
    (A) Whether records are kept on-site or off-site of the facility.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, and telephone number.
    (iv) The type and chemical composition of the oxygenate.
    (2) EPA will supply a company registration number to each oxygenate 
producer, and a facility registration number for each oxygenate 
production facility that is identified. These registration numbers or 
those provided under Sec.  80.1450 shall be used in all reports to the 
Administrator.
    (3) Any oxygenate producer shall submit updated registration 
information to the Administrator within thirty days of any occasion when 
the registration information previously supplied becomes incomplete or 
inaccurate.

[[Page 654]]

    (f) Oxygenate importer registration. (1) Registration shall be on 
forms and use procedures prescribed by the Administrator, and shall 
include all the following information:
    (i) The name, business address, contact name, and email address, 
telephone number of the importer.
    (ii) For each importer's operations in a single PADD--
    (A) Whether records are kept on-site at the registered address or 
off-site.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, email address, and 
telephone number.
    (iii) The type and chemical composition of the oxygenate.
    (2) EPA will supply a company registration number to each importer. 
This registration number shall be used in all reports to the 
Administrator.
    (g) Oxygenate blender registration. (1) Registration shall be on 
forms and use procedures prescribed by the Administrator, and shall 
include all the following information:
    (i) The name, business address, contact name, and email address, 
telephone number of the oxygenate blender.
    (ii) For each separate oxygenate blending facility, the facility 
name, physical location, contact name, telephone number, and type of 
facility.
    (iii) For each separate oxygenate blending facility--
    (A) Whether records are kept on-site or off-site of the facility.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, email address, and 
telephone number.
    (iv) The type and chemical composition of the oxygenate.
    (2) EPA will supply a company registration number to each oxygenate 
blender, and a facility registration number for each oxygenate blending 
facility that is identified. These registration numbers or those 
provided under Sec.  80.1450 shall be used in all reports to the 
Administrator.
    (3) Any oxygenate blender shall submit updated registration 
information to the Administrator within thirty days of any occasion when 
the registration information previously supplied becomes incomplete or 
inaccurate.
    (h) Certified ethanol denaturant producer registration. (1) 
Registration shall be on forms and use procedures prescribed by the 
Administrator, and shall include all the following information:
    (i) The name, business address, contact name, email address, and 
telephone number of the ethanol denaturant producer.
    (ii) For each separate ethanol denaturant production facility, the 
facility name, physical location, contact name, telephone number, and 
type of facility.
    (iii) For each separate ethanol denaturant production facility--
    (A) Whether records are kept on-site or off-site of the ethanol 
denaturant production facility.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, and telephone number.
    (2) EPA will supply a company registration number to each ethanol 
denaturant producer, and a facility registration number for each ethanol 
denaturant production facility that is identified. These registration 
numbers or those provided under Sec.  80.1450 shall be used in all 
reports to the Administrator.
    (3) Any ethanol denaturant producer shall submit updated 
registration information to the Administrator within thirty days of any 
occasion when the registration information previously supplied becomes 
incomplete or inaccurate.
    (i) Ethanol denaturant importer registration. (1) Registration shall 
be on forms and use procedures prescribed by the Administrator, and 
shall include all the following information:
    (i) The name, business address, contact name, and email address, 
telephone number of the importer.
    (ii) For each importer's operations in a single PADD--
    (A) Whether records are kept on-site at the registered address or 
off-site.
    (B) If records are kept off-site, the primary off-site storage 
facility name, physical location, contact name, email address, and 
telephone number.
    (2) EPA will supply a company registration number to each importer.

[[Page 655]]

This registration number shall be used in all reports to the 
Administrator.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015; 85 
FR 7085, Feb. 6, 2020]



Sec.  80.1651  Product transfer document requirements.

    (a) Gasoline, RBOB, CBOB, and oxygenates. In addition to any other 
product transfer document requirements under this part 80, on each 
occasion that any person transfers custody or title to any gasoline, 
RBOB, CBOB, or oxygenate other than when gasoline is sold or dispensed 
for use in motor vehicles at a retail outlet or wholesale purchaser-
consumer facility, the transferor shall provide to the transferee 
documents which include all the following information:
    (1) The name and address of the transferor.
    (2) The name and address of the transferee.
    (3) The volume of gasoline, RBOB, CBOB, or oxygenate which is being 
transferred.
    (4) The location of the gasoline, RBOB, CBOB, or oxygenate at the 
time of the transfer.
    (5) The date of the transfer.
    (b) Gasoline for export or with an exemption and California 
gasoline. In addition to any other product transfer document 
requirements under this part 80, on each occasion when any person 
transfers custody or title to any gasoline for export or with an 
exemption under Sec. Sec.  80.1654, 80.1655, 80.1656, or 80.1658, any of 
the following statements must be included on the product transfer 
document:
    (1) For gasoline with a national security exemption under Sec.  
80.1655, ``This gasoline is for use in vehicles, engines, or equipment 
under an EPA-approved national security exemption only.''
    (2) For gasoline with a research, development, or testing exemption 
under Sec.  80.1656, ``This gasoline is for research, development, or 
testing purposes only.''
    (3) For gasoline for use in American Samoa, Guam, and the 
Commonwealth of the Northern Mariana Islands under Sec.  80.1658, ``This 
is gasoline for use only in Guam, American Samoa, or the Northern 
Mariana Islands.''
    (4) For gasoline for export purposes, ``This gasoline is for export 
only.''
    (5) For gasoline for racing purposes, ``This gasoline is for racing 
purposes only.''
    (6) For California gasoline, pursuant to Sec.  80.1654, ``California 
gasoline''.
    (c) Gasoline additive. On each occasion when any person transfers 
custody or title to any gasoline additive intended to be used at less 
than 1 volume percent, other than when the gasoline additive is sold or 
dispensed for use in motor vehicles at a retail outlet or wholesale 
purchaser-consumer facility, the transferor shall provide to the 
transferee documents which include information on the maximum 
recommended treatment level.
    (d) Ethanol denaturant. On each occasion when any person transfers 
custody or title to any ethanol denaturant designated as suitable for 
use in the manufacture of denatured fuel ethanol meeting federal quality 
requirements pursuant to Sec.  80.1611, the transferor shall provide to 
the transferee documents which include all the following information:
    (1) The name and address of the transferor.
    (2) The name and address of the transferee.
    (3) The volume of ethanol denaturant which is being transferred.
    (4) The location of the ethanol denaturant at the time of the 
transfer.
    (5) The date of the transfer.
    (6) A statement identifying the batch as ``Ethanol denaturant 
suitable for the manufacture of denatured fuel ethanol meeting federal 
quality requirements'', or anther identifying statement as approved by 
EPA consistent with the requirements of Sec.  80.1611.
    (7) Information on the sulfur content of the ethanol denaturant, as 
applicable, pursuant to the requirements of Sec.  80.1611.
    (e) Oxygenate. On each occasion when any person transfers custody or 
title to any oxygenate, the transferor shall provide to the transferee 
documents which include all the following information:
    (1) The name and address of the transferor.
    (2) The name and address of the transferee.

[[Page 656]]

    (3) The volume of oxygenate which is being transferred.
    (4) The location of the oxygenate at the time of the transfer.
    (5) The date of the transfer.
    (6) For denatured fuel ethanol, a statement identifying the batch as 
``Denatured fuel ethanol, maximum 10 ppm sulfur''.
    (7) For oxygenates other than DFE, the name of the specific 
oxygenate must be identified on the PTD, followed by ``maximum 10 ppm 
sulfur''.
    (8) Alternative PTD language to that specified in paragraphs (e)(6) 
and (7) of this section may be used as approved by EPA consistent with 
the requirements of Sec.  80.1610.



Sec.  80.1652  Reporting requirements for gasoline refiners, gasoline 
importers, oxygenate producers, and oxygenate importers.

    Beginning with the 2017 averaging period or the first year credits 
are generated under Sec.  80.1615 (whichever is earlier), and continuing 
for each averaging period thereafter, any gasoline refiner or importer 
shall submit to EPA annual reports that contain the information required 
in this section, and any other information as EPA may require. Beginning 
with the 2017 calendar year and continuing each calendar year 
thereafter, any oxygenate producer or importer shall submit to EPA 
annual reports that contain the information required in this section, 
and any other information as EPA may require. Reporting shall be on 
forms and use procedures prescribed by the Administrator.
    (a) Gasoline refiner and importer annual reports. Any refiner, for 
each of its refineries, and any importer for the gasoline it imports, 
shall submit a report for each calendar year averaging period that 
includes all the following information:
    (1) The EPA importer, or refiner and refinery facility registration 
numbers.
    (2) The average standard under Sec.  80.1603, reported to two 
decimal places.
    (3) The total volume of gasoline produced or imported, reported to 
the nearest whole number.
    (4) The annual average sulfur level of the gasoline produced or 
imported, reported to two decimal places.
    (5) The annual average sulfur level after inclusion of any credits, 
reported to two decimal places.
    (6) Separately provided information for credits, and separately by 
year of creation, as follows:
    (i) The number of credits at the beginning of the averaging period, 
reported to the nearest whole number.
    (ii) The number of credits generated, reported to the nearest whole 
number.
    (iii) The number of credits used, reported to the nearest whole 
number.
    (iv) If any credits were obtained from or transferred to other 
parties; and for each other party, its name and EPA refiner or importer 
registration number, and the number of credits obtained from or 
transferred to the other party.
    (v) The number of credits that expired at the end of the averaging 
period, reported to the nearest whole number.
    (vi) The number of credits that will carry over into the subsequent 
averaging period, reported to the nearest whole number.
    (7) For each batch of BOB or gasoline produced or imported during 
the averaging period, all the following:
    (i) The batch number assigned under Sec.  80.65(d)(3); except that 
if composite samples of conventional gasoline representing multiple 
batches produced subsequent to December 31, 2003, are tested under Sec.  
80.101(i)(2) for anti-dumping compliance purposes, for purposes of this 
subpart a separate batch number must be assigned to each batch using the 
batch numbering procedures under Sec.  80.65(d)(3).
    (ii) The date the batch was produced.
    (iii) The volume of the batch, reported to the nearest whole number.
    (iv) The sulfur content of the batch, reported to two decimal 
places, along with identification of the test method used to determine 
the sulfur content of the batch, as determined under Sec.  80.1630.
    (v) The type and amount of oxygenate, along with identification of 
the method used to determine the type and amount of oxygenate content of 
the batch, as determined under Sec.  80.1603(d).
    (vi) The sulfur content of the oxygenate, reported to two decimal 
places, along with identification of the method used to determine the 
sulfur content of

[[Page 657]]

the oxygenate, as determined under Sec.  80.1603(d).
    (8) All values measured or calculated pursuant to the requirements 
of this paragraph (a) shall be in accordance with the rounding procedure 
specified in Sec.  80.9.
    (9) When submitting reports under this paragraph (a) from January 1, 
2017 through December 31, 2019, any importer shall exclude Certified 
Sulfur-FRGAS.
    (b) Additional reporting requirements for gasoline importers. From 
January 1, 2017 through December 31, 2019, importers shall report all 
the following information for Sulfur-FRGAS imported during an annual 
averaging period:
    (1) The EPA refiner and refinery registration numbers of each 
foreign refiner and refinery where the Certified Sulfur-FRGAS was 
produced.
    (2) The total gallons of Certified Sulfur-FRGAS and Non-Certified 
Sulfur-FRGAS imported from each foreign refiner and refinery, reported 
to one decimal place.
    (c) Oxygenate producer and importer annual reports. Any oxygenate 
producer, for each of its production facilities, and any importer for 
the oxygenate it imports, shall submit a report for each calendar year 
period that includes all the following information:
    (1) The EPA oxygenate importer, or producer and producer facility 
registration numbers.
    (2) The total volume of oxygenate produced or imported, reported to 
the nearest whole number.
    (3) For each batch of oxygenate produced or imported during the 
calendar year, all the following:
    (i) The batch number assigned under Sec.  80.1610(d).
    (ii) The date the batch was produced.
    (iii) The volume of the batch, reported to the nearest whole number.
    (iv) The sulfur content of the batch, reported to two decimal 
places.
    (v) For oxygenates other than denatured fuel ethanol, the 
identification of the test method used to determine the sulfur content 
of the batch pursuant to the requirements of Sec.  80.1642(c).
    (vi) For denatured fuel ethanol, either the identification of the 
test method used to determine the sulfur content of the batch (pursuant 
to Sec.  80.1642), or the information used to calculate the sulfur 
content pursuant to the requirements of Sec.  80.1642(c).
    (4) All values measured or calculated pursuant to the requirements 
of this paragraph (c) shall be in accordance with the rounding procedure 
specified in Sec.  80.9.
    (d) Report submission. Any annual report required under this section 
shall be--
    (1) Signed and certified as meeting all of the applicable 
requirements of this subpart by the owner or a responsible corporate 
officer of the refiner, gasoline importer, oxygenate producer, oxygenate 
importer, denaturant producer, or denaturant importer; and
    (2) Submitted to EPA no later than the March 31 each year for the 
prior calendar year.
    (e) Attest reports. Attest reports for refiner and importer attest 
engagements required under Sec.  80.1667 shall be submitted to the 
Administrator by June 1 of each year for the prior calendar year.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015; 85 
FR 7085, Feb. 6, 2020]



Sec.  80.1653  Recordkeeping.

    Unless otherwise provided for in this section, the records required 
by this section shall be retained for a period of five years from the 
date of creation, and shall be delivered to the Administrator of EPA or 
to the Administrator's authorized representative upon request.
    (a) Records that must be kept by gasoline refiners, importers, and 
parties in the gasoline distribution system. Beginning January 1, 2017 
or January 1 of the first year that credits are generated (whichever is 
earlier), any person who produces, imports, sells, offers for sale, 
dispenses, distributes, supplies, offers for supply, stores, or 
transports gasoline, shall keep records containing the information as 
required in this section.
    (1) The product transfer document information required under Sec.  
80.1651.
    (2) All the following information for any sampling and testing for 
sulfur content required under this subpart O:
    (i) The location, date, time, and storage tank or truck 
identification for each sample collected.

[[Page 658]]

    (ii) The name and title of the person who collected the sample and 
the person who performed the test.
    (iii) The results of the test as originally printed by the testing 
apparatus, or where no printed result is produced, the results as 
originally recorded by the person who performed the test.
    (iv) Any record that contains a test result for the sample that is 
not identical to the result recorded under paragraph (a)(2)(iii) of this 
section.
    (v) The test methodology used.
    (b) Additional records that refiners and importers must keep. 
Beginning January 1, 2014, or January 1 of the first year credits are 
generated under Sec.  80.1615, whichever is earlier, any refiner for 
each of its refineries and any importer for the gasoline it imports, 
shall keep records that include all the following information:
    (1) For each batch of gasoline produced or imported--
    (i) The batch volume.
    (ii) The batch number assigned under Sec.  80.65(d)(3) and the 
appropriate designation under paragraph (b)(1)(iv) of this section; 
except that for composite samples of conventional gasoline representing 
multiple batches, that are tested under Sec.  80.101(i)(2) for purposes 
of this subpart, a separate batch number must be assigned to each batch 
using the batch numbering procedures under Sec.  80.65(d)(3).
    (iii) The date of production or importation.
    (iv) If appropriate, the designation of the batch as California 
gasoline under Sec.  80.1654, exempt gasoline for national security 
purposes under Sec.  80.1655, exempt gasoline for research and 
development under Sec.  80.1656, or for export outside the United 
States.
    (v) The test methodology used.
    (2) Information regarding credits, separately kept according to the 
year of creation; and for credit generation or use starting in 2014. The 
following information shall be kept separately for each type of credit 
generated under Sec.  80.1615:
    (i) The number of credits in the refiner's or importer's possession 
at the beginning of the averaging period.
    (ii) The number of credits generated.
    (iii) The number of credits used.
    (iv) If any credits were obtained from or transferred to other 
parties, all the following for each other party:
    (A) The party's name.
    (B) The party's EPA refiner or importer registration number.
    (C) The number of credits obtained from, or transferred to, the 
party.
    (v) The number of credits that expired at the end of the averaging 
period.
    (vi) The number of credits in the refiner's or importer's possession 
that will carry over into the subsequent averaging period.
    (vii) Contracts or other commercial documents that establish each 
transfer of credits from the transferor to the transferee.
    (3) The calculations used to determine compliance with the 
applicable sulfur average standards of Sec.  80.1603 or Sec.  80.1604.
    (4) The calculations used to determine the number of credits 
generated under Sec.  80.1615.
    (5) A copy of all reports submitted to EPA under Sec.  80.1652.
    (6) In the case of parties who process transmix, records of any 
sampling and testing required under Sec.  80.1607.
    (c) Additional records gasoline importers must keep. Any importer 
shall keep records that identify and verify the source of each batch of 
certified Sulfur-FRGAS and non-certified Sulfur-FRGAS imported and 
demonstrate compliance with the requirements for importers under Sec.  
80.1666.
    (d) Records that producers and importers of denatured fuel ethanol 
and other oxygenates must keep. Beginning January 1, 2017 or the first 
date when DFE is introduced into commerce that is represented on the 
product transfer document as meeting the standards in Sec.  80.1610 
(whichever is earlier), records of all the following must be kept for 
each batch of oxygenate produced or imported by oxygenate producers and 
importers:
    (1) The date the batch was produced.
    (2) The batch number.
    (3) The batch volume.
    (4) The product transfer document for the batch.
    (5) The sulfur content of the batch as determined pursuant to the 
requirements of Sec.  80.1642.

