[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


________________________

Parts 82 to 86

                         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]]

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[[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........................    1207
      Alphabetical List of Agencies Appearing in the CFR......    1227
      List of CFR Sections Affected...........................    1237

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 82.1 refers 
                       to title 40, part 82, 
                       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 
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    To determine whether a Code volume has been amended since its 
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EFFECTIVE AND EXPIRATION DATES

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inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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 
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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 
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INCORPORATION BY REFERENCE

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This material, like any other properly issued regulation, has the force 
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    (b) The matter incorporated is in fact available to the extent 
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    (c) The incorporating document is drafted and submitted for 
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    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 
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the revision dates of the 50 CFR titles.

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INQUIRIES

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    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, Robert J. Sheehan, III 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 parts 82 to 86)

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

chapter i--Environmental Protection Agency (Continued)......          82

[[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.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
82              Protection of stratospheric ozone...........           5
83-84

[Reserved]

85              Control of air pollution from mobile sources         309
86              Control of emissions from new and in-use 
                    highway vehicles and engines............         428

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





PART 82_PROTECTION OF STRATOSPHERIC OZONE--Table of Contents



              Subpart A_Production and Consumption Controls

Sec.
82.1 Purpose and scope.
82.2 [Reserved]
82.3 Definitions for class I and class II controlled substances.
82.4 Prohibitions for class I controlled substances.
82.5 Apportionment of baseline production allowances for class I 
          controlled substances.
82.6 Apportionment of baseline consumption allowances for class I 
          controlled substances.
82.7 Grant and phase reduction of baseline production and consumption 
          allowances for class I controlled substances.
82.8 Grant of essential use allowances and critical use allowances.
82.9 Availability of production allowances in addition to baseline 
          production allowances for class I controlled substances.
82.10 [Reserved]
82.11 Exports of class I controlled substances to Article 5 Parties.
82.12 Transfers of allowances for class I controlled substances.
82.13 Recordkeeping and reporting requirements for class I controlled 
          substances.
82.14 Process for electronic reporting.
82.15 Prohibitions for class II controlled substances.
82.16 Phaseout schedule of class II controlled substances.
82.17 Apportionment of baseline production allowances for class II 
          controlled substances.
82.18 Availability of production in addition to baseline production 
          allowances for class II controlled substances.
82.19 Apportionment of baseline consumption allowances for class II 
          controlled substances.
82.20 Availability of consumption allowances in addition to baseline 
          consumption allowances for class II controlled substances.
82.21-82.22 [Reserved]
82.23 Transfers of allowances of class II controlled substances.
82.24 Recordkeeping and reporting requirements for class II controlled 
          substances.

Appendix A to Subpart A of Part 82--Class I Controlled Substances
Appendix B to Subpart A of Part 82--Class II Controlled Substances
Appendix C to Subpart A of Part 82 [Reserved]
Appendix D to Subpart A of Part 82--Harmonized Tariff Schedule 
          Description of Products That May Contain Controlled Substances 
          in Appendix A, Class I, Groups I and II
Appendix E to Subpart A of Part 82--Article 5 Parties
Appendix F to Subpart A of Part 82--Listing of Ozone-Depleting Chemicals
Appendix G to Subpart A of Part 82--UNEP Recommendations for Conditions 
          Applied to Exemption for Essential Laboratory and Analytical 
          Uses
Appendix H to Subpart A of Part 82--Clean Air Act Amendments of 1990 
          Phaseout Schedule for Production of Ozone-Depleting Substances
Appendix I to Subpart A of Part 82--Global Warming Potentials (Mass 
          Basis), Referenced to the Absolute GWP for the Adopted Carbon 
          Cycle Model CO2 Decay Response and Future 
          CO2 Atmospheric Concentrations Held Constant at 
          Current Levels. (Only Direct Effects Are Considered.)
Appendix J to Subpart A of Part 82--Parties to the Montreal Protocol 
          Classified Under Article 5(1) That Have Banned the Import of 
          Controlled Products That Rely on Class I Controlled Substances 
          for Their Continuing Functioning [Reserved]
Appendix K to Subpart A of Part 82--Commodity Codes From the Harmonized 
          Tariff Schedule for Controlled Substances and Used Controlled 
          Substances
Appendix L to Subpart A of Part 82--Approved Critical Uses and Limiting 
          Critical Conditions for Those Uses

          Subpart B_Servicing of Motor Vehicle Air Conditioners

82.30 Purpose and scope.
82.32 Definitions.
82.34 Prohibitions and required practices.
82.36 Approved refrigerant handling equipment.
82.38 Approved independent standards testing organizations.
82.40 Technician training and certification.
82.42 Certification, recordkeeping and public notification requirements.

Appendix A to Subpart B of Part 82--Standard for Recycle/Recover 
          Equipment
Appendix B to Subpart B of Part 82--Standard for Recover Equipment
Appendix C to Subpart B of Part 82--SAE J2788 Standard for Recovery/
          Recycle

[[Page 6]]

          and Recovery/Recycle/Recharging Equipment for HFC-134a 
          Refrigerant
Appendix D to Subpart B of Part 82--SAE J2810 Standard for Recovery Only 
          Equipment for HFC-134a Refrigerant
Appendix E to Subpart B of Part 82--The Standard for Automotive 
          Refrigerant Recycling Equipment Intended for Use With Both 
          CFC-12 and HFC-134a
Appendix F to Subpart B of Part 82--Standard for Recover-Only Equipment 
          That Extracts a Single, Specific Refrigerant Other Than CFC-12 
          or HFC-134a

Subpart C_Ban on Nonessential Products Containing Class I Substances and 
 Ban on Nonessential Products Containing or Manufactured With Class II 
                               Substances

82.60 Purpose.
82.62 Definitions.
82.64 Prohibitions.
82.65 Temporary exemptions.
82.66 Nonessential Class I products and exceptions.
82.68 Verification and public notice requirements.
82.70 Nonessential Class II products and exceptions.

                      Subpart D_Federal Procurement

82.80 Purpose and scope.
82.82 Definitions.
82.84 Requirements.
82.86 Reporting requirements.

   Subpart E_The Labeling of Products Using Ozone-Depleting Substances

82.100 Purpose.
82.102 Applicability.
82.104 Definitions.
82.106 Warning statement requirements.
82.108 Placement of warning statement.
82.110 Form of label bearing warning statement.
82.112 Removal of label bearing warning statement.
82.114 Compliance by manufacturers and importers with requirements for 
          labeling of containers of controlled substances, or products 
          containing controlled substances.
82.116 Compliance by manufacturers or importers incorporating products 
          manufactured with controlled substances.
82.118 Compliance by wholesalers, distributors and retailers.
82.120 Petitions.
82.122 Certification, recordkeeping, and notice requirements.
82.124 Prohibitions.

               Subpart F_Recycling and Emissions Reduction

82.150 Purpose and scope.
82.152 Definitions.
82.154 Prohibitions.
82.155 Safe disposal of appliances.
82.156 Proper evacuation of refrigerant from appliances.
82.157 Appliance maintenance and leak repair.
82.158 Standards for recovery and/or recycling equipment.
82.160 Approved equipment testing organizations.
82.161 Technician certification.
82.162 [Reserved]
82.164 Reclaimer certification.
82.166 Reporting and recordkeeping requirements for leak repair.
82.168 Incorporation by reference.
82.169 Suspension and revocation procedures.

Appendix A to Subpart F of Part 82--Specifications for Refrigerants
Appendix A1 to Subpart F of Part 82--Generic Maximum Contaminant Levels
Appendix B1 to Subpart F of Part 82--Performance of Refrigerant 
          Recovery, Recycling and/or Reclaim Equipment
Appendix B2 to Subpart F of Part 82--Performance of Refrigerant 
          Recovery, Recycling, and/or Reclaim Equipment
Appendix B3 to Subpart F of Part 82--Performance of Refrigerant 
          Recovery, Recycling, and/or Reclaim Equipment
Appendix B4 to Subpart F of Part 82--Performance and Safety of Flammable 
          Refrigerant Recovery and/or Recycling Equipment
Appendix C to Subpart F of Part 82--Method for Testing Recovery Devices 
          for Use With Small Appliances
Appendix D to Subpart F of Part 82--Standards for Becoming a Certifying 
          Program for Technicians
Appendix E to Subpart F of Part 82--Test Procedure for Leaks From 
          Containers Holding Two Pounds or Less of Refrigerant for Use 
          in an MVAC

          Subpart G_Significant New Alternatives Policy Program

82.170 Purpose and scope.
82.172 Definitions.
82.174 Prohibitions.
82.176 Applicability.
82.178 Information required to be submitted.
82.180 Agency review of SNAP submissions.
82.182 Confidentiality of data.
82.184 Petitions.

Appendix A to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes

[[Page 7]]

Appendix B to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes
Appendix C to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes Listed in the May 
          22, 1996 Final Rule, Effective June 21, 1996
Appendix D to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes
Appendix E to Subpart G of Part 82--Unacceptable Substitutes Listed in 
          the January 26, 1999 Final Rule, Effective January 26, 1999
Appendix F to Subpart G of Part 82--Unacceptable Substitutes Listed in 
          the January 26, 1999 Final Rule, Effective January 26, 1999
Appendix G to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes Listed in the March 
          3, 1999, Final Rule, Effective April 2, 1999
Appendix H to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes, Effective May 28, 
          1999
Appendix I to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions, Listed in the April 26, 2000, Final Rule, 
          Effective May 26, 2000
Appendix J to Subpart G of Part 82--Substitutes listed in the January 
          29, 2002 Final Rule, effective April 1, 2002
Appendix K to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes Listed in the July 
          22, 2002, Final Rule, Effective August 21, 2002
Appendix L to Subpart G of Part 82--Substitutes Listed in the January 
          27, 2003, Final Rule, Effective March 28, 2003
Appendix M to Subpart G of Part 82--Unacceptable Substitutes Listed in 
          the September 30, 2004 Final Rule, Effective November 29, 2004
Appendix N to Subpart G of Part 82 [Reserved]
Appendix O to Subpart G of Part 82--Substitutes Listed in the September 
          27, 2006 Final Rule, Effective November 27, 2006
Appendix P to Subpart G of Part 82--Substitutes Listed in the September 
          27, 2006 Final Rule, Effective November 27, 2006
Appendix Q to Subpart G of Part 82--Unacceptable Substitutes Listed in 
          the March 28, 2007 Final Rule, Effective May 29, 2007
Appendix R to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions Listed in the December 20, 2011 Final Rule, 
          Effective February 21, 2012
Appendix S to Subpart G of Part 82--Substitutes Listed in the September 
          19, 2012 Final Rule, Effective December 18, 2012.
Appendix T to Subpart G of Part 82--Substitutes listed in the April 29, 
          2013 Final Rule, effective May 29, 2013.
Appendix U to Subpart G of Part 82--Unacceptable Substitutes and 
          Substitutes Subject to Use Restrictions Listed in the July 20, 
          2015 Final Rule, Effective August 19, 2015
Appendix V to Subpart G of Part 82--Substitutes Subject to Use 
          Restrictions and Unacceptable Substitutes Listed in the 
          December 1, 2016 Final Rule

                   Subpart H_Halon Emissions Reduction

82.250 Purpose and scope.
82.260 Definitions.
82.270 Prohibitions.

     Subpart I_Ban on Refrigeration and Air-Conditioning Appliances 
                            Containing HCFCs

82.300 Purpose.
82.302 Definitions.
82.304 Prohibitions.
82.306 Prohibited products.

    Authority: 42 U.S.C. 7414, 7601, 7671-7671q.

    Source: 57 FR 33787, July 30, 1992, unless otherwise noted.



              Subpart A_Production and Consumption Controls

    Source: 60 FR 24986, May 10, 1995, unless otherwise noted.



Sec.  82.1  Purpose and scope.

    (a) The purpose of the regulations in this subpart is to implement 
the Montreal Protocol on Substances that Deplete the Ozone Layer and 
sections 602, 603, 604, 605, 606, 607, 614 and 616 of the Clean Air Act 
Amendments of 1990, Public Law 101-549. The Protocol and section 604 
impose limits on the production and consumption (defined as production 
plus imports minus exports, excluding transhipments and used controlled 
substances) of certain ozone-depleting substances, according to 
specified schedules. The Protocol also requires each nation that becomes 
a Party to the agreement to impose certain restrictions on trade in 
ozone-depleting substances with non-Parties.
    (b) This subpart applies to any person that produces, transforms, 
destroys,

[[Page 8]]

imports or exports a controlled substance or imports or exports a 
controlled product.

[63 FR 41642, Aug. 4, 1998]



Sec.  82.2  [Reserved]



Sec.  82.3  Definitions for class I and class II controlled substances.

    As used in this subpart, the term:
    Administrator means the Administrator of the United States 
Environmental Protection Agency or his or her authorized representative. 
Starting May 18, 2020, reports and petitions that are available to be 
submitted through the Central Data Exchange, as well as any related 
supporting documents, must be submitted through that tool. Any other 
reports and communications shall be submitted to Stratospheric 
Protection Manager, 1200 Pennsylvania Ave. NW, Mail Code: 6205T, 
Washington, DC 20460.
    Aircraft halon bottle means a vessel used as a component of an 
aircraft fire suppression system containing halon-1301 or halon-1211 
approved under FAA rules for installation in a certificated aircraft.
    Appliance means any device which contains and uses a refrigerant and 
which is used for household or commercial purposes, including any air 
conditioner, refrigerator, chiller, or freezer.
    Applicator means the person who applies methyl bromide.
    Approved critical use(s) means those uses of methyl bromide listed 
in Column A of appendix L to this subpart as further clarified in 
Columns B and C of that appendix.
    Approved critical user(s) means a person who:
    (1) For the applicable control period, applied to EPA for a critical 
use exemption or is a member of a consortium that applied to EPA for a 
critical use exemption for a use and location of use that was included 
in the U.S. nomination, authorized by a Decision of the Parties to the 
Montreal Protocol, and then finally determined by EPA in a notice-and-
comment rulemaking to be an approved critical use; and
    (2) Has an area in the applicable location of use that requires 
methyl bromide fumigation because the person reasonably expects that the 
area will be subject to a limiting critical condition during the 
applicable control period.
    Article 5 allowances means the allowances apportioned under 
Sec. Sec.  82.9(a), 82.11(a)(2), and 82.18(a).
    Baseline consumption allowances means the consumption allowances 
apportioned under Sec. Sec.  82.6 and 82.19.
    Baseline production allowances means the production allowances 
apportioned under Sec. Sec.  82.5 and 82.17.
    Beijing Amendments means the Montreal Protocol, as amended at the 
Eleventh Meeting of the Parties to the Montreal Protocol in Beijing in 
1999.
    Calculated level means the weighted amount of a controlled substance 
determined by multiplying the amount (in kilograms) of the controlled 
substance by that substance's ozone depletion potential (ODP) weight 
listed in appendix A or appendix B to this subpart.
    Central Data Exchange means EPA's centralized electronic document 
receiving system, or its successors.
    Class I refers to the controlled substances listed in appendix A to 
this subpart.
    Class II refers to the controlled substances listed in appendix B to 
this subpart.
    Commodity Owner, Shipper or their Agent means the person requesting 
that an applicator use methyl bromide for quarantine or preshipment 
applications.
    Completely destroy means to cause the expiration of a controlled 
substance at a destruction efficiency of 98 percent or greater, using 
one of the destruction technologies approved by the Parties.
    Confer means to shift the essential-use allowances obtained under 
Sec.  82.8 from the holder of the unexpended essential-use allowances to 
a person for the production of a specified controlled substance.
    Consortium means an organization representing a group of methyl 
bromide users that has collectively submitted an application for a 
critical use exemption on behalf of all members of the group. The 
members of a consortium shall be determined on the basis of the rules 
established by the organization. Members may either be required to 
formally join the consortium

[[Page 9]]

(e.g., by submitting an application or paying dues) or may automatically 
become members upon meeting particular criteria (e.g., a grower of a 
specific crop in a particular region).
    Consumption means the production plus imports minus exports of a 
controlled substance (other than transhipments, or used controlled 
substances).
    Consumption allowances means the privileges granted by this subpart 
to produce and import controlled substances; however, consumption 
allowances may be used to produce controlled substances only in 
conjunction with production allowances. A person's consumption 
allowances for class I substances are the total of the allowances 
obtained under Sec. Sec.  82.6 and 82.7 as may be modified under Sec.  
82.12 (transfer of allowances). A person's consumption allowances for 
class II controlled substances are the total of the allowances obtained 
under Sec. Sec.  82.19 and 82.20, as may be modified under Sec.  82.23.
    Control period means the period from January 1, 1992 through 
December 31, 1992, and each twelve-month period from January 1 through 
December 31, thereafter.
    Controlled product means a product that contains a controlled 
substance listed as a Class I, Group I or II substance in appendix A to 
this subpart. Controlled products include, but are not limited to, those 
products listed in appendix D to this subpart.
    Controlled products belong to one or more of the following six 
categories of products:
    (1) Automobile and truck air conditioning units (whether 
incorporated in vehicles or not);
    (2) Domestic and commercial refrigeration and air-conditioning/heat 
pump equipment (whether containing controlled substances as a 
refrigerant and/or in insulating material of the product), e.g. 
Refrigerators, Freezers, Dehumidifiers, Water coolers, Ice machines, 
Air-conditioning and heat pump units;
    (3) Aerosol products, except medical aerosols;
    (4) Portable fire extinguishers;
    (5) Insulation boards, panels and pipe covers;
    (6) Pre-polymers.
    Controlled substance means any substance listed in appendix A or 
appendix B to this subpart, whether existing alone or in a mixture, but 
excluding any such substance or mixture that is in a manufactured 
product other than a container used for the transportation or storage of 
the substance or mixture. Thus, any amount of a listed substance in 
appendix A or appendix B to this subpart that is not part of a use 
system containing the substance is a controlled substance. If a listed 
substance or mixture must first be transferred from a bulk container to 
another container, vessel, or piece of equipment in order to realize its 
intended use, the listed substance or mixture is a ``controlled 
substance.'' The inadvertent or coincidental creation of insignificant 
quantities of a listed substance in appendix A or appendix B to this 
subpart; during a chemical manufacturing process, resulting from 
unreacted feedstock, from the listed substance's use as a process agent 
present as a trace quantity in the chemical substance being 
manufactured, or as an unintended byproduct of research and development 
applications, is not deemed a controlled substance. Controlled 
substances are divided into two classes, Class I in appendix A to this 
subpart, and Class II listed in appendix B to this subpart. Class I 
substances are further divided into eight groups, Group I, Group II, 
Group III, Group IV, Group V, Group VI, Group VII, and Group VIII, as 
set forth in appendix A to this subpart.
    Copenhagen Amendments means the Montreal Protocol on Substances That 
Deplete the Ozone Layer, as amended at the Fourth Meeting of the Parties 
to the Montreal Protocol in Copenhagen in 1992.
    Critical use means a circumstance in which the following two 
conditions are satisfied:
    (1) There are no technically and economically feasible alternatives 
or substitutes for methyl bromide available that are acceptable from the 
standpoint of environment and health and are suitable to the crops and 
circumstances involved, and
    (2) The lack of availability of methyl bromide for a particular use 
would result in significant market disruption.

[[Page 10]]

    Critical use allowance (CUA) means the privilege granted by this 
subpart to produce or import one (1) kilogram of methyl bromide for an 
approved critical use during the specified control period. A person's 
critical use allowances are the total of the allowances obtained under 
Sec.  82.8(c) as may be modified under Sec.  82.12 (transfer of 
allowances).
    Critical use allowance for pre-plant uses means the privilege 
granted by this subpart to produce or import one (1) kilogram of methyl 
bromide solely for an approved critical use in pre-plant categories 
specified in Appendix L to this subpart during the specified control 
period. A person's critical use allowances for pre-plant uses are the 
total of the allowances obtained under Sec.  82.8(c) as may be modified 
under Sec.  82.12 (transfer of allowances).
    Critical use allowance for post-harvest uses means the privilege 
granted by this subpart to produce or import one (1) kilogram of methyl 
bromide solely for an approved critical use in post-harvest categories 
specified in appendix L to this subpart during the specified control 
period. A person's critical use allowances for post-harvest uses are the 
total of the allowances obtained under Sec.  82.8(c) as may be modified 
under Sec.  82.12 (transfer of allowances).
    Critical use allowance (CUA) holder means an entity to which EPA 
allocates a quantity of critical use allowances as reflected in Sec.  
82.8(c) or who receives a quantity of critical use allowances through a 
transfer under Sec.  82.12.
    Critical use methyl bromide means the class I, Group VI controlled 
substance produced or imported through expending a critical use 
allowance or that portion of inventory produced or imported prior to the 
January 1, 2005 phaseout date that is sold only for approved critical 
uses.
    Destruction means the expiration of a controlled substance to the 
destruction and removal efficiency actually achieved, unless considered 
completely destroyed as defined in this section. Such destruction might 
result in a commercially useful end product, but such usefulness would 
be secondary to the act of destruction. Destruction must be achieved 
using one of the following controlled processes approved by the Parties 
to the Protocol:
    (1) Liquid injection incineration;
    (2) Reactor cracking;
    (3) Gaseous/fume oxidation;
    (4) Rotary kiln incineration;
    (5) Cement kiln;
    (6) Radio frequency plasma;
    (7) Municipal waste incinerators (only for the destruction of 
foams);
    (8) Nitrogen plasma arc;
    (9) Portable plasma arc;
    (10) Argon plasma arc;
    (11) Chemical reaction with hydrogen and carbon dioxide;
    (12) Inductively coupled radio frequency plasma;
    (13) Microwave plasma;
    (14) Porous thermal reactor;
    (15) Gas phase catalytic de-halogenation;
    (16) Superheated steam reactor; or
    (17) Thermal reaction with methane.
    Distributor of methyl bromide means the person directly selling a 
class I, Group VI controlled substance to an applicator.
    Essential Metered Dose Inhaler (Essential MDI) means metered dose 
inhalers for the treatment of asthma and chronic obstructive pulmonary 
disease, approved by the Food and Drug Administration or by another 
Party's analogous health authority before December 31, 2000, and 
considered to be essential by the Party where the MDI product will 
eventually be sold. In addition, if the MDI product is to be sold in the 
U.S., the active moiety contained in the MDI must be listed as essential 
at 21 CFR 2.125(e).
    Essential-Use Allowances means the privileges granted by Sec.  
82.4(n) to produce class I substances, as determined by allocation 
decisions made by the Parties to the Montreal Protocol and in accordance 
with the restrictions delineated in the Clean Air Act Amendments of 
1990.
    Essential-Use Chlorofluorocarbons (Essential-use CFCs) are the CFCs 
(CFC-11, CFC-12, or CFC-114) produced under the authority of essential-
use allowances and not the allowances themselves. Essential-use CFCs 
include CFCs imported or produced by U.S. entities under the authority 
of essential-use allowances for use in essential metered dose inhalers, 
as well as CFCs imported

[[Page 11]]

or produced by non-U.S. entities under the authority of privileges 
granted by the Parties and the national authority of another country for 
use in essential metered dose inhalers.
    Essential-Uses means those uses of controlled substances designated 
by the Parties to the Protocol to be necessary for the health and safety 
of, or critical for the functioning of, society; and for which there are 
no available technically and economically feasible alternatives or 
substitutes that are acceptable from the standpoint of environment and 
health. Beginning January 1, 2000 (January 1, 2002 for methyl 
chloroform) the essential use designations for class I substances must 
be made in accordance with the provisions of the Clean Air Act 
Amendments of 1990.
    Export means the transport of virgin or used controlled substances 
from inside the United States or its territories to persons outside the 
United States or its territories, excluding United States military bases 
and ships for on-board use.
    Export production allowances means the privileges granted by Sec.  
82.18(b) to produce HCFC-141b for export following the phaseout of HCFC-
141b on January 1, 2003.
    Exporter means the person who contracts to sell controlled 
substances for export or transfers controlled substances to his 
affiliate in another country.
    Facility means any process equipment (e.g., reactor, distillation 
column) used to convert raw materials or feedstock chemicals into 
controlled substances or consume controlled substances in the production 
of other chemicals.
    Foreign state means an entity which is recognized as a sovereign 
nation or country other than the United States of America. \1\
---------------------------------------------------------------------------

    \1\ Taiwan is not considered a foreign state.
---------------------------------------------------------------------------

    Foreign state complying with, when referring to a foreign state not 
Party to the 1987 Montreal Protocol, the London Amendment, the 
Copenhagen Amendment, or the Beijing Amendment, means any foreign state 
that has been determined to be complying with the 1987 Montreal Protocol 
or the specified amendments by a Meeting of the Parties.
    Foreign state not Party to or Non-Party means a foreign state that 
has not deposited instruments of ratification, acceptance, or other form 
of approval with the Directorate of the United Nations Secretariat, 
evidencing the foreign state's ratification of the provisions of the 
1987 Montreal Protocol, the London Amendment, the Copenhagen Amendment, 
or the Beijing Amendment, as specified.
    Halon bank means a facility run by a national government or 
privately run and authorized by a national government that collects and 
stores previously-recovered halon for reuse at a later date.granted to a 
HCFC-141b formulator; an agency, department, or instrumentality of the 
U.S.; or a non-governmental space vehicle entity by this subpart to 
order production of or to import HCFC-141b, as determined in accordance 
with Sec.  82.16(h).
    Heel means the amount of a controlled substance that remains in a 
container after it is discharged or off-loaded (that is no more than ten 
percent of the volume of the container).
    Hydrostatic testing means checking a gas pressure vessel for leaks 
or flaws. The vessel is filled with a nearly incompressible liquid--
usually water or oil--and examined for leaks or permanent changes in 
shape.
    Import means to land on, bring into, or introduce into, or attempt 
to land on, bring into, or introduce into any place subject to the 
jurisdiction of the United States whether or not such landing, bringing, 
or introduction constitutes an importation within the meaning of the 
customs laws of the United States, with the following exemptions:
    (1) Off-loading used or excess controlled substances or controlled 
products from a ship during servicing,
    (2) Bringing controlled substances into the U.S. from Mexico where 
the controlled substance had been admitted into Mexico in bond and was 
of U.S. origin, and
    (3) Bringing a controlled product into the U.S. when transported in 
a consignment of personal or household effects

[[Page 12]]

or in a similar non-commercial situation normally exempted from U.S. 
Customs attention.
    Importer means any person who imports a controlled substance or a 
controlled product into the United States. ``Importer'' includes the 
person primarily liable for the payment of any duties on the merchandise 
or an authorized agent acting on his or her behalf. The term also 
includes, as appropriate:
    (1) The consignee;
    (2) The importer of record;
    (3) The actual owner; or
    (4) The transferee, if the right to draw merchandise in a bonded 
warehouse has been transferred.
    Individual shipment means the kilograms of a controlled substance 
for which a person may make one (1) U.S. Customs entry, as identified in 
the non-objection letter from the Administrator under Sec. Sec.  
82.13(g) and 82.24(c).
    Interstate commerce means the distribution or transportation of any 
controlled substance between one state, territory, possession or the 
District of Columbia, and another state, territory, possession or the 
District of Columbia, or the sale, use or manufacture of any controlled 
substance in more than one state, territory, possession or District of 
Columbia. The entry points for which a controlled substance is 
introduced into interstate commerce are the release of a controlled 
substance from the facility in which the controlled substance was 
manufactured, the entry into a warehouse from which the domestic 
manufacturer releases the controlled substance for sale or distribution, 
and at the site of United States customs clearance.
    Limiting critical condition means the regulatory, technical, and 
economic circumstances listed in Column C of Appendix L to this subpart 
that establish conditions of critical use for methyl bromide in a 
fumigation area.
    Location of use means the geographic area (such as a state, region, 
or the entire United States) covered by an application for a critical 
use exemption in which the limiting critical condition may occur.
    London Amendments means the Montreal Protocol, as amended at the 
Second Meeting of the Parties to the Montreal Protocol in London in 
1990.
    Manufactured, for an appliance, means the date upon which the 
appliance's refrigerant circuit is complete, the appliance can function, 
the appliance holds a full refrigerant charge, and the appliance is 
ready for use for its intended purposes; and for a pre-charged appliance 
component, means the date that such component is completely produced by 
the original equipment manufacture, charged with refrigerant, and is 
ready for initial sale or distribution in interstate commerce.
    Montreal Anniversary amendments means the Montreal Protocol, as 
amended at the Ninth Meeting of the Parties to the Montreal Protocol in 
Montreal in 1997.
    Montreal Protocol means the Montreal Protocol on Substances that 
Deplete the Ozone Layer, a protocol to the Vienna Convention for the 
Protection of the Ozone Layer, including adjustments adopted by the 
Parties thereto and amendments that have entered into force.
    1987 Montreal Protocol means the Montreal Protocol, as originally 
adopted by the Parties in 1987.
    Non-Objection notice means the privilege granted by the 
Administrator to import a specific individual shipment of a controlled 
substance in accordance with Sec. Sec.  82.13(g)(2), (3), and (5) and 
82.24(c)(3), (4), and (6).
    Party means a foreign state that has deposited instruments of 
ratification, acceptance, or other form of approval with the Directorate 
of the United Nations Secretariat, evidencing the foreign state's 
ratification of the provisions of the 1987 Montreal Protocol, the London 
Amendment, the Copenhagen Amendment, or the Beijing Amendment, as 
specified. (For ratification status, see: http://ozone.unep.org/
new_site/en/treaty_ratification_status.php.)
    Person means any individual or legal entity, including an 
individual, corporation, partnership, association, state, municipality, 
political subdivision of a state, Indian tribe; any agency, department, 
or instrumentality of the United States; and any officer, agent, or 
employee thereof.

[[Page 13]]

    Plant means one or more facilities at the same location owned by or 
under common control of the same person.
    Preshipment applications, with respect to class I, Group VI 
controlled substances, are those non-quarantine applications applied 
within 21 days prior to export to meet the official requirements of the 
importing country or existing official requirements of the exporting 
country. Official requirements are those which are performed by, or 
authorized by, a national plant, animal, environmental, health or stored 
product authority.
    Production means the manufacture of a controlled substance from any 
raw material or feedstock chemical, but does not include:
    (1) The manufacture of a controlled substance that is subsequently 
transformed;
    (2) The reuse or recycling of a controlled substance;
    (3) Amounts that are destroyed by approved destruction technologies; 
or
    (4) Amounts that are spilled or vented unintentionally.
    Production allowances means the privileges granted by this subpart 
to produce controlled substances; however, production allowances may be 
used to produce controlled substances only in conjunction with 
consumption allowances. A person's production allowances for class I 
substances are the total of the allowances obtained under Sec. Sec.  
82.5, 82.7 and 82.9, and as may be modified under Sec.  82.12 (transfer 
of allowances). A person's production allowances for class II controlled 
substances are the total of the allowances obtained under Sec.  82.17 
and as may be modified under Sec. Sec.  82.18 and 82.23.
    Quarantine applications, with respect to class I, Group VI 
controlled substances, are treatments to prevent the introduction, 
establishment and/or spread of quarantine pests (including diseases), or 
to ensure their official control, where: (1) Official control is that 
performed by, or authorized by, a national (including state, tribal or 
local) plant, animal or environmental protection or health authority; 
(2) quarantine pests are pests of potential importance to the areas 
endangered thereby and not yet present there, or present but not widely 
distributed and being officially controlled. This definition excludes 
treatments of commodities not entering or leaving the United States or 
any State (or political subdivision thereof).
    Source facility means the location at which a used controlled 
substance was recovered from a piece of equipment, including the name of 
the company responsible for, or owning the piece of equipment, a contact 
person at the location, the mailing address for that specific location, 
and a phone number and a fax number for the contact person at the 
location.
    Space vehicle means a man-made device, either manned or unmanned, 
designed for operation beyond earth's atmosphere. This definition 
includes integral equipment such as models, mock-ups, prototypes, molds, 
jigs, tooling, hardware jackets, and test coupons. Also included is 
auxiliary equipment associated with tests, transport, and storage, which 
through contamination can compromise the space vehicle performance.
    Third party applicator means an applicator of critical use methyl 
bromide who fumigates or treats commodities, structures, crops, or land 
on behalf of an approved critical user.
    Transform means to use and entirely consume (except for trace 
quantities) a controlled substance in the manufacture of other chemicals 
for commercial purposes.
    Transhipment means the continuous shipment of a controlled 
substance, from a foreign state of origin through the United States or 
its territories, to a second foreign state of final destination, as long 
as the shipment does not enter into United States jurisdiction. A 
transhipment, as it moves through the United States or its territories, 
cannot be re-packaged, sorted or otherwise changed in condition.
    Unexpended Article 5 allowances means Article 5 allowances that have 
not been used. At any time in any control period a person's unexpended 
Article 5 allowances are the total of the level of Article 5 allowances 
the person has authorization under this subpart to hold at that time for 
that control period, minus the level of controlled substances that the 
person has produced in that control period until that time.

[[Page 14]]

    Unexpended consumption allowances means consumption allowances that 
have not been used. At any time in any control period a person's 
unexpended consumption allowances are the total of the level of 
consumption allowances the person has authorization under this subpart 
to hold at that time for that control period, minus the level of 
controlled substances that the person has produced or imported (not 
including transhipments and used controlled substances) in that control 
period until that time.
    Unexpended critical use allowances (CUA) means critical use 
allowances against which methyl bromide has not yet been produced or 
imported. At any time in any control period a person's unexpended 
critical use allowances are the total of the level of critical use 
allowances the person holds at that time for that control period, minus 
the level of class I, Group VI controlled substances that the person has 
produced or has imported solely for approved critical uses in that 
control period.
    Unexpended destruction and transformation credits means destruction 
and transformation credits that have not been used. At any time in any 
control period a person's unexpended destruction and transformation 
credits are the total of the level of destruction and transformation 
credits the person has authorization under this subpart to hold at that 
time for that control period, minus the level of controlled substances 
that the person has produced or imported (not including transhipments 
and used controlled substances) in that control period until that time.
    Unexpended essential-use allowances means essential-use allowances 
that have not been used. At any time in any control period a person's 
unexpended essential-use allowances are the total of the level of 
essential-use allowances the person has authorization under this subpart 
to hold at that time for that control period, minus the level of 
controlled substances that the person has imported or had produced in 
that control period until that time.
    Unexpended export production allowances means export production 
allowances that have not been used. A person's unexpended export 
production allowances are the total of the quantity of the export 
production allowances the person has authorization under Sec.  82.18(h) 
to hold for that control period, minus the quantity of class II 
controlled substances that the person has produced at that time during 
the same control period.
    Unexpended production allowances means production allowances that 
have not been used. At any time in any control period a person's 
unexpended production allowances are the total of the level of 
production allowances he has authorization under this subpart to hold at 
that time for that control period, minus the level of controlled 
substances that the person has produced in that control period until 
that time.
    Use of a class II controlled substance, for the purposes of Sec.  
82.15 of this subpart, includes but is not limited to, use in a 
manufacturing process, use in manufacturing a product, intermediate uses 
such as formulation or packaging for other subsequent uses, and use in 
maintaining, servicing, or repairing an appliance or other piece of 
equipment. Use of a class II controlled substance also includes use of 
that controlled substance when it is removed from a container used for 
the transportation or storage of the substance but does not include use 
of a manufactured product containing a controlled substance.
    Used controlled substances means controlled substances that have 
been recovered from their intended use systems (may include controlled 
substances that have been, or may be subsequently, recycled or 
reclaimed).

[60 FR 24986, May 10, 1995]

    Editorial Note: For Federal Register citations affecting Sec.  82.3, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec.  82.4  Prohibitions for class I controlled substances.

    (a)(1) Prior to January 1, 1996, for all Groups of class I 
controlled substances, and prior to January 1, 2005, for class I, Group 
VI controlled substances, no person may produce, at any time in any 
control period, (except that are transformed or destroyed domestically 
or by a person of another Party) in excess of

[[Page 15]]

the amount of unexpended production allowances or unexpended Article 5 
allowances for that substance held by that person under the authority of 
this subpart at that time for that control period. Every kilogram of 
excess production constitutes a separate violation of this subpart.
    (2) Effective January 1, 2003, production of class I, Group VI 
controlled substances is not subject to the prohibitions in paragraph 
(a)(1) of this section if it is solely for quarantine or preshipment 
applications as defined in this subpart.
    (b)(1) Effective January 1, 1996, for any Class I, Group I, Group 
II, Group III, Group IV, Group V or Group VII controlled substances, and 
effective January 1, 2005 for any Class I, Group VI controlled 
substances, and effective August 18, 2003, for any Class I, Group VIII 
controlled substance, no person may produce, at any time in any control 
period (except that are transformed or destroyed domestically or by a 
person of another Party) in excess of the amount of conferred unexpended 
essential use allowances or exemptions, or in excess of the amount of 
unexpended critical use allowances, or in excess of the amount of 
unexpended Article 5 allowances as allocated under Sec.  82.9 and Sec.  
82.11, as may be modified under Sec.  82.12 (transfer of allowances) for 
that substance held by that person under the authority of this subpart 
at that time for that control period. Every kilogram of excess 
production constitutes a separate violation of this subpart.
    (2) Effective January 1, 2005, production of class I, Group VI 
controlled substances is not subject to the prohibitions in paragraph 
(b)(1) of this section if it is solely for quarantine or preshipment 
applications as defined in this subpart, or it is solely for export to 
satisfy critical uses authorized by the Parties for that control period.
    (c)(1) Prior to January 1, 1996, for all Groups of class I 
controlled substances, and prior to January 1, 2005, for class I, Group 
VI controlled substances, no person may produce or (except for 
transhipments, heels or used controlled substances) import, at any time 
in any control period, (except for controlled substances that are 
transformed or destroyed) in excess of the amount of unexpended 
consumption allowances held by that person under the authority of this 
subpart at that time for that control period. Every kilogram of excess 
production or importation (other than transhipments, heels or used 
controlled substances) constitutes a separate violation of this subpart.
    (2) Effective January 1, 2003, production and import of class I, 
Group VI controlled substances is not subject to the prohibitions in 
paragraph (c)(1) of this section if it is solely for quarantine or 
preshipment applications as defined in this subpart.
    (d) Effective January 1, 1996, for any class I, Group I, Group II, 
Group III, Group IV, Group V, or Group VII controlled substances, and 
effective January 1, 2005, for any class I, Group VI controlled 
substance, and effective August 18, 2003, for any class I, Group VIII 
controlled substance, no person may import (except for transhipments or 
heels), at any time in any control period, (except for controlled 
substances that are transformed or destroyed) in excess of the amount of 
unexpended essential use allowances or exemptions, or in excess of 
unexpended critical use allowances, for that substance held by that 
person under the authority of this subpart at that time for that control 
period. Every kilogram of excess importation (other than transhipments 
or heels) constitutes a separate violation of this subpart. It is a 
violation of this subpart to obtain unused class I controlled substances 
under the general laboratory exemption in excess of actual need and to 
recycle that material for sale into other markets.
    (e) Effective January 1, 1996, no person may place an order by 
conferring essential-use allowances for the production of the class I 
controlled substance, at any time in any control period, in excess of 
the amount of unexpended essential-use allowances, held by that person 
under the authority of this subpart at that time for that control 
period. Effective January 1, 1996, no person may import a class I 
controlled substance with essential-use allowances, at any time in any 
control period, in excess of the amount of unexpended essential-use 
allowances, held by that person under the authority of

[[Page 16]]

this subpart at that time for that control period. No person may import 
or place an order for the production of a class I controlled substance 
with essential-use allowances, at any time in any control period, other 
than for the class I controlled substance(s) for which they received 
essential-use allowances under paragraph (u) of this section. Every 
kilogram of excess production ordered in excess of the unexpended 
essential-use allowances conferred to the producer constitutes a 
separate violation of this subpart. Every kilogram of excess import in 
excess of the unexpended essential-use allowances held at that time 
constitutes a separate violation of this subpart.
    (f) [Reserved]
    (g) Effective January 1, 1996, the U.S. total production and 
importation of a class I controlled substance (except Group VI) as 
allocated under this section for essential-use allowances and 
exemptions, and as obtained under Sec.  82.9 for destruction and 
transformation credits, may not, at any time, in any control period 
until January 1, 2000, exceed the percent limitation of baseline 
production in appendix H of this subpart, as set forth in the Clean Air 
Act Amendments of 1990. No person shall cause or contribute to the U.S. 
exceedance of the national limit for that control period.
    (h) No person may sell in the U.S. any Class I controlled substance 
produced explicitly for export to an Article 5 country.
    (i) Effective January 1, 1995, no person may import, at any time in 
any control period, a heel of any class I controlled substance that is 
greater than 10 percent of the volume of the container in excess of the 
amount of unexpended consumption allowances, or unexpended destruction 
and transformation credits held by that person under the authority of 
this subpart at that time for that control period. Every kilogram of 
excess importation constitutes a separate violation of this subpart.
    (j)(1) Effective January 1, 1995, no person may import, at any time 
in any control period, a used class I controlled substance, except for 
Group II used controlled substances shipped in aircraft halon bottles 
for hydrostatic testing, without having received a non-objection notice 
from the Administrator in accordance with Sec.  82.13(g)(2) and (3). A 
person who receives a non-objection notice for the import of an 
individual shipment of used controlled substances may not transfer or 
confer the right to import and may not import any more than the exact 
quantity, in kilograms, of the used controlled substance cited in the 
non-objection notice. Every kilogram of importation of used controlled 
substance in excess of the quantity cited in the non-objection notice 
issued by the Administrator in accordance with Sec.  82.13(g)(2) and (3) 
constitutes a separate violation.
    (2) No person may import for purposes of destruction, at any time in 
any control period, a class I controlled substance for which EPA has 
apportioned baseline production and consumption allowances, without 
having submitted a certification of intent to import for destruction to 
the Administrator and received a non-objection notice in accordance with 
Sec.  82.13(g)(5). A person issued a non-objection notice for the import 
of an individual shipment of class I controlled substances for 
destruction may not transfer or confer the right to import and may not 
import any more than the exact quantity (in kilograms) of the class I 
controlled substance stated in the non-objection notice. For imports 
intended to be destroyed in the United States, a person issued a non-
objection notice must destroy the controlled substance within one year 
of the date stamped on the non-objection letter, may not transfer or 
confer the right to import, and may not import any more than the exact 
quantity (in kilograms) of the class I controlled substance stated in 
the non-objection notice. Every kilogram of import of class I controlled 
substance in excess of the quantity stated in the non-objection notice 
issued by the Administrator in accordance with Sec.  82.13(g)(5) 
constitutes a separate violation of this subpart.
    (k)(1) Prior to January 1, 1996, for all Groups of class I 
controlled substances, and prior to January 1, 2005, for class I, Group 
VI controlled substances, a person may not use production allowances to 
produce a quantity of a class I controlled substance unless that person

[[Page 17]]

holds under the authority of this subpart at the same time consumption 
allowances sufficient to cover that quantity of class I controlled 
substances nor may a person use consumption allowances to produce a 
quantity of class I controlled substances unless the person holds under 
authority of this subpart at the same time production allowances 
sufficient to cover that quantity of class I controlled substances. 
However, prior to January 1, 1996, for all class I controlled 
substances, and prior to January 1, 2005, for class I, Group VI 
controlled substances, only consumption allowances are required to 
import, with the exception of transhipments, heels, and used controlled 
substances. Effective January 1, 1996, for all Groups of class I 
controlled substances, except Group VI, only essential use allowances or 
exemptions are required to import class I controlled substances, with 
the exception of transhipments, heels, used controlled substances, and 
essential use CFCs.
    (2) Notwithstanding paragraph (k)(1) of this section, effective 
January 1, 2003, for class I, Group VI controlled substances, 
consumption allowances are not required to import quantities solely for 
quarantine or preshipment applications as defined in this subpart.
    (l) Every kilogram of a controlled substance, and every controlled 
product, imported or exported in contravention of this subpart 
constitutes a separate violation of this subpart. No person may:
    (1) Import or export any quantity of a controlled substance listed 
in class I, Group I or Group II, in appendix A to this subpart from or 
to any foreign state not Party to the 1987 Montreal Protocol unless that 
foreign state is complying with the 1987 Montreal Protocol (For 
ratification status, see: http://ozone.unep.org/new_site/en/
treaty_ratification_status.php);
    (2) Import or export any quantity of a controlled substance listed 
in class I, Group III, Group IV, or Group V, in appendix A to this 
subpart, from or to any foreign state not Party to the London Amendment, 
unless that foreign state is complying with the London Amendment (For 
ratification status, see: http://ozone.unep.org/new_site/en/
treaty_ratification_status.php); or
    (3) Import a controlled product, as noted in appendix D, annex 1 to 
this subpart, from any foreign state not Party to the 1987 Montreal 
Protocol, unless that foreign state is complying with the 1987 Montreal 
Protocol (For ratification status, see: http://ozone.unep.org/new_site/
en/treaty_ratification_status.php).
    (4) Import or export any quantity of a controlled substance listed 
in class I, Group VII, in appendix A to this subpart, from or to any 
foreign state not Party to the Copenhagen Amendment, unless that foreign 
state is complying with the Copenhagen Amendment (For ratification 
status, see: http://ozone.unep.org/new_site/en/
treaty_ratification_status.php).
    (5) Import or export any quantity of a controlled substance listed 
in class I, Group VI, in appendix A to this subpart, from or to any 
foreign state not Party to the Copenhagen Amendment unless that foreign 
state is complying with the Copenhagen Amendment (For ratification 
status, see: http://ozone.unep.org/new_site/en/
treaty_ratification_status.php).
    (6) Import or export any quantity of a controlled substance listed 
in class I, Group VIII, in appendix A to this subpart, from or to any 
foreign state not Party to the Beijing Amendment, unless that foreign 
state is complying with the Beijing Amendment (For ratification status, 
see: http://ozone.unep.org/new_site/en/treaty_ratification_status.php).
    (m) Effective October 5, 1998, no person may export a controlled 
product to a Party listed in appendix J of this subpart in any control 
period after the control period in which EPA publishes a notice in the 
Federal Register listing that Party in appendix J of this subpart. EPA 
will publish a notice in the Federal Register that lists a Party in 
appendix J if the Party formally presents to the U.S. a government 
document through its embassy in the United States stating that it has 
established a ban on the import of controlled products and a ban on the 
manufacture of those same controlled products.

[[Page 18]]

    (n) No person may use class I controlled substances produced or 
imported under the essential use exemption for any purpose other than 
those set forth in this paragraph. Effective January 1, 1996, essential-
use allowances are apportioned to a person under Sec.  82.8(a) and (b) 
for the exempted production or importation of specified class I 
controlled substances solely for the purposes listed in paragraphs 
(n)(1)(i) through (iii) of this section.
    (1) Essential-uses for the production or importation of controlled 
substances as agreed to by the Parties to the Protocol and subject to 
the periodic revision of the Parties are:
    (i) Metered dose inhalers (MDIs) for the treatment of asthma and 
chronic obstructive pulmonary disease that were approved by the Food and 
Drug Administration before December 31, 2000.
    (ii) Space Shuttle--solvents.
    (iii) Essential laboratory and analytical uses (defined in appendix 
G of this subpart).
    (2) Any person acquiring unused class I controlled substances 
produced or imported under the authority of essential-use allowances or 
the essential-use exemption granted in Sec.  82.8 to this subpart for 
use in anything other than an essential-use (i.e., for uses other than 
those specifically listed in paragraph (n)(1) of this section) is in 
violation of this subpart. Each kilogram of unused class I controlled 
substance produced or imported under the authority of essential-use 
allowances or the essential-use exemption and used for a non-essential 
use is a separate violation of this subpart. Any person selling unused 
class I controlled substances produced or imported under authority of 
essential-use allowances or the essential-use exemption for uses other 
than an essential-use is in violation of this subpart. Each kilogram of 
unused class I controlled substances produced or imported under 
authority of essential-use allowances or the essential-use exemption and 
sold for a use other than an essential-use is a separate violation of 
this subpart. It is a violation of this subpart to obtain unused class I 
controlled substances under the exemption for laboratory and analytical 
uses in excess of actual need and to recycle that material for sale into 
other markets.
    (o) [Reserved]
    (p) Critical Use Exemption: With respect to class I, Group VI 
substances (methyl bromide):
    (1) No person shall sell critical use methyl bromide without first 
receiving a certification from the purchaser that the quantity purchased 
will be sold or used solely for an approved critical use. Every kilogram 
of critical use methyl bromide sold without first obtaining such 
certification constitutes a separate violation of this subpart.
    (2) For approved critical users, each action associated with each 
200 kilograms of critical use methyl bromide for the following 
subparagraphs constitutes a separate violation of this subpart.
    (i) No person shall take possession of quantities of critical use 
methyl bromide or acquire fumigation services using quantities of 
critical use methyl bromide without first completing the appropriate 
certification in accordance with the requirements in Sec.  82.13.
    (ii) No person who purchases critical use methyl bromide may use 
such quantities for a use other than the specified critical use listed 
in column A and the specified location of use in column B of appendix L 
to this subpart.
    (iii) No person who purchases critical use methyl bromide produced 
or imported with expended critical use allowances for pre-plant uses, 
may use such quantities for other than the pre-plant uses as specified 
in column A and column B of appendix L to this subpart.
    (iv) No person who purchases critical use methyl bromide produced or 
imported with expended critical use allowances for post-harvest uses, 
may use such quantities for other than the post-harvest uses as 
specified in column A and column B of appendix L to this subpart.
    (v) No person who uses critical use methyl bromide on a specific 
field or structure may concurrently or subsequently use non-critical use 
methyl bromide on the same field or structure for the same use (as 
defined in column A and column B of appendix L) in the same control 
period, excepting methyl

[[Page 19]]

bromide used under the quarantine and pre-shipment exemption.
    (vi) No person who purchases critical use methyl bromide during the 
control period shall use that methyl bromide on a field or structure for 
which that person has used non-critical use methyl bromide for the same 
use (as defined in columns A and B of appendix L) in the same control 
period, excepting methyl bromide used under the quarantine and pre-
shipment exemption, unless, subsequent to that person's use of the non-
critical use methyl bromide, that person becomes subject to a 
prohibition on the use of methyl bromide alternatives due to the 
reaching of a local township limit described in appendix L of this part, 
or becomes an approved critical user as a result of rulemaking.
    (q) Emergency use exemption. [Reserved]
    (r) No person may sell or use methyl bromide produced or imported 
under the quarantine and preshipment exemption for any purpose other 
than for quarantine applications or preshipment applications as defined 
in Sec.  82.3. Each kilogram of methyl bromide produced or imported 
under the authority of the quarantine and preshipment exemption and sold 
or used for a use other than quarantine or preshipment is a separate 
violation of this subpart.
    (s) No person may sell or distribute, or offer for sale or 
distribution, any class I substance that they know, or have reason to 
know, was imported in violation of this section, except for such actions 
needed to re-export the controlled substance. Every kilogram of a 
controlled substance imported in contravention of this paragraph (s) 
that is sold or distributed, or offered for sale or distribution, 
constitutes a separate violation of this subpart.

[60 FR 24986, May 10, 1995]

    Editorial Note: For Federal Register citations affecting Sec.  82.4, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec.  82.5  Apportionment of baseline production allowances for class I 
controlled substances.

    Persons who produced controlled substances in Group I or Group II in 
1986 are apportioned baseline production allowances as set forth in 
paragraphs (a) and (b) of this section. Persons who produced controlled 
substances in Group III, IV, or V in 1989 are apportioned baseline 
production allowances as set forth in paragraphs (c), (d), and (e) of 
this section. Persons who produced controlled substances in Group VI and 
VII in 1991 are apportioned baseline allowances as set forth in 
paragraphs (f) and (g) of this section.

 
                                                            Allowances
      Controlled substance                Person               (kg)
 
(a) For Group I controlled substances:
 
CFC-11.........................  Allied-Signal, Inc.....      23,082,358
                                 E.I. DuPont de Nemours       33,830,000
                                  & Co.
                                 Elf Atochem, N.A.......      21,821,500
CFC-12.........................  Laroche Chemicals......      12,856,364
                                 Allied-Signal, Inc.....      35,699,776
                                 E.I. DuPont de Nemours       64,849,000
                                  & Co.
                                 Elf Atochem, N.A.......      31,089,807
CFC-113........................  Laroche Chemicals......      15,330,909
                                 Allied-Signal, Inc.....      21,788,896
CFC-114........................  E.I. DuPont de Nemours       58,553,000
                                  & Co.
                                 Allied-Signal, Inc.....       1,488,569
CFC-115........................  E.I. DuPont de Nemours        4,194,000
                                  & Co.
                                 E.I. DuPont de Nemours        4,176,000
                                  & Co.
 
(b) For Group II controlled substances:
 
Halon-1211.....................  Great Lakes Chemical            826,487
                                  Corp.
                                 ICI Americas, Inc......       2,135,484
Halon-1301.....................  E.I. DuPont de Nemours        3,220,000
                                  & Co.
                                 Great Lakes Chemical          1,766,850
                                  Corp.
Halon-2402
 
(c) For Group III controlled substances:
 

[[Page 20]]

 
CFC-13.........................  Allied-Signal, Inc.....         127,125
                                 E.I. DuPont de Nemours          187,831
                                  & Co.
                                 Elf Atochem, N.A.......           3,992
                                 Great Lakes Chemical             56,381
                                  Corp.
                                 Laroche Chemicals......          29,025
CFC-111
CFC-112
CFC-211                          E.I. DuPont de Nemours               11
                                  & Co.
CFC-212........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-213........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-214........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-215........................  E.I. DuPont de Nemours              511
                                  & Co.
                                 Halocarbon Products               1,270
                                  Corp.
CFC-216........................  E.I. DuPont de Nemours          170,574
                                  & Co.
CFC-217........................  E.I. DuPont de Nemours              511
                                  & Co.
 
(d) For Group IV controlled substances:
 
CCl4...........................  Akzo Chemicals, Inc....       7,873,615
                                 Degussa Corporation....          26,546
                                 Dow Chemical Company,        18,987,747
                                  USA.
                                 E.I. DuPont de Nemours            9,099
                                  & Co.
                                 Hanlin Chemicals-WV,            219,616
                                  Inc.
                                 ICI Americas, Inc......         853,714
                                 Occidental Chemical           1,059,358
                                  Corp.
                                 Vulcan Chemicals.......      21,931,987
 
(e) For Group V controlled substances:
 
Methyl Chloroform..............  Dow Chemical Company,       168,030,117
                                  USA.
                                 E.I. DuPont de Nemours                2
                                  & Co.
                                 PPG Industries, Inc....      57,450,719
                                 Vulcan Chemicals.......      89,689,064
 
(f) For Group VI controlled substances:
 
Methyl Bromide.................  Great Lakes Chemical         19,945,788
                                  Corporation.
                                 Ethyl Corporation......       8,233,894
 
(g) For Group VII controlled substances:
 
HBFC 22B1-1....................  Great Lakes Chemical             46,211
                                  Corporation.
 


[60 FR 24986, May 10, 1995, as amended at 68 FR 2848, Jan. 21, 2003]



Sec.  82.6  Apportionment of baseline consumption allowances for class I 
controlled substances.

    Persons who produced, imported, or produced and imported controlled 
substances in Group I or Group II in 1986 are apportioned chemical-
specific baseline consumption allowances as set forth in paragraphs (a) 
and (b) of this section. Persons who produced, imported, or produced and 
imported controlled substances in Group III, Group IV, or Group V in 
1989 are apportioned chemical-specific baseline consumption allowances 
as set forth in paragraphs (c), (d) and (e) of this section. Persons who 
produced, imported, or produced and imported controlled substances in 
Group VI or VII in 1991 are apportioned chemical specific baseline 
consumption allowances as set forth in paragraphs (f) and (g) of this 
section.

 
                                                            Allowances
      Controlled substance                Person               (kg)
 
                 (a) For Group I controlled substances:
 
CFC-11.........................  Allied-Signal, Inc.....      22,683,833
                                 E.I. DuPont de Nemours       32,054,283
                                  & Co.
                                 Elf Atochem, N.A.......      21,740,194
                                 Hoechst Celanese                185,396
                                  Corporation.
                                 ICI Americas, Inc......       1,673,436

[[Page 21]]

 
                                 Kali-Chemie Corporation          82,500
                                 Laroche Chemicals......      12,695,726
                                 National Refrigerants,          693,707
                                  Inc.
                                 Refricentro, Inc.......         160,697
                                 Sumitomo Corporation of           5,800
                                  America.
CFC-12.........................  Allied-Signal, Inc.....      35,236,397
                                 E.I. DuPont de Nemours       61,098,726
                                  & Co.
                                 Elf Atochem, N.A.......      32,403,869
                                 Hoechst Celanese                138,865
                                  Corporation.
                                 ICI Americas, Inc......       1,264,980
                                 Kali-Chemie Corporation         355,440
                                 Laroche Chemicals......      15,281,553
                                 National Refrigerants,        2,375,384
                                  Inc.
                                 Refricentro, Inc.......         242,526
CFC-113........................  Allied-Signal, Inc.....      18,241,928
                                 E.I. DuPont de Nemours       49,602,858
                                  & Co.
                                 Elf Atochem, N.A.......         244,908
                                 Holchem................         265,199
                                 ICI Americas, Inc......       2,399,700
                                 Refricentro, Inc.......          37,385
                                 Sumitomo Corp. of               280,163
                                  America.
CFC-114........................  Allied-Signal, Inc.....       1,429,582
                                 E.I. DuPont de Nemours        3,686,103
                                  & Co.
                                 Elf Atochem, N.A.......          22,880
                                 ICI Americas, Inc......          32,930
CFC-115........................  E.I. DuPont de Nemours        2,764,109
                                  & Co.
                                 Elf Atochem, N.A.......         633,007
                                 Hoechst Celanese                  8,893
                                  Corporation.
                                 ICI Americas, Inc......       2,366,351
                                 Laroche Chemicals......         135,520
                                 Refricentro, Inc.......          27,337
 
                 (b) For Group II controlled substances:
 
Halon-1211.....................  Elf Atochem, N.A.......         411,292
                                 Great Lakes Chemical            772,775
                                  Corp.
                                 ICI Americas, Inc......       2,116,641
                                 Kali-Chemie Corporation         330,000
Halon-1301.....................  E.I. DuPont de Nemours        2,772,917
                                  & Co.
                                 Elf Atochem, N.A.......          89,255
                                 Great Lakes Chemical          1,744,132
                                  Corp.
                                 Kali-Chemie Corporation          54,380
Halon-2402.....................  Ausimont...............          34,400
                                 Great Lakes Chemical             15,900
                                  Corp.
 
                (c) For Group III controlled substances:
 
CFC-13.........................  Allied-Signal, Inc.....         127,124
                                 E.I. DuPont de Nemours          158,508
                                  & Co.
                                 Elf Atochem, N.A.......           3,992
                                 Great Lakes Chemical             56,239
                                  Corp.
                                 ICI Americas, Inc......           5,855
                                 Laroche Chemicals......          29,025
                                 National Refrigerants,           16,665
                                  Inc.
CFC-111
CFC-112........................  Sumitomo Corp of                  5,912
                                  America.
                                 TG (USA) Corporation...           9,253
CFC-211........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-212........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-213........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-214........................  E.I. DuPont de Nemours               11
                                  & Co.
CFC-215........................  E.I. DuPont de Nemours              511
                                  & Co.
                                 Halocarbon Products               1,270
                                  Corp.
CFC-216........................  E.I. DuPont de Nemours          170,574
                                  & Co.
CFC-217........................  E.I. DuPont de Nemours              511
                                  & Co.
 
                 (d) For Group IV controlled substances:
 
CCl4...........................  Crescent Chemical Co...              56

[[Page 22]]

 
                                 Degussa Corporation....          12,466
                                 Dow Chemical Company,         8,170,561
                                  USA.
                                 E.I. DuPont de Nemours           26,537
                                  & Co.
                                 Elf Atochem, N.A.......              41
                                 Hanlin Chemicals-WV,            103,133
                                  Inc.
                                 Hoechst Celanese                      3
                                  Corporation.
                                 ICC Chemical Corp......       1,173,723
                                 ICI Americas, Inc......         855,466
                                 Occidental Chemical             497,478
                                  Corp.
                                 Sumitomo Corporation of               9
                                  America.
 
                 (e) For Group V controlled substances:
 
Methyl Chloroform..............  3V Chemical Corp.......           3,528
                                 Actex, Inc.............          50,171
                                 Atochem North America..          74,355
                                 Dow Chemical Company,       125,200,200
                                  USA.
                                 E.I. DuPont de Nemours                2
                                  & Co.
                                 IBM....................           2,026
                                 ICI Americas, Inc......      14,179,850
                                 Laidlaw................         420,207
                                 PPG Industries.........      45,254,115
                                 Sumitomo...............           1,954
                                 TG (USA) Corporation...           7,073
                                 Unitor Ships Service,            14,746
                                  Inc.
                                 Vulcan Chemicals.......      70,765,072
 
                 (f) For Group VI controlled substances:
 
Methyl Bromide.................  Great Lakes Chemical         15,514,746
                                  Corporation.
                                 Ethyl Corporation......       6,379,906
                                 AmeriBrom, Inc.........       3,524,393
                                 TriCal, Inc............         109,225
 
                (g) For Group VII controlled substances:
 
HBFC 22B1-1....................  Great Lakes Chemical             40,110
                                  Corporation.
 


[60 FR 24986, May 10, 1995, as amended at 68 FR 2848, Jan. 21, 2003]



Sec.  82.7  Grant and phase reduction of baseline production 
and consumption allowances for class I controlled substances.

    For each control period specified in the following table, each 
person is granted the specified percentage of the baseline production 
and consumption allowances apportioned to him under Sec. Sec.  82.5 and 
82.6 of this subpart.

--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                              Class I
                                                           substances in      Class I         Class I         Class I         Class I         Class I
                     Control period                        groups I and    substances in   substances in   substances in   substances in   substances in
                                                             III, (In      group II, (In   group IV (In     group V (In    group VI (In    group VII (In
                                                             percent)        percent)        percent)        percent)        percent)        percent)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1994....................................................              25               0              50              50             100             100
1995....................................................              25               0              15              30             100             100
1996....................................................               0               0               0               0             100               0
1997....................................................               0               0               0               0             100               0
1998....................................................               0               0               0               0             100               0
1999....................................................               0               0               0               0              75               0
2000....................................................               0               0               0               0              75               0
2001....................................................  ..............  ..............  ..............  ..............              50
2002....................................................  ..............  ..............  ..............  ..............              50
2003....................................................  ..............  ..............  ..............  ..............              30
2004....................................................  ..............  ..............  ..............  ..............              30
2005....................................................  ..............  ..............  ..............  ..............               0
--------------------------------------------------------------------------------------------------------------------------------------------------------


[65 FR 70803, Nov. 28, 2000]

[[Page 23]]



Sec.  82.8  Grant of essential use allowances and critical use allowances.

    (a) Effective January 1, 1996, persons in the following list are 
allocated essential-use allowances or exemptions for quantities of a 
specific class I controlled substance for a specific essential-use (the 
Administrator reserves the right to revise the allocations based on 
future decisions of the Parties).

        Table I--Essential Use Allowances for Calendar Year 2010
------------------------------------------------------------------------
 (i) Metered Dose Inhalers (for oral inhalation) for Treatment of Asthma
                and Chronic Obstructive Pulmonary Disease
-------------------------------------------------------------------------
                                                          2010 Quantity
             Company                     Chemical         (metric tons)
------------------------------------------------------------------------
Armstrong........................  CFC-11 or CFC-12 or              30.0
                                    CFC-114..
------------------------------------------------------------------------

    (b) A global exemption for class I controlled substances for 
essential laboratory and analytical uses shall be in effect through 
December 31, 2021, subject to the restrictions in appendix G of this 
subpart, and subject to the recordkeeping and reporting requirements at 
Sec.  82.13(u) through (x). There is no amount specified for this 
exemption.
    (c) Effective January 1, 2005, critical use allowances are 
apportioned as set forth in paragraph (c)(1) of this section for the 
exempted production and import of class I, Group VI controlled 
substances specifically for those approved critical uses listed in 
appendix L to this subpart for the applicable control period. Every 
kilogram of production and import in excess of the total number and type 
of unexpended critical use allowances held for a particular type of use 
constitutes a separate violation of this subpart.
    (1) Allocated critical use allowances granted for specified control 
period.

------------------------------------------------------------------------
                                           2016 Critical   2016 Critical
                                          use allowances  use allowances
                 Company                   for pre-plant     for post-
                                              uses *      harvest uses *
                                            (kilograms)     (kilograms)
------------------------------------------------------------------------
Great Lakes Chemical Corp. A Chemtura             84,222           1,179
 Company................................
Albemarle Corp..........................          34,634             485
ICL-IP America..........................          19,140             268
TriCal, Inc.............................             596               8
Total...................................         138,592           1,939
------------------------------------------------------------------------
* For production or import of Class I, Group VI controlled substance
  exclusively for the pre-plant or post-harvest uses specified in
  appendix L to this subpart.

    (2) [Reserved]

[69 FR 77003, Dec. 23, 2004]

    Editorial Note: For Federal Register citations affecting Sec.  82.8, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and at www.govinfo.gov.



Sec.  82.9  Availability of production allowances in addition to baseline 
production allowances for class I controlled substances.

    (a)--(b) [Reserved]
    (c) A company may increase or decrease its production allowances, 
including its Article 5 allowances, by trading with another Party to the 
Protocol according to the provision under this paragraph (c). A company 
may increase or decrease its essential-use allowances for CFCs for use 
in essential MDIs according to the provisions under this paragraph (c). 
A nation listed in appendix C to this subpart (Parties to the Montreal 
Protocol) must agree either to transfer to the person for the current 
control period some amount of production or import that the nation is 
permitted under the Montreal Protocol or to receive from the person for 
the current control period some amount of production or import that the 
person is permitted under this subpart. If the controlled substance is 
produced under the authority of production allowances and is to be sold 
in the United States

[[Page 24]]

or to another Party (not the Party from whom the allowances are 
received), the U.S. company must expend its consumption allowances 
allocated under Sec. Sec.  82.6 and 82.7 in order to produce with the 
additional production allowances.
    (1) For trades from a Party, the person must obtain from the 
principal diplomatic representative in that nation's embassy in the 
United States a signed document stating that the appropriate authority 
within that nation has established or revised production limits or 
essential-use allowance limits for the nation to equal the lesser of the 
maximum production that the nation is allowed under the Protocol minus 
the amount transferred, the maximum production or essential-use 
allowances that are allowed under the nation's applicable domestic law 
minus the amount transferred, or the average of the nation's actual 
national production level for the three years prior to the transfer 
minus the production transferred. The person must submit to the 
Administrator a transfer request that includes a true copy of this 
document and that sets forth the following:
    (i) The identity and address of the person;
    (ii) The identity of the Party;
    (iii) The names and telephone numbers of contact persons for the 
person and for the Party;
    (iv) The chemical type, type of allowance being transferred, and the 
level of allowances being transferred;
    (v) The control period(s) to which the transfer applies; and
    (vi) For increased production intended for export to the Party from 
whom the allowances would be received, a signed statement of intent to 
export to the Party.
    (vii) In the case of transferring essential-use allowances, the 
transferor must include a signed document from the transferee 
identifying the CFC MDI products that will be produced using the 
essential-use allowances.
    (2) For trades to a Party, a person must submit a transfer request 
that sets forth the following:
    (i) The identity and address of the person;
    (ii) The identity of the Party;
    (iii) The names and telephone numbers of contact persons for the 
person and for the Party;
    (iv) The chemical type, type of allowance being transferred, and the 
level of allowances being transferred; and
    (v) The control period(s) to which the transfer applies.
    (3) After receiving a transfer request that meets the requirements 
of paragraph (c)(2) of this section, the Administrator may, at his 
discretion, consider the following factors in deciding whether to 
approve such a transfer:
    (i) Possible creation of economic hardship;
    (ii) Possible effects on trade;
    (iii) Potential environmental implications; and
    (iv) The total amount of unexpended production or essential-use 
allowances held by a U.S. entity.
    (v) In the case of transfer of essential-use allowances the 
Administrator may consider whether the CFCs will be used for production 
of essential MDIs.
    (4) The Administrator will issue the person a notice either granting 
or deducting production allowances, Article 5 allowances, or essential-
use allowances, and specifying the control period to which the transfer 
applies, provided that the request meets the requirement of paragraph 
(c)(1) of this sections for trades from Parties and paragraph (c)(2) of 
this section for trades to Parties, unless the Administrator has decided 
to disapprove the trade under paragraph (c)(3) of this section. For a 
trade from a Party, the Administrator will issue a notice that revises 
the allowances held by the person to equal the unexpended production, 
Article 5, or essential-use allowances held by the person under this 
subpart plus the level of allowable production transferred from the 
Party. For a trade to a Party, the Administrator will issue a notice 
that revises the production limit for the person to equal the lesser of:
    (i) The unexpended production allowances, essential-use allowances, 
or Article 5 allowances held by the person under this subpart minus the 
amount transferred; or
    (ii) The unexpended production allowances, essential-use allowances, 
or Article 5 allowances held by the person

[[Page 25]]

under this subpart minus the amount by which the United States average 
annual production of the controlled substance being traded for the three 
years prior to the transfer is less than the total production allowable 
for that substance under this subpart minus the amount transferred. The 
change in allowances will be effective on the date that the notice is 
issued.
    (5) If after one person obtains approval for a trade of allowable 
production of a controlled substance to a Party, one or more other 
persons obtain approval for trades involving the same controlled 
substance and the same control period, the Administrator will issue 
notices revising the production limits for each of the other persons 
trading that controlled substance in that control period to equal the 
lesser of:
    (i) The unexpended production allowances or Article 5 allowances 
held by the person under this subpart minus the amount transferred; or
    (ii) The unexpended production allowances or Article 5 allowances 
held by the person under this subpart minus the amount by which the 
United States average annual production of the controlled substance 
being traded for the three years prior to the transfer is less than the 
total allowable production for that substance under this subpart 
multiplied by the amount transferred divided by the total amount 
transferred by all the other persons trading the same controlled 
substance in the same control period minus the amount transferred by 
that person.
    (iii) The Administrator will also issue a notice revising the 
production limit for each person who previously obtained approval of a 
trade of that substance in that control period to equal the unexpended 
production allowances or unexpended Article 5 allowances held by the 
person under this subpart plus the amount by which the United States 
average annual production of the controlled substance being traded for 
the three years prior to the transfer is less than the total allowable 
production under this subpart multiplied by the amount transferred by 
that person divided by the amount transferred by all of the persons who 
have traded that controlled substance in that control period. The change 
in production allowances or Article 5 allowances will be effective on 
the date that the notice is issued.
    (d) Effective January 1, 1996, there will be no trade in production 
or consumption allowances with other Parties to the Protocol for class I 
controlled substances, except for class I, Group VI, methyl bromide.
    (e)--(f) [Reserved]
    (g) International transfer of essential-use CFCs. (1) For trades of 
essential-use CFCs where the transferee or the transferor is a person in 
another nation (Party), the persons involved in the transfer must submit 
the information requested in Sec.  82.12(d)(2) and (d)(3), along with a 
signed document from the principal diplomatic representative in the 
Party's embassy in the United States stating that the appropriate 
authority within that nation has approved the transfer of the essential-
use CFCs.
    (2) If the transfer claim is complete, and EPA does not object to 
the transfer, then EPA will issue letters to the transferor and the 
transferee indicating that the transfer may proceed. EPA reserves the 
right to disallow a transfer if the transfer request is incomplete, or 
if it has reason to believe that the transferee plans to produce MDIs 
that are not essential MDIs. If EPA objects to the transfer, EPA will 
issue letters to the transferor and transferee stating the basis for 
disallowing the transfer. The burden of proof is placed on the 
transferee to retain sufficient records to prove that the transferred 
essential-use CFCs are used only for production of essential MDIs. If 
EPA ultimately finds that the transferee did not use the essential-use 
CFCs for production of essential MDIs then the transferee is in 
violation of this subpart.

[60 FR 24986, May 10, 1995, as amended at 63 FR 41643, Aug. 4, 1998; 63 
FR 53290, Oct. 5, 1998; 65 FR 70804, Nov. 28, 2000; 67 FR 6360, Feb. 11, 
2002; 67 FR 21134, Apr. 29, 2002; 70 FR 77047, Dec. 29, 2005; 85 FR 
15292, Mar. 17, 2020]

[[Page 26]]



Sec.  82.10  [Reserved]



Sec.  82.11  Exports of class I controlled substances to Article 5 Parties.

    (a) If apportioned Article 5 allowances under Sec.  82.9(a) or Sec.  
82.11(a)(2), a person may produce Class I controlled substances, in 
accordance with the prohibitions in Sec.  82.4 and the reduction 
schedule in Sec.  82.11(a)(3), to be exported (not including exports 
resulting in transformation or destruction, or exports of used 
controlled substances) to foreign states listed in appendix E to this 
subpart (Article 5 countries).
    (1) A person must submit a notice to the Administrator of exports to 
Article 5 countries (except exports resulting in transformation or 
destruction, or used controlled substances) at the end of the quarter 
that includes the following:
    (i) The identities and addresses of the exporter and the Article 5 
country recipient of the exports;
    (ii) The exporter's Employee Identification Number;
    (iii) The names and telephone numbers of contact persons for the 
exporter and for the recipient;
    (iv) The quantity and the type of controlled substances exported, 
its source and date purchased;
    (v) The date on which, and the port from which, the controlled 
substances were exported from the United States or its territories;
    (vi) The Article 5 country to which the controlled substances were 
exported;
    (vii) A copy of the bill of lading and invoice indicating the net 
quantity shipped and documenting the sale of the controlled substances 
to the Article 5 purchaser;
    (viii) The commodity code of the controlled substance exported; and
    (ix) A copy of the invoice or sales agreement covering the sale of 
the controlled substances to the recipient Article 5 country that 
contains provisions forbidding the reexport of the controlled substance 
in bulk form and subjecting the recipient or any transferee of the 
recipient to liquidated damages equal to the resale price of the 
controlled substances if they are reexported in bulk form.
    (2) Persons who reported exports of Class I, Group I controlled 
substances to Article 5 countries in 2000-2003 are apportioned baseline 
Article 5 allowances as set forth in Sec.  82.11(a)(2)(i). Persons who 
reported exports of Class I, Group VI controlled substances to Article 5 
countries in 1995-1998 are apportioned baseline Article 5 allowances as 
set forth in Sec.  82.11(a)(2)(ii)).
    (i) For Group I Controlled Substances

------------------------------------------------------------------------
                                                              Allowances
        Controlled Substance                 Person              (kg)
------------------------------------------------------------------------
CFC-11.............................  Honeywell.............        7,150
                                     Sigma Aldrich.........            1
CFC-113............................  Fisher Scientific.....            5
                                     Honeywell.............      313,686
                                     Sigma Aldrich.........           48
CFC-114............................  Honeywell.............       24,798
                                     Sigma Aldrich.........            1
------------------------------------------------------------------------

    (ii) For Group VI Controlled Substances

------------------------------------------------------------------------
                                                              Allowances
        Controlled Substance                 Person              (kg)
------------------------------------------------------------------------
Methyl Bromide.....................  Albemarle.............    1,152,714
                                     Ameribrom.............      176,903
                                     Great Lakes Chemical      3,825,846
                                      Corporation.
------------------------------------------------------------------------

    (3) Phased Reduction Schedule for Article 5 Allowances allocated in 
Sec.  82.11. For each control period specified in the following table, 
each person is granted the specified percentage of the baseline Article 
5 allowances apportioned under Sec.  82.11.

------------------------------------------------------------------------
                                                  Class I      Class I
                                                 substances   substances
                Control Period                   in group I  in group VI
                                                    (In          (In
                                                  percent)     percent)
------------------------------------------------------------------------
2006..........................................           50           80
2007..........................................           15           80
2008..........................................           15           80
2009..........................................           15           80
2010..........................................            0           80
2011..........................................            0           80
2012..........................................            0           80
2013..........................................            0           80
2014..........................................            0           80
2015..........................................            0            0
------------------------------------------------------------------------

    (2) [Reserved]
    (b) [Reserved]

[60 FR 24986, May 10, 1995, as amended at 70 FR 77047, Dec. 29, 2005]



Sec.  82.12  Transfers of allowances for class I controlled substances.

    (a) Inter-company transfers. (1) After January 1, 2002, any 
essential-use allowance holder (including those persons that hold 
essential-use allowances

[[Page 27]]

issued by a Party other than the United States) (``transferor'') may 
transfer essential-use allowances for CFCs to a metered dose inhaler 
company solely for the manufacture of essential MDIs. After January 1, 
2005, any critical use allowance holder (``transferor'') may transfer 
critical use allowances to any other person (``transferee'').
    (i) The transferor must submit to the Administrator a transfer claim 
setting forth the following:
    (A) The identities and addresses of the transferor and the 
transferee;
    (B) The name and telephone numbers of contact persons for the 
transferor and the transferee;
    (C) The type of allowances being transferred, including the names of 
the controlled substances for which allowances are to be transferred;
    (D) The group of controlled substances to which the allowances being 
transferred pertains;
    (E) The amount of allowances being transferred;
    (F) The control period(s) for which the allowances are being 
transferred;
    (G) The amount of unexpended allowances of the type and for the 
control period being transferred that the transferor holds under 
authority of this subpart as of the date the claim is submitted to EPA; 
and
    (H) The one percent offset applied to the unweighted amount traded 
will be deducted from the transferor's production or consumption 
allowance balance (except for trades from transformers and destroyers to 
producers or importers for the purpose of allowance reimbursement). In 
the case of transferring essential use allowances, the amount of one 
tenth of one percent of the amount traded will be deducted from the 
transferor's allowance balance. In the case of transferring critical use 
allowances, the amount of one tenth of one percent of the amount traded 
will be deducted from the transferor's critical use allowance balance.
    (I) The transferor must include a signed document from the 
transferee identifying the CFC MDI products that will be produced using 
the essential-use allowances.
    (ii) The Administrator will determine whether the records maintained 
by EPA, taking into account any previous transfers and any production, 
allowable imports and exports of controlled substances reported by the 
transferor, indicate that the transferor possesses, as of the date the 
transfer claim is processed, unexpended allowances sufficient to cover 
the transfer claim (i.e., the amount to be transferred plus, in the case 
of transferors of essential use allowances and critical use allowances, 
one tenth of one percent of the transferred amount). Within three 
working days of receiving a complete transfer claim, the Administrator 
will take action to notify the transferor and transferee as follows:
    (A) If EPA's records show that the transferor has sufficient 
unexpended allowances to cover the transfer claim, the Administrator 
will issue a notice indicating that EPA does not object to the transfer 
and will reduce the transferor's balance of unexpended allowances by the 
amount to be transferred plus, in the case of transfers of production or 
consumption allowances, one percent of that amount, or in the case of 
transfers of essential use allowances, one tenth of one percent of that 
amount. When EPA issues a no objection notice, the transferor and the 
transferee may proceed with the transfer. However, if EPA ultimately 
finds that the transferor did not have sufficient unexpended allowances 
to cover the claim, the transferor and transferee will be held liable 
for any violations of the regulations of this subpart that occur as a 
result of, or in conjunction with, the improper transfer.
    (B) If EPA's records show that the transferor has insufficient 
unexpended allowances to cover the transfer claim, or that the 
transferor has failed to respond to one or more Agency requests to 
supply information needed to make a determination, the Administrator 
will issue a notice disallowing the transfer. Within 10 working days 
after receipt of notification, either party may file a notice of appeal, 
with supporting reasons, with the Administrator. The Administrator may 
affirm or vacate the disallowance. If no appeal is taken by the tenth 
working day after notification, the disallowance shall be final on that 
day.

[[Page 28]]

    (iii) In the event that the Administrator does not respond to a 
transfer claim within the three working days specified in paragraph 
(a)(1)(ii) of this section the transferor and transferee may proceed 
with the transfer. EPA will reduce the transferor's balance of 
unexpended allowances by the amount to be transferred plus, in the case 
of transfers of production or consumption allowances, one percent of 
that amount, and in the case of essential use allowances and critical 
use allowances, one tenth of one percent of that amount. However if EPA 
ultimately finds that the transferor did not have sufficient unexpended 
allowances to cover the claim, the transferor and transferee will be 
held liable for any violations of the regulations of this subpart that 
occur as a result of, or in conjunction with, the improper transfer.
    (2) [Reserved]
    (b)--(c) [Reserved]
    (d) Transfers of essential-use CFCs. (1) Effective January 1, 2002, 
any metered dose inhaler company (transferor) may transfer essential-use 
CFCs to another metered dose inhaler company (transferee) provided that 
the Administrator approves the transfer.
    (2) The transferee must submit a transfer claim to the Administrator 
for approval before the transfer can take place. The transfer claim must 
set forth the following:
    (i) The identities and addresses of the transferor and the 
transferee; and
    (ii) The name and telephone numbers of contact persons for the 
transferor and the transferee; and
    (iii) The amount of each controlled substance (CFC-11, CFC-12, or 
CFC-114) being transferred; and
    (iv) The specific metered dose inhaler products (i.e. the MDI drug 
product or active moiety) that the transferee plans to produce with the 
transferred CFCs; and
    (v) The country(ies) where the CFC metered dose inhalers produced 
with the transferred essential-use CFCs will be sold if other than in 
the United States; and
    (vi) Certification that the essential-use CFCs will be used in the 
production of essential MDIs. If the MDIs are to be sold in the United 
States, the certification must state that MDIs produced with the 
transferred essential-use CFCs are listed as essential at 21 CFR 2.125, 
and were approved by the Food and Drug Administration before December 
31, 2000. If the MDIs produced with the essential-use CFCs are to be 
sold outside the United States, the transferee must certify that the 
metered dose inhalers produced with the essential-use CFCs are 
considered essential by the importing country.
    (3) The transferor must submit a letter stating that it concurs with 
the terms of the transfer as requested by the transferee.
    (4) Once the transfer claim is complete, and if EPA does not object 
to the transfer, then EPA will issue letters to the transferor and the 
transferee within 10 business days indicating that the transfer may 
proceed. EPA reserves the right to disallow a transfer if the transfer 
request is incomplete, or if it has reason to believe that the 
transferee plans use the essential-use CFCs in anything other than 
essential MDIs. If EPA objects to the transfer, within EPA will issue 
letters to the transferor and transferee stating the basis for 
disallowing the transfer. The burden of proof is placed on the 
transferee to retain sufficient records to prove that the transferred 
essential-use CFCs are used only for production of essential MDIs. If 
EPA ultimately finds that the transferee did not use the essential-use 
CFCs for production of essential MDIs then the transferee is in 
violation of this subpart.

[60 FR 24986, May 10, 1995, as amended at 65 FR 70804, Nov. 28, 2000; 66 
FR 1471, Jan. 8, 2001; 67 FR 6361, Feb. 11, 2002; 69 FR 77004, Dec. 23, 
2004; 79 FR 44311, July 31, 2014; 85 FR 15292, Mar. 17, 2020]



Sec.  82.13  Recordkeeping and reporting requirements for class I 
controlled substances.

    (a) Effective dates. Unless otherwise specified, the recordkeeping 
and reporting requirements set forth in this section take effect on 
January 1, 1995. For class I, Group VIII controlled substances, the 
recordkeeping and reporting requirements set forth in this section take 
effect on August 18, 2003. For critical use methyl bromide, the 
recordkeeping and reporting requirements

[[Page 29]]

set forth in this section take effect January 1, 2005.
    (b) Reports and records required by this section may be used for 
purposes of compliance determinations. These requirements are not 
intended as a limitation on the use of other evidence admissible under 
the Federal Rules of Evidence. Failure to provide the reports, petitions 
and records required by this section, and to certify the accuracy of the 
information in the reports, petitions and records required by this 
section, will be considered a violation of this subpart. False 
statements made in reports, petitions and records will be considered 
violations of Section 113 of the Clean Air Act.
    (c) Timing of reports. Unless otherwise specified, reports required 
by this section must be submitted to the Administrator within 45 days of 
the end of the applicable reporting period. Revisions of reports that 
are required by this section must be submitted to the Administrator 
within 180 days of the end of the applicable reporting period, unless 
otherwise specified. Starting May 18, 2020, reports that are available 
for submission through the Central Data Exchange must be submitted 
electronically through that tool.
    (d) Records and copies of reports required by this section must be 
retained for three years.
    (e) In reports required by this section, quantities of controlled 
substances must be stated in terms of kilograms.
    (f) Producers. Every person (``producer'') who produces class I 
controlled substances during a control period must comply with the 
following recordkeeping and reporting requirements:
    (1) Within 120 days of May 10, 1995, or within 120 days of the date 
that a producer first produces a class I controlled substance, whichever 
is later, and within 120 days of July 18, 2003 for class I, Group VIII 
controlled substances, every producer who has not already done so must 
submit to the Administrator a report describing:
    (i) The method by which the producer in practice measures daily 
quantities of controlled substances produced;
    (ii) Conversion factors by which the daily records as currently 
maintained can be converted into kilograms of controlled substances 
produced, including any constants or assumptions used in making those 
calculations (e.g., tank specifications, ambient temperature or 
pressure, density of the controlled substance);
    (iii) Internal accounting procedures for determining plant-wide 
production;
    (iv) The quantity of any fugitive losses accounted for in the 
production figures; and
    (v) The estimated percent efficiency of the production process for 
the controlled substance. Within 60 days of any change in the 
measurement procedures or the information specified in the above report, 
the producer must submit a report specifying the revised data or 
procedures to the Administrator.
    (2) Recordkeeping requirements Every producer of a class I 
controlled substance during a control period must maintain the following 
records:
    (i) Dated records of the quantity of each controlled substance 
produced at each facility;
    (ii) Dated records of the quantity of controlled substances produced 
for use in processes that result in their transformation or for use in 
processes that result in their destruction and quantity sold for use in 
processes that result in their transformation or for use in processes 
that result in their destruction;
    (iii) Dated records of the quantity of controlled substances 
produced for an essential-use and quantity sold for use in an essential-
use process;
    (iv)--(v) [Reserved]
    (vi) Copies of invoices or receipts documenting sale of controlled 
substance for use in processes resulting in their transformation or for 
use in processes resulting in destruction;
    (vii) Dated records of the quantity of each controlled substance 
used at each facility as feedstocks or destroyed in the manufacture of a 
controlled substance or in the manufacture of any other substance, and 
any controlled substance introduced into the production process of the 
same controlled substance at each facility;
    (viii) Dated records identifying the quantity of each chemical not a 
controlled substance produced within each

[[Page 30]]

facility also producing one or more controlled substances;
    (ix) Dated records of the quantity of raw materials and feedstock 
chemicals used at each facility for the production of controlled 
substances;
    (x) Dated records of the shipments of each controlled substance 
produced at each plant;
    (xi) The quantity of controlled substances, the date received, and 
names and addresses of the source of used materials containing 
controlled substances which are recycled or reclaimed at each plant;
    (xii) Records of the date, the controlled substance, and the 
estimated quantity of any spill or release of a controlled substance 
that equals or exceeds 100 pounds;
    (xiii) Internal Revenue Service Certificates in the case of 
transformation, or the destruction verification in the case of 
destruction (as in Sec.  82.13(k)), showing that the purchaser or 
recipient of a controlled substance, in the United States or in another 
country that is a Party, certifies the intent to either transform or 
destroy the controlled substance, or sell the controlled substance for 
transformation or destruction in cases when production and consumption 
allowances were not expended;
    (xiv) Written verifications that essential-use allowances were 
conveyed to the producer for the production of specified quantities of a 
specific controlled substance that will only be used for the named 
essential-use and not resold or used in any other manufacturing process;
    (xv) Written certifications that quantities of controlled 
substances, meeting the purity criteria in appendix G of this subpart, 
were purchased by distributors of laboratory supplies or by laboratory 
customers to be used only in essential laboratory and analytical uses as 
defined by appendix G, and not to be resold or used in manufacturing;
    (xvi) [Reserved]
    (xvii) For methyl bromide, dated records of the quantity of 
controlled substances produced for quarantine and preshipment 
applications and quantity sold for quarantine and preshipment 
applications;
    (xviii) Written certifications that quantities of methyl bromide 
produced solely for quarantine and preshipment applications were 
purchased by distributors or applicators to be used only for quarantine 
applications and preshipment applications in accordance with the 
definitions in this subpart; and
    (xix) Written verifications from a U.S. purchaser that methyl 
bromide produced solely for quarantine and preshipment applications, if 
exported, will be exported solely for quarantine applications and 
preshipment applications upon receipt of a certification in accordance 
with the definitions of this subpart and requirements in paragraph (h) 
of this section.
    (xx) For methyl bromide, dated records such as invoices and order 
forms, and a log of the quantity of controlled substances produced for 
critical use, specifying quantities dedicated for pre-plant use and 
quantities dedicated for post-harvest use, and the quantity sold for 
critical use, specifying quantities dedicated for pre-plant use and 
quantities dedicated for post-harvest use;
    (xxi) Written certifications that quantities of methyl bromide 
produced for critical use were purchased by distributors, applicators, 
or approved critical users to be used or sold only for critical use in 
accordance with the definitions and prohibitions in this subpart. 
Certifications must be maintained by the producer for a minimum of three 
years; and
    (xxii) For methyl bromide, dated records such as invoices and order 
forms, and a log of the quantity of controlled substances produced 
solely for export to satisfy critical uses authorized by the Parties for 
that control period, and the quantity sold solely for export to satisfy 
critical uses authorized by the Parties for that control period.
    (3) Reporting requirements--producers. For each quarter, except as 
specified below, each producer of a class I controlled substance must 
provide the Administrator with a report containing the following 
information:
    (i) The production by company in that quarter of each controlled 
substance, specifying the quantity of any

[[Page 31]]

controlled substance used in processing, resulting in its transformation 
by the producer;
    (ii) The amount of production for use in processes resulting in 
destruction of controlled substances by the producer;
    (iii) The levels of production (expended allowances and credits) for 
each controlled substance;
    (iv) [Reserved]
    (v) The amount of controlled substance sold or transferred during 
the quarter to a person other than the producer for use in processes 
resulting in its transformation or eventual destruction;
    (vi) A list of the quantities and names of controlled substances 
exported, by the producer and or by other U.S. companies, to a Party to 
the Protocol that will be transformed or destroyed and therefore were 
not produced expending production or consumption allowances;
    (vii) For transformation in the United States or by a person of 
another Party, one copy of an IRS certification of intent to transform 
the same controlled substance for a particular transformer and a list of 
additional quantities shipped to that same transformer for the quarter;
    (viii) For destruction in the United States or by a person of 
another Party, one copy of a destruction verification (as under Sec.  
82.13(k)) for a particular destroyer, destroying the same controlled 
substance, and a list of additional quantities shipped to that same 
destroyer for the quarter;
    (ix) [Reserved]
    (x) A list of the essential-use allowance holders, distributors of 
laboratory supplies and laboratory customers from whom orders were 
placed and the quantity of specific essential-use controlled substances 
requested and produced;
    (xi) The certifications from essential-use allowance holders stating 
that the controlled substances were purchased solely for specified 
essential uses and will not be resold or used in any other manufacturing 
process;
    (xii) In the case of laboratory essential-uses, certifications from 
distributors of laboratory supplies that controlled substances were 
purchased for sale to laboratory customers who certify that the 
substances will only be used for essential laboratory and analytical 
uses as defined by appendix G of this subpart, and will not be resold or 
used in manufacturing; or, if sales are made directly to laboratories, 
certification from laboratories that the controlled substances will only 
be used for essential laboratory and analytical uses (defined at 
appendix G of this subpart) and will not be resold or used in 
manufacturing.
    (xiii) The amount of methyl bromide sold or transferred during the 
quarter to a person other than the producer solely for quarantine and 
preshipment applications;
    (xiv) A list of the quantities of methyl bromide produced by the 
producer and exported by the producer and/or by other U.S. companies, to 
a Party to the Protocol that will be used solely for quarantine and 
preshipment applications and therefore were not produced expending 
production or consumption allowances; and
    (xv) For quarantine and preshipment applications of methyl bromide 
in the United States or by a person of another Party, one copy of a 
certification that the material will be used only for quarantine and 
preshipment applications in accordance with the definitions in this 
subpart from each recipient of the material and a list of additional 
quantities shipped to that same person for the quarter.
    (xvi) For critical uses of methyl bromide, producers shall report 
annually the amount of critical use methyl bromide owned by the 
reporting entity, specifying quantities dedicated for pre-plant use and 
quantities dedicated for post-harvest use, as well as quantities held by 
the reporting entity on behalf of another entity, specifying quantities 
dedicated for pre-plant use and quantities dedicated for post-harvest 
use along with the name of the entity on whose behalf the material is 
held; and
    (xvii) A list of the quantities of methyl bromide produced by the 
producer and exported by the producer and/or by other U.S. companies in 
that control period, solely to satisfy the critical uses authorized by 
the Parties for that control period; and
    (xviii) On an annual basis, the amount of methyl bromide produced or

[[Page 32]]

imported prior to the January 1, 2005, phaseout date owned by the 
reporting entity, as well as quantities held by the reporting entity on 
behalf of another entity, specifying the name of the entity on whose 
behalf the material is held.
    (4) For any person who fails to maintain the records required by 
this paragraph, or to submit the report required by this paragraph, the 
Administrator may assume that the person has produced at full capacity 
during the period for which records were not kept, for purposes of 
determining whether the person has violated the prohibitions at Sec.  
82.4.
    (g) Importers. Importers of class I controlled substances during a 
control period must comply with record-keeping and reporting 
requirements specified in this paragraph (g).
    (1) Recordkeeping--importers. Any importer of a class I controlled 
substance (including used, recycled and reclaimed controlled substances) 
must maintain the following records:
    (i) The quantity of each controlled substance imported, either alone 
or in mixtures, including the percentage of each mixture which consists 
of a controlled substance;
    (ii) The quantity of those controlled substances imported that are 
used (including recycled or reclaimed) and, where applicable, the 
information provided with the petition as under paragraph (g)(2) of this 
section;
    (iii) The quantity of controlled substances other than transhipments 
or used, recycled or reclaimed substances imported for use in processes 
resulting in their transformation or destruction and quantity sold for 
use in processes that result in their destruction or transformation;
    (iv) The date on which the controlled substances were imported;
    (v) The port of entry through which the controlled substances 
passed;
    (vi) The country from which the imported controlled substances were 
imported;
    (vii) The commodity code for the controlled substances shipped, 
which must be one of those listed in Appendix K to this subpart;
    (viii) The importer number for the shipment;
    (ix) A copy of the bill of lading for the import;
    (x) The invoice for the import;
    (xi) The quantity of imports of used, recycled, or reclaimed class I 
controlled substances;
    (xii) The U.S. Customs entry number;
    (xiii) Dated records documenting the sale or transfer of controlled 
substances for use in processes resulting in transformation or 
destruction;
    (xiv) Copies of IRS certifications that the controlled substance 
will be transformed or destruction verifications that it will be 
destroyed (as in Sec.  82.13(k));
    (xv) Dated records of the quantity of controlled substances imported 
for an essential use; and
    (xvi) Copies of certifications that imported controlled substances 
are being purchased for essential laboratory and analytical uses 
(defined at appendix G of this subpart) or being purchased for eventual 
sale to laboratories that certify that controlled substances are for 
essential laboratory and analytical uses (defined at appendix G of this 
subpart).
    (xvii) Dated records of the quantity of methyl bromide imported for 
quarantine and preshipment applications and quantity sold for quarantine 
and preshipment applications;
    (xviii) Written certifications that quantities of methyl bromide 
imported solely for quarantine and preshipment applications were 
purchased by distributors or applicators to be used only for quarantine 
and preshipment applications in accordance with the definitions in this 
subpart; and
    (xix) Written verifications from a U.S. purchaser that methyl 
bromide imported solely for quarantine and preshipment applications, if 
exported, will be exported solely for quarantine and preshipment 
applications upon receipt of a certification in accordance with the 
definitions of this subpart and requirements in paragraph (h) of this 
section.
    (xx) For methyl bromide, dated records such as invoices and order 
forms, of the quantity of controlled substances imported for critical 
use, specifying quantities dedicated for pre-plant use and quantities 
dedicated for post-harvest use, and the quantity sold

[[Page 33]]

for critical use, specifying quantities dedicated for pre-plant use and 
quantities dedicated for post-harvest use; and
    (xxi) Written certifications that quantities of methyl bromide 
imported for critical use were purchased by distributors, applicators, 
or approved critical users to be used or sold only for critical use in 
accordance with the definitions and prohibitions in this subpart. 
Certifications must be maintained by an importer for a minimum of three 
years.
    (2) Petitioning--importers of used, recycled, or reclaimed 
controlled substances. For each individual shipment over 5 pounds of a 
used controlled substance as defined in Sec.  82.3, except for Group II 
used controlled substances shipped in aircraft halon bottles for 
hydrostatic testing and imports intended for destruction, an importer 
must submit directly to the Administrator, at least 40 working days 
before the shipment is to leave the foreign port of export, the 
following information in a petition:
    (i) Name, commodity code, and quantity in kilograms of the used 
controlled substance to be imported;
    (ii) Name and address of the importer, the importer ID number, and 
the contact person's name, email address, and phone number;
    (iii) Name, address, contact person, email address, and phone number 
of all previous source facilities from which the used controlled 
substance was recovered or the halon bank storing the controlled 
substance;
    (iv) A detailed description of the previous use of the controlled 
substance at each source facility and a best estimate of when the 
specific controlled substance was put into the equipment at each source 
facility, and, when possible, documents indicating the date the material 
was put into the equipment;
    (v) A list of the name, make and model number of the equipment from 
which the material was recovered at each source facility;
    (vi) Name, address, contact person, email address, and phone number 
of the exporter and of all persons to whom the material was transferred 
or sold after it was recovered from the source facility;
    (vii) The U.S. port of entry for the import, the expected date of 
shipment and the vessel transporting the chemical. If at the time of 
submitting a petition the importer does not know the U.S. port of entry, 
the expected date of shipment and the vessel transporting the chemical, 
and the importer receives a non-objection notice for the individual 
shipment in the petition, the importer is required to notify the 
Administrator of this information prior to the actual U.S. Customs entry 
of the individual shipment;
    (viii) A description of the intended use of the used controlled 
substance, and, when possible, the name, address, contact person, email 
address, and phone number of the ultimate purchaser in the United 
States;
    (ix) Name, address, contact person, email address, and phone number 
of the U.S. reclamation facility, where applicable;
    (x) If someone at the source facility recovered the controlled 
substance from the equipment, the name, email address, and phone number 
of that person;
    (xi) If the imported controlled substance was reclaimed in a foreign 
Party, the name, address, contact person, email address, and phone 
number of any or all foreign reclamation facility(ies) responsible for 
reclaiming the cited shipment;
    (xii) The export license, application for an export license, or 
official communication acknowledging the export from the appropriate 
government agency in the country of export and, if recovered in another 
country, the export license or official communication from the 
appropriate government agency in that country, and quantity authorized 
for export in kilograms on the export license, and an English 
translation of these documents;
    (xiii) If the imported used controlled substance is intended to be 
sold as a refrigerant in the United States, the name, address, and email 
address of the EPA-certified U.S. reclaimer who will bring the material 
to the standard required under subpart F of this part if not already 
reclaimed to those specifications; and
    (xiv) [Reserved]

[[Page 34]]

    (xv) If the used controlled substance is stored in a halon bank, in 
lieu of the information required in paragraphs (g)(2)(iv) through (vi) 
of this section, the petitioner may provide an official letter from the 
appropriate government agency in the country where the material is 
stored indicating that the halon is used and that the halon bank is 
authorized to collect used halon. If source information in paragraphs 
(g)(2)(iv) through (vi) is available, it should also be provided in 
addition to the letter.
    (3) Review of petition to import a used substance. Starting on the 
first working day following receipt by the Administrator of a petition 
to import a used class I controlled substance, the Administrator will 
initiate a review of the information submitted under paragraph (g)(2) of 
this section and take action within 40 working days to issue either an 
objection-notice or a non-objection notice for the individual shipment 
to the person who submitted the petition to import the used class I 
controlled substance.
    (i) For the following reasons, the Administrator may issue an 
objection notice to a petition:
    (A) If the Administrator determines that the information is 
insufficient, that is, if the petition lacks or appears to lack any of 
the information required under paragraph (g)(2) of this section or other 
information that may be requested during the review of the petition 
necessary to verify that the controlled substance is used;
    (B) If the Administrator determines that any portion of the petition 
contains false or misleading information, or the Administrator has 
information from other U.S. or foreign government agencies indicating 
that the petition contains false or misleading information;
    (C) If the importer wishes to import a used class I controlled 
substance from a country which is, for that particular controlled 
substance, out of compliance regarding its phaseout obligations under 
the Protocol or the transaction in the petition is contrary to other 
provisions in the Vienna Convention or the Montreal Protocol;
    (D) If the appropriate government agency in the exporting country 
has not agreed to issue an export license for the cited individual 
shipment of used controlled substance;
    (E) If allowing the import of the used class I controlled substance 
would run counter to government restrictions from either the country of 
recovery or export regarding controlled ozone-depleting substances;
    (F) If reclamation capacity is installed or is being installed for 
that specific controlled substance in the country of recovery or country 
of export and the capacity is funded in full or in part through the 
Multilateral Fund.
    (ii) Within ten (10) working days after receipt of the objection 
notice, the importer may re-petition the Administrator, only if the 
Administrator indicated ``insufficient information'' as the basis for 
the objection notice. If no appeal is taken by the tenth working day 
after the date on the objection notice, the objection shall become 
final. Only one appeal of re-petition will be accepted for any petition 
received by EPA.
    (iii) Any information contained in the re-petition which is 
inconsistent with the original petition must be identified and a 
description of the reason for the inconsistency must accompany the re-
petition.
    (iv) In cases where the Administrator does not object to the 
petition based on the criteria listed in paragraph (g)(3)(i) of this 
section, the Administrator will issue a non-objection notice.
    (v) To pass the approved used class I controlled substances through 
U.S. Customs, the non-objection notice issued by EPA must accompany the 
shipment through U.S. Customs.
    (vi) If for some reason, following EPA's issuance of a non-objection 
notice, new information is brought to EPA's attention which shows that 
the non-objection notice was issued based on false information, then EPA 
has the right to:
    (A) Revoke the non-objection notice;
    (B) Pursue all means to ensure that the controlled substance is not 
imported into the United States; and
    (C) Take appropriate enforcement actions.
    (vii) A person receiving the non-objection notice is permitted to 
import

[[Page 35]]

the individual shipment only within one year of the date stamped on the 
non-objection notice.
    (viii) A person receiving a non-objection notice from the 
Administrator for a petition to import used class I controlled 
substances must maintain the following records:
    (A) a copy of the petition;
    (B) the EPA non-objection notice;
    (C) the bill of lading for the import; and
    (D) The U.S. Customs entry number.
    (4) Reporting requirements--importers. For each quarter, except as 
specified below, every importer of a class I controlled substance 
(including importers of used, recycled or reclaimed controlled 
substances) must submit to the Administrator a report containing the 
following information:
    (i) Summaries of the records required in paragraphs (g)(1) (i) 
through (xvi) of this section for the previous quarter;
    (ii) The total quantity imported in kilograms of each controlled 
substance for that quarter;
    (iii) The quantity of those controlled substances imported that are 
used controlled substances.
    (iv) The levels of import (expended consumption allowances before 
January 1, 1996) of controlled substances for that quarter and totaled 
by chemical for the control-period-to-date;
    (vii) [Reserved]
    (viii) The amount of controlled substances imported for use in 
processes resulting in their transformation or destruction;
    (ix) The amount of controlled substances sold or transferred during 
the quarter to each person for use in processes resulting in their 
transformation or eventual destruction;
    (x) The amount of controlled substances sold or transferred during 
the quarter to each person for an essential use;
    (xi) [Reserved]
    (xii) Internal Revenue Service Certificates showing that the 
purchaser or recipient of imported controlled substances intends to 
transform those substances or destruction verifications (as in Sec.  
82.13(k)) showing that purchaser or recipient intends to destroy the 
controlled substances; and
    (xiii) The certifications from essential-use allowance holders 
stating that the controlled substances were purchased solely for 
specified essential-uses and will not be resold or used in 
manufacturing; and the certifications from distributors of laboratory 
supplies that the controlled substances were purchased solely for 
eventual sale to laboratories that certify the controlled substances are 
for essential laboratory and analytical uses (defined at appendix G of 
this subpart), or if sales are made directly to laboratories, 
certifications from laboratories that the controlled substances will 
only be used for essential laboratory and analytical uses (defined at 
appendix G of this subpart) and will not be resold or used in 
manufacturing.
    (xiv) In the case of laboratory essential uses, a certification from 
distributors of laboratory supplies that controlled substances were 
purchased for sale to laboratory customers who certify that the 
substances will only be used for laboratory applications and will not be 
resold or used in manufacturing; and
    (xv) The amount of methyl bromide sold or transferred during the 
quarter to a person other than the importer solely for quarantine and 
preshipment applications;
    (xvi) A list of the quantities of methyl bromide exported by the 
importer and or by other U.S. companies, to a Party to the Protocol that 
will be used solely for quarantine and preshipment applications and 
therefore were not imported expending consumption allowances; and
    (xvii) For quarantine and preshipment applications of methyl bromide 
in the United States or by a person of another Party, one copy of a 
certification that the material will be used only for quarantine and 
preshipment applications in accordance with the definitions in this 
subpart from each recipient of the material and a list of additional 
quantities shipped to that same person for the quarter.
    (xviii) For critical uses of methyl bromide, importers shall report 
annually the amount of critical use methyl bromide owned by the 
reporting entity, specifying quantities dedicated for pre-

[[Page 36]]

plant use and quantities dedicated for post-harvest use, as well as 
quantities held by the reporting entity on behalf of another entity, 
specifying quantities dedicated for pre-plant use and quantities 
dedicated for post-harvest use along with the name of the entity on 
whose behalf the material is held.
    (xix) Importers shall report annually the amount of methyl bromide 
produced or imported prior to the January 1, 2005, phaseout date owned 
by the reporting entity, as well as quantities held by the reporting 
entity on behalf of another entity, specifying the name of the entity on 
whose behalf the material is held.
    (5) Certification of intent to import for destruction. For each 
individual shipment of a class I controlled substance imported with the 
intent to destroy that substance, an importer must submit electronically 
to the Administrator, at least 30 working days before the shipment is to 
leave the foreign port of export, the following information:
    (i) Name, commodity code, and quantity in kilograms of each 
controlled substance to be imported;
    (ii) Name and address of the importer, the importer ID number, and 
the contact person's name, email address, and phone number;
    (iii) Name and address of any intermediary who will aggregate 
controlled substances imported for destruction, and the contact person's 
name, email address, and phone number;
    (iv) The U.S. port of entry for the import, the expected date of 
shipment and the vessel transporting the material. If at the time of 
submitting the certification of intent to import for destruction the 
importer does not know the U.S. port of entry, the expected date of 
shipment and the vessel transporting the material, and the importer 
receives a non-objection notice for the individual shipment in the 
petition, the importer is required to notify the Administrator of this 
information prior to the entry of the individual shipment into the 
United States;
    (v) Name, address, contact person, email address, and phone number 
of the responsible party at the destruction facility;
    (vi) The export license, application for an export license, or 
official communication acknowledging the export from the appropriate 
government agency in the country of export and, if recovered in another 
country, the export license or official communication from the 
appropriate government agency in that country, and quantity authorized 
for export in kilograms on the export license, and an English 
translation of these documents; and
    (vii) A certification of accuracy of the information submitted in 
the certification.
    (6) Destruction verification. For each individual shipment of a 
class I controlled substance imported with the intent to destroy that 
substance, an importer must submit to the Administrator a copy of the 
destruction verification within 30 days after destruction of the 
controlled substance(s).
    (7) Review of certification of intent to import for destruction. (i) 
Starting on the first working day following receipt by the Administrator 
of a certification of intent to import a class I controlled substance 
for destruction, the Administrator will initiate a review of the 
information submitted under paragraph (g)(5) of this section and take 
action within 30 working days to issue either an objection notice or a 
non-objection notice for the individual shipment to the person who 
submitted the certification of intent to import the class I controlled 
substance for destruction.
    (ii) The Administrator may issue an objection notice if the petition 
lacks or appears to lack any of the information required under paragraph 
(g)(5) of this section or for the reasons listed in paragraphs 
(g)(3)(i)(B) through (F) of this section.
    (iii) In cases where the Administrator does not object to the 
petition, the Administrator will issue a non-objection notice.
    (iv) To pass the approved class I controlled substances through U.S. 
Customs, the non-objection notice issued by EPA must accompany the 
shipment through U.S. Customs.
    (v) If for some reason, following EPA's issuance of a non-objection 
notice, new information is brought to EPA's attention which shows that 
the

[[Page 37]]

non-objection notice was issued based on false information, then EPA has 
the right to:
    (A) Revoke the non-objection notice;
    (B) Pursue all means to ensure that the class I controlled substance 
is not imported into the United States; and
    (C) Take appropriate enforcement actions.
    (8) Timing of import. A person receiving the non-objection notice is 
permitted to import the individual shipment only within one year of the 
date stamped on the non-objection notice.
    (9) Additional recordkeeping requirements--importers of used, 
recycled, or reclaimed controlled substances. A person receiving a non-
objection notice from the Administrator for a certification of intent to 
import class I controlled substances for destruction must maintain the 
following records:
    (i) A copy of the certificate of intent to import for destruction;
    (ii) The EPA non-objection notice;
    (iii) A copy of the export license, export license application, or 
official communication from the appropriate government agency in the 
country of export;
    (iv) U.S. Customs entry documents for the import that must include 
one of the commodity codes from appendix K to this subpart;
    (v) The date, amount, and type of controlled substance sent for 
destruction, per shipment;
    (vi) An invoice from the destruction facility verifying the shipment 
was received;
    (vii) A copy of the destruction verification from the destruction 
facility; and
    (viii) An English translation of the document in paragraph 
(g)(9)(iii) of this section.
    (10) Recordkeeping requirements-aggregators. A person identified in 
paragraph (g)(5)(iii) of this section as aggregating a controlled 
substance prior to destruction must:
    (i) Maintain transactional records that include the name and address 
of the entity from whom they received the controlled substance imported 
for destruction;
    (ii) Maintain transactional records that include the name and 
address of the entity to whom they sent the controlled substance 
imported for destruction;
    (iii) Maintain records that include the date and quantity of the 
imported controlled substance received for destruction;
    (iv) Maintain records that include the date and quantity of the 
imported controlled substance sent for destruction; and
    (v) If the person is the final aggregator of such a controlled 
substance before the material is destroyed, maintain a copy of the 
destruction verification.
    (h) Reporting requirements--exporters. (1) For any exports of class 
I controlled substances (except methyl bromide) not reported under 
paragraph (f)(3) of this section (reporting for producers of controlled 
substances), the exporter who exported a class I controlled substance 
(except methyl bromide) must submit to the Administrator the following 
information within 45 days after the end of the control period in which 
the unreported exports left the United States:
    (i) The names and addresses of the exporter and the recipient of the 
exports;
    (ii) The exporter's Employer Identification Number;
    (iii) The type and quantity of each controlled substance exported 
including the quantity of controlled substance that is used, recycled, 
or reclaimed;
    (iv) The date on which, and the port from which, the controlled 
substances were exported from the United States or its territories;
    (v) The country to which the controlled substances were exported;
    (vi) The amount exported to each Article 5 country;
    (vii) The commodity code of the controlled substance shipped; and
    (viii) The invoice or sales agreement containing language similar to 
the Internal Revenue Service Certificate that the purchaser or recipient 
of imported controlled substances intends to transform those substances, 
or destruction verifications (as in paragraph (k) of this section) 
showing that the purchaser or recipient intends to destroy the 
controlled substances.

[[Page 38]]

    (2) For any exports of methyl bromide not reported under paragraph 
(f)(3) of this section (reporting for producers of controlled 
substances), the exporter who exported methyl bromide must submit to the 
Administrator the following information within 45 days after the end of 
each quarter in which the unreported exports left the United States:
    (i) The names and addresses of the exporter and the recipient of the 
exports;
    (ii) The exporter's Employer Identification Number;
    (iii) The quantity of methyl bromide exported by use 
(transformation, destruction, critical use, or quarantine and 
preshipment);
    (iv) The date on which, and the port from which, the methyl bromide 
was exported from the United States or its territories;
    (v) The country to which the methyl bromide was exported;
    (vi) The amount exported to each Article 5 country;
    (vii) The commodity code of the controlled substance shipped; and
    (viii) The invoice or sales agreement containing language similar to 
the Internal Revenue Service Certificate that the purchaser or recipient 
of imported methyl bromide intends to transform those substances, the 
destruction verifications (as in paragraph (k) of this section) showing 
that the purchaser or recipient intends to destroy the controlled 
substances, or the certification that the purchaser or recipient and the 
eventual applicator will only use the material for quarantine and 
preshipment applications in accordance with the definitions in this 
subpart.
    (i) [Reserved]
    (j) Persons who destroy class I controlled substances shall, 
following promulgation of this rule, provide EPA with a one-time report 
stating the destruction unit's destruction efficiency and the methods 
used to record the volume destroyed and those used to determine 
destruction efficiency and the name of other relevant federal or state 
regulations that may apply to the destruction process. Any changes to 
the unit's destruction efficiency or methods used to record volume 
destroyed and to determine destruction efficiency must be reflected in a 
revision to this report to be submitted to EPA within 60 days of the 
change.
    (k) Persons who purchase or receive and subsequently destroy 
controlled class I substances that were originally produced without 
expending allowances shall provide the producer or importer from whom 
they purchased or received the controlled substances with a verification 
that controlled substances will be used in processes that result in 
their destruction.
    (1) The destruction verification shall include the following:
    (i) Identity and address of the person intending to destroy 
controlled substances;
    (ii) Indication of whether those controlled substances will be 
completely destroyed, as defined in Sec.  82.3 of this rule, or less 
than completely destroyed, in which case the destruction efficiency at 
which such substances will be destroyed must be included;
    (iii) Period of time over which the person intends to destroy 
controlled substances; and
    (iv) Signature of the verifying person.
    (2) If, at any time, any aspects of this verification change, the 
person must submit a revised verification reflecting such changes to the 
producer from whom that person purchases controlled substances intended 
for destruction.
    (l) Persons who purchase class I controlled substances and who 
subsequently transform such controlled substances shall provide the 
producer or importer with the IRS certification that the controlled 
substances are to be used in processes resulting in their 
transformation.
    (m) Any person who transforms or destroys class I controlled 
substances who has submitted an IRS certificate of intent to transform 
or a destruction verification (as under paragraph (k) of this section) 
to the producer or importer of the controlled substance, must report the 
names and quantities of class I controlled substances transformed and 
destroyed for each control period within 45 days of the end of such 
control period.
    (n) Persons who import or export used controlled substances 
(including

[[Page 39]]

recycled or reclaimed) must label their bill of lading or invoice 
indicating that the controlled substance is used, recycled or reclaimed.
    (o) Persons who import heels of controlled substances must label 
their bill of lading or invoice indicating that the controlled substance 
in the container is a heel.
    (p) Every person who brings back a container with a heel to the 
United States, as defined in Sec.  82.3, must report quarterly the 
amount brought into the United States certifying that the residual 
amount in each shipment is less than 10 percent of the volume of the 
container and will either:
    (1) Remain in the container and be included in a future shipment;
    (2) Be recovered and transformed;
    (3) Be recovered and destroyed; or
    (4) Be recovered for a non-emissive use.
    (q) Every person who brings a container with a heel into the United 
States must report on the final disposition of each shipment within 45 
days of the end of the control period.
    (r) Every person who transships a controlled substance must maintain 
records that indicate that the controlled substance shipment originated 
in a foreign country destined for another foreign country, and does not 
enter interstate commerce with the United States.
    (s) Any person allocated essential-use allowances who submits an 
order to a producer or importer for a controlled substance must report 
the quarterly quantity received from each producer or importer.
    (t) Any distributor of laboratory supplies receiving controlled 
substances under the global laboratory essential-use exemption for sale 
to laboratory customers must report quarterly the quantity received of 
each controlled substance from each producer or importer.
    (u) Holders of Essential-Use Allowances--Reporting.
    (1) Within 30 days of the end of every quarter, any person allocated 
essential-use allowances must submit to the Administrator a report 
containing the quantity of each controlled substance, in kilograms, 
purchased and received from each producer and each importer during that 
quarter as well as from which country the controlled substance was 
imported.
    (2) Any person allocated essential-use allowances must submit to the 
Administrator a report containing the following information within 30 
days of the end of the control period, and, if possible, within 20 days 
of the end of the control period:
    (i) The gross quantity of each controlled substance, in kilograms, 
that was used for the essential use during the control period; and
    (ii) The quantity of each controlled substance, in kilograms, 
contained in exported products during the control period; and
    (iii) The quantity of each controlled substance, in kilograms, that 
was destroyed or recycled during the control period; and
    (iv) The quantity of each controlled substance, in kilograms, held 
in inventory as of the last day of the control period, that was acquired 
with essential use allowances in all control periods (i.e. quantity on 
hand at the end of the year); and
    (v) The quantity of each controlled substance, in kilograms, in a 
stockpile that is owned by the company or is being held on behalf of the 
company under contract, and was produced or imported through the use of 
production allowances and consumption allowances prior to the phaseout 
(i.e. class I ODSs produced before their phaseout dates); and
    (vi) For essential use allowances for metered-dose inhalers only, 
the allowance holder must report the total number of marketable units of 
each specific metered-dose inhaler product manufactured in the control 
period.
    (v) Laboratory use exemption distributors. Any distributor of 
laboratory supplies who purchased controlled substances under the global 
essential laboratory and analytical use exemption must submit quarterly 
(except distributors following procedures in paragraph (x) of this 
section) the quantity of each controlled substance purchased by each 
laboratory customer or distributor whose certification was previously 
provided to the distributor pursuant to paragraph (w) of this section, 
the contact information for the source

[[Page 40]]

company from which material was purchased, and the laboratories to whom 
the material is sold.
    (w) Laboratory use exemption customers. A laboratory customer 
purchasing a controlled substance under the global essential laboratory 
and analytical use exemption must provide the producer, importer or 
distributor with a one-time-per-year certification for each controlled 
substance that the substance will only be used for essential laboratory 
and analytical uses (defined at appendix G of this subpart) and not be 
resold or used in manufacturing.
    (1) The identity and address of the laboratory customer;
    (2) The name, email address, and phone number of a contact person 
for the laboratory customer;
    (3) The name and quantity of each controlled substance purchased, 
and the estimated percent of the controlled substance that will be used 
for each listed type of laboratory application.
    (x) Any distributor of laboratory supplies who purchased class I 
controlled substances under the global essential laboratory and 
analytical use exemption, and who only sells the class I controlled 
substances as reference standards for calibrating laboratory analytical 
equipment, may write a letter to the Administrator requesting permission 
to submit the reports required under paragraph (v) of this section 
annually rather than quarterly. The Administrator will review the 
request and issue a notification of permission to file annual reports 
if, in the Administrator's judgment, the distributor meets the 
requirements of this paragraph. Upon receipt of a notification of 
extension from the Administrator, the distributor must submit annually 
the quantity of each controlled substance purchased by each laboratory 
customer whose certification was previously provided to the distributor 
pursuant to paragraph (w) of this section.
    (y) Quarantine and preshipment methyl bromide distributors. Every 
distributor of methyl bromide who purchases or receives a quantity 
produced or imported for quarantine or preshipment applications under 
the exemptions in this subpart must comply with the following 
recordkeeping and reporting requirements:
    (1) Every distributor of quarantine and preshipment methyl bromide 
must certify to the producer, importer, or distributor from whom they 
purchased or received the controlled substance that quantities purchased 
or received will be sold only for quarantine applications or preshipment 
applications in accordance with the definitions in this subpart.
    (2) Every distributor of quarantine and preshipment methyl bromide 
must receive from an applicator, exporter, or distributor to whom they 
sell or deliver the controlled substance a certification, prior to 
delivery, stating that the quantity will be used or sold solely for 
quarantine applications or preshipment applications in accordance with 
definitions in this subpart.
    (3) Every distributor of quarantine and preshipment methyl bromide 
must maintain the certifications as records for 3 years.
    (4) Every distributor of quarantine and preshipment methyl bromide 
must report to the Administrator within 45 days after the end of each 
quarter, the total quantity delivered to applicators or end users for 
quarantine applications and preshipment applications in accordance with 
definitions in this subpart.
    (z) Quarantine and preshipment methyl bromide applicators. Every 
applicator of methyl bromide who purchases or receives a quantity 
produced or imported solely for quarantine or preshipment applications 
under the exemptions in this subpart must comply with the following 
recordkeeping and reporting requirements:
    (1) Recordkeeping. Every applicator of methyl bromide produced or 
imported for quarantine and preshipment applications under the 
exemptions of this subpart must maintain, for every application, a 
document from the commodity owner, shipper, or their agent requesting 
the use of methyl bromide citing the requirement that justifies its use 
in accordance with definitions in this subpart. These documents shall be 
retained for 3 years.
    (2) Reporting. Every applicator who purchases or receives methyl 
bromide that was produced or imported for

[[Page 41]]

quarantine and preshipment applications under the exemptions in this 
subpart shall provide the distributor of the methyl bromide, prior to 
shipment, with a certification that the methyl bromide will be used only 
for quarantine applications or preshipment applications as defined in 
this subpart.
    (aa) Quarantine and preshipment methyl bromide end user 
certification. Every commodity owner, shipper or their agent requesting 
an applicator to use methyl bromide that was produced or imported solely 
for quarantine and preshipment applications under the exemptions of this 
subpart must maintain a record for 3 years, for each request, certifying 
knowledge of the requirements associated with the exemption for 
quarantine and preshipment applications in this subpart and citing the 
requirement that justifies its use. The record must include the 
following statement: ``I certify knowledge of the requirements 
associated with the exempted quarantine and preshipment applications 
published in 40 CFR part 82, including the requirement that this letter 
cite the treatments or official controls for quarantine applications or 
the official requirements for preshipment requirements.''
    (bb) Every distributor of methyl bromide (class I, Group VI 
controlled substances) who purchases or receives a quantity of critical 
use methyl bromide must comply with recordkeeping and reporting 
requirements specified in this paragraph (bb).
    (1) Recordkeeping--Every distributor of critical use methyl bromide 
must certify to the producer or importer or other entity from which they 
are acquiring quantities of critical use methyl bromide that such 
quantities received will be sold or used only for approved critical 
use(s) in accordance with the definitions and prohibitions in this 
subpart.
    (i) Every distributor of a quantity of critical use methyl bromide 
must receive from an applicator, or any other entity to whom they sell 
critical use methyl bromide, a certification of the quantity of critical 
use methyl bromide ordered, prior to delivery of the quantity, stating 
that the quantity will be sold or used only for approved critical uses 
in accordance with definitions and prohibitions in this subpart.
    (ii) Every distributor of methyl bromide who receives a 
certification from an applicator or any other entity to which they sell 
critical use methyl bromide must maintain the certifications as records 
for 3 years.
    (iii) Every distributor of a quantity of critical use methyl bromide 
must maintain invoice and order records related to the sale of such 
material for 3 years.
    (2) Reporting--Every distributor of critical use methyl bromide must 
report to the Administrator annually, the following items:
    (i) For critical uses of class I, Group VI controlled substances, an 
annual list of the amount of critical use methyl bromide bought;
    (ii) For critical uses of class I, Group VI controlled substances, 
an annual list of the amount of critical use methyl bromide sold for 
each specified critical use in Appendix L of this subpart;
    (iii) For critical uses of class I, Group VI controlled substances, 
report the amount of critical use methyl bromide owned by the reporting 
entity, specifying quantities dedicated for pre-plant use and quantities 
dedicated for post-harvest use, as well as quantities held by the 
reporting entity on behalf of another entity, specifying quantities 
dedicated for pre-plant use and quantities dedicated for post-harvest 
use, along with the name of the entity on whose behalf the material is 
held;
    (iv) [Reserved]
    (v) The amount of methyl bromide produced or imported prior to the 
January 1, 2005, phaseout date owned by the reporting entity, as well as 
quantities held by the reporting entity on behalf of another entity, 
specifying the name of the entity on whose behalf the material is held.
    (cc) Every third party applicator of methyl bromide (class I, Group 
VI controlled substances) that purchases or receives critical use methyl 
bromide must comply with recordkeeping and reporting requirements 
specified in this paragraph (cc).
    (1) Recordkeeping--Every third party applicator of critical use 
methyl bromide must certify to the producer or importer or other entity 
from which

[[Page 42]]

they are acquiring quantities of critical use methyl bromide that such 
quantities received will be sold or used only for approved critical 
use(s) in accordance with the definitions and prohibitions in this 
subpart.
    (i) Every third party applicator of a quantity of critical use 
methyl bromide must receive from any entity to whom they sell critical 
use methyl bromide, a certification of the quantity of critical use 
methyl bromide ordered, prior to delivery of the quantity, stating that 
the quantity will be sold or used only for approved critical uses in 
accordance with definitions and prohibitions in this subpart.
    (ii) Every third party applicator of methyl bromide who receives a 
certification from an entity to which they sell critical use methyl 
bromide must maintain the certifications as records for 3 years.
    (iii) Every third party applicator of a quantity of critical use 
methyl bromide must maintain invoice and order records related to the 
sale of such material for 3 years.
    (2) Reporting--Every third party applicator of critical use methyl 
bromide must report to the Administrator annually, the following items:
    (i) For critical uses of class I, Group VI controlled substances, an 
annual list of the amount of critical use methyl bromide bought;
    (ii) For critical uses of class I, Group VI controlled substances, 
an annual list of the amount of critical use methyl bromide sold for 
each specified critical use in Appendix L of this subpart;
    (iii) For critical uses of class I, Group VI controlled substances, 
report annually the amount of critical use methyl bromide owned by the 
reporting entity, specifying quantities dedicated for pre-plant use and 
quantities dedicated for post-harvest use, as well as quantities held by 
the reporting entity on behalf of another entity, specifying quantities 
dedicated for pre-plant use and quantities dedicated for post-harvest 
use, along with the name of the entity on whose behalf the material is 
held;
    (iv) [Reserved]
    (v) The amount of methyl bromide produced or imported prior to the 
January 1, 2005 phaseout date owned by the reporting entity, as well as 
quantities held by the reporting entity on behalf of another entity, 
specifying the name of the entity on whose behalf the material is held.
    (dd) Every approved critical user purchasing an amount of critical 
use methyl bromide or purchasing fumigation services with critical use 
methyl bromide must, for each request, identify the use as a critical 
use and certify being an approved critical user. The approved critical 
user certification will state, in part: ``I certify, under penalty of 
law, I am an approved critical user and I will use this quantity of 
methyl bromide for an approved critical use. My action conforms to the 
requirements associated with the critical use exemption published in 40 
CFR part 82. I am aware that any agricultural commodity within a 
treatment chamber, facility or field I fumigate with critical use methyl 
bromide cannot subsequently or concurrently be fumigated with non-
critical use methyl bromide during the same control period, excepting a 
QPS treatment or a treatment for a different use (e.g., a different crop 
or commodity). I will not use this quantity of methyl bromide for a 
treatment chamber, facility, or field that I previously fumigated with 
non-critical use methyl bromide during the same control period, 
excepting a QPS treatment or a treatment for a different use (e.g., a 
different crop or commodity), unless a local township limit now prevents 
me from using methyl bromide alternatives or I have now become an 
approved critical user as a result of rulemaking.'' The certification 
will also identify the type of critical use methyl bromide purchased, 
the location of the treatment, the crop or commodity treated, the 
quantity of critical use methyl bromide purchased, and the acreage/
square footage treated, and will be signed and dated by the approved 
critical user.

[60 FR 24986, May 10, 1995]

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

[[Page 43]]



Sec.  82.14  Process for electronic reporting.

    (a) Starting May 18, 2020, reports and petitions that are available 
to be submitted through the Central Data Exchange, as well as any 
related supporting documents, must be submitted through that tool.
    (b) Entities can register and access the Central Data Exchange as 
follows:
    (1) Go to EPA's Central Data Exchange website at https://cdx.epa.gov 
and follow the links for the submission of ozone-depleting substances.
    (2) Call EPA's Central Data Exchange Help Desk at 1-888-890-1995.
    (3) Email the EPA's Central Data Exchange Help Desk at 
[email protected].

[85 FR 15296, Mar. 17, 2020]



Sec.  82.15  Prohibitions for class II controlled substances.

    (a) Production. (1) Effective January 21, 2003, no person may 
produce class II controlled substances for which EPA has apportioned 
baseline production and consumption allowances, in excess of the 
quantity of unexpended production allowances, unexpended Article 5 
allowances, unexpended export production allowances, or conferred 
unexpended HCFC-141b exemption allowances held by that person for that 
substance under the authority of this subpart at that time in that 
control period, unless the substances are transformed or destroyed 
domestically or by a person of another Party, or unless they are 
produced using an exemption granted in paragraph (f) of this section. 
Every kilogram of excess production constitutes a separate violation of 
this subpart.
    (2) Effective January 21, 2003, no person may use production 
allowances to produce a quantity of class II controlled substance unless 
that person holds under the authority of this subpart at the same time 
consumption allowances sufficient to cover that quantity of class II 
controlled substances. No person may use consumption allowances to 
produce a quantity of class II controlled substances unless the person 
holds under authority of this subpart at the same time production 
allowances sufficient to cover that quantity of class II controlled 
substances.
    (b) Import. (1) Effective January 21, 2003, no person may import 
class II controlled substances (other than transhipments, heels or used 
class II controlled substances) for which EPA has apportioned baseline 
production and consumption allowances , in excess of the quantity of 
unexpended consumption allowances, or conferred unexpended HCFC-141b 
exemption allowances held by that person under the authority of this 
subpart at that time in that control period, unless the substances are 
for use in a process resulting in their transformation or their 
destruction, or unless they are produced using an exemption granted in 
paragraph (f) of this section. Every kilogram of excess import 
constitutes a separate violation of this subpart.
    (2) Effective January 21, 2003, no person may import, at any time in 
any control period, a used class II controlled substance for which EPA 
has apportioned baseline production and consumption allowances, without 
having submitted a petition to the Administrator and received a non-
objection notice in accordance with Sec.  82.24(c)(3) and (4). A person 
issued a non-objection notice for the import of an individual shipment 
of used class II controlled substances may not transfer or confer the 
right to import, and may not import any more than the exact quantity (in 
kilograms) of the used class II controlled substance stated in the non-
objection notice. Every kilogram of import of used class II controlled 
substance in excess of the quantity stated in the non-objection notice 
issued by the Administrator in accordance with Sec.  82.24(c)(3) and (4) 
constitutes a separate violation of this subpart.
    (3) No person may import for purposes of destruction, at any time in 
any control period, a class II controlled substance for which EPA has 
apportioned baseline production and consumption allowances, without 
having submitted a certification of intent to import for destruction to 
the Administrator and received a non-objection notice in accordance with 
Sec.  82.24(c)(6). A person issued a non-objection notice for the import 
of an individual shipment of class II controlled substances

[[Page 44]]

for destruction may not transfer or confer the right to import and may 
not import any more than the exact quantity (in kilograms) of the class 
II controlled substance stated in the non-objection notice. For imports 
intended to be destroyed in the United States, a person issued a non-
objection notice must destroy the controlled substance within one year 
of the date stamped on the non-objection letter, may not transfer or 
confer the right to import, and may not import any more than the exact 
quantity (in kilograms) of the class II controlled substance stated in 
the non-objection notice. Every kilogram of import of class II 
controlled substance in excess of the quantity stated in the non-
objection notice issued by the Administrator in accordance with Sec.  
82.24(c)(6) constitutes a separate violation of this subpart.
    (c) Production with Article 5 allowances. No person may introduce 
into U.S. interstate commerce any class II controlled substance produced 
with Article 5 allowances, except for export to an Article 5 Party as 
listed in Appendix E of this subpart. Every kilogram of a class II 
controlled substance produced with Article 5 allowances that is 
introduced into interstate commerce other than for export to an Article 
5 Party constitutes a separate violation under this subpart. No person 
may export any class II controlled substance produced with Article 5 
allowances to a non-Article 5 Party. Every kilogram of a class II 
controlled substance that was produced with Article 5 allowances that is 
exported to a non-Article 5 Party constitutes a separate violation under 
this subpart.
    (d) Production with export production allowances. No person may 
introduce into U.S. interstate commerce any class II controlled 
substance produced with export production allowances. Every kilogram of 
a class II controlled substance that was produced with export production 
allowances that is introduced into U.S. interstate commerce constitutes 
a separate violation under this subpart.
    (e) Trade with Parties. No person may import or export any quantity 
of a class II controlled substance listed in Appendix A to this subpart, 
from or to any foreign state that is not either:
    (1) A Party to the Beijing Amendment. As of March 14, 2014, the 
following foreign states had not ratified the Beijing Amendment: 
Kazakhstan, Libya, and Mauritania. For updates on ratification status, 
see the Ozone Secretariat's Web site at: http://ozone.unep.org/new_site/
en/treaty_ratification_status.php. Or,
    (2) A foreign state not party to the Beijing Amendment that is 
complying with the Beijing Amendment as defined in this subpart.
    (f) Exemptions. (1) Medical Devices [Reserved]
    (g) Introduction into interstate commerce or use. (1) Effective 
January 1, 2010, no person may introduce into interstate commerce or use 
HCFC-141b (unless used, recovered, and recycled) for any purpose except 
for use in a process resulting in its transformation or its destruction; 
for export to Article 5 Parties under Sec.  82.18(a); for HCFC-141b 
exemption needs; as a transhipment or heel; or for exemptions permitted 
in paragraph (f) of this section.
    (2)(i) Effective January 1, 2010, no person may introduce into 
interstate commerce or use HCFC-22 or HCFC-142b (unless used, recovered, 
and recycled) for any purpose other than for use in a process resulting 
in its transformation or its destruction; for use as a refrigerant in 
equipment manufactured before January 1, 2010; for export to Article 5 
Parties under Sec.  82.18(a); as a transhipment or heel; or for 
exemptions permitted in paragraph (f) of this section.
    (ii) Introduction into interstate commerce and use of HCFC-22 is not 
subject to the prohibitions in paragraph (g)(2)(i) of this section if 
the HCFC-22 is for use in medical equipment prior to January 1, 2015; 
for use in thermostatic expansion valves prior to January 1, 2015; or 
for use as a refrigerant in appliances manufactured before January 1, 
2012, provided that the components are manufactured prior to January 1, 
2010, and are specified in a building permit or a contract dated before 
January 1, 2010, for use on a particular project.
    (3) Effective January 1, 2015, no person may introduce into 
interstate commerce or use HCFC-141b (unless used,

[[Page 45]]

recovered, and recycled) for any purpose other than for use in a process 
resulting in its transformation or its destruction; for export to 
Article 5 Parties under Sec.  82.18(a), as a transhipment or heel; or 
for exemptions permitted in paragraph (f) of this section.
    (4)(i) Effective January 1, 2015, no person may introduce into 
interstate commerce or use any class II controlled substance not 
governed by paragraphs (g)(1) through (3) of this section (unless used, 
recovered and recycled) for any purpose other than for use in a process 
resulting in its transformation or its destruction; for use as a 
refrigerant in equipment manufactured before January 1, 2020; for use as 
a fire suppression streaming agent listed as acceptable for use or 
acceptable subject to narrowed use limits for nonresidential 
applications in accordance with the regulations at subpart G of this 
part; for export to Article 5 Parties under Sec.  82.18(a); as a 
transhipment or heel; for exemptions permitted under paragraph (f) of 
this section; or for exemptions permitted under paragraph (g)(4)(ii) or 
(iii) of this section.
    (ii) Effective January 1, 2015, use of HCFC-225ca or HCFC-225cb as a 
solvent (excluding use in manufacturing a product containing HCFC-225ca 
or HCFC-225cb) is not subject to the use prohibition in paragraph 
(g)(4)(i) of this section if the person using the HCFC-225ca or HCFC-
225cb placed the controlled substance into inventory before January 1, 
2015. This paragraph does not create an exemption to the prohibition on 
introduction into interstate commerce in paragraph (g)(4)(i) of this 
section.
    (iii) Effective January 1, 2015, use of HCFC-124 as a sterilant for 
the manufacture and testing of biological indicators is not subject to 
the use prohibition in paragraph (g)(4)(i) of this section if the person 
using the HCFC-124 placed the controlled substance into inventory before 
January 1, 2015. This paragraph does not create an exemption to the 
prohibition on introduction into interstate commerce in paragraph 
(g)(4)(i) of this section.
    (5)(i) Effective January 1, 2020, no person may introduce into 
interstate commerce or use HCFC-123 or HCFC-124 (unless used, recovered 
and recycled) for any purpose other than for use in a process resulting 
in its transformation or its destruction; for use as a refrigerant in 
equipment manufactured before January 1, 2020; for use as a fire 
suppression streaming agent listed as acceptable for use or acceptable 
subject to narrowed use limits for nonresidential applications in 
accordance with the regulations at subpart G of this part and only to 
the extent permitted under paragraph (g)(5)(ii) of this section; for 
export to Article 5 Parties under Sec.  82.18(a); as a transhipment or 
heel; or for exemptions permitted under paragraph (f) of this section.
    (ii) HCFC-123 that was produced or imported on or after January 1, 
2020 may be used as a fire suppression streaming agent only to service 
equipment manufactured before January 1, 2020. HCFC-123 that was 
produced or imported prior to January 1, 2020 (or used, recovered and 
recycled) may be used as a fire suppression streaming agent in equipment 
manufactured before, on, or after January 1, 2020.
    (iii) Notwithstanding the prohibition on use in paragraph (g)(5)(i) 
of this section, the use of HCFC-123 as a refrigerant in equipment 
manufactured on or after January 1, 2020 but before January 1, 2021 is 
permitted if the conditions of this paragraph (g)(5)(iii) are met. The 
HCFC-123 must be in the possession of an entity that will complete the 
manufacture of the appliance and imported prior to January 1, 2020. The 
appliance components must be ready for shipment to a construction 
location prior to July 24, 2019 and be specified in a building permit or 
a contract dated before July 24, 2019 for use on a particular project. 
All HCFC-123 used to service such appliances on or after January 1, 2021 
must be used, recovered, or recycled.
    (6) Effective January 1, 2030, no person may introduce into 
interstate commerce or use any class II controlled substance (unless 
used, recovered, and recycled) for any purpose other than for use in a 
process resulting in its transformation or its destruction; for export 
to Article 5 Parties under Sec.  82.18(a); as a transhipment or heel; or 
for exemptions permitted in paragraph (f) of this section.

[[Page 46]]

    (7) Effective January 1, 2040, no person may introduce into 
interstate commerce or use any class II controlled substance (unless 
used, recovered, and recycled) for any purpose other than for use in a 
process resulting in its transformation or its destruction, as a 
transhipment or heel, or for exemptions permitted in paragraph (f) of 
this section.
    (8) No person may sell or distribute, or offer for sale or 
distribution, any class II substance that they know, or have reason to 
know, was imported in violation of this section, except for such actions 
needed to re-export the controlled substance. Every kilogram of a 
controlled substance imported in contravention of this paragraph (g)(8) 
that is sold or distributed, or offered for sale or distribution, 
constitutes a separate violation of this subpart.

[68 FR 2848, Jan. 21, 2003, as amended at 69 FR 34031, June 17, 2004; 71 
FR 41171, July 20, 2006; 74 FR 66445, Dec. 15, 2009; 79 FR 16686, Mar. 
26, 2014; 79 FR 64286, Oct. 28, 2014; 85 FR 15296, Mar. 17, 2020; 85 FR 
15296, Mar. 17, 2020]



Sec.  82.16  Phaseout schedule of class II controlled substances.

    (a)(1) Calendar-year allowances. In each control period as indicated 
in the following tables, each person is granted the specified percentage 
of baseline production allowances and baseline consumption allowances 
for the specified class II controlled substances apportioned under 
Sec. Sec.  82.17 and 82.19:

[[Page 47]]



                                           Table 1 to Paragraph (a)--Calendar-Year HCFC Production Allowances
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Percent of      Percent of      Percent of      Percent of      Percent of      Percent of      Percent of
             Control period                  HCFC-141b        HCFC-22        HCFC-142b       HCFC-123        HCFC-124       HCFC-225ca      HCFC-225cb
--------------------------------------------------------------------------------------------------------------------------------------------------------
2003....................................               0             100             100  ..............  ..............
2004....................................               0             100             100  ..............  ..............
2005....................................               0             100             100  ..............  ..............
2006....................................               0             100             100  ..............  ..............
2007....................................               0             100             100  ..............  ..............
2008....................................               0             100             100  ..............  ..............
2009....................................               0             100             100  ..............  ..............
2010....................................               0            41.9            0.47               0             125             125             125
2011....................................               0              32             4.9               0             125             125             125
2012....................................               0            17.7             4.9               0             125             125             125
2013....................................               0            30.1             4.9               0             125             125             125
2014....................................               0            26.1             4.9               0             125             125             125
2015....................................               0            21.7            0.37               0               5               0               0
2016....................................               0            21.7            0.32               0               5               0               0
2017....................................               0            21.7            0.26               0               5               0               0
2018....................................               0            21.7            0.21               0               5               0               0
2019....................................               0            21.7            0.16               0               5               0               0
2020....................................               0               0               0               0             5.0               0               0
2021....................................               0               0               0               0             5.0               0               0
2022....................................               0               0               0               0             5.0               0               0
2023....................................               0               0               0               0             4.4               0               0
2024....................................               0               0               0               0             3.8               0               0
2025....................................               0               0               0               0             3.2               0               0
2026....................................               0               0               0               0             2.5               0               0
2027....................................               0               0               0               0             1.9               0               0
2028....................................               0               0               0               0             1.3               0               0
2029....................................               0               0               0               0             0.7               0               0
2030....................................               0               0               0               0               0               0               0
--------------------------------------------------------------------------------------------------------------------------------------------------------


                                           Table 2 to Paragraph (a)--Calendar-Year HCFC Consumption Allowances
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                            Percent of      Percent of      Percent of      Percent of      Percent of      Percent of      Percent of
             Control period                  HCFC-141b        HCFC-22        HCFC-142b       HCFC-123        HCFC-124       HCFC-225ca      HCFC-225cb
--------------------------------------------------------------------------------------------------------------------------------------------------------
2003....................................               0             100             100  ..............  ..............
2004....................................               0             100             100  ..............  ..............
2005....................................               0             100             100  ..............  ..............
2006....................................               0             100             100  ..............  ..............
2007....................................               0             100             100  ..............  ..............
2008....................................               0             100             100  ..............  ..............
2009....................................               0             100             100  ..............  ..............
2010....................................               0            41.9            0.47             125             125             125             125
2011....................................               0              32             4.9             125             125             125             125
2012....................................               0            17.7             4.9             125             125             125             125
2013....................................               0              18             4.9             125             125             125             125

[[Page 48]]

 
2014....................................               0            14.2             4.9             125             125             125             125
2015....................................               0               7             1.7             100             8.3               0               0
2016....................................               0             5.6             1.5             100             8.3               0               0
2017....................................               0             4.2             1.2             100             8.3               0               0
2018....................................               0             2.8               1             100             8.3               0               0
2019....................................               0             1.4             0.7             100             8.3               0               0
2020....................................               0               0               0            32.3             8.3               0               0
2021....................................               0               0               0            32.3             8.3               0               0
2022....................................               0               0               0            32.3             8.3               0               0
2023....................................               0               0               0            28.4             7.3               0               0
2024....................................               0               0               0            24.4             6.3               0               0
2025....................................               0               0               0            20.4             5.3               0               0
2026....................................               0               0               0            16.4             4.2               0               0
2027....................................               0               0               0            12.5             3.2               0               0
2028....................................               0               0               0             8.5             2.2               0               0
2029....................................               0               0               0             4.5             1.1               0               0
2030....................................               0               0               0               0               0               0               0
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 49]]

    (2) Recoupment allowances. In the control period beginning January 
1, 2013 and ending December 31, 2013, and again in the control period 
beginning January 1, 2014 and ending December 31, 2014, certain 
companies are granted HCFC consumption and production allowances in 
addition to the percentage of baseline listed in the table at paragraph 
(a)(1) of this section. The following companies will receive the amounts 
listed below in both 2013 and 2014: 2,374,846 kg of HCFC-22 consumption 
allowances and 2,305,924 kg of HCFC-22 production allowances to Arkema; 
1,170 kg of HCFC-142b consumption allowances to DuPont; 29,146 kg of 
HCFC-142b consumption allowances and 53,549 kg of HCFC-142b production 
allowances to Honeywell; 578,948 kg of HCFC-22 consumption allowances to 
Solvay Fluorides; and 144,900 kg of HCFC-142b production allowances to 
Solvay Solexis.
    (b) Effective January 1, 2003, no person may produce HCFC-141b 
except for use in a process resulting in its transformation or its 
destruction, for export under Sec.  82.18(a) using unexpended Article 5 
allowances, for export under Sec.  82.18(b) using unexpended export 
production allowances, for HCFC-141b exemption needs using unexpended 
HCFC-141b exemption allowances, or for exemptions permitted in Sec.  
82.15(f). Effective January 1, 2003, no person may import HCFC-141b 
(other than transhipments, heels or used class II controlled substances) 
in excess of the quantity of unexpended HCFC-141b exemption allowances 
held by that person except for use in a process resulting in its 
transformation or its destruction, or for exemptions permitted in Sec.  
82.15(f).
    (c) Effective January 1, 2010, no person may produce HCFC-22 or 
HCFC-142b for any purpose other than for use in a process resulting in 
their transformation or their destruction, for use in equipment 
manufactured before January 1, 2010, for export under Sec.  82.18(a) 
using unexpended Article 5 allowances, or for export under Sec.  
82.18(b) using unexpended export production allowances, or for 
exemptions permitted in Sec.  82.15(f). Effective January 1, 2010, no 
person may import HCFC-22 or HCFC-142b (other than transhipments, heels 
or used class II controlled substances) for any purpose other than for 
use in a process resulting in their transformation or their destruction, 
for exemptions permitted in Sec.  82.15(f), or for use in equipment 
manufactured prior to January 1, 2010.
    (d) Effective January 1, 2015, no person may produce class II 
controlled substances not previously controlled for any purpose other 
than for use in a process resulting in their transformation or their 
destruction, for use as a refrigerant in equipment manufactured before 
January 1, 2020, for use as a fire suppression streaming agent listed as 
acceptable for use or acceptable subject to narrowed use limits for 
nonresidential applications in accordance with the regulations at 
subpart G of this part, for export under Sec.  82.18(a) using unexpended 
Article 5 allowances, for export under Sec.  82.18(b) using unexpended 
export production allowances, or for exemptions permitted in Sec.  
82.15(f). Effective January 1, 2015, no person may import class II 
controlled substances not subject to the requirements of paragraph (b) 
or (c) of this section (other than transhipments, heels, or used class 
II controlled substances) for any purpose other than for use in a 
process resulting in their transformation or their destruction, for 
exemptions permitted in Sec.  82.15(f), for use as a refrigerant in 
equipment manufactured prior to January 1, 2020, or for use as a fire 
suppression streaming agent listed as acceptable for use or acceptable 
subject to narrowed use limits for nonresidential applications in 
accordance with the regulations at subpart G of this part.
    (e)(1) Effective January 1, 2020, no person may produce HCFC-22 or 
HCFC-142b for any purpose other than for use in a process resulting in 
their transformation or their destruction, for export under Sec.  
82.18(a) using unexpended Article 5 allowances, or for exemptions 
permitted in Sec.  82.15(f). Effective January 1, 2020, no person may 
import HCFC-22 or HCFC-142b for any purpose other than for use in a 
process resulting in their transformation or their destruction or for 
exemptions permitted in Sec.  82.15(f).

[[Page 50]]

    (2) Effective January 1, 2020, no person may produce HCFC-123 for 
any purpose other than for use in a process resulting in its 
transformation or its destruction, for use as a refrigerant in equipment 
manufactured before January 1, 2020, for export under Sec.  82.18(a) 
using unexpended Article 5 allowances, or for exemptions permitted in 
Sec.  82.15(f). Effective January 1, 2020, no person may import HCFC-123 
for any purpose other than for use in a process resulting in its 
transformation or its destruction, for use as a refrigerant in equipment 
manufactured before January 1, 2020, for use as a fire suppression 
streaming agent in equipment manufactured before January 1, 2020 and 
listed as acceptable for use or acceptable subject to narrowed use 
limits for nonresidential applications, or for exemptions permitted in 
Sec.  82.15(f).
    (f) Effective January 1, 2030, no person may produce class II 
controlled substances, for any purpose other than for use in a process 
resulting in their transformation or their destruction, for export under 
Sec.  82.18(a) using unexpended Article 5 allowances, or for exemptions 
permitted in Sec.  82.15(f). Effective January 1, 2030, no person may 
import class II controlled substances for any purpose other than for use 
in a process resulting in their transformation or their destruction, or 
for exemptions permitted in Sec.  82.15(f).
    (g) Effective January 1, 2040, no person may produce class II 
controlled substances for any purpose other than for use in a process 
resulting in their transformation or their destruction, or for 
exemptions permitted in Sec.  82.15(f).
    (h) [Reserved]

[68 FR 2848, Jan. 21, 2003, as amended at 71 FR 41171, July 20, 2006; 74 
FR 66446, Dec. 15, 2009; 76 FR 47467, Aug. 5, 2011; 78 FR 20027, Apr. 3, 
2013; 79 FR 64286, Oct. 28, 2014; 85 FR 15296, Mar. 17, 2020]



Sec.  82.17  Apportionment of baseline production allowances for class II 
controlled substances.

    The following persons are apportioned baseline production allowances 
for HCFC-22, HCFC-141b, HCFC-142b, HCFC-123, HCFC-124, HCFC-225ca, and 
HCFC-225cb as set forth in the following table:

------------------------------------------------------------------------
                                      Controlled
             Person                    substance        Allowances (kg)
------------------------------------------------------------------------
AGC Chemicals Americas..........  HCFC-225ca........             266,608
                                  HCFC-225cb........             373,952
Arkema..........................  HCFC-22...........          46,692,336
                                  HCFC-141b.........          24,647,925
                                  HCFC-142b.........             484,369
DuPont..........................  HCFC-22...........          42,638,049
                                  HCFC-124..........           2,269,210
Honeywell.......................  HCFC-22...........          37,378,252
                                  HCFC-141b.........          28,705,200
                                  HCFC-142b.........           2,417,534
                                  HCFC-124..........           1,759,681
MDA Manufacturing...............  HCFC-22...........           2,383,835
Solvay Specialty Polymers USA,    HCFC-142b.........           6,541,764
 LLC.
------------------------------------------------------------------------


[79 FR 64287, Oct. 28, 2014]



Sec.  82.18  Availability of production in addition to baseline 
production allowances for class II controlled substances.

    (a) Article 5 allowances. (1) Effective January 1, 2003, a person 
apportioned baseline production allowances for HCFC-141b, HCFC-22, or 
HCFC-142b under Sec.  82.17 is also apportioned Article 5 allowances, 
equal to 15 percent of their baseline production allowances, for the 
specified HCFC for each control period up until December 31, 2009, to be 
used for the production of the specified HCFC for export only to foreign 
states listed in Appendix E to this subpart.
    (2) Effective January 1, 2010, a person apportioned baseline 
production allowances under Sec.  82.17 for HCFC-141b, HCFC-22, or HCFC-
142b is also apportioned Article 5 allowances, equal to 10 percent of 
their baseline production allowances, for the specified HCFC for each 
control period up until December

[[Page 51]]

31, 2019, to be used for the production of the specified HCFC for export 
only to foreign states listed in Appendix E to this subpart.
    (3) Effective January 1, 2015, a person apportioned baseline 
production allowances under Sec.  82.17 for HCFC-123, HCFC-124, HCFC-
225ca, and HCFC-225cb is also apportioned Article 5 allowances, equal to 
10 percent of their baseline production allowances, for the specified 
HCFC for each control period up until December 31, 2019, to be used for 
the production of the specified HCFC for export only to foreign states 
listed in Appendix E to this subpart.
    (b) Export Production Allowances. (1) Effective January 1, 2003, a 
person apportioned baseline production allowances for HCFC-141b under 
Sec.  82.17 is also apportioned export production allowances, equal to 
100 percent of their baseline production allowances, for HCFC-141b for 
each control period up until December 31, 2009, to be used for the 
production of HCFC-141b for export only, in accordance with this 
section.
    (2) [Reserved]
    (c) International trades of production allowances, export production 
allowances and Article 5 allowances. (1) A person may increase or 
decrease their production allowances, export production allowances, or 
Article 5 allowances, for a specified control period through trades with 
a foreign state that is Party to the Beijing Amendment or is complying 
with the Beijing Amendment as defined in this subpart. The foreign state 
must agree either to trade to the person for the current control period 
some quantity of production that the foreign state is permitted under 
the Montreal Protocol or to receive from the person for the current 
control period some quantity of production that the person is permitted 
under this subpart. The person must expend their consumption allowances 
allocated under Sec.  82.19, or obtained under Sec.  82.20 in order to 
produce with the additional production allowances.
    (2) Trade from a Party--Information requirements. (i) A person 
requesting a trade from a Party must submit to the Administrator a 
signed document from the principal diplomatic representative in that 
nation's embassy in the U.S. stating that the appropriate authority 
within that nation will establish or revise production limits for the 
nation to equal the lowest of the following three production quantities:
    (A) The maximum production that the nation is allowed under the 
Protocol minus the quantity (in kilograms) to be traded;
    (B) The maximum production that is allowed under the nation's 
applicable domestic law minus the quantity (in kilograms) to be traded; 
or
    (C) The average of the nation's actual national production level for 
the three years prior to the trade minus the production to be traded.
    (ii) A person requesting a trade from a Party must also submit to 
the Administrator a true copy of the document that sets forth the 
following:
    (A) The identity and address of the person;
    (B) The identity of the Party;
    (C) The names and telephone numbers of contact persons for the 
person and for the Party;
    (D) The chemical type and quantity (in kilograms) of production 
being traded;
    (E) Documentation that the Party possesses the necessary quantity of 
unexpended production rights;
    (F) The control period(s) to which the trade applies; and
    (G) For increased production intended for export to the Party from 
whom the allowances would be received, a signed statement of intent to 
export to the Party.
    (3) Trade to a Party--Information requirements. A person requesting 
a trade to a Party must submit a request that sets forth the following 
information to the Administrator:
    (i) The identity and address of the person;
    (ii) The identity of the Party;
    (iii) The names and telephone numbers of contact persons for the 
person and for the Party;
    (iv) The chemical type and quantity (in kilograms) of allowable 
production being traded; and
    (v) The control period(s) to which the trade applies.
    (4) Review of international trade request to a Party. After 
receiving a trade request that meets the requirements of

[[Page 52]]

paragraph (c)(3) of this section, the Administrator may, at his/her 
discretion, consider the following factors by seeking concurrence from 
the Department of Commerce, the United States Trade Representative, and 
the Department of State, where appropriate, in deciding whether to 
approve such a trade:
    (i) Possible creation of domestic economic hardship;
    (ii) Possible effects on trade;
    (iii) Potential environmental implications; and
    (iv) The total quantity of unexpended production allowances held by 
U.S. entities.
    (5) Notice of trade. If the request meets the requirement of 
paragraph (c)(2) of this section for trades from Parties and paragraphs 
(c)(3) and (4) of this section for trades to Parties, the Administrator 
will issue the person a notice. The notice will either grant or deduct 
production allowances or export production allowances or Article 5 
allowances and specify the control period to which the trade applies. 
The Administrator may disapprove the trade request contingent on the 
consideration of factors listed in paragraph (c)(4) of this section for 
trades to Parties.
    (i) For trades from a Party, the Administrator will issue a notice 
revising the allowances held by the recipient of the trade to equal the 
unexpended production allowances, unexpended export production 
allowances, or unexpended Article 5 allowances held by the recipient of 
the trade under this subpart plus the quantity of allowable production 
traded from the Party.
    (ii) For trades to a Party, the Administrator will issue a notice 
revising the production limit for the trader to equal the lesser of:
    (A) The unexpended production allowances, unexpended export 
production allowances or unexpended Article 5 allowances held by the 
trade or minus the quantity traded; or
    (B) The unexpended production allowances held by the trader minus 
the amount by which the U.S. average annual production of the class II 
controlled substance being traded for the three years prior to the trade 
is less than the total allowable production of that class II controlled 
substance under this subpart minus the amount traded; or
    (C) The total U.S. allowable production of the class II controlled 
substance being traded minus the three-year average of the actual annual 
U.S. production of the class II controlled substance prior to the 
control period of the trade.
    (6) Revised notices of production limits for subsequent traders. If 
after one person obtains approval of a trade of allowable production of 
a class II controlled substance to a Party and other persons obtain 
approval for trades of the same class II controlled substance during the 
same control period, the Administrator will issue revised notices. The 
notices will revise the production limits for each of the other persons 
trading to equal the lesser of:
    (i) The unexpended production allowances, unexpended export 
production allowances or unexpended Article 5 allowances held by the 
trader under this subpart minus the quantity traded; or
    (ii) The result of the following set of calculations:
    (A) The total U.S. allowable production of the class II controlled 
substance minus the three-year average of the actual annual U.S. 
production of the class II controlled substance prior to the control 
period of the trade;
    (B) The quantity traded divided by the total quantity traded by all 
the other persons trading the same class II controlled substance in the 
same control period;
    (C) The result of paragraph (c)(6)(ii)(A) of this section multiplied 
by the result of paragraph (c)(6)(ii)(B) of this section;
    (D) The quantity derived in paragraph (c)(6)(i) of this section, 
minus the result of paragraph (c)(6)(ii)(C) of this section;
    (7) Production limit for previous traders. The Administrator will 
also issue a notice revising the production limit for each trader who 
previously obtained approval of a trade of the class II controlled 
substance to a Party in the same control period to equal the result of 
the following set of calculations:
    (i) The total U.S. allowable production of the class II controlled 
substance minus the three-year average of the actual annual U.S. 
production of the

[[Page 53]]

class II controlled substance prior to the control period of the trade;
    (ii) The quantity traded by the person divided by the quantity 
traded by all the persons who have traded that class II controlled 
substance in that control period;
    (iii) The result of paragraph (c)(7)(i) of this section multiplied 
by the result of paragraph (c)(7)(ii) of this section.
    (iv) The unexpended production allowances, unexpended export 
production allowances or unexpended Article 5 allowances held by the 
person plus the result of paragraph (c)(7)(iii) of this section;
    (8) Effective date of revised production limits. The change in 
production allowances, export production allowances or Article 5 
allowances will be effective on the date that the notice is issued.

[68 FR 2848, Jan. 21, 2003, as amended at 74 FR 66446, Dec. 15, 2009; 79 
FR 16687, Mar. 26, 2014]



Sec.  82.19  Apportionment of baseline consumption allowances for class II 
controlled substances.

    The following persons are apportioned baseline consumption 
allowances for HCFC-22, HCFC-142b, HCFC-123, HCFC-124, HCFC-225ca, and 
HCFC-225cb as set forth in the following table:

------------------------------------------------------------------------
                                      Controlled
             Person                   substance         Allowances (kg)
------------------------------------------------------------------------
ABCO Refrigeration Supply......  HCFC-22............             279,366
AGC Chemicals Americas.........  HCFC-225ca.........             285,328
                                 HCFC-225cb.........             286,832
Altair Partners................  HCFC-22............             302,011
Arkema.........................  HCFC-22............          48,637,642
                                 HCFC-141b..........          25,405,570
                                 HCFC-142b..........             483,827
                                 HCFC-124...........               3,719
Carrier........................  HCFC-22............              54,088
Continental Industrial Group...  HCFC-141b..........              20,315
Coolgas, Inc...................  HCFC-141b..........          16,097,869
Combs Investment Property......  HCFC-22............           1,040,458
                                 HCFC-123...........              19,980
                                 HCFC-124...........               3,742
Discount Refrigerants..........  HCFC-141b..........                 994
DuPont.........................  HCFC-22............          38,814,862
                                 HCFC-141b..........               9,049
                                 HCFC-142b..........              52,797
                                 HCFC-123...........           1,877,042
                                 HCFC-124...........             743,312
H.G. Refrigeration Supply......  HCFC-22............              40,068
Honeywell......................  HCFC-22............          35,392,492
                                 HCFC-141b..........          20,749,489
                                 HCFC-142b..........           1,315,819
                                 HCFC-124...........           1,284,265
ICC Chemical Corp..............  HCFC-141b..........              81,225
ICOR...........................  HCFC-124...........              81,220
Mexichem Fluor Inc.............  HCFC-22............           2,546,305
Kivlan & Company...............  HCFC-22............           2,081,018
MDA Manufacturing..............  HCFC-22............           2,541,545
Mondy Global...................  HCFC-22............             281,824
National Refrigerants..........  HCFC-22............           5,528,316
                                 HCFC-123...........              72,600
                                 HCFC-124...........              50,380
Perfect Technology Center, LP..  HCFC-123...........               9,100
Refricenter of Miami...........  HCFC-22............             381,293
Refricentro....................  HCFC-22............              45,979
R-Lines........................  HCFC-22............              63,172
Saez Distributors..............  HCFC-22............              37,936
Solvay Fluorides, LLC..........  HCFC-22............           3,781,691
                                 HCFC-141b..........           3,940,115
Solvay Specialty Polymers USA,   HCFC-142b..........             194,536
 LLC.
Tulstar Products...............  HCFC-141b..........              89,913
                                 HCFC-123...........              34,800
                                 HCFC-124...........             229,582
USA Refrigerants...............  HCFC-22............              14,865
------------------------------------------------------------------------


[79 FR 64288, Oct. 28, 2014]

[[Page 54]]



Sec.  82.20  Availability of consumption allowances in addition to baseline 
consumption allowances for class II controlled substances.

    (a) A person may obtain at any time during the control period, in 
accordance with the provisions of this section, consumption allowances 
equivalent to the quantity of class II controlled substances that the 
person exported from the United States and its territories to a foreign 
state in accordance with this section, when that quantity of class II 
controlled substance was produced in the U.S. or imported into the 
United States with expended consumption allowances. Both the export of 
the class II controlled substance and the request for additional 
consumption allowances must occur during a calendar year in which 
consumption allowances were issued for that class II controlled 
substance.
    (1) The exporter must submit to the Administrator a request for 
consumption allowances setting forth the following:
    (i) The identities and addresses of the exporter and the recipient 
of the exports;
    (ii) The exporter's Employer Identification Number;
    (iii) The names and telephone numbers of contact persons for the 
exporter and the recipient;
    (iv) The quantity (in kilograms) and type of class II controlled 
substances reported;
    (v) The source of the class II controlled substances and the date 
purchased;
    (vi) The date on which, and the port from which, the class II 
controlled substances were exported from the U.S. or its territories;
    (vii) The country to which the class II controlled substances were 
exported;
    (viii) A copy of the bill of lading and the invoice indicating the 
net quantity (in kilograms) of class II controlled substances shipped 
and documenting the sale of the class II controlled substances to the 
purchaser;
    (ix) The commodity codes of the class II controlled substances 
reported; and
    (x) A written statement from the producer that the class II 
controlled substances were produced with expended allowances or a 
written statement from the importer that the class II controlled 
substances were imported with expended allowances.
    (2) The Administrator will review the information and documentation 
submitted under paragraph (a)(1) of this section and will issue a 
notice.
    (i) The Administrator will determine the quantity of class II 
controlled substances that the documentation verifies was exported and 
issue consumption allowances equivalent to the quantity of class II 
controlled substances that were exported.
    (A) The grant of the consumption allowances will be effective on the 
date the notice is issued.
    (B) The consumption allowances will be granted to the person the 
exporter indicates, whether it is the producer, the importer, or the 
exporter.
    (ii) The Administrator will issue a notice that the consumption 
allowances are not granted if the Administrator determines that the 
information and documentation do not satisfactorily substantiate the 
exporter's claims.
    (b) International trades of consumption allowances. (1) A person may 
increase its consumption allowances for a specified control period 
through trades with another Party to the Protocol as set forth in this 
paragraph (b). A person may only receive consumption from Poland or 
Norway, or both, and only if the nation agrees to trade to the person 
for the current control period some quantity of consumption that the 
nation is permitted under the Montreal Protocol.
    (2) Trade from a Party--Information requirements. A person must 
submit the following information to the Administrator:
    (i) A signed document from the principal diplomatic representative 
in the Polish or Norwegian embassy in the U.S. stating that the 
appropriate authority within that nation will establish or revise 
consumption limits for the nation to equal the lowest of the following 
three consumption quantities:
    (A) The maximum consumption that the nation is allowed under the 
Protocol minus the quantity (in kilograms) traded;

[[Page 55]]

    (B) The maximum consumption that is allowed under the nation's 
applicable domestic law minus the quantity (in kilograms) traded; or
    (C) The average of the nation's actual consumption level for the 
three years prior to the trade minus the consumption traded.
    (ii) A person requesting a consumption trade from Poland or Norway 
must also submit to the Administrator a true copy of the document that 
sets forth the following:
    (A) The identity and address of the person;
    (B) The identity of the Party;
    (C) The names and telephone numbers of contact persons for the 
person and for the Party;
    (D) The chemical type and quantity (in kilograms) of consumption 
being traded;
    (E) Documentation that the Party possesses the necessary quantity of 
unexpended consumption rights;
    (F) The control period(s) to which the trade applies; and
    (3) Notice of trade. If the request meets the requirement of 
paragraph (b)(2) of this section for trades from Parties, the 
Administrator will issue the person a notice. The notice will grant 
consumption allowances and specify the control period to which the trade 
applies. The Administrator may disapprove the trade request if it does 
not meet the requirements of paragraph (b)(2) of this section.
    (4) Trade from a Party. The Administrator will issue a notice 
revising the allowances held by the recipient of the trade to equal the 
unexpended consumption allowances held by the recipient of the trade 
under this subpart plus the quantity of allowable consumption traded 
from the Party.
    (5) Effective date of revised consumption limits. The change in 
consumption allowances will be effective on the date that the notice is 
issued.

[68 FR 2848, Jan. 21, 2003, as amended at 71 FR 41172, July 20, 2006; 79 
FR 64288, Oct. 28, 2014]



Sec. Sec.  82.21-82.22  [Reserved]



Sec.  82.23  Transfers of allowances of class II controlled substances.

    (a) Inter-company transfers. Effective January 1, 2003, a person 
(``transferor'') may transfer to any other person (``transferee'') any 
quantity of the transferor's class II consumption allowances, production 
allowances, export production allowances, or Article 5 allowances for 
the same type of allowance as follows:
    (i) The transferor must submit to the Administrator a transfer claim 
setting forth the following:
    (A) The identities and addresses of the transferor and the 
transferee;
    (B) The name and telephone numbers of contact persons for the 
transferor and the transferee;
    (C) The type of allowances being transferred, including the names of 
the class II controlled substances for which allowances are to be 
transferred;
    (D) The quantity (in kilograms) of allowances being transferred;
    (E) The control period(s) for which the allowances are being 
transferred;
    (F) [Reserved]
    (G) For trades of consumption allowances, production allowances, 
export production allowances, or Article 5 allowances, the quantity of 
the 0.1 percent offset applied to the unweighted quantity traded that 
will be deducted from the transferor's allowance balance.
    (ii) The Administrator will determine whether the records maintained 
by EPA indicate that the transferor possesses unexpended allowances 
sufficient to cover the transfer claim on the date the transfer claim is 
processed. The transfer claim is the quantity (in kilograms) to be 
transferred plus 0.1 percent of that quantity. The Administrator will 
take into account any previous transfers, any production, and allowable 
imports and exports of class II controlled substances reported by the 
transferor. Within three working days of receiving a complete transfer 
claim, the Administrator will take action to notify the transferor and 
transferee as follows:
    (A) The Administrator will issue a notice indicating that EPA does 
not object to the transfer if EPA's records

[[Page 56]]

show that the transferor has sufficient unexpended allowances to cover 
the transfer claim. In the case of transfers of production or 
consumption allowances, EPA will reduce the transferor's balance of 
unexpended allowances by the quantity to be transferred plus 0.1 percent 
of that quantity. In the case of transfers of export production or 
Article 5 allowances, EPA will reduce the transferor's balance of 
unexpended allowances, respectively, by the quantity to be transferred 
plus 0.1 percent of that quantity. The transferor and the transferee may 
proceed with the transfer when EPA issues a no objection notice. 
However, if EPA ultimately finds that the transferor did not have 
sufficient unexpended allowances to cover the claim, the transferor and 
transferee, where applicable, will be held liable for any knowing 
violations of the regulations of this subpart that occur as a result of, 
or in conjunction with, the improper transfer.
    (B) The Administrator will issue a notice disallowing the transfer 
if EPA's records show that the transferor has insufficient unexpended 
allowances to cover the transfer claim, or that the transferor has 
failed to respond to one or more Agency requests to supply information 
needed to make a determination. Either party may file a notice of 
appeal, with supporting reasons, with the Administrator within 10 
working days after receipt of notification. The Administrator may affirm 
or vacate the disallowance. If no appeal is taken by the tenth working 
day after notification, the disallowance shall be final on that day.
    (iii) The transferor and transferee may proceed with the transfer if 
the Administrator does not respond to a transfer claim within the three 
working days specified in paragraph (a)(1)(ii) of this section. In the 
case of transfers of production or consumption allowances, EPA will 
reduce the transferor's balance of unexpended allowances by the quantity 
to be transferred plus 0.1 percent of that quantity. In the case of 
transfers of export production allowances or Article 5 allowances, EPA 
will reduce the transferor's balance of unexpended allowances by the 
quantity to be transferred plus 0.1 percent of that quantity. If EPA 
ultimately finds that the transferor did not have sufficient unexpended 
allowances to cover the claim, the transferor and/or the transferee, 
where applicable, will be held liable for any knowing violations of the 
regulations of this subpart that occur as a result of, or in conjunction 
with, the improper transfer.
    (b) Inter-pollutant transfers. (1) Effective January 1, 2003, a 
person (transferor) may convert consumption allowances, production 
allowances or Article 5 allowances for one class II controlled substance 
to the same type of allowance for another class II controlled substance 
listed in appendix B of this subpart, following the procedures described 
in paragraph (b)(3) of this section.
    (i) A person (transferor) may only convert allowances for one class 
II controlled substance for which EPA has issued allowances under Sec.  
82.16 to another class II controlled substance for which EPA has issued 
allowances under Sec.  82.16.
    (ii) [Reserved]
    (2) Inter-pollutant transfers will be permitted at any time during 
the control period and during the 30 days after the end of a control 
period.
    (3) The transferor must submit to the Administrator a transfer claim 
that includes the following:
    (i) The identity and address of the transferor;
    (ii) The name and telephone number of a contact person for the 
transferor;
    (iii) The type of allowances being converted, including the names of 
the class II controlled substances for which allowances are to be 
converted;
    (iv) The quantity (in kilograms) and type of allowances to be 
converted;
    (v) The quantity (in kilograms) of allowances to be subtracted from 
the transferor's unexpended allowances for the first class II controlled 
substance, to be equal to 100.1 percent of the quantity of allowances 
converted;
    (vi) The quantity (in kilograms) of allowances to be added to the 
transferee's unexpended allowances for the second class II controlled 
substance, to be equal to the quantity (in kilograms)

[[Page 57]]

of allowances for the first class II controlled substance being 
converted multiplied by the quotient of the ozone depletion potential of 
the first class II controlled substance divided by the ozone depletion 
potential of the second class II controlled substance, as listed in 
Appendix B to this subpart;
    (vii) The control period(s) for which the allowances are being 
converted; and
    (viii) The quantity (in kilograms) of unexpended allowances of the 
type and for the control period being converted that the transferor 
holds under authority of this subpart as of the date the claim is 
submitted to EPA.
    (4) The Administrator will determine whether the records maintained 
by EPA indicate that the convertor possesses unexpended allowances 
sufficient to cover the transfer claim on the date the transfer claim is 
processed (i.e., the quantity (in kilograms) to be converted plus 0.1 
percent of that quantity (in kilograms)). EPA will take into account any 
previous transfers, and any production, imports (not including 
transshipments or used class II controlled substances), or exports (not 
including transhipments or used class II controlled substances) of class 
II controlled substances reported by the convertor. Within three working 
days of receiving a complete transfer claim, the Administrator will take 
action to notify the convertor as follows:
    (i) The Administrator will issue a notice indicating that EPA does 
not object to the transfer if EPA's records show that the convertor has 
sufficient unexpended allowances to cover the transfer claim. EPA will 
reduce the transferor's balance of unexpended allowances by the quantity 
to be converted plus 0.1 percent of that quantity (in kilograms). When 
EPA issues a no objection notice, the transferor may proceed with the 
transfer. However, if EPA ultimately finds that the transferor did not 
have sufficient unexpended allowances to cover the claim, the transferor 
will be held liable for any violations of the regulations of this 
subpart that occur as a result of, or in conjunction with, the improper 
transfer.
    (ii) The Administrator will issue a notice disallowing the transfer 
if EPA's records show that the transferor has insufficient unexpended 
allowances to cover the transfer claim, or that the transferor has 
failed to respond to one or more Agency requests to supply information 
needed to make a determination. The transferor may file a notice of 
appeal, with supporting reasons, with the Administrator within 10 
working days after receipt of notification. The Administrator may affirm 
or vacate the disallowance. If no appeal is taken by the tenth working 
day after notification, the disallowance shall be final on that day.
    (iii) The transferor may proceed with the transfer if the 
Administrator does not respond to a transfer claim within the three 
working days specified in paragraph (b)(4) of this section. EPA will 
reduce the transferor's balance of unexpended allowances by the quantity 
(in kilograms) to be converted plus 0.1 percent of that quantity (in 
kilograms). The transferor will be held liable for any violations of the 
regulations of this subpart that occur as a result of, or in conjunction 
with, the improper transfer if EPA ultimately finds that the transferor 
did not have sufficient unexpended allowances or credits to cover the 
claim.
    (c) Inter-company transfers and Inter-pollutant transfers. If a 
person requests an inter-company transfer and an inter-pollutant 
transfer simultaneously, the quantity (in kilograms) subtracted from the 
transferor's unexpended production or consumption allowances for the 
first class II controlled substance will be equal to 100.1 percent of 
the quantity (in kilograms) of allowances that are being converted and 
transferred.
    (d) Permanent transfers. The procedures in paragraph (a) of this 
section apply to permanent inter-company transfers of baseline 
production allowances or baseline consumption allowances. A person 
receiving a permanent transfer of baseline production allowances or 
baseline consumption allowances (the transferee) for a specific class II 
controlled substance will be the person who has their baseline 
allowances adjusted in accordance with phaseout schedules in this 
subpart. No person may conduct permanent inter-

[[Page 58]]

pollutant transfers of baseline production allowances or baseline 
consumption allowances.

[68 FR 2848, Jan. 21, 2003, as amended at 78 FR 20028, Apr. 3, 2013; 85 
FR 15298, Mar. 17, 2020]



Sec.  82.24  Recordkeeping and reporting requirements for class II 
controlled substances.

    (a) Recordkeeping and reporting. Any person who produces, imports, 
exports, transforms, or destroys class II controlled substances must 
comply with the following recordkeeping and reporting requirements:
    (1) Reports required by this section must be submitted to the 
Administrator within 45 days of the end of the applicable reporting 
period, unless otherwise specified. Starting May 18, 2020, reports that 
are available for submission through the Central Data Exchange must be 
submitted electronically through that tool.
    (2) Revisions of reports that are required by this section must be 
mailed to the Administrator within 180 days of the end of the applicable 
reporting period, unless otherwise specified.
    (3) Records and copies of reports required by this section must be 
retained for three years.
    (4) Quantities of class II controlled substances must be stated in 
terms of kilograms in reports required by this section.
    (5) Reports and records required by this section may be used for 
purposes of compliance determinations. These requirements are not 
intended as a limitation on the use of other evidence admissible under 
the Federal Rules of Evidence. Failure to provide the reports, petitions 
and records required by this section and to certify the accuracy of the 
information in the reports, petitions and records required by this 
section, will be considered a violation of this subpart. False 
statements made in reports, petitions and records will be considered 
violations of Section 113 of the Clean Air Act and under 18 U.S.C. 1001.
    (b) Producers. Persons (``producers'') who produce class II 
controlled substances during a control period must comply with the 
following recordkeeping and reporting requirements:
    (1) Reporting--Producers. For each quarter, each producer of a class 
II controlled substance must provide the Administrator with a report 
containing the following information:
    (i) The quantity (in kilograms) of production of each class II 
controlled substance used in processes resulting in their transformation 
by the producer and the quantity (in kilograms) intended for 
transformation by a second party;
    (ii) The quantity (in kilograms) of production of each class II 
controlled substance used in processes resulting in their destruction by 
the producer and the quantity (in kilograms) intended for destruction by 
a second party;
    (iii) The expended allowances for each class II controlled 
substance;
    (iv) [Reserved]
    (v) The quantity (in kilograms) of class II controlled substances 
sold or transferred during the quarter to a person other than the 
producer for use in processes resulting in their transformation or 
eventual destruction;
    (vi) A list of the quantities and names of class II controlled 
substances, exported by the producer to a Party to the Protocol, that 
will be transformed or destroyed and therefore were not produced 
expending production or consumption allowances;
    (vii) For transformation in the U.S. or by a person of another 
Party, one copy of a transformation verification from the transformer 
for a specific class II controlled substance and a list of additional 
quantities shipped to that same transformer for the quarter;
    (viii) For destruction in the U.S. or by a person of another Party, 
one copy of a destruction verification as required in paragraph (e) of 
this section for a particular destroyer, destroying the same class II 
controlled substance, and a list of additional quantities shipped to 
that same destroyer for the quarter; and
    (ix) [Reserved]
    (x) In cases where the producer produced class II controlled 
substances using Article 5 allowances, a list of U.S. entities that 
purchased those class II controlled substances and exported them to 
Article 5 countries.

[[Page 59]]

    (2) Recordkeeping--Producers. Every producer of a class II 
controlled substance during a control period must maintain the following 
records:
    (i) Dated records of the quantity (in kilograms) of each class II 
controlled substance produced at each facility;
    (ii) Dated records of the quantity (in kilograms) of class II 
controlled substances produced for use in processes that result in their 
transformation or for use in processes that result in their destruction;
    (iii) Dated records of the quantity (in kilograms) of class II 
controlled substances sold for use in processes that result in their 
transformation or for use in processes that result in their destruction;
    (iv) Dated records of the quantity (in kilograms) of class II 
controlled substances produced with Article 5 allowances;
    (v) Copies of invoices or receipts documenting sale of class II 
controlled substances for use in processes that result in their 
transformation or for use in processes that result in their destruction;
    (vi) Dated records of the quantity (in kilograms) of each class II 
controlled substance used at each facility as feedstocks or destroyed in 
the manufacture of a class II controlled substance or in the manufacture 
of any other substance, and any class II controlled substance introduced 
into the production process of the same class II controlled substance at 
each facility;
    (vii) Dated records of the quantity (in kilograms) of raw materials 
and feedstock chemicals used at each facility for the production of 
class II controlled substances;
    (viii) Dated records of the shipments of each class II controlled 
substance produced at each plant;
    (ix) The quantity (in kilograms) of class II controlled substances, 
the date received, and names and addresses of the source of used 
materials containing class II controlled substances which are recycled 
or reclaimed at each plant;
    (x) Records of the date, the class II controlled substance, and the 
estimated quantity of any spill or release of a class II controlled 
substance that equals or exceeds 100 pounds;
    (xi) Transformation verification in the case of transformation, or 
the destruction verification in the case of destruction as required in 
paragraph (e) of this section showing that the purchaser or recipient of 
a class II controlled substance, in the U.S. or in another country that 
is a Party, certifies the intent to either transform or destroy the 
class II controlled substance, or sell the class II controlled substance 
for transformation or destruction in cases when allowances were not 
expended; and
    (xii) [Reserved]
    (xiii) Written verifications from a U.S. purchaser that the class II 
controlled substance was exported to an Article 5 country in cases where 
Article 5 allowances were expended to produce the class II controlled 
substance.
    (3) For any person who fails to maintain the records required by 
this paragraph, or to submit the report required by this paragraph, the 
Administrator may assume that the person has produced at full capacity 
during the period for which records were not kept, for purposes of 
determining whether the person has violated the prohibitions at Sec.  
82.15.
    (c) Importers. Persons (``importers'') who import class II 
controlled substances during a control period must comply with the 
following recordkeeping and reporting requirements:
    (1) Reporting--Importers. For each quarter, an importer of a class 
II controlled substance (including importers of used class II controlled 
substances) must submit to the Administrator a report containing the 
following information:
    (i) Summaries of the records required in paragraphs (c)(2)(i) 
through (xvi) of this section for the previous quarter;
    (ii) The total quantity (in kilograms) imported of each class II 
controlled substance for that quarter;
    (iii) The commodity code for the class II controlled substances 
imported, which must be one of those listed in Appendix K to this 
subpart;
    (iv) The quantity (in kilograms) of those class II controlled 
substances imported that are used class II controlled substances;

[[Page 60]]

    (v) The quantity (in kilograms) of class II controlled substances 
imported for that quarter and totaled by chemical for the control period 
to date;
    (vi) [Reserved]
    (vii) The quantity (in kilograms) of class II controlled substances 
imported for use in processes resulting in their transformation or 
destruction;
    (viii) The quantity (in kilograms) of class II controlled substances 
sold or transferred during that quarter to each person for use in 
processes resulting in their transformation or eventual destruction; and
    (ix) Transformation verifications showing that the purchaser or 
recipient of imported class II controlled substances intends to 
transform those substances or destruction verifications showing that the 
purchaser or recipient intends to destroy the class II controlled 
substances (as provided in paragraph (e) of this section).
    (2) Recordkeeping--Importers. An importer of a class II controlled 
substance (including used class II controlled substances) must maintain 
the following records:
    (i) The quantity (in kilograms) of each class II controlled 
substance imported, either alone or in mixtures, including the 
percentage of each mixture which consists of a class II controlled 
substance;
    (ii) The quantity (in kilograms) of those class II controlled 
substances imported that are used and the information provided with the 
petition where a petition is required under paragraph (c)(3) of this 
section;
    (iii) The quantity (in kilograms) of class II controlled substances 
other than transhipments or used substances imported for use in 
processes resulting in their transformation or destruction;
    (iv) The quantity (in kilograms) of class II controlled substances 
other than transhipments or used substances imported and sold for use in 
processes that result in their destruction or transformation;
    (v) The date on which the class II controlled substances were 
imported;
    (vi) The port of entry through which the class II controlled 
substances passed;
    (vii) The country from which the imported class II controlled 
substances were imported;
    (viii) The commodity code for the class II controlled substances 
shipped, which must be one of those listed in Appendix K to this 
subpart;
    (ix) The importer number for the shipment;
    (x) A copy of the bill of lading for the import;
    (xi) The invoice for the import;
    (xii) The quantity (in kilograms) of imports of used class II 
controlled substances;
    (xiii) The U.S. Customs entry number;
    (xiv) Dated records documenting the sale or transfer of class II 
controlled substances for use in processes resulting in their 
transformation or destruction; and
    (xv) Copies of transformation verifications or destruction 
verifications indicating that the class II controlled substances will be 
transformed or destroyed (as provided in paragraph (e) of this section).
    (3) Petition to import used class II controlled substances and 
transhipment-Importers. For each individual shipment over 5 pounds of a 
used class II controlled substance as defined in Sec.  82.3 for which 
EPA has apportioned baseline production and consumption allowances, an 
importer must submit directly to the Administrator, at least 40 working 
days before the shipment is to leave the foreign port of export, the 
following information in a petition:
    (i) The name, commodity code and quantity (in kilograms) of the used 
class II controlled substance to be imported;
    (ii) The name and address of the importer, the importer ID number, 
the contact person, email address, and phone number;
    (iii) Name, address, contact person, email address, and phone number 
of all previous source facilities from which the used class II 
controlled substance was recovered;
    (iv) A detailed description of the previous use of the class II 
controlled substance at each source facility and a best estimate of when 
the specific controlled substance was put into the equipment at each 
source facility, and,

[[Page 61]]

when possible, documents indicating the date the material was put into 
the equipment;
    (v) A list of the name, make and model number of the equipment from 
which the material was recovered at each source facility;
    (vi) Name, address, contact person, email address, and phone number 
of the exporter and of all persons to whom the material was transferred 
or sold after it was recovered from the source facility;
    (vii) The U.S. port of entry for the import, the expected date of 
shipment and the vessel transporting the chemical. If at the time of 
submitting a petition the importer does not know the U.S. port of entry, 
the expected date of shipment and the vessel transporting the chemical, 
and the importer receives a non-objection notice for the individual 
shipment in the petition, the importer is required to notify the 
Administrator of this information prior to the actual U.S. Customs entry 
of the individual shipment;
    (viii) A description of the intended use of the used class II 
controlled substance, and, when possible, the name, address, contact 
person, email address, and phone number of the ultimate purchaser in the 
United States;
    (ix) The name, address, contact person, email address, and phone 
number of the U.S. reclamation facility, where applicable;
    (x) If someone at the source facility recovered the class II 
controlled substance from the equipment, the name, email address, and 
phone number of that person;
    (xi) If the imported class II controlled substance was reclaimed in 
a foreign Party, the name, address, contact person, email address, and 
phone number of any or all foreign reclamation facility(ies) responsible 
for reclaiming the cited shipment;
    (xii) The export license, application for an export license, or 
official communication acknowledging the export from the appropriate 
government agency in the country of export and, if recovered in another 
country, the export license or official communication from the 
appropriate government agency in that country, and quantity authorized 
for export in kilograms on the export license, and an English 
translation of these documents;
    (xiii) If the imported used class II controlled substance is 
intended to be sold as a refrigerant in the United States, the name, 
address, and email address of the EPA-certified U.S. reclaimer who will 
bring the material to the standard required under subpart F of this 
part, if not already reclaimed to those specifications; and
    (xiv) A certification of accuracy of the information submitted in 
the petition.
    (4) Review of petition to import used class II controlled substances 
and transhipments--Importers. Starting on the first working day 
following receipt by the Administrator of a petition to import a used 
class II controlled substance, the Administrator will initiate a review 
of the information submitted under paragraph (c)(3) of this section and 
take action within 40 working days to issue either an objection-notice 
or a non-objection notice for the individual shipment to the person who 
submitted the petition to import the used class II controlled substance.
    (i) The Administrator may issue an objection notice to a petition 
for the following reasons:
    (A) If the Administrator determines that the information is 
insufficient, that is, if the petition lacks or appears to lack any of 
the information required under paragraph (c)(3) of this section or other 
information that may be requested during the review of the petition 
necessary to verify that the controlled substance is used;
    (B) If the Administrator determines that any portion of the petition 
contains false or misleading information, or the Administrator has 
information from other U.S. or foreign government agencies indicating 
that the petition contains false or misleading information;
    (C) If the transaction appears to be contrary to provisions of the 
Vienna Convention on Substances that Deplete the Ozone Layer, the 
Montreal Protocol and Decisions by the Parties, or the non-compliance 
procedures outlined and instituted by the Implementation Committee of 
the Montreal Protocol;

[[Page 62]]

    (D) If the appropriate government agency in the exporting country 
has not agreed to issue an export license for the cited individual 
shipment of used class II controlled substance;
    (E) If reclamation capacity is installed or is being installed for 
that specific class II controlled substance in the country of recovery 
or country of export and the capacity is funded in full or in part 
through the Multilateral Fund.
    (ii) Within ten (10) working days after receipt of the objection 
notice, the importer may re-petition the Administrator, only if the 
Administrator indicated ``insufficient information'' as the basis for 
the objection notice. If no appeal is taken by the tenth working day 
after the date on the objection notice, the objection shall become 
final. Only one re-petition will be accepted for any original petition 
received by EPA.
    (iii) Any information contained in the re-petition which is 
inconsistent with the original petition must be identified and a 
description of the reason for the inconsistency must accompany the re-
petition.
    (iv) In cases where the Administrator does not object to the 
petition based on the criteria listed in paragraph (c)(4)(i) of this 
section, the Administrator will issue a non-objection notice.
    (v) To pass the approved used class II controlled substances through 
U.S. Customs, the non-objection notice issued by EPA must accompany the 
shipment through U.S. Customs.
    (vi) If for some reason, following EPA's issuance of a non-objection 
notice, new information is brought to EPA's attention which shows that 
the non-objection notice was issued based on false information, then EPA 
has the right to:
    (A) Revoke the non-objection notice;
    (B) Pursue all means to ensure that the class II controlled 
substance is not imported into the U.S.; and
    (C) Take appropriate enforcement actions.
    (vii) A person receiving the non-objection notice is permitted to 
import the individual shipment only within one year of the date stamped 
on the non-objection notice.
    (viii) A person receiving a non-objection notice from the 
Administrator for a petition to import used class II controlled 
substances must maintain the following records:
    (A) A copy of the petition;
    (B) The EPA non-objection notice;
    (C) The bill of lading for the import; and
    (D) The U.S. Customs entry number.
    (5) Recordkeeping for transhipments--Importers. Any person who 
tranships a class II controlled substance must maintain records that 
indicate:
    (i) That the class II controlled substance shipment originated in a 
foreign country;
    (ii) That the class II controlled substance shipment is destined for 
another foreign country; and
    (iii) That the class II controlled substance shipment will not enter 
interstate commerce within the U.S.
    (6) Certification of intent to import for destruction. For each 
individual shipment of a class II controlled substance imported with the 
intent to destroy that substance, an importer must submit electronically 
to the Administrator, at least 30 working days before the shipment is to 
leave the foreign port of export, the following information:
    (i) Name, commodity code, and quantity in kilograms of each 
controlled substance to be imported;
    (ii) Name and address of the importer, the importer ID number, and 
the contact person's name, email address, and phone number;
    (iii) Name and address of any intermediary who aggregates controlled 
substances imported for destruction, and the contact person's name, 
email address, and phone number;
    (iv) The U.S. port of entry for the import, the expected date of 
shipment and the vessel transporting the material. If at the time of 
submitting the certification of intent to import for destruction the 
importer does not know the U.S. port of entry, the expected date of 
shipment and the vessel transporting the material, and the importer 
receives a non-objection notice for the individual shipment in the 
petition, the importer is required to notify the Administrator of this 
information prior

[[Page 63]]

to the entry of the individual shipment into the United States;
    (v) Name, address, contact person, email address, and phone number 
of the responsible party at the destruction facility;
    (vi) The export license, application for an export license, or 
official communication acknowledging the export from the appropriate 
government agency in the country of export and, if recovered in another 
country, the export license or official communication from the 
appropriate government agency in that country, and quantity authorized 
for export in kilograms on the export license, and an English 
translation of these documents; and
    (vii) A certification of accuracy of the information submitted in 
the certification.
    (7) Destruction verification. For each individual shipment of a 
class II controlled substance imported with the intent to destroy that 
substance, an importer must submit to the Administrator a copy of the 
destruction verification within 30 days after destruction of the 
controlled substance(s).
    (8) Review of certification of intent to import for destruction. (i) 
Starting on the first working day following receipt by the Administrator 
of a certification of intent to import a class II controlled substance 
for destruction, the Administrator will initiate a review of the 
information submitted under paragraph (c)(6) of this section and take 
action within 30 working days to issue either an objection notice or a 
non-objection notice for the individual shipment to the person who 
submitted the certification of intent to import the class II controlled 
substance for destruction.
    (ii) The Administrator may issue an objection notice if the petition 
lacks or appears to lack any of the information required under paragraph 
(c)(6) of this section or for the reasons listed in paragraphs 
(c)(4)(i)(B) through (E) of this section.
    (iii) In cases where the Administrator does not object to the 
petition, the Administrator will issue a non-objection notice.
    (iv) To pass the approved class II controlled substances through 
U.S. Customs, the non-objection notice issued by EPA must accompany the 
shipment through U.S. Customs.
    (v) If for some reason, following EPA's issuance of a non-objection 
notice, new information is brought to EPA's attention which shows that 
the non-objection notice was issued based on false information, then EPA 
has the right to:
    (A) Revoke the non-objection notice;
    (B) Pursue all means to ensure that the class II controlled 
substance is not imported into the United States; and
    (C) Take appropriate enforcement actions.
    (9) Timing of import. A person receiving the non-objection notice is 
permitted to import the individual shipment only within one year of the 
date stamped on the non-objection notice.
    (10) Additional recordkeeping requirements--importers of used, 
recycled, or reclaimed controlled substances. A person receiving a non-
objection notice from the Administrator for a certification of intent to 
import class II controlled substances for destruction must maintain the 
following records:
    (i) A copy of the certificate of intent to import for destruction;
    (ii) The EPA non-objection notice;
    (iii) A copy of the export license, export license application, or 
official communication from the appropriate government agency in the 
country of export;
    (iv) U.S. Customs entry documents for the import that must include 
one of the commodity codes from appendix K to this subpart;
    (v) The date, amount, and type of controlled substance sent for 
destruction, per shipment;
    (vi) An invoice from the destruction facility verifying the shipment 
was received;
    (vii) A copy of the destruction verification from the destruction 
facility; and
    (viii) An English translation of the document in paragraph 
(c)(10)(iii) of this section.
    (11) Recordkeeping requirements-aggregators. A person identified in 
paragraph (c)(6)(iii) of this section as aggregating a controlled 
substance prior to destruction must:
    (i) Maintain transactional records that include the name and address 
of

[[Page 64]]

the entity from whom they received the controlled substance imported for 
destruction;
    (ii) Maintain transactional records that include the name and 
address of the entity to whom they sent the controlled substance 
imported for destruction;
    (iii) Maintain records that include the date and quantity of the 
imported controlled substance received for destruction;
    (iv) Maintain records that include the date and quantity of the 
imported controlled substance sent for destruction; and
    (v) If the person is the final aggregator of such a controlled 
substance before the material is destroyed, maintain a copy of the 
destruction verification.
    (d) Exporters. Persons (``exporters'') who export class II 
controlled substances during a control period must comply with the 
following reporting requirements:
    (1) Reporting requirements--exporters. For any exports of class II 
controlled substances not reported under paragraph (b)(2) of this 
section (reporting for producers of class II controlled substances), 
each exporter who exported a class II controlled substance must submit 
to the Administrator the following information within 30 days after the 
end of each quarter in which the unreported exports left the United 
States:
    (i) The names and addresses of the exporter and the recipient of the 
exports;
    (ii) The exporter's Employer Identification Number;
    (iii) The type and quantity of each class II controlled substance 
exported, including the quantity of controlled substance that is used, 
reclaimed, or recycled;
    (iv) The date on which, and the port from which, the class II 
controlled substances were exported from the U.S. or its territories;
    (v) The country to which the class II controlled substances were 
exported;
    (vi) The quantity (in kilograms) exported to each Article 5 country;
    (vii) The commodity code for the class II controlled substances 
shipped, which must be one of those listed in Appendix K to this 
subpart;
    (viii) For persons reporting transformation or destruction, the 
invoice or sales agreement containing language similar to the 
transformation verifications that the purchaser or recipient of imported 
class II controlled substances intends to transform those substances, or 
destruction verifications showing that the purchaser or recipient 
intends to destroy the class II controlled substances (as provided in 
paragraph (e) of this section).
    (2) [Reserved]
    (3) Reporting Article 5 allowances--Exporters. In addition to the 
information required in paragraph (d)(1) of this section, any exporter 
using Article 5 allowances must also provide the following to the 
Administrator:
    (i) The Employer Identification Number of the shipper or their 
agent; and
    (ii) The exporting vessel on which the class II controlled 
substances were shipped.
    (4) Reporting used class II controlled substances--Exporters. Any 
exporter of used class II controlled substances must indicate on the 
bill of lading or invoice that the class II controlled substance is 
used, as defined in Sec.  82.3.
    (e) Transformation and destruction. Any person who transforms or 
destroys class II controlled substances must comply with the following 
recordkeeping and reporting requirements:
    (1) Recordkeeping--Transformation and destruction. Any person who 
transforms or destroys class II controlled substances produced or 
imported by another person must maintain the following:
    (i) Copies of the invoices or receipts documenting the sale or 
transfer of the class II controlled substances to the person;
    (ii) Records identifying the producer or importer of the class II 
controlled substances received by the person;
    (iii) Dated records of inventories of class II controlled substances 
at each plant on the first day of each quarter;
    (iv) Dated records of the quantity (in kilograms) of each class II 
controlled substance transformed or destroyed;
    (v) In the case where class II controlled substances were purchased 
or

[[Page 65]]

transferred for transformation purposes, a copy of the person's 
transformation verification as provided under paragraph (e)(3)of this 
section.
    (vi) Dated records of the names, commercial use, and quantities (in 
kilograms) of the resulting chemical(s) when the class II controlled 
substances are transformed; and
    (vii) Dated records of shipments to purchasers of the resulting 
chemical(s) when the class II controlled substances are transformed.
    (viii) In the case where class II controlled substances were 
purchased or transferred for destruction purposes, a copy of the 
person's destruction verification, as provided under paragraph (e)(5) of 
this section.
    (2) Reporting--Transformation and destruction. Any person who 
transforms or destroys class II controlled substances and who has 
submitted a transformation verification ((paragraph (e)(3) of this 
section) or a destruction verification (paragraph (e)(5) of this 
section) to the producer or importer of the class II controlled 
substances, must report the following:
    (i) The names and quantities (in kilograms) of the class II 
controlled substances transformed for each control period within 45 days 
of the end of such control period; and
    (ii) The names and quantities (in kilograms) of the class II 
controlled substances destroyed for each control period within 45 days 
of the end of such control period.
    (3) Reporting--Transformation. Any person who purchases class II 
controlled substances for purposes of transformation must provide the 
producer or importer with a transformation verification that the class 
II controlled substances are to be used in processes that result in 
their transformation.
    (i) The transformation verification shall include the following:
    (A) Identity and address of the person intending to transform the 
class II controlled substances;
    (B) The quantity (in kilograms) of class II controlled substances 
intended for transformation;
    (C) Identity of shipments by purchase order number(s), purchaser 
account number(s), by location(s), or other means of identification;
    (D) Period of time over which the person intends to transform the 
class II controlled substances; and
    (E) Signature of the verifying person.
    (ii) [Reserved]
    (4) Reporting--Destruction. Any person who destroys class II 
controlled substances shall provide EPA with a one-time report 
containing the following information:
    (i) The destruction unit's destruction efficiency;
    (ii) The methods used to record the volume destroyed;
    (iii) The methods used to determine destruction efficiency;
    (iv) The name of other relevant federal or state regulations that 
may apply to the destruction process;
    (v) Any changes to the information in paragraphs (e)(4)(i), (ii), 
and (iii) of this section must be reflected in a revision to be 
submitted to EPA within 60 days of the change(s).
    (5) Reporting--Destruction. Any person who purchases or receives and 
subsequently destroys class II controlled substances that were 
originally produced without expending allowances shall provide the 
producer or importer from whom it purchased or received the class II 
controlled substances with a verification that the class II controlled 
substances will be used in processes that result in their destruction.
    (i) The destruction verification shall include the following:
    (A) Identity and address of the person intending to destroy class II 
controlled substances;
    (B) Indication of whether those class II controlled substances will 
be completely destroyed, as defined in Sec.  82.3, or less than 
completely destroyed, in which case the destruction efficiency at which 
such substances will be destroyed must be included;
    (C) Period of time over which the person intends to destroy class II 
controlled substances; and
    (D) Signature of the verifying person.
    (ii) [Reserved]
    (f) Heels-Recordkeeping and reporting. Any person who brings into 
the U.S. a rail car, tank truck, or ISO tank containing a heel, as 
defined in Sec.  82.3, of

[[Page 66]]

class II controlled substances, must take the following actions:
    (1) Indicate on the bill of lading or invoice that the class II 
controlled substance in the container is a heel.
    (2) Report within 30 days of the end of the control period the 
quantity (in kilograms) brought into the U.S. and certify:
    (i) That the residual quantity (in kilograms) in each shipment is no 
more than 10 percent of the volume of the container;
    (ii) That the residual quantity (in kilograms) in each shipment will 
either:
    (A) Remain in the container and be included in a future shipment;
    (B) Be recovered and transformed;
    (C) Be recovered and destroyed; or
    (D) Be recovered for a non-emissive use.
    (3) Report on the final disposition of each shipment within 30 days 
of the end of the control period.

[68 FR 2848, Jan. 21, 2003, as amended at 71 FR 41172, July 20, 2006; 81 
FR 6768, Feb. 9, 2016; 85 FR 15298, Mar. 17, 2020]



 Sec. Appendix A to Subpart A of Part 82--Class I Controlled Substances

------------------------------------------------------------------------
                Class 1 controlled substances                     ODP
------------------------------------------------------------------------
A. Group I:
  CFCl3-Trichlorofluoromethane (CFC-ll)......................        1.0
  CF2 Cl2-Dichlorofifluoromethane (CFC-12)...................        1.0
  C2 F3 Cl3-Trichlorotrifluoroethane (CFC-113)...............        0.8
  C2 F4 Cl2-Dichlorotetrafluoroethane (CFC-114)..............        1.0
  C2 F5 Cl-Monochloropentafluoroethane (CFC-115).............        0.6
  All isomers of the above chemicals
B. Group II:
  CF2 ClBr-Bromochlorodifluoromethane (Halon-1211)...........        3.0
  CF3 Br-Bromotrifluoromethane (Halon-1301)..................       10.0
  C2 F4 Br2-Dibromotetrafluoroethane (Halon-2402)............        6.0
  All isomers of the above chemicals
C. Group III:
  CF3 Cl-Chlorotrifluoromethane (CFC-13).....................        1.0
  C2 FCl5-(CFC-111)..........................................        1.0
  C2 F2 Cl4-(CFC-112)........................................        1.0
  C3 FCl7-(CFC-211)..........................................        1.0
  C3 F2 Cl6-(CFC-212)........................................        1.0
  C3 F3 Cl5-(CFC-213)........................................        1.0
  C3 F4 Cl4-(CFC-214)........................................        1.0
  C3 F5 Cl3-(CFC-215)........................................        1.0
  C3 F6 Cl2-(CFC-216)........................................        1.0
  C3 F7 Cl-(CFC-217).........................................        1.0
  All isomers of the above chemicals
D. Group IV: CCl4-Carbon Tetrachloride.......................        1.1
E. Group V:
  C2 H3 Cl3-1,1,1 Trichloroethane (Methyl chloroform)........        0.1
  All isomers of the above chemical except 1,1,2-
   trichloroethane
F. Group VI: CH3 Br--Bromomethane (Methyl Bromide)...........        0.7
G. Group VII:
  CHFBR2.....................................................       1.00
  CHF2 Br (HBFC-2201)........................................       0.74
  CH2 FBr....................................................       0.73
  C2 HFBr4...................................................    0.3-0.8
  C2 HF2 Br3.................................................    0.5-1.8
  C2 HF3 Br2.................................................    0.4-1.6
  C2 HF4 Br..................................................    0.7-1.2
  C2 H2 FBr3.................................................    0.1-1.1
  C2 H2 F2 Br2...............................................    0.2-1.5
  C2 H2 F3 Br................................................    0.7-1.6
  C2 H2 FBr2.................................................    0.1-1.7
  C2 H3 F2 Br................................................    0.2-1.1
  C2 H4 FBr..................................................   0.07-0.1
  C3 HFBr6...................................................    0.3-1.5
  C3 HF2 Br5.................................................    0.2-1.9
  C3 HF3 Br4.................................................    0.3-1.8
  C3 HF4 Br3.................................................    0.5-2.2
  C3 HF5 Br2.................................................    0.9-2.0
  C3 HF6 Br..................................................    0.7-3.3
  C3 H2 FBR5.................................................    0.1-1.9
  C3 H2 F2 BR4...............................................    0.2-2.1
  C3 H2 F3 Br3...............................................    0.2-5.6
  C3 H2 F4 Br2...............................................    0.3-7.5
  C3 H2 F5 BR................................................     0.9-14
  C3 H3 FBR4.................................................   0.08-1.9
  C3 H3 F2 Br3...............................................    0.1-3.1
  C3 H3 F3 Br2...............................................    0.1-2.5
  C3 H3 F4 Br................................................    0.3-4.4
  C3 H4 FBr3.................................................   0.03-0.3
  C3 H4 F2 Br2...............................................    0.1-1.0
  C3 H4 F3 Br................................................   0.07-0.8
  C3 H5 FBr2.................................................   0.04-0.4
  C3 H5 F2 Br................................................   0.07-0.8
  C3 H6 FB...................................................   0.02-0.7
H. Group VIII:
  CH2BrCl (Chlorobromomethane 0.12...........................
------------------------------------------------------------------------


[60 FR 24986, May 10, 1995, as amended at 68 FR 42892, July 18, 2003]



Sec. Appendix B to Subpart A of Part 82--Class II Controlled Substances 
                                 \a\ \b\

------------------------------------------------------------------------
                  Controlled substance                          ODP
------------------------------------------------------------------------
1. HCFC-21 (CHFCl2) Dichlorofluoromethane...............            0.04
2. HCFC-22 (CHF2Cl) Monochlorodifluoromethane...........           0.055
3. HCFC-31 (CH2FCl) Monochlorofluoromethane.............            0.02
4. HCFC-121 (C2HFCl4) Tetrachlorofluoroethane...........       0.01-0.04
5. HCFC-122 (C2HF2Cl3) Trichlorodifluoroethane..........       0.02-0.08
6. HCFC-123 (C2HF3Cl2) Dichlorotrifluoroethane..........            0.02
7. HCFC-124 (C2HF4Cl) Monochlorotetrafluoroethane.......           0.022
8. HCFC-131 (C2H2FCl3) Trichlorofluoroethane............      0.007-0.05

[[Page 67]]

 
9. HCFC-132 (C2H2F2Cl2) Dichlorodifluoroethane..........      0.008-0.05
10. HCFC-133 (C2H2F3Cl) Monochlorotrifluoroethane.......       0.02-0.06
11. HCFC-141 (C2H3FCl2) Dichlorofluoroethane............      0.005-0.07
12. HCFC-141b (CH3CFCl2) Dichlorofluoroethane...........            0.11
13. HCFC-142 (C2H3F2Cl) Chlorodifluoroethane............      0.008-0.07
14. HCFC-142b (CH3CF2Cl) Monochlorodifluoroethane.......           0.065
15. HCFC-151 (C2H4FCl) Chlorofluoroethane...............     0.003-0.005
16. HCFC-221 (C3HFCl6) Hexachlorofluoropropane..........      0.015-0.07
17. HCFC-222 (C3HF2Cl5) Pentachlorodifluoropropane......       0.01-0.09
18. HCFC-223 (C3HF3Cl4) Tetrachlorotrifluoropropane.....       0.01-0.08
19. HCFC-224 (C3HF4Cl3) Trichlorotetrafluoropropane.....       0.01-0.09
20. HCFC-225 (C3HF5Cl2) Dichloropentafluoropropane......       0.02-0.07
21. HCFC-225ca (CF3CF2CHCl2) Dichloropentafluoropropane.           0.025
22. HCFC-225cb (CF2ClCF2CHClF)                                     0.033
 Dichloropentafluoropropane.............................
23. HCFC-226 (C3HF6Cl) Monochlorohexafluoropropane......        0.02-0.1
24. HCFC-231 (C3H2FCl5) Pentachlorofluoropropane........       0.05-0.09
25. HCFC-232 (C3H2F2Cl4) Tetrachlorodifluoropropane.....       0.008-0.1
26. HCFC-233 (C3H2F3Cl3) Trichlorotrifluoropropane......      0.007-0.23
27. HCFC-234 (C3H2F4Cl2) Dichlorotetrafluoropropane.....       0.01-0.28
28. HCFC-235 (C3H2F5Cl) Monochloropentafluoropropane....       0.03-0.52
29. HCFC-241 (C3H3FCl4) Tetrachlorofluoropropane........      0.004-0.09
30. HCFC-242 (C3H3F2Cl3) Trichlorodifluoropropane.......      0.005-0.13
31. HCFC-243 (C3H3F3Cl2) Dichlorotrifluoropropane.......      0.007-0.12
32. HCFC-244 (C3H3F4Cl) Monochlorotetrafluoropropane....      0.009-0.14
33. HCFC-251 (C3H4FCl3) Monochlorotetrafluoropropane....      0.001-0.01
34. HCFC-252 (C3H4F2Cl2) Dichlorodifluoropropane........      0.005-0.04
35. HCFC-253 (C3H4F3Cl) Monochlorotrifluoropropane......      0.003-0.03
36. HCFC-261 (C3H5FCl2) Dichlorofluoropropane...........      0.002-0.02
37. HCFC-262 (C3H5F2Cl) Monochlorodifluoropropane.......      0.002-0.02
38. HCFC-271 (C3H6FCl) Monochlorofluoropropane..........      0.001-0.03
------------------------------------------------------------------------
\a\ According to Annex C of the Montreal Protocol, ``Where a range of
  ODPs is indicated, the highest value in that range shall be used for
  the purposes of the Protocol. The ODPs listed as single value have
  been determined from calculations based on laboratory measurements.
  Those listed as a range are based on estimates and are less certain.
  The range pertains to an isomeric group. The upper value is the
  estimate of the ODP of the isomer with the highest ODP, and the lower
  value is the estimate of the ODP of the isomer with the lowest ODP.
\b\ This table includes all isomers of the substances above, regardless
  of whether the isomer is explicitly listed on its own.


[79 FR 64288, Oct. 28, 2014]



           Sec. Appendix C to Subpart A of Part 82 [Reserved]



  Sec. Appendix D to Subpart A of Part 82--Harmonized Tariff Schedule 
   Description of Products That May Contain Controlled Substances in 
                  Appendix A, Class I, Groups I and II

    This appendix is based on information provided by the Ozone 
Secretariat of the United Nations Ozone Environment Programme.** The 
Appendix lists available U.S. harmonized tariff schedule codes 
identifying headings and subheadings for Annex D products that may 
contain controlled substances.
---------------------------------------------------------------------------

    ** ``A Note Regarding the Harmonized System Code Numbers for the 
Products Listed in Annex D.'' Adopted by Decision IV/15 paragraph 3, of 
the Fourth Meeting of the Parties in Copenhagen, 23-25 November, 1992.
---------------------------------------------------------------------------

    The Harmonized Tariff Schedule of the United States uses an 
enumeration system to identify products imported and exported to and 
from the U.S. This system relies on a four digit heading, a four digit 
subheading and additional two digit statistical suffix to characterize 
products. The United States uses the suffix for its own statistical 
records and analyses. This Appendix lists only headings and subheadings.
    While some can be readily associated with harmonized system codes, 
many products cannot be tied to HS classifications unless their exact 
composition and the presentation are known. It should be noted that the 
specified HS classifications represent the most likely headings and 
subheadings which may contain substances controlled by the Montreal 
Protocol. The codes given should only be used as a starting point; 
further verfication is needed to ascertain whether or not the products 
actually contain controlled substances.

    Category 1. Automobile and Truck Air Conditioning Units (whether 
                    incorporated in vehicles or not)

    There are no separate code numbers for air conditioning units 
specially used in automobiles and trucks. Although a code has been 
proposed for car air conditioners, it is not yet officially listed in 
the Harmonized

[[Page 68]]

Tariff Schedule (see category 2). The following codes apply to the 
vehicles potentially containing air conditioning units.

 
                   Heading/Subheading                                      Article Description
 
8701.(10, 20, 30, 90)***...............................  Tractors.
8702...................................................  Public-transport type passenger motor vehicles.
8702.10................................................  With compression-ignition internal-combustion piston
                                                          engine (diesel or semi-diesel).
8702.90................................................  Other.
8703...................................................  Motor cars and other motor vehicles principally
                                                          designed for the transport of persons (other than
                                                          those of heading 8702), including station wagons and
                                                          racing cars.
8703.10................................................  Vehicles specially designed for traveling on snow; golf
                                                          carts and similar vehicles; includes subheading 10.10
                                                          and 10.50.
8703.(21, 22, 23, 24)..................................  Other vehicles, with spark-ignition internal combustion
                                                          reciprocating engines.
8703.(31, 32, 33, 90)..................................  Other vehicles, with compression-ignition internal
                                                          combustion piston engine (diesel or semi-diesel).
8704...................................................  Motor vehicles for the transport of goods.
8704.10.(10, 50).......................................  Dumpers designed for off-highway use.
8704.(21, 22, 23)......................................  Other, with compression-ignition internal combustion
                                                          piston engine (diesel or semi-diesel).
8704.(31, 32, 90)......................................  Other, with compression-ignition internal combustion
                                                          piston engine.
8705...................................................  Special purpose motor vehicles, other than those
                                                          principally designed for the transport of persons or
                                                          goods (for example, wreckers, mobile cranes, fire
                                                          fighting vehicles, concrete mixers, road sweepers,
                                                          spraying vehicles, mobile workshops, mobile
                                                          radiological units).
8705.10................................................  Crane lorries.
8705.20................................................  Mobile drilling derricks.
8705.30................................................  Fire fighting vehicles.
8705.90................................................  Other.
 
***At this time vehicle air conditioning units are considered components of vehicles or are classified under the
  general category for air conditioning and refrigeration equipment. Vehicles containing air conditioners are
  therefore considered products containing controlled substances.

 Category 2. Domestic and Commercial Refrigeration and Air Conditioning/
                           Heat Pump Equipment

    Domestic and commercial air conditioning and refrigeration equipment 
fall primarily under headings 8415 and 8418.

 
                   Heading/Subheading                                      Article Description
 
8415...................................................  Air conditioning machines, comprising a motor-driven
                                                          fan and elements for changing the temperature and
                                                          humidity, including those machines in which the
                                                          humidity cannot be separately regulated.
8415.20................................................  Proposed code for air conditioning of a kind used for
                                                          persons, in motor vehicles.
8415.10.00.............................................  A/C window or wall types, self-contained.
8415.81.00.............................................  Other, except parts, incorporating a refrigerating unit
                                                          and a valve for reversal of the cooling/heat cycle.
8415.82.00.............................................  Other, incorporating a refrigerating unit--
                                                            Self-contained machines and remote condenser type
                                                             air conditioners (not for year-round use).
                                                            Year-round units (for heating and cooling).
                                                            Air Conditioning evaporator coils.
                                                            Dehumidifiers.
                                                            Other air conditioning machines incorporating a
                                                             refrigerating unit.
8415.83................................................  Automotive air conditioners.

[[Page 69]]

 
8418...................................................  Refrigerators, freezers and other refrigerating or
                                                          freezing equipment, electric or other; heat pumps,
                                                          other than air conditioning machines of heading 8415;
                                                          parts thereof.
8418.10.00.............................................  Combined refrigerator-freezers, fitted with separate
                                                          external doors.
8418.21.00.............................................  Refrigerators, household type, Compression type.
8418.22.00.............................................  Absorption type, electrical.
8418.29.00.............................................  Other.
8418.30.00.............................................  Freezers of the chest type.
8418.40................................................  Freezers of the upright type.
8418.50.0040...........................................  Other refrigerating or freezing chests, cabinets,
                                                          display counters, showcases and similar refrigerating
                                                          or freezing furniture.
8418.61.00.............................................  Other refrigerating or freezing equipment; heat pumps.
8418.69................................................  Other--
                                                            Icemaking machines.
                                                            Drinking water coolers, self-contained.
                                                            Soda fountain and beer dispensing equipment.
                                                            Centrifugal liquid chilling refrigerating units.
                                                            Absorption liquid chilling units.
                                                            Reciprocating liquid chilling units.
                                                            Other refrigerating or freezing equipment (household
                                                             or other).
8479.89.10.............................................  Dehumidifiers (other than those under 8415 or 8424
                                                          classified as ``machines and mechanical appliances
                                                          having individual functions, not specified or included
                                                          elsewhere'').
 

                      Category 3. Aerosol Products

    An array of different products use controlled substances as aerosols 
and in aerosol applications. Not all aerosol applications use controlled 
substances, however. The codes given below represent the most likely 
classifications for products containing controlled substances. The 
product codes listed include ****:
---------------------------------------------------------------------------

    **** Other categories of products that may contain controlled 
substances are listed below. EPA is currently working to match them with 
appropriate codes. They include: coatings and electronic equipment 
(e.g., electrical motors), coatings or cleaning fluids for aircraft 
maintenance, mold release agents (e.g. for production of plastic or 
elastomeric materials), water and oil repellant (potentially under HS 
3402), spray undercoats (potentially under ``paints and varnishes''), 
spot removers, brake cleaners, safety sprays (e.g., mace cans), animal 
repellant, noise horns (e.g., for use on boats), weld inspection 
developers, freezants, gum removers, intruder alarms, tire inflators, 
dusters (for electronic and non-electronic applications), spray shoe 
polish, and suede protectors.

 varnishes
 perfumes
 preparations for use on hair
 preparations for oral and dental hygiene
 shaving preparations
 personal deodorants, bath preparations
 prepared room deodorizers
 soaps
 lubricants
 polishes and creams
 explosives
 insecticides, fungicides, herbicides, disinfectants
 arms and ammunition
 household products such as footwear or leather 
polishes
 other miscellaneous products

 
                   Heading/Subheading                                      Article Description
 
3208...................................................  Paints and varnishes ***** (including enamels and
                                                          lacquers) based on synthetic polymers of chemically
                                                          modified natural polymers, dispersed or dissolved in a
                                                          non-aqueous medium.
3208.10................................................  Based on polyesters.
3208.20................................................  Based on acrylic or vinyl polymers.
3208.90................................................  Other.

[[Page 70]]

 
3209...................................................  Paints and varnishes (including enamels and lacquers)
                                                          based on synthetic polymers or chemically modified
                                                          natural polymers, dispersed or dissolved in an aqueous
                                                          medium.
3209.10................................................  Based on acrylic or vinyl polymers.
3209.90................................................  Other.
3210.00................................................  Other paints and varnishes (including enamels, lacquers
                                                          and distempers) and prepared water pigments of a kind
                                                          used for finishing leather.
3212.90................................................  Dyes and other coloring matter put up in forms or
                                                          packings for retail sale.
3303.00................................................  Perfumes and toilet waters.
3304.30................................................  Manicure or pedicure preparations.
3305.10................................................  Shampoos.
3305.20................................................  Preparations for permanent waving or straightening.
3305.30................................................  Hair lacquers.
3305.90................................................  Other hair preparations.
3306.10................................................  Dentrifices.
3306.90................................................  Other dental (this may include breath sprays).
3307.10................................................  Pre-shave, shaving or after-shave preparations.
3307.20................................................  Personal deodorants and antiperspirants.
3307.30................................................  Perfumed bath salts and other bath preparations.
3307.49................................................  Other (this may include preparations for perfuming or
                                                          deodorizing rooms, including odoriferous preparations
                                                          used during religious rites, whether or not perfumed
                                                          or having disinfectant properties).
3307.90................................................  Other (this may include depilatory products and other
                                                          perfumery, cosmetic or toilet preparations, not
                                                          elsewhere specified or included)
3403...................................................  Lubricating preparations (including cutting-oil
                                                          preparations, bolt or nut release preparations, anti-
                                                          rust or anti-corrosion preparations and mould release
                                                          preparations, based on lubricants), and preparations
                                                          of a kind used for the oil or grease treatment of
                                                          textile materials, leather, fur skins or other
                                                          materials, but excluding preparations containing, as
                                                          basic constituents, 70 percent or more by weight of
                                                          petroleum oils or of oils obtained from bituminous
                                                          minerals.
3402...................................................  Organic surface-active agents (other than soap);
                                                          surface-active preparations, washing preparations and
                                                          cleaning operations, whether or not containing soap,
                                                          other than those of 3401.
3402.20................................................  Preparations put up for retail sale.
3402.19................................................  Other preparations containing petroleum oils or oils
                                                          obtained from bituminous minerals.
3403...................................................  Lubricating preparations consisting of mixtures
                                                          containing silicone greases or oils, as the case may
                                                          be.
2710.00................................................  Preparations not elsewhere specified or included,
                                                          containing by weight 70 percent or more of petroleum
                                                          oils or of oils obtained from bituminous minerals,
                                                          these oils being the basic constituents of the
                                                          preparations.
3403.11................................................  Lubricants containing petroleum oils or oils obtained
                                                          from bituminous minerals used for preparations from
                                                          the treatment of textile materials, leather, fur skins
                                                          or other materials.
3403.19................................................  Other preparations containing petroleum oils or oils
                                                          obtained from bituminous minerals.
3405...................................................  Polishes and creams, for footwear, furniture, floors,
                                                          coachwork, glass or metal, scouring pastes and powders
                                                          and similar preparations excluding waxes of heading
                                                          3404.
3405.10................................................  Polishes and creams for footwear or leather.
3405.20................................................  Polishes for wooden furniture, floors or other
                                                          woodwork.
36.....................................................  Explosives.

[[Page 71]]

 
3808...................................................  Insecticides, rodenticides, fungicides, herbicides,
                                                          anti-sprouting products and plant-growth regulators,
                                                          disinfectants and similar products, put up in forms or
                                                          packings for retail sale or as preparations or
                                                          articles (for example, sulphur-treated bands, wicks
                                                          and candles, and fly papers).
3808.10................................................  Insecticides.
3808.20................................................  Fungicides.
3808.30................................................  Herbicides, anti-sprouting products and plant growth
                                                          regulators.
3808.40................................................  Disinfectants.
3808.90................................................  Other insecticides, fungicides.
3809.10................................................  Finishing agents, dye carriers to accelerate the dyeing
                                                          or fixing of dye-stuffs and other products and
                                                          preparations (for example, dressings and mordants) of
                                                          a kind used in the textile, paper, leather or like
                                                          industries, not elsewhere specified or included, with
                                                          a basis of amylaceous substances.
3814...................................................  Organic composite solvents and thinners (not elsewhere
                                                          specified or included) and the prepared paint or
                                                          varnish removers.
3910...................................................  Silicones in primary forms.
9304...................................................  Other arms (for example, spring, air or gas guns and
                                                          pistols, truncheons), excluding those of heading No.
                                                          93.07. Thus, aerosol spray cans containing tear gas
                                                          may be classified under this subheading.
0404.90................................................  Products consisting of natural milk constituents,
                                                          whether or not containing added sugar or other
                                                          sweetening matter, not elsewhere specified or
                                                          included.
1517.90................................................  Edible mixtures or preparations of animal or vegetable
                                                          fats or oils or of fractions of different fats or oils
                                                          of this chapter, other than edible fats or oils or
                                                          their fractions of heading No. 15.16.
2106.90................................................  Food preparations not elsewhere specified or included.
 
***** Although paints do not generally use contain controlled substances, some varnishes use CFC 113 and
  1,1,1,trichlorethane as solvents.

                 Category 4. Portable Fire Extinguishers

 
                   Heading/Subheading                                      Article Description
 
8424...................................................  Mechanical appliances (whether or not hand operated)
                                                          for projecting, dispersing, or spraying liquids or
                                                          powders; fire extinguishers whether or not charged,
                                                          spray guns and similar appliances; steam or sand
                                                          blasting machines and similar jet projecting machines.
8424.10................................................  Fire extinguishers, whether or not charged.
 

          Category 5. Insulation Boards, Panels and Pipe Covers

    These goods have to be classified according to their composition and 
presentation. For example, if the insulation materials are made of 
polyurethane, polystyrene, polyolefin and phenolic plastics, then they 
may be classified Chapter 39, for ``Plastics

[[Page 72]]

and articles thereof''. The exact description of the products at issue 
is necessary before a classification can be given. ******
---------------------------------------------------------------------------

    ****** This category may include insulating board for building 
panels and windows and doors. It also includes rigid appliance 
insulation for pipes, tanks, trucks, trailers, containers, train cars & 
ships, refrigerators, freezers, beverage vending machines, bulk beverage 
dispensers, water coolers and heaters and ice machines.

 
                   Heading/Subheading                                      Article Description
 
3917.21 to 3917.39.....................................  Tubes, pipes and hoses of plastics.
3920.10 to 3920.99.....................................  Plates, sheets, film, foil and strip made of plastics,
                                                          non-cellular and not reinforced, laminated, supported
                                                          or similarly combined with other materials.
3921.11 to 3921.90.....................................  Other plates, sheets, film, foil and strip, made of
                                                          plastics.
3925.90................................................  Builders' ware made of plastics, not elsewhere
                                                          specified or included.
3926.90................................................  Articles made of plastics, not elsewhere specified or
                                                          included.
 

                        Category 6. Pre-Polymers

    According to the Explanatory Notes to the Harmonized Commodity 
Description and Coding System, ``prepolymers are products which are 
characterized by some repetition of monomer units although they may 
contain unreacted monomers. Prepolymers are not normally used as such 
but are intended to be transformed into higher molecular weight polymers 
by further polymerization. Therefore the term does not cover finished 
products, such as di-isobutylenes or mixed polyethylene glycols with 
very low molecular weight. Examples are epoxides based with 
epichlorohydrin, and polymeric isocyanates.''

 
                   Heading/Subheading                                      Article Description
 
3901...................................................  Pre-polymers based on ethylene (in primary forms).
3902...................................................  Pre-polymers based on propylene or other olefins (in
                                                          primary forms).
3903, 3907, 3909.......................................  Pre-polymers based on styrene (in primary forms),
                                                          epoxide and phenols.
 



       Sec. Appendix E to Subpart A of Part 82--Article 5 Parties

    Parties operating under Article 5 of the Montreal Protocol as of 
March 26, 2014 are listed below. An updated list can be located at: 
http://ozone.unep.org/new_site/en/parties_under_article5_para1.php.
    Afghanistan, Albania, Algeria, Angola, Antigua & Barbuda, Argentina, 
Armenia, Bahamas, Bahrain, Bangladesh, Barbados, Belize, Benin, Bhutan, 
Bolivia (Plurinational State of), Bosnia and Herzegovina, Botswana, 
Brazil, Brunei Darussalam, Burkina Faso, Burundi, Cambodia, Cameroon, 
Cape Verde, Central African Republic, Chad, Chile, China, Colombia, 
Comoros, Congo, Congo (Democratic Republic of), Cook Islands, Cost Rica, 
C[ocirc]te d'Ivoire, Cuba, Djibouti, Dominica, Dominican Republic, 
Ecuador, Egypt, El Salvador, Equatorial Guinea, Eritrea, Ethiopia, Fiji, 
Gabon, Gambia, Georgia, Ghana, Grenada, Guatemala, Guinea, Guinea 
Bissau, Guyana, Haiti, Honduras, India, Indonesia, Iran (Islamic 
Republic of), Iraq, Jamaica, Jordan, Kenya, Kiribati, Korea (Democratic 
People's Republic of), Korea (Republic of), Kuwait, Kyrgyzstan, Lao 
(People's Democratic Republic), Lebanon, Lesotho, Liberia, Libya, 
Madagascar, Malawi, Malaysia, Maldives, Mali, Marshall Islands 
Mauritania, Mauritius, Mexico, Micronesia (Federal States of), Moldova 
(Republic of), Mongolia, Montenegro, Morocco, Mozambique, Myanmar, 
Namibia, Nauru, Nepal, Nicaragua, Niger, Nigeria, Niue, Oman, Pakistan, 
Palau, Panama, Papua New Guinea, Paraguay, Peru, Philippines, Qatar, 
Rwanda, Saint Kitts and Nevis, Saint Lucia, Saint Vincent & the 
Grenadines, Samoa, Sao Tome and Principe, Saudi Arabia, Senegal, Serbia, 
Seychelles, Sierra Leone, Singapore, Solomon Islands, Somalia, South 
Africa, South Sudan*, Sri Lanka, Sudan, Suriname, Swaziland, Syrian Arab 
Republic, Tanzania (United Republic of), Thailand, The Former Yugoslav 
Republic of Macedonia, Timor-Leste, Togo, Tonga, Trinidad and Tobago, 
Tunisia, Turkey, Turkmenistan, Tuvalu, Uganda, United Arab Emirates, 
Uruguay,

[[Page 73]]

Vanuatu, Venezuela (Bolivarian Republic of), Viet Nam, Yemen, Zambia, 
Zimbabwe.
* temporarily categorized as Article 5 pending submission of ODS 
consumption data

[79 FR 16687, Mar. 26, 2014]

Appendix F to Subpart A of Part 82--Listing of Ozone-Depleting Chemicals

----------------------------------------------------------------------------------------------------------------
              Controlled substance                      ODP            AT L             CLP             BLP
----------------------------------------------------------------------------------------------------------------
A. Class I:
1. Group I:
    CFCl3-Trichlorofluoromethane (CFC-11).......             1.0           60.0            1.0              0.00
    CF2 Cl2-Dichlorodifluoromethane (CFC-12)....             1.0          120.0            1.5              0.00
    C2 F3 Cl3-Trichlorotrifluoroethane (CFC-113)             0.8           90.0            1.11             0.00
    C2 F4 Cl2-Dichlorotetrafluoroethane (CFC-                1.0          200.00           1.8              0.00
     114).......................................
    C2 F5 Cl-Monochloropentafluoroethane (CFC-               0.6          400.0            2.0              0.00
     115).......................................
    All isomers of the above chemicals..........                            [Reserved]
2. Group II:
    CF2 ClBr-Bromochlorodifluoromethane (Halon-              3.0           12              0.06             0.13
     1211)......................................
                                                  ..............          -18              -.08             -.03
    CF3 Br-Bromotrifluoromethane (Halon-1301)...            10.0           72              0.00             1.00
                                                  ..............         -107
    C2 F4 Br2-Dibromotetrafluoroethane (Halon-               6.0           23              0.00             0.30
     2402)......................................
                                                  ..............          -28     ..............            -.37
    All isomers of the above chemicals..........                            [Reserved]
3. Group III:
    CF3 Cl-Chlorotrifluoromethane (CFC-13)......             1.0          120              0.88             0.00
                                                            -250           -1.83
    C2 FCl5- (CFC-111)..........................             1.0           60              1.04             0.00
                                                             -90           -1.56
    C2 F2 Cl4- (CFC-112)........................             1.0           60              0.90             0.00
                                                             -90           -1.35
    C3 FCl7- (CFC-211)..........................             1.0          100              1.76             0.00
                                                            -500           -8.81
    C3 F2 Cl6- (CFC-212)........................             1.0          100              1.60             0.00
                                                            -500           -7.98
    C3 F3 Cl5- (CFC-213)........................             1.0          100              1.41             0.00
                                                            -500           -7.06
    C3 F4 Cl4- (CFC-214)........................             1.0          100              1.20             0.00
                                                            -500           -6.01
    C3 F5 Cl3 -(CFC-215)........................             1.0          100              0.96             0.00
                                                            -500           -4.82
    C3 F6 Cl2- (CFC-216)........................             1.0          100              0.69             0.00
                                                            -500           -3.45
    C3 F7 Cl- (CFC-217).........................             1.0          100              0.37             0.00
                                                            -500           -1.87
    All isomers of the above chemicals..........                            [Reserved]
4. Group IV:
    CCl4 -Carbon Tetrachloride..................             1.1           50.0            1.0              0.00
5. Group V:
    C2 H3 Cl3-1,1,1 Trichloroethane (Methyl                  0.1            6.3            0.11             0.00
     chloroform)................................
    All isomers of the above chemical except
     1,1,2-trichloroethane......................                            [Reserved]
6. Group VI:
    CH3Br-Bromomethane (Methyl Bromide).........             0.7  ..............  [Reserved]
7. Group VII:
    CHFBr2-.....................................            1.00  ..............  [Reserved]
    CHF2Br-(HBFC-22B1)..........................            0.74  ..............  [Reserved]
    CH2FBr......................................            0.73  ..............  [Reserved]
    C2HFBr4.....................................         0.3-0.8  ..............  [Reserved]
    C2HF2Br3....................................         0.5-1.8  ..............  [Reserved]
    C2HF3Br2....................................          0.4-16  ..............  [Reserved]
    C2HF4Br.....................................         0.7-1.2  ..............  [Reserved]
    C2H2FBr3....................................         0.1-1.1  ..............  [Reserved]
    C2H2F2Br2...................................         0.2-1.5  ..............  [Reserved]
    C2H2F3Br....................................         0.7-1.6  ..............  [Reserved]
    C2H3FBr2....................................         0.1-1.7  ..............  [Reserved]
    C2H3F2Br....................................         0.2-1.1  ..............  [Reserved]
    C2H4FBr.....................................        0.07-0.1  ..............  [Reserved]
    C3HFBr6.....................................         0.3-1.5  ..............  [Reserved]
    C3HF2Br5....................................         0.2-1.9  ..............  [Reserved]

[[Page 74]]

 
    C3HF3Br4....................................         0.3-1.8  ..............  [Reserved]
    C3HF4Br3....................................         0.5-2.2  ..............  [Reserved]
    C3HF5Br2....................................         0.9-2.0  ..............  [Reserved]
    C3HF6Br.....................................         0.7-3.3  ..............  [Reserved]
    C3H2FBr5....................................         0.1-1.9  ..............  [Reserved]
    C3H2F2Br4...................................         0.2-2.1  ..............  [Reserved]
    C3H2F3Br3...................................         0.2-5.6  ..............  [Reserved]
    C3H2F4Br2...................................         0.3-7.5  ..............  [Reserved]
    C3H2F5Br....................................         0.9-1.4  ..............  [Reserved]
    C3H3FBR4....................................        0.08-1.9  ..............  [Reserved]
    C3H3F2Br3...................................         0.1-3.1  ..............  [Reserved]
    C3H3F3Br2...................................         0.1-2.5  ..............  [Reserved]
    C3H3F4Br....................................         0.3-4.4  ..............  [Reserved]
    C3H4FBr3....................................        0.03-0.3  ..............  [Reserved]
    C3H4F2Br2...................................         0.1-1.0  ..............  [Reserved]
    C3H4F3Br....................................        0.07-0.8  ..............  [Reserved]
    C3H5FBr2....................................        0.04-0.4  ..............  [Reserved]
    C3H5F2Br....................................        0.07-0.8  ..............  [Reserved]
    C3H6FB......................................        0.02-0.7  ..............  [Reserved]
8. Group VIII:
    CH2BrCl (Chlorobromomethane)................            0.12  ..............  [Reserved]
B. Class II:
    CHFCl2-Dichlorofluoromethane (HCFC-21)......      [Reserved]            2.1            0.03             0.00
    CHF2 Cl-Chlorodifluoromethane (HCFC-22).....            0.05           15.3            0.14             0.00
    CH2 FCl-Chlorofluoromethane (HCFC-31).......      [Reserved]            1.44           0.02             0.00
    C2 HFCl4- (HCFC-121)........................      [Reserved]            0.6            0.01             0.00
    C2 HF2 Cl3- (HCFC-122)......................      [Reserved]            1.4            0.02             0.00
    C2 HF3 Cl2- (HCFC-123)......................            0.02            1.6            0.016            0.00
    C2 HF4 Cl- (HCFC-124).......................            0.02            6.6            0.04             0.00
    C2 H2 FCl3- (HCFC-131)......................      [Reserved]            4.0            0.06             0.00
    C2 H2 F2 Cl2- (HCFC-132b)...................      [Reserved]            4.2            0.05             0.00
    C2 H2 F3 Cl- (HCFC-133a)....................      [Reserved]            4.8            0.03             0.00
    C2 H3 FCl2- (HCFC-141b).....................            0.12            7.8            0.10             0.00
    C2 H3 F2 Cl- (HCFC-142b)....................            0.06           19.1            0.14             0.00
    C3 HFCl6- (HCFC-221)........................      [Reserved]  ..............  ..............            0.00
    C3 HF2 Cl5- (HCFC-222)......................      [Reserved]  ..............  ..............            0.00
    C3 HF3 Cl4- (HCFC-223)......................      [Reserved]  ..............  ..............            0.00
    C3 HF4 Cl3- (HCFC-224)......................      [Reserved]  ..............  ..............            0.00
    C3 HF5 Cl2- (HCFC-225ca)....................      [Reserved]            1.5            0.01             0.00
                                                  ..............           -1.7
        (HCFC-225cb)............................      [Reserved]            5.1            0.04             0.00
    C3 HF6 Cl- (HCFC-226).......................      [Reserved]  ..............  ..............            0.00
    C3 H2 FCl5- (HCFC-231)......................      [Reserved]  ..............  ..............            0.00
    C3 H2 F24- (HCFC-232).......................      [Reserved]  ..............  ..............            0.00
    C3 H2 F3 Cl3- (HCFC-233)....................      [Reserved]  ..............  ..............            0.00
    C3 H2 F4 Cl2- (HCFC-234)....................      [Reserved]  ..............  ..............            0.00
    C3 H2 F5 Cl- (HCFC-235).....................      [Reserved]  ..............  ..............            0.00
    C3 H3 FCl4- (HCFC-241)......................      [Reserved]  ..............  ..............            0.00
    C3 H3 F2 Cl3- (HCFC-242)....................      [Reserved]  ..............  ..............            0.00
    C3 H3 F3 Cl2- (HCFC-243)....................      [Reserved]  ..............  ..............            0.00
    C3 H3 F4 Cl- (HCFC-244).....................      [Reserved]  ..............  ..............            0.00
    C3 H4 FCl3- (HCFC-251)......................      [Reserved]  ..............  ..............            0.00
    C3 H4 F2 Cl2- (HCFC-252)....................      [Reserved]  ..............  ..............            0.00
    C3 H4 F3 Cl- (HCFC-253).....................      [Reserved]  ..............  ..............            0.00
    C3 H5 FCl2- (HCFC-261)......................      [Reserved]  ..............  ..............            0.00
    C2 H5 F2 Cl- (HCFC-262).....................      [Reserved]  ..............  ..............            0.00
    C3 H6 FCl- (HCFC-271).......................      [Reserved]  ..............  ..............            0.00
    All isomers of the above chemicals..........                            [Reserved]
----------------------------------------------------------------------------------------------------------------


[60 FR 24986, May 10, 1995, as amended at 68 FR 42894, July 18, 2003]
      
      

Appendix G to Subpart A of Part 82--UNEP Recommendations for Conditions 
    Applied to Exemption for Essential Laboratory and Analytical Uses

    1. Essential laboratory and analytical uses are identified at this 
time to include equipment calibration; use as extraction solvents, 
diluents, or carriers for chemical analysis;

[[Page 75]]

biochemical research; inert solvents for chemical reactions, as a 
carrier or laboratory chemical and other critical analytical and 
laboratory purposes. Pursuant to Decision XI/15 of the Parties to the 
Montreal Protocol, effective January 1, 2002 the following uses of class 
I controlled substances are not considered essential under the global 
laboratory exemption:
    a. Testing of oil and grease and total petroleum hydrocarbons in 
water;
    b. Testing of tar in road-paving materials; and
    c. Forensic finger printing.
    Production for essential laboratory and analytical purposes is 
authorized provided that these laboratory and analytical chemicals shall 
contain only controlled substances manufactured to the following 
purities:

CTC (reagent grade)--99.5
1,1,1,-trichloroethane--99.5
CFC-11--99.5
CFC-13--99.5
CFC-12--99.5
CFC-113--99.5
CFC-114--99.5
Other w/ Boiling P20 degrees C--99.5
Other w/ Boiling P<20 degrees C--99.0
    d. Testing of organic matter in coal.
    2. These pure, controlled substances can be subsequently mixed by 
manufacturers, agents or distributors with other chemicals controlled or 
not controlled by the Montreal Protocol as is customary for laboratory 
and analytical uses.
    3. These high purity substances and mixtures containing controlled 
substances shall be supplied only in re-closable containers or high 
pressure cylinders smaller than three litres or in 10 millilitre or 
smaller glass ampoules, marked clearly as substances that deplete the 
ozone layer, restricted to laboratory use and analytical purposes and 
specifying that used or surplus substances should be collected and 
recycled, if practical. The material should be destroyed if recycling is 
not practical.
    4. Parties shall annually report for each controlled substance 
produced: the purity; the quantity; the application, specific test 
standard, or procedure requiring its uses; and the status of efforts to 
eliminate its use in each application. Parties shall also submit copies 
of published instructions, standards, specifications, and regulations 
requiring the use of the controlled substance.
    5. Pursuant to Decision XVIII/15 of the Parties to the Montreal 
Protocol, methyl bromide is exempted for the following approved 
essential laboratory and analytical purposes listed in following items 
(a) through (d). Use of methyl bromide for field trials is not an 
approved use under the global laboratory and analytical use exemption. 
The provisions of Appendix G, paragraphs (1), (2), (3), and (4), 
regarding purity, mixing, container, and reporting requirements for 
other exempt ODSs, also apply to the use of methyl bromide under this 
exemption.
    a. Methyl bromide is exempted as an approved essential laboratory 
and analytical use as a reference or standard to calibrate equipment 
which uses methyl bromide, to monitor methyl bromide emission levels, or 
to determine methyl bromide residue levels in goods, plants and 
commodities;
    b. Methyl bromide is exempted as an approved essential laboratory 
and analytical when used in laboratory toxicological studies;
    c. Methyl bromide is exempted as an approved essential laboratory 
and analytical use to compare the efficacy of methyl bromide and its 
alternatives inside a laboratory; and
    d. Methyl bromide is exempted as an approved essential laboratory 
and analytical use as a laboratory agent which is destroyed in a 
chemical reaction in the manner of feedstock.

[60 FR 24986, May 10, 1995, as amended at 67 FR 6362, Feb. 11, 2002; 72 
FR 73269, Dec. 27, 2007]



  Sec. Appendix H to Subpart A of Part 82--Clean Air Act Amendments of 
   1990 Phaseout Schedule for Production of Ozone-Depleting Substances

------------------------------------------------------------------------
                                                                 Other
                                       Carbon       Methyl       class
               Date                tetrachloride  chloroform  substances
                                     (percent)     (percent)   (percent)
------------------------------------------------------------------------
1994.............................           70            85          65
1995.............................           15            70          50
1996.............................           15            50          40
1997.............................           15            50          15
1998.............................           15            50          15
1999.............................           15            50          15
2000.............................  .............          20
2001.............................  .............          20
------------------------------------------------------------------------


[[Page 76]]



Sec. Appendix I to Subpart A of Part 82--Global Warming Potentials (Mass 
  Basis), Referenced to the Absolute GWP for the Adopted Carbon Cycle 
     Model CO2 Decay Response and Future CO2 
Atmospheric Concentrations Held Constant at Current Levels. (Only Direct 
                        Effects Are Considered.)

----------------------------------------------------------------------------------------------------------------
                                                                               Global warming potential (time
                                                                                          horizon)
           Species (chemical)                    Chemical formula         --------------------------------------
                                                                             20 years    100 years    500 years
----------------------------------------------------------------------------------------------------------------
CFC-11.................................  CFCl3                                    5000         4000         1400
CFC-12.................................  CF2 Cl2                                  7900         8500         4200
CFC-13.................................  CClF3                                    8100        11700        13600
CFC-113................................  C2 F3 Cl3                                5000         5000         2300
CFC-114................................  C2 F4 Cl2                                6900         9300         8300
CFC-115................................  C2 F5 Cl                                 6200         9300        13000
H-1301.................................  CF3 Br                                   6200         5600         2200
Carbon Tet.............................  CCl4                                     2000         1400          500
Methyl Chl.............................  CH3 CCl3                                  360          110           35
HCFC-22................................  CF2 HCl                                  4300         1700          520
HCFC-141b..............................  C2 FH3 Cl2                               1800          630          200
HCFC-142b..............................  C2 F2 H3 Cl                              4200         2000          630
HCFC-123...............................  C2 F3 HCl2                                300           93           29
HCFC-124...............................  C2 F4 HCl                                1500          480          150
HCFC-225ca.............................  C3 F5 HCl2                                550          170           52
HCFC-225cb.............................  C3 F5 HCl2                               1700          530          170
----------------------------------------------------------------------------------------------------------------
AUnited Nations Environment Programme (UNEP), February 1995, Scientific Assessment of Ozone Depletion: 1994,
  Chapter 13, ``Ozone Depleting Potentials, Global Warming Potentials and Future Chlorine/Bromine Loading,'' and
  do not reflect review of scientific documents published after that date.


[61 FR 1285, Jan. 19, 1996]



    Sec. Appendix J to Subpart A of Part 82--Parties to the Montreal 
  Protocol Classied Under Article 5(1) That Have Banned the Import of 
Controlled Products That Rely on Class I Controlled Substances for Their 
                    Continuing Functioning [Reserved]



   Sec. Appendix K to Subpart A of Part 82--Commodity Codes From the 
Harmonized Tariff Schedule for Controlled Substances and Used Controlled 
                               Substances

------------------------------------------------------------------------
                                                        Commodity code
        Description of commodity or chemical            from harmonized
                                                        tariff schedule
------------------------------------------------------------------------
Class II:
    HCFC-22 (Chlorodifluoromethane).................        2903.71.0000
    HCFC-123 (Dichlorotrifluoroethane)..............        2903.72.0020
    HCFC-124 (Monochlorotetrafluoroethane)..........        2903.79.1000
    HCFC-141b (Dichlorofluoroethane)................        2903.73.0000
    HCFC-142b (Chlorodifluoroethane)................        2903.74.0000
    HCFC-225ca, HCFC-225cb                                  2903.75.0000
     (Dichloropentafluoropropanes)..................
    HCFC-21, HCFC-31, HCFC-133, and other HCFCs.....        2903.79.9070
    HCFC Mixtures (R-401A, R-402A, etc.)............        3824.74.0000
Class I:
    CFC-11 (Trichlorofluoromethane).................        2903.77.0010
    CFC-12 (Dichlorodifluoromethane)................        2903.77.0050
    CFC-113 (Trichlorotrifluoroethane)..............        2903.77.0020
    CFC-114 (Dichlorotetrafluoroethane).............        2903.77.0030
    CFC-115 (Monochloropentafluoroethane)...........        2903.77.0040
    CFC-13, CFC-111, CFC-112, CFC-211, CFC-212, CFC-        2903.77.0080
     213, CFC-214, CFC-215, CFC-216, CFC-217, and
     other CFCs.....................................
    CFC Mixtures (R-500, R-502, etc.)...............        3824.71.0100
    Carbon Tetrachloride............................        2903.14.0000
    Halon 1301 (Bromotrifluoromethane)..............        2903.76.0010
    Halon, other....................................        2903.76.0050
    Methyl Bromide..................................        2903.39.1520
    Methyl Chloroform...............................        2903.19.6010
------------------------------------------------------------------------


[[Page 77]]


[85 FR 15299, Mar. 17, 2020]



  Sec. Appendix L to Subpart A of Part 82--Approved Critical Uses and 
               Limiting Critical Conditions for Those Uses

----------------------------------------------------------------------------------------------------------------
               Column A                            Column B                             Column C
----------------------------------------------------------------------------------------------------------------
Approved Critical Uses................  Approved Critical User,         Limiting Critical Conditions
                                         Location of Use.               that exist, or that the approved
                                                                         critical user reasonably expects could
                                                                         arise without methyl bromide
                                                                         fumigation:
----------------------------------------------------------------------------------------------------------------
                                                 PRE-PLANT USES
----------------------------------------------------------------------------------------------------------------
Strawberry Fruit......................  California growers in 2015 and  Moderate to severe black root rot or
                                         2016..                          crown rot
                                                                        Moderate to severe yellow or purple
                                                                         nutsedge infestation
                                                                        Moderate to severe nematode infestation
                                                                        Local township limits prohibiting 1,3-
                                                                         dichloropropene
----------------------------------------------------------------------------------------------------------------
                                                POST-HARVEST USES
----------------------------------------------------------------------------------------------------------------
Dry Cured Pork Products...............  Members of the National         Red legged ham beetle infestation
                                         Country Ham Association and    Cheese/ham skipper infestation
                                         the American Association of    Dermestid beetle infestation
                                         Meat Processors, Nahunta Pork  Ham mite infestation
                                         Center (North Carolina), and
                                         Gwaltney of Smithfield Inc..
----------------------------------------------------------------------------------------------------------------


[80 FR 61992, Oct. 15, 2015]



          Subpart B_Servicing of Motor Vehicle Air Conditioners

    Source: 57 FR 31261, July 14, 1992, unless otherwise noted.



Sec.  82.30  Purpose and scope.

    (a) The purpose of the regulations in this subpart B is to implement 
section 609 of the Clean Air Act, as amended (Act) regarding the 
servicing of motor vehicle air conditioners (MVACs), and to implement 
section 608 of the Act regarding certain servicing, maintenance, repair 
and disposal of air conditioners in MVACs and MVAC-like appliances (as 
that term is defined in 40 CFR 82.152).
    (b) These regulations apply to any person performing service on a 
motor vehicle for consideration when this service involves the 
refrigerant in the motor vehicle air conditioner.

[57 FR 31261, July 14, 1992, as amended at 62 FR 68046, Dec. 30, 1997]



Sec.  82.32  Definitions.

    (a) Approved independent standards testing organization means any 
organization which has applied for and received approval from the 
Administrator pursuant to Sec.  82.38.
    (b) Approved refrigerant recycling equipment means equipment 
certified by the Administrator or an organization approved under Sec.  
82.38 as meeting either one of the standards in Sec.  82.36. Such 
equipment extracts and recycles refrigerant or extracts refrigerant for 
recycling on-site or reclamation off-site.
    (c) Motor vehicle as used in this subpart means any vehicle which is 
self-propelled and designed for transporting persons or property on a 
street or highway, including but not limited to passenger cars, light 
duty vehicles, and heavy duty vehicles. This definition does not include 
a vehicle where final assembly of the vehicle has not been completed by 
the original equipment manufacturer.
    (d) Motor vehicle air conditioners means mechanical vapor 
compression refrigeration equipment used to cool the driver's or 
passenger's compartment of any motor vehicle. This definition is not 
intended to encompass the hermetically sealed refrigeration systems used 
on motor vehicles for refrigerated cargo and the air conditioning 
systems on passenger buses using HCFC-22 refrigerant.
    (e) Properly using. (1) Properly using means using equipment in 
conformity with the regulations set forth in this subpart, including but 
not limited to the prohibitions and required practices

[[Page 78]]

set forth in Sec.  82.34, and the recommended service procedures and 
practices for the containment of refrigerant set forth in appendices A, 
B, C, D, E, and F of this subpart, as applicable. In addition, this term 
includes operating the equipment in accordance with the manufacturer's 
guide to operation and maintenance and using the equipment only for the 
controlled substance for which the machine is designed. For equipment 
that extracts and recycles refrigerant, properly using also means to 
recycle refrigerant before it is returned to a motor vehicle air 
conditioner or MVAC-like appliance, including to the motor vehicle air 
conditioner or MVAC-like appliance from which the refrigerant was 
extracted. For equipment that only recovers refrigerant, properly using 
includes the requirement to recycle the refrigerant on-site or send the 
refrigerant off-site for reclamation.
    (2) Refrigerant from reclamation facilities that is used for the 
purpose of recharging motor vehicle air conditioners must be at or above 
the standard of purity developed by the Air-conditioning and 
Refrigeration Institute (ARI 700-93) (which is codified at 40 CFR part 
82, subpart F, appendix A, and is available at 4301 North Fairfax Drive, 
Suite 425, Arlington, Virginia 22203). Refrigerant may be recycled off-
site only if the refrigerant is extracted using recover only equipment, 
and is subsequently recycled off-site by equipment owned by the person 
that owns both the recover only equipment and owns or operates the 
establishment at which the refrigerant was extracted. In any event, 
approved equipment must be used to extract refrigerant prior to 
performing any service during which discharge of refrigerant from the 
motor vehicle air conditioner can reasonably be expected. Intentionally 
venting or disposing of refrigerant to the atmosphere is an improper use 
of equipment.
    (3) Notwithstanding any other terms of this paragraph (e), approved 
refrigerant recycling equipment may be transported off-site and used to 
perform service involving refrigerant at other locations where such 
servicing occurs. Any such servicing involving refrigerant must meet all 
of the requirements of this subpart B that would apply if the servicing 
occurred on-site.
    (4) Facilities that charge MVACs or MVAC-like appliances with 
refrigerant but do not perform any other service involving refrigerant 
(i.e., perform ``top-offs'' only) are considered to be engaged in 
``service involving refrigerant'' and are therefore subject to any and 
all requirements of this subsection that apply to facilities that 
perform a wider range of refrigerant servicing. For facilities that 
charge MVACs, this includes the requirement to purchase approved 
refrigerant recycling equipment. For facilities that only charge MVAC-
like appliances, this does not include the requirement to purchase 
approved refrigerant recycling equipment, but does include the 
requirement to be properly trained and certified by a technician 
certification program approved by the Administrator pursuant to either 
Sec.  82.40 or Sec.  82.161(a)(5).
    (5) All persons opening (as that term is defined in Sec.  82.152) 
MVAC-like appliances must have at least one piece of approved recovery 
or recycling equipment available at their place of business.
    (f) Refrigerant means any class I or class II substance used in a 
motor vehicle air conditioner. Class I and class II substances are 
listed in part 82, subpart A, appendix A. Effective November 15, 1995, 
refrigerant shall also include any substitute substance.
    (g) Service for consideration means being paid to perform service, 
whether it is in cash, credit, goods, or services. This includes all 
service except that done for free.
    (h) Service involving refrigerant means any service during which 
discharge or release of refrigerant from the MVAC or MVAC-like appliance 
to the atmosphere can reasonably be expected to occur. Service involving 
refrigerant includes any service in which an MVAC or MVAC-like appliance 
is charged with refrigerant but no other service involving refrigerant 
is performed (i.e., a ``top-off'').
    (i) Motor vehicle disposal facility means any commercial facility 
that engages in the disposal (which includes dismantling, crushing or 
recycling) of MVACs or MVAC-like appliances, including but not limited 
to automotive

[[Page 79]]

recycling facilities, scrap yards, landfills and salvage yards engaged 
in such operations. Motor vehicle repair and/or servicing facilities, 
including collision repair facilities, are not considered motor vehicle 
disposal facilities.

[57 FR 31261, July 14, 1992, as amended at 60 FR 21687, May 2, 1995; 62 
FR 68046, Dec. 30, 1997]



Sec.  82.34  Prohibitions and required practices.

    (a) No person repairing or servicing MVACs for consideration, and no 
person repairing or servicing MVAC-like appliances, may perform any 
service involving the refrigerant for such MVAC or MVAC-like appliance:
    (1) Without properly using equipment approved pursuant to Sec.  
82.36;
    (2) Unless any such person repairing or servicing an MVAC has been 
properly trained and certified by a technician certification program 
approved by the Administrator pursuant to Sec.  82.40; and
    (3) Unless any such person repairing or servicing an MVAC-like 
appliance has been properly trained and certified by a technician 
certification program approved by the Administrator pursuant to either 
Sec.  82.40 or Sec.  82.161(a)(5).
    (b) Effective November 15, 1992, no person may sell or distribute, 
or offer for sale or distribution, any class I or class II substance 
that is suitable for use as a refrigerant in motor vehicle air-
conditioner and that is in a container which contains less than 20 
pounds of such refrigerant to any person unless that person is properly 
trained and certified under Sec.  82.40 or intended the containers for 
resale only, and so certifies to the seller under Sec.  82.42(b)(3).
    (c) No technician training programs may issue certificates unless 
the program complies with all of the standards in Sec.  82.40(a).
    (d) Motor vehicle disposal facilities. (1) Any refrigerant that is 
extracted from an MVAC or an MVAC-like appliance (as that term is 
defined in Sec.  82.152) bound for disposal and located at a motor 
vehicle disposal facility may not be subsequently used to charge or 
recharge an MVAC or MVAC-like appliance, unless, prior to such charging 
or recharging, the refrigerant is either:
    (i) Recovered, and reclaimed in accordance with the regulations 
promulgated under Sec.  82.32(e)(2) of this subpart B; or
    (ii) (A) Recovered using approved refrigerant recycling equipment 
dedicated for use with MVACs and MVAC-like appliances, either by a 
technician certified under paragraph (a)(2) of this section, or by an 
employee, owner, or operator of, or contractor to, the disposal 
facility; and
    (B) Subsequently recycled by the facility that charges or recharges 
the refrigerant into an MVAC or MVAC-like appliance, properly using 
approved refrigerant recycling equipment in accordance with any 
applicable recommended service procedures set forth in the appendices to 
this subpart B.
    (2) Any refrigerant the sale of which is restricted under subpart F 
that is extracted from an MVAC or an MVAC-like appliance bound for 
disposal and located at a motor vehicle disposal facility but not 
subsequently reclaimed in accordance with the regulations promulgated 
under subpart F, may be sold prior to its subsequent re-use only to a 
technician certified under paragraph (a)(2) of this section. Any 
technician certified under paragraph (a)(2) of this section who obtains 
such a refrigerant may subsequently re-use such refrigerant only in an 
MVAC or MVAC-like appliance, and only if it has been reclaimed or 
properly recycled.
    (e) Refrigerant handling equipment manufactured or imported for use 
during the maintenance, service or repair of MVACs for consideration 
cannot be introduced into interstate commerce unless meeting the 
requirements of Sec.  82.36.

[57 FR 31261, July 14, 1992, as amended at 62 FR 68047, Dec. 30, 1997; 
72 FR 63494, Nov. 9, 2007]



Sec.  82.36  Approved refrigerant handling equipment.

    (a)(1) Refrigerant recycling equipment must be certified by the 
Administrator or an independent standards testing organization approved 
by the Administrator under Sec.  82.38 to meet the following standard:
    (2) Equipment that recovers and recycles CFC-12 refrigerant must 
meet the standards set forth in appendix A

[[Page 80]]

of this subpart (Recommended Service Procedure for the Containment of 
CFC-12, Extraction and Recycle Equipment for Mobile Automotive Air-
Conditioning Systems, and Standard of Purity for Use in Mobile Air 
Conditioning Systems).
    (3) Equipment that recovers but does not recycle CFC-12 refrigerant 
must meet the standards set forth in appendix B of this subpart 
(Recommended Service Procedure for the Containment of CFC-12 and 
Extraction Equipment for Mobile Automotive Air-Conditioning Systems).
    (4) Effective January 1, 2008, equipment that recovers and recycles 
HFC-134a refrigerant and equipment that recovers and recycles HFC-134a 
refrigerant and recharges systems with HFC-134a refrigerant must meet 
the standards set forth in Appendix C of this subpart based upon J2788--
HFC-134a (R-134a) Recovery/Recycling Equipment and Recovery/Recycling/
Recharging for Mobile Air-Conditioning Systems.
    (5) Effective October 31, 2008, equipment that recovers but does not 
recycle HFC-134a refrigerant must meet the standards set forth in 
Appendix D of this subpart based upon J2810--HFC-134a (R-134a) Recovery 
Equipment Mobile Air-Conditioning Systems.
    (6) Equipment that recovers and recycles both CFC-12 and HFC-134a 
using common circuitry must meet the standards set forth in appendix E 
of this subpart (Automotive Refrigerant Recycling Equipment Intended for 
Use with both CFC-12 and HFC-134a, Recommended Service Procedure for the 
Containment of CFC-12, and Recommended Service Procedure for the 
Containment of HFC-134a).
    (7) Equipment that recovers but does not recycle refrigerants other 
than HFC-134a and CFC-12 must meet the standards set forth in appendix F 
of this subpart (Recover-Only Equipment that Extracts a Single, Specific 
Refrigerant Other Than CFC-12 or HFC-134a).
    (b)(1) Refrigerant recycling equipment that has not been certified 
under paragraph (a) of this section shall be considered approved if it 
is substantially identical to the applicable equipment certified under 
paragraph (a) of this section, and:
    (i) For equipment that recovers and recycles CFC-12 refrigerant, it 
was initially purchased before September 4, 1991;
    (ii) For equipment that recovers but does not recycle CFC-12 
refrigerant, it was initially purchased before April 22, 1992;
    (iii) For equipment that recovers and recycles HFC-134a refrigerant, 
it was initially purchased before March 6, 1996;
    (iv) For equipment that recovers but does not recycle HFC-134a 
refrigerant, it was initially purchased before March 6, 1996;
    (v) For equipment that recovers but does not recycle any single, 
specific refrigerant other than CFC-12 or HFC-134a, it was initially 
purchased before March 6, 1996; and
    (vi) For equipment that recovers and recycles HFC-134a and CFC-12 
refrigerant using common circuitry, it was initially purchased before 
March 6, 1996.
    (2) Equipment manufacturers or owners may request a determination by 
the Administrator by submitting an application and supporting documents 
that indicate that the equipment is substantially identical to approved 
equipment to: MVACs Recycling Program Manager, Stratospheric Protection 
Division (6205J), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460, Attn: Substantially 
Identical Equipment Review. Supporting documents must include process 
flow sheets, lists of components and any other information that would 
indicate that the equipment is capable of processing the refrigerant to 
the standards in appendix A, B, C, D, E or F of this subpart, as 
applicable. Authorized representatives of the Administrator may inspect 
equipment for which approval is being sought and request samples of 
refrigerant that has been extracted and/or recycled using the equipment. 
Equipment that fails to meet appropriate standards will not be 
considered approved.
    (3) Refrigerant recycling equipment that recovers or recovers and 
recycles CFC-12 refrigerant and has not been certified under paragraph 
(a) or approved under paragraphs(b)(1) and (b)(2)

[[Page 81]]

of this section shall be considered approved for use with an MVAC-like 
appliance if it was manufactured or imported before November 15, 1993, 
and is capable of reducing the system pressure to 102 mm of mercury 
vacuum under the conditions set forth in appendix A of this subpart.
    (c) The Administrator will maintain a list of approved equipment by 
manufacturer and model. Persons interested in obtaining a copy of the 
list should send written inquiries to the address in paragraph (b) of 
this section.

[57 FR 31261, July 14, 1992, as amended at 60 FR 21687, May 2, 1995; 62 
FR 68047, Dec. 30, 1997; 72 FR 63494, Nov. 9, 2007; 73 FR 34647, June 
18, 2008]



Sec.  82.38  Approved independent standards testing organizations.

    (a) Any independent standards testing organization may apply for 
approval by the Administrator to certify equipment as meeting the 
standards in appendix A, B, C, D, E, or F of this subpart, as 
applicable. The application shall be sent to: MVACs Recycling Program 
Manager, Stratospheric Protection Division (6205J), U.S. Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
    (b) Applications for approval must document the following:
    (1) That the organization has the capacity to accurately test 
whether refrigerant recycling equipment complies with the applicable 
standards. In particular, applications must document:
    (i) The equipment present at the organization that will be used for 
equipment testing;
    (ii) The expertise in equipment testing and the technical experience 
of the organization's personnel;
    (iii) Thorough knowledge of the standards as they appear in the 
applicable appendices of this subpart; and
    (iv) The test procedures to be used to test equipment for compliance 
with applicable standards, and why such test procedures are appropriate 
for that purpose.
    (2) That the organization has no conflict of interest and will 
receive no financial benefit based on the outcome of certification 
testing; and
    (3) That the organization agrees to allow the Administrator access 
to verify the information contained in the application.
    (c) If approval is denied under this section, the Administrator 
shall give written notice to the organization setting forth the basis 
for his or her determination.
    (d) If at any time an approved independent standards testing 
organization is found to be conducting certification tests for the 
purposes of this subpart in a manner not consistent with the 
representations made in its application for approval under this section, 
the Administrator reserves the right to revoke approval.

[57 FR 31261, July 14, 1992, as amended at 60 FR 21687, May 2, 1995; 62 
FR 68048, Dec. 30, 1997]



Sec.  82.40  Technician training and certification.

    (a) Any technician training and certification program may apply for 
approval, in accordance with the provisions of this paragraph, by 
submitting to the Administrator at the address in Sec.  82.38(a) 
verification that the program meets all of the following standards:
    (1) Training. Each program must provide adequate training, through 
one or more of the following means: on-the-job training, training 
through self-study of instructional material, or on-site training 
involving instructors, videos or a hands-on demonstration.
    (2) Test subject material. The certification tests must adequately 
and sufficiently cover the following:
    (i) The standards established for the service and repair of MVACs 
and MVAC-like appliances as set forth in appendices A, B, C, D, E, and F 
of this subpart. These standards relate to the recommended service 
procedures for the containment of refrigerant, extraction equipment, 
extraction and recycle equipment, and the standard of purity for 
refrigerant in motor vehicle air conditioners.
    (ii) Anticipated future technological developments, such as the 
introduction of HFC-134a in new motor vehicle air conditioners.
    (iii) The environmental consequences of refrigerant release and the 
adverse

[[Page 82]]

effects of stratospheric ozone layer depletion.
    (iv) As of August 13, 1992, the requirements imposed by the 
Administrator under section 609 of the Act.
    (3) Test administration. Completed tests must be graded by an entity 
or individual who receives no benefit based on the outcome of testing; a 
fee may be charged for grading. Sufficient measures must be taken at the 
test site to ensure that tests are completed honestly by each 
technician. Each test must provide a means of verifying the 
identification of the individual taking the test. Programs are 
encouraged to make provisions for non-English speaking technicians by 
providing tests in other languages or allowing the use of a translator 
when taking the test. If a translator is used, the certificate received 
must indicate that translator assistance was required.
    (4) Proof of certification. Each certification program must offer 
individual proof of certification, such as a certificate, wallet-sized 
card, or display card, upon successful completion of the test. Each 
certification program must provide a unique number for each certified 
technician.
    (b) In deciding whether to approve an application, the Administrator 
will consider the extent to which the applicant has documented that its 
program meets the standards set forth in this section. The Administrator 
reserves the right to consider other factors deemed relevant to ensure 
the effectiveness of certification programs. The Administrator may 
approve a program which meets all of the standards in paragraph (a) of 
this section except test administration if the program, when viewed as a 
whole, is at least as effective as a program that does meet all the 
standards. Such approval shall be limited to training and certification 
conducted before August 13, 1992. If approval is denied under this 
section, the Administrator shall give written notice to the program 
setting forth the basis for his determination.
    (c) Technical revisions. Directors of approved certification 
programs must conduct periodic reviews of test subject material and 
update the material based upon the latest technological developments in 
motor vehicle air conditioner service and repair. A written summary of 
the review and any changes made must be submitted to the Administrator 
every two years.
    (d) Recertification. The Administrator reserves the right to specify 
the need for technician recertification at some future date, if 
necessary.
    (e) If at any time an approved program is conducted in a manner not 
consistent with the representations made in the application for approval 
of the program under this section, the Administrator reserves the right 
to revoke approval.
    (f) Authorized representatives of the Administrator may require 
technicians to demonstrate on the business entity's premises their 
ability to perform proper procedures for recovering and/or recycling 
refrigerant. Failure to demonstrate or failure to properly use the 
equipment may result in revocation of the technician's certificate by 
the Administrator. Technicians whose certification is revoked must be 
recertified before servicing or repairing any motor vehicle air 
conditioners.

[57 FR 31261, July 14, 1992, as amended at 60 FR 21688, May 2, 1995; 62 
FR 68048, Dec. 30, 1997]



Sec.  82.42  Certification, recordkeeping and public notification requirements.

    (a) Certification requirements. (1) No later than January 1, 1993, 
any person repairing or servicing motor vehicle air conditioners for 
consideration shall certify to the Administrator that such person has 
acquired, and is properly using, approved equipment and that each 
individual authorized to use the equipment is properly trained and 
certified. Certification shall take the form of a statement signed by 
the owner of the equipment or another responsible officer and setting 
forth:
    (i) The name of the purchaser of the equipment;
    (ii) The address of the establishment where the equipment will be 
located; and
    (iii) The manufacturer name and equipment model number, the date of 
manufacture, and the serial number of the equipment. The certification 
must also include a statement that the equipment will be properly used 
in

[[Page 83]]

servicing motor vehicle air conditioners, that each individual 
authorized by the purchaser to perform service is properly trained and 
certified in accordance with Sec.  82.40, and that the information given 
is true and correct.
    (A) Owners or lessees of recycling or recovery equipment having 
their places of business in Connecticut, Maine, Massachusetts, New 
Hampshire, Rhode Island, and Vermont must send their certifications to: 
CAA section 609 Enforcement Contact; EPA Region I; Mail Code 04-2; 5 
Post Office Square--Suite 100, Boston, MA 02109-3912.
    (B) Owners or lessees of recycling or recovery equipment having 
their places of business in New York, New Jersey, Puerto Rico, Virgin 
Islands must send their certifications to: CAA section 609 Enforcement 
Contact; EPA Region II (2DECA-AC); 290 Broadway, 21st Floor; New York, 
NY 10007-1866.
    (C) Owners or lessees of recycling or recovery equipment having 
their places of business in Delaware, District of Columbia, Maryland, 
Pennsylvania, Virginia, West Virginia must send their certifications to: 
CAA section 609 Enforcement Contact; EPA Region III--Wheeling Operations 
Office; Mail Code 3AP12; 303 Methodist Building; 11th and Chapline 
Streets; Wheeling, WV 26003.
    (D) Owners or lessees of recycling or recovery equipment having 
their places of business in Alabama, Florida, Georgia, Kentucky, 
Mississippi, North Carolina, South Carolina, Tennessee must send their 
certifications to: CAA section 609 Enforcement Contact; EPA Region IV 
(APT-AE); Atlanta Federal Center; 61 Forsyth Street, SW.; Atlanta, GA 
30303.
    (E) Owners or lessees of recycling or recovery equipment having 
their places of business in Illinois, Indiana, Michigan, Minnesota, 
Ohio, Wisconsin must send their certifications to: CAA section 609 
Enforcement Contact, EPA Region V (AE17J); 77 West Jackson Blvd.; 
Chicago, IL 60604-3507.
    (F) Owners or lessees of recycling or recovery equipment having 
their places of business in Arkansas, Louisiana, New Mexico, Oklahoma, 
Texas must send their certifications to: CAA Section 609 Enforcement 
Contact, EPA Region 6, 1201 Elm Street, Suite 500, Mail Code 6ECDAP, 
Dallas, Texas 75270-2102.
    (G) Owners or lessees of recycling or recovery equipment having 
their places of business in Iowa, Kansas, Missouri, Nebraska must send 
their certifications to: CAA section 609 Enforcement Contact; EPA Region 
7; Mail Code APCO/APDB/ACES; 11201 Renner Boulevard, Lenexa, Kansas 
66219.
    (H) Owners or lessees of recycling or recovery equipment having 
their places of business in Colorado, Montana, North Dakota, South 
Dakota, Utah, Wyoming must send their certifications to: CAA section 609 
Enforcement Contact, EPA Region VIII, Mail Code 8ENF-T, 999 18th Street, 
Suite 500, Denver, CO 80202-2466.
    (I) Owners or lessees of recycling or recovery equipment having 
their places of business in American Samoa, Arizona, California, Guam, 
Hawaii, Nevada must send their certifications to: CAA section 609 
Enforcement Contact; EPA Region IX; Mail Code AIR-5; 75 Hawthorne 
Street; San Francisco, CA 94105.
    (J) Owners or lessees of recycling or recovery equipment having 
their places of business in Alaska, Idaho, Oregon, Washington must send 
their certifications to: CAA section 609 Enforcement Contact; EPA Region 
X (OAQ-107); 1200 Sixth Avenue; Seattle, WA 98101.
    (b) Recordkeeping requirements. (1) Any person who owns approved 
refrigerant recycling equipment certified under Sec.  82.36(a)(2) must 
maintain records of the name and address of any facility to which 
refrigerant is sent.
    (2) Any person who owns approved refrigerant recycling equipment 
must retain records demonstrating that all persons authorized to operate 
the equipment are currently certified under Sec.  82.40.
    (3) Any person who sells or distributes any class I or class II 
substance that is suitable for use as a refrigerant in a motor vehicle 
air conditioner and that is in a container of less than 20 pounds of 
such refrigerant must verify that the purchaser is properly trained and 
certified under Sec.  82.40. The seller must have a reasonable basis for 
believing that the information presented by the purchaser is accurate. 
The only exception to these requirements is if the purchaser is 
purchasing the small

[[Page 84]]

containers for resale only. In this case, the seller must obtain a 
written statement from the purchaser that the containers are for resale 
only and indicate the purchasers name and business address. Records 
required under this paragraph must be retained for a period of three 
years.
    (4) All records required to be maintained pursuant to this section 
must be kept for a minimum of three years unless otherwise indicated. 
Entities which service motor vehicle air conditioners for consideration 
must keep these records on-site.
    (5) All entities which service motor vehicle air conditioners for 
consideration must allow an authorized representative of the 
Administrator entry onto their premises (upon presentation of his or her 
credentials) and give the authorized representative access to all 
records required to be maintained pursuant to this section.
    (c) Public notification. Any person who conducts any retail sales of 
a class I or class II substance that is suitable for use as a 
refrigerant in a motor vehicle air conditioner, and that is in a 
container of less than 20 pounds of refrigerant, must prominently 
display a sign where sales of such containers occur which states:

``It is a violation of federal law to sell containers of Class I and 
Class II refrigerant of less than 20 pounds of such refrigerant to 
anyone who is not properly trained and certified to operate approved 
refrigerant recycling equipment.''

[57 FR 31261, July 14, 1992, as amended at 60 FR 21688, May 2, 1995; 72 
FR 63494, Nov. 9, 2007; 76 FR 49673, Aug. 11, 2011; 78 FR 37977, June 
25, 2013; 84 FR 34070, July 17, 2019; 84 FR 44230, Aug. 23, 2019]



 Sec. Appendix A to Subpart B of Part 82--Standard for Recycle/Recover 
                                Equipment

      Standard of Purity for Use in Mobile Air-Conditioning Systems

                                Foreword

    Due to the CFC's damaging effect on the ozone layer, recycle of CFC-
12 (R-12) used in mobile air-conditioning systems is required to reduce 
system venting during normal service operations. Establishing recycle 
specifications for R-12 will assure that system operation with recycled 
R-12 will provide the same level of performance as new refrigerant.
    Extensive field testing with the EPA and the auto industry indicate 
that reuse of R-12 removed from mobile air-conditioning systems can be 
considered, if the refrigerant is cleaned to a specific standard. The 
purpose of this standard is to establish the specific minimum levels of 
R-12 purity required for recycled R-12 removed from mobile automotive 
air-conditioning systems.

                                1. Scope

    This information applies to refrigerant used to service automobiles, 
light trucks, and other vehicles with similar CFC-12 systems. Systems 
used on mobile vehicles for refrigerated cargo that have hermetically 
sealed, rigid pipe are not covered in this document.

                              2. References

SAE J1989, Recommended Service Procedure for the Containment of R-12
SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-
Conditioning Systems
ARI Standard 700-88

                         3. Purity Specification

    The refrigerant in this document shall have been directly removed 
from, and intended to be returned to, a mobile air-conditioning system. 
The contaminants in this recycled refrigerant 12 shall be limited to 
moisture, refrigerant oil, and noncondensable gases, which shall not 
exceed the following level:
    3.1 Moisture: 15 ppm by weight.
    3.2 Refrigerant Oil: 4000 ppm by weight.
    3.3 Noncondensable Gases (air): 330 ppm by wright.

      4. Refrigeration Recycle Equipment Used in Direct Mobile Air-
               Conditioning Service Operations Requirement

    4.1 The equipment shall meet SAE J1990, which covers additional 
moisture, acid, and filter requirements.
    4.2 The equipment shall have a label indicating that it is certified 
to meet this document.

    5. Purity Specification of Recycled R-12 Refrigerant Supplied in 
                  Containers From Other Recycle Sources

    Purity specification of recycled R-12 refrigerant supplied in 
containers from other recycle sources, for service of mobile air-
conditioning systems, shall meet ARI Standard 700-88 (Air Conditioning 
and Refrigeration Institute).

[[Page 85]]

                  6. Operation of the Recycle Equipment

    This shall be done in accordance with SAE J1989.

                                Rationale

    Not applicable.

              Relationship of SAE Standard to ISO Standard

    Not applicable.

                            Reference Section

SAE J1989, Recommended Service Procedure for the Containment of R-12
SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-
Conditioning Systems
ARI Standard 700-88

                               Application

    This information applies to refrigerant used to service automobiles, 
light trucks, and other vehicles with similar CFC-12 systems. Systems 
used on mobile vehicles for refrigerated cargo that have hermetically 
sealed, rigid pipe are not covered in this document.

                          Committee Composition

  Developed by the SAE Defrost and Interior Climate Controls Standards 
                                Committee

W.J. Atkinson, Sun Test Engineering, Paradise Valley, AZ--Chairman
J.J. Amin, Union Lake, MI
H.S. Andersson, Saab Scania, Sweden
P.E. Anglin, ITT Higbie Mfg. Co., Rochester, MI
R.W. Bishop, GMC, Lockport, NY
D. Hawks, General Motors Corporation, Pontiac, MI
J.J. Hernandez, NAVISTAR, Ft. Wayne, IN
H. Kaltner, Volkswagen AG, Germany, Federal Republic
D.F. Last, GMC, Troy, MI
D.E. Linn, Volkswagen of America, Warren, MI
J.H. McCorkel, Freightliner Corp., Charlotte, NC
C.J. McLachlan, Livonia, MI
H.L. Miner, Climate Control Inc., Decatur, IL
R.J. Niemiec, General Motors Corp., Pontiac, MI
N. Novak, Chrysler Corp., Detroit, MI
S. Oulouhojian, Mobile Air Conditioning Society, Upper Darby, PA
J. Phillips, Air International, Australia
R.H. Proctor, Murray Corp., Cockeysville, MD
G. Rolling, Behr America Inc., Ft. Worth, TX
C.D. Sweet, Signet Systems Inc., Harrodsburg, KY
J.P. Telesz, General Motors Corp., Lockport, NY

Extraction and Recycle Equipment for Mobile Automotive Air Conditioning 
                                 Systems

             SAE Recommended Practice, SAE J1990 (1991) \1\

                               0. Foreword

    Due to the CFC's damaging effect on the ozone layer, recycle of CFC-
12 (R-12) used in mobile air-conditioning systems is required to replace 
system venting during normal service operations. Establishing recycle 
specifications for R-12 will provide the same level of performance as 
new refrigerant.
---------------------------------------------------------------------------

    \1\ This standard is appropriate for equipment certified after 
February 1, 1992. This equipment may be marked design certified for 
compliance with SAE J1990 (1991). The standard for approval for 
equipment certified on or before February 1, 1992 is SAE J1990 (1989). 
This equipment may be marked design certified for compliance with SAE 
J1990 (1989). Both types of equipment are considered approved under the 
requirements of this regulation.
---------------------------------------------------------------------------

    Extensive field testing with the EPA and the auto industry indicates 
that R-12 can be reused, provided that it is cleaned to specifications 
in SAE J1991. The purpose of this document is to establish the specific 
minimum equipment specification required for recycle of R-12 that has 
been directly removed from mobile systems for reuse in mobile automotive 
air-conditioning systems.

                                1. Scope

    The purpose of this document is to provide equipment specifications 
for CFC-12 (R-12) recycling equipment. This information applies to 
equipment used to service automobiles, light trucks, and other vehicles 
with similar CFC-12 air-conditioning systems. Systems used on mobile 
vehicles for refrigerated cargo that have hermetically sealed systems 
are not covered in this document. The equipment in this document is 
intended for use with refrigerant that has been directly removed from, 
and intended to be returned to, a mobile air-conditioning system. Should 
other revisions due to operational or technical requirements occur, this 
document may be amended.

                              2. References

    2.1 Applicable Documents:
    2.1.1 SAE Publications--Available from SAE, 400 Commonwealth Drive, 
Warrendale, PA 15096-0001.

SAE J1991--Standard of Purity for Use in Mobile Air-Conditioning Systems
SAE J2196--Service Hose for Automotive Air-Conditioning


[[Page 86]]


    2.1.2 CGA Publications--Available from CGA, Crystal Gateway 1, Ste. 
501, 1235 Jefferson Davis Hwy., Arlington, VA 22202

CGA Pamphlet S-1.1--Pressure Relief Device Standard Part 1--Cylinders 
for Compressed Gases

                3. Specification and General Description

    3.1 The equipment must be able to extract and process CFC-12 from 
mobile air-conditioning systems. The equipment shall process the 
contaminated R-12 samples as defined in 8.4 and shall clean the 
refrigerant to the level as defined in SAE J1991.
    3.2 The equipment shall be suitable for use in an automotive service 
environment and be capable of continuous operation in ambients from 10 
to 49 [deg]C.
    3.3 The equipment must be certified by Underwriters Laboratories or 
an equivalent certifying laboratory.
    3.4 The equipment shall have a label ``Design Certified by (Company 
Name) to Meet SAE J1991''. The minimum letter size shall be bold type 3 
mm in height.

             4. Refrigeration Recycle Equipment Requirements

    4.1 Moisture and Acid--The equipment shall incorporate a desiccant 
package that must be replaced before saturated with moisture and whose 
mineral acid capacity is at least 5% by weight of total system dry 
desiccant.
    4.1.1 The equipment shall be provided with a moisture detection 
device that will reliably indicate when moisture in the CFC-12 exceeds 
the allowable level and requires the filter/dryer replacement.
    4.2 Filter--The equipment shall incorporate an in-line filter that 
will trap particulates of 15 [micro]m or greater.
    4.3 Noncondensable Gas.
    4.3.1 The equipment shall either automatically purge noncondensables 
(NCGs) if the acceptable level is exceeded or incorporate a device to 
alert the operator that NCG level has been exceeded. NCG removal must be 
part of normal operation of the equipment and instructions must be 
provided to enable the task to be accomplished within 30 minutes.
    4.3.2 Refrigerant loss from noncondensable gas purging during 
testing described in Section 8 shall not exceed five percent (5%) by 
weight of the total contaminated refrigerant removed from the test 
system.
    4.3.3 Transfer of Recycled Refrigerant--Recycled refrigerant for 
recharging and transfer shall be taken from the liquid phase only.

                         5. Safety Requirements

    5.1 The equipment must comply with applicable federal, state and 
local requirements on equipment related to the handling of R-12 
material. Safety precautions or notices related to the safe operation of 
the equipment shall be prominently displayed on the equipment and should 
also state ``Caution--Should Be Operated By Qualified Personnel''.

                        6. Operating Instructions

    6.1 The equipment manufacturer must provide operating instructions, 
necessary maintenance procedures, and source information for replacement 
parts and repair.
    6.2 The equipment must prominently display the manufacturer's name, 
address and any items that require maintenance or replacement that 
affect the proper operation of the equipment. Operation manuals must 
cover information for complete maintenance of the equipment to assure 
proper operation.

                        7. Functional Description

    7.1 The equipment must be capable of ensuring recovery of the R-12 
from the system being service, by reducing the system pressure below 
atmospheric to a minimum of 102 mm of mercury.
    7.2 To prevent overcharge, the equipment must be equipped to protect 
the tank used to store the recycled refrigerant with a shutoff device 
and a mechanical pressure relief valve.
    7.3 Portable refillable tanks or containers used in conjunction with 
this equipment must meet applicable Department of Transportation (DOT) 
or Underwriters Laboratories (UL) Standards and be adaptable to existing 
refrigerant service and charging equipment.
    7.4 During operation, the equipment shall provide overfill 
protection to assure the storage container, internal or external, liquid 
fill does not exceed 80% of the tank's rated volume at 21.1 [deg]C (70 
[deg]F) per DOT standards, CFR title 49, Sec.  173.304 and American 
Society of Mechanical Engineers.
    7.4.1 Additional Storage Tank Requirements.
    7.4.1.1 The cylinder valve shall comply with the standard for 
cylinder valves, UL 1769.
    7.4.1.2 The pressure relief device shall comply with the Pressure 
Relief Device Standard Part 1--Cylinders for Compressed Gases, CGA 
Pamphlet S-1.1.
    7.4.1.3 The tank assembly shall be marked to indicate the first 
retest date, which shall be 5 years after date of manufacture. The 
marking shall indicate that retest must be performed every subsequent 5 
years. The marking shall be in letters at least \1/4\ in high.
    7.5 All flexible hoses must meet SAE J2196 hose specification 
effective January 1, 1992.
    7.6 Service hoses must have shutoff devices located within 30 cm (12 
in) of the connection point to the system being serviced to

[[Page 87]]

minimize introduction of noncondensable gases into the recovery 
equipment and the release of the refrigerant when being disconnected.
    7.7 The equipment must be able to separate the lubricant from the 
recovered refrigerant and accurately indicate the amount removed during 
the process, in 30 ml units. Refrigerant dissolves in lubricant sample. 
This creates the illusion that more lubricant has been recovered than 
actually has been. The equipment lubricant measuring system must take in 
account such dissolved refrigerant to prevent overcharging the vehicle 
system with lubricant. Note: Use only new lubricant to replace the 
amount removed during the recycle process. Used lubricant should be 
discarded per applicable federal, state, and local requirements.
    7.8 The equipment must be capable of continuous operation in ambient 
of 10 to 49 [deg]C (50 to 120 [deg]F).
    7.9 The equipment should be compatible with leak detection material 
that may be present in the mobile AC system.

                               8. Testing

    This test procedure and the requirement are used for evaluation of 
the equipment for its ability to clean the contaminated R-12 
refrigerant.
    8.1 The equipment shall clean the contaminated R-12 refrigerant to 
the minimum purity level as defined in SAE J1991, when tested in 
accordance with the following conditions:
    8.2 For test validation, the equipment is to be operated according 
to the manufacturer's instructions.
    8.3 The equipment must be preconditioned with 13.6 kg (30 lb) of the 
standard contaminated R-12 at an ambient of 21 [deg]C (70 [deg]F) before 
starting the test cycle. Sample amounts are not to exceed 1.13 kg (2.5 
lb) with sample amounts to be repeated every 5 min. The sample method 
fixture, defined in Fig. 1, shall be operated at 24 [deg]C (75 [deg]F).
    8.4 Contaminated R-12 Samples.
    8.4.1 Standard contaminated R-12 refrigerant shall consist of liquid 
R-12 with 100 ppm (by weight) moisture at 21 [deg]C (70 [deg]F) and 
45,000 ppm (by weight) mineral oil 525 suspension nominal and 770 ppm by 
weight of noncondensable gases (air).
    8.4.2 High moisture contaminated sample shall consist of R-12 vapor 
with 1,000 ppm (by weight) moisture.
    8.4.3 High oil contaminated sample shall consist of R-12 with 
200,000 ppm (by weight) mineral oil 525 suspension viscosity nominal.
    8.5 Test Cycle.
    8.5.1 After preconditioning as stated in 8.3, the test cycle is 
started, processing the following contaminated samples through the 
equipment:
    8.5.1.1 3013.6 kg (30 lb) of standard contaminated R-12.
    8.5.1.2 1 kg (2.2 lb) of high oil contaminated R-12.
    8.5.1.3 4.5 kg (10 lb) of standard contaminated R-12.
    8.5.1.4 1 kg (2.2 lb) of high moisture contaminated R-12.
    8.6 Equipment Operating Ambient.
    8.6.1 The R-12 is to be cleaned to the minimum purity level, as 
defined in SAE J1991, with the equipment operating in a stable ambient 
of 10, 21, and 49 [deg]C (50, 70, and 120 [deg]F) and processing the 
samples as defined in 8.5.
    8.7 Sample Analysis.
    8.7.1 The processed contaminated sample shall be analyzed according 
to the following procedure.
    8.8 Quantitative Determination of Moisture.
    8.8.1 The recycled liquid phase sample of CFC-12 shall be analyzed 
for moisture content via Karl Fischer coulometer titration or an 
equivalent method. The Karl Fischer apparatus is an instrument for 
precise determination of small amounts of water dissolved in liquid and/
or gas samples.
    8.8.2 In conducting the test, a weighed sample of 30 to 130 grams is 
vaporized directly into the Karl Fischer analyte. A coulometer titration 
is conducted and the results are calculated and displayed as parts per 
million moisture (weight).
    8.9 Determination of Percent Lubricant.
    8.9.1 The amount of oil in the recycled sample of CFC-12 is to be 
determined by gravimetric analysis.
    8.9.2 Following venting of noncondensable, in accordance with the 
manufacturer's operating instructions, the refrigerant container shall 
be shaken for 5 minutes prior to extracting samples for test.
    8.9.3 A weighted sample of 175 to 225 grams of liquid CFC-12 is 
allowed to evaporate at room temperature. The percent oil is to be 
calculated from the weight of the original sample and the residue 
remaining after the evaporation.
    8.10 Noncondensable Gas.
    8.10.1 The amount of noncondensable gas is to be determined by gas 
chromatography. A sample of vaporized refrigerant liquid shall be 
separated and analyzed by gas chromatography. A Porapak Q column at 130 
[deg]C and a hot wire detector may be used for analysis.
    8.10.2 This test shall be conducted on recycled refrigerant (taken 
from the liquid phase) within 30 minutes after the proper venting of 
noncondensable.
    8.10.3 Samples shall be shaken for 8 hours prior to retesting while 
at a temperature of 24 2.8 [deg]C (75 5 [deg]F). Known volumes of refrigerant vapor are to be 
injected for separation and analysis by means of gas chromatography. A 
Porapak Q column at 130 [deg]C (266 [deg]F) and a hot wire detector are 
to be used for the analysis.

[[Page 88]]

    8.10.4 This test shall be conducted at 21 and 49 [deg]C and may be 
performed in conjunction with the testing defined in Section 8.6. The 
equipment shall process at least 13.6 kg of standard contaminated 
refrigerant for this test.
    8.11 Sample Requirements.
    8.11.1 The sample shall be tested as defined in 8.7, 8.8, 8.9, and 
8.10 at ambient temperatures of 10, 21, and 49 [deg]C (50, 70, and 120 
[deg]F) as defined in 8.6.1.
[GRAPHIC] [TIFF OMITTED] TC01MY92.106


[[Page 89]]



        Recommended Service Procedure for the Containment of R-12

                                1. Scope

    During service of mobile air-conditioning systems, containment of 
the refrigerant is important. This procedure provides service guidelines 
for technicians when repairing vehicles and operating equipment defined 
in SAE J1990.

                              2. References

SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-
Conditioning Systems

                    3. Refrigerant Recovery Procedure

    3. 1 Connect the recovery unit service hoses, which shall have 
shutoff valves within 12 in (30 cm) of the service ends, to the vehicle 
air-conditioning system service ports.
    3.2 Operate the recovery equipment as covered by the equipment 
manufacturers recommended procedure.
    3.2.1 Start the recovery process and remove the refrigerant from the 
vehicle AC system. Operate the recovery unit until the vehicle system 
has been reduced from a pressure to a vacuum. With the recovery unit 
shut off for at least 5 min, determine that there is no refrigerant 
remaining in the vehicle AC system. If the vehicle system has pressure, 
additional recovery operation is required to remove the remaining 
refrigerant. Repeat the operation until the vehicle AC system vacuum 
level remains stable for 2 min.
    3.3 Close the valves in the service lines and then remove the 
service lines from the vehicle system. Proceed with the repair/service. 
If the recovery equipment has automatic closing valves, be sure they are 
properly operating.

                    4. Service With Manifold Gage Set

    4.1 Service hoses must have shutoff valves in the high, low, and 
center service hoses within 12 in (30 cm) of the service ends. Valves 
must be closed prior to hose removal from the air-conditioning system. 
This will reduce the volume of refrigerant contained in the service hose 
that would otherwise be vented to atmosphere.
    4.2 During all service operations, the valves should be closed until 
connected to the vehicle air-conditioning system or the charging source 
to avoid introduction of air and to contain the refrigerant rather than 
vent open to atmosphere.
    4.3 When the manifold gage set is disconnected from the air-
conditioning system or when the center hose is moved to another device 
which cannot accept refrigerant pressure, the gage set hoses should 
first be attached to the reclaim equipment to recover the refrigerant 
from the hoses.

5. Recycled Refrigerant Checking Procedure for Stored Portable Auxiliary 
                                Container

    5.1 To determine if the recycled refrigerant container has excess 
noncondensable gases (air), the container must be stored at a 
temperature of 65 [deg]F (18.3 [deg]C) or above for a period of time, 12 
h, protected from direct sun.
    5.2 Install a calibrated pressure gage, with 1 psig divisions (0.07 
kg), to the container and determine the container pressure.
    5.3 With a calibrated thermometer, measure the air temperature 
within 4 in (10 cm) of the container surface.
    5.4 Compare the observed container pressure and air temperature to 
determine if the container exceeds the pressure limits found on Table 1, 
e.g., air temperature 70 [deg]F (21 [deg]C) pressure must not exceed 80 
psig (5.62 kg/cm \2\).

                                                     Table 1
----------------------------------------------------------------------------------------------------------------
   Temp                    Temp                    Temp                  Temp                  Temp
  [deg]F       Psig       [deg]F       Psig       [deg]F      Psig      [deg]F      Psig      [deg]F      Psig
----------------------------------------------------------------------------------------------------------------
        65          74          75          87         85        102         95        118        105        136
        66          75          76          88         86        103         96        120        106        138
        67          76          77          90         87        105         97        122        107        140
        68          78          78          92         88        107         98        124        108        142
        69          79          79          94         89        108         99        125        109        144
        70          80          80          96         90        110        100        127        110        146
        71          82          81          98         91        111        101        129        111        148
        72          83          82          99         92        113        102        130        112        150
        73          84          83         100         93        115        103        132        113        152
        74          86          84         101         94        116        104        134        114        154
----------------------------------------------------------------------------------------------------------------


                                                Table 1 (Metric)
----------------------------------------------------------------------------------------------------------------
   Temp                    Temp                    Temp                  Temp                  Temp
  [deg]C       Pres       [deg]C       Pres       [deg]C      Pres      [deg]C      Pres      [deg]C     PRres
----------------------------------------------------------------------------------------------------------------
      18.3        5.20        23.9        6.11       29.4       7.17       35.0       8.29       40.5       9.56
      18.8        5.27        24.4        6.18       30.0       7.24       35.5       8.43       41.1       9.70
      19.4        5.34        25.0        6.32       30.5       7.38       36.1       8.57       41.6       9.84
      20.0        5.48        25.5        6.46       31.1       7.52       36.6       8.71       42.2       9.98
      20.5        5.55        26.1        6.60       31.6       7.59       37.2       8.78       42.7      10.12

[[Page 90]]

 
      21.1        5.62        26.6        6.74       32.2       7.73       37.7       8.92       43.3      10.26
      21.6        5.76        27.2        6.88       32.7       7.80       38.3       9.06       43.9      10.40
      22.2        5.83        27.7        6.95       33.3       7.94       38.8       9.13       44.4      10.54
      22.7        5.90        28.3        7.03       33.9       8.08       39.4       9.27       45.0      10.68
      23.3        6.04        28.9        7.10       34.4       8.15       40.0       9.42       45.5      10.82
----------------------------------------------------------------------------------------------------------------
Pres kg/sq cm.

    5.5 If the container pressure is less than the Table 1 values and 
has been recycled, limits of noncondensable gases (air) have not been 
exceeded and the refrigerant may be used.
    5.6 If the pressure is greater than the range and the container 
contains recycled material, slowly vent from the top of the container a 
small amount of vapor into the recycle equipment until the pressure is 
less than the pressure shown on Table 1.
    5.7 If the container still exceeds the pressure shown on Table 1, 
the entire contents of the container shall be recycled.

            6. Containers for Storage of Recycled Refrigerant

    6.1 Recycled refrigerant should not be salvaged or stored in 
disposable refrigerant containers. This is the type of container in 
which virgin refrigerant is sold. Use only DOT CFR title 49 or UL 
approved storage containers for recycled refrigerant.
    6.2 Any container of recycled refrigerant that has been stored or 
transferred must be checked prior to use as defined in section 5.

                   7. Transfer of Recycled Refrigerant

    7.1 When external portable containers are used for transfer, the 
container must be evacuated at least 27 in of vacuum (75 mm Hg absolute 
pressure) prior to transfer of the recycled refrigerant. External 
portable containers must meet DOT and UL standards.
    7.2 To prevent on-site overfilling when transferring to external 
containers, the safe filling level must be controlled by weight and must 
not exceed 60% of container gross weight rating.

               8. Disposal of Empty/Near Empty Containers

    8.1 Since all the refrigerant may not be removed from disposable 
refrigerant containers during normal system charging procedures, empty/
near empty container contents should be reclaimed prior to disposal of 
the container.
    8.2 Attach the container to the recovery unit and remove the 
remaining refrigerant. When the container has been reduced from a 
pressure to a vacuum, the container valve can be closed. The container 
should be marked empty and is ready for disposal.

                                Rationale

    Not applicable.

              Relationship of SAE Standard to ISO Standard.

    Not applicable.

                            Reference Section

SAE J1990, Extraction and Recycle Equipment for Mobile Automotive Air-
Conditioning Systems

                               Application

    During service of mobile air-conditioning systems, containment of 
the refrigerant is important. This procedure provides service guidelines 
for technicians when repairing vehicles and operating equipment defined 
in SAE J1990.

                          Committee Composition

  Developed by the SAE Defrost and Interior Climate Control Standards 
                                Committee

W.J. Atkinson, Sun Test Engineering, Paradise Valley, AZ--Chairman
J.J. Amin, Union Lake, MI
H.S. Andersson, Saab Scania, Sweden
P.E. Anglin, ITT Higbie Mfg. Co., Rochester, MI
R.W. Bishop, GMC, Lockport, NY
D.Hawks, General Motors Corporation, Pontiac, MI
J.J. Hernandez, NAVISTAR, Ft. Wayne, IN
H. Kaltner, Volkswagen AG, Germany, Federal Republic
D.F. Last, GMC, Troy, MI
D.E. Linn, Volkswagen of America, Warren, MI
J.H. McCorkel, Freightliner Corp., Charlotte, NC
C.J. McLachlan, Livonia, MI
H.L. Miner, Climate Control Inc., Decatur, IL
R.J. Niemiec, General Motors Corp., Pontiac, MI
N. Novak, Chrysler Corp., Detroit, MI
S. Oulouhojian, Mobile Air Conditioning Society, Upper Darby, PA
J. Phillips, Air International, Australia
R.H. Proctor, Murray Corp., Cockeysville, MD
G. Rolling, Behr America Inc., Ft. Worth, TX
C.D. Sweet, Signet Systems Inc., Harrodsburg, KY

[[Page 91]]

J.P. Telesz, General Motors Corp., Lockport, NY



 Sec. Appendix B to Subpart B of Part 82--Standard for Recover Equipment

    SAE J1989, Recommended Service Procedure for the Containment of R-
12, as set forth under Appendix A, also applies to this Appendix B.
    SAE J2209, issued June, 1992.

SAE Recommended Practice: CFC-12 (R-12) Extraction Equipment for Mobile 
                   Automotive Air-Conditioning Systems

                                Foreword

    CFCs deplete the stratospheric ozone layer that protects the earth 
against harmful ultraviolet radiation. To reduce the emissions of CFCs, 
the 1990 Clean Air Act requires recycle of CFC-12 (R-12) used in mobile 
air-conditioning systems to eliminate system venting during service 
operations. SAE J1990 establishes equipment specifications for on-site 
recovery and reuse of CFCs in mobile air-conditioning systems. 
Establishing extraction equipment specifications for CFC-12 will provide 
service facilities with equipment to assure that venting of refrigerant 
will not occur.

                                1. Scope

    The purpose of this document is to provide equipment specifications 
for CFC-12 (R-12) recovery for recycling on-site or for transport off-
site to a refrigerant reclamation facility that will process it to ARI 
(Air-Conditioning and Refrigeration Institute) standard 700-93 as a 
minimum. It is not acceptable that the refrigerant removed from a mobile 
air-conditioning system, with this equipment, be directly returned to a 
mobile air-conditioning system.
    This information applies to equipment used to service automobiles, 
light trucks, and other vehicles with similar CFC-12 systems.

                              2. References

    2. Applicable Documents--The following documents form a part of this 
specification to the extent specified herein.
    2.1.1 SAE Publications--Available from SAE, 400 Commonwealth Drive, 
Warrendale, PA 15096-0001.

SAE J639--Vehicle Service Coupling
SAE J1990--Extraction and Recycle Equipment for Mobile Automotive Air-
Conditioning Systems
SAE J2196--Service Hose for Automotive Air-Conditioning

    2.1.2 ARI Publications--Available from Air-Conditioning and 
Refrigeration Institute, 1501 Wilson Boulevard, Sixth Floor, Arlington, 
VA 22209.

ARI 700-93--Specifications for Fluorocarbon Refrigerants

    2.1.3 CGA Publications--Available from CGA, Crystal Gateway 1, 
Suite 501, 1235 Jefferson Davis Highway, Arlington, VA 22202.

CGA S-1.1--Pressure Relief Device Standard Part 1--Cylinders for 
Compressed Gases

    2.1.4 DOT Specifications--Available from the Superintendent of 
Documents, U.S. Government Printing Office, Washington, DC 20402.

49 CFR, Section 173.304--Shippers--General Requirements for Shipments 
and Packagings

    2.1.5 UL Publications--Available from Underwriters Laboratories, 333 
Pfingsten Road, Northbrook, IL 60062-2096.

UL 1769--Cylinder Valves

                3. Specifications and General Description

    3.1 The equipment must be able to extract CFC-12 from a mobile air-
conditioning system.
    3.2 The equipment discharge or transfer fitting shall be unique to 
prevent the unintentional use of extracted CFC-12 to be used for 
recharging auto air conditioners.
    3.3 The equipment shall be suitable for use in an automotive service 
garage environment as defined in 6.8.
    3.4 Equipment Certification--The equipment must be certified by 
Underwriters Laboratories or an equivalent certifying laboratory to meet 
this standard.
    3.5 Label Requirements--The equipment shall have a label ``Design 
Certified by (company name) to meet SAE J2209 for use with CFC-12. The 
refrigerant from this equipment must be processed to ARI 700-93 
specifications before reuse in a mobile air-conditioning system.'' The 
minimum letter size shall be bold type 3mm in height.

                         4. Safety Requirements

    4.1 The equipment must comply with applicable federal, state and 
local requirements on equipment related to the handling of R-12 
material. Safety precautions or notices or labels related to the safe 
operation of the equipment shall also be prominently displayed on the 
equipment and should also state ``CAUTION--SHOULD BE OPERATED BY 
CERTIFIED PERSONNEL.'' The safety identification shall be located on the 
front near the controls.
    4.2 The equipment must comply with applicable safety standards for 
electrical and mechanical requirements.

                        5. Operating Instructions

    5.1 The equipment manufacturer must provide operating instructions, 
necessary maintenance procedures and source information for replacement 
parts and repair.

[[Page 92]]

    5.2 The equipment must prominently display the manufacturer's name, 
address and any items that require maintenance or replacement that 
affect the proper operation of the equipment. Operation manuals must 
cover information for complete maintenance of the equipment to assure 
proper operation.

                        6. Functional Description

    6.1 The equipment must be capable of ensuring recovery of the CFC-12 
from the system being serviced, by reducing the system pressure to a 
minimum of 102 mm of mercury below atmospheric. To prevent system 
delayed outgassing, the unit must have a device that assures that the 
refrigerant has been recovered from the air-conditioning system.
    6.1.1 Testing laboratory certification of the equipment capability 
is required which shall process contaminated refrigerant samples at 
specific temperatures.
    6.2 The equipment must be preconditioned with 13.6 kg of the 
standard contaminated CFC-12 at an ambient of 21 [deg]C before starting 
the test cycle. Sample amounts are not to exceed 1.13 kg with sample 
amounts to be repeated every 5 minutes. The sample method fixture 
defined in Figure 1 of appendix A shall be operated at 24 [deg]C. 
Contaminated CFC-12 samples shall be processed at ambient temperatures 
of 10 and 49 [deg]C.
    6.2.1 Contaminated CFC-12 sample.
    6.2.2 Standard contaminated CFC-12 refrigerant, 13.6 Kg sample size, 
shall consist of liquid CFC-12 with 100 ppm (by weight) moisture at 21 
[deg]C and 45,000 ppm (by weight) mineral oil 525 suspension nominal and 
770 ppm (by weight) of noncondensable gases (air).
    6.3 Portable refillable containers used in conjunction with this 
equipment must meet applicable DOT standards.
    6.3.1 The container color must be gray with yellow top to identify 
that it contains used CFC-12 refrigerant. It must be permanently marked 
on the outside surface in black print at least 20 mm high ``DIRTY R-12--
DO NOT USE, MUST BE REPROCESSED''.
    6.3.2 The portable refillable container shall have a SAE \3/8\ inch 
flare male thread connection as identified in SAE J639 CFC-12 High 
Pressure Charging Valve Figure 2.
    6.3.3 During operation the equipment shall provide overfill 
protection to assure that the storage container liquid fill does not 
exceed 80% of the tank's rated volume at 21 [deg]C per DOT standard, CFR 
Title 49, section 173.304 and the American Society of Mechanical 
Engineers.
    6.4 Additional Storage Tank Requirements.
    6.4.1 The cylinder valve shall comply with the standard for cylinder 
valves, UL 1769.
    6.4.2 The pressure relief device shall comply with the pressure 
relief device standard part 1, CGA pamphlet S-1.1.
    6.4.3 The container assembly shall be marked to indicate the first 
retest date, which shall be 5 years after date of manufacture. The 
marking shall indicate that retest must be performed every subsequent 
five years. The marking shall be in letters at least 6 mm high.
    6.5 All flexible hoses must meet SAE J2196 standard for service 
hoses.
    6.6 Service hoses must have shutoff devices located within 30 cm of 
the connection point to the system being serviced to minimize 
introduction of noncondensable gases into the recovery equipment during 
connection and the release of the refrigerant during disconnection.
    6.7 The equipment must be able to separate the lubricant from the 
recovered refrigerant and accurately indicate the amount removed from 
the system during processing in 30 ml units.
    6.7.1 The purpose of indicating the amount of lubricant removed is 
to ensure that a proper amount is returned to the mobile air-
conditioning system for compressor lubrication.
    6.7.2 Refrigerant dissolved in this lubricant must be accounted for 
to prevent system lubricant overcharge of the mobile air-conditioning 
system.
    6.7.3 Only new lubricant, as identified by the system manufacturer, 
should be replaced in the mobile air-conditioning system.
    6.7.4 Removed lubricant from the system and/or the equipment shall 
be disposed of in accordance with applicable federal, state and local 
procedures and regulations.
    6.8 The equipment must be capable of continuous operation in ambient 
temperatures of 10 [deg]C to 49 [deg]C and comply with 6.1.
    6.9 The equipment should be compatible with leak detection material 
that may be present in the mobile air-conditioning system.
    7.0 For test validation, the equipment is to be operated according 
to the manufacturer's instructions.

[60 FR 21688, May 2, 1995]



    Sec. Appendix C to Subpart B of Part 82--SAE J2788 Standard for 
Recovery/Recycle and Recovery/Recycle/Recharging Equipment for HFC-134a 
                               Refrigerant

                                Foreword

    This Appendix establishes the specific minimum equipment 
requirements for the recovery/recycling of HFC-134a that has been 
directly removed from, and is intended for reuse in, mobile air-
conditioning systems and recovery/recycling and system recharging of 
recycled, reclaimed or virgin HFC-134a. Establishing such specifications 
will ensure that system operation with recycled HFC-134a will provide 
the same level of

[[Page 93]]

performance and durability as new refrigerant.

                                1. Scope

    The purpose of this SAE Standard is to establish the specific 
minimum equipment performance requirements for recovery and recycling of 
HFC-134a that has been directly removed from, and is intended for reuse 
in, mobile air-conditioning (A/C) systems. It also is intended to 
establish requirements for equipment used to recharge HFC-134a to an 
accuracy level that meets Section 9 of this document and SAE J2099. The 
requirements apply to the following types of service equipment and their 
specific applications.
    a. Recovery/Recycling Equipment,
    b. Recovery/Recycling--Refrigerant Charging,
    c. Refrigerant Recharging Equipment Only.
    1.1 Improved refrigerant recovery equipment is required to ensure 
adequate refrigerant recovery to reduce emissions and provide for 
accurate recharging of mobile air conditioning systems. Therefore, 12 
months following the publication date of this standard, requirements in 
this standard supplements and supersedes, SAE J2210.

                              2. References

                       2.1 Applicable Publications

    The following publications form a part of this specification to the 
extent specified herein. Unless otherwise indicated, the latest issue of 
SAE publications shall apply.

                         2.1.1 SAE Publications

    Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-
0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside 
USA), www.sae.org.

 SAE J2099 Standard of Purity for Recycled HFC-134a (R-134a) for Use in 
                     Mobile Air-Conditioning Systems

         SAE J2196 Service Hoses for Automotive Air-Conditioning

     SAE J2197 Service Hose Fittings for Automotive Air-Conditioning

                SAE J2296 Retest of Refrigerant Container

                         2.1.2 CGA Publications

    Available from CGA, 4221 Walney Road, 5th Floor, Chantilly VA 20151-
2923, Tel: 703-788-2700, http://www.cganet.com.

CGA Pamphlet S-1.1 Pressure Relief Device Standard Part 1--Cylinders for 
                 Compressed Gases 2.1.3 DOT Publications

    Available from the Superintendent of Documents, U.S. Government 
Printing Office, Mail Stop: SSOP, Washington, DC 20402-9320.

      OT Standard, CFR Title 49, Section 173.304 Shippers--General 
                Requirements for Shipments and Packagings

                          2.1.4 UL Publications

    Available from Underwriters Laboratories Inc., 333 Pfingsten Road, 
Northbrook, IL 60062-2096, Tel: 847-272-8800, http://www.ul.com.

                         UL 1769 Cylinder Valves

            UL 1963 Refrigerant Recovery/Recycling Equipment

                3. Specification and General Description

    3.1 The equipment must be able to remove and process HFC-134a (R-
134a) from mobile A/C systems to the purity level specified in SAE 
J2099.
    3.2 The equipment shall be suitable for use in an automotive service 
garage environment and be capable of continuous operation in ambients 
from 10 [deg]C to 49 [deg]C (50 [deg]F to 120 [deg]F). If it is designed 
to recharge a system, and it uses a scale for this purpose, the scale 
must demonstrate the ability to maintain accuracy per the test in 10.2.
    3.3 The equipment must be certified that it meets this specification 
by an EPA listed certifying laboratory.
    3.4 The equipment shall have a label, which states, ``Certified by 
(Certifying Agent) to Meet SAE J2788 superseding SAE J2210'' in bold-
type letters a minimum of 3 mm (\1/8\ in) in height.

             4. Refrigerant Recycling Equipment Requirements

                          4.1 Moisture and Acid

    The equipment shall incorporate a desiccant package that must be 
replaced before saturation with moisture, and whose mineral acid 
capacity is at least 5% by weight of the dry desiccant.
    4.1.1 The equipment shall be provided with a means of indicating 
when the filter desiccant moisture capacity has reached the allowable 
limit and desiccant replacement is required. This may include a reliable 
means of detecting moisture level or an algorithm based on the amount 
refrigerant recovered. The user must be clearly alerted to replace the 
filter prior to the full saturation. Warnings shall be displayed on 
screens and (printed on printouts where applicable). The warnings must 
explain that the machine is approaching the end of filter life. The 
manufacturer must incorporate a lockout when the end of filter life is 
reached.
    4.1.2 The manufacturer shall use an identification system to ensure 
that a new filter has been installed to reset the machine for operation.

[[Page 94]]

                               4.2 Filter

    The equipment shall incorporate an in-line filter that will trap 
particulates of 15 micron spherical diameter or greater.

                           4.3 Scale (if used)

    The scale must maintain accuracy when moved, as per the test in 
Section 10.

                    4.4 Purging Noncondensable Gases

    4.4.1 The equipment shall automatically purge noncondensables 
(NCGs), which are primarily air, if the acceptable level is exceeded. 
NCG removal must be part of the normal operation of the equipment and 
instructions must be provided to enable the task to be accomplished 
within 30 min (to reach the refrigerant purity level specified in SAE 
J2099).
    4.4.2 Refrigerant loss from noncondensable gas purging during the 
testing described in Section 8 shall be minimized by a method that 
initiates a purge when the machine has not been in use for a period long 
enough for air-refrigerant separation in the tank to have occurred.

           4.5 Recharging and Transfer of Recycled Refrigerant

    Recycled refrigerant for recharging and transfer shall be taken from 
the liquid phase only.

                         5. Safety Requirements

    5.1 The equipment must comply with applicable federal, state, and 
local requirements on equipment related to handling HFC-134a material. 
Safety precautions or notices related to safe operation of the equipment 
shall be prominently displayed on the equipment and should also state 
``CAUTION--SHOULD BE OPERATED BY QUALIFIED PERSONNEL.''
    5.2 Under NO CIRCUMSTANCES should any equipment be pressure tested 
or leak tested with air/HFC-134a mixtures.
    Do not use compressed air (shop air) or leak detection in systems 
containing HFC-134a.

                        6. Operating Instructions

    6.1 The equipment manufacturer shall provide a warning in the 
instruction manual regarding the possibility of refrigerant 
contamination in the mobile A/C system being serviced.
    6.1.1 If recovery/recycle equipment has refrigerant identification 
equipment, the refrigerant identification equipment shall meet the 
requirements of SAE J1771.
    6.1.2 Recovery/recycling equipment not having refrigerant 
identification capability shall have instructions in the equipment 
manual covering possible contamination problems to the equipment and the 
contamination of the existing recycled refrigerant in the container in 
the equipment.
    6.2 The equipment manufacturer must provide operating instructions, 
including proper attainment of vehicle system vacuum (i.e., when to stop 
the extraction process), filter/desiccant replacement, and purging of 
noncondensable gases (air). Also to be included are any other necessary 
maintenance procedures, source information for replacement parts and, 
repair and safety precautions.
    6.2.1 The manual shall identify the proper maintaining of hose and 
seals to prevent the addition of excess air, due to leaks, during the 
recovery process, which would increase the NCG level in the recovered 
refrigerant.
    6.3 The equipment must prominently display the manufacturer's name, 
address, the type of refrigerant it is designed to recycle, a service 
telephone number, and the part number for the replacement filter/drier.

                        7. Functional Description

    The ability of the equipment to meet the refrigerant recovery and 
recharge specifications of this section shall be determined by the test 
procedures of Section 10.
    7.1 The equipment must be capable of continuous operation in ambient 
temperatures of 10 [deg]C (50 [deg]F) to 49 [deg]C (120 [deg]F). 
Continuous is defined as completing recovery/recycle and recharge (if 
applicable) operations with no more than a brief reset period between 
vehicles, and shall not include time delays for allowing a system to 
outgas (which shall be part of the recovery period provided by this 
standard). Continuous may include time out for an air purge if 
necessary, although it is understood that extended equipment-off time is 
preferred to allow NCG and refrigerant separation in the supply tank for 
optimum results.
    7.1.1 The equipment shall be capable of removing a minimum of 95.0% 
of the refrigerant from the test system in 30 minutes or less, without 
external heating, or use of any device (such as shields, reflectors, 
special lights, etc.) which could heat components of the system. The 
recovery procedures shall be based on 21 to 24 [deg]C (70 to 75 [deg]F) 
ambient temperature. The test system for qualifying shall be a 1.4 kg 
(3.0 lbs) capacity orifice tube/accumulator system in a 2005 Chevrolet 
Suburban with front and rear A/C, or the test option described in 10.5, 
and shall be determined by accurately weighing the recovery machine with 
the resolution and accuracy of within 3 g (.006 lb) in the range of the 
machine's weight. The laboratory shall maintain records of the vehicle, 
including its VIN (vehicle identification number).
    7.1.2 However, the preceding shall not preclude a brief period of 
engine operation at fast idle (up to 15 minutes, up to 2000 rpm) to 
circulate refrigerant and oil, and provide

[[Page 95]]

some engine and warm-up of A/C refrigeration components. The laboratory 
shall monitor coolant temperature per the vehicle engine coolant 
temperature sensor, and coolant temperature shall not be allowed to 
exceed 105 [deg]C (221 [deg]F). The time required shall not be included 
in the total time of 30 minutes set forth in 7.1.1.
    7.1.3 The refrigerant that is recovered, following oil separation, 
shall be measured and the quantity displayed, accurate to within 30 g (1.0 oz). The equipment must include a provision 
for checking the accuracy, per the requirements of 9.1.
    7.2 During recovery operation, the equipment shall provide overfill 
protection to assure that the liquid fill of the storage container 
(which may be integral or external) does not exceed 80% of the tank's 
rated volume at 21 [deg]C per Department of Transportation (DOT) 
Standard, CFR Title 49, Section 173.304 and the American Society of 
Mechanical Engineers.
    7.3 Portable refillable tanks or containers used in conjunction with 
this equipment must be labeled ``HFC-134a (R-134a),'' meet applicable 
Department of Transportation (DOT) or Underwriters Laboratories (UL) 
Standards, and shall incorporate fittings per SAE J2197.
    7.3.1 The cylinder valve shall comply with the standard for cylinder 
valves, UL 1769.
    7.3.2 The pressure relief device shall comply with the Pressure 
Relief Device Standard Part 1--Cylinders for Compressed Gases, CGA 
Pamphlet S-1.1.
    7.3.3 The tank assembly shall be marked to indicate the first retest 
date, which shall be 5 years after the date of manufacture. The marking 
shall indicate that retest must be performed every subsequent 5 years. 
SAE J2296 provides an inspection procedure. The marking shall be in 
letters at least 6 mm (\1/4\ in) high.
    7.3.4 ASME tanks as defined in UL-1963 may be used and are exempt 
from the retest requirements.
    7.3.5 If the machine is designed for recharging, and the marketer 
permits use of a non-refillable refrigerant tank, the machine shall 
include a way to ensure refrigerant remaining in the tank (called the 
``heel'') to no more than 2% of tank rated capacity when the tank is 
indicated to be empty. This may be done by the machine marketer as 
follows:
     Specify a non-venting procedure, to minimize the 
amount of unused refrigerant remaining in the tank. The machine shall 
include any devices required for the procedure, other than ordinary 
service shop tools and supplies, and include in the operator's manual, 
any instructions.
     Provide an automatic or (with instructions in the 
operator's manual) semi-automatic non-venting procedure with the 
machine.
    The laboratory shall test for the 2% capability. For testing 
purposes it may use a refillable tank, minimum 15 lb capacity (6.8 kg) 
containing a minimum of 7.5 lbs (3.4 kg) refrigerant. The test is as 
follows:
    a. Weigh the tank at the start of the test, on a scale accurate to 
plus/minus 3 grams, to ensure it contains sufficient refrigerant.
    b. Operate the machine to remove refrigerant from the tank, charging 
into a holding container until the tank is indicated to be empty. 
Continue with the marketer's recommended procedure for the 2% 
capability.
    c. Weigh the tank, on a scale accurate to plus/minus 3 grams.
    d. Using the recovery compressor and/or a vacuum pump, draw the tank 
into a vacuum of 9 to 10 inches Mercury (225 to 250 mm Mercury). The 
tank must hold that vacuum with a decay of less than 10% in 10 minutes. 
If vacuum decays 10% or more, the procedure shall be repeated as 
necessary to ensure the tank is empty.
    e. Weigh the tank on a scale accurate to plus/minus 3 grams. The 
difference in weight from Steps 3 to 5 shall be within 2% of the weight 
of the amount of refrigerant that is the tanks rated capacity.
    f. This test may be performed at the conclusion of testing in 10.4 
or 10.5. If the machine passes or has passed all other testing in this 
standard, the marketer may make modifications in procedure and/or 
machine operation and retest once at a later date, within 90 days. If 
the machine fails the retest, the machine must be completely retested 
per this standard, or may be certified per the following alternative. 
The marketer of the machine may specify use of a non-refillable 
refrigerant tank that provides for recycling and/or disposal of the 
residual refrigerant, in either case in a manner that does not vent. Or 
the marketer may exclude use of a one-way container, in the machine's 
operating instructions.
    7.4 All flexible hoses must comply with SAE J2196.
    7.5 Service hoses must have shutoff devices located at the 
connection point to the system being serviced. Any hoses or lines 
connected to refrigerant containers on or in the machine also shall have 
shutoff devices at the connection points, so that the containers may be 
changed without loss of refrigerant. A tank that is a permanent 
installation is exempt from this requirement.
    7.6 The equipment shall separate oil from the refrigerant, measure 
the amount accurate to 20 ml (0.7 oz.), so the technician has an 
accurate basis for adding oil to the system.
    7.6.1 This statement shall be predominately identified in the 
equipment service manual.

    Note: Use only new lubricant to replace the amount removed during 
the recycling process. Used lubricant should be discarded

[[Page 96]]

per applicable federal, state and local requirements.

                               8. Testing

    This test procedure and its requirements are to be used to determine 
the ability of the recycling equipment to adequately recycle 
contaminated refrigerant.
    8.1 The equipment shall be able to clean the contaminated 
refrigerant in Sec.  8.3 to the purity level defined in SAE J2099.
    8.2 The equipment shall be operated in accordance with the 
manufacturer's operating instructions.

                8.3 Contaminated HFC-134a (R-134a) Sample

    8.3.1 The standard contaminated refrigerant shall consist of liquid 
HFC-134a with 1300 ppm (by weight) moisture (equivalent to saturation at 
38 [deg]C, 100 [deg]F), 45000 ppm (by weight) HFC-134a compatible 
lubricant, and 1000 ppm (by weight) of noncondensable gases (air).
    8.3.1.1 The HFC-134a compatible lubricant referred to in 8.3.1, 
shall be polyalkylene glycol (PAG), ISO 100 such as UCLN or PAG ISO 46-
55, such as Idemitsu or equivalent, which shall contain no more than 
1000 ppm by weight of moisture.
    8.3.1.2 Although the test lubricant is a PAG, to conform to that 
used in the test vehicle system, the equipment manufacturer also shall 
ensure that it is compatible with polyol ester lubricant, such as ND 11 
as used in electrically driven compressors in some hybrid vehicles.

                             8.4 Test Cycle

    8.4.1 The equipment must be preconditioned by processing 13.6 kg (30 
lb) of the standard contaminated HFC-134a at an ambient of 21 to 24 
[deg]C (70 to 75 [deg]F) before starting the test cycle. 1.13 kg (2.56 
lb) samples are to be processed at 5 min intervals. The test fixture, 
depicted in Figure 1, shall be operated at 21 to 24 [deg]C (70 to 75 
[deg]F).

[[Page 97]]

[GRAPHIC] [TIFF OMITTED] TR09NO07.001

    8.4.2 Following the preconditioning procedure per 8.4.1, 18.2 kg (40 
lb) of standard contaminated HFC-134a are to be processed by the 
equipment.

                         8.5 Sample Requirements

    8.5.1 Samples of the standard contaminated refrigerant from 8.3.1 
shall be processed as required in 8.6 and shall be analyzed

[[Page 98]]

after said processing as defined in 8.7, 8.8, and 8.9. Note exception 
for noncondensable gas determination in 8.9.4.

                     8.6 Equipment Operating Ambient

    8.6.1 The HFC-134a is to be cleaned to the purity level, as defined 
in SAE J2099, with the equipment operating in a stable ambient of 10, 
21, and 49 [deg]C (50, 70 and 120 [deg]F) while processing the samples 
as defined in 8.4.