[[Page 659]]

    (6) The following records shall be kept if the sulfur content of the 
batch was determined by analytical testing:
    (i) The location, date, time, and storage tank or truck 
identification for each sample collected.
    (ii) The name and title of the person who collected the sample and 
the person who performed the test.
    (iii) The results of the test as originally printed by the testing 
apparatus, or where no printed result is produced, the results as 
originally recorded by the person who performed the test.
    (iv) Any record that contains a test result for the sample that is 
not identical to the result recorded under paragraph (d)(5)(iii) of this 
section.
    (v) The test methodology used.
    (7) For denatured fuel ethanol, the following records shall be kept 
if the sulfur content of the batch was determined by the alternative 
means of demonstrating compliance with the sulfur requirements pursuant 
to the requirements of Sec.  80.1642(c):
    (i) The name and title of the person who calculated the sulfur 
content of the batch.
    (ii) The date the calculation was performed.
    (iii) The calculated sulfur content.
    (iv) The sulfur content of the neat (un-denatured) ethanol.
    (v) The date each batch of neat ethanol was produced.
    (vi) The neat ethanol batch number.
    (vii) The neat ethanol batch volume.
    (viii) As applicable, the neat ethanol production quality control 
records, or the test results on the neat ethanol including--
    (A) The location, date, time, and storage tank or truck 
identification for each sample collected.
    (B) The name and title of the person who collected the sample and 
the person who performed the test.
    (C) The results of the test as originally printed by the testing 
apparatus, or where no printed result is produced, the results as 
originally recorded by the person who performed the test.
    (D) Any record that contains a test result for the sample that is 
not identical to the result recorded under paragraph (d)(7)(v) of this 
section.
    (E) The test methodology used.
    (v) The sulfur content of the denaturant(s) used, and the volume 
percent at which the denaturant(s) were added to neat (un-denatured) 
ethanol to produce denatured fuel ethanol.
    (vi) The product transfer documents for the denaturants used.
    (e) Records that parties who take custody of oxygenates in the 
oxygenate distribution system must keep. Beginning January 1, 2017 or 
the first date when a party takes custody of oxygenate that is 
represented on the product transfer document as meeting the standards in 
Sec.  80.1610 (whichever is earlier), all parties that take custody of 
oxygenate--from the oxygenate producer through to the oxygenate 
blender--must keep a copy of the product transfer document for each 
batch of oxygenate.
    (f) Records that must be kept by producers and importers of ethanol 
denaturant designated as suitable for use in the manufacturer of 
denatured fuel ethanol meeting federal quality requirements. Beginning 
January 1, 2017 or the first date when a producer or importer of ethanol 
denaturant designated as suitable for use in the manufacturer of 
denatured fuel ethanol meeting federal quality requirements pursuant to 
the requirements of Sec.  80.1611 introduces such denaturant into 
commerce, records of all the following must be kept for each batch of 
such denaturant produced or imported:
    (1) The date each batch was produced.
    (2) The batch number.
    (3) The batch volume.
    (4) The product transfer document for the batch.
    (5) The sulfur content of the batch.
    (6) The location, date, time, and storage tank or truck 
identification for each sample collected.
    (7) The name and title of the person who collected the sample and 
the person who performed the test.
    (8) The results of the test as originally printed by the testing 
apparatus, or where no printed result is produced, the results as 
originally recorded by the person who performed the test.
    (9) Any record that contains a test result for the sample that is 
not identical to the result recorded under paragraph (f)(5) of this 
section.
    (10) The test methodology used.

[[Page 660]]

    (g) Records that parties who take custody of ethanol denaturants 
designated as suitable for use in the manufacturer of denatured fuel 
ethanol meeting federal quality requirements. Beginning January 1, 2017, 
all parties that take custody of denaturants designated as suitable for 
use in the manufacture of DFE pursuant to Sec.  80.1611 must keep the 
following records:
    (1) The product transfer document for the denaturant.
    (2) As applicable, the volume percent at which the denaturant was 
added to neat ethanol.
    (h) Records that producers and importers of gasoline additives as 
defined in 40 CFR 79.2(f) must keep. Beginning January 1, 2017 producers 
and importers of gasoline additives must keep the following records:
    (1) The date the batch was produced.
    (2) The volume of the batch.
    (3) The product transfer document for the batch.
    (4) The maximum recommended treatment rate.
    (5) Records of the additive manufacturer's control practices which 
demonstrate that the additive will contribute no more than 3 ppm on a 
per gallon basis to the sulfur content of gasoline when used at the 
maximum recommended treatment rate.
    (i) Records that parties who take custody of gasoline additives in 
the gasoline additive distribution system must keep. Beginning January 
1, 2017, all parties that take custody of gasoline additives for bulk 
addition to gasoline from the producer through to the party that adds 
the additive to gasoline must keep the following records; these 
requirements of do not apply for gasoline additives packaged for 
addition to gasoline in the vehicle fuel tank:
    (1) The product transfer document for each batch of gasoline 
additive.
    (2) As applicable, the treatment at which the additive was added to 
gasoline.
    (3) As applicable, the volume of gasoline that was treated with the 
additive. A new record shall be initiated in cases where a new batch of 
additives is mixed into a storage tank from which the additive is drawn 
to be injected into gasoline.
    (j) Records regarding credits. The records required under this 
subpart O shall be kept for five years from the date they were created; 
except in the following cases:
    (1) Transfers of credits. Except as provided in paragraph (f)(2) of 
this section, records relating to credit transfers shall be kept by the 
transferor for five years from the date the credits are transferred; and 
shall be kept by the transferee for five years from the date the credits 
were transferred, used, or terminated, whichever is later.
    (2) Credits generated prior to January 1, 2017. (i) Where the party 
generating the credits does not transfer the credits, records must be 
kept for five years from the date of creation, use, or termination, 
whichever is later.
    (ii) When credits generated prior to January 1, 2017 are 
transferred, records relating to such credits shall be kept by the 
transferor for five years from the date the credits are transferred; and 
shall be kept by the transferee for five years from the date the credits 
were transferred, used, or terminated, whichever is later.
    (k) Make records available to EPA. On request by EPA, the records 
required in this section shall be provided to the Administrator's 
authorized representative. For records that are electronically generated 
or maintained, the equipment and software necessary to read the records 
shall be made available; or, if requested by EPA, electronic records 
shall be converted to paper documents which shall be provided to the 
Administrator's authorized representative.



Sec.  80.1654  California gasoline requirements.

    (a) California gasoline exemption. California gasoline that complies 
with all the requirements of this section is exempt from all other 
provisions of this subpart O.
    (b) Requirements for California gasoline. (1) Each batch of 
California gasoline must be designated as such by its refiner or 
importer.
    (2) Designated California gasoline must be kept segregated from 
gasoline that is not California gasoline, at all points in the 
distribution system.

[[Page 661]]

    (3) Designated California gasoline must ultimately be used in the 
State of California and not used elsewhere.
    (4) For California gasoline produced outside the State of 
California, the transferors and transferees must meet the product 
transfer document requirements of paragraph (b)(5) of this section.
    (5)(i) Any refiner that operates a refinery located outside the 
State of California at which California gasoline (as defined in Sec.  
80.1600) is produced must provide to any person to whom custody or title 
of such gasoline has transferred, and each transferee must provide to 
any subsequent transferee, documents which include all the following 
information:
    (A) The name and address of the transferor.
    (B) The name and address of the transferee.
    (C) The volume of gasoline which is being transferred.
    (D) The location of the gasoline at the time of the transfer.
    (E) The date and time of the transfer.
    (F) The identification of the gasoline as California gasoline.
    (ii) Each refiner and transferee of California gasoline must 
maintain copies of the product transfer documents required to be 
provided by paragraph (b)(5)(i) of this section for a period of five 
years from the date of creation and shall deliver such documents to the 
Administrator or to the Administrator's authorized representative upon 
request.
    (6) Gasoline that is ultimately used in any part of the United 
States outside of the State of California must comply with the standards 
and requirements of this subpart, regardless of any designation as 
California gasoline.
    (c) Use of California test methods and offsite sampling procedures. 
In the case of any gasoline that is not California gasoline and that is 
either produced at a refinery located in the State of California or is 
imported from outside the United States into the State of California, 
the refiner or importer may, with regard to such gasoline--
    (1) Use the sampling and testing methods approved in Title 13 of the 
California Code of Regulations instead of the sampling and testing 
methods required under Sec.  80.1630; and
    (2) Determine the sulfur content of gasoline at offsite tankage 
(which would otherwise be prohibited under Sec.  80.65(e)(1)). Note that 
the requirements of Sec.  80.65(e)(1), regarding when the properties of 
a batch of reformulated gasoline must be determined, specify that the 
properties of a batch of gasoline be determined prior to the gasoline 
leaving the refinery or import facility; however, under this section, a 
refiner of California gasoline may determine the properties of gasoline 
as specified under Sec.  80.65(e)(1) at offsite tankage provided that--
    (i) The samples are properly collected under the terms of a current 
and valid protocol agreement between the refiner and the California Air 
Resources Board with regard to sampling at the offsite tankage and 
consistent with the requirements prescribed in Title 13, California Code 
of Regulations, section 2250 et seq. (May 1, 2003); and
    (ii) The refiner provides a copy of the protocol agreement to EPA 
upon request.



Sec.  80.1655  National security exemption.

    (a) The standards of Sec.  80.1603 do not apply to gasoline that is 
produced, imported, sold, offered for sale, supplied, offered for 
supply, stored, dispensed, or transported for use in any of the 
following:
    (1) Tactical military vehicles, engines, or equipment having an EPA 
national security exemption from the gasoline emission standards under 
40 CFR part 86.
    (2) Tactical military vehicles, engines, or equipment that are not 
subject to a national security exemption from vehicle or engine 
emissions standards as described in paragraph (a)(1) of this section 
but, for national security purposes (for purposes of readiness for 
deployment overseas), need to be fueled on the same gasoline as the 
vehicles, engines, or equipment for which EPA has granted such a 
national security exemption.
    (b) The exempt fuel must meet all the following conditions:
    (1) It must be accompanied by product transfer documents as required 
under Sec.  80.1651.

[[Page 662]]

    (2) It must be segregated from non-exempt gasoline at all points in 
the distribution system.
    (3) It must be dispensed from a fuel pump stand, fueling truck, or 
tank that is labeled with the appropriate designation of the fuel.
    (4) It may not be used in any vehicles, engines, or equipment other 
than those referred to in paragraph (a) of this section.
    (c) Any national security exemptions approved under subpart H of 
this part will remain in place under this subpart O.



Sec.  80.1656  Exemptions for gasoline used for research, development
, or testing purposes.

    (a) Written request for a research and development exemption. Any 
person may receive an exemption from the provisions of this subpart for 
gasoline used for research, development, or testing (``R&D'') purposes 
by submitting the information listed in paragraph (c) of this section to 
EPA. Applications for R&D exemptions must be submitted to the address in 
paragraph (h) of this section.
    (b) Criteria for a research and development exemption. For a 
research and development exemption to be granted, the person requesting 
an exemption must do all the following:
    (1) Demonstrate a purpose that constitutes an appropriate basis for 
exemption.
    (2) Demonstrate that an exemption is necessary.
    (3) Design a research and development program that is reasonable in 
scope.
    (4) Have a degree of control consistent with the purpose of the 
program and EPA's monitoring requirements.
    (c) Information required to be submitted. To demonstrate each of the 
elements in paragraph (b) of this section, the person requesting an 
exemption must include all the following information:
    (1) A concise statement of the purpose of the program demonstrating 
that the program has an appropriate research and development purpose.
    (2) An explanation of why the stated purpose of the program cannot 
be achieved in a practicable manner without performing one or more of 
the prohibited acts under this subpart O.
    (3) All the following, to demonstrate the reasonableness of the 
scope of the program:
    (i) An estimate of the program's beginning and ending dates.
    (ii) An estimate of the maximum number of vehicles or engines 
involved in the program and the number of miles and engine hours that 
will be accumulated on each.
    (iii) The sulfur content of the gasoline expected to be used in the 
program.
    (iv) The quantity of gasoline which does not comply with the 
requirements of Sec.  80.1603.
    (v) The manner in which the information on vehicles and engines used 
in the program will be recorded and made available to the Administrator 
upon request.
    (4) With regard to control, a demonstration that the program affords 
EPA a monitoring capability, including all the following:
    (i) A description of the technical and operational aspects of the 
program.
    (ii) The site(s) of the program (including facility name, street 
address, city, county, state, and zip code).
    (iii) The manner in which information on the fuel used in the 
program (including quantity, fuel properties, name, address, telephone 
number and contact person of the supplier, and the date received from 
the supplier), will be recorded and made available to the Administrator 
upon request.
    (iv) The manner in which the party will ensure that the research and 
development fuel will be segregated from gasoline meeting the standards 
of this subpart and how fuel pumps will be labeled to ensure proper use 
of the research and development fuel.
    (v) The name, address, telephone number, and title of the person(s) 
in the organization requesting an exemption from whom further 
information on the application may be obtained.
    (vi) The name, address, telephone number, and title of the person(s) 
in the organization requesting an exemption who is responsible for 
recording and making available the information specified in this 
paragraph (c), and the

[[Page 663]]

location where such information will be maintained.
    (d) Additional requirements. (1) The product transfer documents 
associated with research and development gasoline must comply with 
requirements of Sec.  80.1651(c).
    (2) The research and development gasoline must be designated by the 
refiner or supplier, as applicable, as exempt research and development 
gasoline.
    (3) The research and development gasoline must be kept segregated 
from non-exempt gasoline at all points in the distribution system.
    (4) The research and development gasoline must not be sold, 
distributed, offered for sale or distribution, dispensed, supplied, 
offered for supply, transported to or from, or stored by a fuel retail 
outlet, or by a wholesale purchaser-consumer facility, unless the 
wholesale purchaser-consumer facility is associated with the research 
and development program that uses the gasoline.
    (5) At the completion of the program, any emission control systems 
or elements of design which are damaged or rendered inoperative shall be 
replaced on vehicles remaining in service, or the responsible person 
will be liable for a violation of the Clean Air Act section 203(a)(3) 
(42 U.S.C. 7522(a)(3)) unless sufficient evidence is supplied that the 
emission controls or elements of design were not damaged.
    (e) Memorandum of exemption. The Administrator will grant an R&D 
exemption upon a demonstration that the requirements of this section 
have been met. The R&D exemption will be granted in the form of a 
memorandum of exemption signed by the applicant and the Administrator 
(or delegate), which may include such terms and conditions as the 
Administrator determines necessary to monitor the exemption and to carry 
out the purposes of this section, including restoration of emission 
control systems.
    (1) The volume of fuel subject to the approval shall not exceed the 
estimated amount under paragraph (c)(3) of this section, unless EPA 
grants a greater amount in writing.
    (2) Any exemption granted under this section will expire at the 
completion of the test program or three years from the date of approval, 
whichever occurs first, and may only be extended upon re-application 
consistent will all requirements of this section.
    (3) EPA may elect at any time to review the information contained in 
the request, and where appropriate may notify the responsible person of 
disapproval of the exemption.
    (4) In granting an exemption the Administrator may include terms and 
conditions, including replacement of emission control devices or 
elements of design, that the Administrator determines are necessary for 
monitoring the exemption and for assuring that the purposes of this 
subpart are met.
    (5) Any violation of a term or condition of the exemption, or of any 
requirement of this section, will cause the exemption to be void ab 
initio.
    (6) If any information required under paragraph (c) of this section 
should change after approval of the exemption, the responsible person 
must notify EPA in writing immediately. Failure to do so may result in 
disapproval of the exemption or may make it void ab initio, and may make 
the party liable for a violation of this subpart O.
    (f) Effects of exemption. Gasoline that is subject to a research and 
development exemption under this section is exempt from other provisions 
of this subpart O provided that the fuel is used in a manner that 
complies with the purpose of the program under paragraph (c) of this 
section and all other requirements of this section.
    (g) Notification of completion. The party shall notify EPA in 
writing within 30 days after completion of the research and development 
program.
    (h) Submission. Requests for research and development exemptions 
shall be sent to the attention of ``Tier 3 Program (R&D Exemption 
Request)'' to the address in Sec.  80.10(a).

[79 FR 23655, Apr. 28, 2014, as amended at 85 FR 7085, Feb. 6, 2020]

[[Page 664]]



Sec.  80.1657  [Reserved]



Sec.  80.1658  Requirements for gasoline for use in 
American Samoa, Guam, and the Commonwealth of the Northern
Mariana Islands.

    The gasoline sulfur standards of this subpart O do not apply to 
gasoline that is produced, imported, sold, offered for sale, supplied, 
offered for supply, stored, dispensed, or transported for use in the 
Territories of Guam, American Samoa or the Commonwealth of the Northern 
Mariana Islands, provided that such gasoline meets all the following 
requirements:
    (a) The gasoline is designated by the refiner or importer as high 
sulfur gasoline only for use in Guam, American Samoa, or the 
Commonwealth of the Northern Mariana Islands.
    (b) The gasoline is used only in Guam, American Samoa, or the 
Commonwealth of the Northern Mariana Islands.
    (c) The gasoline is accompanied by documentation that complies with 
the product transfer document requirements of Sec.  80.1651(c)(3).
    (d) The gasoline is segregated from non-exempt high sulfur gasoline 
at all points in the distribution system from the point the fuel is 
designated as gasoline only for use in Guam, American Samoa, or the 
Commonwealth of the Northern Mariana Islands, while the fuel is in the 
United States but outside these Territories.



Sec.  80.1659  [Reserved]



Sec.  80.1660  Prohibited acts.