               8.7 Quantitative Determination of Moisture

    8.7.1 The recycled liquid phase sample of HFC-134a shall be analyzed 
for moisture content via Karl Fischer coulometric titration, or an 
equivalent method. The Karl Fischer apparatus is an instrument for 
precise determination of small amounts of water dissolved in liquid and/
or gas samples.
    8.7.2 In conducting this test, a weighed sample of 30 to 130 g is 
vaporized directly into the Karl Fischer anolyte. A coulometric 
titration is conducted and the results are reported as parts per million 
moisture (weight).
    8.8 Determination of Percent Lubricant 8.8.1 The amount of lubricant 
in the recycled HFC-134a sample shall be determined via gravimetric 
analysis. The methodology must account for the hygroscopicity of the 
lubricant.
    8.8.2 Following venting of noncondensable gases in accordance with 
the manufacturer's operating instructions, the refrigerant container 
shall be shaken for 5 min prior to extracting samples for testing.
    8.8.3 A weighed sample of 175 to 225 g of liquid HFC-134a is allowed 
to evaporate at room temperature. The percent lubricant is calculated 
from weights of the original sample and the residue remaining after 
evaporation.

              8.9 Noncondensable Gases--Testing for Amount

    8.9.1 The amount of noncondensable gases shall be determined by gas 
chromatography. A sample of vaporized refrigerant liquid shall be 
separated and analyzed by gas chromatography. A Porapak Q column at 130 
[deg]C (266 [deg]F) and a hot wire detector may be used for the 
analysis.
    8.9.2 This test shall be conducted on liquid phase samples of 
recycled refrigerant taken from a full container as defined in 7.2 
within 30 min following the proper venting of noncondensable gases.
    8.9.3 The liquid phase samples in 8.9.2 shall be vaporized 
completely prior to gas chromatographic analysis.
    8.9.4 This test shall be conducted at 10 and 49 [deg]C (50 and 120 
[deg]F) and may be performed in conjunction with the testing defined in 
8.6. The equipment shall process at least 13.6 kg (30 lb) of standard 
contaminated refrigerant for this test.
    8.9.5 The equipment shall be capable of charging refrigerant into 
systems with various lubrication types and shall deliver less than 1% by 
weight residual oil during system charge if the machine permits oil 
charging with refrigerant (due to residual oil in the service hoses and 
recovery unit refrigerant circuit from prior recovery, diagnostics and 
oil injection. This shall be determined during SAE J2099 testing.)

                        9. Recharging the System

    9.1 It is the responsibility of the equipment manufacturer to ensure 
that the vacuum removal performance leaves the system 98% free of NCGs 
before recharging, following recovery and recycle under the provisions 
of this document.
    The equipment must be capable of both indicating and recharging the 
system to within 15 g (0.50 oz) of vehicle manufacturer's 
specifications. The laboratory shall test for this capability by 
choosing a charge amount that is within the range of the vehicle 
manufacturer's specifications. The equipment must indicate and charge 
the system with that chosen amount, within 15 g 
(0.5 oz).
    Example: If 500 g is chosen, the actual and indicated charge must be 
485 to 515 g, with any difference between actual and indicated charge 
within the laboratory scale accuracy requirements of this standard. If a 
scale is used in the machine, the equipment manufacturer shall provide a 
method or service for the technician to check scale accuracy, and 
include any necessary accuracy-checking device (such as a calibration 
weight(s)) with the machine. If a mass flow system is used for charge 
determination, it must maintain accuracy equal to the 15 g (0.50 oz) 
specification. The equipment manufacturer shall provide a method for 
checking accuracy and include any necessary accuracy testing device(s) 
with the machine. If the accuracy testing device(s) for a scale or mass 
flow machine includes a consumable, the manufacturer shall include a 
quantity of replacement or refill devices for five years of periodic 
testing as recommended.
    9.2 If any other system is used for charge determination, such as a 
positive displacement pump, the equipment manufacturer shall provide a 
method and any needed device(s) to check accuracy that is/are 
appropriate for its method of operation, including any temperature-
compensating trim if used.

 10. Equipment Test Procedure by Laboratory for Recovery/Recycling and 
                 Recovery/Recycling/Recharging Machines

    10.1 Preliminary: Ambient (in shop) temperature shall be 21 to 24 
[deg]C (70 to 75 [deg]F). Test vehicle shall be ``overnight cold'' (not 
run for at least eight hours).
    10.2 The machine must have a self-contained provision for checking 
accuracy of

[[Page 99]]

the indicated amount of refrigerant recovered in liquid or vapor or 
mixture form(s) from a vehicle system and (if applicable) charged into a 
vehicle, and adjusting if necessary, to meet requirements of 9.1, 9.2. 
Therefore: If the machine uses a scale for that purpose, check the 
accuracy of that scale and make any adjustment if necessary. If an 
alternative method of measuring refrigerant is used, follow the 
equipment manufacturer's procedure for ensuring accuracy. Next, move the 
machine, such as by rolling it, along the floor, a minimum of 20 feet 
(6.1 meters) within 10 seconds. Follow with the test procedure in 10.3, 
then 10.4 or 10.5.

                           10.3 Test Procedure

    If desired, this test procedure may be preceded by engine/system 
operation for up to 15 minutes, up to 2000 rpm.
    1. You must start with an empty system, using this method: (a) 
Operate machine to recover refrigerant, per equipment manufacturer's 
instructions. (b) Deep-vacuum system to a minimum of 710 mm (28 in) of 
mercury. (c) Monitor vacuum for decay, checking every 20 minutes. If 
decay exceeds 75 mm (3 in), deep vacuum the system again. When system 
holds 710 mm (28 in) 75 mm (3 in) of mercury vacuum for three hours, it 
is considered empty.
    2. Place machine on a platform scale with the capacity to weigh the 
recovery/recycle/recharge machine, and with the resolution and accuracy 
of within 3 g (.006 lb) in the range of the 
machine's weight. Weight should include the machine's service hoses 
draped over the machine, and with the machine's oil reservoir removed. 
If necessary to add oil to vehicle system as a result of a system 
operation preparatory to the recovery process, inject the needed 
quantity through the service valve at this time.
    3. Record weight of machine in as weight A.
    4. Reconnect service hoses to the test vehicle.
    5. Follow the equipment manufacturer's specified procedure for 
charging the vehicle manufacturer's recommended amount of refrigerant 
into the system. Note: if this does not apply to the machine under test, 
i.e. a recovery/recycling only machine, the use of charging equipment 
that meets this standard and the platform scale shall be used to verify 
the accuracy of the charge.
    6. Disconnect the service hoses from the test vehicle and drape them 
on the machine. Check and record the weight of the machine. Record this 
weight as weight B. The difference between weight A and weight B should 
be equal to the recommended charge that was installed per the machine's 
display, within 15 g (0.5 oz). If the difference is greater than 15 g 
(3 g), the machine fails the charge accuracy test, 
and no other tests shall be performed at that time. The manufacturer 
must document changes made to improve accuracy and furnish them to the 
laboratory prior to a new test. Exception: If the maximum deviation is 
no more than a total of 20 g, the calibration of the scale or other 
measuring system may be rechecked and readjusted once, and the entire 
test repeated just once.

                   10.4 Recovery Test Using a Vehicle

    1. Following a successful system charge, the system and engine shall 
be run for 15 minutes at 2000 rpm to circulate oil and refrigerant, 
following which engine and system shall rest for eight hours. Then the 
laboratory may begin the recovery test. If the machine manufacturer 
specifies, operate the engine/system for up to 15 minutes, at up to 2000 
rpm, then shut off engine/system.
    2. If the machine has an automatic air purge, disable it. Check the 
weight of the machine with the platform scale (service hoses draped over 
machine, oil reservoir removed). Record the number as Weight C. 
Reinstall oil reservoir if it had been removed in the recovery 
procedure.
    3. Start timer. Connect service hoses to system of test vehicle and 
perform recovery per the equipment manufacturer's instructions. The 
vehicle system service valves' cores must remain in the fittings for 
this procedure.
    4. When recovery is completed, including from service hoses if that 
is part of the recommended procedure, disconnect hoses and drape over 
machine. Stop timer. The elapsed time shall be 30.0 minutes or less. If 
it is in excess of this time, the machine fails the test and no retest 
is allowed. The manufacturer must document changes made to the machine 
to improve its performance before a new test is allowed, and furnish 
them to the laboratory.
    5. If the recovery is completed in no more than the 30.0 minutes, 
measure the oil level in the reservoir, remove the reservoir and then 
determine the amount of refrigerant recovered, as detailed in Nos. 6 and 
7: As measured by the machine and also by noting the weight of the 
platform scale, which shall be recorded as Weight D.
    6. The platform scale shall indicate that a minimum of 95% of the 
amount charged into the system has been recovered. If the platform scale 
indicates a lower percentage has been recovered, the machine fails the 
recovery test.
    7. The machine display shall indicate that a minimum of 95.0% of the 
amount charged into the system has been recovered, within a tolerance of 
30 g (1 oz) when compared with the platform scale 
(Weight D minus Weight C). The 30 g (1 oz) tolerance may produce a 
machine display reading that is below the 95.0% recovery. If a greater 
difference between machine and platform scale occurs, the machine fails 
the recovery test.

[[Page 100]]

                 10.5 Recovery Test Fixture Test Option

    If an equipment manufacturer chooses, as an alternative to the 
actual vehicle, it may certify to SAE J2788 with a laboratory fixture 
that is composed entirely of all the original equipment parts of a 
single model year for the 3.0 lb capacity front/rear A/C system in the 
2005-07 Chevrolet Suburban. All parts must be those OE-specified for one 
model year system and no parts may be eliminated or bypassed from the 
chosen system, or reproduced by a non-OE source. No parts may be added 
and/or relocated from the OE position in the 2005-07 Suburban. No parts 
may be modified in any way that could affect system performance for 
testing under this standard, except adding refrigerant line bends and/or 
loops to make the system more compact. Reducing the total length of the 
lines, however, is not permitted. The fixture system shall be powered by 
an electric motor, run at a speed not to exceed 2000 rpm, and for this 
test option, no system warm-up or equivalent procedure may be used. The 
certifying laboratory shall maintain records of all parts purchased, 
including invoices and payments. The assembly of the parts shall, as an 
outside-the-vehicle package, duplicate the OE system and its routing, 
including bends, except for permitted additions of bends and/or loops in 
refrigerant lines. Aside from the absence of engine operation and the 
limitations posed by the standard and the use of the electric motor, the 
test shall otherwise be the same as the test on the Suburban, including 
test temperature.

[72 FR 63495, Nov. 9, 2007]



Sec. Appendix D to Subpart B of Part 82--SAE J2810 Standard for Recovery 
                 Only Equipment for HFC-134a Refrigerant

                                Foreword

    This Appendix establishes the specific minimum equipment 
requirements for the recovery of HFC-134a that has been directly removed 
from, motor vehicle air-conditioning systems.

                                1. Scope

    The purpose of this SAE Standard is to provide minimum performance 
and operating feature requirements for the recovery of HFC-134a (R-134a) 
refrigerant to be returned to a refrigerant reclamation facility that 
will process it to the appropriate ARI 700 Standard or allow for 
recycling of the recovered refrigerant to SAE J2788 specifications by 
using SAE J2788-certified equipment. It is not acceptable that the 
refrigerant removed from a mobile air-conditioning (A/C) system with 
this equipment be directly returned to a mobile A/C system.
    This information applies to equipment used to service automobiles, 
light trucks, and other vehicles with similar HFC-134a (R-134a) A/C 
systems.
    1.1 Improved refrigerant recovery equipment is required to ensure 
adequate refrigerant recovery to reduce emissions and provide for 
accurate recharging of mobile air conditioning systems. Therefore, 12 
months following the publication date of this standard, it supersedes 
SAE J1732.

                              2. References

                       2.1 Applicable Publications

    The following publications form a part of the specification to the 
extent specified herein. Unless otherwise indicated, the latest revision 
of SAE publications shall apply.

                         2.1.1 SAE Publications

    Available from SAE, 400 Commonwealth Drive, Warrendale, PA 15096-
0001, Tel: 877-606-7323 (inside USA and Canada) or 724-776-4970 (outside 
USA), http://www.sae.org.
    SAE J639 Safety Standards for Motor Vehicle Refrigerant Vapor 
Compressions Systems.
    SAE J1739 Potential Failure Mode and Effects Analysis in Design 
(Design FMEA) and Potential Failure Mode and Effects Analysis in 
Manufacturing and Assembly Processes (Process FMEA) and Effects Analysis 
for Machinery (Machinery FMEA).
    SAE J1771 Criteria for Refrigerant Identification Equipment for Use 
with Mobile Air-Conditioning Systems.
    SAE J2196 Service Hose for Automotive Air Conditioning.
    SAE J2296 Retest of Refrigerant Container.
    SAE J2788 HFC-134a (R-134a) Recovery/Recycling Equipment and 
Recovery/Recycling/Recharging for Mobile Air-Conditioning Systems.

                          2.1.2 ARI Publication

    Available from Air-Conditioning and Refrigeration Institute, 4100 
North Fairfax Drive, Suite 200, Arlington, VA 22203, Tel: 703-524-8800, 
http://www.ari.org.
    ARI 700 Specifications for Fluorocarbon Refrigerants.

                          2.1.3 CGA Publication

    Available from Compressed Gas Association, 4221 Walney Road, 5th 
Floor, Chantilly, VA 20151-2923, Tel: 703-788-2700, http://
www.cganet.com.
    CGA S-1.1 Pressure Relief Device Standard Part 1--Cylinders for 
Compressed Gases.

                         2.1.4 DOT Specification

    Available from the Superintendent of Documents, U.S. Government 
Printing Office, Mail Stop: SSOP, Washington, DC 20402-9320.

[[Page 101]]

    CFR 49, Section 173.304 Shippers--General Requirements for Shipments 
and Packagings.

                          2.1.5 UL Publication

    Available from Underwriters Laboratories Inc., 333 Pfingsten Road, 
Northbrook, IL 60062-2096, Tel: 847-272-8800, http://www.ul.com.
    UL 1769 Cylinder Valves.

                3. Specifications and General Description

    3.1 The equipment must be able to recover (extract) HFC-134a (R-
134a) refrigerant from a mobile A/C system per the test procedure of 
sections 7 and 8.
    3.2 The equipment shall be suitable for use in an automotive service 
garage environment as defined in 6.8.

                       3.3 Equipment Certification

    The equipment shall be certified by an EPA-listed laboratory to meet 
this standard. SAE J2810.

                         3.4 Label Requirements

    The equipment shall have a label with bold type, minimum 3 mm high, 
saying ``Design Certified by (certifying agent, EPA listed laboratory) 
to meet SAE J2810 for use only with HFC-134a (R-134a). If it is to be 
re-used in an A/C system, the refrigerant recovered with this equipment 
must be processed to the appropriate ARI 700 specifications or to 
specifications by using equipment certified to perform to SAE J2788.''

                              3.5 SAE J1739

    Potential Failure Mode and Effects Analysis in Design (Design FMEA), 
Potential Failure Mode and Effects Analysis in Manufacturing and 
Assembly Processes (Process FMEA), and Potential Failure Mode and 
Effects Analysis for Machinery (Machinery FMEA) shall be applied to the 
design and development of service equipment.

                         4. Safety Requirements

    4.1 The equipment must comply with applicable federal, state, and 
local requirements on equipment related to the handling of HFC-134a (R-
134a) material. Safety precautions or notices, labels, related to the 
safe operation of the equipment shall also be prominently displayed on 
the equipment and should state ``CAUTION--SHOULD BE OPERATED ONLY BY 
CERTIFIED PERSONNEL.'' The safety identification shall be located on the 
front near the controls.
    4.2 The equipment must comply with applicable safety standards for 
the electrical and mechanical systems.

                        5. Operating Instructions

    5.1 The equipment manufacturer must provide operating instructions 
that include information required by SAE J639, necessary maintenance 
procedures, and source information for replacement parts and repair.
    5.1.1 The instruction manual shall include the following information 
on the lubricant removed. Only new lubricant, as identified by the 
system manufacturer, should be replaced in the mobile A/C system. 
Removed lubricant from the system and/or the equipment shall be disposed 
of in accordance with the applicable federal, state, and local 
procedures and regulations.
    5.2 The equipment must prominently display the manufacturer's name, 
address, the type of refrigerant it is designed to extract (R-134a), a 
service telephone number, and any items that require maintenance or 
replacement that affect the proper operation of the equipment. Operation 
manuals must cover information for complete maintenance of the equipment 
to assure proper operation.
    5.3 The equipment manufacturer shall provide a warning in the 
instruction manual regarding the possibility of refrigerant 
contamination from hydrocarbons, leak sealants and refrigerants other 
than R-134a in the mobile A/C system being serviced.
    5.4 Recovery equipment having refrigerant identification equipment 
shall meet the requirements of SAE J1771.
    5.5 Recovery equipment not having refrigerant identification 
capability shall have instructions warning the technician that failure 
to verify that the system contains only R-134a potentially exposes him 
or her to danger from flammable refrigerants and health hazards from 
toxic refrigerants. The instructions also shall alert to possible 
contamination problems to the recovery equipment from sealants and 
refrigerants other than R-134a, and to the fact that a refrigerant other 
than R-134a would require special handling by someone with specific 
expertise and equipment.

                         6. Function Description

    6.1 The equipment must be capable of continuous operation in ambient 
temperatures of 10 [deg]C (50 [deg]F) to 49 [deg]C (120 [deg]F). 
Continuous is defined as completing recovery operation with no more than 
a brief reset between servicing vehicles, and shall not include time 
delays for allowing a system to outgas (which shall be part of the 
recovery period provided by this standard).
    6.1.1 The equipment shall demonstrate ability to recovery a minimum 
of 95.0% of the refrigerant from the test vehicle in 30.0 minutes or 
less, without prior engine operation (for previous eight hours minimum), 
external heating or use of any device (such as shields, reflectors, 
special lights, etc.), which could heat components of the system.

[[Page 102]]

The recovery procedure shall be based on a test at 21 [deg]C to 24 
[deg]C (70 [deg]F to 75 [deg]F) ambient temperature. The test system for 
qualifying shall be a 1.4 kg (3.0 lbs) capacity orifice tube/accumulator 
system in a 2005-07 Chevrolet Suburban with front and rear A/C or the 
test option described in section 9.
    6.1.2 The equipment shall demonstrate ability to recover a minimum 
of 85% of the refrigerant from the test vehicle or system of 6.1.1. in 
30.0 minutes or less, at an ambient temperature of 10 [deg]C to 13 
[deg]C (50 [deg]F to 55 [deg]F), subject to the same restrictions 
regarding engine operation and external heating.
    6.1.3 During recovery operation, the equipment shall provide 
overfill protection so that the liquid fill of the storage container 
does not exceed 80% of the tank's rated volume at 21 [deg]C (70 [deg]F). 
This will ensure that the container meets Department of Transportation 
(DOT) Standard, CFR Title 49, section 173.304 and the American Society 
of Mechanical Engineers.
    6.1.4 Portable refillable tanks or containers used in conjunction 
with this equipment must be labeled ``HFC-134a (R-134a) and meet 
applicable Department of Transportation (DOT) or Underwriters 
Laboratories (UL) Standards, and incorporate fittings per SAE J2197.
    6.1.5 The cylinder valves shall comply with the standard for 
cylinder valves UL 1769.
    6.1.6 The pressure relief device shall comply with the Pressure 
Relief Device Standard Part 1--Cylinders for Compressed Gasses CGA 
Pamphlet S-1.1.
    6.1.7 The tank assembly shall be marked to indicate the first retest 
date, which shall be five years from the date of manufacture. The 
marking shall indicate that retest must be performed every subsequent 
five years. SAE J2296 provides an inspection procedure. The marking 
shall be in letters at least 6 mm (0.25 in) high. If ASME tanks, as 
defined in UL-1963, are used, they are exempt from the retest 
requirements.
    6.2 If the marketer permits use of a refillable refrigerant tank, a 
method must be provided (including any necessary fittings) for transfer 
to a system that ensures proper handling (recycling or other, 
environmentally-legal disposal).
    Restricting the equipment to use of non-refillable tanks eliminates 
compliance with this provision.
    6.3 Prior to testing under this standard, the equipment must be 
preconditioned with a minimum of 13.6 kg of the standard contaminated 
HFC-134a (R-134a) at an ambient of 21 [deg]C before starting the test 
cycle. Sample amounts are not to exceed 1.13 kg with sample amounts to 
be repeated every 5 min. The test fixture shown in Figure 1 shall be 
operated at 21 [deg]C. Contaminated HFC-134a (R-134a) samples shall be 
processed at ambient temperatures of 10 [deg]C and 49 [deg]C (50 [deg]F 
to 120 [deg]F), without the equipment shutting down due to any safety 
devices employed in this equipment.
    6.3.1 Contaminated HFC-134a (R-134a) sample shall be standard 
contaminated HFC-134a (R-134a) refrigerant, 13.6 kg sample size, 
consisting of liquid HFC-134a (R-134a) with 1300 ppm (by weight) 
moisture at 21 [deg]C (70 [deg]F) and 45 000 ppm (by weight) of oil 
(polyalkylene glycol oil with 46-160 cst viscosity at 40 [deg]C) and 
1000 ppm by weight of noncondensable gases (air).
    6.3.2 Portable refillable containers used in conjunction with this 
equipment must meet applicable DOT Standards. The color of the container 
must be blue with a yellow top to indicate the container holds used HFC-
134a (R-134a) refrigerant. The container must be permanently marked on 
the outside surface in black print at least 20 mm high, ``CONTAMINATED 
HFC-134a (R-134a)--DO NOT USE, MUST BE REPROCESSED.''

                         Figure 1--Test Fixture

    6.3.3 The portable refillable container shall have a \1/2\ in ACME 
thread.
    6.4 Additional Storage Tank Requirements.
    6.4.1 The cylinder valve shall comply with UL 1769.
    6.4.2 The pressure relief device shall comply with CGA Pamphlet S-
1.1.
    6.5 All flexible hoses must meet SAE J2196 for service hoses.
    6.6 Service hoses must have shutoff devices located at the 
connection points to the system being serviced to minimize introduction 
of noncondensable gases into the recovery equipment during connection 
and the release of the refrigerant during disconnection.
    6.7 The equipment must be able to separate the lubricant from 
recovered refrigerant and accurately indicate the amount removed from 
the simulated automotive system during processing in 20 mL (0.7 fl oz) 
units.
    6.7.1 The purpose of indicating the amount of lubricant removed is 
to ensure that a proper amount of new lubricant is returned to the 
mobile A/C system for compressor lubrication, if the system is to be 
charged with equipment meeting SAE J2788.
    6.7.2 Refrigerant dissolved in this lubricant must be accounted for 
to prevent lubricant overcharge of the mobile A/C system.
    6.8 The equipment must be capable of continuous operation in ambient 
temperatures of 10 [deg]C to 49 [deg]C (50 [deg]F to120 [deg]F) and 
comply with 6.1 to 6.4 of this standard.
    6.9 For test validation, the equipment is to be operated according 
to the manufacturer's instructions.
    7. Test Procedure A at 21 [deg]C to 24 [deg]C (70 [deg]F to 75 
[deg]F).
    The test vehicle (2005-2007 Chevrolet Suburban with rear A/C 
system--1.4 kg/ 3.0 lb) or laboratory fixture per section 10.5 of SAE

[[Page 103]]

J2788, shall be prepared as for SAE J2788, section 10.3, following Steps 
1, 2, 3, 4, and then the following:
    7.1 Using a machine certified to SAE J2788 and with the machine on a 
platform scale with accuracy to within plus/minus 3.0 grams at the 
weight of the machine, charge the system to the vehicle manufacturer's 
recommended amount of refrigerant (1.4 kg-3.0 lb). The actual charge 
amount per the reading on the platform scale shall be used as the basis 
for the recovery efficiency of the recovery-only machine being tested to 
this standard. Run the engine (or operate test fixture with electric 
motor) for up to 15 minutes at up to 2000 rpm to circulate oil and 
refrigerant. The system then must rest for eight hours.
    7.2 Place the recovery machine on the platform scale and record the 
weight with the hoses draped over the machine. Ambient temperature shall 
be within the range of 21 [deg]C to 24 [deg]C (70 [deg]F to 75 [deg]F) 
for this test, which shall be performed without the immediately prior 
engine operation permitted by SAE J2788, Section 10.3, Step No.1. The 
only permitted engine operation is as specified in 7.1.
    7.3 Start the timer. Connect the service hoses to the system of the 
test vehicle and perform the recovery per the equipment manufacturer's 
instructions. The vehicle system's service valve cores must remain in 
the fittings for this procedure.
    7.4 When recovery is completed, including from the service hoses if 
that is part of the recommended procedure, disconnect the hoses and 
drape over the machine. Stop the timer. The elapsed time shall be no 
more than 30 minutes.
    7.5 Remove the oil reservoir, empty and reinstall. The platform 
scale shall indicate that a minimum of 95.0% of the refrigerant has been 
recovered, based on the charge amount indicated by the platform scale. 
If the machine has recovered the minimum of 95.0% within the 30.0 
minutes, the next test shall be performed. If it fails this test, the 
marketer of the equipment must document changes to the equipment to 
upgrade performance before a retest is allowed. If it passes, the 
laboratory can proceed to Test Procedure B-10 [deg]C to 13 [deg]C (50 
[deg]F to 55 [deg]F).
    8. Test Procedure B at 10 [deg]C to 13 [deg]C (50 [deg]F to 55 
[deg]F).
    The test vehicle (2005-2007 Chevrolet Suburban front/rear A/C system 
(1.4 kg/3.0 lb) or test fixture per section 10.5 of SAE J2788, shall be 
prepared as per 7.0 and 7.1 of this standard, and then the following:
    8.1 Place the recovery machine on the platform scale and record the 
weight with the hoses draped over the machine.
    Ambient temperature at this time shall be no higher than 10 [deg]C 
to13 [deg]C (50 [deg]F to 55 [deg]F).
    8.2 Start the timer. Connect the service hoses to the system of the 
test vehicle and perform the recovery per the equipment manufacturer's 
instructions. This also shall be performed without the immediately prior 
engine operation permitted by SAE J2788, section 10.4, Step No. 1. The 
vehicle system's service valve cores must remain in the fittings for 
this procedure.
    8.3 When recovery is completed, including from the service hoses if 
that is part of the recommended procedure, disconnect the hoses and 
drape over the machine. Stop the timer. The elapsed time shall be no 
more than 30 minutes.
    8.4 Remove the oil reservoir, empty and reinstall. The platform 
scale shall indicate that a minimum of 85.0% of the refrigerant has been 
recovered, based on the charge amount indicated by the platform scale. 
If the machine has recovered the minimum of 85.0% within the 30 minutes, 
it has passed the test procedure and if it meets all other requirements 
of this standard, it is certified.

                             9. Test Option

    As in SAE J2788, Section 10.5, as an alternative to a 2005-2007 
Chevrolet Suburban with rear A/C (1.4 kg-3.0 lb) system, a laboratory 
test fixture may be used to certify to SAE J2810 the fixture must be 
composed entirely of all the original equipment parts of a single model 
year for the 1.4 kg (3.0 lb) capacity system. All parts must be those 
OE-specified for one model year system and no parts may be eliminated or 
bypassed from the chosen system or reproduced from a non-OE source. No 
parts may be added and/or relocated from the OE position in the 2005-07 
Suburban. No parts may be modified in any way that could affect system 
performance for testing under this standard, except adding refrigerant 
line bends and/or loops to make the system more compact. Reducing the 
total length of the lines, however, is not permitted.
    The fixture systems for this standard shall not be powered by an 
electric motor during recovery, although a motor can be used, run at a 
speed not to exceed 2000 rpm, as part of the preparatory process, 
including installation of the charge.

[73 FR 34647, June 18, 2008]



  Sec. Appendix E to Subpart B of Part 82--The Standard for Automotive 
 Refrigerant Recycling Equipment Intended for Use With Both CFC-12 and 
                                HFC-134a

    SAE J2211, Recommended Service Procedure for the Containment of HFC-
134a, as set forth under Appendix C of this subpart, and SAE J1989, 
Recommended Service Procedure for the Containment of CFC-12, as set 
forth under Appendix A of this subpart, also apply to this Appendix E of 
this subpart.
    SAE J1770, issued December, 1995.

[[Page 104]]

Automotive Refrigerant Recycle Equipment Intended for Use With Both CFC-
                             12 and HFC-134a

                                Foreword

    The purpose of this standard is to establish specific minimum 
equipment requirements for automotive refrigerant recycling equipment 
intended for use with both CFC-12 and HFC-134a in a common refrigerant 
circuit. Establishing such specifications will assure that this 
equipment does not cross contaminate refrigerant above specified limits 
when used under normal operating conditions.

                                1. Scope

    The purpose of this standard is to establish the specific minimum 
equipment intended for use with both CFC-12 and HFC-134a in a common 
refrigerant circuit that has been directly removed from, and is intended 
for reuse in, mobile air-conditioning (A/C) systems. This standard does 
not apply to equipment used for CFC-12 and HFC-134a having a common 
enclosure with separate circuits for each refrigerant.

                              2. References

    2.1 Applicable Documents--The following publications form a part of 
this specification to the extent specified. The latest issue of SAE 
publications shall apply.
    2.1.1 SAE Publications--Available from SAE, 400 Commonwealth Drive, 
Warrendale, PA 15096-0001.
SAE J2099--Standard of Purity for Recycled HFC-134a for Use in Mobile 
Air-Conditioning Systems
SAE 1991--Standard of Purity for Use in Mobile Air-Conditioning Systems
SAE J2196--Service Hoses for Automotive Air-Conditioning
SAE J2197--Service Hose Fittings for Automotive Air-Conditioning
SAE J2210--HFC-134a (R-134a) Recycling Equipment for Mobile A/C Systems
SAE J1990--Extraction and Recycling Equipment for Mobile A/C Systems
    2.1.2 Compressed Gas Association (CGA) Publications--Available from 
CGA, 1235 Jefferson Davis Highway, Arlington, VA 22202.
CGA Pamphlet S-1.1--Pressure Relief Device Standard
    Part 1--Cylinders for Compressed Gases
    2.1.3 DOT Publications--Available from the Superintendent of 
Documents, U.S. Government Printing Office, Washington, D.C. 20402
    2.1.4 UL Publications--Available from Underwriters Laboratories, 333 
Pfingsten Road, Northbrook, IL 60062-2096.
UL 1769--Cylinder Valves
UL 1963--Refrigerant Recovery/Recycling Equipment

                3. Specification and General Description

    3.1 The equipment shall be suitable for use in an automotive service 
garage environment and be capable of continuous operation in ambients 
from 10 to 49 [deg]C.
    3.2 The equipment must be certified that it meets this specification 
by Underwriters Laboratories Inc. (UL), or by an equivalent Nationally 
Recognized Testing Laboratory (NRTL).
    3.3 The equipment shall have a label which states ``Design Certified 
by (Certifying Agent) to meet SAE J1770 for recycling CFC-12 and HFC-
134a using common refrigerant circuits'', in bold-type letters a minimum 
of 3 mm in height.

                        4. Equipment Requirements

    4.1 General
    4.1.1 The equipment shall be capable of preventing cross 
contamination to the level required by Section 9.2.1.G before an 
operation involving a different refrigerant can begin. The equipment 
must prevent initiation of the recovery operation if the equipment is 
not set up properly.
    4.1.2 If an operator action is required to clear the unit prior to 
reconnecting for a different refrigerant, the equipment shall be 
provided with a means which indicates which refrigerant was last 
processed.
    4.1.3 Means shall be provided to prevent recovery from both an CFC-
12 and HFC-134a mobile air conditioning system concurrently.
    4.1.4 Transfer of recycled refrigerant--Recycled refrigerant for 
recharging and transfer shall be taken from the liquid phase only.
    4.2 Seat Leakage Test
    4.2.1 Valves, including electrically operated solenoid valves, that 
are used to isolate CFC-12 and HFC-134a refrigerant circuits, shall have 
a seat leakage rate not exceeding 15 g/yr (\1/2\ oz/yr) before and after 
100,000 cycles of operation. This Endurance Test shall be conducted with 
HFC-134a at maximum operating pressure as determined by sections 8.1 and 
8.2. The Seat Leakage Test shall be performed at 1.5 times this pressure 
at an ambient of 24 [deg]C.
    4.3 Interlocks
    4.3.1 Electrical interlock devices used to prevent cross 
contamination of refrigerant shall be operated for 100,000 cycles and 
there shall be no failure that would permit cross contamination of 
refrigerant. Solid state inter lock devices shall comply with the 
Transient Overvoltage Test and the Fast Transient (Electric Noise) Test 
contained in the Standard for Tests for Safety Related Controls 
Employing Solid-State Devices, UL 991.
    4.4 Noncondensable Gases
    4.4.1 The equipment shall either automatically purge noncondensables 
(NCGs) if

[[Page 105]]

the acceptable level is exceeded or incorporate a device that indicates 
to the operator the NCG level has been exceeded. A pressure gauge used 
to indicate an NCG level shall be readable in 1 psig increments. NCG 
removal must be part of the normal operation of the equipment and 
instructions must be provided to enable the task to be accomplished 
within 30 minutes.
    4.4.2 Refrigerant loss from noncondensable gas purging, oil removal, 
and refrigerant clearing shall not exceed more than 5 percent by weight 
of the total amount of refrigerant through the equipment as detailed in 
Sections 8.1, 8.2, and 9.2.
    4.5 Filter
    4.5.1 A 15 micron filter, or other equivalent means, to remove 
particulates of 15 micrometers spherical diameter or greater shall be 
located before any manual electrically operated valves that may cause 
cross contamination.
    4.6 Moisture and Acid
    4.6.1 The equipment shall incorporate a desiccant package that must 
be replaced before saturated with moisture, and whose acid capacity is 
at least 5% by weight of the dry desiccant.
    4.6.2 The equipment shall be provided with a moisture detection 
means that will reliably indicate when moisture in the HFC-134a exceeds 
50 ppm, or in the CFC-12 exceeds 15 ppm, and requires the filter/drier 
replacement.

                        5. Operating Instructions

    5.1 The equipment manufacturer must provide operating instructions, 
including proper attainment of vehicle system vacuum (i.e., when to stop 
the extraction process, and also to stop the extraction process if it is 
noticed that the A/C system being serviced has a leak), filter/desiccant 
replacement, and purging of noncondensable gases (air). The instructions 
shall indicate that the correct sequence of operation be followed so 
that the equipment can properly remove contaminates to the acceptable 
level. Also to be included are any other necessary maintenance 
procedures, source information for replacement parts and repair, and 
safety precautions.
    5.2 The equipment must prominently display the manufacturer's name, 
address, the type of refrigerant (CFC-12 and HFC-134a), a service 
telephone number, and the part number for the replacement filter/drier. 
Operation manuals must cover information for complete maintenance of the 
equipment to assure proper operation.

                         6. Safety Requirements

    6.1 The equipment must comply with applicable federal, state, and 
local requirements on equipment related to handling CFC-12 and HFC-134a 
material. Safety precautions or notices related to the safe operation of 
the equipment shall be prominently displayed on the equipment and should 
also state ``CAUTION--SHOULD BE OPERATED BY QUALIFIED PERSONNEL''.
    6.2 HFC-134a has been shown to be nonflammable at ambient 
temperature and atmospheric pressure. The following statement shall be 
in the operating manual: ``Caution: HFC-134a service equipment or 
vehicle A/C systems should not be pressure tested or leak tested with 
compressed air. Some mixtures of air and HFC-134a have been shown to be 
combustible at elevated pressures (when contained in a pipe or tank). 
These mixtures may be potentially dangerous, causing injury or property 
damage. Additional health and safety information may be obtained from 
refrigerant and lubricant manufacturers.''

                        7. Functional Description

    7.1 General
    7.1.1 The equipment must be capable of ensuring recovery of the CFC-
12 and HFC-134a from the system being serviced, by reducing the system 
to a minimum of 102 mm of mercury below atmospheric pressure (i.e., 
vacuum).
    7.1.2 The equipment must be compatible with leak detection material 
that may be present in the mobile A/C system.
    7.2 Shut Off Device
    7.2.1 To prevent overcharge, the equipment must be equipped to 
protect the tank used to store the recycled refrigerant with a shutoff 
device and a mechanical pressure relief valve.
    7.3 Storage Tanks
    7.3.1 Portable refillable tanks or containers shall be supplied with 
this equipment and must be labeled ``HFC-134a'' or ``CFC-12'' as 
appropriate, meet applicable Department of Transportation (DOT) or 
NRTL's Standards and be adaptable to existing refrigerant service and 
charging equipment.
    7.3.2 The cylinder valve shall comply with the Standard for Cylinder 
Valves, UL 1769.
    7.3.3 The pressure relief device shall comply with the Pressure 
Relief Device Standard Part 1--Cylinders for Compressed Gases, CGA 
Pamphlet S-1.1.
    7.3.4 The tank assembly shall be marked to indicate the first retest 
date, which shall be 5 years after the date of manufacture. The marking 
shall indicate that retest must be performed every subsequent 5 years. 
The marking shall be in letters at least 6 mm high.
    7.4 Overfill Protection
    7.4.1 During operation, the equipment must provide overfill 
protection to assure that during filling or transfer, the tank or 
storage container cannot exceed 80% of volume at 21.1 [deg]C of its 
maximum rating as defined by DOT standards, 49 CFR 173.304 and American 
Society of Mechanical Engineers.

[[Page 106]]

    7.5 Hoses and Connections
    7.5.1 Separate inlet and outlet hoses with fittings and separate 
connections shall be provided for each refrigerant circuit.
    7.5.2 All flexible hoses and fittings must meet SAE J2196 (for CFC-
12) and SAE J2197 (for HFC-134a).
    7.5.3 Service hoses must have shutoff devices located within 30 cm 
of the connection point to the system being serviced.
    7.6 Lubricant Separation
    7.6.1 The equipment must be able to separate the lubricant from the 
removed refrigerant and accurately indicate the amount of lubricant 
removed during the process, in 30 mL (1 fl oz) units. Refrigerant 
dissolves in lubricant and, as a result, increases the volume of the 
recovered lubricant sample. This creates the illusion that more 
lubricant has been recovered that actually has been. The equipment 
lubricant measuring system must take into account such dissolved 
refrigerant removed from the A/C system being serviced to prevent 
overcharging the vehicle system with lubricant.

    (Note: Use only new lubricant to replace the amount removed the 
recycling process. Used lubricant should be discarded per applicable 
federal, state and local requirements.)

    7.6.2 The equipment must be provided with some means, such as a 
lockout device, which will prevent initiation of the recovery operation 
after switching to the other refrigerant, if the lubricant has not been 
drained from the oil separator.

                               8. Testing

    8.0 Equipment shall be tested in sequence as noted in sections 8.1, 
8.2 and 9.2. The filter/drier may be replaced only as noted by section 
4.6.2.
    8.1 CFC-12 Recycling Cycle
    8.1.1 The maximum operating pressure of the equipment shall be 
determined when recycling CFC-12 while conducting the following tests. 
This pressure is needed for the Seat Leakage Test, Section 4.2.
    8.1.2 The equipment must be preconditioned with 13.6 kg of the 
standard contaminated CFC-12 (see section 8.1.2a) at an ambient of 21 
[deg]C before starting the test cycle. Sample amounts shall be 1.13 kg 
with sample amounts to be repeated every 5 minutes. The sample method 
fixture, defined in Figure 1 to Appendix A, shall be operated at 21 
[deg]C.
    8.1.2a Standard contaminated CFC-12 refrigerant shall consist of 
liquid CFC-12 with 100 ppm (by weight) moisture at 21 [deg]C and 45,000 
ppm (by weight) mineral oil 525 suspension viscosity nominal and 770 ppm 
by weight of noncondensable gases (air).
    8.1.3 The high moisture contaminated sample shall consist of CFC-12 
vapor with 1000 ppm (by weight) moisture.
    8.1.4 The high oil contaminated sample shall consist of CFC-12 with 
200,000 ppm (by weight) mineral oil 525 suspension viscosity nominal.
    8.1.5 After preconditioning as stated in section 8.1.2, the test 
cycle is started, processing the following contaminated samples through 
the equipment.
    A. 13.6 kg (1.13 kg per batch) of standard contaminated CFC-12.
    B. 1 kg of high oil contaminated CFC-12.
    C. 4.5 kg (1.13 kg per batch) of standard contaminated CFC-12.
    D. 1 kg of high moisture contaminated CFC-12.
    8.1.6 The CFC-12 is to be cleaned to the minimum purity level, as 
defined in SAE J1991, with the equipment operating in a stable ambient 
of 10, 21, and 49 [deg]C and processing the samples as defined in 
section 8.1.5.
    8.2 HFC-134a Recycling Cycle
    8.2.1 The maximum operating pressure of the equipment shall be 
determined when recycling HFC-134a while conducting the following tests. 
This pressure is needed for the Seat Leakage Test, Section 4.2.
    8.2.2 The equipment must be preconditioned by processing 13.6 kg of 
the standard contaminated HFC-134a (see section 8.2.2a) at an ambient of 
21 [deg]C before starting the test cycle. 1.13 kg samples are to be 
processed at 5 minute intervals. The text fixture shown in Figure 1 to 
Appendix A shall be operated at 21 [deg]C.
    8.2.2a The standard contaminated refrigerant shall consist of liquid 
HFC-134a with 1300 ppm (by weight) moisture (equivalent to saturation at 
38[deg][100 [deg]F]), 45,000 ppm (by weight) HFC-134a compatible 
lubricant, and 1000 ppm (by weight) of noncondensable gases (air).
    8.2.2b The HFC-134a compatible lubricant referred to in section 
8.2.2a shall be a polyalkylene glycol based synthetic lubricant or 
equivalent, which shall contain no more than 1000 ppm by weight of 
moisture.
    8.2.3 Following the preconditioning procedure per section 8.2.2, 
18.2 kg of standard contaminated HFC-134a are to be processed by the 
equipment at each stable ambient temperature of 10, 21, and 49 [deg]C.
    8.2.4 The HFC-134a is to be cleaned to the purity level, as defined 
in SAE J2099.

                 9. Refrigerant Cross Contamination Test

    9.1 General
    9.1.1 For test validation, the equipment is to be operated according 
to the manufacturer's instruction.
    9.1.2 The equipment shall clean the contaminated CFC-12 refrigerant 
to the minimum purity level as defined in Appendix A, when tested in 
accordance with the requirements in section 8.1.
    9.1.3 The equipment shall clean the contaminated HFC-134a 
refrigerant to the purity

[[Page 107]]

level defined in Appendix C, when tested in accordance with the 
requirements in section 8.2.
    9.2 Test Cycle
    9.2.1 The following method shall be used after the tests and 
requirements in Sections 8.1 and 8.2, respectively, are completed. 
Following the manufacturer's instructions, the equipment shall be 
cleared of HFC-134a, prior to beginning step A. The only refrigerant 
used for this is noted in steps A, C, and E of section 9.2.1. The test 
fixture shown in Figure 1 to Appendix A shall be used and the test shall 
be conducted at 10, 21, and 49 [deg]C ambients.
    A. A 1.13 kg standard contaminated sample of CFC-12 (see section 
8.1.2a) shall be processed by the equipment.
    B. Follow manufacturer's instructions to clear the equipment of CFC-
12 before processing HFC-134a.
    C. Process a 1.13 kg, standard contaminated sample of HFC-134a (see 
section 8.2.2a) through the equipment.
    D. Follow manufacturer's instructions to clear the equipment of HFC-
134a before processing CFC-12.
    E. Process a 1.13 kg standard contaminated sample of CFC-12 (see 
section 8.1.2a) through the equipment.
    F. Follow manufacturer's instructions to clear the equipment of CFC-
12.
    G. The amount of cross contaminated refrigerant, as determined by 
gas chromatography, in samples processed during steps C and E of section 
9.2.1., shall not exceed 0.5 percent by weight.

                           10. Sample Analysis

    10.1 General
    10.1.1 The processed contaminated samples shall be analyzed 
according to the following procedure.
    10.2 Quantitative Determination of Moisture
    10.2.1 The recycled liquid phase sample of refrigerant shall be 
analyzed for moisture content via Karl Fischer coulometer titration or 
an equivalent method. The Karl Fischer apparatus is an instrument for 
precise determination of small amounts of water dissolved in liquid and/
or gas samples.
    10.2.2 In conducting the test, a weighed sample of 30 to 130 g is 
vaporized directly into the Karl Fischer anolyte. A coulometer titration 
is conducted and the results are calculated and displayed as parts per 
million moisture (weight).
    10.3 Determination of Percent Lubricant
    10.3.1 The amount of lubricant in the recycled sample of 
refrigerant/lubricant is to be determined by gravimetric analysis.
    10.3.2 Following venting of noncondensable, in accordance with the 
manufacturer's operating instructions, the refrigerant container shall 
be shaken for 5 minutes prior to extracting samples for test.
    10.3.3 A weighed sample of 175 to 225 g of liquid refrigerant/
lubricant is allowed to evaporate at room temperature. The percent 
lubricant is to be calculated from the weight of the original sample and 
the residue remaining after the evaporation.
    10.4 Noncondensable Gas
    10.4.1 The amount of noncondensable gas is to be determined by gas 
chromatography. A sample of vaporized refrigerant liquid shall be 
separated and analyzed by gas chromatography. A Propak Q column at 130 
[deg]C and a hot wire detector may be used for analysis.
    10.4.2 This test shall be conducted on liquid phase samples of 
recycled refrigerant taken from a full container as defined in 7.4 
within 30 minutes following the proper venting of noncondensable gases.
    10.4.3 The samples shall be shaken for at least 15 minutes prior to 
testing while at a temperature of 24 [deg]C 2.8 
[deg]C.
    10.5 Refrigerant Cross Contamination
    10.5.1 The amount of cross contamination of CFC-12 in HFC-134a or 
HFC-134a in CFC-12 shall not exceed 0.5 percent by weight as determined 
by gas chromatography. A sample of vaporized refrigerant liquid shall be 
separated and analyzed by gas chromatography. A 1% SP-1000 on Carbopack 
B (60/80 mesh) column may be used for the analysis.

[62 FR 68053, Dec. 30, 1997]



   Sec. Appendix F to Subpart B of Part 82--Standard for Recover-Only 
Equipment That Extracts a Single, Specific Refrigerant Other Than CFC-12 
                               or HFC-134a

                                Foreword

    These specifications are for equipment that recover, but does not 
recycle, any single, specific automotive refrigerant other than CFC-12 
or HFC-134a, including a blend refrigerant.

                                1. Scope

    The purpose of this standard is to provide equipment specifications 
for the recovery of any single, specific refrigerant other than CFC-12 
or HFC-134a, including a blend refrigerant, which are either (1) to be 
returned to a refrigerant reclamation facility that will process the 
refrigerant to ARI Standard 700-93 or equivalent new product 
specifications at a minimum, or (2) to be recycled in approved 
refrigerant recycling equipment, or (3) to be destroyed. This standard 
applies to equipment used to service automobiles, light trucks, and 
other vehicles with similar air conditioning systems.

                              2. References

    2.1 Applicable Documents--The following publications form a part of 
this specification

[[Page 108]]

to the extent specified. The latest issue of SAE publications shall 
apply.
    2.1.1 SAE Publications--Available from SAE, 400 Commonwealth Drive, 
Warrendale, PA 15096-0001. SAE J639--Vehicle Service Coupling. SAE 
J2196--Service Hoses for Automotive Air-Conditioning (fittings modified)
    2.1.2 ARI Publication--Available from Air Conditioning and 
Refrigeration Institute, 1501 Wilson Boulevard, Sixth Floor, Arlington, 
VA 22209. ARI 700-93--Specifications for Fluorocarbon Refrigerants.
    2.1.3 Compressed Gas Association (CGA) Publications--Available from 
CGA, 1235 Jefferson Davis Highway, Arlington, VA 22202. CGA Pamphlet S-
1.1--Pressure Relief Device Standard Part 1--Cylinders for Compressed 
Gases.
    2.1.4 DOT Publications--Available from the Superintendent of 
Documents, U.S. Government Printing Office, Washington, D.C. 20402.
    DOT Standard, 49 CFR 173.304--Shippers--General Requirements for 
Shipments and Packagings.
    2.1.5 UL Publications--Available from Underwriters Laboratories, 333 
Pfingsten Road, Northbrook, IL 60062-2096.
    UL 1769--Cylinder Valves.
    UL 1963--Refrigerant Recovery Recycling Equipment.

                3. Specifications and General Description

    3.1 The equipment must be able to extract from a mobile air 
conditioning system the refrigerant other than CFC-12 or HFC-134a to 
which the equipment is dedicated.
    3.2 The equipment shall be suitable for use in an automotive service 
garage environment as defined in section 6.8.
    3.3 The equipment discharge or transfer fitting shall be unique to 
prevent the unintentional use of the extracted refrigerant for 
recharging auto air conditioners.
    3.4 Equipment Certification-The equipment shall be certified by 
Underwriters Laboratories or an--equivalent certifying laboratory to 
meet this standard.
    3.5 Label Requirements--The equipment shall have a label ``Designed 
Certified by (Company Name) to meet EPA requirements for use only with 
(the applicable refrigerant). The refrigerant from this equipment must 
be processed to ARI 700-93 specifications or equivalent new product 
specifications before reuse in a mobile air-conditioning system.'' The 
minimum letter size shall be bold type 3 mm in height.

                         4. Safety Requirements

    4.1 The equipment must comply with applicable federal, state, and 
local requirements on equipment related to the handling of the 
applicable refrigerant material. Safety precautions or notices or labels 
related to the safe operation of the equipment shall also be prominently 
displayed on the equipment and should state ``CAUTION--SHOULD BE 
OPERATED BY CERTIFIED PERSONNEL.'' The safety identification shall be 
located on the front near the controls.
    4.2 The equipment must comply with applicable safety standards for 
electrical and mechanical requirements.

                        5. Operating Instructions

    5.1 The equipment manufacturer must provide operating instructions 
that include information equivalent to that required by SAE J1629, 
necessary maintenance procedures, and source information for replacement 
parts and repair.
    5.1.1 The instruction manual shall include the following information 
on the lubricant removed: Only new lubricant, as identified by the 
system manufacturer, should be replaced in the air conditioning system. 
Removed lubricant from the system and/or the equipment shall be disposed 
on in accordance with the applicable federal, state, and local 
procedures and regulations.
    5.2 The equipment must prominently display the manufacturer's name, 
address, the type of refrigerant it is designed to extract, a service 
telephone number, and any items that require maintenance or replacement 
that affect the proper operation of the equipment. Operation manuals 
must cover information for complete maintenance of the equipment to 
assure proper operation.

                       6.1 Functional Description

    6.1 The equipment must be capable of ensuring removal of refrigerant 
from the system being serviced by reducing the system pressure to a 
minimum of 102 mm (4 in) of mercury below atmospheric pressure (i.e., to 
a vacuum). To prevent system delayed outgassing, the unit must have a 
device that assures that the refrigerant has been recovered from the 
air-conditioning system.
    6.1.1 Testing laboratory certification of the equipment capability 
is required which shall process contaminated refrigerant samples at 
specific temperatures.
    6.2 The equipment must be preconditioned by processing 13.6 kg (30 
lb) of the standard contaminated refrigerant at an ambient of 21 [deg]C 
(70 [deg]F) before starting the test cycle. Sample amounts are not to 
exceed 1.13 kg (2.5 lb) with sample amounts to be processed at 5 min. 
intervals. The test method fixture, depicted in Figure 1 to appendix A 
of this subpart, shall be operated at 21 [deg]C (70 [deg]F). 
Contaminated refrigerant samples shall be processed at ambient 
temperatures of 10 and 49 [deg]C, without equipment shutting due to any 
safety devices employed in this equipment.
    6.2.1 Standard contaminated refrigerant, 13.6 kg (30 lb) sample 
size, shall consist of liquid refrigerant with 1000 ppm (by weight)

[[Page 109]]

moisture at 21 [deg]C and 45,000 ppm (by weight) of oil (total of one-
third mineral oil 525 suspension nominal, one-third PAG with 100 cSt 
viscosity at 40 [deg]C or equivalent, and one-third POE with 68 cSt 
viscosity at 40 [deg]C or equivalent) and 1000 ppm by weight of 
noncondensable gases (air). Refrigerant shall be identified prior to the 
recovery process to 2% of the original 
manufacturer's formulation submitted to, and accepted by, EPA under its 
Significant New Alternatives Policy program, with the exception that any 
flammable components shall be identified to 1%.
    6.3 Portable refillable containers used in conjunction with this 
equipment must meet applicable DOT Standards.
    6.3.1 The container color must be gray with a yellow top to identify 
that it contains used refrigerant. It must be permanently marked on the 
outside surface in black print at least 20 mm high ``DIRTY [NAME OF 
REFRIGERANT]--DO NOT USE, MUST BE PROCESSED''.
    6.3.2 The portable refillable container shall have a unique thread 
connection for the specific refrigerant.
    6.3.3 During operation, the equipment shall provide overfill 
protection to assure that the storage container liquid fill does not 
exceed 80% of the tank's rated volume at 21 [deg]C per DOT Standard, 49 
CFR 173.304, and the American Society of Mechanical Engineers.
    6.4 Additional Storage Tank Requirements
    6.4.1 The cylinder valve shall comply with UL 1769.
    6.4.2 The pressure relief device shall comply with CGA Pamphlet S-
1.1.
    6.4.3 The container assembly shall be marked to indicate the first 
retest date, which shall be 5 years after date of manufacture. The 
marking shall indicate that retest must be performed every subsequent 5 
years. The marking shall be in letters at least 6 mm high.
    6.5 All flexible hoses must meet SAE J2196 for service hoses except 
that fittings shall be unique to the applicable refrigerant.
    6.6 Service hoses must have shutoff devices located within 30 cm of 
the connection point to the system being serviced to minimize 
introduction of noncondensable gases into the recovery equipment during 
connection and the release of the refrigerant during disconnection.
    6.7 The equipment must be able to separate the lubricant from the 
recovered refrigerant and accurately indicate the amount removed from 
the simulated automotive system during processing in 30 mL units.
    6.7.1 The purpose of indicating the amount of lubricant is to ensure 
that a proper amount of new lubricant is returned to the mobile air 
conditioning system for compressor lubrication.
    6.7.2 Refrigerant dissolved in this lubricant must be accounted for 
to prevent system lubricant overcharge of the mobile air-conditioning 
system.
    6.8 The equipment must be capable of continuous operation in 
temperatures of 10 to 49 [deg]C and must comply with 6.1 and 6.2.

    7. For test validation, the equipment is to be operated according to 
the manufacturer's instructions.

                               Application

    The purpose of this standard is to provide equipment specifications 
for the recovery of any refrigerant other than CFC-12 or HFC-134a for 
return to a refrigerant reclamation facility that will process it to ARI 
Standard 700-93 (or for recycling in other EPA approved recycling 
equipment, in the event that EPA in the future designates a standard for 
equipment capable of recycling refrigerants other than CFC-12 or HFC-
134a).

                            Reference Section

SAE J639--Vehicle Service Coupling
SAE J2196--Service Hoses for Automotive Air-Conditioning
ARI 700-93--Specifications for Fluorocarbon Refrigerants
CGA Pamphlet S-1.1--Pressure Relief Device Standard Part 1--Cylinders 
for Compressed Gases
UL 1769--Cylinder Valves
49 CFR 173.304--Shippers--General Requirements for Shipment and 
Packagings

[62 FR 68055, Dec. 30, 1997]



Subpart C_Ban on Nonessential Products Containing Class I Substances and 
 Ban on Nonessential Products Containing or Manufactured With Class II 
                               Substances

    Source: 58 FR 69675, Dec. 30, 1993, unless otherwise noted.



Sec.  82.60  Purpose.

    The purpose of this subpart is to implement the requirements of 
sections 608 and 610 of the Clean Air Act as amended in 1990 on emission 
reductions and nonessential products.



Sec.  82.62  Definitions.

    For purposes of this subpart:
    Chlorofluorocarbon means any substance listed as Class I group I or 
Class I group III in 40 CFR part 82, appendix A to subpart A.

[[Page 110]]

    Class II Substance means any substance designated as class II in 40 
CFR part 82, appendix B to subpart A.
    Commercial, when used to describe the purchaser of a product, means 
a person that uses the product in the purchaser's business or sells it 
to another person and has one of the following identification numbers:
    (1) A federal employer identification number;
    (2) A state sales tax exemption number;
    (3) A local business license number; or
    (4) A government contract number.
    Consumer, when used to describe a person taking action with regard 
to a product, means the ultimate purchaser, recipient or user of a 
product.
    Distributor, when used to describe a person taking action with 
regard to a product means:
    (1) The seller of a product to a consumer or another distributor; or
    (2) A person who sells or distributes that product in interstate 
commerce for export from the United States.
    Foam Insulation Product, when used to describe a product containing 
or consisting of plastic foam, means a product containing or consisting 
of the following types of foam:
    (1) Closed cell rigid polyurethane foam;
    (2) Closed cell rigid polystyrene boardstock foam;
    (3) Closed cell rigid phenolic foam; and
    (4) Closed cell rigid polyethylene foam when such foam is suitable 
in shape, thickness and design to be used as a product that provides 
thermal insulation around pipes used in heating, plumbing, 
refrigeration, or industrial process systems.
    Hydrochlorofluorocarbon means any substance listed as class II in 40 
CFR part 82, appendix B to subpart A.
    Initial Inventory means that the original product has completed all 
of its manufacturing processes and is ready for sale by the 
manufacturer. Products in initial inventory may be subsequently 
incorporated into another product by a different manufacturer after 
purchase. To continue selling products after the effective date of the 
provisions, the manufacturer or distributor must be able to show, upon 
request by EPA, that the product was in fact manufactured, and thus 
placed into initial inventory prior to the effective date. Shipping 
forms, lot numbers, manufacturer date stamps or codes, invoices, or the 
like are normally kept records that could be maintained from the time 
the product was put into initial inventory and may be used to 
demonstrate when a product was placed in initial inventory.
    Polyurethane Foam System means an item consisting of two transfer 
pumps that deliver ingredients (polyisocyanate or isocyanate from one 
side and a mixture including the blowing agent, catalysts, flame 
retardants, and/or stabilizers from the other side) to a metering/mixing 
device which allows the components to be delivered in the appropriate 
proportions.
    Product means an item or category of items manufactured from raw or 
recycled materials which is used to perform a function or task.
    Release means to emit into the environment during the manufacture, 
use, storage or disposal of a product.
    Space Vehicles means a man-made device, either manned or unmanned, 
designed for operation beyond earth's atmosphere. This definition 
includes integral equipment such as models, mock-ups, prototypes, molds, 
jigs, tooling, hardware jackets, and test coupons. Also included is 
auxiliary equipment associated with test, transport, and storage, which 
through contamination can compromise the space vehicle performance.

[58 FR 69675, Dec. 30, 1993, as amended at 61 FR 64427, Dec. 4, 1996; 66 
FR 57522, Nov. 15, 2001; 85 FR 15300, Mar. 17, 2020]



Sec.  82.64  Prohibitions.

    (a) Effective February 16, 1993, no person may sell or distribute, 
or offer to sell or distribute, in interstate commerce any of the 
products identified as being nonessential in Sec.  82.66(a).
    (b) Effective February 16, 1993, no person may sell or distribute, 
or offer to sell or distribute, in interstate commerce any of the 
products specified in Sec.  82.66(b) to a person who does not provide 
proof of being a commercial purchaser, as defined under Sec.  82.62.

[[Page 111]]

    (c) Effective January 17, 1994, no person may sell or distribute, or 
offer to sell or distribute, in interstate commerce any of the products 
identified as being nonessential in Sec.  82.66(c) or Sec.  82.66(d) 
except as permitted under Sec.  82.65(g).
    (d) Except as permitted under Sec.  82.65, effective January 1, 
1994, no person may sell or distribute, or offer for sale or 
distribution, in interstate commerce any product identified as being 
nonessential in Sec.  82.70(a) or Sec.  82.70(c).
    (e) Except as permitted under Sec.  82.65, effective January 1, 
1994, no person may sell or distribute, or offer to sell or distribute, 
in interstate commerce any of the products specified in Sec.  82.70(b) 
to a person who does not provide proof of being a commercial purchaser, 
as defined under Sec.  82.62.
    (f) Except as permitted under Sec.  82.65(d), effective January 1, 
1996, no person may sell or distribute, or offer for sale or 
distribution, in interstate commerce any product identified as being 
nonessential in Sec.  82.70(c)(ii).
    (g) It is a violation of this subpart to sell or distribute, or 
offer for sale or distribution, products effected by the provisions of 
Sec.  82.68 if the seller knew or should have known that the purchaser 
was purchasing the product for a prohibited application.
    (h) No person may sell or distribute, or offer to sell or 
distribute, in interstate commerce any of the products identified as 
being nonessential in Sec.  82.66(f).

[58 FR 69675, Dec. 30, 1993, as amended at 85 FR 15300, Mar. 17, 2020]



Sec.  82.65  Temporary exemptions.

    (a) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, at any time, any products specified 
as nonessential in Sec.  82.70 which are manufactured and placed into 
initial inventory by December 31, 1993.
    (b) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, at any time, any products specified 
as nonessential in Sec.  82.70 which are manufactured and placed into 
initial inventory within the date 90 days after the effective date of 
any federal approvals required for product reformulation, where 
application for the required approval was timely and properly submitted 
to the approving federal agency prior to January 1, 1994.
    (c)(1) Any person may sell or distribute or offer to sell or 
distribute, in interstate commerce, at any time, any products specified 
as nonessential in Sec.  82.70 which are manufactured and placed into 
initial inventory within 45 days after the receipt of denial by any 
federal agency of an application for reformulation where initial 
application for the required approval was timely and properly submitted 
to the approving federal agency prior to January 1, 1994.
    (2) If, within 45 days of receipt of a denial of an application for 
reformulation, a person submits a new viable application for federal 
approval of a reformulation, that person may continue to sell and 
distribute, or offer to sell and distribute until 45 days of denial of 
that application.
    (d) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, at any time, any integral skin foam 
utilized to provide for motor vehicle safety in accordance with Federal 
Motor Vehicle Safety Standards, which are manufactured and placed into 
initial inventory prior to January 1, 1996.
    (e) Any person selling or distributing, or offering to sell or 
distribute, any product specified in this section after January 1, 1994, 
or January 1, 1996 for paragraph (d) of this section, or after January 
17, 1994 for any product specified in paragraph (g) of this section, 
must retain proof that such product was manufactured and placed into 
initial inventory before the relevant date specified in this section. 
Such proof may take the form of shipping forms, lot numbers, 
manufacturer date stamps, invoices or equivalent business records.
    (f) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, any aircraft pesticide containing 
class I until an alternative aircraft pesticide containing class II is 
available in interstate commerce.
    (g) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, at any time, any replacement part 
that was manufactured with, or contains a class I substance or

[[Page 112]]

was packaged in material that was manufactured with or contains a class 
I substance only if:
    (1) The replacement part was manufactured for use in a single model 
of a product; and
    (2) The replacement part and product model are no longer 
manufactured; and
    (3) The replacement part was placed into initial inventory prior to 
April 16, 1992.
    (h) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, at any time, any air-conditioning or 
refrigeration products specified as nonessential in Sec.  82.66(e) that 
are manufactured and placed into initial inventory by January 14, 2002.
    (i) Any person may sell or distribute, or offer to sell or 
distribute, in interstate commerce, at any time, any integral skin foam 
products manufactured with a Class I substance for use in commercial 
aviation and specified as nonessential in Sec.  82.66(c) that are 
manufactured and placed into initial inventory by January 14, 2002.

[58 FR 69675, Dec. 30, 1993, as amended at 66 FR 57522, Nov. 15, 2001]



Sec.  82.66  Nonessential Class I products and exceptions.

    The following products which release a Class I substance (as defined 
in 40 CFR part 82, appendix A to subpart A) are identified as being 
nonessential, and subject to the prohibitions specified under Sec.  
82.64--
    (a) Any plastic party streamer or noise horn which is propelled by a 
chlorofluorocarbon, including but not limited to--
    (1) String confetti;
    (2) Marine safety horns;
    (3) Sporting event horns;
    (4) Personal safety horns;
    (5) Wall-mounted alarms used in factories or other work areas; and
    (6) Intruder alarms used in homes or cars.
    (b) Any cleaning fluid for electronic and photographic equipment 
which contains a chlorofluorocarbon:
    (1) Including but not limited to liquid packaging, solvent wipes, 
solvent sprays, and gas sprays; and
    (2) Except for those sold or distributed to a commercial purchaser.
    (c) Any plastic foam product which is manufactured with or contains 
a Class I substance; except any plastic foam product blown with CFC-11, 
but which contains no other Class I substances and where this product is 
used to provide thermal protection to external tanks for space vehicles;
    (d) Any aerosol product or other pressurized dispenser, other than 
those banned in Sec.  82.64(a) or Sec.  82.64(b), which contains a 
chlorofluorocarbon,
    (1) Including but not limited to household, industrial, automotive 
and pesticide uses,
    (2) Except--
    (i) Medical devices listed in 21 CFR 2.125(e);
    (ii) Lubricants, coatings or cleaning fluids for electrical or 
electronic equipment, which contain CFC-11, CFC-12, or CFC-113 for 
solvent purposes, but which contain no other CFCs;
    (iii) Lubricants, coatings or cleaning fluids used for aircraft 
maintenance, which contain CFC-11 or CFC-113 as a solvent, but which 
contain no other CFCs;
    (iv) Mold release agents used in the production of plastic and 
elastomeric materials, which contain CFC-11 or CFC-113 as a solvent, but 
which contain no other CFCs, and/or mold release agents that contain 
CFC-12 as a propellant, but which contain no other CFCs;
    (v) Spinnerette lubricant/cleaning sprays used in the production of 
synthetic fibers, which contain CFC-114 as a solvent, but which contain 
no other CFCs, and/or spinnerette lubricant/cleaning sprays which 
contain CFC-12 as a propellant, but which contain no other CFCs;
    (vi) Document preservation sprays which contain CFC-113 as a 
solvent, but which contain no other CFCs, and/or document preservation 
sprays which contain CFC-12 as a propellant, but which contain no other 
CFCs, and which are used solely on thick books, books with coated or 
dense paper and tightly bound documents;
    (e) Any air-conditioning or refrigeration appliance as defined in 
the Clean Air Act (CAA) 601(1) that contains a Class I substance used as 
a refrigerant; and

[[Page 113]]

    (f) Any polyurethane foam system that contains any CFC.

[58 FR 69675, Dec. 30, 1993, as amended at 66 FR 57522, Nov. 15, 2001; 
85 FR 15300, Mar. 17, 2020]



Sec.  82.68  Verification and public notice requirements.

    (a) Effective February 16, 1993, any person who sells or distributes 
any cleaning fluid for electronic and photographic equipment which 
contains a chlorofluorocarbon must verify that the purchaser is a 
commercial entity as defined in Sec.  82.62. In order to verify that the 
purchaser is a commercial entity, the person who sells or distributes 
this product must request documentation that proves the purchaser's 
commercial status by containing one or more of the commercial 
identification numbers specified in Sec.  82.62(b). The seller or 
distributor must have a reasonable basis for believing that the 
information presented by the purchaser is accurate.
    (b) Effective February 16, 1993, any person who sells or distributes 
any cleaning fluid for electronic and photographic equipment which 
contains a chlorofluorocarbon must prominently display a sign where 
sales of such product occur which states: ``It is a violation of federal 
law to sell, distribute, or offer to sell or distribute, any 
chlorofluorocarbon-containing cleaning fluid for electronic and 
photographic equipment to anyone who is not a commercial user of this 
product. The penalty for violating this prohibition can be up to $25,000 
per sale. Individuals purchasing such products must present proof of 
their commercial status in accordance with Sec.  82.68(a).''
    (c) Effective January 1, 1994, any person who sells or distributes 
any aerosol or pressurized dispenser of cleaning fluid for electronic 
and photographic equipment which contains a class II substance must 
verify that the purchaser is a commercial entity as defined in Sec.  
82.62(b). In order to verify that the purchaser is a commercial entity, 
the person who sells or distributes this product must request 
documentation that proves the purchaser's commercial status by 
containing one or more of the commercial identification numbers 
specified in Sec.  82.62(b).
    (d) Effective January 1, 1994, any person who sells or distributes 
any aerosol or other pressurized dispenser of cleaning fluid for 
electronic and photographic equipment which contains a class II 
substance must prominently display a sign where sales of such product 
occur which states: ``It is a violation of federal law to sell, 
distribute, or offer to sell or distribute, any aerosol 
hydrochlorofluorocarbon-containing cleaning fluid for electronic and 
photographic equipment to anyone who is not a commercial user of this 
product. The penalty for violating this prohibition can be up to $25,000 
per unit sold. Individuals purchasing such products must present proof 
of their commercial status in accordance with Sec.  82.68(c).''
    (e) Effective January 1, 1994, in order to satisfy the requirements 
under Sec.  82.68 (b) and (d), any person who sells or distributes 
cleaning fluids for electronic and photographic equipment which contain 
a class I substance and those aerosol or pressurized dispensers of 
cleaning fluids which contain a class II substance, may prominently 
display one sign where sales of such products occur which states: ``It 
is a violation of federal law to sell, distribute, or offer to sell or 
distribute, any chlorofluorocarbon-containing cleaning fluid for 
electronic and photographic equipment or aerosol 
hydrochlorofluorocarbon-containing cleaning fluid for electronic and 
photographic equipment to anyone who is not a commercial user of this 
product. The penalty for violating this prohibition can be up to $25,000 
per unit sold. Individuals purchasing such products must present proof 
of their commercial status in accordance with 40 CFR 82.68(a) or 
82.68(c).''
    (f)-(g) [Reserved]
    (h) Effective January 1, 1994, any person who sells or distributes 
any mold release agents containing a class II substance as a propellant 
must provide written notification to the purchaser prior to the sale 
that ``It is a violation of federal law to sell mold release agents 
containing hydrochlorofluorocarbons as propellants to anyone, except for 
use in applications where no other alternative except a class I 
substance is available.

[[Page 114]]

The penalty for violating this prohibition can be up to $25,000 per unit 
sold.'' Written notification may be placed on sales brochures, order 
forms, invoices and the like.
    (i) Effective January 1, 1994, any person who sells or distributes 
any wasp and hornet spray containing a class II substance must provide 
written notification to the purchaser prior to the sale that ``it is a 
violation of federal law to sell or distribute wasp and hornet sprays 
containing hydrochlorofluorocarbons as solvents to anyone, except for 
use near high-tension power lines where no other alternative except a 
class I substance is available. The penalty for violating this 
prohibition can be up to $25,000 per unit sold.'' Written notification 
may be placed on sales brochures, order forms, invoices and the like.

[58 FR 69675, Dec. 30, 1993, as amended at 61 FR 64427, Dec. 4, 1996]



Sec.  82.70  Nonessential Class II products and exceptions.

    The following products which release a class II substance (as 
designated as class II in 40 CFR part 82, appendix B to subpart A) are 
identified as being nonessential and the sale or distribution of such 
products is prohibited under Sec.  82.64 (d), (e), or (f)--
    (a) Any aerosol product or other pressurized dispenser which 
contains a class II substance:
    (1) Including but not limited to household, industrial, automotive 
and pesticide uses;
    (2) Except--
    (i) Medical devices listed in 21 CFR 2.125(e);
    (ii) Lubricants, coatings or cleaning fluids for electrical or 
electronic equipment, which contain class II substances for solvent 
purposes, but which contain no other class II substances;
    (iii) Lubricants, coatings or cleaning fluids used for aircraft 
maintenance, which contain class II substances for solvent purposes but 
which contain no other class II substances;
    (iv) Mold release agents used in the production of plastic and 
elastomeric materials, which contain class II substances for solvent 
purposes but which contain no other class II substances, and/or mold 
release agents that contain HCFC-22 as a propellant where evidence of 
good faith efforts to secure alternatives indicates that, other than a 
class I substance, there are no suitable alternatives;
    (v) Spinnerette lubricants/cleaning sprays used in the production of 
synthetic fibers, which contain class II substances for solvent purposes 
and/or contain class II substances for propellant purposes;
    (vi) Document preservation sprays which contain HCFC-141b as a 
solvent, but which contain no other class II substance; and/or which 
contain HCFC-22 as a propellant, but which contain no other class II 
substance and which are used solely on thick books, books with coated, 
dense or paper and tightly bound documents;
    (vii) Portable fire extinguishing equipment used for non-residential 
applications; and
    (viii) Wasp and hornet sprays for use near high-tension power lines 
that contain a class II substance for solvent purposes only, but which 
contain no other class II substances.
    (b) Any aerosol or pressurized dispenser cleaning fluid for 
electronic and photographic equipment which contains a class II 
substance, except for those sold or distributed to a commercial 
purchaser.
    (c) Any plastic foam product which contains, or is manufactured 
with, a class II substance,
    (1) Including but not limited to household, industrial, automotive 
and pesticide uses,
    (2) Except--
    (i) Any foam insulation product, as defined in Sec.  82.62(h); and
    (ii) Integral skin foam utilized to provide for motor vehicle safety 
in accordance with Federal Motor Vehicle Safety Standards until January 
1, 1996, after which date such products are identified as nonessential 
and may only be sold or distributed or offered for sale or distribution 
in interstate commerce in accordance with Sec.  82.65(d).

[58 FR 69675, Dec. 30, 1993, as amended at 61 FR 64427, Dec. 4, 1996]



                      Subpart D_Federal Procurement

    Source: 58 FR 54898, Oct. 22, 1993, unless otherwise noted.

[[Page 115]]



Sec.  82.80  Purpose and scope.

    (a) The purpose of this subpart is to require Federal departments, 
agencies, and instrumentalities to adopt procurement regulations which 
conform to the policies and requirements of title VI of the Clean Air 
Act as amended, and which maximize the substitution in Federal 
procurement of safe alternatives, as identified under section 612 of the 
Clean Air Act, for class I and class II substances.
    (b) The regulations in this subpart apply to each department, 
agency, and instrumentality of the United States.



Sec.  82.82  Definitions.

    (a) Class I substance means any substance designated as class I by 
EPA pursuant to 42 U.S.C. 7671(a), including but not limited to 
chlorofluorocarbons, halons, carbon tetrachloride and methyl chloroform.
    (b) Class II substance means any substance designated as class II by 
EPA pursuant to 42 U.S.C. 7671(a), including but not limited to 
hydrochlorofluorocarbons.
    (c) Controlled substance means a class I or class II ozone-depleting 
substance.
    (d) Department, agency and instrumentality of the United States 
refers to any executive department, military department, or independent 
establishment within the meaning of 5 U.S.C. 101, 102, and 104(1), 
respectively, any wholly owned Government corporation, the United States 
Postal Service and Postal Rate Commission, and all parts of and 
establishments within the legislative and judicial branches of the 
United States.



Sec.  82.84  Requirements.

    (a) No later than October 24, 1994, each department, agency and 
instrumentality of the United States shall conform its procurement 
regulations to the requirements and policies of title VI of the Clean 
Air Act, 42 U.S.C. 7671-7671g. Each such regulation shall provide, at a 
minimum, the following:
    (1) That in place of class I or class II substances, or of products 
made with or containing such substances, safe alternatives identified 
under 42 U.S.C. 7671k (or products made with or containing such 
alternatives) shall be substituted to the maximum extent practicable. 
Substitution is not required for class II substances identified as safe 
alternatives under 42 U.S.C. 7671k, or for products made with or 
containing such substances, and such substances may be used as 
substitutes for other class I or class II substances.
    (2) That, consistent with the phaseout schedules for ozone-depleting 
substances, no purchases shall be made of class II substances, or 
products containing class II substances, for the purpose of any use 
prohibited under 42 U.S.C. 7671d(c);
    (3) That all active or new contracts involving the performance of 
any service or activity subject to 42 U.S.C. 7671g or 7671h or 
regulations promulgated thereunder include, or be modified to include, a 
condition requiring the contractor to ensure compliance with all 
requirements of those sections and regulations;
    (4) That no purchases shall be made of products whose sale is 
prohibited under 42 U.S.C. 7671h, except when they will be used by 
persons certified under section 609 to service vehicles, and no purchase 
shall be made of nonessential products as defined under 42 U.S.C. 7671i;
    (5) That proper labeling under 42 U.S.C. 7671j shall be a 
specification for the purchase of any product subject to that section.
    (b) For agencies subject to the Federal Acquisition Regulation, 48 
CFR part 1, amendment of the FAR, consistent with this subpart, shall 
satisfy the requirement of this section.



Sec.  82.86  Reporting requirements.

    (a) No later than one year after October 22, 1993, each agency, 
department, and instrumentality of the United States shall certify to 
the Office of Management and Budget that its procurement regulations 
have been amended in accordance with this section.
    (b) Certification by the General Services Administration that the 
Federal Acquisition Regulation has been amended in accordance with this 
section shall constitute adequate certification for purposes of all 
agencies subject to the Federal Acquisition Regulation.

[[Page 116]]



   Subpart E_The Labeling of Products Using Ozone-Depleting Substances

    Source: 60 FR 4020, Jan. 19, 1995, unless otherwise noted.



Sec.  82.100  Purpose.

    The purpose of this subpart is to require warning statements on 
containers of, and products containing or manufactured with, certain 
ozone-depleting substances, pursuant to section 611 of the Clean Air 
Act, as amended.



Sec.  82.102  Applicability.

    (a) In the case of substances designated as class I or class II 
substances as of February 11, 1993, the applicable date of the 
requirements in this paragraph (a) is May 15, 1993. In the case of any 
substance designated as a class I or class II substance after February 
11, 1993, the applicable date of the requirements in this paragraph (a) 
is one year after the designation of such substance as a class I or 
class II substance unless otherwise specified in the designation. On the 
applicable date indicated in this paragraph (a), the requirements of 
this subpart shall apply to the following containers and products except 
as exempted under paragraph (c) of this section:
    (1) All containers in which a class I or class II substance is 
stored or transported.
    (2) All products containing a class I substance.
    (3) All products directly manufactured with a process that uses a 
class I substance, unless otherwise exempted by this subpart or, unless 
the Administrator determines for a particular product that there are no 
substitute products or manufacturing processes for such product that do 
not rely on the use of a class I substance, that reduce overall risk to 
human health and the environment, and that are currently or potentially 
available. If the Administrator makes such a determination for a 
particular product, then the requirements of this subpart are effective 
for such product no later than January 1, 2015.
    (b) Applicable January 1, 2015 in any case, or one year after any 
determination between May 15, 1993 and January 1, 2015, by the 
Administrator for a particular product that there are substitute 
products or manufacturing processes for such product that do not rely on 
the use of a class I or class II substance, that reduce the overall risk 
to human health and the environment, and that are currently or 
potentially available, the requirements of this subpart shall apply to 
the following:
    (1) All products containing a class II substance.
    (2) All products manufactured with a process that uses a class II 
substance.
    (c) The requirements of this subpart shall not apply to products 
manufactured prior to May 15, 1993, provided that the manufacturer 
submits documentation to EPA upon request showing that the product was 
manufactured prior to that date.



Sec.  82.104  Definitions.

    (a) Class I substance means any substance designated as class I in 
40 CFR part 82, appendix A to subpart A, including chlorofluorocarbons, 
halons, carbon tetrachloride and methyl chloroform and any other 
substance so designated by the Agency at a later date.
    (b) Class II substance means any substance designated as class II in 
40 CFR part 82, appendix A to subpart A, including 
hydrochlorofluorocarbons and any other substance so designated by the 
Agency at a later date.
    (c) Completely destroy means to cause the destruction of a 
controlled substance by one of the destruction processes approved by the 
Parties and listed in Sec.  82.3 at a demonstrable destruction 
efficiency of 98 percent or more or a greater destruction efficiency if 
required under other applicable Federal regulations.
    (d) Consumer means a commercial or non-commercial purchaser of a 
product or container that has been introduced into interstate commerce.
    (e) Container means the immediate vessel in which a controlled 
substance is stored or transported.
    (f) Container containing means a container that physically holds a 
controlled substance within its structure that is intended to be 
transferred to another container, vessel or piece of

[[Page 117]]

equipment in order to realize its intended use.
    (g) Controlled substance means a class I or class II ozone-depleting 
substance.
    (h) Destruction means the expiration of a controlled substance to 
the destruction efficiency actually achieved, unless considered 
completely destroyed as defined in this section. Such destruction might 
result in a commercially useful end product but such usefulness would be 
secondary to the act of destruction. Destruction must be achieved using 
one of the controlled processes approved by the Parties and listed in 
the definition of destruction in Sec.  82.3.
    (i) Distributor means a person to whom a product is delivered or 
sold for purposes of subsequent resale, delivery or export.
    (j) Export means the transport of virgin, used, or recycled class I 
or class II substances or products manufactured or containing class I or 
class II substances from inside the United States or its territories to 
persons outside the United States or its territories, excluding United 
States military bases and ships for on-board use.
    (k) Exporter means the person who contracts to sell class I or class 
II substances or products manufactured with or containing class I or 
class II substances for export or transfers such substances or products 
to his affiliate in another country.
    (l) Import means to land on, bring into, or introduce into, or 
attempt to land on, bring into, or introduce into any place subject to 
the jurisdiction of the United States whether or not such landing, 
bringing, or introduction constitutes an importation within the meaning 
of the customs laws of the United States, with the exception of 
temporary off-loading of products manufactured with or containers 
containing class I or class II substances from a ship are used for 
servicing of that ship.
    (m) Importer means any person who imports a controlled substance, a 
product containing a controlled substance, a product manufactured with a 
controlled substance, or any other chemical substance (including a 
chemical substance shipped as part of a mixture or article), into the 
United States. ``Importer'' includes the person primarily liable for the 
payment of any duties on the merchandise or an authorized agent acting 
on his or her behalf. The term also includes, as appropriate:
    (1) The consignee;
    (2) The importer of record;
    (3) The actual owner if an actual owner's declaration and 
superseding bond has been filed; or
    (4) The transferee, if the right to draw merchandise in a bonded 
warehouse has been transferred.
    (n) Interstate commerce means the distribution or transportation of 
any product between one state, territory, possession or the District of 
Columbia, and another state, territory, possession or the District of 
Columbia, or the sale, use or manufacture of any product in more than 
one state, territory, possession or District of Columbia. The entry 
points for which a product is introduced into interstate commerce are 
the release of a product from the facility in which the product was 
manufactured, the entry into a warehouse from which the domestic 
manufacturer releases the product for sale or distribution, and at the 
site of United States Customs clearance.
    (o) Manufactured with a controlled substance means that the 
manufacturer of the product itself used a controlled substance directly 
in the product's manufacturing, but the product itself does not contain 
more than trace quantities of the controlled substance at the point of 
introduction into interstate commerce. The following situations are 
excluded from the meaning of the phrase ``manufactured with'' a 
controlled substance:
    (1) Where a product has not had physical contact with the controlled 
substance;
    (2) Where the manufacturing equipment or the product has had 
physical contact with a controlled substance in an intermittent manner, 
not as a routine part of the direct manufacturing process;
    (3) Where the controlled substance has been transformed, except for 
trace quantities; or
    (4) Where the controlled substance has been completely destroyed.

[[Page 118]]

    (p) Potentially available means that adequate information exists to 
make a determination that the substitute is technologically feasible, 
environmentally acceptable and economically viable.
    (q) Principal display panel (PDP) means the entire portion of the 
surface of a product, container or its outer packaging that is most 
likely to be displayed, shown, presented, or examined under customary 
conditions of retail sale. The area of the PDP is not limited to the 
portion of the surface covered with existing labeling; rather it 
includes the entire surface, excluding flanges, shoulders, handles, or 
necks.
    (r) Product means an item or category of items manufactured from raw 
or recycled materials, or other products, which is used to perform a 
function or task.
    (s) Product containing means a product including, but not limited 
to, containers, vessels, or pieces of equipment, that physically holds a 
controlled substance at the point of sale to the ultimate consumer which 
remains within the product.
    (t) Promotional printed material means any informational or 
advertising material (including, but not limited to, written 
advertisements, brochures, circulars, desk references and fact sheets) 
that is prepared by the manufacturer for display or promotion concerning 
a product or container, and that does not accompany the product to the 
consumer.
    (u) Retailer means a person to whom a product is delivered or sold, 
if such delivery or sale is for purposes of sale or distribution in 
commerce to consumers who buy such product for purposes other than 
resale.
    (v) Spare parts means those parts that are supplied by a 
manufacturer to another manufacturer, distributor, or retailer, for 
purposes of replacing similar parts with such parts in the repair of a 
product.
    (w) Supplemental printed material means any informational material 
(including, but not limited to, package inserts, fact sheets, invoices, 
material safety data sheets, procurement and specification sheets, or 
other material) which accompanies a product or container to the consumer 
at the time of purchase.
    (x) Transform means to use and entirely consume a class I or class 
II substance, except for trace quantities, by changing it into one or 
more substances not subject to this subpart in the manufacturing process 
of a product or chemical.
    (y) Type size means the actual height of the printed image of each 
capital letter as it appears on a label.
    (z) Ultimate consumer means the first commercial or non-commercial 
purchaser of a container or product that is not intended for re-
introduction into interstate commerce as a final product or as part of 
another product.
    (aa) Warning label means the warning statement required by section 
611 of the Act. The term warning statement shall be synonymous with 
warning label for purposes of this subpart.
    (bb) Waste means, for purposes of this subpart, items or substances 
that are discarded with the intent that such items or substances will 
serve no further useful purpose.
    (cc) Wholesaler means a person to whom a product is delivered or 
sold, if such delivery or sale is for purposes of sale or distribution 
to retailers who buy such product for purposes of resale.

[60 FR 4020, Jan. 19, 1995, as amended at 81 FR 6768, Feb. 9, 2016; 85 
FR 15300, Mar. 17, 2020]



Sec.  82.106  Warning statement requirements.

    (a) Required warning statements. (1) Unless otherwise exempted by 
this subpart, each container or product identified in Sec.  82.102(a) or 
(b) shall bear the following warning statement, meeting the requirements 
of this subpart for placement and form:

    WARNING: Contains [or Manufactured with, if applicable] [insert name 
of substance], a substance which harms public health and environment by 
destroying ozone in the upper atmosphere.
    (2) Each container of fire suppression agent containing HCFC-123 
produced or imported on or after January 1, 2020 shall bear the 
following warning statement, meeting the requirements of this subpart 
for placement and form:

[[Page 119]]

    WARNING: Contains [insert name of substance], a substance which 
harms public health and environment by destroying ozone in the upper 
atmosphere. Use Only for Recharge of Equipment Manufactured before 
January 1, 2020.
    (3) Each container of fire suppression agent containing reclaimed 
HCFC-123 or HCFC-123 that was imported prior to January 1, 2020, shall 
bear the following warning statement, meeting the requirements of this 
subpart for placement and form:
    WARNING: Contains [insert name of substance], a substance which 
harms public health and environment by destroying ozone in the upper 
atmosphere. For use in any equipment.

    (b) Exemptions from warning label requirement. The following 
products need not bear a warning label:
    (1) Products containing trace quantities of a controlled substance 
remaining as a residue or impurity due to a chemical reaction, and where 
the controlled substance serves no useful purpose in or for the product 
itself. However, if such product was manufactured using the controlled 
substance, the product is required to be labeled as a ``product 
manufactured with'' the controlled substance, unless otherwise exempted;
    (2) Containers containing a controlled substance in which trace 
quantities of that controlled substance remain as a residue or impurity;
    (3) Waste containing controlled substances or blends of controlled 
substances bound for discard;
    (4) Products manufactured using methyl chloroform or CFC-113 by 
persons who can demonstrate and certify a 95% reduction in overall usage 
from their 1990 calendar year usage of methyl chloroform or CFC-113 as 
solvents during a twelve (12) month period ending within sixty (60) days 
of such certification or during the most recently completed calendar 
year. In calculating such reduction, persons may subtract from 
quantities used those quantities for which they possess accessible data 
that establishes the amount of methyl chloroform or CFC-113 transformed. 
Such subtraction must be performed for both the applicable twelve month 
period and the 1990 calendar year. If at any time future usage exceeds 
the 95% reduction, all products manufactured with methyl chloroform or 
CFC-113 as solvents by that person must be labeled immediately. No 
person may qualify for this exemption after May 15, 1994;
    (5) Products intended only for export outside of the United States 
shall not be considered ``products introduced into interstate commerce'' 
provided such products are clearly designated as intended for export 
only;
    (6) Products that are otherwise not subject to the requirements of 
this subpart that are being repaired, using a process that uses a 
controlled substance.
    (7) Products, processes, or substitute chemicals undergoing research 
and development, by which a controlled substance is used. Such products 
must be labeled when they are introduced into interstate commerce.
    (c) Interference with other required labeling information. The 
warning statement shall not interfere with, detract from, or mar any 
labeling information required on the labeling by federal or state law.

[60 FR 4020, Jan. 19, 1995, as amended at 85 FR 15300, Mar. 17, 2020]



Sec.  82.108  Placement of warning statement.

    The warning statement shall be placed so as to satisfy the 
requirement of the Act that the warning statement be ``clearly legible 
and conspicuous.'' The warning statement is clearly legible and 
conspicuous if it appears with such prominence and conspicuousness as to 
render it likely to be read and understood by consumers under normal 
conditions of purchase. Such placement includes, but is not limited to, 
the following:
    (a) Display panel placement. For any affected product or container 
that has a display panel that is normally viewed by the purchaser at the 
time of the purchase, the warning statement described in Sec.  82.106 
may appear on any such display panel of the affected product or 
container such that it is ``clearly legible and conspicuous'' at the 
time of the purchase. If the warning statement appears on the principal 
display panel or outer packaging of any such

[[Page 120]]

affected product or container, the warning statement shall qualify as 
``clearly legible and conspicuous,'' as long as the label also fulfills 
all other requirements of this subpart and is not obscured by any outer 
packaging, as required by paragraph (b) of this section. The warning 
statement need not appear on such display panel if either:
    (1) The warning statement appears on the outer packaging of the 
product or container, consistent with paragraph (b) of this section, and 
is clearly legible and conspicuous; or
    (2) The warning statement is placed in a manner consistent with 
paragraph (c) of this section.
    (b) Outer packaging. If the product or container is normally 
packaged, wrapped, or otherwise covered when viewed by the purchaser at 
the time of the purchase the warning statement described in Sec.  82.106 
shall appear on any outer packaging, wrapping or other covering used in 
the retail display of the product or container, such that the warning 
statement is clearly legible and conspicuous at the time of the 
purchase. If the outer packaging has a display panel that is normally 
viewed by the purchaser at the time of the purchase, the warning 
statement shall appear on such display panel. If the warning statement 
so appears on such product's or container's outer packaging, it need not 
appear on the surface of the product or container, as long as the 
statement also fulfills all other requirements of this subpart. The 
warning statement need not appear on such outer packaging if either:
    (1) The warning statement appears on the surface of the product or 
container, consistent with paragraph (a) of this section, and is clearly 
legible and conspicuous through any outer packaging, wrapping or other 
covering used in display; or
    (2) The warning statement is placed in a manner consistent with 
paragraph (c) of this section.
    (c) Alternative placement. The warning statement may be placed on a 
hang tag, tape, card, sticker, invoice, bill of lading, supplemental 
printed material, or similar overlabeling that is securely attached to 
the container, product, outer packaging or display case, or accompanies 
the product containing or manufactured with a controlled substance or a 
container containing class I or class II substances through its sale to 
the consumer or ultimate consumer. For prescription medical products 
that have been found to be essential for patient health by the Food and 
Drug Administration, the warning statement may be placed in supplemental 
printed material intended to be read by the prescribing physician, as 
long as the following statement is placed on the product, its packaging, 
or supplemental printed material intended to be read by the patient: 
``This product contains [insert name of substance], a substance which 
harms the environment by depleting ozone in the upper atmosphere.'' In 
any case, the warning statement must be clearly legible and conspicuous 
at the time of the purchase.
    (d) Products not viewed by the purchaser at the time of purchase. 
Where the purchaser of a product cannot view a product, its packaging or 
alternative labeling such that the warning statement is clearly legible 
and conspicuous at the time of purchase, as specified under paragraphs 
(a), (b), or (c) of this section, the warning statement may be placed in 
the following manner:
    (1) Where promotional printed material is prepared for display or 
distribution, the warning statement may be placed on such promotional 
printed material such that it is clearly legible and conspicuous at the 
time of purchase; or
    (2) The warning statement may be placed on the product, on its outer 
packaging, or on alternative labeling, consistent with paragraphs (a), 
(b), or (c) of this section, such that the warning statement is clearly 
legible and conspicuous at the time of product delivery, if the product 
may be returned by the purchaser at or after the time of delivery or if 
the purchase is not complete until the time of delivery (e.g., products 
delivered C.O.D.).



Sec.  82.110  Form of label bearing warning statement.

    (a) Conspicuousness and contrast. The warning statement shall appear 
in conspicuous and legible type by typography, layout, and color with 
other printed matter on the label. The warning statement shall appear in 
sharp

[[Page 121]]

contrast to any background upon which it appears. Examples of 
combinations of colors which may not satisfy the proposed requirement 
for sharp contrast are: black letters on a dark blue or dark green 
background, dark red letters on a light red background, light red 
letters on a reflective silver background, and white letters on a light 
gray or tan background.
    (b) Name of substance. The name of the class I or class II substance 
to be inserted into the warning statement shall be the standard chemical 
name of the substance as listed in 40 CFR part 82, appendix A to subpart 
A, except that:
    (1) The acronym ``CFC'' may be substituted for 
``chlorofluorocarbon.''
    (2) The acronym ``HCFC'' may be substituted for 
``hydrochlorofluorocarbon.''
    (3) The term ``1,1,1-trichloroethane'' may be substituted for 
``methyl chloroform.''
    (c) Combined statement for multiple controlled substances. If a 
container containing or a product contains or is manufactured with, more 
than one class I or class II substance, the warning statement may 
include the names of all of the substances in a single warning 
statement, provided that the combined statement clearly distinguishes 
which substances the container or product contains and which were used 
in the manufacturing process.
    (d) Format. (1) The warning statement shall be blocked within a 
square or rectangular area, with or without a border. (2) The warning 
statement shall appear in lines that are parallel to the surrounding 
text on the product's PDP, display panel, supplemental printed material 
or promotional printed material.
    (e) Type style. The ratio of the height of a capital letter to its 
width shall be such that the height of the letter is no more than 3 
times its width; the signal word ``WARNING'' shall appear in all capital 
letters.
    (f) Type size. The warning statement shall appear at least as large 
as the type sizes prescribed by this paragraph. The type size refers to 
the height of the capital letters. A larger type size materially 
enhances the legibility of the statement and is desirable.
    (1) Display panel or outer packaging. Minimum type size requirements 
for the warning statement are given in Table 1 to this paragraph and are 
based upon the area of the display panel of the product or container. 
Where the statement is on outer packaging, as well as the display panel 
area, the statement shall appear in the same minimum type size as on the 
display panel.

                                                             Table 1 to Sec.   82.110(f)(1)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                          Area of display panel (sq. in.)
                                                          ----------------------------------------------------------------------------------------------
                                                              0-2     2-5  5-10  10-15  15-30  30
--------------------------------------------------------------------------------------------------------------------------------------------------------
Type size (in.) \1\
    Signal word..........................................     \3/64\        \1/16\          \3/32\            \7/64\             \1/8\          \5/32\
    Statement............................................     \3/64\        \3/64\          \1/16\            \3/32\            \3/32\         \7/64\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Means greater than.
\1\ Minimum height of printed image of letters.

    (2) Alternative placement. The minimum type size for the warning 
statement on any alternative placement which meets the requirements of 
Sec.  82.108(c) is \3/32\ inches for the signal word and \1/16\ of an 
inch for the statement.
    (3) Promotional printed material. The minimum type size for the 
warning statement on promotional printed material is \3/32\ inches for 
the signal word and \1/16\ of an inch for the statement, or the type 
size of any surrounding text, whichever is larger.

[60 FR 4020, Jan. 19, 1995, as amended at 79 FR 64289, Oct. 28, 2014]



Sec.  82.112  Removal of label bearing warning statement.

    (a) Prohibition on removal. Except as described in paragraph (b) or 
(c) of this section, any warning statement that accompanies a product or 
container introduced into interstate commerce, as

[[Page 122]]

required by this subpart, must remain with the product or container and 
any product incorporating such product or container, up to and including 
the point of sale to the ultimate consumer.
    (b) Incorporation of warning statement by subsequent manufacturers. 
A manufacturer of a product that incorporates a product that is 
accompanied by a label bearing the warning statement may remove such 
label from the incorporated product if the information on such label is 
incorporated into a warning statement accompanying the manufacturer's 
product, or if, pursuant to paragraph (c) of this section, the 
manufacturer of the product is not required to pass through the 
information contained on or incorporated in the product's label.
    (c) Manufacturers that incorporate products manufactured with 
controlled substances. A manufacturer that incorporates into its own 
product a component product that was purchased from another 
manufacturer, was manufactured with a process that uses a controlled 
substance(s), but does not contain such substance(s), may remove such 
label from the incorporated product and need not apply a warning 
statement to its own product, if the manufacturer does not use a 
controlled substance in its own manufacturing process. A manufacturer 
that uses controlled substances in its own manufacturing process, and is 
otherwise subject to the regulations of this subpart, must label 
pursuant to Sec.  82.106, but need not include information regrading the 
incorporated product on the required label.
    (d) Manufacturers, distributors, wholesalers, retailers that sell 
spare parts manufactured with controlled substances solely for repair. 
Manufacturers, distributors, wholesalers, and retailers that purchase 
spare parts manufactured with a class I or class II substance from 
another manufacturer or supplier, and sell such spare parts for the sole 
purpose of repair, are not required to pass through an applicable 
warning label if such products are removed from the original packaging 
provided by the manufacturer from whom the products are purchased. 
Manufacturers of the spare parts manufactured with controlled substances 
must still label their products; furthermore, manufacturers, importers, 
and distributors of such products must pass through the labeling 
information as long as products remain assembled and packaged in the 
manner assembled and packaged by the original manufacturer. This 
exemption shall not apply if a spare part is later used for manufacture 
and/or for purposes other than repair.

[60 FR 4020, Jan. 19, 1995, as amended at 79 FR 64289, Oct. 28, 2014]



Sec.  82.114  Compliance by manufacturers and importers with requirements 
for labeling of containers of controlled substances, or products 
containing controlled substances.

    (a) Compliance by manufacturers and importers with requirements for 
labeling of containers of controlled substances, or products containing 
controlled substances. Each manufacturer of a product incorporating 
another product or container containing a controlled substance, to which 
Sec.  82.102 (a)(1), or, (a)(2) or (b)(1) applies, that is purchased or 
obtained from another manufacturer or supplier, is required to pass 
through and incorporate the labeling information that accompanies such 
incorporated product in a warning statement accompanying the 
manufacturer's finished product. Each importer of a product, or 
container containing a controlled substance, to which Sec.  82.102 
(a)(1), (a)(2), or (b)(1) applies, including a component product or 
container incorporated into the product, that is purchased from a 
foreign manufacturer or supplier, is required to apply a label, or to 
ensure that a label has been properly applied, at the site of U.S. 
Customs clearance.
    (b) Reliance on reasonable belief. The manufacturer or importer of a 
product that incorporates another product container from another 
manufacturer or supplier may rely on the labeling information (or lack 
thereof) that it receives with the product, and is not required to 
independently investigate whether the requirements of this subpart are 
applicable to such purchased product or container, as long as the 
manufacturer reasonably believes that the supplier or foreign 
manufacturer is reliably and accurately complying with the requirements 
of this subpart.

[[Page 123]]

    (c) Contractual obligations. A manufacturer's or importer's 
contractual relationship with its supplier under which the supplier is 
required to accurately label, consistent with the requirements of this 
subpart, any products containing a controlled substance or containers of 
a controlled substance that are supplied to the manufacturer or 
importer, is evidence of reasonable belief.



Sec.  82.116  Compliance by manufacturers or importers incorporating products 
manufactured with controlled substances.

    (a) Compliance by manufacturers or importers incorporating products 
manufactured with controlled substances, or importing products 
manufactured with controlled substances. Each manufacturer or importer 
of a product incorporating another product to which Sec.  82.102 (a)(3) 
or (b)(2) applies, that is purchased from another manufacturer or 
supplier, is not required to pass through and incorporate the labeling 
information that accompanies such incorporated product in a warning 
statement accompanying the manufacturer's or importer's finished 
product. Importers of products to which Sec.  82.102 (a)(3) or (b)(2) 
applies are required to apply a label, or to ensure that a label has 
been properly applied at the site of U.S. Customs clearance.
    (b) Reliance on reasonable belief. The importer of a product 
purchased or obtained from a foreign manufacturer or supplier, which 
product may have been manufactured with a controlled substance, may rely 
on the information that it receives with the purchased product, and is 
not required to independently investigate whether the requirements of 
this subpart are applicable to the purchased or obtained product, as 
long as the importer reasonably believes that there was no use of 
controlled substances by the final manufacturer of the product being 
imported.
    (c) Contractual obligations. An importer's contractual relationship 
with its supplier under which the supplier is required to accurately 
label, consistent with the requirements of this subpart, any products 
manufactured with a controlled substance that are supplied to the 
importer, or to certify to the importer whether a product was or was not 
manufactured with a controlled substance is evidence of reasonable 
belief.



Sec.  82.118  Compliance by wholesalers, distributors and retailers.

    (a) Requirement of compliance by wholesalers, distributors and 
retailers. All wholesalers, distributors and retailers of products or 
containers to which this subpart applies are required to pass through 
the labeling information that accompanies the product, except those 
purchasing from other manufacturers or suppliers spare parts 
manufactured with controlled substances and selling those parts for the 
demonstrable sole purpose of repair.
    (b) Reliance on reasonable belief. The wholesaler, distributor or 
retailer of a product may rely on the labeling information that it 
receives with the product or container, and is not required to 
independently investigate whether the requirements of this subpart are 
applicable to the product or container, as long as the wholesaler, 
distributor or retailer reasonably believes that the supplier of the 
product or container is reliably and accurately complying with the 
requirements of this subpart.
    (c) Contractual obligations. A wholesaler, distributor or retailer's 
contractual relationship with its supplier under which the supplier is 
required to accurately label, consistent with the requirements of this 
subpart, any products manufactured with a controlled substance that are 
supplied to the wholesaler, distributor or retailer is evidence of 
reasonable belief.



Sec.  82.120  Petitions.

    (a) Requirements for procedure and timing. Persons seeking to apply 
the requirements of this regulation to a product containing a class II 
substance or a product manufactured with a class I or a class II 
substance which is not otherwise subject to the requirements, or to 
temporarily exempt a product manufactured with a class I substance, 
based on a showing of a lack of currently or potentially available 
alternatives, from the requirements of this regulation may submit 
petitions to: Labeling Program Manager, Stratospheric Protection 
Division, Office of

[[Page 124]]

Atmospheric Programs, U.S. Environmental Protection Agency, 6202-J, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. Such persons must label 
their products while such petitions are under review by the Agency.
    (b) Requirement for adequate data. Any petition submitted under 
paragraph (a) of this section shall be accompanied by adequate data, as 
defined in Sec.  82.120(c). If adequate data are not included by the 
petitioner, the Agency may return the petition and request specific 
additional information.
    (c) Adequate data. A petition shall be considered by the Agency to 
be supported by adequate data if it includes all of the following:
    (1) A part clearly labeled ``Section I.A.'' which contains the 
petitioner's full name, company or organization name, address and 
telephone number, the product that is the subject of the petition, and, 
in the case of a petition to temporarily exempt a product manufactured 
with a class I substance from the labeling requirement, the manufacturer 
or manufacturers of that product.
    (2) For petitions to temporarily exempt a product manufactured with 
a class I substance only, a part clearly labeled ``Section I.A.T.'' 
which states the length of time for which an exemption is requested.
    (3) A part clearly labeled ``Section I.B.'' which includes the 
following statement, signed by the petitioner or an authorized 
representative:
    ``I certify under penalty of law that I have personally examined and 
am familiar with the information submitted in this petition and all 
attached documents, and that, based on my inquiry of those individuals 
immediately responsible for obtaining the information, I believe that 
the submitted information is true, accurate, and complete. I am aware 
that there are significant penalties for submitting false information.''
    (4) A part clearly labeled ``Section I.C.'' which fully explains the 
basis for the petitioner's request that EPA add the labeling 
requirements to or remove them from the product which is the subject of 
the petition, based specifically upon the technical facility or 
laboratory tests, literature, or economic analysis described in 
paragraphs (c) (5), (6) and (7) of this section.
    (5) A part clearly labeled ``Section II.A.'' which fully describes 
any technical facility or laboratory tests used to support the 
petitioner's claim.
    (6) A part clearly labeled ``Section II.B.'' which fully explains 
any values taken from literature or estimated on the basis of known 
information that are used to support the petitioner's claim.
    (7) A part clearly labeled ``Section II.C.'' which fully explains 
any economic analysis used to support the petitioner's claim.
    (d) Criteria for evaluating petitions. Adequate data in support of 
any petition to the Agency to add a product to the labeling requirement 
or temporarily remove a product from the labeling requirement will be 
evaluated based upon a showing of sufficient quality and scope by the 
petitioner of whether there are or are not substitute products or 
manufacturing processes for such product:
    (1) That do not rely on the use of such class I or class II 
substance;
    (2) That reduce the overall risk to human health and the 
environment; and
    (3) That are currently or potentially available.
    (e) Procedure for acceptance or denial of petition. (1) If a 
petition submitted under this section contains adequate data, as defined 
under paragraph (c) of this section, the Agency shall within 180 days 
after receiving the complete petition either accept the petition or deny 
the petition.
    (2) If the Agency makes a decision to accept a petition to apply the 
requirements of this regulation to a product containing or manufactured 
with a class II substance, the Agency will notify the petitioner and 
publish a proposed rule in the Federal Register to apply the labeling 
requirements to the product.
    (3) If the Agency makes a decision to deny a petition to apply the 
requirements of this regulation to a product containing or manufactured 
with a class II substance, the Agency will notify the petitioner and 
publish an explanation of the petition denial in the Federal Register.

[[Page 125]]

    (4) If the Agency makes a decision to accept a petition to 
temporarily exempt a product manufactured with a class I substance from 
the requirements of this regulation, the Agency will notify the 
petitioner and publish a proposed rule in the Federal Register to 
temporarily exempt the product from the labeling requirements. Upon 
notification by the Agency, such manufacturer may immediately cease its 
labeling process for such exempted products.
    (5) If the Agency makes a decision to deny a petition to temporarily 
exempt a product manufactured with a class I substance from the 
requirements of this regulation, the Agency will notify the petitioner 
and may, in appropriate circumstances, publish an explanation of the 
petition denial in the Federal Register.



Sec.  82.122  Certification, recordkeeping, and notice requirements.

    (a) Certification. (1) Persons claiming the exemption provided in 
Sec.  82.106(b)(4) must submit a written certification to the following 
address: Labeling Program Manager, Stratospheric Protection Division, 
Office of Atmospheric Programs, 6205-T, 1200 Pennsylvania Ave. NW., 
Washington DC 20460.
    (2) The certification must contain the following information:
    (i) The exact location of documents verifying calendar year 1990 
usage and the 95% reduced usage during a twelve month period;
    (ii) A description of the records maintained at that location;
    (iii) A description of the type of system used to track usage;
    (iv) An indication of which 12 month period reflects the 95% reduced 
usage, and;
    (v) Name, address, and telephone number of a contact person.
    (3) Persons who submit certifications postmarked on or before May 
15, 1993, need not place warning labels on their products manufactured 
using CFC-113 or methyl chloroform as a solvent. Persons who submit 
certifications postmarked after May 15, 1993, must label their products 
manufactured using CFC-113 or methyl chloroform as a solvent for 14 days 
following such submittal of the certification.
    (4) Persons certifying must also include a statement that indicates 
their future annual use will at no time exceed 5% of their 1990 usage.
    (5) Certifications must be signed by the owner or a responsible 
corporate officer.
    (6) If the Administrator determines that a person's certification is 
incomplete or that information supporting the exemption is inadequate, 
then products manufactured using CFC-113 or methyl chloroform as a 
solvent by such person must be labeled pursuant to Sec.  82.106(a).
    (b) Recordkeeping. Persons claiming the exemption under section 
82.106(b)(2) must retain supporting documentation at one of their 
facilities.
    (c) Notice Requirements. Persons who claim an exemption under Sec.  
82.106(b)(2) must submit a notice to the address in paragraph (a)(1) of 
this section within 30 days of the end of any 12 month period in which 
their usage of CFC-113 or methyl chloroform used as a solvent exceeds 
the 95% reduction from calendar year 1990.

[60 FR 4020, Jan. 19, 1995, as amended at 79 FR 64289, Oct. 28, 2014]



Sec.  82.124  Prohibitions.

    (a) Warning statement--(1) Absence or presence of warning statement. 
(i) Applicable May 15, 1993, except as indicated in paragraph (a)(5) of 
this section, no container or product identified in Sec.  82.102(a) may 
be introduced into interstate commerce unless it bears a warning 
statement that complies with the requirements of Sec.  82.106(a) of this 
subpart, unless such labeling is not required under Sec.  82.102(c), 
Sec.  82.106(b), Sec.  82.112 (c) or (d), Sec.  82.116(a), Sec.  
82.118(a), or temporarily exempted pursuant to Sec.  82.120.
    (ii) On January 1, 2015, or any time between May 15, 1993 and 
January 1, 2015 that the Administrator determines for a particular 
product manufactured with or containing a class II substance that there 
are substitute products or manufacturing processes for such product that 
do not rely on the use of a class I or class II substance, that reduce 
the overall risk to human health and the environment, and that are 
currently or potentially available, no product identified in Sec.  
82.102(b) may be

[[Page 126]]

introduced into interstate commerce unless it bears a warning statement 
that complies with the requirements of Sec.  82.106, unless such 
labeling is not required under Sec.  82.106(b), Sec.  82.112 (c) or (d), 
Sec.  82.116(a) or Sec.  82.118(a).
    (2) Placement of warning statement. (i) On May 15, 1993, except as 
indicated in paragraph (a)(5) of this section, no container or product 
identified in Sec.  82.102(a) may be introduced into interstate commerce 
unless it bears a warning statement that complies with the requirements 
of Sec.  82.108 of this subpart, unless such labeling is not required 
under Sec.  82.102(c), Sec.  82.106(b), Sec.  82.112 (c) or (d), Sec.  
82.116(a), Sec.  82.118(a), or temporarily exempted pursuant to Sec.  
82.120.
    (ii) On January 1, 2015, or any time between May 15, 1993 and 
January 1, 2015 that the Administrator determines for a particular 
product manufactured with or containing a class II substance that there 
are substitute products or manufacturing processes for such product that 
do not rely on the use of a class I or class II substance, that reduce 
the overall risk to human health and the environment, and that are 
currently or potentially available, no product identified in Sec.  
82.102(b) may be introduced into interstate commerce unless it bears a 
warning statement that complies with the requirements of Sec.  82.108 of 
this subpart, unless such labeling is not required under Sec.  
82.106(b), Sec.  82.112 (c) or (d), Sec.  82.116(a) or Sec.  82.118(a).
    (3) Form of label bearing warning statement. (i) Applicable May 15, 
1993, except as indicated in paragraph (a)(5) of this section, no 
container or product identified in Sec.  82.102(a) may be introduced 
into interstate commerce unless it bears a warning statement that 
complies with the requirements of Sec.  82.110, unless such labeling is 
not required pursuant to Sec.  82.102(c), Sec.  82.106(b), Sec.  82.112 
(c) or (d), Sec.  82.116(a), Sec.  82.118(a), or temporarily exempted 
pursuant to Sec.  82.120.
    (ii) On January 1, 2015, or any time between May 15, 1993 and 
January 1, 2015 that the Agency determines for a particular product 
manufactured with or containing a class II substance, that there are 
substitute products or manufacturing processes that do not rely on the 
use of a class I or class II substance, that reduce the overall risk to 
human health and the environment, and that are currently or potentially 
available, no product identified in Sec.  82.102(b) may be introduced 
into interstate commerce unless it bears a warning statement that 
complies with the requirements of Sec.  82.110, unless such labeling is 
not required pursuant to Sec.  82.106(b), Sec.  82.112 (c) or (d), Sec.  
82.116(a), or Sec.  82.118(a).
    (4) On or after May 15, 1993, no person may modify, remove or 
interfere with any warning statement required by this subpart, except as 
described in Sec.  82.112.
    (5) In the case of any substance designated as a class I or class II 
substance after February 11, 1993, the prohibitions in paragraphs 
(a)(1)(i), (a)(2)(i), and (a)(3)(i) of this section shall be applicable 
one year after the designation of such substance as a class I or class 
II substance unless otherwise specified in the designation.



               Subpart F_Recycling and Emissions Reduction

    Source: 58 FR 28712, May 14, 1993, unless otherwise noted.



Sec.  82.150  Purpose and scope.

    (a) The purpose of this subpart is to reduce emissions of class I 
and class II refrigerants and their non-exempt substitutes to the lowest 
achievable level by maximizing the recapture and recycling of such 
refrigerants during the maintenance, service, repair, and disposal of 
appliances and restricting the sale of refrigerants consisting in whole 
or in part of a class I or class II ozone-depleting substance or their 
non-exempt substitutes in accordance with Title VI of the Clean Air Act.
    (b) This subpart applies to any person maintaining, servicing, or 
repairing appliances containing class I, class II or non-exempt 
substitute refrigerants. This subpart also applies to persons disposing 
of such appliances (including small appliances and motor vehicle air 
conditioners), refrigerant reclaimers, technician certifying programs, 
appliance owners and operators, manufacturers of appliances, 
manufacturers of recovery and/or recycling equipment, approved recovery 
and/or recycling equipment testing organizations, and persons buying, 
selling, or offering to

[[Page 127]]

sell class I, class II, or non-exempt substitute refrigerants.

[81 FR 82349, Nov. 11, 2016]



Sec.  82.152  Definitions.

    Appliance means any device which contains and uses a class I or 
class II substance or substitute as a refrigerant and which is used for 
household or commercial purposes, including any air conditioner, motor 
vehicle air conditioner, refrigerator, chiller, or freezer. For a system 
with multiple circuits, each independent circuit is considered a 
separate appliance.
    Apprentice means any person who is currently registered as an 
apprentice in maintenance, service, repair, or disposal of appliances 
with the U.S. Department of Labor's Office of Apprenticeship (or a State 
Apprenticeship Council recognized by the Office of Apprenticeship). A 
person may only be an apprentice for two years from the date of first 
registering with that office.
    Approved equipment testing organization means any organization which 
has applied for and received approval from the Administrator pursuant to 
Sec.  82.160.
    Batch means a single bulk cylinder of refrigerant after all 
reclamation has been completed prior to packaging or shipping to the 
market.
    Class I refers to an ozone-depleting substance that is listed in 40 
CFR part 82 subpart A, appendix A.
    Class II refers to an ozone-depleting substance that is listed in 40 
CFR part 82 subpart A, appendix B.
    Certified refrigerant recovery or recycling equipment means 
equipment manufactured before November 15, 1993, that meets the 
standards in Sec.  82.158(c), (e), or (g); equipment certified by an 
approved equipment testing organization to meet the standards in Sec.  
82.158(b), (d), or (f); or equipment certified pursuant to Sec.  
82.36(a).
    Comfort cooling means the air-conditioning appliances used to 
provide cooling in order to control heat and/or humidity in occupied 
facilities including but not limited to residential, office, and 
commercial buildings. Comfort cooling appliances include but are not 
limited to chillers, commercial split systems, and packaged roof-top 
units.
    Commercial refrigeration means the refrigeration appliances used in 
the retail food and cold storage warehouse sectors. Retail food 
appliances include the refrigeration equipment found in supermarkets, 
convenience stores, restaurants and other food service establishments. 
Cold storage includes the refrigeration equipment used to store meat, 
produce, dairy products, and other perishable goods.
    Component means a part of the refrigerant circuit within an 
appliance including, but not limited to, compressors, condensers, 
evaporators, receivers, and all of its connections and subassemblies.
    Custom-built means that the industrial process equipment or any of 
its components cannot be purchased and/or installed without being 
uniquely designed, fabricated and/or assembled to satisfy a specific set 
of industrial process conditions.
    Disposal means the process leading to and including:
    (1) The discharge, deposit, dumping or placing of any discarded 
appliance into or on any land or water;
    (2) The disassembly of any appliance for discharge, deposit, dumping 
or placing of its discarded component parts into or on any land or 
water;
    (3) The vandalism of any appliance such that the refrigerant is 
released into the environment or would be released into the environment 
if it had not been recovered prior to the destructive activity;
    (4) The disassembly of any appliance for reuse of its component 
parts; or
    (5) The recycling of any appliance for scrap.
    Follow-up verification test means those tests that involve checking 
the repairs to an appliance after a successful initial verification test 
and after the appliance has returned to normal operating characteristics 
and conditions to verify that the repairs were successful. Potential 
methods for follow-up verification tests include, but are not limited 
to, the use of soap bubbles as appropriate, electronic or ultrasonic 
leak detectors, pressure or vacuum tests, fluorescent dye and black 
light, infrared or near infrared tests, and handheld gas detection 
devices.

[[Page 128]]

    Full charge means the amount of refrigerant required for normal 
operating characteristics and conditions of the appliance as determined 
by using one or a combination of the following four methods:
    (1) Use of the equipment manufacturer's determination of the full 
charge;
    (2) Use of appropriate calculations based on component sizes, 
density of refrigerant, volume of piping, and other relevant 
considerations;
    (3) Use of actual measurements of the amount of refrigerant added to 
or evacuated from the appliance, including for seasonal variances; and/
or
    (4) Use of an established range based on the best available data 
regarding the normal operating characteristics and conditions for the 
appliance, where the midpoint of the range will serve as the full 
charge.
    High-pressure appliance means an appliance that uses a refrigerant 
with a liquid phase saturation pressure between 170 psia and 355 psia at 
104 [deg]F. Examples include but are not limited to appliances using R-
22, R-407A, R-407C, R-410A, and R-502.
    Industrial process refrigeration means complex customized appliances 
that are directly linked to the processes used in, for example, the 
chemical, pharmaceutical, petrochemical, and manufacturing industries. 
This sector also includes industrial ice machines, appliances used 
directly in the generation of electricity, and ice rinks. Where one 
appliance is used for both industrial process refrigeration and other 
applications, it will be considered industrial process refrigeration 
equipment if 50 percent or more of its operating capacity is used for 
industrial process refrigeration.
    Industrial process shutdown means when an industrial process or 
facility temporarily ceases to operate or manufacture whatever is being 
produced at that facility.
    Initial verification test means those leak tests that are conducted 
after the repair is finished to verify that a leak or leaks have been 
repaired before refrigerant is added back to the appliance.
    Leak inspection means the examination of an appliance to determine 
the location of refrigerant leaks. Potential methods include, but are 
not limited to, ultrasonic tests, gas-imaging cameras, bubble tests as 
appropriate, or the use of a leak detection device operated and 
maintained according to manufacturer guidelines. Methods that determine 
whether the appliance is leaking refrigerant but not the location of a 
leak, such as standing pressure/vacuum decay tests, sight glass checks, 
viewing receiver levels, pressure checks, and charging charts, must be 
used in conjunction with methods that can determine the location of a 
leak.
    Leak rate means the rate at which an appliance is losing 
refrigerant, measured between refrigerant charges. The leak rate is 
expressed in terms of the percentage of the appliance's full charge that 
would be lost over a 12-month period if the current rate of loss were to 
continue over that period. The rate must be calculated using one of the 
following methods. The same method must be used for all appliances 
subject to the leak repair requirements located at an operating 
facility.
    (1) Annualizing Method. (i) Step 1. Take the number of pounds of 
refrigerant added to the appliance to return it to a full charge, 
whether in one addition or if multiple additions related to same leak, 
and divide it by the number of pounds of refrigerant the appliance 
normally contains at full charge;
    (ii) Step 2. Take the shorter of the number of days that have passed 
since the last day refrigerant was added or 365 days and divide that 
number by 365 days;
    (iii) Step 3. Take the number calculated in Step 1 and divide it by 
the number calculated in Step 2; and
    (iv) Step 4. Multiply the number calculated in Step 3 by 100 to 
calculate a percentage. This method is summarized in the following 
formula:

[[Page 129]]

[GRAPHIC] [TIFF OMITTED] TR18NO16.074

    (2) Rolling Average Method. (i) Step 1. Take the sum of the pounds 
of refrigerant added to the appliance over the previous 365-day period 
(or over the period that has passed since the last successful follow-up 
verification test showing all identified leaks in the appliance were 
repaired, if that period is less than one year);
    (ii) Step 2. Divide the result of Step 1 by the pounds of 
refrigerant the appliance normally contains at full charge; and
    (iii) Step 3. Multiply the result of Step 2 by 100 to obtain a 
percentage. This method is summarized in the following formula:
[GRAPHIC] [TIFF OMITTED] TR18NO16.075

    Low-loss fitting means any device that is intended to establish a 
connection between hoses, appliances, or recovery and/or recycling 
machines and that is designed to close automatically or to be closed 
manually when disconnected, minimizing the release of refrigerant from 
hoses, appliances, and recovery and/or recycling machines.
    Low-pressure appliance means an appliance that uses a refrigerant 
with a liquid phase saturation pressure below 45 psia at 104 [deg]F. 
Examples include but are not limited to appliances using R-11, R-123, R-
113, and R-245fa.
    Major maintenance, service, or repair means any maintenance, 
service, or repair that involves the removal of any or all of the 
following appliance components: compressor, condenser, evaporator, or 
auxiliary heat exchange coil; or any maintenance, service, or repair 
that involves uncovering an opening of more than four (4) square inches 
of ``flow area'' for more than 15 minutes.
    Medium-pressure appliance means an appliance that uses a refrigerant 
with a liquid phase saturation pressure between 45 psia and 170 psia at 
104 [deg]F. Examples include but are not limited to appliances using R-
114, R-124, R-12, R-134a, and R-500.
    Mothball means to evacuate refrigerant from an appliance, or the 
affected isolated section or component of an appliance, to at least 
atmospheric pressure, and to temporarily shut down that appliance.
    Motor vehicle air conditioner (MVAC) means any appliance that is a 
motor vehicle air conditioner as defined in 40 CFR part 82, subpart B.
    MVAC-like appliance means a mechanical vapor compression, open-drive 
compressor appliance with a full charge of 20 pounds or less of 
refrigerant used to cool the driver's or passenger's compartment of off-
road vehicles or equipment. This includes, but is not limited to, the 
air-conditioning equipment found on agricultural or construction 
vehicles. This definition is not intended to cover appliances using R-22 
refrigerant.
    Normal operating characteristics and conditions means appliance 
operating temperatures, pressures, fluid flows, speeds, and other 
characteristics, including full charge of the appliance, that would be 
expected for a given process load and ambient condition during normal 
operation. Normal operating characteristics and conditions are marked by 
the absence of atypical

[[Page 130]]

conditions affecting the operation of the appliance.
    One-time expansion device means an appliance that relies on the 
release of its refrigerant charge to the environment in order to provide 
a cooling effect. These are typically single releases but could also 
include products that are designed to release refrigerant to the 
environment through multiple individual charges.
    Opening an appliance means any maintenance, service, repair, or 
disposal of an appliance that would release any refrigerant in the 
appliance to the atmosphere. Connecting and disconnecting hoses and 
gauges to measure pressures, add refrigerant, or recover refrigerant 
from the appliance are not considered ``opening an appliance.''
    Parent company means an individual, corporation, partnership, 
association, joint-stock company, or an unincorporated organization that 
can direct or cause the direction of management and policies of another 
entity, through the ownership of shares or otherwise.
    Person means any individual or legal entity, including an 
individual, corporation, partnership, association, state, municipality, 
political subdivision of a state, Indian tribe, and any agency, 
department, or instrumentality of the United States, and any officer, 
agent, or employee thereof.
    Process stub means a length of tubing that provides access to the 
refrigerant inside a small appliance or room air conditioner and that 
can be resealed at the conclusion of repair or service.
    Reclaim means to reprocess recovered refrigerant to all of the 
specifications in appendix A of this subpart (based on AHRI Standard 
700-2016, Specifications for Refrigerants) that are applicable to that 
refrigerant and to verify that the refrigerant meets these 
specifications using the analytical methodology prescribed in section 5 
of appendix A of this subpart.
    Recover means to remove refrigerant in any condition from an 
appliance and to store it in an external container without necessarily 
testing or processing it in any way.
    Recovery efficiency means the percentage of refrigerant in an 
appliance that is recovered by a piece of recovery and/or recycling 
equipment.
    Recycle, when referring to refrigerant, means to extract refrigerant 
from an appliance (except MVACs) and clean it for reuse in equipment of 
the same owner without meeting all of the requirements for reclamation. 
In general, recycled refrigerant is cleaned using oil separation and 
single or multiple passes through devices, such as replaceable core 
filter-driers, which reduce moisture, acidity, and particulate matter.
    Refrigerant means, for purposes of this subpart, any substance, 
including blends and mixtures, consisting in part or whole of a class I 
or class II ozone-depleting substance or substitute that is used for 
heat transfer purposes and provides a cooling effect.
    Refrigerant circuit means the parts of an appliance that are 
normally connected to each other (or are separated only by internal 
valves) and are designed to contain refrigerant.
    Retire, when referring to an appliance, means the removal of the 
refrigerant and the disassembly or impairment of the refrigerant circuit 
such that the appliance as a whole is rendered unusable by any person in 
the future.
    Retrofit means to convert an appliance from one refrigerant to 
another refrigerant. Retrofitting includes the conversion of the 
appliance to achieve system compatibility with the new refrigerant and 
may include, but is not limited to, changes in lubricants, gaskets, 
filters, driers, valves, o-rings or appliance components.
    Seasonal variance means the removal of refrigerant from an appliance 
due to a change in ambient conditions caused by a change in season, 
followed by the subsequent addition of an amount that is less than or 
equal to the amount of refrigerant removed in the prior change in 
season, where both the removal and addition of refrigerant occurs within 
one consecutive 12-month period.
    Self-contained recovery equipment means refrigerant recovery and/or 
recycling equipment that is capable of removing the refrigerant from an 
appliance without the assistance of components contained in the 
appliance.

[[Page 131]]

    Self-sealing valve means a valve affixed to a container of 
refrigerant that automatically seals when not dispensing refrigerant and 
meets or exceeds established performance criteria as identified in Sec.  
82.154(c)(2).
    Small appliance means any appliance that is fully manufactured, 
charged, and hermetically sealed in a factory with five (5) pounds or 
less of refrigerant, including, but not limited to, refrigerators and 
freezers (designed for home, commercial, or consumer use), medical or 
industrial research refrigeration equipment, room air conditioners 
(including window air conditioners, portable air conditioners, and 
packaged terminal air heat pumps), dehumidifiers, under-the-counter ice 
makers, vending machines, and drinking water coolers.
    Substitute means any chemical or product, whether existing or new, 
that is used as a refrigerant to replace a class I or II ozone-depleting 
substance. Examples include, but are not limited to hydrofluorocarbons, 
perfluorocarbons, hydrofluoroolefins, hydrofluoroethers, hydrocarbons, 
ammonia, carbon dioxide, and blends thereof. As used in this subpart, 
the term ``exempt substitutes'' refers to certain substitutes when used 
in certain end-uses that are specified in Sec.  82.154(a)(1) as exempt 
from the venting prohibition and the requirements of this subpart, and 
the term ``non-exempt substitutes'' refers to all other substitutes and 
end-uses not so specified in Sec.  82.154(a)(1).
    System-dependent recovery equipment means refrigerant recovery 
equipment that requires the assistance of components contained in an 
appliance to remove the refrigerant from the appliance.
    System receiver means the isolated portion of the appliance, or a 
specific vessel within the appliance, that is used to hold the 
refrigerant charge during the servicing or repair of that appliance.
    Technician means any person who in the course of maintenance, 
service, or repair of an appliance (except MVACs) could be reasonably 
expected to violate the integrity of the refrigerant circuit and 
therefore release refrigerants into the environment. Technician also 
means any person who in the course of disposal of an appliance (except 
small appliances, MVACs, and MVAC-like appliances) could be reasonably 
expected to violate the integrity of the refrigerant circuit and 
therefore release refrigerants from the appliances into the environment. 
Activities reasonably expected to violate the integrity of the 
refrigerant circuit include but are not limited to: Attaching or 
detaching hoses and gauges to and from the appliance; adding or removing 
refrigerant; adding or removing components; and cutting the refrigerant 
line. Activities such as painting the appliance, rewiring an external 
electrical circuit, replacing insulation on a length of pipe, or 
tightening nuts and bolts are not reasonably expected to violate the 
integrity of the refrigerant circuit. Activities conducted on appliances 
that have been properly evacuated pursuant to Sec.  82.156 are not 
reasonably expected to release refrigerants unless the activity includes 
adding refrigerant to the appliance. Technicians could include but are 
not limited to installers, contractor employees, in-house service 
personnel, and owners and/or operators of appliances.
    Very high-pressure appliance means an appliance that uses a 
refrigerant with a critical temperature below 104 [deg]F or with a 
liquid phase saturation pressure above 355 psia at 104 [deg]F. Examples 
include but are not limited to appliances using R-13, R-23, R-503, R-
508A, and R-508B.

[58 FR 28712, May 14, 1993, as amended at 59 FR 42956, Aug. 19, 1994; 59 
FR 55925, Nov. 9, 1994; 60 FR 40439, Aug. 8, 1995; 68 FR 43806, July 24, 
2003; 69 FR 11978, Mar. 12, 2004; 70 FR 1991, Jan. 11, 2005; 70 FR 
19278, Apr. 13, 2005; 81 FR 82349, Nov. 18, 2016]



Sec.  82.154  Prohibitions.

    (a) Venting prohibition. (1) No person maintaining, servicing, 
repairing, or disposing of an appliance or industrial process 
refrigeration may knowingly vent or otherwise release into the 
environment any refrigerant from such appliances. Notwithstanding any 
other provision of this subpart, the following substitutes in the 
following end-uses are exempt from this prohibition and from the 
requirements of this subpart:
    (i) Carbon dioxide in any application;

[[Page 132]]

    (ii) Nitrogen in any application;
    (iii) Water in any application;
    (iv) Ammonia in commercial or industrial process refrigeration or in 
absorption units;
    (v) Chlorine in industrial process refrigeration (processing of 
chlorine and chlorine compounds);
    (vi) Hydrocarbons in industrial process refrigeration (processing of 
hydrocarbons);
    (vii) Ethane (R-170) in very low temperature refrigeration equipment 
and equipment for non-mechanical heat transfer;
    (viii) Propane (R-290) in retail food refrigerators and freezers 
(stand-alone units only); household refrigerators, freezers, and 
combination refrigerators and freezers; self-contained room air 
conditioners for residential and light commercial air-conditioning and 
heat pumps; vending machines; and effective January 3, 2017, self-
contained commercial ice machines, very low temperature refrigeration 
equipment, and water coolers;
    (ix) Isobutane (R-600a) in retail food refrigerators and freezers 
(stand-alone units only); household refrigerators, freezers, and 
combination refrigerators and freezers; and vending machines;
    (x) R-441A in retail food refrigerators and freezers (stand-alone 
units only); household refrigerators, freezers, and combination 
refrigerators and freezers; self-contained room air conditioners for 
residential and light commercial air-conditioning; heat pumps; and 
vending machines.
    (2) De minimis releases associated with good faith attempts to 
recycle or recover refrigerants are not subject to this prohibition. 
Except for exempt substitutes, refrigerant releases are de minimis only 
if they occur when:
    (i) The applicable practices in Sec. Sec.  82.155 and 82.156 are 
observed, the applicable practices in Sec.  82.157 are observed for 
appliances that contain any class I or class II refrigerant or blend 
containing a class I or class II refrigerant, recovery and/or recycling 
machines that meet the requirements in Sec.  82.158 are used whenever 
refrigerant is removed from an appliance, the technician certification 
provisions in Sec.  82.161 are observed, and the reclamation 
requirements in Sec.  82.164 are observed; or
    (ii) The requirements in subpart B of this part are observed.
    (3) The knowing release of a class I or class II refrigerant or a 
non-exempt substitute refrigerant after its recovery from an appliance 
is a violation of the venting prohibition.
    (b) No person may maintain, service, repair, or dispose of an 
appliance containing a class I or class II refrigerant or a non-exempt 
substitute refrigerant without:
    (1) Observing the applicable practices in Sec.  82.155, Sec.  
82.156, and Sec.  82.157; and
    (2) Using recovery and/or recycling equipment that is certified for 
that type of refrigerant and appliance under Sec.  82.158.
    (c) Sales Restriction. (1) No person may sell or distribute, or 
offer for sale or distribution, any substance that consists in whole or 
in part of a class I or class II substance or, starting on January 1, 
2018, any non-exempt substitute for use as a refrigerant unless:
    (i) The buyer has been certified as a Type I, Type II, Type III, or 
Universal technician under Sec.  82.161;
    (ii) The buyer employs at least one technician who is certified as a 
Type I, Type II, Type III, or Universal technician under Sec.  82.161 
and provides proof of such to the seller;
    (iii) The buyer has been certified in accordance with 40 CFR part 
82, subpart B and the refrigerant is acceptable for use in MVACs under 
40 CFR part 82, subpart G;
    (iv) The buyer employs at least one person who is certified under 40 
CFR part 82, subpart B, and provides proof of such to the seller and the 
refrigerant is acceptable for use in MVACs under 40 CFR part 82, subpart 
G. Nothing in this provision relieves persons of the requirements of 
Sec.  82.34(b) or Sec.  82.42(b);
    (v) The refrigerant is sold only for eventual resale to persons 
certified under Sec.  82.161 or 40 CFR part 82, subpart B or to 
appliance manufacturers (e.g., sold by a manufacturer to a wholesaler, 
sold by a technician to a reclaimer);
    (vi) The refrigerant is sold to an appliance manufacturer;
    (vii) The refrigerant is contained in an appliance with a fully 
assembled refrigerant circuit or an appliance component;

[[Page 133]]

    (viii) The refrigerant is charged into an appliance by a certified 
technician or an apprentice during maintenance, service, or repair of 
the appliance; or
    (ix) The non-exempt substitute refrigerant is intended for use in an 
MVAC and is sold in a container designed to hold two pounds or less of 
refrigerant, has a unique fitting, and, if manufactured or imported on 
or after January 1, 2018, has a self-sealing valve that complies with 
the requirements of paragraph (c)(2) of this section.
    (2) Self-sealing valve specifications. This provision applies 
starting January 1, 2018, for all containers holding two pounds or less 
of non-exempt substitute refrigerant for use in an MVAC that are 
manufactured or imported on or after that date.
    (i) Each container holding two pounds or less of non-exempt 
substitute refrigerant for use in an MVAC must be equipped with a single 
self-sealing valve that automatically closes and seals when not 
dispensing refrigerant.
    (ii) The leakage rate from each container must not exceed 3.00 grams 
per year when the self-sealing valve is closed. This leakage rate 
applies to new, full containers as well as containers that may be 
partially full.
    (iii) The leakage rate must be determined using the standards 
described in appendix E (incorporated by reference, see Sec.  82.168).
    (iv) All testing to demonstrate compliance with this paragraph must 
be conducted by an independent test laboratory in the United States. For 
purposes of this requirement, an independent test laboratory is one that 
is not owned, operated, or affiliated with the applicant certifying 
equipment and/or products.
    (3) Recordkeeping. (i) Persons who sell or distribute, or offer to 
sell or distribute, any class I or class II refrigerant, or, starting on 
January 1, 2018, any non-exempt substitute refrigerant must keep 
invoices that indicate the name of the purchaser, the date of sale, and 
the quantity of refrigerant purchased unless they are selling exempt 
substitutes (those substitutes used in the end-uses specified as exempt 
in paragraph (a)(1) of this section) or small cans of MVAC refrigerant 
in accordance with paragraph (c)(1)(ix) of this section. In instances 
where the buyer employs a person certified under Sec.  82.161 or 40 CFR 
part 82, subpart B, the seller must keep the documentation provided by 
the buyer to demonstrate such employment. All records must be kept for 
three years.
    (ii) Electronic or paper copies of all records described in appendix 
E must be maintained by manufacturers of containers holding two pounds 
or less of non-exempt substitute refrigerant for use in an MVAC to 
verify self-sealing valves meet the requirements specified in paragraph 
(c)(2) of this section. All records must be kept for three years after 
each purchase.
    (d) Sale of Used Refrigerant. No person may sell or distribute, or 
offer for sale or distribution, for use as a refrigerant any class I or 
class II substance or non-exempt substitute consisting wholly or in part 
of used refrigerant unless the refrigerant:
    (1) Has been reclaimed by a person who has been certified as a 
reclaimer under Sec.  82.164;
    (2) was used only in an MVAC or MVAC-like appliance and is to be 
used only in an MVAC or MVAC-like appliance and recycled in accordance 
with 40 CFR part 82, subpart B;
    (3) is contained in an appliance that is sold or offered for sale 
together with a fully assembled refrigerant circuit;
    (4) is being transferred between or among a parent company and one 
or more of its subsidiaries, or between or among subsidiaries having the 
same parent company; or
    (5) is being transferred between or among a Federal agency or 
department and a facility or facilities owned by the same Federal agency 
or department.
    (e) Manufacture and Sale of Appliances. (1) No person may sell or 
distribute, or offer for sale or distribution, any appliance (except 
small appliances and appliances containing only refrigerants that have 
been exempted under paragraph (a)(1) of this section) unless it is 
equipped with a servicing aperture to facilitate the removal of 
refrigerant at servicing and disposal.
    (2) No person may sell or distribute, or offer for sale or 
distribution, any small appliance (except appliances containing only 
refrigerants that have

[[Page 134]]

been exempted under paragraph (a)(1) of this section) unless it is 
equipped with a process stub to facilitate the removal of refrigerant at 
servicing and disposal.
    (f) One-time expansion devices. No person may manufacture or import 
a one-time expansion device unless the only refrigerants it contains 
have been exempted under paragraph (a)(1) of this section.
    (g) Rules stayed for consideration. Notwithstanding any other 
provisions of this subpart, the effectiveness of 40 CFR 82.154(c), only 
as it applies to refrigerant contained in appliances without fully 
assembled refrigerant circuits, is stayed from April 27, 1995, until EPA 
takes final action on its reconsideration of these provisions. EPA will 
publish any such final action in the Federal Register.

[81 FR 82352, Nov. 18, 2016, as amended at 81 FR 86881, Dec. 1, 2016; 82 
FR 61184, Dec. 27, 2017; 85 FR 14171, Apr. 10, 2020]



Sec.  82.155  Safe disposal of appliances.

    Until January 1, 2018, this section applies only to disposal of 
appliances containing class I and class II refrigerants. Starting on 
January 1, 2018, this section applies to disposal of appliances 
containing any class I or class II refrigerant or any non-exempt 
substitute refrigerant.
    (a) Persons recovering refrigerant from a small appliance, MVAC, or 
MVAC-like appliance for purposes of disposal of these appliances must 
evacuate refrigerant to the levels in Sec.  82.156(b) through (d) using 
recovery equipment that meets the standards in Sec.  82.158(e) through 
(g), or 40 CFR part 82 subpart B, as applicable.
    (b) The final processor--i.e., persons who take the final step in 
the disposal process (including but not limited to scrap recyclers and 
landfill operators) of a small appliance, MVAC, or MVAC-like appliance--
must either:
    (1) Recover any remaining refrigerant from the appliance in 
accordance with paragraph (a) of this section; or
    (2) Verify using a signed statement or a contract that all 
refrigerant that had not leaked previously has been recovered from the 
appliance or shipment of appliances in accordance with paragraph (a) of 
this section. If using a signed statement, it must include the name and 
address of the person who recovered the refrigerant and the date the 
refrigerant was recovered. If using a signed contract between the 
supplier and the final processor, it must either state that the supplier 
will recover any remaining refrigerant from the appliance or shipment of 
appliances in accordance with paragraph (a) of this section prior to 
delivery or verify that the refrigerant had been properly recovered 
prior to receipt by the supplier.
    (i) It is a violation of this subpart to accept a signed statement 
or contract if the person receiving the statement or contract knew or 
had reason to know that the signed statement or contract is false.
    (ii) The final processor must notify suppliers of appliances that 
refrigerant must be properly recovered in accordance with paragraph (a) 
of this section before delivery of the items to the facility. The form 
of this notification may be signs, letters to suppliers, or other 
equivalent means.
    (iii) If all the refrigerant has leaked out of the appliance, the 
final processor must obtain a signed statement that all the refrigerant 
in the appliance had leaked out prior to delivery to the final processor 
and recovery is not possible. ``Leaked out'' in this context means those 
situations in which the refrigerant has escaped because of system 
failures, accidents, or other unavoidable occurrences not caused by a 
person's negligence or deliberate acts such as cutting refrigerant 
lines.
    (c) Recordkeeping. The final processor of a small appliance, MVAC, 
or MVAC-like appliance must keep a copy of all the signed statements or 
contracts obtained under paragraph (b)(2) of this section on site, in 
hard copy or in electronic format, for three years.

[81 FR 82353, Nov. 18, 2016]



Sec.  82.156  Proper evacuation of refrigerant from appliances.

    Until January 1, 2018, this section applies only to evacuation of 
refrigerant from appliances containing class I or class II refrigerants. 
Starting on January 1, 2018, this section applies to evacuation of 
refrigerant from appliances

[[Page 135]]

containing any class I or class II refrigerant or any non-exempt 
substitute refrigerant, excluding paragraph (i) of this section which 
applies only to appliances containing class I or class II refrigerants 
until January 1, 2019. Starting January 1, 2019, the provisions in Sec.  
82.157 apply in lieu of paragraph (i) of this section.
    (a) Appliances (except small appliances, MVACs, and MVAC-like 
appliances). Before opening appliances (except small appliances, MVACs, 
and MVAC-like appliances) or disposing of such appliances, technicians 
must evacuate the refrigerant, including all the liquid refrigerant, to 
the levels in Table 1 using a recovery and/or recycling machine 
certified pursuant to Sec.  82.158 unless the situations in paragraphs 
(a)(1) or (2) of this section apply. Technicians may evacuate either the 
entire appliance or the part to be serviced, if the refrigerant in the 
part can be isolated to a system receiver. A technician must verify that 
the applicable level of evacuation has been reached in the appliance or 
the part before it is opened.
    (1) If evacuation of the appliance to the atmosphere is not to be 
performed after completion of the maintenance, service, or repair, and 
if the maintenance, service, or repair is not major as defined at Sec.  
82.152, the appliance must:
    (i) Be evacuated to a pressure no higher than 0 psig before it is 
opened if it is a medium-, high- or very high-pressure appliance;
    (ii) Be pressurized to a pressure no higher than 0 psig before it is 
opened if it is a low-pressure appliance. Persons must cover openings 
when isolation is not possible. Persons pressurizing low-pressure 
appliances that use refrigerants with boiling points at or below 85 
degrees Fahrenheit at 29.9 inches of mercury (standard atmospheric 
pressure), must not use methods such as nitrogen that require subsequent 
purging. Persons pressurizing low-pressure appliances that use 
refrigerants with boiling points above 85 degrees Fahrenheit at 29.9 
inches of mercury, must use heat to raise the internal pressure of the 
appliance as much as possible, but may use nitrogen to raise the 
internal pressure of the appliance from the level attainable through use 
of heat to atmospheric pressure; or
    (iii) For the purposes of oil changes, be evacuated or pressurized 
to a pressure no higher than 5 psig, before it is opened; or drain the 
oil into a system receiver to be evacuated or pressurized to a pressure 
no higher than 5 psig.
    (2) If leaks in the appliance make evacuation to the levels in Table 
1 unattainable or would substantially contaminate the refrigerant being 
recovered, persons opening or disposing of the appliance must:
    (i) Isolate leaking from non-leaking components wherever possible;
    (ii) Evacuate non-leaking components to be opened or disposed of to 
the levels specified in Table 1; and
    (iii) Evacuate leaking components to be opened or disposed of to the 
lowest level that can be attained without substantially contaminating 
the refrigerant. This level may not exceed 0 psig.
    (3) Recordkeeping. As of January 1, 2018, technicians evacuating 
refrigerant from appliances with a full charge of more than 5 and less 
than 50 pounds of refrigerant for purposes of disposal of that appliance 
must keep records documenting the following for three years:
    (i) The company name, location of the appliance, date of recovery, 
and type of refrigerant recovered for each appliance;
    (ii) The total quantity of refrigerant, by type, recovered from all 
disposed appliances in each calendar month; and
    (iii) The quantity of refrigerant, by type, transferred for 
reclamation and/or destruction, the person to whom it was transferred, 
and the date of transfer.

[[Page 136]]



                              Table 1--Required Levels of Evacuation for Appliances
                         [Except for small appliances, MVACs, and MVAC-like appliances]
----------------------------------------------------------------------------------------------------------------
                                         Inches of Hg vacuum (relative to standard atmospheric pressure of 29.9
                                                                       inches Hg)
                                       -------------------------------------------------------------------------
           Type of appliance              Using recovery and/or recycling      Using recovery and/or recycling
                                         equipment manufactured or imported   equipment manufactured or imported
                                              before November 15, 1993          on or after November 15, 1993
----------------------------------------------------------------------------------------------------------------
Very high-pressure appliance..........  0..................................  0.
High-pressure appliance, or isolated    0..................................  0.
 component of such appliance, with a
 full charge of less than 200 pounds
 of refrigerant.
High-pressure appliance, or isolated    4..................................  10.
 component of such appliance, with a
 full charge of 200 pounds or more of
 refrigerant.
Medium-pressure appliance, or isolated  4..................................  10.
 component of such appliance, with a
 full charge of less than 200 pounds
 of refrigerant.
Medium-pressure appliance, or isolated  4..................................  15.
 component of such appliance, with a
 full charge of 200 pounds or more of
 refrigerant.
Low-pressure appliance................  25 mm Hg absolute..................  25 mm Hg absolute.
----------------------------------------------------------------------------------------------------------------

    (b) Small appliances. Before opening a small appliance or when 
disposing of a small appliance, persons must recover refrigerant, using 
a recovery and/or recycling machine certified pursuant to Sec.  82.158, 
according to the following conditions:
    (1) When using recovery equipment manufactured before November 15, 
1993, recover 80 percent of the refrigerant in the small appliance; or
    (2) When using recovery equipment manufactured on or after November 
15, 1993, recover 90 percent of the refrigerant in the appliance when 
the compressor in the appliance is functioning, or 80 percent of the 
refrigerant in the appliance when the compressor in the appliance is not 
functioning; or
    (3) Evacuate the appliance to four inches of mercury vacuum.
    (c) MVAC-like appliances. Persons may only open MVAC-like appliances 
while properly using, as defined at Sec.  82.32(e), recovery and/or 
recycling equipment certified pursuant to Sec.  82.158(f) or Sec.  
82.36, as applicable. All persons recovering refrigerant from MVAC-like 
appliances for purposes of disposal of these appliances must evacuate 
the appliance in accordance with 40 CFR part 82, subpart B or reduce the 
system pressure to or below 102 mm of mercury vacuum.
    (d) MVACs. All persons recovering refrigerant from MVACs for 
purposes of disposal of these appliances must evacuate the appliance in 
accordance with 40 CFR part 82, subpart B or reduce the system pressure 
to or below 102 mm of mercury vacuum.
    (e) System-dependent equipment may not be used with appliances with 
a full charge of more than 15 pounds of refrigerant, unless the system-
dependent equipment is permanently attached to the appliance as a pump-
out unit.
    (f) Persons who maintain, service, repair, or dispose of only 
appliances that they own and that contain pump-out units are exempt from 
the requirement to use certified, self-contained recovery and/or 
recycling equipment.
    (g) All recovery and/or recycling equipment must be used in 
accordance with the manufacturer's directions unless such directions 
conflict with the requirements of this subpart.
    (h) Refrigerant may be returned to the appliance from which it is 
recovered or to another appliance owned by the same person without being 
recycled or reclaimed, unless the appliance is an MVAC or MVAC-like 
appliance.
    (i) The provisions in this paragraph (i) apply to owners and 
operators of appliances containing 50 or more pounds of class I and 
class II refrigerants only until January 1, 2019. The definitions in 
paragraph (j) of this section apply for purposes of this paragraph (i) 
in lieu of the definitions in Sec.  82.152.
    (1) Owners or operators of commercial refrigeration equipment 
normally containing more than 50 pounds of refrigerant must have leaks 
repaired in

[[Page 137]]

accordance with paragraph (i)(9) of this section, if the appliance is 
leaking at a rate such that the loss of refrigerant will exceed 35 
percent of the total charge during a 12-month period, except as 
described in paragraphs (i)(6), (i)(8), and (i)(10) of this section and 
paragraphs (i)(1)(i), (i)(1)(ii), and (i)(1)(iii) of this section. 
Repairs must bring the annual leak rate to below 35 percent.
    (i) If the owners or operators of the federally-owned commercial 
refrigerant appliances determine that the leaks cannot be repaired in 
accordance with paragraph (i)(9) of this section and that an extension 
in accordance with the requirements discussed in this paragraph 
(i)(1)(i) of this section apply, they must document all repair efforts, 
and notify EPA of their inability to comply within the 30-day repair 
requirement, and the reason for the inability must be submitted to EPA 
in accordance with Sec.  82.166(n). Such notification must be made 
within 30 days of discovering the leaks. EPA will determine if the 
extension requested in accordance with the requirements discussed in 
paragraph (i)(1)(i) of this section is justified. If the extension is 
not justified, EPA will notify the owner/operator within 30 days of 
receipt of the notification.
    (ii) Owners or operators of federally-owned commercial refrigeration 
equipment may have more than 30 days to repair leaks if the 
refrigeration appliance is located in an area subject to radiological 
contamination or where the shutting down of the appliance will directly 
lead to radiological contamination. Only the additional time needed to 
conduct and complete repairs in a safe working environment will be 
permitted.
    (iii) Owners or operators of federally-owned commercial 
refrigeration equipment requesting or who are granted time extensions 
under this paragraph must comply with paragraphs (i)(3) and (i)(4) of 
this section.
    (2) The owners or operators of industrial process refrigeration 
equipment normally containing more than 50 pounds of refrigerant must 
have leaks repaired if the appliance is leaking at a rate such that the 
loss of refrigerant will exceed 35 percent of the total charge during a 
12-month period in accordance with paragraph (i)(9) of this section, 
except as described in paragraphs (i)(6), (i)(7) and (i)(10) of this 
section, and paragraphs (i)(2)(i) and (i)(2)(ii) of this section. 
Repairs must bring annual leak rates to below 35 percent during a 12-
month period. If the owners or operators of the industrial process 
refrigeration equipment determine that the leak rate cannot be brought 
to below 35 percent during a 12-month period within 30 days (or 120 
days, where an industrial process shutdown in accordance with paragraph 
(i)(2)(ii) of this section is required,) and in accordance with 
paragraph (i)(9) of this section, and that an extension in accordance 
with the requirements discussed in this paragraph apply, the owners or 
operators of the appliance must document all repair efforts, and notify 
EPA of the reason for the inability in accordance with Sec.  82.166(n) 
within 30 days of making this determination. Owners or operators who 
obtain an extension pursuant to this section or elect to utilize the 
additional time provided in paragraph (i)(2)(i) of this section, must 
conduct all necessary leak repairs, if any, that do not require any 
additional time beyond the initial 30 or 120 days.
    (i) The owners or operators of industrial process refrigeration 
equipment are permitted more than 30 days (or 120 days where an 
industrial process shutdown in accordance with paragraph (i)(2)(ii) of 
this section is required) to repair leaks, if the necessary parts are 
unavailable or if requirements of other applicable federal, state, or 
local regulations make a repair within 30 or 120 days impossible. Only 
the additional time needed to receive delivery of the necessary parts or 
to comply with the pertinent regulations will be permitted.
    (ii) Owners or operators of industrial process refrigeration 
equipment will have a 120-day repair period, rather than a 30-day repair 
period, to repair leaks in instances where an industrial process 
shutdown is needed to repair a leak or leaks from industrial process 
refrigeration equipment.
    (3) Owners or operators of industrial process refrigeration 
equipment and owners or operators of federally-owned

[[Page 138]]

commercial refrigeration equipment or of federally-owned comfort cooling 
appliances who are granted additional time under paragraphs (i)(1) or 
(i)(5) of this section, must have repairs performed in a manner that 
sound professional judgment indicates will bring the leak rate below the 
applicable allowable leak rate. When an industrial process shutdown has 
occurred or when repairs have been made while an appliance is 
mothballed, the owners or operators shall conduct an initial 
verification test at the conclusion of the repairs and a follow-up 
verification test. The follow-up verification test shall be conducted 
within 30 days of completing the repairs or within 30 days of bringing 
the appliance back on-line, if taken off-line, but no sooner than when 
the appliance has achieved normal operating characteristics and 
conditions. When repairs have been conducted without an industrial 
process shutdown or system mothballing, an initial verification test 
shall be conducted at the conclusion of the repairs, and a follow-up 
verification test shall be conducted within 30 days of the initial 
verification test. In all cases, the follow-up verification test shall 
be conducted at normal operating characteristics and conditions, unless 
sound professional judgment indicates that tests performed at normal 
operating characteristics and conditions will produce less reliable 
results, in which case the follow-up verification test shall be 
conducted at or near the normal operating pressure where practicable, 
and at or near the normal operating temperature where practicable.
    (i) If the owners or operators of industrial process refrigeration 
equipment takes the appliance off-line, or if the owners or operators of 
federally-owned commercial refrigeration or of federally-owned comfort 
cooling appliances who are granted additional time under paragraphs 
(i)(1) or (i)(5) of this section take the appliance off-line, they 
cannot bring the appliance back on-line until an initial verification 
test indicates that the repairs undertaken in accordance with paragraphs 
(i)(1)(i), (ii), (iii), or (i)(2)(i) and (ii), or (5)(i), (ii), and 
(iii) of this section have been successfully completed, demonstrating 
the leak or leaks are repaired. The owners or operators of the 
industrial process refrigeration equipment, federally-owned commercial 
refrigeration appliances, or federally-owned comfort cooling appliances 
are exempted from this requirement only where the owners or operators 
will retrofit or retire the industrial process refrigeration equipment, 
federally-owned commercial refrigeration appliance, or federally-owned 
comfort cooling appliance in accordance with paragraph (i)(6) of this 
section. Under this exemption, the owner or operators may bring the 
industrial process refrigeration equipment, federally-owned commercial 
refrigeration appliance, or federally-owned comfort cooling appliance 
back on-line without successful completion of an initial verification 
test.
    (ii) If the follow-up verification test indicates that the repairs 
to industrial process refrigeration equipment, federally-owned 
commercial refrigeration equipment, or federally-owned comfort cooling 
appliances have not been successful, the owner or operator must retrofit 
or retire the equipment in accordance with paragraph (i)(6) and any such 
longer time period as may apply under paragraphs (i)(7)(i), (ii) and 
(iii) or (i)(8)(i) and (ii) of this section. The owners and operators of 
the industrial process refrigeration equipment, federally-owned 
commercial refrigeration equipment, or federally-owned comfort cooling 
appliances are relieved of this requirement if the conditions of 
paragraphs (i)(3)(iv) and/or (i)(3)(v) of this section are met.
    (iii) The owner or operator of industrial process refrigeration 
equipment that fails a follow-up verification test must notify EPA 
within 30 days of the failed follow-up verification test in accordance 
with Sec.  82.166(n).
    (iv) The owner or operator is relieved of the obligation to retrofit 
or replace the industrial process refrigeration equipment as discussed 
in paragraph (i)(6) of this section if second repair efforts to fix the 
same leaks that were the subject of the first repair efforts are 
successfully completed within 30 days or 120 days where an industrial 
process shutdown is required, after the initial failed follow-up 
verification

[[Page 139]]

test. The second repair efforts are subject to the same verification 
requirements of paragraphs (i)(3), (i)(3) (i) and (ii) of this section. 
The owner or operator is required to notify EPA within 30 days of the 
successful follow-up verification test in accordance with Sec.  
82.166(n) and the owner or operator is no longer subject to the 
obligation to retrofit or replace the appliance that arose as a 
consequence of the initial failure to verify that the leak repair 
efforts were successful.
    (v) The owner or operator of industrial process refrigeration 
equipment is relieved of the obligation to retrofit or replace the 
equipment in accordance with paragraph (i)(6) of this section if within 
180 days of the initial failed follow-up verification test, the owner or 
operator establishes that the appliance's annual leak rate does not 
exceed the applicable allowable annual leak rate, in accordance with 
paragraph (i)(4) of this section. If the appliance's owner or operator 
establishes that the appliance's annual leak rate does not exceed the 
applicable allowable annual leak rate, the owner or operator is required 
to notify EPA within 30 days of that determination in accordance with 
Sec.  82.166(n) and the owner or operator would no longer be subject to 
the obligation to retrofit or replace the equipment that arose as a 
consequence of the initial failure to verify that the leak repair 
efforts were successful.
    (4) In the case of a failed follow-up verification test subject to 
paragraph (i)(3)(v) of this section, the determination of whether 
industrial process refrigeration equipment has an annual leak rate that 
exceeds the applicable allowable annual leak rate will be made in 
accordance with parameters identified by the owner or operator in its 
notice to EPA regarding the failure of the initial follow-up 
verification test, if those parameters are acceptable to EPA; otherwise 
by parameters selected by EPA. The determination must be based on the 
full charge for the affected industrial process refrigeration equipment. 
The leak rate determination parameters in the owner's or operator's 
notice will be considered acceptable unless EPA notifies the owners or 
operators within 30 days of receipt of the notice. Where EPA does not 
accept the parameters identified by the owner or operator in its notice, 
EPA will not provide additional time beyond the additional time 
permitted in paragraph (i)(3)(v) of this section unless specifically 
stated in the parameters selected by EPA.
    (5) Owners or operators of comfort cooling appliances normally 
containing more than 50 pounds of refrigerant and not covered by 
paragraph (i)(1) or (i)(2) of this section must have leaks repaired in 
accordance with paragraph (i)(9) of this section if the appliance is 
leaking at a rate such that the loss of refrigerant will exceed 15 
percent of the total charge during a 12-month period, except as 
described in paragraphs (i)(6), (i)(8) and (i)(10) of this section and 
paragraphs (i)(5)(i), (i)(5)(ii) and (i)(5)(iii) of this section. 
Repairs must bring the annual leak rate to below 15 percent.
    (i) If the owners or operators of federally-owned comfort-cooling 
appliances determine that the leaks cannot be repaired in accordance 
with paragraph (i)(9) of this section and that an extension in 
accordance with the requirements discussed in paragraph (i)(5) of this 
section apply, they must document all repair efforts, and notify EPA of 
their inability to comply within the 30-day repair requirement, and the 
reason for the inability must be submitted to EPA in accordance with 
Sec.  82.166(n). Such notification must be made within 30 days of 
discovering that leak repair efforts cannot be completed within 30 days.
    (ii) Owners or operators of federally-owned comfort-cooling 
appliances may have more than 30 days to repair leaks where the 
refrigeration appliance is located in an area subject to radiological 
contamination or where the shutting down of the appliance will directly 
lead to radiological contamination. Only the additional time needed to 
conduct and complete work in a safe environment will be permitted.
    (iii) Owners or operators of federally-owned comfort-cooling 
appliances requesting, or who are granted, time extensions under this 
paragraph must comply with paragraphs (i)(3) and (i)(4) of this section.
    (6) Owners or operators are not required to repair leaks as provided 
in

[[Page 140]]

paragraphs (i)(1), (i)(2), and (i)(5) of this section if, within 30 days 
of discovering a leak greater than the applicable allowable leak rate, 
or within 30 days of a failed follow-up verification test, or after 
making good faith efforts to repair the leaks as described in paragraph 
(i)(6)(i) of this section, they develop a one-year retrofit or 
retirement plan for the leaking appliance. Owners or operators who 
decide to retrofit the appliance must use a refrigerant or substitute 
with a lower or equivalent ozone-depleting potential than the previous 
refrigerant and must include such a change in the retrofit plan. Owners 
or operators who retire and replace the appliance must replace the 
appliance with an appliance that uses a refrigerant or substitute with a 
lower or equivalent ozone-depleting potential and must include such a 
change in the retirement plan. The retrofit or retirement plan (or a 
legible copy) must be kept at the site of the appliance. The original 
plan must be made available for EPA inspection upon request. The plan 
must be dated, and all work performed in accordance with the plan must 
be completed within one year of the plan's date, except as described in 
paragraphs (i)(6)(i), (i)(7), and (i)(8) of this section. Owners or 
operators are temporarily relieved of this obligation if the appliance 
has undergone system mothballing as defined in Sec.  82.152.
    (i) If the owner or operator has made good faith efforts to repair 
leaks from the appliance in accordance with paragraphs (i)(1), (i)(2), 
or (i)(5) of this section and has decided prior to completing a follow-
up verification test, to retrofit or retire the appliance in accordance 
with paragraph (i)(6) of this section, the owner or operator must 
develop a retrofit or retirement plan within 30 days of the decision to 
retrofit or retire the appliance. The owner or operator must complete 
the retrofit or retirement of the appliance within one year and 30 days 
of when the owner or operator discovered that the leak rate exceeded the 
applicable allowable leak rate, except as provided in paragraphs (i)(7) 
and (i)(8) of this section.
    (ii) In all cases, subject to paragraph (i)(6)(i) of this section, 
the written plan shall be prepared no later than 30 days after the owner 
or operator has determined to proceed with retrofitting or retiring the 
appliance. All reports required under Sec.  82.166(o) shall be due at 
the time specified in the paragraph imposing the specific reporting 
requirement, or no later than 30 days after the decision to retrofit or 
retire the appliance, whichever is later.
    (iii) In cases where the owner or operator of industrial process 
refrigeration equipment has made good faith efforts to retrofit or 
retire industrial process refrigeration equipment prior to August 8, 
1995, and where these efforts are not complete, the owner or operator 
must develop a retrofit or retirement plan that will complete the 
retrofit or retirement of the affected appliance by August 8, 1996. This 
plan (or a legible copy) must be kept at the site of the appliance. The 
original must be made available for EPA inspection upon request. Where 
the conditions of paragraphs (i)(7) and (i)(8) of this section apply, 
and where the length of time necessary to complete the work is beyond 
August 8, 1996, all records must be submitted to EPA in accordance with 
Sec.  82.166(o), as well as maintained on-site.
    (7) The owners or operators of industrial process refrigeration 
equipment will be allowed additional time to complete the retrofit or 
retirement of industrial process refrigeration equipment if the 
conditions described in paragraphs (i)(7)(i) or (i)(7)(ii) of this 
section are met. The owners or operators of industrial process 
refrigeration equipment will be allowed additional time beyond the 
additional time provided in paragraph (i)(7)(ii) of this section if the 
conditions described in paragraph (i)(7)(iii) of this section are met.
    (i) Additional time, to the extent reasonably necessary will be 
allowed for retrofitting or retiring industrial process refrigeration 
equipment due to delays occasioned by the requirements of other 
applicable federal, state, or local laws or regulations, or due to the 
unavailability of a suitable replacement refrigerant with a lower ozone 
depletion potential. If these circumstances apply, the owner or operator 
of the facility must notify EPA within six months after the 30-day 
period following the discovery of an exceedance of the 35 percent leak 
rate.