    No person shall--
    (a) Averaging violation. Produce or import gasoline that does not 
comply with the applicable sulfur average standard under Sec.  80.1603.
    (b) Cap standard violation. Produce, import, sell, offer for sale, 
dispense, supply, offer for supply, store or transport gasoline, 
oxygenate, or ethanol denaturant that does not comply with the 
applicable sulfur cap standards under Sec.  80.1603, Sec.  80.1604, 
Sec.  80.1610, or Sec.  80.1611.
    (c) Causing violating gasoline, oxygenate, or ethanol denaturant to 
be in the distribution system. Cause gasoline, oxygenate, or ethanol 
denaturant to be in the distribution system which does not comply with 
an applicable sulfur cap standard under Sec.  80.1603, Sec.  80.1604, 
Sec.  80.1610, or Sec.  80.1611.
    (d) Oxygenate violation. Starting March 1, 2017, blend into 
gasoline, RBOB, or CBOB any oxygenate, including but not limited to 
denatured fuel ethanol, that has a sulfur content higher than 10 ppm.
    (e) Additive blender violation. Unless acting in the capacity of a 
gasoline refiner or importer under Sec.  80.1613, introduce an additive 
other than an oxygenate compound into gasoline, CBOB, or RBOB which 
contributes more than 3 ppm to the sulfur content of the finished 
gasoline, CBOB, or RBOB.
    (f) Additive manufacturer violation. Introduce an additive with a 
maximum allowed treatment rate of less than 1.0 volume percent into 
gasoline, CBOB, or RBOB which contributes more than 3 ppm to the sulfur 
content of the finished gasoline, CBOB, or RBOB, or introduce more than 
1.0 volume percent of any additive other than an oxygenate into 
gasoline, CBOB, or RBOB without complying with all the requirements of 
this subpart O, including the standards and requirements at Sec.  
80.1640 that apply to refiners producing gasoline by blending 
blendstocks into PCG.
    (g) Denaturant violation. Cause or contribute to the introduction 
into commerce of an ethanol denaturant designated as suitable for the 
production manufacture of denatured fuel ethanol meeting federal quality 
requirements which does not comply with the requirements of Sec.  
80.1611.
    (h) Credit violation. Generate, transfer, or use invalid credits or 
improperly transfer or use credits.
    (i) Export violation. Distribute or dispense gasoline intended for 
export (pursuant to Sec.  80.1603(b)(3)) for use in the United States.
    (j) Failure to meet a requirement. Fail to meet a requirement that 
applies to that person under this subpart.

[[Page 665]]



Sec.  80.1661  What evidence may be used to determine compliance with
the prohibitions and requirements of this subpart and liability for 
violations of this subpart?

    (a) Compliance with the sulfur standards of this subpart O shall be 
determined based on the sulfur level, measured or otherwise determined 
as applicable using the methodologies specified in Sec. Sec.  80.47, 
80.1611, and 80.1630. Any evidence or information, including the 
exclusive use of such evidence or information, may be used to establish 
the sulfur level of gasoline, ethanol denaturant, or oxygenate if the 
evidence or information is relevant to whether the sulfur level would 
have been in compliance with the standards if the appropriate sampling 
and testing methodology or other sulfur determination methodology as 
applicable had been correctly performed. Such evidence may be obtained 
from any source or location and may include, but is not limited to, test 
results using methods other than those specified in Sec. Sec.  80.47 and 
80.1630, business records, and commercial documents.
    (b) Determinations of compliance with the requirements of this 
subpart other than the sulfur standards, and determinations of liability 
for any violation of this subpart, may be based on information obtained 
from any source or location. Such information may include, but is not 
limited to, business records and commercial documents.



Sec.  80.1662  Liability for violations.

    The following persons are liable for violations under this subpart:
    (a) Persons liable for violations of prohibited acts. (1) Averaging 
violation. Any refiner or importer who violates Sec.  80.1660(a) is 
liable for the violation.
    (2) Causing an averaging violation. Any refiner, importer, 
distributor, reseller, carrier, retailer, wholesale purchaser-consumer, 
oxygenate blender, ethanol denaturant producer, or ethanol denaturant 
importer who causes another party to violate Sec.  80.1660(a), is liable 
for a violation of Sec.  80.1660(c).
    (3) Cap standard violation. Any refiner, gasoline importer, 
distributor, reseller, carrier, retailer, wholesale purchaser-consumer, 
oxygenate producer, oxygenate importer, oxygenate blender, ethanol 
denaturant producer, ethanol denaturant importer, additive manufacturer, 
or additive blender who owned, leased, operated, controlled or 
supervised a facility where a violation of Sec.  80.1660(b) occurred, is 
deemed in violation of Sec.  80.1660(b).
    (4) Causing a cap standard violation. Any refiner, gasoline 
importer, distributor, reseller, carrier, retailer, wholesale purchaser-
consumer, oxygenate producer, oxygenate importer, oxygenate blender, 
ethanol denaturant producer, ethanol denaturant importer, additive 
manufacturer, or additive blender who produced, imported, sold, offered 
for sale, dispensed, supplied, offered for supply, stored, transported, 
or caused the transportation or storage of gasoline, oxygenate, or 
ethanol denaturant that violates Sec.  80.1660(b), is deemed in 
violation of Sec.  80.1660(c).
    (5) Branded refiner/importer liability. Any refiner or importer 
whose corporate, trade, or brand name, or whose marketing subsidiary's 
corporate, trade, or brand name appeared at a facility where a violation 
of Sec.  80.1660(b) occurred, is deemed in violation of Sec.  
80.1660(b).
    (6) Causing violating gasoline to be in the distribution system. Any 
refiner, gasoline importer, distributor, reseller, carrier, oxygenate 
producer, oxygenate importer, oxygenate blender, ethanol denaturant 
producer, ethanol denaturant importer, additive manufacturer, or 
additive blender who owned, leased, operated, controlled or supervised a 
facility from which gasoline, oxygenate, or ethanol denaturant was 
released into the distribution system which does not comply with an 
applicable sulfur cap standard or a sulfur averaging standard is deemed 
in violation of Sec.  80.1660(d).
    (7) Carrier causation. In order for a carrier to be liable under 
paragraph (a)(2), (a)(3), (a)(4), or (a)(6) of this section, EPA must 
demonstrate, by reasonably specific showing by direct or circumstantial 
evidence, that the carrier caused the violation.
    (8) Oxygenate blender violation. Any oxygenate blender who violates 
Sec.  80.1660(e) is liable for the violation.

[[Page 666]]

    (9) Additive manufacturer violation. Any additive manufacturer who 
violates Sec.  80.1660(g) is deemed liable for the violation.
    (10) Additive blender violation. Any additive blender who violates 
Sec.  80.1660(f) is deemed liable for the violation.
    (11) Credit violation. Any refiner or importer who violates Sec.  
80.1660(h) is liable for the violation.
    (12) Parent corporation liability. Any parent corporation is liable 
for any violations of this subpart that are committed by any of its 
wholly-owned subsidiaries.
    (13) Joint venture and joint owner liability. Each partner to a 
joint venture, or each owner of a facility owned by two or more owners, 
is jointly and severally liable for any violation of this subpart that 
occurs at the joint venture facility or facility owned by the joint 
owners, or is committed by the joint venture operation or any of the 
joint owners of the facility.
    (b) Persons liable for failure to meet other provisions of this 
subpart. Any person who--
    (1) Fails to comply with a provision of this subpart not addressed 
in paragraph (a) of this section is liable for a violation of that 
provision.
    (2) Causes another person to fail to meet a requirement of this 
subpart not addressed in paragraph (a) of this section is liable for 
causing a violation of that provision.



Sec.  80.1663  Defenses for a violation of a prohibited act.

    (a) Any person deemed liable for a violation of a prohibition under 
Sec.  80.1662(a)(3) through (10), will not be deemed in violation if the 
person demonstrates all the following:
    (1) The violation was not caused by the person or the person's 
employee or agent.
    (2) In cases where product transfer document requirements under this 
subpart apply, the product transfer documents account for the fuel found 
to be in violation and indicate that the violating product was in 
compliance with the applicable requirements while in that person's 
control; and
    (3) The person conducted a quality assurance sampling and testing 
program, as described in paragraph (d) of this section. A carrier may 
rely on the quality assurance program carried out by another party, 
including the party who owns the gasoline in question, provided that the 
quality assurance program is carried out properly. Retailers and 
wholesale purchaser-consumers are not required to conduct sampling and 
testing of gasoline as part of their quality assurance programs.
    (b) In the case of a violation found at a facility operating under 
the corporate, trade or brand name of a refiner or importer, or a 
refiner's or importer's marketing subsidiary, the refiner or importer 
must show, in addition to the defense elements required under paragraphs 
(a)(1) through (3) of this section, that the violation was caused by any 
of the following:
    (1) An act in violation of law (other than the Clean Air Act or this 
part 80), or an act of sabotage or vandalism.
    (2) The action of any refiner, gasoline importer, retailer, 
distributor, reseller, oxygenate blender, carrier, retailer or wholesale 
purchaser-consumer in violation of a contractual agreement between the 
branded refiner or importer and the person designed to prevent such 
action, and despite periodic sampling and testing by the branded refiner 
or importer to ensure compliance with such contractual obligation.
    (3) The action of any carrier or other distributor not subject to a 
contract with the refiner or importer, but engaged for transportation of 
gasoline, oxygenate, or ethanol denaturant despite specifications or 
inspections of procedures and equipment which are reasonably calculated 
to prevent such action.
    (c) Under paragraph (a) of this section, for any person to show that 
a violation was not caused by that person, or under paragraph (b) of 
this section to show that a violation was caused by any of the specified 
actions, the person must demonstrate by reasonably specific showings, by 
direct or circumstantial evidence, that the violation was caused or must 
have been caused by another person and that the person asserting the 
defense did not contribute to that other person's causation.
    (d) To demonstrate an acceptable quality assurance and testing 
program under paragraph (a)(2) of this section, a

[[Page 667]]

person must present evidence of all the following:
    (1) A periodic sampling and testing program to ensure the gasoline 
the person sold, dispensed, supplied, stored, or transported, meets the 
applicable sulfur standard.
    (2) On each occasion when gasoline is found not in compliance with 
the applicable sulfur standard--
    (i) The person immediately ceases selling, offering for sale, 
dispensing, supplying, offering for supply, storing or transporting the 
non-complying product; and
    (ii) The person promptly remedies the violation and the factors that 
caused the violation (for example, by removing the non-complying product 
from the distribution system until the applicable standard is achieved 
and taking steps to prevent future violations of a similar nature from 
occurring).
    (3) For any carrier who transports gasoline in a tank truck, the 
quality assurance program required under this paragraph (d) need not 
include periodic sampling and testing of gasoline in the tank truck, but 
in lieu of such tank truck sampling and testing, the carrier shall 
demonstrate evidence of an oversight program for monitoring compliance 
with the requirements of this subpart relating to the transport or 
storage of gasoline by tank truck, such as appropriate guidance to 
drivers regarding compliance with the applicable sulfur standard and 
product transfer document requirements, and the periodic review of 
records received in the ordinary course of business concerning gasoline 
quality and delivery.



Sec.  80.1664  [Reserved]



Sec.  80.1665  Penalties.

    (a) Any person liable for a violation under Sec.  80.1662 is subject 
to civil penalties as specified in section 205 of the Clean Air Act (42 
U.S.C. 7524) for every day of each such violation and the amount of 
economic benefit or savings resulting from each violation.
    (b) Any person liable under Sec.  80.1662(a)(1) or (a)(2) for a 
violation of the applicable sulfur averaging standard or causing another 
party to violate that standard during any averaging period, is subject 
to a separate day of violation for each and every day in the averaging 
period. Any person liable under Sec.  80.1662(a)(11) or (b) for a 
failure to fulfill any requirement for credit generation, transfer, use, 
banking, or deficit correction, is subject to a separate day of 
violation for each and every day in the averaging period in which 
invalid credits are generated or used.
    (c)(1) Any person liable under Sec.  80.1662(a)(3) through (10) for 
a violation of an applicable sulfur per gallon cap standard under this 
subpart O or of causing another party to violate a cap standard, is 
subject to a separate day of violation for each and every day the non-
complying gasoline remains any place in the gasoline distribution 
system.
    (2) Any person liable under Sec.  80.1662(a)(6) for causing 
gasoline, oxygenate, or ethanol denaturant to be in the distribution 
system which does not comply with an applicable sulfur cap standard, or 
a sulfur averaging standard, is subject to a separate day of violation 
for each and every day that the non-complying gasoline, oxygenate, or 
ethanol denaturant remains any place in the gasoline, oxygenate, or 
ethanol denaturant distribution system.
    (3) For purposes of this paragraph (c), the length of time the 
gasoline, oxygenate, or ethanol denaturant in question remained in the 
gasoline, oxygenate, or ethanol denaturant distribution system is deemed 
to be twenty-five days, unless a person subject to liability or EPA 
demonstrates by reasonably specific showings, by direct or 
circumstantial evidence, that the non-complying gasoline, oxygenate, or 
ethanol denaturant remained in the gasoline, oxygenate, or ethanol 
denaturant distribution system for fewer than or more than twenty-five 
days.
    (d) Any person liable under Sec.  80.1662(b) for failure to meet, or 
causing a failure to meet, a provision of this subpart is liable for a 
separate day of violation for each and every day such provision remains 
unfulfilled.

[[Page 668]]



Sec.  80.1666  Additional requirements for foreign small refiners
and foreign small volume refineries.

    The provisions of this section apply to certain foreign refiners and 
importers during the period January 1, 2017 through December 31, 2019. 
After December 31, 2019, foreign refiners are not subject to compliance 
requirements under subpart H of this part, or this subpart O; instead, 
the importer of any foreign-produced gasoline shall be responsible for 
compliance with the standards and requirements of this subpart O that 
relate to importers.
    (a) Definitions. (1) Foreign small refiner is a foreign refiner that 
meets the definition of a small refiner under Sec.  80.1620.
    (2) Foreign small volume refinery is a foreign refinery that meets 
the definition of a small volume refinery under Sec.  80.1621.
    (3) Sulfur-FRGAS, for this subpart, means gasoline produced from 
January 1, 2017 through December 31, 2019, at a foreign refinery of a 
refiner that has been approved as a small refiner or a small volume 
refinery under Sec.  80.1622, and that is imported into the United 
States.
    (4) Non-Sulfur-FRGAS means gasoline that is produced at a foreign 
refinery that has not been approved as a small refiner refinery or small 
volume refinery under Sec.  80.1622, gasoline produced at a foreign 
refinery of an approved small refiner or at an approved small volume 
refinery under Sec.  80.1622 that is not imported into the United 
States, and gasoline produced at a foreign refinery that is approved 
during a year when the foreign refiner has opted to not participate in 
the Sulfur-FRGAS program under paragraph (c)(3) of this section.
    (5) Certified Sulfur-FRGAS means Sulfur-FRGAS the foreign refiner 
intends to include in the foreign refinery's sulfur compliance 
calculations under Sec. Sec.  80.195 and 80.205 and does include in 
these compliance calculations when reported to EPA.
    (6) Non-Certified Sulfur-FRGAS means Sulfur-FRGAS that is not 
Certified Sulfur-FRGAS.
    (b) Petition for approval of small refiner or small volume refinery 
status. To be approved for small refiner status or small volume refinery 
status a foreign refiner must submit a petition for approval as provided 
under Sec.  80.1622 and this section. If small refiner status or small 
volume refinery status is approved, the foreign refiner may produce 
gasoline for export to the United States, during the period starting 
January 1, 2017 and ending December 31, 2019, that is subject to the 
sulfur content standards of subpart H of this part at Sec.  80.195 that 
were applicable to refiners from 2006 through 2016. A foreign refiner is 
not eligible to generate sulfur credits under subpart H of this part or 
this subpart O, as this occurs through the importer.
    (c) General requirements for foreign refiners approved as small 
refiners or small volume refinery status. A foreign refiner of a 
refinery that has been approved as a small refiner refinery or a small 
volume refinery must designate all gasoline produced at the foreign 
refinery that is exported to the United States as either Certified 
Sulfur-FRGAS or as Non-Certified Sulfur-FRGAS, except as provided in 
paragraph (c)(3) of this section.
    (1) In the case of Certified Sulfur-FRGAS, the foreign refiner must 
meet the sulfur standards of subpart H of this part as described in 
paragraph (b) of this section and the requirements of this section.
    (2) In the case of Non-Certified Sulfur-FRGAS, the foreign refiner 
shall meet all the following provisions, except the foreign refiner 
shall substitute the name Non-Certified Sulfur-FRGAS for the names 
``reformulated gasoline'' or ``RBOB'' wherever they appear in the 
following provisions:
    (i) The designation requirements in this section.
    (ii) The recordkeeping requirements under Sec.  80.1653.
    (iii) The reporting requirements in Sec.  80.1652 and this section.
    (iv) The product transfer document requirements in Sec.  80.1651 and 
this section.
    (v) The prohibitions in Sec.  80.1660 and this section.
    (vi) The independent audit requirements under Sec.  80.415 and 
paragraph (h) of this section; and the attest engagement provisions of 
Sec. Sec.  80.125 through 80.127, 80.128(a), (b), (c), and (g) through 
(i), and 80.130.

[[Page 669]]

    (3)(i) Any foreign refiner that has been approved as a small refiner 
or whose refinery has been approved as a small volume refinery under 
this subpart O may elect to classify no gasoline imported into the 
United States as Sulfur-FRGAS, provided the foreign refiner notifies EPA 
of the election no later than November 1 of the prior calendar year.
    (ii) An election under paragraph (c)(3)(i) of this section shall 
meet all the following requirements:
    (A) Apply to an entire calendar year averaging period, and apply to 
all gasoline produced during the calendar year at the foreign refinery 
that is used in the United States.
    (B) Remain in effect for each succeeding calendar year averaging 
period, unless and until the foreign refiner notifies EPA of a 
termination of the election. The change in election shall take effect at 
the beginning of the next calendar year.
    (d) Designation, product transfer documents, and foreign refiner 
certification. (1) Any approved foreign small refiner or any foreign 
refiner having an approved small volume refinery under this subpart O 
must designate each batch of Sulfur-FRGAS as such at the time the 
gasoline is produced, unless the refinery has elected to classify no 
gasoline exported to the United States as Sulfur-FRGAS under paragraph 
(c)(3)(i) of this section.
    (2) On each occasion when any person transfers custody or title to 
any Sulfur-FRGAS prior to its being imported into the United States, it 
must include all the following information as part of the product 
transfer document information in this section:
    (i) Identification of the gasoline as Certified Sulfur-FRGAS or as 
Non-Certified Sulfur-FRGAS.
    (ii) The name and EPA refinery registration number of the refinery 
where the Sulfur-FRGAS was produced.
    (3) On each occasion when Sulfur-FRGAS is loaded onto a vessel or 
other transportation mode for transport to the United States, the 
foreign refiner shall prepare a certification for each batch of the 
Sulfur-FRGAS that meets all the following requirements:
    (i) The certification shall include the report of the independent 
third party under paragraph (f) of this section, and all the following 
additional information:
    (A) The name and EPA registration number of the refinery that 
produced the Sulfur-FRGAS.
    (B) The identification of the gasoline as Certified Sulfur-FRGAS or 
Non-Certified Sulfur-FRGAS.
    (C) The volume of Sulfur-FRGAS being transported, in gallons.
    (D) In the case of Certified Sulfur-FRGAS, the sulfur content as 
determined under paragraph (f) of this section, and a declaration that 
the Sulfur-FRGAS is being included in the compliance calculations under 
Sec.  80.205 for the refinery that produced the Sulfur-FRGAS.
    (ii) The certification shall be made part of the product transfer 
documents for the Sulfur-FRGAS.
    (e) Transfers of Sulfur-FRGAS to non-U.S. markets. The foreign 
refiner is responsible to ensure that all gasoline classified as Sulfur-
FRGAS is imported into the United States. A foreign refiner may remove 
the Sulfur-FRGAS classification, and the gasoline need not be imported 
into the United States, but only if--
    (1)(i) The foreign refiner excludes the volume and sulfur content of 
the gasoline from the compliance calculations under Sec.  80.205.
    (ii) The exclusions under paragraph (e)(1)(i) of this section shall 
be on the basis of the sulfur content and volumes determined under 
paragraph (f) of this section; and
    (2) The foreign refiner obtains sufficient evidence in the form of 
documentation that the gasoline was not imported into the United States.
    (f) Load port independent sampling, testing and refinery 
identification. (1) On each occasion Sulfur-FRGAS is loaded onto a 
vessel for transport to the United States a foreign refiner shall have 
an independent third party do all the following:
    (i) Inspect the vessel prior to loading and determine the volume of 
any tank bottoms.
    (ii) Determine the volume of Sulfur-FRGAS loaded onto the vessel 
(exclusive of any tank bottoms present before vessel loading).

[[Page 670]]

    (iii) Obtain the EPA-assigned registration number of the foreign 
refinery.
    (iv) Determine the name and country of registration of the vessel 
used to transport the Sulfur-FRGAS to the United States.
    (v) Determine the date and time the vessel departs the port serving 
the foreign refinery.
    (2) On each occasion Certified Sulfur-FRGAS is loaded onto a vessel 
for transport to the United States a foreign refiner shall have an 
independent third party--
    (i) Collect a representative sample of the Certified Sulfur-FRGAS 
from each vessel compartment subsequent to loading on the vessel and 
prior to departure of the vessel from the port serving the foreign 
refinery.
    (ii) Prepare a volume-weighted vessel composite sample from the 
compartment samples, and determine the value for sulfur in accordance 
with the methodology and requirements specified in Sec.  80.1630, by 
either of the following:
    (A) The third party analyzing the sample.
    (B) The third party observing the foreign refiner analyzing the 
sample.
    (iii) Review original documents that reflect movement and storage of 
the certified Sulfur-FRGAS from the refinery to the load port, and from 
this review determine all the following:
    (A) The refinery at which the Sulfur-FRGAS was produced.
    (B) That the Sulfur-FRGAS remained segregated from Non-Sulfur-FRGAS, 
Non-Certified Sulfur-FRGAS, and other Certified Sulfur-FRGAS produced at 
a different refinery.
    (3) The independent third party shall submit a report--
    (i) To the foreign refiner containing the information required under 
paragraphs (f)(1) and (2) of this section, to accompany the product 
transfer documents for the vessel; and
    (ii) To the Administrator containing the information required under 
paragraphs (f)(1) and (2) of this section, within thirty days following 
the date of the independent third party's inspection. This report shall 
include a description of the method used to determine the identity of 
the refinery at which the gasoline was produced, assurance that the 
gasoline remained segregated as specified in paragraph (m)(1) of this 
section, and a description of the gasoline's movement and storage 
between production at the source refinery and vessel loading.
    (4) The independent third party must do all the following:
    (i) Be approved in advance by EPA, based on a demonstration of 
ability to perform the procedures required in this paragraph (f).
    (ii) Be independent under the criteria specified in Sec.  
80.65(f)(2)(iii).
    (iii) Sign a commitment that contains the provisions specified in 
paragraph (i) of this section with regard to activities, facilities and 
documents relevant to compliance with the requirements of this paragraph 
(f).
    (g) Comparison of load port and port of entry testing. (1)(i) Except 
as described in paragraph (g)(1)(ii) of this section, any foreign 
refiner and any U.S. importer of Certified Sulfur-FRGAS shall compare 
the results from the load port testing under paragraph (f) of this 
section, with the port of entry testing as reported under paragraph (o) 
of this section, for the volume of gasoline and the sulfur value.
    (ii) Where a vessel transporting Certified Sulfur-FRGAS off loads 
this gasoline at more than one U.S. port of entry, and the conditions of 
paragraph (g)(2) of this section are met at the first U.S. port of 
entry, the requirements of paragraph (g)(2) of this section do not apply 
at subsequent ports of entry if the U.S. importer obtains a 
certification from the vessel owner, meeting the requirements of 
paragraph (r) of this section that the vessel has not loaded any 
gasoline or blendstock between the first U.S. port of entry and the 
subsequent port of entry.
    (2) The U.S. importer and the foreign refiner shall treat the 
gasoline as Non-Certified Sulfur-FRGAS, and the foreign refiner shall 
exclude the gasoline volume and properties from its gasoline sulfur 
compliance calculations under Sec.  80.205 under either of the following 
circumstances:
    (i) The temperature-corrected volumes determined at the port of 
entry and at the load port differ by more than one percent.

[[Page 671]]

    (ii) The sulfur value determined at the port of entry is higher than 
the sulfur value determined at the load port, and the amount of this 
difference is greater than the reproducibility amount specified for the 
port of entry test result by ASTM.
    (h) Attest requirements. All the following additional procedures 
shall be carried out by any foreign refiner of Sulfur-FRGAS as part of 
the applicable attest engagement for each foreign refinery under Sec.  
80.415:
    (1) The inventory reconciliation analysis under the attest 
engagement provisions of Sec.  80.128(b) and the tender analysis under 
Sec.  80.128(c) shall include Non-Sulfur-FRGAS in addition to the 
gasoline types listed in Sec.  80.128(b) and (c).
    (2) Obtain separate listings of all tenders of Certified Sulfur-
FRGAS, and of Non-Certified Sulfur-FRGAS. Agree the total volume of 
tenders from the listings to the gasoline inventory reconciliation 
analysis in the attest engagement provisions of Sec.  80.128(b), and to 
the volumes determined by the third party under paragraph (f)(1) of this 
section.
    (3) For each tender under paragraph (h)(2) of this section where the 
gasoline is loaded onto a marine vessel, report as a finding the name 
and country of registration of each vessel, and the volumes of Sulfur-
FRGAS loaded onto each vessel.
    (4) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport Certified Sulfur-FRGAS, in 
accordance with the attest engagement guidelines in Sec.  80.127, and 
for each vessel selected perform all the following:
    (i) Obtain the report of the independent third party, under 
paragraph (f) of this section, and of the U.S. importer under paragraph 
(n) of this section.
    (A) Agree the information in these reports with regard to vessel 
identification, gasoline volumes and test results.
    (B) Identify, and report as a finding, each occasion the load port 
and port of entry parameter and volume results differ by more than the 
amounts allowed in paragraph (g) of this section, and determine whether 
the foreign refiner adjusted its refinery calculations as required in 
paragraph (g) of this section.
    (ii) Obtain the documents used by the independent third party to 
determine transportation and storage of the Certified Sulfur-FRGAS from 
the refinery to the load port, under paragraph (f) of this section. 
Obtain tank activity records for any storage tank where the Certified 
Sulfur-FRGAS is stored, and pipeline activity records for any pipeline 
used to transport the Certified Sulfur-FRGAS, prior to being loaded onto 
the vessel. Use these records to determine whether the Certified Sulfur-
FRGAS was produced at the refinery that is the subject of the attest 
engagement, and whether the Certified Sulfur-FRGAS was mixed with any 
Non-Certified Sulfur-FRGAS, Non-Sulfur-FRGAS, or any Certified Sulfur-
FRGAS produced at a different refinery.
    (5) Select a sample from the list of vessels identified in paragraph 
(h)(3) of this section used to transport certified and Non-Certified 
Sulfur-FRGAS, in accordance with the attest engagement guidelines of 
Sec.  80.127, and for each vessel selected perform the following:
    (i) Obtain a commercial document of general circulation that lists 
vessel arrivals and departures, and that includes the port and date of 
departure of the vessel, and the port of entry and date of arrival of 
the vessel.
    (ii) Agree the vessel's departure and arrival locations and dates 
from the independent third party and U.S. importer reports to the 
information contained in the commercial document.
    (6) Obtain separate listings of all tenders of Non-Sulfur-FRGAS, and 
perform all the following:
    (i) Agree the total volume of tenders from the listings to the 
gasoline inventory reconciliation analysis in Sec.  80.128(b).
    (ii) Obtain a separate listing of the tenders under this paragraph 
(h)(6) where the gasoline is loaded onto a marine vessel. Select a 
sample from this listing in accordance with the guidelines in Sec.  
80.127, and obtain a commercial document of general circulation that 
lists vessel arrivals and departures, and that includes the port and 
date of departure and the ports and dates where the gasoline was off 
loaded

[[Page 672]]

for the selected vessels. Determine and report as a finding the country 
where the gasoline was off loaded for each vessel selected.
    (7) In order to complete the requirements of this paragraph (h) an 
auditor must--
    (i) Be independent of the foreign refiner.
    (ii) Be licensed as a Certified Public Accountant in the United 
States and a citizen of the United States, or be approved in advance by 
EPA based on a demonstration of ability to perform the procedures 
required in the attest engagement provisions of Sec. Sec.  80.125 
through 80.130, 80.415 and this paragraph (h).
    (iii) Sign a commitment that contains the provisions specified in 
this paragraph (h) with regard to activities and documents relevant to 
compliance with the requirements of the attest engagement provisions of 
Sec. Sec.  80.125 through 80.130, 80.415 and this paragraph (h).
    (i) Foreign refiner commitments. Any foreign refiner shall commit to 
and comply with the following provisions as a condition to being 
approved for small refiner status or small volume refinery status:
    (1) Any U.S. EPA inspector or auditor will be given complete and 
immediate access to conduct inspections and audits of the foreign 
refinery.
    (i) Inspections and audits may be either announced in advance by 
EPA, or unannounced.
    (ii) Access will be provided to any location where--
    (A) Gasoline is produced;
    (B) Documents related to refinery operations are kept;
    (C) Gasoline or blendstock samples are tested or stored; and
    (D) Sulfur-FRGAS is stored or transported between the foreign 
refinery and the United States, including storage tanks, vessels and 
pipelines.
    (iii) Inspections and audits may be by EPA employees or contractors 
to EPA.
    (iv) Any documents requested that are related to matters covered by 
inspections and audits will be provided to an EPA inspector or auditor 
on request.
    (v) Inspections and audits by EPA may include review and copying of 
any documents related to all the following:
    (A) Approval of the refiner as a small refiner or approval of the 
refinery as a small volume refinery.
    (B) The volume and sulfur content of Sulfur-FRGAS.
    (C) The proper classification of gasoline as being Sulfur-FRGAS or 
as not being Sulfur-FRGAS, or as Certified Sulfur-FRGAS or as Non-
Certified Sulfur-FRGAS.
    (D) Transfers of title or custody to Sulfur-FRGAS.
    (E) Sampling and testing of Sulfur-FRGAS.
    (F) Work performed and reports prepared by independent third parties 
and by independent auditors under the requirements of this section and 
Sec.  80.415, including work papers.
    (G) Reports prepared for submission to EPA, and any work papers 
related to such reports.
    (vi) Inspections and audits by EPA may include taking samples of 
gasoline or blendstock, and interviewing employees.
    (vii) Any employee of the foreign refiner must be made available for 
interview by the EPA inspector or auditor, on request, within a 
reasonable time period.
    (viii) English language translations of any documents must be 
provided to an EPA inspector or auditor, on request, within 10 working 
days.
    (ix) English language interpreters must be provided to accompany EPA 
inspectors and auditors, on request.
    (2) An agent for service located in the District of Columbia will be 
named. Service on this agent constitutes service on the foreign refiner 
or any employee of the foreign refiner for any action by EPA or 
otherwise by the United States related to the requirements of this 
subpart O.
    (3) The forum for any civil or criminal enforcement action related 
to the provisions of this section for violations of the Clean Air Act or 
regulations promulgated thereunder shall be governed by the Clean Air 
Act, including the EPA administrative forum where allowed under the 
Clean Air Act.
    (4) The substantive and procedural laws of the United States shall 
apply to

[[Page 673]]

any civil or criminal enforcement action against the foreign refiner or 
any employee of the foreign refiner related to the provisions of this 
section.
    (5) Submitting a petition for approval as a small refiner or for 
small volume refinery status, producing and exporting gasoline under 
such approval, and all other actions to comply with the requirements of 
this subpart O constitute actions or activities that satisfy the 
provisions of 28 U.S.C. 1605(a)(2), but solely with respect to actions 
instituted against the foreign refiner, its agents and employees in any 
court or other tribunal in the United States for conduct that violates 
the requirements applicable to the foreign refiner under this subpart O, 
including conduct that violates 18 U.S.C. 1001 or Clean Air Act section 
113(c)(2) (42 U.S.C. 7413(c)(2)).
    (6) The foreign refiner, or its agents or employees, must not seek 
to detain or to impose civil or criminal remedies against EPA inspectors 
or auditors, whether EPA employees or EPA contractors, for actions 
performed within the scope of EPA employment related to the provisions 
of this section.
    (7) The commitment required by this paragraph (i) must be signed by 
the owner or president of the foreign refiner business.
    (8) In any case where FRGAS produced at a foreign refinery is stored 
or transported by another company between the refinery and the vessel 
that transports the Sulfur-FRGAS to the United States, the foreign 
refiner shall obtain from each such other company a commitment that 
meets the requirements specified in paragraphs (i)(1) through (7) of 
this section.
    (j) Sovereign immunity. By submitting a petition for approval as a 
small refiner or approval of a small volume refinery under this subpart 
O and this section, or by producing and exporting gasoline to the United 
States under such an approval under this section, the foreign refiner, 
its agents and employees, without exception, become subject to the full 
operation of the administrative and judicial enforcement powers and 
provisions of the United States without limitation based on sovereign 
immunity, with respect to actions instituted against the foreign 
refiner, its agents and employees in any court or other tribunal in the 
United States for conduct that violates the requirements applicable to 
the foreign refiner under this subpart O, including conduct that 
violates 18 U.S.C. 1001 or Clean Air Act section 113(c)(2) (42 U.S.C. 
7413(c)(2)).
    (k) Bond posting. Any foreign refiner must meet the following 
requirements as a condition to being approved for small refiner or small 
volume refinery status:
    (l) The foreign refiner shall post a bond of the amount calculated 
using the following equation:


Bond = G x $ 0.01

Where:

Bond = Amount of the bond in U. S. dollars.
G = The largest volume of gasoline produced at the foreign refinery and 
          exported to the United States, in gallons, during a single 
          calendar year among the most recent of the following calendar 
          years, up to a maximum of three calendar years: the calendar 
          year immediately preceding the date the approval petition is 
          submitted, the calendar year the approval petition is 
          submitted, and each succeeding calendar year.