[[Page 141]]

Records necessary to allow EPA to determine that these provisions apply 
and the length of time necessary to complete the work must be submitted 
to EPA in accordance with Sec.  82.166(o), as well as maintained on-
site. EPA will notify the owner or operator of its determination within 
60 days of receipt the submittal.
    (ii) An additional one-year period beyond the initial one-year 
retrofit period is allowed for industrial process refrigeration 
equipment where the following criteria are met:
    (A) The new or the retrofitted industrial process refrigerant 
equipment is custom-built;
    (B) The supplier of the appliance or one or more of its critical 
components has quoted a delivery time of more than 30 weeks from when 
the order is placed;
    (C) The owner or operator notifies EPA within six months of the 
expiration of the 30-day period following the discovery of an exceedance 
of the 35 percent leak rate to identify the owner or operator, describe 
the appliance involved, explain why more than one year is needed, and 
demonstrate that the first two criteria are met in accordance with Sec.  
82.166(o); and
    (D) The owner or operator maintains records that are adequate to 
allow a determination that the criteria are met.
    (iii) The owners or operators of industrial process refrigeration 
equipment may request additional time to complete retrofitting or 
retiring industrial process refrigeration equipment beyond the 
additional one-year period if needed and where the initial additional 
one year was granted in accordance with paragraph (i)(7)(ii) of this 
section. The request shall be submitted to EPA before the end of the 
ninth month of the first additional year and shall include revisions of 
information required under Sec.  82.166(o). Unless EPA objects to this 
request submitted in accordance with Sec.  82.166(o) within 30 days of 
receipt, it shall be deemed approved.
    (8) Owners or operators of federally-owned commercial or comfort-
cooling appliances will be allowed an additional year to complete the 
retrofit or retirement of the appliances if the conditions described in 
paragraph (i)(8)(i) of this section are met, and will be allowed one 
year beyond the additional year if the conditions in paragraph 
(i)(8)(ii) of this section are met.
    (i) Up to one additional one-year period beyond the initial one-year 
retrofit period is allowed for such equipment where the following 
criteria are met:
    (A) Due to complications presented by the federal agency 
appropriations and/or procurement process, a delivery time of more than 
30 weeks from the beginning of the official procurement process is 
quoted, or where the appliance is located in an area subject to 
radiological contamination and creating a safe working environment will 
require more than 30 weeks;
    (B) The operator notifies EPA within six months of the expiration of 
the 30-day period following the discovery of an exceedance of the 
applicable allowable annual leak rate to identify the operator, describe 
the appliance involved, explain why more than one year is needed, and 
demonstrate that the first criterion is met in accordance with Sec.  
82.166(o); and
    (C) The operator maintains records adequate to allow a determination 
that the criteria are met.
    (ii) The owners or operators of federally-owned commercial or 
comfort-cooling appliances may request additional time to complete 
retrofitting, replacement or retiring such appliances beyond the 
additional one-year period if needed and where the initial additional 
one year was granted in accordance with paragraph (i)(8)(i) of this 
section. The request shall be submitted to EPA before the end of the 
ninth month of the first additional year and shall include revisions of 
information earlier submitted as required under Sec.  82.166(o). Unless 
EPA objects to this request submitted in accordance with Sec.  82.166(o) 
within 30 days of receipt, it shall be deemed approved.
    (9) Owners or operators must repair leaks pursuant to paragraphs 
(i)(1), (i)(2) and (i)(5) of this section within 30 days after 
discovery, or within 30 days after when the leaks should have been 
discovered if the owners intentionally shielded themselves from 
information

[[Page 142]]

which would have revealed a leak, unless granted additional time 
pursuant to Sec.  82.156(i).
    (10) The amount of time for owners and operators to complete 
repairs, retrofit plans or retrofits/replacements/ retirements under 
paragraphs (i)(1), (i)(2), (i)(5), (i)(6), (i)(7), (i)(8), and (i)(9) of 
this section is temporarily suspended at the time an appliance is 
mothballed as defined in Sec.  82.152. The time for owners and operators 
to complete repairs, retrofit plans, or retrofits/replacements will 
resume on the day the appliance is brought back on-line and is no longer 
considered mothballed. All initial and follow-up verification tests must 
be performed in accordance with paragraphs (i)(3), (i)(3)(i), and 
(i)(3)(ii) of this section.
    (11) In calculating annual leak rates, purged refrigerant that is 
destroyed at a verifiable destruction efficiency of 98 percent or 
greater will not be counted toward the leak rate. Owners or operators 
destroying purged refrigerants must maintain information as set forth in 
Sec.  82.166(p)(1) and submit to EPA, within 60 days after the first 
time such exclusion is used by that facility, information set forth in 
Sec.  82.166(p)(2).
    (j) Definitions for the leak repair provisions in 82.156(i). These 
definitions are not applicable to any other portion of subpart F other 
than 82.156(i). Along with paragraph (i) of this section, the 
definitions in this section apply only until January 1, 2019.
    Appliance means, for the purposes of paragraph (i) of this section, 
any device which contains and uses a refrigerant and which is used for 
household or commercial purposes, including any air conditioner, 
refrigerator, chiller, or freezer.
    Commercial refrigeration means, for the purposes of paragraph (i) of 
this section, the refrigeration appliances utilized in the retail food 
and cold storage warehouse sectors. Retail food includes the 
refrigeration equipment found in supermarkets, convenience stores, 
restaurants and other food service establishments. Cold storage includes 
the equipment used to store meat, produce, dairy products, and other 
perishable goods. All of the equipment contains large refrigerant 
charges, typically over 75 pounds.
    Critical component means, for the purposes of paragraph (i) of this 
section, a component without which industrial process refrigeration 
equipment will not function, will be unsafe in its intended environment, 
and/or will be subject to failures that would cause the industrial 
process served by the refrigeration appliance to be unsafe.
    Custom-built means, for the purposes of paragraph (i) of this 
section, that the equipment or any of its critical components cannot be 
purchased and/or installed without being uniquely designed, fabricated 
and/or assembled to satisfy a specific set of industrial process 
conditions.
    Follow-up verification test means, for the purposes of paragraph (i) 
of this section, those tests that involve checking the repairs within 30 
days of the appliance's returning to normal operating characteristics 
and conditions. Follow-up verification tests for appliances from which 
the refrigerant charge has been evacuated means a test conducted after 
the appliance or portion of the appliance has resumed operation at 
normal operating characteristics and conditions of temperature and 
pressure, except in cases where sound professional judgment dictates 
that these tests will be more meaningful if performed prior to the 
return to normal operating characteristics and conditions. A follow-up 
verification test with respect to repairs conducted without evacuation 
of the refrigerant charge means a reverification test conducted after 
the initial verification test and usually within 30 days of normal 
operating conditions. Where an appliance is not evacuated, it is only 
necessary to conclude any required changes in pressure, temperature or 
other conditions to return the appliance to normal operating 
characteristics and conditions.
    Full charge means, for the purposes of paragraph (i) of this 
section, the amount of refrigerant required for normal operating 
characteristics and conditions of the appliance as determined by using 
one or a combination of the following four methods:
    (i) Use the equipment manufacturer's determination of the correct 
full charge for the equipment;

[[Page 143]]

    (ii) Determine the full charge by making appropriate calculations 
based on component sizes, density of refrigerant, volume of piping, and 
other relevant considerations;
    (iii) Use actual measurements of the amount of refrigerant added or 
evacuated from the appliance; and/or
    (iv) Use an established range based on the best available data 
regarding the normal operating characteristics and conditions for the 
appliance, where the midpoint of the range will serve as the full 
charge, and where records are maintained in accordance with Sec.  
82.166(q).
    Industrial process refrigeration means, for the purposes of 
paragraph (i) of this section, complex customized appliances used in the 
chemical, pharmaceutical, petrochemical and manufacturing industries. 
These appliances are directly linked to the industrial process. This 
sector also includes industrial ice machines, appliances used directly 
in the generation of electricity, and ice rinks. Where one appliance is 
used for both industrial process refrigeration and other applications, 
it will be considered industrial process refrigeration equipment if 50 
percent or more of its operating capacity is used for industrial process 
refrigeration.
    Industrial process shutdown means, for the purposes of paragraph (i) 
of this section, that an industrial process or facility temporarily 
ceases to operate or manufacture whatever is being produced at that 
facility.
    Initial verification test means, for the purposes of paragraph (i) 
of this section, those leak tests that are conducted as soon as 
practicable after the repair is completed. An initial verification test, 
with regard to the leak repairs that require the evacuation of the 
appliance or portion of the appliance, means a test conducted prior to 
the replacement of the full refrigerant charge and before the appliance 
or portion of the appliance has reached operation at normal operating 
characteristics and conditions of temperature and pressure. An initial 
verification test with regard to repairs conducted without the 
evacuation of the refrigerant charge means a test conducted as soon as 
practicable after the conclusion of the repair work.
    Leak rate means, for the purposes of paragraph (i) of this section, 
the rate at which an appliance is losing refrigerant, measured between 
refrigerant charges. The leak rate is expressed in terms of the 
percentage of the appliance's full charge that would be lost over a 12-
month period if the current rate of loss were to continue over that 
period. The rate is calculated using only one of the following methods 
for all appliances located at an operating facility.
    (i) Method 1. (A) Step 1. Take the number of pounds of refrigerant 
added to the appliance to return it to a full charge and divide it by 
the number of pounds of refrigerant the appliance normally contains at 
full charge;
    (B) Step 2. Take the shorter of the number of days that have passed 
since the last day refrigerant was added or 365 days and divide that 
number by 365 days;
    (C) Step 3. Take the number calculated in Step 1. and divide it by 
the number calculated in Step 2.; and
    (D) Step 4. Multiply the number calculated in Step 3. by 100 to 
calculate a percentage. This method is summarized in the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR18NO16.076

    (ii) Method 2. (A) Step 1. Take the sum of the quantity of 
refrigerant added to the appliance over the previous 365-day period (or 
over the period that has passed since leaks in the appliance were last 
repaired, if that period is less than one year),

[[Page 144]]

    (B) Step 2. Divide the result of Step 1. by the quantity (e.g., 
pounds) of refrigerant the appliance normally contains at full charge, 
and
    (C) Step 3. Multiply the result of Step 2. by 100 to obtain a 
percentage. This method is summarized in the following formula:
[GRAPHIC] [TIFF OMITTED] TR18NO16.077

    Normal operating characteristics or conditions means, for the 
purposes of paragraph (i) of this section, temperatures, pressures, 
fluid flows, speeds and other characteristics that would normally be 
expected for a given process load and ambient condition during 
operation. Normal operating characteristics and conditions are marked by 
the absence of atypical conditions affecting the operation of the 
refrigeration appliance.
    Normally containing a quantity of refrigerant means, for the 
purposes of paragraph (i) of this section, containing the quantity of 
refrigerant within the appliance or appliance component when the 
appliance is operating with a full charge of refrigerant.
    Refrigerant means, for the purposes of paragraph (i) of this 
section, any substance consisting in part or whole of a class I or class 
II ozone-depleting substance that is used for heat transfer purposes and 
provides a cooling effect.
    Substitute means, for the purposes of paragraph (i) of this section, 
any chemical or product, whether existing or new, that is used by any 
person as an EPA approved replacement for a class I or II ozone-
depleting substance in a given refrigeration or air-conditioning end-
use.
    Suitable replacement refrigerant means, for the purposes of 
paragraph (i) of this section, a refrigerant that is acceptable under 
section 612(c) of the Clean Air Act Amendments of 1990 and all 
regulations promulgated under that section, compatible with other 
materials with which it may come into contact, and able to achieve the 
temperatures required for the affected industrial process in a 
technically feasible manner.
    System mothballing means, for the purposes of paragraph (i) of this 
section, the intentional shutting down of a refrigeration appliance 
undertaken for an extended period of time by the owners or operators of 
that facility, where the refrigerant has been evacuated from the 
appliance or the affected isolated section of the appliance, at least to 
atmospheric pressure.

[58 FR 28712, May 14, 1993, as amended at 59 FR 42956, 42962, Aug. 19, 
1994; 59 FR 55926, Nov. 9, 1994; 60 FR 40440, Aug. 8, 1995; 68 FR 43807, 
July 24, 2003; 69 FR 11979, Mar. 12, 2004; 70 FR 1991, Jan. 11, 2005; 79 
FR 29690, May 23, 2014; 8a FR 82354, Nov. 18, 2016]



Sec.  82.157  Appliance maintenance and leak repair.

    (a) Applicability. This section applies as of January 1, 2019. As of 
April 10, 2020, this section applies only to appliances with a full 
charge of 50 or more pounds of any class I or class II refrigerant or 
blend containing a class I or class II refrigerant. Notwithstanding the 
use of the term refrigerant in this section, the requirements of this 
section do not apply to appliances containing solely substitute 
refrigerants. Unless otherwise specified, the requirements of this 
section apply to the owner or operator of the appliance.
    (b) Leak Rate Calculation. Persons adding or removing refrigerant 
from an appliance must, upon conclusion of that service, provide the 
owner or operator with documentation that meets the applicable 
requirements of paragraph (l)(2) of this section. The owner or operator 
must calculate the leak rate every time refrigerant is added to an 
appliance unless the addition is made immediately following a retrofit,

[[Page 145]]

installation of a new appliance, or qualifies as a seasonal variance.
    (c) Requirement to Address Leaks through Appliance Repair, or 
Retrofitting or Retiring an Appliance. (1) Owners or operators must 
repair appliances with a leak rate over the applicable leak rate in this 
paragraph in accordance with paragraphs (d) through (f) of this section 
unless the owner or operator elects to retrofit or retire the appliance 
in compliance with paragraphs (h) and (i) of this section. If the owner 
or operator elects to repair leaks, but fails to bring the leak rate 
below the applicable leak rate, the owner or operator must create and 
implement a retrofit or retirement plan in accordance with paragraphs 
(h) and (i) of this section.
    (2) Leak Rates:
    (i) 20 percent leak rate for commercial refrigeration equipment;
    (ii) 30 percent leak rate for industrial process refrigeration 
equipment; and
    (iii) 10 percent leak rate for comfort cooling appliances or other 
appliances with a full charge of 50 or more pounds of refrigerant not 
covered by (c)(2)(i) or (ii) of this section.
    (d) Appliance Repair. Owners or operators must identify and repair 
leaks in accordance with this paragraph within 30 days (or 120 days if 
an industrial process shutdown is required) of when refrigerant is added 
to an appliance exceeding the applicable leak rate in paragraph (c) of 
this section.
    (1) A certified technician must conduct a leak inspection, as 
described in paragraph (g) of this section, to identify the location of 
leaks.
    (2) Leaks must be repaired such that the leak rate is brought below 
the applicable leak rate. This must be confirmed by the leak rate 
calculation performed upon the next refrigerant addition. The leaks will 
be presumed to be repaired if there is no further refrigerant addition 
for 12 months after the repair or if the leak inspections required under 
paragraph (g) do not find any leaks in the appliance. Repair of leaks 
must be documented by both an initial and a follow-up verification test 
or tests.
    (3) The time frames in paragraphs (d) through(f) of this section are 
temporarily suspended when an appliance is mothballed. The time will 
resume on the day additional refrigerant is added to the appliance (or 
component of an appliance if the leaking component was isolated).
    (e) Verification tests. The owner or operator must conduct both 
initial and follow-up verification tests on each leak that was repaired 
under paragraph (d) of this section.
    (1) Initial verification test. Unless granted additional time, an 
initial verification test must be performed within 30 days (or 120 days 
if an industrial process shutdown is required) of an appliance exceeding 
the applicable leak rate in paragraph (c) of this section. An initial 
verification test must demonstrate that leaks where a repair attempt was 
made are repaired.
    (i) For repairs that can be completed without the need to open or 
evacuate the appliance, the test must be performed after the conclusion 
of the repair work and before any additional refrigerant is added to the 
appliance.
    (ii) For repairs that require the evacuation of the appliance or 
portion of the appliance, the test must be performed before adding any 
refrigerant to the appliance.
    (iii) If the initial verification test indicates that the repairs 
have not been successful, the owner or operator may conduct as many 
additional repairs and initial verification tests as needed within the 
applicable time period.
    (2) Follow-up verification test. A follow-up verification test must 
be performed within 10 days of the successful initial verification test 
or 10 days of the appliance reaching normal operating characteristics 
and conditions (if the appliance or isolated component was evacuated for 
the repair(s)). Where it is unsafe to be present or otherwise impossible 
to conduct a follow-up verification test when the system is operating at 
normal operating characteristics and conditions, the verification test 
must, where practicable, be conducted prior to the system returning to 
normal operating characteristics and conditions.
    (i) A follow-up verification test must demonstrate that leaks where 
a repair attempt was made are repaired. If the follow-up verification 
test indicates

[[Page 146]]

that the repairs have not been successful, the owner or operator may 
conduct as many additional repairs and verification tests as needed to 
bring the appliance below the leak rate within the applicable time 
period and to verify the repairs.
    (f) Extensions to the appliance repair deadlines. Owners or 
operators are permitted more than 30 days (or 120 days if an industrial 
process shutdown is required) to comply with paragraphs (d) and (e) of 
this section if they meet the requirements of (f)(1) through (4) of this 
section or the appliance is mothballed. The request will be considered 
approved unless EPA notifies the owners or operators otherwise.
    (1) One or more of the following conditions must apply:
    (i) The appliance is located in an area subject to radiological 
contamination or shutting down the appliance will directly lead to 
radiological contamination. Additional time is permitted to the extent 
needed to conduct and finish repairs in a safe working environment.
    (ii) Requirements of other applicable Federal, state, or local 
regulations make a repair within 30 days (or 120 days if an industrial 
process shutdown is required) impossible. Additional time is permitted 
to the extent needed to comply with the pertinent regulations.
    (iii) Components that must be replaced as part of the repair are not 
available within 30 days (or 120 days if an industrial process shutdown 
is required). Additional time is permitted up to 30 days after receiving 
delivery of the necessary components, not to exceed 180 days (or 270 
days if an industrial process shutdown is required) from the date the 
appliance exceeded the applicable leak rate.
    (2) Repairs to leaks that the technician has identified as 
significantly contributing to the exceedance of the leak rate and that 
do not require additional time must be completed and verified within the 
initial 30 day repair period (or 120 day repair period if an industrial 
process shutdown is required);
    (3) The owner or operator must document all repair efforts and the 
reason for the inability to make the repair within the initial 30 day 
repair period (or 120 day repair period if an industrial process 
shutdown is required); and
    (4) The owner or operator must request an extension from EPA at the 
address specified in paragraph (m) of this section within 30 days (or 
120 days if an industrial process shutdown is required) of the appliance 
exceeding the applicable leak rate in paragraph (c) of this section. 
Extension requests must include: Identification and address of the 
facility; the name of the owner or operator of the appliance; the leak 
rate; the method used to determine the leak rate and full charge; the 
date the appliance exceeded the applicable leak rate; the location of 
leak(s) to the extent determined to date; any repair work that has been 
performed thus far, including the date that work was completed; the 
reasons why more than 30 days (or 120 days if an industrial process 
shutdown is required) are needed to complete the repair; and an estimate 
of when the work will be completed. If the estimated completion date is 
to be extended, a new estimated date of completion and documentation of 
the reason for that change must be submitted to EPA within 30 days of 
identifying that the completion date must be extended. The owner or 
operator must keep a dated copy of this submission.
    (g) Leak Inspections. (1) The owner or operator must conduct a leak 
inspection in accordance with the following schedule on any appliance 
exceeding the applicable leak rate in paragraph (c)(2) of this section.
    (i) For commercial refrigeration and industrial process 
refrigeration appliances with a full charge of 500 or more pounds, leak 
inspections must be conducted once every three months until the owner or 
operator can demonstrate through the leak rate calculations required 
under paragraph (b) of this section that the appliance has not leaked in 
excess of the applicable leak rate for four quarters in a row.
    (ii) For commercial refrigeration and industrial process 
refrigeration appliances with a full charge of 50 or more pounds but 
less than 500 pounds, leak inspections must be conducted once per 
calendar year until the owner or operator can demonstrate through the 
leak

[[Page 147]]

rate calculations required under paragraph (b) of this section that the 
appliance has not leaked in excess of the applicable leak rate for one 
year.
    (iii) For comfort cooling appliances and other appliances not 
covered by paragraphs (g)(1)(i) and (ii) of this section, leak 
inspections must be conducted once per calendar year until the owner or 
operator can demonstrate through the leak rate calculations required 
under paragraph (b) of this section that the appliance has not leaked in 
excess of the applicable leak rate for one year.
    (2) Leak inspections must be conducted by a certified technician 
using method(s) determined by the technician to be appropriate for that 
appliance.
    (3) All visible and accessible components of an appliance must be 
inspected, with the following exceptions:
    (i) Where components are insulated, under ice that forms on the 
outside of equipment, underground, behind walls, or are otherwise 
inaccessible;
    (ii) Where personnel must be elevated more than two meters above a 
support surface; or
    (iii) Where components are unsafe to inspect, as determined by site 
personnel.
    (4) Quarterly or annual leak inspections are not required on 
appliances, or portions of appliances, continuously monitored by an 
automatic leak detection system that is audited or calibrated annually. 
An automatic leak detection system may directly detect refrigerant in 
air, monitor its surrounding in a manner other than detecting 
refrigerant concentrations in air, or monitor conditions of the 
appliance.
    (i) For systems that directly detect the presence of a refrigerant 
in air, the system must:
    (A) Only be used to monitor components located inside an enclosed 
building or structure;
    (B) Have sensors or intakes placed so that they will continuously 
monitor the refrigerant concentrations in air in proximity to the 
compressor, evaporator, condenser, and other areas with a high potential 
for a refrigerant leak;
    (C) Accurately detect a concentration level of 10 parts per million 
of vapor of the specific refrigerant or refrigerants used in the 
refrigeration appliance(s); and
    (D) Alert the owner or operator when a refrigerant concentration of 
100 parts per million of vapor of the specific refrigerant or 
refrigerants used in the refrigeration appliance(s) is reached.
    (ii) For a system that monitors its surrounding in a manner other 
than detecting refrigerant concentrations in air or monitor conditions 
of the appliance, the system must automatically alert the owner or 
operator when measurements indicate a loss of 50 pounds of refrigerant 
or 10 percent of the full charge, whichever is less.
    (iii) When automatic leak detection equipment is only being used to 
monitor portions of an appliance, the remainder of the appliance 
continues to be subject to any applicable leak inspection requirements.
    (h) Retrofit or retirement plans. (1) The owner or operator must 
create a retrofit or retirement plan within 30 days of:
    (i) an appliance leaking above the applicable leak rate in paragraph 
(c) of this section if the owner or operator intends to retrofit or 
retire rather than repair the leak;
    (ii) an appliance leaking above the applicable leak rate in 
paragraph (c) of this section if the owner or operator fails to take any 
action to identify or repair the leak; or
    (iii) an appliance continues to leak above the applicable leak rate 
after having conducted the required repairs and verification tests under 
paragraphs (d) and (e) of this section.
    (2) A retrofit or retirement plan must, at a minimum, contain the 
following information:
    (i) Identification and location of the appliance;
    (ii) Type and full charge of the refrigerant used in the appliance;
    (iii) Type and full charge of the refrigerant to which the appliance 
will be converted, if retrofitted;
    (iv) Itemized procedure for converting the appliance to a different 
refrigerant, including changes required for compatibility with the new 
substitute, if retrofitted;
    (v) Plan for the disposition of recovered refrigerant;

[[Page 148]]

    (vi) Plan for the disposition of the appliance, if retired; and
    (vii) A schedule, not to exceed one-year, for completion of the 
appliance retrofit or retirement.
    (3) The retrofit or retirement plan must be signed by an authorized 
company official, dated, accessible at the site of the appliance in 
paper copy or electronic format, and available for EPA inspection upon 
request.
    (4) All identified leaks must be repaired as part of any retrofit 
under such a plan.
    (5)(i) Unless granted additional time, all work performed in 
accordance with the plan must be finished within one year of the plan's 
date (not to exceed 13 months from when the plan was required in 
paragraph (h)(1) of this section).
    (ii) The owner or operator may request that EPA relieve it of the 
obligation to retrofit or retire an appliance if the owner or operator 
can establish within 180 days of the plan's date that the appliance no 
longer exceeds the applicable leak rate and if the owner or operator 
agrees in writing to repair all identified leaks within one year of the 
plan's date consistent with paragraph (h)(4) and (h)(5)(i) of this 
section. The owner or operator must submit to EPA the retrofit or 
retirement plan as well as the following information: The date that the 
requirement to develop a retrofit or retirement plan was triggered; the 
leak rate; the method used to determine the leak rate and full charge; 
the location of the leak(s) identified in the leak inspection; a 
description of repair work that has been completed; a description of 
repair work that has not been completed; a description of why the repair 
was not conducted within the time frames required under paragraphs (d) 
and (f) of this section; and a statement signed by an authorized 
official that all identified leaks will be repaired and an estimate of 
when those repairs will be completed (not to exceed one year from date 
of the plan). The request will be considered approved unless EPA 
notifies the owners or operators within 60 days of receipt of the 
request that it is not approved.
    (i) Extensions to the one-year retrofit or retirement schedule. 
Owners or operators may request more than one year to comply with 
paragraph (h) of this section if they meet the requirements of this 
paragraph. The request will be considered approved unless EPA notifies 
the owners or operators within 60 days of receipt of the request that it 
is not approved. The request must be submitted to EPA at the address 
specified in Sec.  82.157(m) within seven months of discovering the 
appliance exceeded the applicable leak rate. The request must include 
the identification of the appliance; name of the owner or operator; the 
leak rate; the method used to determine the leak rate and full charge; 
the date the appliance exceeded the applicable leak rate; the location 
of leaks(s) to the extent determined to date; any repair work that has 
been finished thus far, including the date that work was finished; a 
plan to finish the retrofit or retirement of the appliance; the reasons 
why more than one year is necessary to retrofit or retire the appliance; 
the date of notification to EPA; and an estimate of when retrofit or 
retirement work will be finished. A dated copy of the request must be 
available on-site in either electronic or paper copy. If the estimated 
completion date is to be revised, a new estimated date of completion and 
documentation of the reason for that change must be submitted to EPA at 
the address specified in Sec.  82.157(m) within 30 days. Additionally, 
the time frames in paragraphs (h) and (i) of this section are 
temporarily suspended when an appliance is mothballed. The time will 
resume running on the day additional refrigerant is added to the 
appliance (or component of an appliance if the leaking component was 
isolated).
    (1) Extensions available to any appliance. Owners or operators of 
commercial refrigeration, industrial process refrigeration, comfort-
cooling, or other equipment are automatically allowed 18 months to 
retire an appliance if the replacement appliance uses a substitute 
refrigerant exempted under Sec.  82.154(a).
    (2) Extensions available to industrial process refrigeration. Owners 
or operators of industrial process refrigeration equipment may request 
additional time beyond the one-year period in paragraph (h) of this 
section to finish

[[Page 149]]

the retrofit or retirement under the following circumstances.
    (i) Requirements of other applicable Federal, state, or local 
regulations make a retrofit or retirement within one year impossible. 
Additional time is permitted to the extent needed to comply with the 
pertinent regulations;
    (ii) The new or the retrofitted equipment is custom-built as defined 
in this subpart and the supplier of the appliance or one of its 
components has quoted a delivery time of more than 30 weeks from when 
the order is placed. The appliance or appliance components must be 
installed within 120 days after receiving delivery of the necessary 
parts; or
    (iii) After receiving an extension under paragraph (i)(2)(ii) of 
this section, owners or operators may request additional time if 
necessary to finish the retrofit or retirement of equipment. The request 
must be submitted to EPA before the end of the ninth month of the 
initial extension and must include the same information submitted for 
that extension, with any necessary revisions. A dated copy of the 
request must be available on-site in either electronic or paper copy. 
The request will be considered approved unless EPA notifies the owners 
or operators within 60 days of receipt of the request that it is not 
approved.
    (3) Extensions available to Federally owned equipment. Owners or 
operators of federally owned commercial or comfort-cooling equipment may 
request an additional year beyond the one-year period in paragraph (h) 
of this section to finish the retrofit or retirement under the following 
circumstances:
    (i) A delivery time of more than 30 weeks from the beginning of the 
official procurement process is quoted due to complications presented by 
the Federal agency appropriations and/or procurement process;
    (ii) The appliance is located in an area subject to radiological 
contamination and creating a safe working environment will require more 
than 30 weeks; or
    (iii) After receiving a one-year extension under paragraphs 
(i)(3)(i) or (ii) of this section, additional time may be requested if 
necessary to finish the retrofit or retirement of equipment. The request 
must be submitted to EPA before the end of the ninth month of the one-
year extension and must include the same information submitted for that 
one-year extension, with any necessary revisions. A dated copy of the 
request must be available on-site in either electronic or paper copy. 
The request will be considered approved unless EPA notifies the owners 
or operators within 60 days of receipt of the request that it is not 
approved.
    (j) Chronically leaking appliances. Owners or operators of 
appliances containing 50 pounds or more of refrigerant that leak 125 
percent or more of the full charge in a calendar year must submit a 
report to EPA at the address in paragraph (m) of this section. This 
report must be submitted by March 1 of the subsequent year and describe 
efforts to identify leaks and repair the appliance.
    (k) Purged refrigerant. In calculating annual leak rates, purged 
refrigerant that is destroyed at a verifiable destruction efficiency of 
98 percent or greater will not be counted toward the leak rate.
    (l) Recordkeeping. All records identified in this paragraph must be 
kept for at least three years in electronic or paper format, unless 
otherwise specified.
    (1) Owners or operators must determine the full charge of all 
appliances with 50 or more pounds of refrigerant and maintain the 
following information for each appliance until three years after the 
appliance is retired:
    (i) The identification of the owner or operator of the appliance;
    (ii) The address where the appliance is located;
    (iii) The full charge of the appliance and the method for how the 
full charge was determined;
    (iv) If using method 4 (using an established range) for determining 
full charge, records must include the range for the full charge of the 
appliance, its midpoint, and how the range was determined;
    (v) Any revisions of the full charge, how they were determined, and 
the dates such revisions occurred.
    (2) Owners or operators must maintain a record including the 
following information for each time an appliance

[[Page 150]]

with a full charge of 50 or more pounds is maintained, serviced, 
repaired, or disposed of, when applicable. If the maintenance, service, 
repair, or disposal is done by someone other than the owner or operator, 
that person must provide a record containing the following information, 
with the exception of (l)(2)(vii) and (viii) of this section, to the 
owner or operator:
    (i) The identity and location of the appliance;
    (ii) The date of the maintenance, service, repair, or disposal 
performed;
    (iii) The part(s) of the appliance being maintained, serviced, 
repaired, or disposed;
    (iv) The type of maintenance, service, repair, or disposal performed 
for each part;
    (v) The name of the person performing the maintenance, service, 
repair, or disposal;
    (vi) The amount and type of refrigerant added to, or in the case of 
disposal removed from, the appliance;
    (vii) The full charge of the appliance; and
    (viii) The leak rate and the method used to determine the leak rate 
(not applicable when disposing of the appliance, following a retrofit, 
installing a new appliance, or if the refrigerant addition qualifies as 
a seasonal variance).
    (3) Owners or operators must keep records of leak inspections that 
include the date of inspection, the method(s) used to conduct the leak 
inspection, a list of the location of each leak that was identified, and 
a certification that all visible and accessible parts of the appliance 
were inspected. Technicians conducting leak inspections must, upon 
conclusion of that service, provide the owner or operator of the 
appliance with documentation that meets these requirements.
    (4) If using an automatic leak detection system, the owner or 
operator must maintain records regarding the installation and the annual 
audit and calibration of the system, a record of each date the 
monitoring system identified a leak, and the location of the leak.
    (5) Owners or operators must maintain records of the dates and 
results of all initial and follow-up verification tests. Records must 
include the location of the appliance, the date(s) of the verification 
tests, the location(s) of all repaired leaks that were tested, the 
type(s) of verification test(s) used, and the results of those tests. 
Technicians conducting initial or follow-up verification tests must, 
upon conclusion of that service, provide the owner or operator of the 
appliance with documentation that meets these requirements.
    (6) Owners or operators must maintain retrofit or retirement plans 
developed in accordance with paragraph (h) of this section.
    (7) Owners or operators must maintain retrofit and/or extension 
requests submitted to EPA in accordance with paragraph (i) of this 
section.
    (8) Owners or operators that suspend the deadlines in this section 
by mothballing an appliance must keep records documenting when the 
appliance was mothballed and when additional refrigerant was added to 
the appliance (or isolated component).
    (9) Owners or operators who exclude purged refrigerants that are 
destroyed from annual leak rate calculations must maintain records to 
support the amount of refrigerant claimed as sent for destruction. 
Records must be based on a monitoring strategy that provides reliable 
data to demonstrate that the amount of refrigerant claimed to have been 
destroyed is not greater than the amount of refrigerant actually purged 
and destroyed and that the 98 percent or greater destruction efficiency 
is met. Records must include flow rate, quantity or concentration of the 
refrigerant in the vent stream, and periods of purge flow. Records must 
include:
    (i) The identification of the facility and a contact person, 
including the address and telephone number;
    (ii) A description of the appliance, focusing on aspects relevant to 
the purging of refrigerant and subsequent destruction;
    (iii) A description of the methods used to determine the quantity of 
refrigerant sent for destruction and type of records that are being kept 
by the owners or operators where the appliance is located;
    (iv) The frequency of monitoring and data-recording; and

[[Page 151]]

    (v) A description of the control device, and its destruction 
efficiency.
    (10) Owners or operators that exclude additions of refrigerant due 
to seasonal variance from their leak rate calculation must maintain 
records stating that they are using the seasonal variance flexibility 
and documenting the amount added and removed under Sec.  82.157(l)(2).
    (11) Owners or operators that submit reports to EPA in accordance 
with paragraph (m) of this section must maintain copies of the submitted 
reports and any responses from EPA.
    (m) Reporting. All notifications must be submitted electronically to 
[email protected] unless the notification contains confidential 
business information. If the notification contains confidential business 
information, the information should be submitted to: Section 608 Program 
Manager; Stratospheric Protection Division; Mail Code: 6205T; U.S. 
Environmental Protection Agency; 1200 Pennsylvania Avenue NW., 
Washington, DC 20460.
    (1) Owners or operators must notify EPA at this address in 
accordance with paragraph (f) of this section when seeking an extension 
of time to complete repairs.
    (2) Owners or operators must notify EPA at this address in 
accordance with paragraph (h)(5)(ii) of this section when seeking relief 
from the obligation to retrofit or retire an appliance.
    (3) Owners or operators must notify EPA at this address in 
accordance with paragraph (i) of this section when seeking an extension 
of time to complete the retrofit or retirement of an appliance.
    (4) Owners or operators must notify EPA at this address in 
accordance with paragraph (j) of this section for any appliance that 
leaks 125 percent or more of the full charge in a calendar year.
    (5) When excluding purged refrigerants that are destroyed from 
annual leak rate calculations, owners or operators must notify EPA at 
this address within 60 days after the first time the exclusion is used 
by the facility where the appliance is located. The report must include 
the information included in paragraph (l)(9) of this section.

[81 FR 82356, Nov. 18, 2016, as amended at 85 FR 14171, Apr. 10, 2020]



Sec.  82.158  Standards for recovery and/or recycling equipment.

    Starting January 1, 2017, this section applies to recovery and/or 
recycling equipment for use during the maintenance, service, repair, or 
disposal of appliances containing any class I or class II refrigerant or 
any non-exempt substitute refrigerant.
    (a) No person may manufacture or import recovery and/or recycling 
equipment for use during the maintenance, service, repair, or disposal 
of appliances unless the equipment is certified in accordance with this 
section.
    (b) No person may alter the design of certified refrigerant recovery 
and/or recycling equipment in a way that would affect the equipment's 
ability to meet the certification standards in this section without 
resubmitting the altered design for certification testing. Until it is 
tested and shown to meet the certification standards in this section, 
equipment so altered will be considered uncertified.
    (c) Recovery and/or recycling equipment manufactured or imported 
before November 15, 1993, intended for use during the maintenance, 
service, repair, or disposal of appliances (except small appliances, 
MVACs, and MVAC-like appliances) will be considered certified if it is 
capable of achieving the level of evacuation specified in Table 2 of 
this section when tested using a properly calibrated pressure gauge.
    (d) Manufacturers and importers of recovery and/or recycling 
equipment must have such equipment certified by an approved equipment 
testing organization as follows:
    (1) Recovery and/or recycling equipment manufactured or imported on 
or after November 15, 1993, and before September 22, 2003, intended for 
use during the maintenance, service, repair, or disposal of appliances 
(except small appliances, MVACs, and MVAC-like appliances) must be 
certified by an approved equipment testing organization as being capable 
of achieving the level of evacuation specified in Table 2 of this 
section under the conditions of appendix B1 of this subpart (based upon 
the ARI Standard 740-1993, Performance of Refrigerant Recovery, 
Recycling and/or Reclaim Equipment).

[[Page 152]]

    (2) Recovery and/or recycling equipment manufactured or imported on 
or after September 22, 2003, and before January 1, 2017, intended for 
use during the maintenance, service, repair, or disposal of appliances 
(except small appliances, MVACs, and MVAC-like appliances) must be 
certified by an approved equipment testing organization as being capable 
of achieving the level of evacuation specified in Table 2 of this 
section under the conditions of appendix B2 of this subpart (based upon 
the ARI Standard 740-1995, Performance of Refrigerant Recovery, 
Recycling and/or Reclaim Equipment).
    (3) Recovery and/or recycling equipment manufactured or imported on 
or after January 1, 2017, intended for use during the maintenance, 
service, repair, or disposal of appliances (except small appliances, 
MVACs, and MVAC-like appliances) must be certified by an approved 
equipment testing organization as being capable of achieving the level 
of evacuation specified in Table 2 of this section under the conditions 
of appendix B3 (for non-flammable refrigerants) based upon AHRI Standard 
740-2016 or appendix B4 (for flammable refrigerants) of this subpart.

           Table 2--Levels of Evacuation Which Must Be Achieved by Recovery and/or Recycling Equipment
                         [Except for small appliances, MVACs, and MVAC-like appliances.]
----------------------------------------------------------------------------------------------------------------
                                         Inches of Hg vacuum (relative to standard atmospheric pressure of 29.9
 Type of appliance with which recovery                                 inches Hg)
 and/or recycling machine is intended  -------------------------------------------------------------------------
              to be used                  Manufactured or imported before       Manufactured or imported on or
                                                 November 15, 1993                 after November 15, 1993
----------------------------------------------------------------------------------------------------------------
HCFC-22 appliances, or isolated         0..................................  0.
 component of such appliances, with a
 full charge of less than 200 pounds
 of refrigerant.
HCFC-22 appliances, or isolated         4..................................  10.
 component of such appliances, with a
 full charge of 200 pounds or more of
 refrigerant.
Very high-pressure appliances.........  0..................................  0.
Other high-pressure appliances, or      4..................................  10.
 isolated component of such
 appliances, with a full charge of
 less than 200 pounds of refrigerant.
Other high-pressure appliances, or      4..................................  15.
 isolated component of such
 appliances, with a full charge of 200
 pounds or more of refrigerant.
Medium-pressure appliances, or          4..................................  10.
 isolated component of such
 appliances, with a full charge of
 less than 200 pounds of refrigerant.
Medium-pressure appliances, or          4..................................  15.
 isolated component of such
 appliances, with a full charge of 200
 pounds or more of refrigerant.
Low-pressure appliances...............  25 mm Hg absolute..................  25 mm Hg absolute.
----------------------------------------------------------------------------------------------------------------

    (4) Recovery and/or recycling equipment whose recovery efficiency 
cannot be tested according to the procedures in appendix B1, B2, B3, or 
B4 of this subpart as applicable may be certified if an approved third-
party testing organization adopts and performs a test that demonstrates, 
to the satisfaction of the Administrator, that the recovery efficiency 
of that equipment is equal to or better than that of equipment that:
    (i) Is intended for use with the same type of appliance; and
    (ii) Achieves the level of evacuation in Table 2. The manufacturer's 
instructions must specify how to achieve the required recovery 
efficiency, and the equipment must be tested when used according to 
these instructions.
    (5) The equipment must meet the minimum requirements for 
certification under appendix B1, B2, B3, or B4 of this subpart as 
applicable.
    (6) If the equipment is equipped with a noncondensables purge 
device, the equipment must not release more than 3 percent of the 
quantity of refrigerant being recycled through noncondensables purging 
under the conditions of appendix B1, B2, B3, or B4 of this subpart as 
applicable.

[[Page 153]]

    (7) The equipment must be equipped with low-loss fittings on all 
hoses.
    (8) The equipment must have its liquid recovery rate and its vapor 
recovery rate measured under the conditions of appendix B1, B2, B3, or 
B4 as applicable, unless the equipment has no inherent liquid or vapor 
recovery rate.
    (e) Small Appliances. Equipment used during the maintenance, 
service, repair, or disposal of small appliances must be certified by an 
approved equipment testing organization to be capable of recovering 90 
percent of the refrigerant in the test stand when the compressor of the 
test stand is operational and 80 percent of the refrigerant when the 
compressor of the test stand is not operational, when used in accordance 
with the manufacturer's instructions under the conditions of appendix C, 
Method for Testing Recovery Devices for Use with Small Appliances.
    (1) Equipment manufactured or imported before November 15, 1993, 
will be considered certified if it is capable of either recovering 80 
percent of the refrigerant in the system, whether or not the compressor 
of the test stand is operational, or achieving a four-inch vacuum when 
tested using a properly calibrated pressure gauge.
    (2) Equipment manufactured or imported on or after November 15, 
1993, may also be certified if it is capable of achieving a four-inch 
vacuum under the conditions of appendix B1 of this subpart, based upon 
ARI Standard 740-1993.
    (3) Equipment manufactured or imported on or after September 22, 
2003, and before January 1, 2017, may also be certified if it is capable 
of achieving a four-inch vacuum under the conditions of appendix B2 of 
this subpart, based upon ARI Standard 740-1995.
    (4) Equipment manufactured or imported on or after January 1, 2017, 
may also be certified if it is capable of achieving a four-inch vacuum 
under the conditions of appendix B3 of this subpart (for non-flammable 
refrigerants), based upon AHRI Standard 740-2016 or appendix B4 of this 
subpart (for flammable refrigerants), based upon both AHRI Standard 740-
2016 and UL 1963, Supplement SB, Requirements for Refrigerant Recovery/
Recycling Equipment Intended for Use with a Flammable Refrigerant, 
Fourth Edition, June 1, 2011.
    (5) Equipment used to evacuate any class I or class II refrigerant 
or any non-exempt substitute refrigerant from small appliances before 
they are disposed of may also be certified if it is capable of achieving 
a four-inch vacuum when tested using a properly calibrated pressure 
gauge.
    (f) MVAC-like appliances. (1) Manufacturers and importers of 
recovery and/or recycling equipment intended for use during the 
maintenance, service, repair, or disposal of MVAC-like appliances must 
certify such equipment in accordance with subpart B of this part.
    (2) Equipment manufactured or imported before November 15, 1993, 
intended for use during the maintenance, service, or repair of MVAC-like 
appliances must be capable of reducing the system pressure to 102 mm of 
mercury vacuum under the conditions of appendix A of subpart B of this 
part.
    (g) MVACs. Manufacturers and importers of recovery and/or recycling 
equipment intended for use during the maintenance, service, repair, or 
disposal of MVACs must certify such equipment in accordance with subpart 
B of this part.
    (h) Labeling. (1) Manufacturers and importers of equipment certified 
under paragraphs (d) and (e) of this section must place a label on each 
piece of equipment stating the following:


THIS EQUIPMENT HAS BEEN CERTIFIED BY [APPROVED EQUIPMENT TESTING 
ORGANIZATION] TO MEET EPA's MINIMUM REQUIREMENTS FOR RECYCLING OR 
RECOVERY EQUIPMENT INTENDED FOR USE WITH [APPROPRIATE CATEGORY OF 
APPLIANCE].

    (2) The label must also show the date of manufacture and the serial 
number (if applicable) of the equipment. The label must be affixed in a 
readily visible or accessible location, be made of a material expected 
to last the lifetime of the equipment, present required information in a 
way that it is likely to remain legible for the lifetime of the 
equipment, and be affixed in such a way that it cannot be removed from 
the equipment without damage to the label.

[[Page 154]]

    (i) Retesting. At least once every three years, manufacturers or 
importers of certified recovery and/or recycling equipment intended for 
use during the maintenance, service, or repair of appliances (except 
MVACs or MVAC-like appliances) or during the disposal of appliances 
(except small appliances, MVACs, and MVAC-like appliances) must have 
approved equipment testing organizations conduct either:
    (1) Retests of certified recovery and/or recycling equipment in 
accordance with paragraphs (d) and (e) of this section; or
    (2) Inspections of recovery and/or recycling equipment at 
manufacturing facilities to ensure that each equipment model line that 
has been certified under this section continues to meet the 
certification criteria.
    (j) Revocation. An equipment model line that has been certified 
under this section may have its certification revoked if it is 
subsequently determined to fail to meet the certification criteria. In 
such cases, the Administrator must give notice to the manufacturer or 
importer setting forth the basis for the determination.
    (k) Equipment that is advertised or marketed as ``recycling 
equipment'' must be capable of recycling the standard contaminated 
refrigerant sample of appendix B2, B3, or B4 of this subpart (as 
applicable) to the levels in the following table when tested under the 
conditions of appendix B2, B3 or B4 of this subpart:

       Maximum Levels of Contaminants Permissible in Refrigerant Processed Through Equipment Advertised as
                                             ``Recycling'' Equipment
----------------------------------------------------------------------------------------------------------------
                                    Low-pressure (R-11, R-
           Contaminants              123, R-113) systems       R-12 systems             All other systems
----------------------------------------------------------------------------------------------------------------
Acid Content (by wt.).............  1.0 PPM..............  1.0 PPM.............  1.0 PPM.
Moisture (by wt.).................  20 PPM...............  10 PPM..............  20 PPM.
Noncondensable Gas (by vol.)        N/A..................  2.0%................  2.0%.
High Boiling Residues (by vol.)     1.0%.................  0.02%...............  0.02%.
Chlorides by Silver Nitrate Test..  No turbidity.........  No turbidity........  No turbidity.
Particulates......................  Visually clean.......  Visually clean......  Visually clean.
----------------------------------------------------------------------------------------------------------------


[81 FR 82360, Nov. 18, 2016]



Sec.  82.160  Approved equipment testing organizations.

    (a) Any equipment testing organization may apply for approval by the 
Administrator to certify equipment under the standards in Sec.  82.158 
and appendices B2, B3, B4, or C of this subpart. Applications must be 
sent to [email protected], or if containing confidential business 
information, mailed to: Section 608 Program Manager, Stratospheric 
Protection Division, Mail Code: 6205T, U.S. Environmental Protection 
Agency, 1200 Pennsylvania Avenue NW., Washington, DC 20460.
    (b) Applications for approval must include:
    (1) A list of equipment present at the organization that will be 
used for equipment testing.
    (2) Verification of the organization's expertise in equipment 
testing and the technical experience of the organization's personnel.
    (3) Verification of the organization's knowledge of the standards 
and recordkeeping and reporting requirements of this subpart.
    (4) A description of the organization's program for verifying the 
performance of certified recovery and/or recycling equipment 
manufactured over the long term, specifying whether retests of equipment 
or inspections of equipment at manufacturing facilities will be used.
    (5) Verification that the organization has no conflict of interest 
and receives no direct or indirect financial benefit from the outcome of 
certification testing.
    (6) Agreement to allow the Administrator access to records and 
personnel to verify the information contained in the application.

[[Page 155]]

    (c) Organizations may not certify equipment before receiving 
approval from EPA. If approval is denied under this section, the 
Administrator must give written notice to the organization setting forth 
the basis for the determination.
    (d) If an approved testing organization conducts certification tests 
in a way not consistent with the representations made in its application 
or with the provisions of this subpart, the Administrator may revoke 
approval in accordance with Sec.  82.169. In such cases, the 
Administrator must give notice to the organization setting forth the 
basis for the determination.
    (e) Recordkeeping and reporting. (1) Approved equipment testing 
organizations must maintain records of equipment testing and performance 
and a list of equipment that meets EPA requirements. This list must 
include the name of the manufacturer and the name and/or serial number 
of the model line. Approved equipment testing organizations must publish 
online a list of all certified equipment that includes the information 
specified above and update the list annually.
    (2) Approved equipment testing organizations must notify EPA at 
[email protected] if retests of equipment or inspections of 
manufacturing facilities conducted under to Sec.  82.158(i) show that a 
previously certified model line fails to meet EPA requirements. Such 
notification must be received within thirty days of the retest or 
inspection.
    (3) All records must be maintained for three years after the 
equipment is no longer offered for sale. Online lists must contain 
certified equipment until three years after that equipment is no longer 
offered for sale.

[81 FR 82362, Nov. 18, 2016]



Sec.  82.161  Technician certification.

    Until January 1, 2018, this section applies only to technicians and 
organizations certifying technicians that maintain, service, or repair 
appliances containing class I or class II refrigerants. Starting on 
January 1, 2018, this section applies to technicians and organizations 
certifying technicians that maintain, service, or repair appliances 
containing any class I or class II refrigerant or any non-exempt 
substitute refrigerant.
    (a) Certification Requirements. (1) Any person who could be 
reasonably expected to violate the integrity of the refrigerant circuit 
during the maintenance, service, repair, or disposal of appliances (as 
follows in this paragraph) containing a class I or class II refrigerant 
or a non-exempt substitute refrigerant must pass a certification exam 
offered by an approved technician certification program.
    (i) Persons who maintain, service, or repair small appliances must 
be certified as Type I technicians.
    (ii) Persons who maintain, service, repair, or dispose of medium-, 
high-, or very high-pressure appliances (except small appliances, MVACs, 
and MVAC-like appliances) must be certified as Type II technicians.
    (iii) Persons who maintain, service, repair, or dispose of low-
pressure appliances must be certified as Type III technicians.
    (iv) Persons who maintain, service, repair, or dispose of all 
appliances described in paragraph (a)(1)(i) through (iii) of this 
section must be certified as Universal technicians.
    (v) Technicians who maintain, service, or repair MVAC-like 
appliances must either be certified as Type II technicians or be 
certified in accordance with 40 CFR part 82, subpart B.
    (vi) Persons who maintain, service, or repair MVAC appliances for 
consideration must be certified in accordance with 40 CFR part 82, 
subpart B.
    (vii) Persons who dispose of small appliances, MVACs, and MVAC-like 
appliances are not required to be certified.
    (2) Apprentices are exempt from the requirement in paragraph (a)(1) 
of this section provided the apprentice is closely and continually 
supervised by a certified technician while performing any maintenance, 
service, repair, or disposal that could reasonably be expected to 
release refrigerant from an appliance into the environment, except those 
substitute refrigerants exempted under paragraph (a)(1) of this section. 
The supervising certified technician and the apprentice have the 
responsibility to ensure that the apprentice complies with this subpart.

[[Page 156]]

    (3) The Administrator may require technicians to demonstrate at 
their place of business their ability to perform proper procedures for 
recovering and/or recycling refrigerant, except those substitute 
refrigerants exempted under paragraph (a)(1) of this section. Failure to 
demonstrate or failure to properly use the equipment may result in 
revocation or suspension of the certificate. Failure to abide by any of 
the provisions of this subpart may also result in revocation or 
suspension of the certificate. If a technician's certificate is revoked, 
the technician would need to recertify before maintaining, servicing, 
repairing, or disposing of any appliances.
    (4) (i) Technicians certified under this section must keep a copy of 
their certificate at their place of business.
    (ii) Technicians must maintain a copy of their certificate until 
three years after no longer operating as a technician.
    (5) Recertification. The Administrator reserves the right to specify 
a requirement for technician recertification at some future date, if 
necessary, by placing a notice in the Federal Register.
    (b) Requirements for Technician Certification Programs. (1) No 
technician training or testing program may issue certificates under this 
section unless the program complies with all the standards of this 
section and appendix D, and has been granted approval by the 
Administrator.
    (2) Program Approval. Persons may seek approval of any technician 
certification program (program), in accordance with this paragraph, by 
submitting to the Administrator at the address in Sec.  82.160(a) 
verification that the program meets all the standards listed in appendix 
D of this subpart. The Administrator reserves the right to consider 
other relevant factors to ensure the effectiveness of certification 
programs. If approval is denied under this section, the Administrator 
must give written notice to the program setting forth the basis for the 
determination.
    (3) Alternative Examinations. Programs are encouraged to make 
provisions for non-English speaking technicians by providing tests in 
other languages or allowing the use of a translator when taking the 
test. A test may be administered orally to any person who makes this 
request, in writing, to the program at least 30 days before the 
scheduled date for the examination. The written request must explain why 
the request is being made.
    (4) Proof of Certification. Programs certifying technicians must 
provide technicians with identification cards in accordance with section 
(f) of appendix D of this subpart.
    (5) Programs certifying technicians must maintain records in 
accordance with section (g) of appendix D of this subpart.
    (6) Starting January 1, 2018, programs certifying technicians, 
excluding Federally-run programs, must publish online a list of all 
technicians they have certified on or after January 1, 2017. Certifying 
organizations must update these lists at least annually.
    (i) The list must include the first name, middle initial, and last 
name of the certified technician, the technician's city of residence 
when taking the test, the type(s) of certification received, and the 
date each certification was received.
    (ii) Programs certifying technicians must provide notice to 
technicians that such information will be published online in compliance 
with any other Federal, state or local regulations, and allow 
technicians to opt out of being included in such lists.
    (7) If an approved program violates any of the above requirements, 
the Administrator may revoke approval in accordance with Sec.  82.169. 
In such cases, the Administrator must give notice to the organization 
setting forth the basis for the determination.
    (c) Test Subject Material. A bank of test questions developed by the 
Administrator consists of groups, including a core group and technical 
groups. The Administrator will release this bank of questions only to 
approved technician certification programs. Each test for each type of 
certification must include at least 25 questions drawn from the core 
group and at least 25 questions drawn from each relevant technical 
group. These questions must address the subject areas in appendix D of 
this subpart.

[81 FR 82363, Nov. 18, 2016]

[[Page 157]]



Sec.  82.162  [Reserved]



Sec.  82.164  Reclaimer certification.

    (a) All persons reclaiming used class I or II refrigerant or non-
exempt substitute refrigerant for sale to a new owner must meet the 
following requirements:
    (1) Reclaim such refrigerant to all the specifications in appendix A 
of this subpart (based on AHRI Standard 700-2016, Specifications for 
Refrigerants) that are applicable to that refrigerant;
    (2) Verify that each batch of such refrigerant reclaimed meets these 
specifications using the analytical methodology prescribed in appendix A 
of this subpart, which includes the primary methodologies included in 
appendix A of AHRI Standard 700-2016;
    (3) Release no more than 1.5 percent of the refrigerant during the 
reclamation process;
    (4) Dispose of wastes from the reclamation process in accordance 
with all applicable laws and regulations; and
    (5) Maintain records and submit reports in accordance with paragraph 
(d) of this section.
    (b) The owner or a responsible officer reclaiming used refrigerant 
for sale to a new owner, except for persons who properly certified under 
this section before May 11, 2004, must certify to the Administrator at 
the address in Sec.  82.160(a) that they will meet the requirements in 
paragraph (a) of this section. The certification must include the name 
and address of the reclaimer and a list of equipment used to reclaim the 
refrigerant to the required standard, and to analyze the refrigerant to 
ensure it meets these specifications.
    (c) Certificates are not transferable. In the event of a change in 
ownership of an entity which reclaims refrigerant, the new owner of the 
entity must certify with the Administrator within 30 days of the change 
that they will meet the reclaimer certification requirements. In the 
event of a change in business management, location, or contact 
information, the owner of the entity must notify EPA within 30 days of 
the change at the address in Sec.  82.160(a).
    (d) Recordkeeping and reporting. (1) Reclaimers must maintain 
records, by batch, of the results of the analysis conducted to verify 
that reclaimed refrigerant meets the necessary specifications in 
paragraph (a)(2) of this section.
    (2) Reclaimers must maintain records of the names and addresses of 
persons sending them material for reclamation and the quantity of the 
material (the combined mass of refrigerant and contaminants) by 
refrigerant type sent to them for reclamation. Such records must be 
maintained on a transactional basis for three years.
    (3) Reclaimers must report to the Administrator annually by February 
1 of the next calendar year the total annual quantity of material (the 
combined mass of refrigerant and contaminants) by refrigerant type sent 
to them for reclamation, the total annual mass of each refrigerant 
reclaimed, and the total annual mass of waste products.
    (e) Failure to abide by any of the provisions of this subpart may 
result in revocation or suspension of the certification of the reclaimer 
in accordance with Sec.  82.169. In such cases, the Administrator must 
give notice to the organization setting forth the basis for the 
determination.

[81 FR 82364, Nov. 18, 2016]



Sec.  82.166  Reporting and recordkeeping requirements for leak repair.

    This section contains leak repair reporting and recordkeeping 
requirements that apply to owners and operators of appliances containing 
50 or more pounds of class I or class II refrigerants until January 1, 
2019. Starting January 1, 2019, the recordkeeping and reporting 
requirements in the leak repair provisions in Sec.  82.157(l) and (m) 
apply to owners and operators of appliances containing 50 or more pounds 
of class I or class II refrigerants or non-exempt substitutes.
    (a)-(i) [Reserved]
    (j) Persons servicing appliances normally containing 50 or more 
pounds of refrigerant must provide the owner/operator of such appliances 
with an invoice or other documentation, which indicates the amount of 
refrigerant added to the appliance.
    (k) Owners/operators of appliances normally containing 50 or more 
pounds of refrigerant must keep servicing records documenting the date 
and type

[[Page 158]]

of service, as well as the quantity of refrigerant added. The owner/
operator must keep records of refrigerant purchased and added to such 
appliances in cases where owners add their own refrigerant. Such records 
should indicate the date(s) when refrigerant is added.
    (l) [Reserved]
    (m) All records required to be maintained pursuant to this section 
must be kept for a minimum of three years unless otherwise indicated.
    (n) The owners or operators of appliances must maintain on-site and 
report to EPA Headquarters at the address listed in Sec.  82.160 the 
information specified in paragraphs (n)(1), (n)(2), and (n)(3) of this 
section, within the timelines specified under Sec.  82.156 (i)(1), 
(i)(2), (i)(3) and (i)(5) where such reporting or recordkeeping is 
required. This information must be relevant to the affected appliance.
    (1) An initial report to EPA under Sec.  82.156(i)(1)(i), (i)(2), or 
(i)(5)(i) regarding why more than 30 days are needed to complete repairs 
must include: Identification of the facility; the leak rate; the method 
used to determine the leak rate and full charge; the date a leak rate 
above the applicable leak rate was discovered; the location of leak(s) 
to the extent determined to date; any repair work that has been 
completed thus far and the date that work was completed; the reasons why 
more than 30 days are needed to complete the work and an estimate of 
when the work will be completed. If changes from the original estimate 
of when work will be completed result in extending the completion date 
from the date submitted to EPA, the reasons for these changes must be 
documented and submitted to EPA within 30 days of discovering the need 
for such a change.
    (2) If the owners or operators intend to establish that the 
appliance's leak rate does not exceed the applicable allowable leak rate 
in accordance with Sec.  82.156(i)(3)(v), the owner or operator must 
submit a plan to fix other outstanding leaks for which repairs are 
planned but not yet completed to achieve a rate below the applicable 
allowable leak rate. A plan to fix other outstanding leaks in accordance 
with Sec.  82.156(i)(3)(v) must include the following information: The 
identification of the facility; the leak rate; the method used to 
determine the leak rate and full charge; the date a leak rate above the 
applicable allowable leak rate was discovered; the location of leak(s) 
to the extent determined to date; and any repair work that has been 
completed thus far, including the date that work was completed. Upon 
completion of the repair efforts described in the plan, a second report 
must be submitted that includes the date the owner or operator submitted 
the initial report concerning the need for additional time beyond the 30 
days and notification of the owner or operator's determination that the 
leak rate no longer exceeds the applicable allowable leak rate. This 
second report must be submitted within 30 days of determining that the 
leak rate no longer exceeds the applicable allowable leak rate.
    (3) Owners or operators must maintain records of the dates, types, 
and results of all initial and follow-up verification tests performed 
under Sec.  82.156(i)(3). Owners or operators must submit this 
information to EPA within 30 days after conducting each test only where 
required under Sec.  82.156 (i)(1), (i)(2), (i)(3) and (i)(5). These 
reports must also include: Identification and physical address of the 
facility; the leak rate; the method used to determine the leak rate and 
full charge; the date a leak rate above the applicable allowable leak 
rate was discovered; the location of leak(s) to the extent determined to 
date; and any repair work that has been completed thus far and the date 
that work was completed. Submitted reports must be dated and include the 
name of the owner or operator of the appliance, and must be signed by an 
authorized company official.
    (o) The owners or operators of appliances must maintain on-site and 
report to EPA at the address specified in Sec.  82.160 the following 
information where such reporting and recordkeeping is required and in 
the timelines specified in Sec.  82.156 (i)(7) and (i)(8), in accordance 
with Sec.  82.156 (i)(7) and (i)(8). This information must be relevant 
to the affected appliance and must include:
    (1) The identification of the industrial process facility;
    (2) The leak rate;

[[Page 159]]

    (3) The method used to determine the leak rate and full charge;
    (4) The date a leak rate above the applicable allowable rate was 
discovered.
    (5) The location of leaks(s) to the extent determined to date;
    (6) Any repair work that has been completed thus far and the date 
that work was completed;
    (7) A plan to complete the retrofit or retirement of the system;
    (8) The reasons why more than one year is necessary to retrofit or 
retire the system;
    (9) The date of notification to EPA; and
    (10) An estimate of when retrofit or retirement work will be 
completed. If the estimated date of completion changes from the original 
estimate and results in extending the date of completion, the owner or 
operator must submit to EPA the new estimated date of completion and 
documentation of the reason for the change within 30 days of discovering 
the need for the change, and must retain a dated copy of this 
submission.
    (p)(1) Owners or operators who wish to exclude purged refrigerants 
that are destroyed from annual leak rate calculations must maintain 
records on-site to support the amount of refrigerant claimed as sent for 
destruction. Records shall be based on a monitoring strategy that 
provides reliable data to demonstrate that the amount of refrigerant 
claimed to have been destroyed is not greater than the amount of 
refrigerant actually purged and destroyed and that the 98 percent or 
greater destruction efficiency is met. Records shall include flow rate, 
quantity or concentration of the refrigerant in the vent stream, and 
periods of purge flow.
    (2) Owners or operators who wish to exclude purged refrigerants that 
are destroyed from annual leak rate calculations must maintain on-site 
and make available to EPA upon request the following information after 
the first time the exclusion is utilized by the facility:
    (i) The identification of the facility and a contact person, 
including the address and telephone number;
    (ii) A general description of the refrigerant appliance, focusing on 
aspects of the appliance relevant to the purging of refrigerant and 
subsequent destruction;
    (iii) A description of the methods used to determine the quantity of 
refrigerant sent for destruction and type of records that are being kept 
by the owners or operators where the appliance is located;
    (iv) The frequency of monitoring and data-recording; and
    (v) A description of the control device, and its destruction 
efficiency.

This information must also be included, where applicable, in any 
reporting requirements required for compliance with the leak repair and 
retrofit requirements for industrial process refrigeration equipment, as 
set forth in paragraphs (n) and (o) of this section.
    (q) Owners or operators choosing to determine the full charge as 
defined in Sec.  82.156(j) of an affected appliance by using an 
established range or using that methodology in combination with other 
methods for determining the full charge as defined in Sec.  82.156(j) 
must maintain the following information:
    (1) The identification of the owner or operator of the appliance;
    (2) The location of the appliance;
    (3) The original range for the full charge of the appliance, its 
midpoint, and how the range was determined;
    (4) Any and all revisions of the full charge range and how they were 
determined; and
    (5) The dates such revisions occurred.

[58 FR 28712, May 14, 1993, as amended at 59 FR 42957, Aug. 19, 1994; 60 
FR 40443, Aug. 8, 1995; 69 FR 11981, Mar. 12, 2004; 70 FR 1992, Jan. 11, 
2005; 79 FR 64290, Oct. 28, 2014; 81 FR 82364, Nov. 18, 2016]



Sec.  82.168  Incorporation by Reference.

    (a) Certain material is incorporated by reference into this subpart 
part with the approval of the Director of the Federal Register under 5 
U.S.C. 552(a) and 1 CFR part 51. You can obtain the material from the 
sources listed below. You may inspect a copy of the approved material at 
U.S. EPA's Air and Radiation Docket; EPA West Building, 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://

[[Page 160]]

www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html.
    (b) Air-Conditioning, Heating, and Refrigeration Institute (AHRI), 
2111 Wilson Boulevard, Suite 500, Arlington, VA 22201, www.ahrinet.org.
    (1) AHRI Standard 110-2016, 2016 Standard for Air-Conditioning, 
Heating and Refrigerating Equipment Nameplate Voltages, copyright 2016, 
into Appendix B3 to subpart F.
    (2) 2008 Appendix C to AHRI Standard 700-2014, 2008 Appendix C for 
Analytical Procedures for AHRI Standard 700-2014--Normative, copyright 
2008, into Appendix A to subpart F.
    (3) 2008 Appendix D to AHRI Standard 700-2014, 2012 Appendix D for 
Gas Chromatograms for AHRI Standard 700-2014--Informative, copyright 
2012, into Appendix A to subpart F.
    (c) American Society of Heating, Refrigerating and Air-Conditioning 
Engineers, Inc., (ASHRAE), 1791 Tullie Circle NE., Atlanta, GA 30329, 
U.S.A.
    (1) ANSI/ASHRAE Standard 63.2-1996 (RA 2010), Method of Testing 
Liquid-Line Filter Drier Filtration Capability, Reaffirmed June 26, 
2010, into Appendix B3 to subpart F.
    (d) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West 
Conshohocken, PA 19428-2959, www.astm.org.
    (1) ASTM D1296-01 (Reapproved 2012), Standard Test Method for Odor 
of Volatile Solvents and Diluents, approved July 1, 2012, into Appendix 
A to subpart F.
    (2) [Reserved]
    (e) Gas Processors Association, 6526 East 60th Street, Tulsa, 
Oklahoma 74145.
    (1) GPA Standard STD-2177-13, Analysis of Natural Gas Liquid 
Mixtures Containing Nitrogen and Carbon Dioxide by Gas Chromatography, 
Revised, copyright 2013, into Appendix A to subpart F.
    (2) [Reserved]
    (f) General Services Administration, 301 7th St. SW., Washington, DC 
20410.
    (1) BB-F-1421B, Federal Specification for ``Fluorocarbon 
Refrigerants,'' dated March 5, 1982, IBR approved for Appendix A to 
subpart F.
    (2) [Reserved]
    (g) International Electrotechnical Commission (IEC), 3, rue de 
Varemb[eacute], P.O. Box 131. CH-1211 Geneva 20--Switzerland, 41 22 919 
02 11, http://www.iec.ch.
    (1) IEC 60038, IEC Standard Voltages, Edition 7.0, 2009-06, into 
Appendix B3 to subpart F.
    (2) [Reserved]
    (h) Underwriters Laboratories (UL), 333 Pfingsten Road, Northbrook, 
IL 60062, 847-272-8800, http://www.ul.com.
    (1) UL 1963, Standard for Safety Requirements for Refrigerant 
Recovery/Recycling Equipment, Fourth Edition (with revisions through 
October 13, 2013), June 1, 2011, in appendix B3 to subpart F, appendix 
B4 to subpart F.
    (2) [Reserved]

[81 FR 82364, Nov. 18, 2016]



Sec.  82.169  Suspension and revocation procedures.

    (a) Failure to abide by any of the provisions of this subpart may 
result in the revocation or suspension of the approval to certify 
technicians (under Sec.  82.161), approval to act as a recovery/
recycling equipment testing organization (under Sec.  82.160), or 
reclaimer certification (under Sec.  82.164), hereafter referred to as 
the ``organization.'' In such cases, the Administrator or her or his 
designated representative shall give notice of an impending suspension 
to the person or organization setting forth the facts or conduct that 
provide the basis for the revocation or suspension.
    (b) Any organization that has received notice of an impending 
suspension or revocation may choose to request a hearing and must file 
that request in writing within 30 days of the date of the Agency's 
notice at the address listed in Sec.  82.160 and shall set forth their 
objections to the revocation or suspension and data to support the 
objections.
    (c) If the Agency does not receive a written request for a hearing 
within 30 days of the date of the Agency's notice, the revocation will 
become effective upon the date specified in the notice of an impending 
suspension.
    (d) If after review of the request and supporting data, the 
Administrator or her or his designated representative finds that the 
request raises a substantial factual issue, she or he shall provide the 
organization with a hearing.

[[Page 161]]

    (e) After granting a request for a hearing the Administrator or her 
or his designated representative shall designate a Presiding Officer for 
the hearing.
    (f) The hearing shall be held as soon as practicable at a time and 
place determined by the Administrator, the designated representative, or 
the Presiding Officer.
    (g) The Administrator or her or his designated representative may, 
at his or her discretion, direct that all argument and presentation of 
evidence be concluded within a specified period established by the 
Administrator or her or his designated representative. Said period may 
be no less than 30 days from the date that the first written offer of a 
hearing is made to the applicant. To expedite proceedings, the 
Administrator or her or his designated representative may direct that 
the decision of the Presiding Officer (who need not be the 
Administrator) shall be the final EPA decision.
    (h) Upon appointment pursuant to paragraph (e) of this section, the 
Presiding Officer will establish a hearing file. The file shall consist 
of the following:
    (1) The notice issued by the Administrator under Sec.  82.169(a);
    (2) the request for a hearing and the supporting data submitted 
therewith;
    (3) all documents relating to the request for certification and all 
documents submitted therewith; and
    (4) correspondence and other data material to the hearing.
    (i) The hearing file will be available for inspection by the 
petitioner at the office of the Presiding Officer.
    (j) An applicant may appear in person or may be represented by 
counsel or by any other duly authorized representative.
    (k) The Presiding Officer, upon the request of any party or at his 
or her discretion, may arrange for a pre-hearing conference at a time 
and place he or she specifies. Such pre-hearing conferences will 
consider the following:
    (1) Simplification of the issues;
    (2) Stipulations, admissions of fact, and the introduction of 
documents;
    (3) Limitation of the number of expert witnesses;
    (4) Possibility of agreement disposing of any or all of the issues 
in dispute; and
    (5) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (l) The results of the conference shall be reduced to writing by the 
Presiding Officer and made part of the record.
    (m) Hearings shall be conducted by the Presiding Officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to the exclusion by the Presiding Officer 
of irrelevant, immaterial, and repetitious evidence.
    (n) Witnesses will not be required to testify under oath. However, 
the Presiding Officer shall call to the attention of witnesses that 
their statements may be subject to the provisions of 18 U.S.C. 1001, 
which imposes penalties for knowingly making false statements or 
representations or using false documents in any matter within the 
jurisdiction of any department or agency of the United States.
    (o) Any witness may be examined or cross-examined by the Presiding 
Officer, the parties, or their representatives.
    (p) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased by the petitioner from the reporter.
    (q) All written statements, charts, tabulations, and similar data 
offered in evidence at the hearings shall, upon a showing satisfactory 
to the Presiding Officer of their authenticity, relevancy, and 
materiality, be received in evidence and shall constitute a part of the 
record.
    (r) Oral argument may be permitted at the discretion of the 
Presiding Officer and shall be reported as part of the record unless 
otherwise ordered by the Presiding Officer.
    (s) The Presiding Officer shall make an initial decision that shall 
include written findings and conclusions and the reasons or basis 
regarding all the material issues of fact, law, or discretion presented 
on the record. The findings, conclusions, and written decision shall be 
provided to the parties and made a part of the record. The initial 
decision shall become the decision of

[[Page 162]]

the Administrator without further proceedings, unless there is an appeal 
to the Administrator or motion for review by the Administrator within 20 
days of the date the initial decision was filed.
    (t) On appeal from or review of the initial decision, the 
Administrator or her or his designated representative shall have all the 
powers which he or she would have in making the initial decision, 
including the discretion to require or allow briefs, oral argument, the 
taking of additional evidence, or a remand to the Presiding Officer for 
additional proceedings. The decision by the Administrator or her or his 
designated representative shall include written findings and conclusions 
and the reasons or basis therefore on all the material issues of fact, 
law, or discretion presented on the appeal or considered in the review.

[68 FR 43809, July 24, 2003]



Sec. Appendix A to Subpart F of Part 82--Specifications for Refrigerants

    This appendix is based on the Air-Conditioning, Heating, and 
Refrigeration Institute Standard 700-2016, Specifications for 
Refrigerants.

                           Section 1. Purpose

    1.1 Purpose. The purpose of this standard is to evaluate and accept/
reject refrigerants regardless of source (i.e., new, reclaimed and/or 
repackaged) for use in new and existing refrigeration and air-
conditioning products as required under 40 CFR part 82.
    1.1.1 Intent. This standard is intended for the guidance of the 
industry including manufacturers, refrigerant reclaimers, repackagers, 
distributors, installers, servicemen, contractors and for consumers.
    1.1.2 Review and Amendment. This standard is subject to review and 
amendment as the technology advances.

                            Section 2. Scope

    2.1 Scope. This standard specifies acceptable levels of contaminants 
(purity requirements) for various fluorocarbon and other refrigerants 
regardless of source and lists acceptable test methods. These 
refrigerants are as referenced in the ANSI/ASHRAE Standard 34 with 
Addenda:
    2.1.1 Single-Component Fluorocarbon Refrigerants: R-11, R-12, R-13, 
R-22, R-23, R-32, R-113, R-114, R-115, R-116, R-123, R-124, R-125, R-
134a, R-141b, R-142b, R-143a, R-152a, R-218, R-227ea, R-236fa, R-245fa, 
R-1233zd(E), R-1234yf, R-1234ze(E);
    2.1.2 Single Component Hydrocarbon Refrigerants: R-50, R-170, R-
E170, R-290, R-600, R-600a, R-601, R-601a, R-610, R-1150, R-1270;
    2.1.3 Carbon Dioxide Refrigerant: R-744;
    2.1.4 Zeotropic Blend Refrigerants: R-401A, R-401B, R-402A, R-402B, 
R-403A, R-403B, R-404A, R-405A, R-406A, R-407A, R-407B, R-407C, R-407D, 
R-407E, R-407F, R-408A, R-409A, R-409B, R-410A, R-410B, R-411A, R-411B, 
R-412A, R-413A, R-414A, R-414B, R-415A, R-415B, R-416A, R-417A, R-417B, 
R-417C, R-418A, R-419A, R-419B, R-420A, R-421A, R-421B, R-422A, R-422B, 
R-422C, R-422D, R-422E, R-423A, R-424A, R-425A, R-426A, R-427A, R-428A, 
R-429A, R-430A, R-431A, R-434A, R-435A, R-437A, R-438A, R-439A, R-440A, 
R-442A, R-444A, R-444B, R-445A, R-446A, R-447A, R-448A, R-449A, R-450A;
    2.1.5 Zeotropic Hydrocarbon Blend Refrigerants: R-432A, R-433A, R-
433B, R-433C, R-436A, R-436B, R-441A, R-443A; and
    2.1.6 Azeotropic Blend Refrigerants: R-500, R-502, R-503, R-507A, R-
508A, R-508B, R-509A, R-510A, R-511A, and R-512A.

                         Section 3. Definitions

    3.1 Definitions. All terms in this appendix will follow the 
definitions in Sec.  82.152 unless otherwise defined in this appendix.
    3.2 Shall, Should, Recommended, or It Is Recommended shall be 
interpreted as follows:
    3.2.1 Shall. Where ``shall'' or ``shall not'' is used for a 
provision specified, that provision is mandatory if compliance with this 
appendix is claimed.
    3.2.2 Should, Recommended, or It is Recommended is used to indicate 
provisions which are not mandatory but which are desirable as good 
practice.

      Section 4. Characterization of Refrigerants and Contaminants

    4.1 Characterization. Characterization of single component 
fluorocarbon (Table 1A) and zeotropic/azeotropic blend (Table 2A/3) 
refrigerants and contaminants are listed in the following general 
classifications:
    4.1.1 Isomer content (see Table 1A)
    4.1.2 Air and other non-condensables (see Tables 1A, 2A, 3)
    4.1.3 Water (see Tables 1A, 2A, 3)
    4.1.4 All other volatile impurities (see Tables 1A, 2A, 3)
    4.1.5 High boiling residue (see Tables 1A, 2A, 3)
    4.1.6 Halogenated unsaturated volatile impurities (see Table 1A)
    4.1.7 Particulates/solids (see Tables 1A, 2A, 3)
    4.1.8 Acidity (see Tables 1A, 2A, 3)
    4.1.9 Chloride (see Tables 1A, 2A, 3)
    4.2 Hydrocarbon Characterization. Characterization of hydrocarbon 
refrigerants (Tables 1B and 2B) and contaminants are listed in the 
following general classifications:

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    4.2.1 Nominal composition
    4.2.2 Other allowable impurities
    4.2.3 Air and other non-condensables
    4.2.4 Sulfur odor
    4.2.5 High boiling residue
    4.2.6 Particulates/solids
    4.2.7 Acidity
    4.2.8 Water
    4.2.9 All other volatile impurities
    4.2.10 Total C3, C4, and C5 polyolefins
    4.3 Carbon Dioxide Characterization. Characterization of carbon 
dioxide (Table 1C) and its contaminants are listed in the following 
general classifications:
    4.3.1 Purity
    4.3.2 Air and other non-condensables
    4.3.3 Water
    4.3.4 High boiling residue
    4.3.5 Particulates/solids

           Section 5. Sampling and Summary of Test Procedures

    5.1 Referee Test. The referee test methods for the various 
contaminants are summarized in the following paragraphs. Detailed test 
procedures are included in 2008 Appendix C to AHRI Standard 700-2014 
(incorporated by reference, see Sec.  82.168). If alternative test 
methods are employed, the user must be able to demonstrate that they 
produce results at least equivalent to the specified referee test 
method.
    5.2 Refrigerant Sampling
    5.2.1 Sampling Precautions. Special precautions should be taken to 
ensure that representative samples are obtained for analysis. Sampling 
shall be done by qualified personnel following accepted sampling and 
safety procedures. Refrigerants with critical temperatures near or below 
ambient temperature cannot be reliably sampled for both liquid and vapor 
phase without special handling.
    Note: Flammable refrigerants which are ASHRAE 34 class 2L, 2, or 3 
present additional safety challenges and require additional measures for 
sampling safety procedures compared to nonflammable halocarbons 
documented in this standard.
    5.2.2 Cylinder Preparation. Place a clean, empty sample cylinder 
with the valve open in an oven at 110 [deg]C (230 [deg]F) for one hour. 
Remove it from the oven while hot, immediately connect it to an 
evacuation system and evacuate to less than 56 kPa. Close the valve and 
allow it to cool. Weigh the empty cylinder.
    5.2.3 Vapor Phase Sampling. A vapor phase sample shall be obtained 
for determining the non-condensables. The source temperature shall be 
measured and recorded at the time the sample is taken.
    5.2.3.1 Special Handling for Low Critical Temperature Refrigerant. A 
vapor phase sample is required to determine non-condensables and 
volatile impurities, including other refrigerants. The vapor phase 
sample is obtained by regulating the sample container temperature to 5 K 
or more above the refrigerant critical temperature.
    5.2.3.2 Handling for Liquid Refrigerants with Boiling Points Near or 
Above Room Temperature. Since R-11, R-113, R-123, R-141b, R-245fa, and 
R-1233zd(E) have normal boiling points near or above room temperature, 
non-condensable determination is not required for these refrigerants.
    Note: Non-condensable gases, if present, will concentrate in the 
vapor phase of the refrigerant; care must be exercised to eliminate 
introduction of either air or liquid phase refrigerant during the sample 
transfer.
    5.2.4 Liquid Phase Sampling. A liquid phase sample is required for 
all tests listed in this standard except the test for non-condensables.
    5.2.4.1 Liquid Sampling. Accurate analysis requires that the sample 
cylinder, at ambient temperature, be filled to at least 60 percent by 
volume; however, under no circumstances should the cylinder be filled to 
more than 80 percent by volume. This can be accomplished by weighing the 
empty cylinder and then the cylinder with refrigerant. When the desired 
amount of refrigerant has been collected, close the valve(s) and 
immediately disconnect the sample cylinder.
    Note: Care should be taken to ensure that all connections and 
transfer lines are dry and evacuated to avoid contaminating the sample.
    Note: Low critical temperature refrigerants can have extremely high 
pressure and the sampling vessel, all connections, and transfer lines 
must be designed to handle high pressures.
    5.2.4.2 Special Handling for Low Critical Temperature Refrigerant. A 
liquid phase sample is required for all testing except volatile 
impurities, including other refrigerants. The liquid phase sample is 
obtained by regulating the sample cylinder temperature to 2 [deg]C below 
the critical temperature of the refrigerant.
    Note: If free water is present in the sample, cooling to below 0 
[deg]C may result in the formation of ice. Clathrates may form at 
temperatures above 0 [deg]C with some fluorocarbon refrigerants.
    5.2.4.3 Record Weight. Check the sample cylinder for leaks and 
record the gross weight.
    5.3 Refrigerant Identification. The required method shall be gas 
chromatography (GC) as described in 2008 Appendix C to AHRI Standard 
700-2014 (incorporated by reference, see Sec.  82.168) with the 
corresponding gas chromatogram figures as illustrated in 2012 Appendix D 
to AHRI Standard 700-2014 (incorporated by reference, see Sec.  82.168). 
The chromatogram of the sample shall be compared to known standards.
    5.3.2 Alternative Method. Determination of the boiling point and 
boiling point range is

[[Page 164]]

an acceptable alternative test method which can be used to characterize 
refrigerants. The test method shall be that described in section 4.4.3 
of BB-F-1421B (incorporated by reference, see Sec.  82.168).
    5.3.3 Required Values. The required values for boiling point and 
boiling point range are given in Table 1A, Physical Properties of Single 
Component Refrigerants; Table 1B, Physical Properties of Zeotropic 
Blends (400 Series Refrigerants); and Table 1C, Physical Properties of 
Azeotropic Blends (500 Series Refrigerants).
    5.4 Water Content.
    5.4.1 Method. The Coulometric Karl Fischer Titration shall be the 
primary test method for determining the water content of refrigerants. 
This method is described in 2008 Appendix C to AHRI Standard 700-2014 
(incorporated by reference, see Sec.  82.168). This method can be used 
for refrigerants that are either a liquid or a gas at room temperature. 
For all refrigerants, the sample for water analysis shall be taken from 
the liquid phase of the container to be tested.
    5.4.2 Limits. The value for water content shall be expressed in 
parts per million (ppm) by weight and shall not exceed the maximum 
specified in Tables 1A, 1B, 1C, 2A, 2B, and 3.
    5.5 Conductivity. (Alternative to chloride and acidity tests).
    5.5.1 Method. A refrigerant may be tested for conductivity as an 
indication of the presence of acids, metal chlorides, and any compound 
that ionizes in water. This alternative procedure is intended for use 
with new or reclaimed refrigerants, however, significant amounts of oil 
can interfere with the test results.
    5.5.2 Limits. The value for conductivity shall be converted to and 
expressed in ppm by weight calculated as HCl and shall be compared with 
the maximum acidity value specified (see in Tables 1A, 1B, 1C, 2A, 2B, 
and 3). If the conductivity is above this amount, then the chloride and 
acidity tests shall be conducted. If the conductivity is not greater 
than this amount, then the chloride and acidity tests may be omitted.
    5.6 Chloride. The refrigerant shall be tested for chloride as an 
indication of the presence of hydrochloric acid and/or metal chlorides. 
The referee procedure is intended for use with new or reclaimed 
halogenated refrigerants; however, high boiling residue in excess of the 
amounts in Tables 1A, 1B, 1C, 2A, 2B, and 3 can interfere with the test 
results.
    5.6.1 Method. The test method shall be that described in 2008 
Appendix C to AHRI Standard 700-2014 (incorporated by reference, see 
Sec.  82.168). The test will show noticeable turbidity at chloride 
levels of about 3 ppm or greater by weight.
    5.5.2 Limits. The results of the test shall not exhibit any sign of 
turbidity. Report the results as ``pass'' or ``fail.''
    5.7 Acidity.
    5.7.1 Method. The acidity test uses the titration principle to 
detect any compound that is soluble in water and ionizes as an acid. The 
test method shall be that described in 2008 Appendix C to AHRI Standard 
700-2014 (incorporated by reference, see Sec.  82.168). This test may 
not be suitable for determination of high molecular weight organic 
acids; however these acids will be found in the high boiling residue 
test outlined in Section 5.8. The test requires a 50 to 60 gram sample 
and has a detection limit of 0.1 ppm by weight calculated as HCl.
    5.7.2 Limits. The value for acidity shall be expressed in ppm by 
weight as HCl and shall not exceed the limits in Tables 1A, 1B, 2A, 2B, 
and 3.
    5.8 High Boiling Residue.
    5.8.1 Method. High boiling residue shall be determined by either 
volume or weight. The volume method measures the residue from a standard 
volume of refrigerant after evaporation. The gravimetric method is 
described in 2008 Appendix C to AHRI Standard 700-2014 (incorporated by 
reference, see Sec.  82.168). Oils and/or organic acids will be captured 
by these methods.
    5.8.2 Limits. The value for high boiling residue shall be expressed 
as a percentage by volume or weight and shall not exceed the maximum 
percent specified in Tables 1A, 1B, 1C, 2A, 2B, and 3.
    5.9 Particulates and Solids.
    5.9.1 Method. A measured amount of sample shall be placed in a Goetz 
bulb under controlled temperature conditions. The particulates/solids 
shall be determined by visual examination of the Goetz bulb prior to the 
evaporation of refrigerant. For details of this test method, refer to 
Part 3 of 2008 Appendix C to AHRI Standard 700-2014 (incorporated by 
reference, see Sec.  82.168).
    Note: R-744 will partially sublimate when measuring a known amount 
of liquid sample into the dry Goetz bulb and the solid R-744 will 
interfere with the visual examination of particulates/solids. 
Determining the particulates/solids shall be completed by visual 
examination of the Goetz bulb after the evaporation of the refrigerant.
    5.9.2 Limits. Visual presence of dirt, rust, or other particulate 
contamination is reported as ``fail.''
    5.10 Non-Condensables.
    5.10.1 Method. A vapor phase sample shall be used for determination 
of non-condensables. Non-condensable gases consist primarily of air 
accumulated in the vapor phase of refrigerants where the solubility of 
air in the refrigerant liquid phase is extremely low and air is not 
significant as a liquid phase contaminant. The presence of non-
condensable gases may reflect poor quality control in transferring 
refrigerants to storage tanks and cylinders.

[[Page 165]]

    The test method shall be gas chromatography with a thermal 
conductivity detector as described in 2008 Appendix C to AHRI Standard 
700-2014 (incorporated by reference, see Sec.  82.168).
    5.10.2 Limits. The maximum level of non-condensables in the vapor 
phase of a test sample shall not exceed the maximum at 25 [deg]C as 
shown in Tables 1A, 1B, 1C, 2A, 2B, and 3.
    5.11 All Other Volatile Impurities and/or Other Refrigerants.
    5.11.1 Method. The amount of volatile impurities including other 
refrigerants in the subject refrigerant shall be determined by gas 
chromatography as described in 2008 Appendix C to AHRI Standard 700-2014 
(incorporated by reference, see Sec.  82.168).
    5.11.2 Limits. The test sample shall not contain more than 0.5 
percent by weight of volatile impurities including other refrigerants as 
shown in Tables 1A, 1B, 1C, 2A, 2B and 3.
    5.12 Total C3, C4 and C5 Polyolefins in Hydrocarbon Refrigerants.
    5.12.1 Method. The amount of polyolefin impurities in the 
hydrocarbon shall be determined by gas chromatography as described in 
GPA Standard 2177-13 (incorporated by reference, see Sec.  82.168).
    5.12.2 Limits. The test sample shall not contain more than 0.05 
percent by weight in the hydrocarbon sample as shown in Tables 1B and 
2B. Report the results as ``pass'' or ``fail.''
    5.13 Sulfur Odor in Hydrocarbon Refrigerants.
    5.13.1 Method. The amount of sulfur containing compounds or other 
compounds with an odor shall be determined by ASTM D1296-01 (Reapproved 
2012) (incorporated by reference, see Sec.  82.168).
    5.13.2 Limits. The test sample paper shall not emit a residual 
sulfur odor as shown in Tables 1B and 2B.

                     Section 6. Reporting Procedure

    6.1 Reporting Procedure. The source (manufacturer, reclaimer, or 
repackager) of the packaged refrigerant shall be identified. The 
refrigerant shall be identified by its accepted refrigerant number and/
or its chemical name. Maximum allowable levels of contaminants are shown 
in Tables 1A, 1B, 1C, 2A, 2B, and 3. Test results shall be tabulated in 
a similar manner.

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                    Section 7.0 References--Normative

    Listed here are all standards, handbooks, and other publications 
essential to the formation and implementation of the standard. All 
references in this appendix are considered as part of this standard.

ANSI/ASHRAE Standard 34-2013, Designation and Safety Classification of 
          Refrigerants,

[[Page 181]]

          with Addenda, American National Standards Institute/American 
          Society of Heating, Refrigerating, and Air-Conditioning 
          Engineers.
2008 Appendix C to AHRI Standard 700-2014, 2008 Appendix C for 
          Analytical Procedures for AHRI Standard 700-2014--Normative, 
          copyright 2008 (incorporated by reference, see Sec.  82.168).
ASTM D1296-01 (Reapproved 2012), Standard Test Method for Odor of 
          Volatile Solvents and Diluents, approved July 1, 2012, 
          (incorporated by reference, see Sec.  82.168).
BB-F-1421B, Federal Specification for ``Fluorocarbon Refrigerants,'' 
          dated March 5, 1982, (incorporated by reference, see Sec.  
          82.168).
GPA Standard 2177-13, Analysis of Natural Gas Liquid Mixtures Containing 
          Nitrogen and Carbon Dioxide by Gas Chromatography, Revised, 
          copyright 2013, (incorporated by reference, see Sec.  82.168).
REFPROP Reference Fluid Thermodynamic and Transport Properties NIST 
          Standard Reference Database 23 version 9.1, 2013, U.S. 
          Department of Commerce, Technology Administration, National 
          Institute of Standards and Technology.

                   Section 8.0 References--Informative

    Listed here are standards, handbooks, and other publications which 
may provide useful information and background but are not considered 
essential.

2012 Appendix D to AHRI Standard 700-2014, 2012 Appendix D for Gas 
          Chromatograms for AHRI Standard 700-2014--Informative, 
          copyright 2012, (incorporated by reference, see Sec.  82.168).

[81 FR 82365, Nov. 18, 2016]



 Sec. Appendix A1 to Subpart F of Part 82--Generic Maximum Contaminant 
                                 Levels

------------------------------------------------------------------------
                Contaminant                        Reporting units
------------------------------------------------------------------------
Air and Other Non-condensables............  1.5% by volume @ 25 [deg]C
                                             (N/A for refrigerants used
                                             in low-pressure appliances
                                             \1\).
Water.....................................  10 ppm by weight 20 ppm by
                                             weight (for refrigerants
                                             used in low-pressure
                                             appliances \1\).
Other Impurities Including Refrigerant....  0.50% by weight.
High boiling residue......................  0.01% by volume.
Particulates/solids.......................  visually clean to pass.
Acidity...................................  1.0 ppm by weight.
Chlorides (chloride level for pass/fail is  No visible turbidity.
 3ppm).
------------------------------------------------------------------------
\1\ Low-pressure appliances means an appliance that uses a refrigerant
  with a liquid phase saturation pressure below 45 psia at 104 [deg]F.


                  Blend Compositions (Where Applicable)
------------------------------------------------------------------------
                                                             Allowable
            Nominal composition (by weight%)                composition
                                                           (by weight%)
------------------------------------------------------------------------
Component constitutes 25% or more.......................  2.0
Component constitutes less than 25% but greater than 10%  1.0
Component constitutes less than or equal to 10%.........  0.5
------------------------------------------------------------------------


[69 FR 11988, Mar. 12, 2004]



  Sec. Appendix B1 to Subpart F of Part 82--Performance of Refrigerant 
              Recovery, Recycling and/or Reclaim Equipment

    This appendix is based on the Air-Conditioning and Refrigeration 
Institute Standard 740-1993.

                Refrigerant Recovery/Recycling Equipment

                           Section 1. Purpose

    1.1 Purpose. The purpose of this standard is to establish methods of 
testing for rating and evaluating the performance of refrigerant 
recovery, and/or recycling equipment, and general equipment requirements 
(herein referred to as ``equipment'') for containment or purity levels, 
capacity, speed, and purge loss to minimize emission into the atmosphere 
of designated refrigerants.
    1.1.1 This standard is intended for the guidance of the industry, 
including manufacturers, refrigerant reclaimers, repackers, 
distributors, installers, servicemen, contractors and for consumers.
    1.1.2 This standard is not intended to be used as a guide in 
defining maximum levels of contaminants in recycled or reclaimed 
refrigerants used in various applications.
    1.2 Review and Amendment. This standard is subject to review and 
amendment as the technology advances.

                            Section 2. Scope

    2.1 Scope. This standard defines general equipment requirements and 
the test apparatus, test mixtures, sampling and analysis techniques that 
will be used to determine the performance of recovery and/or recycling 
equipment for various refrigerants including R11, R12, R13, R22, R113, 
R114, R123, R134a, R500, R502, and R503, as referenced in the ANSI/
ASHRAE Standard 34-1992, ``Number Designation of Refrigerants'' 
(American Society of Heating, Refrigerating, and Air Conditioning 
Engineers, Inc.).

[[Page 182]]

                         Section 3. Definitions

    3.1 Recovered refrigerant. Refrigerant that has been removed from a 
system for the purpose of storage, recycling, reclamation or 
transportation.
    3.2 Recover. Reference 40 CFR 82.152.
    3.3 Recycle. Reference 40 CFR 82.152.
    3.4 Reclaim. Reference 40 CFR 82.152.
    3.5 Standard Contaminated Refrigerant Sample. A mixture of new and/
or reclaimed refrigerant and specified quantities of identified 
contaminants which are representative of field obtained, used 
refrigerant samples and which constitute the mixture to be processed by 
the equipment under test.
    3.6 Push/Pull Method. The push/pull refrigerant recovery method is 
defined as the process of transferring liquid refrigerant from a 
refrigeration system to a receiving vessel by lowering the pressure in 
the vessel and raising the pressure in the system, and by connecting a 
separate line between the system liquid port and the receiving vessel.
    3.7 Recycle Rate. The amount of refrigerant processed (in pounds) 
divided by the time elapsed in the recycling mode in pounds per minute. 
For equipment which uses a separate recycling sequence, the recycle rate 
does not include the recovery rate (or elapsed time). For equipment 
which does not use a separate recycling sequence, the recycle rate is a 
maximum rate based solely on the higher of the liquid or vapor recovery 
rate, by which the rated contaminant levels can be achieved.
    3.8 Equipment Classification.
    3.8.1 Self Contained Equipment. A refrigerant recovery or recycling 
system which is capable of refrigerant extraction without the assistance 
of components contained within an air conditioning or refrigeration 
system.
    3.8.2 System Dependent Equipment. Refrigerant recovery equipment 
which requires for its operation the assistance of components contained 
in an air conditioning or refrigeration system.
    3.9 ``Shall'', ``Should'', ``Recommended'' or ``It is Recommended'', 
``Shall'' ``Should'', ``recommended'', or ``it is recommended'' shall be 
interpreted as follows:
    3.9.1 Shall. Where ``shall'' or ``shall not'' is used for a 
provision specified, that provision is mandatory if compliance with the 
standard is claimed.
    3.9.2 Should, Recommended, or It is Recommended, ``Should'', 
``recommended'', is used to indicate provisions which are not mandatory 
but which are desirable as good practice.

                Section 4. General Equipment Requirements

    4.1 The equipment manufacturer shall provide operating instructions, 
necessary maintenance procedures, and source information for replacement 
parts and repair.
    4.2 The equipment shall indicate when any filter/drier(s) needs 
replacement. This requirement can be met by use of a moisture transducer 
and indicator light, by use of a sight glass/moisture indicator, or by 
some measurement of the amount of refrigerant processed such as a flow 
meter or hour meter. Written instructions such as ``to change the filter 
every 400 pounds, or every 30 days'' shall not be acceptable except for 
equipment in large systems where the Liquid Recovery Rate is greater 
than 25 lbs/min [11.3 Kg/min] where the filter/drier(s) would be changed 
for every job.
    4.3 The equipment shall either automatically purge non-condensables 
if the rated level is exceeded or alert the operator that the non-
condensable level has been exceeded. While air purge processes are 
subject to the requirements of this section, there is no specific 
requirement to include an air purge process for ``recycle'' equipment.
    4.4 The equipment's refrigerant loss due to non-condensable purging 
shall not be exceeded 5% by weight of total recovered refrigerant. (See 
Section 9.4)
    4.5 Internal hose assemblies shall not exceed a permeation rate of 
12 pounds mass per square foot [5.8 g/cm \2\] of internal surface per 
year at a temperature of 120 F [48.8 [deg]C] for any designated 
refrigerant.
    4.6 The equipment shall be evaluated at 75 F [24 [deg]C] per 7.1. 
Normal operating conditions range from 50 [deg]F to 104 F [10 [deg]C to 
40 [deg]C].
    4.7 Exemptions:
    4.7.1 Equpment intended for recovery only shall be exempt from 
sections 4.2 and 4.3.

                                                   Table 1--Standard Contaminated Refrigerant Samples
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         R11      R12      R13      R22      R113     R114     R123    R134a     R500     R502     R503
--------------------------------------------------------------------------------------------------------------------------------------------------------
Moisture content:
    PPM by weight of pure refrigerant................      100       80       30      200      100       85      100      200      200      200       30
Particulate content:
    PPM by weight of pure refrigerant characterized         80       80       80       80       80       80       80       80       80       80       80
     by \1\..........................................

[[Page 183]]

 
Acid content:
    PPM by weight of pure refrigerant--(mg KOH per kg      500      100       NA      500      400      200      500      100      100      100       NA
     refrig.) characterized by \2\...................
Mineral oil content:
    % by weight of pure refrigerant..................       20        5       NA        5       20       20       20        5        5        5       NA
    Viscosity (SUS)..................................      300      150  .......      300      300      300      300      150      150      150
    Non condensable gases air content % volume\3\ .........................................
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Particulate content shall consist of inert materials and shall comply with particulate requirements in ASHRAE Standard 63.2, ``Method of Testing of
  Filtration Capacity of Refrigerant Liquid Line Filters and Filter Driers.''
\2\ Acid consists of 60% oleic acid and 40% hydrochloric acid on a total number basis.
\3\ Synthetic ester based oil.

                  Section 5. Contaminated Refrigerants

    5.1 The standard contaminated refrigerant sample shall have the 
characteristics specified in Table 1, except as provided in 5.2
    5.2 Recovery equipment not rated for any specific contaminant can be 
tested with new or reclaimed refrigerant.

                        Section 6. Test Apparatus

    6.1 Self Contained Equipment Test Apparatus. The apparatus as shown 
in Figure 1 consists of a 3 cubic foot [0.085 m\3\] mixing chamber with 
a conical-shaped bottom, although a larger mixing chamber is 
permissible. The size of the mixing chamber depends upon the size of the 
equipment. The outlet at the bottom of the cone and all restrictions and 
valves for liquid and vapor refrigerant lines in the test apparatus 
shall be a minimum of 0.375 in. [9.5 mm] inside diameter or equivalent. 
The minimum inside diameter for large equipment for use on chillers 
shall be 1.5 in. [38 mm.]. The mixing chamber shall contain various 
ports for receiving liquid refrigerant, oil, and contaminants. A 
recirculating line connected from the bottom outlet through a 
recirculating pump and then to a top vapor port shall be provided for 
stirring of the mixture. Isolation valves may be required for the pump. 
Alternative stirring means may be used if demonstrated to be equally 
effective.
    6.1.1 For liquid refrigerant feed, the liquid valve is opened. For 
vapor refrigerant feed, the vapor valve is opened and refrigerant passes 
through an evaporator coil. Flow is controlled by a thermostatic 
expansion valve to create 5 F [3 [deg]C] superheat at an evaporator 
temperature of 70 F 3 F[21 [deg]C2[deg]]. The evaporator coil or equivalent evaporator 
means shall be either sized large enough for the largest system or be 
sized for each system.
    6.1.2 An alternative method for vapor refrigerant feed is to pass 
through a boiler and then an automatic pressure regulating valve set at 
refrigerant saturation pressure at 75 F 3 F [24 
[deg]C 2 [deg]C].
    6.2 System Dependent Equipment Test Apparatus. This test apparatus 
is to be used for final recovery vacuum rating of all system dependent 
equipment.
    6.2.1 The test apparatus shown in Figure 2 consists of a complete 
refrigeration system. The manufacturer shall identify the refrigerants 
to be tested. The test apparatus can be modified to facilitate operation 
or testing of the system dependent equipment if the modifications to the 
apparatus are specifically described within the manufacturer's 
literature. (See Figure 2.) A \1/4\ inch [6.3 mm] balance line shall be 
connected across the test apparatus between the high and low pressure 
sides, with an isolation valve located at the connection to the 
compressor high side. A \1/4\ inch [6.3 mm] access port with a valve 
core shall be located in the balance line for the purpose of measuring 
final recovery vacuum at the conclusion of the test.

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                     Section 7. Performance Testing

    7.1 Contaminant removal and performance testing shall be conducted 
at 75 F 2 F [23.9 [deg]C 1.1 
[deg]C].
    7.1.1 The equipment shall be prepared for operation per the 
instruction manual.
    7.1.2 The contaminated sample batch shall consist of not less than 
the sum of the amounts required to complete steps 7.1.2.2 and 7.1.2.3 
below.
    7.1.2.1 A liquid sample shall be drawn from the mixing chamber prior 
to starting the test to assure quality control of the mixing process.
    7.1.2.2 Vapor refrigerant feed testing, if elected, shall normally 
be processed first. After the equipment reaches stabilized conditions of 
condensing temperature and/or storage tank pressure, the vapor feed 
recovery rate shall be measured. One method is to start measuring the 
vapor refrigerant recovery rate when 85% of refrigerant remains in the 
mixing chamber and continue for a period of time sufficient to achieve 
the accuracy in 9.2. If liquid feed is not elected, complete Step 
7.1.2.4.
    7.1.2.3 Liquid refrigerant feed testing, if elected, shall be 
processed next. After the equipment reaches stabilized conditions, the 
liquid feed recovery rate shall be measured. One method is to wait 2 
minutes after starting liquid feed and then measure the liquid 
refrigerant recovery rate for a period of time sufficient to achieve the 
accuracy in 9.1. Continue liquid recovery operation as called for in 
7.1.2.4.
    7.1.2.4 Continue recovery operation until all liquid is removed from 
the mixing chamber and vapor is removed to the point where the equipment 
shuts down per automatic means or is manually stopped per the operating 
instructions.
    7.1.2.5 After collecting the first contaminated refrigerant sample 
batch, the liquid and vapor value of the apparatus shall be closed and 
the mixing chamber pressure recorded after 1 minute as required in 9.5. 
After preparing a second contaminated refrigerant sample batch, continue 
recovery until the storage container reaches 80% liquid fill level. 
After recycling and measuring

[[Page 186]]

the recycle rate per section 7.1.3, set this container aside for the 
vapor sample in 8.2.2.
    7.1.2.6 Interruptions in equipment operations as called for in 
instruction manual are allowable.
    7.1.3 Recycle as called for in equipment operating instructions. 
Determine recycle rate by appropriate means as required in 9.3.
    7.1.4 Repeat steps 7.1.2, 7.1.2.4, and 7.1.3 with contaminated 
refrigerant sample until equipment indicator(s) show need to change 
filter(s). It will not be necessary to repeat the recycle rate 
determination in 7.1.3.
    7.1.4.1 For equipment with a multiple pass recirculating filter 
system, analyze the contents of the previous storage container.
    7.1.4.2 For equipment with a single pass filter system, analyze the 
contents of the current storage container.
    7.1.5 Refrigerant loss due to the equipment's non-condensable gas 
purge shall be determined by appropriate means. (See Section 9.4.)
    7.2 System Dependent Equipment. This procedure shall be used for 
vacuum rating of all system dependent equipment. Liquid refrigerant 
recovery rate, vapor refrigerant recovery rate, and recycle rate are not 
tested on system dependent systems.
    7.2.1 The apparatus operation and testing shall be conducted at 75 F 
2 F. [23.9 [deg]C. /1.1. 
[deg]C.].
    7.2.2 The apparatus shall be charged with refrigerant per its system 
design specifications.
    7.2.3 For measurement of final recovery vacuum as required in 9.5, 
first shut the balance line isolation valve and wait 1 minute for 
pressure to balance. Then connect and operate the recovery system per 
manufacturers recommendations. When the evacuation is completed, open 
the balance line isolation valve and measure the pressure in the balance 
line.

            Section 8. Sampling and Chemical Analysis Methods

    8.1 The referee test methods for the various contaminants are 
summarized in the following paragraphs. Detailed test procedures are 
included in Appendix A ``Test Procedures for ARI STD 700.'' If alternate 
test methods are employed, the user must be able to demonstrate that 
they produce results equivalent to the specified referee method.
    8.2 Refrigerant Sampling.
    8.2.1 Sampling Precautions. Special precautions should be taken to 
assure that representative samples are obtained for analysis. Sampling 
shall be done by trained laboratory personnel following accepted 
sampling and safety procedures.
    8.2.2 Gas Phase Sample. A gas phase sample shall be obtained for 
determining the non-condensables. Since non-condensable gases, if 
present, will concentrate in the vapor phase of the refrigerant, care 
must be exercised to eliminate introduction of air during the sample 
transfer. Purging is not and acceptable procedure for a gas phase sample 
since it may introduce a foreign product. Since R11, R113 and R123 have 
normal boiling points at or above room temperature, noncondensable 
determination is not required for these refrigerants.
    8.2.2.1 The sample cylinder shall be connected to an evacuated gas 
sampling bulb by means of a manifold. The manifold should have a valve 
arrangement that facilitates evacuation of all connecting tubing leading 
to the sampling bulb.
    8.2.2.2 After the manifold has been evacuated, close the valve to 
the pump and open the valve on the system. Allow the pressure to 
equilibrate and close valves.
    8.2.3 Liquid Phase Sample. A liquid phase sample is required for all 
tests listed in this standard, except the test for non-condensables.
    8.2.3.1 Place an empty sample cylinder with the valve open in an 
oven at 230 F [110 [deg]C] for one hour. Remove it from the oven while 
hot, immediately connect to an evacuation system and evacuate to less 
than 1mm. mercury (1000 microns). Close the valve and allow it to cool.
    8.2.3.2 The valve and lines from the unit to be sampled shall be 
clean and dry. Connect the line to the sample cylinder loosely. Purge 
through the loose connection. Make the connection tight at the end of 
the purge period. Take the sample as a liquid by chilling the sample 
cylinder slightly. Accurate analysis requires that the sample container 
be filled to at least 60% by volume; however under no circumstances 
should the cylinder be filled to more than 80% by volume. This can be 
accomplished by weighing the empty cylinder and then the cylinder with 
refrigerant. When the desired amount of refrigerant has been collected, 
close the valve(s) and disconnect the sample cylinder immediately.
    8.2.3.3 Check the sample cylinder for leaks and record the gross 
weight.
    8.3 Water Content.
    8.3.1. The Coulometric Karl Fischer Titration shall be the primary 
test method for determining the water content of refrigerants. This 
method is described in Appendix A. This method can be used for 
refrigerants that are either a liquid or a gas at room temperature, 
including Refrigerants 11 and 13. For all refrigerants, the sample for 
water analysis shall be taken from the liquid phase of the container to 
be tested. Proper operation of the analytical method requires special 
equipment and an experienced operator. The precision of the results is 
excellent if proper sampling and handling procedures are followed. 
Refrigerants containing a colored dye can be successfully analyzed for 
water using this method.

[[Page 187]]

    8.3.2 The Karl Fischer Test Method is an acceptable alternative test 
method for determining the water content of refrigerants. This method is 
described in ASTM Standard for ``Water in gases Using Karl Fisher 
Reagent'' E700-79, reapproved 1984 (American Society for Testing and 
Materials, Philadelphia, PA).
    8.3.3 Report the moisture level in parts per million by weight if a 
sample is required.
    8.4 Chloride. The refrigerant shall be tested for chlorides as an 
indication of the presence of hydrochloric or similar acids. The 
recommended procedure is intended for use with new or reclaimed 
refrigerants. Significant amounts of oil may interfere with the results 
by indicating a failure in the absence of chlorides.
    8.4.1 The test method shall be that described in Appendix A ``Test 
Procedures for ARI-700.'' The test will show noticeable turbidity at 
equivalent chloride levels of about 3 ppm by weight or higher.
    8.4.2 The results of the test shall not exhibit any sign of turbity. 
Report results as ``pass'' or ``fail.''
    8.5 Acidity.
    8.5.1 The acidity test uses the titration principle to detect any 
compound that is highly soluble in water and ionizes as an acid. The 
test method shall be that described in Appendix A. ``Test Procedures for 
ARI-700.'' The test may not be suitable for determination of high 
molecular weight organic acids; however these acids will be found in the 
high boiling residue test outlined in Section 5.7. The test requires 
about a 100 to 120 gram sample and has a low detection limit of 0.1 ppm 
by weight as HC1.
    8.6 High Boiling Residue.
    8.6.1 High boiling residue will be determined by measuring the 
residue of a standard volume of refrigerant after evaporation. The 
refrigerant sample shall be evaporated at room temperature or a 
temperature 50 F [10[deg].0C], above the boiling point of the sample 
using a Goetz tube as specified in Appendix A ``Test Procedures for ARI-
700.'' Oils and or organic acids will be captured by this method.
    8.6.2 The value for high boiling residue shall be expressed as a 
percentage by volume.
    8.7 Particulates/Solids.
    8.7.1 A measured amount of sample is evaporated from a Goetz bulb 
under controlled temperature conditions. The particulates/solids shall 
be determined by visual examination of the empty Goetz bulb after the 
sample has evaporated completely. Presence of dirt, rust or other 
particulate contamination is reported a ``fail.'' For details of this 
test method, refer to Appendix B ``Test Procedures for ARI-700.''
    8.8 Non-Condensables
    8.8.1 A vapor phase sample shall be used for determination of non-
condensables. Non-condensable gases consist primarily of air accumulated 
in the vapor phase of refrigerant containing tanks. The solubility of 
air in the refrigerants liquid phase is extremely low and air is not 
significant as a liquid phase contaminant. The presence of non-
condensable gases may reflect poor quality control in transferring 
refrigerants to storage tanks and cylinders.
    8.8.2 The test method shall be gas chromatography with a thermal 
conductivity detector as described in Appendix A ``Test Procedures for 
ARI-700.''
    8.8.2.1 The Federal Specification for ``Fluorocarbon Refrigerants,'' 
BB-F-1421B, dated March 5, 1992, section 4.4.2 (perchloroethylene 
method) is an acceptable alternate test method.
    8.8.3 Report the level of non-condensable as percent by volume.

              Section 9. Performance Calculation and Rating

    9.1 The liquid refrigerant recovery rate shall be expressed in 
pounds per minute [kg/min] and measured by weight change at the mixing 
chamber (See Figure 1) divided by elapsed time to an accuracy within .02 
lbs/min. [.009 kg/min]. Ratings using the Push/Pull method shall be 
identified ``Push/Pull''. Equipment may be rated by both methods.
    9.2 The vapor refrigerant recovery rate shall be expressed in pounds 
per minute [kg/min] and measured by weight change at the mixing chamber 
(See Figure 1) divided by elapsed time to an accuracy within .02 lbs/
min. [.0.009 kg/min].
    9.3 The recycle rate is defined in 3.7 and expressed in pounds per 
minute [kg/min] of flow and shall be per ASHRAE 41.7-84 ``Procedure For 
Fluid Measurement Of Gases'' or ASHRAE 41.8-89 ``Standard Method of Flow 
of Fluids--Liquids.''
    9.3.1 For equipment using multipass recycling or a separate 
sequence, the recycle rate shall be determined by dividing the net 
weight W of the refrigerant to be recycled by the actual time T required 
to recycle the refrigerant. Any set-up or operator interruptions shall 
not be included in the time T. The accuracy of the recycle rate shall be 
within .02 lbs/min. [.009 kg/min].
    9.3.2 If no separate recycling sequence is used, the recycle rate 
shall be the higher of the vapor refrigerant recovery rate or the liquid 
refrigerant recovery rate. The recycle rate shall match a process which 
leads to contaminant levels in 9.6. Specifically, a recovery rate 
determined from bypassing a contaminant removal device cannot be used as 
a recycle rate when the contaminant levels in 9.6 are determined by 
passing the refrigerant through the containment removal device.
    9.4 Refrigerant loss due to non-condensable purging shall be less 
than 5%. This rating shall be expressed as ``passed'' if less than 5%.

[[Page 188]]

    This calculation will be based upon net loss of non-condensables and 
refrigerant due to the purge divided by the initial net content. The net 
loss shall be determined by weighing before and after the purge, by 
collecting purged gases, or an equivalent method.
    9.5 The final recovery vacuum shall be the mixing chamber pressure 
called for in 7.1.2.5 expressed in inches of mercury vacuum, [mm Hg or 
kP]. The accuracy of the measurement shall be within .1 inch [2.5mm] of Hg and rounding 
down to the nearest whole number.
    9.6 The contaminant levels remaining after testing shall be 
published as follows:

Moisture content, PPM by weight
Chloride ions, Pass/Fail
Acidity, PPM by weight
High boiling residue, percentage by volume
Particulate/solid, Pass/Fail
Non-condensables, % by volume

    9.7 Product Literature: Except as provided under product labelling 
in Section 11. performance ratings per 9.1, 9.2, 9.3, and 9.5 must be 
grouped together and shown for all listed refrigerants (11.2) subject to 
limitations of 9.8. Wherever any contaminant levels per 9.6 are rated, 
all ratings in 9.6 must be shown for all listed refrigerants subject to 
limitations of 9.8. The type of equipment in 11.1 must be included with 
either grouping. Optional ratings in 9.8 need not be shown.
    9.8 Ratings shall include all of the parameters for each designed 
refrigerant in 11.2 as shown in Tables 2 and 3.

                          Table 2--Performance
------------------------------------------------------------------------
                                                                 System
  Parameter/type of equipment   Recovery  Recovery/   Recycle  dependent
                                           recycle             equipment
------------------------------------------------------------------------
Liquid refrigerant recovery        (\2\)      (\2\)       N/A        N/A
 rate.........................
Vapor refrigerant recovery         (\2\)      (\2\)       N/A        N/A
 rate.........................
Final recovery vacuum.........     (\1\)      (\1\)       N/A      (\1\)
Recycle rate..................       N/A      (\1\)     (\1\)        N/A
Refrigerant loss due to non-       (\3\)      (\1\)     (\1\)        N/A
 condensable purging..........
------------------------------------------------------------------------
\1\ Mandatory rating.
\2\ For a recovery or recovery/recycle unit, one must rate for either
  liquid feed only or vapor feed only or can rate for both. If rating
  only the one, the other shall be indicated by ``N/A.''
\3\ For Recovery Equipment, these parameters are optional. If not rated,
  use N/A.


                                              Table 3--Contaminants
----------------------------------------------------------------------------------------------------------------
                                                            Recovery/
       Contaminant/type of equipment          Recovery       recycle       Recycle    System dependent equipment
----------------------------------------------------------------------------------------------------------------
Moisture content..........................          (*)             x             x   NA.
Chloride ions.............................          (*)             x             x   NA.
Acidity...................................          (*)             x             x   NA.
High boiling residue......................          (*)             x             x   NA.
Particulates..............................          (*)             x             x   NA.
Non-condensables..........................          (*)             x             x   NA.
----------------------------------------------------------------------------------------------------------------
* For Recovery Equipment, these parameters are optional. If not rated, use N/A.
x Mandatory rating.

                         Section 10. Tolerances

    10.1 Any equipment tested shall produce contaminant levels not 
higher than the published ratings. The liquid refrigerant recovery rate, 
vapor refrigerant recovery rate, final recovery vacuum and recycle rate 
shall not be less than the published ratings.

                      Section 11. Product Labelling

    11.1 Type of equipment. The type of equipment shall be as listed:

11.1.1 Recovery only
11.1.2 System Dependent Recovery
11.1.3 Recovery/Recycle
11.1.4 Recycle only

    11.2 Designated refrigerants and the following as applicable for 
each:

11.2.1 Liquid Recovery Rate
11.2.2 Vapor Recovery Rate
11.2.3 Final Recovery Vacuum
11.2.4 Recycle Rate
    11.3 The nameplate shall also conform to the labeling requirements 
established for certified recycling and recovery equipment established 
at 40 CFR 82.158(h).

                        Attachment to Appendix B1

    Particulate Used in Standard Contaminated Refrigerant Sample.

[[Page 189]]

                      1. Particulate Specification

    1.1 The particulate material pm will be a blend of 50% coarse air 
cleaner dust as received, and 50% retained on a 200-mesh screen. The 
coarse air cleaner dust is available from: AC Spark Plug Division, 
General Motors Corporation, Flint, Michigan.

                1.2 Preparation of Particulate Materials

    To prepare the blend of contaminant, first wet screen a quantity of 
coarse air cleaner dust on a 200-mesh screen (particle retention 74 pm). 
This is done by placing a portion of the dust on a 200-mesh screen and 
running water through the screen while stirring the dust with the 
fingers. The fine contaminant particles passing through the screen are 
discarded. The +200 mesh particles collected on the screen are removed 
and dried for one hour at 230 F [110 [deg]C]. The blend of standard 
contaminant is prepared by mixing 50% by weight of coarse air cleaner 
dust as received after drying for one hour at 230 F [110 [deg]C] with 
50% by weight of the +200 mesh screened dust.
    1.3 The coarse air cleaner dust as received and the blend used as 
the standard contaminant have the following approximate particle size 
analysis: Wt. % in various size ranges, pm.

------------------------------------------------------------------------
                  Size range                    As received     Blend
------------------------------------------------------------------------
 0-5..........................................           12            6
 5-10.........................................           12            6
10-20.........................................           14            7
20-40.........................................           23           11
40-80.........................................           30           32
80-200........................................            9           38
------------------------------------------------------------------------


[58 FR 28712, May 14, 1993, as amended at 59 FR 42960, Aug. 19, 1994. 
Redesignated and amended at 68 FR 43815, July 24, 2003]



  Sec. Appendix B2 to Subpart F of Part 82--Performance of Refrigerant 
              Recovery, Recycling, and/or Reclaim Equipment

    This appendix is based on the Air-Conditioning and Refrigeration 
Institute Standard 740-1995.

                           Section 1. Purpose

    1.1 Purpose. The purpose of this standard is to establish methods of 
testing for rating and evaluating the performance of refrigerant 
recovery, and/or recycling equipment and general equipment requirements 
(herein referred to as ``equipment'') for contaminant or purity levels, 
capacity, speed and purge loss to minimize emission into the atmosphere 
of designated refrigerants.

                            Section 2. Scope

    2.1 Scope. This standard applies to equipment for recovering and/or 
recycling single refrigerants, azeotropics, zeotropic blends, and their 
normal contaminants from refrigerant systems. This standard defines the 
test apparatus, test gas mixtures, sampling procedures and analytical 
techniques that will be used to determine the performance of refrigerant 
recovery and/or recycling equipment (hereinafter, ``equipment'').

                         Section 3. Definitions

    3.1 Definitions. All terms in this appendix will follow the 
definitions in Sec.  82.152 unless otherwise defined in this appendix.
    3.2 Clearing Refrigerant. Procedures used to remove trapped 
refrigerant from equipment before switching from one refrigerant to 
another.
    3.3 High Temperature Vapor Recovery Rate. For equipment having at 
least one designated refrigerant (see 11.2) with a boiling point in the 
range of -50 to +10 [deg]C, the rate will be measured for R-22, or the 
lowest boiling point refrigerant if R-22 is not a designated 
refrigerant.
    3.4 Published Ratings. A statement of the assigned values of those 
performance characteristics, under stated rating conditions, by which a 
unit may be chosen to fit its application. These values apply to all 
units of like nominal size and type (identification) produced by the 
same manufacturer. As used herein, the term ``published rating'' 
includes the rating of all performance characteristics shown on the unit 
or published in specifications, advertising or other literature 
controlled by the manufacturer, at stated rating conditions.
    3.5 Push/Pull Method. The push/pull refrigerant recovery method is 
defined as the process of transferring liquid refrigerant from a 
refrigeration system to a receiving vessel by lowering the pressure in 
the vessel and raising the pressure in the system, and by connecting a 
separate line between the system liquid port and the receiving vessel.
    3.6 Recycle Flow Rate. The amount of refrigerant processed divided 
by the time elapsed in the recycling mode. For equipment which uses a 
separate recycling sequence, the recycle rate does not include the 
recovery rate (or elapsed time). For equipment which does not use a 
separate recycling sequence, the recycle rate is a rate based solely on 
the higher of the liquid or vapor recovery rate, by which the 
contaminant levels were measured.
    3.7 Residual Trapped Refrigerant. Refrigerant remaining in equipment 
after clearing.
    3.8 Shall, Should, Recommended or It Is Recommended shall be 
interpreted as follows:
    3.8.1 Shall. Where ``shall'' or ``shall not'' is used for a 
provision specified, that provision

[[Page 190]]

is mandatory if compliance with this appendix is claimed.
    3.8.2 Should, Recommended or It Is Recommended is used to indicate 
provisions which are not mandatory but which are desirable as good 
practice.
    3.9 Standard Contaminated Refrigerant Sample. A mixture of new or 
reclaimed refrigerant and specified quantities of identified 
contaminants which constitute the mixture to be processed by the 
equipment under test. These contaminant levels are expected only from 
severe service conditions.
    3.10 Trapped Refrigerant. The amount of refrigerant remaining in the 
equipment after the recovery or recovery/recycling operation but before 
clearing.
    3.11 Vapor Recovery Rate. The average rate that refrigerant is 
withdrawn from the mixing chamber between two pressures as vapor 
recovery rate is changing pressure and temperature starting at saturated 
conditions either 24 [deg]C or at the boiling point 100 kPa (abs), 
whichever is higher. The final pressure condition is 10% of the initial 
pressure, but not lower than the equipment final recovery vacuum and not 
higher than 100 kPa (abs).

                Section 4. General Equipment Requirements

    4.1 Equipment Information. The equipment manufacturer shall provide 
operating instructions, necessary maintenance procedures and source 
information for replacement parts and repair.
    4.2 Filter Replacement. The equipment shall indicate when any 
filter/drier(s) needs replacement. This requirement can be met by use of 
a moisture transducer and indicator light, by use of a sight glass/
moisture indicator or by some measurement of the amount of refrigerant 
processed such as a flow meter or hour meter. Written instructions such 
as ``to change the filter every 181 kg, or every 30 days'' shall not be 
acceptable except for equipment in large systems where the liquid 
recovery rate is greater than 11.3 kg/min where the filter/drier(s) 
would be changed for every job.
    4.3 Purge of Non-Condensable. If non-condensables are purged, the 
equipment shall either automatically purge non-condensables or provide 
indicating means to guide the purge process.
    4.4 Purge Loss. The total refrigerant loss due to purging non-
condensables, draining oil and clearing refrigerant (see 9.5) shall be 
less than 3% (by weight) of total processed refrigerant.
    4.5 Permeation Rate. High pressure hose assemblies \5/8\ in. [16 mm] 
nominal and smaller shall not exceed a permeation rate of 3.9 g/cm\2\/yr 
(internal surface) at a temperature of 48.8 [deg]C. Hose assemblies that 
UL recognized as having passed ANSI/UL 1963 requirements shall be 
accepted without testing. See 7.1.4.
    4.6 Clearing Trapped Refrigerant. For equipment rated for more than 
one refrigerant, the manufacturer shall provide a method and 
instructions which will accomplish connections and clearing within 15 
minutes. Special equipment, other than a vacuum pump or manifold gauge 
set shall be furnished. The clearing procedure shall not rely upon the 
storage cylinder below saturated pressure conditions at ambient 
temperature.
    4.7 Temperature. The equipment shall be evaluated at 24 [deg]C with 
additional limited evaluation at 40 [deg]C. Normal operating conditions 
range from 10 [deg]C to 40 [deg]C.
    4.8 Exemptions. Equipment intended for recovery only shall be exempt 
from 4.2 and 4.3.

                  Section 5. Contaminated Refrigerants

    5.1 Sample Characteristics. The standard contaminated refrigerant 
sample shall have the characteristics specified in Table 1, except as 
provided in 5.2.
    5.2 Recovery-Only Testing. Recovery equipment not rated for any 
specific contaminant shall be tested with new or reclaimed refrigerant.

                        Section 6. Test Apparatus

    6.1 General Recommendations. The recommended test apparatus is 
described in the following paragraphs. If alternate test apparatus are 
employed, the user shall be able to demonstrate that they produce 
results equivalent to the specified referee apparatus.
    6.2 Self-Contained Equipment Test Apparatus. The apparatus, shown in 
Figure 1, shall consist of:
    6.2.1 Mixing Chamber. A mixing chamber consisting of a tank with a 
conical-shaped bottom, a bottom port and piping for delivering 
refrigerant to the equipment, various ports and valves for adding 
refrigerant to the chamber and stirring means for mixing.
    6.2.2 Filling Storage Cylinder. The storage cylinder to be filled by 
the refrigerant transferred shall be cleaned and at the pressure of the 
recovered refrigerant at the beginning of the test. It will not be 
filled over 80%, by volume.
    6.2.3 Vapor Feed. Vapor refrigerant feed consisting of evaporator, 
control valves and piping to create a 3.0 [deg]C superheat condition at 
an evaporating temperature of 21 [deg]C 2K.
    6.2.4 Alternative Vapor Feed. An alternative method for vapor feed 
shall be to pass the refrigerant through a boiler and then through an 
automatic pressure regulating valve set at different saturation 
pressures, moving from saturated pressure at 24 [deg]C to final pressure 
of recovery.
    6.2.5 Liquid Feed. Liquid refrigerant feed consisting of control 
valves, sampling port and piping.
    6.2.6 Instrumentation. Instrumentation capable of measuring weight, 
temperature, pressure and refrigerant loss, as required.

[[Page 191]]



                                                   Table 1--Standard Contaminated Refrigerant Samples
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                         R11      R12      R13      R22      R113     R114     R123    R134a     R500     R502     R503
--------------------------------------------------------------------------------------------------------------------------------------------------------
Moisture Content: ppm by Weight of Pure refrigerant..      100       80       30      200      100       85      200      200      200      200       30
Particulate Content: ppm by Weight of Pure                  80       80       NA       80       80       80       80       80       80       80       NA
 Refrigerant Characterized by \1\....................
Acid Content: ppm by Weight of Pure Refrigerant--(mg       500      100       NA      500      400      200      500      100      100      100       NA
 KOH per kg Refrigerant) Characterized by \2\........
Mineral Oil Content:
    % by Weight of Pure Refrigerant..................       20        5       NA        5       20       20       20        5        5        5       NA
    Viscosity (SUS)..................................      300      150  .......      300      300      300      300  150 \3\      150      150
Non-Condensable Gases (Air Content): % by Volume.....       NA        3        3        3       NA        3       NA        3        3        3       3
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Particulate content shall consist of inert materials and shall comply with particulate requirements in appendix B.
\2\ Acid consists of 60% oleic acid and 40% hydrochloric acid on a total number basis.
\3\ Synthetic ester-based oil.


[[Page 192]]

[GRAPHIC] [TIFF OMITTED] TR24JY03.007

    6.3 Size. The size of the mixing chamber shall be a minimum of .09 
m\3\. The bottom port and the refrigerant feed shall depend on the size 
of the equipment. Typically, the mixing valves and piping shall be 9.5 
mm. For large equipment to be used on chillers, the minimum inside 
diameter of ports, valves and pipings shall be the smaller of the 
manufacturer's recommendation or 37 mm.
    6.4 System Dependent Equipment Test Apparatus. This test apparatus 
is to be used for final recovery vacuum rating of all system dependent 
equipment.

[[Page 193]]

    6.4.1 Test Setup. The test apparatus shown in Figure 2 consists of a 
complete refrigeration system. The manufacturer shall identify the 
refrigerants to be tested. The test apparatus can be modified to 
facilitate operation or testing of the system dependent equipment if the 
modifications to the apparatus are specifically described within the 
manufacturer's literature. (See Figure 2.) A 6.3 mm balance line shall 
be connected across the test apparatus between the high and low-pressure 
sides, with an isolation valve located at the connection to the 
compressor high side. A 6.3 mm access port with a valve core shall be 
located in the balance line for the purpose of measuring final recovery 
vacuum at the conclusion of the test.

                     Section 7. Performance Testing

    7.1 General Testing.
    7.1.1 Temperatures. Testing shall be conducted at an ambient 
temperature of 24 [deg]C 1K except high 
temperature vapor recovery shall be at 40 [deg]C 1K. The evaporator conditions of 6.2.3 shall be 
maintained as long as liquid refrigerant remains in the mixing chamber.
    7.1.2 Refrigerants. The equipment shall be tested for all designated 
refrigerants (see 11.2). All tests in Section 7 shall be completed for 
each refrigerant before starting tests with the next refrigerant.
    7.1.3 Selected Tests. Tests shall be as appropriate for the 
equipment type and ratings parameters selected (see 9.9, 11.1 and 11.2).
    7.1.4 Hose Assemblies. For the purpose of limiting refrigerant 
emissions to the atmosphere, hose assemblies shall be tested for 
permeation according to ANSI/UL Standard 1963, Section 40.10.
    7.2 Equipment Preparation and Operation. The equipment shall be 
prepared and operated per the operating instructions.
    7.3 Test Batch. The test batch consisting of refrigerant sample (see 
Section 5) of the test refrigerant shall be prepared and thoroughly 
mixed. Continued mixing or stirring shall be required during the test 
while liquid refrigerant remains in the mixing chamber. The mixing 
chamber shall be filled to 80% level by volume.
    7.3.1 Control Test Batch. Prior to starting the test for the first 
batch for each refrigerant, a liquid sample will be drawn from the 
mixing chamber and analyzed per Section 8 to assure that contaminant 
levels match Table 1 within 10 ppm for moisture, 
20 ppm for particulate, 20 
ppm for oleic acid and 0.5% for oil.
    7.4 Recovery Tests (Recovery and Recovery/Recycle Equipment).
    7.4.1 Determining Recovery Rates. The liquid and vapor refrigerant 
recovery rates shall be measured during the first test batch for each 
refrigerant (see 9.1, 9.2 and 9.4). Equipment preparation and recovery 
cylinder changeover shall not be included in elapsed time measurements 
for determining vapor recovery rate and liquid refrigerant recovery 
rate. Operations such as subcooling the recovery cylinder shall be 
included. Recovery cylinder shall be the same size as normally furnished 
or specified in the instructions by the equipment manufacturer. 
Oversized tanks shall not be permitted.
    7.4.1.1 Liquid Refrigerant Recovery Rate. If elected, the recovery 
rate using the liquid refrigerant feed means (see 6.2.5) shall be 
determined. After the equipment reaches stabilized conditions of 
condensing temperature and/or recovery cylinder pressure, the recovery 
process shall be stopped and an initial weight shall be taken of the 
mixing chamber (see 9.2). The recovery process shall be continued for a 
period of time sufficient to achieve the accuracy in 9.4. The recovery 
process shall be stopped and a final weight shall be taken of the mixing 
chamber.

[[Page 194]]

[GRAPHIC] [TIFF OMITTED] TR24JY03.008

    7.4.1.2 Vapor Refrigerant Recovery Rate. If elected, the average 
vapor flow rate shall be measured to accuracy requirements in clause 9.4 
under conditions with no liquid refrigerant in the mixing chamber. The 
liquid recovery feed means shall be used. At initial conditions of 
saturated vapor at the higher of 24 [deg]C or the boiling temperature 
(100 kPa absolute pressure), the weight of the mixing chamber and the 
pressure shall be recorded. At final conditions representing pressure in 
the mixing chamber of 10% of the initial condition, but not less than 
the final recovery vacuum (see 9.6) nor more than 100 kPa, measure the 
weight of the mixing chamber and the elapsed time.
    7.4.1.3 High Temperature Vapor Recovery Rate. Applicable for 
equipment having at least one designated refrigerant (see 11.2) with a 
boiling point between -50 [deg]C and +10 [deg]C. Measure the rate for R-
22, or the refrigerant with the lowest boiling point if R-22 is not a 
designated refrigerant. Repeat the test in 7.4.1.2 at saturated 
conditions at 40 [deg]C and continue to operate equipment to assure it 
will achieve the final recovery vacuum (see 7.4.3).
    7.4.2 Recovery Operation. This test is for determining the final 
recovery vacuum and the ability to remove contaminants as appropriate. 
If equipment is rated for liquid recovery (see 7.4.1.3), liquid recovery 
feed means described in 6.2.5 shall be used. If not, vapor recovery 
means described in 6.2.3 or 6.2.4 shall be used. Continue recovery 
operation until all liquid is removed from the test apparatus and vapor 
is removed to the point where equipment shuts down by automatic means or 
is manually shut off per operating instructions.
    7.4.2.1 Oil Draining. Capture oil from the equipment at intervals as 
required in the instructions. Record the weight of the container. 
Completely remove refrigerant from oil by evacuation or other 
appropriate means. The weight difference shall be used in 9.5.2.
    7.4.3 Final Recovery Vacuum. At the end of the first test batch for 
each refrigerant, the liquid valve and vapor valve of the apparatus 
shall be closed. After waiting 1 minute, the mixing chamber pressure 
shall be recorded (see 9.6).
    7.4.4 Residual Refrigerant. This test will measure the mass of 
remaining refrigerant in the equipment after clearing and therefore the 
potential for mixing refrigerants (see 4.6).

[[Page 195]]

    7.4.4.1 Initial Conditions. At the end of the last test for each 
batch for each refrigerant, the equipment shall be disconnected from the 
test apparatus (Figure 1). Recycle per 7.5, if appropriate. Perform 
refrigerant clearing operations as called for in the instruction manual. 
Capture and record the weight of any refrigerant which would have been 
emitted to the atmosphere during the clearing process for use in 9.5. If 
two loops are used for recycling, trapped refrigerant shall be measured 
for both.
    7.4.4.2 Residual Trapped Refrigerant. Evacuate an empty test 
cylinder to 1.0 kPa absolute. Record the empty weight of the test 
cylinder. Open all valves to the equipment so as to provide access to 
all trapped refrigerant. Connect the equipment to the test cylinder and 
operate valves to recover the residual refrigerant. Record the weight of 
the test cylinder using a recovery cylinder pressure no less than 
specified in 6.2.2. Place the test cylinder in liquid nitrogen for a 
period of 30 minutes or until a vacuum of 1000 microns is reached, 
whichever occurs first.
    7.5 Recycling Tests (Recovery/Recycle Equipment).
    7.5.1 Recycling Operation. As each recovery cylinder is filled in 
7.4.2, recycle according to operating instructions. There will not 
necessarily be a separate recycling sequence. Note non-condensable purge 
measurement in 9.5.
    7.5.1.1 Recycle Flow Rate. While recycling the first recovery 
cylinder for each refrigerant, determine the recycling flow rate by 
appropriate means (see 9.3) to achieve the accuracy required in 9.4.
    7.5.2 Non-Condensable Sample. After completing 7.4.3, prepare a 
second test batch (7.3). Recover per 7.4.2 until the current recovery 
cylinder is filled to 80% level by volume. Recycle per 7.5.1. Mark this 
cylinder and set aside for taking the vapor sample. For equipment having 
both an internal tank of at least 3 kg refrigerant capacity and an 
external recovery cylinder, two recovery cylinders shall be marked and 
set aside. The first is the cylinder described above. The second 
cylinder is the final recovery cylinder after filling it to 80% level by 
volume and recycling.
    7.5.3 Liquid Sample for Analysis. Repeat steps 7.3, 7.4.2 and 7.5.1 
with further test batches until indication means in 4.2 show the filter/
drier(s) need replacing.
    7.5.3.1 Multiple Pass. For equipment with a separate recycling 
circuit (multiple pass), set aside the current cylinder and draw the 
liquid sample (see 7.4) from the previous cylinder.
    7.5.3.2 Single Pass. For equipment with the single pass recycling 
circuit, draw the liquid sample (see 7.4) from the current cylinder.
    7.6 Measuring Refrigerant Loss. Refrigerant loss due to non-
condensables shall be determined by appropriate means (see 9.5.1). The 
loss could occur in 7.4.1, 7.4.2 and 7.5.1.

            Section 8. Sampling and Chemical Analysis Methods

    8.1 Chemical Analysis. Chemical analysis methods shall be specified 
in appropriate standards such as ARI 700-95 and Appendix C to ARI 
Standard 700-95.
    8.2 Refrigerant Sampling.
    8.2.1 Water Content. The water content in refrigerant shall be 
measured by the Karl Fischer Analytical Method or by the Karl Fischer 
Coulometric techniques. Report the moisture level in parts per million 
by weight.
    8.2.2 Chloride Ions. Chloride ions shall be measured by turbidity 
tests. At this time, quantitative results have not been defined. Report 
chloride content as ``pass'' or ``fail.'' In the future, when 
quantitative results are possible, report chloride content as parts per 
million by weight.
    8.2.3 Acidity. The acidity test uses the titration principle. Report 
the acidity in parts per million by weight (mg KOH/kg) of sample.
    8.2.4 High Boiling Residue. High boiling residues shall use 
measurement of the volume of residue after evaporating a standard volume 
of refrigerant. Using weight measurement and converting to volumetric 
units is acceptable. Report high boiling residues as percent by volume.
    8.2.5 Particulates/Solids. The particulates/solids measurement 
employs visual examination. Report results as ``pass'' or ``fail.''
    8.2.6 Non-condensables. The level of contamination by non-
condensable gases in the base refrigerant being recycled shall be 
determined by gas chromatography. Report results as percent by volume.

              Section 9. Performance Calculation and Rating

    9.1 Vapor Refrigerant Recovery Rate. This rate shall be measured by 
weight change of the mixing chamber divided by elapsed time (see 
7.4.1.2). The units shall be kg/min and the accuracy shall be per 9.4.
    9.1.1 High Temperature Vapor Recovery Rate.
    9.2 Liquid Refrigerant Recovery Rate. This rate shall be measured by 
weight change of the mixing chamber divided by elapsed time (see 
7.4.1.3). The units shall be kg/min and the accuracy shall be per 9.4.
    9.3 Recycle Flow Rate. The recycle flow rate shall be as defined in 
3.10, expressed in kg/min, and the accuracy shall be per 9.4.
    9.3.1 For equipment using multi-pass recycling or a separate 
sequence, the recycle rate shall be determined by dividing the net 
weight W of the refrigerant to be recycled by the actual time T required 
to recycle. Any set-up or operator interruptions shall not be included 
in the time T.

[[Page 196]]

    9.3.2 If no separate recycling sequence is used, the recycle rate 
shall be the higher of the vapor refrigerant recovery rate or the liquid 
refrigerant recovery rate. The recycle rate shall match a process which 
leads to contaminant levels in 9.9. Specifically, a recovery rate 
determined from bypassing a contaminant removal device cannot be used as 
a recycle rate when the contaminant levels in 9.9 are determined by 
passing the refrigerant through the contaminant removal device.
    9.4 Accuracy of Flow Rates. The accuracy of test measurements in 
9.1, 9.2 and 9.3 shall be 008 kg/min or flow rates 
up to .42 kg/min and 2.0% for flow rates larger 
than .42 kg/min. Ratings shall be expressed to the nearest .02 kg/min.
    9.5 Refrigerant Loss. This calculation will be based upon the net 
loss of refrigerant which would have been eliminated in the non-
condensable purge process (see 7.5.1), the oil draining process (see 
7.4.2.1) and the refrigerant clearing process (see 7.4.4.1), all divided 
by the net refrigerant content of the test batches. The refrigerant loss 
shall not exceed 3% by weight.
    9.5.1 Non-Condensable Purge. Evacuate an empty container to 2 kPa 
absolute. Record the empty weight of the container. Place the container 
in a dry ice bath. Connect the equipment purge connection to the 
container and operate purge according to operating instructions so as to 
capture the non-condensables and lost refrigerant. Weigh the cylinder 
after the recycling is complete. Equivalent means are permissible.
    9.5.2 Oil Draining. Refrigerant removed from the oil after draining 
shall be collected and measured in accordance with 7.4.2.1.
    9.5.3 Clearing Unit. Refrigerant captured during the clearing 
process shall be measured in accordance with 7.4.4.1.
    9.6 Final Recovery Vacuum. The final recovery vacuum shall be the 
mixing chamber pressure in 7.4.3 expressed in kPa. The accuracy of the 
measurement shall be within 0.33 kPa.
    9.7 Residual Trapped Refrigerant. The amount of residual trapped 
refrigerant shall be the final weight minus the initial weight of the 
test cylinder in 7.4.4.2, expressed in kg. The accuracy shall be 0.02 kg and reported to the nearest 0.05 kg.
    9.8 Quantity Recycled. The amount of refrigerant processed before 
changing filters (see 7.5.3) shall be expressed in kg to an accuracy of 
1%.
    9.9 Contaminant Levels. The contaminant levels remaining after 
testing shall be published as follows:
    Moisture content, ppm by weight
    Chloride ions, pass/fail
    Acidity, ppm by weight
    High boiling residue, % (by volume)
    Particulates-solid, pass/fail (visual examination)
    Non-condensables, % (by volume)
    9.10 Minimum Data Requirements for Published Ratings. Published 
ratings shall include all of the parameters as shown in Tables 2 and 3 
for each refrigerant designated by the manufacturer.

                         Section 10. Tolerances

    10.1 Tolerances. Performance related parameters shall not be less 
favorable than the published ratings.

                 Section 11. Marking and Nameplate Data

    11.1 Marking and Nameplate Data. The nameplate shall display the 
manufacturer's name, model designation, type of equipment, designated 
refrigerants, capacities and electrical characteristics where 
applicable. The nameplate shall also conform to the labeling 
requirements established for certified recycling and recovery equipment 
established at 40 CFR 82.158(h).
    Recommended nameplate voltages for 60 Hertz systems shall include 
one or more of the utilization voltages shown in Table 1 of ARI Standard 
110-90. Recommended nameplate voltages for 50 Hertz systems shall 
include one or more of the utilization voltages shown in Table 1 of IEC 
Standard Publication 38, IEC Standard Voltages.
    11.2 Data for Designated Refrigerants. For each refrigerant 
designated, the manufacturer shall include all the following that are 
applicable per Table 2:

a. Liquid Recovery Rate
b. Vapor Recovery Rate
c. High Temperature Vapor Recovery Rate
d. Final Recovery Vacuum
e. Recycle Flow Rate
f. Residual Trapped Refrigerant
g. Quantity Recycled

                                              Table 2--Performance
----------------------------------------------------------------------------------------------------------------
                                                                                                        System
                 Parameter/Type of equipment                    Recovery    Recovery/     Recycle     dependent
                                                                             Recycle                  equipment
----------------------------------------------------------------------------------------------------------------
Liquid Refrigerant Recovery Rate............................        (\1\)        (\1\)          N/A          N/A
Vapor Refrigerant Recovery Rate.............................        (\1\)        (\1\)          N/A          N/A
High Temp. Vapor Recovery Rate..............................        (\1\)        (\1\)          N/A          N/A
Final Recovery Vacuum.......................................        (\X\)        (\X\)          N/A        (\X\)
Recycle Flow Rate...........................................          N/A        (\X\)        (\X\)          N/A
Refrigerant Loss............................................        (\3\)        (\X\)        (\X\)        (\3\)

[[Page 197]]

 
Residual Trapped Refrigerant................................        (\2\)        (\2\)        (\2\)        (\2\)
Quantity Recycled...........................................          N/A        (\X\)        (\X\)         N/A
----------------------------------------------------------------------------------------------------------------
\X\ Mandatory rating.
\1\ For a recovery or recovery/recycle unit, one must rate either liquid refrigerant recovery rate or vapor
  refrigerant recovery rate or one can rate for both. If rating only the one, the other shall be indicated by N/
  A, ``not applicable.''
\2\ Mandatory rating for equipment tested for multiple refrigerants.
\3\ Mandatory rating if multiple refrigerants, oil separation or non-condensable purge are rated.
 
Note: For recovery equipment, these parameters are optional. If not rated use N/A, ``not applicable.''


                                              Table 3--Contaminants
----------------------------------------------------------------------------------------------------------------
                                                                                                       System
               Contaminant/Type of equipment                   Recovery    Recovery/     Recycle      dependent
                                                                            Recycle                   equipment
----------------------------------------------------------------------------------------------------------------
Moisture Content...........................................          (*)        (\X\)        (\X\)          N/A
Chloride Ions..............................................          (*)        (\X\)        (\X\)          N/A
Acidity....................................................          (*)        (\X\)        (\X\)          N/A
High Boiling Residue.......................................          (*)        (\X\)        (\X\)          N/A
Particulates...............................................          (*)        (\X\)        (\X\)          N/A
Non-Condensables...........................................          (*)        (\X\)        (\X\)          N/A
----------------------------------------------------------------------------------------------------------------
* For recovery equipment, these parameters are optional. If not rated, use N/A, ``not applicable.''
\X\ Mandatory rating.

     Attachment 1 to Appendix B2 to Subpart F of Part 82--References

    Listed here are all standards, handbooks, and other publications 
essential to the formation and implementation of the standard. All 
references in this appendix are considered as part of this standard.
     ANSI/UL Standard 1963, Refrigerant Recovery/
Recycling Equipment, First Edition, 1989, American National Standards 
Institute/Underwriters Laboratories, Inc.
     ARI Standard 110-90, Air-Conditioning and 
Refrigerating Equipment Nameplate Voltages, Air-Conditioning and 
Refrigeration Institute
     ARI Standard 700-95, Specifications for 
Fluorocarbon and Other Refrigerants, Air-Conditioning and Refrigeration 
Institute
     ASHRAE Terminology of Heating, Ventilation, Air 
Conditioning, Refrigeration, & Refrigeration, American Society of 
Heating, Refrigerating, and Air-Conditioning Engineers, Inc., 1991
     IEC Standard Publication 38, IEC Standard 
Voltages, International Electrotechnical Commission, 1983

Attachment 2 to Appendix B2 to Subpart F of Part 82-Particulate Used in 
                Standard Contaminated Refrigerant Sample

                      1. Particulate Specification

    B1.1 The particulate material (pm) will be a blend of 50% coarse air 
cleaner dust as received, and 50% retained on a 200-mesh screen. The 
coarse air cleaner dust is available from: AC Spark Plug Division; 
General Motors Corporation; Flint, Michigan.
    B1.2 Preparation of Particulate Materials.
    To prepare the blend of contaminant, first wet screen a quantity of 
coarse air cleaner dust on a 200-mesh screen (particle retention 74 pm). 
This is done by placing a portion of the dust on a 200-mesh screen and 
running water through the screen while stirring the dust with the 
fingers. The fine contaminant particles passing through the screen are 
discarded. The +200-mesh particles collected on the screen are removed 
and dried for one hour at 110 [deg]C. The blend of standard contaminant 
is prepared by mixing 50% by weight of coarse air cleaner dust as 
received (after drying for one hour at 110 [deg]C) with 50% by weight of 
the +200 mesh screened dust.
    B1.3 Particle Size Analysis.
    The coarse air cleaner dust as received and the blend used as the 
standard contaminant have the following approximate particle size 
analysis:
    Wt. % in various size ranges, pm.

------------------------------------------------------------------------
                   Size range                     As received    Blend
------------------------------------------------------------------------
0-5.............................................           12          6
5-10............................................           12          6
10-20...........................................           14          7
20-40...........................................           23         11
40-80...........................................           30         32
80-200..........................................            9         38
------------------------------------------------------------------------


[68 FR 43815, July 24, 2003; 68 FR 54678, Sept. 18, 2003]

[[Page 198]]



  Sec. Appendix B3 to Subpart F of Part 82--Performance of Refrigerant 
              Recovery, Recycling, and/or Reclaim Equipment

    This appendix is based on the Air-Conditioning, Heating, and 
Refrigeration Institute Standard 740-2016, Performance Rating of 
Refrigerant Recovery Equipment and Recovery/Recycling Equipment.

                           Section 1. Purpose

    1.1 The purpose of this standard is to establish methods of testing 
for rating and evaluating the performance of refrigerant recovery, and/
or recycling equipment and general equipment requirements (herein 
referred to as ``equipment'') for contaminant or purity levels, 
capacity, speed and purge loss to minimize emission into the atmosphere 
of designated refrigerants.

                            Section 2. Scope

    2.1 This standard applies to equipment for recovering and/or 
recycling single refrigerants, azeotropes, zeotropic blends, and their 
normal contaminants from refrigerant systems. This standard defines the 
test apparatus, test gas mixtures, sampling procedures and analytical 
techniques that will be used to determine the performance of refrigerant 
recovery and/or recycling equipment (hereinafter, ``equipment''). 
Appendix B4 of this subpart establishes standards for recovery/recycling 
equipment used with flammable refrigerants.

                         Section 3. Definitions

    3.1 Definitions. All terms in this appendix will follow the 
definitions in Sec.  82.152 unless otherwise defined in this appendix.
    3.2 Clearing Refrigerant. Procedures used to remove trapped 
refrigerant(s) from equipment before switching from one refrigerant to 
another.
    3.3 High Temperature Vapor Recovery Rate. For equipment having at 
least one designated refrigerant (see Section 11.2 of this appendix) 
with a boiling point in the range of -50 to +10 [deg]C, the rate will be 
measured for R-22, or the lowest boiling point refrigerant if R-22 is 
not a designated refrigerant.
    3.4 Published Ratings. A statement of the assigned values of those 
performance characteristics, under stated rating conditions, by which a 
unit may be chosen to fit its application. These values apply to all 
units of like nominal size and type (identification) produced by the 
same manufacturer. As used herein, the term ``published rating'' 
includes the rating of all performance characteristics shown on the unit 
or published in specifications, advertising, or other literature 
controlled by the manufacturer, at stated rating conditions.
    3.5 Push/Pull Liquid Recovery. The push/pull refrigerant recovery 
method is defined as the process of transferring liquid refrigerant from 
a refrigeration system to a receiving vessel by lowering the pressure in 
the vessel and raising the pressure in the system, and by connecting a 
separate line between the system liquid port and the receiving vessel.
    3.6 Recycle Flow Rate. The amount of refrigerant processed divided 
by the time elapsed in the recycling mode. For equipment which uses a 
separate recycling sequence, the recycle rate does not include the 
recovery rate (or elapsed time). For equipment which does not use a 
separate recycling sequence, the recycle rate is a rate based solely on 
the higher of the liquid or vapor recovery rate, by which the 
contaminant levels were measured.
    3.7 Residual Trapped Refrigerant. Refrigerant remaining in equipment 
after clearing refrigerant.
    3.8 Shall, Should, Recommended or It Is Recommended shall be 
interpreted as follows:
    3.8.1 Shall. Where ``shall'' or ``shall not'' is used for a 
provision specified, that provision is mandatory if compliance with this 
appendix is claimed.
    3.8.2 Should, Recommended or It Is Recommended is used to indicate 
provisions which are not mandatory but which are desirable as good 
practice.
    3.9 Standard Contaminated Refrigerant Sample. A mixture of new or 
reclaimed refrigerant and specified quantities of identified 
contaminants which constitute the mixture to be processed by the 
equipment under test. These contaminant levels are expected only from 
severe service conditions.
    3.10 Trapped Refrigerant. The amount of refrigerant remaining in the 
equipment after the recovery or recovery/recycling operation but before 
clearing refrigerant.
    3.11 Vapor Recovery Rate. The average rate that refrigerant is 
withdrawn from the mixing chamber between two pressures as vapor 
recovery rate is changing depending on the pressure. The initial 
condition is vapor only at saturation pressure and temperature at either 
24 [deg]C or at the boiling point at 100 kPa, whichever is higher. The 
final pressure condition is 10 percent of the initial pressure, but not 
lower than the equipment final recovery vacuum and not higher than 100 
kPa.

                Section 4. General Equipment Requirements

    4.1 Equipment Information. The equipment manufacturer shall provide 
operating instructions, necessary maintenance procedures, and source 
information for replacement parts and repair.
    4.2 Filter Replacement. The equipment shall indicate when any 
filter/drier(s) needs replacement. This requirement can be met

[[Page 199]]

by use of a moisture transducer and indicator light, by use of a sight 
glass/moisture indicator, or by some measurement of the amount of 
refrigerant processed such as a flow meter or hour meter. The equipment 
manufacturer must provide maximum quantity recycled or filter change 
interval in its written instructions.
    4.3 Purge of Non-Condensable. If non-condensables are purged, the 
equipment shall either automatically purge non-condensables or provide 
an indicating means to guide the purge process. Recycling equipment must 
provide purge means.
    4.4 Purge Loss. The total refrigerant loss due to purging non-
condensables, draining oil, and clearing refrigerant (see Section 9.5) 
shall be less than 3 percent (by weight) of total processed refrigerant.
    4.5 Permeation Rate. High pressure hose assemblies \5/8\ in. (16 mm) 
nominal and smaller shall not exceed a permeation rate of 3.9 g/cm\2\/yr 
(internal surface) at a temperature of 48.8 [deg]C. Hose assemblies that 
UL recognized as having passed UL 1963, 2011 requirements shall be 
accepted without testing. See Section 7.1.4 of this appendix.
    4.6 Clearing Trapped Refrigerant. For equipment rated for more than 
one refrigerant, the manufacturer shall provide a method and 
instructions which will accomplish connections and clearing within 15 
minutes. Special equipment, other than a vacuum pump or manifold gauge 
set, shall be furnished. The clearing procedure shall not rely upon the 
storage cylinder below saturated pressure conditions at ambient 
temperature.
    4.7 Temperature. The equipment shall be evaluated at 24 [deg]C with 
additional limited evaluation at 40 [deg]C. Normal operating conditions 
range from 10 [deg]C to 40 [deg]C.
    4.8 Exemptions. Equipment intended for recovery only shall be exempt 
from Sections 4.2 and 4.3.

                  Section 5. Contaminated Refrigerants

    5.1 Sample Characteristics. The standard contaminated refrigerant 
sample shall have the characteristics specified in Table 1, except as 
provided in Section 5.2 of this appendix. Testing shall be conducted at 
an ambient temperature of 24 [deg]C  1 [deg]C 
except high temperature vapor recovery shall be 40 [deg]C  1 [deg]C.
    5.2 Recovery-only Testing. Recovery equipment not rated for removal 
of contaminants shall be tested with new or reclaimed refrigerant.

[[Page 200]]

[GRAPHIC] [TIFF OMITTED] TR18NO16.093

                        Section 6. Test Apparatus

    6.1 General Recommendations. The recommended test apparatus is 
described in the following paragraphs. If alternate test apparatus are 
employed, the user shall be able to demonstrate that they produce 
results equivalent to the specified reference apparatus.

[[Page 201]]

    6.2 Self-Contained Equipment Test Apparatus. The apparatus, shown in 
Figure 1, shall consist of:
    6.2.1 Mixing Chamber. A mixing chamber consisting of a tank with a 
conical-shaped bottom, a bottom port and piping for delivering 
refrigerant to the equipment, various ports and valves for adding 
refrigerant to the chamber, and stirring means for mixing.
    6.2.2 Filling Storage Cylinder. The storage cylinder to be filled by 
the refrigerant transferred shall be cleaned and at the pressure of the 
recovered refrigerant at the beginning of the test. It will not be 
filled over 80 percent, by volume.
    6.2.3 Vapor Feed. Vapor refrigerant feed consisting of evaporator, 
control valves and piping to create a 3.0 [deg]C superheat condition at 
an evaporating temperature of 21 [deg]C  2 [deg]C.
    6.2.4 Alternative Vapor Feed. An alternative method for vapor feed 
shall be to pass the refrigerant through a boiler and then through an 
automatic pressure regulating valve set at different saturation 
pressures, moving from saturated pressure at 24 [deg]C to final pressure 
of recovery.
    6.2.5 Liquid Feed. Liquid refrigerant feed consisting of control 
valves, sampling port, and piping.
    6.2.6 Instrumentation. Instrumentation capable of measuring weight, 
temperature, pressure, and refrigerant loss, as required.

[[Page 202]]

[GRAPHIC] [TIFF OMITTED] TR18NO16.094

    6.3 Size. The size of the mixing chamber and filling storage 
cylinder used during testing shall correspond to the size of the 
equipment being tested per Section 6.3.1 or 6.3.2:
    6.3.1 For equipment utilizing nominal \1/4\[sec] or \3/8\[sec] flare 
ports and hoses, the mixing chamber shall be 0.09 m\3\ and all ports, 
valves, mixing valves, and piping shall be \1/2\[sec] or larger, reduced 
down to the port size of the equipment by fittings at the connection 
ports of the mixing chamber. The filling storage cylinder used during 
testing shall be a nominal 50-pound water capacity DOT 4Bx cylinder with 
\1/4\[sec] flare liquid and vapor ports.
    6.3.2 For equipment utilizing \1/2\[sec] or larger flare ports and 
hoses, the mixing chamber shall be 0.45 m\3\ (or nominal 1000-pound 
water capacity DOT 4Bx cylinder) and all ports, valves, mixing valves, 
and piping shall be 1\1/2\[sec] or larger, reduced down to the port size 
of the equipment by fittings at the connection ports of the mixing 
chamber. The filling storage cylinder used during testing shall be a 
nominal 1000-pound water capacity DOT 4Bx cylinder with liquid and vapor 
ports, valves and piping sized \3/4\[sec] NPT and reduced or increased 
to the port size of the equipment by fittings at the connection ports of 
the filling storage cylinder.

[[Page 203]]

    6.4 System Dependent Equipment Test Apparatus. This test apparatus 
is to be used for final recovery vacuum rating of all system dependent 
equipment.
    6.4.1 Test Setup. The test apparatus shown in Figure 2 consists of a 
complete refrigeration system. The manufacturer shall identify the 
refrigerants to be tested. The test apparatus can be modified to 
facilitate operation or testing of the system dependent equipment if the 
modifications to the apparatus are specifically described within the 
manufacturer's literature. A 6.3 mm balance line shall be connected 
across the test apparatus between the high- and low-pressure sides, with 
an isolation valve located at the connection to the compressor high 
side. A 6.3 mm access port with a valve core shall be located in the 
balance line for the purpose of measuring final recovery vacuum at the 
conclusion of the test.
[GRAPHIC] [TIFF OMITTED] TR18NO16.095

                Section 7. Performance Testing Procedures

    7.1 General Testing.
    7.1.1 Temperatures. Testing shall be conducted at an ambient 
temperature of 24 [deg]C  1 [deg]C except high 
temperature vapor recovery shall be at 40 [deg]C  
1 [deg]C. The evaporator conditions of Section 6.2.3 shall be maintained 
as long as liquid refrigerant remains in the mixing chamber.
    7.1.2 Refrigerants. The equipment shall be tested for all designated 
refrigerants (see Section 11.2). All tests in Section 7 shall be 
completed for each refrigerant before starting tests with the next 
refrigerant.
    7.1.3 Selected Tests. Tests shall be as appropriate for the 
equipment type and ratings

[[Page 204]]

parameters selected (see Sections 9.9, 11.1 and 11.2).
    7.1.4 Hose Assemblies. For the purpose of limiting refrigerant 
emissions to the atmosphere, hose assemblies shall be tested for 
permeation according to UL Standard 1963 (incorporated by reference, see 
Sec.  82.168).
    7.2 Equipment Preparation and Operation. The equipment shall be 
prepared and operated per the operating instructions.
    7.3 Test Batch. The test batch consisting of refrigerant sample (see 
Section 5) of the test refrigerant shall be prepared and thoroughly 
mixed. Continued mixing or stirring shall be required during the test 
while liquid refrigerant remains in the mixing chamber. The mixing 
chamber shall be filled to 80 percent level by volume.
    7.3.1 Control Test Batch. Prior to starting the test for the first 
batch for each refrigerant, a liquid sample will be drawn from the 
mixing chamber and analyzed per Section 8 to assure that contaminant 
levels match Table 1 within 10 ppm for moisture, 
20 ppm for oleic acid and 0.5 percent for oil.
    7.4 Recovery Tests (Recovery and Recovery/Recycling Equipment)
    7.4.1 Determining Recovery Rates. The liquid and vapor refrigerant 
recovery rates shall be measured during the first test batch for each 
refrigerant (see Sections 9.1, 9.2 and 9.4). Equipment preparation and 
recovery cylinder changeover shall not be included in elapsed time 
measurements for determining vapor recovery rate and liquid refrigerant 
recovery rate. Operations such as subcooling the recovery cylinder shall 
be included. The recovery cylinder shall be the same size as per Section 
6.3 or as furnished by the equipment manufacturer. Oversized tanks shall 
not be permitted.
    7.4.1.1 Liquid Refrigerant Recovery Rate. If elected, the recovery 
rate using the liquid refrigerant feed means (see Section 6.2.5) shall 
be determined. After the equipment reaches stabilized conditions of 
condensing temperature and/or recovery cylinder pressure, the recovery 
process shall be stopped and an initial weight shall be taken of the 
mixing chamber (see Section 9.2). The recovery process shall be 
continued for a period of time sufficient to achieve the accuracy in 
Section 9.4. The recovery process shall be stopped and a final weight of 
the mixing chamber shall be taken.
    7.4.1.2 Vapor Refrigerant Recovery Rate. If elected, the average 
vapor flow rate shall be measured to accuracy requirements in Section 
9.4 under conditions with no liquid refrigerant in the mixing chamber. 
The liquid recovery feed means shall be used. At initial conditions of 
saturated vapor at the higher of 24 [deg]C or the boiling temperature 
(100 kPa), the weight of the mixing chamber and the pressure shall be 
recorded. At final conditions representing pressure in the mixing 
chamber of 10 percent of the initial condition, but not less than the 
final recovery vacuum (see Section 9.6) nor more than 100 kPa, measure 
the weight of the mixing chamber and the elapsed time. At initial 
conditions, the recovery cylinder shall be at saturation pressure at 
ambient conditions.
    7.4.1.3 High Temperature Vapor Recovery Rate. This is applicable for 
equipment having at least one designated refrigerant (see Section 11.2) 
with a boiling point between -50 [deg]C and +10 [deg]C. Measure the rate 
for R-22, or the refrigerant with the lowest boiling point if R-22 is 
not a designated refrigerant. Repeat the test in Section 7.4.1.2 at 
saturated conditions at 40 [deg]C and continue to operate equipment to 
assure it will operate at this condition (see Section 7.4.3). At initial 
conditions, the recovery cylinder shall be at saturated pressure at 40 
[deg]C.
    7.4.1.4 Push/Pull Liquid Refrigerant Recovery Rate. If elected, the 
average liquid push/pull flow rate shall be measured to accuracy 
requirements in Section 9.4. The mixing chamber and filling storage 
cylinder shall be filled with refrigerant vapor at initial conditions of 
saturated vapor at the higher of 24 [deg]C or the boiling temperature at 
100 kPa. An amount of liquid refrigerant shall be added to the mixing 
chamber equivalent to 80 percent by weight of the capacity of the 
filling storage cylinder. The pressure between the mixing chamber and 
filling storage cylinder shall be equalized and stabilized at initial 
conditions of saturated vapor at the higher of 24 [deg]C or the boiling 
temperature at 100 kPa. The initial weight of the mixing chamber and the 
pressure shall be recorded. The equipment is then operated in push/pull 
liquid recovery mode and the weight change of the mixing chamber is 
recorded over time until all of the liquid has been transferred.
    7.4.2 Recovery Operation. This test is for determining the final 
recovery vacuum and the ability to remove contaminants as appropriate. 
If equipment is rated for liquid recovery (see Section 7.4.1.3), liquid 
recovery feed means described in Section 6.2.5 shall be used. If not, 
vapor recovery means described in Sections 6.2.3 or 6.2.4 shall be used. 
Continue recovery operation until all liquid is removed from the test 
apparatus and vapor is removed to the point where equipment shuts down 
by automatic means or is manually shut off per operating instructions.
    7.4.2.1 Oil Draining. Capture oil from the equipment at intervals as 
required in the instructions. Record the weight of the container. 
Completely remove refrigerant from oil by evacuation or other 
appropriate means. The weight difference shall be used in Section 7.5.2.
    7.4.3 Final Recovery Vacuum. At the end of the first test batch for 
each refrigerant, the liquid valve and vapor valve of the apparatus 
shall be closed. After waiting 1 minute, the mixing chamber pressure 
shall be recorded (see Section 9.6).

[[Page 205]]

    7.4.4 Residual Refrigerant. This test will measure the mass of 
remaining refrigerant in the equipment after clearing and therefore the 
extent of mixing different refrigerants (see Section 9.6).
    7.4.4.1 Initial Conditions. At the end of the last test for each 
batch for each refrigerant, the equipment shall be disconnected from the 
test apparatus (Figure 1). Recycle per Section 7.5, if appropriate. 
Perform refrigerant clearing operations as called for in the instruction 
manual. Capture and record the weight of any refrigerant which would 
have been emitted to the atmosphere during the clearing process for use 
in Section 9.5. If two loops are used for recycling, trapped refrigerant 
shall be measured for both.
    7.4.4.2 Residual Trapped Refrigerant. Evacuate an empty test 
cylinder to 1.0 kPa. Record the empty weight of the test cylinder. Open 
all valves to the equipment so as to provide access to all trapped 
refrigerant. Connect the equipment to the test cylinder and operate 
valves to recover the residual refrigerant. Record the weight of the 
test cylinder using a recovery cylinder pressure no less than specified 
in Section 6.2.2. Place the test cylinder in liquid nitrogen for a 
period of 30 minutes or until a vacuum of 1000 microns is reached, 
whichever occurs first.
    7.5 Recycling Tests (Recovery/Recycling Equipment).
    7.5.1 Recycling Operation. As each recovery cylinder is filled in 
Section 7.4.2, recycle according to operating instructions. There will 
not necessarily be a separate recycling sequence. Note non-condensable 
purge measurement in Section 9.5.
    7.5.1.1 Recycle Flow Rate. While recycling the first recovery 
cylinder for each refrigerant, determine the recycling flow rate by 
appropriate means (see Section 9.3) to achieve the accuracy required in 
Section 9.4.
    7.5.2 Non-Condensable Sample. After completing Section 7.4.3, 
prepare a second test batch (see Section 7.3). Recover per Section 7.4.2 
until the current recovery cylinder is filled to 80 percent level by 
volume. Recycle per Section 7.5.1. Mark this cylinder and set aside for 
taking the vapor sample. For equipment having both an internal tank of 
at least 3 kg refrigerant capacity and an external recovery cylinder, 
two recovery cylinders shall be marked and set aside. The first is the 
cylinder described above. The second cylinder is the final recovery 
cylinder after filling it to 80 percent level by volume and recycling.
    7.5.2.1 Push/Pull Liquid Refrigerant Recovery Rate. This rate shall 
be measured by weight change of the mixing chamber divided by elapsed 
time (see Section 7.4.1.4). The units shall be kg/min and the accuracy 
shall be per Section 9.4.
    7.5.3 Liquid Sample for Analysis. Repeat steps in Sections 7.3, 
7.4.2 and 7.5.1 with further test batches until indication means in 
Section 4.2 show the filter/drier(s) need replacing.
    7.5.3.1 Multiple Pass. For equipment with a separate recycling 
circuit (multiple pass), set aside the current cylinder and draw the 
liquid sample (see Section 7.4) from the previous cylinder.
    7.5.3.2 Single Pass. For equipment with the single pass recycling 
circuit, draw the liquid sample (see Section 7.4) from the current 
cylinder.
    7.6 Measuring Refrigerant Loss. Refrigerant loss due to non-
condensables shall be determined by appropriate means (see Section 
9.5.1). The loss could occur in Sections 7.4.1, 7.4.2 and 7.5.1.

            Section 8. Sampling and Chemical Analysis Methods

    8.1 Chemical Analysis. Chemical analysis methods shall be specified 
in appropriate standards such as AHRI Standard 700, 2008 Appendix C for 
Analytical Procedures for AHRI Standard 700-2014- Normative, and 
Addendum 700-1 to Appendix C. If alternate test methods are employed, 
the laboratory must be able to demonstrate that they produce results 
equivalent to the specified referee method.
    8.2 Refrigerant Sampling.
    8.2.1 Moisture Content. The water content in refrigerant shall be 
measured by the Karl Fischer Coulometric Titration technique. Report the 
moisture level in parts per million by weight.
    8.2.2 Chloride Ions. Chloride ions shall be measured by turbidity 
tests. At this time, quantitative results have not been defined. Report 
chloride content as ``pass'' or ``fail.'' In the future, when 
quantitative results are possible, report chloride content as parts per 
million by weight.
    8.2.3 Acid Content. The acidity test uses the titration principle. 
Report the acidity in parts per million by weight (mg KOH/kg) of sample.
    8.2.4 High Boiling Residue. High boiling residues shall use 
measurement of the volume of residue after evaporating a standard volume 
of refrigerant. Using weight measurement and converting to volumetric 
units is acceptable. Report high boiling residues as percent by volume.
    8.2.5 Particulates/Solids. The particulates/solids measurement 
employs visual examination. Report results as ``pass'' or ``fail.''
    8.2.6 Non-condensables. The level of contamination by non-
condensable gases in the base refrigerant being recycled shall be 
determined by gas chromatography. Report results as percent by volume.

             Section 9. Performance Calculations for Ratings

    9.1 Vapor Refrigerant Recovery Rate. This rate shall be measured by 
weight change of

[[Page 206]]

the mixing chamber divided by elapsed time (see 7.4.1.2). The units 
shall be kg/min and the accuracy shall be per Section 9.4.
    9.1.1 High Temperature Vapor Recovery Rate. This rate shall be 
measured by measured weight change of the mixing chamber divided by 
elapsed time (see Section 7.4.1.3). The units shall be kg/min and the 
accuracy shall be per Section 9.4.
    9.2 Liquid Refrigerant Recovery Rate. This rate shall be measured by 
weight change of the mixing chamber divided by elapsed time (see 
7.4.1.3). The units shall be kg/min and the accuracy shall be per 
Section 9.4.
    9.3 Recycle Flow Rate. The recycle flow rate shall be as defined in 
Section 3.12, expressed in kg/min, and the accuracy shall be per Section 
9.4.
    9.3.1 For equipment using multi-pass recycling or a separate 
sequence, the recycle rate shall be determined by dividing the net 
weight, W, of the refrigerant to be recycled by the actual time T 
required to recycle. Any set-up or operator interruptions shall not be 
included in the time T.
    9.3.2 If no separate recycling sequence is used, the recycle rate 
shall be the higher of the vapor refrigerant recovery rate or the liquid 
refrigerant recovery rate. The recycle rate shall match a process which 
leads to contaminant levels in Section 9.9. Specifically, a recovery 
rate determined from bypassing a contaminant removal device cannot be 
used as a recycle rate when the contaminant levels in Section 9.9 are 
determined by passing the refrigerant through the contaminant removal 
device.
    9.4 Accuracy of Flow Rates. The accuracy of test measurements in 
Sections 9.1, 9.2 and 9.3 shall be 008 kg/min for 
flow rates up to 0.42 kg/min and 2.0 percent for 
flow rates larger than 0.42 kg/min. Ratings shall be expressed to the 
nearest 0.02 kg/min.
    9.5 Refrigerant Loss. This calculation will be based upon the net 
loss of refrigerant which would have been eliminated in the non-
condensable purge process (see Section 7.5.1), the oil draining process 
(see Section 7.4.2.1) and the refrigerant clearing process (see Section 
7.4.4.1), all divided by the net refrigerant content of the test 
batches. The refrigerant loss shall not exceed 3 percent by weight.
    9.5.1 Non-Condensable Purge. Evacuate an empty container to 2 kPa. 
Record the empty weight of the container. Place the container in a dry 
ice bath. Connect the equipment purge connection to the container and 
operate purge according to operating instructions so as to capture the 
non-condensables and lost refrigerant. Weigh the cylinder after the 
recycling is complete. Equivalent means are permissible.
    For units which either recycle or publish (list) non-condensable 
removal, non-condensable gases are purged, operating the recycle device 
per the manufacturer's instructions through an evaporator pressure 
regulator (EPR) valve into a liquid nitrogen-chilled cylinder. This 
combination will simulate the atmosphere while allowing the capture of 
purge gases. The cylinder is weighed before and after the purge 
procedure.
    9.5.2 Oil Draining. Refrigerant removed from the oil after draining 
shall be collected and measured in accordance with Section 7.4.2.1.
    9.5.3 Clearing Unit. Refrigerant captured during the clearing 
process shall be measured in accordance with Section 7.4.4.1.
    9.6 Final Recovery Vacuum. The final recovery vacuum shall be the 
mixing chamber pressure in Section 7.4.3 expressed in kPa at 24 [deg]C. 
The accuracy of the measurement shall be within 0.33 kPa.
    9.7 Residual Trapped Refrigerant. The amount of residual trapped 
refrigerant shall be the final weight minus the initial weight of the 
test cylinder in Section 7.4.4.2, expressed in kg. The accuracy shall be 
0.02 kg and reported to the nearest 0.05 kg.
    9.8 Refrigerant Processed. The amount of refrigerant processed 
before changing filters (see Section 7.5.3) shall be expressed in kg to 
an accuracy of 1 percent.
    9.9 Contaminant Levels. The contaminant levels remaining after 
testing shall be published as follows:

Moisture content, ppm by weight
Chloride ions, pass/fail
Acid Content, ppm by weight
High boiling residue, percent (by volume)
Particulates/solids, pass/fail (visual examination)
Non-condensables, percent (by volume)

    9.10 Minimum Data Requirements for Published Ratings. Published 
ratings shall include all of the parameters as shown in Tables 2 and 3 
for each refrigerant designated by the manufacturer.

                         Section 10. Tolerances

    10.1 Tolerances. Performance related parameters shall be equal to or 
better than the published ratings.

                 Section 11. Marking and Nameplate Data

    11.1 Marking and Nameplate Data. The nameplate shall display the 
manufacturer's name, model designation, type of equipment (Recovery or 
Recovery/Recycling and Self-Contained or System Dependent), designated 
refrigerant(s), capacities, and electrical characteristics where 
applicable. The nameplate shall also conform to the labeling 
requirements established for certified recycling and recovery equipment 
established at 40 CFR 82.158(h).
    Recommended nameplate voltages for 60 Hertz systems shall include 
one or more of the equipment nameplate voltages shown in Table 1 of AHRI 
110-2016 (incorporated by

[[Page 207]]

reference, see Sec.  82.168). Recommended nameplate voltages for 50 
Hertz systems shall include one or more of the utilization voltages 
shown in Table 1 of IEC 60038 (English version) (incorporated by 
reference, see Sec.  82.168).
    11.2 Data for Designated Refrigerants. For each refrigerant 
designated, the manufacturer shall include all the following that are 
applicable per Table 2:

a. Liquid Recovery Rate, kg/min
b. Vapor Recovery Rate, kg/min
c. High Temperature Vapor Recovery Rate, kg/min
d. Push/Pull Liquid Recovery Rate, kg/min
e. Final Recovery Vacuum Level, kPa
f. Recycle Flow Rate, kg/min
g. Refrigerant Loss, kg
h. Residual Trapped Refrigerant, kg
i. Quantity of Refrigerant Processed at Rated Conditions, kg

          Table 2--Performance Ratings for Refrigerant Recovery and Recovery/Recycling Equipment \4 5\
----------------------------------------------------------------------------------------------------------------
                                                                       Type of equipment
                                             -------------------------------------------------------------------
                  Parameter                                                                           System
                                                  Recovery        Recovery/        Recycling        dependent
                                                                  recycling                         equipment
----------------------------------------------------------------------------------------------------------------
Liquid Refrigerant Recovery Rate, kg/min....         X \1 4\             X\1\          N/A \5\              N/A
Vapor Refrigerant Recovery Rate, kg/min.....           X \1\            X \1\              N/A              N/A
High Temperature Vapor Recovery Rate, kg/min           X \1\            X \1\              N/A              N/A
Push/Pull Liquid Recovery Rate, kg/min......           X \1\            X \1\              N/A              N/A
Final Recovery Vacuum Level, kPa............               X                X              N/A                X
Recycle Flow Rate, kg/min...................             N/A                X                X              N/A
Refrigerant Loss, kg........................           X \2\                X                X            X \3\
Residual Trapped Refrigerant, kg............           X \3\            X \2\            X \2\            X \2\
Quantity of Refrigerant Processed at Rated               N/A                X                X              N/A
 Conditions, kg.............................
----------------------------------------------------------------------------------------------------------------
\1\ For a recovery or recovery/recycle unit, one must rate either liquid refrigerant recovery rate or vapor
  refrigerant recovery rate or one can rate for both. If rating only one, the other shall be indicated by N/A,
  ``not applicable.''
\2\ Mandatory rating if multiple refrigerants, oil separation or non-condensable purge are rated.
\3\ Mandatory rating for equipment tested for multiple refrigerants.
\4\ ``X'' denotes mandatory rating or equipment requirements.
\5\ ``N/A'' indicates ``Not Applicable'' for a parameter that does not have a rating.


      Table 3--Contaminant Removal Ratings for Refrigerant Recovery and Recovery/Recycling Equipment \1 2\
----------------------------------------------------------------------------------------------------------------
                                                                       Type of equipment
                                             -------------------------------------------------------------------
                 Contaminant                                                                          System
                                                  Recovery        Recovery/        Recycling        dependent
                                                                  recycling                         equipment
----------------------------------------------------------------------------------------------------------------
Moisture Content, ppm by weight.............         N/A \2\            X \1\                X              N/A
Chloride Ions, pass/fail....................             N/A                X                X              N/A
Acid Content, ppm by weight.................             N/A                X                X              N/A
High Boiling Residue, % by volume...........             N/A                X                X              N/A
Particulates/solids, pass/fail..............             N/A                X                X              N/A
Non-condensables, % by volume...............             N/A                X                X              N/A
----------------------------------------------------------------------------------------------------------------
\1\ ``X'' denotes mandatory rating.
\2\ ``N/A'' indicates ``Not Applicable'' for a parameter that does not have a rating.

                         Section 12. References

    Listed here are all standards, handbooks, and other publications 
essential to the formation and implementation of the standard. All 
references in this appendix are considered as part of this standard.

 UL 1963, Standard for Safety Refrigerant Recovery/
          Recycling Equipment, Fourth Edition (with revisions through 
          October 13, 2013), dated June 1, 2011, (incorporated by 
          reference, see Sec.  82.168).
 AHRI 110-2016, 2016 Standard for Air-Conditioning, 
          Heating and Refrigerating Equipment Nameplate Voltages, 
          copyright 2016 (incorporated by reference, see Sec.  82.168).
 AHRI Standard 700-2015, Specifications for 
          Refrigerants, Air-Conditioning, Heating, and Refrigeration 
          Institute
 IEC 60038 IEC Standard Voltages, Edition 7.0, 2009-06 
          (English version) (incorporated by reference, see Sec.  
          82.168).

  Section 13.0. Particulate Used in Standard Contaminated Refrigerant 
                                 Sample

    13.1 Particulate Specification
    13.1.1 The particulate material (pm) will be a blend of 50 percent 
coarse air cleaner dust as received, and 50 percent retained on a 200-
mesh screen. The coarse air cleaner

[[Page 208]]

dust is available from: AC Spark Plug Division; General Motors 
Corporation; Flint, Michigan.
    13.1.2 Preparation of Particulate Materials. To prepare the blend of 
contaminant per ANSI/ASHRAE Standard 63.2-1996 (RA 2010), first wet 
screen a quantity of coarse air cleaner dust on a 200-mesh screen 
(particle retention 74 [micro]m). This is done by placing a portion of 
the dust on a 200-mesh screen and running water through the screen while 
stirring the dust with the fingers. The fine contaminant particles 
passing through the screen are discarded. The larger than 200-mesh 
particles collected on the screen are removed and dried for one hour at 
110 [deg]C. The blend of standard contaminant is prepared by mixing 50 
percent by weight of coarse air cleaner dust as received (after drying 
for one hour at 110 [deg]C) with 50 percent by weight of the larger than 
200-mesh screened dust.
    13.1.3 Particle Size Analysis. The coarse air cleaner dust as 
received and the blend used as the standard contaminant have the 
following approximate particle size analysis:

Table B1--Weight Percentage in Various [micro]m Size Ranges for Particle
                              Size Analysis
------------------------------------------------------------------------
                                                        As
               Size range ([micro]m)                 received  Blend (wt
                                                      (wt %)       %)
------------------------------------------------------------------------
0-5...............................................         12          6
5-10..............................................         12          6
10-20.............................................         14          7
20-40.............................................         23         11
40-80.............................................         30         32
80-200............................................          9         38
------------------------------------------------------------------------


[81 FR 82383, Nov. 18, 2016]



  Sec. Appendix B4 to Subpart F of Part 82--Performance and Safety of 
        Flammable Refrigerant Recovery and/or Recycling Equipment

    This appendix is based on the Air-Conditioning, Heating, and 
Refrigeration Institute Standard 740-2016, Performance Rating of 
Refrigerant Recovery Equipment and Recovery/Recycling Equipment, and 
Underwriters Laboratories Standard 1963-2011 (Fourth Edition), Standard 
for Safety: Refrigerant Recovery/Recycling Equipment, including 
Supplement SB (added October 11, 2013), Requirements for Refrigerant 
Recovery/Recycling Equipment Intended for Use with a Flammable 
Refrigerant.

                           Section 1. Purpose

    1.1 The purpose of this standard is to establish methods of testing 
for rating and evaluating the performance and safety of refrigerant 
recovery and/or recycling equipment and general equipment requirements 
(herein referred to as ``equipment'') for contaminant or purity levels, 
capacity, speed and purge loss to minimize emission into the atmosphere 
of designated refrigerants, as well as safety for use with flammable 
refrigerants.

                            Section 2. Scope

    2.1 This standard applies to equipment for recovering and/or 
recycling flammable single refrigerants, azeotropes, zeotropic blends, 
and their normal contaminants from refrigerant systems. This standard 
defines the test apparatus, test gas mixtures, sampling procedures, 
analytical techniques, and equipment construction that will be used to 
determine the performance and safety of refrigerant recovery and/or 
recycling equipment (hereinafter, ``equipment'').

                         Section 3. Definitions

    3.1 All terms in this appendix will follow the definitions in Sec.  
82.152 and Appendix B3 to Subpart F of Part 82 unless otherwise defined 
in this appendix.
    3.2 All definitions used in UL 1963, including the definitions in 
Supplement SB, as applicable, are incorporated by reference, see Sec.  
82.168.

                  Section 4. Evaluation of Performance

    4.1 Performance Ratings. All recovery and/or recycling equipment to 
be tested under this appendix must follow the procedures and meet all 
requirements established in Appendix B3 to Subpart F of Part 82 to 
determine the performance ratings in addition to the safety evaluation 
conducted under the rest of this appendix.
    4.2 Safety. All recovery and/or recycling equipment to be tested 
under this appendix must follow the procedures and meet all requirements 
in Supplement SB (added October 11, 2013), Requirements for Refrigerant 
Recovery/Recycling Equipment Intended for Use with a Flammable 
Refrigerant in Underwriters Laboratories Standard 1963-2011 (Fourth 
Edition), Standard for Safety: Refrigerant Recovery/Recycling Equipment 
(incorporated by reference, see Sec.  82.168).

[81 FR 82390, Nov. 18, 2016]



  Sec. Appendix C to Subpart F of Part 82--Method for Testing Recovery 
                  Devices for Use With Small Appliances

 Recovery Efficiency Test Procedure for Refrigerant Recovery Equipment 
                        Used on Small Appliances

    The following test procedure is utilized to evaluate the efficiency 
of equipment designed to recover ozone depleting refrigerants (or any 
substitute refrigerant subject to the recycling rules promulgated 
pursuant to section 608 of the Clean Air Act Amendments of 1990) from 
small appliances when

[[Page 209]]

service of those appliances requires entry into the sealed refrigeration 
system or when those appliances are destined for disposal. This 
procedure is designed to calculate on a weight or mass basis the 
percentage of a known charge of CFC-12 refrigerant removed and captured 
from a test stand refrigeration system. Captured refrigerant is that 
refrigerant delivered to a container suitable for shipment to a 
refrigerant reclaimer plus any refrigerant remaining in the recovery 
system in a manner that it will be transferred to a shipping container 
after additional recovery operations.
    The test stand refrigeration system required for this procedure is 
constructed with standard equipment utilized in currently produced 
household refrigerator and freezer products. The procedure also accounts 
for compressor oils that might be added to or removed from the test 
stand compressor or any compressor used in the recovery system.

                              I. Test Stand

    Test stands are constructed in accordance with the following 
standards.
    1. Evaporator--\5/16\ in. outside dia. with 30 cu. in. volume.
    2. Condenser--\1/4\ in. outside dia. with 20 cu. in volume.
    3. Suction line capillary heat exchanger--appropriate for compressor 
used.
    4. An 800-950 Btu/hr high side case (rotary) compressor; or 
(depending on the test senario);
    5. An 800-9500 Btu/hr low side case (reciprocating) compressor.
    A person seeking to have its recovery system certified shall specify 
the compressors by manufacturer and model that are to be used in test 
stands constructed for evaluation of its equipment, and the type and 
quantity of compressor to be used in those compressors. Only a 
compressor oil approved for use by the compressor's manufacturer may be 
specified, and the quantity of compressor oil specified shall be an 
appropriate quantity for the type of oil and compressor to be used. In 
order to reduce the cost of testing, the person seeking certification of 
its recovery system may supply an EPA approved third party testing 
laboratory with test stands meeting these standards for use in 
evaluating its recovery system.

                           II. Test Conditions

    Tests are to be conducted at 75 degrees F, plus or minus 2 degrees F 
(23.9 C 1.1 C). Separate tests are conducted on 
both high side case compressor stands and low side case compressor 
stands. Separate tests are also conducted with the test stand compressor 
running during the recovery operation, and without the test stand 
compressor running during the recovery operation, to calculate the 
system's recovery efficiency under either condition.
    These tests are to be performed using a representative model of all 
equipment used in the recovery system to deliver recovered refrigerant 
to a container suitable for shipment to a refrigerant reclaimer. The 
test stands are to be equipped with access valves permanently installed 
as specific by the recovery system's vendor to represent the valves used 
with that system in actual field operations.
    A series of five (5) recovery operations are to be performed for 
each compressor scenario and a recovery efficiency is calculated based 
on the total quantity of refrigerant captured during all five (5) 
recoveries. Alternatively, at the request of the recovery system's 
vendor, a recovery efficiency is to be calculated for each recovery 
event. In this case, a statistically significant number of recovery 
operations are to be performed. Determination of what is a statistically 
significant number of recoveries is to be calculated as set out below. 
These individual recovery efficiencies are then averaged.
    There are four (4) compressor scenarios to be tested. These are a 
high side case compressor in working condition; a high side case 
compressor in nonworking condition; a low side case compressor in 
working condition; and a low side case compressor in nonworking 
condition. Recovery efficiencies calculated for the two working 
compressor scenarios are to be averaged to report a working compressor 
performance. The two nonworking compressor efficiencies are also to be 
averaged to report a nonworking compressor performance.
    If large scale equipment is required in the system to deliver 
recovered refrigerant to a refrigerant reclaimer (eg. carbon desorption 
equipment) and it is not possible to have that equipment evaluated under 
the procedure, the system's vendor shall obtain engineering data on the 
performance of that large scale equipment that will reasonably 
demonstrate the percentage refrigerant lost when processed by that 
equipment. That data will be supplied to any person required to evaluate 
the performance of those systems. The following procedure will also be 
modified as needed to determine the weight of refrigerant recovered from 
a test stand and delivered to a container for shipment to the large 
process equipment for further processing. The percentage loss documented 
to occur during processing is then to be applied to the recovery 
efficiencies calculated in this modified procedure to determine the 
overall capture efficiency for the entire system.
    The following are definitions of symbols used in the test procedure.

Test Stand:
    ``TSO'' means an original test stand weight.
    ``TSC'' means a charged test stand weight.

[[Page 210]]

Shipping Containers:
    ``SCO'' means the original or empty weight of shipping container(s).
    ``SCF'' means the final or full weight of shipping container(s).
Recover/Transfer System:
    ``RSO'' means the original weight of a recovery/transfer system.
    ``RSF'' means the final weight of a recovery/transfer system.
    ``OL'' means the net amount of oil added/removed from the recovery 
device and/or transfer device between the beginning and end of the test 
for one compressor scenario.
Weighing steps are conducted with precision and accuracy of plus or 
          minus 1.0 gram.

                           III. Test Procedure

    1. Evacuate the test stand to 20 microns vacuum (pressure measured 
at a vacuum pump) for 12 hours.
    2. Weigh the test stand (TSO).
    3. If this is the first recovery operation being performed for a 
compressor scenario (or if a recovery efficiency is to be calculated for 
each recovery event), then weigh all devices used in the recovery system 
to deliver recovered refrigerant to a container suitable for shipment or 
delivery to a refrigerant reclaimer. Weigh only devices that can retain 
refrigerant in a manner that it will ultimately be transferred to a 
shipping container without significant release to the atmosphere (RSO).
    4. Weigh final shipping containers (SCO).
    5. Charge the test stand with an appropriate CFC-12 charge (either 6 
oz. or 9 oz.).
    6. Run the test stand for four (4) hours with 100% run time.
    7. Turn off the test stand for twelve (12) hours. During this period 
evaporate all condensation that has collected on the test stand during 
step 6.
    8. Weigh the test stand (TSC).
    9. Recover CFC-12 from the test stand and perform all operations 
needed to transfer the recovered refrigerant to one of the shipping 
containers weighed in step 4. All recovery and transfer operations are 
to be performed in accordance with the operating instructions provided 
by the system's vendor. The compressor in the test stand is to remain 
``off'' or be turned ``on'' during the recovery operation depending on 
whether the test is for a nonworking or working compressor performance 
evaluation. If a recovery efficiency is to be calculated for each 
recovery event, transfer the captured refrigerant to a shipping 
container and then skip to step 13. Otherwise continue. If the system 
allows for multiple recovery operations to be performed before 
transferring recovered refrigerant to a shipping container, the transfer 
operation can be delayed until either the maximum number of recovery 
operations allowed before a transfer is required have been performed, or 
the last of the five (5) recovery operations has been performed.
    10. Perform any oil removal or oil addition operations needed to 
properly maintain the test stand and the devices used for recovery or 
transfer operations. Determine the net weight of the oil added or 
removed from the recovery device and/or transfer device. (OP1 for oil 
added, OP2 for oil removed).
    11. Evacuate the test stand to 20 microns vacuum for 4 hours.
    12. Return to step 2 unless five (5) recovery operations have been 
performed.
    13. Weigh all final shipping containers that received recovered 
refrigerant (SCF).
    14. Weigh the equipment weighed in step three (3) above (RSF). If a 
recovery efficiency is to be calculated for each recovery event, perform 
calculations and return to step one (1) for additional recoveries.

                            IV. Calculations

                 A. For Five (5) Consecutive Recoveries

    Refrigerant Recoverable equals the summation of charged test stand 
weights minus original test stand weights.


    Oil Loss equals the net weight of oil added to and removed from the 
recovery device and/or transfer device.

[[Page 211]]



    Refrigerant Recovered equals the final weight of shipping containers 
minus the initial weight of final shipping containers, plus final 
recovery system weight, minus original recovery system weight, plus the 
net value of all additions and removals of oil from the recovery and 
transfer devices.
[GRAPHIC] [TIFF OMITTED] TN30AU93.001

    n = number of shipping containers used.

    Recovery Efficiency equals Refrigerant Recovered divided by 
Refrigerant Recoverable times 100%.
[GRAPHIC] [TIFF OMITTED] TN30AU93.002

                      B. For Individual Recoveries

    Refrigerant Recoverable equals the charged test stand weight minus 
the original test stand weight.
[GRAPHIC] [TIFF OMITTED] TN30AU93.003

    Refrigerant Recovered equals the final weight of the shipping 
container minus the initial weight of the shipping container plus the 
final weight of the recovery system minus the original recovery system 
weight.
[GRAPHIC] [TIFF OMITTED] TN30AU93.004

    Recovery Efficiency equals Refrigerant Recovered divided by 
Refrigerant Recoverable times 100 percent.
[GRAPHIC] [TIFF OMITTED] TN30AU93.005


[[Page 212]]



   C. Calculation of a Statistically Significant Number of Recoveries
[GRAPHIC] [TIFF OMITTED] TN30AU93.006

Where:
Nadd = the number of additional samples required to achieve 
          90% confidence.
sd = Standard deviation, or (X/(N-1) \5\)
X = Sample average
N = Number of samples tested

------------------------------------------------------------------------
                                                              t for 90%
                     Number of samples                        confidence
------------------------------------------------------------------------
 2.........................................................        6.814
 3.........................................................        2.920
 4.........................................................        2.353
 5.........................................................        2.132
 6.........................................................        2.015
 7.........................................................        1.943
 8.........................................................        1.895
 9.........................................................        1.860
10.........................................................        1.833
------------------------------------------------------------------------

Procedure:
    1. Compute Nadd after completing two recoveries.
    2. If Nadd0, then run an additional test.
    3. Re-compute Nadd. Continue to test additional samples 
until Nadd<0.

              V. Test Procedure Approval and Certification

    Each vendor of capture equipment for small appliances desiring 
certification will provide a representative model of its capture system 
and its recommended recovery procedures to an EPA approved third party 
laboratory for testing in accordance with this procedure. The third 
party laboratory will certify recovery systems that when tested in 
accordance with this procedure demonstrate a sufficient recovery 
efficiency to meet EPA regulatory requirements.



   Sec. Appendix D to Subpart F of Part 82--Standards for Becoming a 
                   Certifying Program for Technicians

    a. Test Preparation. Technicians must pass an EPA-approved test, 
provided by an EPA-approved certifying program to be certified as a Type 
I technician. Organizations providing Type I certification only may 
choose either an on-site format or a mail-in format similar to what is 
permitted under the MVACs program.
    Technicians must pass a closed-book, proctored test, administered in 
a secure environment, by an EPA-approved certifying program to be 
certified as a Type II or Type III technician.
    Technicians must pass a closed-book, proctored test (or series of 
tests), administered in a secure environment, by an EPA-approved 
certifying program to be certified as a Universal technician. Mail-in 
format Type I tests cannot be used toward a Universal certification.
    Each certifying program must assemble tests by choosing a prescribed 
subset from the EPA test bank. EPA will have a test bank with more 
questions than are needed for an individual test, which will enable the 
certifying program to generate multiple tests in order to discourage 
cheating. Each test must include 25 questions drawn from Group 1 and 25 
questions drawn from each relevant technical Group. Tests for Universal 
technicians will include 100 questions (25 from Group 1 and 25 from each 
relevant technical Group). Universal tests may be taken all at once, or 
by combining passing scores on separate Type I, Type II, and Type III 
tests. Questions should be divided in order to sufficiently cover each 
topic within the Group.
    Certifying programs must provide a paper hand-out or electronic form 
of communication to technicians after they have completed their 
certification test that contains the following information:

--Which certifying program is providing the testing;
--Contact information for the certifying program;
--The name and contact information of the proctor; and
--When they should expect to receive their score and, if they passed, 
their certification card.

    Each certifying program must show a method of randomly choosing 
which questions will be on the tests. Multiple versions of the test must 
be used during each testing event. Test answer sheets must include the 
name and address of the applicant, the name and address of the 
certifying program, and the date and location at which the test was 
administered.
    Training material accompanying mail-in Type I tests must not include 
sample test questions mimicking the language of the certification test. 
All mail-in material will be subject to review by EPA.
    Certifying programs may charge individuals reasonable fees for the 
administration of the tests. EPA will publish a list of all approved 
certifying programs.

[[Page 213]]

    b. Proctoring. A certifying program for Type I (if in-person), Type 
II, Type III, and Universal technicians must designate at least one 
proctor registered for every 50 people taking tests at the same time at 
a given site.
    The certification test for Type I (if taken as part of a Universal 
certification), Type II, Type III, and Universal technicians is a 
closed-book exam. The proctors must ensure that the applicants for 
certification do not use any notes or training materials during testing. 
Desks or work space must be placed in a way that discourages cheating. 
The space and physical facilities are to be conducive to continuous 
surveillance by the proctors and monitors during testing.
    The proctor may not receive any benefit from the outcome of the 
testing other than a fee for proctoring. Proctors cannot know in advance 
which questions are on the tests they are proctoring.
    Proctors are required to verify the identity of individuals taking 
the test by examining photo identification. Acceptable forms of 
identification include but are not limited to drivers' licenses, 
government identification cards, passports, and military identification.
    Certifying programs for Type I technicians using the mail-in format, 
must take sufficient measures at the test site to ensure that tests are 
completed honestly by each technician. Each test for Type I 
certification must provide a means of verifying the identification of 
the individual taking the test. Acceptable forms of identification 
include but are not limited to drivers' licenses and passports.
    c. Test Security. A certifying program must demonstrate the ability 
to ensure the confidentiality and security of the test questions and 
answer keys through strict accountability procedures. An organization 
interested in developing a technician certification program will be 
required to describe these test security procedures to EPA.
    After the completion of a test, proctors must collect all test 
forms, answer sheets, scratch paper and notes. These items are to be 
placed in a sealed envelope.
    d. Test Content. All Type I, Type II and Type III, certification 
tests will include 25 questions from Group I and 25 questions from Group 
II. Universal certification tests will include 25 questions from Group I 
and 75 questions from Group II (with 25 from each of the three sector-
specific areas).
    Group I will ask questions in the following areas:

1. Environmental impact of CFCs, HCFCs, and substitute refrigerants
2. Laws and regulations
3. Changing industry outlook

    Group II will ask questions covering sector-specific (i.e., Type I, 
Type II, Type III) issues in the following areas:

4. Leak detection
5. Recovery Techniques
6. Safety
7. Shipping
8. Disposal

    e. Grading. Tests must be graded objectively. Certifying programs 
must inform the applicant of their test results no later than 30 days 
from the date of the test. Type I certifying programs using the mail-in 
format must notify the applicants of their test results no later than 30 
days from the date the certifying programs received the completed test 
and any required documentation.
    The passing score for the closed-book Type I, Type II, Type III and 
Universal certification test is 70 percent. The passing score for Type I 
certification tests using the mail-in format is 84 percent.
    f. Proof of Certification. Certifying programs must issue a standard 
wallet-sized identification card no later than 30 days from the date of 
the test. Type I certifying programs using mail-in formats must issue 
cards to certified technicians no later than 30 days from the date the 
certifying program receives the completed test and any required 
documentation.
    Each wallet-sized identification card must include, at a minimum, 
the name of the certifying program including the date the certifying 
program received EPA approval, the name of the person certified, the 
type of certification, a unique number for the certified person that 
does not include a technician's social security number, and the 
following text:

    [name of person] has successfully passed a [Type I, Type II, Type 
III and/or Universal--as appropriate] exam on how to responsibly handle 
refrigerants as required by EPA's National Recycling and Emissions 
Reduction Program.

    g. Recordkeeping and Reporting Requirements. Certifying programs 
must maintain records of the names and addresses of all individuals 
taking the tests, the scores of all certification tests administered, 
and the dates and locations of all tests administered. These records 
must be maintained indefinitely, unless transferred to another 
certifying program or EPA.
    EPA must receive an activity report from all approved certifying 
programs by every January 30 and July 30, which covers the previous six 
months of certifications. The first report must be submitted following 
the first full six-month period for which the program has been approved 
by EPA. This report includes the pass/fail rate. If the certifying 
program believes a test bank question needs to be modified, information 
about that question should also be included.
    Approved certifying programs will receive a letter of approval from 
EPA. Each testing

[[Page 214]]

center must display a copy of that letter at their place of business.
    Approved technician certification programs that voluntarily plan to 
stop providing the certification test must forward all records required 
by this appendix and Sec.  82.161 to another program currently approved 
by EPA in accordance with this appendix and with Sec.  82.161. Approved 
technician certification programs that receive records of certified 
technicians from a program that no longer offers the certification test, 
and the program that is voluntarily withdrawing from being a technician 
certification program must inform EPA at the address listed in Sec.  
82.160 within 30 days of receiving or transferring these records. The 
notification must include the name and address of the program to which 
the records have been transferred. If another currently approved program 
willing to accept the records cannot be located, these records must be 
submitted to EPA at the address listed at Sec.  82.160.
    Technician certification programs that have had their certification 
revoked in accordance with Sec.  82.169 must forward all records 
required by this appendix and Sec.  82.161 to EPA at the address listed 
in Sec.  82.160. Failure to do so is a violation of 40 CFR part 82, 
subpart F.
    h. Additional Requirements. EPA may periodically inspect testing 
sites to ensure compliance with EPA regulations. If testing center 
discrepancies are found, they must be corrected within a specified time 
period. If discrepancies are not corrected, EPA may suspend or revoke 
the certifying program's approval. The inspections will include but are 
not limited to a review of the certifying program's provisions for test 
security, the availability of space and facilities to conduct the 
administrative requirements and ensure the security of the tests, the 
availability of adequate testing facilities and spacing of the 
applicants during testing, a review of the proper procedures regarding 
accountability, and that there is no evidence of misconduct on the part 
of the certifying programs, their representatives and proctors, or the 
applicants for certification.
    If the certifying programs offer training or provide review 
materials to the applicants, these endeavors are to be considered 
completely separate from the administration of the certification test.

[81 FR 82390, Nov. 18, 2016]



 Sec. Appendix E to Subpart F of Part 82--Test Procedure for Leaks From 
 Containers Holding Two Pounds or Less of Refrigerant for Use in an MVAC

    This appendix is based on the California Air Resources Board (CARB) 
standard TP-503: Test Procedure for Leaks from Small Cans of Automotive 
Refrigerant, as amended on January 5, 2010; and CARB standard BP-A1: 
Balance Protocol for Gravimetric Determination of Sample Weights using a 
Precision Balance, as amended January 5, 2010.

                        Section 1. Applicability

    This test procedure is used by manufacturers of containers holding 
two pounds or less of refrigerant for use in a motor vehicle air 
conditioner (MVAC) to determine the leakage rate of small containers of 
automotive refrigerant that are subject to the requirements of 40 CFR 
part 82, subpart F. Specifically, this test procedure will specify the 
equipment, procedures, and calculations to determine if a container 
holding two pounds or less of refrigerant for use in an MVAC complies 
with the leakage rate specified in Sec.  82.154(c)(2)(ii). All terms in 
this appendix will follow the definitions in Sec.  82.152 unless 
otherwise defined in this appendix.
    All containers holding two pounds or less of refrigerant for use in 
an MVAC must comply with other applicable codes and regulations such as 
local, state, or Federal safety codes and regulations.
    This test procedure involves the use of materials under pressure and 
operations and should only be used by or under the supervision of those 
familiar and experienced in the use of such materials and operations. 
Appropriate safety precautions should be observed at all times while 
performing this test procedure.

           Section 2. Principle and Summary of Test Procedure

    This procedure is used to determine the leakage rate of containers 
holding two pounds or less of refrigerant for use in an MVAC (small 
cans). Testing will involve subjecting both full and partially empty 
cans in both upright and inverted positions at two temperatures: 73 
[deg]F and 130 [deg]F.
    Thirty small cans are tested under each condition for a total of 240 
small cans tested. Small cans are brought to temperature stability, 
weighed, then stored for 30 days under specified conditions of 
temperature, orientation, and state of fill, then re-weighed. Leakage 
rate (grams/year) is estimated by (weight loss in grams) x 365/(days 
duration). The leakage rate is then compared to a standard of 3.00 
grams/year to determine if a given small can complies with the leakage 
rate specified in Sec.  82.154(c)(2)(ii).

                   Section 3. Biases and Interferences

    3.1 Contaminants on the operator's hands can affect the weight of 
the small can and the ability of the small can to absorb moisture. To 
avoid contamination of the small can, the balance operator should wear 
gloves while handling the small cans.

[[Page 215]]

    3.2 Weight determinations can be interfered with by moisture 
condensing on the small can and by thermal currents generated by 
temperature differences between the small can and the room temperature. 
The small cans cool during discharge and could cause condensation. For 
these reasons, small cans must be equilibrated to balance room 
temperature for at least four hours before weighing.
    3.3 Variations in the temperature, pressure, and humidity of the 
ambient air will cause variations in the buoyancy of the small can. 
These variations should typically be less than 25 mg for a small can. If 
the small can is not leaking at all, then the uncorrected weight changes 
will be within the range of 0  25 mg, which is 
about ten percent of the 247 mg loss expected after thirty days for a 
can leaking at 3 g/yr. In that case buoyancy corrections can be omitted. 
If the absolute value of the uncorrected weight change exceeds 25 mg, 
then all calculations must be made using weights corrected for buoyancy 
based on the temperature, pressure, and humidity of the weighing room.
    3.4 Some electronic balances are sensitive to the effects of small 
static charges. The small can should be placed directly on the balance 
pan, ensuring metal to metal contact. If the balance pan is not 
grounded, the small can and balance pan should be statically discharged 
before weighing.

                    Section 4. Sensitivity and Range

    The mass of a full small can could range from roughly 50 g to 1000 g 
depending on the container capacity. A top loading balance, capable of a 
maximum weight measurement of not less than 1,000 g and having a minimum 
readability of 0.001 g, reproducibility and linearity of  0.002 g, must be used to perform mass measurements.

                          Section 5. Equipment

    5.1 A top loading balance that meets the requirements of Section 4 
above.
    5.2 A NIST traceable working standard mass for balance calibration. 
A NIST traceable working standard mass for a balance linearity check. A 
reference mass to serve as a ``blank'' small can.
    5.3 An enclosure capable of controlling the internal air temperature 
from 73 [deg]F  5 [deg]F, and an enclosure capable 
of controlling the internal air temperature to 130 [deg]F  5 [deg]F.
    5.4 A temperature instrument capable of measuring the internal 
temperature of the temperature conditioning enclosures and the balance 
room with a sensitivity of  2 [deg]F.
    5.5 A barometric pressure instrument capable of measuring 
atmospheric pressure at the location of the balance to within  0.02 inches of mercury.
    5.6 A relative humidity measuring instrument capable of measuring 
the relative humidity (RH) at the location of the balance with a 
sensitivity of  2 percent RH.
    5.7 A hose with appropriate fitting for dispensing refrigerant from 
the small can to a recovery machine.
    5.8 A refrigerant recovery machine to collect the discharged 
refrigerant from small cans being tested.

                    Section 6. Calibration Procedures

    6.1 Calibrations are applied to the balance and to the support 
equipment such as temperature, humidity, and pressure monitoring 
equipment. Procedures for calibration are not spelled out here. General 
calibration principals for the support equipment and the balance are 
described in Section 11, Quality Assurance/Quality Control. Detailed 
calibration procedures for measurements made using the balance are 
contained in Attachment A: ``Balance Protocol for Gravimetric 
Determination of Sample Weights using a Precision Balance.''

                    Section 7. Small Can Preparation

    7.1 Receive a batch of 240 small cans of one design to be tested. 
These may include several SKUs from different manufacturers if the 
container and valve combination are the same.
    7.2 Clean small cans with Alkanox solution or equivalent and dry 
with a lint free towel.
    7.3 Confirm that the sample ID sticker on the small can matches the 
sample ID on the chain of custody forms.
    7.4 Select a reference mass similar to the weight of a full small 
can. If multiple sets of similar sized small cans are being tested, only 
one reference mass is needed; it can be used with all sets. Store the 
reference mass in the balance area.
    7.5 Evacuate the contents of one half of the small cans (120 cans) 
into the refrigerant recovery machine using normal DIY dispensing 
procedures until each small can is approximately half full.
    7.6 Select a reference mass similar to the weight of the half-full 
small can. If multiple sets of similar size small cans are being tested, 
only one reference mass is needed; it can be used with all sets. Store 
the reference mass in the balance area.

                      Section 8. Small Can Weighing

    Weighing cans on the balance is done in accordance with Attachment A 
to this appendix. Attachment A describes how to conduct weight 
determinations including appropriate calibration and QC data. This 
section, ``Small Can Weighing,'' describes the overall process, not the 
details of how to use the balance.

[[Page 216]]

                             Initial Weights

    8.1 Put on gloves. Check the small cans for contamination.
    8.2 Place the 240 small cans into a location where they can 
equilibrate to balance room temperature. Record the small can test IDs 
and the equilibration start time on the Small Can Test Data Forms 
available on EPA's Web site in sets of thirty, one form for each of the 
eight test conditions.
    8.3 Let cans equilibrate for at least four hours.
    8.4 Weigh the set of 240 small cans and the reference weights using 
Attachment A and log the results to the Balance Weighing Log Form 
available on EPA's Web site.
    8.5 Transfer data from the Balance Weighing Log Form to the Small 
Can Test Data Form in sets of 30, one set for each of the eight 
conditions to be tested.

                             Thirty-Day Soak

    8.6 Place each set of 30 small cans into the appropriate orientation 
and temperature for soaking:

30 full small cans--73 [deg]F, upright
30 full small cans--73 [deg]F, inverted
30 full small cans--130 [deg]F, upright
30 full small cans--130 [deg]F, inverted
30 half-full small cans--73 [deg]F, upright
30 half-full small cans--73 [deg]F, inverted
30 half-full small cans--130 [deg]F, upright
30 half-full small cans--130 [deg]F, inverted

    8.7 Soak the small cans for 30 days undisturbed.

                             Final Weighing

    8.8 Place the 240 small cans into a location where they can 
equilibrate to balance room temperature.
    8.9 Let the small cans equilibrate for at least four hours.
    8.10 Weigh the set of 240 small cans, the reference weights, and any 
additional sets of small cans using Attachment A.
    8.11 Transfer data from the Balance Weighing Log Form to the 
corresponding Small Can Test Data Forms.

                         Section 9. Calculations

                        Corrections for Buoyancy

    The calculations in this section are described in terms of 
``weight.'' Mass is a property of the small can, whereas weight is a 
force due to the effects of buoyancy and gravity. Procedures for 
correcting the effect of buoyancy are given in Attachment B of this 
appendix. Ignoring buoyancy, i.e., using weight data uncorrected for 
buoyancy effects, is acceptable for a thirty day test if the absolute 
magnitude of the weight change is less than 25 mg. If the uncorrected 
weight change exceeds 25 mg for any small can, then correct all small 
can weights for buoyancy using the procedures in Attachment B before 
performing the calculations described below.

                        Calculation of Leak Rate

    The emission rate in grams/day for each small can is calculated by 
subtracting the final weight from the initial weight and then dividing 
the weight difference by the time difference measured in days to the 
nearest hour (nearest 1/24 of a day). The emission rate in g/day is 
multiplied by 365 to determine emission rate in grams/yr. If the annual 
emission rate for any small can exceeds the entire small can contents, 
then the annual emission rate for that small can is adjusted to equal 
the entire small can contents/year (e.g., about 350 g/yr for a 12 ounce 
small can). The annual emission rate for the purpose of the test is 
calculated by averaging the 240 individual adjusted annual emission 
rates and rounding to two decimal places. The cans fail the test if the 
adjusted annual emission rate averaged over 240 cans is greater than 
3.00 g/yr. The calculations are described below.
    Loss rate for each small can

Eidaily = (Wifinal - Wiinitial)/
          (Difinal - Diinitial) g/day
Eiannual = 365 x Eidaily g/year
Eiadjusted = Minimum of (Eiadjusted, Ci/year) g/yr

Where,

Ei = emission rate
Wifinal = weight of can i after soaking (grams)
Wiinitial = weight of can I before soaking (grams)
Difinal = date/time of final weight measurements (days)
Diinitial = date/time of initial weight measurements (days)
Ci = original factory mass of refrigerant in can i

    Note: Date/Times are measured in days. Microsoft Excel stores dates 
and times in days, and the calculations can be made directly in Excel. 
If calculations are made manually, calculate serial days to the nearest 
hour for each date and time as follows:

D = Julday + Hour/24

Where,

Julday = serial day of the year: Jan 1 = 1, Jan 31 = 31, Feb 1 = 32, 
          etc.
Hour = hour of day using 24-hour clock, 0 to 23

    Calculate the average loss rate for the 240 small cans as follows:

Emean = [Sum (Eadjustedi), i = 1 to 240]/240

                        Section 10. Recordkeeping

    During small can weighing, record the small can weights and date/
times on the Balance Weighing Log Form. After each weighing session, 
transfer the measured weights and date/times from the Balance Weighing 
Log Form to the Small Can Test Data Form.

[[Page 217]]

    At the end of the test, complete the calculations described in 
Section 9, Calculations, and record the results on the Small Can Test 
Data Form.

              Section 11. Quality Assurance/Quality Control

    11.1 All temperature, pressure, and humidity instruments should be 
calibrated annually against NIST traceable laboratory standards. The 
main purpose of the NIST traceable calibration is to establish the 
absolute accuracy of the device. The instruments should also be checked 
periodically such as weekly, monthly, or quarterly against intermediate 
standards or against independent instruments. For example, a 
thermocouple can be checked weekly against a wall thermometer. A 
barometer or pressure gauge can be checked weekly by adjusting to sea 
level and comparing with local airport data. The main purpose of the 
frequent checks is to verify that the device has not failed in some way. 
This is especially important for electronic devices such as a digital 
thermometer, but even a liquid filled thermometer can develop a problem 
such as a bubble.
    11.2 The balance should be serviced and calibrated annually by an 
independent balance service company or agency using NIST traceable 
reference masses. Servicing verifies accuracy and linearity, and the 
maintenance performed helps ensure that a malfunction does not develop.
    11.3 The balance must also be calibrated and its linearity checked 
with working standards before and after each weighing session, or before 
and after each group of 24 small cans if more than 24 small cans are 
weighed in a session. Procedures for calibrating and using the balance, 
as well as recording balance data, are described in the accompanying 
balance weighing protocol. These procedures include zero checks, 
calibration checks, and reference mass checks. Procedures for 
calculating quality control data from those checks are described in 
Attachment A.
    11.4 The small cans are cleaned then handled using gloves to prevent 
contamination. All equilibration and soaking must be done in a dust free 
area.

  Section 12. Balance Protocol for Gravimetric Determination of Sample 
                    Weights Using a Precision Balance

    12.1 Scope and application
    This Protocol summarizes a set of procedures and tolerances for 
weighing objects in the range of 0 to 1,000 g with a resolution of 0.001 
g. This protocol only addresses balance operations, it does not address 
project requirements for equilibration, sample hold time limits, sample 
collection etc.
    12.2 Summary of method
    The balance is zeroed and calibrated using procedures defined 
herein. Object weight determinations are conducted along with control 
object weight determinations, zero checks, calibration checks, 
sensitivity checks, and replicate weightings in a defined sequence 
designed to control and quantitatively characterize precision and 
accuracy.
    12.3 Definitions
    N/A.
    12.4 Interferences
    Object weights can be affected by temperature and relative humidity 
of their environment, air currents, static electricity, gain and loss of 
water vapor, gain or loss of and loss of volatile compounds directly 
from the sample or from contaminants such as finger prints, marker ink, 
and adhesive tape.
    Contamination, transfer of material to or from the samples, is 
controlled by conducting operations inside a clean area dedicated to the 
purpose and having a filtered laminar air flow where possible; by 
wearing gloves while handling all samples and related balance equipment; 
by using forceps to handle small objects, and by keeping the balance and 
all related equipment inside the clean area.
    Air currents are controlled by conducting weighing operations inside 
a closed chamber or glove box and by allowing the substrates to reach 
temperature and relative humidity equilibrium. The chamber is maintained 
at 40 percent relative humidity and 25 [deg]C by a continuous humidity 
and temperature control system. The temperature and RH conditions are 
recorded at least once per weighing sessions. Equilibration times for 
samples that are particularly sensitive to humidity or to loss of semi-
volatiles species are specified by project requirements.
    Static electric charges on the walls of the balance and the weighed 
objects, including samples, controls, and calibration weights, can 
significantly affect balance readings. Static is avoided by the operator 
ground himself and test objects as described in the balance manual.
    12.5 Personnel health and safety
    N/A
    12.6 Equipment and supplies
     Filtered, temperature and humidity controlled 
weighing chamber.
     Precision Balance
     Plastic forceps
     Nylon fabric gloves.
     Working calibration weights: ANSI Class 2, 1000g 
and 500 g
     Working sensitivity weight: 50 mg
     Reference objects: references are one or more 
objects that are typical of the objects to be weighed during a project, 
but that are stored permanently inside the balance glove box. Reference 
objects are labeled Test1, Test2, Test3, etc.
    12.7 Reagents and standard

[[Page 218]]

    N/A
    12.8 Sample collection, preservation, and storage
    N/A. See relevant project requirements and SOPs.
    12.9 Quality control
    Data quality is controlled by specifying frequencies and tolerances 
for Zero, Calibration, Linearity, and Sensitivity checks. If checks do 
not meet tolerance criteria, then samples must be re-weighed. In 
addition, the procedures specify frequencies for Control Object Checks.
    Data quality is quantitatively characterized using Zero Check, 
Calibration Check, and Control Check data. These data are summarized 
monthly in statistics and QC charts.
    12.10 Calibration and standardization
    The absolute accuracy of the balance is established by calibration 
against an ANSI Class 2, stainless steel working weight: 1000.000 g 
 0.0025 g. Linearity is established checking the 
midpoint against an ANSI Class 2 stainless steel working weight: 500.000 
 0.0012 g. Sensitivity is established using and 
ANSI Class 2 stainless steel or aluminum working weight: 50 mg. 
Precision is checked by periodically checking zero, calibration, and 
reference object weights.
    12.11 Procedure
    12.11.1 Overview of Weighing Sequence
    Weighing a series of substrates consists of performing the following 
procedures in sequence, while observing the procedures for handling and 
the procedures for reading the balance:

1. Initial Adjustment
2. Weigh eight samples
3. Zero Check
4. Weigh eight samples
5. Zero Check
6. Weigh eight samples
7. Calibration Check
8. Return to step 2.
9. If less than 24 cans are weighed, perform a final Calibration Check 
          at the end of weighing.

    This sequence is interrupted and samples are reweighed if QC check 
tolerances are not met. Each of these procedures along with procedures 
for handling and reading the balance are described below. The QC 
tolerances referred to in these procedures are listed in Table 1.
    12.11.2 Handling
    1. Never touch samples, weights, balance pans, etc. with bare hands. 
Wear powder free gloves to handle the weights, controls, and samples.
    12.11.3 Reading the Balance
    1. Close the door. Wait for the balance stabilization light to come 
on, and note the reading.
    2. Watch the balance reading for 30 sec (use a clock). If the 
reading has not changed by more than 0.001 g from the reading noted in 
step 1, then record the reading observed at the end of the 30 sec 
period.
    3. If the reading has drifted more than 0.001 g note the new balance 
reading and go to step 2.
    4. If the balance reading is flickering back and forth between two 
consecutive values choose the value that is displayed more often than 
the other.
    5. If the balance reading is flickering equally back and forth 
between two consecutive values choose the higher value.
    12.11.4 Initial Adjustment

1. Empty the sample pan Close the door. Select Range 1000 g
2. Wait for a stable reading
3. Record the reading with QC code IZC (initial zero check)
4. Press the Tare button
5. Record the reading in the logbook with QC code IZA (initial zero 
          adjust)
6. Place the 1,000 g working calibration weight on the balance pan
7. Wait for a stable reading.
8. Record the reading with QC code ICC (initial cal check)
9. Press the Calibrate button
10. Record the reading with QC code ICA (initial cal adjust)
11. Remove the calibration weight.
12. Wait for a stable reading.
13. Record the reading with QC code IZC.
14. If the zero reading exceeds  0.002 g, go to 
          step 4.
15. Place the 500 g calibration weight on the balance pan
16. After a stable reading, record the reading with QC code C500. Do not 
          adjust the balance.
17. Add the 0.050 g weight to 500 g weight on the balance pan.
18. After a stable reading, record the reading with QC code C0.05. Do 
          not adjust the balance.
19. Weigh reference object TEST1, record reading with QC code T1.
20. Weigh the reference object TEST2, TEST3, etc. that is similar in 
          weight to the samples that you will be weighing. Record with 
          QC code T2, T3, etc.

    12.11.5 Zero Check

1. Empty the sample pan. Close the door.
2. Wait for a stable reading
3. Record the reading with QC code ZC
4. If the ZC reading is less than or equal to the zero adjustment 
          tolerance shown in Table 1, return to weighing and do not 
          adjust the zero. If the ZC reading exceeded the zero 
          adjustment tolerance, proceed with steps 5 through 7.
5. Press the Tare button
6. Record the reading in the logbook with QC code ZA.
7. If the ZC reading exceeded the zero re-weigh tolerance, change the QC 
          code recorded in step 3 from ZC to FZC. Then

[[Page 219]]

          enter a QC code of FZ into the QC code column of all samples 
          weights obtained after the last valid zero check. Re- weigh 
          all of those samples, recording new data in new rows of the 
          logbook.

    12.11.6 Calibration Check

1. First, follow procedures for Zero Check. If the ZC was within 
          tolerance, tare the balance anyway (i.e., follow steps 5 and 6 
          of the Zero Check method)
2. Place the 1,000 g working calibration weight on the sample pan, wait 
          for a stable reading.
3. Record the reading with QC code C1000
4. If the C1000 reading is less than or equal to the calibration 
          adjustment tolerances, skip steps 5 through 8 and proceed to 
          step 9. Do not adjust the calibration.
5. If the C100 reading exceeded the calibration adjust tolerance, press 
          the Calibrate button.
6. Record the reading in the logbook with QC code CA
7. Perform a Zero Check (follow the Zero Check method)
8. If the C1000 reading exceeded the calibration re-weigh tolerance, 
          change the code recorded in step 3 from C1000 to FC1000. Enter 
          FC into the QC column for all sample weights obtained after 
          the last valid calibration check. Re-weigh all of those 
          samples, recording new data in new rows of the logbook.

    12.11.7 Replicate Weighing Check
    1. This protocol does not include reweigh samples to obtain 
replicates. The projects for which this protocol is intended already 
include procedures multiple weightings of each sample.

       Table 1--QC Tolerances and Frequencies for Balance Protocol
------------------------------------------------------------------------
 
------------------------------------------------------------------------
                           Reading Tolerance:
------------------------------------------------------------------------
0.001 g, stable for 30 sec..............................................
------------------------------------------------------------------------
                         Adjustment Tolerances:
------------------------------------------------------------------------
Zero:.....................................  -0.003 to +0.003 g.
Calibration:..............................  999.997 to 1000.003 g.
Controls:.................................  none.
Replicates:...............................  none.
------------------------------------------------------------------------
                          Re-weigh Tolerances:
------------------------------------------------------------------------
Zero:.....................................  -0.005 to +0.005 g.
Calibration:..............................  999.995 to 1000.005 g.
Controls:.................................  none.
Replicates:...............................  none.
------------------------------------------------------------------------
                           Reference Objects:
------------------------------------------------------------------------
Test 1--A reference object weighing about 400 g.........................
Test 2--A reference object weighing about 200 g.........................
Test 3--A reference object weighing about 700 g.........................
------------------------------------------------------------------------
                             QC Frequencies:
------------------------------------------------------------------------
Zero Checks:..............................  once per 8 samples.
Calibration Checks:.......................  once per 24 samples.
Repeat weighings:.........................  none (test method includes
                                             replicate determinations).
Control objects:..........................  once per weighing session.
------------------------------------------------------------------------

    12.12 Data analysis and calculations
    For Zero Checks, let Z equal the recorded Zero Check value. For 
control checks let T1, T2, etc. equal the recorded value for control 
object Test 1, Test 2, etc. For Calibration Checks, let C1000 equal 
C1000 reading minus 1000, M = C500--500, S = .C.050--C500--.050. For 
Replicate Checks, let D equal the loss that occurred between the first 
and second measurements. In summary:

T1 = T1
T2 = T2
T3 = T3
Z = ZC--0
C = C1000--1000
M = C500--500
G = C050--C500--.050

    Tabulate the mean and standard deviation for each of the following: 
Z, C, M, G. T1, T2, T3. Depending on the number of operators using the 
balance and the number of protocols in use, analyze the data by 
subcategories to determine the effects of balance operator and protocol. 
Each of these standard deviations, SZ, SC, etc. is 
an estimate of the precision of single weight measurement.
    For Z, C, M, and G, check the mean value for statistical difference 
from 0. If the means are statistically different than zero, 
troubleshooting to eliminate bias may be called for. For Z, C, M, G, T1, 
T2, T3, check that the standard deviations are all comparable. If there 
are systematic differences, then troubleshooting to eliminate the 
problem may be called for.
    Note that the precision of a weight gain, involves two weight 
determinations, and therefore is larger than S by a factor of sqrt(2). 
On the other hand replicate weighings improves the precision of the 
determinations by a factor of sqrt(N). If N = 2, i.e., duplicates, then 
the factors cancel each other.
    To estimate the overall uncertainty in a weight determination, a 
conservative estimate might be to combine the imprecision contributed by 
the zero with the imprecision contributed by the calibration.

U = Sqrt(SZ\2\ + SC\2\)

    The uncertainty in a weight gain from N replicates is then given by:

Ugain = Sqrt(2) x Sqrt(SZ\2\ + SC\2\)/
          Sqrt(N)

    But due to the balance adjustment and reweigh tolerances, we expect 
SZ to approximately equal SC, to approximately 
equal SM, etc. tolerances, so that the equation above 
becomes:

Ugain = 2 x S/Sqrt(N)


[[Page 220]]


Where S is any individual standard deviation; or better, a pooled 
          standard deviation.

    12.13 Method performance
    The data necessary to characterize the accuracy and precision of 
this method are still being collected. The method is used primarily to 
weigh objects before and after a period of soaking to determine weight 
loss by subtraction. Given the reweigh tolerances, we expect that the 
precision of weight gain determinations will be on the order of 0.006 g 
at the 1-sigma level. Bias in the weight gain determination, due to 
inaccuracy of the calibration weight and to fixed non-linearity of the 
balance response is on the order 0.005 percent of the gain.
    12.14 Pollution prevention
    When discharging half the can contents during can preparation, do 
not vent the contents of the small can to the atmosphere. Use an 
automotive recovery machine to transfer small can contest to a recovery 
cylinder.
    12.15 Waste management
    Dispose of the contents of the recycle cylinder through a service 
that consolidates waste for shipment to EPA certified facilities for 
reclaiming or destruction.

Section 13. Compensation of Weight Data for Buoyancy and Gravity Effects

    13.1 Gravity
    Variations in gravity are important only when weighing objects under 
different gravitational fields, i.e., at different locations or at 
different heights. Since the balance procedures calibrate the balance 
against a known mass (the calibration ``weight'') at the same location 
where sample objects are weighed, there is no need to correct for 
location. Although both the sample and the calibration weight are used 
at the same location, there will be a difference in the height of the 
center of gravity of the sample object (small can) and the center of 
gravity of the reference mass (calibration weight). However, this 
difference in height is maintained during both the initial weights and 
final weights, affecting the initial and final weights by the same 
amount, and affecting the scale of the weight difference by only a few 
ppm. In any event, the magnitude of this correction is on the order of 
0.3 ug per kg per mm of height difference. A difference on the order of 
100 mm would thus yield a weight difference of about 0.03 mg, which is 
insignificant compared to our balance resolution which is 0.001 g or 1 
mg.
    Based on the discussion above, no corrections for gravity are 
necessary when determining weight changes in small cans.
    13.2 Buoyancy
    Within a weighing session, the difference in density between the 
sample object and the calibration weight will cause the sample object 
weight value to differ from its mass value due to buoyancy. For a 1-
liter object in air at 20 [deg]C and at 1 atm, the buoyant force is 
about 1.2 g. The volume of a 1 kg object with a density of 8 g/cm\3\ 
(e.g., a calibration weight), is about 0.125 liters, and the buoyancy 
force is about 0.15 g. Variations in air density will affect both of 
these values in proportion. The net value being affected by variations 
in air density is thus on the order of 1.2 - 0.15 = 1.05 g. Air density 
can vary up or down by 2 percent or more due to variations in barometric 
pressure, temperature, and humidity. The buoyancy force will then vary 
up or down by 0.02 g, or 20 mg. This is significant compared to the 
weight change expected after one week for a can leaking at 3 grams per 
year, which is 57 mg.
    Based on the discussion above, buoyancy corrections must be made.
    Variables measured or calculated:

Vcan = volume of can (cm\3\). Estimate to within 10 percent 
          by measuring the can dimensions or by water displacement. 
          Error in the can volume will cause an error in the absolute 
          amount of the buoyancy force, but will have only a small 
          effect on the change in buoyancy force from day to day.
Wcan = nominal weight of a can (g), used to calculate the 
          nominal density of the can.
[rho]can = nominal density of a small can (g/cm\3\). The 
          nominal values can be applied to corrections for all cans. It 
          is not necessary to calculate a more exact density for each 
          can. Calculate once for a full can and once for a half full 
          can as follows:

[rho]can = Wcan /Vcan
T = Temperature in balance chamber (degrees Celsius).
RH = Relative humidity in balance chamber (expressed a number between 0 
          and 100).
Pbaro = Barometric pressure in balance chamber (millibar). 
          Use actual pressure, NOT pressure adjusted to sea level.
[rho]air = density of air in the balance chamber (g/cm\3\). 
          Calculate using the following approximation:
[rho]air = 0.001*[0.348444*Pbaro-(RH/100) x (0.252 
          x T-2.0582)]/(T + 273.15)
[rho]ref = the reference density of the calibration weight 
          (g/cm\3\). Should be 8.0 g/cm\3\.
Equation to correct for buoyancy: Wcorrected = 
          Wreading x (1--[rho]air/
          [rho]ref)/(1--[rho]air/
          [rho]can)

[81 FR 82392, Nov. 18, 2016]



          Subpart G_Significant New Alternatives Policy Program

    Source: 59 FR 13147, Mar. 18, 1994, unless otherwise noted.

[[Page 221]]



Sec.  82.170  Purpose and scope.

    (a) The purpose of these regulations in this subpart is to implement 
section 612 of the Clean Air Act, as amended, regarding the safe 
alternatives policy on the acceptability of substitutes for ozone-
depleting compounds. This program will henceforth be referred to as the 
``Significant New Alternatives Policy'' (SNAP) program. The objectives 
of this program are to identify substitutes for ozone-depleting 
compounds, to evaluate the acceptability of those substitutes, to 
promote the use of those substitutes believed to present lower overall 
risks to human health and the environment, relative to the class I and 
class II compounds being replaced, as well as to other substitutes for 
the same end-use, and to prohibit the use of those substitutes found, 
based on the same comparisons, to increase overall risks.
    (b) The regulations in this subpart describe persons and substitutes 
subject to reporting requirements under the SNAP program and explain 
preparation and submission of notices and petitions on substitutes. The 
regulations also establish Agency procedures for reviewing and 
processing EPA's determinations regarding notices and petitions on 
substitutes. Finally, the regulations prohibit the use of alternatives 
which EPA has determined may have adverse effects on human health or the 
environment where EPA has identified alternatives in particular 
industrial use sectors that on an overall basis, reduce risk to human 
health and the environment and are currently or potentially available. 
EPA will only prohibit substitutes where it has identified other 
substitutes for a specific application that are acceptable and are 
currently or potentially available.
    (c) Notifications, petitions and other materials requested shall be 
sent to: SNAP Document Control Officer, U.S. Environmental Protection 
Agency (6205-J), 1200 Pennsylvania Ave., NW., Washington, DC 20460.



Sec.  82.172  Definitions.

    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Agency means the U.S. Environmental Protection Agency.
    Application means a specific use within a major industrial sector 
end-use.
    Class I or class II means the specific ozone-depleting compounds 
described in section 602 of the Act.
    Decision means any final determination made by the Agency under 
section 612 of the Act on the acceptability or unacceptability of a 
substitute for a class I or II compound.
    EPA means the U.S. Environmental Protection Agency.
    End-use means processes or classes of specific applications within 
major industrial sectors where a substitute is used to replace an ozone-
depleting substance.
    Formulator means any person engaged in the preparation or 
formulation of a substitute, after chemical manufacture of the 
substitute or its components, for distribution or use in commerce.
    Health and safety study or study means any study of any effect of a 
substitute or its components on health and safety, or the environment or 
both, including underlying data and epidemiological studies, studies of 
occupational, ambient, and consumer exposure to a substitute, 
toxicological, clinical, and ecological, or other studies of a 
substitute and its components, and any other pertinent test. Chemical 
identity is always part of a health and safety study. Information which 
arises as a result of a formal, disciplined study is included in the 
definition. Also included is information relating to the effects of a 
substitute or its components on health or the environment. Any available 
data that bear on the effects of a substitute or its components on 
health or the environment would be included. Examples include:
    (1) Long- and short-term tests of mutagenicity, carcinogenicity, or 
teratogenicity; data on behavioral disorders; dermatoxicity; 
pharmacological effects; mammalian absorption, distribution, metabolism, 
and excretion; cumulative, additive, and synergistic effects; acute, 
subchronic, and chronic effects; and structure/activity analyses;
    (2) Tests for ecological or other environmental effects on 
invertebrates, fish, or other animals, and plants, including: Acute 
toxicity tests, chronic toxicity tests, critical life stage tests,

[[Page 222]]

behavioral tests, algal growth tests, seed germination tests, microbial 
function tests, bioconcentration or bioaccumulation tests, and model 
ecosystem (microcosm) studies;
    (3) Assessments of human and environmental exposure, including 
workplace exposure, and effects of a particular substitute on the 
environment, including surveys, tests, and studies of: Biological, 
photochemical, and chemical degradation; air, water and soil transport; 
biomagnification and bioconcentration; and chemical and physical 
properties, e.g., atmospheric lifetime, boiling point, vapor pressure, 
evaporation rates from soil and water, octanol/water partition 
coefficient, and water solubility;
    (4) Monitoring data, when they have been aggregated and analyzed to 
measure the exposure of humans or the environment to a substitute; and
    (5) Any assessments of risk to health or the environment resulting 
from the manufacture, processing, distribution in commerce, use, or 
disposal of the substitute or its components.
    Importer means any person who imports a chemical substitute into the 
United States. Importer includes the person primarily liable for the 
payment of any duties on the merchandise or an authorized agent acting 
on his or her behalf. The term also includes, as appropriate:
    (1) The consignee;
    (2) The importer of record;
    (3) The actual owner; and
    (4) The transferee, if the right to draw merchandise in a bonded 
warehouse has been transferred.
    Major Industrial Use Sector or Sector means an industrial category 
which EPA has reviewed under the SNAP program with historically high 
consumption patterns of ozone-depleting substances, including: 
Refrigeration and air conditioning; foam-blowing; fire suppression and 
explosion protection; solvents cleaning; aerosols; sterilants; tobacco 
expansion; pesticides; and adhesives, coatings and inks sectors.
    Manufacturer means any person engaged in the direct manufacture of a 
substitute.
    Mixture means any mixture or blend of two or more compounds.
    Person includes an individual, corporation, partnership, 
association, state, municipality, political subdivision of a state, and 
any agency, department, or instrumentality of the United States and any 
officer, agent, or employee of such entities.
    Pesticide has the meaning contained in the Federal Insecticide, 
Fungicide, and Rodenticide Act, 7 U.S.C. 136 et seq. and the regulations 
issued under it.
    Potentially available is defined as any alternative for which 
adequate health, safety, and environmental data, as required for the 
SNAP notification process, exist to make a determination of 
acceptability, and which the Agency reasonably believes to be 
technically feasible, even if not all testing has yet been completed and 
the alternative is not yet produced or sold.
    Premanufacture Notice (PMN) Program has the meaning described in 40 
CFR part 720, subpart A promulgated under the Toxic Substances Control 
Act, 15 U.S.C. 2601 et seq.
    Producer means any person who manufactures, formulates or otherwise 
creates a substitute in its final form for distribution or use in 
interstate commerce.
    Research and development means quantities of a substitute 
manufactured, imported, or processed or proposed to be manufactured, 
imported, or processed solely for research and development.
    Residential use means use by a private individual of a chemical 
substance or any product containing the chemical substance in or around 
a permanent or temporary household, during recreation, or for any 
personal use or enjoyment. Use within a household for commercial or 
medical applications is not included in this definition, nor is use in 
automobiles, watercraft, or aircraft.
    Significant new use means use of a new or existing substitute in a 
major industrial use sector as a result of the phaseout of ozone-
depleting compounds.
    Small uses means any use of a substitute in a sector other than a 
major industrial use sector, or production by any producer for use of a 
substitute in a major industrial sector of 10,000 lbs. or less per year.

[[Page 223]]

    Substitute or alternative means any chemical, product substitute, or 
alternative manufacturing process, whether existing or new, intended for 
use as a replacement for a class I or II compound.
    Test marketing means the distribution in interstate commerce of a 
substitute to no more than a limited, defined number of potential 
customers to explore market viability in a competitive situation. 
Testing must be restricted to a defined testing period before the 
broader distribution of that substitute in interstate commerce.
    Use means any use of a substitute for a Class I or Class II ozone-
depleting compound, including but not limited to use in a manufacturing 
process or product, in consumption by the end-user, or in intermediate 
uses, such as formulation or packaging for other subsequent uses.
    Use restrictions means restrictions on the use of a substitute 
imposing either conditions on how the substitute can be used across a 
sector end-use or limits on the end-uses or specific applications where 
it can be used within a sector.



Sec.  82.174  Prohibitions.

    (a) No person may introduce a new substitute into interstate 
commerce before the expiration of 90 days after a notice is initially 
submitted to EPA under Sec.  82.176(a).
    (b) No person may use a substitute which a person knows or has 
reason to know was manufactured, processed or imported in violation of 
the regulations in this subpart, or knows or has reason to know was 
manufactured, processed or imported in violation of any use restriction 
in the acceptability determination, after the effective date of any 
rulemaking imposing such restrictions.
    (c) No person may use a substitute without adhering to any use 
restrictions set by the acceptability decision, after the effective date 
of any rulemaking imposing such restrictions.
    (d) No person may use a substitute after the effective date of any 
rulemaking adding such substitute to the list of unacceptable 
substitutes.
    (e) Rules Stayed for Reconsideration. Notwithstanding any other 
provision of this subpart, the effectiveness of subpart G is stayed from 
December 8, 1994, to March 8, 1995, only as applied to use of 
substitutes for export.

[59 FR 13147, Mar. 18, 1994, as amended at 59 FR 63256, Dec. 8, 1994; 60 
FR 3303, Jan. 13, 1995]



Sec.  82.176  Applicability.

    (a) Any producer of a new substitute must submit a notice of intent 
to introduce a substitute into interstate commerce 90 days prior to such 
introduction. Any producer of an existing substitute already in 
interstate commerce must submit a notice as of July 18, 1994, if such 
substitute has not already been reviewed and approved by the Agency.
    (b) With respect to the following substitutes, producers are exempt 
from notification requirements:
    (1) Substitutes already listed as acceptable. Producers need not 
submit notices on substitutes that are already listed as acceptable 
under SNAP.
    (2) Small sectors. Persons using substitutes in sectors other than 
the nine principal sectors reviewed under this program are exempt from 
the notification requirements. This exemption shall not be construed to 
nullify an unacceptability determination or to allow use of an otherwise 
unacceptable substitute.
    (3) Small volume use within SNAP sectors. Within the nine principal 
SNAP sectors, persons introducing a substitute whose expected volume of 
use amounts to less than 10,000 lbs. per year within a SNAP sector are 
exempt from notification requirements. This exemption shall not be 
construed to allow use of an otherwise unacceptable substitute in any 
quantity. Persons taking advantage of this exemption for small uses must 
maintain documentation for each substitute describing how the substitute 
meets this small use definition. This documentation must include annual 
production and sales information by sector.
    (4) Research and development. Production of substitutes for the sole 
purpose of research and development is exempt from reporting 
requirements.
    (5) Test marketing. Use of substitutes for the sole purpose of test 
marketing

[[Page 224]]

is exempt from SNAP notification requirements until 90 days prior to the 
introduction of such substitutes for full-scale commercial sale in 
interstate commerce. Persons taking advantage of this exemption are, 
however, required to notify the Agency in writing that they are 
conducting test marketing 30 days prior to the commencement of such 
marketing. Notification shall include the name of the substitute, the 
volume used in the test marketing, intended sector end-uses, and 
expected duration of the test marketing period.
    (6) Formulation changes. In cases where replacement of class I or II 
compounds causes formulators to change other components in a product, 
formulators are exempt from reporting with respect to these auxiliary 
formulation changes. However, the SNAP submitter is required to notify 
the Agency if such changes are expected to significantly increase the 
environmental and human health risk associated with the use of any class 
I or class II substitute.
    (7) Substitutes used as feedstocks. Producers of substitutes used as 
feedstocks which are largely or entirely consumed, transformed or 
destroyed in the manufacturing or use process are exempt from reporting 
requirements concerning such substitutes.
    (c) Use of a substitute in the possession of an end-user as of March 
18, 1994, listed as unacceptable or acceptable subject to narrowed use 
limits may continue until the individual end-users' existing supply, as 
of that date, of the substitute is exhausted. Use of substitutes 
purchased after March 18, 1994, is not permitted subsequent to April 18, 
1994.



Sec.  82.178  Information required to be submitted.

    (a) Persons whose substitutes are subject to reporting requirements 
pursuant to Sec.  82.176 must provide the following information:
    (1) Name and description of the substitute. The substitute should be 
identified by its: Chemical name; trade name(s); identification numbers; 
chemical formula; and chemical structure.
    (2) Physical and chemical information. The substitute should be 
characterized by its key properties including but not limited to: 
Molecular weight; physical state; melting point; boiling point; density; 
taste and/or odor threshold; solubility; partition coefficients (Log 
Kow, Log Koc); atmospheric lifetime and vapor 
pressure.
    (3) Substitute applications. Identification of the applications 
within each sector end-use in which the substitutes are likely to be 
used.
    (4) Process description. For each application identified, 
descriptive data on processing, including in-place pollution controls.
    (5) Ozone depletion potential. The predicted 100-year ozone 
depletion potential (ODP) of substitute chemicals. The submitter must 
also provide supporting documentation or references.
    (6) Global warming impacts. Data on the total global warming 
potential of the substitute, including information on the GWP index and 
the indirect contributions to global warming caused by the production or 
use of the substitute (e.g., changes in energy efficiency). GWP must be 
calculated over a 100, 500 and 1000-year integrated time horizon.
    (7) Toxicity data. Health and safety studies on the effects of a 
substitute, its components, its impurities, and its degradation products 
on any organism (e.g., humans, mammals, fish, wildlife, and plants). For 
tests on mammals, the Agency requires a minimum submission of the 
following tests to characterize substitute risks: A range-finding study 
that considers the appropriate exposure pathway for the specific use 
(e.g., oral ingestion, inhalation, etc.), and a 90-day subchronic 
repeated dose study in an appropriate rodent species. For certain 
substitutes, a cardiotoxicity study is also required. Additional 
mammalian toxicity tests may be identified based on the substitute and 
application in question. To sufficiently characterize aquatic toxicity 
concerns, both acute and chronic toxicity data for a variety of species 
are required. For this purpose, the Agency requires a minimum data set 
as described in ``Guidelines for Deriving Numerical National Water 
Quality Criteria for the Protection of Aquatic Organisms and their 
Uses,'' which is available through the National Technical Information 
Service (PB 85-227049). Other relevant information and

[[Page 225]]

data summaries, such as the Material Safety Data Sheets (MSDS), should 
also be submitted. To assist in locating any studies previously 
submitted to EPA and referred to, but not included in a SNAP submission, 
the submitter must provide citations for the date, type of submission, 
and EPA Office to which they were submitted, to help EPA locate these 
quickly.
    (8) Environmental fate and transport. Where available, information 
must be submitted on the environmental fate and transport of 
substitutes. Such data shall include information on bioaccumulation, 
biodegradation, adsorption, volatility, transformation, and other data 
necessary to characterize movement and reaction of substitutes in the 
environment.
    (9) Flammability. Data on the flammability of a substitute chemical 
or mixture are required. Specifically, the flash point and flammability 
limits are needed, as well as information on the procedures used for 
determining the flammability limits. Testing of blends should identify 
the compositions for which the blend itself is flammable and include 
fractionation data on changes in the composition of the blend during 
various leak scenarios. For substitutes that will be used in consumer 
applications, documentation of testing results conducted by independent 
laboratories should be submitted, where available. If a substitute is 
flammable, the submitter must analyze the risk of fire resulting from 
the use of such a substitute and assess the effectiveness of measures to 
minimize such risk.
    (10) Exposure data. Available modeling or monitoring data on 
exposures associated with the manufacture, formulation, transport, use 
and disposal of a substitute. Descriptive process information for each 
substitute application, as described above, will be used to develop 
exposure estimates where exposure data are not readily available. 
Depending on the application, exposure profiles may be needed for 
workers, consumers, and the general population.
    (11) Environmental release data. Data on emissions from the 
substitute application and equipment, as well as on pollutant releases 
or discharge to all environmental media. Submitters should provide 
information on release locations, and data on the quantities, including 
volume, of anticipated waste associated with the use of the substitute. 
In addition, information on anticipated waste management practices 
associated with the use of the substitute. Any available information on 
any pollution controls used or that could be used in association with 
the substitute (e.g., emissions reduction technologies, wastewater 
treatment, treatment of hazardous waste) and the costs of such 
technology must also be submitted.
    (12) Replacement ratio for a chemical substitute. Information on the 
replacement ratio for a chemical substitute versus the class I or II 
substances being replaced. The term ``replacement ratio'' means how much 
of a substitute must be used to replace a given quantity of the class I 
or II substance being replaced.
    (13) Required changes in use technology. Detail on the changes in 
technology needed to use the alternative. Such information should 
include a description of whether the substitute can be used in existing 
equipment--with or without some retrofit--or only in new equipment. Data 
on the cost (capital and operating expenditures) and estimated life of 
any technology modifications should also be submitted.
    (14) Cost of substitute. Data on the expected average cost of the 
alternative. In addition, information is needed on the expected 
equipment lifetime for an alternative technology. Other critical cost 
considerations should be identified, as appropriate.
    (15) Availability of substitute. If the substitute is not currently 
available, the timing of availability of a substitute should be 
provided.
    (16) Anticipated market share. Data on the anticipated near-term and 
long-term nationwide substitute sales.
    (17) Applicable regulations under other environmental statutes. 
Information on whether the substitute is regulated under other statutory 
authorities, in particular the Clean Water Act, Safe Drinking Water Act, 
the Resource Conservation and Recovery Act, the Federal Insecticide, 
Fungicide, and Rodenticide Act, the Toxic Substances Control Act, the 
Comprehensive Environmental Response, Compensation

[[Page 226]]

and Liability Act, the Emergency Planning and Community Right-to-Know 
Act, or other titles under the Clean Air Act.
    (18) Information already submitted to the Agency. Information 
requested in the SNAP program notice that has been previously submitted 
to the Agency as part of past regulatory and information-gathering 
activities may be referenced rather than resubmitted. Submitters who 
cannot provide accurate references to data sent previously to the Agency 
should include all requested information in the SNAP notice.
    (19) Information already available in the literature. If any of the 
data needed to complete the SNAP program notice are available in the 
public literature, complete references for such information should be 
provided.
    (b) The Significant New Alternatives Policy (SNAP) Information 
Notice is designed to provide the Agency with the information necessary 
to reach a decision on the acceptability of a substitute.
    (1) Submitters requesting review under the SNAP program should send 
the completed SNAP notice to: SNAP Document Control Officer, U.S. 
Environmental Protection Agency (6205-J), 1200 Pennsylvania Ave., NW., 
Washington, DC 20460.
    (2) Submitters filing jointly under SNAP and the Premanufacture 
Notice Program (PMN) should send the SNAP addendum along with the PMN 
form to: PMN Document Control Officer, U.S. Environmental Protection 
Agency (7407), 1200 Pennsylvania Ave., NW., Washington, DC 20460. 
Submitters must also send both documents to the SNAP program, with a 
reference to indicate the notice has been furnished to the Agency under 
the PMN program. Submitters providing information on new chemicals for 
joint review under the TSCA and SNAP programs may be required to supply 
additional toxicity data under TSCA section 5.
    (3) Submitters filing jointly under SNAP and under the Federal 
Insecticide, Fungicide, and Rodenticide Act should send the SNAP form to 
the Office of Pesticide Programs, Registration Division, (7505C) 1200 
Pennsylvania Ave., NW., Washington, DC 20460, as well as to the SNAP 
Document Control Officer.



Sec.  82.180  Agency review of SNAP submissions.

    (a) Processing of SNAP notices--(1) 90-day review process. The 90-
day review process will begin once EPA receives a submission and 
determines that such submission includes data on the substitute that are 
complete and adequate, as described in Sec.  82.178. The Agency may 
suspend or extend the review period to allow for submission of 
additional data needed to complete the review of the notice.
    (2) Initial review of notice. The SNAP Document Control Officer will 
review the notice to ensure that basic information necessary to process 
the submission is present (i.e., name of company, identification of 
substitute, etc.). The SNAP Document Control Officer will also review 
substantiation of any claim of confidentiality.
    (3) Determination of data adequacy. Upon receipt of the SNAP 
submission, the Agency will review the completeness of the information 
supporting the application. If additional data are needed, the submitter 
will be contacted following completion of this review. The 90-day review 
period will not commence until EPA has received data it judges adequate 
to support analysis of the submission.
    (4) Letter of receipt. The SNAP Document Control Officer will send a 
letter of receipt to the submitter to confirm the date of notification 
and the beginning of EPA's 90-day review period. The SNAP Document 
Control Officer will also assign the SNAP notice a tracking number, 
which will be identified in the letter of receipt.
    (5) Availability of new information during review period. If 
critical new information becomes available during the review period that 
may influence the Agency's evaluation of a substitute, the submitter 
must notify the Agency about the existence of such information within 10 
days of learning of such data. The submitter must also inform the Agency 
of new studies underway, even if the results will not be available 
within the 90-day review period. The Agency may contact the submitter to

[[Page 227]]

explore extending or suspending the review period depending on the type 
of information received and the stage of review.
    (6) Completion of detailed review. Once the initial data review, 
described in paragraphs (a)(2) and (3) of this section, has been 
completed, the Agency will complete a detailed evaluation of the notice. 
If during any time the Agency perceives a lack of information necessary 
to reach a SNAP determination, it will contact the submitter and request 
the missing data.
    (7) Criteria for review. To determine whether a substitute is 
acceptable or unacceptable as a replacement for class I or II compounds, 
the Agency will evaluate:
    (i) Atmospheric effects and related health and environmental 
impacts;
    (ii) General population risks from ambient exposure to compounds 
with direct toxicity and to increased ground-level ozone;
    (iii) Ecosystem risks;
    (iv) Occupational risks;
    (v) Consumer risks;
    (vi) Flammability; and
    (vii) Cost and availability of the substitute.
    (8) Communication of decision--(i) Communication of decision to the 
submitter. Once the SNAP program review has been completed, the Agency 
will notify the submitter in writing of the decision. Sale or 
manufacture of new substitutes may commence after the initial 90-day 
notification period expires even if the Agency fails to reach a decision 
within the 90-day review period or fails to communicate that decision or 
the need for additional data to the submitter. Sale or manufacture of 
existing substitutes may continue throughout the Agency's 90-day review.
    (ii) Communication of decision to the public. The Agency will 
publish in the Federal Register periodic updates to the list of the 
acceptable and unacceptable alternatives that have been reviewed to 
date. In the case of substitutes proposed as acceptable with use 
restrictions, proposed as unacceptable or proposed for removal from 
either list, a rulemaking process will ensue. Upon completion of such 
rulemaking, EPA will publish revised lists of substitutes acceptable 
subject to use conditions or narrowed use limits and unacceptable 
substitutes to be incorporated into the Code of Federal Regulations. 
(See Appendices to this subpart.)
    (b) Types of listing decisions. When reviewing substitutes, the 
Agency will list substitutes in one of five categories:
    (1) Acceptable. Where the Agency has reviewed a substitute and found 
no reason to prohibit its use, it will list the alternative as 
acceptable for the end-uses listed in the notice.
    (2) Acceptable subject to use conditions. After reviewing a notice, 
the Agency may make a determination that a substitute is acceptable only 
if conditions of use are met to minimize risks to human health and the 
environment. Where users intending to adopt a substitute acceptable 
subject to use conditions must make reasonable efforts to ascertain that 
other alternatives are not feasible due to safety, performance or 
technical reasons, documentation of this assessment must be retained on 
file for the purpose of demonstrating compliance. This documentation 
shall include descriptions of substitutes examined and rejected, 
processes or products in which the substitute is needed, reason for 
rejection of other alternatives, e.g., performance, technical or safety 
standards. Use of such substitutes in ways that are inconsistent with 
such use conditions renders them unacceptable.
    (3) Acceptable subject to narrowed use limits. Even though the 
Agency can restrict the use of a substitute based on the potential for 
adverse effects, it may be necessary to permit a narrowed range of use 
within a sector end-use because of the lack of alternatives for 
specialized applications. Users intending to adopt a substitute 
acceptable with narrowed use limits must ascertain that other 
alternatives are not technically feasible. Companies must document the 
results of their evaluation, and retain the results on file for the 
purpose of demonstrating compliance. This documentation shall include 
descriptions of substitutes examined and rejected, processes or products 
in which the substitute is needed, reason for rejection of other 
alternatives, e.g.,

[[Page 228]]

performance, technical or safety standards, and the anticipated date 
other substitutes will be available and projected time for switching to 
other available substitutes. Use of such substitutes in applications and 
end-uses which are not specified as acceptable in the narrowed use limit 
renders them unacceptable.
    (4) Unacceptable. This designation will apply to substitutes where 
the Agency's review indicates that the substitute poses risk of adverse 
effects to human health and the environment and that other alternatives 
exist that reduce overall risk.
    (5) Pending. Submissions for which the Agency has not reached a 
determination will be described as pending. For all substitutes in this 
category, the Agency will work with the submitter to obtain any missing 
information and to determine a schedule for providing the missing 
information if the Agency wishes to extend the 90-day review period. EPA 
will use the authority under section 114 of the Clean Air Act to gather 
this information, if necessary. In some instances, the Agency may also 
explore using additional statutory provisions (e.g., section 5 of TSCA) 
to collect the needed data.
    (c) Joint processing under SNAP and TSCA. The Agency will coordinate 
reviews of substitutes submitted for evaluation under both the TSCA PMN 
program and the CAA.
    (d) Joint processing under SNAP and FIFRA. The Agency will 
coordinate reviews of substitutes submitted for evaluation under both 
FIFRA and the CAA.

[59 FR 13147, Mar. 18, 1994, as amended at 61 FR 25592, May 22, 1996; 61 
FR 54039, Oct. 16, 1996]



Sec.  82.182  Confidentiality of data.

    (a) Clean Air Act provisions. Anyone submitting information must 
assert a claim of confidentiality at the time of submission for any data 
they wish to have treated as confidential business information (CBI) 
under 40 CFR part 2, subpart B. Failure to assert a claim of 
confidentiality at the time of submission may result in disclosure of 
the information by the Agency without further notice to the submitter. 
The submitter should also be aware that under section 114(c), emissions 
data may not be claimed as confidential.
    (b) Substantiation of confidentiality claims. At the time of 
submission, EPA requires substantiation of any confidentiality claims 
made. Failure to provide any substantiation may result in disclosure of 
information without further notice by the Agency. All submissions must 
include adequate substantiation in order for an acceptability 
determination on a substitute to be published. Moreover, under 40 CFR 
part 2, subpart B, there are further instances in which confidentiality 
assertions may later be reviewed even when confidentiality claims are 
initially received. The submitter will also be contacted as part of such 
an evaluation process.
    (c) Confidentiality provisions for toxicity data. In the event that 
toxicity or health and safety studies are listed as confidential, this 
information cannot be maintained as confidential where such data are 
also submitted under TSCA or FIFRA, to the extent that confidential 
treatment is prohibited under those statutes. However, information 
contained in a toxicity study that is not health and safety data and is 
not relevant to the effects of a substance on human health and the 
environment (e.g., discussion of process information, proprietary 
blends) can be maintained as confidential subject to 40 CFR part 2, 
subpart B.
    (d) Joint submissions under other statutes. Information submitted as 
part of a joint submission to either SNAP/TSCA or SNAP/FIFRA must adhere 
to the security provisions of the program offices implementing these 
statutes. For such submissions, the SNAP handling of such notices will 
follow the security provisions under these statutes.



Sec.  82.184  Petitions.

    (a) Who may petition. Any person may petition the Agency to amend 
existing listing decisions under the SNAP program, or to add a new 
substance to any of the SNAP lists.
    (b) Types of petitions. Five types of petitions exist:
    (1) Petitions to add a substitute not previously reviewed under the 
SNAP program to the acceptable list. This type of petition is comparable 
to the

[[Page 229]]

90-day notifications, except that it would generally be initiated by 
entities other than the companies that manufacture, formulate, or 
otherwise use the substitute. Companies that manufacture, formulate, or 
use substitutes that want to have their substitutes added to the 
acceptable list should submit information on the substitute under the 
90-day review program;
    (2) Petitions to add a substitute not previously reviewed under the 
SNAP program to the unacceptable list;
    (3) Petitions to delete a substitute from the acceptable list and 
add it to the unacceptable list or to delete a substitute from the 
unacceptable and add it to the acceptable list;
    (4) Petitions to add or delete use restrictions on an acceptability 
listing.
    (5) Petitions to grandfather use of a substitute listed as 
unacceptable or acceptable subject to use restrictions.
    (c) Content of the petition. The Agency requires that the petitioner 
submit information on the type of action requested and the rationale for 
the petition. Petitions in paragraphs (b)(1) and (2) of this section 
must contain the information described in Sec.  82.178, which lists the 
items to be submitted in a 90-day notification. For petitions that 
request the re-examination of a substitute previously reviewed under the 
SNAP program, the submitter must also reference the prior submittal or 
existing listing. Petitions to grandfather use of an unacceptable 
substitute must describe the applicability of the test to judge the 
appropriateness of Agency grandfathering as established by the United 
States District Court for the District of Columbia Circuit (see Sierra 
Club v. EPA, 719 F.2d 436 (D.C. Cir. 1983)). This test includes whether 
the new rule represents an abrupt departure from previously established 
practice, the extent to which a party relied on the previous rule, the 
degree of burden which application of the new rule would impose on the 
party, and the statutory interest in applying the new rule immediately.
    (d) Petition process. (1) Notification of affected companies. If the 
petition concerns a substitute previously either approved or restricted 
under the SNAP program, the Agency will contact the original submitter 
of that substitute.
    (2) Review for data adequacy. The Agency will review the petition 
for adequacy of data. As with a 90-day notice, the Agency may suspend 
review until the petitioner submits the information necessary to 
evaluate the petition. To reach a timely decision on substitutes, EPA 
may use collection authorities such as those contained in section 114 of 
the Clean Air Act as amended, as well as information collection 
provisions of other environmental statutes.
    (3) Review procedures. To evaluate the petition, the Agency may 
submit the petition for review to appropriate experts inside and outside 
the Agency.
    (4) Timing of determinations. If data are adequate, as described in 
Sec.  82.180, the Agency will respond to the petition within 90 days of 
receiving a complete petition. If the petition is inadequately 
supported, the Agency will query the petitioner to fill any data gaps 
before the 90-day review period begins, or may deny the petition because 
data are inadequate.
    (5) Rulemaking procedures. EPA will initiate rulemaking whenever EPA 
grants a petition to add a substance to the list of unacceptable 
substitutes, remove a substance from any list, or change or create an 
acceptable listing by imposing or deleting use conditions or use limits.
    (6) Communication of decision. The Agency will inform petitioners 
within 90 days of receiving a complete petition whether their request 
has been granted or denied. If a petition is denied, the Agency will 
publish in the Federal Register an explanation of the determination. If 
a petition is granted, the Agency will publish the revised SNAP list 
incorporating the final petition decision within 6 months of reaching a 
determination or in the next scheduled update, if sooner, provided any 
required rulemaking has been completed within the shorter period.

[[Page 230]]



  Sec. Appendix A to Subpart G of Part 82--Substitutes Subject to Use 
                Restrictions and Unacceptable Substitutes

                                                  Refrigerants
                                            Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
CFC-11 centrifugal chillers          HCFC-141b............  Unacceptable............  Has a high ODP relative to
 (retrofit).                                                                           other alternatives.
CFC-12 centrifugal chillers          HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (retrofit).                          12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can used
                                                                                       safely in this end-use.
CFC-11, CFC-12, CFC-113, CFC-114, R- HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 500 centrifugal chillers (new        12.                                              and Class II substances,
 equipment/NIKs).                                                                      it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocabon blend A...  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
                                     HCFC-141b............  Unacceptable............  Has a high ODP relative to
                                                                                       other alternatives.
CFC-12 reciprocating chillers        HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (retrofit).                          12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12 reciprocating chillers (new   HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 equipment/NIKs).                     12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-11, CFC-12, R-502 industrial     HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 process refrigeration (retrofit).    12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
CFC-11, CFC-12, R-502 industrial     HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 process refrigeration (new           12.                                              and Class II substances,
 equipment/NIKs).                                                                      it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
CFC-12, R-502 ice skating rinks      HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (retrofit).                          12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 ice skating rinks      HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (new equipment/NIKs).                12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 cold storage           HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 warehouses (retrofit).               12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 cold storage           HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 warehouses (new equipment/NIKs).     12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-500, R-502 refrigerated    HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 transport (retrofit).                12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.

[[Page 231]]

 
CFC-12, R-500, R-502 refrigerated    HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 transport (new equipment/NIKs).      12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 retail food            HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 refrigeration (retrofit).            12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 retail food            HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 refrigeration (new equipment/NIKs).  12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 commercial ice         HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 machines (retrofit).                 12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 commercial ice         HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 machines (new equipment/NIKs).       12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12 vending machines (retrofit).  HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
                                      12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12 vending machines (new         HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 equipment/NIKs).                     12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, water coolers (retrofit)...  HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
                                      12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, water coolers (New           HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 equipment/NIKs).                     12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, household refrigerators      HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (retrofit).                          12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, household refrigerators      HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (new equipment/NIKs).                12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-502 household freezers     HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 (retrofit).                          12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.

[[Page 232]]

 
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, 502 household freezers (new  HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 equipment/NIKs).                     12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-500 residential            HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 dehumidifiers (retrofit).            12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, R-500 residential            HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 dehumidifiers (new equipment/NIKs).  12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, motor vehicle air            HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 conditioners (retrofit).             12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       used safely in this end-
                                                                                       use.
CFC-12, motor vehicle air            HCFC-22/HFC-142b/CFC-  Unacceptable............  As a blend of both Class I
 conditioners (new equipment/NIKs).   12.                                              and Class II substances,
                                                                                       it has a higher ODP than
                                                                                       use of Class II
                                                                                       substances.
                                     Hydrocarbon blend A..  Unacceptable............  Flammability is a serious
                                                                                       concern. Data have not
                                                                                       been submitted to
                                                                                       demonstrate it can be
                                                                                       sued safely in this end-
                                                                                       use.
----------------------------------------------------------------------------------------------------------------


                                                      Foams
                                            Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                     Substitute                Decision                    Comments
----------------------------------------------------------------------------------------------------------------
CFC-11 Polyolefin.................  HCFC-141b (or blends   Unacceptable..............  HCFC-141b has an ODP of
                                     thereof).                                          0.11, almost equivalent
                                                                                        to that of methyl
                                                                                        chloroform, a Class I
                                                                                        substance. The Agency
                                                                                        believes that non-ODP
                                                                                        alternatives are
                                                                                        sufficiently available
                                                                                        to render the use of
                                                                                        HCFC-141b unnecessary in
                                                                                        polyolefin foams.
----------------------------------------------------------------------------------------------------------------


                              Substitutes Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
Electronics cleaning w/CFC-113, MCF  Perfluoro-carbons       Acceptable for high-    The principal environmental
                                      (C5F12, C6F12, C6F14,   performance,            characteristic of concern
                                      C7F16, C8F18,           precision-engineered    for PFCs is that they have
                                      C5F11NO, C6F13NO,       applications only       long atmospheric lifetimes
                                      C7F15NO, and C8F16).    where reasonable        and high global warming
                                                              efforts have been       potentials. Although
                                                              made to ascertain       actual contributions to
                                                              that other              global warming depend upon
                                                              alternatives are not    the quantities of PFCs
                                                              technically feasible    emitted, the effects are
                                                              due to performance or   for practical purposes
                                                              safety requirements.    irreversible.
                                                                                     Users must observe this
                                                                                      limitation on PFC
                                                                                      acceptability by
                                                                                      conducting a reasonable
                                                                                      evaluation of other
                                                                                      substitutes to determine
                                                                                      that PFC use is necessary
                                                                                      to meet performance or
                                                                                      safety requirements.
                                                                                      Documentation of this
                                                                                      evaluation must be kept on
                                                                                      file.
                                                                                     For additional guidance
                                                                                      regarding applications in
                                                                                      which PFCs may be
                                                                                      appropriate, users should
                                                                                      consult the Preamble for
                                                                                      this rulemaking.

[[Page 233]]

 
Precision cleaning w/CFC-113, MCF..  Perfluoro-carbons       Acceptable for high-    The principal environmental
                                      (C5F12, C6F12, C6F14,   performance,            characteristic of concern
                                      C7F16, C8F18,           precision-engineered    for PFCs is that they have
                                      C5F11NO, C6F13NO,       applications only       long atmospheric lifetimes
                                      C7F15NO, and C8F16).    where reasonable        and high global warming
                                                              efforts have been       potentials. Although
                                                              made to ascertain       actual contributions to
                                                              that other              global warming depend upon
                                                              alternatives are not    the quantities of PFCs
                                                              technically feasible    emitted, the effects are
                                                              due to performance or   for practical purposes
                                                              safety requirements.    irreversible.
                                                                                     Users must observe this
                                                                                      limitation on PFC
                                                                                      acceptability by
                                                                                      conducting a reasonable
                                                                                      evaluation of other
                                                                                      substitutes to determine
                                                                                      that PFC use is necessary
                                                                                      to meet performance or
                                                                                      safety requirements.
                                                                                      Documentation of this
                                                                                      evaluation must be kept on
                                                                                      file.
                                                                                     For additional guidance
                                                                                      regarding applications in
                                                                                      which PFCs may be
                                                                                      appropriate, users should
                                                                                      consult the Preamble for
                                                                                      this rulemaking.
----------------------------------------------------------------------------------------------------------------


                                            Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                     Substitute                Decision                    Comments
----------------------------------------------------------------------------------------------------------------
Metals cleaning w/CFC-113.........  HCFC 141b and its      Unacceptable..............  High ODP; other
                                     blends.                                            alternatives exist.
                                                                                        Effective date: As of 30
                                                                                        days after final rule
                                                                                        for uses in new
                                                                                        equipment (including
                                                                                        retrofits made after the
                                                                                        effective date); as of
                                                                                        January 1, 1996, for
                                                                                        uses in existing
                                                                                        equipment. EPA will
                                                                                        grant, if necessary,
                                                                                        narrowed use
                                                                                        acceptability listings
                                                                                        for CFC-113 past the
                                                                                        effective date of the
                                                                                        prohibition.
Metals cleaning w/MCF.............  HCFC 141b and its      Unacceptable..............  High ODP; other
                                     blends.                                            alternatives exist.
                                                                                        Effective date: As of 30
                                                                                        days after final rule
                                                                                        for uses in new
                                                                                        equipment (including
                                                                                        retrofits made after the
                                                                                        effective date); as of
                                                                                        January 1, 1996, for
                                                                                        uses in existing
                                                                                        equipment.
Electronics cleaning w/CFC-113....  HCFC 141b and its      Unacceptable..............  High ODP; other
                                     blends.                                            alternatives exist.
                                                                                        Effective date: As of 30
                                                                                        days after final rule
                                                                                        for uses in new
                                                                                        equipment (including
                                                                                        retrofits made after the
                                                                                        effective date); as of
                                                                                        January 1, 1996, for
                                                                                        uses in existing
                                                                                        equipment. EPA will
                                                                                        grant, if necessary,
                                                                                        narrowed use
                                                                                        acceptability listings
                                                                                        for CFC-113 past the
                                                                                        effective date of the
                                                                                        prohibition.
Electronics cleaning w/MCF........  HCFC 141b and its      Unacceptable..............  High ODP; other
                                     blends.                                            alternatives exist.
                                                                                        Effective date: As of 30
                                                                                        days after final rule
                                                                                        for uses in new
                                                                                        equipment (including
                                                                                        retrofits made after the
                                                                                        effective date); as of
                                                                                        January 1, 1996, for
                                                                                        uses in existing
                                                                                        equipment.
Precision cleaning w/CFC-113......  HCFC 141b and its      Unacceptable..............  High ODP; other
                                     blends.                                            alternatives exist.
                                                                                        Effective date: As of 30
                                                                                        days after final rule
                                                                                        for uses in new
                                                                                        equipment (including
                                                                                        retrofits made after the
                                                                                        effective date); as of
                                                                                        January 1, 1996, for
                                                                                        uses in existing
                                                                                        equipment. EPA will
                                                                                        grant, if necessary,
                                                                                        narrowed use
                                                                                        acceptability listings
                                                                                        for CFC-113 past the
                                                                                        effective date of the
                                                                                        prohibition.
Precision cleaning w/MCF..........  HCFC 141b and its      Unacceptable..............  High ODP; other
                                     blends.                                            alternatives exist.
                                                                                        Effective date: As of 30
                                                                                        days after final rule
                                                                                        for uses in new
                                                                                        equipment (including
                                                                                        retrofits made after the
                                                                                        effective date); as of
                                                                                        January 1, 1996, for
                                                                                        uses in existing
                                                                                        equipment.
----------------------------------------------------------------------------------------------------------------


[[Page 234]]


                           Fire Suppression and Explosion Protection Streaming Agents
                              Substitutes Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
           End-use                   Substitute           Decision          Conditions            Comments
----------------------------------------------------------------------------------------------------------------
Halon 1211 Streaming Agents..  [CFC Blend]..........  Acceptable in     .................  Use of CFCs are
                                                       nonresidential                       controlled under CAA
                                                       uses only.                           section 610 which
                                                                                            bans use of CFCs in
                                                                                            pressurized
                                                                                            dispensers, and
                                                                                            therefore are not
                                                                                            permitted for use in
                                                                                            portable fire
                                                                                            extinguishers. EPA
                                                                                            will list this agent
                                                                                            as proposed
                                                                                            unacceptable in the
                                                                                            next SNAP proposed
                                                                                            rulemaking.
                                                                                           Because CFCs are a
                                                                                            Class I substance,
                                                                                            production will be
                                                                                            phased out by
                                                                                            January 1, 1996.
                                                                                           See additional
                                                                                            comments 1, 2.
                               HBFC-22B1............  ................  Acceptable in      Proper procedures
                                                                         nonresidential     regarding the
                                                                         uses only.         operation of the
                                                                                            extinguisher and
                                                                                            ventilation
                                                                                            following dispensing
                                                                                            the extinguishant is
                                                                                            recommended. Worker
                                                                                            exposure may be a
                                                                                            concern in small
                                                                                            office areas.
                                                                                           HBFC-22B1 is
                                                                                            considered an
                                                                                            interim substitute
                                                                                            for Halon 1211.
                                                                                            Because the HBFC-
                                                                                            22B1 has an ODP of
                                                                                            .74, production will
                                                                                            be phased out
                                                                                            (except for
                                                                                            essential uses) on
                                                                                            January 1, 1996.
                                                                                           This agent was
                                                                                            submitted to the
                                                                                            Agency as a
                                                                                            Premanufacture
                                                                                            Notice (PMN) and is
                                                                                            presently subject to
                                                                                            requirements
                                                                                            contained in a Toxic
                                                                                            Substance Control
                                                                                            Act (TSCA) Consent
                                                                                            Order.
                                                                                           See additional
                                                                                            comments 1, 2.
                               C6 F14...............  Acceptable for    .................  Users must observe
                                                       nonresidential                       the limitations on
                                                       uses where                           PFC acceptability by
                                                       other                                making reasonable
                                                       alternatives                         effort to undertake
                                                       are not                              the following
                                                       technically                          measures:
                                                       feasible due to                     (i) conduct an
                                                       performance or                       evaluation of
                                                       safety                               foreseeable
                                                       requirements:.                       conditions of end
                                                                                            use;
                                                                                           (ii) determine that
                                                                                            the physical or
                                                                                            chemical properties
                                                                                            or other technical
                                                                                            constraints of the
                                                                                            other available
                                                                                            agents preclude
                                                                                            their use; and
                                                      a. due to the     .................  (iii) determine that
                                                       physical or                          human exposure to
                                                       chemical                             the other
                                                       properties of                        alternative
                                                       the agent, or.                       extinguishing agents
                                                                                            may approach or
                                                                                            result in
                                                                                            cardiosensitization
                                                                                            or other
                                                                                            unacceptable
                                                                                            toxicity effects
                                                                                            under normal
                                                                                            operating
                                                                                            conditions;
                                                                                           Documentation of such
                                                                                            measures must be
                                                                                            available for review
                                                                                            upon request.
                                                      b. where human    .................  The principal
                                                       exposure to the                      environmental
                                                       extinguishing                        characteristic of
                                                       agent may                            concern for PFCs is
                                                       approach                             that they have high
                                                       cardiosensitiza                      GWPs and long
                                                       tion levels or                       atmospheric
                                                       result in other                      lifetimes. Actual
                                                       unacceptable                         contributions to
                                                       health effects                       global warming
                                                       under normal                         depend upon the
                                                       operating                            quantities of PFCs
                                                       conditions.                          emitted.
                                                                                           For additional
                                                                                            guidance regarding
                                                                                            applications in
                                                                                            which PFCs may be
                                                                                            appropriate, users
                                                                                            should consult the
                                                                                            description of
                                                                                            potential uses which
                                                                                            is included in the
                                                                                            preamble to this
                                                                                            rulemaking.
                                                                                           See additional
                                                                                            comments 1, 2.
----------------------------------------------------------------------------------------------------------------
Additional Comments:
1--Discharge testing and training should be strictly limited only to that which is essential to meet safety or
  performance requirements.
2--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.


[[Page 235]]


                           Fire Suppression and Explosion Protection Streaming Agents
                                            Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                     Substitute                Decision                    Comments
----------------------------------------------------------------------------------------------------------------
Halon 1211 Streaming Agents.......  [CFC-11].............  Unacceptable..............  This agent has been
                                                                                        suggested for use on
                                                                                        large outdoor fires for
                                                                                        which non-ozone
                                                                                        depleting alternatives
                                                                                        are currently used.
----------------------------------------------------------------------------------------------------------------


[59 FR 13147, Mar. 18, 1994, as amended at 67 FR 4200, Jan. 29, 2002]



  Sec. Appendix B to Subpart G of Part 82--Substitutes Subject to Use 
                Restrictions and Unacceptable Substitutes

                               Refrigerants--Acceptable Subject to Use Conditions
----------------------------------------------------------------------------------------------------------------
          Application                Substitute          Decision          Conditions            Comments
----------------------------------------------------------------------------------------------------------------
CFC-12 Automobile Motor Vehicle  HFC-134a.........  Acceptable         --must be used     EPA is concerned that
 Air Conditioning (New                               subject to use     with unique        the existence of
 Equipment/NIKs only).                               conditions, for    fittings.          several substitutes
                                                     passenger cars    --must be used      in this end-use may
                                                     and light-duty     with detailed      increase the
                                                     trucks             labels.            likelihood of
                                                     manufactured for                      significant
                                                     Model Year 2020                       refrigerant cross-
                                                     or earlier, and                       contamination and
                                                     for vehicles                          potential failure of
                                                     other than                            both air conditioning
                                                     passenger cars                        systems and recovery/
                                                     or light-duty                         recycling equipment.
                                                     trucks.
CFC-12 Automobile Motor Vehicle  HCFC Blend Beta    Acceptable         --must be used     EPA is concerned that
 Air Conditioning (New            (R-416A).          subject to use     with unique        the existence of
 Equipment/NIKs only).                               conditions, for    fittings.          several substitutes
                                                     passenger cars    --must be used      in this end-use may
                                                     and light-duty     with detailed      increase the
                                                     trucks             labels.            likelihood of
                                                     manufactured for                      significant
                                                     Model Year 2016                       refrigerant cross-
                                                     or earlier, and                       contamination and
                                                     for vehicles                          potential failure of
                                                     other than                            both air conditioning
                                                     passenger cars                        systems and recovery/
                                                     or light-duty                         recycling equipment.
                                                     trucks.
CFC-12 Automobile Motor Vehicle  R-401C...........  Acceptable         --must be used     EPA is concerned that
 Air Conditioning (New                               subject to use     with unique        the existence of
 Equipment/NIKs only).                               conditions.        fittings.          several substitutes
                                                                       --must be used      in this end-use may
                                                                        with detailed      increase the
                                                                        labels.            likelihood of
                                                                                           significant
                                                                                           refrigerant cross-
                                                                                           contamination and
                                                                                           potential failure of
                                                                                           both air conditioning
                                                                                           systems and recovery/
                                                                                           recycling equipment.
CFC-12 Automobile Motor Vehicle  HFC-134a, R-401C,  Acceptable         --must be used     EPA is concerned that
 Air Conditioning (Retrofit       HCFC Blend Beta    subject to use     with unique        the existence of
 Equipment only).                 (R-416A).          conditions.        fittings.          several substitutes
                                                                       --must be used      in this end-use may
                                                                        with detailed      increase the
                                                                        labels.            likelihood of
                                                                       --all CFC-12 must   significant
                                                                        be removed from    refrigerant cross-
                                                                        the system prior   contamination and
                                                                        to retrofitting.   potential failure of
                                                                       Refer to the text   both air conditioning
                                                                        for a full         systems and recovery/
                                                                        description.       recycling equipment.
                                                                                           No distinction is
                                                                                           made between
                                                                                           ``retrofit'' and
                                                                                           ``drop-in''
                                                                                           refrigerants;
                                                                                           retrofitting a car to
                                                                                           use a new refrigerant
                                                                                           includes all
                                                                                           procedures that
                                                                                           result in the air
                                                                                           conditioning system
                                                                                           using a new
                                                                                           refrigerant.

[[Page 236]]

 
CFC-12 Automobile Motor Vehicle  R-152a as a        Acceptable         Engineering        Additional training
 Air Conditioning (New            substitute for     subject to use     strategies and/    for service
 equipment only).                 CFC-12.            conditions.        or devices shall   technicians
                                                                        be incorporated    recommended.
                                                                        into the system   Manufacturers should
                                                                        such that          conduct and keep on
                                                                        foreseeable        file failure mode and
                                                                        leaks into the     Effect Analysis
                                                                        passenger          (FMEA) on the MVAC as
                                                                        compartment do     stated in SAE J1739.
                                                                        not result in R-
                                                                        152a
                                                                        concentrations
                                                                        of 3.7% v/v or
                                                                        above in any
                                                                        part of the free
                                                                        space1inside the
                                                                        passenger
                                                                        compartment for
                                                                        more than 15
                                                                        seconds when the
                                                                        car ignition is
                                                                        on.
                                                                       Manufacturers
                                                                        must adhere to
                                                                        all the safety
                                                                        requirements
                                                                        listed in the
                                                                        Society of
                                                                        Automotive
                                                                        Engineers (SAE)
                                                                        Standard J639
                                                                        (adopted 2011),
                                                                        including unique
                                                                        fittings and a
                                                                        flammable
                                                                        refrigerant
                                                                        warning label as
                                                                        well as SAE
                                                                        Standard J2773
                                                                        (adopted
                                                                        February 2011).
CFC-12 Automobile Motor Vehicle  HFO-1234yf as a    Acceptable         Manufacturers      Additional training
 Air Conditioning (New            substitute for     subject to use     must adhere to     for service
 equipment in passenger cars      CFC-12.            conditions.        all of the         technicians
 and light-duty trucks only).                                           safety             recommended.
                                                                        requirements      Observe requirements
                                                                        listed in the      of Significant New
                                                                        Society of         Use Rule at 40 CFR
                                                                        Automotive         721.10182.
                                                                        Engineers (SAE)   HFO-1234yf is also
                                                                        Standard J639      known as 2,3,3,3-
                                                                        (adopted 2011),    tetrafluoro-prop-1-
                                                                        including          ene (CAS No 754-12-
                                                                        requirements       1).
                                                                        for: unique       Refrigerant containers
                                                                        fittings,          of HFO-1234yf for use
                                                                        flammable          in professional
                                                                        refrigerant        servicing are from 5
                                                                        warning label,     lbs (2.3 L) to 50 lbs
                                                                        high-pressure      (23 L) in size.
                                                                        compressor        Requirements for
                                                                        cutoff switch      handling, storage,
                                                                        and pressure       and transportation of
                                                                        relief devices.    compressed gases
                                                                        For connections    apply to this
                                                                        with refrigerant   refrigerant, such as
                                                                        containers for     regulations of the
                                                                        use in             Occupational Safety
                                                                        professional       and Health
                                                                        servicing (that    Administration at 29
                                                                        is, service for    CFR 1910.101 and the
                                                                        consideration,     Department of
                                                                        consistent with    Transportation's
                                                                        subpart B to 40    requirements at 49
                                                                        CFR part 82),      CFR 171-179.
                                                                        use fittings
                                                                        consistent with
                                                                        SAE J2844
                                                                        (revised October
                                                                        2011).
                                                                       Manufacturers      Requirements for
                                                                        must conduct       handling, storage,
                                                                        Failure Mode and   and transportation of
                                                                        Effect Analysis    compressed gases
                                                                        (FMEA) as          apply to this
                                                                        provided in SAE    refrigerant, such as
                                                                        J1739 (adopted     regulations of the
                                                                        2009).             Occupational Safety
                                                                        Manufacturers      and Health
                                                                        must keep the      Administration at 29
                                                                        FMEA on file for   CFR 1910.101 and the
                                                                        at least three     Department of
                                                                        years from the     Transportation's
                                                                        date of creation.  requirements at 49
                                                                                           CFR 171-179.
CFC-12 Motor Vehicle Air         Carbon dioxide     Acceptable         Engineering        Additional training
 Conditioning (New equipment      (CO2) as a         subject to use     strategies and/    for service
 only).                           substitute for     conditions.        or mitigation      technicians is
                                  CFC-12.                               devices shall be   recommended.
                                                                        incorporated
                                                                        such that in the
                                                                        event of
                                                                        refrigerant
                                                                        leaks, the
                                                                        resulting CO2
                                                                        concentrations
                                                                        do not exceed:
                                                                       The short term     In designing risk
                                                                        exposure level     mitigation strategies
                                                                        (STEL) of 3% or    and/or devices,
                                                                        30,000 ppm         manufacturers should
                                                                        averaged over 15   factor in background
                                                                        minutes in the     CO2 concentrations in
                                                                        passenger free     the passenger cabin
                                                                        space \1\; and;    potentially
                                                                       The ceiling limit   contributed from
                                                                        of 4% or 40,000    normal respiration by
                                                                        ppm in the         the maximum number of
                                                                        passenger          vehicle occupants.
                                                                        breathing
                                                                        zone.\2\.

[[Page 237]]

 
                                                                       Vehicle            Use of the standards
                                                                        manufacturers      SAE J1052, SAE J2772,
                                                                        must keep          and SAE J2773 is
                                                                        records of the     recommended as
                                                                        tests performed    additional reference.
                                                                        for a minimum
                                                                        period of three
                                                                        years
                                                                        demonstrating
                                                                        that CO2
                                                                        refrigerant
                                                                        levels do not
                                                                        exceed the STEL
                                                                        of 3% averaged
                                                                        over 15 minutes
                                                                        in the passenger
                                                                        free space, and
                                                                        the ceiling
                                                                        limit of 4% in
                                                                        the breathing
                                                                        zone.
                                                                       The use of CO2 in  Manufacturers should
                                                                        MVAC systems       conduct and keep on
                                                                        must adhere to     file Potential
                                                                        the standard       Failure Mode and
                                                                        conditions         Effects Analysis in
                                                                        identified in      Design [Design FMEA],
                                                                        SAE Standard       Potential Failure
                                                                        J639 (2011         Mode and Effect
                                                                        version)           Analysis in
                                                                        including:         Manufacturing and
                                                                       Installation of a   Assembly Process
                                                                        high pressure      [Process FMEA] on the
                                                                        system warning     MVAC as stated in SAE
                                                                        label;.            J1739.
                                                                       Installation of a
                                                                        compressor cut-
                                                                        off switch; and.
                                                                       Use of unique
                                                                        fittings with:.
                                                                       Outside diameter
                                                                        of 16.6 +0/-0.2
                                                                        mm (0.6535 +0/-
                                                                        0.0078 inches)
                                                                        for the MVAC low-
                                                                        side;.
                                                                       Outside diameter
                                                                        of 18.1 +0/-0.2
                                                                        mm (0.7126 +0/-
                                                                        0.0078 inches)
                                                                        for the MVAC
                                                                        high-side; and.
                                                                       Outside diameter
                                                                        of 20.955 +0/-
                                                                        0.127 mm (0.825
                                                                        +0/-0.005
                                                                        inches) and
                                                                        right-hand
                                                                        thread direction
                                                                        for CO2
                                                                        refrigerant
                                                                        service
                                                                        containers.\3\.
Motor vehicle air conditioning   HFO-1234yf.......  Acceptable         As of January 3,   Additional training
 (newly manufactured medium-                         subject to use     2017:.             for service
 duty passenger vehicles).                           conditions.       (1) HFO-1234yf      technicians
                                                                        MVAC systems       recommended.
                                                                        must adhere to    HFO-1234yf is also
                                                                        all of the         known as 2,3,3,3-
                                                                        safety             tetrafluoro-prop-1-
                                                                        requirements of    ene (CAS. Reg. No.
                                                                        SAE J639           754-12-1).
                                                                        (adopted 2011),
                                                                        including
                                                                        requirements for
                                                                        a flammable
                                                                        refrigerant
                                                                        warning label,
                                                                        high-pressure
                                                                        compressor
                                                                        cutoff switch
                                                                        and pressure
                                                                        relief devices,
                                                                        and unique
                                                                        fittings. For
                                                                        connections with
                                                                        refrigerant
                                                                        containers for
                                                                        use in
                                                                        professional
                                                                        servicing, use
                                                                        fittings must be
                                                                        consistent with
                                                                        SAE J2844
                                                                        (revised October
                                                                        2011).
                                                                       (2) Manufacturers
                                                                        must conduct
                                                                        Failure Mode and
                                                                        Effect Analysis
                                                                        (FMEA) as
                                                                        provided in SAE
                                                                        J1739 (adopted
                                                                        2009).
                                                                        Manufacturers
                                                                        must keep the
                                                                        FMEA on file for
                                                                        at least three
                                                                        years from the
                                                                        date of creation.

[[Page 238]]

 
Motor vehicle air conditioning   HFO-1234yf.......  Acceptable         As of January 3,   Additional training
 (newly manufactured heavy-duty                      subject to use     2017:.             for service
 pickup trucks).                                     conditions.       (1) HFO-1234yf      technicians
                                                                        MVAC systems       recommended.
                                                                        must adhere to    HFO-1234yf is also
                                                                        all of the         known as 2,3,3,3-
                                                                        safety             tetrafluoro-prop-1-
                                                                        requirements of    ene (CAS No 754-12-
                                                                        SAE J639           1).
                                                                        (adopted 2011),
                                                                        including
                                                                        requirements for
                                                                        a flammable
                                                                        refrigerant
                                                                        warning label,
                                                                        high-pressure
                                                                        compressor
                                                                        cutoff switch
                                                                        and pressure
                                                                        relief devices,
                                                                        and unique
                                                                        fittings. For
                                                                        connections with
                                                                        refrigerant
                                                                        containers for
                                                                        use in
                                                                        professional
                                                                        servicing, use
                                                                        fittings must be
                                                                        consistent with
                                                                        SAE J2844
                                                                        (revised October
                                                                        2011).
                                                                       (2) Manufacturers
                                                                        must conduct
                                                                        Failure Mode and
                                                                        Effect Analysis
                                                                        (FMEA) as
                                                                        provided in SAE
                                                                        J1739 (adopted
                                                                        2009).
                                                                        Manufacturers
                                                                        must keep the
                                                                        FMEA on file for
                                                                        at least three
                                                                        years from the
                                                                        date of creation.
Motor vehicle air conditioning   HFO-1234yf.......  Acceptable         As of January 3,   Additional training
 (newly manufactured complete                        subject to use     2017:.             for service
 heavy-duty vans only).                              conditions.       (1) HFO-1234yf      technicians
                                                                        MVAC systems       recommended.
                                                                        must adhere to    HFO-1234yf is also
                                                                        all of the         known as 2,3,3,3-
                                                                        safety             tetrafluoro-prop-1-
                                                                        requirements of    ene (CAS No 754-12-
                                                                        SAE J639           1).
                                                                        (adopted 2011),   HFO-1234yf is
                                                                        including          acceptable for
                                                                        requirements for   complete heavy-duty
                                                                        a flammable        vans. Complete heavy-
                                                                        refrigerant        duty vans are not
                                                                        warning label,     altered by a
                                                                        high-pressure      secondary or tertiary
                                                                        compressor         manufacturer.
                                                                        cutoff switch
                                                                        and pressure
                                                                        relief devices,
                                                                        and unique
                                                                        fittings. For
                                                                        connections with
                                                                        refrigerant
                                                                        containers for
                                                                        use in
                                                                        professional
                                                                        servicing, use
                                                                        fittings must be
                                                                        consistent with
                                                                        SAE J2844
                                                                        (revised October
                                                                        2011).
                                                                       (2) Manufacturers
                                                                        must conduct
                                                                        Failure Mode and
                                                                        Effect Analysis
                                                                        (FMEA) as
                                                                        provided in SAE
                                                                        J1739 (adopted
                                                                        2009).
                                                                        Manufacturers
                                                                        must keep the
                                                                        FMEA on file for
                                                                        at least three
                                                                        years from the
                                                                        date of creation.
----------------------------------------------------------------------------------------------------------------
\1\ Free space is defined as the space inside the passenger compartment excluding the space enclosed by the
  ducting in the HVAC module.
\2\ Area inside the passenger compartment where the driver's and passengers' heads are located during a normal
  sitting position. Refer to SAE J1052 for information on determining passenger head position.
\3\ The refrigerant service containers fitting requirement applies only to refrigerant service containers used
  during servicing of the MVAC, in accordance with the provisions established for MVAC servicing under 40 CFR
  part 82, subpart B.


[[Page 239]]

    Note 1: The Director of the Federal Register approves the 
incorporation by reference of the material under ``Conditions'' in the 
table ``REFRIGERANTS--ACCEPTABLE SUBJECT TO USE CONDITIONS'' (5 U.S.C. 
552(a) and 1 CFR part 51). You may obtain a copy from SAE Customer 
Service, 400 Commonwealth Drive, Warrendale, PA 15096-0001 USA; email: 
[email protected]; Telephone: 1-877-606-7323 (U.S. and Canada 
only) or 1-724-776-4970 (outside the U.S. and Canada); Internet address: 
http://store.sae.org/dlabout.htm. You may inspect a copy at U.S. EPA's 
Air Docket; EPA West Building, Room 3334; 1301 Constitution Ave. NW., 
Washington, DC, or at the National Archives and Records Administration 
(NARA). For questions regarding access to these standards, the telephone 
number of EPA's Air Docket is 202-566-1742. 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.

                             Refrigerants--Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
CFC-11, CFC-12, CFC-113, CFC-114,    C3 F8, C4 F10, C5 F12,  Acceptable only where   Users must observe the
 CFC-115 Non-Mechanical Heat          C5 F11 NO, C6 F14, C6   no other alternatives   limitations on PFC
 Transfer, New.                       F13 NO, C7 F16, C7      are technically         acceptability by
                                      F15 NO, C8 F18, C8      feasible due to         determining that the
                                      F16 O, and C9 F21 N.    safety or performance   physical or chemical
                                                              requirements.           properties or other
                                                                                      technical constraints of
                                                                                      the other available agents
                                                                                      preclude their use.
                                                                                      Documentation of such
                                                                                      measures must be available
                                                                                      for review upon request.
                                                                                     The principal environmental
                                                                                      characteristic of concern
                                                                                      for PFCs is that they have
                                                                                      high GWPs and long
                                                                                      atmospheric lifetimes. EPA
                                                                                      strongly recommends
                                                                                      recovery and recycling of
                                                                                      these substitutes.
Motor vehicle air conditioning (new  HFC-134a..............  Acceptable for use in   Vehicle manufacturers must
 equipment in passenger cars and                              Model Year (MY) 2021    document their
 light-duty trucks only).                                     through MY 2025         determination that the
                                                              passenger cars and      infrastructure is not in
                                                              light-duty trucks       place for each country to
                                                              destined for export,    which they plan to export
                                                              where reasonable        vehicles and must retain
                                                              efforts have been       the documentation in their
                                                              made to ascertain       files for at least five
                                                              that other              years after date of its
                                                              alternatives are not    creation for the purpose
                                                              technically feasible    of demonstrating
                                                              because of lack of      compliance.
                                                              infrastructure for     Documentation is to include
                                                              servicing with          descriptions of:
                                                              alternative             Products
                                                              refrigerants in the     in which the substitute is
                                                              destination country.    needed;
                                                                                     
                                                                                      Substitutes examined and
                                                                                      rejected for the
                                                                                      destination country;
                                                                                      Reason
                                                                                      for rejection of other
                                                                                      alternatives; and
                                                                                     
                                                                                      Anticipated date other
                                                                                      substitutes will be
                                                                                      available and projected
                                                                                      date of transition in the
                                                                                      destination country.
----------------------------------------------------------------------------------------------------------------


                                     Refrigerants--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
CFC-11, CFC-12, CFC-113, CFC-114, R- R-405A................  Unacceptable..........  R-405A contains R-c318, a
 500 Centrifugal Chillers (Retrofit                                                   PFC, which has an
 and New Equipment/NIKs).                                                             extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12 Reciprocating Chillers        R-405A................  Unacceptable..........  R-405A contains R-c318, a
 (Retrofit and New Equipment/NIKs).                                                   PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-11, CFC-12, R-502 Industrial     R-403B................  Unacceptable..........  R-403B contains R-218, a
 Process Refrigeration (Retrofit                                                      PFC, which has an
 and New Equipment/NIKs).                                                             extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.

[[Page 240]]

 
                                     R-405A................  Unacceptable..........  R-405A contains R-c318, a
                                                                                      PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
CFC-12, R-502 Ice Skating Rinks      R-405A................  Unacceptable..........  R-405A contains R-c318, a
 (Retrofit and New Equipment/NIKs).                                                   PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12, R-502 Cold Storage           R-403B................  Unacceptable..........  R-403B contains R-218, a
 Warehouses (Retrofit and New                                                         PFC, which has an
 Equipment/NIKs).                                                                     extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     R-405A................  Unacceptable..........  R-405A contains R-c318, a
                                                                                      PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12, R-500, R-502 Refrigerated    R-403B................  Unacceptable..........  R-403B contains R-218, a
 Transport (Retrofit and New                                                          PFC, which has an
 Equipment/NIKs).                                                                     extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     R-405A................  Unacceptable..........  R-405A contains R-c318, a
                                                                                      PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12, R-502 Retail Food            R-403B................  Unacceptable..........  R-403B contains R-218, a
 Refrigeration (Retrofit and New                                                      PFC, which has an
 Equipment/NIKs).                                                                     extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     R-405A................  Unacceptable..........  R-405A contains R-c318, a
                                                                                      PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12, R-502 Commercial Ice         R-403B................  Unacceptable..........  R-403B contains R-218, a
 Machines (Retrofit and New                                                           PFC, which has an
 Equipment/NIKs).                                                                     extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     R-405A................  Unacceptable..........  R-405A contains R-c318, a
                                                                                      PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12 Vending Machines (Retrofit    R-405A................  Unacceptable..........  R-405A contains R-c318, a
 and New Equipment/NIKs).                                                             PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12 Water Coolers (Retrofit and   R-405A................  Unacceptable..........  R-405A contains R-c318, a
 New Equipment/NIKs).                                                                 PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.

[[Page 241]]

 
CFC-12 Household Refrigerators       R-405A................  Unacceptable..........  R-405A contains R-c318, a
 (Retrofit and New Equipment/NIKs).                                                   PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12, R-502 Household Freezers     R-403B................  Unacceptable..........  R-403B contains R-218, a
 (Retrofit and New Equipment/NIKs).                                                   PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     R-405A................  Unacceptable..........  R-405A contains R-c318, a
                                                                                      PFC, which has an
                                                                                      extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12, R-500 Residential            R-405A................  Unacceptable..........  R-405A contains R-c318, a
 Dehumidifiers (Retrofit and New                                                      PFC, which has an
 Equipment/NIKs).                                                                     extremely high GWP and
                                                                                      lifetime. Other
                                                                                      substitutes exist which do
                                                                                      not contain PFCs.
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
CFC-12 Motor Vehicle Air             R-405A................  Unacceptable..........  R-405A contains R-c318, a
 Conditioners (Retrofit and New                                                       PFC, which has an
 Equipment/NIKs).                                                                     extremely high GWP and
                                                                                      lifetime. Other
                                                                                      Substitutes exist which do
                                                                                      not contain PFCs.
                                    ----------------------------------------------------------------------------
                                     Hydrocarbon Blend B...  Unacceptable..........  Flammability is a serious
                                                                                      concern. Data have not
                                                                                      been submitted to
                                                                                      demonstrate it can be used
                                                                                      safely in this end-use.
                                    ----------------------------------------------------------------------------
                                     Flammable Substitutes,  Unacceptable..........  The risks associated with
                                      other than R-152a or                            using flammable
                                      HFO-1234yf in new                               substitutes (except R-152a
                                      equipment.                                      and HFO-1234yf) in this
                                                                                      end-use have not been
                                                                                      addressed by a risk
                                                                                      assessment. R-152a and HFO-
                                                                                      1234yf may be used in new
                                                                                      equipment with the use
                                                                                      conditions in appendix B
                                                                                      to this subpart.
Motor vehicle air conditioning (new  HFC-134a..............  Unacceptable as of      HFC-134a has a Chemical
 equipment in passenger cars and                              Model Year 2021         Abstracts Service Registry
 light-duty trucks only).                                     except where allowed    Number (CAS Reg. No.) of
                                                              under narrowed use      811-97-2 and it is also
                                                              limit.                  known by the name 1,1,1,2-
                                                                                      tetrafluoropropane. HFC-
                                                                                      134a has a GWP of 1,430.
                                                                                      Other substitutes will be
                                                                                      available for this end-use
                                                                                      with lower overall risk to
                                                                                      human health and the
                                                                                      environment by the status
                                                                                      change date.
                                                                                     This listing does not
                                                                                      prohibit the servicing or
                                                                                      replacement of motor
                                                                                      vehicle air conditioning
                                                                                      systems manufactured to
                                                                                      use HFC-134a.
Motor vehicle air conditioning (new  R-406A, R-414A (HCFC    Unacceptable as of      These refrigerants all
 equipment in passenger cars and      Blend Xi, GHG-X4), R-   Model Year 2017.        contain HCFCs. They have
 light-duty trucks only).             414B (HCFC Blend                                GWPs ranging from 1,080 to
                                      Omicron), HCFC Blend                            2,340 and ODPs ranging
                                      Delta (Free Zone),                              from 0.008 to 0.056. Other
                                      Freeze 12, GHG-X5,                              substitutes will be
                                      HCFC Blend Lambda                               available for this end-use
                                      (GHG-HP), R-416A                                with lower overall risk to
                                      (FRIGC FR-12, HCFC                              human health and the
                                      Blend Beta).                                    environment by the status
                                                                                      change date.

[[Page 242]]

 
Motor vehicle air conditioning (new  SP34E, R-426A (RS-24,   Unacceptable as of      These blends have GWPs
 equipment in passenger cars and      new formulation).       Model Year 2017.        ranging from approximately
 light-duty trucks only).                                                             1,410 to 1,510. Other
                                                                                      substitutes will be
                                                                                      available for this end-use
                                                                                      with lower overall risk to
                                                                                      human health and the
                                                                                      environment by the status
                                                                                      change date.
----------------------------------------------------------------------------------------------------------------


                    Solvent Cleaning Sector--Acceptable Subject to Use Conditions Substitutes
----------------------------------------------------------------------------------------------------------------
           Application                Substitute           Decision           Conditions           Comments
----------------------------------------------------------------------------------------------------------------
Electronics Cleaning w/CFC-113,   HCFC-225 ca/cb....  Acceptable........  Subject to the      HCFC-225 ca/cb
 MCF.                                                                      company set         blend is offered
                                                                           exposure limit of   as a 45%-ca/55%-
                                                                           25 ppm of the -ca   cb blend. The
                                                                           isomer.             company set
                                                                                               exposure limit of
                                                                                               the -ca isomer is
                                                                                               25 ppm. The
                                                                                               company set
                                                                                               exposure limit of
                                                                                               the -cb isomer is
                                                                                               250 ppm. It is
                                                                                               the Agency's
                                                                                               opinion that with
                                                                                               the low emission
                                                                                               cold cleaning and
                                                                                               vapor degreasing
                                                                                               equipment
                                                                                               designed for this
                                                                                               use, the 25 ppm
                                                                                               limit of the HCFC-
                                                                                               225 ca isomer can
                                                                                               be met. The
                                                                                               company is
                                                                                               submitting
                                                                                               further exposure
                                                                                               monitoring data.
Precision Cleaning w/CFC-113,     HCFC-225 ca/cb....  Acceptable........  Subject to the      HCFC-225 ca/cb
 MCF.                                                                      company set         blend is offered
                                                                           exposure limit of   as a 45%-ca/55%-
                                                                           25 ppm of the -ca   cb blend. The
                                                                           isomer.             company set
                                                                                               exposure limit of
                                                                                               the -ca isomer is
                                                                                               25 ppm. The
                                                                                               company set
                                                                                               exposure limit of
                                                                                               the -cb isomer is
                                                                                               250 ppm. It is
                                                                                               the Agency's
                                                                                               opinion that with
                                                                                               the low emission
                                                                                               cold cleaning and
                                                                                               vapor degreasing
                                                                                               equipment
                                                                                               designed for this
                                                                                               use, the 25 ppm
                                                                                               limit of the HCFC-
                                                                                               225 ca isomer can
                                                                                               be met. The
                                                                                               company is
                                                                                               submitting
                                                                                               further exposure
                                                                                               monitoring data.
----------------------------------------------------------------------------------------------------------------


                                Solvent Cleaning Sector--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
            End use                       Substitute                       Decision                 Comments
----------------------------------------------------------------------------------------------------------------
Metals cleaning w/CFC-113.....  Dibromomethane................  Unacceptable..................  High ODP; other
                                                                                                 alternatives
                                                                                                 exist.
Metals cleaning w/MCF.........  Dibromomethane................  Unacceptable..................  High ODP; other
                                                                                                 alternatives
                                                                                                 exist.
Electronics cleaning w/CFC-113  Dibromomethane................  Unacceptable..................  High ODP; other
                                                                                                 alternatives
                                                                                                 exist.
Electronics cleaning w/MCF....  Dibromomethane................  Unacceptable..................  High ODP; other
                                                                                                 alternatives
                                                                                                 exist.
Precision cleaning w/CFC-113..  Dibromomethane................  Unacceptable..................  High ODP; other
                                                                                                 alternatives
                                                                                                 exist.
Precision cleaning w/MCF......  Dibromomethane................  Unacceptable..................  High ODP; other
                                                                                                 alternatives
                                                                                                 exist.
----------------------------------------------------------------------------------------------------------------


[[Page 243]]


     Fire Suppression and Explosion Protection--Acceptable Subject to Use Conditions: Total Flooding Agents
----------------------------------------------------------------------------------------------------------------
          Application                Substitute          Decision          Conditions            Comments
----------------------------------------------------------------------------------------------------------------
Halon 1301 Total Flooding        Inert Gas/         Acceptable as a    In areas where     The manufacturer's
 Agents.                          Powdered Aerosol   Halon 1301         personnel could    SNAP application
                                  Blend.             substitute in      possibly be        requested listing for
                                                     normally           present, as in a   use in unoccupied
                                                     unoccupied areas.  cargo area, EPA    areas only.
                                                                        requires that     See additional comment
                                                                        the employer       2.
                                                                        shall provide a
                                                                        pre-discharge
                                                                        employee alarm
                                                                        capable of being
                                                                        perceived above
                                                                        ambient light or
                                                                        noise levels for
                                                                        alerting
                                                                        employees before
                                                                        system
                                                                        discharge. The
                                                                        pre-discharge
                                                                        alarm shall
                                                                        provide
                                                                        employees time
                                                                        to safely exit
                                                                        the discharge
                                                                        area prior to
                                                                        system discharge.
----------------------------------------------------------------------------------------------------------------
Additional Comments
1--Must conform with OSHA 29 CFR 1910 Subpart L Section 1910.160 of the U.S. Code. You should use clean agents
  in accordance with the safety guidelines in the latest edition of the NFPA 2001 Standard for Clean Agent Fire
  Extinguishing Systems.
2--Per OSHA requirements, protective gear (SCBA) must be available in the event personnel must enter/reenter the
  area.
3--Discharge testing should be strictly limited only to that which is essential to meet safety or performance
  requirements.
4--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.


   Fire Suppression and Explosion Protection--Acceptable Subject to Narrowed Use Limits: Total Flooding Agents
----------------------------------------------------------------------------------------------------------------
            End-use                  Substitute          Decision          Conditions       Further information
----------------------------------------------------------------------------------------------------------------
Total flooding.................  Sulfurhexafluorid  Acceptable         May be used as a   This agent has an
                                  e (SF6).           subject to         discharge test     atmospheric lifetime
                                                     narrowed use in    agent in           greater than 1,000
                                                     limits.            military uses      years, with an
                                                                        and in civilian    estimated 100-year,
                                                                        aircraft uses      500-year, and 1,000-
                                                                        only.              year GWP of 16,100,
                                                                                           26,110 and 32,803
                                                                                           respectively. Users
                                                                                           should limit testing
                                                                                           only to that which is
                                                                                           essential to meet
                                                                                           safety or performance
                                                                                           requirements.
                                                                                          This agent is only
                                                                                           used to test new
                                                                                           Halon 1301 systems.
                                                                                          See additional
                                                                                           comments 1, 2, 3, 4,
                                                                                           5.
Total flooding.................  CF3I.............  Acceptable         Use only in        Use of this agent
                                                     subject to         normally           should be in
                                                     narrowed use       unoccupied areas.  accordance with the
                                                     limits.                               safety guidelines in
                                                                                           the latest edition of
                                                                                           the NFPA 2001
                                                                                           Standard for Clean
                                                                                           Agent Fire
                                                                                           Extinguishing
                                                                                           Systems.
                                                                                          Manufacturer has not
                                                                                           applied for listing
                                                                                           for use in normally
                                                                                           occupied areas.
                                                                                           Preliminary
                                                                                           cardiosensitization
                                                                                           data indicates that
                                                                                           this agent would not
                                                                                           be suitable for use
                                                                                           in normally occupied
                                                                                           areas.
                                                                                          See additional
                                                                                           comments 1, 2, 3, 4,
                                                                                           5.
----------------------------------------------------------------------------------------------------------------
Additional comments:
1--Must conform with relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--Discharge testing should be strictly limited to that which is essential to meet safety or performance
  requirements.
4--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
5--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


                       Fire Suppression and Explosion Protection--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
            Application                    Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
Halon 1301 Total Flooding Agents...  HFC-32................  Unacceptable..........  Data indicate that HFC-32
                                                                                      is flammable and therefore
                                                                                      is not suitable as a halon
                                                                                      substitute.
----------------------------------------------------------------------------------------------------------------


[[Page 244]]


[60 FR 31103, June 13, 1995, as amended at 67 FR 4200, Jan. 29, 2002; 73 
FR 33310, June 12, 2008; 76 FR 17519, Mar. 29, 2011; 77 FR 17350, Mar. 
26, 2012; 77 FR 33330, June 6, 2012; 80 FR 42952, July 20, 2015; 81 FR 
86881, Dec. 1, 2016]



  Sec. Appendix C to Subpart G of Part 82--Substitutes Subject to Use 
  Restrictions and Unacceptable Substitutes Listed in the May 22, 1996 
                   Final Rule, Effective June 21, 1996

  Refrigeration and Air Conditioning Sector--Acceptable Subject to Use 
                               Conditions

    HCFC Blend Delta and Blend Zeta are acceptable subject to the 
following conditions when used to retrofit a CFC-12 motor vehicle air 
conditioning system:
    1. Each refrigerant may only be used with a set of fittings that is 
unique to that refrigerant. These fittings (male or female, as 
appropriate) must be used with all containers of the refrigerant, on can 
taps, on recovery, recycling, and charging equipment, and on all air 
conditioning system service ports. These fittings must be designed to 
mechanically prevent cross-charging with another refrigerant. A 
refrigerant may only be used with the fittings and can taps specifically 
intended for that refrigerant. Using an adapter or deliberately 
modifying a fitting to use a different refrigerant will be a violation 
of this use condition. In addition, fittings shall meet the following 
criteria, derived from Society of Automotive Engineers (SAE) standards 
and recommended practices:
    a. When existing CFC-12 service ports are to be retrofitted, 
conversion assemblies shall attach to the CFC-12 fitting with a thread 
lock adhesive and/or a separate mechanical latching mechanism in a 
manner that permanently prevents the assembly from being removed.
    b. All conversion assemblies and new service ports must satisfy the 
vibration testing requirements of sections 3.2.1 or 3.2.2 of SAE J1660, 
as applicable, excluding references to SAE J639 and SAE J2064, which are 
specific to HFC-134a.
    c. In order to prevent discharge of refrigerant to the atmosphere, 
systems shall have a device to limit compressor operation before the 
pressure relief device will vent refrigerant. This requirement is waived 
for systems that do not feature such a pressure relief device.
    d. All CFC-12 service ports not retrofitted with conversion 
assemblies shall be rendered permanently incompatible for use with CFC-
12 related service equipment by fitting with a device attached with a 
thread lock adhesive and/or a separate mechanical latching mechanism in 
a manner that prevents the device from being removed.
    2. When a retrofit is performed, a label must be used as follows:
    a. The person conducting the retrofit must apply a label to the air 
conditioning system in the engine compartment that contains the 
following information:
    i. The name and address of the technician and the company performing 
the retrofit.
    ii. The date of the retrofit.
    iii. The trade name, charge amount, and, when applicable, the ASHRAE 
refrigerant numerical designation of the refrigerant.
    iv. The type, manufacturer, and amount of lubricant used.
    v. If the refrigerant is or contains an ozone-depleting substance, 
the phrase ``ozone depleter.''
    vi. If the refrigerant displays flammability limits as measured 
according to ASTM E681, the statement ``This refrigerant is FLAMMABLE. 
Take appropriate precautions.''
    b. This label must be large enough to be easily read and must be 
permanent.
    c. The background color must be unique to the refrigerant.
    d. The label must be affixed to the system over information related 
to the previous refrigerant, in a location not normally replaced during 
vehicle repair.
    e. Information on the previous refrigerant that cannot be covered by 
the new label must be permanently rendered unreadable.
    3. No substitute refrigerant may be used to ``top-off'' a system 
that uses another refrigerant. The original refrigerant must be 
recovered in accordance with regulations issued under section 609 of the 
CAA prior to charging with a substitute.

               Solvent Cleaning Sector--Proposed Acceptable Subject to Use Conditions Substitutes
----------------------------------------------------------------------------------------------------------------
           Application                 Substitute           Decision          Conditions           Comments
----------------------------------------------------------------------------------------------------------------
Metals Cleaning with CFC-113,     Monochlorotoluenes   Acceptable.......  Subject to a 50     The workplace
 MCF and HCFC-141b.                and                                     ppm workplace       standard for
                                   benzotrifluorides.                      standard for        monochlorotoluene
                                                                           monochlorotoluene   s is based on an
                                                                           s and a 25 ppm      OSHA PEL of 50
                                                                           standard for        ppm for
                                                                           benzotrifluorides.  orthochlorotoluen
                                                                                               e. The workplace
                                                                                               standard for
                                                                                               benzotrifluorides
                                                                                               is based on a
                                                                                               recent toxicology
                                                                                               study.

[[Page 245]]

 
Electronics Cleaning w/ CFC-113,  Monochlorotoluenes   Acceptable.......  Subject to a 50     The workplace
 MCF and HCFC-141b.                and                                     ppm workplace       standard for
                                   benzotrifluorides.                      standard for        monochlorotoluene
                                                                           monochlorotoluene   s is based on an
                                                                           s and a 25 ppm      OSHA PEL of 50
                                                                           standard for        ppm for
                                                                           benzotrifluorides.  orthochlorotoluen
                                                                                               e. The workplace
                                                                                               standard for
                                                                                               benzotrifluorides
                                                                                               is based on a
                                                                                               recent toxicology
                                                                                               study.
Precision Cleaning w/ CFC-113,    Monochlorotoluenes   Acceptable.......  Subject to a 50     The workplace
 MCF and HCFC-141b.                and                                     ppm workplace       standard for
                                   benzotrifluorides.                      standard for        monochlorotoluene
                                                                           monochlorotoluene   s is based on an
                                                                           s and a 25 ppm      OSHA PEL of 50
                                                                           standard for        ppm for
                                                                           benzotrifluorides.  orthochlorotoluen
                                                                                               e. The workplace
                                                                                               standard for
                                                                                               benzotrifluorides
                                                                                               is based on a
                                                                                               recent toxicology
                                                                                               study.
----------------------------------------------------------------------------------------------------------------


                           Acceptable Subject to Narrowed Use Limits: Streaming Agents
----------------------------------------------------------------------------------------------------------------
             Application                     Substitute                Decision                  Comments
----------------------------------------------------------------------------------------------------------------
Halon 1211...........................  CF3 I.................  Acceptable in non-
                                                                residential uses only.
Streaming Agents
----------------------------------------------------------------------------------------------------------------


                       Aerosols--Proposed Acceptable Subject to Use Conditions Substitutes
----------------------------------------------------------------------------------------------------------------
           Application                 Substitute           Decision          Conditions           Comments
----------------------------------------------------------------------------------------------------------------
CFC-113, MCF and HCFC-141b as     Monochlorotoluenes   Acceptable.......  Subject to a 50     The workplace
 solvent.                          and benzotrifluo-                       ppm workplace       standard for
                                   rides.                                  standard for        monochlorotoluene
                                                                           monochlorotoluene   s is based on an
                                                                           s and a 25 ppm      OSHA PEL of 50
                                                                           standard for        ppm for
                                                                           benzotrifluorides.  orthochlorotoluen
                                                                                               e. The workplace
                                                                                               standard for
                                                                                               benzotrifluorides
                                                                                               is based on a
                                                                                               recent toxicology
                                                                                               study.
----------------------------------------------------------------------------------------------------------------


             Adhesives, Coatings and Inks--Proposed Acceptable Subject to Use Conditions Substitutes
----------------------------------------------------------------------------------------------------------------
           Application                 Substitute           Decision          Conditions           Comments
----------------------------------------------------------------------------------------------------------------
CFC-113, MCF and HCFC-141b......  Monochlorotoluenes   Acceptable.......  Subject to a 50     The workplace
                                   and benzotrifluo-                       ppm workplace       standard for
                                   rides.                                  standard for        monochlorotoluene
                                                                           monochlorotoluene   s is based on an
                                                                           s and a 25 ppm      OSHA PEL of 50
                                                                           standard for        ppm for
                                                                           benzotrifluorides.  orthochlorotoluen
                                                                                               e. The workplace
                                                                                               standard for
                                                                                               benzotrifluorides
                                                                                               is based on a
                                                                                               recent toxicology
                                                                                               study.
----------------------------------------------------------------------------------------------------------------


[61 FR 25592, May 22, 1996, as amended at 67 FR 4201, Jan. 29, 2002]

    Effective Date Note: At 61 FR 25592, May 22, 1996, appendix C to 
subpart G of part 82 was added. This appendix contains information 
collection and recordkeeping requirements that will not become effective 
until approval has been given by the Office of Management and Budget.

[[Page 246]]



  Sec. Appendix D to Subpart G of Part 82--Substitutes Subject to Use 
                Restrictions and Unacceptable Substitutes

                          Summary of Decisions

  Refrigeration and Air Conditioning Sector Acceptable Subject to Use 
                               Conditions

    R-406A/``GHG''/``McCool'', ``GHG-HP'', ``GHG-X4''/``Autofrost''/
``Chill-It'', and ``Hot Shot''/``Kar Kool'' are acceptable substitutes 
for CFC-12 in retrofitted motor vehicle air conditioning systems (MVACs) 
subject to the use condition that a retrofit to these refrigerants must 
include replacing non-barrier hoses with barrier hoses.
    For all refrigerants submitted for use in motor vehicle air 
conditioning systems, subsequent to the effective date of this FRM, in 
addition to the information previously required in the March 18, 1994 
final SNAP rule (58 FR 13044), SNAP submissions must include 
specifications for the fittings similar to those found in SAE J639, 
samples of all fittings, and the detailed label described below at the 
same time as the initial SNAP submission, or the submission will be 
considered incomplete. Under section 612 of the Clean Air Act, 
substitutes for which submissions are incomplete may not be sold or 
used, regardless of other acceptability determinations, and the 
prohibition against sale of a new refrigerant will not end until 90 days 
after EPA determines the submission is complete.
    In addition, the use of a) R-406A/``GHG''/``McCool'', ``HCFC Blend 
Lambda''/``GHG-HP'', R-414A/``HCFC Blend Xi''/``GHG-X4/``Autofrost''/
``Chill-It'', R-414B/``Hot Shot''/``Kar Kool'', and R-416A/``HCFC Blend 
Beta''/``FREEZE 12'' as CFC-12 substitutes in retrofitted MVACs, and b) 
all refrigerants submitted for, and listed in, subsequent Notices of 
Acceptability as substitutes for CFC-12 in MVACs, must meet the 
following conditions.
    1. Each refrigerant may only be used with a set of fittings that is 
unique to that refrigerant. These fittings (male or female, as 
appropriate) must be designed by the manufacturer of the refrigerant. 
The manufacturer is responsible to ensure that the fittings meet all of 
the requirements listed below, including testing according to SAE 
standards. These fittings must be designed to mechanically prevent 
cross-charging with another refrigerant, including CFC-12.
    The fittings must be used on all containers of the refrigerant, on 
can taps, on recovery, recycling, and charging equipment, and on all air 
conditioning system service ports. A refrigerant may only be used with 
the fittings and can taps specifically intended for that refrigerant and 
designed by the manufacturer of the refrigerant. Using a refrigerant 
with a fitting designed by anyone else, even if it is different from 
fittings used with other refrigerants, is a violation of this use 
condition. Using an adapter or deliberately modifying a fitting to use a 
different refrigerant is a violation of this use condition.
    Fittings shall meet the following criteria, derived from Society of 
Automotive Engineers (SAE) standards and recommended practices:
    a. When existing CFC-12 service ports are retrofitted, conversion 
assemblies shall attach to the CFC-12 fitting with a thread lock 
adhesive and/or a separate mechanical latching mechanism in a manner 
that permanently prevents the assembly from being removed.
    b. All conversion assemblies and new service ports must satisfy the 
vibration testing requirements of section 3.2.1 or 3.2.2 of SAE J1660, 
as applicable, excluding references to SAE J639 and SAE J2064, which are 
specific to HFC-134a.
    c. In order to prevent discharge of refrigerant to the atmosphere, 
systems shall have a device to limit compressor operation before the 
pressure relief device will vent refrigerant.
    d. All CFC-12 service ports not retrofitted with conversion 
assemblies shall be rendered permanently incompatible for use with CFC-
12 related service equipment by fitting with a device attached with a 
thread lock adhesive and/or a separate mechanical latching mechanism in 
a manner that prevents the device from being removed.
    2. When a retrofit is performed, a label must be used as follows:
    a. The person conducting the retrofit must apply a label to the air 
conditioning system in the engine compartment that contains the 
following information:
    i. The name and address of the technician and the company performing 
the retrofit.
    ii. The date of the retrofit.
    iii. The trade name, charge amount, and, when applicable, the ASHRAE 
refrigerant numerical designation of the refrigerant.
    iv. The type, manufacturer, and amount of lubricant used.
    v. If the refrigerant is or contains an ozone-depleting substance, 
the phrase ``ozone depleter''.
    vi. If the refrigerant displays flammability limits as measured 
according to ASTM E681, the statement ``This refrigerant is FLAMMABLE. 
Take appropriate precautions.''
    b. The label must be large enough to be easily read and must be 
permanent.
    c. The background color must be unique to the refrigerant.
    d. The label must be affixed to the system over information related 
to the previous refrigerant, in a location not normally replaced during 
vehicle repair.
    e. In accordance with SAE J639, testing of labels must meet ANSI/UL 
969-1991.

[[Page 247]]

    f. Information on the previous refrigerant that cannot be covered by 
the new label must be rendered permanently unreadable.
    3. No substitute refrigerant may be used to ``top-off'' a system 
that uses another refrigerant. The original refrigerant must be 
recovered in accordance with regulations issued under section 609 of the 
CAA prior to charging with a substitute.