    (2) Bonds shall be posted by performing any of the following:
    (i) Paying the amount of the bond to the Treasurer of the United 
States.
    (ii) Obtaining a bond in the proper amount from a third party surety 
agent that is payable to satisfy U.S. administrative or judicial 
judgments against the foreign refiner, provided EPA agrees in advance as 
to the third party and the nature of the surety agreement.
    (iii) An alternative commitment that results in assets of an 
appropriate liquidity and value being readily available to the United 
States, provided EPA agrees in advance as to the alternative commitment.
    (3) If the bond amount for a foreign refinery increases, the foreign 
refiner shall increase the bond to cover the shortfall within 90 days of 
the date the bond amount changes. If the bond amount decreases, the 
foreign refiner may reduce the amount of the bond beginning 90 days 
after the date the bond amount changes.
    (4) Bonds posted under this paragraph (k) shall--

[[Page 674]]

    (i) Be used to satisfy any judicial judgment that results from an 
administrative or judicial enforcement action for conduct in violation 
of this subpart O, including where such conduct violates 18 U.S.C. 1001 
and Clean Air Act section 113(c)(2) (42 U.S.C. 7413(c)(2));
    (ii) Be provided by a corporate surety that is listed in the U.S. 
Department of Treasury Circular 570 ``Companies Holding Certificates of 
Authority as Acceptable Sureties on Federal Bonds and Acceptable 
Reinsuring Companies'' (Available from the U.S. Department of the 
Treasury, Financial Management Service, Surety Bond Branch, 3700 East-
West Highway, Room 6A04, Hyattsville, MD, 20782. Also available on the 
Internet at http://www.fms.treas.gov/c570/c570.html); and
    (iii) Include a commitment that the bond will remain in effect for 
at least five years following the end of latest averaging period that 
the foreign refiner produces gasoline pursuant to the requirements of 
this subpart O.
    (5) On any occasion a foreign refiner bond is used to satisfy any 
judgment, the foreign refiner shall increase the bond to cover the 
amount used within 90 days of the date the bond is used.
    (l) English language reports. Any report or other document submitted 
to EPA by any foreign refiner must be in English, or must include an 
English language translation.
    (m) Prohibitions. (1) No person may combine Certified Sulfur-FRGAS 
with any Non-Certified Sulfur-FRGAS or Non-Sulfur-FRGAS, and no person 
may combine Certified Sulfur-FRGAS with any Certified Sulfur-FRGAS 
produced at a different refinery, until the importer has met all the 
requirements of paragraph (n) of this section, except as provided in 
paragraph (e) of this section.
    (2) No foreign refiner or other person may cause another person to 
commit an action prohibited in paragraph (m)(1) of this section, or that 
otherwise violates the requirements of this section.
    (n) U.S. importer requirements. Any U.S. importer shall meet the 
following requirements:
    (1) Each batch of imported gasoline shall be classified by the 
importer as being Sulfur-FRGAS or as Non-Sulfur-FRGAS, and each batch 
classified as Sulfur-FRGAS shall be further classified as Certified 
Sulfur-FRGAS or as Non-certified Sulfur-FRGAS.
    (2) Gasoline shall be classified as Certified Sulfur-FRGAS or as 
Non-Certified Sulfur-FRGAS according to the designation by the foreign 
refiner if this designation is supported by product transfer documents 
prepared by the foreign refiner as required in paragraph (d) of this 
section, unless the gasoline is classified as Non-Certified Sulfur-FRGAS 
under paragraph (g) of this section.
    (3) For each gasoline batch classified as Sulfur-FRGAS, any U.S. 
importer shall perform the following procedures:
    (i) In the case of both Certified and Non-Certified Sulfur-FRGAS, 
have an independent third party--
    (A) Determine the volume of gasoline in the vessel.
    (B) Use the foreign refiner's Sulfur-FRGAS certification to 
determine the name and EPA-assigned registration number of the foreign 
refinery that produced the Sulfur-FRGAS.
    (C) Determine the name and country of registration of the vessel 
used to transport the Sulfur-FRGAS to the United States.
    (D) Determine the date and time the vessel arrives at the U.S. port 
of entry.
    (ii) In the case of Certified Sulfur-FRGAS, have an independent 
third party-
    (A) Collect a representative sample from each vessel compartment 
subsequent to the vessel's arrival at the U.S. port of entry and prior 
to off loading any gasoline from the vessel.
    (B) Prepare a volume-weighted vessel composite sample from the 
compartment samples.
    (C) Determine the sulfur value using the methodologies specified in 
Sec.  80.1630, by the third party analyzing the sample, or by the third 
party observing the importer analyzing the sample.
    (4) Any importer shall submit reports within thirty days following 
the date any vessel transporting Sulfur-FRGAS arrives at the U.S. port 
of entry--
    (i) To the Administrator containing the information determined under 
paragraph (n)(3) of this section; and

[[Page 675]]

    (ii) To the foreign refiner containing the information determined 
under paragraph (n)(3) of this section.
    (5) Any U.S. importer shall meet the applicable requirements of this 
subpart O, including sulfur content standards specified in Sec.  
80.1603, for any imported gasoline that is not classified as Certified 
Sulfur-FRGAS under paragraph (n)(2) of this section.
    (o) Truck imports of Certified Sulfur-FRGAS produced by a foreign 
small refiner or foreign small volume refinery. (1) Any refiner whose 
Certified Sulfur-FRGAS is transported into the United States by truck 
may petition EPA to use alternative procedures to meet all the following 
requirements:
    (i) Certification under paragraph (d)(5) of this section.
    (ii) Load port and port of entry sampling and testing under 
paragraphs (f) and (g) of this section.
    (iii) Attest under paragraph (h) of this section.
    (iv) Importer testing under paragraph (n)(3) of this section.
    (2) These alternative procedures must ensure Certified Sulfur-FRGAS 
remains segregated from Non-Certified Sulfur-FRGAS and from Non-Sulfur-
FRGAS until it is imported into the United States. The petition will be 
evaluated based on whether it adequately addresses all the following:
    (i) Provisions for monitoring pipeline shipments, if applicable, 
from the refinery, that ensure segregation of Certified Sulfur-FRGAS 
from that refinery from all other gasoline.
    (ii) Contracts with any terminals and/or pipelines that receive and/
or transport Certified Sulfur-FRGAS, that prohibit the commingling of 
such Certified Sulfur-FRGAS with any of the following:
    (A) Other Certified Sulfur-FRGAS from other refineries.
    (B) All Non-Certified Sulfur-FRGAS.
    (C) All Non-Sulfur-FRGAS
    (iii) Procedures for obtaining and reviewing truck loading records 
and U.S. import documents for Certified Sulfur-FRGAS to ensure that such 
gasoline is only loaded into trucks making deliveries to the United 
States.
    (iv) Attest procedures to be conducted annually by an independent 
third party that review loading records and import documents based on 
volume reconciliation, or other criteria, to confirm that all Certified 
Sulfur-FRGAS remains segregated throughout the distribution system and 
is only loaded into trucks for import into the United States.
    (3) The petition required by this section must be submitted to EPA 
along with the application for small refiner status or small volume 
refinery status under Sec.  80.1622 and this section.
    (p) Withdrawal or suspension of a foreign refinery's small refiner 
or small volume refinery status approval. EPA may withdraw or suspend 
approval where any of the following occur:
    (1) A foreign refiner fails to meet any requirement of this section.
    (2) A foreign government fails to allow EPA inspections as provided 
in paragraph (i)(1) of this section.
    (3) A foreign refiner asserts a claim of, or a right to claim, 
sovereign immunity in an action to enforce the requirements in this 
subpart O.
    (4) A foreign refiner fails to pay a civil or criminal penalty that 
is not satisfied using the foreign refiner bond specified in paragraph 
(k) of this section.
    (q) [Reserved]
    (r) Additional requirements for petitions, reports and certificates. 
Any petition for approval, any alternative procedures under paragraph 
(o) of this section, and any certification under paragraph (d)(3) of 
this section shall be--
    (1) Submitted in accordance with procedures specified by the 
Administrator, including use of any forms that may be specified by the 
Administrator; and
    (2) Be signed by the president or owner of the foreign refiner 
company, or by that person's immediate designee, and shall contain the 
following declaration:

    I hereby certify: (1) That I have actual authority to sign on behalf 
of and to bind [insert name of foreign refiner] with regard to all 
statements contained herein; (2) that I am aware that the information 
contained herein is being certified, or submitted to the United States 
Environmental Protection Agency, under the applicable requirements of 40 
CFR part 80, subparts H and O, and that the information is material for 
determining compliance under these regulations; and (3) that I have read 
and understand the information being certified or submitted, and this

[[Page 676]]

information is true, complete and correct to the best of my knowledge 
and belief after I have taken reasonable and appropriate steps to verify 
the accuracy thereof.
    I affirm that I have read and understand the provisions of 40 CFR 
part 80, subpart O, including 40 CFR 80.1666 [insert name of foreign 
refiner]. Pursuant to Clean Air Act section 113(c) and 18 U.S.C. 1001, 
the penalty for furnishing false, incomplete or misleading information 
in this certification or submission is a fine of up to $10,000, and/or 
imprisonment for up to five years.



Sec.  80.1667  Attest engagement requirements.

    In addition to the requirements for attest engagements that apply to 
refiners and importers under Sec. Sec.  80.125 through 80.130, 80.1666, 
and other sections of this part 80 the attest engagements for importers 
and refiners must include the following procedures and requirements each 
year.
    (a) Refiners subject to national standards and Small Refiner and 
Small Volume Refinery Status. (1) If the refiner asserts small refinery 
status or small volume refinery status for the refinery, obtain the EPA 
approval letter for the refinery to determine the refinery's applicable 
annual average standard and credit generation status.
    (2) Determine whether the refinery applied the correct annual 
average sulfur standard and whether it was eligible to generate credits 
and report the finding.
    (3) If the annual average sulfur standard is incorrect or credit 
generation was inappropriate, recalculate compliance using the 
appropriate sulfur standard and using appropriate credits and report as 
a finding.
    (b) EPA reports. (1) Obtain and read a copy of the refinery's or 
importer's annual sulfur reports filed with EPA for the year.
    (2) Agree the yearly volume of gasoline reported to EPA in the 
sulfur reports with the inventory reconciliation analysis under the 
attest engagement provisions of Sec.  80.128.
    (3) Calculate the annual average sulfur level for all gasoline and 
agree that value with the value reported to EPA.
    (4) Obtain and read a copy of the refinery's or importer's sulfur 
credit report.
    (5) Agree the information in the refinery's or importer's batch 
reports filed with EPA under Sec. Sec.  80.75 and 80.105, and any 
laboratory test results, with the information contained in the annual 
sulfur report required under Sec.  80.1652.
    (c) Credit generation before 2017. In the case of a refinery that 
generates credits during 2014 through 2016--
    (1) [Reserved]
    (2) Obtain the annual average sulfur level from paragraph (b)(3) of 
this section.
    (3) Compute and report as a finding the total number of sulfur 
credits generated, and agree this value with the value reported to EPA.
    (d) Credit generation in 2017 and thereafter. The following 
procedures shall be completed for a refinery or importer that generates 
credits in 2017 and thereafter:
    (1) Obtain the annual average sulfur level for gasoline from 
paragraph (b)(3) of this section.
    (2) If the sulfur value under paragraph (d)(1) of this section is 
less than 10 ppm, compute and report as a finding the difference between 
the sulfur level under paragraph (d)(1) of this section and 10 ppm.
    (3) Compute and report as a finding the total number of sulfur 
credits generated, and agree this number with the number reported to 
EPA.
    (e) Credit purchases and sales. The following attest procedures 
shall be completed for a refinery or importer that is a transferor or 
transferee of credits during an averaging period:
    (1) Obtain contracts or other documents for all credits transferred 
to another refinery or importer during the year being reviewed; compute 
and report as a finding the number and year of creation of credits 
represented in these documents as being transferred away; and agree with 
the report to EPA.
    (2) Obtain contracts or other documents for all credits received 
during the year being reviewed; compute and report as a finding the 
number and year of creation of credits represented in these documents as 
being received; and agree with the report to EPA.
    (f) Credit expiration. A refinery or importer that possesses credits 
during an averaging period must obtain a list of all credits in the 
refiner's or importer's

[[Page 677]]

possession at any time during the year being reviewed, identified by the 
year of creation of the credits.
    (g) Credit reconciliation. The following attest procedures shall be 
completed each year credits were in the refiner's or importer's 
possession at any time during the year:
    (1) Obtain the credits remaining or the credit deficit from the 
previous year from the refiner's or importer's report to EPA for the 
previous year.
    (2) Compute and report as a finding the net credits remaining at the 
conclusion of the year being reviewed by totaling--
    (i) Credits remaining from the previous year; plus
    (ii) Credits generated under in an averaging period; plus
    (iii) Credits purchased; minus
    (iv) Credits sold; minus
    (v) Credits used; minus
    (vi) Credits expiring; minus
    (vii) Credit deficit from the previous year.
    (3) Agree the credits remaining or the credit deficit at the 
conclusion of the year being reviewed with the report to EPA.
    (4) If the refinery or importer had a credit deficit for both the 
previous year and the year being reviewed, report this fact as a 
finding.

[79 FR 23655, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015]





Sec. Appendix A to Part 80--Test for the Determination of Phosphorus in 
                                Gasoline

                                1. Scope.

    1.1 This method was developed for the determination of phosphorus 
generally present as pentavalent phosphate esters or salts, or both, in 
gasoline. This method is applicable for the determination of phosphorus 
in the range from 0.0008 to 0.15 g P/U.S. gal, or 0.2 to 49 mg P/liter.

                        2. Applicable documents.

    2.1 ASTM Standards:
    D 1100 Specification for Filter Paper for Use in Chemical Analysis.

                          3. Summary of method.

    3.1 Organic matter in the sample is decomposed by ignition in the 
presence of zinc oxide. The residue is dissolved in sulfuric acid and 
reacted with ammonium molybdate and hydrazine sulfate. The absorbance of 
the ``Molybdenum Blue'' complex is proportional to the phosphorus 
concentration in the sample and is read at approximately 820 nm in a 5-
cm cell.

                              4. Apparatus.

    4.1 Buret, 10-ml capacity, 0.05-ml subdivisions.
    4.2 Constant-Temperature Bath, equipped to hold several 100-ml 
volumetric flasks submerged to the mark. Bath must have a large enough 
reservoir or heat capacity to keep the temperature at 180 to 190 [deg]F 
(82.2 to 87.8 [deg]C) during the entire period of sample heating.

    Note 1: If the temperature of the hot water bath drops below 180 
[deg]F (82.2 [deg]C) the color development may not be complete.

    4.3 Cooling Bath, equipped to hold several 100-ml volumetric flasks 
submerged to the mark in ice water.
    4.4 Filter Paper, for quantitative analysis, Class G for fine 
precipitates as defined in Specification D 1100.
    4.5 Ignition Dish--Coors porcelain evaporating dish, glazed inside 
and outside, with pourout (size no. 00A, diameter 75 mm. capacity 70 
ml).
    4.6 Spectrophotometer, equipped with a tungsten lamp, a red-
sensitive phototube capable of operating at 830 nm and with absorption 
cells that have a 5-cm light path.
    4.7 Thermometer, range 50 to 220 [deg]F (10 to 105 [deg]C).
    4.8 Volumetric Flask, 100-ml with ground-glass stopper.
    4.9 Volumetric Flask, 1000-ml with ground-glass stopper.
    4.10 Syringe, Luer-Lok, 10-ml equipped with 5-cm. 22-gage needle.

                              5. Reagents.

    5.1 Purity of Reagents--Reagent grade chemicals shall be used in all 
tests. Unless otherwise indicated, it is intended that all reagents 
shall conform to the specifications of the Committee on Analytical 
Reagents of the American Chemical Society, where such specifications are 
available. Other grades may be used, provided it is first ascertained 
that the reagent is of sufficiently high purity to permit its use 
without lessening the accuracy of the determination.
    5.2 Purity of Water--Unless otherwise indicated, references to water 
shall be understood to mean distilled water or water of equal purity.
    5.3 Ammonium Molybdate Solution--Using graduated cylinders for 
measurement add slowly (Note 2), with continuous stirring, 225 ml of 
concentrated sulfuric acid to 500 ml of water contained in a beaker 
placed in a bath of cold water. Cool to room temperature and

[[Page 678]]

add 20 g of ammonium molybdate tetrahydrate 
((NH4)6 Mo7 
O24[middot]4H2 O). Stir until solution is complete 
and transfer to a 1000-ml flask. Dilute to the mark with water.

    Note 2: Wear a face shield, rubber gloves, and a rubber apron when 
adding concentrated sulfuric acid to water.

    5.4 Hydrazine Sulfate Solution--Dissolve 1.5 of hydrazine sulfate 
(H2 NNH2[middot] H2 SO4) in 
1 litre of water, measured with a graduated cylinder.

    Note 3: This solution is not stable. Keep it tightly stoppered and 
in the dark. Prepare a fresh solution after 3 weeks.

    5.5 Molybdate-Hydrazine Reagent--Pipet 25 ml of ammonium molybdate 
solution into a 100-ml volumetric flask containing approximately 50 ml 
of water, add by pipet 10 ml of N2 NNH2[middot] 
H2 SO4 solution, and dilute to 100 ml with water.

    Note 4: This reagent is unstable and should be used within about 4 
h. Prepare it immediately before use. Each determination (including the 
blank) uses 50 ml.

    5.6 Phosphorus, Standard Solution (10.0 [micro]g P/ml)--Pipet 10 ml 
of stock standard phosphorus solution into a 1000-ml volumetric flask 
and dilute to the mark with water.
    5.7 Phosphorus, Stock Standard Solution (1.00 mg P/ml)--Dry 
approximately 5 g of potasium dihydrogen phosphate (KH2 
PO4 in an oven at 221 to 230 [deg]F (105 to 110 [deg]C) for 3 
h. Dissolve 4.393 0.002 g of the reagent in 150 
ml, measured with a graduated cylinder, of H2 
SO4(1 + 10) contained in a 1000-ml volumetric flask. Dilute 
with water to the mark.
    5.8 Sulfuric Acid (1 + 10)--Using graduated cylinders for 
measurement add slowly (Note 2), with continuous stirring, 100-ml of 
concentrated sulfuric acid (H2 SO4, sp gr 1.84) to 
1 litre of water contained in a beaker placed in a bath of cold water.
    5.9 Zinc Oxide.

    Note 5: High-bulk density zinc oxide may cause spattering. Density 
of approximately 0.5 g/cm \3\ has been found satisfactory.