                                             Solvent Cleaning Sector
                               [Acceptable Subject to Use Conditions Substitutes]
----------------------------------------------------------------------------------------------------------------
           Application                 Substitute           Decision            Conditions           Comments
----------------------------------------------------------------------------------------------------------------
Electronics Cleaning w/CFC-113     HFC-4310mee.......  Acceptable........  Subject to a 200 ppm
 and MCF.                                                                   time-weighted
                                                                            average workplace
                                                                            exposure standard
                                                                            and a 400 ppm
                                                                            workplace exposure
                                                                            ceiling.
Precision Cleaning w/CFC-113 and   HFC-4310mee.......  Acceptable........  Subject to a 200 ppm
 MCF.                                                                       time-weighted
                                                                            average workplace
                                                                            exposure standard
                                                                            and a 400 ppm
                                                                            workplace exposure
                                                                            ceiling.
----------------------------------------------------------------------------------------------------------------


                                                 Solvent Sector
                                   [Acceptable Subject to Narrowed Use Limits]
----------------------------------------------------------------------------------------------------------------
             Application                     Substitute                 Decision                 Comments
----------------------------------------------------------------------------------------------------------------
Electronics Cleaning w/CFC-113 and    Perfluoropolyethers.....  Perfluoropolyethers are  PFPEs have similar
 MCF.                                                            acceptable substitutes   global warming profile
                                                                 for CFC-113 and MCF in   to the PFCs, and the
                                                                 the precision cleaning   SNAP decision on PFPEs
                                                                 sector for high          parallels that for
                                                                 performance, precision-  PFCs.
                                                                 engineered
                                                                 applications only
                                                                 where reasonable
                                                                 efforts have been made
                                                                 to ascertain that
                                                                 other alternatives are
                                                                 not technically
                                                                 feasible due to
                                                                 performance or safety
                                                                 requirements.
Precision Cleaning w/CFC-113 and MCF  Perfluoropolyethers.....  Perfluoropolyethers are  PFPEs have similar
                                                                 acceptable substitutes   global warming profile
                                                                 for CFC-113 and MCF in   to the PFCs, and the
                                                                 the precision cleaning   SNAP decision on PFPEs
                                                                 sector for high          parallels that for
                                                                 performance, precision-  PFCs.
                                                                 engineered
                                                                 applications only
                                                                 where reasonable
                                                                 efforts have been made
                                                                 to ascertain that
                                                                 other alternatives are
                                                                 not technically
                                                                 feasible due to
                                                                 performance or safety
                                                                 requirements.
----------------------------------------------------------------------------------------------------------------


                                            Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                       Substitute                Decision                  Comments
----------------------------------------------------------------------------------------------------------------
Electronics Cleaning w/CFC-113 and     HCFC-141b.............  Extension of existing     This determination
 MCF.                                                           unacceptability           extends the use date
                                                                determination to grant    for HCFC-141b in
                                                                existing uses in high-    solvent cleaning, but
                                                                performance electronics   only for existing
                                                                permission to continue    users in high-
                                                                until January 1, 1997.    performance
                                                                                          electronics and only
                                                                                          for one year.
Precision Cleaning w/CFC-113 and MCF.  HCFC-141b.............  Extension of existing     This determination
                                                                unacceptability           extends the use date
                                                                determination to grant    for HCFC-141b in
                                                                existing uses in          solvent cleaning, but
                                                                precision cleaning        only for existing
                                                                permission to continue    users in precision
                                                                until January 1, 1997.    cleaning and only for
                                                                                          one year.
----------------------------------------------------------------------------------------------------------------


                                                 Aerosols Sector
                                    Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
             Application                     Substitute                 Decision                 Comments
----------------------------------------------------------------------------------------------------------------
CFC-113, MCF, and HCFC-141b as        Perfluorocarbons........  Perfluorocarbons are     PFCs have extremely
 aerosol solvents.                                               acceptable substitutes   long atmospheric
                                                                 for aerosol              lifetimes and high
                                                                 applications only        Global Warming
                                                                 where reasonable         Potentials. This
                                                                 efforts have been made   decision reflects
                                                                 to ascertain that        these concerns and is
                                                                 other alternatives are   patterned after the
                                                                 not technically          SNAP decision on PFCs
                                                                 feasible due to          in the solvent
                                                                 performance or safety    cleaning sector.
                                                                 requirements.

[[Page 248]]

 
                                      Perfluoropolyethers.....  Perfluorocarbons are     PFPEs have similar
                                                                 acceptable substitutes   global warming profile
                                                                 for aerosol              to the PFCs, and the
                                                                 applications only        SNAP decision on PFPEs
                                                                 where reasonable         parallels that for
                                                                 efforts have been made   PFCs in the solvent
                                                                 to ascertain that        cleaning sector.
                                                                 other alternatives are
                                                                 not technically
                                                                 feasible due to
                                                                 performance or safety
                                                                 requirements.
----------------------------------------------------------------------------------------------------------------


                        Unacceptable Substitutes
------------------------------------------------------------------------
           End-use            Substitute     Decision        Comments
------------------------------------------------------------------------
CFC-11, CFC-12, HCFC-22, and  SF6.......  Unacceptable.  SF6 has the
 HCFC-142b as aerosol                                     highest GWP of
 propellants.                                             all industrial
                                                          gases, and
                                                          other
                                                          compressed
                                                          gases meet
                                                          user needs in
                                                          this
                                                          application
                                                          equally well.
------------------------------------------------------------------------


[61 FR 54040, Oct. 16, 1996, as amended at 80 FR 42953, July 20, 2015]



Sec. Appendix E to Subpart G of Part 82--Unacceptable Substitutes Listed 
     in the January 26, 1999 Final Rule, Effective January 26, 1999

                       Refrigeration and Air-Conditioning Sector Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                 Substitute          Decision                       Comments
----------------------------------------------------------------------------------------------------------------
All refrigeration and air-                   MT-31  Unacceptable..........  Chemical contained in this blend
 conditioning end uses.                                                      presents unacceptable toxicity
                                                                             risk.
----------------------------------------------------------------------------------------------------------------


[64 FR 3865, Jan. 26, 1999]



Sec. Appendix F to Subpart G of Part 82--Unacceptable Substitutes Listed 
     in the January 26, 1999 Final Rule, Effective January 26, 1999

                       Refrigeration and Air-Conditioning Sector UnacceptabLe Substitutes
----------------------------------------------------------------------------------------------------------------
             End-use                    Substitute             Decision                     Comments
----------------------------------------------------------------------------------------------------------------
All refrigeration and air-         Hexafluoropropylene   Unacceptable........  Presents unacceptable toxicity
 conditioning end uses.             (HFP) and all HFP-                          risk.
                                    containing blends.
----------------------------------------------------------------------------------------------------------------


[64 FR 3868, Jan. 26, 1999]



  Sec. Appendix G to Subpart G of Part 82--Substitutes Subject to Use 
 Restrictions and Unacceptable Substitutes Listed in the March 3, 1999, 
                  Final rule, Effective April 2, 1999.

                                      Refrigerants Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                        Substitute                Decision                 Comments
----------------------------------------------------------------------------------------------------------------
CFC-12, R-502, and HCFC-22 Household   Self-Chilling Cans-Using  Unacceptable..........  Unacceptably high
 Refrigeration, Transport               HFC-134a or HFC-152a.                             greenhouse gas
 Refrigeration, Vending Machines,                                                         emissions from direct
 Cold Storage Warehouses, and Retail                                                      release of refrigerant
 Food Refrigeration, Retrofit and New.                                                    to the atmosphere.
----------------------------------------------------------------------------------------------------------------


[64 FR 10378, Mar. 3, 1999]

[[Page 249]]



  Sec. Appendix H to Subpart G of Part 82--Substitutes Subject to Use 
    Restrictions and Unacceptable Substitutes, Effective May 28, 1999

  CFC-12 Automobile and Non-automobile Motor Vehicle Air Conditioners, 
                            Retrofit and New

                   Criteria for Uniqueness of Fittings

    (a) All fittings for alternative motor vehicle refrigerants must 
meet the following requirements:
    (1) High-side screw-on fittings for each refrigerant must differ 
from high-side screw-on fittings for all other refrigerants, including 
CFC-12, and from low-side screw-on fittings for CFC-12;
    (2) Low-side screw-on fittings for each refrigerant must differ from 
low-side screw-on fittings for all other refrigerants, including CFC-12;
    (3) High-side screw-on fittings for a given refrigerant must differ 
from low-side screw-on fittings for that refrigerant, to protect against 
connecting a low-pressure system to a high-pressure one;
    (4) High-side quick-connect fittings for each refrigerant must 
differ from high-side quick-connect fittings for all other refrigerants, 
including CFC-12 (if they exist);
    (5) Low-side quick-connect fittings for each refrigerant must differ 
from low-side quick-connect fittings for all other refrigerants, 
including CFC-12 (if they exist);
    (6) High-side quick-connect fittings for a given refrigerant must 
differ from low-side quick-connect fittings for that refrigerant, to 
protect against connecting a low-pressure system to a high-pressure one;
    (7) For each type of container, the fitting for each refrigerant 
must differ from the fitting for that type of container for all other 
refrigerants, including CFC-12.
    (b) For screw-on fittings, ``differ'' means that either the diameter 
must differ by at least \1/16\ inch or the thread direction must be 
reversed (i.e. right-handed vs. left-handed). Simply changing the thread 
pitch is not sufficient. For quick-connect fittings, ``differ'' means 
that a person using normal force and normal tools (including wrenches) 
must not be able to cross-connect fittings.
    (c) The sole exception to the \1/16\ inch difference requirement is 
the difference between the small can fittings for GHG-X4 and R-406A. The 
GHG-X4 small can fitting uses a metric measurement, and is slightly less 
than \1/16\ inch larger than the small can fitting for R-406A. EPA has 
concluded that these fittings will not cross-connect, and therefore they 
may be used.

                          Refrigeration and Air Conditioning--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
All HCFC-22 end-uses, retrofit and   NARM-22...............  Unacceptable..........  This blend contains HCFC-
 new.                                                                                 22, and it is
                                                                                      inappropriate to use such
                                                                                      a blend as a substitute
                                                                                      for HCFC-22. In addition,
                                                                                      this blend contains HFC-
                                                                                      23, which has an extremely
                                                                                      high GWP and lifetime.
                                                                                      Other substitutes for HCFC-
                                                                                      22 exist that do not
                                                                                      contain either HCFC-22 or
                                                                                      HFC-23.
----------------------------------------------------------------------------------------------------------------


                                   Solvents Cleaning--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
Metals, Electronic, and Precision    Chlorobromo-methane...  Unacceptable..........  Other alternatives exist
 cleaning with CFC-113, methyl                                                        with zero or much lower
 chloroform, and HCFC-141b.                                                           ODP.
----------------------------------------------------------------------------------------------------------------


[[Page 250]]


   Fire Suppression and Explosion Protection--Acceptable Subject to Narrowed Use Limits: Total Flooding Agents
----------------------------------------------------------------------------------------------------------------
             End-use                 Substitute       Decision            Conditions         Further information
----------------------------------------------------------------------------------------------------------------
Total flooding...................  HFC-236fa       Acceptable      Acceptable when           Use of this agent
                                                    subject to      manufactured using any    should be in
                                                    narrowed use    process that does not     accordance with
                                                    limits.         convert                   the safety
                                                                    perfluoroisobutylene      guidelines in the
                                                                    (PFIB) directly to HFC-   latest edition of
                                                                    236fa in a single step:   the NFPA 2001
                                                                   for use in explosion       Standard for Clean
                                                                    suppression and           Agent Fire
                                                                    explosion inertion        Systems.
                                                                    applications, and        Users should
                                                                   for use in fire            observe the
                                                                    suppression               limitations on HFC-
                                                                    applications where        236fa
                                                                    other non-PFC agents or   acceptability by
                                                                    alternatives are not      taking the
                                                                    technically feasible      following
                                                                    due to performance or     measures:
                                                                    safety requirements:     (i) conduct an
                                                                   (a) because of their       evaluation of
                                                                    physical or chemical      foreseeable
                                                                    properties, or            conditions of end-
                                                                   (b) where human exposure   use;
                                                                    to the extinguishing     (ii) determine that
                                                                    agents may result in      the physical or
                                                                    failure to meet safety    chemical
                                                                    guidelines in the         properties, or
                                                                    latest edition of the     other technical
                                                                    NFPA 2001 Standard for    constraints of the
                                                                    Clean Agent Fire          other available
                                                                    Extinguishing Systems.    agents preclude
                                                                                              their use; and
                                                                                             (iii) determine
                                                                                              that human
                                                                                              exposure to the
                                                                                              other alternative
                                                                                              extinguishing
                                                                                              agents may result
                                                                                              in failure to meet
                                                                                              safety guidelines
                                                                                              in the latest
                                                                                              edition of the
                                                                                              NFPA 2001 Standard
                                                                                              for Clean Agent
                                                                                              Fire Extinguishing
                                                                                              Systems.
                                                                   ........................  Documentation of
                                                                                              such measures
                                                                                              should be
                                                                                              available for
                                                                                              review upon
                                                                                              request.
                                                                                             The principal
                                                                                              environmental
                                                                                              characteristic of
                                                                                              concern for HFC-
                                                                                              236fa is its high
                                                                                              GWP of 9400 and
                                                                                              long atmospheric
                                                                                              lifetime of 226
                                                                                              years. Actual
                                                                                              contributions to
                                                                                              global warming
                                                                                              depend upon the
                                                                                              quantities
                                                                                              emitted.
                                                                                             See additional
                                                                                              comments 1, 2, 3,
                                                                                              4, 5.
Total flooding...................  C3F8            Acceptable      Acceptable for            Use of this agent
                                                    subject to      nonresidential uses       should be in
                                                    narrowed use    where other               accordance with
                                                    limits.         alternatives are not      the safety
                                                                    technically feasible      guidelines in the
                                                                    due to performance or     latest edition of
                                                                    safety requirements:      the NFPA 2001
                                                                   (a) because of their       Standard for Clean
                                                                    physical or chemical      Agent Fire
                                                                    properties, or            Extinguishing
                                                                   (b) where human exposure   Systems.
                                                                    to the extinguishing     Users should
                                                                    agents may result in      observe the
                                                                    failure to meet safety    limitations on PFC
                                                                    guidelines in the         acceptability by
                                                                    latest edition of the     taking the
                                                                    NFPA 2001 Standard for    following
                                                                    Clean Agent Fire          measures:
                                                                    Extinguishing Systems.   (i) conduct an
                                                                                              evaluation of
                                                                                              foreseeable
                                                                                              conditions of end-
                                                                                              use;
                                                                                             (ii) determine that
                                                                                              the physical or
                                                                                              chemical
                                                                                              properties or
                                                                                              other technical
                                                                                              constraints of the
                                                                                              other available
                                                                                              agents preclude
                                                                                              their use; and
                                                                                             (iii) determine
                                                                                              that human
                                                                                              exposure to the
                                                                                              other alternative
                                                                                              extinguishing
                                                                                              agents may result
                                                                                              in failure to meet
                                                                                              safety guidelines
                                                                                              in the latest
                                                                                              edition of the
                                                                                              NFPA 2001 Standard
                                                                                              for Clean Agent
                                                                                              Fire Extinguishing
                                                                                              Systems.
                                                                                             Documentation of
                                                                                              such measures
                                                                                              should be
                                                                                              available for
                                                                                              review upon
                                                                                              request.
                                                                                             The principal
                                                                                              environmental
                                                                                              characteristic of
                                                                                              concern for PFCs
                                                                                              is that they have
                                                                                              high GWPs and long
                                                                                              atmospheric
                                                                                              lifetimes. Actual
                                                                                              contributions to
                                                                                              global warming
                                                                                              depend upon the
                                                                                              quantities of PFCs
                                                                                              emitted.
                                                                                             See additional
                                                                                              comments 1, 2, 3,
                                                                                              4, 5.

[[Page 251]]

 
Total flooding...................  C4F10           Acceptable      Acceptable for            Use of this agent
                                                    subject to      nonresidential uses       should be in
                                                    narrowed use    where other               accordance with
                                                    limits          alternatives are not      the safety
                                                                    technically feasible      guidelines in the
                                                                    due to performance or     latest edition of
                                                                    safety requirements:      the NFPA 2001
                                                                   (a) because of their       Standard for Clean
                                                                    physical or chemical      Agent Fire
                                                                    properties, or            Extinguishing
                                                                   (b) where human exposure   Systems.
                                                                    to the extinguishing     Users should
                                                                    agents may result in      observe the
                                                                    failure to meet safety    limitations on PFC
                                                                    guidelinesin the latest   acceptability by
                                                                    edition of the NFPA       taking the
                                                                    2001 Standard for Clean   following
                                                                    Agent Fire                measures:
                                                                    Extinguishing Systems    (i) conduct an
                                                                                              evaluation of
                                                                                              foreseeable
                                                                                              conditions of end-
                                                                                              use;
                                                                                             (ii) determine that
                                                                                              the physical or
                                                                                              chemical
                                                                                              properties or
                                                                                              other technical
                                                                                              constraints of the
                                                                                              other available
                                                                                              agents preclude
                                                                                              their use; and
                                                                                             (iii) determine
                                                                                              that human
                                                                                              exposure to the
                                                                                              other alternative
                                                                                              extinguishing
                                                                                              agents may result
                                                                                              in failure to meet
                                                                                              safety guidelines
                                                                                              in the latest
                                                                                              edition of the
                                                                                              NFPA 2001 Standard
                                                                                              for Clean Agent
                                                                                              Fire Extinguishing
                                                                                              Systems
                                                                                             Documentation of
                                                                                              such measures
                                                                                              should be
                                                                                              available for
                                                                                              review upon
                                                                                              request.
                                                                                             The principal
                                                                                              environmental
                                                                                              characteristic of
                                                                                              concern for PFCs
                                                                                              is that they have
                                                                                              high GWPs and long
                                                                                              atmospheric
                                                                                              lifetimes. Actual
                                                                                              contributions to
                                                                                              global warming
                                                                                              depend upon the
                                                                                              quantities of PFCs
                                                                                              emitted.
                                                                                             See additional
                                                                                              comments 1, 2, 3,
                                                                                              4, 5.
----------------------------------------------------------------------------------------------------------------
Additional comments:
1--Should conform with relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--Discharge testing should be strictly limited to that which is essential to meet safety or performance
  requirements.
4--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
5--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


[[Page 252]]


     Fire Suppression and Explosion Protection--Streaming Agents--Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
            End-use               Substitute          Decision               Conditions             Comments
----------------------------------------------------------------------------------------------------------------
Halon 1211.....................  C6F14         Acceptable for          ......................  Users should
replacement....................                 nonresidential uses                             observe the
                                                where other                                     limitations on
                                                alternatives are not                            PFC
                                                technically feasible                            acceptability by
                                                due to performance or                           taking the
                                                safety requirements:                            following
                                                (a) because of their                            measures: (i)
                                                physical or chemical                            conduct an
                                                properties, or (b)                              evaluation of
                                                where human exposure                            foreseeable
                                                to the extinguishing                            conditions of
                                                agents may result in                            end-use; (ii)
                                                failure to meet                                 determine that
                                                applicable use                                  the physical or
                                                conditions.                                     chemical
                                                                                                properties or
                                                                                                other technical
                                                                                                constraints of
                                                                                                the other
                                                                                                available agents
                                                                                                preclude their
                                                                                                use; and (iii)
                                                                                                determine that
                                                                                                human exposure
                                                                                                to the other
                                                                                                alternative
                                                                                                extinguishing
                                                                                                agents may
                                                                                                result in
                                                                                                failure to meet
                                                                                                applicable use
                                                                                                conditions
                                                                                                Documentation of
                                                                                                such measures
                                                                                                should be
                                                                                                available for
                                                                                                review upon
                                                                                                request. The
                                                                                                principal
                                                                                                environmental
                                                                                                characteristic
                                                                                                of concern for
                                                                                                PFCs is that
                                                                                                they have high
                                                                                                GWPs and long
                                                                                                atmospheric
                                                                                                lifetimes.
                                                                                                Actual
                                                                                                contributions to
                                                                                                global warming
                                                                                                depend upon the
                                                                                                quantities of
                                                                                                PFCs emitted.
                                                                                                For additional
                                                                                                guidance
                                                                                                regarding
                                                                                                applications in
                                                                                                which PFCs may
                                                                                                be appropriate,
                                                                                                users should
                                                                                                consult the
                                                                                                description of
                                                                                                potential uses
                                                                                                which is
                                                                                                included in the
                                                                                                March 18, 1994
                                                                                                Final Rule (59
                                                                                                FR 13044.) See
                                                                                                comments 1, 2.
Halon 1211 replacement.........  HFC-236fa     Acceptable in           ......................  See comments 1,
                                                nonresidential uses                             2, 3.
                                                when manufactured
                                                using any process
                                                that does not convert
                                                perfluoroisobutylene
                                                (PFIB) directly to
                                                HFC-236fa in a single
                                                step
Halon 1211 replacement.........  HFC-227ea     Acceptable in           ......................  See comments 1,
                                                nonresidential uses                             2.
                                                only
      Additional comments:
----------------------------------------------------------------------------------------------------------------
1--Discharge testing and training should be strictly limited only to that which is essential to meet safety or
  performance requirements.
2--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
3--Acceptable for local application systems inside textile process machinery.


           Fire Suppression and Explosion Protection--Total Flooding Agents--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
Halon 1301 replacement.............  Chlorobromo-methane...  Unacceptable..........  Other alternatives exist
                                                                                      with zero or lower ODP;
                                                                                      OSHA regulations prohibit
                                                                                      its use as extinguishing
                                                                                      agent in fixed
                                                                                      extinguishing systems
                                                                                      where employees may be
                                                                                      exposed. See 29 CFR
                                                                                      1910.160(b)(11).
----------------------------------------------------------------------------------------------------------------


                                       Aerosols--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
Solvent in aerosols with CFC-113,    Chlorobromo-methane...  Unacceptable..........  Other alternatives exist
 MCF, or HCFC-141b.                                                                   with zero or much lower
                                                                                      ODP.
----------------------------------------------------------------------------------------------------------------


[[Page 253]]


                             Adhesives, Coatings, and Inks--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision                   Comments
----------------------------------------------------------------------------------------------------------------
Solvent in adhesives, coatings, and  Chlorobromo-methane...  Unacceptable..........  Other alternatives exist
 inks with CFC-113.                                                                   with zero or much lower
                                                                                      ODP.
Solvent in adhesives, coatings, and  Chlorobromo-methane...  Unacceptable..........  Other alternatives exist
 inks with MCF.                                                                       with zero or much lower
                                                                                      ODP.
Solvent in adhesives, coatings and   Chlorobromo-methane...  Unacceptable..........  Other alternatives exist
 inks with HCFC-141b.                                                                 with zero or much lower
                                                                                      ODP.
----------------------------------------------------------------------------------------------------------------


[64 FR 22996, Apr. 28, 1999, as amended at 67 FR 4201, Jan. 29, 2002]



  Sec. Appendix I to Subpart G of Part 82--Substitutes Subject to Use 
 Restrictions, Listed in the April 26, 2000, Final Rule, Effective May 
                                26, 2000

                           Fire Suppression and Explosion Protection--Streaming Agents
                             [Substitutes Acceptable Subject to Narrowed Use Limits]
----------------------------------------------------------------------------------------------------------------
        End Use               Substitute           Decision             Limitations              Comments
----------------------------------------------------------------------------------------------------------------
Halon 1211 Streaming     HCFC Blend E.......  Acceptable........  Nonresidential uses     As with other
 Agents.                                                           only.                   streaming agents, EPA
                                                                                           recommends that
                                                                                           potential risks of
                                                                                           combustion byproducts
                                                                                           be labeled on the
                                                                                           extinguisher (see UL
                                                                                           2129).
                                                                                          See additional
                                                                                           comments 1, 2.
----------------------------------------------------------------------------------------------------------------
Additional Comments:
1. Discharge testing and training should be strictly limited only to that which is essential to meet safety or
  performance requirements.
2. The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.


[65 FR 24392, Apr. 26, 2000, as amended at 67 FR 4202, Jan. 29, 2002]



   Sec. Appendix J to Subpart G of Part 82--Substitutes listed in the 
          January 29, 2002 Final Rule, effective April 1, 2002

    Fire Suppression and Explosion Protection Section--Total Flooding
         Substitutes--Acceptable Subject to Narrowed Use Limits
------------------------------------------------------------------------
                                                             Further
 End-use     Substitute       Decision      Conditions     information
------------------------------------------------------------------------
Total      HFC Blend B     Acceptable     Acceptable in  See additional
 flooding.  (Halotron II    subject to     areas that     comments 1, 2,
            [supreg]).      narrowed use   are not        3, 4, 5.
                            limits.        normally
                                           occupied
                                           only.
------------------------------------------------------------------------
Additional comments:
1--Should conform to relevant OSHA requirements, including 29 CFR 1910,
  subpart L, Sections 1910.160 and 1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in
  the event personnel should reenter the area.
3--Discharge testing should be strictly limited to that which is
  essential to meet safety or performance requirements.
4--The agent should be recovered from the fire protection system in
  conjunction with testing or servicing, and recycled for later use or
  destroyed.
5--EPA has no intention of duplicating or displacing OSHA coverage
  related to the use of personal protective equipment (e.g., respiratory
  protection), fire protection, hazard communication, worker training or
  any other occupational safety and health standard with respect to
  halon substitutes.


    Fire Suppression and Explosion Protection Sector--Total Flooding
                  Substitutes--Unacceptable Substitutes
------------------------------------------------------------------------
                                                            Further
      End-Use          Substitute         Decision        Information
------------------------------------------------------------------------
Halon 1301........  HBFC-22B1.......  Unacceptable...  HBFC-22B1 is a
                                                        Class I ozone
                                                        depleting
                                                        substance with
                                                        an ozone
                                                        depletion
                                                        potential of
                                                        0.74.
Total Flooding      ................  ...............  The manufacturer
 Agents.                                                of this agent
                                                        terminated
                                                        production of
                                                        this agent
                                                        January 1, 1996,
                                                        except for
                                                        critical uses,
                                                        and removed it
                                                        from the market
                                                        because it is a
                                                        fetal toxin.
------------------------------------------------------------------------


[67 FR 4202, Jan. 29, 2002, as amended at 71 FR 56367, Sept. 27, 2006]

[[Page 254]]



  Sec. Appendix K to Subpart G of Part 82--Substitutes Subject to Use 
 Restrictions and Unacceptable Substitutes Listed in the July 22, 2002, 
                  Final Rule Effective August 21, 2002

                                     Foam Blowing--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                        Substitute                Decision                 Comments
----------------------------------------------------------------------------------------------------------------
Replacements for HCFC-141b in the      HCFC-22, HCFC-142b and   Unacceptable Closed      Alternatives exist with
 following rigid polyurethane/          blends thereof.          cell foam products and   lower or zero-ODP.
 polyisocyanurate applications:.                                 products containing
--Boardstock.........................                            closed cell foams
--Appliance..........................                            manufactured with
--Spray..............................                            these substitutes on
                                                                 or before December 1,
                                                                 2017 may be used after
                                                                 that date.
All foam end-uses....................  HCFC-124...............  Unacceptable Closed      Alternatives exist with
                                                                 cell foam products and   lower or zero-ODP.
                                                                 products containing
                                                                 closed cell foams
                                                                 manufactured with this
                                                                 substitute on or
                                                                 before December 1,
                                                                 2017 may be used after
                                                                 that date.
----------------------------------------------------------------------------------------------------------------


[81 FR 86883, Dec. 1, 2016]



   Sec. Appendix L to Subpart G of Part 82--Substitutes Listed in the 
         January 27, 2003, Final Rule, Effective March 28, 2003

     Fire Suppression and Explosion Protection Sector--Total Flooding Substitutes--Acceptable Subject to Use
                                                   Conditions
----------------------------------------------------------------------------------------------------------------
          End-use                 Substitute            Decision             Conditions            Comments
----------------------------------------------------------------------------------------------------------------
Total flooding.............  HFC227-BC            Acceptable subject    Sodium bicarbonate   Use of the agent,
                                                   to use conditions.    release in all       HFC-227ea, should
                                                                         settings should be   be in accordance
                                                                         targeted so that     with the safety
                                                                         increased pH level   guidelines in the
                                                                         would not            latest edition of
                                                                         adversely affect     the NFPA 2001
                                                                         exposed              Standard for Clean
                                                                         individuals. Users   Agent Fire
                                                                         should provide       Extinguishing
                                                                         special training     Systems.
                                                                         to individuals      See additional
                                                                         required to be in    comments 1, 2, 3,
                                                                         environments         4, 5.
                                                                         protected by
                                                                         HFC227-BC
                                                                         extinguishing
                                                                         systems.
                                                                        Each HFC227-BC
                                                                         extinguisher
                                                                         should be clearly
                                                                         labelled with the
                                                                         potential hazards
                                                                         from use and safe
                                                                         handling
                                                                         procedures..
----------------------------------------------------------------------------------------------------------------
Additional comments.
1--Should conform with relevant OSHA requirements, including 29 CFR part 1910, subpart L, sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--Discharge testing should be strictly limited to that which is essential to meet safety or performance
  requirements.
4--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
5--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


[[Page 255]]


  Fire Suppression and Explosion Protection Sector--Streaming Agents--Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
        End-use               Substitute              Decision             Conditions             Comments
----------------------------------------------------------------------------------------------------------------
Streaming.............  C6-perfluoroketone     Acceptable subject to  For use only in       For operations that
                         (FK-5-1-12MYY2).       narrowed use limits.   nonresidential        fill canisters to
                                                                       areas.                be used in
                                                                                             streaming
                                                                                             applications, EPA
                                                                                             recommends the
                                                                                             following:
                                                                                            --Adequate
                                                                                             ventilation should
                                                                                             be in place;
                                                                                            --All spills should
                                                                                             be cleaned up
                                                                                             immediately in
                                                                                             accordance with
                                                                                             good industrial
                                                                                             hygiene practices;
                                                                                             and
                                                                                            --Training for safe
                                                                                             handling procedures
                                                                                             should be provided
                                                                                             to all employees
                                                                                             that would be
                                                                                             likely to handle
                                                                                             containers of the
                                                                                             agent or
                                                                                             extinguishing units
                                                                                             filled with the
                                                                                             agent.
                                                                                            See additional
                                                                                             comments 1, 2, 3,
                                                                                             4.
Streaming.............  H Galden HFPEs.......  Acceptable subject to  For use only in       For operations that
                                                narrowed use limits.   nonresidential        fill canisters to
                                                                       areas.                be used in
                                                                                             streaming
                                                                                             applications, EPA
                                                                                             recommends the
                                                                                             following:
                                                                                            --Adequate
                                                                                             ventialtion should
                                                                                             be in place;
                                                                                            --All spills should
                                                                                             be cleaned up
                                                                                             immediately in
                                                                                             accordance with
                                                                                             good industrial
                                                                                             hygiene practices;
                                                                                             and
                                                                                            --Training for safe
                                                                                             handling procedures
                                                                                             should be provided
                                                                                             to all employees
                                                                                             that would be
                                                                                             likely to handle
                                                                                             containers of the
                                                                                             agent or
                                                                                             extinguishing units
                                                                                             filled with the
                                                                                             agent.
                                                                                            See additional
                                                                                             comments 1, 2, 3,
                                                                                             4.
----------------------------------------------------------------------------------------------------------------
Additional comments.
1--Discharge testing should be strictly limited to that which is essential to meet safety or performance
  requirements.
2--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
3--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.
4--As with other streaming agents, EPA recommends that potential risks of combustion by-products be labelled on
  the extinguisher (see UL 2129)


[68 FR 4010, Jan. 27, 2003]

[[Page 256]]



Sec. Appendix M to Subpart G of Part 82--Unacceptable Substitutes Listed 
    in the September 30, 2004 Final Rule, Effective November 29, 2004

                                     Foam Blowing--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                        Substitute                Decision                 Comments
----------------------------------------------------------------------------------------------------------------
All foam end-uses:                     HCFC-141b..............  Unacceptable Closed      Alternatives exist with
--rigid polyurethane and                                         cell foam products and   lower or zero-ODP.
 polyisocyanurate laminated                                      products containing
 boardstock                                                      closed cell foams
--rigid polyurethane appliance                                   manufactured with this
--rigid polyurethane spray and                                   substitute on or
 commercial refrigeration, and                                   before December 1,
 sandwich panels                                                 2017 may be used after
                                                                 that date.
    --rigid polyurethane slabstock
     and other foams
    --polystyrene extruded insulation
     boardstock and billet.
    --phenolic insulation board and
     bunstock.
    --flexible polyurethane..........
    --polystyrene extruded sheet.....
    --Except for: \1\................
    --space vehicle..................
    --nuclear........................
    --defense........................
    --research and development for
     foreign customers.
----------------------------------------------------------------------------------------------------------------
\1\ Exemptions for specific applications are identified in the list of acceptable substitutes, which is
  available on the SNAP Web site at: https://www.epa.gov/snap/foam-blowing-agents.


[81 FR 86883, Dec. 1, 2016]



           Sec. Appendix N to Subpart G of Part 82 [Reserved]



   Sec. Appendix O to Subpart G of Part 82--Substitutes Listed in the 
       September 27, 2006 Final Rule, Effective November 27, 2006

     Fire Suppression and Explosion Protection Sector--Total Flooding Substitutes--Acceptable Subject to Use
                                                   Conditions
----------------------------------------------------------------------------------------------------------------
            End-use                  Substitute          Decision          Conditions       Further information
----------------------------------------------------------------------------------------------------------------
Total flooding.................  Gelled Halocarbon/ Acceptable         Use of whichever   Use of this agent
                                  Dry Chemical       subject to use     hydrofluorocarbo   should be in
                                  Suspension         conditions.        n gas (HFC-125,    accordance with the
                                  (Envirogel) with                      HFC-227ea, or      safety guidelines in
                                  sodium                                HFC-236fa) is      the latest edition of
                                  bicarbonate                           employed in the    the NFPA 2001
                                  additive.                             formulation must   Standard for Clean
                                                                        be in accordance   Agent Fire
                                                                        with all           Extinguishing
                                                                        requirements for   Systems, for
                                                                        acceptability      whichever
                                                                        (i.e., narrowed    hydrofluorocarbon gas
                                                                        use limits) of     is employed, and the
                                                                        that HFC under     latest edition of the
                                                                        EPA's SNAP         NFPA 2010 standard
                                                                        program.           for Aerosol
                                                                                           Extinguishing
                                                                                           Systems.
                                                                                          Sodium bicarbonate
                                                                                           release in all
                                                                                           settings should be
                                                                                           targeted so that
                                                                                           increased blood pH
                                                                                           level would not
                                                                                           adversely affect
                                                                                           exposed individuals.

[[Page 257]]

 
                                                                                          Users should provide
                                                                                           special training,
                                                                                           including the
                                                                                           potential hazards
                                                                                           associated with the
                                                                                           use of the HFC agent
                                                                                           and sodium
                                                                                           bicarbonate, to
                                                                                           individuals required
                                                                                           to be in environments
                                                                                           protected by
                                                                                           Envirogel with sodium
                                                                                           bicarbonate additive
                                                                                           extinguishing
                                                                                           systems.
                                                                                          Each extinguisher
                                                                                           should be clearly
                                                                                           labeled with the
                                                                                           potential hazards
                                                                                           from use and safe
                                                                                           handling procedures.
                                                                                          See additional
                                                                                           comments 1, 2, 3, 4,
                                                                                           5.
Total flooding.................  Powdered Aerosol   Acceptable         For use only in    Use of this agent
                                  E                  subject to use     normally           should be in
                                  (FirePro[supreg]   conditions.        unoccupied areas.  accordance with the
                                  ).                                                       safety guidelines in
                                                                                           the latest edition of
                                                                                           the NFPA 2010
                                                                                           standard for Aerosol
                                                                                           Extinguishing
                                                                                           Systems.
                                                                                          For establishments
                                                                                           manufacturing the
                                                                                           agent or filling,
                                                                                           installing, or
                                                                                           servicing containers
                                                                                           or systems to be used
                                                                                           in total flooding
                                                                                           applications, EPA
                                                                                           recommends the
                                                                                           following:
                                                                                          --adequate ventilation
                                                                                           should be in place to
                                                                                           reduce airborne
                                                                                           exposure to
                                                                                           constituents of
                                                                                           agent;
                                                                                          --an eye wash fountain
                                                                                           and quick drench
                                                                                           facility should be
                                                                                           close to the
                                                                                           production area;
                                                                                          --training for safe
                                                                                           handling procedures
                                                                                           should be provided to
                                                                                           all employees that
                                                                                           would be likely to
                                                                                           handle containers of
                                                                                           the agent or
                                                                                           extinguishing units
                                                                                           filled with the
                                                                                           agent;
                                                                                          --workers responsible
                                                                                           for clean up should
                                                                                           allow for maximum
                                                                                           settling of all
                                                                                           particulates before
                                                                                           reentering area and
                                                                                           wear appropriate
                                                                                           protective equipment;
                                                                                           and
                                                                                          --all spills should be
                                                                                           cleaned up
                                                                                           immediately in
                                                                                           accordance with good
                                                                                           industrial hygiene
                                                                                           practices.
                                                                                          See additional
                                                                                           comments 1, 2, 3, 4,
                                                                                           5.

[[Page 258]]

 
Total flooding.................  Phosphorous        Acceptable         For use only in    For establishments
                                  Tribromide         subject to use     aircraft engine    manufacturing the
                                  (PBr3).            conditions.        nacelles.          agent or filling,
                                                                                           installing, or
                                                                                           servicing containers
                                                                                           or systems, EPA
                                                                                           recommends the
                                                                                           following:
                                                                                          --adequate ventilation
                                                                                           should be in place
                                                                                           and/or positive
                                                                                           pressure, self-
                                                                                           contained breathing
                                                                                           apparatus (SCBA)
                                                                                           should be worn;
                                                                                             --training for safe
                                                                                              handling
                                                                                              procedures should
                                                                                              be provided to all
                                                                                              employees that
                                                                                              would be likely to
                                                                                              handle containers
                                                                                              of the agent or
                                                                                              extinguishing
                                                                                              units filled with
                                                                                              the agent; and
                                                                                             --all spills should
                                                                                              be cleaned up
                                                                                              immediately in
                                                                                              accordance with
                                                                                              good industrial
                                                                                              hygiene practices.
                                                                                             See additional
                                                                                              comments 1, 2, 3,
                                                                                              4, 5.
----------------------------------------------------------------------------------------------------------------
Additional comments:
1--Should conform to relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--Discharge testing should be strictly limited to that which is essential to meet safety or performance
  requirements.
4--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
5--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


[71 FR 56367, Sept. 27, 2006, as amended at 81 FR 86883, Dec. 1, 2016]

[[Page 259]]



   Sec. Appendix P to Subpart G of Part 82--Substitutes Listed in the 
       September 27, 2006 Final Rule, Effective November 27, 2006

   Fire Suppression and Explosion Protection Sector--Total Flooding Agents--Acceptable Subject to Narrowed Use
                                                     Limits
----------------------------------------------------------------------------------------------------------------
        End-use               Substitute              Decision             Conditions        Further information
----------------------------------------------------------------------------------------------------------------
Total flooding........  Gelled Halocarbon/Dry  Acceptable subject to  For use only in       Use of this agent
                         Chemical Suspension    narrowed use limits.   normally unoccupied   should be in
                         with any agent other                          areas.                accordance with the
                         than ammonium                                                       safety guidelines
                         polyphosphate or                                                    in the latest
                         sodium bicarbonate                                                  edition of the NFPA
                         additive (Envirogel                                                 2001 Standard for
                         with sodium                                                         Clean Agent Fire
                         bicarbonate                                                         Extinguishing
                         additive).                                                          Systems, for
                                                                                             whichever
                                                                                             hydrofluorocarbon
                                                                                             gas is employed.
                                                                                            Envirogel is listed
                                                                                             as a streaming
                                                                                             substitute under
                                                                                             the generic name
                                                                                             Gelled Halocarbon/
                                                                                             Dry Chemical
                                                                                             Suspension.
                                                                                             Envirogel was also
                                                                                             previously listed
                                                                                             as a total flooding
                                                                                             substitute under
                                                                                             the same generic
                                                                                             name.
                                                                                            EPA has found
                                                                                             Envirogel with the
                                                                                             ammonium
                                                                                             polyphosphate
                                                                                             additive and
                                                                                             Envirogel with the
                                                                                             sodium bicarbonate
                                                                                             additive to be
                                                                                             acceptable as total
                                                                                             flooding agents in
                                                                                             both occupied and
                                                                                             unoccupied areas.
                                                                                            See additional
                                                                                             comments 1, 2, 3,
                                                                                             4, 5
----------------------------------------------------------------------------------------------------------------
Additional comments:
1--Should conform to relevant OSHA requirements, including 29 CFR 1910, subpart L, Sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--Discharge testing should be strictly limited to that which is essential to meet safety or performance
  requirements.
4--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
5--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


[71 FR 56367, Sept. 27, 2006]



Sec. Appendix Q to Subpart G of Part 82--Unacceptable Substitutes Listed 
        in the March 28, 2007 Final Rule, Effective May 29, 2007

                                      Foam Blowing Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute                  Decision             Further information
----------------------------------------------------------------------------------------------------------------
--Rigid polyurethane commercial      HCFC-22, HCFC-142b as   Unacceptable \1\...........  Alternatives exist
 refrigeration.                       substitutes for HCFC-  Closed cell foam products     with lower or zero-
--Rigid polyurethane sandwich         141b.                   and products containing      ODP.
 panels.                                                      closed cell foams
--Rigid polyurethane slabstock and                            manufactured with these
 other foams.                                                 substitutes on or before
                                                              December 1, 2017 may be
                                                              used after that date.

[[Page 260]]

 
--Rigid polyurethane and             HCFC-22, HCFC-142b as   Unacceptable \2\...........  Alternatives exist
 polyisocyanurate laminated           substitutes for CFCs.  Closed cell foam products     with lower or zero-
 boardstock.                                                  and products containing      ODP.
--Rigid polyurethane appliance.....                           closed cell foams
--Rigid polyurethane spray and                                manufactured with these
 commercial refrigeration, and                                substitutes on or before
 sandwich panels.                                             December 1, 2017 may be
--Rigid polyurethane slabstock and                            used after that date.
 other foams.
--Polystyrene extruded insulation
 boardstock and billet.
--Phenolic insulation board and
 bunstock.
--Flexible polyurethane............
--Polystyrene extruded sheet.......
----------------------------------------------------------------------------------------------------------------
\1\ For existing users of HCFC-22 and HCFC-142b as of November 4, 2005 other than in marine applications, the
  unacceptability determination is effective on March 1, 2008; for existing users of HCFC-22 and HCFC-142b as of
  November 4, 2005 in marine applications, including marine flotation foam, the unacceptability determination is
  effective on September 1, 2009. For an existing user of HCFC-22 or HCFC-142b that currently operates in only
  one facility that it does not own, and is scheduled to transition to a non-ODS, flammable alternative to
  coincide with a move to a new facility and installation of new process equipment that cannot be completed by
  March 1, 2008, the unacceptability determination is effective January 1, 2010.
\2\ For existing users of HCFC-22 and HCFC-142b in polystyrene extruded insulation boardstock and billet and the
  other foam end-uses, as of November 4, 2005, the unacceptability determination is effective on January 1,
  2010.


[81 FR 86885, Dec. 1, 2016]

[[Page 261]]



  Sec. Appendix R to Subpart G of Part 82--Substitutes Subject to Use 
  Restrictions Listed in the December 20, 2011, Final Rule, Effective 
 February 21, 2012, in the April 10, 2015 Final Rule, Effective May 11, 
 2015, and in the August 8, 2018 Final Rule, Effective September 7, 2018

                            Substitutes That Are Acceptable Subject to Use Conditions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Further
             End-use                  Substitute           Decision         Use conditions        information
----------------------------------------------------------------------------------------------------------------
Household refrigerators,          Isobutane (R-600a)  Acceptable subject  As of September 7,  Applicable OSHA
 freezers, and combination        Propane (R-290)...   to use conditions.  2018:.              requirements at
 refrigerators and freezers (New  R-441A............                      These refrigerants   29 CFR part 1910
 equipment only).                                                          may be used only    must be followed,
                                                                           in new equipment    including those
                                                                           designed            at 29 CFR
                                                                           specifically and    1910.106
                                                                           clearly             (flammable and
                                                                           identified for      combustible
                                                                           the refrigerant     liquids),
                                                                           (i.e., none of      1910.110 (storage
                                                                           these substitutes   and handling of
                                                                           may be used as a    liquefied
                                                                           conversion or       petroleum gases),
                                                                           ``retrofit''        1910.157
                                                                           refrigerant for     (portable fire
                                                                           existing            extinguishers),
                                                                           equipment           and 1910.1000
                                                                           designed for a      (toxic and
                                                                           different           hazardous
                                                                           refrigerant).       substances).
                                                                          These refrigerants  Proper ventilation
                                                                           may be used only    should be
                                                                           in a refrigerator   maintained at all
                                                                           or freezer, or      times during the
                                                                           combination         manufacture and
                                                                           refrigerator and    storage of
                                                                           freezer, that       equipment
                                                                           meets all           containing
                                                                           requirements        hydrocarbon
                                                                           listed in the 2nd   refrigerants
                                                                           edition of the      through adherence
                                                                           Underwriters        to good
                                                                           Laboratories (UL)   manufacturing
                                                                           Standard for        practices as per
                                                                           Safety: Household   29 CFR 1910.106.
                                                                           and Similar         If refrigerant
                                                                           Electrical          levels in the air
                                                                           Appliances--Safet   surrounding the
                                                                           y--Part 2-24:       equipment rise
                                                                           Particular          above one-fourth
                                                                           Requirements for    of the lower
                                                                           Refrigerating       flammability
                                                                           Appliances, Ice-    limit, the space
                                                                           Cream Appliances    should be
                                                                           and Ice-Makers,     evacuated and re-
                                                                           UL 60335-2-24,      entry should
                                                                           dated April 28,     occur only after
                                                                           2017.               the space has
                                                                                               been properly
                                                                                               ventilated.
                                                                                              Technicians and
                                                                                               equipment
                                                                                               manufacturers
                                                                                               should wear
                                                                                               appropriate
                                                                                               personal
                                                                                               protective
                                                                                               equipment,
                                                                                               including
                                                                                               chemical goggles
                                                                                               and protective
                                                                                               gloves, when
                                                                                               handling these
                                                                                               refrigerants.
                                                                                               Special care
                                                                                               should be taken
                                                                                               to avoid contact
                                                                                               with the skin
                                                                                               since these
                                                                                               refrigerants,
                                                                                               like many
                                                                                               refrigerants, can
                                                                                               cause freeze
                                                                                               burns on the
                                                                                               skin.
                                                                                              A Class B dry
                                                                                               powder type fire
                                                                                               extinguisher
                                                                                               should be kept
                                                                                               nearby.
                                                                                              Technicians should
                                                                                               only use spark-
                                                                                               proof tools when
                                                                                               working on
                                                                                               refrigerators and
                                                                                               freezers with
                                                                                               these
                                                                                               refrigerants.
                                                                                              Any recovery
                                                                                               equipment used
                                                                                               should be
                                                                                               designed for
                                                                                               flammable
                                                                                               refrigerants.
                                                                                              Any refrigerant
                                                                                               releases should
                                                                                               be in a well-
                                                                                               ventilated area,
                                                                                               such as outside
                                                                                               of a building.
                                                                                              Only technicians
                                                                                               specifically
                                                                                               trained in
                                                                                               handling
                                                                                               flammable
                                                                                               refrigerants
                                                                                               should service
                                                                                               refrigerators and
                                                                                               freezers
                                                                                               containing these
                                                                                               refrigerants.
                                                                                               Technicians
                                                                                               should gain an
                                                                                               understanding of
                                                                                               minimizing the
                                                                                               risk of fire and
                                                                                               the steps to use
                                                                                               flammable
                                                                                               refrigerants
                                                                                               safely.

[[Page 262]]

 
Retail food refrigerators and     Isobutane (R-600a)  Acceptable subject  As provided in      Room occupants
 freezers (stand-alone units      Propane (R-290)...   to use conditions.  clauses SB6.1.2     should evacuate
 only).                           R-441A............                       to SB6.1.5 of UL    the space
(New equipment only)............                                           Standard 471,       immediately
                                                                           10th edition, the   following the
                                                                           following           accidental
                                                                           markings must be    release of this
                                                                           attached at the     refrigerant.
                                                                           locations          If a service port
                                                                           provided and must   is added then
                                                                           be permanent:       retail food
                                                                          (a) On or near any   refrigerators and
                                                                           evaporators that    freezers using
                                                                           can be contacted    these
                                                                           by the consumer:    refrigerants
                                                                           ``DANGER--Risk of   should have
                                                                           Fire or             service aperture
                                                                           Explosion.          fittings that
                                                                           Flammable           differ from
                                                                           Refrigerant Used.   fittings used in
                                                                           Do Not Use          equipment or
                                                                           Mechanical          containers using
                                                                           Devices To          non-flammable
                                                                           Defrost             refrigerant.
                                                                           Refrigerator. Do    ``Differ'' means
                                                                           Not Puncture        that either the
                                                                           Refrigerant         diameter differs
                                                                           Tubing.''.          by at least 1/16
                                                                          (b) Near the         inch or the
                                                                           machine             thread direction
                                                                           compartment:        is reversed
                                                                           ``DANGER--Risk of   (i.e., right-
                                                                           Fire or             handed vs. left-
                                                                           Explosion.          handed). These
                                                                           Flammable           different
                                                                           Refrigerant Used.   fittings should
                                                                           To Be Repaired      be permanently
                                                                           Only By Trained     affixed to the
                                                                           Service             unit at the point
                                                                           Personnel. Do Not   of service and
                                                                           Puncture            maintained until
                                                                           Refrigerant         the end-of-life
                                                                           Tubing.''.          of the unit, and
                                                                          (c) Near the         should not be
                                                                           machine             accessed with an
                                                                           compartment:        adaptor.
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion.
                                                                           Flammable
                                                                           Refrigerant Used.
                                                                           Consult Repair
                                                                           Manual/Owner's
                                                                           Guide Before
                                                                           Attempting To
                                                                           Service This
                                                                           Product. All
                                                                           Safety
                                                                           Precautions Must
                                                                           be Followed.''.
                                                                          (d) On the
                                                                           exterior of the
                                                                           refrigerator:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion.
                                                                           Dispose of
                                                                           Properly In
                                                                           Accordance With
                                                                           Federal Or Local
                                                                           Regulations.
                                                                           Flammable
                                                                           Refrigerant
                                                                           Used.''.
                                                                          (e) Near any and
                                                                           all exposed
                                                                           refrigerant
                                                                           tubing:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion Due To
                                                                           Puncture Of
                                                                           Refrigerant
                                                                           Tubing; Follow
                                                                           Handling
                                                                           Instructions
                                                                           Carefully.
                                                                           Flammable
                                                                           Refrigerant
                                                                           Used.''.
                                                                          All of these
                                                                           markings must be
                                                                           in letters no
                                                                           less than 6.4 mm
                                                                           (1/4 inch) high.
                                                                          The refrigerator
                                                                           or freezer must
                                                                           have red,
                                                                           Pantone[supreg]
                                                                           Matching System
                                                                           (PMS) 185 marked
                                                                           pipes, hoses, and
                                                                           other devices
                                                                           through which the
                                                                           refrigerant is
                                                                           serviced,
                                                                           typically known
                                                                           as the service
                                                                           port, to indicate
                                                                           the use of a
                                                                           flammable
                                                                           refrigerant. This
                                                                           color must be
                                                                           present at all
                                                                           service ports and
                                                                           where service
                                                                           puncturing or
                                                                           otherwise
                                                                           creating an
                                                                           opening from the
                                                                           refrigerant
                                                                           circuit to the
                                                                           atmosphere might
                                                                           be expected
                                                                           (e.g., process
                                                                           tubes). The color
                                                                           mark must extend
                                                                           at least 2.5
                                                                           centimeters (1
                                                                           inch) from the
                                                                           compressor and
                                                                           must be replaced
                                                                           if removed.

[[Page 263]]

 
Very low temperature              Ethane (R-170)....  Acceptable subject  This refrigerant    Applicable OSHA
 refrigeration.                                        to use conditions.  may be used only    requirements at
Non-mechanical heat transfer....                                           in new equipment    29 CFR part 1910
(New equipment only)............                                           specifically        must be followed,
                                                                           designed and        including those
                                                                           clearly             at 29 CFR 1910.94
                                                                           identified for      (ventilation) and
                                                                           the refrigerant     1910.106
                                                                           (i.e., the          (flammable and
                                                                           substitute may      combustible
                                                                           not be used as a    liquids),
                                                                           conversion or       1910.110 (storage
                                                                           ``retrofit''        and handling of
                                                                           refrigerant for     liquefied
                                                                           existing            petroleum gases),
                                                                           equipment           1910.157
                                                                           designed for        (portable fire
                                                                           other               extinguishers),
                                                                           refrigerants).      and 1910.1000
                                                                          This refrigerant     (toxic and
                                                                           may only be used    hazardous
                                                                           in equipment that   substances).
                                                                           meets all          Proper ventilation
                                                                           requirements in     should be
                                                                           Supplement SB to    maintained at all
                                                                           the 10th edition    times during the
                                                                           of the              manufacture and
                                                                           Underwriters        storage of
                                                                           Laboratories (UL)   equipment
                                                                           Standard for        containing
                                                                           Commercial          hydrocarbon
                                                                           Refrigerators and   refrigerants
                                                                           Freezers, UL 471,   through adherence
                                                                           dated November      to good
                                                                           24, 2010. In        manufacturing
                                                                           cases where the     practices as per
                                                                           final rule          29 CFR 1910.106.
                                                                           includes            If refrigerant
                                                                           requirements more   levels in the air
                                                                           stringent than      surrounding the
                                                                           those of the 10th   equipment rise
                                                                           edition of UL       above one-fourth
                                                                           471, the            of the lower
                                                                           appliance must      flammability
                                                                           meet the            limit, the space
                                                                           requirements of     should be
                                                                           the final rule in   evacuated and re-
                                                                           place of the        entry should
                                                                           requirements in     occur only after
                                                                           the UL Standard.    the space has
                                                                          The charge size      been properly
                                                                           for the equipment   ventilated.
                                                                           must not exceed    Technicians and
                                                                           150 g (5.29 oz)     equipment
                                                                           in each circuit..   manufacturers
                                                                                               should wear
                                                                                               appropriate
                                                                                               personal
                                                                                               protective
                                                                                               equipment,
                                                                                               including
                                                                                               chemical goggles
                                                                                               and protective
                                                                                               gloves, when
                                                                                               handling ethane.
                                                                                               Special care
                                                                                               should be taken
                                                                                               to avoid contact
                                                                                               with the skin
                                                                                               since ethane,
                                                                                               like many
                                                                                               refrigerants, can
                                                                                               cause freeze
                                                                                               burns on the
                                                                                               skin.
                                                                                              A Class B dry
                                                                                               powder type fire
                                                                                               extinguisher
                                                                                               should be kept
                                                                                               nearby.
                                                                                              Technicians should
                                                                                               only use spark-
                                                                                               proof tools when
                                                                                               working on
                                                                                               equipment with
                                                                                               flammable
                                                                                               refrigerants.
                                                                                              Any recovery
                                                                                               equipment used
                                                                                               should be
                                                                                               designed for
                                                                                               flammable
                                                                                               refrigerants.
                                                                                              Any refrigerant
                                                                                               releases should
                                                                                               be in a well-
                                                                                               ventilated area,
                                                                                               such as outside
                                                                                               of a building.
                                                                                              Only technicians
                                                                                               specifically
                                                                                               trained in
                                                                                               handling
                                                                                               flammable
                                                                                               refrigerants
                                                                                               should service
                                                                                               equipment
                                                                                               containing
                                                                                               ethane.
                                                                                               Technicians
                                                                                               should gain an
                                                                                               understanding of
                                                                                               minimizing the
                                                                                               risk of fire and
                                                                                               the steps to use
                                                                                               flammable
                                                                                               refrigerants
                                                                                               safely.

[[Page 264]]

 
Very low temperature              Ethane (R-170)....  Acceptable subject  As provided in      Room occupants
 refrigeration.                                        to use conditions.  clauses SB6.1.2     should evacuate
Non-mechanical heat transfer....                                           to SB6.1.5 of UL    the space
(New equipment only)............                                           Standard 471,       immediately
                                                                           10th edition, the   following the
                                                                           following           accidental
                                                                           markings must be    release of this
                                                                           attached at the     refrigerant.
                                                                           locations          If a service port
                                                                           provided and must   is added then
                                                                           be permanent:       refrigeration
                                                                          (a) On or near any   equipment using
                                                                           evaporators that    this refrigerant
                                                                           can be contacted    should have
                                                                           by the consumer:    service aperture
                                                                           ``DANGER--Risk of   fittings that
                                                                           Fire or             differ from
                                                                           Explosion.          fittings used in
                                                                           Flammable           equipment or
                                                                           Refrigerant Used.   containers using
                                                                           Do Not Use          non-flammable
                                                                           Mechanical          refrigerant.
                                                                           Devices To          ``Differ'' means
                                                                           Defrost             that either the
                                                                           Refrigerator. Do    diameter differs
                                                                           Not Puncture        by at least 1/16
                                                                           Refrigerant         inch or the
                                                                           Tubing.''.          thread direction
                                                                          (b) Near the         is reversed
                                                                           machine             (i.e., right-
                                                                           compartment:        handed vs. left-
                                                                           ``DANGER--Risk of   handed). These
                                                                           Fire or             different
                                                                           Explosion.          fittings should
                                                                           Flammable           be permanently
                                                                           Refrigerant Used.   affixed to the
                                                                           To Be Repaired      unit at the point
                                                                           Only By Trained     of service and
                                                                           Service             maintained until
                                                                           Personnel. Do Not   the end-of-life
                                                                           Puncture            of the unit, and
                                                                           Refrigerant         should not be
                                                                           Tubing.''.          accessed with an
                                                                          (c) Near the         adaptor.
                                                                           machine            Example of non-
                                                                           compartment:        mechanical heat
                                                                           ``CAUTION--Risk     transfer using
                                                                           of Fire or          this refrigerant
                                                                           Explosion.          would be use in a
                                                                           Flammable           secondary loop of
                                                                           Refrigerant Used.   a thermosiphon.
                                                                           Consult Repair
                                                                           Manual/Owner's
                                                                           Guide Before
                                                                           Attempting To
                                                                           Service This
                                                                           Product. All
                                                                           Safety
                                                                           Precautions Must
                                                                           be Followed.''.
                                                                          (d) On the
                                                                           exterior of the
                                                                           refrigerator:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion.
                                                                           Dispose of
                                                                           Properly In
                                                                           Accordance With
                                                                           Federal Or Local
                                                                           Regulations.
                                                                           Flammable
                                                                           Refrigerant
                                                                           Used.''.
                                                                          (e) Near any and
                                                                           all exposed
                                                                           refrigerant
                                                                           tubing:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion Due To
                                                                           Puncture Of
                                                                           Refrigerant
                                                                           Tubing; Follow
                                                                           Handling
                                                                           Instructions
                                                                           Carefully.
                                                                           Flammable
                                                                           Refrigerant
                                                                           Used.''.
                                                                          All of these
                                                                           markings must be
                                                                           in letters no
                                                                           less than 6.4 mm
                                                                           (1/4 inch) high.
                                                                          The refrigeration
                                                                           equipment must
                                                                           have red,
                                                                           Pantone[supreg]
                                                                           Matching System
                                                                           (PMS) 185 marked
                                                                           pipes, hoses, and
                                                                           other devices
                                                                           through which the
                                                                           refrigerant is
                                                                           serviced,
                                                                           typically known
                                                                           as the service
                                                                           port, to indicate
                                                                           the use of a
                                                                           flammable
                                                                           refrigerant. This
                                                                           color must be
                                                                           present at all
                                                                           service ports and
                                                                           where service
                                                                           puncturing or
                                                                           otherwise
                                                                           creating an
                                                                           opening from the
                                                                           refrigerant
                                                                           circuit to the
                                                                           atmosphere might
                                                                           be expected
                                                                           (e.g., process
                                                                           tubes). The color
                                                                           mark must extend
                                                                           at least 2.5
                                                                           centimeters (1
                                                                           inch) from the
                                                                           compressor and
                                                                           must be replaced
                                                                           if removed.

[[Page 265]]

 
Vending Machines................  Isobutane (R-600a)  Acceptable subject  These refrigerants  Applicable OSHA
(New equipment only)............  Propane (R-290)...   to use conditions.  may be used only    requirements at
                                  R-441A............                       in new equipment    29 part 1910 must
                                                                           specifically        be followed,
                                                                           designed and        including those
                                                                           clearly             at 29 CFR 1910.94
                                                                           identified for      (ventilation) and
                                                                           the refrigerants    1910.106
                                                                           (i.e., none of      (flammable and
                                                                           these substitutes   combustible
                                                                           may be used as a    liquids),
                                                                           conversion or       1910.110 (storage
                                                                           ``retrofit''        and handling of
                                                                           refrigerant for     liquefied
                                                                           existing            petroleum gases),
                                                                           equipment           1910.157
                                                                           designed for        (portable fire
                                                                           other               extinguishers),
                                                                           refrigerants).      and 1910.1000
                                                                          Detaching and        (toxic and
                                                                           replacing the old   hazardous
                                                                           refrigeration       substances).
                                                                           circuit from the   Proper ventilation
                                                                           outer casing of     should be
                                                                           the equipment       maintained at all
                                                                           with a new one      times during the
                                                                           containing a new    manufacture and
                                                                           evaporator,         storage of
                                                                           condenser, and      equipment
                                                                           refrigerant         containing
                                                                           tubing within the   hydrocarbon
                                                                           old casing is       refrigerants
                                                                           considered          through adherence
                                                                           ``new'' equipment   to good
                                                                           and not a           manufacturing
                                                                           retrofit of the     practices as per
                                                                           old, existing       29 CFR 1910.106.
                                                                           equipment.          If refrigerant
                                                                          These substitutes    levels in the air
                                                                           may only be used    surrounding the
                                                                           in equipment that   equipment rise
                                                                           meets all           above one-fourth
                                                                           requirements in     of the lower
                                                                           Supplement SA to    flammability
                                                                           the 7th edition     limit, the space
                                                                           of the              should be
                                                                           Underwriters        evacuated and re-
                                                                           Laboratories (UL)   entry should
                                                                           Standard for        occur only after
                                                                           Refrigerated        the space has
                                                                           Vending Machines,   been properly
                                                                           UL 541, dated       ventilated.
                                                                           December, 2011.    Technicians and
                                                                           In cases where      equipment
                                                                           the final rule      manufacturers
                                                                           includes            should wear
                                                                           requirements more   appropriate
                                                                           stringent than      personal
                                                                           those of the 7th    protective
                                                                           edition of UL       equipment,
                                                                           541, the            including
                                                                           appliance must      chemical goggles
                                                                           meet the            and protective
                                                                           requirements of     gloves, when
                                                                           the final rule in   handling these
                                                                           place of the        refrigerants.
                                                                           requirements in     Special care
                                                                           the UL Standard.    should be taken
                                                                          The charge size      to avoid contact
                                                                           for vending         with the skin
                                                                           machines must not   since these
                                                                           exceed 150 g        refrigerants,
                                                                           (5.29 oz) in each   like many
                                                                           circuit.            refrigerants, can
                                                                                               cause freeze
                                                                                               burns on the
                                                                                               skin.
                                                                                              A Class B dry
                                                                                               powder type fire
                                                                                               extinguisher
                                                                                               should be kept
                                                                                               nearby.
                                                                                              Technicians should
                                                                                               only use spark-
                                                                                               proof tools when
                                                                                               working on
                                                                                               refrigeration
                                                                                               equipment with
                                                                                               flammable
                                                                                               refrigerants.
                                                                                              Any recovery
                                                                                               equipment used
                                                                                               should be
                                                                                               designed for
                                                                                               flammable
                                                                                               refrigerants.
                                                                                              Any refrigerant
                                                                                               releases should
                                                                                               be in a well-
                                                                                               ventilated area,
                                                                                               such as outside
                                                                                               of a building.
                                                                                              Only technicians
                                                                                               specifically
                                                                                               trained in
                                                                                               handling
                                                                                               flammable
                                                                                               refrigerants
                                                                                               should service
                                                                                               refrigeration
                                                                                               equipment
                                                                                               containing these
                                                                                               refrigerants.
                                                                                               Technicians
                                                                                               should gain an
                                                                                               understanding of
                                                                                               minimizing the
                                                                                               risk of fire and
                                                                                               the steps to use
                                                                                               flammable
                                                                                               refrigerants
                                                                                               safely.

[[Page 266]]

 
Vending Machines................  Isobutane (R-600a)  Acceptable subject  As provided in      Room occupants
(New equipment only)............  Propane (R-290)      to use conditions.  clauses SA6.1.2     should evacuate
                                  R-441A............                       to SA6.1.5 of UL    the space
                                                                           Standard 541, 7th   immediately
                                                                           edition, the        following the
                                                                           following           accidental
                                                                           markings must be    release of this
                                                                           attached at the     refrigerant.
                                                                           locations          If a service port
                                                                           provided and must   is added then
                                                                           be permanent:       refrigeration
                                                                          (a) On or near any   equipment using
                                                                           evaporators that    this refrigerant
                                                                           can be contacted    should have
                                                                           by the consumer:    service aperture
                                                                           ``DANGER--Risk of   fittings that
                                                                           Fire or             differ from
                                                                           Explosion.          fittings used in
                                                                           Flammable           equipment or
                                                                           Refrigerant Used.   containers using
                                                                           Do Not Use          non-flammable
                                                                           Mechanical          refrigerant.
                                                                           Devices To          ``Differ'' means
                                                                           Defrost             that either the
                                                                           Refrigerator. Do    diameter differs
                                                                           Not Puncture        by at least 1/16
                                                                           Refrigerant         inch or the
                                                                           Tubing.''.          thread direction
                                                                          (b) Near the         is reversed
                                                                           machine             (i.e., right-
                                                                           compartment:        handed vs. left-
                                                                           ``DANGER--Risk of   handed). These
                                                                           Fire or             different
                                                                           Explosion.          fittings should
                                                                           Flammable           be permanently
                                                                           Refrigerant Used.   affixed to the
                                                                           To Be Repaired      unit at the point
                                                                           Only By Trained     of service and
                                                                           Service             maintained until
                                                                           Personnel. Do Not   the end-of-life
                                                                           Puncture            of the unit, and
                                                                           Refrigerant         should not be
                                                                           Tubing.''.          accessed with an
                                                                          (c) Near the         adaptor.
                                                                           machine
                                                                           compartment:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion.
                                                                           Flammable
                                                                           Refrigerant Used.
                                                                           Consult Repair
                                                                           Manual/Owner's
                                                                           Guide Before
                                                                           Attempting To
                                                                           Service This
                                                                           Product. All
                                                                           Safety
                                                                           Precautions Must
                                                                           be Followed.''.
                                                                          (d) On the
                                                                           exterior of the
                                                                           refrigerator:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion.
                                                                           Dispose of
                                                                           Properly In
                                                                           Accordance With
                                                                           Federal Or Local
                                                                           Regulations.
                                                                           Flammable
                                                                           Refrigerant
                                                                           Used.''.
                                                                          (e) Near any and
                                                                           all exposed
                                                                           refrigerant
                                                                           tubing:
                                                                           ``CAUTION--Risk
                                                                           of Fire or
                                                                           Explosion Due To
                                                                           Puncture Of
                                                                           Refrigerant
                                                                           Tubing; Follow
                                                                           Handling
                                                                           Instructions
                                                                           Carefully.
                                                                           Flammable
                                                                           Refrigerant
                                                                           Used.''.
                                                                          All of these
                                                                           markings must be
                                                                           in letters no
                                                                           less than 6.4 mm
                                                                           (1/4 inch) high.
                                                                          The refrigeration
                                                                           equipment must
                                                                           have red,
                                                                           Pantone[supreg]
                                                                           Matching System
                                                                           (PMS) 185 marked
                                                                           pipes, hoses, and
                                                                           other devices
                                                                           through which the
                                                                           refrigerant is
                                                                           serviced,
                                                                           typically known
                                                                           as the service
                                                                           port, to indicate
                                                                           the use of a
                                                                           flammable
                                                                           refrigerant. This
                                                                           color must be
                                                                           present at all
                                                                           service ports and
                                                                           where service
                                                                           puncturing or
                                                                           otherwise
                                                                           creating an
                                                                           opening from the
                                                                           refrigerant
                                                                           circuit to the
                                                                           atmosphere might
                                                                           be expected
                                                                           (e.g., process
                                                                           tubes). The color
                                                                           mark must extend
                                                                           at least 2.5
                                                                           centimeters (1
                                                                           inch) from the
                                                                           compressor and
                                                                           must be replaced
                                                                           if removed.

[[Page 267]]

 
Residential and light-commercial  HFC-32............  Acceptable subject  These refrigerants  Applicable OSHA
 air conditioning and heat        Propane (R-290)...   to use conditions.  may be used only    requirements at
 pumps--self-contained room air   R-441A............                       in new equipment    29 CFR part 1910
 conditioners only.                                                        specifically        must be followed,
(New equipment only)............                                           designed and        including those
                                                                           clearly             at 29 CFR 1910.94
                                                                           identified for      (ventilation) and
                                                                           the refrigerants    1910.106
                                                                           (i.e., none of      (flammable and
                                                                           these substitutes   combustible
                                                                           may be used as a    liquids),
                                                                           conversion or       1910.110 (storage
                                                                           ``retrofit''        and handling of
                                                                           refrigerant for     liquefied
                                                                           existing            petroleum gases),
                                                                           equipment           1910.157
                                                                           designed for        (portable fire
                                                                           other               extinguishers),
                                                                           refrigerants)       and 1910.1000
                                                                          These refrigerants   (toxic and
                                                                           may only be used    hazardous
                                                                           in equipment that   substances).
                                                                           meets all          Proper ventilation
                                                                           requirements in     should be
                                                                           Supplement SA and   maintained at all
                                                                           Appendices B        times during the
                                                                           through F of the    manufacture and
                                                                           8th edition of      storage of
                                                                           the Underwriters    equipment
                                                                           Laboratories (UL)   containing
                                                                           Standard for Room   hydrocarbon
                                                                           Air Conditioners,   refrigerants
                                                                           UL 484, dated       through adherence
                                                                           August 3, 2012.     to good
                                                                           In cases where      manufacturing
                                                                           the final rule      practices as per
                                                                           includes            29 CFR 1910.106.
                                                                           requirements more   If refrigerant
                                                                           stringent than      levels in the air
                                                                           those of the 8th    surrounding the
                                                                           edition of UL       equipment rise
                                                                           484, the            above one-fourth
                                                                           appliance must      of the lower
                                                                           meet the            flammability
                                                                           requirements of     limit, the space
                                                                           the final rule in   should be
                                                                           place of the        evacuated and re-
                                                                           requirements in     entry should
                                                                           the UL Standard.    occur only after
                                                                          The charge size      the space has
                                                                           for the entire      been properly
                                                                           air conditioner     ventilated.
                                                                           must not exceed    Technicians and
                                                                           the maximum         equipment
                                                                           refrigerant mass    manufacturers
                                                                           determined          should wear
                                                                           according to        appropriate
                                                                           Appendix F of UL    personal
                                                                           484, 8th edition    protective
                                                                           for the room size   equipment,
                                                                           where the air       including
                                                                           conditioner is      chemical goggles
                                                                           used. The charge    and protective
                                                                           size for these      gloves, when
                                                                           three               handling these
                                                                           refrigerants must   refrigerants.
                                                                           in no case exceed   Special care
                                                                           7,960 g (280.8 oz   should be taken
                                                                           or 17.55 lb) of     to avoid contact
                                                                           HFC-32; 1,000 g     with the skin
                                                                           (35.3 oz or 2.21    since these
                                                                           lbs) of propane;    refrigerants,
                                                                           or 1,000 g (35.3    like many
                                                                           oz or 2.21 lb) of   refrigerants, can
                                                                           R-441A. For         cause freeze
                                                                           portable air        burns on the
                                                                           conditioners, the   skin.
                                                                           charge size must   A Class B dry
                                                                           in no case exceed   powder type fire
                                                                           2,450 g (80.0 oz    extinguisher
                                                                           or 5.0 lb) of HFC-  should be kept
                                                                           32; 300 g (10.6     nearby.
                                                                           oz or 0.66 lbs)    Technicians should
                                                                           of propane; or      only use spark-
                                                                           330 g (11.6 oz or   proof tools when
                                                                           0.72 lb) of R-      working on air
                                                                           441A. The           conditioning
                                                                           manufacturer must   equipment with
                                                                           design a charge     flammable
                                                                           size for the        refrigerants.
                                                                           entire air         Any recovery
                                                                           conditioner that    equipment used
                                                                           does not exceed     should be
                                                                           the amount          designed for
                                                                           specified for the   flammable
                                                                           unit's cooling      refrigerants.
                                                                           capacity, as       Any refrigerant
                                                                           specified in        releases should
                                                                           Table A, B, C, D,   be in a well-
                                                                           or E of this        ventilated area,
                                                                           Appendix.           such as outside
                                                                                               of a building.
                                                                                              Only technicians
                                                                                               specifically
                                                                                               trained in
                                                                                               handling
                                                                                               flammable
                                                                                               refrigerants
                                                                                               should service
                                                                                               refrigeration
                                                                                               equipment
                                                                                               containing these
                                                                                               refrigerants.
                                                                                               Technicians
                                                                                               should gain an
                                                                                               understanding of
                                                                                               minimizing the
                                                                                               risk of fire and
                                                                                               the steps to use
                                                                                               flammable
                                                                                               refrigerants
                                                                                               safely.

[[Page 268]]

 
Residential and light-commercial  HFC-32............  Acceptable subject  As provided in      Room occupants
 air conditioning and heat        Propane (R-290)      to use conditions.  clauses SA6.1.2     should evacuate
 pumps--self-contained room air   R-441A............                       to SA6.1.5 of UL    the space
 conditioners only.                                                        484, 8th edition,   immediately
(New equipment only)............                                           the following       following the
                                                                           markings must be    accidental
                                                                           attached at the     release of this
                                                                           locations           refrigerant.
                                                                           provided and must  If a service port
                                                                           be permanent:.      is added then air
                                                                          (a) On the outside   conditioning
                                                                           of the air          equipment using
                                                                           conditioner:        this refrigerant
                                                                           ``DANGER--Risk of   should have
                                                                           Fire or             service aperture
                                                                           Explosion.          fittings that
                                                                           Flammable           differ from
                                                                           Refrigerant Used.   fittings used in
                                                                           To Be Repaired      equipment or
                                                                           Only By Trained     containers using
                                                                           Service             non-flammable
                                                                           Personnel. Do Not   refrigerant.
                                                                           Puncture            ``Differ'' means
                                                                           Refrigerant         that either the
                                                                           Tubing.''.          diameter differs
                                                                          (b) On the outside   by at least 1/16
                                                                           of the air          inch or the
                                                                           conditioner:        thread direction
                                                                           ``CAUTION--Risk     is reversed
                                                                           of Fire or          (i.e., right-
                                                                           Explosion.          handed vs. left-
                                                                           Dispose of          handed). These
                                                                           Properly In         different
                                                                           Accordance With     fittings should
                                                                           Federal Or Local    be permanently
                                                                           Regulations.        affixed to the
                                                                           Flammable           unit at the point
                                                                           Refrigerant         of service and
                                                                           Used.''.            maintained until
                                                                          (c) On the inside    the end-of-life
                                                                           of the air          of the unit, and
                                                                           conditioner near    should not be
                                                                           the compressor:     accessed with an
                                                                           ``CAUTION--Risk     adaptor.
                                                                           of Fire or         Air conditioning
                                                                           Explosion.          equipment in this
                                                                           Flammable           category
                                                                           Refrigerant Used.   includes:
                                                                           Consult Repair     Window air
                                                                           Manual/Owner's      conditioning
                                                                           Guide Before        units.
                                                                           Attempting To      Portable room air
                                                                           Service This        conditioners.
                                                                           Product. All       Packaged terminal
                                                                           Safety              air conditioners
                                                                           Precautions Must    and heat pumps.
                                                                           be Followed.''.
                                                                          (d) On the outside
                                                                           of each portable
                                                                           air conditioner:
                                                                           ``WARNING:
                                                                           Appliance hall be
                                                                           installed,
                                                                           operated and
                                                                           stored in a room
                                                                           with a floor area
                                                                           larger the ``X''
                                                                           m\2\ (Y ft\2\).''
                                                                           The value ``X''
                                                                           on the label must
                                                                           be determined
                                                                           using the minimum
                                                                           room size in m\2\
                                                                           calculated using
                                                                           Appendix F of UL
                                                                           484, 8th edition.
                                                                           For R-441A, use a
                                                                           lower
                                                                           flammability
                                                                           limit of 0.041 kg/
                                                                           m\3\ in
                                                                           calculations in
                                                                           Appendix F of UL
                                                                           484, 8th edition.
                                                                          All of these
                                                                           markings must be
                                                                           in letters no
                                                                           less than 6.4 mm
                                                                           (1/4 inch) high.
                                                                          The air
                                                                           conditioning
                                                                           equipment must
                                                                           have red,
                                                                           Pantone[supreg]
                                                                           Matching System
                                                                           (PMS) 185 marked
                                                                           pipes, hoses, and
                                                                           other devices
                                                                           through which the
                                                                           refrigerant is
                                                                           serviced,
                                                                           typically known
                                                                           as the service
                                                                           port, to indicate
                                                                           the use of a
                                                                           flammable
                                                                           refrigerant. This
                                                                           color must be
                                                                           present at all
                                                                           service ports and
                                                                           where service
                                                                           puncturing or
                                                                           otherwise
                                                                           creating an
                                                                           opening from the
                                                                           refrigerant
                                                                           circuit to the
                                                                           atmosphere might
                                                                           be expected
                                                                           (e.g., process
                                                                           tubes). The color
                                                                           mark must extend
                                                                           at least 2.5
                                                                           centimeters (1
                                                                           inch) from the
                                                                           compressor and
                                                                           must be replaced
                                                                           if removed.
----------------------------------------------------------------------------------------------------------------
Note: The use conditions in this appendix contain references to certain standards from Underwriters Laboratories
  Inc. (UL). The standards are incorporated by reference, and the referenced sections are made part of the
  regulations in part 82:
1. UL 471. Commercial Refrigerators and Freezers. 10th edition. Supplement SB: Requirements for Refrigerators
  and Freezers Employing a Flammable Refrigerant in the Refrigerating System. Underwriters Laboratories, Inc.
  November 24, 2010.
2. UL 484. Room Air Conditioners. 8th edition. Supplement SA: Requirements for Room Air Conditioners Employing a
  Flammable Refrigerant in the Refrigerating System and Appendices B through F. December 21, 2007, with changes
  through August 3, 2012.
3. UL 541. Refrigerated Vending Machines. 7th edition. Supplement SA: Requirements for Refrigerated Venders
  Employing a Flammable Refrigerant in the Refrigerating System. December 30, 2011.
4. UL Standard 60335-2-24. Standard for Safety: Requirements for Household and Similar Electrical Appliances,--
  Safety--Part 2-24: Particular Requirements for Refrigerating Appliances, Ice-Cream Appliances and Ice-Makers,
  Second edition, dated April 28, 2017.

    The Director of the Federal Register approves the incorporation by 
reference of the material under ``Use Conditions'' in the table 
``SUBSTITUTES THAT ARE ACCEPTABLE

[[Page 269]]

SUBJECT TO USE CONDITIONS'' (5 U.S.C. 552(a) and 1 CFR part 51). Copies 
of UL Standards 471, 484, 541, and 60335-2-24, may be purchased by mail 
at: COMM 2000, 151 Eastern Avenue, Bensenville, IL 60106; Email: 
[email protected]; Telephone: 1-888-853-3503 in the U.S. or 
Canada (other countries dial 1-415-352-2178); internet address: http://
www.shopulstandards.com/Catalog.aspx.
    You may inspect a copy at U.S. EPA's Air Docket; EPA West Building, 
Room 3334; 1301 Constitution Ave. NW, Washington, DC or at the National 
Archives and Records Administration (NARA). For questions regarding 
access to these standards, the telephone number of EPA'S Air Docket is 
202-566-1742. For information on the availability of this material at 
NARA, call 202-741-6030, or go to: https://www.archives.gov/federal-
register/cfr/ibr-locations.html.

[[Page 270]]

[GRAPHIC] [TIFF OMITTED] TR10AP15.002


[[Page 271]]


[GRAPHIC] [TIFF OMITTED] TR10AP15.003


[80 FR 19491, Apr. 10, 2015, as amended at 83 FR 38975, Aug. 8, 2018]



   Sec. Appendix S to Subpart G of Part 82--Substitutes Listed in the 
       September 19, 2012 Final Rule, Effective December 18, 2012.

[[Page 272]]



             Fire Suppression and Explosion Protection Sector--Acceptable Subject To Use Conditions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Further
             End-Use                  Substitute           Decision           Conditions          information
----------------------------------------------------------------------------------------------------------------
Total Flooding..................  Powdered Aerosol F  Acceptable subject  For use only in     Use of this agent
                                   (KSA[supreg]) as    to use conditions.  normally            should be in
                                   a substitute for                        unoccupied areas.   accordance with
                                   Halon 1301.                                                 the safety
                                                                                               guidelines in the
                                                                                               latest edition of
                                                                                               the NFPA 2010
                                                                                               standard for
                                                                                               Aerosol
                                                                                               Extinguishing
                                                                                               Systems.
                                                                                              For establishments
                                                                                               filling,
                                                                                               installing,
                                                                                               servicing, using,
                                                                                               or disposing of
                                                                                               containers or
                                                                                               systems to be
                                                                                               used in total
                                                                                               flooding
                                                                                               applications, EPA
                                                                                               recommends the
                                                                                               following:
                                                                                              --appropriate
                                                                                               protective
                                                                                               clothing (e.g.,
                                                                                               goggles,
                                                                                               particulate
                                                                                               removing
                                                                                               respirators, and
                                                                                               gloves) should be
                                                                                               worn during the
                                                                                               installation and
                                                                                               maintenance of
                                                                                               the extinguishing
                                                                                               units filled with
                                                                                               the agent or
                                                                                               during clean up
                                                                                               and disposal of
                                                                                               this agent;
                                                                                              --training should
                                                                                               be provided to
                                                                                               all employees
                                                                                               that would be
                                                                                               likely to handle
                                                                                               containers of the
                                                                                               agent or
                                                                                               extinguishing
                                                                                               units filled with
                                                                                               the agent,
                                                                                               required to clean
                                                                                               up after
                                                                                               discharge or
                                                                                               required to work
                                                                                               near spaces
                                                                                               protected by
                                                                                               Powdered Aerosol
                                                                                               F.
                                                                                              Releases in all
                                                                                               settings should
                                                                                               be limited to an
                                                                                               appropriate
                                                                                               design
                                                                                               concentration for
                                                                                               the protected
                                                                                               space so that
                                                                                               increased blood
                                                                                               pH level would
                                                                                               not adversely
                                                                                               affect exposed
                                                                                               individuals.
                                                                                              Exposed
                                                                                               individuals
                                                                                               should be given
                                                                                               an electrolyte
                                                                                               solution to drink
                                                                                               afterwards to
                                                                                               restore the pH
                                                                                               within the
                                                                                               appropriate
                                                                                               range.
                                                                                              Each extinguisher
                                                                                               should be clearly
                                                                                               labeled with the
                                                                                               potential hazards
                                                                                               from use and safe
                                                                                               handling
                                                                                               procedures.
                                                                                              In the case of an
                                                                                               accidental spill,
                                                                                               the area should
                                                                                               be well-
                                                                                               ventilated, and
                                                                                               workers should
                                                                                               wear protective
                                                                                               equipment while
                                                                                               following good
                                                                                               industrial
                                                                                               hygiene practices
                                                                                               for clean-up and
                                                                                               disposal.
                                                                                              See additional
                                                                                               comments 1, 2, 3,
                                                                                               4.

[[Page 273]]

 
Total Flooding..................  Powdered Aerosol G  Acceptable subject  For use only in     Use of this agent
                                   (Dry Sprinkler      to use conditions.  normally            should be in
                                   Powdered Aerosol                        unoccupied areas.   accordance with
                                   (DSPA) Fixed                                                the safety
                                   Generators) as a                                            guidelines in the
                                   substitute for                                              latest edition of
                                   Halon 1301.                                                 the NFPA 2010
                                                                                               standard for
                                                                                               Aerosol
                                                                                               Extinguishing
                                                                                               Systems.
                                                                                              For establishments
                                                                                               filling,
                                                                                               installing,
                                                                                               servicing, using
                                                                                               or disposing of
                                                                                               generator units
                                                                                               or systems in
                                                                                               total flooding
                                                                                               applications, EPA
                                                                                               recommends the
                                                                                               appropriate
                                                                                               protective
                                                                                               clothing (e.g.,
                                                                                               goggles,
                                                                                               particulate
                                                                                               removing
                                                                                               respirators, and
                                                                                               gloves) should be
                                                                                               worn during the
                                                                                               installation and
                                                                                               maintenance of
                                                                                               the extinguishing
                                                                                               units filled with
                                                                                               the agent or
                                                                                               during clean up
                                                                                               and disposal of
                                                                                               this agent.
                                                                                              Powdered Aerosol G
                                                                                               should be
                                                                                               collected by hand
                                                                                               (e.g., with a
                                                                                               dustpan and
                                                                                               duster or a
                                                                                               vacuum cleaner);
                                                                                               waste should be
                                                                                               collected in
                                                                                               suitable drums
                                                                                               for disposal and
                                                                                               the area should
                                                                                               be washed clean
                                                                                               with sufficient
                                                                                               quantities of
                                                                                               water; and
                                                                                               training should
                                                                                               be provided to
                                                                                               all employees
                                                                                               that would be
                                                                                               likely to handle
                                                                                               the agent or
                                                                                               generator units
                                                                                               filled containing
                                                                                               the agent,
                                                                                               required to clean
                                                                                               up after
                                                                                               discharge or
                                                                                               required to work
                                                                                               near spaces
                                                                                               protected by
                                                                                               Powdered Aerosol
                                                                                               G fixed generator
                                                                                               total flooding
                                                                                               systems.
                                                                                              In accordance with
                                                                                               Department of
                                                                                               Health and Human
                                                                                               Services
                                                                                               regulations (42
                                                                                               CFR Part 84),
                                                                                               safety glasses
                                                                                               and a NIOSH/CDC-
                                                                                               approved N99
                                                                                               respirator are
                                                                                               required for
                                                                                               individuals
                                                                                               installing
                                                                                               Powdered Aerosol
                                                                                               G fixed systems.
                                                                                              Each generator
                                                                                               unit should be
                                                                                               clearly labeled
                                                                                               with the
                                                                                               potential hazards
                                                                                               from use and safe
                                                                                               handling
                                                                                               procedures.
                                                                                              In the case of an
                                                                                               accidental
                                                                                               discharge, the
                                                                                               area should be
                                                                                               well-ventilated,
                                                                                               and workers
                                                                                               should wear
                                                                                               protective
                                                                                               equipment while
                                                                                               following good
                                                                                               industrial
                                                                                               hygiene practices
                                                                                               for clean-up and
                                                                                               disposal.
                                                                                              See additional
                                                                                               comments 1, 2, 3,
                                                                                               4.
----------------------------------------------------------------------------------------------------------------
Additional comments:
1--Should conform to relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
4--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


[77 FR 58043, Sept. 19, 2012;

[[Page 274]]



Sec. Appendix T to Subpart G of Part 82--Substitutes listed in the April 
              29, 2013 Final Rule, effective May 29, 2013.

           Fire Suppression and Explosion Protection Sector--Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
                                                                                                    Further
             End-use                  Substitute           Decision           Conditions          Information
----------------------------------------------------------------------------------------------------------------
Streaming.......................  C7 Fluoro-ketone    Acceptable subject  For use only in     Use of this agent
                                   as a substitute     to narrowed use     non-residential     should be in
                                   for Halon 1211.     limits.             applications.       accordance with
                                                                                               the latest
                                                                                               edition of NFPA
                                                                                               Standard 10 for
                                                                                               Portable Fire
                                                                                               Extinguishers.
                                                                                              For operations
                                                                                               that fill
                                                                                               canisters to be
                                                                                               used in streaming
                                                                                               applications, EPA
                                                                                               recommends the
                                                                                               following:
                                                                                              --Adequate
                                                                                               ventilation
                                                                                               should be in
                                                                                               place;
                                                                                              --All spills
                                                                                               should be cleaned
                                                                                               up immediately in
                                                                                               accordance with
                                                                                               good industrial
                                                                                               hygiene
                                                                                               practices; and
                                                                                              --Training for
                                                                                               safe handling
                                                                                               procedures should
                                                                                               be provided to
                                                                                               all employees
                                                                                               that would be
                                                                                               likely to handle
                                                                                               containers of the
                                                                                               agent or
                                                                                               extinguishing
                                                                                               units filled with
                                                                                               the agent.
                                                                                              See additional
                                                                                               comments 1, 2, 3,
                                                                                               4.
----------------------------------------------------------------------------------------------------------------
Additional comments:
1--Should conform to relevant OSHA requirements, including 29 CFR 1910, Subpart L, Sections 1910.160 and
  1910.162.
2--Per OSHA requirements, protective gear (SCBA) should be available in the event personnel should reenter the
  area.
3--The agent should be recovered from the fire protection system in conjunction with testing or servicing, and
  recycled for later use or destroyed.
4--EPA has no intention of duplicating or displacing OSHA coverage related to the use of personal protective
  equipment (e.g., respiratory protection), fire protection, hazard communication, worker training or any other
  occupational safety and health standard with respect to halon substitutes.


[78 FR 25002, Apr. 29, 2013]



 Sec. Appendix U to Subpart G of Part 82--Unacceptable Substitutes and 
  Substitutes Subject to Use Restrictions Listed in the July 20, 2015 
                  Final Rule, Effective August 19, 2015

                                       Aerosols--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
           End-use                    Substitute                 Decision               Further information
----------------------------------------------------------------------------------------------------------------
Propellants.................  HFC-125..................  Unacceptable as of        HFC-125 has a Chemical
                                                          January 1, 2016.          Abstracts Service Registry
                                                                                    Number (CAS Reg. No.) of 354-
                                                                                    33-6 and it is also known by
                                                                                    the name 1,1,1,2,2-
                                                                                    pentafluoropropane. HFC-125
                                                                                    has a GWP of 3,500. Other
                                                                                    substitutes will be
                                                                                    available for this end-use
                                                                                    with lower overall risk to
                                                                                    human health and the
                                                                                    environment by the status
                                                                                    change date.
                                                                                   Products using this
                                                                                    propellant that are
                                                                                    manufactured prior to
                                                                                    January 1, 2016 may be sold,
                                                                                    imported, exported,
                                                                                    distributed and used after
                                                                                    that date.
Propellants.................  HFC-134a.................  Unacceptable as of July   HFC-134a has a Chemical
                                                          20, 2016, except uses     Abstracts Service Registry
                                                          listed as acceptable,     Number (CAS Reg. No.) of 811-
                                                          subject to use            97-2 and it is also known by
                                                          conditions.               the name 1,1,1,2-
                                                                                    tetrafluoropropane. HFC-134a
                                                                                    has a GWP of 1,430. Other
                                                                                    substitutes will be
                                                                                    available for this end-use
                                                                                    with lower overall risk to
                                                                                    human health and the
                                                                                    environment by the status
                                                                                    change date.
                                                                                   Products using this
                                                                                    propellant that are
                                                                                    manufactured prior to July
                                                                                    20, 2016 may be sold,
                                                                                    imported, exported,
                                                                                    distributed and used after
                                                                                    that date.

[[Page 275]]

 
Propellants.................  HFC-227ea and blends of    Unacceptable as of July   HFC-227ea has a Chemical
                               HFC-134a and HFC-227ea.    20, 2016, except uses     Abstracts Service Registry
                                                          listed as acceptable,     Number (CAS Reg. No.) of 431-
                                                          subject to use            89-0 and it is also known by
                                                          conditions.               the name 1,1,1,2,3,3,3-
                                                                                    heptafluoropropane. HFC-134a
                                                                                    has a Chemical Abstracts
                                                                                    Service Registry Number (CAS
                                                                                    Reg. No.) of 811-97-2 and it
                                                                                    is also known by the name
                                                                                    1,1,1,2-tetrafluoropropane.
                                                                                   HFC-227ea and HFC-134a have
                                                                                    GWPs of 3,220 and 1,430,
                                                                                    respectively. Other
                                                                                    substitutes will be
                                                                                    available for this end-use
                                                                                    with lower overall risk to
                                                                                    human health and the
                                                                                    environment by the status
                                                                                    change date.
                                                                                   Products using these
                                                                                    propellants that are
                                                                                    manufactured prior to July
                                                                                    20, 2016 may be sold,
                                                                                    imported, exported,
                                                                                    distributed and used after
                                                                                    that date.
Propellants.................  HCFC-22 and HCFC-142b....  Unacceptable effective    Use or introduction into
                                                          September 18, 2015.       interstate commerce of
                                                                                    virgin HCFC-22 and HCFC-142b
                                                                                    for aerosols is prohibited
                                                                                    as of January 1, 2010 under
                                                                                    EPA's regulations at 40 CFR
                                                                                    part 82 subpart A. These
                                                                                    propellants have ozone
                                                                                    depletion potentials of
                                                                                    0.055 and 0.065,
                                                                                    respectively.
Solvents....................  HCFC-141b and blends       Unacceptable effective    Use or introduction into
                               thereof.                   September 18, 2015.       interstate commerce of
                                                                                    virgin HCFC-141b for
                                                                                    aerosols is prohibited as of
                                                                                    January 1, 2015 under EPA's
                                                                                    regulations at 40 CFR part
                                                                                    82 subpart A. HCFC-141b has
                                                                                    an ozone depletion potential
                                                                                    of 0.11.
----------------------------------------------------------------------------------------------------------------


                                Substitutes Acceptable Subject To Use Conditions
----------------------------------------------------------------------------------------------------------------
                                                                                                    Further
       End-use               Substitute            Decision             Use conditions            information
----------------------------------------------------------------------------------------------------------------
Propellants..........  HFC-134a.............  Acceptable         The classes of products       HFC-134a has a
                                               subject to use     listed below are acceptable   Chemical
                                               conditions.        for use from July 20, 2016    Abstracts
                                                                  through December 31, 2017     Service Registry
                                                                  and are unacceptable          Number (CAS Reg.
                                                                  thereafter.                   No.) of 811-97-2
                                                                  products    and it is also
                                                                  for functional testing of     known by the
                                                                  smoke detectors.              name 1,1,1,2-
                                                                  products    tetrafluoropropa
                                                                  for which new formulations    ne. HFC-134a has
                                                                  require governmental          a GWP of 1,430.
                                                                  review, including: EPA        Use is allowed
                                                                  pesticide registration,       for the
                                                                  approval for conformance      specified uses
                                                                  with military or space        because of the
                                                                  agency specifications, or     technical and
                                                                  FDA approval (other than      safety demands
                                                                  MDIs).                        in these
                                                                 The classes of products        applications.
                                                                  listed below are acceptable  Aerosol products
                                                                  for use and other uses are    using this
                                                                  unacceptable as of July 20,   propellant that
                                                                  2016:.                        are manufactured
                                                                  metered     prior to July
                                                                  dose inhalers approved by     20, 2016, may be
                                                                  the U.S. Food and Drug        sold, imported,
                                                                  Administration for medical    exported,
                                                                  purposes.                     distributed and
                                                                  cleaning    used after that
                                                                  products for removal of       date.
                                                                  grease, flux and other
                                                                  soils from electrical
                                                                  equipment or electronics.
                                                                 
                                                                  refrigerant flushes.
                                                                  products
                                                                  for sensitivity testing of
                                                                  smoke detectors.
                                                                 
                                                                  lubricants and freeze
                                                                  sprays for electrical
                                                                  equipment or electronics.

[[Page 276]]

 
                                                                  sprays
                                                                  for aircraft maintenance.
                                                                  sprays
                                                                  containing corrosion
                                                                  preventive compounds used
                                                                  in the maintenance of
                                                                  aircraft, electrical
                                                                  equipment or electronics,
                                                                  or military equipment..
                                                                 
                                                                  pesticides for use near
                                                                  electrical wires or in
                                                                  aircraft, in total release
                                                                  insecticide foggers, or in
                                                                  certified organic use
                                                                  pesticides for which EPA
                                                                  has specifically disallowed
                                                                  all other lower-GWP
                                                                  propellants..
                                                                  mold
                                                                  release agents and mold
                                                                  cleaners..
                                                                 
                                                                  lubricants and cleaners for
                                                                  spinnerettes for synthetic
                                                                  fabrics..
                                                                  duster
                                                                  sprays specifically for
                                                                  removal of dust from
                                                                  photographic negatives,
                                                                  semiconductor chips,
                                                                  specimens under electron
                                                                  microscopes, and energized
                                                                  electrical equipment..
                                                                  adhesives
                                                                  and sealants in large
                                                                  canisters..
                                                                  document
                                                                  preservation sprays..
                                                                  wound
                                                                  care sprays..
                                                                  topical
                                                                  coolant sprays for pain
                                                                  relief..
                                                                  products
                                                                  for removing bandage
                                                                  adhesives from skin..
Propellants..........  HFC-227ea and blends   Acceptable         Acceptable for use in         HFC-227ea has a
                        of HFC-227ea and HFC-  subject to use     metered dose inhalers         Chemical
                        134a.                  conditions.        approved by the U.S. Food     Abstracts
                                                                  and Drug Administration for   Service Registry
                                                                  medical purposes and          Number (CAS Reg.
                                                                  unacceptable for all other    No.) of 431-89-0
                                                                  uses as of July 20, 2016.     and it is also
                                                                                                known by the
                                                                                                name
                                                                                                1,1,1,2,3,3,3-
                                                                                                heptafluoropropa
                                                                                                ne. HFC-227ea
                                                                                                has a GWP of
                                                                                                3,220.
                                                                                               Aerosol products
                                                                                                using this
                                                                                                propellant that
                                                                                                are manufactured
                                                                                                prior to July
                                                                                                20, 2016 may be
                                                                                                sold, imported,
                                                                                                exported,
                                                                                                distributed and
                                                                                                used after that
                                                                                                date.
----------------------------------------------------------------------------------------------------------------


                          Refrigeration and Air Conditioning--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                       Substitute                 Decision           Further information
----------------------------------------------------------------------------------------------------------------
Retail food refrigeration           HFC-227ea, R-404A, R-407B,  Unacceptable as of     These refrigerants have
 (supermarket systems) (new).        R-421B, R-422A, R-422C, R-  January 1, 2017.       GWPs ranging from 2,729
                                     422D, R-428A, R-434A, R-                           to 3,985. Other
                                     507A.                                              substitutes will be
                                                                                        available for this end-
                                                                                        use with lower overall
                                                                                        risk to human health and
                                                                                        the environment by the
                                                                                        status change date.
Retail food refrigeration           R-404A, R-407B, R-421B, R-  Unacceptable as of     These refrigerants have
 (supermarket systems) (retrofit).   422A, R-422C, R-422D, R-    July 20, 2016.         GWPs ranging from 2,729
                                     428A, R-434A, R-507A.                              to 3,985. Other
                                                                                        substitutes will be
                                                                                        available for this end-
                                                                                        use with lower overall
                                                                                        risk to human health and
                                                                                        the environment by the
                                                                                        status change date.

[[Page 277]]

 
Retail food refrigeration (remote   HFC-227ea, R-404A, R-407B,  Unacceptable as of     These refrigerants have
 condensing units) (new).            R-421B, R-422A, R-422C, R-  January 1, 2018.       GWPs ranging from 2,729
                                     422D, R-428A, R-434A, R-                           to 3,985. Other
                                     507A.                                              substitutes will be
                                                                                        available for this end-
                                                                                        use with lower overall
                                                                                        risk to human health and
                                                                                        the environment by the
                                                                                        status change date.
Retail food refrigeration (remote   R-404A, R-407B, R-421B, R-  Unacceptable as of     These refrigerants have
 condensing units) (retrofit).       422A, R-422C, R-422D, R-    July 20, 2016.         GWPs ranging from 2,729
                                     428A, R-434A, R-507A.                              to 3,985. Other
                                                                                        substitutes will be
                                                                                        available for this end-
                                                                                        use with lower overall
                                                                                        risk to human health and
                                                                                        the environment by the
                                                                                        status change date.
Retail food refrigeration (stand-   FOR12A, FOR12B, HFC-134a,   Unacceptable as of     These refrigerants have
 alone medium-temperature units      HFC-227ea, KDD6, R-125/     January 1, 2019.       GWPs ranging from
 with a compressor capacity below    290/134a/600a (55.0/1.0/                           approximately 900 to
 2,200 Btu/hr and not containing a   42.5/1.5), R-404A, R-                              3,985. Other substitutes
 flooded evaporator) (new).          407A, R-407B, R-407C, R-                           will be available for
                                     407F, R-410A, R-410B, R-                           this end-use with lower
                                     417A, R-421A, R-421B, R-                           overall risk to human
                                     422A, R-422B, R-422C, R-                           health and the
                                     422D, R-424A, R-426A, R-                           environment by the
                                     428A, R-434A, R-437A, R-                           status change date.
                                     438A, R-507A, RS-24 (2002                          ``Medium-temperature''
                                     formulation), RS-44 (2003                          refers to equipment that
                                     formulation), SP34E, THR-                          maintains food or
                                     03.                                                beverages at
                                                                                        temperatures above 32
                                                                                        [deg]F (0 [deg]C).
Retail food refrigeration (stand-   FOR12A, FOR12B, HFC-134a,   Unacceptable as of     These refrigerants have
 alone medium-temperature units      HFC-227ea, KDD6, R-125/     January 1, 2020.       GWPs ranging from
 with a compressor capacity below    290/134a/600a (55.0/1.0/                           approximately 900 to
 2,200 Btu/hr and containing a       42.5/1.5), R-404A, R-                              3,985. Other substitutes
 flooded evaporator) (new).          407A, R-407B, R-407C, R-                           will be available for
                                     407F, R-410A, R-410B, R-                           this end-use with lower
                                     417A, R-421A, R-421B, R-                           overall risk to human
                                     422A, R-422B, R-422C, R-                           health and the
                                     422D, R-424A, R-426A, R-                           environment by the
                                     428A, R-434A, R-437A, R-                           status change date.
                                     438A, R-507A, RS-24 (2002                          ``Medium-temperature''
                                     formulation), RS-44 (2003                          refers to equipment that
                                     formulation), SP34E, THR-                          maintains food or
                                     03.                                                beverages at
                                                                                        temperatures above 32
                                                                                        [deg]F (0 [deg]C).
Retail food refrigeration (stand-   FOR12A, FOR12B, HFC-134a,   Unacceptable as of     These refrigerants have
 alone medium-temperature units      HFC-227ea, KDD6, R-125/     January 1, 2020.       GWPs ranging from
 with a compressor capacity equal    290/134a/600a (55.0/1.0/                           approximately 900 to
 to or greater than 2,200 Btu/hr)    42.5/1.5), R-404A, R-                              3,985. Other substitutes
 (new).                              407A, R-407B, R-407C, R-                           will be available for
                                     407F, R-410A, R-410B, R-                           this end-use with lower
                                     417A, R-421A, R-421B, R-                           overall risk to human
                                     422A, R-422B, R-422C, R-                           health and the
                                     422D, R-424A, R-426A, R-                           environment by the
                                     428A, R-434A, R-437A, R-                           status change date.
                                     438A, R-507A, RS-24 (2002                          ``Medium-temperature''
                                     formulation), RS-44 (2003                          refers to equipment that
                                     formulation), SP34E, THR-                          maintains food or
                                     03.                                                beverages at
                                                                                        temperatures above 32
                                                                                        [deg]F (0 [deg]C).
Retail food refrigeration (stand-   HFC-227ea, KDD6, R-125/290/ Unacceptable as of     These refrigerants have
 alone low-temperature units)        134a/600a (55.0/1.0/42.5/   January 1, 2020.       GWPs ranging from
 (new).                              1.5), R-404A, R-407A, R-                           approximately 1,800 to
                                     407B, R-407C, R-407F, R-                           3,985. Other substitutes
                                     410A, R-410B, R-417A, R-                           will be available for
                                     421A, R-421B, R-422A, R-                           this end-use with lower
                                     422B, R-422C, R-422D, R-                           overall risk to human
                                     424A, R-428A, R-434A, R-                           health and the
                                     437A, R-438A, R-507A, RS-                          environment by the
                                     44 (2003 formulation).                             status change date.
                                                                                        ``Low-temperature''
                                                                                        refers to equipment that
                                                                                        maintains food or
                                                                                        beverages at
                                                                                        temperatures at or below
                                                                                        32 [deg]F (0 [deg]C).
Retail food refrigeration (stand-   R-404A, R-507A............  Unacceptable as of     These refrigerants have
 alone units only) (retrofit).                                   July 20, 2016.         GWPs of approximately
                                                                                        3,922 and 3,985. Other
                                                                                        substitutes will be
                                                                                        available for this end-
                                                                                        use with lower overall
                                                                                        risk to human health and
                                                                                        the environment by the
                                                                                        status change date.
Vending machines (new only).......  FOR12A, FOR12B, HFC-134a,   Unacceptable as of     These refrigerants have
                                     KDD6, R-125/290/134a/600a   January 1, 2019.       GWPs ranging from
                                     (55.0/1.0/42.5/1.5), R-                            approximately 1,100 to
                                     404A, R-407C, R-410A, R-                           3,985. Other substitutes
                                     410B, R-417A, R-421A, R-                           will be available for
                                     422B, R-422C, R-422D, R-                           this end-use with lower
                                     426A, R-437A, R-438A, R-                           overall risk to human
                                     507A, RS-24 (2002                                  health and the
                                     formulation), SP34E.                               environment by the
                                                                                        status change date.
Vending machines (retrofit only)..  R-404A, R-507A............  Unacceptable as of     These refrigerants have
                                                                 July 20, 2016.         GWPs of approximately
                                                                                        3,922 and 3,985. Other
                                                                                        substitutes will be
                                                                                        available for this end-
                                                                                        use with lower overall
                                                                                        risk to human health and
                                                                                        the environment by the
                                                                                        status change date.
----------------------------------------------------------------------------------------------------------------


[[Page 278]]


                   Foam Blowing Agents--Substitutes Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
            End-use                Substitute         Decision       Narrowed use limits    Further information
----------------------------------------------------------------------------------------------------------------
Rigid Polyurethane: Appliance.  HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
                                 245fa, HFC-       Subject to        January 1, 2020,       document and retain
                                 365mfc and        Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.
Rigid Polyurethane: Commercial  HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 Refrigeration and Sandwich      245fa, HFC-       Subject to        January 1, 2020,       document and retain
 Panels.                         365mfc, and       Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.

[[Page 279]]

 
Flexible Polyurethane.........  HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
                                 245fa, HFC-       Subject to        January 1, 2017,       document and retain
                                 365mfc, and       Narrowed Use      until January 1,       the results of their
                                 blends thereof.   Limits.           2022, in military      technical
                                                                     applications and       investigation of
                                                                     until January 1,       alternatives for the
                                                                     2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                                           
                                                                                            Substitutes examined
                                                                                            and rejected;
                                                                                           
                                                                                            Reason for rejection
                                                                                            of other
                                                                                            alternatives, e.g.,
                                                                                            performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and projected time
                                                                                            for switching.
Rigid Polyurethane: Slabstock   HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 and Other.                      245fa, HFC-       Subject to        January 1, 2019,       document and retain
                                 365mfc and        Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.

[[Page 280]]

 
Rigid Polyurethane and          HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 Polyisocyanurate Laminated      245fa, HFC-       Subject to        January 1, 2017,       document and retain
 Boardstock.                     365mfc and        Narrowed Use      until January 1,       the results of their
                                 blends thereof.   Limits.           2022, in military      technical
                                                                     applications and       investigation of
                                                                     until January 1,       alternatives for the
                                                                     2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.
Rigid Polyurethane: Marine      HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 Flotation Foam.                 245fa, HFC-       Subject to        January 1, 2020,       document and retain
                                 365mfc and        Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.

[[Page 281]]

 
Polystyrene: Extruded Sheet...  HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
                                 245fa, HFC-       Subject to        January 1, 2017,       document and retain
                                 365mfc, and       Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.
Polystyrene: Extruded           HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 Boardstock and Billet.          245fa, HFC-       Subject to        January 1, 2021,       document and retain
                                 365mfc, and       Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 Formacel B, and                     until January 1,       alternatives for the
                                 Formacel Z-6.                       2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.

[[Page 282]]

 
Integral Skin Polyurethane....  HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
                                 245fa, HFC-       Subject to        January 1, 2017,       document and retain
                                 365mfc, and       Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                                           
                                                                                            Substitutes examined
                                                                                            and rejected;
                                                                                           
                                                                                            Reason for rejection
                                                                                            of other
                                                                                            alternatives, e.g.,
                                                                                            performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and projected time
                                                                                            for switching.
Polyolefin....................  HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
                                 245fa, HFC-       Subject to        January 1, 2020,       document and retain
                                 365mfc, and       Narrowed Use      until January 1,       the results of their
                                 blends thereof;   Limits.           2022, in military      technical
                                 Formacel TI,                        applications and       investigation of
                                 and Formacel Z-                     until January 1,       alternatives for the
                                 6.                                  2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.

[[Page 283]]

 
Phenolic Insulation Board and   HFC-143a, HFC-    Acceptable        Acceptable from        Users are required to
 Bunstock.                       134a, HFC-        Subject to        January 1, 2017,       document and retain
                                 245fa, HFC-       Narrowed Use      until January 1,       the results of their
                                 365mfc, and       Limits.           2022, in military      technical
                                 blends thereof.                     applications and       investigation of
                                                                     until January 1,       alternatives for the
                                                                     2025, in space- and    purpose of
                                                                     aeronautics-related    demonstrating
                                                                     applications where     compliance.
                                                                     reasonable efforts     Information should
                                                                     have been made to      include descriptions
                                                                     ascertain that other   of:
                                                                     alternatives are not  
                                                                     technically feasible   Process or product
                                                                     due to performance     in which the
                                                                     or safety              substitute is
                                                                     requirements.          needed;
                                                                    Closed cell foam       
                                                                     products and           Substitutes examined
                                                                     products containing    and rejected;
                                                                     closed cell foams     
                                                                     manufactured with      Reason for rejection
                                                                     these substitutes on   of other
                                                                     or before January 1,   alternatives, e.g.,
                                                                     2022, for military     performance,
                                                                     applications or on     technical or safety
                                                                     and before January     standards; and/or
                                                                     1, 2025, in space-    
                                                                     and aeronautics-       Anticipated date
                                                                     related                other substitutes
                                                                     applications, may be   will be available
                                                                     used after those       and projected time
                                                                     dates.                 for switching.
----------------------------------------------------------------------------------------------------------------


[[Page 284]]


                                            Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                        Substitute                Decision           Further information
----------------------------------------------------------------------------------------------------------------
All Foam Blowing End-uses............  HCFC-141b and blends     Unacceptable effective   HCFC-141b has an ozone
                                        thereof.                 September 18, 2015.      depletion potential of
                                                                 Closed cell foam         0.11 under the
                                                                 products and products    Montreal Protocol. EPA
                                                                 containing closed cell   previously found HCFC-
                                                                 foams manufactured       141b unacceptable in
                                                                 with these substitutes   all foam blowing end-
                                                                 on or before December    uses (appendix M to
                                                                 1, 2017 may be used      subpart G of 40 CFR
                                                                 after that date.         part 82). HCFC-141b
                                                                                          has an ozone depletion
                                                                                          potential (ODP) of
                                                                                          0.11.
All Foam Blowing end-uses............  HCFC-22, HCFC-142b, and  Unacceptable effective   Use or introduction
                                        blends thereof.          September 18, 2015.      into interstate
                                                                 Closed cell foam         commerce of virgin
                                                                 products and products    HCFC-22 and HCFC-142b
                                                                 containing closed cell   for foam blowing is
                                                                 foams manufactured       prohibited after
                                                                 with these substitutes   January 1, 2010 under
                                                                 on or before December    EPA's regulations at
                                                                 1, 2017 may be used      40 CFR part 82 subpart
                                                                 after that date.         A unless used,
                                                                                          recovered, and
                                                                                          recycled. These
                                                                                          compounds have ODPs of
                                                                                          0.055 and 0.065,
                                                                                          respectively.
Flexible Polyurethane................  HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
                                        HFC-365mfc, and blends   January 1, 2017,         agents have global
                                        thereof.                 except where allowed     warming potentials
                                                                 under a narrowed use     (GWPs) ranging from
                                                                 limit.                   725 to 1,430. Other
                                                                                          substitutes will be
                                                                                          available for this end-
                                                                                          use with lower overall
                                                                                          risk to human health
                                                                                          and the environment by
                                                                                          the status change
                                                                                          date.
Polystyrene: Extruded Sheet..........  HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
                                        HFC-365mfc, and blends   January 1, 2017,         agents have GWPs
                                        thereof; Formacel TI,    except where allowed     ranging from higher
                                        and Formacel Z-6.        under a narrowed use     than 370 to
                                                                 limit.                   approximately 1,500.
                                                                Closed cell foam          Other substitutes will
                                                                 products and products    be available for this
                                                                 containing closed cell   end-use with lower
                                                                 foams manufactured       overall risk to human
                                                                 with these substitutes   health and the
                                                                 on or before December    environment by the
                                                                 1, 2017 may be used      status change date.
                                                                 after that date.
Phenolic Insulation Board and          HFC-143a, HFC-134a, HFC- Unacceptable as of       These foam blowing
 Bunstock.                              245fa, HFC-365mfc, and   January 1, 2017,         agents have GWPs
                                        blends thereof.          except where allowed     ranging from 725 to
                                                                 under a narrowed use     4,470. Other
                                                                 limit.                   substitutes will be
                                                                Closed cell foam          available for this end-
                                                                 products and products    use with lower overall
                                                                 containing closed cell   risk to human health
                                                                 foams manufactured       and the environment by
                                                                 with these substitutes   the status change
                                                                 on or before December    date.
                                                                 1, 2017 may be used
                                                                 after that date.

[[Page 285]]

 
Integral Skin Polyurethane...........  HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
                                        HFC-365mfc, and blends   January 1, 2017,         agents have GWPs
                                        thereof; Formacel TI,    except where allowed     ranging from higher
                                        and Formacel Z-6.        under a narrowed use     than 370 to
                                                                 limit.                   approximately 1,500.
                                                                                          Other substitutes will
                                                                                          be available for this
                                                                                          end-use with lower
                                                                                          overall risk to human
                                                                                          health and the
                                                                                          environment by the
                                                                                          status change date.
Rigid Polyurethane: Slabstock and      HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 Other.                                 HFC-365mfc and blends    January 1, 2019,         agents have GWPs
                                        thereof; Formacel TI,    except where allowed     ranging from higher
                                        and Formacel Z-6.        under a narrowed use     than 370 to
                                                                 limit.                   approximately 1,500.
                                                                Closed cell foam          Other substitutes will
                                                                 products and products    be available for this
                                                                 containing closed cell   end-use with lower
                                                                 foams manufactured       overall risk to human
                                                                 with these substitutes   health and the
                                                                 on or before January     environment by the
                                                                 1, 2019, may be used     status change date.
                                                                 after that date.
Rigid Polyurethane and                 HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 Polyisocyanurate Laminated             HFC-365mfc and blends    January 1, 2017,         agents have GWPs
 Boardstock.                            thereof.                 except where allowed     ranging from 725 to
                                                                 under a narrowed use     1,430. Other
                                                                 limit.                   substitutes will be
                                                                Closed cell foam          available for this end-
                                                                 products and products    use with lower overall
                                                                 containing closed cell   risk to human health
                                                                 foams manufactured       and the environment by
                                                                 with these substitutes   the status change
                                                                 on or before December    date.
                                                                 1, 2017 may be used
                                                                 after that date.
Rigid Polyurethane: Marine Flotation   HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 Foam.                                  HFC-365mfc and blends    January 1, 2020 except   agents have GWPs
                                        thereof; Formacel TI,    where allowed under a    ranging from higher
                                        and Formacel Z-6.        narrowed use limit.      than 370 to
                                                                Closed cell foam          approximately 1,500.
                                                                 products and products    Other substitutes will
                                                                 containing closed cell   be available for this
                                                                 foams manufactured       end-use with lower
                                                                 with these substitutes   overall risk to human
                                                                 on or before January     health and the
                                                                 1, 2020, may be used     environment by the
                                                                 after that date.         status change date.
Rigid Polyurethane: Commercial         HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 Refrigeration and Sandwich Panels.     HFC-365mfc, and blends   January 1, 2020 except   agents have GWPs
                                        thereof; Formacel TI,    where allowed under a    ranging from higher
                                        and Formacel Z-6.        narrowed use limit.      than 370 to
                                                                Closed cell foam          approximately 1,500.
                                                                 products and products    Other substitutes will
                                                                 containing closed cell   be available for this
                                                                 foams manufactured       end-use with lower
                                                                 with these substitutes   overall risk to human
                                                                 on or before January     health and the
                                                                 1, 2020, may be used     environment by the
                                                                 after that date.         status change date.

[[Page 286]]

 
Rigid Polyurethane: Appliance........  HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
                                        HFC-365mfc and blends    January 1, 2020,         agents have GWPs
                                        thereof; Formacel TI,    except where allowed     ranging from higher
                                        and Formacel Z-6.        under a narrowed use     than 370 to
                                                                 limit.                   approximately 1,500.
                                                                Closed cell foam          Other substitutes will
                                                                 products and products    be available for this
                                                                 containing closed cell   end-use with lower
                                                                 foams manufactured       overall risk to human
                                                                 with these substitutes   health and the
                                                                 on or before January     environment by the
                                                                 1, 2020, may be used     status change date.
                                                                 after that date.
Polystyrene: Extruded Boardstock and   HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 Billet.                                HFC-365mfc, and blends   January 1, 2021,         agents have GWPs
                                        thereof; Formacel TI,    except where allowed     ranging from higher
                                        Formacel B, and          under a narrowed use     than 140 to
                                        Formacel Z-6.            limit.                   approximately 1,500.
                                                                Closed cell foam          Other substitutes will
                                                                 products and products    be available for this
                                                                 containing closed cell   end-use with lower
                                                                 foams manufactured       overall risk to human
                                                                 with these substitutes   health and the
                                                                 on or before January     environment by the
                                                                 1, 2021, may be used     status change date.
                                                                 after that date.
Polyolefin...........................  HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
                                        HFC-365mfc, and blends   January 1, 2020,         agents have GWPs
                                        thereof; Formacel TI,    except where allowed     ranging from higher
                                        and Formacel Z-6.        under a narrowed use     than 370 to
                                                                 limit.                   approximately 1,500.
                                                                Closed cell foam          Other substitutes will
                                                                 products and products    be available for this
                                                                 containing closed cell   end-use with lower
                                                                 foams manufactured       overall risk to human
                                                                 with these substitutes   health and the
                                                                 on or before January     environment by the
                                                                 1, 2020, may be used     status change date.
                                                                 after that date.
----------------------------------------------------------------------------------------------------------------


                   Fire Suppression and Explosion Protection Agents--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision             Further information
----------------------------------------------------------------------------------------------------------------
Total Flooding.....................  HCFC-22...............  Unacceptable effective  Use or introduction into
                                                              September 18, 2015.     interstate commerce of
                                                                                      virgin HCFC-22 for total
                                                                                      flooding fire suppression
                                                                                      and explosion protection
                                                                                      is prohibited as of
                                                                                      January 1, 2010 under
                                                                                      EPA's regulations at 40
                                                                                      CFR part 82 subpart A.
                                                                                      This chemical has an ozone
                                                                                      depletion potential of
                                                                                      0.055.
----------------------------------------------------------------------------------------------------------------


                                      Sterilants--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision             Further information
----------------------------------------------------------------------------------------------------------------
Sterilants.........................  Blends containing HCFC- Unacceptable effective  Use or introduction into
                                      22.                     September 18, 2015.     interstate commerce of
                                                                                      virgin HCFC-22 for
                                                                                      sterilants is prohibited
                                                                                      as of January 1, 2010
                                                                                      under EPA's regulations at
                                                                                      40 CFR part 82 subpart A.
                                                                                      This chemical has an ozone
                                                                                      depletion potential of
                                                                                      0.055.
----------------------------------------------------------------------------------------------------------------


[[Page 287]]


                             Adhesives, Coatings and Inks--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
              End-use                      Substitute               Decision             Further information
----------------------------------------------------------------------------------------------------------------
Adhesives, coatings and inks.......  HCFC-141b and blends    Unacceptable effective  Use or introduction into
                                      thereof.                September 18, 2015.     interstate commerce of
                                                                                      virgin HCFC-141b for
                                                                                      adhesives, coatings and
                                                                                      inks is prohibited as of
                                                                                      January 1, 2015 under
                                                                                      EPA's regulations at 40
                                                                                      CFR part 82 subpart A.
                                                                                      This chemical has an ozone
                                                                                      depletion potential of
                                                                                      0.11.
----------------------------------------------------------------------------------------------------------------


[80 FR 42953, July 20, 2015, as amended at 81 FR 86885, Dec. 1, 2016]

[[Page 288]]

     Appendix V to Subpart G of Part 82--Substitutes Subject to Use 
Restrictions and Unacceptable Substitutes Listed in the December 1, 2016 
                               Final Rule

                               Refrigerants--Acceptable Subject to Use Conditions
----------------------------------------------------------------------------------------------------------------
                                                                                                     Further
           End-use                Substitute        Decision             Use conditions            information
----------------------------------------------------------------------------------------------------------------
Commercial ice machines (self- Propane (R-290)  Acceptable,      As of January 3, 2017:          Applicable OSHA
 contained) (new only).                          subject to use  This refrigerant may be used     requirements
                                                 conditions.      only in new equipment           at 29 CFR part
                                                                  designed specifically and       1910 must be
                                                                  clearly identified for the      followed,
                                                                  refrigerant--i.e., this         including
                                                                  refrigerant may not be used     those at 29
                                                                  as a conversion or              CFR 1910.106
                                                                  ``retrofit'' refrigerant for    (flammable and
                                                                  existing equipment.             combustible
                                                                                                  liquids),
                                                                                                  1910.110
                                                                                                  (storage and
                                                                                                  handling of
                                                                                                  liquefied
                                                                                                  petroleum
                                                                                                  gases),
                                                                                                  1910.157
                                                                                                  (portable fire
                                                                                                  extinguishers)
                                                                                                  , and
                                                                                                  1910.1000
                                                                                                  (toxic and
                                                                                                  hazardous
                                                                                                  substances).
 
                                                                 This refrigerant may be used
                                                                  only in self-contained
                                                                  commercial ice machines that
                                                                  meet all requirements listed
                                                                  in Supplement SA to UL 563.1
                                                                  2 5 In cases where this rule
                                                                  includes requirements more
                                                                  stringent than those in UL
                                                                  563, the equipment must meet
                                                                  the requirements of the final
                                                                  rule in place of the
                                                                  requirements in the UL
                                                                  Standard.
 
                                                                 The charge size must not        Proper
                                                                  exceed 150g (5.29 oz) in each   ventilation
                                                                  refrigerant circuit of a        should be
                                                                  commercial ice machine.         maintainedatal
                                                                                                  ltimesduring
 
                                                                 As provided in clauses SA6.1.1   the
                                                                  and SA6.1.2 of UL 563, the      manufacture
                                                                  following markings must be      and storage of
                                                                  attached at the locations       equipment
                                                                  provided and must be            containing
                                                                  permanent:.                     hydrocarbonref
                                                                                                  rigerantsthrou
                                                                                                  gh
 
                                                                 (a) ``DANGER--Risk of Fire or    adherence to
                                                                  Explosion. Flammable            good
                                                                  Refrigerant Used. Do Not Use    manufacturing
                                                                  Mechanical Devices To Defrost   practices as
                                                                  Refrigerator. Do Not Puncture   per 29 CFR
                                                                  Refrigerant Tubing.'' This      1910.106. If
                                                                  marking must be provided on     refrigerant
                                                                  or near any evaporators that    levels in the
                                                                  can be contacted by the         air
                                                                  consumer.                       surrounding
                                                                                                  the
                                                                                                  equipmentrisea
                                                                                                  boveone-
 
                                                                 (b) ``DANGER--Risk of Fire or    fourth of the
                                                                  Explosion. Flammable            lower
                                                                  Refrigerant Used. To Be         flammability
                                                                  Repaired Only By Trained        limit, the
                                                                  Service Personnel. Do Not       space should
                                                                  Puncture Refrigerant            be evacuated
                                                                  Tubing.'' This marking must     and re-entry
                                                                  be located near the machine     should occur
                                                                  compartment.                    only after the
                                                                                                  space has been
                                                                                                  properly
                                                                                                  ventilated.
 
                                                                 (c) ``CAUTION--Risk of Fire or  ...............
                                                                  Explosion. Flammable           Technicians and
                                                                  Refrigerant Used. Consult       equipment
                                                                  Repair Manual/Owner's Guide     manufacturers
                                                                  Before Attempting To Service    should wear
                                                                  This Product. All Safety        appropriate
                                                                  Precautions Must be             personal
                                                                  Followed.'' This marking must   protec- tive
                                                                  be located near the machine     equipment,
                                                                  compartment.                    including
 
                                                                 (d) ``CAUTION--Risk of Fire or   chemical
                                                                  Explosion. Dispose of           goggles and
                                                                  Properly In Accordance With     protective
                                                                  Federal Or Local Regulations.   gloves, when
                                                                  Flammable Refrigerant Used.''   handling
                                                                  This marking must be provided   propane.
                                                                  on the exterior of the          Special care
                                                                  refrigeration equipment.        should be
                                                                                                  taken to avoid
                                                                                                  contact with

[[Page 289]]

 
 
                                                (e) ``CAUTION--   the skin since propane, like
                                                 Risk of Fire     many refrigerants, can cause
                                                 or Explosion     freeze burns on the skin..
                                                 Due To
                                                 Puncture Of
                                                 Refrigerant
                                                 Tubing; Follow
                                                 Handling
                                                 Instructions
                                                 Carefully.
                                                 Flammable
                                                 Refrigerant
                                                 Used.'' This
                                                 marking must
                                                 be provided
                                                 near all
                                                 exposed
                                                 refrigerant
                                                 tubing.
 
                                                                 All of these markings must be   A Class B dry
                                                                  in letters no less than 6.4     powder type
                                                                  mm (\1/4\ inch) high.           fire
                                                                 TheequipmentmusthaveredPantone   extinguisher
                                                                  MatchingSystem.                 should be kept
                                                                                                  nearby.
 
                                                                  (PMS) 185 marked pipes,       Technicians
                                                                  hoses, or other devices         should only
                                                                  through which the refrigerant   use spark-
                                                                  passes, to indicate the use     proof tools
                                                                  of a flammable refrigerant.     when working
                                                                  This color must be applied at   on equipment
                                                                  all service ports and other     with propane.
                                                                  parts of the system where      Any recovery
                                                                  service puncturing or other     equipment used
                                                                  actions creating an opening     should be
                                                                  from the refrigerant circuit    designed for
                                                                  to the atmosphere might be      flammable
                                                                  expected and must extend a      refrigerants.
                                                                  minimum of one (1) inch in     Any refrigerant
                                                                  both directions from such       releases
                                                                  locations.                      should be in a
                                                                                                  well-
                                                                                                  ventilated
                                                                                                  area, such as
                                                                                                  outside of a
                                                                                                  building.
                                                                                                 Only
                                                                                                  technicians
                                                                                                  specifically
                                                                                                  trained in
                                                                                                  handling
                                                                                                  flammable
                                                                                                  refrigerants
                                                                                                  should service
                                                                                                  equipment
                                                                                                  containing
                                                                                                  propane.
                                                                                                  Technicians
                                                                                                  should gain an
                                                                                                  understanding
                                                                                                  of minimizing
                                                                                                  the risk of
                                                                                                  fire and the
                                                                                                  steps to use
                                                                                                  flammable
                                                                                                  refrigerants
                                                                                                  safely.
                                                                                                 Room occupants
                                                                                                  should
                                                                                                  evacuate the
                                                                                                  space
                                                                                                  immediately
                                                                                                  following the
                                                                                                  accidental
                                                                                                  release of
                                                                                                  this
                                                                                                  refrigerant.
                                                                                                 If a service
                                                                                                  port is added
                                                                                                  then,
                                                                                                  commercial ice
                                                                                                  machines or
                                                                                                  equipment
                                                                                                  using propane
                                                                                                  should have
                                                                                                  service
                                                                                                  aperture
                                                                                                  fittings that
                                                                                                  differ from
                                                                                                  fittings used
                                                                                                  in equipment
                                                                                                  or containers
                                                                                                  using non-
                                                                                                  flammable
                                                                                                  refrigerant.
                                                                                                  ``Differ''
                                                                                                  means that
                                                                                                  either the
                                                                                                  diameter
                                                                                                  differs by at
                                                                                                  least \1/16\
                                                                                                  inch or the
                                                                                                  thread
                                                                                                  direction is
                                                                                                  reversed
                                                                                                  (i.e., right-
                                                                                                  handedvs.left-
                                                                                                  handed).

[[Page 290]]

 
                                                                                                  These
                                                                                                  different
                                                                                                  fittings
                                                                                                  should be
                                                                                                  permanently
                                                                                                  affixed to the
                                                                                                  unit at the
                                                                                                  point of
                                                                                                  service and
                                                                                                  maintained
                                                                                                  until the end-
                                                                                                  of-life of the
                                                                                                  unit, and
                                                                                                  should not be
                                                                                                  accessed with
                                                                                                  an adaptor.
Very low temperature           Propane (R-290)  Acceptable,      As of January 3, 2017:          Applicable OSHA
 refrigeration equipment (new                    subject to use  This refrigerant may be used     requirements
 only).                                          conditions.      only in new equipment           at 29 CFR part
                                                                  designed specifically and       1910 must be
                                                                  clearly identified for the      followed,
                                                                  refrigerant--i.e., this         including
                                                                  refrigerant may not be used     those at 29
                                                                  as a conversion or              CFR 1910.106
                                                                  ``retrofit'' refrigerant for    (flammable and
                                                                  existing equipment.             combustible
                                                                                                  liquids),
                                                                                                  1910.110
                                                                                                  (storage and
                                                                                                  handling of
                                                                                                  liquefied
                                                                                                  petroleum
                                                                                                  gases),
                                                                                                  1910.157
                                                                                                  (portable fire
                                                                                                  extinguishers)
                                                                                                  , and
                                                                                                  1910.1000
                                                                                                  (toxic and
                                                                                                  hazardous
                                                                                                  substances).
 
                                                                 This refrigerant may be used
                                                                  only in self-contained
                                                                  commercial ice machines that
                                                                  meet all requirements listed
                                                                  in Supplement SA to UL 563.1
                                                                  2 5 In cases where this rule
                                                                  includes requirements more
                                                                  stringent than those in UL
                                                                  563, the equipment must meet
                                                                  the requirements of the final
                                                                  rule in place of the
                                                                  requirements in the UL
                                                                  Standard.
 
                                                                 The charge size for the         Proper
                                                                  equipment must not exceed 150   ventilation
                                                                  grams (5.29 ounces) in each     should be
                                                                  refrigerant circuit of the      maintained at
                                                                  very low temperature            all times
                                                                  refrigeration equipment.        during
                                                                                                  themanufacture
                                                                                                  andstorage
 
                                                                 As provided in clauses SA6.1.1   of equipment
                                                                  and SA6.1.2 of UL 563, the      containing
                                                                  following markings must be      hydrocarbon
                                                                  attached at the locations       refrigerants
                                                                  provided and must be            through
                                                                  permanent:.                     adherencetogoo
                                                                                                  dmanufac-
 
                                                                 (a) ``DANGER--Risk of Fire or    turing
                                                                  Explosion. Flammable            practices as
                                                                  Refrigerant Used. Do Not Use    per 29 CFR
                                                                  Mechanical Devices To Defrost   1910.106. If
                                                                  Refrigerator. Do Not Puncture   refrigerant
                                                                  Refrigerant Tubing.'' This      levels in the
                                                                  marking must be provided on     air
                                                                  or near any evaporators that    surrounding
                                                                  can be contacted by the         the equipment
                                                                  consumer.                       rise above one-
                                                                                                  fourth of the
                                                                                                  lower
                                                                                                  flammability
 
                                                                 (b) ``DANGER--Risk of Fire or    limit, the
                                                                  Explosion. Flammable            space should
                                                                  Refrigerant Used. To Be         be evacuated
                                                                  Repaired Only By Trained        and re-entry
                                                                  Service Personnel. Do Not       should occur
                                                                  Puncture Refrigerant            only after the
                                                                  Tubing.'' This marking must     space has been
                                                                  be located near the machine     properly
                                                                  compartment.                    ventilated.
 
                                                                 (c) ``CAUTION--Risk of Fire or  Technicians and
                                                                  Explosion. Flammable            equipment
                                                                  Refrigerant Used. Consult       manufacturers
                                                                  Repair Manual/Owner's Guide     should wear
                                                                  Before Attempting To Service    appropriate
                                                                  This Product. All Safety        personal
                                                                  Precautions Must be             protective
                                                                  Followed.'' This marking must   equipment,
                                                                  be located near the machine     including
                                                                  compartment.                    chemicalgoggle
                                                                                                  sandprotec-

[[Page 291]]

 
 
                                                                 (d) ``CAUTION--Risk of Fire or   tive gloves,
                                                                  Explosion. Dispose of           when handling
                                                                  Properly In Accordance With     propane.
                                                                  Federal Or Local Regulations.   Special care
                                                                  Flammable Refrigerant Used.''   should be
                                                                  This marking must be provided   taken to avoid
                                                                  on the exterior of the          contact with
                                                                  refrigeration equipment.        the skin since
                                                                                                  propane, like
                                                                                                  many
                                                                                                  refrigerants,
                                                                                                  can cause
                                                                                                  freeze burns
                                                                                                  on the skin.
 
                                                                 (e) ``CAUTION--Risk of Fire or  A Class B dry
                                                                  Explosion Due To Puncture Of    powder type
                                                                  Refrigerant Tubing; Follow      fire
                                                                  Handling Instructions           extinguisher
                                                                  Carefully. Flammable            should be kept
                                                                  Refrigerant Used.'' This        nearby.
                                                                  marking must be provided near  Techniciansshou
                                                                  all exposed refrigerant         ldonlyuse
                                                                  tubing.
 
                                                                 All of these markings must be    spark-proof
                                                                  in letters no less than 6.4     tools when
                                                                  mm (\1/4\ inch) high.           work-
                                                                                                  ingonequipment
                                                                                                  withpro-
 
                                                                 The equipment must have red      pane.
                                                                  Pantone Matching System (PMS)  Any recovery
                                                                  185 marked pipes, hoses, or    equipment used
                                                                  other devices through which     should be
                                                                  the refrigerant passes, to      designed for
                                                                  indicate the use of a           flammable
                                                                  flammable refrigerant. This     refrigerants.
                                                                  color must be applied at all   Any refrigerant
                                                                  service ports and other parts   releases
                                                                  of the system where service     should be in a
                                                                  puncturing or other actions     well-
                                                                  creating an opening from the    ventilated
                                                                  refrigerant circuit to the      area, such as
                                                                  atmosphere might be expected    outside of a
                                                                  and must extend a minimum of    building.
                                                                  one (1) inch in both           Only
                                                                  directions from such            technicians
                                                                  locations.                      specifically
                                                                                                  trained in
                                                                                                  handling
                                                                                                  flammable
                                                                                                  refrigerants
                                                                                                  should service
                                                                                                  equipment
                                                                                                  containing
                                                                                                  propane.
                                                                                                  Technicians
                                                                                                  should gain an
                                                                                                  understanding
                                                                                                  of minimizing
                                                                                                  the risk of
                                                                                                  fire and the
                                                                                                  steps to use
                                                                                                  flammable
                                                                                                  refrigerants
                                                                                                  safely.
                                                                                                 Room occupants
                                                                                                  should
                                                                                                  evacuate the
                                                                                                  space
                                                                                                  immediately
                                                                                                  following the
                                                                                                  accidental
                                                                                                  release of
                                                                                                  this
                                                                                                  refrigerant.

[[Page 292]]

 
 
                                                                                                 If a service
                                                                                                  port is added
                                                                                                  then,
                                                                                                  commercial ice
                                                                                                  machines or
                                                                                                  equipment
                                                                                                  using propane
                                                                                                  should have
                                                                                                  service
                                                                                                  aperture
                                                                                                  fittings that
                                                                                                  differ from
                                                                                                  fittings used
                                                                                                  in equipment
                                                                                                  or containers
                                                                                                  using non-
                                                                                                  flammable
                                                                                                  refrigerant.
                                                                                                  ``Differ''
                                                                                                  means that
                                                                                                  either the
                                                                                                  diameter
                                                                                                  differs by at
                                                                                                  least \1/16\
                                                                                                  inch or the
                                                                                                  thread
                                                                                                  direction is
                                                                                                  reversed
                                                                                                  (i.e., right-
                                                                                                  handedvs.left-
                                                                                                  handed).
 
                                                                                                  These
                                                                                                  different
                                                                                                  fittings
                                                                                                  should be
                                                                                                  permanently
                                                                                                  affixed to the
                                                                                                  unit at the
                                                                                                  point of
                                                                                                  service and
                                                                                                  maintained
                                                                                                  until the end-
                                                                                                  of-life of the
                                                                                                  unit, and
                                                                                                  should not be
                                                                                                  accessed with
                                                                                                  an adaptor.
Water coolers (new only).....  Propane (R-290)  Acceptable,      As of January 3, 2017:          Applicable OSHA
                                                 subject to use  This refrigerant may be used     requirements
                                                 conditions.      only in new equipment           at 29 CFR part
                                                                  designed specifically and       1910 must be
                                                                  clearly identified for the      followed,
                                                                  refrigerant--i.e., this         including
                                                                  refrigerant may not be used     those at 29
                                                                  as a conversion or              CFR 1910.94
                                                                  ``retrofit'' refrigerant for    (ventilation)
                                                                  existing equipment.             and 1910.106
                                                                 This refrigerant may be used     (flammable and
                                                                  only in water coolers that      combustible
                                                                  meet all requirements listed    liquids),
                                                                  in Supplement SB to UL 399 1    1910.110
                                                                  2 3 In cases where the rule     (storage and
                                                                  includes requirements more      handling of
                                                                  stringent than those of the     liquefied
                                                                  UL 399, the appliance must      petroleum
                                                                  meet the requirements of the    gases),
                                                                  final rule in place of the      1910.157
                                                                  requirements in the UL          (portable fire
                                                                  Standard.                       extin-
                                                                                                  guishers),and1
                                                                                                  910.1000(toxic
                                                                                                  and hazardous
                                                                                                  substances).

[[Page 293]]

 
 
                                                                 The charge size must not        Proper
                                                                  exceed 60 grams (2.12 ounces)   ventilation
                                                                  per refrigerant circuit in      should be
                                                                  the water cooler.               maintained at
                                                                 The equipment must have red      all times
                                                                  PMS 185 marked pipes, hoses,   during the
                                                                  or other devices through        manufacture
                                                                  which the refrigerant passes,   and storage of
                                                                  to indicate the use of a        equipment
                                                                  flammable refrigerant. This     containing
                                                                  color must be applied at all    hydrocarbon
                                                                  service ports and other parts   refrigerants
                                                                  of the system where service     through
                                                                  puncturing or other actions     adherence to
                                                                  creating an opening from the    good
                                                                  refrigerant circuit to the      manufacturing
                                                                  atmosphere might be expected    practices as
                                                                  and must extend a minimum of    per 29 CFR
                                                                  one (1) inch in both            1910.106. If
                                                                  directions from such            refrigerant
                                                                  locations.                      levels in the
                                                                 As provided in clauses SB6.1.2   air
                                                                  to SB6.1.5 of UL 399, the       surrounding
                                                                  following markings must be      the equipment
                                                                  attached at the locations       rise above one-
                                                                  provided and must be            fourth of the
                                                                  permanent:.                     lower
                                                                 (a) ``DANGER--Risk of Fire or    flammability
                                                                  Explosion. Flammable            limit, the
                                                                  Refrigerant Used. Do Not Use    space should
                                                                  Mechanical Devices To Defrost   be evacuated
                                                                  Refrigerator.DoNotPunctureRef   and re-entry
                                                                  rigerantTubing.''This.          should occur
                                                                                                  only after the
                                                                                                  space has been
                                                                                                  properly
                                                                                                  ventilated.
                                                                                                 Technicians and
                                                                  marking must be provided on     equipment
                                                                  or near any evaporators that    manufacturers
                                                                  can be contacted by the         should wear
                                                                  consumer.                       appropriate
                                                                 (b) ``DANGER--Risk of Fire or    personal
                                                                  Explosion. Flammable            protective
                                                                  Refrigerant Used. To Be         equipment,
                                                                  Repaired Only By Trained        including
                                                                  Service Personnel. Do Not       chemical
                                                                  Puncture Refrigerant            goggles and
                                                                  Tubing.'' This marking must     protective
                                                                  be located near the machine     gloves, when
                                                                  compartment.                    handling
                                                                                                  propane.
                                                                                                  Special care
                                                                                                  should be
                                                                                                  taken to avoid
                                                                                                  contact with
                                                                                                  the skin since
                                                                                                  propane, like
                                                                                                  many
                                                                                                  refrigerants,
                                                                                                  can cause
                                                                                                  freeze burns
                                                                                                  on the skin.
 
                                                                 (c) ``CAUTION--Risk of Fire or  A Class B dry
                                                                  Explosion. Flammable            powder type
                                                                  Refrigerant Used. Consult       fire
                                                                  Repair Manual/Owner's Guide     extinguisher
                                                                  Before Attempting To Service    should be kept
                                                                  This Product. All Safety        nearby.
                                                                  Precautions Must be            Technicians
                                                                  Followed.'' This marking must   should only
                                                                  be located near the machine     use spark-
                                                                  compartment.                    prooftoolswhen
                                                                                                  work-
 
                                                                 (d) ``CAUTION--Risk of Fire or   ing on
                                                                  Explosion. Dispose of           equipment with
                                                                  Properly In Accordance With     flammable
                                                                  Federal Or Local Regulations.   refrigerants.
                                                                  Flammable Refrigerant Used.''  Any recovery
                                                                  This marking must be provided   equipment used
                                                                  on the exterior of the          shouldbedesign
                                                                  refrigeration equipment.        edforflam-

[[Page 294]]

 
 
                                                                 (e) ``CAUTION--Risk of Fire or   mable
                                                                  Explosion Due To Puncture Of    refrigerants.
                                                                  Refrigerant Tubing; Follow     Any refrigerant
                                                                  Handling Instructions           releases
                                                                  Carefully. Flammable            should be in a
                                                                  Refrigerant Used.'' This        well-
                                                                  marking must be provided near   ventilated
                                                                  all exposed refrigerant         area, such as
                                                                  tubing.                         outside of a
                                                                                                  building.
                                                                                                 Only
                                                                                                  technicians
                                                                                                  specifically
                                                                                                  trained in
                                                                                                  handling
                                                                                                  flammable
                                                                                                  refrigerants
                                                                                                  should service
                                                                                                  equipment
                                                                                                  containing
                                                                                                  propane.
                                                                                                  Technicians
                                                                                                  should gain an
                                                                                                  understanding
                                                                                                  of minimizing
                                                                                                  the risk of
                                                                                                  fire and the
                                                                                                  steps to use
                                                                                                  flammable
                                                                                                  refrigerants
                                                                                                  safely.
 
                                                                                                 ...............
                                                                                                 Room occupants
                                                                                                  should
                                                                                                  evacuate the
                                                                                                  space
                                                                                                  immediately
                                                                                                  following the
                                                                                                  accidental
                                                                                                  release of
                                                                                                  this
                                                                                                  refrigerant.
                                                                                                 If a service
                                                                                                  port is added,
                                                                                                  then water
                                                                                                  coolers or
                                                                                                  equipment
                                                                                                  using propane
                                                                                                  should have
                                                                                                  service
                                                                                                  aperture
                                                                                                  fittings that
                                                                                                  differ from
                                                                                                  fittings used
                                                                                                  in equipment
                                                                                                  or containers
                                                                                                  using non-
                                                                                                  flammablerefri
                                                                                                  gerant.

[[Page 295]]

 
                                                                                                  ``Differ''
                                                                                                  means that
                                                                                                  either the
                                                                                                  diameter
                                                                                                  differs by at
                                                                                                  least \1/16\
                                                                                                  inch or the
                                                                                                  thread
                                                                                                  direction is
                                                                                                  reversed
                                                                                                  (i.e., right-
                                                                                                  handed vs.
                                                                                                  left-
                                                                                                  handed).Thesed
                                                                                                  ifferent
                                                                                                  fittings
                                                                                                  should be
                                                                                                  permanently
                                                                                                  affixed to the
                                                                                                  unit at the
                                                                                                  point of
                                                                                                  service and
                                                                                                  maintained
                                                                                                  until the end-
                                                                                                  of-life of the
                                                                                                  unit, and
                                                                                                  should not be
                                                                                                  accessed with
                                                                                                  an adaptor.
----------------------------------------------------------------------------------------------------------------
\1\ The Director of the Federal Register approves this incorporation by reference (5 U.S.C. 552(a) and 1 CFR
  part 51). You may inspect a copy at U.S. EPA's Air and Radiation Docket; EPA West Building, Room 3334, 1301
  Constitution Ave. NW., Washington, DC or at the National Archives and Records Administration (NARA). For
  questions regarding access to these standards, the telephone number of EPA's Air and Radiation Docket is 202-
  566-1742. 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\ You may obtain the material from: Underwriters Laboratories Inc. (UL) COMM 2000; 151 Eastern Avenue,
  Bensenville, IL 60106; [email protected]; 1- 888-853-3503 in the U.S. or Canada (other countries dial +1-
  415- 352-2168); http://ulstandards.ul.com/ or www.comm-2000.com.
\3\ UL 399, Standard for Safety: DrinkingWater Coolers.--Supplement SB: Requirements for Drinking Water Coolers
  Employing a Flammable Refrigerant in the Refrigerating System, 7th edition, Dated August 22, 2008, including
  revisions through October 17, 2013.
\4\ UL 471, Standard for Safety: Commercial Refrigerators and Freezers--Supplement SB: Requirements for
  Refrigerators and Freezers Employing a Flammable Refrigerant in the Refrigerating System, 10th edition, Dated
  November 24, 2010.
\5\ UL 563, Standard for Safety: Ice Makers.--Supplement SA: Requirements for Ice Makers Employing a Flammable
  Refrigerant in the Refrigerating System, 8th edition, Dated July 31, 2009, including revisions through
  November 29, 2013.


                       Refrigerants--Substitutes Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
            End-use                Substitutes        Decision       Narrowed use limits    Further information
----------------------------------------------------------------------------------------------------------------
Centrifugal chillers (new       HFC-134a........  Acceptable        Acceptable after       Users are required to
 only).                                            subject to        January 1, 2024,       document and retain
                                                   narrowed use      only in military       the results of their
                                                   limits.           marine vessels where   technical
                                                                     reasonable efforts     investigation of
                                                                     have been made to      alternatives for the
                                                                     ascertain that other   purpose of
                                                                     alternatives are not   demonstrating
                                                                     technically feasible   compliance.
                                                                     due to performance     Information should
                                                                     or safety              include descriptions
                                                                     requirements.          of:
                                                                                           
                                                                                            Application in which
                                                                                            the substitute is
                                                                                            needed;
                                                                                           
                                                                                            Substitutes examined
                                                                                            and rejected;
                                                                                           
                                                                                            Reason for rejection
                                                                                            of other
                                                                                            alternatives, e.g.,
                                                                                            performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and qualified and
                                                                                            projected time for
                                                                                            switching.

[[Page 296]]

 
Centrifugal chillers (new       HFC-134a and R-   Acceptable        Acceptable after       Users are required to
 only).                          404A.             subject to        January 1, 2024,       document and retain
                                                   narrowed use      only in human-rated    the results of their
                                                   limits.           spacecraft and         technical
                                                                     related support        investigation of
                                                                     equipment where        alternatives for the
                                                                     reasonable efforts     purpose of
                                                                     have been made to      demonstrating
                                                                     ascertain that other   compliance.
                                                                     alternatives are not   Information should
                                                                     technically feasible   include descriptions
                                                                     due to performance     of:
                                                                     or safety             
                                                                     requirements.          Application in which
                                                                                            the substitute is
                                                                                            needed;
                                                                                           
                                                                                            Substitutes examined
                                                                                            and rejected;
                                                                                           
                                                                                            Reason for rejection
                                                                                            of other
                                                                                            alternatives, e.g.,
                                                                                            performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and qualified and
                                                                                            projected time for
                                                                                            switching.
Positive displacement chillers  HFC-134a........  Acceptable        Acceptable after       Users are required to
 (new only).                                       subject to        January 1, 2024,       document and retain
                                                   narrowed use      only in military       the results of their
                                                   limits.           marine vessels where   technical
                                                                     reasonable efforts     investigation of
                                                                     have been made to      alternatives for the
                                                                     ascertain that other   purpose of
                                                                     alternatives are not   demonstrating
                                                                     technically feasible   compliance.
                                                                     due to performance     Information should
                                                                     or safety              include descriptions
                                                                     requirements.          of:
                                                                                           
                                                                                            Application in which
                                                                                            the substitute is
                                                                                            needed;
                                                                                           
                                                                                            Substitutes examined
                                                                                            and rejected;
                                                                                           
                                                                                            Reason for rejection
                                                                                            of other
                                                                                            alternatives, e.g.,
                                                                                            performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and qualified and
                                                                                            projected time for
                                                                                            switching.

[[Page 297]]

 
Positive displacement chillers  HFC-134a and R-   Acceptable        Acceptable after       Users are required to
 (new only).                     404A.             subject to        January 1, 2024,       document and retain
                                                   narrowed use      only in human-rated    the results of their
                                                   limits.           spacecraft and         technical
                                                                     related support        investigation of
                                                                     equipment where        alternatives for the
                                                                     reasonable efforts     purpose of
                                                                     have been made to      demonstrating
                                                                     ascertain that other   compliance.
                                                                     alternatives are not   Information should
                                                                     technically feasible   include descriptions
                                                                     due to performance     of:
                                                                     or safety             
                                                                     requirements.          Application in which
                                                                                            the substitute is
                                                                                            needed;
                                                                                           
                                                                                            Substitutes examined
                                                                                            and rejected;
                                                                                           
                                                                                            Reason for rejection
                                                                                            of other
                                                                                            alternatives, e.g.,
                                                                                            performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and qualified and
                                                                                            projected time for
                                                                                            switching.
----------------------------------------------------------------------------------------------------------------


[[Page 298]]


                                     Refrigerants--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                       Substitutes                Decision           Further information
----------------------------------------------------------------------------------------------------------------
Centrifugal chillers (new only)......  FOR12A, FOR12B, HFC-     Unacceptable as of       These refrigerants have
                                        134a, HFC-227ea, HFC-    January 1, 2024 except   GWPs ranging from
                                        236fa, HFC-245fa, R-     where allowed under a    approximately 900 to
                                        125/134a/600a (28.1/70/  narrowed use limit.      9,810. Other
                                        1.9), R-125/290/134a/                             alternatives will be
                                        600a (55.0/1.0/42.5/                              available for this end-
                                        1.5), R-404A, R-407C,                             use with lower overall
                                        R-410A, R-410B, R-                                risk to human health
                                        417A, R-421A, R-422B,                             and the environment by
                                        R-422C, R-422D, R-                                the status change
                                        423A, R-424A, R-434A,                             date.
                                        R-438A, R-507A, RS-44
                                        (2003 composition),
                                        and THR-03.
Centrifugal chillers (new only)......  Propylene (R-1270) and   Unacceptable as of       These refrigerants are
                                        R-443A.                  January 3, 2017.         highly photochemically
                                                                                          reactive in the lower
                                                                                          atmosphere and may
                                                                                          deteriorate local air
                                                                                          quality (that is, may
                                                                                          increase ground level
                                                                                          ozone). Other
                                                                                          alternatives are
                                                                                          available for this end-
                                                                                          use with lower overall
                                                                                          risk to human health
                                                                                          and the environment.
Cold storage warehouses (new only)...  HFC-227ea, R-125/290/    Unacceptable as of       These refrigerants have
                                        134a/600a (55.0/1.0/     January 1, 2023.         GWPs ranging from
                                        42.5/1.5), R-404A, R-                             approximately 2,090 to
                                        407A, R-407B, R-410A,                             3,990. Other
                                        R-410B, R-417A, R-                                alternatives will be
                                        421A, R-421B, R-422A,                             available for this end-
                                        R-422B, R-422C, R-                                use with lower overall
                                        422D, R-423A, R-424A,                             risk to human health
                                        R-428A, R-434A, R-                                and the environment by
                                        438A, R-507A, and RS-                             the status change
                                        44 (2003 composition).                            date.
Cold storage warehouses (new only)...  Propylene (R-1270) and   Unacceptable as of       These refrigerants are
                                        R-443A.                  January 3, 2017.         highly photochemically
                                                                                          reactive in the lower
                                                                                          atmosphere and may
                                                                                          deteriorate local air
                                                                                          quality (that is, may
                                                                                          increase ground level
                                                                                          ozone). Other
                                                                                          alternatives are
                                                                                          available for this end-
                                                                                          use with lower overall
                                                                                          risk to human health
                                                                                          and the environment.

[[Page 299]]

 
Household refrigerators and freezers   FOR12A, FOR12B, HFC-     Unacceptable as of       These refrigerants have
 (new only).                            134a, KDD6, R-125/290/   January 1, 2021.         GWPs ranging from
                                        134a/600a (55.0/1.0/                              approximately 900 to
                                        42.5/1.5), R-404A, R-                             3,985. Other
                                        407C, R-407F, R-410A,                             alternatives will be
                                        R-410B, R-417A, R-                                available for this end-
                                        421A, R-421B, R-422A,                             use with lower overall
                                        R-422B, R-422C, R-                                risk to human health
                                        422D, R-424A, R-426A,                             and the environment by
                                        R-428A, R-434A, R-                                the status change
                                        437A, R-438A, R-507A,                             date.
                                        RS-24 (2002
                                        formulation), RS-44
                                        (2003 formulation),
                                        SP34E, and THR-03.
Positive displacement chillers (new    FOR12A, FOR12B, HFC-     Unacceptable as of       These refrigerants have
 only).                                 134a, HFC-227ea, KDD6,   January 1, 2024 except   GWPs ranging from
                                        R-125/134a/600a (28.1/   where allowed under a    approximately 900 to
                                        70/1.9), R-125/290/      narrowed use limit.      3,985. Other
                                        134a/600a (55.0/1.0/                              alternatives will be
                                        42.5/1.5), R-404A, R-                             available for this end-
                                        407C, R-410A, R-410B,                             use with lower overall
                                        R-417A, R-421A, R-                                risk to human health
                                        422B, R-422C, R-422D,                             and the environment by
                                        R-424A, R-434A, R-                                the status change
                                        437A, R-438A, R-507A,                             date.
                                        RS-44 (2003
                                        composition), SP34E,
                                        and THR-03.
Positive displacement chillers (new    Propylene (R-1270) and   Unacceptable as of       These refrigerants are
 only).                                 R-443A.                  January 3, 2017.         highly photochemically
                                                                                          reactive in the lower
                                                                                          atmosphere and may
                                                                                          deteriorate local air
                                                                                          quality (that is, may
                                                                                          increase ground level
                                                                                          ozone). Other
                                                                                          alternatives are
                                                                                          available for this end-
                                                                                          use with lower overall
                                                                                          risk to human health
                                                                                          and the environment.
Residential and light commercial air   Propylene (R-1270) and   Unacceptable as of       These refrigerants are
 conditioning and heat pumps (new       R-443A.                  January 3, 2017.         highly photochemically
 only).                                                                                   reactive in the lower
                                                                                          atmosphere and may
                                                                                          deteriorate local air
                                                                                          quality (that is, may
                                                                                          increase ground level
                                                                                          ozone). Other
                                                                                          alternatives are
                                                                                          available for this end-
                                                                                          use with lower overall
                                                                                          risk to human health
                                                                                          and the environment.

[[Page 300]]

 
Residential and light commercial air   All refrigerants         Unacceptable as of       These refrigerants are
 conditioning--unitary split AC         identified as            January 3, 2017.         highly flammable and
 systems and heat pumps (retrofit       flammability Class 3                              present a flammability
 only).                                 in ANSI/ASHRAE                                    risk when used in
                                        Standard 34-2013 \1 2                             equipment designed for
                                        3\.                                               nonflammable
                                       All refrigerants                                   refrigerants. Other
                                        meeting the criteria                              alternatives are
                                        for flammability Class                            available for this end-
                                        3 in ANSI/ASHRAE                                  use with lower overall
                                        Standard 34-2013. This                            risk to human health
                                        includes, but is not                              and the environment.
                                        limited to,
                                        refrigerant products
                                        sold under the names R-
                                        22a, 22a, Blue Sky 22a
                                        refrigerant, Coolant
                                        Express 22a, DURACOOL-
                                        22a, EC-22, Ecofreeez
                                        EF-22a, Envirosafe
                                        22a, ES-22a, Frost
                                        22a, HC-22a, Maxi-
                                        Fridge, MX-22a, Oz-
                                        Chill 22a, Priority
                                        Cool, and RED TEK 22a.
Retail food refrigeration              HFC-227ea, KDD6, R-125/  Unacceptable as of       These refrigerants have
 (refrigerated food processing and      290/134a/600a (55.0/     January 1, 2021.         GWPs ranging from
 dispensing equipment) (new only).      1.0/42.5/1.5), R-404A,                            approximately 1,770 to
                                        R-407A, R-407B, R-                                3,990. Other
                                        407C, R-407F, R-410A,                             alternatives will be
                                        R-410B, R-417A, R-                                available for this end-
                                        421A, R-421B, R-422A,                             use with lower overall
                                        R-422B, R-422C, R-                                risk to human health
                                        422D, R-424A, R-428A,                             and the environment by
                                        R-434A, R-437A, R-                                the status change
                                        438A, R-507A, RS-44                               date.
                                        (2003 formulation).
----------------------------------------------------------------------------------------------------------------
\1\ The Director of the Federal Register approves this incorporation by reference (5 U.S.C. 552(a) and 1 CFR
  part 51). You may inspect a copy at U.S. EPA's Air and Radiation Docket; EPA West Building, Room 3334, 1301
  Constitution Ave. NW., Washington, DC or at the National Archives and Records Administration (NARA). For
  questions regarding access to this standard, the telephone number of EPA's Air and Radiation Docket is 202-566-
  1742. 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\ You may obtain this material from: American Society of Heating, Refrigerating and Air-Conditioning Engineers
  (ASHRAE) 6300 Interfirst Drive, Ann Arbor, MI 48108; 1-800-527-4723 in the U.S. or Canada; http://
  www.techstreet.com/ashrae/ashrae_standards.html?ashrae_auth_token=.
\3\ ANSI/ASHRAE Standard 34-2013, Designation and Safety Classification of Refrigerants, 2013.


[[Page 301]]


                   Foam Blowing Agents--Substitutes Acceptable Subject to Narrowed Use Limits
----------------------------------------------------------------------------------------------------------------
            End-use                Substitutes        Decision       Narrowed use limits    Further information
----------------------------------------------------------------------------------------------------------------
Rigid PU: Spray foam--high-     HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 pressure two-component.         245fa, and        subject to        January 1, 2020,       document and retain
                                 blends thereof;   narrowed use      until January 1,       the results of their
                                 blends of HFC-    limits.           2025, only in          technical
                                 365mfc with at                      military or space-     investigation of
                                 least four                          and aeronautics-       alternatives for the
                                 percent HFC-                        related applications   purpose of
                                 245fa, and                          where reasonable       demonstrating
                                 commercial                          efforts have been      compliance.
                                 blends of HFC-                      made to ascertain      Information should
                                 365mfc with                         that other             include descriptions
                                 seven to 13                         alternatives are not   of:
                                 percent HFC-                        technically feasible  
                                 227ea and the                       due to performance     Process or product
                                 remainder HFC-                      or safety              in which the
                                 365mfc; and                         requirements.          substitute is
                                 Formacel TI.                       Closed cell foam        needed;
                                                                     products and          
                                                                     products containing    Substitutes examined
                                                                     closed cell foams      and rejected;
                                                                     manufactured with     
                                                                     these substitutes on   Reason for rejection
                                                                     or before January 1,   of other
                                                                     2025, may be used      alternatives, e.g.,
                                                                     after that date.       performance,
                                                                                            technical or safety
                                                                                            standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and projected time
                                                                                            for switching.
Rigid PU: Spray foam--low-      HFC-134a, HFC-    Acceptable        Acceptable from        Users are required to
 pressure two-component.         245fa, and        subject to        January 1, 2021,       document and retain
                                 blends thereof;   narrowed use      until January 1,       the results of their
                                 blends of HFC-    limits.           2025, only in          technical
                                 365mfc with at                      military or space-     investigation of
                                 least four                          and aeronautics-       alternatives for the
                                 percent HFC-                        related applications   purpose of
                                 245fa, and                          where reasonable       demonstrating
                                 commercial                          efforts have been      compliance.
                                 blends of HFC-                      made to ascertain      Information should
                                 365mfc with                         that other             include descriptions
                                 seven to 13                         alternatives are not   of:
                                 percent HFC-                        technically feasible  
                                 227ea and the                       due to performance     Process or product
                                 remainder HFC-                      or safety              in which the
                                 365mfc; and                         requirements.          substitute is
                                 Formacel TI.                       Low pressure two-       needed;
                                                                     component spray foam  
                                                                     kits manufactured      Substitutes examined
                                                                     with these             and rejected;
                                                                     substitutes on or     
                                                                     before January 1,      Reason for rejection
                                                                     2025, for military     of other
                                                                     or space- and          alternatives, e.g.,
                                                                     aeronautics-related    performance,
                                                                     applications may be    technical or safety
                                                                     used after that date.  standards; and/or
                                                                                           
                                                                                            Anticipated date
                                                                                            other substitutes
                                                                                            will be available
                                                                                            and projected time
                                                                                            for switching.
----------------------------------------------------------------------------------------------------------------


[[Page 302]]


                                  Foam Blowing Agents--Unacceptable Substitutes
----------------------------------------------------------------------------------------------------------------
               End-use                       Substitutes                Decision           Further information
----------------------------------------------------------------------------------------------------------------
Flexible PU..........................  Methylene chloride.....  Unacceptable as of       Methylene chloride is a
                                                                 January 3, 2017.         carcinogen and may
                                                                                          present a toxicity
                                                                                          risk. Other
                                                                                          alternatives are
                                                                                          available for this end-
                                                                                          use with lower overall
                                                                                          risk to human health
                                                                                          and the environment.
Rigid PU: Spray foam--one component    HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 foam sealants.                         and blends thereof;      January 1, 2020.         agents have GWPs
                                        blends of HFC-365mfc    One-component foam        ranging from higher
                                        with at least four       sealant cans             than 730 to
                                        percent HFC-245fa, and   manufactured with        approximately 1,500.
                                        commercial blends of     these substitutes on     Other alternatives
                                        HFC-365mfc with seven    or before January 1,     will be available for
                                        to 13 percent HFC-       2020, may be used        this end-use with
                                        227ea and the            after that date.         lower overall risk to
                                        remainder HFC-365mfc;                             human health and the
                                        and Formacel TI.                                  environment by the
                                                                                          status change date.
Rigid PU: Spray foam--high-pressure    HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 two-component.                         and blends thereof;      January 1, 2020,         agents have GWPs
                                        blends of HFC-365mfc     except where allowed     ranging from higher
                                        with at least four       under a narrowed use     than 730 to
                                        percent HFC-245fa, and   limit. Closed cell       approximately 1,500.
                                        commercial blends of     foam products and        Other alternatives
                                        HFC-365mfc with seven    products containing      will be available for
                                        to 13 percent HFC-       closed cell foams        this end-use with
                                        227ea and the            manufactured with        lower overall risk to
                                        remainder HFC-365mfc;    these substitutes on     human health and the
                                        and Formacel TI.         or before January 1,     environment by the
                                                                 2020, may be used        status change date.
                                                                 after that date.
Rigid PU: Spray foam--low-pressure     HFC-134a, HFC-245fa,     Unacceptable as of       These foam blowing
 two-component.                         and blends thereof;      January 1, 2021,         agents have GWPs
                                        blends of HFC-365mfc     except where allowed     ranging from higher
                                        with at least four       under a narrowed use     than 730 to
                                        percent HFC-245fa, and   limit.                   approximately 1,500.
                                        commercial blends of    Low pressure two-         Other alternatives
                                        HFC-365mfc with seven    component spray foam     will be available for
                                        to 13 percent HFC-       kits manufactured with   this end-use with
                                        227ea and the            these substitutes on     lower overall risk to
                                        remainder HFC-365mfc;    or before January 1,     human health and the
                                        and Formacel TI.         2025, may be used        environment by the
                                                                 after that date.         status change date.
----------------------------------------------------------------------------------------------------------------


[[Page 303]]


                                 Fire Suppression and Explosion Protection Agents--Acceptable Subject to Use Conditions
--------------------------------------------------------------------------------------------------------------------------------------------------------
               End-use                       Substitute                Decision              Use conditions                Further information
--------------------------------------------------------------------------------------------------------------------------------------------------------
Streaming...........................  2-BTP..................  Acceptable, subject to   As of January 3, 2017,   This fire suppressant has a relatively
                                                                use conditions.          acceptable only for      low GWP of 0.23-0.26 and a short
                                                                                         use in handheld          atmospheric lifetime of approximately
                                                                                         extinguishers in         seven days.
                                                                                         aircraft.               This agent is subject to requirements
                                                                                                                  contained in a Toxic Substance Control
                                                                                                                  Act (TSCA) section 5(e) Consent Order
                                                                                                                  and any subsequent TSCA section
                                                                                                                  5(a)(2) Significant New Use Rule
                                                                                                                  (SNUR).
                                                                                                                 For establishments manufacturing,
                                                                                                                  installing and maintaining handheld
                                                                                                                  extinguishers using this agent:
                                                                                                                 (1) Use of this agent should be used in
                                                                                                                  accordance with the latest edition of
                                                                                                                  NFPA Standard 10 for Portable Fire
                                                                                                                  Extinguishers;
                                                                                                                 (2) In the case that 2-BTP is inhaled,
                                                                                                                  person(s) should be immediately
                                                                                                                  removed and exposed to fresh air; if
                                                                                                                  breathing is difficult, person(s)
                                                                                                                  should seek medical attention;
                                                                                                                 (3) Eye wash and quick drench
                                                                                                                  facilities should be available. In
                                                                                                                  case of ocular exposure, person(s)
                                                                                                                  should immediately flush the eyes,
                                                                                                                  including under the eyelids, with
                                                                                                                  fresh water and move to a non-
                                                                                                                  contaminated area;
                                                                                                                 (4) Exposed person(s) should remove all
                                                                                                                  contaminated clothing and footwear to
                                                                                                                  avoid irritation, and medical
                                                                                                                  attention should be sought if
                                                                                                                  irritation develops or persists;
                                                                                                                 (5) Although unlikely, in case of
                                                                                                                  ingestion of 2-BTP, the person(s)
                                                                                                                  should consult a physician
                                                                                                                  immediately;
                                                                                                                 (6) Manufacturing space should be
                                                                                                                  equipped with specialized engineering
                                                                                                                  controls and well ventilated with a
                                                                                                                  local exhaust system and low-lying
                                                                                                                  source ventilation to effectively
                                                                                                                  mitigate potential occupational
                                                                                                                  exposure; regular testing and
                                                                                                                  monitoring of the workplace atmosphere
                                                                                                                  should be conducted;
                                                                                                                 (7) Employees responsible for chemical
                                                                                                                  processing should wear the appropriate
                                                                                                                  PPE, such as protective gloves,
                                                                                                                  tightly sealed goggles, protective
                                                                                                                  work clothing, and suitable
                                                                                                                  respiratory protection in case of
                                                                                                                  accidental release or insufficient
                                                                                                                  ventilation;
                                                                                                                 (8) All spills should be cleaned up
                                                                                                                  immediately in accordance with good
                                                                                                                  industrial hygiene practices; and
                                                                                                                 (9) Training for safe handling
                                                                                                                  procedures should be provided to all
                                                                                                                  employees that would be likely to
                                                                                                                  handle containers of the agent or
                                                                                                                  extinguishing units filled with the
                                                                                                                  agent.

[[Page 304]]

 
Total flooding......................  2-BTP..................  Acceptable, subject to   As of January 3, 2017,   This fire suppressant has a relatively
                                                                use conditions.          acceptable only for      low GWP of 0.23-0.26 and a short
                                                                                         use in engine nacelles   atmospheric lifetime of approximately
                                                                                         and auxiliary power      seven days.
                                                                                         units on aircraft.      This agent is subject to requirements
                                                                                                                  contained in a TSCA section 5(e)
                                                                                                                  Consent Order and any subsequent TSCA
                                                                                                                  section 5(a)(2) SNUR.
                                                                                                                 For establishments manufacturing,
                                                                                                                  installing, and servicing engine
                                                                                                                  nacelles and auxiliary power units on
                                                                                                                  aircraft using this agent:
                                                                                                                 (1) This agent should be used in
                                                                                                                  accordance with the safety guidelines
                                                                                                                  in the latest edition of the National
                                                                                                                  Fire Protection Association (NFPA)
                                                                                                                  2001 Standard for Clean Agent Fire
                                                                                                                  Extinguishing Systems;
                                                                                                                 (2) In the case that 2-BTP is inhaled,
                                                                                                                  person(s) should be immediately
                                                                                                                  removed and exposed to fresh air; if
                                                                                                                  breathing is difficult, person(s)
                                                                                                                  should seek medical attention;
                                                                                                                 (3) Eye wash and quick drench
                                                                                                                  facilities should be available. In
                                                                                                                  case of ocular exposure, person(s)
                                                                                                                  should immediately flush the eyes,
                                                                                                                  including under the eyelids, with
                                                                                                                  fresh water and move to a non-
                                                                                                                  contaminated area.
                                                                                                                 (4) Exposed person(s) should remove all
                                                                                                                  contaminated clothing and footwear to
                                                                                                                  avoid irritation, and medical
                                                                                                                  attention should be sought if
                                                                                                                  irritation develops or persists;
                                                                                                                 (5) Although unlikely, in case of
                                                                                                                  ingestion of 2-BTP, the person(s)
                                                                                                                  should consult a physician
                                                                                                                  immediately;
                                                                                                                 (6) Manufacturing space should be
                                                                                                                  equipped with specialized engineering
                                                                                                                  controls and well ventilated with a
                                                                                                                  local exhaust system and low-lying
                                                                                                                  source ventilation to effectively
                                                                                                                  mitigate potential occupational
                                                                                                                  exposure; regular testing and
                                                                                                                  monitoring of the workplace atmosphere
                                                                                                                  should be conducted;
                                                                                                                 (7) Employees responsible for chemical
                                                                                                                  processing should wear the appropriate
                                                                                                                  PPE, such as protective gloves,
                                                                                                                  tightly sealed goggles, protective
                                                                                                                  work clothing, and suitable
                                                                                                                  respiratory protection in case of
                                                                                                                  accidental release or insufficient
                                                                                                                  ventilation;
                                                                                                                 (8) All spills should be cleaned up
                                                                                                                  immediately in accordance with good
                                                                                                                  industrial hygiene practices;
                                                                                                                 (9) Training for safe handling
                                                                                                                  procedures should be provided to all
                                                                                                                  employees that would be likely to
                                                                                                                  handle containers of the agent or
                                                                                                                  extinguishing units filled with the
                                                                                                                  agent;
                                                                                                                 (10) Safety features that are typical
                                                                                                                  of total flooding systems such as pre-
                                                                                                                  discharge alarms, time delays, and
                                                                                                                  system abort switches should be
                                                                                                                  provided, as directed by applicable
                                                                                                                  OSHA regulations and NFPA standards;
                                                                                                                  use of this agent should also conform
                                                                                                                  to relevant OSHA requirements,
                                                                                                                  including 29 CFR 1910, subpart L,
                                                                                                                  sections 1910.160 and 1910.162.
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 305]]


[81 FR 86889, Dec. 1, 2016]



                   Subpart H_Halon Emissions Reduction

    Source: 63 FR 11096, Mar. 5, 1998, unless otherwise noted.



Sec.  82.250  Purpose and scope.

    (a) The purpose of this subpart is to reduce the emissions of halon 
in accordance with section 608 of the Clean Air Act by banning the 
manufacture of halon blends; banning the intentional release of halons 
during repair, testing, and disposal of equipment containing halons and 
during technician training; requiring organizations that employ 
technicians to provide emissions reduction training; and requiring 
proper disposal of halons and equipment containing halons.
    (b) This subpart applies to any person testing, servicing, 
maintaining, repairing or disposing of equipment that contains halons or 
using such equipment during technician training. This subpart also 
applies to any person disposing of halons; to manufacturers of halon 
blends; and to organizations that employ technicians who service halon-
containing equipment.



Sec.  82.260  Definitions.

    Halon-containing equipment means equipment used to store, transfer, 
and/or disperse halon.
    Disposal of halon means the process leading to and including 
discarding of halon from halon-containing equipment.
    Disposal of halon-containing equipment means the process leading to 
and including:
    (1) The discharge, deposit, dumping or placing of any discarded 
halon-containing equipment into or on any land or water;
    (2) The disassembly of any halon-containing equipment for discharge, 
deposit, or dumping or placing of its discarded component parts into or 
on any land or water; or
    (3) The disassembly of any halon-containing equipment for reuse of 
its component parts.
    Halon means any of the Class I, Group II substances listed in 
subpart A, appendix A of 40 CFR part 82. This group consists of the 
three halogenated hydrocarbons known as Halon 1211, Halon 1301, and 
Halon 2402, and all isomers of these chemicals.
    Halon product means any mixture or combination of substances that 
contains only one halon (e.g., Halon 1301 plus dinitrogen gas 
(N2))
    Halon blend means any mixture or combination of substances that 
contains two or more halons.
    Manufacturer means any person engaged in the direct manufacture of 
halon, halon blends or halon-containing equipment.
    Person means any individual or legal entity, including an 
individual, corporation, partnership, association, state, municipality, 
political subdivision of a state, Indian tribe, and any agency, 
department, or instrumentality of the United States, and any officer, 
agent, or employee thereof.
    Technician means any person who performs testing, maintenance, 
service, or repair that could reasonably be expected to release halons 
from equipment into the atmosphere. Technician also means any person who 
performs disposal of equipment that could reasonably be expected to 
release halons from the equipment into the atmosphere. Technician 
includes but is not limited to installers, contractor employees, in-
house service personnel, and in some cases, owners.



Sec.  82.270  Prohibitions.

    (a) Effective April 6, 1998 no person may newly manufacture any 
halon blend. Halon blends manufactured solely for the purpose of 
aviation fire protection are not subject to this prohibition, provided 
that:
    (1) The manufacturer or its designee is capable of recycling the 
blend to the relevant industry standards for the chemical purity of each 
individual halon;
    (2) The manufacturer includes in all sales contracts for blends 
produced by it on or after April 6, 1998 the provision that the blend 
must be returned to it or its designee for recycling; and
    (3) The manufacturer or its designee in fact recycles blends 
produced by the manufacturer on or after April 6, 1998 and returned to 
it for recycling to the relevant industry standards for the

[[Page 306]]

chemical purity of each individual halon.
    (b) Effective April 6, 1998, no person testing, maintaining, 
servicing, repairing, or disposing of halon-containing equipment or 
using such equipment for technician training may knowingly vent or 
otherwise release into the environment any halons used in such 
equipment.
    (1) De minimis releases associated with good faith attempts to 
recycle or recover halon are not subject to this prohibition.
    (2) Release of residual halon contained in fully discharged total 
flooding fire extinguishing systems would be considered a de minimis 
release associated with good faith attempts to recycle or recover halon.
    (3) Release of halons during testing of fire extinguishing systems 
is not subject to this prohibition if the following four conditions are 
met:
    (i) Systems or equipment employing suitable alternative fire 
extinguishing agents are not available;
    (ii) System or equipment testing requiring release of extinguishing 
agent is essential to demonstrate system or equipment functionality;
    (iii) Failure of the system or equipment would pose great risk to 
human safety or the environment; and
    (iv) A simulant agent cannot be used in place of the halon during 
system or equipment testing for technical reasons.
    (4) Releases of halons associated with research and development of 
halon alternatives, and releases of halons necessary during analytical 
determination of halon purity using established laboratory practices are 
exempt from this prohibition.
    (5) This prohibition does not apply to qualification and development 
testing during the design and development process of halon-containing 
systems or equipment when such tests are essential to demonstrate system 
or equipment functionality and when a suitable simulant agent can not be 
used in place of the halon for technical reasons.
    (6) This prohibition does not apply to the emergency release of 
halons for the legitimate purpose of fire extinguishing, explosion 
inertion, or other emergency applications for which the equipment or 
systems were designed.
    (c) Effective April 6, 1998, organizations that employ technicians 
who test, maintain, service, repair or dispose of halon-containing 
equipment shall take appropriate steps to ensure that technicians hired 
on or before April 6, 1998 will be trained regarding halon emissions 
reduction by September 1, 1998. Technicians hired after April 6, 1998 
shall be trained regarding halon emissions reduction within 30 days of 
hiring, or by September 1, 1998, whichever is later.
    (d) Effective April 6, 1998, no person shall dispose of halon-
containing equipment except by sending it for halon recovery to a 
manufacturer operating in accordance with NFPA 10 and NFPA 12A 
standards, a fire equipment dealer operating in accordance with NFPA 10 
and NFPA 12A standards or a recycler operating in accordance with NFPA 
10 and NFPA 12A standards. This provision does not apply to ancillary 
system devices such as electrical detection control components which are 
not necessary to the safe and secure containment of the halon within the 
equipment, to fully discharged total flooding systems, or to equipment 
containing only de minimis quantities of halons.
    (e) No person shall dispose of halon except by sending it for 
recycling to a recycler operating in accordance with NFPA 10 and NFPA 
12A standards, or by arranging for its destruction using one of the 
controlled processes approved by the Parties and listed in the 
definition of destruction in Sec.  82.3.
    (f) Effective April 6, 1998, no owner of halon-containing equipment 
shall allow halon release to occur as a result of failure to maintain 
such equipment.

[63 FR 11096, Mar. 5, 1998, as amended at 85 FR 15301, Mar. 17, 2020]



     Subpart I_Ban on Refrigeration and Air-Conditioning Appliances 
                            Containing HCFCs

    Source: 74 FR 66467, Dec. 15, 2009, unless otherwise noted.

[[Page 307]]



Sec.  82.300  Purpose.

    The purpose of this subpart is to protect stratospheric ozone by 
restricting the sale and distribution of HCFC containing appliances 
under authority of section 615 of the Clean Air Act as amended in 1990.



Sec.  82.302  Definitions.

    As used in this subpart, the term:
    Appliance means any device which contains and uses a refrigerant and 
which is used for household or commercial purposes, including any air 
conditioner, refrigerator, chiller, or freezer.
    Class I substance means any controlled substance designated as class 
I in 40 CFR part 82, appendix A to subpart A.
    Class II substance means any controlled substance designated as 
class II in 40 CFR part 82, appendix B to subpart A.
    Consumer, when used to describe a person taking action with regard 
to a product, means the ultimate purchaser, recipient or user of a 
product.
    Distributor, when used to describe a person taking action with 
regard to a product, means:
    (1) The seller of a product to a consumer or another distributor; or
    (2) A person who sells or distributes that product in interstate 
commerce, including sale or distribution preceding export from, or 
following import to, the United States.
    Hydrochlorofluorocarbon means any substance listed as class II in 40 
CFR part 82, appendix B to subpart A.
    Manufactured, for an appliance, means the date on which the 
appliance's refrigerant circuit is complete, the appliance can function, 
the appliance holds a refrigerant charge, and the appliance is ready for 
use for its intended purposes; for a pre-charged appliance component, 
``manufactured'' means the date that the original equipment manufacturer 
has physically completed assembly of the component, the component is 
charged with refrigerant, and the component is ready for initial sale or 
distribution.
    Person means any individual or legal entity, including an 
individual, corporation, partnership, association, State, municipality, 
political subdivision of a State, Indian tribe; any agency, department, 
or instrumentality of the United States; and any officer, agent, or 
employee thereof.
    Pre-charged appliance means any appliance charged with refrigerant 
prior to sale or distribution, or offer for sale or distribution in 
interstate commerce.
    Pre-charged appliance component means any portion of an appliance 
including but not limited to condensers, compressors, line sets, and 
coils that is charged with refrigerant prior to sale or distribution or 
offer for sale or distribution in interstate commerce.
    Product means an item or category of items manufactured from raw or 
recycled materials which is used to perform a function or task.
    Refrigerant means, for purposes of this subpart, any substance 
consisting in part or whole of a class I or class II ozone-depleting 
substance that is used for heat transfer purposes and provides a cooling 
effect.



Sec.  82.304  Prohibitions.

    Effective January 1, 2010, no person may sell or distribute, or 
offer to sell or distribute, in interstate commerce any product 
identified in Sec.  82.306.



Sec.  82.306  Prohibited products.

    Effective January 1, 2010, the following products are subject to the 
prohibitions specified under Sec.  82.304--
    (a) Any pre-charged appliance manufactured on or after January 1, 
2010 containing HCFC-22, HCFC-142b or a blend containing one or both of 
these controlled substances.
    (b) Any pre-charged appliance component for air-conditioning or 
refrigeration appliances manufactured on or after January 1, 2010 
containing HCFC-22, HCFC-142b, or a blend containing one or both of 
these controlled substances.

                         PARTS 83	84 [RESERVED]

[[Page 308]]



PART 85_CONTROL OF AIR POLLUTION FROM MOBILE SOURCES--Table of Contents



Subparts A-E [Reserved]

Subpart F_Exemption of Clean Alternative Fuel Conversions From Tampering 
                               Prohibition

Sec.
85.501 General applicability.
85.502 Definitions.
85.505 Overview.
85.510 Exemption provisions for new and relatively new vehicles/engines.
85.515 Exemption provisions for intermediate age vehicles/engines.
85.520 Exemption provisions for outside useful life vehicles/engines.
85.524 Legacy standards.
85.525 Applicable standards.
85.530 Vehicle/engine labels and packaging labels.
85.535 Liability, recordkeeping and end of year reporting.

Subparts G-N [Reserved]

                Subpart O_Urban Bus Rebuild Requirements

85.1401 General applicability.
85.1402 Definitions.
85.1403 Particulate standard for pre-1994 model year urban buses 
          effective at time of engine rebuild or engine replacement.
85.1404 Maintenance of records for urban bus operators; submittal of 
          information; right of entry.
85.1405 Applicability.
85.1406 Certification.
85.1407 Notification of intent to certify.
85.1408 Objections to certification.
85.1409 Warranty.
85.1410 Changes after certification.
85.1411 Labeling requirements.
85.1412 Maintenance and submittal of records for equipment certifiers.
85.1413 Decertification.
85.1414 Alternative test procedures.
85.1415 Treatment of confidential information.

    Subpart P_Importation of Motor Vehicles and Motor Vehicle Engines

85.1501 Applicability.
85.1502 Definitions.
85.1503 General requirements for importation of nonconforming vehicles 
          and engines.
85.1504 Conditional admission.
85.1505 Final admission of certified vehicles.
85.1506 Inspection and testing of imported motor vehicles and engines.
85.1507 Maintenance of certificate holder's records.
85.1508 ``In Use'' inspections and recall requirements.
85.1509 Final admission of modification and test vehicles.
85.1510 Maintenance instructions, warranties, emission labeling and fuel 
          economy requirements.
85.1511 Exemptions and exclusions.
85.1512 Admission of catalyst and O2 sensor-equipped 
          vehicles.
85.1513 Prohibited acts; penalties.
85.1514 Treatment of confidential information.
85.1515 Emission standards and test procedures applicable to imported 
          nonconforming motor vehicles and motor vehicle engines.

Subpart Q [Reserved]

 Subpart R_Exclusion and Exemption of Motor Vehicles and Motor Vehicle 
                                 Engines

85.1701 General applicability.
85.1702 Definitions.
85.1703 Definition of motor vehicle.
85.1704 Who may request an exemption.
85.1705 Testing exemption.
85.1706 Pre-certification exemption.
85.1707 Display exemption.
85.1708 National security exemption.
85.1709 Export exemptions.
85.1710 Granting of exemptions.
85.1711 Submission of exemption requests.
85.1712 Treatment of confidential information.
85.1713--85.1714 [Reserved]
85.1715 Aircraft meeting the definition of motor vehicle.
85.1716 Approval of an emergency vehicle field modification (EVFM).

                      Subpart S_Recall Regulations

85.1801 Definitions.
85.1802 Notice to manufacturer of nonconformity; submission of Remedial 
          Plan.
85.1803 Remedial Plan.
85.1804 Approval of Plan: Implementation.
85.1805 Notification to vehicle or engine owners.
85.1806 Records and reports.
85.1807 Public hearings.
85.1808 Treatment of confidential information.

Appendix A to Subpart S of Part 85--Interpretive Ruling for Sec.  
          85.1803--Remedial Plans

            Subpart T_Emission Defect Reporting Requirements

85.1901 Applicability.
85.1902 Definitions.
85.1903 Emissions defect information report.

[[Page 309]]

85.1904 Voluntary emissions recall report; quarterly reports.
85.1905 Alternative report formats.
85.1906 Report filing: Record retention.
85.1907 Responsibility under other legal provisions preserved.
85.1908 Disclaimer of production warranty applicability.
85.1909 Treatment of confidential information.

Subpart U [Reserved]

Subpart V_Emissions Control System Performance Warranty Regulations and 
            Voluntary Aftermarket Part Certification Program

85.2101 General applicability.
85.2102 Definitions.
85.2103 Emission performance warranty.
85.2104 Owners' compliance with instructions for proper maintenance and 
          use.
85.2105 Aftermarket parts.
85.2106 Warranty claim procedures.
85.2107 Warranty remedy.
85.2109 Inclusion of warranty provisions in owners' manuals and warranty 
          booklets.
85.2110 Submission of owners' manuals and warranty statements to EPA.
85.2111 Warranty enforcement.
85.2112 Applicability.
85.2113 Definitions.
85.2114 Basis of certification.
85.2115 Notification of intent to certify.
85.2116 Objections to certification.
85.2117 Warranty and dispute resolution.
85.2118 Changes after certification.
85.2119 Labeling requirements.
85.2120 Maintenance and submittal of records.
85.2121 Decertification.
85.2122 Emission-critical parameters.
85.2123 Treatment of confidential information.

Appendix I to Subpart V of Part 85--Recommended Test Procedures and Test 
          Criteria and Recommended Durability Procedures To Demonstrate 
          Compliance With Emission Critical Parameters
Appendix II to Subpart V of Part 85--Arbitration Rules

   Subpart W_Emission Control System Performance Warranty Short Tests

85.2201 Applicability.
85.2207 Onboard diagnostic test standards.
85.2222 Onboard diagnostic test procedures.
85.2223 Onboard diagnostic test report.
85.2231 Onboard diagnostic test equipment requirements.

  Subpart X_Determination of Model Year for Motor Vehicles and Engines 
 Used in Motor Vehicles Under Section 177 and Part A of Title II of the 
                              Clean Air Act

85.2301 Applicability.
85.2302 Definition of model year.
85.2303 Duration of model year.
85.2304 Definition of production period.
85.2305 Duration and applicability of certificates of conformity.

   Subpart Y_Fees for the Motor Vehicle and Engine Compliance Program

85.2401 Assessment of fees.

Appendixes I-VII to Part 85 [Reserved]
Appendix VIII to Part 85--Vehicle and Engine Parameters and 
          Specifications

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

Subparts A-E [Reserved]



Subpart F_Exemption of Clean Alternative Fuel Conversions From Tampering 
                               Prohibition

    Source: 76 FR 19866, Apr. 8, 2011, unless otherwise noted.



Sec.  85.501  General applicability.

    (a) This subpart describes the provisions related to an exemption 
from the tampering prohibition in Clean Air Act section 203(a) (42 
U.S.C. 7522(a)) for light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, heavy-duty vehicles, and heavy-duty engines. This 
subpart F does not apply for highway motorcycles or for nonroad or 
stationary engines or equipment.
    (b) For purposes of this subpart, the term ``you'' generally means a 
clean alternative fuel conversion manufacturer, which may also be called 
``conversion manufacturer'' or ``converter''.



Sec.  85.502  Definitions.

    The definitions in this section apply to this subpart. All terms 
that are not defined in this subpart have the meaning given in 40 CFR 
part 86. All terms that are not defined in this subpart or in 40 CFR 
part 86 have the meaning given in the Clean Air Act. The definitions 
follow:

[[Page 310]]

    Clean alternative fuel conversion (or ``fuel conversion'' or 
``conversion system'') means any alteration of a motor vehicle/engine, 
its fueling system, or the integration of these systems, that allows the 
vehicle/engine to operate on a fuel or power source different from the 
fuel or power source for which the vehicle/engine was originally 
certified; and that is designed, constructed, and applied consistent 
with good engineering judgment and in accordance with all applicable 
regulations. A clean alternative fuel conversion also means the 
components, design, and instructions to perform this alteration.
    Clean alternative fuel conversion manufacturer (or ``conversion 
manufacturer'' or ``converter'') means any person that manufactures, 
assembles, sells, imports, or installs a motor vehicle/engine fuel 
conversion for the purpose of use of a clean alternative fuel.
    Conversion model year means the clean alternative fuel conversion 
manufacturer's annual production period which includes January 1 of such 
calendar year. A specific model year may not include January 1 from the 
previous year or the following year. This is based on the expectation 
that production periods generally run on consistent schedules from year 
to year. Conversion model years may not circumvent or skip an annual 
production period. The term conversion model year means the calendar 
year if the converter does not have a different annual production 
period.
    Date of conversion means the date on which the clean alternative 
fuel conversion system is fully installed and operable.
    Dedicated vehicle/engine means any vehicle/engine engineered and 
designed to be operated using a single fuel.
    Dual-fuel vehicle/engine means any vehicle/engine engineered and 
designed to be operated on two or more different fuels, but not on a 
mixture of the fuels.
    Heavy-duty engines describes all engines intended for use in heavy-
duty vehicles, covered under the applicability of 40 CFR part 86, 
subpart A.
    Light-duty and heavy-duty chassis certified vehicles describes all 
light-duty vehicles, light-duty trucks, medium duty passenger vehicles, 
and heavy-duty complete and incomplete vehicles covered under the 
applicability of 40 CFR part 86, subpart S.
    Mixed-fuel vehicle/engine means any vehicle/engine engineered and 
designed to be operated on the original fuel(s), alternative fuel(s), or 
a mixture of two or more fuels that are combusted together. Mixed-fuel 
vehicles/engines include flexible-fuel vehicles/engines as defined in 40 
CFR part 86 subpart S.
    Original equipment manufacturer (OEM) means the original 
manufacturer of the new vehicle/engine or relating to the vehicle/engine 
in its original certified configuration.
    Original model year means the model year in which a vehicle/engine 
was originally certified by the original equipment manufacturer, as 
noted on the certificate and on the emission control information label.
    We (us, our) means the Administrator of the Environmental Protection 
Agency or any authorized representative.



Sec.  85.505  Overview.

    (a) You are exempted from the tampering prohibition in Clean Air Act 
section 203(a)(3) (42 U.S.C. 7522)(a)(3) (``tampering'') if you satisfy 
all the provisions of this subpart.
    (b) The tampering exemption provisions described in this subpart are 
differentiated based on the age of the vehicle/engine at the point of 
conversion as follows:
    (1) ``New and relatively new'' refers to a vehicle/engine where the 
date of conversion is in a calendar year that is not more than one year 
after the original model year. See Sec.  85.510 for provisions that 
apply specifically to new and relatively new vehicles/engines.
    (2) ``Intermediate age'' refers to a vehicle/engine that has not 
exceeded the useful life (in years, miles, or hours of operation) 
applicable to the vehicle/engine as originally certified, excluding new 
and relatively new vehicles/engines. See Sec.  85.515 for provisions 
that apply specifically to intermediate-age vehicles/engines.
    (3) ``Outside useful life'' refers to any vehicle/engine that has 
exceeded the useful life (in years, miles, or hours of operation) 
applicable to the vehicle/engine as originally certified. See Sec.  
85.520 for provisions that apply specifically to outside useful life 
vehicles/engines.

[[Page 311]]

    (c) If the converted vehicle/engine is a dual-fuel or mixed-fuel 
vehicle/engine, you must submit test data using each type of fuel, 
except that if you wish to certify to the same standards as the OEM 
vehicle/engine, you may omit testing for the fuel originally used to 
certify the vehicle/engine if you comply with Sec.  85.510(b)(10)(ii), 
(iii), and (iv), Sec.  85.515(b)(10)(iii)(B), (C), and (D), or Sec.  
85.520(b)(6)(iii)(B), (C), and (D), as applicable.
    (d) This subpart specifies certain reporting requirements. We may 
ask you to give us more information than we specify in this subpart to 
determine whether your vehicles/engines conform to the requirements of 
this subpart. We may ask you to give us less information or do less 
testing than we specify in this subpart.
    (e) EPA may require converters to submit vehicles/engines for EPA 
testing under any of the three age based programs. Under Sec.  85.510 or 
Sec.  85.515, if a vehicle/engine is selected for confirmatory testing 
as part of the demonstration and notification process, the vehicle/
engines must satisfy the applicable intermediate and full useful life 
standards using the appropriate deterioration factors to qualify for an 
exemption from the tampering prohibition. If an outside useful life 
vehicle/engine is selected for testing, the vehicle/engine must 
demonstrate that emissions are maintained or improved upon after 
conversion to qualify for an exemption from the tampering prohibition.
    (f) If you have previously used small volume conversion manufacturer 
or qualified small volume test group/engine family procedures and you 
may exceed the volume thresholds using the sum described in Sec.  
85.535(f) to determine small volume status in 40 CFR 86.1838-01, 40 CFR 
86.098-14, and 40 CFR 86.096-24(e)(2) as appropriate, you must satisfy 
the requirements for conversion manufacturers who do not qualify for 
small volume exemptions or your exemption from tampering is no longer 
valid.
    (g) An exemption from the prohibition on tampering applies to 
previously issued alternative fuel conversion certificates of conformity 
for the applicable conversion test group/engine family and/or 
evaporative/refueling family, as long as the conditions under which the 
certificate was issued remain unchanged, such as small volume 
manufacturer or qualified small volume test group/engine family status. 
Your exemption from tampering is valid only if the conversion is 
installed on the OEM test groups/engine families and/or evaporative 
emissions/refueling families listed on the certificate.
    (h) The applicable useful life of a clean alternative fuel converted 
vehicle/engine shall end at the same time the OEM vehicle's/engine's 
original useful life ends.



Sec.  85.510  Exemption provisions for new and relatively new vehicles/engines.

    (a) You are exempted from the tampering prohibition with respect to 
new and relatively new vehicles/engines if you certify the conversion 
system to the emission standards specified in Sec.  85.525 as described 
in paragraph (b) in this section; you meet the labeling and packaging 
requirements in Sec.  85.530 before you sell, import or otherwise 
facilitate the use of a clean alternative fuel conversion system; and 
you meet the liability, recordkeeping, and end of year reporting 
requirements in Sec.  85.535.
    (b) Certification under this section must be based on the 
certification procedures such as those specified in 40 CFR part 86, 
subparts A, B, and S and 40 CFR part 1065, as applicable, subject to the 
following exceptions and special provisions:
    (1) Test groups and evaporative/refueling families for light-duty 
and heavy-duty chassis certified vehicles.
    (i) Small volume conversion manufacturers and qualified small volume 
test groups.
    (A) If criteria for small volume manufacturer or qualified small 
volume test groups are met as defined in 40 CFR 86.1838-01, you may 
combine light-duty vehicles or heavy-duty vehicles which can be chassis 
certified under 40 CFR part 86, subpart S using good engineering 
judgment into conversion test groups if the following criteria are 
satisfied instead of those specified in 40 CFR 86.1827-01.
    (1) Same OEM and OEM model year.
    (2) Same OBD group.
    (3) Same vehicle classification (e.g. light-duty vehicle, heavy-duty 
vehicle).

[[Page 312]]

    (4) Engine displacement is within 15% of largest displacement or 50 
CID, whichever is larger.
    (5) Same number of cylinders or combustion chambers.
    (6) Same arrangement of cylinders or combustion chambers (e.g. in-
line, v-shaped).
    (7) Same combustion cycle (e.g., two stroke, four stroke, Otto-
cycle, diesel-cycle).
    (8) Same engine type (e.g. piston, rotary, turbine, air cooled vs. 
water cooled).
    (9) Same OEM fuel type (except otherwise similar gasoline and E85 
flexible-fuel vehicles may be combined into dedicated alternative fuel 
vehicles).
    (10) Same fuel metering system (e.g. throttle body injection vs. 
port injection).
    (11) Same catalyst construction (e.g. metal vs. ceramic substrate).
    (12) All converted vehicles are subject to the most stringent 
emission standards used in certifying the OEM test groups within the 
conversion test group.
    (B) EPA-established scaled assigned deterioration factors for both 
exhaust and evaporative emissions may be used for vehicles with over 
10,000 miles if the criteria for small volume manufacturer or qualified 
small volume test groups are met as defined in 40 CFR 86.1838-01. This 
deterioration factor will be adjusted according to vehicle or engine 
miles of operation. The deterioration factor is intended to predict the 
vehicle's emission levels at the end of the useful life. EPA may adjust 
these scaled assigned deterioration factors if we find the rate of 
deterioration non-constant or if the rate differs by fuel type.
    (C) As part of the conversion system description provided in the 
application for certification, conversion manufacturers using EPA 
assigned deterioration factors must present detailed information to 
confirm the durability of all relevant new and existing components and 
to explain why the conversion system will not harm the emission control 
system or degrade the emissions.
    (ii) Conversion evaporative/refueling families are identical to the 
OEM evaporative/refueling families unless the OEM evaporative emission 
system is no longer functionally necessary. You must create any new 
evaporative families according to 40 CFR 86.1821-01.
    (2) Engine families and evaporative/refueling families for heavy-
duty engines.
    (i) Small volume conversion manufacturers and qualified small volume 
heavy-duty engine families.
    (A) If criteria for small volume manufacturer or qualified small 
volume engine families are met as defined in 40 CFR 86.098-14 and 40 CFR 
86.096-24(e)(2) you may combine heavy-duty engines using good 
engineering judgment into conversion engine families if the following 
criteria are satisfied instead of those specified in 40 CFR part 86, 
subpart A.
    (1) Same OEM.
    (2) Same OBD group after MY 2013.
    (3) Same service class (e.g. light heavy-duty diesel engines, medium 
heavy-duty diesel engines, heavy heavy-duty diesel engines).
    (4) Engine displacement is within 15% of largest displacement or 50 
CID, whichever is larger.
    (5) Same number of cylinders.
    (6) Same arrangement of cylinders.
    (7) Same combustion cycle.
    (8) Same method of air aspiration.
    (9) Same fuel type (e.g. diesel/gasoline).
    (10) Same fuel metering system (e.g. mechanical direct or electronic 
direct injection).
    (11) Same catalyst/filter construction (e.g. metal vs. ceramic 
substrate).
    (12) All converted engines are subject to the most stringent 
emission standards. For example, 2005 and 2007 heavy-duty diesel engines 
may be in the same family if they meet the most stringent (2007) 
standards.
    (13) Same emission control technology (e.g., internal or external 
EGR).
    (B) EPA-established scaled assigned deterioration factors for both 
exhaust and evaporative emissions may be used for engines with over 
10,000 miles if the criteria for small volume manufacturer or qualified 
small volume engine families are met as defined in 40 CFR 86.098-14 and 
40 CFR 86.096-24(e)(2). This deterioration factor will be adjusted 
according to vehicle or engine miles of operation. The deterioration 
factor is

[[Page 313]]

intended to predict the engine's emission levels at the end of the 
useful life. EPA may adjust these scaled assigned deterioration factors 
if we find the rate of deterioration non-constant or if the rate differs 
by fuel type.
    (C) As part of the conversion system description provided in the 
application for certification, conversion manufacturers using EPA 
assigned deterioration factors must present detailed information to 
confirm the durability of all relevant new and existing components and 
to explain why the conversion system will not harm the emission control 
system or degrade the emissions.
    (ii) Conversion evaporative/refueling families are identical to the 
OEM evaporative/refueling families unless the OEM evaporative emission 
system is no longer functionally necessary. You must create any new 
evaporative families according to 40 CFR 86.096-24(a).
    (3) Conversion test groups/engine families for small volume 
conversion manufacturers and qualified small volume test groups/engine 
families may include vehicles/engines that are subject to different OEM 
emission standards; however, all the vehicles/engines certified under 
this subpart in a single conversion test group/engine family are subject 
to the most stringent standards that apply for vehicles/engines included 
in the conversion test group/engine family. For example, if OEM vehicle 
test groups originally certified to Tier 2, Bin 4 and Bin 5 standards 
are in the same conversion test group for purposes of fuel conversion, 
all the vehicles certified in the conversion test group under this 
subpart are subject to the Tier 2, Bin 4 standards. Conversion 
manufacturers may choose to certify a conversion test group/engine 
family to a more stringent standard than the OEM did. The optional, more 
stringent standard would then apply to all OEM test groups/engine 
families within the conversion test group/engine family. This paragraph 
(b)(3) does not apply to conversions to dual-fuel/mixed-fuel vehicles/
engines, as provided in paragraph (b)(7) of this section.
    (4)-(5) [Reserved]
    (6) Durability testing is required unless the criteria for small 
volume manufacturer or qualified small volume test groups/engine 
families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, and 
40 CFR 86.096-24(e)(2), as applicable.
    (7) Conversion test groups/engine families for conversions to dual-
fuel or mixed-fuel vehicles/engines cannot include vehicles/engines 
subject to different emission standards unless applicable exhaust and 
OBD demonstrations are also conducted for the original fuel(s) 
demonstrating compliance with the most stringent standard represented in 
the test group. However for small volume conversion manufacturers and 
qualified small volume test groups/engine families the data generated 
from exhaust emission testing on the new fuel for dual-fuel or mixed-
fuel test vehicles/engines may be carried over to vehicles/engines which 
otherwise meet the test group/engine family criteria and for which the 
test vehicle/engine data demonstrate compliance with the application 
vehicle/engine standard. Clean alternative fuel conversion evaporative 
families for dual-fuel or mixed-fuel vehicles may not include vehicles/
engines which were originally certified to different evaporative 
emissions standards unless evaporative/refueling demonstrations are also 
conducted for the original fuel(s) demonstrating compliance with the 
most stringent standard represented in the evaporative/refueling family.
    (8) The vehicle/engine selected for testing must qualify as a worst-
case vehicle/engine under 40 CFR 86.1828-10 or 40 CFR 86.096-24(b)(2) 
through (b)(3), as applicable.
    (9) OBD requirements. (i) The OBD system must properly detect and 
identify malfunctions in all monitored emission-related powertrain 
systems or components including any new monitoring capability necessary 
to identify potential emission problems associated with the new fuel.
    (ii) Conduct all OBD testing necessary to demonstrate compliance 
with 40 CFR 86.010-18 or 86.1806-05.
    (iii) Submit the applicable OBD reporting requirements set forth in 
40 CFR part 86, subparts A and S, and submit the following statement of 
compliance if the OEM vehicles/engines were required to be OBD-equipped:

[[Page 314]]

    The test group/engine family converted to an alternative fuel has 
fully functional OBD systems and therefore meets the OBD requirements 
specified in 40 CFR part 86 when operating on the alternative fuel.
    (10) In lieu of specific certification test data, you may submit the 
following attestations for the appropriate statements of compliance, if 
you have sufficient basis to prove the statement is valid.
    (i) The test group/engine family converted to an alternative fuel 
has properly exercised the optional and applicable statements of 
compliance or waivers in the certification regulations such as those 
specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. 
Attest to each statement or waiver in your application for 
certification.
    (ii) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the OEM fuel system, engine calibration, and 
emission control system functionality when operating on the fuel with 
which the vehicle/engine was originally certified.
    (iii) The test group/engine family converted to dual fuel or mixed-
fuel operation retains all the functionality of the OEM OBD system (if 
so equipped) when operating on the fuel with which the vehicle/engine 
was originally certified.
    (iv) The test group/engine family converted to dual-fuel or mixed-
fuel operation properly purges hydrocarbon vapor from the evaporative 
emission canister when the vehicle/engine is operating on the 
alternative fuel.
    (11) Certification fees apply per 40 CFR 1027.
    (12) A certificate issued under this section is valid starting with 
the indicated effective date and expires on December 31 of the 
conversion model year for which it is issued. You may apply for a 
certificate of conformity for the next conversion model year using the 
applicable provisions for carryover certification. Even after the 
certificate expires, your exemption from the prohibition on tampering 
remains valid for the applicable conversion test group/engine family 
and/or evaporative/refueling family, as long as the conditions under 
which the certificate was issued remain unchanged, such as small volume 
manufacturer or qualified small volume test group/engine family status. 
Your exemption from tampering is valid only if the conversion is 
installed on the OEM test groups/engine families and/or evaporative 
emissions/refueling families listed on the certificate. For example, if 
you have received a clean alternative fuel conversion certificate of 
conformity in conversion model year 2011 for converting a 2010 model 
year OEM test group/evaporative/refueling family, your exemption from 
tampering continues to apply for the conversion of the same 2010 model 
year OEM test group/evaporative/refueling family as long as the 
conditions under which the certificate was issued remain unchanged, such 
as small volume manufacturer status.
    (13) Conversion systems must be properly installed and adjusted such 
that the vehicle/engine operates consistent with the principles of good 
engineering judgment and in accordance with all applicable regulations.

[76 FR 19866, Apr. 8, 2011, as amended at 79 FR 23681, Apr. 28, 2014]



Sec.  85.515  Exemption provisions for intermediate age vehicles/engines.

    (a) You are exempted from the tampering prohibition with respect to 
intermediate age vehicles/engines if you properly test, document and 
notify EPA that the conversion system complies with the emission 
standards specified in Sec.  85.525 as described in paragraph (b) of 
this section; you meet the labeling requirements in Sec.  85.530 before 
you sell, import or otherwise facilitate the use of a clean alternative 
fuel conversion system; and you meet the liability, recordkeeping, and 
end of year reporting requirements in Sec.  85.535. You may also meet 
the requirements under this section by complying with the requirements 
in Sec.  85.510.
    (b) Documenting and notifying EPA under this section includes 
demonstrating compliance with all the provisions in this section and 
providing all notification information to EPA. You may notify us as 
described in this section instead of certifying the clean alternative 
fuel conversion system. You must demonstrate compliance with all

[[Page 315]]

exhaust and evaporative emissions standards by conducting all exhaust 
and evaporative emissions and durability testing as required for OEM 
certification subject to the exceptions and special provisions permitted 
in Sec.  85.510. This paragraph (b) provides additional special 
provisions applicable to intermediate age vehicles/engines. Paragraph 
(b) is applicable to all conversion manufacturers unless otherwise 
specified.
    (1) Conversion test groups for light-duty and heavy-duty chassis 
certified vehicles may be grouped together into an exhaust conversion 
test group using the criteria described in Sec.  85.510(b)(1)(i)(A), 
except that the same OBD group is not a criterion. Evaporative/refueling 
families may be grouped together using the criteria described in Sec.  
85.510(b)(1)(ii).
    (2) Conversion engine families for heavy-duty engines may be grouped 
together into an exhaust conversion engine family using the criteria 
described in Sec.  85.510(b)(2)(i)(A), except that the same OBD group is 
not a criterion. Evaporative/refueling families may be grouped together 
using the criteria described in Sec.  85.510(b)(2)(ii).
    (3) Conversion test groups/engine families may include vehicles/
engines that are subject to different OEM emission standards; however, 
all vehicles/engines in a single conversion test group/engine family are 
subject to the most stringent standards that apply for vehicles/engines 
included in the conversion test group/engine family. For example, if OEM 
vehicle test groups originally certified to Tier 2, Bin 4 and Bin 5 
standards are in the same conversion test group for purposes of fuel 
conversion, all the vehicles in the conversion test group under this 
subpart are subject to the Tier 2, Bin 4 standards. This paragraph 
(b)(3) does not apply to conversions to dual-fuel/mixed-fuel vehicles/
engines, as provided in paragraph (b)(7).
    (4) EPA-established scaled assigned deterioration factors for both 
exhaust and evaporative emissions may be used for vehicles/engines with 
over 10,000 miles if the criteria for small volume manufacturer or 
qualified small volume test groups/engine families are met as defined in 
40 CFR 86.1838-01, 40 CFR 86.098-14, or 40 CFR 86.096-24(e)(2), as 
appropriate. This deterioration factor will be adjusted according to 
vehicle/engine miles or hours of operation. The deterioration factor is 
intended to predict the vehicle/engine's emission level at the end of 
the useful life. EPA may adjust these scaled assigned deterioration 
factors if we find the rate of deterioration non-constant or if the rate 
differs by fuel type.
    (5) As part of the conversion system description required by 
paragraph (b)(10)(i) of this section, small volume conversion 
manufacturers and qualified small volume test groups/engine families 
using EPA assigned deterioration factors must present detailed 
information to confirm the durability of all relevant new and existing 
components and explain why the conversion system will not harm the 
emission control system or degrade the emissions.
    (6) Durability testing is required unless the criteria for small 
volume manufacturer or qualified small volume test groups/engine 
families are met as defined in 40 CFR 86.1838-01, 40 CFR 86.098-14, or 
40 CFR 86.096-24(e)(2), as applicable. Durability procedures for large 
volume conversion manufacturers of intermediate age light-duty and 
heavy-duty chassis certified vehicles that follow provisions in 40 CFR 
86.1820-01 may eliminate precious metal composition and catalyst 
grouping statistic when creating clean alternative fuel conversion 
durability groupings.
    (7) Conversion test groups/engine families for conversions to dual-
fuel or mixed-fuel vehicles/engines may not include vehicles/engines 
subject to different emissions standards unless applicable exhaust and 
OBD demonstrations are also conducted for the original fuel(s) 
demonstrating compliance with the most stringent standard represented in 
the test group/engine family. However the data generated from testing on 
the new fuel for dual-fuel or mixed/fuel test vehicles/engines may be 
carried over to vehicles/engines that otherwise meet the conversion test 
group/engine family criteria and for which the test vehicle/engine data 
demonstrate compliance with the applicable vehicle/engine standards.

[[Page 316]]

Clean alternative fuel conversion evaporative families for dual-fuel or 
mixed-fuel vehicles/engines cannot include vehicles/engines that were 
originally certified to different evaporative emissions standards unless 
evaporative/refueling demonstrations are also conducted for the original 
fuel(s) demonstrating compliance with the most stringent standard 
represented in the evaporative/refueling family.
    (8) You must conduct all exhaust and all evaporative and refueling 
emissions testing with a worst-case vehicle/engine to show that the 
conversion test group/engine family complies with exhaust and 
evaporative/refueling emission standards, based on the certification 
procedures such as those specified in 40 CFR part 86, subparts A, B, and 
S and 40 CFR part 1065.
    (9) OBD requirements. (i) The OBD system must properly detect and 
identify malfunctions in all monitored emission-related powertrain 
systems or components including any new monitoring capability necessary 
to identify potential emission problems associated with the new fuel. 
These include but are not limited to: Fuel trim lean and rich monitors, 
catalyst deterioration monitors, engine misfire monitors, oxygen sensor 
deterioration monitors, EGR system monitors, if applicable, and vapor 
leak monitors, if applicable. No original OBD system monitor that is 
still applicable to the vehicle/engine may be aliased, removed, 
bypassed, or turned-off. No MILs shall be illuminated after the 
conversion. Readiness flags must be properly set for all monitors that 
identify any malfunction for all monitored components.
    (ii) Subsequent to the vehicle/engine fuel conversion, you must 
clear all OBD codes and reset all OBD monitors to not-ready status using 
an OBD scan tool appropriate for the OBD system in the vehicle/engine in 
question. You must operate the vehicle/engine with the new fuel on 
representative road operation or chassis dynamometer/engine dynamometer 
testing cycles to satisfy the monitors' enabling criteria. When all 
monitors have reset to a ready status, you must submit an OBD scan tool 
report showing that with the vehicle/engine operating in the key-on/
engine-on mode, all supported monitors have reset to a ready status and 
no emission related ``pending'' (or potential) or ``confirmed'' (or MIL-
on) diagnostic trouble codes (DTCs) have been set. The MIL must not be 
commanded ``On'' or be illuminated. A MIL check must also be conducted 
in a key-on/engine-off mode to verify that the MIL is functioning 
properly. You must include the VIN/EIN number of the test vehicle/
engine. If necessary, the OEM evaporative emission readiness monitor may 
remain unset for dedicated gaseous fuel conversion systems.
    (iii) In addition to conducting OBD testing described in this 
paragraph (b)(9), you must submit to EPA the following statement of 
compliance if the OEM vehicles/engines were required to be OBD-equipped:
    The test group/engine family converted to an alternative fuel has 
fully functional OBD systems and therefore meets the OBD requirements 
specified in 40 CFR part 86 when operating on the alternative fuel.
    (10) You must notify us by electronic submission in a format 
specified by the Administrator with all required documentation. The 
following must be submitted:
    (i) You must describe how your conversion system qualifies as a 
clean alternative fuel conversion. You must include emission test 
results from the required exhaust, evaporative emissions, and OBD 
testing, applicable exhaust and evaporative emissions standards and 
deterioration factors. You must also include a description of how the 
test vehicle/engine selected qualifies as a worst-case vehicle/engine 
under 40 CFR 86.1828-10 or 40 CFR 86.096-24(b)(2) through (b)(3) as 
applicable.
    (ii) You must describe the group of vehicles/engines (conversion 
test group/conversion engine family) that are covered by your 
notification based on the criteria specified in paragraph (b)(1) or 
(b)(2) of this section.
    (iii) In lieu of specific test data, you may submit the following 
attestations for the appropriate statements of compliance, if you have 
sufficient basis to prove the statement is valid.

[[Page 317]]

    (A) The test group/engine family converted to an alternative fuel 
has properly exercised the optional and applicable statements of 
compliance or waivers in the certification regulations such as those 
specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. 
Attest to each statement or waiver in your notification.
    (B) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the OEM fuel system, engine calibration, and 
emission control system functionality when operating on the fuel with 
which the vehicle/engine was originally certified.
    (C) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the functionality of the OEM OBD system (if 
the OEM vehicles/engines were required to be OBD equipped) when 
operating on the fuel for which the vehicle/engine was originally 
certified.
    (D) The test group/engine family converted to dual-fuel or mixed-
fuel operation properly purges hydrocarbon vapor from the evaporative 
emission canister when the vehicle/engine is operating on the 
alternative fuel.
    (iv) Include any other information as the Administrator may deem 
appropriate to establish that the conversion system is for the purpose 
of conversion to a clean alternative fuel and meets applicable emission 
standards.
    (11) [Reserved]
    (12) Your exemption from the prohibition on tampering remains valid 
for the applicable conversion test group/engine family and/or 
evaporative/refueling family, as long as the conditions under which you 
previously complied remain unchanged, such as small volume manufacturer 
or qualified small volume test group/engine family status. Your 
exemption from tampering is valid only if the conversion is installed on 
the OEM test groups/engine families and/or evaporative emissions/
refueling families listed on the notification. For example, if you have 
complied properly with the provisions in this section in calendar year 
2011 for converting a model year 2006 OEM test group/evaporative/
refueling family, your exemption from tampering continues to apply for 
the conversion of the same model year 2006 OEM test group/evaporative/
refueling family as long as the conditions under which the notification 
was submitted remain unchanged.
    (13) Conversion systems must be properly installed and adjusted such 
that the vehicle/engine operates consistent with the principles of good 
engineering judgment and in accordance with all applicable regulations.

[76 FR 19866, Apr. 8, 2011, as amended at 79 FR 23681, Apr. 28, 2014]



Sec.  85.520  Exemption provisions for outside useful life vehicles/engines.

    (a) You are exempted from the tampering prohibition with respect to 
outside useful life vehicles/engines if you properly document and notify 
EPA that the conversion system satisfies all the provisions in this 
section; you meet the labeling requirements in Sec.  85.530 before you 
sell, import or otherwise facilitate the use of a clean alternative fuel 
conversion system; and you meet the applicable requirements in Sec.  
85.535. You may also meet the requirements under this section by 
complying with the provisions in Sec.  85.515.
    (b) Documenting and notifying EPA under this section includes the 
following provisions:
    (1) You must notify us as described in this section.
    (2) Conversion test groups, evaporative/refueling families, and 
conversion engine families may be the same as those allowed for the 
intermediate age vehicle/engine program in Sec.  85.515(b)(1) and (2).
    (3) You must use good engineering judgment to specify, use, and 
assemble fuel system components and other hardware and software that are 
properly designed and matched for the vehicles/engines in which they 
will be installed. Good engineering judgment also dictates that any 
testing or data used to satisfy demonstration requirements be generated 
at a quality laboratory that follows good laboratory practices and that 
is capable of performing official EPA emission tests.
    (4) OBD requirements. (i) The OBD system must properly detect and 
identify malfunctions in all monitored emission-related powertrain 
systems or components including any new monitoring capability necessary 
to identify

[[Page 318]]

potential emission problems associated with the new fuel. These include 
but are not limited to: Fuel trim lean and rich monitors, catalyst 
deterioration monitors, engine misfire monitors, oxygen sensor 
deterioration monitors, EGR system monitors, if applicable, and vapor 
leak monitors, if applicable. No original OBD system monitor that is 
still applicable to the vehicle/engine may be aliased, removed, 
bypassed, or turned-off. No MILs shall be illuminated after the 
conversion. Readiness flags must be properly set for all monitors that 
identify any malfunction for all monitored components.
    (ii) Subsequent to the vehicle/engine fuel conversion, you must 
clear all OBD codes and reset all OBD monitors to not-ready status using 
an OBD scan tool appropriate for the OBD system in the vehicle/engine in 
question. You must operate the vehicle/engine with the new fuel on 
representative road operation or chassis dynamometer/engine dynamometer 
testing cycles to satisfy the monitors' enabling criteria. When all 
monitors have reset to a ready status, you must submit an OBD scan tool 
report showing that with the vehicle/engine operating in the key-on/
engine-on mode, all supported monitors have reset to a ready status and 
no emission related ``pending'' (or potential) or ``confirmed'' (or MIL-
on) diagnostic trouble codes (DTCs) have been stored. The MIL must not 
be commanded ``On'' or be illuminated. A MIL check must also be 
conducted in a key-on/engine-off mode to verify that the MIL is 
functioning properly. You must include the VIN/EIN number of the test 
vehicle/engine. If necessary, the OEM evaporative emission readiness 
monitor may remain unset for dedicated gaseous fuel conversion systems.
    (iii) In addition to conducting OBD testing described in this 
paragraph (b)(4), you must submit to EPA the following statement of 
compliance if the OEM vehicles/engines were required to be OBD-equipped:
    The test group/engine family converted to an alternative fuel has 
fully functional OBD systems and therefore meets the OBD requirements 
specified in 40 CFR part 86 when operating on the alternative fuel.
    (5) Conversion test groups/engine families for conversions to dual-
fuel or mixed-fuel vehicles/engines may not include vehicles/engines 
subject to different emissions standards unless applicable exhaust and 
OBD demonstrations are also conducted for the original fuel(s) 
demonstrating compliance with the most stringent standard represented in 
the test group. However the data generated from testing on the new fuel 
for dual-fuel or mixed-fuel test vehicles/engines may be carried over to 
vehicles/engines that otherwise meet the conversion test group/engine 
family criteria and for which the test vehicle/engine data demonstrate 
compliance with the applicable vehicle/engine standards. Clean 
alternative fuel conversion evaporative families for dual-fuel or mixed-
fuel vehicles/engines cannot include vehicles/engines that were 
originally certified to different evaporative emissions standards.
    (6) You must notify us by electronic submission in a format 
specified by the Administrator with all required documentation. The 
following must be submitted.
    (i) You must describe how your conversion system complies with the 
good engineering judgment criteria in Sec.  85.520(b)(3) and/or other 
requirements under this subpart or other applicable subparts such that 
the conversion system qualifies as a clean alternative fuel conversion. 
The submission must provide a level of technical detail sufficient for 
EPA to confirm the conversion system's ability to maintain or improve on 
emission levels in a worst case vehicle/engine. The submission of 
technical information must include a complete characterization of 
exhaust and evaporative emissions control strategies, the fuel delivery 
system, durability, and specifications related to OBD system 
functionality. You must present detailed information to confirm the 
durability of all relevant new and existing components and to explain 
why the conversion system will not harm the emission control system or 
degrade the emissions. EPA may ask you to supply additional information, 
including test data, to support the claim that the conversion system 
does not increase emissions and involves good engineering judgment that 
is

[[Page 319]]

being applied for purposes of conversion to a clean alternative fuel.
    (ii) You must describe the group of vehicles/engines (conversion 
test group/conversion engine family) that is covered by your 
notification based on the criteria specified in paragraph (b)(2) of this 
section.
    (iii) In lieu of specific test data, you may submit the following 
attestations for the appropriate statements of compliance, if you have 
sufficient basis to prove the statement is valid.
    (A) The test group/engine family converted to an alternative fuel 
has properly exercised the optional and applicable statements of 
compliance or waivers in the certification regulations such as those 
specified in 40 CFR part 86, subparts A, B, and S and 40 CFR part 1065. 
Attest to each statement or waiver in your notification.
    (B) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the OEM fuel system, engine calibration, and 
emission control system functionality when operating on the fuel with 
which the vehicle/engine was originally certified.
    (C) The test group/engine family converted to dual-fuel or mixed-
fuel operation retains all the functionality of the OEM OBD system (if 
the OEM vehicles/engines were required to be OBD equipped) when 
operating on the fuel with which the vehicle/engine was originally 
certified.
    (D) The test group/engine family converted to dual-fuel or mixed-
fuel operation properly purges hydrocarbon vapor from the evaporative 
emission canister when the vehicle/engine is operating on the 
alternative fuel.
    (E) The test group/engine family converted to an alternative fuel 
uses fueling systems, evaporative emission control systems, and engine 
powertrain components that are compatible with the alternative fuel and 
designed with the principles of good engineering judgment.
    (iv) You must include any other information as the Administrator may 
deem appropriate, which may include test data, to establish the 
conversion system is for the purpose of conversion to a clean 
alternative fuel.
    (7) Conversion systems must be properly installed and adjusted such 
that the vehicle/engine operates consistent with the principles of good 
engineering judgment and in accordance with all applicable regulations.
    (8) EPA may ask for any documentation and/or ask you to conduct 
emission testing to demonstrate the conversion is for the purpose of a 
clean alternative fuel.

[76 FR 19866, Apr. 8, 2011, as amended at 79 FR 23681, Apr. 28, 2014]



Sec.  85.524  Legacy standards.

    Prior to April 8, 2011, the following emission standards applied for 
conversions of vehicles/engines with an original model year of 1992 or 
earlier:
    (a) Exhaust hydrocarbons. Light-duty vehicles must meet the Tier 0 
hydrocarbon standard specified in 40 CFR 86.094-8. Light-duty trucks 
must meet the Tier 0 hydrocarbon standard specified in 40 CFR 86.094-9. 
Otto-cycle heavy-duty engines must meet the hydrocarbon standard 
specified in 40 CFR 86.096-10. Diesel heavy-duty engines must meet the 
hydrocarbon standard in 40 CFR 86.096-11.
    (b) CO, NOX and particulate matter. Vehicles/engines must 
meet the CO, NOX, and particulate matter emission standards 
that applied for the vehicle's/engine's original model year. If the 
engine was certified with a Family Emission Limit, as noted on the 
emission control information label, the modified engine may not exceed 
this Family Emission Limit.
    (c) Evaporative hydrocarbons. Vehicles/engines must meet the 
evaporative hydrocarbon emission standards that applied for the 
vehicle's/engine's original model year.



Sec.  85.525  Applicable standards.

    To qualify for an exemption from the tampering prohibition, 
vehicles/engines that have been converted to operate on a different fuel 
must meet emission standards and related requirements as described in 
this section. The modified vehicle/engine must meet the requirements 
that applied for the OEM vehicle/engine, or the most stringent OEM 
vehicle/engine standards in any allowable grouping. Fleet average 
standards do not apply unless clean alternative fuel conversions are 
specifically listed as subject to the standards.

[[Page 320]]

    (a) If the vehicle/engine was certified with a Family Emission Limit 
for NOX, NOX+HC, NOX+NMOG, or 
particulate matter, as noted on the vehicle/engine emission control 
information label, the modified vehicle/engine may not exceed this 
Family Emission Limit.
    (b) Compliance with greenhouse gas emission standards is 
demonstrated as follows:
    (1) Subject to the following exceptions and special provisions, 
compliance with light-duty vehicle greenhouse gas emission standards is 
demonstrated by complying with the N2O and CH4 
standards and provisions set forth in 40 CFR 86.1818-12(f)(1) and the 
in-use CO2 exhaust emission standard set forth in 40 CFR 
86.1818-12(d) as determined by the OEM for the subconfiguration that is 
identical to the fuel conversion emission data vehicle (EDV):
    (i) If the OEM complied with the light-duty greenhouse gas standards 
using the fleet averaging option for N2O and CH4, 
as allowed under 40 CFR 86.1818-12(f)(2), the calculations of the 
carbon-related exhaust emissions require the input of grams/mile values 
for N2O and CH4, and you are not required to 
demonstrate compliance with the standalone CH4 and 
N2O standards.
    (ii) If the OEM complied with alternate standards for N2O 
and/or CH4, as allowed under 40 CFR 86.1818-12(f)(3), you may 
demonstrate compliance with the same alternate standards.
    (iii) If the OEM complied with the nitrous oxide (N2O) 
and methane (CH4) standards and provisions set forth in 40 
CFR 86.1818-12(f)(1) or (3), and the fuel conversion CO2 
measured value is lower than the in-use CO2 exhaust emission 
standard, you also have the option to convert the difference between the 
in-use CO2 exhaust emission standard and the fuel conversion 
CO2 measured value into GHG equivalents of CH4 
and/or N2O, using 298 g CO2 to represent 1 g 
N2O and 25 g CO2 to represent 1 g CH4. 
You may then subtract the applicable converted values from the fuel 
conversion measured values of CH4 and/or N2O to 
demonstrate compliance with the CH4 and/or N2O 
standards.
    (iv) Optionally, compliance with greenhouse gas emission 
requirements may be demonstrated by comparing emissions from the vehicle 
prior to the fuel conversion to the emissions after the fuel conversion. 
This comparison must be based on FTP test results from the emission data 
vehicle (EDV) representing the pre-conversion test group. The sum of 
CO2, CH4, and N2O shall be calculated 
for pre- and post-conversion FTP test results, where CH4 and 
N2O are weighted by their global warming potentials of 25 and 
298, respectively. The post-conversion sum of these emissions must be 
lower than the pre-conversion conversion greenhouse gas emission 
results. CO2 emissions are calculated as specified in 40 CFR 
600.113-12. If statements of compliance are applicable and accepted in 
lieu of measuring N2O, as permitted by EPA regulation, the 
comparison of the greenhouse gas results also need not measure or 
include N2O in the before and after emission comparisons.
    (2) Compliance with heavy-duty engine greenhouse gas emission 
standards is demonstrated by complying with the CO2, 
N2O, and CH4 standards (or FELs, as applicable) 
and provisions set forth in 40 CFR 1036.108 for the engine family that 
is represented by the fuel conversion emission data engine (EDE). The 
following additional provisions apply:
    (i) If the fuel conversion CO2 measured value is lower 
than the CO2 standard (or FEL, as applicable), you have the 
option to convert the difference between the CO2 standard (or 
FEL, as applicable) and the fuel conversion CO2 measured 
value into GHG equivalents of CH4 and/or N2O, 
using 298 g/hp-hr CO2 to represent 1 g/hp-hr N2O. 
Similarly, you may use 34 g/hp-hr CO2 to represent 1 g/hp-hr 
CH4 for model year 2021 and later engines, and you may use 25 
g/hp-hr CO2 to represent 1 g/hp-hr CH4 for earlier 
engines. You may then subtract the applicable converted values from the 
fuel conversion measured values of CH4 and/or N2O 
to demonstrate compliance with the CH4 and/or N2O 
standards (or FEL, as applicable).
    (ii) Small volume conversion manufacturers may demonstrate 
compliance with N2O standards based on an engineering 
analysis.
    (iii) For conversions of engines installed in vocational vehicles 
subject to Phase 2 standards under 40 CFR 1037.105 or in tractors 
subject to Phase

[[Page 321]]

2 standards under 40 CFR 1037.106, conversion manufacturers may omit a 
demonstration related to the vehicle-based standards, as long as they 
have a reasonable technical basis for believing that the modified 
vehicle continues to meet those standards.
    (3) Subject to the following exceptions and special provisions, 
compliance with greenhouse gas emission standards for heavy-duty 
vehicles subject to 40 CFR 86.1819 is demonstrated by complying with the 
N2O and CH4 standards and provisions set forth in 
40 CFR 86.1819 and the in-use CO2 exhaust emission standard 
set forth in 40 CFR 86.1819-14(b) as determined by the OEM for the 
subconfiguration that is identical to the fuel conversion emission data 
vehicle (EDV):
    (i) If the OEM complied with alternate standards for N2O 
and/or CH4, as allowed under 40 CFR 86.1819-14(c) you may 
demonstrate compliance with the same alternate standards.
    (ii) If you are unable to meet either the N2O or 
CH4 standards and your fuel conversion CO2 
measured value is lower than the in-use CO2 exhaust emission 
standard, you may also convert the difference between the in-use 
CO2 exhaust emission standard and the fuel conversion 
CO2 measured value into GHG equivalents of CH4 
and/or N2O, using 298 g CO2 to represent 1 g 
N2O. Similarly, you may use 34 g CO2 to represent 
1 g CH4.for model year 2021 and later vehicles, and you may 
use 25 g CO2 to represent 1 g CH4 for earlier 
vehicles. You may then subtract the applicable converted values from the 
fuel conversion measured values of CH4 and/or N2O 
to demonstrate compliance with the CH4 and/or N2O 
standards.
    (iii) You may alternatively comply with the greenhouse gas emission 
requirements by comparing emissions from the vehicle before and after 
the fuel conversion. This comparison must be based on FTP test results 
from the emission data vehicle (EDV) representing the pre-conversion 
test group. The sum of CO2, CH4, and 
N2O shall be calculated for pre- and post-conversion FTP test 
results, where CH4 and N2O are weighted by their 
global warming potentials as described in paragraph (b)(3)(ii) of this 
section. The post-conversion sum of these emissions must be lower than 
the pre-conversion greenhouse gas emission result. Calculate 
CO2 emissions as specified in 40 CFR 600.113. If we waive 
N2O measurement requirements based on a statement of 
compliance, disregard N2O for all measurements and 
calculations under this paragraph (b)(3)(iii).
    (c) Conversion systems for engines that would have qualified for 
chassis certification at the time of OEM certification may use those 
procedures, even if the OEM did not. Conversion manufacturers choosing 
this option must designate test groups using the appropriate criteria as 
described in this subpart and meet all vehicle chassis certification 
requirements set forth in 40 CFR part 86, subpart S.

[81 FR 73971, Oct. 25, 2016]



Sec.  85.530  Vehicle/engine labels and packaging labels.

    (a) The following labeling requirements apply for clean alternative 
fuel conversion manufacturers to qualify for an exemption from the 
tampering prohibition:
    (1) You must make a supplemental emission control information label 
for each clean alternative fuel conversion system.
    (2) On the supplemental label you must identify the OEM vehicles/
engines for which you authorize the use of your clean alternative fuel 
conversion system, consistent with the requirements of this subpart. You 
may do this by identifying the OEM test group/engine family names and 
original model year to which your conversion is applicable as described 
in Sec.  85.510(b)(1) or Sec.  85.510(b)(2), Sec.  85.515(b)(10)(ii), or 
Sec.  85.520(b)(6)(ii). Your commercial packaging materials must also 
clearly describe this information.
    (3) You must include the following on the supplemental label:
    (i) You must state that the vehicle/engine has been equipped with a 
clean alternative fuel conversion system designed to allow it to operate 
on a fuel other than the fuel it was originally certified to operate on. 
Identify the fuel or fuels the vehicle/engine is designed to use and 
provide a unique conversion test group/conversion engine

[[Page 322]]

family name and conversion evaporative/refueling emissions family name.
    (ii) You must identify your corporate name, address, and telephone 
number.
    (iii) You must include one of the following statements that 
describes how you comply under this subpart and any applicable mileage 
or age restrictions due to how compliance was demonstrated:
    (A) ``This clean alternative fuel conversion system has been 
certified to meet EPA emission standards.''
    (B) ``Testing has shown that this clean alternative fuel conversion 
system meets EPA emission standards under the intermediate age vehicle/
engine program.''
    (C) ``This conversion system is for the purpose of use of a clean 
alternative fuel in accordance with EPA regulations and is applicable 
only to vehicles/engines that are older than 11 years or 120,000 
miles.'' (Values must be adjusted to reflect OEM useful life; useful 
life in hours should be added, if applicable).
    (iv) State the following: ``This conversion was manufactured and 
installed consistent with the principles of good engineering judgment 
and all U.S. EPA regulations.''
    (4) On the supplemental label, you must identify any original parts 
that will be removed for the conversion and any associated changes in 
maintenance specifications.
    (5) On the supplemental label, you must include the date of 
conversion and the mileage of the vehicle/engine at the time of 
conversion. Include the hours of operation instead of mileage, if 
applicable.
    (b) The supplemental emission control information label shall be 
placed in a permanent manner adjacent to the vehicle's/engine's original 
emission control information label if possible. If it is impractical to 
place the supplemental label adjacent to the original label, it must be 
placed where it will be seen by a person viewing the original label on a 
part that is needed for normal operation and does not normally need 
replacement. If the supplemental label information cannot fit on one 
label, the information can be logically split among two labels that are 
both near the original VECI or engine label.
    (c) All information provided on clean alternative fuel conversion 
system packaging must be consistent with the required vehicle/engine 
labeling information.
    (d) Examples of all labeling and warranty information must be 
provided as part of the application for certification or notification 
process.
    (e) The marketing material and label information for a given 
conversion system must be consistent with the conversion manufacturer's 
demonstration/notification to EPA for that system.



Sec.  85.535  Liability, recordkeeping, and end of year reporting.

    (a) Clean alternative fuel conversion manufacturers are liable for 
in-use performance of their conversion systems as outlined in this part.
    (b) We may conduct or require testing on any vehicles/engines as 
allowed under the Clean Air Act. This may involve confirmatory testing, 
in-use testing, and/or selective enforcement audits for clean 
alternative fuel conversion systems. Dual-fuel vehicles/engines may be 
tested when operating on any of the fuels. Mixed-fuel vehicles/engines 
may be tested on any fuel blend ratio that is expected to occur during 
normal operation.
    (c) Except for an application for certification, your actions to 
document compliance and notify us under this subpart are not a request 
for our approval. We generally do not give any formal approval short of 
issuing a certificate of conformity. However, if we learn that your 
actions fall short of full compliance with applicable requirements we 
may notify you that you have not met applicable requirements or that we 
need more information to make that determination. The exemption from the 
tampering prohibition may be void ab initio if the conversion 
manufacturer has not satisfied all of the applicable provisions of this 
subpart even if a submission to EPA has been made and the conversion 
system appears on EPA's publicly available list of compliant systems.

[[Page 323]]

    (d) Clean alternative fuel conversion manufacturers must accept in-
use liability for warranty, are subject to defect reporting 
requirements, and may be required to recall any parts or systems for 
which the failure can be traced to the conversion, regardless of whether 
installation was proper or improper. The OEM shall remain liable for the 
performance of any parts or systems which retain their original function 
following conversion and are unaffected by the conversion.
    (e) Clean alternative fuel conversion manufacturers must keep 
sufficient records for five years from the date of notification or 
certification, or the date of the last conversion installation, 
whichever is later, to show that they meet applicable requirements.
    (f) Clean alternative fuel conversion manufacturers must submit an 
end of the year sales report to EPA describing the number of clean 
alternative fuel conversions by fuel type(s) and vehicle test group/
engine family by January 31 of the following year. The number of 
conversions is the sum of the calendar year intermediate age 
conversions, outside useful life conversions, and the same conversion 
model year certified clean alternative fuel conversions. The number of 
conversions will be added to any other vehicle and engine sales 
accounted for using 40 CFR 86.1838-01 or 40 CFR 86.098-14 as appropriate 
to determine small volume manufacturer or qualified small volume test 
group/engine family status.
    (g) Conversion manufacturers who market conversion systems for use 
on vehicles/engines other than the test group/engine families and 
evaporative/refueling families covered by the compliance demonstration 
and notification may be liable for a tampering violation for each 
vehicle/engine to which conversion system is misapplied.

Subparts G-N [Reserved]



                Subpart O_Urban Bus Rebuild Requirements

    Source: 58 FR 21386, Apr. 21, 1993, unless otherwise noted.



Sec.  85.1401  General applicability.

    The requirements of this subpart shall be applicable to 1993 and 
earlier model year urban buses operating in consolidated metropolitan 
statistical areas and metropolitan statistical areas with a 1980 
population of 750,000 or more that have their engines rebuilt or 
replaced after January 1, 1995.



Sec.  85.1402  Definitions.

    The definitions of this section apply to this subpart.
    Agency means the Environmental Protection Agency.
    Certified equipment or Retrofit/Rebuild Equipment means equipment 
certified in accordance with the certification regulations contained in 
this subpart.
    Emission related parts means those parts installed for the specific 
purpose of controlling emissions or those components, systems, or 
elements of design which must function properly to assure continued 
emission compliance.
    Engine configuration means the set of components, tolerances, 
specifications, design parameters, and calibrations related to the 
emissions performance of the engine and specific to a subset of an 
engine family having a unique combination of displacement, fuel 
injection calibration, auxiliary emission control devices and emission 
control system components.
    Engine rebuild means an activity, occurring over one or more 
maintenance events, involving:
    (1) Disassembly of the engine including the removal of the cylinder 
head(s); and
    (2) The replacement or reconditioning of more than one major 
cylinder component in more than half of the cylinders.
    Engine replacement means the removal of an engine from the coach 
followed by the installation of another engine.
    In-use compliance period for purposes of in-use testing means a 
period of 150,000 miles.
    Maintenance event means a single maintenance activity for which the 
engine is removed from service. Once the engine is returned to service, 
the maintenance event is considered done.

[[Page 324]]

    Major cylinder component means piston assembly, cylinder liner, 
connecting rod, or piston ring set.
    MOD Director means Director of Manufacturers Operations Division, 
Office of Mobile Sources--Office of Air and Radiation of the 
Environmental Protection Agency.
    Office Director means the Director for the Office of Mobile 
Sources--Office of Air and Radiation of the Environmental Protection 
Agency or an authorized representative of the Office Director.
    Operator means transit authority, state, city department, or private 
or public entity controlling the use of one or more urban buses.
    Original engine configuration means the engine configuration at time 
of initial sale.
    Original equipment part means a part present in or on an engine at 
the time an urban bus is originally sold to the ultimate purchaser.
    Scheduled maintenance means those maintenance events required by the 
equipment certifier in order to ensure that the retrofitted engine will 
maintain its emissions performance over the in-use compliance period.
    Urban bus has the meaning set forth in Sec.  86.091-2 of this 
chapter.
    Written instructions for proper maintenance and use means those 
maintenance and operation instructions specified in the warranty as 
being necessary to assure compliance of the retrofit/rebuild equipment 
with applicable emission standards for the in-use compliance period.



Sec.  85.1403  Particulate standard for pre-1994 model year urban buses 
effective at time of engine rebuild or engine replacement.

    (a) Operators of urban buses in areas described in Sec.  85.1401 
shall be in compliance with one of the two programs described in 
paragraphs (b) and (c) of this section. An operator may switch between 
programs from year to year only if the operator has been in compliance 
with all the requirements of the newly chosen program at all times 
between January 1, 1995 and the date on which the operator chooses to 
switch programs.
    (b) Program 1: Performance based requirement. Program 1 requires 
that affected urban buses meet a particulate standard of 0.10 g/bhp-hr 
effective at time of engine rebuild or replacement and thereafter. The 
requirement to meet the 0.10 g/bhp-hr standard is automatically waived 
if no equipment has been certified that meets the 0.10 g/bhp-hr standard 
and has a life cycle cost of $7,940 or less (in 1992 dollars) for the 
engine being rebuilt. Program 1 contains fallback requirements for 
engines for which the 0.10 g/bhp-hr standard is waived. Such urban bus 
engines must receive equipment that provides a 25 percent reduction in 
particulate emissions relative to the particulate level of the original 
engine configuration. This 25 percent reduction requirement is 
automatically waived if no equipment has been certified for the engine 
being rebuilt that provides a 25 percent reduction in particulate 
emissions and has a life cycle cost $2,000 or less (in 1992 dollars). In 
cases where equipment is not available to either meet a 0.10 g/bhp-hr 
standard for less than the applicable cost ceiling or achieve a 25 
percent reduction for less than the applicable cost ceiling, the urban 
bus is required to be equipped with an engine rebuilt to the original 
engine configuration or a configuration certified to have a particulate 
level lower than that of the original engine configuration.
    (1) Exhaust emissions from any urban bus for which this subpart is 
applicable shall not exceed a particulate standard of 0.10 grams per 
brake horsepower-hour (0.037 grams per megajoule) if equipment is 
available for the engine model of such urban bus at time of engine 
rebuild or engine replacement, as specified in paragraph (b)(1)(i) of 
this section.
    (i) Equipment is available for a particular engine model if 
equipment has been certified to a particulate standard of 0.10 grams per 
brake horsepower-hour (0.037 grams per megajoule), and the equipment for 
the engine model has been approved for certification for six months or 
more, and has a life cycle cost as determined under paragraph (b)(1)(ii) 
of this section that does not

[[Page 325]]

exceed the life cycle cost ceiling specified in paragraph (b)(1)(iii) of 
this section.
    (ii) The life cycle cost of equipment is equal to the sum of the 
purchase price, the installation cost, the incremental fuel cost, the 
cost of any fuel additives required, and the incremental maintenance 
cost associated with the equipment each as defined in paragraphs 
(b)(1)(ii)(A) through (b)(1)(ii)(E) of this section minus an engine 
replacement credit as defined in paragraph (b)(1)(ii)(F) of this section 
if the equipment replaces an existing engine with a new engine.
    (A) The purchase price is defined as the price at which the 
equipment (including all parts necessary to install and operate the 
equipment properly) is offered to the operator. The purchase price 
excludes reasonable shipping and handling fees and taxes, and equipment 
costs incurred by the urban bus operator for a standard rebuild.
    (B)(1) The installation cost is defined as the labor cost of 
installing the equipment on an urban bus engine, incremental to a 
standard rebuild, based on a labor rate of $35 per hour. The 
installation cost is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.007

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (2) The estimated number of hours necessary to install the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec.  85.1407.
    (C) The incremental fuel cost is defined as the increased fuel costs 
or the fuel savings due to the use of the equipment. (By definition, 
fuel savings will be negative values.) The calculation of incremental 
fuel cost will depend on the type of equipment being installed.
    (1)(i) For equipment not requiring a change from on road federal 
diesel fuel, the incremental fuel cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.008

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (ii) The percent change in fuel economy will be determined as part 
of the equipment certification process, as detailed in Sec.  85.1407. If 
equipment causes the fuel economy of the engine to increase, the value 
of the fuel economy % reduction in the above equation shall be a 
negative value.
    (2) For equipment requiring a fuel other than on-road federal diesel 
fuel, the incremental fuel cost shall be calculated as follows:

[[Page 326]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.009

Where,
[GRAPHIC] [TIFF OMITTED] TN30AU93.010

    (i) For equipment/alternative fuel that is being certified under 
Sec.  85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is 129,104 
miles. For equipment/alternative fuel that is not being certified under 
Sec.  85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is based on the 
age of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                             Discounted
             Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 Years...................................................       229,478
6 Years...................................................       204,881
7 Years...................................................       180,703
8 Years...................................................       155,902
9 Years...................................................       131,505
10 Years..................................................       109,680
11 Years..................................................        90,608
12 Years..................................................        70,200
13 Years..................................................        48,364
14 Years..................................................        25,000
15 or more Years..........................................             0
------------------------------------------------------------------------

    (ii) The cost per mile for diesel fuel is calculated based on the 
following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.011

    (iii) For equipment/alternative fuel that is being certified under 
Sec.  85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the price of diesel fuel per gallon, excluding 
taxes, is $0.72 x (CPIR/CPI1992). For equipment/
alternative fuel that is not being certified under Sec.  85.1407 as 
available to all affected operators for less than the life cycle cost 
ceiling, the price of diesel fuel per gallon, excluding taxes, is the 
price at which the operator currently purchases diesel fuel, excluding 
taxes.
    (iv) The cost per mile for alternative fuels is calculated based on 
the following equation:

[[Page 327]]

[GRAPHIC] [TIFF OMITTED] TN30AU93.012

    (v) In order for the equipment/alternative fuel to be required, the 
fuel supplier must provide a contract to the urban bus operator 
specifying the cost of the fuel for the life of the engine being 
retrofitted. The contract must specify the maximum incremental cost, 
compared to the cost of diesel fuel on a per mile basis, at which the 
fuel will be sold. As part of the contract, the fuel supplier must also 
provide on-site facilities, meeting all applicable safety and fire code 
requirements, for refueling the urban bus engines being retrofitted, 
unless the operator already has sufficient refueling facilities or the 
operator agrees to use off-site refueling facilities.
    (vi) The fuel economy of the engine retrofitted with the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec.  85.1407.
    (D) For equipment requiring the use of a fuel additive, the fuel 
additive cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.013

    (1) For diesel-fueled engines, the fuel economy of the engine is 3.3 
miles per gallon. For alternatively-fueled engines, the fuel economy of 
the engine shall be determined as part of the equipment certification 
process, as detailed in Sec.  85.1407.
    (2) For equipment/fuel additive that is being certified under Sec.  
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. 
For equipment/fuel additive that is not being certified under Sec.  
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is based on the age 
of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                             Discounted
             Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 Years...................................................       229,478
6 Years...................................................       204,881
7 Years...................................................       180,703
8 Years...................................................       155,902
9 Years...................................................       131,505
10 Years..................................................       109,680
11 Years..................................................        90,608
12 Years..................................................        70,200
13 Years..................................................        48,364
14 Years..................................................        25,000
15 or more Years..........................................             0
------------------------------------------------------------------------

    (3) The price of the fuel additive is the price at which the fuel 
additive supplier supplies the fuel additive to the urban bus operator. 
In order for the equipment/fuel additive to be required, the equipment/
fuel additive supplier must provide a contract to the urban bus operator 
specifying the maximum

[[Page 328]]

cost at which the fuel additive will be sold for the life of the engine 
being retrofitted.
    (4) The amount of fuel additive required per gallon of diesel fuel 
will be determined as part of the equipment certification process, as 
detailed in Sec.  85.1407.
    (E) The incremental maintenance cost of the equipment is equal to 
the cost of the parts necessary for scheduled maintenance of the 
retrofit equipment incremental to cost of the parts necessary for 
maintenance of an original, non-retrofitted engine. The incremental 
maintenance cost will be determined as part of the equipment 
certification process, as detailed in Sec.  85.1407.
    (F) For equipment which replaces an existing urban bus engine with a 
new, previously unused engine, a credit will be applied to the life 
cycle cost. The engine replacement credit will be determined as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.014

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CP11992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (iii) The life cycle cost ceiling for complying with the 0.10 grams 
per brake horsepower-hour (0.037 grams per megajoule) particulate 
rebuild standard is calculated by the following equation at the time of 
rebuild:
[GRAPHIC] [TIFF OMITTED] TN30AU93.015

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (2) If no equipment meets the provisions of paragraph (b)(1) of this 
section for a particular model of urban bus engine, then any urban bus 
for which this subpart is applicable shall use equipment that has been 
certified to achieve at least a 25 percent reduction in particulate 
emissions from the original certified particulate emission level of the 
urban bus engine model being rebuilt, if such equipment is available as 
specified in paragraph (b)(2)(i) of this section. If no certification 
data exists for the emission level of the original urban bus engine 
configuration as initially certified, then other test data collected 
over the heavy-duty engine Federal Test Procedure, or an approved 
alternative test procedure prescribed under Sec.  85.1414, may be 
considered in determining the percent reduction.
    (i) Equipment is available for a particular engine model if 
equipment has been certified to achieve at least a 25 percent reduction 
in particulate emissions from original levels, and the equipment for the 
engine model has been approved for certification for six months or more, 
and has a life cycle cost as determined under paragraph (b)(2)(ii) of 
this section that does not exceed the life cycle cost ceiling specified 
in paragraph (b)(2)(iii) of this section.
    (ii) The life cycle cost of equipment is equal to the sum of the 
purchase price, the installation cost, the incremental fuel cost, the 
cost of any fuel additives required, and the incremental maintenance 
cost associated with the equipment each as defined in paragraphs 
(b)(2)(ii)(A) through (b)(2)(ii)(E) of this section minus an engine 
replacement credit as defined in paragraph (b)(2)(ii)(F) of this section 
if the

[[Page 329]]

equipment replaces an existing engine with a new engine.
    (A) The purchase price is defined as the price at which the 
equipment (including all parts necessary to install and operate the 
equipment properly) is offered to the operator. The purchase price 
excludes reasonable shipping and handling fees and taxes, and equipment 
costs incurred by the urban bus operator for a standard rebuild.
    (B)(1) The installation cost is defined as the labor cost of 
installing the equipment on an urban bus engine, incremental to a 
standard rebuild, based on a labor rate of $35 per hour. The 
installation cost is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.016

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (2) The estimated number of hours necessary to install the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec.  85.1407.
    (C) The incremental fuel cost is defined as the increased fuel costs 
or the fuel savings due to the use of the equipment. (By definition, 
fuel savings will be negative values.) The calculation of incremental 
fuel cost will depend on the type of equipment being installed.
    (1)(i) For equipment not requiring a change from on road federal 
diesel fuel, the incremental fuel cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.017

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (ii) The percent change in fuel economy will be determined as part 
of the equipment certification process, as detailed in Sec.  85.1407. If 
equipment causes the fuel economy of the engine to increase, the value 
of the fuel economy % reduction in the above equation shall be a 
negative value.
    (2) For equipment requiring a fuel other than on road federal diesel 
fuel, the incremental fuel cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.018


[[Page 330]]


Where,
[GRAPHIC] [TIFF OMITTED] TN30AU93.019

    (i) For equipment/alternative fuel that is being certified under 
Sec.  85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is 129,104 
miles. For equipment/alternative fuel that is not being certified under 
Sec.  85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the discounted lifetime mileage is based on the 
age of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                              Discounted
              Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 years....................................................      229,478
6 years....................................................      204,881
7 years....................................................      180,703
8 years....................................................      155,902
9 years....................................................      131,505
10 years...................................................      109,680
11 years...................................................       90,608
12 years...................................................       70,200
13 years...................................................       48,364
14 years...................................................       25,000
15 or more years...........................................            0
------------------------------------------------------------------------

    (ii) The cost per mile for diesel fuel is calculated based on the 
following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.020

    (iii) For equipment/alternative fuel that is being certified under 
Sec.  85.1407 as available to all affected operators for less than the 
life cycle cost ceiling, the price of diesel fuel per gallon, excluding 
taxes, is $0.72 x (CPIR/CPI1992). For equipment/
alternative fuel that is not being certified under Sec.  85.1407 as 
available to all affected operators for less than the life cycle cost 
ceiling, the price of diesel fuel per gallon, excluding taxes, is the 
price at which the operator currently purchases diesel fuel, excluding 
taxes.
    (iv) The cost per mile for alternative fuels is calculated based on 
the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.021

    (v) In order for the equipment/alternative fuel to be required, the 
fuel supplier must provide a contract to the urban bus operator 
specifying the cost of the fuel for the life of the engine being 
retrofitted. The contract must

[[Page 331]]

specify the incremental cost, compared to the cost of diesel fuel on a 
per mile basis, at which the fuel will be sold. As part of the contract, 
the fuel supplier must also provide on-site facilities, meeting all 
applicable safety and fire code requirements, for refueling, the urban 
bus engines being retrofitted, unless the operator already has 
sufficient refueling facilities or the operator agrees to use off-site 
refueling facilities. The fuel supplier must also provide for any 
modifications to existing facilities that are necessary due to the use 
of the equipment/alternative fuel to meet applicable safety and fire 
code requirements.
    (vi) The fuel economy of the engine retrofitted with the equipment 
will be determined as part of the equipment certification process, as 
detailed in Sec.  85.1407.
    (D) For equipment requiring the use of a fuel additive, the fuel 
additive cost shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.022

    (1) For diesel-fueled engines, the fuel economy of the engine is 3.3 
miles per gallon. For alternatively-fueled engines, the fuel economy of 
the engine shall be determined as part of the equipment certification 
process, as detailed in Sec.  85.1407.
    (2) For equipment/fuel additive that is being certified under Sec.  
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is 129,104 miles. 
For equipment/fuel additive that is not being certified under Sec.  
85.1407 as available to all affected operators for less than the life 
cycle cost ceiling, the discounted lifetime mileage is based on the age 
of the urban bus engine being rebuilt as specified in the following 
table:

------------------------------------------------------------------------
                                                              Discounted
              Age of engine at time of rebuild                 lifetime
                                                                miles
------------------------------------------------------------------------
5 years....................................................      229,478
6 years....................................................      204,881
7 years....................................................      180,703
8 years....................................................      155,902
9 years....................................................      131,505
10 years...................................................      109,680
11 years...................................................       90,608
12 years...................................................       70,200
13 years...................................................       48,364
14 years...................................................       25,000
15 or more years...........................................            0
------------------------------------------------------------------------

    (3) The price of the fuel additive is the price at which the fuel 
additive supplier supplies the fuel additive to the urban bus operator. 
In order for the equipment/fuel additive to be required, the equipment/
fuel additive supplier must provide a contract to the urban bus operator 
specifying the maximum cost at which the fuel additive will be sold for 
the life of the engine being retrofitted.
    (4) The amount of fuel additive required per gallon of diesel fuel 
will be determined as part of the equipment certification process, as 
detailed in Sec.  85.1407.
    (E) The incremental maintenance cost of the equipment is equal to 
the cost of the parts necessary for scheduled maintenance of the 
retrofit equipment incremental to cost of the parts necessary for 
maintenance of an original, non-retrofitted engine. The incremental 
maintenance cost will be determined as part of the equipment 
certification process, as detailed in Sec.  85.1407.

[[Page 332]]

    (F) For equipment which replaces an existing urban bus engine with a 
new, previously unused engine, a credit will be applied to the life 
cycle cost. The engine replacement credit will be determined as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.023

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (iii) The life cycle cost ceiling for complying with the 25 percent 
particulate emission reduction requirement is calculated by the 
following equation at the time of rebuild:
[GRAPHIC] [TIFF OMITTED] TN30AU93.024

Where,

CPIR is the most recent published Consumer Price Index at 
          time of rebuild (for ``all items'' as published by the U.S. 
          Bureau of Labor Statistics).
CPI1992 is the Consumer Price Index (for ``all items'' as 
          published by the U.S. Bureau of Labor Statistics) for 1992.

    (3)(i) Urban buses covered by this subpart for which no equipment is 
available under paragraphs (b)(1) or (b)(2) of this section shall be 
equipped with one of the following:
    (A) The original engine rebuilt to its original engine configuration 
as specified in paragraph (b)(3)(ii) of this section; or
    (B) An engine identical to its original engine which has been 
rebuilt to its original configuration as specified in paragraph 
(b)(3)(ii) of this section; or
    (C) An engine of a configuration with a certification PM level lower 
than the original configuration; or
    (D) A replacement engine with a particulate matter certification 
level lower than the original engine.
    (ii) All replacement or rebuilt parts shall be equivalent to the 
original equipment specifications.
    (4) Notwithstanding paragraph (b)(3) of this section, if as of July 
1, 1996, no equipment has been certified to meet the cost ceiling 
requirements of paragraphs (b)(1) or (b)(2) of this section, then urban 
buses covered by this subpart shall be equipped with equipment that has 
been certified to achieve at least a 25 percent reduction in particulate 
emissions from the original certified particulate emission level of the 
urban bus engine model being rebuilt, provided the equipment does not 
require any of the following:
    (i) A switch from mechanical control to electronic control; or
    (ii) Installation of exhaust aftertreatment equipment; or
    (iii) The use of a fuel different from the fuel on which the engine 
currently operates.
    (c) Program 2: Averaging based program. Program 2 requires affected 
urban bus operators to meet an annual average fleet particulate 
emissions level, rather than requiring each individual rebuilt urban bus 
engine in the operator's fleet to meet a specific particulate emission 
level. Under Program 2, each affected fleet operator must reduce 
particulate emissions from its affected urban buses (i.e., 1993 and 
earlier model year urban buses) to a level low enough to meet an annual 
average target level for a fleet (TLF) for particulate emissions (in 
grams per brake horsepower-hour). The TLF is calculated for each year of 
the program beginning in 1996. During each calendar year, the average 
particulate emissions level from all of the operator's pre-1994 model 
year urban buses must be at or

[[Page 333]]

below the TLF for that calendar year. The TLF for a particular calendar 
year is calculated based on the Agency's determination of the projected 
emission level for each engine model in the operator's pre-1994 model 
year urban bus fleet, as specified in paragraph (c)(1)(iii) of this 
section, and based on a schedule for rebuilding of affected urban bus 
engines, as specified in paragraph (c)(1)(iv) of this section.
    (1) During each calendar year starting with 1996, urban bus 
operators shall be in compliance with an annual Target Level for a Fleet 
(TLF) of particulate emissions calculated using the equation defined in 
paragraph (c)(1)(i) of this section. Operators must comply with a TLF, 
rounded to two places after the decimal, until all pre-1994 urban buses 
have been retired from the operator's fleet.
    (i) An urban bus operator's annual Target Level for a Fleet (TLF) 
for a particular calendar year shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TN30AU93.025

Where,

CY is the calendar year.
MY is the model year.
BMY is the number of urban buses of that model year in the 
          operator's fleet as of January 1, 1995, plus any urban buses 
          of that model year added to the fleet after January 1, 1995.
WPMY is the weighted average of projected particulate 
          emissions for urban buses of that model year calculated using 
          the formula in paragraph (c)(1)(ii) of this section.

    (ii) The weighted average of projected particulate emissions for 
urban buses of a particular model year is calculated using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.026

Where,

MY is the model year.
z is the number of different engine models in the fleet of model year 
          MY.
Bz is the number of urban buses in the operator's fleet as of 
          January 1, 1995 (including those added after January 1, 1995) 
          equipped with a specific engine model of the given model year.
Pz is the projected particulate emission level of that engine 
          model provided in paragraphs (c)(1)(iii) and (c)(1)(iv) of 
          this section.

    (iii)(A) Pre-rebuild particulate emission levels and projected post-
rebuild particulate emission levels in grams per brake horsepower-hour 
(g/bhp-hr) are based on engine type and model year and are specified in 
the following table. The appropriate particulate level, pre-rebuild or 
post-rebuild, shall be determined using the information contained in 
paragraph (c)(1)(iv) of this section.

[[Page 334]]



----------------------------------------------------------------------------------------------------------------
                                                                                                      Projected
                                                                                        Pre-rebuild     post-
                                                                                        particulate    rebuild
                 Engine model                            Model year of engine            level (g/   particulate
                                                                                          bhp-hr)     level (g/
                                                                                                       bhp-hr)
----------------------------------------------------------------------------------------------------------------
DDC 6V92TA...................................  1979-1987..............................         0.50         0.30
                                               1988-1989..............................         0.30         0.10
DDC 6V92TA DDECI.............................  1986-1987..............................         0.30         0.30
DDC 6V92TA DDECII............................  1988-1991..............................         0.31         0.10
                                               1992...................................         0.25         0.10
                                               1993 (no trap).........................         0.25         0.10
                                               1993 (trap)............................         0.07         0.07
DDC Series 50................................  1993...................................         0.16         0.10
DDC 6V71N....................................  1973-1987..............................         0.50         0.50
                                               1988-1989..............................         0.50         0.10
DDC 6V71T....................................  1985-1986..............................         0.50         0.50
DDC 8V71N....................................  1973-1984..............................         0.50         0.50
DDC 6L71TA...................................  1990...................................         0.59         0.10
                                               1988-1989..............................         0.31         0.10
DDC 6L71TA DDEC..............................  1990-1991..............................         0.30         0.10
Cummins L10..................................  1985-1987..............................         0.65         0.65
                                               1988-1989..............................         0.55         0.10
                                               1990-1991..............................         0.46         0.10
Cummins L10 EC...............................  1992...................................         0.25         0.10
                                               1993 (trap)............................         0.05         0.05
Alternatively-fueled engines.................  Pre-1994...............................         0.10         0.10
Other engines................................  Pre-1988...............................         0.50         0.50
                                               1988-1993..............................        (\1\)        0.10
----------------------------------------------------------------------------------------------------------------
\1\ Certification level.

    (B) For the TLF calculations as specified in paragraph (c)(1)(iv) of 
this section, post-rebuild particulate emissions levels for a specific 
engine model shall be equal to the following:
    (1) 0.10 g/bhp-hr, for any engine model (other than any model year 
1984 and 1987 engine models, and those engine models indicated in 
paragraph (c)(1)(iii)(B)(4) of this section) for which equipment has 
been certified by July 1, 1994 as meeting the emission and cost 
requirements of paragraph (b)(1) of this section for all affected urban 
bus operators;
    (2) For any engine model for which no equipment has been certified 
by July 1, 1994 as meeting the requirements of paragraph (b)(1) of this 
section for all affected urban bus operators, (and for any model year 
1984 and 1987 engine models) for which equipment has been certified by 
July 1, 1994 as meeting the emission and cost requirements of paragraph 
(b)(2) of this section for all affected urban bus operators, the post-
rebuild particulate emission level shall equal the lowest emission level 
(greater than or equal to 0.10 g/bhp-hr) certified for any such 
equipment;
    (3) For any engine model for which no equipment has been certified 
by July 1, 1994 as meeting the emission and cost requirements of 
paragraph (b)(1) or paragraph (b)(2) of this section for all affected 
urban bus operators, the post-rebuild particulate emission level shall 
equal the pre-rebuild particulate level;
    (4) For any engine model with a pre-rebuild particulate level below 
0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal 
the pre-rebuild particulate level;
    (5) Notwithstanding paragraph (c)(1)(iii)(C)(3) of this section, if 
by July 1, 1994, no equipment has been certified for any of the engine 
models listed in the table at paragraph (c)(1)(iii)(A) of this section, 
then the post-rebuild particulate levels shall be as indicated in the 
table at paragraph (c)(1)(iii)(A) of this section.
    (C) For TLF calculations as specified in paragraph (c)(1)(iv) of 
this section, post-rebuild particulate emission levels for a specific 
engine model shall be equal to the following:
    (1) 0.10 g/bhp-hr, for any engine model (other than those indicated 
in paragraph (c)(1)(iii)(C)(4) of this section) for which equipment has 
been certified by July 1, 1996 as meeting the emission and cost 
requirements of paragraph

[[Page 335]]

(b)(1) of this section for all affected urban bus operators;
    (2) For any engine model for which no equipment has been certified 
by July 1, 1996 as meeting the requirements of paragraph (b)(1) of this 
section for all affected urban bus operators, but for which equipment 
has been certified by July 1, 1996 as meeting the emission and cost 
requirements of paragraph (b)(2) of this section for all affected urban 
bus operators, the post-rebuild particulate emission level shall equal 
the lowest emission level (greater than or equal to 0.10 g/bhp-hr) 
certified for any such equipment;
    (3) For any engine model for which no equipment has been certified 
by July 1, 1996 as meeting the requirements of either paragraph (b)(1) 
or paragraph (b)(2) of this section, the post-rebuild particulate 
emission level shall equal the pre-rebuild particulate level;
    (4) For any engine model with a pre-rebuild particulate level below 
0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal 
the pre-rebuild particulate level;
    (5) Notwithstanding paragraph (c)(1)(iii)(C)(3) of this section, if 
by July 1, 1996, no equipment has been certified to meet the emission 
requirements of paragraph (b)(1) or paragraph (b)(2) of this section for 
any of the engine models listed in the table at paragraph (c)(1)(iii)(A) 
of this section, then the post-rebuild particulate levels shall be the 
pre-rebuild particulate levels specified in the table at paragraph 
(c)(1)(iii)(A) of this section.
    (D) For TLF calculations as specified in paragraph (c)(1)(iv) of 
this section, post-rebuild particulate emission levels for a specific 
engine model shall be equal to the following:
    (1) 0.10 g/bhp-hr, for any engine model (other than those indicated 
in paragraph (c)(1)(iii)(D)(4) of this section) for which equipment has 
been certified by July 1, 1998 as meeting the emission and cost 
requirements of paragraph (b)(1) of this section for all affected urban 
bus operators;
    (2) For any engine model for which no equipment has been certified 
by July 1, 1998 as meeting the requirements of paragraph (b)(1) of this 
section for all affected urban bus operators, but for which equipment 
has been certified by July 1, 1996 as meeting the emission and cost 
requirements of paragraph (b)(2) of this section for all affected urban 
bus operators, the post-rebuild particulate emission level shall equal 
the lowest emission level (greater than or equal to 0.10 g/bhp-hr) 
certified by July 1, 1998 for any such equipment;
    (3) For any engine model for which no equipment has been certified 
by July 1, 1998 as meeting the emission and cost requirements of 
paragraph (b)(1) or (b)(2) of this section, the post-rebuild particulate 
emission level shall equal the pre-rebuild particulate level;
    (4) For any engine model with a pre-rebuild particulate level below 
0.10 g/bhp-hr, the post-rebuild particulate emission level shall equal 
the pre-rebuild particulate level;
    (5) Notwithstanding paragraph (c)(1)(iii)(D)(3) of this section, if 
by July 1, 1998, no equipment has been certified to meet the emission 
requirements of paragraph (b)(1) or (b)(2) of this section for any of 
the engine models listed in the table at paragraph (c)(1)(iii)(A) of 
this section, then the post-rebuild particulate levels shall be the pre-
rebuild particulate levels specified in the table at paragraph 
(c)(1)(iii)(A) of this section; and
    (6) Notwithstanding paragraph (c)(1)(iii)(D)(3) of this section, if 
by July 1, 1998, equipment has been certified to meet the emissions 
requirements of paragraph (b)(1) or (b)(2) of this section for any of 
the engine models listed in the table at paragraph (c)(1)(iii)(A) of 
this section, but no equipment has been certified by July 1, 1998 to 
meet the life-cycle cost requirements of paragraph (b)(1) or (b)(2) of 
this section, then the post-rebuild particulate levels shall be as 
specified in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                                                        Post-
                                                                                        Pre-rebuild   rebuild PM
                 Engine model                               Model year sold             PM level (g/  level (g/
                                                                                          bhp-hr)      bhp-hr)
----------------------------------------------------------------------------------------------------------------
DDC 6V92TA....................................  1979-1987.............................         0.50         0.30
                                                1988-1989.............................          .30          .30

[[Page 336]]

 
DDC 6V92TA DDECI..............................  1986-1987.............................          .30          .30
DDC 6V92TA DDECII.............................  1988-1991.............................          .31          .25
                                                1992..................................          .25          .25
                                                1993 (no trap)........................          .25          .25
                                                1993 (trap)...........................          .07          .07
DDC Series 50.................................  1993..................................          .16          .16
DDC 6V71N.....................................  1973-1987.............................          .50          .50
                                                1988-1989.............................          .50          .50
DDC 6V71T.....................................  1985-1986.............................          .50          .50
DDC 8V71N.....................................  1973-1984.............................          .50          .50
DDC 6L71TA....................................  1990..................................          .59          .59
                                                1988-1989.............................          .31          .31
DDC 6L71TA DDEC...............................  1990-1991.............................          .30          .30
Cummins L10...................................  1985-1987.............................          .65          .46
                                                1988-1989.............................          .55          .46
                                                1990-1991.............................          .46          .46
Cummins L10 EC................................  1992..................................          .25          .25
                                                1993 (trap)...........................          .05          .05
Alternatively-fueled Engines..................  Pre-1994..............................          .10          .10
Other Engines.................................  Pre-1988..............................          .50          .50
                                                1988-1993.............................        \(1)\        (\1\)
----------------------------------------------------------------------------------------------------------------
\(1)\ New engine certification level.

    (iv) To determine which particulate (PM) emission level from 
paragraph (c)(1)(iii) of this section is used for a particular model 
year engine in a fleet for the TLF of a given calendar year, use the 
following table:

------------------------------------------------------------------------
                       Year for which
   Model year of        TLF is being     Particulate emission level (see
       engine            calculated        Sec.   85.1403(c)(1)(iii))
------------------------------------------------------------------------
1993...............  1996-1998........  Pre-Rebuild Level.\1\
                     1999-2001........  Post-Rebuild Level.\3\
                     2002-thereafter..  Post-Rebuild Level.\4\
1992...............  1996-1998........  Pre-Rebuild Level.\1\
                     1999-2003........  Post-Rebuild Level.\3\
                     2004-thereafter..  Post-Rebuild Level.\4\
1991...............  1996-1997........  Pre-Rebuild Level.\1\
                     1998-2002........  Post-Rebuild Level.\3\
                     2003-thereafter..  Post-Rebuild Level.\4\
1990...............  1996-1999........  Pre-Rebuild Level.\1\
                     2000-thereafter..  Post-Rebuild Level.\4\
1989...............  1996-1999........  Pre-Rebuild Level.\1\
                     2000-thereafter..  Post-Rebuild Level.\4\
1988...............  1996-1998........  Pre-Rebuild Level.\1\
                     1999-thereafter..  Post-Rebuild Level.\3\
1987...............  1996-1998........  Post-Rebuild Level.\2\
                     1999-thereafter..  Post-Rebuild Level.\3\
1986...............  1996-1997........  Pre-Rebuild Level.\1\
                     1998-thereafter..  Post-Rebuild Level.\3\
1985...............  1996.............  Pre-Rebuild Level.\1\
                     1997-thereafter..  Post-Rebuild Level.\2\
1984...............  1996-thereafter..  Post-Rebuild Level.\2\
Pre-1984...........  1996-thereafter..  Pre-Rebuild Level.\1\
------------------------------------------------------------------------
\1\ The pre-rebuild PM level established in paragraph (c)(1)(iii)(A) of
  this section.
\2\ The post-rebuild PM level established pursuant to paragraph
  (c)(1)(iii)(B) of this section.
\3\ The post-rebuild PM level established pursuant to paragraph
  (c)(1)(iii)(C) of this section.
\4\ The post-rebuild PM level established pursuant to paragraph
  (c)(1)(iii)(D) of this section.

    (2) To determine compliance under this program, the TLF, rounded to 
two places after the decimal, shall be compared with an annual Fleet 
Level Attained (FLA) of particulate emissions calculated using the 
equation defined in paragraph (c)(2)(i) of this section, and also 
rounded to two places after the decimal. At all times during a given 
calendar year, the FLA must be at or below the TLF for the same calendar 
year in order for the fleet to be in compliance.

[[Page 337]]

    (i) An urban bus operator shall calculate its Fleet Level Attained 
(FLA) using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.027

Where,

MY is the model year.
MY1 is the model year of the oldest urban bus in an 
          operator's fleet.
BMY is the number of urban buses of model year MY in an 
          operator's fleet, excluding those urban buses older than 
          fifteen years that meet a 0.10 grams per brake horsepower-hour 
          particulate standard.
BR is the number of 1993 and earlier model year urban buses 
          retired since January 1, 1995 that would have been less than 
          15 years old, as calculated by the model year of the urban bus 
          on December 31st of the given calendar year, but does not 
          include retired urban buses that are replaced by other 1993 
          and earlier model year urban buses.
WEMY is the weighted average of engine-specific particulate 
          emissions for urban buses in that model year in an operator's 
          fleet, excluding those urban buses older than fifteen years 
          that meet a 0.10 grams per brake horsepower-hour particulate 
          standard, calculated using the formula in paragraph (c)(2)(ii) 
          of this section.

    (ii) The weighted average of engine specific particulate emissions 
for urban buses of a particular model year, excluding those urban buses 
older than fifteen years that meet a 0.10 grams per brake horsepower-
hour particulate standard is calculated using the following equation:
[GRAPHIC] [TIFF OMITTED] TN30AU93.028

Where,

q is the number of different engine configurations in a given model 
          year, excluding those urban buses older than fifteen years 
          that meet a 0.10 grams per brake horsepower-hour particulate 
          standard.
Bq is the number of urban buses with a specific engine 
          configuration.
Eq is the engine-specific particulate emission level for a 
          given configuration.

    (iii) The Eq shall be defined as:
    (A) The pre-rebuild level as specified in paragraph (c)(1)(iii) of 
this section in cases where an engine has not been rebuilt after January 
1, 1995 or has been rebuilt to its original configuration; or
    (B) The particulate emission level (in grams per brake horsepower-
hour) achieved after installing emission control equipment on the urban 
bus at time of rebuild, where an engine has been rebuilt using emission 
control equipment after January 1, 1995. Such particulate emission 
levels will be established by the equipment certifier during equipment 
certification; or
    (C) 0.10 grams per brake horsepower-hour (0.037 grams per megajoule) 
for urban buses covered by the provisions

[[Page 338]]

specified in paragraph (d)(1) of this section; or
    (D) The particulate emission level (in grams per brake horsepower-
hour) of the upgrade engine configuration for urban buses covered by the 
provisions specified in paragraph (d)(3) of this section; or
    (E) The particulate emission level (in grams per brake horsepower-
hour) determined by applying an additional percent reduction in 
particulate emissions to the particulate levels determined in paragraphs 
(c)(2)(iii)(A) through (c)(2)(iii)(D) of this section for those urban 
buses operating on diesel-based fuels which achieve particulate 
reductions beyond federally required diesel fuel with 0.05 weight 
percent sulfur content. Such additional percent reductions will be 
determined through certification of such diesel-based fuels as specified 
in Sec.  85.1407.
    (d)(1) Operators of urban buses covered by this subpart which have 
had particulate traps installed prior to January 1, 1995, or are powered 
by an alternative fuel that significantly reduces particulate emissions 
compared to emissions from diesel fuel, may assume that such urban buses 
are operating at a PM level of 0.10 grams per brake horsepower-hour 
(0.037 grams per megajoule) for purposes of meeting the requirements set 
forth in paragraphs (b) and (c) of this section as long as such urban 
buses have engines that are properly calibrated and maintained in 
accordance with equipment manuals and instructions, and the operator has 
no reason to believe otherwise.
    (2) Any urban buses which have had particulate traps installed prior 
to January 1, 1995, or are powered by a fuel that significantly reduces 
particulate emissions compared to emissions from diesel fuel, whose 
engines have not been properly calibrated and maintained in accordance 
with equipment manuals and instructions or the operator has reason to 
believe otherwise, shall be treated as if such equipment was not 
installed for purposes of determining compliance with paragraphs (b) and 
(c) of this section.
    (3) Operators of urban buses covered by this subpart which have 
upgrade kits installed prior to January 1, 1995, may assume that such 
urban buses are operating at the PM level of the upgraded engine 
configuration for purposes of meeting the requirements set forth in 
paragraphs (b) and (c) of this section.
    (e)(1) The standard and percent emission reductions requirements set 
forth in paragraphs (b) and (c) of this section refer to exhaust emitted 
over the operating schedule set forth in paragraph (f)(2) of appendix I 
to part 86 of this chapter and measured and calculated in accordance 
with the procedures set forth in subpart N of part 86 of this chapter.
    (2) Equipment certifiers may also submit emission results from EPA-
approved alternative test procedures showing compliance with the 25 
percent reduction requirements of paragraphs (b) and (c) of this 
section. As required in Sec.  85.1414, the equipment certifier shall 
supply information on the alternative test procedure which supports the 
certifier's claims that the alternative test procedure is typical of in-
use urban bus operation.
    (f) Every operator subject to the requirements prescribed in this 
section shall keep records of all engine rebuilds and replacements 
performed on urban buses as required in Sec.  85.1404, and maintain 
evidence that their urban buses are in compliance with the requirements 
of paragraphs (b) or (c) of this section.
    (g) Operators shall affix the label provided with the equipment, 
required under Sec.  85.1411(a), to the engine being rebuilt with the 
equipment.

[58 FR 21386, Apr. 21, 1993, as amended at 63 FR 14635, Mar. 26, 1998]



Sec.  85.1404  Maintenance of records for urban bus operators; 
submittal of information; right of entry.

    (a) The operator of any urban bus for which this subpart is 
applicable shall maintain and retain the following adequately organized 
and indexed records beginning January 1, 1995. Each operator shall keep 
such records until the five year anniversary of a rebuild or until the 
engine is rebuilt again, whichever occurs first.
    (1) General records. The records required to be maintained under 
this paragraph shall consist of all purchase records, receipts, and part 
numbers for

[[Page 339]]

parts and components used in the rebuilding of urban bus engines.
    (2) Individual records. A brief history of each urban bus subject to 
the rebuild provisions prescribed under this section including the 
records and documentation required to be maintained under Sec.  
85.1403(f) of this subpart.
    (3) Fuel purchase records. The records required under this paragraph 
consist of all purchase records of fuels for which the operator is 
claiming additional emission reductions under Sec.  
85.1403(c)(2)(iii)(E), purchase records for fuel additives required for 
use with equipment, and purchase records for fuels, other than diesel 
fuel, which are used with dual-fueled engines.
    (b)(1) Any operator subject to the requirements under this section 
shall provide any EPA Enforcement Officer, upon presentation of 
credentials during operating hours, access to the following:
    (i) Any facility where records required to be maintained under this 
section are generated or stored.
    (ii) Any facility where engine rebuilding or replacement takes 
place.
    (2) Upon admission to any facility referred to in paragraph (b)(1) 
of this section, any EPA Enforcement Officer shall be allowed:
    (i) To inspect and make copies of records required to be maintained 
under this section.
    (ii) To inspect and photograph any urban bus and engine subject to 
the standards set forth in Sec.  85.1403 of this subpart.
    (iii) To inspect and monitor any activity related to the rebuilding 
or replacement of an engine in an urban bus for which these regulations 
are applicable as described in Sec.  85.1401 of this subpart.



Sec.  85.1405  Applicability.

    The provisions of Sec. Sec.  85.1405 through 85.1414 apply to 
retrofit/rebuild equipment which is to be installed on or used with 1993 
and earlier model year urban buses whose engines are rebuilt or replaced 
after January 1, 1995. For the purposes of Sec. Sec.  85.1405 through 
85.1414, ``equipment'' includes alternative fuels and fuel additives to 
be used with urban bus engines.



Sec.  85.1406  Certification.

    (a) Certification compliance shall be demonstrated as follows:
    (1) Test procedure and emission results. The emission test to be 
used is the heavy-duty engine Federal Test Procedure as set forth in the 
applicable portions of part 86 of this chapter or an approved 
alternative test procedure prescribed under Sec.  85.1414. Certification 
emission testing must be carried out using representative production 
equipment as provided in paragraph (b) of this section. The test results 
must demonstrate that the retrofit/rebuild equipment will comply with 
either the particulate emission requirements of Sec. Sec.  
85.1403(b)(1)(i) or 85.1403(b)(2)(i), or provide some level of 
particulate emission reduction, and will not cause the urban bus engine 
to fail to meet any applicable Federal emission requirements set for 
that engine in the applicable portions of 40 CFR part 86, provided the 
equipment is properly installed.
    (2) Emission test engine selection. (i) The test engine used must 
represent the ``worst case'' with respect to particulate emissions of 
all those engine configurations for which the retrofit/rebuild equipment 
is being certified. The worst case engine configuration shall be the 
engine configuration having the highest engine-out particulate matter 
emission levels, when properly maintained and used, prior to 
installation of the retrofit/rebuild equipment. EPA reserves the right 
to request data or information showing that the particulate emission 
reduction efficiency of the retrofit/rebuild equipment being certified 
under this paragraph, for use with more than one engine family, does not 
vary significantly among the engine families.
    (ii) The results of certification tests using the worst case engine 
selections made in this section shall be applicable for the other engine 
configurations for which the retrofit/rebuild equipment is designed.
    (iii) The worst case test engine selected for certification emission 
testing is not required to meet Federal emission standards before the 
retrofit/rebuild equipment is installed. However, each test engine shall 
have representative emissions performance that

[[Page 340]]

is close to the standards and have no obvious or suspected emission 
defects. Each test engine shall be tuned properly and set to the engine 
manufacturer's specifications before testing is performed. Any 
excessively worn or malfunctioning emission related part shall be 
repaired or replaced with a new part prior to testing.
    (iv) To demonstrate compliance with the particulate emission 
requirements of Sec.  85.1403(b)(1)(i), the test engine used may be a 
new unused engine, an in-use engine that has been rebuilt previously, or 
an in-use engine that has not been rebuilt previously.
    (v) (A) To demonstrate compliance with the particulate emission 
requirements of Sec.  85.1403(b)(2)(i) on engines for which particulate 
certification data exists, the test engine used may be a new unused 
engine, an in-use engine that has been rebuilt previously, or an in-use 
engine that has not been rebuilt previously.
    (B) To demonstrate compliance with the particulate emission 
requirements of Sec.  85.1403(b)(2)(i) on engines for which no 
particulate certification data exists, the test engine used may be a new 
unused engine, or an in-use engine that is newly rebuilt to its original 
configuration.
    (b) Diesel test fuel. Federally required low sulfur diesel fuel 
(with a sulfur content of 0.05 weight percent) shall be used for all new 
emissions testing required to be performed for certification of 
retrofit/rebuild equipment for diesel-fueled urban bus engines.
    (c) Test equipment selection. Certification shall be based upon 
tests utilizing representative production equipment selected in a random 
manner.
    (d) Replacing original equipment parts. Installation of any 
certified retrofit/rebuild equipment shall not result in the permanent 
removal or rendering inoperative of any original equipment emission 
related part other than the part(s) being replaced. Furthermore, 
installation of any certified retrofit/rebuild equipment shall not cause 
or contribute to an unreasonable risk to the public health, welfare or 
safety, or result in any additional range of parameter adjustability or 
accessibility to adjustment than that of the vehicle manufacturer's 
emission related part.
    (e) Affects on engine on-board diagnostic system. Installation of 
any certified retrofit/rebuild equipment shall not alter or render 
inoperative any feature of the on-board diagnostic system incorporated 
by the engine manufacturer. The certified equipment may integrate with 
the existing diagnostic system if it does not alter or render 
inoperative any features of the system.
    (f) In-use enforcement. (1) As a condition of certification, the 
equipment certifier agrees to notify operators who have installed this 
equipment and repair the equipment without cost to the operator when the 
Agency determines that a substantial number of the equipment kits, when 
properly maintained and used, and in actual use throughout the in-use 
compliance period, do not meet emission requirements.
    (2) If the equipment certifier disagrees with such determination of 
nonconformity and so advises the Agency, the Administrator shall afford 
the equipment certifier and other interested persons an opportunity to 
present their views and evidence in support thereof at a public hearing 
conducted in accordance with procedures found in 40 CFR part 1068, 
subpart G.

[58 FR 21386, Apr. 21, 1993, as amended at 81 FR 73972, Oct. 25, 2016]



Sec.  85.1407  Notification of intent to certify.

    (a) Prior to the sale of any certified retrofit/rebuild equipment, 
notification of the intent to certify must be approved by the MOD 
Director.
    (1) All notifications shall include:
    (i) Identification of the candidate retrofit/rebuild equipment to be 
certified, including a list of parts and part numbers;
    (ii) Identification of all engine configurations for which the 
equipment is being certified including make(s), engine model(s), model 
year(s), engine size(s) and all other specific configuration 
characteristics necessary to assure that the equipment will not be 
installed in any configuration for which it has not been certified;

[[Page 341]]

    (iii) All results and documentation of tests and procedures used by 
the equipment certifier as evidence of compliance with the emission 
requirements specified in Sec.  85.1406;
    (iv) A description of the test equipment selection criteria used, 
and a statement that the test equipment used for certification testing 
is representative production equipment consistent with Sec.  85.1406(c);
    (v) A description of the test engine selection criteria used, and 
rationale that supports the technical judgment of the equipment 
certifier that the engine configuration used for certification testing 
represents worst case with respect to particulate matter emissions of 
all those configurations for which the retrofit/rebuild equipment is 
being certified, and all data that supports that conclusion;
    (vi) A copy of the written instructions for proper maintenance and 
use of the equipment, including instructions as to whether the engine 
must be rebuilt to its original configuration before installing the 
equipment;
    (vii) The scheduled maintenance required for the equipment over the 
in-use compliance period, including service intervals of the retrofit/
rebuild equipment which detail the maintenance and replacement intervals 
in months and/or miles, as applicable;
    (viii) A copy of the warranty language to be provided to the 
operator pursuant to both Sec. Sec.  85.1409(a) and 85.1409(b);
    (ix) A statement of commitment and willingness to comply with all 
the relevant terms and conditions of this subpart;
    (x) A statement by the equipment certifier that use of its certified 
equipment will not cause a substantial increase to urban bus engine 
emissions in any normal driving mode not represented during 
certification testing; and
    (xi) The office or officer of the equipment certifier authorized to 
receive correspondence regarding certification requirements pursuant to 
this subpart.
    (2) If an equipment certifier wishes to certify equipment for use 
under Sec.  85.1403(b) for all affected urban bus operators as specified 
in Sec.  85.1401, the notification shall also contain all data and 
documentation used by the equipment certifier as evidence of compliance 
with the life cycle cost requirements specified in Sec.  
85.1403(b)(1)(ii) or Sec.  85.1403(b)(2)(ii); including:
    (i) The price to be charged to an urban bus operator for the 
equipment, excluding shipping and handling costs and taxes;
    (ii) A detailed breakout of the total number of hours necessary to 
install the equipment, and the number of hours necessary to install the 
equipment, incremental to a standard rebuild;
    (iii) For equipment not requiring a change from on road diesel fuel, 
the percent change in fuel economy for an urban bus engine retrofitted 
with the equipment compared to the original engine based on testing 
performed over the heavy-duty engine Federal test procedure or an 
approved alternative test procedure prescribed under Sec.  85.1414, 
including all test data supporting the reported change in fuel economy;
    (iv) For alternatively-fueled equipment, the fuel economy of the 
retrofitted engine based on testing performed over an approved test 
procedure prescribed under Sec.  85.1414, including all test data 
supporting the reported fuel economy, and the unit price of the 
alternative fuel that will be charged to all affected urban bus 
operators;
    (v) For equipment requiring a fuel additive, the amount of fuel 
additive required per gallon of fuel and the unit price of the fuel 
additive that will be charged to all affected urban bus operators; and
    (vi) A list of the scheduled maintenance for an engine with the 
retrofit, and a detailed breakdown of the cost of the parts necessary to 
perform scheduled maintenance, incremental to the cost of the parts 
necessary for maintenance typically performed on an engine without the 
equipment.
    (3) If an equipment certifier wishes to certify equipment for use 
under Sec.  85.1403(b), but not for use by all affected urban bus 
operators as specified in Sec.  85.1401, the notification shall, in 
addition to the data and documentation specified in paragraph (a)(1) of 
this section, also contain data and documentation that demonstrate 
compliance with

[[Page 342]]

the life cycle cost requirements specified in Sec.  85.1403(b)(1)(ii) or 
Sec.  85.1403(b)(2)(ii) including:
    (i) A detailed breakout of the total number of hours necessary to 
install the equipment, and the number of hours necessary to install the 
equipment, incremental to a standard rebuild;
    (ii) The percent change in fuel economy for an urban bus engine 
retrofitted with the equipment compared to the original engine based on 
testing performed over the heavy-duty engine Federal test procedure or 
an approved alternative test procedure prescribed under Sec.  85.1414, 
including all test data supporting the reported change in fuel economy;
    (iii) A list of the scheduled maintenance for an engine with the 
retrofit, and a detailed breakdown of the cost of the scheduled 
maintenance, incremental to the cost of maintenance typically performed 
on an engine without the equipment;
    (iv) For alternatively-fueled equipment, the fuel economy of the 
retrofitted engine based on testing performed over an approved test 
procedure prescribed under Sec.  85.1414, including all test data 
supporting the reported fuel economy;
    (v) For equipment requiring a fuel additive, the amount of fuel 
additive required per gallon of fuel; and
    (vi) A description of the type of urban bus operator to which the 
equipment certifier expects to sell the equipment for less than the life 
cycle cost requirements specified in Sec.  85.1403(b)(1)(ii) or Sec.  
85.1403(b)(2)(ii).
    (4) The notification shall be signed by an officer of the equipment 
certifier attesting to the accuracy and completeness of the information 
supplied in the notification.
    (5) Notification to the Agency shall be by certified mail or another 
method by which date of receipt can be established.
    (6) Two complete and identical copies of the notification and any 
subsequent industry comments on any such notification shall be submitted 
by the equipment certifier to: MOD Director, MOD (6405J), Attention: 
Retrofit/Rebuild Equipment, 401 ``M'' Street SW., Washington, DC 20460.
    (7) A copy of the notification submitted under paragraph (a)(6) of 
this section will be placed in a public docket and a summary will be 
published in the Federal Register. Any party interested in the outcome 
of the decision as to whether retrofit/rebuild equipment may be 
certified, may submit comments to the MOD Director on any notice in the 
public docket for 45 days after the summary of the notification of 
intent to certify has been published in the Federal Register.
    (b)(1) For an urban bus operator to take credit for additional 
particulate emission reductions for use of a clean diesel fuel under 
Sec.  85.1403(c)(2)(iii)(E), the following information must be submitted 
to the Agency:
    (i) The additional percent reduction in particulate emissions for 
engines operated on the clean diesel fuel.
    (A) The additional percent reduction in particulate emissions shall 
be calculated based on the results of emission tests performed on urban 
bus engines using federally required low sulfur fuel and the fuel for 
which the certifier is demonstrating addition emission reductions.
    (B) The additional percent reduction in particulate emissions shall 
be calculated based on the following equation:

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[GRAPHIC] [TIFF OMITTED] TN30AU93.029

    (ii) The emission testing results for hydrocarbons, carbon monoxide, 
and oxides of nitrogen. The results must show that use of the clean 
diesel fuel does not lead to increases in any of these emissions.
    (2) Emission test results must be submitted for all of the engine 
models for which an urban bus operator wishes to claim additional 
particulate emission reductions.
    (3) Emissions test results shall be measured over the heavy-duty 
engine Federal test procedure or an approved alternative test procedure 
prescribed under Sec.  85.1414.
    (c) The MOD Director reserves the right to review an application to 
determine if the submitted documents adequately meet all the 
requirements for certification specified in Sec. Sec.  85.1406 and 
85.1407. The MOD Director shall determine and will publish in the 
Federal Register the effective date of certification of the candidate 
equipment. Equipment may be sold as certified after the effective date 
of certification.

    Effective Date Note: At 58 FR 21386, Apr. 21, 1993, Sec.  85.1407 
was added. This section contains information collection and 
recordkeeping requirements that will not become effective until approval 
has been given by the Office of Management and Budget.



Sec.  85.1408  Objections to certification.

    (a) At any time prior to certification, the MOD Director may notify 
the equipment certifier that such equipment shall not be certified 
pending further investigation. The basis upon which this notification 
shall be made may include, but not be limited to, information or test 
results submitted by the equipment certifier, or public comments 
submitted on the equipment which indicate:
    (1) The test procedure used to demonstrate compliance with the 
particulate matter emission standard or percent reduction of Sec.  
85.1403 was not in compliance with the heavy-duty engine Federal Test 
Procedure of 40 CFR part 86 or an alternative test procedure approved by 
the Agency under Sec.  85.1414; or
    (2) Use of the candidate equipment may cause an urban bus engine to 
exceed any applicable emission requirements; or
    (3) Use of the candidate equipment could cause or contribute to an 
unreasonable risk to public health, welfare or safety in its operation 
or function; or
    (4) Installation of the candidate equipment requires procedures or 
materials which would likely cause such equipment to be improperly 
installed under normal conditions or would likely result in an urban bus 
engine being misadjusted; or
    (5) Information and/or data required to be in the notification of 
intent to certify as provided by Sec.  85.1407 have not been provided or 
may be inadequate; or
    (6) The life cycle cost estimates provided by the equipment 
certifier do not accurately reflect the true life cycle costs for the 
candidate equipment.
    (b) The equipment certifier must respond in writing to the 
statements made in the notification by the MOD Director, or the MOD 
Director shall withdraw the equipment certifier's notification of intent 
to certify. A copy of the certifier's response will be placed in the 
public docket.

[[Page 344]]

    (1) Any party interested in the outcome of a decision as to whether 
retrofit/rebuild equipment may be certified may provide the MOD Director 
with any relevant written information up to ten days after the certifier 
responds to the MOD Director's objection.
    (2) Any interested party may request additional time to respond to 
the information submitted by the equipment certifier. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (3) The equipment certifier may reply to information submitted by 
interested parties. Notification of intent to reply shall be submitted 
to the MOD Director within 10 days of the date information from 
interested parties is submitted to the MOD Director.
    (4) The MOD Director may, at his or her discretion, allow oral 
presentations by the equipment certifier or any interested party in 
connection with contested equipment certification.
    (c) If notification has been provided to an equipment certifier 
pursuant to paragraph (a) of this section, the MOD Director shall, after 
reviewing all pertinent data and information, render a decision and 
inform the equipment certifier in writing as to whether such equipment 
may be certified and, if so, under what conditions the equipment may be 
certified. The written decision shall include an explanation of the 
reasons therefor.
    (1) The decision by the MOD Director shall be provided to the 
certifier after receipt of all necessary information by the certifier or 
interested parties, or of the date of any oral presentation regarding 
the certification, whichever occurs second.
    (2) A copy of the decision shall be sent to all interested parties 
identified in paragraphs (b)(3) and (b)(4) of this section.
    (3) Within 20 days of receipt of a decision made pursuant to 
paragraph (c) of this section, any party may file a written appeal to 
the Office Director. The Office Director may, in his or her discretion, 
allow additional oral or written submissions, prior to rendering a final 
decision. The schedule for such submission shall be in accordance with 
the schedule specified in Sec.  85.1408(b).
    (4) If no party files an appeal with the Office Director within 20 
days, then the decision of the MOD Director shall be final.
    (5) The Office Director shall make a final decision regarding the 
certification of equipment after receipt of all necessary information by 
the equipment certifier or from the date of any oral presentation, 
whichever occurs later.
    (6) A copy of all final decisions made under this section shall be 
published in the Federal Register.



Sec.  85.1409  Warranty.

    (a) As a condition of certification, the retrofit/rebuild equipment 
certifier shall warrant that if the certified equipment is properly 
installed and maintained as stated in the written instructions for 
proper maintenance and use, the equipment will not cause an urban bus 
engine to exceed the emission requirements of this subpart and the 
emission standards set forth in 40 CFR part 86. This retrofit/rebuild 
equipment warranty shall extend for a period of 150,000 miles from when 
the equipment is installed.
    (b) As a condition of certification, the retrofit/rebuild equipment 
certifier shall provide an emissions defect warranty that if the 
certified equipment is properly installed and maintained as stated in 
the written instructions for proper maintenance and use, the equipment 
certifier will replace all defective parts, free of charge. This 
emissions defect warranty shall extend for a period of 100,000 miles 
from when the equipment is installed.



Sec.  85.1410  Changes after certification.

    The equipment certifier shall recertify any retrofit/rebuild 
equipment which was certified pursuant to Sec.  85.1406 and to which 
modifications are made affect emissions or the capability of the 
equipment to meet any other requirement of this subpart.



Sec.  85.1411  Labeling requirements.

    (a) All retrofit/rebuild equipment certified pursuant to this 
subpart shall contain a label that shall be affixed to

[[Page 345]]

the rebuilt engine which states, ``Certified to EPA Urban Bus Engine 
Rebuild Standards,'' the model and serial number of the equipment, the 
particulate emissions certification level of the equipment, and the name 
of the equipment certifier or other party designated to determine the 
validity of warranty claims. The label containing the information must 
be made durable and readable for at least the in-use compliance period 
of the equipment.
    (b) The package in which the certified retrofit/rebuild equipment is 
contained, or an insert as described in paragraph (c) of this section, 
must have the following information conspicuously placed thereon:
    (1) The statement ``Certified by (name of certifier or warranter) to 
EPA Urban Bus Engine Rebuild Emission Standards''; and
    (2) A list of the vehicles or engines (in accordance with Sec.  
85.1407(a)(1)(ii)) for which the equipment is certified, unless such 
information is provided as specified in paragraph (d) of this section.
    (c) The package in which the certified retrofit/rebuild equipment is 
contained must include the following information provided on a written 
insert:
    (1) A list of the vehicles or engines (in accordance with Sec.  
85.1407(a)(1)(ii)) for which the equipment is certified, unless such 
information is provided as specified in paragraph (d) of this section;
    (2) A list of all of the parts and identification numbers for the 
parts included in the package;
    (3) The instructions for proper installation of the equipment;
    (4) A statement of the maintenance or replacement interval for which 
the retrofit/rebuild equipment is certified; and
    (5) A description of the maintenance necessary to be performed on 
the retrofit/rebuild equipment in the proper maintenance and use of the 
equipment.
    (d) The information required by paragraphs (b)(2) and (c)(1) of this 
section may be provided in a catalog rather than on the package or on an 
insert, provided that access to the catalog is readily available to 
purchasers and installers of the equipment.
    (e) When an equipment certifier desires to certify existing in-
service stocks of its products, it may do so provided:
    (1) The equipment does not differ in any operational or durability 
characteristic from the equipment specified in the notification made 
pursuant to Sec.  85.1407; and
    (2) An information sheet is made available to all parties selling 
the equipment.
    (i) The information sheet shall be provided with all equipment sold 
as certified; and
    (ii) The information sheet shall contain all of the information 
specified in paragraph (b) of this section.

    Effective Date Note: At 58 FR 21386, Apr. 21, 1993, Sec.  85.1411 
was added. This section contains information collection and 
recordkeeping requirements that will not become effective until approval 
has been given by the Office of Management and Budget.



Sec.  85.1412  Maintenance and submittal of records for equipment certifiers.

    (a) For each certified retrofit/rebuild equipment, the equipment 
certifier must establish, maintain and retain for 5 years from the date 
of certification the following adequately organized and indexed records:
    (1) Detailed production drawings showing all dimensions, tolerances, 
performance requirements and material specifications and any other 
information necessary to completely describe the equipment;
    (2) All data obtained during testing of the equipment and subsequent 
analyses based on that data, including the mileage and the vehicle or 
engine configuration determinants;
    (3) All information used in determining those vehicles or engine for 
which the equipment is represented as being equivalent from an emissions 
standpoint to the original equipment being replaced;
    (4) A description of the quality control plan used to monitor 
production and assure compliance of the equipment with the applicable 
certification requirements;
    (5) All data taken in implementing the quality control plan, and any 
subsequent analyses of that data; and

[[Page 346]]

    (6) All in-service data, analyses performed by the equipment 
certifier and correspondence with vendors, distributors, consumers, 
retail outlets or engine manufacturers regarding any design, production 
or in-service problems associated with 25 or more pieces of any 
certified equipment.
    (b) The records required to be maintained in paragraph (a) of this 
section shall be made available to the Agency upon the written request 
of the MOD Director.
    (c) If the equipment certifier is selling equipment that is not 
certified as available to all affected urban bus operators under Sec.  
85.1403(b) and Sec.  85.1407, then the equipment certifier shall submit 
to EPA, at the time an offer is made, a copy of all offers made to 
affected urban bus operators for which the equipment certifier has 
offered to sell its certified equipment for less than the life cycle 
cost limits specified in Sec.  85.1403(b)(1)(iii) or Sec.  
85.1403(b)(2)(iii). The equipment certifier may assert that some of the 
information is entitled to confidential treatment as provided in Sec.  
85.1414.

    Effective Date Note: At 58 FR 21386, Apr. 21, 1993, Sec.  85.1412 
was added. This section contains information collection and 
recordkeeping requirements that will not become effective until approval 
has been given by the Office of Management and Budget.



Sec.  85.1413  Decertification.

    (a) The MOD Director may notify an equipment certifier that the 
Agency has made a preliminary determination that certain retrofit/
rebuild equipment should be decertified.
    (1) Such a preliminary determination may be made if there is reason 
to believe that the equipment manufactured has failed to comply with 
Sec. Sec.  85.1405 through 85.1414. Information upon which such a 
determination will be made includes but is not limited to the following:
    (i) The equipment was certified on the basis of emission tests, and 
the procedures used in such tests were not in substantial compliance 
with a portion or portions of the heavy-duty engine Federal Test 
Procedure contained in 40 CFR part 86 or an alternative test prescribed 
under 40 CFR 85.1414; or
    (ii) Use of the certified equipment is causing urban bus engine 
emissions to exceed emission requirements for any regulated pollutant; 
or
    (iii) Use of the certified equipment causes or contributes to an 
unreasonable risk to public health, welfare or safety or severely 
degrades driveability operation or function; or
    (iv) The equipment has been modified in a manner requiring 
recertification pursuant to Sec.  85.1410; or
    (v) The certifier of such equipment has not established, maintained 
or retained the records required pursuant to Sec.  85.1412 or fails to 
make the records available to the MOD Director upon written request 
pursuant to Sec.  85.1412; or
    (vi) The life cycle cost of the equipment exceeds the limits 
specified in Sec.  85.1403(b)(1)(iii) or Sec.  85.1403(b)(2)(iii).
    (2) Notice of a preliminary determination to decertify shall 
contain:
    (i) A description of the noncomplying equipment;
    (ii) The basis for the MOD Director's preliminary decision; and
    (iii) The date by which the certifier must:
    (A) Terminate the sale of the equipment as certified equipment; or
    (B) Make the necessary change (if so recommended by the Agency); or
    (C) Request an opportunity in writing to dispute the allegations of 
the preliminary decertification.
    (b) If the equipment certifier requests an opportunity to respond to 
the preliminary determination, the certifier and other parties 
interested in the MOD Director's decision whether to decertify the 
equipment shall, within 15 days of the date of the request, submit 
written presentations, including the relevant information and data, to 
the MOD Director. The MOD Director, in his or her discretion, may 
provide an opportunity for oral presentations.
    (1) Any interested party may request additional time to respond to 
the information submitted by the equipment certifier. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (2) The equipment certifier may have an extension of up to 30 days 
to reply to information submitted by interested

[[Page 347]]

parties. Notification of intent to reply shall be submitted to the MOD 
Director within 10 days of the date information from interested parties 
is submitted to the MOD Director.
    (c) If an equipment certifier has disputed the allegations of the 
preliminary decisions, the MOD Director shall, after reviewing any 
additional information, notify the equipment certifier of his or her 
decision whether the equipment may continue to be sold as certified. 
This notification shall include an explanation upon which the decision 
was made and the effective date for decertification, where appropriate.
    (d) Within 20 days from the date of a decision made pursuant to 
paragraph (c) of this section, any adversely affected party may appeal 
the decision to the Office Director.
    (1) A petition for appeal to the Office Director must state all of 
the reasons why the decision of the MOD Director should be reversed.
    (2) The Office Director may, in his or her discretion, allow 
additional oral or written testimony.
    (3) If no appeal is filed with the Office Director within the 
permitted time period, the decision of the MOD Director shall be final.
    (e) If a final decision is made to decertify equipment under 
paragraph (d) of this section, the certifier of such equipment shall 
notify his immediate customers that, as of the date of the final 
determination, the equipment in question has been decertified. The 
equipment certifier shall offer to replace decertified equipment in the 
customer's inventory with certified replacement equipment or, if unable 
to do so, shall at the customer's request repurchase such inventory at a 
reasonable price. The immediate customers must stop selling the 
equipment once the certifier has notified the customer that the 
equipment has been decertified.
    (f) Notwithstanding the requirements of paragraph (e) of this 
section, equipment purchased by an urban bus operator prior to 
decertification, shall be considered certified pursuant to this subpart.



Sec.  85.1414  Alternative test procedures.

    As a part of the certification process, as set forth in Sec.  
85.1406, a certifier may request that the Agency approve an alternative 
test procedure, other than the heavy-duty engine Federal test procedure, 
to show compliance with the 25 percent reduction in particulate matter 
emissions as noted in Sec.  85.1403(b)(2)(i). The alternative test may 
be a chassis-based test, but the alternative test shall be 
representative of in-use urban bus operation. The requestor shall supply 
relevant technical support to substantiate its claim of 
representativeness. Upon an acceptable showing that an alternative test 
is representative of in-use urban bus operation, the Agency shall 
determine whether to set such alternative test procedures through 
rulemaking. The provisions of the certification process apply to such a 
request for alternative procedures.

    Effective Date Note: At 58 FR 21386, Apr. 21, 1993, Sec.  85.1414 
was added. This section contains information collection and 
recordkeeping requirements that will not become effective until approval 
has been given by the Office of Management and Budget.



Sec.  85.1415  Treatment of confidential information.

    (a) Any certifier may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to the Agency.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a certifier must indicate clearly the items of information 
claimed confidential by marking, circling, bracketing, stamping, or 
otherwise specifying the confidential information. In addition to the 
complete and identical copies submitted pursuant to Sec.  85.1407(a)(6), 
the submitter shall also provide two identical copies of its submittal 
from which all confidential information shall be deleted. If a need 
arises to publicly release nonconfidential information, the Agency will 
assume that the submitter has accurately deleted all confidential 
information from this second copy.

[[Page 348]]

    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in 40 CFR part 2, subpart B.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by the Agency 
without further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).



    Subpart P_Importation of Motor Vehicles and Motor Vehicle Engines

    Authority: 42 U.S.C. 7522, 7525, 7541, 7542(a) and 7601(a).

    Source: 52 FR 36156, Sept. 25, 1987, unless otherwise noted.



Sec.  85.1501  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
motor vehicles and motor vehicle engines which are offered for 
importation or imported into the United States and for which the 
Administrator has promulgated regulations under part 86 prescribing 
emission standards but which are not covered by certificates of 
conformity issue d under section 206(a) of the Clean Air Act (i.e., 
which are nonconforming vehicles as defined below), as amended, and part 
86 at the time of conditional importation. Compliance with regulations 
under this subpart shall not relieve any person or entity from 
compliance with other applicable provisions of the Clean Air Act.
    (b) Regulations prescribing further procedures for importation of 
motor vehicles and motor vehicle engines into the Customs territory of 
the United States, as defined in 19 U.S.C. 1202, are set forth at 19 CFR 
12.73.
    (c) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles 
under the provisions of 40 CFR part 86, subpart S.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999; 65 
FR 59943, Oct. 6, 2000]



Sec.  85.1502  Definitions.

    (a) As used in this subpart, all terms not defined herein have the 
meanings given them in 19 CFR 12.73, in the Clean Air Act, as amended, 
and elsewhere in parts 85 and 86 of this chapter.
    (1) Act. The Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
    (2) Administrator. The Administrator of the Environmental Protection 
Agency.
    (3) Certificate of conformity. The document issued by the 
Administrator under section 206(a) of the Act.
    (4) Certificate holder. The entity in whose name the certificate of 
conformity for a class of motor vehicles or motor vehicle engines has 
been issued.
    (5) The Federal Compliance Testing sequence (FCT). The testing 
sequence that incorporates all of the testing requirements of part 86 
applicable at the time of an emissions test conducted pursuant to this 
subpart.
    (6) FTP. The Federal Test Procedure at part 86.
    (7) Independent commercial importer (ICI). An importer who is not an 
original equipment manufacturer (OEM) (see definition below) or does not 
have a contractual agreement with an OEM to act as its authorized 
representative for the distribution of motor vehicles or motor vehicle 
engines in the U.S. market.
    (8) Model year. The manufacturer's annual production period (as 
determined by the Administrator) which includes January 1 of such 
calendar year; Provided, That if the manufacturer has no annual 
production period, the term ``model year'' shall mean the calendar year 
in which a vehicle is modified. A certificate holder shall be deemed to 
have produced a vehicle or engine when the certificate holder has 
modified the nonconforming vehicle or engine.
    (9) Nonconforming vehicle or engine. A motor vehicle or motor 
vehicle engine which is not covered by a certificate of conformity prior 
to final or conditional importation and which has not been finally 
admitted into the United States

[[Page 349]]

under the provisions of Sec.  85.1505, Sec.  85.1509 or the applicable 
provisions of Sec.  85.1512. Excluded from this definition are vehicles 
admitted under provisions of Sec.  85.1512 covering EPA approved 
manufacturer and U.S. Government Agency catalyst and O2 
sensor control programs.
    (10) Original equipment manufacturer (OEM). The entity which 
originally manufactured the motor vehicle or motor vehicle engine prior 
to conditional importation.
    (11) Original production (OP) year. The calendar year in which the 
motor vehicle or motor vehicle engine was originally produced by the 
OEM.
    (12) Original production (OP) years old. The age of a vehicle as 
determined by subtracting the original production year of the vehicle 
from the calendar year of importation.
    (13) Running changes. Those changes in vehicle or engine 
configuration, equipment or calibration which are made by an OEM or ICI 
in the course of motor vehicle or motor vehicle engine production.
    (14) United States. United States includes the States, the District 
of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the 
Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin 
Islands.
    (15) Useful life. A period of time/mileage as specified in part 86 
for a nonconforming vehicle which begins at the time of resale (for a 
motor vehicle or motor vehicle engine owned by the ICI at the time of 
importation) or release to the owner (for a motor vehicle or motor 
vehicle engine not owned by the ICI at the time of importation) of the 
motor vehicle or motor vehicle engine by the ICI after modification and/
or test pursuant to Sec.  85.1505 or Sec.  85.1509.
    (16) Working day. Any day on which Federal government offices are 
open for normal business. Saturdays, Sundays, and official Federal 
holidays are not working days.
    (b) [Reserved]

[52 FR 36156, Sept. 25, 1987, as amended at 61 FR 5842, Feb. 14, 1996; 
70 FR 40430, July 13, 2005]



Sec.  85.1503  General requirements for importation of nonconforming 
vehicles and engines.

    (a) A nonconforming vehicle or engine offered for importation into 
the United States must be imported by an ICI who is a current holder of 
a valid certificate of conformity unless an exemption or exclusion is 
granted by the Administrator under Sec.  85.1511 of this subpart or the 
vehicle is eligible for entry under Sec.  85.1512.
    (b) Final admission shall not be granted unless:
    (1) The vehicle or engine is covered by a certificate of conformity 
issued in the name of the importer under part 86 and the certificate 
holder has complied with all requirements of Sec.  85.1505; or
    (2) The vehicle or engine is modified and emissions tested in 
accordance with the provisions of Sec.  85.1509 and the certificate 
holder has complied with all other requirements of Sec.  85.1509; or
    (3) The vehicle or engine is exempted or excluded under Sec.  
85.1511; or
    (4) The vehicle was covered originally by a certificate of 
conformity and is otherwise eligible for entry under Sec.  85.1512.
    (c) In any one certificate year (e.g., the current model year), an 
ICI may finally admit no more than the following numbers of 
nonconforming vehicles or engines into the United States under the 
provisions of Sec.  85.1505 and Sec.  85.1509, except as allowed by 
paragraph (e) of this section:
    (1) 5 heavy-duty engines.
    (2) A total of 50 light-duty vehicles, light-duty trucks, and 
medium-duty passenger vehicles.
    (3) 50 highway motorcycles.
    (d) For ICIs owned by a parent company, the importation limits in 
paragraph (c) of this section include importation by the parent company 
and all its subsidiaries.
    (e) An ICI may exceed the limits outlined paragraphs (c) and (d) of 
this section, provided that any vehicles/engines in excess of the limits 
meet the emission standards and other requirements outlined in the 
provisions of Sec.  85.1515 for the model year in which the motor 
vehicle/engine is modified (instead of the emission standards and

[[Page 350]]

other requirements applicable for the OP year of the vehicle/engine).

[52 FR 36156, Sept. 25, 1987, as amended at 70 FR 40430, July 13, 2005]



Sec.  85.1504  Conditional admission.

    (a) A motor vehicle or motor vehicle engine offered for importation 
under Sec.  85.1505, Sec.  85.1509 or Sec.  85.1512 may be conditionally 
admitted into the United States, but shall be refused final admission 
unless:
    (1) At the time of conditional admission, the importer has submitted 
to the Administrator a written report that the subject vehicle or engine 
has been permitted conditional admission pending EPA approval of its 
application for final admission under Sec.  85.1505, Sec.  85.1509, or 
Sec.  85.1512. This written report shall contain the following:
    (i) Identification of the importer of the vehicle or engine and the 
importer's address and telephone number;
    (ii) Identification of the vehicle or engine owner and the vehicle 
or engine owner's address, telephone number and taxpayer identification 
number;
    (iii) Identification of the vehicle or engine;
    (iv) Information indicating under what provision of these 
regulations the vehicle or engine is to be imported;
    (v) Identification of the place where the subject vehicle or engine 
will be stored until EPA approval of the importer's application to the 
Administrator for final admission;
    (vi) Authorization for EPA Enforcement Officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder;
    (vii) Identification, where applicable, of the certificate by means 
of which the vehicle is being imported;
    (viii) The original production year of the vehicle; and
    (ix) Such other information as is deemed necessary by the 
Administrator.
    (b) Such conditional admission shall not be under bond for a vehicle 
or engine which is imported under Sec.  85.1505 or Sec.  85.1509. A bond 
will be required for a vehicle or engine imported under applicable 
provisions of Sec.  85.1512. The period of conditional admission shall 
not exceed 120 days. During this period, the importer shall store the 
vehicle or engine at a location where the Administrator will have 
reasonable access to the vehicle or engine for his/her inspection.



Sec.  85.1505  Final admission of certified vehicles.

    (a) A motor vehicle or engine may be finally admitted into the 
United States upon approval of the certificate holder's application to 
the Administrator. Such application shall be made either by completing 
EPA forms or by submitting the data electronically to EPA's computer, in 
accordance with EPA instructions. Such application shall contain:
    (1) The information required in Sec.  85.1504(a);
    (2) Information demonstrating that the vehicle or engine has been 
modified in accordance with a valid certificate of conformity. Such 
demonstration shall be made in one of the following ways:
    (i) Through an attestation by the certificate holder that the 
vehicle or engine has been modified in accordance with the provisions of 
the certificate holder's certificate, and presentation to EPA of a 
statement by the appropriate OEM that the OEM will provide to the 
certificate holder and to EPA information concerning running changes to 
the vehicle or engine described in the certificate holder's application 
for certification, and actual receipt by EPA of notification by the 
certificate holder of any running changes already implemented by the OEM 
at the time of application and their effect on emissions; or
    (ii) Through an attestation by the certificate holder that the 
vehicle or engine has been modified in accordance with the provisions of 
the certificate holder's certificate of conformity and that the 
certificate holder has conducted an FTP test, at a laboratory within the 
United States, that demonstrates compliance with Federal emission 
requirements on every third vehicle or third engine imported under that 
certificate within 120 days of entry, with sequencing of the tests to be 
determined by the date of importation of each vehicle or engine. Should 
the certificate holder have exceeded a

[[Page 351]]

threshold of 300 vehicles or engines imported under the certificate 
without adjustments or other changes in accordance with paragraph (a)(3) 
of this section, the amount of required FTP testing may be reduced to 
every fifth vehicle or engine. In order to make a demonstration under 
paragraph (a)(2)(i) of this section, a certificate holder must have 
received permission from the Administrator to do so;
    (3) The results of every FTP test which the certificate holder 
conducted on the vehicle or engine. Should a subject vehicle or engine 
have failed an FTP at any time, the following procedures are applicable:
    (i) The certificate holder may either:
    (A) Conduct one FTP retest that involves no adjustment of the 
vehicle or engine from the previous test (e.g., adjusting the RPM, 
timing, air-to-fuel ratio, etc.) other than adjustments to adjustable 
parameters that, upon inspection, were found to be out of tolerance. 
When such an allowable adjustment is made, the parameter may be reset 
only to the specified (i.e., nominal) value (and not any other value 
within the tolerance band); or
    (B) Initiate a change in production (running change) under the 
provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01, as applicable, that 
causes the vehicle to meet Federal emission requirements.
    (ii) If the certificate holder chooses to retest in accordance with 
paragraph (a)(3)(i)(A) of this section:
    (A) Such retests must be completed no later than five working days 
subsequent to the first FTP test;
    (B) Should the subject vehicle or engine fail the second FTP, then 
the certificate holder must initiate a change in production (a running 
change) under the provisions of 40 CFR 86.084-14(c)(13) or 86.1842-01, 
as applicable, that causes the vehicle to meet Federal emission 
requirements.
    (iii) If the certificate holder chooses to initiate a change in 
production (a running change) under the provisions of 40 CFR 86.084-
14(c)(13) or 86.1842-01 as applicable, that causes the vehicle to meet 
Federal requirements, changes involving adjustments of adjustable 
vehicle parameters (e.g., adjusting the RPM, timing, air/fuel ratio) 
must be changes in the specified (i.e., nominal) values to be deemed 
acceptable by EPA.
    (iv) Production changes made in accordance with this section must be 
implemented on all subsequent vehicles or engines imported under the 
certificate after the date of importation of the vehicle or engine which 
gave rise to the production change.
    (v) Commencing with the first vehicle or engine receiving the 
running change, every third vehicle or engine imported under the 
certificate must be FTP tested to demonstrate compliance with Federal 
emission requirements until, as in paragraph (a)(2)(ii) of this section, 
a threshold of 300 vehicles or engines imported under the certificate is 
exceeded, at which time the amount of required FTP testing may be 
reduced to every fifth vehicle or engine.
    (vi) Reports concerning these running changes shall be made to both 
the Manufacturers Operations and Certification Divisions of EPA within 
ten working days of initiation of the running change. The cause of any 
failure of an FTP shall be identified, if known;
    (4) The applicable deterioration factor;
    (5) The FTP results adjusted by the deterioration factor;
    (6) Such other information that may be specified by applicable 
regulations or on the certificate under which the vehicle or engine has 
been modified in order to assure compliance with requirements of the 
Act;
    (7) All information required under Sec.  85.1510;
    (8) An attestation by the certificate holder that the certificate 
holder is responsible for the vehicle's or engine's compliance with 
Federal emission requirements, regardless of whether the certificate 
holder owns the vehicle or engine imported under this section;
    (9) The name, address and telephone number of the person who the 
certificate holder prefers to receive EPA notification under Sec.  
85.1505(c); and
    (10) Such other information as is deemed necessary by the 
Administrator.
    (b) EPA approval for final admission of a vehicle or engine under 
this section shall be presumed not to have been granted if a vehicle has 
not been

[[Page 352]]

properly modified to be in conformity in all material respects with the 
description in the application for certification or has not complied 
with the provisions of Sec.  85.1505(a)(2) or its final FTP results, 
adjusted by the deterioration factor, if applicable, do not comply with 
applicable emission standards.
    (c) Except as provided in Sec.  85.1505(b), EPA approval for final 
admission of a vehicle or engine under this section shall be presumed to 
have been granted should the certificate holder not have received oral 
or written notice from EPA to the contrary within 15 working days of the 
date of EPA's receipt of the certificate holder's application under 
Sec.  85.1505(a). Such EPA notice shall be made to an employee of the 
certificate holder. If application is made on EPA forms, the date on a 
certified mail receipt shall be deemed to be the official date of 
notification to EPA. If application is made by submitting the data 
electronically, the date of acceptance by EPA's computer shall be deemed 
to be the official date of notification to EPA. During this 15 working 
day period, the vehicle or engine must be stored at a location where the 
Administrator will have reasonable access to the vehicle or engine for 
his/her inspection.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]



Sec.  85.1506  Inspection and testing of imported motor vehicles and engines.

    (a) In order to allow the Administrator to determine whether a 
certificate holder's production vehicles or engines comply with 
applicable emission requirements or requirements of this subpart, EPA 
Enforcement Officers are authorized to conduct inspections and/or tests 
of vehicles or engines imported by the certificate holder. EPA 
Enforcement Officers shall be admitted during operating hours upon 
demand and upon presentation of credentials to any of the following:
    (1) Any facility where any vehicle or engine imported by the 
certificate holder under this subpart was or is being modified, tested 
or stored; and
    (2) Any facility where any record or other document relating to 
modification, testing or storage of the vehicles or engines, or required 
to be kept by Sec.  85.1507, is located.


EPA may require inspection or retesting of vehicles or engines at the 
test facility used by the certificate holder or at an EPA-designated 
testing facility, with transportation and/or testing costs to be borne 
by the certificate holder.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, any EPA Enforcement Officer shall be allowed during 
operating hours:
    (1) To inspect and monitor any part or aspect of activities relating 
to the certificate holder's modification, testing and/or storage of 
vehicles or engines imported under this subpart;
    (2) To inspect and make copies of any records or documents related 
to modification, testing and storage of a vehicle or engine, or required 
by Sec.  85.1507; and
    (3) To inspect and photograph any part or aspect of any such vehicle 
or engine and any component used in the assembly thereof.
    (c) Any EPA Enforcement Officer shall be furnished, by those in 
charge of a facility being inspected, with such reasonable assistance as 
he/she may request to help him/her discharge any function listed in this 
subpart. A certificate holder shall cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA (whether or not the certificate holder controls the 
facility).
    (d) The requirements of paragraphs (a), (b) and (c) of this section 
apply whether or not the certificate holder owns or controls the 
facility in question. Noncompliance with the requirements of paragraphs 
(a), (b) and (c) may preclude an informed judgment that vehicles or 
engines which have been or are being imported under this subpart by the 
certificate holder comply with applicable emission requirements or 
requirements of this subpart. It is the certificate holder's 
responsibility to make such arrangements as may be necessary to assure 
compliance with paragraphs (a), (b) and (c) of this section. Failure to 
do so, or other failure to comply with paragraphs (a), (b)

[[Page 353]]

and (c), may result in sanctions as provided for in the Act or Sec.  
85.1513(e).
    (e) Duly designated Enforcement Officers are authorized to proceed 
ex parte to seek warrants authorizing the inspection or testing of the 
motor vehicles or motor vehicle engines described in paragraph (a) of 
this section whether or not the Enforcement Officer first attempted to 
seek permission from the certificate holder or facility owner to inspect 
such motor vehicles or motor vehicle engines.
    (f) The results of the Administrator's test under this section shall 
comprise the official test data for the vehicle or engine for purposes 
of determining whether the vehicle or engine should be permitted final 
entry under Sec.  85.1505 or Sec.  85.1509.
    (g) For purposes of this section:
    (1) ``Presentation of Credentials'' shall mean display of the 
document designating a person as an EPA Enforcement Officer.
    (2) Where vehicle storage areas or facilities are concerned, 
``operating hours'' shall means all times during which personnel other 
than custodial personnel are at work in the vicinity of the area or 
facility and have access to it.
    (3) Where facilities or areas other than those specified in 
paragraph (g)(2) of this section are concerned, ``operating hours'' 
shall mean all times during which the facility is in operation.
    (4) ``Reasonable assistance'' includes, but is not limited to, 
clerical, copying, interpreting and translating services, and the making 
available on request of personnel of the facility being inspected during 
their working hours to inform the EPA Enforcement Officer of how the 
facility operates and to answer his/her questions.