                             6. Calibration.

    6.1 Transfer by buret, or a volumetric transfer pipet, 0.0, 0.5, 
1.0, 1.5, 2.0, 3.0, 3.5, and 4.0 ml of phosphorus standard solution into 
100-ml volumetric flasks.
    6.2 Pipet 10 ml of H2 SO4 (1 + 10) into each 
flask. Mix immediately by swirling.
    6.3 Prepare the molybdate-hydrazine solution. Prepare sufficient 
volume of reagent based on the number of samples being analyzed.
    6.4 Pipet 50 ml of the molybdate-hydrazine solution to each 
volumetric flask. Mix immediately by swirling.
    6.5 Dilute to 100 ml with water.
    6.6 Mix well and place in the constant-temperature bath so that the 
contents of the flask are submerged below the level of the bath. 
Maintain bath temperature at 180 to 190 [deg]F (82.2 to 87.8 [deg]C) for 
25 min (Note 1).
    6.7 Transfer the flask to the cooling bath and cool the contents 
rapidly to room temperature. Do not allow the samples to cool more than 
5 [deg]F (2.8 [deg]C) below room temperature.

    Note 6: Place a chemically clean thermometer in one of the flasks to 
check the temperature.

    6.8 After cooling the flasks to room temperature, remove them from 
the cooling water bath and allow them to stand for 10 min. at room 
temperature.
    6.9 Using the 2.0-ml phosphorus standard in a 5-cm cell, determine 
the wavelength near 820 nm that gives maximum absorbance. The wavelength 
giving maximum absorbance should not exceed 830 nm.
    6.9.1 Using a red-sensitive phototube and 5-cm cells, adjust the 
spectrophotometer to zero absorbance at the wavelength of maximum 
absorbance using distilled water in both cells. Use the wavelength of 
maximum absorbance in the determination of calibration readings and 
future sample readings.
    6.9.2 The use of 1-cm cells for the higher concentrations is 
permissible.
    6.10 Measure the absorbance of each calibration sample including the 
blank (0.0 ml phosphorus standard) at the wavelength of maximum 
absorbance with distilled water in the reference cell.

    Note 7: Great care must be taken to avoid possible contamination. If 
the absorbance of the blank exceeds 0.04 (for 5-cm cell), check for 
source of contamination. It is suggested that the results be disregarded 
and the test be rerun with fresh reagents and clean glassware.

    6.11 Correct the absorbance of each standard solution by subtracting 
the absorbance of the blank (0 ml phosphorus standard).
    6.12 Prepare a calibration curve by plotting the corrected 
absorbance of each standard solution against micrograms of phosphorus. 
One millilitre of phosphorus standard solution provides 10 [micro]g of 
phosphorus.

                              7. Sampling.

    7.1 Selection of the size of the sample to be tested depends on the 
expected concentration of phosphorous in the sample. If a concentration 
of phosphorus is suspected to be less than 0.0038 g/gal (1.0 mg/litre), 
it will be necessary to use 10 ml of sample.

    Note 8: Two grams of zinc oxide cannot absorb this volume of 
gasoline. Therefore the 10-ml sample is ignited in aliquots of 2 ml in 
the presence of 2 g of zinc oxide.

    7.2 The following table serves as a guide for selecting sample size:

[[Page 679]]



------------------------------------------------------------------------
                                                                Sample
  Phosphorus, milligrams per liter     Equivalent, grams per     size,
                                              gallon          milliliter
------------------------------------------------------------------------
2.5 to 40...........................  0.01 to 0.15..........        1.00
1.3 to 20...........................  0.005 to 0.075........        2.00
0.9 to 13...........................  0.0037 to 0.05........        3.00
1 or less...........................  0.0038 or less........       10.00
------------------------------------------------------------------------

                              8. Procedure.

    8.1 Transfer 2 0.2 g of zinc oxide into a 
conical pile in a clean, dry, unetched ignition dish.

    Note 9: In order to obtain satisfactory accuracy with the small 
amounts of phosphorus involved, it is necessary to take extensive 
precautions in handling. The usual precautions of cleanliness, careful 
manipulation, and avoidance of contamination should be scrupulously 
observed; also, all glassware should be cleaned before use, with 
cleaning acid or by some procedure that does not involve use of 
commercial detergents. These compounds often contain alkali phosphates 
which are strongly adsorbed by glass surfaces and are not removed by 
ordinary rinsing. It is desirable to segregate a special stock of 
glassware for use only in the determination of phosphorus.

    8.2 Make a deep depression in the center of the zinc oxide pile with 
a stirring rod.
    8.3 Pipet the gasoline sample (Note 10) (see 7.2 for suggested 
sample volume) into the depression in the zinc oxide. Record the 
temperature of the fuel if the phosphorus content is required at 60 
[deg]F (15.6 [deg]C) and make correction as directed in 9.2.

    Note 10: For the 10-ml sample use multiple additions and a syringe. 
Hold the tip of the needle at approximately \2/3\ of the depth of the 
zinc oxide layer and slowly deliver 2 ml of the sample: fast sample 
delivery may give low results. Give sufficient time for the gasoline to 
be absorbed by the zinc oxide. Follow step 8.6. Cool the dish to room 
temperature. Repeat steps 8.3 and 8.6 until all the sample has been 
burned. Safety--cool the ignition dish before adding the additional 
aliquots of gasoline to avoid a flash fire.

    8.4 Cover the sample with a small amount of fresh zinc oxide from 
reagent bottle (use the tip of a small spatula to deliver approximately 
0.2 g). Tap the sides of the ignition dish to pack the zinc oxide.
    8.5 Prepare the blank, using the same amount of zinc oxide in an 
ignition dish.
    8.6 Ignite the gasoline, using the flame from a bunsen burner. Allow 
the gasoline to burn to extinction (Note 10).
    8.7 Place the ignition dishes containing the sample and blank in a 
hot muffle furnace set at a temperature of 1150 to 1300 [deg]F (621 to 
704 [deg]C) for 10 min. Remove and cool the ignition dishes. When cool 
gently tap the sides of the dish to loosen the zinc oxide. Again place 
the dishes in the muffle furnace for 5 min. Remove and cool the ignition 
dishes to room temperature. The above treatment is usually sufficient to 
burn the carbon. If the carbon is not completely burned off place the 
dish into the oven for further 5-min. periods.

    Note 11: Step 8.7 may also be accomplished by heating the ignition 
dish with a Meker burner gradually increasing the intensity of heat 
until the carbon from the sides of the dish has been burned, then cool 
to room temperature.

    8.8 Pipet 25 ml of H2 SO4 (1 + 10) to each 
ignition dish. While pipeting, carefully wash all traces of zinc oxide 
from the sides of the ignition dish.
    8.9 Cover the ignition dish with a borosilicate watch glass and warm 
the ignition dish on a hot plate until the zinc oxide is completely 
dissolved.
    8.10 Transfer the solution through filter paper to a 100-ml 
volumetric flask. Rinse the watch glass and the dish several times with 
distilled water (do not exceed 25 ml) and transfer the washings through 
the filter paper to the volumetric flask.
    8.11 Prepare the molybdate-hydrazine solution.
    8.12 Add 50 ml of the molybdate-hydrazine solution by pipet to each 
100-ml volumetric flask. Mix immediately by swirling.
    8.13 Dilute to 100 ml with water and mix well. Remove stoppers from 
flasks after mixing.
    8.14 Place the 100-ml flasks in the constant-temperature bath for 25 
min. so that the contents of the flasks are below the liquid level of 
the bath. The temperature of the bath should be 180 to 190 [deg]F (82.2 
to 87.8 [deg]C) (Note 1).
    8.15 Transfer the 100-ml flasks to the cooling bath and cool the 
contents rapidly to room temperature (Note 6).
    8.16 Allow the samples to stand at room temperature before measuring 
the absorbance.

    Note 12: The color developed is stable for at least 4 h.

    8.17 Set the spectrophotometer to the wavelength of maximum 
absorbance as determined in 6.9. Adjust the spectrophotometer to zero 
absorbance, using distilled water in both cells.
    8.18 Measure the absorbance of the samples at the wavelength of 
maximum absorbance with distilled water in the reference cell.
    8.19 Subtract the absorbance of the blank from the absorbance of 
each sample (Note 7).
    8.20 Determine the micrograms of phosphorous in the sample, using 
the calibration curve from 6.12 and the corrected absorbance.

                            9. Calculations.

    9.1 Calculate the milligrams of phosphorus per litre of sample as 
follows:


[[Page 680]]


P, mg/litre = P/V

where:

P = micrograms of phosphorus read from calibration curve, and
V = millilitres of gasoline sample.

To convert to grams of phosphorus per U.S. gallon of sample, multiply mg 
P/litre by 0.0038.
    9.2 If the gasoline sample was taken at a temperature other than 60 
[deg]F (15.6 [deg]C) make the following temperature correction:

mg P/litre at 15.6 [deg]C = [mg P/litre at t] [1 + 0.001 (t-15.6)]

where:

t = observed temperature of the gasoline, [deg]C.

    9.3 Concentrations below 2.5 mg/litre or 0.01 g/gal should be 
reported to the nearest 0.01 mg/litre or 0.0001 g/U.S. gal.
    9.3.1 For higher concentrations, report results to the nearest 1 mg 
P/litre or 0.005 g P/U.S. gal.

                             10. Precision.

    10.1 The following criteria should be used for judging the 
acceptability of results (95 percent confidence):
    10.2 Repeatability--Duplicate results by the same operator should be 
considered suspect if they differ by more than the following amounts:

------------------------------------------------------------------------
     g P/U.S. gal (mg[middot]P/litre)               Repeatability
------------------------------------------------------------------------
0.0008 to 0.005 (0.2 to 1.3)..............  0.0002 g P/U.S. gal (0.05 mg
                                             P/litre).
0.005 to 0.15 (1.3 to 40).................  7% of the mean.
------------------------------------------------------------------------

    10.3 Reproducibility--The results submitted by each of two 
laboratories should not be considered suspect unless they differ by more 
than the following amounts:

------------------------------------------------------------------------
     g P/U.S. gal (mg[middot]P/litre)              Reproducibility
------------------------------------------------------------------------
0.0008 to 0.005 (0.2 to 1.3)..............  0.0005 g P/U.S. gal (0.13 mg
                                             P/litre).
0.005 to 0.15 (1.3 to 40).................  13% of the mean.
------------------------------------------------------------------------


[39 FR 24891, July 8, 1974; 39 FR 25653, July 12, 1974]



      Sec. Appendix B to Part 80--Test Methods for Lead in Gasoline

Method 1--Standard Method Test for Lead in Gasoline by Atomic Absorption 
                              Spectrometry

                                1. Scope.

    1.1. This method covers the determination of the total lead content 
of gasoline. The procedure's calibration range is 0.010 to 0.10 gram of 
lead/U.S. gal. Samples above this level should be diluted to fall within 
this range or a higher level calibration standard curve must be 
prepared. The higher level curve must be shown to be linear and 
measurement of lead at these levels must be shown to be accurate by the 
analysis of control samples at a higher level of alkyl lead content. The 
method compensates for variations in gasoline composition and is 
independent of lead alkyl type.

                          2. Summary of method.

    2.1 The gasoline sample is diluted with methyl isobutyl ketone and 
the alkyl lead compounds are stabilized by reaction with iodine and a 
quarternary ammonium salt. The lead content of the sample is determined 
by atomic absorption flame spectrometry at 2833 A, using standards 
prepared from reagent grade lead chloride. By the use of this treatment, 
all alkyl lead compounds give identical response.

                              3. Apparatus.

    3.1 Atomic Absorption Spectometer, capable of scale expansion and 
nebulizer adjustment, and equipped with a slot burner and premix chamber 
for use with an air-acetylene flame.
    3.2 Volumetric Flasks, 50-ml, 100-ml, 250-ml, and one litre sizes.
    3.3 Pipets, 2-ml, 5-ml, 10-ml, 20-ml, and 50-ml sizes.
    3.4 Micropipet, 100-[micro]l, Eppendorf type or equivalent.

                              4. Reagents.

    4.1 Purity of Reagents--Reagent grade chemicals shall be used in all 
tests. Unless otherwise indicated, it is intended that all reagents 
shall conform to the specifications of the Committee on Analytical 
Reagents of the American Chemical Society, where such specifications are 
available. Other grades may be used, provided it is first ascertained 
that the reagent is of sufficiently high purity to permit its use 
without lessening the accuracy of the determination.
    4.2 Purity of Water--Unless otherwise indicated, references to water 
shall be understood to mean distilled water or water of equal purity.
    4.3 Aliquat 336 (tricapryl methyl ammonium chloride).
    4.4 Aliquat 336/MIBK Solution (10 percent v/v)--Dissolve and dilute 
100 ml (88.0 g) of Aliquat 336 with MIBK to one liter.
    4.5 Aliquat 336/MIBK Solution (1 percent v/v)--Dissolve and dilute 
10 ml (8.8 g) of Aliquat 336 with MIBK to one liter.
    4.6 Iodine Solution--Dissolve and dilute 3.0 g iodine crystals with 
Toluene to 100 ml.
    4.7 Lead Chloride.
    4.8 Lead-Sterile Gasoline--Gasoline containing less than 0.005 g Pb/
gal.
    4.9 Lead, Standard Solution (5.0 g Pb/gal)--Dissolve 0.4433 g of 
lead chloride (PbCl2) previously dried at 105 [deg]C for 3 h 
in about 200 ml

[[Page 681]]

of 10 percent Aliquat 336/MIBK solution in a 250-ml volumetric flask. 
Dilute to the mark with the 10 percent Aliquat solution, mix, and store 
in a brown bottle having a polyethylene-lined cap. This solution 
contains 1,321 [micro]g Pb/ml, which is equivalent to 5.0 g Pb/gal.
    4.10 Lead, Standard Solution (1.0 g Pb/gal)--By means of a pipet, 
accurately transfer 50.0 ml of the 5.0 g Pb/gal solution to a 250-ml 
volumetric flask, dilute to volume with 1 percent Aliquat/MIBK solution. 
Store in a brown bottle having a polyethylene-lined cap.
    4.11 Lead, Standard Solutions (0.02, 0.05, and 0.10 g Pb/gal)--
Transfer accurately by means of pipets 2.0, 5.0, and 10.0 ml of the 1.0-
g Pb/gal solution to 100-ml volumetric flasks; add 5.0 ml of 1 percent 
Aliquat 336 solution to each flask; dilute to the mark with MIBK. Mix 
well and store in bottles having polyethylene-lined caps.
    4.12 Methyl Isobutyl Ketone (MIBK). (4-methyl-2-pentanone).

                             5. Calibration.

    5.1 Preparation of Working Standards--Prepare three working 
standards and a blank using the 0.02, 0.05, and 0.10-g Pb/gal standard 
lead solutions described in 4.11.
    5.1.1 To each of four 50-ml volumetric flasks containing 30 ml of 
MIBK, add 5.0 ml of low lead standard solution and 5.0 ml of lead-free 
gasoline. In the case of the blank, add only 5.0 ml of lead-free 
gasoline.
    5.1.2 Add immediately 0.1 ml of iodine/toluene solution by means of 
the 100-[micro]l Eppendorf pipet. Mix well. \1\
---------------------------------------------------------------------------

    \1\ EPA practice will be to mix well by shaking vigorously for 
approximately one minute.
---------------------------------------------------------------------------

    5.1.3 Add 5 ml of 1 percent Aliquat 336 solution and mix.
    5.1.4 Dilute to volume with MIBK and mix well.
    5.2 Preparation of Instrument--Optimize the atomic absorption 
equipment for lead at 2833 A. Using the reagent blank, adjust the gas 
mixture and the sample aspiration rate to obtain an oxidizing flame.
    5.2.1 Aspirate the 0.1-g Pb/gal working standard and adjust the 
burner position to give maximum response. Some instruments require the 
use of scale expansion to produce a reading of 0.150 to 0.170 for this 
standard.
    5.2.2 Aspirate the reagent blank to zero the instrument and check 
the absorbances of the three working standards for linearity.

                              6. Procedure.

    6.1 To a 50 ml volumetric flask containing 30 ml MIBK, add 5.0 ml of 
gasoline sample and mix. \2\
---------------------------------------------------------------------------

    \2\ The gasoline should be allowed to come to room temperature (25 
[deg]C).
---------------------------------------------------------------------------

    6.1.1 Add 0.10 ml (100 [micro]l) of iodine/toluene solution and 
allow the mixture to react about 1 minute. \3\
---------------------------------------------------------------------------

    \3\ See footnote 1 of section 5.1.2.
---------------------------------------------------------------------------

    6.1.2 Add 5.0 ml of 1 percent Aliquot 336/MIBK solution and mix.
    6.1.3 Dilute to volume with MIBK and mix.
    6.2 Aspirate the samples and working standards and record the 
absorbance values with frequent checks of the zero.
    6.3 Any sample resulting in a peak greater than 0.05 g Pb/gal will 
be run in duplicate. Samples registering greater than 0.10 g Pb/gal 
should be diluted with iso-octane or unleaded fuel to fall within the 
calibration range or a higher level calibration standard curve must be 
prepared. The higher level curve must be shown to be linear and 
measurement of lead at these levels must be shown to be accurate by the 
analysis of control samples at a higher level of alkyl lead content.

                            7. Calculations.

    7.1 Plot the absorbance values versus concentration represented by 
the working standards and read the concentrations of the samples from 
the graph.

                              8. Precision.

    8.1 The following criteria should be used for judging the 
acceptability of results (95 percent confidence):
    8.1.1 Repeatability--Duplicate results by the same operator should 
be considered suspect if they differ by more than 0.005 g/gal.
    8.1.2 Reproductibility--The results submitted by each of two 
laboratories should not be considered suspect unless the two results 
differ by more than 0.01 g/gal.

     Method 2--Automated Method Test for Lead in Gasoline by Atomic 
                         Absorption Spectrometry

                        1. Scope and application.

    1.1 This method covers the determination of the total lead content 
of gasoline. The procedure's calibration range is 0.010 to 0.10 gram of 
lead/U.S. gal. Samples above this level should be diluted to fall within 
this range or a higher level calibration standard curve must be 
prepared. The higher level curve must be shown to be linear and 
measurement of lead at these levels must be shown to be accurate by the 
analysis of control samples at a higher level of alkyl lead content. The 
method compensates for variations in gasoline composition and is 
independent of lead alkyl type.
    1.2 This method may be used as an alternative to the Standard Method 
set forth above.

[[Page 682]]

    1.3 Where trade names or specific products are noted in the method, 
equivalent apparatus and chemical reagents may be used. Mention of trade 
names or specific products is for the assistance of the user and does 
not constitute endorsement by the U.S. Environmental Protection Agency.

                          2. Summary of method.

    2.1 The gasoline sample is diluted with methly isobutyl ketone 
(MIBK) and the alkyl lead compounds are stabilized by reacting with 
iodine and a quarternary ammonium salt. An automated system is used to 
perform the diluting and the chemical reactions and feed the products to 
the atomic absorption spectrometer with an air-acetylene flame.
    2.2 The dilution of the gasoline with MIBK compensates for severe 
non-atomic absorption, scatter from unburned carbon containing species 
and matrix effects caused in part by the burning characteristics of 
gasoline.
    2.3 The in-situ reaction of alkyl lead in gasoline with iodine 
eliminates the problem of variations in response due to different alkyl 
types by leveling the response of all alkyl lead compounds.
    2.4 The addition of the quarternary ammonium salt improves response 
and increases the stability of the alkyl iodide complex.

                  3. Sample handling and preservation.

    3.1 Samples should be collected and stored in containers which will 
protect them from changes in the lead content of the gasoline such as 
from loss of volatile fractions of the gasoline by evaporation or 
leaching of the lead into the container or cap.
    3.2 If samples have been refrigerated they should be brought to room 
temperature prior to analysis.

                              4. Apparatus.

    4.1 AutoAnalyzer system consisting of:
    4.1.1 Sampler 20/hr cam, 30/hr cam.
    4.1.2 Proportioning pump.
    4.1.3 Lead in gas manifold.
    4.1.4 Disposable test tubes.
    4.1.5 Two 2-liter and one 0.5 liter Erlenmeyer solvent displacement 
flasks. Alternatively, high pressure liquid chromatography (HPLC) or 
syringe pumps may be used.
    4.2 Atomic Absorption Spectroscopy (AAS) Detector System consisting 
of:
    4.2.1 Atomic absorption spectrometer.
    4.2.2 10 strip chart recorder.
    4.2.3 Lead hollow cathode lamp or electrodeless discharge lamp 
(EDL).

                              5. Reagents.

    5.1 Aliquat 336/MIBK solution (10% v/v): Dissolve and dilute 100 ml 
(88.0 g) of Aliquat 336 (Aldrich Chemical Co., Milwaukee, Wisconsin) 
with MIBK (Burdick & Jackson Lab., Inc., Muskegon, Michigan) to one 
liter.
    5.2 Aliquat 336/iso-octane solution (1% v/v): Dissolve and dilute 10 
ml (8.8 g) of Alquat 336 (reagent 5.1) with iso-octane to one liter.
    5.3 Iodine solution (3% w/v): Dissolve and dilute 3.0 g iodine 
crystals (American Chemical Society) with toluene (Burdick & Jackson 
Lab., Inc., Muskegon, Michigan) to 100 ml.
    5.4 Iodine working solution (0.24% w/v): Dilute 8 ml of reagent 5.3 
to 100 ml with toluene.
    5.5 Methyl isobutyl ketone (MIBK) (4-methlyl-2-pentanone).
    5.6 Certified unleaded gasoline (Phillips Chemical Co., Borger, 
Texas) or iso-octane (Burdick & Jackson Lab, Inc., Muskegon, Michigan).

                        6. Calibration standards.

    6.1 Stock 5.0 g Pb/gal Standard:
    Dissolve 0.4433 gram of lead chloride (PbCl2) previously 
dried at 105 [deg]C for 3 hours in 200 ml of 10% v/v Aliquat 336/MIBK 
solution (reagent 5.1) in a 250 ml volumetric flask. Dilute to volume 
with reagent 5.1 and store in an amber bottle.
    6.2 Intermediate 1.0 g Pb/gal Standard:
    Pipet 50 ml of the 5.0 g Pb/gal standard into a 250 ml volumetric 
flask and dilute to volume with a 1% v/v Aliquat 336/iso-octane solution 
(reagent 5.2). Store in an amber bottle.
    6.3 Working 0.02, 0.05, 0.10 g Pb/gal Standards:
    Pipet 2.0, 5.0, and 10.0 ml of the 1.0 g Pb/gal solution to 100 ml 
volumetric flasks. Add 5 ml of a 1% Aliquat 336/iso-octane solution to 
each flask. Dilute to volume with iso-octane. These solutions contain 
0.02, 0.05, and 0.10 g Pb/gal in a 0.05% Aliquat 336/iso-octane 
solution.

                     7. AAS Instrumental conditions.

    7.1 Lead hollow cathode lamp.
    7.2 Wavelength: 283.3 nm.
    7.3 Slit: 4 (0.7mm).
    7.4 Range: UV.
    7.5 Fuel: Acetylene (approx. 20 ml/min at 8 psi).
    7.6 Oxidant: Air (approx. 65 ml/min at 31 psi).
    7.7 Nebulizer: 5.2 ml/min.
    7.8 Chart speed: 10 in/hr.

                             8. Procedures.

    8.1 AAS start-up.
    8.1.1 Assure that instrumental conditions have been optimized and 
aligned according to Section 7 and the instrument has had substantial 
time for warm-up.
    8.2 Auto Analyzer start-up [see figure 1].
    8.2.1 Check all pump tubing and replace as necessary. Iodine tubing 
should be changed

[[Page 683]]

daily. All pump tubing should be replaced after one week of use. Place 
the platen on the pump.
    8.2.2 Withdraw any water from the sample wash cup and fill with 
certified unleaded gasoline (reagent 5.6).
    8.2.3 Fill the 2-liter MIBK dilution displacement Erlenmeyer flask 
(reagent 5.5) and the 0.5 liter Aliquat 336/MIBK 1% v/v (reagent 5.2) 
displacement flask and place the rubber stopper glass tubing assemblies 
in their respective flasks.
    8.2.4 Fill a 2-liter Erlenmeyer flask with distilled water. The 
water will be used to displace the solvents. Therefore, place the 
appropriate lines in this flask. This procedure is not relevant if 
syringe pumps are used.
    8.2.5 Fill the final debubbler reverse displacement 2-liter 
Erlenmeyer flask with distilled water and place the rubber stopper glass 
tubing assembly in the flask.
    8.2.6 Place the appropriate lines for the iodine reagent (reagent 
5.4) and the wash solution (reagent 5.6) in their respective bottles.
    8.2.7 Start the pump and connect the aspiration line from the 
manifold to the AAS.
    8.2.8 Some initial checks to assure that the reagents are being 
added are:
    a. A good uniform bubble pattern.
    b. Yellow color evident due to iodine in the system.
    c. No surging in any tubing.
    8.3 Calibration.
    8.3.1 Turn the chart drive on and obtain a steady baseline.
    8.3.2 Load standards and samples into sample tray.
    8.3.3 Start the sampler and run the standards (Note: first check the 
sample probe positioning with an empty test tube).
    8.3.4 Check the linearity of calibration standards response and 
slope by running a least squares fit. Check these results against 
previously obtained results. They should agree within 10%.
    8.3.5 If the above is in control then start the sample analysis.
    8.4 Sample Analysis.
    8.4.1 To minimize gasoline vapor in the laboratory, load the sample 
tray about 5-10 test tubes ahead of the sampler.
    8.4.2 Record the sample number on the strip chart corresponding to 
the appropriate peak.
    8.4.3 Every ten samples run the high calibration standard and a 
previously analyzed sample (duplicate). Also let the sampler skip to 
check the baseline.
    8.4.4 After an acceptable peak (within the calibration range) is 
obtained, pour the excess sample from the test tube into the waste 
gasoline can.
    8.4.5 Any sample resulting in a peak greater than 0.05 g Pb/gal will 
be run in duplicate. Samples registering greater than 0.10 g Pb/gal 
should be diluted with iso-octane or unleaded fuel to fall within the 
calibration range or a higher level calibration standard curve must be 
prepared. The higher level curve must be shown to be linear and 
measurement of lead at these levels must be shown to be accurate by the 
analysis of control samples at a higher level of alkyl lead content.
    8.5 Shut Down.
    8.5.1 Replace the solvent displacement flask with flasks filled with 
distilled water. Also place all other lines in a beaker of distilled 
water. Rinse the system with distilled water for 15 minutes.
    8.5.2 Withdraw the gasoline from the wash cup and fill with water.
    8.5.3 Dispose of all solvent waste in waste glass bottles.
    8.5.4 Turn the AAS off after extinguishing the flame. Also turn the 
recorder and pump off. Remove the platen and release the pump tubing.
    8.5.5 Shut the acetylene off at the tank and bleed the line.

                           9. Quality control.

    9.1 Precision.
    9.1.1 All duplicate results should be considered suspect if they 
differ by more than 0.005 g Pb/gal.
    9.2 Accuracy.
    9.2.1 All quality control standard checks should agree within 10% of 
the nominal value of the standard.
    9.2.2 All spikes should agree within 10% of the known addition.

                     10. Past quality control data.

    10.1 Precision.
    10.1.1 Duplicate analysis for 156 samples in a single laboratory has 
resulted in an average difference of 0.00011 g Pb/gal with a standard 
deviation of 0.0023.
    10.1.2 Replicate analysis in a single laboratory (greater than 5 
determinations) of samples at concentrations of 0.010, 0.048, and 0.085 
g Pb/gal resulted in relative standard deviations of 4.2%, 3.5%, and 
3.3% respectively.
    10.2 Accuracy.
    10.2.1 The analysis of National Bureau of Standards (NBS) lead in 
reference fuel of known concentrations in a single laboratory has 
resulted in found values deviating from the true value for 11 
determinations of 0.0322 g Pb/gal by an average of 0.56% with a standard 
deviation of 6.8%, for 15 determinations of 0.0519 g Pb/gal by an 
average of -1.1% with a standard deviation of 5.8%, and for 7 
determinations of 0.0725 g Pb/gal by an average of 3.5% with a standard 
deviation of 4.8%.
    10.2.2 Twenty-three analyses of blind reference samples in a single 
laboratory (U.S.

[[Page 684]]

EPA, RTP, N.C.) have resulted in found values differing from the true 
value by an average of -0.0009 g Pb/gal with a standard deviation of 
0.004.
    10.2.3 In a single laboratory, the average percent recovery of 108 
spikes made to samples was 101% with a standard deviation of 5.6%.
[GRAPHIC] [TIFF OMITTED] TC01SE92.139


[[Page 685]]



        Method 3--Test for Lead in Gasoline by X-Ray Spectrometry

                        1. Scope and application.

    1.1 This method covers the determination of the total lead content 
of gasoline. The procedure's calibration range is 0.010 to 5.0 grams of 
lead/U.S. gallon. Samples above this level should be diluted to fall 
within the range of 0.05 to 5.0 grams of lead/U.S. gallon. The method 
compensates for variations in gasoline composition and is independent of 
lead alkyl type.
    1.2 This method may be used as an alternative to Method 1--Standard 
Method Test for Lead in Gasoline by Atomic Absorption Spectrometry, or 
to Method 2--Automated Method Test for Lead in Gasoline by Atomic 
Absorption Spectrometry.
    1.3 Where trade names or specific products are noted in the method, 
equivalent apparatus and chemical reagents may be used. Mention of trade 
names or specific products is for the assistance of the user and does 
not constitute endorsement by the U.S. Environmental Protection Agency.

                          2. Summary of method.

    2.1 A portion of the gasoline sample is placed in an appropriate 
holder and loaded into an X-ray spectrometer. The ratio of the net X-ray 
intensity of the lead L alpha radiation to the net intensity of the 
incoherently scattered tungsten L alpha radiation is measured. The lead 
content is determined by reference to a linear calibration equation 
which relates the lead content to the measured ratio.
    2.2 The incoherently scattered tungsten radiation is used to 
compensate for variations in gasoline samples.

                  3. Sample handling and preservation.

    3.1 Samples should be collected and stored in containers which will 
protect them from changes in the lead content of the gasoline, such as 
loss of volatile fractions of the gasoline by evaporation or leaching of 
the lead into the container or cap.
    3.2 If samples have been refrigerated they should be brought to room 
temperature prior to analysis.
    3.3 Gasoline is extremely flammable and should be handled cautiously 
and with adequate ventilation. The vapors are harmful if inhaled and 
prolonged breathing of vapors should be avoided. Skin contact should be 
minimized. See precautionary statements in Annex Al.3.

                              4. Apparatus.

    4.1 X-ray Spectrometer, capable of exciting and measuring the 
fluorescence lines mentioned in 2.1 and of being operated under the 
following instrumental conditions or others giving equivalent results: a 
tungsten target tube operated at 50 kV, a lithium fluoride analyzing 
crystal, an air or helium optical path and a proportional or 
scintillation detector.
    4.2 Some manufacturers of X-ray Spectrometer units no longer allow 
use of air as the beam path medium because the X-ray beam produces 
ozone, which may degrade seals and electronics. In addition, use of the 
equipment with liquid gasoline in close proximity to the hot X-ray tube 
could pose flammability problems with any machine in case of a rupture 
of the sample container. Therefore, use of the helium alternative is 
recommended.

                              5. Reagents.

    5.1 Isooctane. Isooctane is flammable and the vapors may be harmful. 
See precautions in Annex Al.1.
    5.2 Lead standard solution, in isooctane, toluene or a mixture of 
these two solvents, containing approximately 5 gm Pb/U.S. gallon may be 
prepared from a lead-in-oil concentrate such as those prepared by 
Conostan (Conoco, Inc., Ponca City, Oklahoma). Isooctane and toluene are 
flammable and the vapors may be harmful. See precautionary statements in 
Annex Al.1 and Al.2.

                             6. Calibration.

    6.1 Make exact dilutions with isooctane of the lead standard 
solution to give solutions with concentrations of 0.01, 0.05, 0.10, 
0.50, 1.0, 3.0 and 5.0 g Pb/U.S. gallon. If a more limited range is 
desired as required for linearity, such range shall be covered by at 
least five standard solutions approximately equally spaced and this 
range shall not be exceeded by any of the samples. Place each of the 
standard solutions in a sample cell using techniques consistent with 
good operating practice for the spectrometer employed. Insert the sample 
in the spectrometer and allow the spectrometer atmosphere to reach 
equilibrium (if appropriate). Measure the intensity of the lead L alpha 
peak at 1.175 angstroms, the Compton scatter peak of the tungsten L 
alpha line at 1.500 angstroms and the background at 1.211 angstroms. 
Each measured intensity should exceed 200,000 counts or the time of 
measurement should be at least 30 seconds. The relative standard 
deviation of each measurement, based on counting statistics, should be 
one percent or less. The Compton scatter peak given above is for 90[deg] 
instrument geometry and should be changed for other geometries. The 
Compton scatter peak (in angstroms) is found at the wavelength of the 
tungsten L alpha line plus 0.024 (1-cos phi), where phi is the angle 
between the incident radiation and the take-off collimator.
    6.2 For Each of the standards, as well as for an isooctane blank, 
determine the net lead intensity by subtracting the corrected

[[Page 686]]

background from the gross intensity. Determine the corrected background 
by multiplying the intensity of the background at 1.211 angstroms by the 
following ratio obtained on an isooctane blank:
[GRAPHIC] [TIFF OMITTED] TC10NO91.007

    6.3 Determine the corrected lead intensity ratio, which is the net 
lead intensity corrected for matrix effects by division by the net 
incoherently scattered tungsten radiation. The net scattered intensity 
is calculated by subtracting the background intensity at 1.211 angstroms 
from the gross intensity of the incoherently scattered tungsten L alpha 
peak. The equation for the corrected lead intensity ratio follows:
[GRAPHIC] [TIFF OMITTED] TC10NO91.008

    6.4 Obtain a linear calibration curve by performing a least squares 
fit of the corrected lead intensity ratios to the standard 
concentrations.

                              7. Procedure.

    7.1 Prepare a calibration curve as described in 6. Since the 
scattered tungsten radiation serves as an internal standard, the 
calibration curve should serve for at least several days. Each day the 
suitability of the calibration curve should be checked by analyzing 
several National Bureau of Standards (NBS) lead-in-reference-fuel 
standards or other suitable standards.
    7.2 Determine the corrected lead intensity ratio for a sample in the 
same manner as was done for the standards. The samples should be brought 
to room temperature before analysis.
    7.3 Determine the lead concentration of the sample from the 
calibration curve. If the sample concentration is greater than 5.0 g Pb/
U.S. gallon or the range calibrated for in 6.1, the sample should be 
diluted so that the result is within the calibration span of the 
instrument.
    7.4 Quality control standards, such as NBS standard reference 
materials, should be analyzed at least once every testing session.
    7.5 For each group of ten samples, a spiked sample should be 
prepared by adding a known amount of lead to a sample. This known 
addition should be at least 0.05 g Pb/U.S. gallon, at least 50% of the 
measured lead content of the unspiked sample, and not more than 200% of 
the measured lead content of the unspiked sample (unless the minimum 
addition of 0.05 g Pb/U.S. gallon exceeds 200%). Both the spiked and 
unspiked samples should be analyzed.

                           8. Quality control.

    8.1 The difference between duplicates should not exceed 0.005 g Pb/
U.S. gallon or a relative difference of 6%.
    8.2 All quality control standard check samples should agree within 
10% of the nominal value of the standard.
    8.3 All spiked samples should have a percent recovery of 100% 10%. The percent recovery, P, is calculated as follows:

P = 100 x (A - B) / K

where
A = the analytical result from the spiked sample, B = the analytical 
          result from the unspiked sample, and K = the known addition.

    8.4 The difference between independent analyses of the same sample 
in different laboratories should not exceed 0.01 g Pb/U.S. gallon or a 
relative difference of 12%.

9. Past quality control data.

    9.1 Duplicate analysis for 26 samples in the range of 0.01 to 0.10 g 
Pb/U.S. gallon resulted in an average relative difference of 5.2% with a 
standard deviation of 5.4%. Duplicate analysis of 14 samples in the 
range 0.1 to 0.5 g Pb/U.S. gallon resulted in an average relative 
difference of 2.3% with a standard deviation of 2.0. Duplicate analysis 
of 47 samples in the range of 0.5 to 5 g Pb/U.S. gallon resulted in an 
average relative difference of 2.1% with a standard deviation of 1.8%.
    9.2 The average percent recovery for 23 spikes made to samples in 
the 0.0 to 0.1 g Pb/U.S. gallon range was 103% with a standard deviation 
of 3.2%. For 42 spikes made to samples in the 0.1 to 5.0 g Pb/U.S. 
gallon range, the average percent recovery was 102% with a standard 
deviation of 4.2%.
    9.3 The analysis of National Bureau of Standards lead-in-reference-
fuel standards of known concentrations in a single laboratory has 
resulted in found values deviating from the true value for 14 
determinations of 0.0490 g Pb/U.S. gallon by an average of 2.8% with a 
standard deviation of 6.4%, for 11 determinations of 0.065 g Pb/U.S. 
gallon by an average of 4.4% with a standard deviation of 2.9%, and for 
15 determinations of 1.994 g Pb/

[[Page 687]]

U.S. gallon by an average of 0.3% with a standard deviation of 1.3%.
    9.4 Eighteen analyses of reference samples (U.S. EPA, Research 
Triangle Park, NC) have resulted in found values differing from the true 
value by an average of 0.0004 g Pb/U.S. gallon with a standard deviation 
of 0.004 g Pb/U.S. gallon.

                                  Annex

                      A1. Precautionary Statements

                             A1.1 Isooctane

Danger--Extremely flammable. Vapors harmful if inhaled.
Vapor may cause flash fire.
Keep away from heat, sparks, and open flame.
Vapors are heavier than air and may gather in low places, resulting in 
explosion hazard.
Keep container closed.
Use adequate ventilation.
Avoid buildup of vapors.
Avoid prolonged breathing of vapor or spray mist.
Avoid prolonged or repeated skin contact.

                              A1.2 Toluene

Warning--Flammable. Vapor harmful.
Keep away from heat, sparks, and open flame.
Keep container closed.
Use with adequate ventilation.
Avoid breathing of vapor or spray mist.
Avoid prolonged or repeated contact with skin.

                              A1.3 Gasoline

Danger--Extremely flammable. Vapors harmful if inhaled.
Vapor may cause flash fire.
Keep away from heat, sparks, and open flame.
Vapors are heavier than air and may gather in low places, resulting in 
explosion hazard.
Keep container closed.
Use adequate ventilation.
Avoid buildup of vapors.
Avoid prolonged breathing of vapor or spray mist.
Avoid prolonged or repeated skin contact.

[39 FR 24891, July 8, 1974; 39 FR 25653, July 12, 1974; 39 FR 26287, 
July 18, 1974, as amended at 47 FR 765, Jan. 7, 1982; 52 FR 259, Jan. 5, 
1987; 56 FR 13768, Apr. 4, 1991]



                Sec. Appendixes C-G to Part 80 [Reserved]

[[Page 689]]



                              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 691]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2020)

                      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 692]]

     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 693]]

    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  U.S. International Development Finance 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 694]]

     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  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                Department of Agriculture (Parts 800--899)

[[Page 695]]

        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  [Reserved]
      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  [Reserved]
       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 696]]

                    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  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                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  (Parts 900--999)[Reserved]
         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 697]]

       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 698]]

      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 699]]

        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 700]]

        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 701]]

                           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--799)

                   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 702]]

        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 703]]

      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  Department of Defense, 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)

[[Page 704]]

       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        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)

[[Page 705]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       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]

[[Page 706]]

            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   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)

[[Page 707]]

       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         V  Foreign Claims Settlement Commission of the United 
                States, Department of Justice (Parts 500--599)
        VI  National Science Foundation (Parts 600--699)
       VII  Commission on Civil Rights (Parts 700--799)
      VIII  Office of Personnel Management (Parts 800--899)
        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)

[[Page 708]]

        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)

           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) [Reserved]
        52  Department of the Navy Acquisition Regulations (Parts 
                5200--5299)
        53  Department of the Air Force Federal Acquisition 
                Regulation Supplement (Parts 5300--5399) 
                [Reserved]

[[Page 709]]

        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)

                       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)

[[Page 710]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 711]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2020)

                                                  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, VIII, IX, X, XI; 9, 
                                                  II
Agricultural Research Service                     7, V
Agriculture, Department of                        2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, VIII, IX, X, XI; 9, 
                                                  II
  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
  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 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
Appalachian Regional Commission                   5, IX
Architectural and Transportation Barriers         36, XI
   Compliance Board
[[Page 712]]

Arctic Research Commission                        45, XXIII
Armed Forces Retirement Home                      5, XI; 38, II
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
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 of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
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, Department of                            2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I
  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54

[[Page 713]]

  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy, Department of                             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, II
  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

[[Page 714]]

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 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
  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

[[Page 715]]

  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, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office 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
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
Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
   Archives and Records Administration
[[Page 716]]

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 Development Finance Corporation,    5, XXXIII; 22, VII
     U.S.
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
  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50

[[Page 717]]

  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
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
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

[[Page 718]]

Natural Resource Revenue, Office of               30, XII
Natural Resources Conservation Service            7, VI
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
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, IV, XXXV; 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 Health Service                             42, I
Public and Indian Housing, Office of Assistant    24, IX
     Secretary for
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 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
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

[[Page 719]]

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 721]]



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, 2015 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.

                                  2015

40 CFR
                                                                   80 FR
                                                                    Page
Chapter I
80.2 (ttt) revised; (cccc) removed..................................9089
80.8 (e)(1) revised.................................................9090
80.27 (a)(2)(ii) table amended; eff. 7-6-15........................26195
    Regulation at 80 FR 26195 withdrawn............................38284
    (a)(2)(ii) table amended................................38288, 49168
80.46 (b)(1), (c)(2) introductory text, (d), (e), (f)(1), (g)(1) 
        and (h)(1) revised..........................................9090
80.47 (a)(7), (b)(1), (2)(i), (ii), (c)(1), (2)(i), (ii), (d)(1), 
        (e)(1), (f)(1), (g)(1), (h)(1), (i)(1), (j)(1), (l), 
        (m)(6), (n)(1), (2)(i), (ii), (o)(1), (2)(i), (ii), 
        (p)(1), (3)(i), (ii) and (r)(1) revised; (n)(2)(iv), 
        (o)(2)(iv) and (p)(3)(iv) removed...........................9091
80.70 (n) added.....................................................6662
80.72 (c)(8) added..................................................6662
80.75 (a)(2)(xi)(G) revised.........................................9094
80.82 (e)(1) revised................................................9095
80.85 (a) introductory text, (b) introductory text, (g) and (i) 
        revised.....................................................9095
80.86 (b)(2)(iv), (3)(iii) and (c) revised..........................9095
80.315 (b)(1)(iii) revised..........................................9095
80.330 (b)(1)(i), (ii), (2), (c)(1), (d)(2) and (e) revised.........9095
80.510 Heading and (k) revised......................................9096
80.511 (b)(9) revised...............................................9096
80.574 (b) revised..................................................9096
80.584 (a) revised..................................................9096
80.585 (a), (e)(1), (2) and (4) revised; (f) added..................9097
80.590 (a)(7)(vii) and (b) revised..................................9097
80.597 (d)(3) introductory text revised.............................9097
80.607 Heading, (a), (c)(3)(iv), (4)(iv), (d)(1), (3) and (f) 
        revised.....................................................9098
80.608 (d) revised..................................................9098
80.1270 (b)(2) revised..............................................9098
80.1295 (b)(1)(ii) revised..........................................9098
80.1401 Amended....................................................77517
80.1405 (d) revised................................................18140
    (a)(2)(i) removed; (a)(5), (6) and (7) added...................77517
80.1426 (c)(7) revised..............................................9098
    (f)(12) and (14) revised; (f)(17) added........................18141
    (f)(1) Table 1 amended.........................................77517
80.1451 (a)(1)(xiv) revised........................................77518
80.1453 (a) introductory text and (12) introductory text revised 
                                                                    9098
    Regulation at 80 FR 9098 withdrawn.............................26463
80.1456 (d)(3) revised.............................................18141

[[Page 722]]

80.1464 (g) revised; (i)(3) added..................................77518
80.1471 (d)(1) revised..............................................9098
80.1609 (a) revised.................................................9098
80.1611 (a)(1), (c) introductory text, (1), (2) and (d) revised.....9099
80.1613 (a) introductory text revised; (b)(3) added.................9099
80.1615 (d) introductory text, (1) and (2) revised..................9099
80.1616 (b)(2) revised..............................................9099
    Regulation at 80 FR 9099 withdrawn.............................26463
80.1620 (d), (e)(1), (2) and (f)(1) revised.........................9099
80.1621 (d) added...................................................9100
    Regulation at 80 FR 9100 withdrawn.............................26463
80.1640 (a)(2) revised..............................................9100
80.1642 (c)(1) and (3) revised......................................9100
80.1645 Heading and introductory text revised.......................9100
80.1650 (a)(4), (b) and (g)(3) revised..............................9100
80.1652 (c) introductory text revised...............................9100
80.1667 (c)(1) removed..............................................9100

                                  2016

40 CFR
                                                                   81 FR
                                                                    Page
Chapter I
80.1405 (a)(8) added...............................................89804
80.1453 (a) introductory text and (12) introductory text revised 
                                                                   23645
80.1616 (b)(2) revised.............................................23645
80.1621 (d) added..................................................23645

                                  2017

40 CFR
                                                                   82 FR
                                                                    Page
Chapter I
Chapter I Policy statement.........................................51160
80.27 (a)(2)(ii) table amended.......................26359, 60678, 60890
80.1405 Regulation at 81 FR 89804 eff. date delayed to 3-21-17......8499
    (a)(9) added...................................................58527

                                  2018

40 CFR
                                                                   83 FR
                                                                    Page
Chapter I
80 Notification....................................................22593
80.27 (a)(2)(ii) table amended.....................................53588
80.1401 Amended....................................................37746
80.1405 (a)(10) added..............................................63744
80.1426 (f)(1) Table 1 amended.....................................37746

                                  2019

40 CFR
                                                                   84 FR
                                                                    Page
Chapter I
80.2 (aa) added....................................................69340
80.27 (d)(2) revised...............................................27021
80.27 (a)(2)(ii) table amended.....................................49474
80.28 (g)(6)(iii), (8) introductory text, and (ii) revised.........27021
80.70 (j)(3) revised................................................2456
80.501 (a)(6) and (7) redesignated as (a)(7) and (8); new (a)(6) 
        added; (b) revised.........................................69340
80.590 Heading and (a) introductory text revised; (a)(7)(viii) 
        added......................................................69341
80.598 (a)(2)(i)(G) and (b)(8)(iii) revised........................69341
80.602 Heading, (a), and (b)(4)(i) revised.........................69341
80.605 Added.......................................................69341
80.1401 Amended; eff. 7-10-19......................................27021
80.1402 Added; eff. 7-10-19........................................27022
80.1435 Added; eff. 7-10-19........................................27022
80.1451 (c)(2) introductory text revised; (c)(2)(i) through 
        (xviii) redesignated as (c)(2)(i)(A) through (R); new 
        (c)(2)(i) introductory text and new (ii) added; eff. 7-10-
        19.........................................................27023
80.1452 (c)(12) revised; (c)(15) added; eff. 7-10-19...............27024
80.1454 (i)(1), (2), (u), and (v) added; eff. 7-10-19..............27024
80.1464 (a)(4), (5), (6), (b)(5), (6), (7), (c)(3), (4), and (5) 
        added; eff. 7-10-19........................................27024
80.1503 (a)(1)(vi)(C), (b)(1)(vi)(C), (D), and (E) removed; 
        (a)(1)(vi)(B) and (b)(1)(vi)(B) revised....................27025
80.1504 (f) and (g) removed........................................27025

[[Page 723]]

                                  2020

   (Regulations published from January 1, 2020, through July 1, 2020)

40 CFR
                                                                   85 FR
                                                                    Page
Chapter I
80.10 Added.........................................................7070
80.27 (b) and (e)(1)(i) revised.....................................7070
80.46 (a), (b), and (d) through (g) revised; (h)(1)(iv), (v), 
        (vii), (viii), (x), (xiii), (xv), and (xvi) removed.........7070
80.47 (b), (c)(2)(i), (ii), (3), (d)(2), (e)(2), (f)(2), (g)(2), 
        (h)(2), (i)(2), (j)(2), (l)(2)(i), (4), (n)(1), (2)(i), 
        (o)(1), (2)(i), (p)(1), (2)(i), and (3)(i) revised..........7070
80.69 (a)(11)(viii)(C) revised......................................7072
80.93 (d)(4) revised................................................7072
80.174 (b) and (c) revised..........................................7072
80.235 (b) revised..................................................7073
80.290 (b) revised..................................................7073
80.533 (b) revised..................................................7073
80.574 (b) revised..................................................7073
80.585 (d)(1) and (2) amended; (d)(4) revised.......................7073
80.595 (b) revised..................................................7073
80.607 (a) revised..................................................7073
80.855 (c)(2) revised...............................................7073
80.1240 (a)(1)(i) amended...........................................7073
80.1285 (b) revised.................................................7073
80.1340 (b) revised.................................................7073
80.1401 Amended.....................................................7073
80.1405 (a)(11) added; (c) amended..................................7074
80.1407 (f)(9), (10), and (11) added................................7074
80.1408 Added.......................................................7074
80.1415 (c)(4) revised..............................................7075
80.1426 Heading, (a)(1)(iii), (2), (c)(4), and (5) revised; (f)(1) 
        Table 1 amended.............................................7075
80.1427 (b)(2) amended; (c)(2) revised..............................7076
80.1429 (b)(3) revised..............................................7076
80.1430 (a), (b)(1), (c), (d)(1), and (e) introductory text 
        amended; (h) added..........................................7076
80.1431 (b)(2) revised..............................................7076
80.1434 Added.......................................................7076
80.1440 Heading and (a) revised; (f) added..........................7077
80.1441 (h) revised.................................................7077
80.1442 (i) revised.................................................7077
80.1443 (d)(2) revised..............................................7077
80.1449 (d) revised.................................................7077
80.1450 (b) introductory text, (1)(vii)(A)(1), (B), (viii)(A), 
        (ix)(A) introductory text, (xi)(A), (B), (g)(9), and (h) 
        revised; (d)(1) amended.....................................7077
80.1451 (a)(1)(i), (v), (4), (b) introductory text, (1)(ii)(D), 
        (I), (g)(1)(ii)(D), and (I) revised; (i) and (j) 
        redesignated as (j) and (k); (a)(1)(xix) and new (i) added
                                                                    7079
80.1452 (b)(11) revised; (c) introductory text amended..............7079
80.1453 (b) and (d) revised; (e) added..............................7079
80.1454 (a) introductory text, (1), (d)(4), (h)(6)(iii), (j) 
        introductory text, (1), (2) introductory text, (n), and 
        (q) revised; (t) redesignated as (w); new (t) added.........7080
80.1460 (b)(7) and (j) added; (g) revised...........................7080
80.1461 (a)(1) and (2) revised......................................7080
80.1463 (d) revised.................................................7080
80.1464 (a) introductory text, (1)(i)(A), (iii), (iv) introductory 
        text, (A), (D), and (v) revised; (a)(1)(vii) added; 
        (b)(1)(ii) amended..........................................7080
80.1466 Heading, (a), (b), (c) heading, (1), (d)(1)(iii), (v), 
        (vi)(B), (3)(ii), (e)(2)(ii), (f) introductory text, (1) 
        introductory text, (ii)(C), (v)(A), (C), (vii), (2), (4) 
        through (8), (g), (h) introductory text, (3)(iii), (4), 
        (i), (j)(2), (3), (4), (k)(1), (2)(ii), (4)(ii), (l) 
        heading, (1) introductory text, (2)(i), (3), (m)(3)(ii), 
        (6)(i), (n) introductory text, (1), (3), (4), (o) 
        introductory text, and (2) revised; (h)(1) amended; (p) 
        added.......................................................7081
80.1469 (c)(1)(ii) and (f)(1) introductory text revised.............7083
80.1472 (b)(3)(i) introductory text, (ii)(B), and (iii) revised.....7083
80.1475 Added.......................................................7083
80.1501 Heading, (b)(3)(i), and (5)(i) revised; (b)(5)(ii) removed
                                                                    7084
80.1600 Amended.....................................................7084
80.1603 (d)(1) revised; (d)(2) redesignated as (d)(3); new (d)(2) 
        added; (f)(1) amended.......................................7084

[[Page 724]]

80.1609 (a) amended.................................................7084
80.1616 (c)(3) revised..............................................7085
80.1622 (g) revised.................................................7085
80.1625 (c)(2) revised..............................................7085
80.1650 (b)(3), (e)(1)(iii)(A), and (g)(1)(iii)(A) revised..........7085
80.1652 (a)(7) introductory text revised; (a)(7)(v) and (vi) added
                                                                    7085
80.1656 (h) revised.................................................7085


                                  [all]