Sec.  85.1507  Maintenance of certificate holder's records.

    (a) The certificate holder subject to any of the provisions of this 
subpart shall establish, maintain and retain for six years from the date 
of entry of a nonconforming vehicle or engine imported by the 
certificate holder, adequately organized and indexed records, 
correspondence and other documents relating to the certification, 
modification, test, purchase, sale, storage, registration and 
importation of that vehicle or engine, including but not limited to:
    (1) The declaration required by 19 CFR 12.73;
    (2) Any documents or other written information required by a Federal 
government agency to be submitted or retained in conjunction with the 
certification, importation or emission testing of motor vehicles or 
motor vehicle engines;
    (3) All bills of sale, invoices, purchase agreements, purchase 
orders, principal or agent agreements and correspondence between the 
certificate holder and the purchaser, of each vehicle or engine, and any 
agents of the above parties;
    (4) Documents providing parts identification data associated with 
the emission control system installed on each vehicle or engine 
demonstrating that such emission control system was properly installed 
on such vehicle or engine;
    (5) Documents demonstrating that, where appropriate, each vehicle or 
engine was emissions tested in accordance with the Federal Test 
Procedure.
    (6) Documents providing evidence that the requirements of Sec.  
85.1510 have been met.
    (7) Documents providing evidence of compliance with all relevant 
requirements of the Clean Air Act, the Energy Tax Act of 1978, and the 
Energy Policy and Conservation Act;
    (8) Documents providing evidence of the initiation of the ``15 day 
hold'' period for each vehicle or engine imported pursuant to Sec.  
85.1505 or Sec.  85.1509;
    (9) For vehicles owned by the ICI at the time of importation, 
documents providing evidence of the date of sale subsequent to 
importation, together with the name, address and telephone number of the 
purchaser, for each vehicle or engine imported pursuant to Sec.  85.1505 
or Sec.  85.1509;
    (10) For vehicles not owned by the ICI at the time of importation, 
documents providing evidence of the release to the owner subsequent to 
importation for each vehicle or engine imported pursuant to Sec.  
85.1505 or Sec.  85.1509; and
    (11) Documents providing evidence of the date of original 
manufacture of the vehicle or engine.

[[Page 354]]

    (b) The certificate holder is responsible for ensuring the 
maintenance of records required by this section, regardless of whether 
facilities used by the certificate holder to comply with requirements of 
this subpart are under the control of the certificate holder.



Sec.  85.1508  ``In Use'' inspections and recall requirements.

    (a) Vehicles or engines which have been imported, modified and/or 
FTP tested by a certificate holder pursuant to Sec.  85.1505 or Sec.  
85.1509 may be inspected and emission tested by EPA throughout the 
useful lives of the vehicles or engines.
    (b) Certificate holders shall maintain for six years, and provide to 
EPA upon request, a list of owners of all vehicles or engines imported 
by the certificate holder under this subpart.
    (c) A certificate holder will be notified whenever the Administrator 
has determined that a substantial number of a class or category of the 
certificate holder's vehicles or engines, although properly maintained 
and used, do not conform to the regulations prescribed under section 202 
when in actual use throughout their useful lives (as determined under 
section 202(d)). After such notification, the Recall Regulations at 40 
CFR part 1068, subpart G, shall govern the certificate holder's 
responsibilities and references to a manufacturer in the Recall 
Regulations shall apply to the certificate holder.

[52 FR 36156, Sept. 25, 1987, as amended at 81 FR 73972, Oct. 25, 2016]



Sec.  85.1509  Final admission of modification and test vehicles.

    (a) Except as provided in paragraphs (b), (c), (d), (e), and (f) of 
this section, a motor vehicle or motor vehicle engine may be imported 
under this section by a certificate holder possessing a currently valid 
certificate of conformity only if:
    (1)(i) The vehicle or engine is six OP years old or older; or
    (ii) The vehicle was owned, purchased and used overseas by military 
or civilian employees of the U.S. Government and
    (A) An ICI does not hold a currently valid certificate for that 
particular vehicle; and
    (B) The Federal agency employing the owner of such vehicle 
determines that such owner is stationed in an overseas area which either 
prohibits the importation of U.S.-certified vehicles or which does not 
have adequate repair facilities for U.S.-certified vehicles; and
    (C) The Federal agency employing the personnel owning such vehicles 
determines that such vehicles are eligible for shipment to the United 
States at U.S. Government expense; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (b) In calendar year 1988, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1983 through 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1987 or 1988 and the make (i.e., the OEM) and fuel type 
of such certified model is the same as the make and fuel type of the 
vehicle or engine being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holder's ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (c) In calendar year 1989, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1984 through 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1988 or 1989 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section,

[[Page 355]]

    (d) In calendar year 1990, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1985 through 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1989 or 1990 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (e) In calendar year 1991, a motor vehicle or motor vehicle engine 
originally produced in calendar years 1986 and 1987 may be imported 
under this section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar years 1990 or 1991 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (f) In calendar year 1992, a motor vehicle or motor vehicle engine 
originally produced in calendar year 1987 may be imported under this 
section by a certificate holder if:
    (1) The certificate holder possesses a currently valid certificate 
of conformity for a vehicle or engine model originally produced in 
calendar year 1991 or 1992 and the make and fuel type of such certified 
model is the same as the make and fuel type of the vehicle or engine 
being imported under this section; and
    (2) The certificate holder's name has not been placed on a currently 
effective EPA list of certificate holders ineligible to import such 
modification/test vehicles, as described in paragraph (j) of this 
section.
    (g) A motor vehicle or motor vehicle engine conditionally imported 
under this section may be finally admitted into the United States upon 
approval of the certificate holder's application to the Administrator. 
Such application shall be made either by completing EPA forms or, if the 
applicant chooses, by submitting the data electronically to EPA's 
computer, in accordance with EPA instructions. Such application shall 
contain:
    (1) The identification information required in Sec.  85.1504;
    (2) An attestation by the certificate holder that the vehicle or 
engine has been modified and/emission tested in accordance with the FTP 
at a laboratory within the United States;
    (3) The results of any FTP;
    (4) The deterioration factor assigned by EPA;
    (5) The FTP results adjusted by the deterioration factor;
    (6) An attestation by the certificate holder that emission testing 
and development of fuel economy data as required by Sec.  85.1510 was 
performed after the vehicle or engine had been modified to conform to 
Department of Transportation safety standards;
    (7) All information required under Sec.  85.1510;
    (8) An attestation by the certificate holder that the certificate 
holder is responsible for the vehicle's or engine's compliance with 
Federal emission requirements, regardless of whether the certificate 
holder owns the vehicle or engine imported under this section.
    (9) The name, address and telephone number of the person who the 
certification holder prefers to receive EPA notification under Sec.  
85.1509(i).
    (10) For any vehicle imported in accordance with paragraphs (b) 
through (f) of this section, an attestation by the certificate holder 
that the vehicle is of the same make and fuel type as the vehicle 
covered by a qualifying certificate as described in paragraphs (b) 
through (f) of this section, as applicable.
    (11) Such other information as is deemed necessary by the 
Administrator.

[[Page 356]]

    (h) EPA approval for final admission of a vehicle or engine under 
this section shall be presumed not to have been granted if a vehicle's 
final FTP results, adjusted by the deterioration factor, if applicable, 
do not comply with applicable emission standards.
    (i) Except as provided in Sec.  85.1509(h), EPA approval for final 
admission of a vehicle or engine under this section shall be presumed to 
have been granted should the certificate holder not have received oral 
or written notice from EPA to the contrary within 15 working days of the 
date of EPA's receipt of the certificate holder's application under 
Sec.  85.1509(g). Such EPA notice shall be made to an employee of the 
certificate holder. If application is made on EPA form, the date of a 
certified mail receipt shall be deemed to be the official date of 
notification to EPA. If application is made by submitting the data 
electronically, the date of acceptance by EPA's computer shall be deemed 
to be the official date of notification to EPA. During this 15 working 
day period, the vehicle or engine must be stored at a location where the 
Administrator will have reasonable access to inspect the vehicle or 
engine.
    (j) EPA list of certificate holders ineligible to import vehicles 
for modification/test. EPA shall maintain a current list of certificate 
holders who have been determined to be ineligible to import vehicles or 
engines under this section. Such determinations shall be made in 
accordance with the criteria and procedures in Sec.  85.1513(e) of this 
subpart.
    (k) Inspections. Prior to final entry, vehicles or engines imported 
under this section are subject to special inspections as described in 
Sec.  85.1506 with these additional provisions:
    (1) If a significant number of vehicles imported by a certificate 
holder fail to comply, in the judgment of the Administrator, with 
emission requirements upon inspection or retest, or if the certificate 
holder fails to comply with any provision of these regulations that 
pertain to vehicles imported pursuant to Sec.  85.1509, the certificate 
holder may be placed on the EPA list of certificate holders ineligible 
to import vehicles under this section as specified in paragraph (j) of 
this section and Sec.  85.1513(e);
    (2) Individual vehicles or engines which fail an FTP retest or 
inspection must be repaired and retested, as applicable, to demonstrate 
compliance with emission requirements before final admission.
    (3) Unless otherwise specified by EPA, the costs of all retesting 
under this subsection, including transportation, shall be borne by the 
certificate holder.
    (l) In-Use inspection and testing. Vehicles or engines imported 
under this section may be tested or inspected by EPA at any time during 
the vehicle's or engine's useful life in accordance with Sec.  85.1508 
(a) and (b). If, in the judgment of the Administrator, a significant 
number of properly maintained and used vehicles or engines imported by 
the certificate holder fail to meet emission requirements, the name of 
the certificate holder may be placed on the EPA list of certificate 
holders ineligible to import vehicles under the modification/test 
provision as specified in paragraph (j) of this section and Sec.  
85.1513(e).



Sec.  85.1510  Maintenance instructions, warranties, emission labeling 
and fuel economy requirements.

    The provisions of this section are applicable to all vehicles or 
engines imported under the provisions of Sec. Sec.  85.1505 and 85.1509.
    (a) Maintenance instructions. (1) The certificate holder shall 
furnish to the purchaser or to the owner of each vehicle or engine 
imported under Sec.  85.1505 or Sec.  85.1509 of this section, written 
instructions for the maintenance and use of the vehicle or engine by the 
purchaser or owner. Each application for final admission of a vehicle or 
engine shall provide an attestation that such instructions have been or 
will be (if the ultimate producer is unknown) furnished to the purchaser 
or owner of such vehicle or engine at the time of sale or redelivery. 
The certificate holder shall maintain a record of having furnished such 
instructions.
    (2) For each vehicle or engine imported under Sec.  85.1509, the 
maintenance and use instructions shall be maintained in a file 
containing the records for that vehicle or engine.

[[Page 357]]

    (3) Such instructions shall not contain requirements more 
restrictive than those set forth in 40 CFR part 86, subpart A or subpart 
S, as applicable (Maintenance Instructions), and shall be in sufficient 
detail and clarity that an automotive mechanic of average training and 
ability can maintain or repair the vehicle or engine.
    (4) Certificate holders shall furnish with each vehicle or engine a 
list of the emission control parts, and emission-related parts added by 
the certificate holder and the emission control and emission related 
parts furnished by the OEM.
    (b) Warranties. (1) Certificate holders shall provide to vehicle or 
engine owners emission warranties identical to those required by 
sections 207 (a) and (b) of the Act and 40 CFR part 85, subpart V. The 
warranty period for each vehicle or engine shall commence on the date 
the vehicle or engine is delivered by the certificate holder to the 
ultimate purchaser or owner.
    (2) Certificate holders shall ensure that these warranties:
    (i) Are insured by a prepaid mandatory service insurance policy 
underwritten by an independent insurance company;
    (ii) Are transferable to each successive owner for the periods 
specified in sections 207 (a) and (b); and
    (iii) Provide that in the absence of a certificate holder's facility 
being reasonably available (i.e., within 50 miles) for performance of 
warranty repairs, such warranty repairs may be performed anywhere.
    (3) Certificate holders shall attest in each application for final 
admission that such warranties will be or have been provided. Copies of 
such warranties shall be maintained in a file containing the records for 
that vehicle or engine.
    (c) Emission labeling. (1) The certificate holder shall affix a 
permanent legible label in a readily visible position in the engine 
compartment. The label shall meet all the requirements of part 86 and 
shall contain the following statement ``This vehicle or engine was 
originally produced in (month and year of original production). It has 
been imported and modified by (certificate holder's name, address and 
telephone number) to conform to U.S. emission regulations applicable to 
the (year) model year.'' If the vehicle or engine is owned by the 
certificate holder at the time of importation, the label shall also 
state ``this vehicle or engine is warranted for five years or 50,000 
miles from the date of purchase, whichever comes first.'' If the vehicle 
or engine is not owned by the certificate holder at the time of 
importation, the label shall state ``this vehicle or engine is warranted 
for five years or 50,000 miles from the date of release to the owner, 
whichever comes first.'' For vehicles imported under Sec.  85.1509, the 
label shall clearly state in bold letters that ``this vehicle has not 
been manufactured under a certificate of conformity but meets EPA air 
pollution control requirements under a modification/test program.'' In 
addition, for all vehicles, the label shall contain the vacuum hose 
routing diagram applicable to the vehicles.
    (2) As part of the application to the Administrator for final 
admission of each individual vehicle or engine under Sec.  85.1509, the 
certificate holder shall maintain a copy of such label for each vehicle 
or engine in a file containing the records for that vehicle or engine. 
Certificate holders importing under Sec.  85.1505 or Sec.  85.1509 shall 
attest to compliance with the above labeling requirements in each 
application for final admission.
    (d) Fuel economy labeling. (1) The certificate holder shall affix a 
fuel economy label that complies with the requirements of 40 CFR part 
600, subpart D.
    (2) For purposes of generating the fuel economy data to be 
incorporated on such label, each vehicle imported under Sec.  85.1509 
shall be considered to be a separate model type.
    (3) As part of the application to the Administrator for final 
admission of each individual vehicle or engine imported under Sec.  
85.1509, the certificate holder shall maintain a copy of such label for 
each vehicle or engine in a file containing the records for that vehicle 
or engine. In each application for final admission of a vehicle or 
engine under Sec.  85.1505 or Sec.  85.1509, the certificate holder 
shall attest to compliance with the above labeling requirements.

[[Page 358]]

    (e) Gas guzzler tax. (1) Certificate holders shall comply with any 
applicable provisions of the Energy Tax Act of 1978, 26 U.S.C. 4064, for 
every vehicle imported under Sec. Sec.  85.1505 and 85.1509.
    (2) For vehicles not owned by the certificate holder, the 
certificate holder shall furnish to the vehicle owner applicable IRS 
forms (currently numbered 720 (Quarterly Federal Excise Tax) and 6197 
(Fuel Economy Tax Computation Form)) which relate to the collection of 
the gas guzzler tax under the Energy Tax Act of 1978, 26 U.S.C. 4064.
    (3) As part of the certificate holder's application to EPA for final 
admission of each vehicle imported under Sec.  85.1509, the certificate 
holder shall furnish any fuel economy data required by the Energy Tax 
Act of 1978, 15 U.S.C. 4064.
    (f) Corporate Average Fuel Economy (CAFE). (1) Certificate holders 
shall comply with any applicable CAFE requirements of the Energy Policy 
and Conservation Act, 15 U.S.C. 2001 et seq., and 40 CFR part 600, for 
all vehicles imported under Sec. Sec.  85.1505 and 85.1509.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]



Sec.  85.1511  Exemptions and exclusions.

    (a) Individuals, as well as certificate holders, shall be eligible 
for importing vehicles into the United States under the provisions of 
this section, unless otherwise specified.
    (b) Notwithstanding any other requirements of this subpart, a motor 
vehicle or motor vehicle engine entitled to a temporary exemption under 
this paragraph (b) may be conditionally admitted into the United States 
if prior written approval for such conditional admission is obtained 
from the Administrator. Conditional admission shall be under bond. A 
written request for approval from the Administrator shall contain the 
identification required in Sec.  85.1504(a)(1) (except for Sec.  
85.1504(a)(1)(v)) and information that indicates that the importer is 
entitled to the exemption. Noncompliance with provisions of this section 
may result in the forfeiture of the total amount of the bond or 
exportation of the vehicle or engine. The following temporary exemptions 
apply:
    (1) Exemption for repairs or alterations. Vehicles and engines may 
qualify for a temporary exemption under the provisions of 40 CFR 
1068.325(a). Such vehicles or engines may not be registered or licensed 
in the United States for use on public roads and highways.
    (2) Testing exemption. Vehicles and engines may qualify for a 
temporary exemption under the provisions of 40 CFR 1068.325(b). Test 
vehicles or engines may be operated on and registered for use on public 
roads or highways provided that the operation is an integral part of the 
test.
    (3) Precertification exemption. Prototype vehicles for use in 
applying to EPA for certification may be imported by independent 
commercial importers subject to applicable provisions of Sec.  85.1706 
and the following requirements:
    (i) No more than one prototype vehicle for each engine family for 
which an independent commercial importer is seeking certification shall 
be imported by each independent commercial importer.
    (ii) Unless a certificate of conformity is issued for the prototype 
vehicle, the total amount of the bond shall be forfeited or the vehicle 
must be exported within 180 days from the date of entry.
    (4) Display exemptions. Vehicles and engines may qualify for a 
temporary exemption under the provisions of 40 CFR 1068.325(c). Display 
vehicles or engines may not be registered or licensed for use or 
operated on public roads or highways in the United States, unless an 
applicable certificate of conformity has been received.
    (c) Notwithstanding any other requirements of this subpart, a motor 
vehicle or motor vehicle engine may be finally admitted into the United 
States under this paragraph (c) if prior written approval for such final 
admission is obtained from the Administrator. Conditional admission of 
these vehicles is not permitted for the purpose of obtaining written 
approval from the Administrator. A request for approval shall contain 
the identification information required in Sec.  85.1504(a)(1) (except 
for Sec.  85.1504(a)(1)(v)) and information that indicates that the 
importer is entitled to the exemption or exclusion.

[[Page 359]]

The following exemptions or exclusions apply:
    (1) National security exemption. Vehicles may be imported under the 
national security exemption found at 40 CFR 1068.315(a). Only persons 
who are manufacturers may import a vehicle under a national security 
exemption.
    (2) Hardship exemption. The Administrator may exempt on a case-by-
case basis certain motor vehicles from Federal emission requirements to 
accommodate unforeseen cases of extreme hardship or extraordinary 
circumstances. Some examples are as follows:
    (i) Handicapped individuals who need a special vehicle unavailable 
in a certified configuration;
    (ii) Individuals who purchase a vehicle in a foreign country where 
resale is prohibited upon the departure of such an individual;
    (iii) Individuals emigrating from a foreign country to the U.S. in 
circumstances of severe hardship.
    (d) Foreign diplomatic and military personnel may import 
nonconforming vehicles without bond. At the time of admission, the 
importer shall submit to the Administrator the written report required 
in Sec.  85.1504(a)(1) (except for information required by Sec.  
85.1504(a)(1)(v)). Such vehicles may not be sold in the United States.
    (e) Racing vehicles may be imported by any person provided the 
vehicles meet one or more of the exclusion criteria specified in Sec.  
85.1703. Racing vehicles may not be registered or licensed for use on or 
operated on public roads and highways in the United States.
    (f) The following exclusions and exemptions apply based on date of 
original manufacture:
    (1) Notwithstanding any other requirements of this subpart, the 
following motor vehicles or motor vehicle engines are excluded from the 
requirements of the Act in accordance with section 216(3) of the Act and 
may be imported by any person:
    (i) Gasoline-fueled light-duty vehicles and light-duty trucks 
originally manufactured prior to January 1, 1968.
    (ii) Diesel-fueled light-duty vehicles originally manufactured prior 
to January 1, 1975.
    (iii) Diesel-fueled light-duty trucks originally manufactured prior 
to January 1, 1976.
    (iv) Motorcycles originally manufactured prior to January 1, 1978.
    (v) Gasoline-fueled and diesel-fueled heavy-duty engines originally 
manufactured prior to January 1, 1970.
    (2) Notwithstanding any other requirements of this subpart, a motor 
vehicle or motor vehicle engine not subject to an exclusion under 
paragraph (f)(1) of this section but greater than twenty OP years old is 
entitled to an exemption from the requirements of the Act, provided that 
it is imported into the United States by a certificate holder. At the 
time of admission, the certificate holder shall submit to the 
Administrator the written report required in Sec.  85.1504(a)(1) (except 
for information required by Sec.  85.1504(a)(1)(v)).
    (g) Applications for exemptions and exclusions provided for in 
paragraphs (b) and (c) of this section shall be mailed to the Designated 
Compliance Officer (see 40 CFR 1068.30).
    (h) Vehicles conditionally or finally admitted under this section 
must still comply with all applicable requirements, if any, of the 
Energy Tax Act of 1978, the Energy Policy and Conservation Act and any 
other Federal or state requirements.

[76 FR 57373, Sept. 15, 2011]



Sec.  85.1512  Admission of catalyst and O2 sensor-equipped vehicles.

    (a)(1) Notwithstanding other provisions of this subpart, any person 
may conditionally import a vehicle which:
    (i) Was covered by a certificate of conformity at the time of 
original manufacture or had previously been admitted into the United 
States under Sec.  85.1505 or Sec.  85.1509 (after June 30, 1988).
    (ii) Was certified, or previously admitted under Sec.  85.1505 or 
Sec.  85.1509 (after June 30, 1988), with a catalyst emission control 
system and/or O2 sensor;
    (iii) Is labeled in accordance with 40 CFR part 86, subpart A or 
subpart S, or, where applicable, Sec.  85.1510(c); and
    (iv) Has been driven outside the United States, Canada and Mexico or 
such other countries as EPA may designate.
    (2) Such vehicle must be entered under bond pursuant to 19 CFR 12.73

[[Page 360]]

unless it is included in a catalyst and O2 sensor control 
program approved by the Administrator upon such terms as may be deemed 
appropriate. Catalyst and O2 sensor programs conducted by 
manufacturers may be approved each model year.
    (b) For the purpose of this section, ``catalyst and O2 
sensor control program'' means a program instituted and maintained by a 
manufacturer, or any U.S. Government Agency for the purpose of 
preservation, replacement, or initial installation of catalytic 
converters and cleaning and/or replacement of O2 sensors and, 
if applicable, restricted fuel filler inlets.
    (c) For the purpose of this section, ``driven outside the United 
States, Canada and Mexico'' does not include mileage accumulated on 
vehicles solely under the control of manufacturers of new motor vehicles 
or engines for the purpose of vehicle testing and adjustment, and 
preparation for shipment to the United States.
    (d) Vehicles conditionally imported pursuant to this section and 
under bond must be modified in accordance with the certificate of 
conformity applicable at the time of manufacture. In the case of 
vehicles previously imported under Sec.  85.1509 or Sec.  85.1504 (prior 
to July 1, 1988), the replacement catalyst and O2 sensor, if 
applicable, must be equivalent (in terms of emission reduction) to the 
original catalyst and O2 sensor. Such vehicles may be granted 
final admission upon application to the Administrator, on forms 
specified by the Administrator. Such application shall contain the 
information required in Sec.  85.1504(a)(1) (i) through (v) and shall 
contain both an attestation by a qualified mechanic that the catalyst 
has been replaced and the O2 sensor has been replaced, if 
necessary, and that both parts are functioning properly, and a copy of 
the invoice for parts and labor.

[52 FR 36156, Sept. 25, 1987, as amended at 64 FR 23919, May 4, 1999]



Sec.  85.1513  Prohibited acts; penalties.

    (a) The importation of a motor vehicle or motor vehicle engine which 
is not covered by a certificate of conformity other than in accordance 
with this subpart and the entry regulations of the U.S. Customs Service 
at 19 CFR 12.73 is prohibited. Failure to comply with this section is a 
violation of section 203(a)(1) of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a vehicle shall not:
    (1) Operate the vehicle on streets or highways,
    (2) Sell or offer the vehicle or engine for sale, or
    (3) Store the vehicle on the premises of a dealer.
    (c) Any vehicle or engine conditionally admitted pursuant to Sec.  
85.1504, Sec.  85.1511 or Sec.  85.1512, and not granted final admission 
within 120 days of such conditional admission, or within such additional 
time as the U.S. Customs Service may allow, shall be deemed to be 
unlawfully imported into the United States in violation of section 
203(a)(1) of the Act, unless such vehicle or engine shall have been 
delivered to the U.S. Customs Service for export or other disposition 
under applicable Customs laws and regulations. Any vehicles or engines 
not so delivered shall be subject to seizure by the U.S. Customs 
Service.
    (d) Any importer who violates section 203(a)(1) of the Act is 
subject to a civil penalty under section 205 of the Act of not more than 
$32,500 for each vehicle or engine subject to the violation. In addition 
to the penalty provided in the Act, where applicable, under the 
exemption provisions of Sec.  85.1511(b), or under Sec.  85.1512, any 
person or entity who fails to deliver such vehicle or engine to the U.S. 
Customs Service is liable for liquidated damages in the amount of the 
bond required by applicable Customs laws and regulations.
    (e)(1) A certificate holder whose vehicles or engines imported under 
Sec.  85.1505 or Sec.  85.1509 fail to conform to Federal emission 
requirements after modification and/or testing under the Federal Test 
Procedure (FTP) or who fails to comply with applicable provisions of 
this subpart, may, in addition to any other applicable sanctions and 
penalties, be subject to any, or all, of the following sanctions:

[[Page 361]]

    (i) The certificate holder's currently held certificates of 
conformity may be revoked or suspended;
    (ii) The certificate holder may be deemed ineligible to apply for 
new certificates for up to 3 years; and
    (iii) The certificate holder may be deemed ineligible to import 
vehicles or engines under Sec.  85.1509 in the future and be placed on a 
list of certificate holders ineligible to import vehicles or engines 
under the provisions of Sec.  85.1509.
    (2) Grounds for the actions described in paragraph (e)(1) of this 
section shall include, but not be limited to, the following:
    (i) Action or inaction by the certificate holder or the laboratory 
performing the FTP on behalf of the certificate holder which results in 
fraudulent, deceitful or grossly inaccurate representation of any fact 
or condition which affects a vehicle's or engine's eligibility for 
admission to the U.S. under this subpart;
    (ii) Failure of a significant number of vehicles or engines imported 
to comply with Federal emission requirements upon EPA inspection or 
retest; or
    (iii) Failure by a certificate holder to comply with requirements of 
this subpart.
    (3) The following procedures govern any decision to suspend, revoke, 
or refuse to issue certificates under this subpart:
    (i) When grounds appear to exist for the actions described in 
paragraph (e)(1) of this section, the Administrator shall notify the 
certificate holder in writing of any intended suspension or revocation 
of a certificate, proposed ineligibility to apply for new certificates, 
or intended suspension of eligibility to conduct modification/testing 
under Sec.  85.1509, and the grounds for such action.
    (ii) Except as provided by paragraph (e)(3)(iv) of this section, the 
certificate holder must take the following actions before the 
Administrator will consider withdrawing notice of intent to suspend or 
revoke the certificate holder's certificate or the certificate holder's 
eligibility to perform modification/testing under Sec.  85.1509:
    (A) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the vehicle or engines, describes 
the proposed remedy, including a description of any proposed quality 
control and/or quality assurance measures to be taken by the certificate 
holder to prevent the future occurrence of the problem, and states the 
date on which the remedies will be implemented; or
    (B) Demonstrate that the vehicles or engines do in fact comply with 
applicable regulations in this chapter by retesting such vehicles or 
engines in accordance with the FTP.
    (iii) A certificate holder may request within 15 calendar days of 
the Administrator's notice of intent to suspend or revoke a certificate 
holder's eligibility to perform modification/testing or certificate that 
the Administrator grant such certificate holder a hearing:
    (A) As to whether the tests have been properly conducted,
    (B) As to any substantial factual issue raised by the 
Administrator's proposed action.
    (iv) If, after the Administrator notifies a certificate holder of 
his/her intent to suspend or revoke a certificate holder's certificate 
of conformity or its eligibility to perform modification/testing under 
Sec.  85.1509 and prior to any final suspension or revocation, the 
certificate holder demonstrates to the Administrator's satisfaction that 
the decision to initiate suspension or revocation of the certificate or 
eligibility to perform modification/testing under Sec.  85.1509 was 
based on erroneous information, the Administrator will withdraw the 
notice of intent.
    (4) Hearings on suspensions and revocations of certificates of 
conformity or of eligibility to perform modification/testing under Sec.  
85.1509 shall be held in accordance with 40 CFR part 1068, subpart G.
    (5) When a hearing is requested under this paragraph and it clearly 
appears from the data or other information contained in the request for 
a hearing, or submitted at the hearing, that there is no genuine and 
substantial question of fact with respect to the issue of whether the 
certificate holder failed to comply with this subpart, the Administrator 
will enter an order denying the request for a hearing, or terminating 
the hearing, and suspending or revoking the certificate of conformity or 
the

[[Page 362]]

certificate holder's eligibility to perform modification/testing under 
Sec.  85.1509.
    (6) In lieu of requesting a hearing under paragraph (e)(3)(iii) of 
this section, a certificate holder may respond in writing to EPA's 
charges in the notice of intent to suspend or revoke. Such a written 
response must be received by EPA within 30 days of the date of EPA's 
notice of intent. No final decision to suspend or revoke will be made 
before that time.

[52 FR 36156, Sept. 25, 1987, as amended at 70 FR 40430, July 13, 2005; 
81 FR 73972, Oct. 25, 2016]



Sec.  85.1514  Treatment of confidential information.

    (a) Any importer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, an importer must indicate clearly the items of information 
claimed confidential by marking, circling, bracketing, stamping, or 
otherwise specifying the confidential information. Furthermore, EPA 
requests, but does not require, that the submitter also provide a second 
copy of its submittal from which all confidential information has been 
deleted. If a need arises to publicly release nonconfidential 
information, EPA will assume that the submitter has accurately deleted 
the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter.



Sec.  85.1515  Emission standards and test procedures applicable 
to imported nonconforming motor vehicles and motor vehicle engines.

    (a) Notwithstanding any other requirements of this subpart, any 
motor vehicle or motor vehicle engine conditionally imported pursuant to 
Sec.  85.1505 or Sec.  85.1509 and required to be emission tested shall 
be tested using the FCT at 40 CFR part 86 applicable to current model 
year motor vehicles and motor vehicle engines at the time of testing or 
reduced testing requirements as follows:
    (1) ICIs are eligible for reduced testing under this paragraph (a) 
subject to the following conditions:
    (i) The OEM must have a valid certificate of conformity covering the 
vehicle.
    (ii) The vehicle must be in its original configuration as certified 
by the OEM. This applies for all emission-related components, including 
the electronic control module, engine calibrations, and all evaporative/
refueling control hardware. It also applies for OBD software and 
hardware, including all sensors and actuators.
    (iii) The vehicle modified as described in paragraph (a)(1)(ii) of 
this section must fully comply with all applicable emission standards 
and requirements.
    (iv) Vehicles must have the proper OBD systems installed and 
operating. When faults are present, the ICI must test and verify the 
system's ability to find the faults (such as disconnected components), 
set codes, and illuminate the light, and set readiness codes as 
appropriate for each vehicle. When no fault is present, the ICI must 
verify that after sufficient prep driving (typically one FTP test 
cycle), all OBD readiness codes are set and the OBD system does not 
indicate a malfunction (i.e., no codes set and no light illuminated).
    (v) The ICI may not modify more than 300 vehicles in any given model 
year using reduced testing provisions in this paragraph (a).
    (vi) The ICI must state in the application for certification that it 
will meet all the conditions in this paragraph (a)(1).

[[Page 363]]

    (2) The following provisions allow for ICIs to certify vehicles with 
reduced testing:
    (i) In addition to the test waivers specified in 40 CFR 86.1829, you 
may provide a statement in the application for certification, supported 
by engineering analysis, that vehicles comply with any of the following 
standards that apply instead of submitting test data:
    (A) Cold temperature CO and NMHC emission standards specified in 40 
CFR 86.1811.
    (B) SFTP emission standards specified in 40 CFR 86.1811 and 86.1816 
for all pollutants.
    (C) For anything other than diesel-fueled vehicles, PM emission 
standards specified in 40 CFR 86.1811 and 86.1816.
    (D) Any running loss, refueling, spitback, bleed emissions, and leak 
standards specified in 40 CFR part 86, subparts A and S.
    (ii) You must perform testing and submit test data as follows to 
demonstrate compliance with emission standards:
    (A) Exhaust and fuel economy tests. You must measure emissions over 
the FTP driving cycle and the highway fuel economy driving cycle as 
specified in 40 CFR 600.109 to meet the fuel economy requirements in 40 
CFR part 600 and demonstrate compliance with the exhaust emission 
standards in 40 CFR part 86 (other than PM). Measure exhaust emissions 
and fuel economy with the same test procedures used by the original 
manufacturer to test the vehicle for certification. However, you must 
use an electric dynamometer meeting the requirements of Sec.  86.108 or 
40 CFR part 1066, subpart B, unless we approve a different dynamometer 
based on excessive compliance costs. If you certify based on testing 
with a different dynamometer, you must state in the application for 
certification that all vehicles in the emission family will comply with 
emission standards if tested on an electric dynamometer.
    (B) Evaporative emission test. You may measure evaporative emissions 
as specified in this paragraph (a)(2)(ii)(B) to demonstrate compliance 
with the evaporative emission standards in 40 CFR part 86 instead of the 
otherwise specified procedures. Use measurement equipment for 
evaporative measurements specified in 40 CFR part 86, subpart B, except 
that the evaporative emission enclosure does not need to accommodate 
varying ambient temperatures. The evaporative measurement procedure is 
integral to the procedure for measuring exhaust emissions over the FTP 
driving cycle as described in paragraph (a)(ii)(2)(A) of this section. 
Perform canister preconditioning using the same procedure used by the 
original manufacturer to certify the vehicle; perform this canister 
loading before the initial preconditioning drive. Perform a diurnal 
emission test at the end of the stabilization period before the exhaust 
emission test by heating the fuel from 60 to 84 [deg]F, either by 
exposing the vehicle to increasing ambient temperatures or by applying 
heat directly to the fuel tank. Measure hot soak emissions as described 
in 40 CFR 86.138-96(k). We may approve alternative measurement 
procedures that are equivalent to or more stringent than the specified 
procedures if the specified procedures are impractical for particular 
vehicle models or measurement facilities. The sum of the measured 
diurnal and hot soak values must meet the appropriate emission standard 
as specified in this section.
    (b) The emission standards applicable to nonconforming light-duty 
vehicles and light-duty trucks imported pursuant to this subpart are 
outlined in tables 1 and 2 of this section, respectively. The useful 
life as specified in tables 1 and 2 of this section is applicable to 
imported light-duty vehicles and light-duty trucks, respectively.
    (c)(1) Nonconforming motor vehicles or motor vehicle engines of 1994 
OP year and later conditionally imported pursuant to Sec.  85.1505 or 
Sec.  85.1509 shall meet all of the emission standards specified in 40 
CFR part 86 for the OP year of the vehicle or motor vehicle engine. The 
useful life specified in 40 CFR part 86 for the OP year of the motor 
vehicle or motor vehicle engine is applicable where useful life is not 
designated in this subpart.
    (2)(i) Nonconforming light-duty vehicles and light light-duty trucks 
(LDV/LLDTs) originally manufactured in OP years 2004, 2005 or 2006 must 
meet the FTP exhaust emission standards of bin

[[Page 364]]

9 in Tables S04-1 and S04-2 in 40 CFR 86.1811-04 and the evaporative 
emission standards for light-duty vehicles and light light-duty trucks 
specified in 40 CFR 86.1811-01(e)(5).
    (ii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty passenger 
vehicles (MDPVs) originally manufactured in OP years 2004 through 2006 
must meet the FTP exhaust emission standards of bin 10 in Tables S04-1 
and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative emission 
standards specified in 40 CFR 86.1811-04(e)(5). For 2004 OP year HLDTs 
and MDPVs where modifications commence on the first vehicle of a test 
group before December 21, 2003, this requirement does not apply to the 
2004 OP year. ICIs opting to bring all of their 2004 OP year HLDTs and 
MDPVs into compliance with the exhaust emission standards of bin 10 in 
Tables S04-1 and S04-2 in 40 CFR 86.1811-04, may use the optional higher 
NMOG values for their 2004-2006 OP year LDT2s and 2004-2008 LDT4s.
    (iii) Nonconforming LDT3s and LDT4s (HLDTs) and medium-duty 
passenger vehicles (MDPVs) originally manufactured in OP years 2007 and 
2008 must meet the FTP exhaust emission standards of bin 8 in Tables 
S04-1 and S04-2 in 40 CFR 86.1811-04 and the applicable evaporative 
standards specified in 40 CFR 86.1811-04(e)(5).
    (iv) Nonconforming LDV/LLDTs originally manufactured in OP years 
2007 through 2021 and nonconforming HLDTs and MDPVs originally 
manufactured in OP year 2009 through 2021 must meet the FTP exhaust 
emission standards of bin 5 in Tables S04-1 and S04-2 in 40 CFR 86.1811-
04, and the evaporative standards specified in 40 CFR 86.1811-04(e)(1) 
through (4).
    (v) ICIs are exempt from the Tier 2 and the interim non-Tier2 phase-
in intermediate percentage requirements for exhaust, evaporative, and 
refueling emissions described in 40 CFR 86.1811-04.
    (vi) In cases where multiple standards exist in a given model year 
in 40 CFR part 86 due to phase-in requirements of new standards, the 
applicable standards for motor vehicle engines required to be certified 
to engine-based standards are the least stringent standards applicable 
to the engine type for the OP year.
    (vii) Nonconforming LDV/LLDTs originally manufactured in OP years 
2009 through 2021 must meet the evaporative emission standards in Table 
S09-1 in 40 CFR 86.1811-09(e). However, LDV/LLDTs originally 
manufactured in OP years 2009 and 2010 and imported by ICIs who qualify 
as small-volume manufacturers as defined in 40 CFR 86.1838-01 are exempt 
from the LDV/LLDT evaporative emission standards in Table S09-1 in 40 
CFR 86.1811-09(e), but must comply with the Tier 2 evaporative emission 
standards in Table S04-3 in 40 CFR 86.1811-04(e).
    (viii) Nonconforming HLDTs and MDPVs originally manufactured in OP 
years 2010 through 2021 must meet the evaporative emission standards in 
Table S09-1 in 40 CFR 86.1811-09(e). However, HLDTs and MDPVs originally 
manufactured in OP years 2010 and 2011 and imported by ICIs, who qualify 
as small-volume manufacturers as defined in 40 CFR 86.1838-01, are 
exempt from the HLDTs and MDPVs evaporative emission standards in Table 
S09-1 in 40 CFR 86.1811-09(e), but must comply with the Tier 2 
evaporative emission standards in Table S04-3 in 40 CFR 86.1811-04(e).
    (ix) Nonconforming LDVs, LDTs, MDPVs, and complete heavy-duty 
vehicles at or below 14,000 pounds GVWR originally manufactured in OP 
years 2022 and later must meet the Tier 3 exhaust and evaporative 
emission standards in 40 CFR 86.1811-17, 86.1813-17, and 86.1816-18.
    (3)(i) As an option to the requirements of paragraph (c)(2) of this 
section, independent commercial importers may elect to meet lower bins 
in Tables S04-1 and S04-2 of 40 CFR 86.1811-04 than specified in 
paragraph (c)(2) of this section and bank or sell NOX credits 
as permitted in 40 CFR 86.1860-04 and 40 CFR 86.1861-04. An ICI may not 
meet higher bins in Tables S04-1 and S04-2 of 40 CFR 86.1811-04 than 
specified in paragraph (c)(2) of this section unless it demonstrates to 
the Administrator at the time of certification that it has obtained 
appropriate and sufficient NOX credits from another 
manufacturer, or has generated them in a previous model year or in the 
current

[[Page 365]]

model year and not transferred them to another manufacturer or used them 
to address other vehicles as permitted in 40 CFR 86.1860-04 and 40 CFR 
86.1861-04.
    (ii) Where an ICI desires to obtain a certificate of conformity 
using a bin higher than specified in paragraph (c)(2) of this section, 
but does not have sufficient credits to cover vehicles produced under 
such certificate, the Administrator may issue such certificate if the 
ICI has also obtained a certificate of conformity for vehicles certified 
using a bin lower than that required under paragraph (c)(2) of this 
section. The ICI may then produce vehicles to the higher bin only to the 
extent that it has generated sufficient credits from vehicles certified 
to the lower bin during the same model year.
    (4) [Reserved]
    (5) Except for the situation where an ICI desires to bank, sell or 
use NOX credits as described in paragraph (c)(3) of this 
section, the requirements of 40 CFR 86.1811-04 related to fleet average 
NOX standards and requirements to comply with such standards 
do not apply to vehicles modified under this subpart.
    (6) ICIs using bins higher than those specified in paragraph (c)(2) 
of this section must monitor their production so that they do not 
produce more vehicles certified to the standards of such bins than their 
available credits can cover. ICIs must not have a credit deficit at the 
end of a model year and are not permitted to use the deficit 
carryforward provisions provided in 40 CFR 86.1860-04(e).
    (7) The Administrator may condition the certificates of conformity 
issued to ICIs as necessary to ensure that vehicles subject to paragraph 
(c) of this section comply with the appropriate average NOX 
standard for each model year.
    (8)(i) Nonconforming LDV/LLDTs originally manufactured in OP years 
2010 and later must meet the cold temperature NHMC emission standards in 
Table S10-1 in 40 CFR 86.1811-10(g).
    (ii) Nonconforming HLDTs and MDPVs originally manufactured in OP 
years 2012 and later must meet the cold temperature NHMC emission 
standards in Table S10-1 in 40 CFR 86.1811-10(g).
    (iii) ICIs, which qualify as small-volume manufacturers, are exempt 
from the cold temperature NMHC phase-in intermediate percentage 
requirements described in 40 CFR 86.1811-10(g)(3). See 40 CFR 86.1811-
04(k)(5)(vi) and (vii).
    (iv) As an alternative to the requirements of paragraphs (c)(8)(i) 
and (ii) of this section, ICIs may elect to meet a cold temperature NMHC 
family emission level below the cold temperature NMHC fleet average 
standards specified in Table S10-1 of 40 CFR 86.1811-10 and bank or sell 
credits as permitted in 40 CFR 86.1864-10. An ICI may not meet a higher 
cold temperature NMHC family emission level than the fleet average 
standards in Table S10-1 of 40 CFR 86.1811-10 as specified in paragraphs 
(c)(8)(i) and (ii) of this section, unless it demonstrates to the 
Administrator at the time of certification that it has obtained 
appropriate and sufficient NMHC credits from another manufacturer, or 
has generated them in a previous model year or in the current model year 
and not traded them to another manufacturer or used them to address 
other vehicles as permitted in 40 CFR 86.1864-10.
    (v) Where an ICI desires to obtain a certificate of conformity using 
a higher cold temperature NMHC family emission level than specified in 
paragraphs (c)(8)(i) and (ii) of this section, but does not have 
sufficient credits to cover vehicles imported under such certificate, 
the Administrator may issue such certificate if the ICI has also 
obtained a certificate of conformity for vehicles certified using a cold 
temperature NMHC family emission level lower than that required under 
paragraphs (c)(8)(i) and (ii) of this section. The ICI may then import 
vehicles to the higher cold temperature NMHC family emission level only 
to the extent that it has generated sufficient credits from vehicles 
certified to a family emission level lower than the cold temperature 
NMHC fleet average standard during the same model year.
    (vi) ICIs using cold temperature NMHC family emission levels higher 
than the cold temperature NMHC fleet average standards specified in 
paragraphs (c)(8)(i) and (ii) of this section must monitor their imports 
so that

[[Page 366]]

they do not import more vehicles certified to such family emission 
levels than their available credits can cover. ICIs must not have a 
credit deficit at the end of a model year and are not permitted to use 
the deficit carryforward provisions provided in 40 CFR 86.1864-10.
    (vii) The Administrator may condition the certificates of conformity 
issued to ICIs as necessary to ensure that vehicles subject to this 
paragraph (c)(8) comply with the applicable cold temperature NMHC fleet 
average standard for each model year.
    (d) Except as provided in paragraph (c) of this section, ICI's must 
not participate in emission-related programs for emissions averaging, 
banking and trading, or nonconformance penalties.

                        Table 1 to Sec.   85.1515--Emission Standards Applicable to Imported Light-Duty Motor Vehicles\1\ \2\ \3\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                      Evaporative     Useful life (years/
             OP Year                  Hydrocarbon       Carbon monoxide   Oxides of nitrogen  Diesel particulate      hydrocarbon           miles)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1968-1976.......................  1.5 gpm...........  15 gpm............  3.1 gpm...........  ..................  6.0 g/test........  5/50,000
1977-1979.......................  1.5 gpm...........  15 gpm............  2.0 gpm...........  ..................  6.0 g/test........  5/50,000
1980............................  0.41 gpm..........  7.0 gpm...........  2.0 gpm...........  ..................  6.0 g/test........  5/50,000
1981............................  0.41 gpm..........  3.4 gpm...........  1.0 gpm...........  ..................  2.0 g/test........  5/50,000
1982-1986.......................  0.41 gpm..........  3.4 gpm...........  1.0 gpm...........  0.60 gpm..........  2.0 g/test........  5/50,000
1987-1993.......................  0.41 gpm..........  3.4 gpm...........  1.0 gpm...........  0.20 gpm..........  2.0 g/test........  5/50,000
1994 and later..................  (\4\).............  (\4\).............  (\4\).............  (\4\).............  (\4\).............  (\4\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Diesel particulate standards apply only to diesel fueled light-duty vehicles. Evaporative hydrocarbon standards apply only to non-diesel fueled
  light-duty vehicles. For alternative fueled light-duty vehicles, the evaporative hydrocarbon standard is interpreted as organic material hydrocarbon
  equivalent grams carbon per test, as applicable.
\2\ No crankcase emissions shall be discharged into the ambient atmosphere from any non-diesel fueled light-duty vehicle.
\3\ All light-duty vehicles shall meet the applicable emission standards at both low and high-altitudes according to the procedures specified in 40 CFR
  part 86 for current model year motor vehicles at the time of testing.
\4\ Specified in 40 CFR part 86 for the OP year of the vehicle, as described in paragraph (c) of this section.


                        Table 2 to Sec.   85.1515--Emission Standards Applicable to Imported Light-Duty Trucks\1\ \2\ \3\ \4\ \5\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                      Evaporative     Useful life (years/
             OP Year                  Hydrocarbon       Carbon monoxide   Oxides of nitrogen  Diesel particulate      hydrocarbon           miles)
--------------------------------------------------------------------------------------------------------------------------------------------------------
1968-78.........................  2.0 gpm...........  20 gpm............  3.1 gpm...........  ..................  6.0 g/test........  5/50,000
1979-80.........................  1.7 gpm...........  18 gpm............  2.3 gpm...........  ..................  6.0 g/test........  5/50,000
1981............................  1.7 gpm...........  18 gpm............  2.3 gpm...........  ..................  2.0 g/test........  5/50,000
1982-1983.......................  1.7 gpm...........  18 gpm............  2.3 gpm...........  0.60 gpm..........  2.0 g/test........  5/50,000
                                  (2.0).............  (26)..............  (2.3).............  (0.60)............  (2.6).............
1984............................  0.80 gpm..........  10 gpm............  2.3 gpm...........  0.60 gpm..........  2.0 g/test........  5/50,000
                                  (1.0).............  (14)..............  (2.3).............  (0.60)............  (2.6).............
1985-1986.......................  0.80 gpm..........  10 gpm............  2.3 gpm...........  0.60 gpm..........  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (2.3).............  (0.60)............  (2.6).............
1987............................  0.80 gpm..........  10 gpm............  2.3 gpm...........  0.26 gpm..........  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (2.3).............  (0.26)............  (2.6).............
1988-1989.......................  0.80 gpm..........  10 gpm............  1.2 gpm \6\.......  0.26 gpm \7\......  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (1.2).............  (2.0).............  (2.6).............
1988-1989.......................  0.80 gpm..........  10 gpm............  1.7 gpm \6\.......  0.45 gpm \7\......  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (1.7).............  (0.26)............  (2.6).............
1988-1989.......................  0.80 gpm..........  10 gpm............  2.3 gpm \6\.......  0.45 gpm \7\......  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (2.3).............  (0.26)............  (2.6).............
1990-1993.......................  0.80 gpm..........  10 gpm............  1.2 gpm \8\.......  0.26 gpm \7\......  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (1.2).............  (0.26)............  (2.6).............
1990-1993.......................  0.80 gpm..........  10 gpm............  1.7 gpm \8\.......  0.45 gpm \7\......  2.0 g/test........  11/120,000
                                  (1.0).............  (14)..............  (1.7).............  (0.26)............  (2.6).............
1994 and later..................  (\9\).............  (\9\).............  (\9\).............  (\9\).............  (\9\).............  (\9\)
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Diesel particulate standards apply only to diesel fueled light-duty trucks. Evaporative hydrocarbon standards apply only to non-diesel fueled light-
  duty trucks. For alternative fueled light-duty trucks, the evaporative hydrocarbon standard is interpreted as organic material hydrocarbon equivalent
  grams carbon per test, as applicable.
\2\ No crankcase emissions shall be discharged into the ambient atmosphere from any non-diesel fueled light-duty truck.
\3\ A carbon monoxide standard of 0.50% of exhaust flow at curb idle is applicable to all 1984 and later model year light-duty trucks sold to, or owned
  by, an importer for principal use at other than a designated high-altitude location. This requirement is effective for light-duty trucks sold to, or
  owned by an importer for principal use at a designated high-altitude location beginning with the 1988 model year.
\4\ All 1982 OP year and later light-duty trucks sold to, or owned by, an importer for principal use at a designated high-altitude location shall meet
  high-altitude emission standards according to the requirements specified in 40 CFR part 86 for current model year light-duty trucks at the time of
  testing.
\5\ Standards in parentheses apply to motor vehicles sold to, or owned by, an importer for principal use at a designated high-altitude location. These
  standards must be met at high-altitude according to the procedures specified in 40 CFR part 86 for current model year motor vehicles at the time of
  testing.

[[Page 367]]

 
\6\ The oxides of nitrogen standard of 1.2 gpm applies to light-duty trucks at or below 3,750 pounds loaded vehicle weight and at or below 6,000 pounds
  GVWR. The 1.7 gpm standard applies to light-duty trucks above 3,750 pound loaded vehicle weight and at or below 6,000 pounds GVWR; the 2.3 gpm
  standard applies to light-duty trucks above 6,000 pounds GVWR.
\7\ The diesel particulate standard of 0.26 gpm applies to light-duty trucks at or below 3,750 pounds loaded vehicle weight; the 0.45 gpm standard
  applies to light-duty trucks above 3,750 pounds loaded vehicle weight.
\8\ The NOX standard of 1.2 gpm applies to light-duty trucks at or below 3,750 pounds loaded vehicle weight; the 1.7 gpm standard applies to light-duty
  trucks above 3,750 pounds loaded vehicle weight.
\9\ Specified in 40 CFR part 86 for the OP year of the vehicle, as described in paragraph (c) of this section.


[79 FR 23681, Apr. 28, 2014]

Subpart Q [Reserved]



 Subpart R_Exclusion and Exemption of Motor Vehicles and Motor Vehicle 
                                 Engines

    Authority: Secs. 208(b)(1), 216(2), and 301, Clean Air Act (42 
U.S.C. 7522, 7550, and 7061).

    Source: 39 FR 32611, Sept. 10, 1974, unless otherwise noted.



Sec.  85.1701  General applicability.

    (a) The provisions of this subpart regarding exemptions are 
applicable to new and in-use motor vehicles and motor vehicle engines, 
except as follows:
    (1) Beginning January 1, 2014, the exemption provisions of 40 CFR 
part 1068, subpart C, apply instead of the provisions of this subpart 
for heavy-duty motor vehicle engines regulated under 40 CFR part 86, 
subpart A, except that the nonroad competition exemption of 40 CFR 
1068.235 and the nonroad hardship exemption provisions of 40 CFR 
1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines.
    (2) Prior to January 1, 2014, the provisions of Sec. Sec.  85.1706 
through 85.1709 apply for heavy-duty motor vehicle engines.
    (b) The provisions of this subpart regarding exclusion are 
applicable after the effective date of these regulations.
    (c) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles 
under the provisions of 40 CFR part 86, subpart S.
    (d) In a given model year, manufacturers of motor vehicles and motor 
vehicle engines may ask us to approve the use of administrative or 
compliance procedures specified in 40 CFR part 1068 instead of the 
comparable procedures that apply for vehicles or engines certified under 
this part or 40 CFR part 86.

[76 FR 57374, Sept. 15, 2011, as amended at 81 FR 73972, Oct. 25, 2016]



Sec.  85.1702  Definitions.

    (a) As used in this subpart, all terms not defined herein shall have 
the meaning given them in the Act:
    (1) Export exemption means an exemption granted by statute under 
section 203(b)(3) of the Act for the purpose of exporting new motor 
vehicles or new motor vehicle engines.
    (2) National security exemption means an exemption which may be 
granted under section 203(b)(1) of the Act for the purpose of national 
security.
    (3) Pre-certification vehicle means an uncertified vehicle which a 
manufacturer employs in fleets from year to year in the ordinary course 
of business for product development, production method assessment, and 
market promotion purposes, but in a manner not involving lease or sale.
    (4) Pre-certification vehicle engine means an uncertified heavy-duty 
engine owned by a manufacturer and used in a manner not involving lease 
or sale in a vehicle employed from year to year in the ordinary course 
of business for product development, production method assessment and 
market promotion purposes.
    (5) Testing exemption means an exemption which may be granted under 
section 203(b)(1) for the purpose of research investigations, studies, 
demonstrations or training, but not including national security.

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 
47 FR 30484, July 14, 1982]

[[Page 368]]



Sec.  85.1703  Definition of motor vehicle.

    (a) For the purpose of determining the applicability of section 
216(2), a vehicle which is self-propelled and capable of transporting a 
person or persons or any material or any permanently or temporarily 
affixed apparatus shall be deemed a motor vehicle, unless any one or 
more of the criteria set forth below are met, in which case the vehicle 
shall be deemed not a motor vehicle:
    (1) The vehicle cannot exceed a maximum speed of 25 miles per hour 
over level, paved surfaces; or
    (2) The vehicle lacks features customarily associated with safe and 
practical street or highway use, such features including, but not being 
limited to, a reverse gear (except in the case of motorcycles), a 
differential, or safety features required by state and/or federal law; 
or
    (3) The vehicle exhibits features which render its use on a street 
or highway unsafe, impractical, or highly unlikely, such features 
including, but not being limited to, tracked road contact means, an 
inordinate size, or features ordinarily associated with military combat 
or tactical vehicles such as armor and/or weaponry.
    (b) Note that, in applying the criterion in paragraph (a)(2) of this 
section, vehicles that are clearly intended for operation on highways 
are motor vehicles. Absence of a particular safety feature is relevant 
only when absence of that feature would prevent operation on highways.

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 
73 FR 59178, Oct. 8, 2008; 75 FR 22977, Apr. 30, 2010; 81 FR 73972, Oct. 
25, 2016]



Sec.  85.1704  Who may request an exemption.

    (a) Any person may request a testing exemption.
    (b) Any manufacturer may request a national security exemption under 
Sec.  85.1708.
    (c) For manufacturers, vehicles or engines for export purposes are 
exempt without application, subject to the provisions of Sec.  85.1709. 
For eligible manufacturers, as determined by Sec.  85.1706, vehicles or 
engines for pre-certification purposes are exempt without application, 
subject to the provisions of Sec.  85.1706(a).

[45 FR 13733, Mar. 3, 1980, as amended at 47 FR 30484, July 14, 1982]



Sec.  85.1705  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with section 
203(b)(1);
    (2) That the proposed test program necessitates the granting of an 
exemption;
    (3) That the proposed test program exhibits reasonableness in scope; 
and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the program and the Environmental 
Protection Agency's (hereafter EPA) monitoring requirements. Paragraphs 
(b), (c), (d), and (e) of this section describe what constitutes a 
sufficient demonstration for each of the four above identified elements.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose is one which is consistent with one or more of the 
bases for exemption set forth under section 203(b)(1), namely, research, 
investigations, studies, demonstrations, or training, but not including 
national security. A concise statement of purpose is a required item of 
information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under section 203(a). In appropriate 
circumstances time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of vehicles 
or engines. In this regard, required items of information include:
    (1) An estimate of the program's duration;

[[Page 369]]

    (2) The maximum number of vehicles or engines involved; and
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The time or mileage duration of the test;
    (4) The ownership arrangement with regard to the vehicles or engines 
involved in the test;
    (5) The intended final disposition of the vehicles or engines;
    (6) The manner in which vehicle identification numbers or the engine 
serial numbers will be identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new motor vehicles or new motor vehicle 
engines may request a testing exemption to cover any vehicles and/or 
engines intended for use in test programs planned or anticipated over 
the course of a subsequent one-year period. Unless otherwise required by 
the Director, Manufacturers Operations Division, a manufacturer 
requesting such an exemption need only furnish the information required 
by paragraphs (a)(1) and (d)(2) of this section along with a description 
of the recordkeeping and control procedures that will be employed to 
assure that the vehicles and/or engines are used for purposes consistent 
with section 203(b)(1).

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980; 
47 FR 30484, July 14, 1982]



Sec.  85.1706  Pre-certification exemption.

    (a) Except as provided in paragraph (b) of this section, any pre-
certification vehicle or pre-certification vehicle engine, as defined by 
Sec.  85.1702(a) (3) or (4), is exempt from section 203(a), without 
application, if the manufacturer complies with the following terms and 
conditions:
    (1) The manufacturer shall create, maintain, and make available at 
reasonable times for review or copying by appropriate EPA employees 
records which provide each vehicle identification or engine serial 
number, indicate the use of the vehicle or engine on exempt status and 
indicate the final disposition of any vehicle or engine removed from 
exempt status; and
    (2) Unless the requirement is waived or an alternative procedure is 
approved by the Director, Manufacturers Operations Division, the 
manufacturer shall permanently affix to each vehicle or engine on exempt 
status in a readily visible portion of the engine compartment (on a 
readily visible portion of a heavy-duty engine or in a readily 
accessible position on a motorcycle) a label which cannot be removed 
without destruction or defacement and which states in the English 
language, in block letters and numerals of a color that contrasts with 
the background of the label, the following information:
    (i) The label heading: Emission Control Information;
    (ii) Full corporate name and trademark of manufacturer;
    (iii) Engine displacement, engine family identification and model 
year of vehicle or engine; or person or office to be contacted for 
further information about the vehicle or engine;
    (iv) The statement: THIS VEHICLE OR ENGINE IS EXEMPT FROM THE 
PROHIBITIONS OF SECTIONS 203(a)(1), (3) and (4) OF THE CLEAN AIR ACT, AS 
AMENDED.
    (3) No provision of paragraph (a)(2) of this section shall prevent a 
manufacturer from including any other information it desires on the 
label.
    (b) Any manufacturer that desires a pre-certification exemption and 
is in the business of importing, modifying or testing uncertified 
vehicles for resale under the provisions of 40 CFR 85.1501 through 
85.1515, must send the request to the Designated Compliance Officer as 
specified in 40 CFR 1068.30. The Designated Compliance Officer may 
require such manufacturers to submit information regarding the general 
nature of the fleet activities, the number of vehicles involved, and a 
demonstration that adequate record-keeping procedures for control 
purposes will be employed.

[47 FR 30484, July 14, 1982, as amended at 81 FR 73972, Oct. 25, 2016]

[[Page 370]]



Sec.  85.1707  Display exemption.

    Where an uncertified vehicle or engine is a display vehicle or 
engine to be used solely for display purposes, will not be operated on 
the public streets or highways except for that operation incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received, no request for 
exemption of the vehicle or engine is necessary.

[39 FR 32611, Sept. 10, 1974. Redesignated and amended at 47 FR 30484, 
July 14, 1982]



Sec.  85.1708  National security exemption.

    A manufacturer requesting a national security exemption must state 
the purpose for which the exemption is required and the request must be 
endorsed by an agency of the Federal Government charged with 
responsibility for national defense.

[39 FR 32611, Sept. 10, 1974. Redesignated at 47 FR 30484, July 14, 
1982]



Sec.  85.1709  Export exemptions.

    (a) A new motor vehicle or new motor vehicle engine intended solely 
for export, and so labeled or tagged on the outside of the container and 
on the vehicle or engine itself, shall be subject to the provisions of 
section 203(a) of the Act, unless the importing country has new motor 
vehicle emission standards which differ from the USEPA standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be a country having 
emission standards which differ from USEPA standards.
    (c) EPA shall periodically publish in the Federal Register a list of 
foreign countries which have in force emissions standards identical to 
USEPA standards and have so notified EPA. New motor vehicles or new 
motor vehicle engines exported to such countries shall comply with USEPA 
certification regulations.
    (d) It is a condition of any exemption for the purpose of export 
under section 203(b)(3) of the Act, that such exemption shall be void ab 
initio with respect to a new motor vehicle or new motor vehicle engine 
intended solely for export where:
    (1) Such motor vehicle or motor vehicle engine is sold, or offered 
for sale, to an ultimate purchaser in the United States for purposes 
other than export; and
    (2) The motor vehicle or motor vehicle engine manufacturer had 
reason to believe that any such vehicle would be sold or offered for 
sale as described in paragraph (d)(1) of this section.

[39 FR 32611, Sept. 10, 1974. Redesignated at 47 FR 30484, July 14, 
1982]



Sec.  85.1710  Granting of exemptions.

    (a) If upon completion of the review of an exemption request, as 
required by Sec. Sec.  85.1705 and 85.1708, the granting of an exemption 
is deemed appropriate, a memorandum of exemption will be prepared and 
submitted to the person requesting the exemption. The memorandum will 
set forth the basis for the exemption, its scope, and such terms and 
conditions as are deemed necessary. Such terms and conditions will 
generally, include, but are not limited to, agreements by the applicant 
to conduct the exempt activity in the manner described to EPA, create 
and maintain adequate records accessible to EPA at reasonable times, 
employ labels for the exempt engines or vehicles setting forth the 
nature of the exemption, take appropriate measures to assure that the 
terms of the exemption are met, and advise EPA of the termination of the 
activity and the ultimate disposition of the vehicles or engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
shall be deemed to cover any subject vehicle or engine only to the 
extent that the specified terms and conditions are complied with. A 
breach of any term or condition shall cause the exemption to be void ab 
initio with respect to any vehicle or engine. Consequently, the causing 
or the performing of an act prohibited under sections 203(a) (1) or (3) 
of the Clean Air Act other than in strict conformity with all terms and 
conditions of this exemption shall render the person to whom the 
exemption is granted, and any other person to whom the provisions of 
section 203

[[Page 371]]

are applicable, liable to suit under sections 204 and 205 of the Act.

[39 FR 32611, Sept. 10, 1974, as amended at 45 FR 13733, Mar. 3, 1980. 
Redesignated and amended at 47 FR 30485, July 14, 1982]



Sec.  85.1711  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to the 
Designated Compliance Officer as specified at 40 CFR 1068.30.

[81 FR 73972, Oct. 25, 2016]



Sec.  85.1712  Treatment of confidential information.

    (a) Any person or manufacturer may assert that some or all of the 
information submitted pursuant to this subpart is entitled to 
confidential treatment as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a person or manufacturer must indicate clearly the items 
of information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of it submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to ths subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34797, Aug. 27, 1985]



Sec. Sec.  85.1713[nmash]85.1714  [Reserved]



Sec.  85.1715  Aircraft meeting the definition of motor vehicle.

    This section applies for aircraft meeting the definition of motor 
vehicle in Sec.  85.1703.
    (a) For the purpose of this section, aircraft means any vehicle 
capable of sustained air travel above treetop heights.
    (b) The standards, requirements, and prohibitions of 40 CFR part 86 
do not apply for aircraft or aircraft engines. Standards apply 
separately to certain aircraft engines, as described in 40 CFR part 87.

[75 FR 22977, Apr. 30, 2010]



Sec.  85.1716  Approval of an emergency vehicle field modification (EVFM).

    This section describes how you may implement design changes for an 
emergency vehicle that has already been placed into service to ensure 
that the vehicle will perform properly in emergency situations. This 
applies for any light-duty vehicle, light-duty truck, or heavy-duty 
vehicle meeting the definition of emergency vehicle in 40 CFR 86.004-2 
or 86.1803. In this section, ``you'' refers to the certifying 
manufacturer and ``we'' refers to the EPA Administrator and any 
authorized representatives.
    (a) You must notify us in writing of your intent to install or 
distribute an emergency vehicle field modification (EVFM). In some cases 
you may install or distribute an EVFM only with our advance approval, as 
specified in this section.
    (b) Include in your notification a full description of the EVFM and 
any documentation to support your determination that the EVFM is 
necessary to prevent the vehicle from losing speed, torque, or power due 
to abnormal conditions of its emission control system, or to prevent 
such abnormal conditions from occurring during operation related to 
emergency response. Examples of such abnormal conditions may include 
excessive exhaust backpressure from an overloaded particulate trap, or

[[Page 372]]

running out of diesel exhaust fluid for engines that rely on urea-based 
selective catalytic reduction. Your determination must be based on an 
engineering evaluation or testing or both.
    (c) You may need our advance approval for your EVFM, as follows:
    (1) Where the proposed EVFM is identical to an AECD we approved 
under this part for an engine family currently in production, no 
approval of the proposed EVFM is necessary.
    (2) Where the proposed EVFM is for an engine family currently in 
production but the applicable demonstration is based on an AECD we 
approved under this part for an engine family no longer in production, 
you must describe to us how your proposed EVFM differs from the approved 
AECD. Unless we say otherwise, your proposed EVFM is deemed approved 30 
days after you notify us.
    (3) If we have not approved an EVFM comparable to the one you are 
proposing, you must get our approval before installing or distributing 
it. In this case, we may request additional information to support your 
determination under paragraph (b) of this section, as follows:
    (i) If we request additional information and you do not provide it 
within 30 days after we ask, we may deem that you have retracted your 
request for our approval; however, we may extend this deadline for 
submitting the additional information.
    (ii) We will deny your request if we determine that the EVFM is not 
necessary to prevent the vehicle from losing speed, torque, or power due 
abnormal conditions of the emission control system, or to prevent such 
abnormal conditions from occurring, during operation related to 
emergency response.
    (iii) Unless we say otherwise, your proposed EVFM is deemed approved 
30 days after we acknowledge that you have provided us with all the 
additional information we have specified.
    (4) If your proposed EVFM is deemed to be approved under paragraph 
(c)(2) or (3) of this section and we find later that your EVFM in fact 
does not meet the requirements of this section, we may require you to no 
longer install or distribute it.

[77 FR 34145, June 8, 2012]



                      Subpart S_Recall Regulations

    Authority: Sec. 301(a), Clean Air Act, 81 Stat. 504, as amended by 
sec. 15(c), 84 Stat. 1713 (42 U.S.C. 1857g(a)). The regulations 
implement sec. 207(c) (1)-(2), Clean Air Act, 84 Stat. 1697 (42 U.S.C. 
1847f-5a(c)(1)-(2)); sec. 208(a), Clean Air Act, 81 Stat. 501, as 
renumbered by sec. 8(a), 84 Stat. 1694 (42 U.S.C. 1857f-6(a)).

    Source: 39 FR 44375, Dec. 23, 1974, unless otherwise noted.



Sec.  85.1801  Definitions.

    For the purposes of this subpart, except as otherwise provided, 
words shall be defined as provided for by sections 214 and 302 of the 
Clean Air Act, 42 U.S.C. 1857, as amended.
    (a) Act shall mean the Clean Air Act, 42 U.S.C. 1857, as amended.
    (b) Days shall mean calendar days.



Sec.  85.1802  Notice to manufacturer of nonconformity; 
submission of Remedial Plan.

    (a) A manufacturer will be notified whenever the Administrator has 
determined that a substantial number of a class or category of vehicles 
or engines produced by that manufacturer, although properly maintained 
and used, do not conform to the regulations prescribed under section 202 
of the Act in effect during (and applicable to) the model year of such 
vehicle. The notification will include a description of each class or 
category of vehicles or engines encompassed by the determination of 
nonconformity, will give the factual basis for the determination of 
nonconformity (except information previously provided the manufacturer 
by the Agency), and will designate a date, no sooner than 45 days from 
the date of receipt of such notification, by which the manufacturer 
shall have submitted a plan to remedy the nonconformity.
    (b) Unless a hearing is requested pursuant to Sec.  85.1807, the 
remedial plan shall be submitted to the Administrator within the time 
limit specified in the Administrator's notification, provided that the 
Administrator may grant the manufacturer an extension upon good cause 
shown.
    (c) If a manufacturer requests a public hearing pursuant to Sec.  
85.1807, unless

[[Page 373]]

as a result of such hearing the Administrator withdraws his 
determination of nonconformity, the manufacturer shall submit the 
remedial plan within 30 days of the end of such hearing.

[39 FR 44375, Dec. 23, 1974, as amended at 42 FR 36456, July 15, 1977]



Sec.  85.1803  Remedial Plan.

    (a) When any manufacturer is notified by the Administrator that a 
substantial number of any class or category of vehicles or engines, 
although properly maintained and used, do not conform to the regulations 
(including emission standards) or family particulate emission limits, as 
defined in part 86 promulgated under section 202 of the Act and in 
effect during (and applicable to) the model year of such class or 
classes of vehicles or engines, the manufacturer shall submit a plan to 
the Administrator to remedy such nonconformity. The plan shall contain 
the following:
    (1) A description of each class or category of vehicle or engine to 
be recalled including the model year, the make, the model, and such 
other information as may be required to identify the vehicles or engines 
to be recalled.
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments or other changes to be made to bring 
the vehicles or engines into conformity including a brief summary of the 
data and technical studies which support the manufacturer's decision as 
to the particular remedial changes to be used in correcting the 
nonconformity.
    (3) A description of the method by which the manufacturer will 
determine the names and addresses of vehicle or engine owners.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan, an explanation of the manufacturer's reasons for imposing 
any such condition, and a description of the proof to be required of a 
vehicle or engine owner to demonstrate compliance with any such 
condition. Eligibility may not be denied solely on the basis that the 
vehicle or engine owner used parts not manufactured by the original 
equipment vehicle manufacturer, or had repairs performed by outlets 
other than the vehicle manufacturer's franchised dealers. No maintenance 
or use condition may be imposed unless it is, in the judgement of the 
Administrator, demonstrably related to preventing the nonconformity.
    (5) A description of the procedure to be followed by vehicle or 
engine owners to obtain correction of the nonconformity. This shall 
include designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor required to correct the nonconformity, and the designation of 
facilities at which the nonconformity can be remedied: Provided, That 
repair shall be completed within a reasonable time designated by the 
Administrator from the date the owner first tenders his vehicle or 
engine after the date designated by the manufacturer as the date on or 
after which the owner can have the nonconformity remedied.
    (6) If some or all of the nonconforming vehicles or engines are to 
be remedied by persons other than dealers or authorized warranty agents 
of the manufacturer, a description of the class of persons other than 
dealers and authorized warranty agents of the manufacturer who will 
remedy the nonconformity, and a statement indicating that the 
participating members of the class will be properly equipped to perform 
such remedial action.
    (7) Three copies of the letters of notification to be sent to 
vehicle or engine owners.
    (8) A description of the system by which the manufacturer will 
assure that an adequate supply of parts will be available to perform the 
repair under the remedial plan including the date by which an adequate 
supply of parts will be available to initiate the repair campaign, the 
percentage of the total parts requirement of each person who is to 
perform the repair under the remedial plan to be shipped to initiate the 
campaign, and the method to be used to assure the supply remains both 
adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.

[[Page 374]]

    (10) A description of the impact of the proposed changes on fuel 
consumption, driveability, and safety of each class or category of 
vehicles or engines to be recalled and a brief summary of the data, 
technical studies, or engineering evaluations which support these 
conclusions.
    (11) Any other information, reports or data which the Administrator 
may reasonably determine is necessary to evaluate the remedial plan.
    (b)(1) Notification to vehicle or engine owners shall be made by 
first class mail or by such means as approved by the Administrator: 
Provided, That for good cause, the Administrator may require the use of 
certified mail to ensure an effective notification.
    (2) The manufacture shall use all reasonable means necessary to 
locate vehicle or engine owners: Provided, That for good cause, the 
Administrator may require the manufacturer to use motor vehicle 
registration lists as available from State or commercial sources to 
obtain the names and addresses of vehicle or engine owners to ensure an 
effective notification.
    (3) The Administrator reserves the right to require the manufacturer 
to send by first class mail or other reasonable means subsequent 
notification to vehicle or engine owners: Provided, That for good cause, 
the Administrator may require the use of certified mail to ensure an 
effectctive notification.
    (c)(1) The manufacturer shall require those who perform the repair 
under the remedial plan to affix a label to each vehicle or engine 
repaired or, when required, inspected under the remedial plan.
    (2) The label shall be placed in such location as approved by the 
Administrator consistent with State law and shall be fabricated of a 
material suitable for the location in which it is installed and which is 
not readily removable intact.
    (3) The label shall contain:
    (i) The recall campaign number; and
    (ii) A code designating the campaign facility at which the repair, 
or inspection for repair was performed.
    (4) The Administrator reserves the right to waive any or all of the 
requirements of this paragraph if he determines that they constitute an 
unwarranted burden to the manufacturer.
    (d) The Administrator may require the manufacturer to conduct tests 
on components and vehicles or engines incorporating a proposed change, 
repair, or modification reasonably designed and necessary to demonstrate 
the effectiveness of the change, repair, or modification.

    Note: An interpretive ruling regarding Sec.  85.1803 is published in 
appendix A to this subpart.

[39 FR 44375, Dec. 23, 1974, as amended at 40 FR 28067, July 3, 1975; 42 
FR 36456, July 15, 1977; 45 FR 36398, May 30, 1980; 48 FR 33462, July 
21, 1983]



Sec.  85.1804  Approval of Plan: Implementation.

    (a) If the Administrator finds that the remedial plan is designed 
and effective to correct the nonconformity, he will so notify the 
manufacturer in writing. If the remedial plan is not approved, the 
Administrator will provide the manufacturer notice of the disapproval 
and the reasons for the disapproval in writing.
    (b) Upon receipt of notice from the Administrator that the remedial 
plan has been approved, the manufacturer shall commence implementation 
of the approved plan. Notification of vehicle or engine owners shall be 
in accordance with requirements of this subpart and shall proceed as 
follows:
    (1) When no public hearing as described in Sec.  85.1807 is 
requested by the manufacturer, notification of vehicles or engine owners 
shall commence within 15 working days of the receipt by the manufacturer 
of the Administrator's approval unless otherwise specified by the 
Administrator.
    (2) When a public hearing as described in Sec.  85.1807 is held, 
unless as a result of such hearing the Administrator withdraws the 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity.

[[Page 375]]



Sec.  85.1805  Notification to vehicle or engine owners.

    (a) The notification of vehicle or engine owners shall contain the 
following:
    (1) The statement: ``The Administrator of the U.S. Environmental 
Protection Agency has determined that your vehicle or engine may be 
emitting pollutants in excess of the Federal emission standards or 
family particulate emission limits, as defined in part 86. These 
standards or family particulate emission limits, as defined in part 86 
were established to protect the public health or welfare from the 
dangers of air pollution.''
    (2) A statement that the nonconformity of any such vehicles or 
engines which have been, if required by the remedial plan, properly 
maintained and used, will be remedied at the expense of the 
manufacturer.
    (3) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan and a description of the proof to be required of a vehicle 
or engine owner to demonstrate compliance with such condition. 
Eligibility may not be denied solely on the basis that the vehicle or 
engine owner used parts not manufactured by the original equipment 
vehicle manufacturer, or had repairs performed by outlets other than the 
vehicle manufacturer's franchised dealers.
    (4) A clear description of the components which will be affected by 
the remedy and a general statement of the measures to be taken to 
correct the nonconformity.
    (5) A statement that such nonconformity if not repaired may cause 
the vehicle or engine to fail an emission inspection test when such 
tests are required under State or local law.
    (6) A description of the adverse affects, if any, that an 
uncorrected nonconformity would have on the performance or driveability 
of the vehicle or engine.
    (7) A description of the adverse affects, if any, that such 
nonconformity would have on the functions of other engine components.
    (8) A description of the procedure which the vehicle or engine owner 
should follow to obtain correction of the nonconformity. This shall 
include designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor required to correct the nonconformity, and the designation of 
facilities at which the nonconformity can be remedied.
    (9) A card to be used by a vehicle or engine owner in the event the 
vehicle or engine to be recalled has been sold. Such card should be 
addressed to the manufacturer and shall provide a space in which the 
owner may indicate the name and address of the person to whom the 
vehicle or engine was sold.
    (10) The statement: ``In order to ensure your full protection under 
the emission warranty made applicable to your (vehicle or engine) by 
Federal law, and your right to participate in future recalls, it is 
recommended that you have (vehicle or engine) serviced as soon as 
possible. Failure to do so could legally be determined to be a lack of 
proper maintenance of your (vehicle or engine).''
    (b) No notice sent pursuant to paragraph (a) of this section nor any 
other contemporaneous communication sent to vehicle or engine owners or 
dealers shall contain any statement or implication that the 
nonconformity does not exist or that the nonconformity will not degrade 
air quality.
    (c) The manufacturer shall be informed of any other requirements 
pertaining to the notification under this section which the 
Administrator has determined are reasonable and necessary to ensure the 
effectiveness of the recall campaign.

[39 FR 44375, Dec. 23, 1974, as amended at 48 FR 33462, July 21, 1983]



Sec.  85.1806  Records and reports.

    (a) The manufacturer shall provide to the Administrator a copy of 
all communications which relate to the remedial plan directed to dealers 
and other persons who are to perform the repair under the remedial plan. 
Such copies shall be mailed to the Administrator contemporaneously with 
their transmission to dealers and other persons who are to perform the 
repair under the remedial plan.
    (b) The manufacturer shall provide for the establishment and 
maintenance

[[Page 376]]

of records to enable the Administrator to conduct a continuing analysis 
of the adequacy of the recall campaign. The records shall include, for 
each class or category of vehicle or engine, but need not be limited to, 
the following:
    (1) Recall campaign number as designated by the manufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of vehicles or engines involved in the recall campaign.
    (4) Number of vehicles or engines known or estimated to be affected 
by the nonconformity.
    (5) Number of vehicles or engines inspected pursuant to the remedial 
plan.
    (6) Number of inspected vehicles found to be affected by the 
nonconformity.
    (7) Number of vehicles actually receiving repair under the remedial 
plan.
    (8) Number of vehicles determined to be unavailable for inspection 
or repair under the remedial plan due to exportation, theft, scrapping 
or for other reasons (specify).
    (9) Number of vehicles or engines determined to be ineligible for 
remedial action due to a failure to properly maintain or use such 
vehicles or engines.
    (c) If the manufacturer determines that the original answers for 
paragraphs (b) (3) and (4) of this section are incorrect, revised 
figures and an explanatory note shall be submitted. Answers to 
paragraphs (b) (5), (6), (7), and (8), and (9) of this section shall be 
cumulative totals.
    (d) Unless otherwise directed by the Administrator, the information 
specified in paragraph (b) of this section shall be included in 
quarterly reports, with respect to each recall campaign, for six 
consecutive quarters beginning with the quarter in which the 
notification of owners was initiated, or until all nonconforming 
vehicles or engines involved in the campaign have been remedied, 
whichever occurs sooner. Such reports shall be submitted no later than 
25 working days after the close of each calendar quarter.
    (e) The manufacturer shall maintain in a form suitable for 
inspection, such as computer information storage devices or card files, 
lists of the names and addresses of vehicles or engine owners.
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) When eligibility for repair is conditioned on proper maintenance 
or use, that were determined not to qualify for such remedial action.
    (f) The records described in paragraph (e) of this section shall be 
made available to the Administrator upon request.
    (g) The records and reports required by this section shall be 
retained for not less than 5 years.

[39 FR 44375, Dec. 23, 1974; 40 FR 3447, Jan. 22, 1975]



Sec.  85.1807  Public hearings.

    (a) Definitions. The following definitions shall be applicable to 
this section:
    (1) ``Hearing Clerk'' shall mean the Hearing Clerk of the 
Environmental Protection Agency.
    (2) ``Intervener'' shall mean a person who files a petition to be 
made an intervener pursuant to paragraph (g) of this section and whose 
petition is approved.
    (3) ``Manufacturer'' refers to a manufacturer contesting a recall 
order directed at that manufacturer.
    (4) ``Party'' shall include the Environmental Protection Agency, the 
manufacturer, and any interveners.
    (5) ``Presiding Officer'' shall mean an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as 
amended).
    (6) ``Environmental Appeals Board'' shall mean the Board within the 
Agency described in Sec.  1.25 of this title. The Administrator 
delegates authority to the Environmental Appeals Board to issue final 
decisions in appeals filed under this subpart. Appeals directed to the 
Administrator, rather than to the Environmental Appeals Board, will not 
be considered. This delegation of authority to the Environmental Appeals 
Board does not preclude the Environmental Appeals Board from referring 
an appeal or a motion filed under this subpart to the Administrator for 
decision when the Environmental Appeals

[[Page 377]]

Board, in its discretion, deems it appropriate to do so. When an appeal 
or motion is referred to the Administrator, all parties shall be so 
notified and the rules in this part referring to the Environmental 
Appeals Board shall be interpreted as referring to the Administrator.
    (b) Request for public hearing. (1)(i) If the manufacturer disagrees 
with the Administrator's finding of nonconformity he may request a 
public hearing as described in this section. Requests for such a hearing 
shall be filed with the Administrator not later than 45 days after the 
receipt of the Administrator's notification of nonconformity unless 
otherwise specified by the Administrator. Two copies of such request 
shall simultaneously be served upon the Director of the Manufacturers 
Operations Division and two copies filed with the Hearing Clerk. Failure 
of the manufacturer to request a hearing within the time provided shall 
constitute a waiver of his right to such a hearing. In such a case, the 
manufacturer shall carry out the recall order as required by Sec.  
85.1803-6.
    (ii) Subsequent to the expiration of the period for requesting a 
hearing as of right, the Administrator may, in his discretion and for 
good cause shown, grant the manufacturer a hearing to contest the 
nonconformity.
    (2) The request for a public hearing shall contain:
    (i) A statement as to which classes or categories of vehicles or 
engines are to be the subject of the hearing;
    (ii) A concise statement of the issues to be raised by the 
manufacturer at the hearing for each class or category of engine or 
vehicle for which the manufacturer has requested the hearing; and
    (iii) A statement as to reasons the manufacturer believes he will 
prevail on the merits on each of the issues so raised.
    (3) A copy of all requests for public hearings shall be kept on file 
in the Office of the Hearing Clerk and shall be made available to the 
public during Agency business hours.
    (c) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section shall be filed with the Hearing Clerk. Filing shall be deemed 
timely if mailed, as determined by the postmark, to the Hearing Clerk 
within the time allowed by this section. If filing is to be accomplished 
by mailing, the documents shall be sent to the address set forth in the 
notice of public hearing as described in paragraph (f) of this section.
    (2) Except for requests to commence a hearing, at the same time a 
party files with the Hearing Clerk any additional issues for 
consideration at the hearing or any written testimony, documents, 
papers, exhibits, or materials, proposed to be introduced into evidence 
or papers filed in connection with any appeal, it shall serve upon all 
other parties copies thereof. A certificate of service shall be provided 
on or accompany each document or paper filed with the Hearing Clerk. 
Documents to be served upon the Director of the Manufacturers Operations 
Division shall be mailed to: Director, Manufacturers Operations 
Division, U.S. Environmental Protection Agency (EG-340), 1200 
Pennsylvania Ave., NW., WSM, Washington, DC 20460. Service by mail is 
complete upon mailing.
    (d) Time. (1) In computing any period of time prescribed or allowed 
by this section, except as otherwise provided, the day of the act or 
event from which the designated period of time begins to run shall not 
be included. Saturdays, Sundays, and Federal legal holidays shall be 
included in computing any such period allowed for the filing of any 
document or paper, except that when such period expires on a Saturday, 
Sunday, or Federal legal holiday, such period shall be extended to 
include the next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act shall be computed from the time of service, 
except that when service is accomplished by mail, three days shall be 
added to the prescribed period.
    (e) Consolidation. The Administrator or the Presiding Officer in his 
discretion may consolidate two or more proceedings to be held under this 
section for the purpose of resolving one or more issues whenever it 
appears that such consolidation will expedite or simplify consideration 
of such issues. Consolidation shall not affect the right

[[Page 378]]

of any party to raise issues that could have been raised if 
consolidation had not occurred.
    (f) Notice of public hearings. (1) Notice of a public hearing under 
this section shall be given by publication in the Federal Register. 
Notice will be given at least 30 days prior to the commencement of such 
hearings.
    (2) The notice of a public hearing shall include the following 
information:
    (i) The purpose of the hearing and the legal authority under which 
the hearing is to be held;
    (ii) A brief summary of the Administrator's determination of 
nonconformity;
    (iii) A brief summary of the manufacturer's basis for contesting the 
Administrator's determination of nonconformity;
    (iv) Information regarding the time and location of the hearing and 
the address to which all documents required or permitted to be filed 
should be sent;
    (v) The address of the Hearing Clerk to whom all inquiries should be 
directed and with whom documents are required to be filed;
    (vi) A statement that all petitions to be made an intervener must be 
filed with the Hearing Clerk within 25 days from the date of the notice 
of public hearing and must conform to the requirements of paragraph (g) 
of this section.
    (3) The notice of public hearing shall be issued by the Assistant 
Administrator for Enforcement and General Counsel.
    (g) Interveners. (1) Any person desiring to intervene in a hearing 
to be held under section 207(c)(1) of the Act shall file a petition 
setting forth the facts and reasons why he thinks he should be permitted 
to intervene.
    (2) In passing upon a petition to intervene, the following factors, 
among other things, shall be considered by the Presiding Officer:
    (i) The nature of the petitioner's interest including the nature and 
the extent of the property, financial, environmental protection, or 
other interest of the petitioner;
    (ii) The effect of the order which may be entered in the proceeding 
on petitioner's interest;
    (iii) The extent to which the petitioner's interest will be 
represented by existing parties or may be protected by other means;
    (iv) The extent to which petitioner's participation may reasonably 
be expected to assist materially in the development of a complete 
record;
    (v) The effect of the intervention on the Agency's statutory 
mandate.
    (3) A petition to intervene must be filed within 25 days following 
the notice of public hearing under section 207(c) (1) of the Act and 
shall be served on all parties. Any opposition to such petition must be 
filed within five days of such service.
    (4) All petitions to be made an intervener shall be reviewed by the 
Presiding Officer using the criteria set forth in paragraph (g)(2) of 
this section and considering any oppositions to such petition. Where the 
petition demonstrates that the petitioner's interest is limited to 
particular issues, the Presiding Officer may, in granting such petition, 
limit petitioner's participation to those particular issues only.
    (5) If the Presiding Officer grants the petition with respect to any 
or all issues, he shall so notify, or direct the Hearing Clerk to 
notify, the petitioner and all parties. If the Presiding Officer denies 
the petition he shall so notify, or direct the Hearing Clerk to notify, 
the petitioner and all parties and shall briefly state the reasons why 
the petition was denied.
    (6) All petitions to be made an intervener shall include an 
agreement by the petitioner, and any person represented by the 
petitioner, to be subject to examination and cross-examination and to 
make any supporting and relevant records available at its own expense 
upon the request of the Presiding Officer, on his own motion or the 
motion of any party or other intervener. If the intervener fails to 
comply with any such request, the Presiding Officer may in his 
discretion, terminate his status as an intervener.
    (h) Intervention by motion. Following the expiration of the time 
prescribed in paragraph (g) of this section for the submission of 
petitions to intervene in a hearing, any person may file a motion with 
the Presiding Officer to intervene in a hearing. Such a motion

[[Page 379]]

must contain the information and commitments required by paragraphs (g) 
(2) and (6) of this section, and, in addition, must show that there is 
good cause for granting the motion and must contain a statement that the 
intervener shall be bound by agreements, arrangements, and other 
determinations which may have been made in the proceeding.
    (i) Amicus Curiae. Persons not parties to the proceedings wishing to 
file briefs may do so by leave of the Presiding Officer granted on 
motion. A motion for leave shall identify the interest of the applicant 
and shall state the reasons why the proposed amicus brief is desirable.
    (j) Presiding Officer. The Presiding Officer shall have the duty to 
conduct a fair and impartial hearing in accordance with 5 U.S.C. 554, 
556 and 557, to take all necessary action to avoid delay in the 
disposition of the proceedings and to maintain order. He shall have all 
power consistent with Agency rule and with the Administrative Procedure 
Act necessary to this end, including the following:
    (1) To administer oaths and affirmations;
    (2) To rule upon offers of proof and receive relevant evidence;
    (3) To regulate the course of the hearings and the conduct of the 
parties and their counsel therein;
    (4) To hold conferences for simplification of the issues or any 
other proper purpose;
    (5) To consider and rule upon all procedural and other motions 
appropriate in such proceedings;
    (6) To require the submission of direct testimony in written form 
with or without affidavit whenever, in the opinion of the Presiding 
Officer, oral testimony is not necessary for full and true disclosure of 
the facts. Testimony concerning the conduct and results of tests and 
inspections may be submitted in written form.
    (7) To enforce agreements and orders requiring access as authorized 
by law;
    (8) To require the filing of briefs on any matter on which he is 
required to rule;
    (9) To require any party or any witness, during the course of the 
hearing, to state his position on any issue;
    (10) To take or cause depositions to be taken whenever the ends of 
justice would be served thereby;
    (11) To make decisions or recommend decisions to resolve the 
disputed issues of the record of the hearing.
    (12) To issue, upon good cause shown, protective orders as described 
in paragraph (n) of this section.
    (k) Conferences. (1) At the discretion of the Presiding Officer, 
conferences may be held prior to or during any hearing. The Presiding 
Officer shall direct the Hearing Clerk to notify all parties and 
interveners of the time and location of any such conference. At the 
discretion of the Presiding Officer, persons other than parties may 
attend. At a conference the Presiding Officer may:
    (i) Obtain stipulations and admissions, receive requests and order 
depositions to be taken, identify disputed issues of fact and law, and 
require or allow the submission of written testimony from any witness or 
party;
    (ii) Set a hearing schedule for as many of the following as are 
deemed necessary by the Presiding Officer:
    (A) Oral and written statements;
    (B) Submission of written direct testimony as required or authorized 
by the Presiding Officer;
    (C) Oral direct and cross-examination of a witness where necessary 
as prescribed in paragraph (p) of this section;
    (D) Oral argument, if appropriate.
    (iii) Identify matters of which official notice may be taken;
    (iv) Consider limitation of the number of expert and other 
witnesses;
    (v) Consider the procedure to be followed at the hearing; and
    (vi) Consider any other matter that may expedite the hearing or aid 
in the disposition of the issue.
    (2) The results of any conference including all stipulations shall, 
if not transcribed, be summarized in writing by the Presiding Officer 
and made part of the record.
    (l) Primary discovery (exchange of witness lists and documents). (1) 
At a prehearing conference or within some reasonable time set by the 
Presiding Officer prior to the hearing, each party shall make available 
to the other parties the names of the expert and other witnesses the 
party expects to call, together with a brief summary of their

[[Page 380]]

expected testimony and a list of all documents and exhibits which the 
party expects to introduce into evidence. Thereafter, witnesses, 
documents, or exhibits may be added and summaries of expected testimony 
amended upon motion by a party.
    (2) The Presiding Officer, may, upon motion by a party or other 
person, and for good cause shown, by order (i) restrict or defer 
disclosure by a party of the name of a witness or a narrative summary of 
the expected testimony of a witness, and (ii) prescribe other 
appropriate measures to protect a witness. Any party affected by any 
such action shall have an adequate opportunity, once he learns the name 
of a witness and obtains the narrative summary of his expected 
testimony, to prepare for the presentation of his case.
    (m) Other discovery. (1) Except as so provided by paragraph (l) of 
this section, further discovery, under this paragraph, shall be 
permitted only upon determination by the Presiding Officer:
    (i) That such discovery will not in any way unreasonably delay the 
proceeding;
    (ii) That the information to be obtained is not obtainable 
voluntarily; and
    (iii) That such information has significant probative value. The 
Presiding Officer shall be guided by the procedures set forth in the 
Federal Rules of Civil Procedure, where practicable, and the precedents 
thereunder, except that no discovery shall be undertaken except upon 
order of the Presiding Officer or upon agreement of the parties.
    (2) The Presiding Officer shall order depositions upon oral 
questions only upon a showing of good cause and upon a finding that:
    (i) The information sought cannot be obtained by alternative 
methods; or
    (ii) There is a substantial reason to believe that relevant and 
probative evidence may otherwise not be preserved for presentation by a 
witness at the hearing.
    (3) Any party to the proceeding desiring an order of discovery shall 
make a motion or motions therefor. Such a motion shall set forth:
    (i) The circumstances warranting the taking of the discovery;
    (ii) The nature of the information expected to be discovered; and
    (iii) The proposed time and place where it will be taken. If the 
Presiding Officer determines the motion should be granted, he shall 
issue an order for the taking of such discovery together with the 
conditions and terms thereof.
    (4) Failure to comply with an order issued pursuant to this 
paragraph may lead to the inference that the information to be 
discovered would be adverse to the person or party from whom the 
information was sought.
    (n) Protective orders: in camera proceedings. (1) Upon motion by a 
party or by the person from whom discovery is sought, and upon a showing 
by the movant that the disclosure of the information to be discovered, 
or a particular part thereof, (other than emission data) would result in 
methods or processes entitled to protection as trade secrets of such 
person being divulged, the Presiding Officer may enter a protective 
order with respect to such material. Any protective order shall contain 
such terms governing the treatment of the information as may be 
appropriate under the circumstances to prevent disclosure outside the 
hearing: Provided, That the order shall state that the material shall be 
filed separately from other evidence and exhibits in the hearing. 
Disclosure shall be limited to parties to the hearing, their counsel and 
relevant technical consultants, and authorized representatives of the 
United States concerned with carrying out the Act. Except in the case of 
the government, disclosure may be limited to counsel to parties who 
shall not disclose such information to the parties themselves. Except in 
the case of the government, disclosure to a party or his counsel shall 
be conditioned on execution of a sworn statement that no disclosure of 
the information will be made to persons not entitled to receive it under 
the terms of the protective order. (No such provision is necessary where 
government employees are concerned because disclosure by them is subject 
to the terms of 18 U.S.C. 1905.)
    (2)(i) A party or person seeking a protective order may be permitted 
to make all or part of the required showing in camera. A record shall be 
made

[[Page 381]]

of such in camera proceedings. If the Presiding Officer enters a 
protective order following a showing in camera, the record of such 
showing shall be sealed and preserved and made available to the Agency 
or court in the event of appeal.
    (ii) Attendance at any in camera proceeding may be limited to the 
Presiding Officer, the Agency, and the person or party seeking the 
protective order.
    (3) Any party, subject to the terms and conditions of any protective 
order issued pursuant to paragraph (n)(1) of this section, desiring for 
the presentation of his case to make use of any in camera documents or 
testimony shall make application to the Presiding Officer by motion 
setting forth the justification therefor. The Presiding Officer, in 
granting any such motion, shall enter an order protecting the rights of 
the affected persons and parties and preventing unnecessary disclosure 
of such information, including the presentation of such information and 
oral testimony and cross-examination concerning it in executive session, 
as in his discretion is necessary and practicable.
    (4) In the submittal of proposed findings, briefs, or other papers, 
counsel for all parties shall make a good faith attempt to refrain from 
disclosing the specific details of in camera documents and testimony. 
This shall not preclude references in such proposed findings, briefs, or 
other papers to such documents or testimony including generalized 
statements based on their contents. To the extent that counsel consider 
it necessary to include specific details in their presentations, such 
data shall be incorporated in separate proposed findings, briefs, or 
other papers marked ``confidential'', which shall become part of the in 
camera record.
    (o) Motions. (1) All motions, except those made orally during the 
course of the hearing, shall be in writing and shall state with 
particularity the grounds therefor, shall set forth the relief or order 
sought, and shall be filed with the Hearing Clerk and served upon all 
parties.
    (2) Within ten days after service of any motion filed pursuant to 
this section, or within such other time as may be fixed by the 
Environmental Appeals Board or the Presiding Officer, as appropriate, 
any party may serve and file an answer to the motion. The movant shall, 
if requested by the Environmental Appeals Board or the Presiding 
Officer, as appropriate, serve and file reply papers within the time set 
by the request.
    (3) The Presiding Officer shall rule upon all motions filed or made 
prior to the filing of his decision or accelerated decision, as 
appropriate. The Environmental Appeals Board shall rule upon all motions 
filed prior to the appointment of a Presiding Officer and all motions 
filed after the filing of the decision of the Presiding Officer or 
accelerated decision. Oral argument of motions will be permitted only if 
the Presiding Officer or the Environmental Appeals Board, as 
appropriate, deems it necessary.
    (p) Evidence. (1) The official transcripts and exhibits, together 
with all papers and requests filed in the proceeding, shall constitute 
the record. Immaterial or irrelevant parts of an admissible document 
shall be segregated and excluded so far as practicable. Documents or 
parts thereof subject to a protective order under paragraph (n) of this 
section shall be segregated. Evidence may be received at the hearing 
even though inadmissible under the rules of evidence applicable to 
judicial proceedings. The weight to be given evidence shall be 
determined by its reliability and probative value.
    (2) The Presiding Officer shall allow the parties to examine and to 
crossexamine a witness to the extent that such examination and cross-
examination is necessary for a full and true disclosure of the facts.
    (3) Rulings of the Presiding Officer on the admissibility of 
evidence, the propriety of examination and cross-examination and other 
procedural matters shall appear in the record.
    (4) Parties shall automatically be presumed to have taken exception 
to an adverse ruling.
    (q) Interlocutory appeal. (1) An interlocutory appeal may be taken 
to the Environmental Appeals Board either (i)

[[Page 382]]

with the consent of the Presiding Officer and where he certifies on the 
record or in writing that the allowance of an interlocutory appeal is 
clearly necessary to prevent exceptional delay, expense or prejudice to 
any party or substantial detriment to the public interest, or (ii) 
absent the consent of the Presiding Officer, by permission of the 
Environmental Appeals Board.
    (2) Applications for interlocutory appeal of any ruling or order of 
the Presiding Officer may be filed with the Presiding Officer within 5 
days of the issuance of the ruling or order being appealed. Answers 
thereto by other parties may be filed within 5 days of the service of 
such applications.
    (3) The Presiding Officer shall rule on such applications within 5 
days of the filing of such application or answers thereto.
    (4) Applications to file such appeals absent consent of the 
Presiding Officer shall be filed with the Environmental Appeals Board 
within 5 days of the denial of any appeal by the Presiding Officer.
    (5) The Environmental Appeals Board will consider the merits of the 
appeal on the application and any answers thereto. No oral argument will 
be heard nor other briefs filed unless the Environmental Appeals Board 
directs otherwise.
    (6) Except under extraordinary circumstances as determined by the 
Presiding Officer, the taking of an interlocutory appeal will not stay 
the hearing.
    (r) Record. (1) Hearings shall be stenographically reported and 
transcribed, and the original transcript shall be part of the record and 
the sole official transcript. Copies of the record shall be filed with 
the Hearing Clerk and made available during Agency business hours for 
public inspection. Any person desiring a copy of the record of the 
hearing or any part thereof shall be entitled to the same upon payment 
of the cost thereof.
    (2) The official transcripts and exhibits, together with all papers 
and requests filed in the proceeding, shall constitute the record.
    (s) Proposed findings, conclusions. (1) Within 20 days of the close 
of the reception of evidence, or within such longer time as may be fixed 
by the Presiding Officer, any party may submit for the consideration of 
the Presiding Officer proposed findings of fact, conclusions of law, and 
a proposed rule or order, together with reasons therefor and briefs in 
support thereof. Such proposals shall be in writing, shall be served 
upon all parties, and shall contain adequate references to the record 
and authorities relied on.
    (2) The record shall show the Presiding Officer's ruling on the 
proposed findings and conclusions except when his order disposing of the 
proceeding otherwise informs the parties of the action taken by him 
thereon.
    (t) Decision of the Presiding Officer. (1) Unless extended by the 
Environmental Appeals Board, the Presiding Officer shall issue and file 
with the Hearing Clerk his decision within 30 days after the period for 
filing proposed findings as provided for in paragraph (s) of this 
section has expired.
    (2) The Presiding Officer's decision shall become the opinion of the 
Environmental Appeals Board (i) when no notice of intention to appeal as 
described in paragraph (u) of this section is filed, 30 days after the 
issuance thereof, unless in the interim the Environmental Appeals Board 
shall have taken action to review or stay the effective date of the 
decision; or (ii) when a notice of intention to appeal is filed but the 
appeal is not perfected as required by paragraph (u) of this section, 5 
days after the period allowed for perfection of an appeal has expired 
unless within that 5 day period, the Environmental Appeals Board shall 
have taken action to review or stay the effective date of the decision.
    (3) The Presiding Officer's decision shall include a statement of 
findings and conclusions, as well as the reasons or basis therefor, upon 
all the material issues of fact or law presented on the record and an 
appropriate rule or order. Such decision shall be supported by 
substantial evidence and based upon a consideration of the whole record.
    (4) At any time prior to the issuance of his decision, the Presiding 
Officer may reopen the proceeding for the reception of further evidence. 
Except for the correction of clerical errors, the jurisdiction of the 
Presiding Officer is

[[Page 383]]

terminated upon the issuance of his decision.
    (u) Appeal from the Decision of the Presiding Officer. (1) Any party 
to a proceeding may appeal the Presiding Officer's decision to the 
Environmental Appeals Board, Provided, That within 10 days after 
issuance of the Presiding Officer's decision such party files a notice 
of intention to appeal and an appeal brief within 30 days of such 
decision.
    (2) When an appeal is taken from the decision of the Presiding 
Officer, any party may file a brief with respect to such appeal. The 
brief shall be filed within 20 days of the date of the filing of the 
appellant's brief.
    (3) Any brief filed pursuant to this paragraph shall contain in the 
order indicated, the following:
    (i) A subject index of the matter in the brief, with page 
references, and a table of cases (alphabetically arranged), textbooks, 
statutes, and other material cited, with page references thereto;
    (ii) A specification of the issues intended to be urged;
    (iii) The argument presenting clearly the points of fact and law 
relied upon in support of the position taken on each issue, with 
specific page references to the record and the legal or other material 
relied upon; and
    (iv) A proposed form of rule or order for the Environmental Appeals 
Board's consideration if different from the rule or order contained in 
the Presiding Officer's decision.
    (4) No brief in excess of 40 pages shall be filed without leave of 
the Environmental Appeals Board.
    (5) Oral argument will be allowed in the discretion of the 
Environmental Appeals Board.
    (v) Review of the Presiding Officer's Decision in Absence of Appeal. 
(1) If, after the expiration of the period for taking an appeal as 
provided for by paragraph (u) of this section, no notice of intention to 
appeal the decision of the Presiding Officer has been filed, or if 
filed, not perfected, the Hearing Clerk shall so notify the 
Environmental Appeals Board.
    (2) The Environmental Appeals Board, upon receipt of notice from the 
Hearing Clerk that no notice of intention to appeal has been filed, or 
if filed, not perfected pursuant to paragraph (u) of this section, may, 
on its own motion, within the time limits specified in paragraph (t)(2) 
of this section, review the decision of the Presiding Officer. Notice of 
the intention of the Environmental Appeals Board to review the decision 
of the Presiding Officer shall be given to all parties and shall set 
forth the scope of such review and the issue which shall be considered 
and shall make provision for filing of briefs.
    (w) Decision on appeal or review. (1) Upon appeal from or review of 
the Presiding Officer's decision, the Environmental Appeals Board shall 
consider such parts of the record as are cited or as may be necessary to 
resolve the issues presented and, in addition shall to the extent 
necessary or desirable exercise all the powers which it could have 
exercised if it had presided at the hearing.
    (2) In rendering its decision, the Environmental Appeals Board shall 
adopt, modify, or set aside the findings, conclusions, and rule or order 
contained in the decision of the Presiding Officer and shall set forth 
in its decision a statement of the reasons or bases for its action.
    (3) In those cases where the Environmental Appeals Board determines 
that it should have further information or additional views of the 
parties as to the form and content of the rule or order to be issued, 
the Environmental Appeals Board, in its discretion, may withhold final 
action pending the receipt of such additional information or views, or 
may remand the case to the Presiding Officer.
    (x) Reconsideration. Within twenty (20) days after issuance of the 
Environmental Appeals Board's decision, any party may file with the 
Environmental Appeals Board a petition for reconsideration of such 
decision, setting forth the relief desired and the grounds in support 
thereof. Any petition filed under this subsection must be confined to 
new questions raised by the decision or the final order and upon which 
the petitioner had no opportunity to argue before the Presiding Officer 
or the Environmental Appeals Board. Any party desiring to oppose such a 
petition shall

[[Page 384]]

file and answer thereto within ten (10) days after the filing of the 
petition. The filing of a petition for reconsideration shall not operate 
to stay the effective date of the decision or order or to toll the 
running of any statutory time period affecting such decision or order 
unless specifically so ordered by the Environmental Appeals Board.
    (y) Accelerated decision: Dismissal. (1) The Presiding Officer, upon 
motion of any party or sua sponte, may at any time render an accelerated 
decision in favor of the Agency or the manufacturer as to all or any 
part of the proceeding, without further hearing or upon such limited 
additional evidence such as affidavits as he may require, or dismiss any 
party with prejudice, under any of the following conditions:
    (i) Failure to state a claim upon which relief can be granted, or 
direct or collateral estoppel;
    (ii) There is no genuine issue of material fact and a party is 
entitled to judgment as a matter of law; or
    (iii) Such other and further reasons as are just, including 
specifically failure to obey a procedural order of the Presiding 
Officer.
    (2) If under this paragraph an accelerated decision is issued as to 
all the issues and claims joined in the proceeding, the decision shall 
be treated for the purposes of these procedures as the decision of the 
Presiding Officer as provided in paragraph (p) of this section.
    (3) If under this paragraph, judgment is rendered on less than all 
issues or claims in the proceeding, the Presiding Officer shall 
determine what material facts exist without substantial controversy and 
what material facts are actually and in good faith controverted. He 
shall thereupon issue an order specifying the facts which appear without 
substantial controversy, and the issues and claims upon which the 
hearing will proceed.
    (z) Conclusion of hearing. (1) If, after the expiration of the 
period for taking an appeal as provided for by paragraph (u) of this 
section, no appeal has been taken from the Presiding Officer's decision, 
and, after the expiration of the period for review by the Environmental 
Appeals Board on its own motion as provided for by paragraph (v) of this 
section, the Environmental Appeals Board does not move to review such 
decision, the hearing will be deemed to have ended at the expiration of 
all periods allowed for such appeal and review.
    (2) If an appeal of the Presiding Officer's decision is taken 
pursuant to paragraph (u) of this section, or if, in the absence of such 
appeal, the Environmental Appeals Board moves to review the decision of 
the Presiding Officer pursuant to paragraph (v) of this section, the 
hearing will be deemed to have ended upon the rendering of a final 
decision by the Environmental Appeals Board.
    (aa) Judicial Review. (1) The Administrator hereby designates the 
Deputy General Counsel, Environmental Protection Agency as the officer 
upon whom copy of any petition for judicial review shall be served.
    Such officer shall be responsible for filing in the court the record 
on which the order of the Environmental Appeals Board is based.
    (2) Before forwarding the record to the court, the Agency shall 
advise the petitioner of costs of preparing it and as soon as payment to 
cover fees is made shall forward the record to the court.

[39 FR 44375, Dec. 23, 1974; 40 FR 3447, Jan. 22, 1975, as amended at 44 
FR 61962, Oct. 29, 1979; 57 FR 5329, Feb. 13, 1992]



Sec.  85.1808  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a person or manufacturer must indicate clearly the items 
of information claimed confidential by marking, circling bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been

[[Page 385]]

deleted. If a need arises to publicly release nonconfidential 
information, EPA will assume that the submitter has accurately deleted 
the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Environmental Appeals Board only to the extent and by means of the 
procedures set forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34797, Aug. 27, 1985, as amended at 57 FR 5330, Feb. 13, 1992]



 Sec. Appendix A to Subpart S of Part 85--Interpretive Ruling for Sec.  
                         85.1803--Remedial Plans

    The purpose of this rule is to set forth EPA's interpretation 
regarding one aspect of a motor vehicle or motor vehicle engine 
manufacturer's recall liability under section 207(c)(1) of the Clean Air 
Act, 42 U.S.C. 7641(c)(1). This rule will provide guidance to vehicle 
and engine manufacturers to better enable them to submit acceptable 
remedial plans.
    Section 207(c)(1) requires the Administrator to base a recall order 
on a determination that a substantial number of in-use vehicles or 
engines within a given class or category of vehicles or engines, 
although properly maintained and used, fail to conform to the 
regulations prescribed under section 202 when in actual use throughout 
their useful lives. After making such a determination, he shall require 
the manufacturer to submit a plan to remedy the nonconformity of any 
such vehicles or engines. The plan shall provide that the manufacturer 
will remedy, at the manufacturer's expense, all properly maintained and 
used vehicles which experienced the nonconformity during their useful 
lives regardless of their age or mileage at the time of repair.

(Secs. 207 and 301(a), Clean Air Act, as amended, 42 U.S.C. 7541 and 
7601(a))

[45 FR 36398, May 30, 1980]



            Subpart T_Emission Defect Reporting Requirements

    Authority: Secs. 208(a) and 301(a), Clean Air Act, as amended (42 
U.S.C. 1857f-6(a) and 1857g(a)).

    Source: 42 FR 28128, June 2, 1977, unless otherwise noted.



Sec.  85.1901  Applicability.

    (a) The requirements of this subpart shall be applicable to all 1972 
and later model year motor vehicles and motor vehicle engines, except 
that the provisions of 40 CFR 1068.501 apply instead for heavy-duty 
motor vehicle engines certified under 40 CFR part 86, subpart A, and for 
heavy-duty motor vehicles certified under 40 CFR part 1037 starting 
January 1, 2018.
    (b) The requirement to report emission-related defects affecting a 
given class or category of vehicles or engines shall remain applicable 
for five years from the end of the model year in which such vehicles or 
engines were manufactured.

[81 FR 73972, Oct. 25, 2016]



Sec.  85.1902  Definitions.

    For the purposes of this subpart and unless otherwise noted:
    (a) Act means the Clean Air Act, 42 U.S.C. 7401-7671q, as amended.
    (b) Emission-related defect means:
    (1) A defect in design, materials, or workmanship in a device, 
system, or assembly described in the approved Application for 
Certification that affects any parameter or specification enumerated in 
appendix VIII of this part; or
    (2) A defect in the design, materials, or workmanship in one or more 
emission-related parts, components, systems, software or elements of 
design which must function properly to ensure continued compliance with 
emission standards.
    (c) Useful life has the meaning given in section 202(d) of the Act 
(42 U.S.C.7521(d)) and regulations promulgated thereunder.
    (d) Voluntary emissions recall means a repair, adjustment, or 
modification program voluntarily initiated and conducted by a 
manufacturer to remedy any emission-related defect for which

[[Page 386]]

direct notification of vehicle or engine owners has been provided, 
including programs to remedy defects related to emissions standards for 
CO2, CH4, N2O, and/or carbon-related 
exhaust emissions.
    (e) Ultimate purchaser has the meaning given in section 216 of the 
Act (42 U.S.C.7550).
    (f) Manufacturer has the meaning given in section 216 of the Act (42 
U.S.C.7550).

[81 FR 73973, Oct. 25, 2016]



Sec.  85.1903  Emissions defect information report.

    (a) A manufacturer shall file a defect information report whenever, 
on the basis of data obtained subsequent to the effective date of these 
regulations:
    (1) The manufacturer determines in accordance with procedures 
established by the manufacturer to identify safety related defects 
(pursuant to 15 U.S.C. 1381 et seq., as amended) that a specific 
emission-related defect exists; and
    (2) That the specific emission-related defect exists in twenty-five 
or more vehicles or engines of the same model year.

No report shall be filed under this paragraph for any emission-related 
defect corrected prior to the sale of the affected vehicles or engines 
to an ultimate purchaser.
    (b) Defect information reports required under paragraph (a) of this 
section shall be submitted not more than 15 working days after an 
emission-related defect is found to affect twenty-five vehicles or 
engines of the same model year. Items of information required by 
paragraph (c) of this section that are either not available within that 
period or are significantly revised shall be submitted as they become 
available.
    (c) Except as provided in paragraph (b) of this section, each defect 
report shall contain the following information in substantially the 
format outlined below:
    (1) The manufacturer's corporate name.
    (2) A description of the defect.
    (3) A description of each class or category of vehicles or engines 
potentially affected by the defect including make, model, model year, 
and such other information as may be required to identify the vehicles 
or engines affected.
    (4) For each class or category of vehicle or engine described in 
response to paragraph (c)(3) of this section, the following shall also 
be provided:
    (i) The number of vehicles or engines known or estimated to have the 
defect and an explanation of the means by which this number was 
determined.
    (ii) The address of the plant(s) at which the potentially defective 
vehicles or engines were produced.
    (5) An evaluation of the emissions impact of the defect and a 
description of any driveability problems which a defective vehicle might 
exhibit.
    (6) Available emissions data which relate to the defect.
    (7) An indication of any anticipated manufacturer follow-up.



Sec.  85.1904  Voluntary emissions recall report; quarterly reports.

    (a) When any manufacturer initiates a voluntary emissions recall 
campaign involving twenty-five or more vehicles or engines, the 
manufacturer shall submit a report describing the manufacturer's 
voluntary emissions recall plan as prescribed by this section within 15 
working days of the date owner notification was begun. The report shall 
contain the following:
    (1) A description of each class or category of vehicle or engine 
recalled including the number of vehicles to be recalled, the model 
year, the make, the model, and such other information as may be required 
to identify the vehicles or engines recalled.
    (2) A description of the specific modifications, alterations, 
repairs, corrections, adjustments, or other changes to be made to 
correct the vehicles or engines affected by the emission-related defect.
    (3) A description of the method by which the manufacturer will 
determine the names and addresses of vehicle or engine owners and the 
method by which they will be notified.
    (4) A description of the proper maintenance or use, if any, upon 
which the manufacturer conditions eligibility for repair under the 
remedial plan, an explanation of the manufacturer's reasons for imposing 
any such condition,

[[Page 387]]

and a description of the proof to be required of a vehicle or engine 
owner to demonstrate compliance with any such condition.
    (5) A description of the procedure to be followed by vehicle or 
engine owners to obtain correction of the nonconformity. This shall 
include designation of the date on or after which the owner can have the 
nonconformity remedied, the time reasonably necessary to perform the 
labor to remedy the defect, and the designation of facilities at which 
the defect can be remedied.
    (6) If some or all of the nonconforming vehicles or engines are to 
be remedied by persons other than dealers or authorized warranty agents 
of the manufacturer, a description of the class of persons other than 
dealers and authorized warranty agents of the manufacturer who will 
remedy the defect.
    (7) Three copies of the letters of notification to be sent to 
vehicle or engine owners.
    (8) A description of the system by which the manufacturer will 
assure that an adequate supply of parts will be available to perform the 
repair under the remedial plan including the date by which an adequate 
supply of parts will be available to initiate the repair campaign, the 
percentage of the total parts requirement of each person who is to 
perform the repair under the remedial plan to be shipped to initiate the 
campaign, and the method to be used to assure the supply remains both 
adequate and responsive to owner demand.
    (9) Three copies of all necessary instructions to be sent to those 
persons who are to perform the repair under the remedial plan.
    (10) A description of the impact of the proposed changes on fuel 
consumption, driveability, and safety of each class or category of 
vehicles or engines to be recalled.
    (11) A sample of any label to be applied to vehicles or engines 
which participate in the voluntary recall campaign.
    (b) Unless otherwise specified by the Administrator, the 
manufacturer shall report on the progress of the recall campaign by 
submitting subsequent reports for six consecutive quarters commencing 
with the quarter after the voluntary emissions recall campaign actually 
begins. Such reports shall be submitted no later than 25 working days 
after the close of each calendar quarter. For each class or category of 
vehicle or engine subject to the voluntary emissions recall campaign, 
the quarterly report shall contain the:
    (1) Emission recall campaign number, if any, designated by the 
manufacturer.
    (2) Date owner notification was begun, and date completed.
    (3) Number of vehicles or engines involved in the voluntary 
emissions recall campaign.
    (4) Number of vehicles or engines known or estimated to be affected 
by the emission-related defect and an explanation of the means by which 
this number was determined.
    (5) Number of vehicles or engines inspected pursuant to the 
voluntary emissions recall plan.
    (6) Number of inspected vehicles found to be affected by the 
emission-related defect.
    (7) Number of vehicles actually receiving repair under the remedial 
plan.
    (8) Number of vehicles determined to be unavailable for inspection 
or repair under the remedial plan due to exportation, theft, scrapping, 
or for other reasons (specify).
    (9) Number of vehicles or engines determined to be ineligible for 
remedial action due to a failure to properly maintain or use such 
vehicles or engines.
    (10) Three copies of any service bulletins transmitted to dealers 
which relate to the defect to be corrected and which have not previously 
been reported.
    (11) Three copies of all communications transmitted to vehicle or 
engine owners which relate to the defect to be corrected and which have 
not previously been submitted.
    (c) If the manufacturer determines that any of the information 
requested in paragraph (b) of this section has changed or was incorrect, 
revised information and an explanatory note shall be submitted. Answers 
to paragraphs (b)(5), (6), (7), (8), and (9) of this section shall be 
cumulative totals.
    (d) The manufacturer shall maintain in a form suitable for 
inspection, such

[[Page 388]]

as computer information storage devices or card files, the names and 
addresses of vehicles or engine owners:
    (1) To whom notification was given;
    (2) Who received remedial repair or inspection under the remedial 
plan; and
    (3) Who were determined not to qualify for such remedial action when 
eligibility is conditioned on proper maintenance or use.
    (e) The records described in paragraph (d) of this section shall be 
made available to the Administrator upon request.



Sec.  85.1905  Alternative report formats.

    (a) Any manufacturer may submit a plan for making either of the 
reports required by Sec. Sec.  85.1903 and 85.1904 on computer cards, 
magnetic tape or other machine readable format. The proposed plan shall 
be accompanied by sufficient technical detail to allow a determination 
that data requirements of these sections will be met and that the data 
in such format will be usable by EPA.
    (b) Upon approval by the Administrator of the proposed reporting 
system, the manufacturer may utilize such system until otherwise 
notified by the Administrator.



Sec.  85.1906  Report filing: Record retention.

    (a) The reports required by Sec. Sec.  85.1903 and 85.1904 shall be 
sent to the Designated Compliance Officer as specified at 40 CFR 
1068.30.
    (b) The information gathered by the manufacturer to compile the 
reports required by Sec. Sec.  85.1903 and 85.1904 shall be retained for 
not less than five years from the date of the manufacture of the 
vehicles or engines and shall be made available to duly authorized 
officials of the EPA upon request.

[42 FR 28128, June 2, 1977, as amended at 44 FR 61962, Oct. 29, 1979; 81 
FR 73973, Oct. 25, 2016]



Sec.  85.1907  Responsibility under other legal provisions preserved.

    The filing of any report under the provisions of this subpart shall 
not affect a manufacturer's responsibility to file reports or 
applications, obtain approval, or give notice under any provision of 
law.



Sec.  85.1908  Disclaimer of production warranty applicability.

    (a) The act of filing an Emission Defect Information Report pursuant 
to Sec.  85.1903 is inconclusive as to the existence of a defect subject 
to the Production Warranty provided by section 207 (a) of the Act.
    (b) A manufacturer may include on each page of its Emission Defect 
Information Report a disclaimer stating that the filing of a Defect 
Information Report pursuant to these regulations is not conclusive as to 
the applicability of the Production Warranty provided by section 207(a) 
of the Act.



Sec.  85.1909  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted all confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to

[[Page 389]]

the public by EPA without further notice to the submitter, in accordance 
with 40 CFR 2.204(c)(2)(i)(A).

[50 FR 34798, Aug. 27, 1985]

Subpart U [Reserved]



Subpart V_Emissions Control System Performance Warranty Regulations and 
            Voluntary Aftermarket Part Certification Program

    Authority: Secs. 203, 207, 208, and 301(a), Clean Air Act, as 
amended (42 U.S.C. 7522, 7541, 7542, and 7601(a)).

    Source: 45 FR 34839, May 22, 1980, unless otherwise noted.



Sec.  85.2101  General applicability.

    (a) Sections 85.2101 through 85.2111 are applicable to all 1981 and 
later model year light-duty vehicles and light-duty trucks.
    (b) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles and light-duty trucks under the provisions of 40 CFR part 86, 
subpart S.

[64 FR 23919, May 4, 1999]



Sec.  85.2102  Definitions.

    (a) As used in Sec. Sec.  85.2101 through 85.2111 all terms not 
defined herein shall have the meaning given them in the Act:
    (1) Act means Part A of Title II of the Clean Air Act, 42 U.S.C. 
7421 et seq. (formerly 42 U.S.C. 1857 et seq.), as amended.
    (2) Office Director means the Director for the Office of Mobile 
Sources--Office of Air and Radiation of the Environmental Protection 
Agency or other authorized representative of the Office Director.
    (3) Certified part means a part certified in accordance with the 
aftermarket part certification regulations contained in this subpart.
    (4) Emission performance warranty means that warranty given pursuant 
to this subpart and section 207(b) of the Act.
    (5) Office Director-approved emission test or Emission Short Test 
means any test prescribed under 40 CFR 85.2201 et seq., and meeting all 
of the requirements thereunder.
    (6) Model year means the manufacturer's annual production period (as 
determined by the Office Director) which includes January 1 of such 
calendar year; however, if the manufacturer has no annual production 
period, the term ``model year'' shall mean the calendar year.
    (7) Original equipment part means a part present in or on a vehicle 
at the time the vehicle is sold to the ultimate purchaser, except for 
components installed by a dealer which are not manufactured by the 
vehicle manufacturer or are not installed at the direction of the 
vehicle manufacturer.
    (8) Owner means the original purchaser or any subsequent purchaser 
of a vehicle.
    (9) Owner's manual means the instruction booklet normally provided 
to the purchaser of a vehicle.
    (10) Useful life means that period established pursuant to section 
202(d) of the Act and regulations promulgated thereunder.
    (11) Vehicle means a light duty vehicle or a light duty truck.
    (12) Warranty booklet means a booklet, separate from the owner's 
manual, containing all warranties provided with the vehicle.
    (13) Written instructions for proper maintenance and use means those 
maintenance and operation instructions specified in the owner's manual 
as being necessary to assure compliance of a vehicle with applicable 
emission standards for the useful life of the vehicle that are:
    (i) In accordance with the instructions specified for performance on 
the manufacturer's prototype vehicle used in certification (including 
those specified for vehicles used under special circumstances), and
    (ii) In compliance with the requirements of 40 CFR 86.094-38 or 
86.1808-01 (as appropriate for the applicable model year vehicle/engine 
classification); and
    (iii) In compliance with any other regulations promulgated by the 
Office

[[Page 390]]

Director governing maintenance and use instructions.
    (14) Emission related parts means those parts installed for the 
specific purpose of controlling emissions or those components, systems, 
or elements of design which must function properly to assure continued 
vehicle emission compliance.
    (15) Objective evidence of an emission related repair means all 
diagnostic information and data, the actual parts replaced during 
repair, and any other information directly used to support a warranty 
claim, or to support denial of such a claim.
    (16) Valid emission performance warranty claim means a claim in 
which there is no evidence that the vehicle had not been properly 
maintained and operated in accordance with manufacturer instructions, 
the vehicle failed to conform to applicable emission standards as 
measured by an Office Director-approved type of emission warranty test 
during its useful life and the owner is subject to sanction as a result 
of the test failure.
    (17) Reasonable expense means any expense incurred due to repair of 
a warranty failure caused by a non-original equipment certified part, 
including, but not limited to, all charges in any expense categories 
that would be considered payable by the involved vehicle manufacturer to 
its authorized dealer under a similar warranty situation where an 
original equipment part was the cause of the failure. Included in 
``reasonable expense'' are any additional costs incurred specifically 
due to the processing of a claim involving a certified aftermarket part 
or parts as covered in these regulations. The direct parts and labor 
expenses of carrying out repairs is immediately chargeable to the part 
manufacturer. All charges beyond the actual parts and labor repair 
expenses must be amortized over the number of claims and/or over a 
number of years in a manner that would be considered consistent with 
generally accepted accounting principles. These expense categories shall 
include but are not limited to the cost of labor, materials, record 
keeping, special handling, and billing as a result of replacement of a 
certified aftermarket part.
    (18) MOD Director means Director of Manufacturers Operations 
Division, Office of Mobile Sources--Office of Air and Radiation of the 
Environmental Protection Agency.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989; 64 
FR 23919, May 4, 1999]



Sec.  85.2103  Emission performance warranty.

    (a) The manufacturer of each vehicle to which this subpart applies 
shall warrant in writing that if:
    (1) The vehicle is maintained and operated in accordance with the 
written instructions for proper maintenance and use and
    (2) The vehicle fails to conform at any time during its useful life 
to the applicable emission standards or family emission limits as 
determined by an EPA-approved emission test, and
    (3) Such nonconformity results or will result in the vehicle owner 
having to bear any penalty or other sanction (including the denial of 
the right to use the vehicle) under local, State or Federal law, then 
the manufacturer shall remedy the nonconformity at no cost to the owner; 
except that, if the vehicle has been in operation for more than 24 
months or 24,000 miles, the manufacturer shall be required to remedy 
only those nonconformities resulting from the failure of components 
which have been installed in or on the vehicle for the sole or primary 
purpose of reducing vehicle emissions and that were not in general use 
prior to model year 1968.
    (b) The warranty period shall begin on the date the vehicle is 
delivered to its ultimate purchaser, or if the vehicle is first placed 
in service as a ``demonstrator'' or ``company'' car prior to delivery, 
on the date it is first placed in service.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]



Sec.  85.2104  Owners' compliance with instructions for proper 
maintenance and use.

    (a) An emission performance warranty claim may be denied on the 
basis of noncompliance by a vehicle owner with the written instructions 
for proper maintenance and use.

[[Page 391]]

    (b) When determining whether an owner has complied with the written 
instructions for proper maintenance and use, a vehicle manufacturer may 
require an owner to submit evidence of compliance only with those 
written maintenance instructions for which the manufacturer has an 
objective reason for believing:
    (1) Were not performed; and
    (2) If not performed could be the cause of the particular vehicle's 
exceeding applicable emission standards.
    (c) Evidence of compliance with a maintenance instruction may 
consist of:
    (1) A maintenance log book which has been validated at the 
approximate time or mileage intervals specified for service by someone 
who regularly engages in the business of servicing automobiles for the 
relevant maintenance instruction(s); or
    (2) A showing that the vehicle has been submitted for scheduled 
maintenance servicing at the approximate time or mileage intervals 
specified for service to someone who regularly engages in the business 
of servicing automobiles for the purpose of performing the relevant 
maintenance; or
    (3) A statement by the vehicle owner that he or she performed the 
maintenance at the approximate time or mileage interval specified 
including a showing,
    (i) That the owner purchased and used proper parts, and
    (ii) Upon request by the vehicle manufacturer, that the owner is 
able to perform the maintenance properly.
    (d) Except as provided in paragraph (e) of this section, the time/
mileage interval for scheduled maintenance services shall be the service 
interval specified for the part in the written instructions for proper 
maintenance and use.
    (e) For certified parts having a maintenance or replacement interval 
different from that specified in the written instructions for proper 
maintenance and use, the time/mileage interval shall be the service 
interval for which the part was certified.
    (f) The owner may perform maintenance or have maintenance performed 
more frequently then required in the maintenance instructions.
    (g) Except as provided in paragraph (h) of this section, a 
manufacturer may deny an emission performance warranty claim on the 
basis of noncompliance with the written instructions for proper 
maintenance and use only if:
    (1) An owner is not able to comply with a request by a manufacturer 
for evidence pursuant to paragraph (c) of this section; or
    (2) Notwithstanding the evidence presented pursuant to paragraph (c) 
of this section, the manufacturer is able to prove that the vehicle 
failed an emission short test because:
    (i) The vehicle was abused, or
    (ii) An instruction for the proper maintenance and use was performed 
in a manner resulting in a component's being improperly installed or a 
component or related parameter's being adjusted substantially outside of 
the manufacturer's specifications, or
    (iii) Unscheduled maintenance was performed on a vehicle which 
resulted in the removing or rendering inoperative of any component 
affecting the vehicle's emissions.
    (h) In no case may a manufacturer deny an emission performance 
warranty claim on the basis of:
    (1) Warranty work or predelivery service performed by any facility 
authorized by the vehicle manufacturer to perform such work or service; 
or
    (2) Work performed in an emergency situation to rectify an unsafe 
condition, including an unsafe driveability condition, attributable to 
the manufacturer, provided the vehicle owner has taken steps to put the 
vehicle back in a conforming condition in a timely manner; or
    (3) The use of any uncertified part or non-compliance with any 
written instruction for proper maintenance and use which is not relevant 
to the reason that the vehicle failed to comply with applicable emission 
standards; or
    (4) Any cause attributable to the vehicle manufacturer; or
    (5) The use of any fuel which is commonly available in the 
geographical area in which the vehicle or engine is located, unless the 
written instructions for proper maintenance and use specify that the use 
of that fuel would adversely affect the emission control devices and 
systems of the vehicle, and

[[Page 392]]

there is commonly available information for the owner to identify the 
proper fuel to be used.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]



Sec.  85.2105  Aftermarket parts.

    (a) No valid emission performance warranty claim shall be denied on 
the basis of the use of a properly installed certified aftermarket part 
in the maintenance or repair of a vehicle. A vehicle manufacturer that 
honors a valid emission performance warranty claim involving a certified 
aftermarket part may seek reimbursement for reasonable expenses incurred 
in honoring the claim by following the warranty claim procedures listed 
in Sec.  85.2107(c).
    (b) Except as provided in Sec.  85.2104(h), a vehicle manufacturer 
may deny an emission performance warranty claim on the basis of an 
uncertified aftermarket part used in the maintenance or repair of a 
vehicle if the vehicle manufacturer can demonstrate that the vehicle's 
failure to meet emission standards was caused by use of the uncertified 
part. A warranty claim may be denied if the vehicle manufacturer submits 
a written document to the vehicle owner that the vehicle owner is unable 
or unwilling to refute. The document must:
    (1) Establish a causal connection between the emissions short test 
failure and use of the uncertified part, and,
    (2) Assert that:
    (i) Removal of the uncertified part and installation of any 
comparable certified or original equipment part previously removed or 
replaced during installation of the uncertified part will resolve the 
observed emissions failure in the vehicle, and/or
    (ii) Use of the uncertified part has caused subsequent damage to 
other specified certified components such that replacement of these 
components would also be necessary to resolve the observed vehicle 
emissions failure, and,
    (3) List all objective evidence as defined in Sec.  85.2102 that was 
used in the determination to deny warranty. This evidence must be made 
available to the vehicle owner or EPA upon request, and
    (c) A part not required to be replaced at a definite interval in 
accordance with the written instructions for maintenance and use shall 
be warranted for the full term of any warranty mandated by the Act. 
Instructions to replace a component only if checked and found to be 
operating below specification shall have no bearing on warranty 
coverage, unless an owner did not follow such an instruction prior to 
the short test failure and noncompliance with that instruction caused 
the failure of another vehicle component relevant to the nonconformity.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989]



Sec.  85.2106  Warranty claim procedures.

    (a) A claim under the emission performance warranty may be raised 
immediately upon the failure of an EPA-approved emission test if, as a 
result of that failure, an owner is required to take action of any kind 
in order to avoid imposition of a penalty or sanction. An owner need not 
suffer the loss of the right to use a vehicle, be fined, incur repair 
expenses, or actually bear any penalty or sanction to satisfy the 
requirement of Sec.  85.2103(a)(3). That requirement shall be met if a 
test failure sets a procedure in motion under which the owner will bear 
a penalty or sanction if a vehicle is not brought into conformity or 
repaired to some specified extent within some specified period of time.
    (b) A warranty claim may be submitted by bringing a vehicle to:
    (1) Any repair facility authorized by the vehicle manufacturer to 
service that model vehicle, or
    (2) Any repair facility authorized by the vehicle manufacturer to 
perform emission performance warranty repairs for that model vehicle.
    (c) To the extent required by any Federal or State law, whether 
statutory or common law, a vehicle manufacturer shall be required to 
provide a means for non-franchised repair facilities to perform emission 
performance warranty repairs.
    (d) The manufacturer of each vehicle to which the warranty is 
applicable shall establish procedures as to the manner in which a claim 
under the emission performance warranty is to be processed. The 
procedures shall:

[[Page 393]]

    (1) Provide for a final decision by the vehicle manufacturer within 
a reasonable time, not to exceed 30 days from the time at which the 
vehicle is initially presented for repair or within the time period 
during which an owner is required by local, State or federal law to have 
the vehicle repaired without incurring further penalties or sanctions 
(whichever is shorter), unless a delay
    (i) Is requested by the vehicle owner, or
    (ii) Is caused by an event not attributable to the vehicle 
manufacturer or the warranty repair facility; and
    (2) Require that if the facility at which the vehicle is initially 
presented for repair is unable for any reason to honor the particular 
claim, then, unless this requirement is waived in writing by the vehicle 
owner, the repair facility shall forward the claim to an individual or 
office authorized to make emission performance warranty determinations 
for the manufacturer.
    (e) Within the time period specified in paragraph (d) of this 
section the manufacturer shall:
    (1) Notify the owner that it will honor the claim; or
    (2) Provide the owner, in writing, with an explanation of the basis 
upon which the claim is being denied; or
    (3) If the basis of the claim denial involves use of an uncertified 
part, provide the owner in writing with an explanation of the basis upon 
which the claim is being denied according to all criteria specified in 
Sec.  85.2105(b).
    (f) Failure to notify an owner within the required time period (as 
determined under paragraph (d) of this section) for reasons that are not 
attributable to the vehicle owner or events which are not beyond the 
control of the vehicle manufacturer or the repair facility, shall result 
in the vehicle manufacturer being responsible for repairing the 
warranted items free of charge to the vehicle owner.
    (g) The vehicle manufacturer shall incur all costs associated with a 
determination that an emission performance warranty claim is valid.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989]



Sec.  85.2107  Warranty remedy.

    (a) The manufacturer's obligation under the emission performance 
warranty shall be to make all adjustments, repairs or replacements 
necessary to assure that the vehicle complies with applicable emission 
standards of the U.S. Environmental Protection Agency, that it will 
continue to comply for the remainder of its useful life (if proper 
maintenance and operation are continued), and that it will operate in a 
safe manner. The manufacturer shall bear all costs incurred as a result 
of the above obligation, except that after the first 24 months or 24,000 
miles (whichever first occurs) the manufacturer shall be responsible 
only for:
    (1) The adjustment, repair or replacement of those components which 
have been installed in or on a vehicle for the sole or primary purpose 
of reducing vehicle emissions, and which were not in general use prior 
to model year 1968; and
    (2) All other components which must be adjusted, repaired or 
replaced to enable a component repaired or replaced under paragraph 
(a)(1) of this section to perform properly.
    (b) Under the Emissions Performance Warranty, the manufacturer shall 
be liable for the total cost of the remedy for any vehicle validly 
presented for repair to any authorized service facility authorized by 
the vehicle manufacturer. State or local limitations as to the extent of 
the penalty or sanction imposed upon an owner of a failed vehicle shall 
have no bearing on this liability.
    (c) The remedy provided under paragraph (a) of this section shall 
include the repair or replacement of certified parts as required in 
Sec.  85.2105(a). To seek reimbursement from the involved certified 
aftermarket part manufacturer for reasonable expenses incurred due to 
the certified aftermarket parts determined to be the cause of a 
performance warranty failure, the vehicle manufacturer must:
    (1) Retain all parts replaced during the performance warranty 
repair, and
    (2) Follow the procedures laid out in Sec.  85.2117.
    (d) If a manufacturer is unable (for reasons not attributable to the 
vehicle owner or events beyond the control of

[[Page 394]]

the vehicle manufacturer or an authorized repair facility) to repair a 
vehicle within the time period specified under Sec.  85.2106(d) after 
the initial presentation of the vehicle to an authorized repair 
facility, then the owner shall be entitled to have the warranty remedy 
performed, at the expense of the manufacturer, by any repair facility of 
the owner's choosing.
    (e) The vehicle manufacturer may deny warranty for a failure caused 
by an uncertified part in accordance with the criteria in Sec.  85.2105.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989]



Sec.  85.2109  Inclusion of warranty provisions in owners' manuals 
and warranty booklets.

    (a) A manufacturer shall furnish with each new motor vehicle, a full 
explanation of the Emission Performance Warranty, including at a minimum 
the following information:
    (1) A basic statement of the coverage of the emissions performance 
warranty as set out in Sec.  85.2103. This shall be separated from any 
other warranty given by the manufacturer and shall be prefaced by the 
title ``Emissions Performance Warranty'' set in bold face type; and
    (2) A list of all items which are covered by the emission 
performance warranty for the full useful life of the vehicle. This list 
shall contain all components which have been installed in or on a 
vehicle solely or primarily for the purpose of reducing vehicle 
emissions, except those components which were in general use prior to 
model year 1968. All items listed pursuant to this subsection shall be 
described in the same manner as they are likely to be described on a 
service facility work receipt for that vehicle; and
    (3) A list or a reference to the location of the instructions for 
proper maintenance and use, together with the time and/or mileage 
interval at which such instructions are to be performed; and
    (4) An explanation of the effect that the use of certified parts 
will have on the emission performance warranty. This explanation shall 
comport with the provisions of Sec.  85.2105 (b) and (c), including a 
statement in boldface type that maintenance, replacement, or repair of 
the emission control devices and systems may be performed by any 
automotive repair establishment or individual using any certified part; 
and
    (5) Complete instructions as to when and how an owner may bring a 
claim under the emissions performance warranty, as governed by 
Sec. Sec.  85.2104 and 85.2106. These instructions shall include:
    (i) An explanation of the point in time at which a claim may be 
raised; and
    (ii) Complete procedures as to the manner in which a claim may be 
raised; and
    (iii) The provisions for manufacturer liability contained in Sec.  
85.2106(f) if the manufacturer fails to respond within the time period 
set in accordance with Sec.  85.2106(d);
    (6) An explanation that an owner may obtain further information 
concerning the emission performance warranty or that an owner may report 
violations of the terms of the Emission Performance Warranty by 
contacting the Designated Compliance Officer as specified at 40 CFR 
1068.30 (Attention: Warranty Claim).
    (b) The warranty information shall be provided in the same document 
as other warranties provided with the vehicle.
    (c) If a separate warranty booklet is provided with the vehicle, the 
owner's manual shall contain, at a minimum, the following information:
    (1) A general list of all warranties covering the vehicle; and
    (2) A statement that detailed warranty information can be found in 
the warranty booklet.
    (d) If a separate warranty booklet is not provided with the vehicle, 
the information specified in paragraph (a) of this section shall be 
contained in the owner's manual.

[45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 81 
FR 73973, Oct. 25, 2016]



Sec.  85.2110  Submission of owners' manuals and warranty statements to EPA.

    (a) The manufacturer of each vehicle to which this subpart applies 
shall submit a copy to EPA of both the owner's

[[Page 395]]

manual and warranty booklet (if applicable) for each model vehicle, 
except that, if the same warranty information is to be provided for more 
than one model vehicle, the manufacturer may submit copies for a single 
model vehicle with a statement that such copies are complete and 
accurate representation of the warranty information provided with all 
other specified models.
    (1) The owner's manuals and warranty booklets should be received by 
EPA 60 days prior to the introduction of the vehicle for sale.
    (2) If the manuals and warranty booklets are not in their final 
printed format 60 days prior to the introduction of the vehicle for 
sale, a manufacturer may submit the most recent draft at that time, 
provided that final versions are submitted within 15 days of the final 
printing.
    (b) All materials described in paragraph (a) of this section shall 
be sent to the Designated Compliance Officer as specified at 40 CFR 
1068.30 (Attention: Warranty Booklet).

[45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 81 
FR 73973, Oct. 25, 2016]



Sec.  85.2111  Warranty enforcement.

    The following acts are prohibited and may subject a manufacturer to 
up to a $32,500 civil penalty for each offense, except as noted in 
paragraph (d) of this section:
    (a) Selling or leasing a light duty vehicle without providing in 
writing the warranty information required by Sec.  85.2109;
    (b) Failing or refusing to comply with the terms and conditions of 
the Emission Performance Warranty with respect to any vehicle to which 
this subpart applies. Acts constituting such a failure or refusal shall 
include, but are not limited to, the following,
    (1) Failure to honor a valid warranty claim,
    (2) Performance of a warranty repair in a manner which cannot 
reasonably be expected to allow the vehicle to meet applicable emission 
standards for the remainder of its useful life,
    (3) Failure of a manufacturer to reimburse a dealer or other 
designated agent for performance of a vehicle repair made pursuant to 
this subpart, and
    (4) Failure of a manufacturer to supply a part necessary to perform 
a warranty repair within the time limit specified under Sec.  
85.2106(d), unless such failure is for a reason not attributable to the 
vehicle manufacturer or the warranty repair facility;
    (c) To provide directly or indirectly in any communication to the 
ultimate purchaser or any subsequent purchaser that the emission 
performance warranty coverage is conditioned upon the use of any name 
brand part, component, or system or upon service (other than a component 
or service provided without charge under the terms of the purchase 
agreement), unless the communication is made pursuant to a written 
waiver by the Office Director.
    (d) The maximum penalty value listed in this section is shown for 
calendar year 2004. Maximum penalty limits for later years may be 
adjusted based on the Consumer Price Index. The specific regulatory 
provisions for changing the maximum penalties, published in 40 CFR part 
19, reference the applicable U.S. Code citation on which the prohibited 
action is based.

[45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 70 
FR 40432, July 13, 2005]



Sec.  85.2112  Applicability.

    The provisions of Sec. Sec.  85.2112 through 85.2122 apply to 
emission related automotive aftermarket parts which are to be installed 
in or on 1968 and later model year light-duty vehicles and light-duty 
trucks.

[54 FR 32588, Aug. 8, 1989]



Sec.  85.2113  Definitions.

    As used in this subpart, all terms not defined shall have the 
meaning given them in the Act:
    (a) Act means Part A of Title II of the Clean Air Act, 42 U.S.C. 
7421 et seq. (formerly 42 U.S.C. 1857 et seq.) as amended.
    (b) Aftermarket part means any part offered for sale for 
installation in or on a motor vehicle after such vehicle has left the 
vehicle manufacturer's production line.
    (c) Aftermarket part manufacturer means:

[[Page 396]]

    (1) A manufacturer of an aftermarket part or,
    (2) A party that markets aftermarket parts under its own brand name, 
or,
    (3) A rebuilder of original equipment or aftermarket parts, or
    (4) A party that licenses others to sell its parts.
    (d) Agency means the Environmental Protection Agency.
    (e) Certified aftermarket part means any aftermarket part which has 
been certified pursuant to this subpart.
    (f) Emission warranty means those warranties given by vehicle 
manufacturers pursuant to section 207 of the Act.
    (g) Emission-critical parameters means those critical parameters and 
tolerances which, if equivalent from one part to another, will not cause 
the vehicle to exceed applicable emission standards with such parts 
installed.
    (h) Engine family means the basic classification unit of a vehicle's 
product line for a single model year used for the purpose of emission-
data vehicle or engine selection and as determined in accordance with 40 
CFR 86.078-24.
    (i) Vehicle or engine configuration means the specific 
subclassification unit of an engine family or certified part application 
group as determined by engine displacement, fuel system, engine code, 
transmission and inertia weight class, as applicable.
    (j) Certification vehicle emission margin for a certified engine 
family means the difference between the EPA emission standards and the 
average FTP emission test results of that engine family's emission-data 
vehicles at the projected applicable useful life mileage point (i.e., 
useful life mileage for light-duty vehicles is 50,000 miles and for 
light-duty trucks is 120,000 miles for 1985 and later model years or 
50,000 miles for 1984 and earlier model years).
    (k) Applications means all vehicle or engine configurations for 
which one part is being certified as set forth in the aftermarket part 
manufacturer's notification of intent to certify pursuant to Sec.  
85.2115(a)(1).

[45 FR 78458, Nov. 25, 1980, as amended at 54 FR 32588, Aug. 8, 1989]



Sec.  85.2114  Basis of certification.

    (a) Prior to certifying, the aftermarket part manufacturer must 
determine:
    (1) Whether the part to be certified is an emission related part as 
defined in Sec.  85.2102. The MOD Director shall deny certification to 
any parts which he or she determines is not an emission related part.
    (2) The vehicle or engine configurations for which this part is 
being certified. These are the vehicle and engine designs for which the 
aftermarket part manufacturer intends to sell the certified aftermarket 
part.
    (3) Whether the part qualifies under one of the part categories, 
listed in Sec.  85.2122 of this subpart that are eligible to certify 
using emission critical parameters and, if so, whether the manufacturer 
elects to demonstrate certification using emission critical parameters. 
An aftermarket part may be certified under this category only if the 
part's emission-critical parameters, as set forth in Sec.  85.2122, are 
equivalent to those of the original equipment or previously certified 
part it is to replace. Compliance with the emission-critical parameters 
discussed in paragraph (b) of this section may be demonstrated by 
compliance with the relevant test procedures and criteria specified in 
appendix I to this subpart. The requirements of this paragraph apply to 
all on-road vehicles and engines. Alternatively, the manufacturer may 
elect to demonstrate certification compliance according to the emission 
test procedures described in paragraph (c) of this section.
    (b) For parts eligible to certify using emission-critical 
parameters, certification compliance can be demonstrated as follows. (1) 
The durability procedure contained in appendix I to this subpart can be 
used. As an alternative, the aftermarket part manufacturer may use a 
different durability procedure if it can demonstrate to the MOD Director 
that the alternative procedure results in an improved technical 
evaluation of the part's influence on vehicle or engine emissions for 
its useful life mileage interval, or results in a significant cost 
savings to the aftermarket part manufacturer with no loss in technical 
validity compared to the recommended durability procedure. The

[[Page 397]]

aftermarket part manufacturer shall receive the written approval from 
the MOD Director prior to implementation of the alternative procedures.
    (2) Compliance with certification requirements is based on 
conformance with all emission-critical parameters in Sec.  85.2122. This 
shall be accomplished by performing such procedures, tests, or analyses 
described in appendix I, or other procedures subject to the MOD 
Director's approval, necessary to ascertain with a high degree of 
certainty the emission-critical parameter specifications and tolerances 
for the aftermarket part and the original equipment or previously 
certified part for which an equivalent aftermarket certified part is to 
be used.
    (i) If information is available in appendix I of this subpart to 
identify the applicable emission-critical parameters, the aftermarket 
part certifier must use such information.
    (ii) If sampling and analysis of original equipment or previously 
certified parts is relied upon, the aftermarket part certifier must use 
sound statistical sampling techniques to ascertain the mean and range of 
the applicable emission parameters.
    (iii) If an aftermarket part replaces more than one part on the same 
application, it may be certified only if the aftermarket part meets the 
applicable emission-critical parameters of Sec.  85.2122 for each part 
or parts which the aftermarket part is to replace. If an aftermarket 
part is to replace more than one part or an entire system, compliance 
must be demonstrated for all emission-critical parameters involved, 
except those which relate solely to the interface between the parts 
being replaced by the aftermarket part.
    (c) For parts certifying on the basis of emission test results, 
durability demonstration testing shall be conducted as follows. (1) 
Prior to certification emission testing, the actual aftermarket part 
used for certification testing must meet the durability demonstration 
requirements of this paragraph for at least the part's useful life 
mileage interval.
    (i) If an original equipment part has no scheduled replacement 
interval, then the useful life mileage interval of the aftermarket part 
of that type or which replaces the function of that part may be 
certified with a service interval less than the useful life of the motor 
vehicle or motor vehicle engine, or
    (ii) If any provision of 40 CFR part 86 establishes a minimum 
replacement or service interval for an original equipment part during 
vehicle or engine certification, then the useful life mileage interval 
of the aftermarket part of that type or which replaces the function of 
that part is said minimum interval.
    (2) The part manufacturer must decide whether it can demonstrate to 
the MOD Director that, during normal vehicle operation, the candidate 
part will not accelerate deterioration of any original equipment 
emission related parts. This demonstration must be based on technical 
rationale that shows that the candidate part has no significant physical 
or operational effect on any original emission components or system 
which would be different than that experienced by the vehicle operating 
with all original equipment emission system parts. The part's effect on 
each major emission system must be addressed separately in the 
demonstration.
    (i) If the aftermarket part to be certified accelerates 
deterioration of any existing emission related parts then certification 
shall be carried out as specified under the paragraph (c)(3) of this 
section for parts that accelerate deterioration of existing emission 
related parts.
    (ii) If the aftermarket part manufacturer can demonstrate that the 
part to be certified will not accelerate deterioration of any existing 
emission related components, then the manufacturer can certify according 
to paragraph (c)(4) in this section for parts demonstrated to not 
accelerate deterioration of existing emission related parts.
    (3) For aftermarket parts that accelerate deterioration of existing 
emission related parts during normal operation. (i) The aftermarket test 
part can be installed on the durability test vehicle and aged for 50,000 
miles using the vehicle durability driving schedules contained in part 
86, appendix IV. As an alternative, the aftermarket part manufacturer 
may use a different durability procedure if it can demonstrate to the 
MOD

[[Page 398]]

Director that the alternative procedure results in an improved technical 
evaluation of the part's influence on vehicle or engine emissions for 
the part's useful life mileage interval, or results in a significant 
cost savings to the aftermarket part manufacturer with no loss in 
technical validity compared to the recommended durability schedules in 
part 86, appendix IV. The aftermarket part manufacturer shall receive 
the written approval from the MOD Director prior to implementation of 
the alternative procedures.

    Note: At the time of certification emission testing, the same part 
and vehicle combination used for mileage accumulation shall be used for 
emission testing.

    (ii) Where the comparable original equipment part has a recommended 
replacement interval of less than 50,000 miles, the test part shall be 
replaced no sooner than its useful life mileage interval during the 
required 50,000 mile durability demonstration.

    Note: At the time of certification emission testing, one of the 
aftermarket parts that accumulated at least its useful life mileage 
during the aging process under this paragraph shall be installed on the 
durability test vehicle that has accumulated 50,000 miles.

    (4) For aftermarket parts demonstrated not to accelerate 
deterioration on existing emission related parts during normal 
operation, the part manufacturer must determine whether the part will 
cause a noticeable change in vehicle driveability.
    (i) Parts that cause no noticeable change in vehicle driveability, 
performance, and/or fuel economy when the part fails, the durability 
driving schedules contained in part 86, appendix IV can be used. As an 
alternative, the aftermarket part manufacturer may use a different 
durability procedure if it can demonstrate to the MOD Director that the 
alternative procedure results in an improved technical evaluation of the 
part's influence on vehicle or engine emissions for its useful life 
mileage interval, or results in a significant cost savings to the 
aftermarket part manufacturer with no loss in technical validity 
compared to the durability schedules in part 86, appendix IV. The 
aftermarket part manufacturer shall receive the written approval from 
the MOD Director prior to implementation of the alternative procedures.
    (ii) Parts demonstrated to cause a noticeable change in vehicle 
driveability, performance, and/or fuel economy when the part fails, are 
exempt from aging if the part manufacturer can demonstrate to the MOD 
Director that the primary failure mode of the aftermarket component or 
system affects the driveability, performance, and/or fuel economy of the 
vehicle at a level readily detectable by the driver and likely to result 
in near term repair of failing components and correction of the 
emissions failure. (Use of on-board diagnostics and malfunction 
indicators as covered in paragraph (g) of this section is not 
necessarily an adequate demonstration that the certified part will be 
replaced. The part manufacturer must demonstrate that the diagnostic and 
malfunction indicator system will routinely result in repair or 
replacement of the part in use).
    (5) For parts which only affect evaporative emissions performance, 
the aftermarket part manufacturer shall determine and demonstrate to the 
MOD Director the appropriate durability procedure to age its part. The 
demonstration shall include all documentation, analyses, and test 
results that support this determination, and the documentation that 
support the durability procedure results shall be submitted with the 
notification of intent to certify as per Sec.  85.2115 and is subject to 
MOD Director's review.
    (6) Durability demonstration vehicle selection. The demonstration 
vehicle used must represent the ``worst case'' of all the configurations 
for which the aftermarket part is being certified. The worst case 
configuration shall be that configuration which will likely cause the 
most deterioration in the performance characteristics of the aftermarket 
part which influence emissions during the part's useful life mileage. 
The worst case configuration shall be selected from among those 
configurations for which the aftermarket part is to be certified. One of 
the following two methods shall be used to select the worst case 
durability demonstration vehicle(s):

[[Page 399]]

    (i) In the first method, the selection shall be based on a technical 
judgment by the aftermarket part manufacturer of the impact of the 
particular design, or calibration of a particular parameter or 
combination of parameters, and/or an analysis of appropriate data, or
    (ii) In the second alternative method, the selection shall be made 
from among those vehicle configurations with the heaviest equivalent 
test weight, and within that group, the largest displacement engine.
    (d) For parts certifying on the basis of emission test results, 
certification compliance shall be demonstrated as follows. (1) The 
emission test to be used is the Federal Test Procedure as set forth in 
the applicable portions of 40 CFR part 86. Certification emission 
testing must be carried out using representative production aftermarket 
parts as provided in paragraph (e) of this section. The test results 
must demonstrate that the proper installation of the certified 
aftermarket part will not cause the vehicle to fail to meet any 
applicable Federal emission requirements under section 202 of the Act.
    (2) The following portions of the Federal Test Procedure are not 
required to be performed when certifying a part using emission testing:
    (i) The evaporative emissions portion, if the aftermarket 
manufacturer has an adequate technical basis for believing that the part 
has no effect on the vehicle's evaporative emissions;
    (ii) The exhaust emissions portion, if the part manufacturer has an 
adequate technical basis for believing that the part has no affect on 
the vehicle's exhaust emissions; and
    (iii) Other portions therein which the part manufacturer believes 
are not relevant; Provided, That the part manufacturer has requested and 
been granted a waiver in writing by the MOD Director for excluding such 
portion.
    (3) Exhaust Emission Testing. Certification exhaust emission testing 
for aftermarket parts shall be carried out in the following manner:
    (i) For light duty vehicle parts that accelerate deterioration of 
existing emission related parts, at least one emission test is required. 
The test(s) shall be performed according to the Federal Test Procedure 
on the same test vehicle and aftermarket part combination that was 
previously aged as required. The results of all tests performed shall be 
averaged for each emission constituent. The average values shall meet 
all applicable Federal emission requirements under section 202 of the 
Act.
    (A) For aftermarket parts where the comparable original equipment 
part has no recommended replacement interval, the same part and vehicle 
combination used for the durability demonstration shall be used for 
certification exhaust emission testing.
    (B) For aftermarket parts where the comparable original equipment 
part has a recommended replacement interval of less than 50,000 miles, 
one of the aftermarket parts that accumulated at least the part's useful 
life mileage during the durability demonstration must be installed on 
the durability demonstration vehicle that has accumulated 50,000 miles 
for certification exhaust emission testing.
    (ii) For light duty truck parts that accelerate deterioration of 
existing emission related parts.
    (A) An emission test shall be performed on emission test vehicles at 
4000 miles and at 50,000 miles, with the part installed. Exhaust 
emission deterioration factors for the test vehicle shall be calculated 
from these two test results. The aftermarket part manufacturer may elect 
to perform other emission tests at interim mileages. However, any 
interim tests must be spaced at equal mileage intervals. If more than 
one test is performed at any one mileage point, then all tests at this 
point shall be averaged prior to determining the deterioration factor. 
The deterioration factor shall be calculated using the least squares 
straight line method, in accordance with Sec.  86.088-28(a). The 
deterioration factor for each emission constituent shall be used to 
linearly project the 50,000 mile test result out to 120,000 miles. The 
projected 120,000 mile test result shall meet light duty truck emission 
standards.
    (B) As an option, the light-duty truck part manufacturer may 
durability age the test vehicle and aftermarket part to 120,000 miles, 
and

[[Page 400]]

then perform one Federal Test Procedure test. The actual test results in 
this case must pass all Federal emission standards.
    (iii) For parts demonstrated to not accelerate deterioration of 
existing emission related parts during normal operation:
    (A) If parts cause no noticeable change in vehicle driveability, 
performance, and/or fuel economy when the part fails, the certification 
exhaust emission test vehicle need not be the same vehicle as that used 
for durability demonstration. Upon completion of aging, one Federal Test 
Procedure test shall be performed with the aged aftermarket part 
installed on a test vehicle that has just completed one Federal Test 
Procedure test in the original equipment configuration (i.e., before the 
aftermarket part or system is installed). If more than one test is 
performed either before or after the aftermarket part is installed, then 
an equivalent number of tests must be performed in both configurations. 
The results of all tests performed before the part is installed shall be 
averaged and the results of all tests performed after the part is 
installed shall be averaged for each emission constituent. The 
difference in Federal Test Procedure emission results between the tests 
with the aged aftermarket part installed and the test vehicle in the 
original equipment configuration shall be less than or equal to the 
certification vehicle emission margin of any and all of the 
certification test vehicles from the various configurations for which 
the aftermarket part is being certified.
    (B) For parts demonstrated to cause a noticeable change in vehicle 
driveability, performance, and/or fuel economy when the part fails, no 
durability aging of the part is required before certification emission 
testing. One Federal Test Procedure test shall be performed on the test 
vehicle in its original equipment configuration (i.e., before the 
aftermarket part or system is installed) and one test with an 
aftermarket part representative of production (as provided in paragraph 
(e) of this section) installed on the test vehicle. If more than one 
test is performed either before or after the aftermarket part is 
installed, then an equivalent number of tests must be performed in both 
configurations. The results of all tests performed with the aftermarket 
part installed shall be averaged and the results of all tests performed 
in the original equipment configuration shall be averaged for each 
emission constituent. The difference in Federal Test Procedure emission 
results between the tests with the aftermarket part installed and the 
test vehicle in the original equipment configuration shall be less than 
or equal to the certification vehicle emission margin of any and all of 
the certification test vehicles from the various configurations for 
which the aftermarket part is being certified.
    (4) Evaporative emission testing. For parts determined by the part 
manufacturer (with appropriate technical rationale) to affect only 
evaporative emissions performance, at least one evaporative emissions 
portion of the Federal Test Procedure test shall be performed on the 
vehicle in its original equipment configuration and at least one with 
the aftermarket part installed. Both the original equipment and 
aftermarket part shall be aged according to paragraph (c)(5) of this 
section prior to testing. If more than one test is performed either 
before or after the aftermarket part is installed, then an equivalent 
number of tests must be performed in both configurations. The emission 
results of all tests performed before the part is installed shall be 
averaged and the emission results of all tests performed after the part 
is installed shall be averaged. The difference in Federal Test Procedure 
emission results between the tests with the aged aftermarket part 
installed and the test vehicle in the original equipment configuration 
shall be less than or equal to the certification vehicle emission margin 
of any and all of the certification test vehicles from the various 
configurations for which the aftermarket part is being certified.
    (5) Emission test vehicle selection: The test vehicle used must 
represent the ``worst case'' with respect to emissions of all those 
configurations for which the aftermarket part is being certified. The 
worst case configuration shall be that configuration which, having the 
aftermarket part installed, is

[[Page 401]]

least likely to meet the applicable emission standards among all those 
configurations on which the aftermarket part is intended to be installed 
as a certified aftermarket part. One of the following two methods shall 
be used to select the worst case emission test vehicle(s):
    (i) In the first method, the selection shall be based on a technical 
judgment by the aftermarket part manufacturer of the impact of the 
particular design or calibration of a particular parameter or 
combination of parameters and/or an analysis of appropriate data, or
    (ii) In the second alternative method, two defined worst case test 
vehicles shall be selected from the vehicle configurations using the 
following criteria:
    (A) The first test vehicle is that engine family for which the 
largest number of parts are projected to be sold. Within that family the 
manufacturer shall select the configurations with the heaviest 
equivalent test weight, and then within that group the configuration 
with the largest displacement engine.
    (B) The second test vehicle shall be from a different vehicle 
manufacturer than the first test vehicle, or if the aftermarket part 
applies to only one vehicle manufacturer, from a different engine 
family. Engine families are determined by the vehicle manufacturer or 
when certifying under 40 CFR part 86. Within that group, the second test 
vehicle is selected from the vehicle configurations with the heaviest 
equivalent test weight, and then, within that group, the configuration 
with the largest displacement engine. If a part applies to only one 
engine family then only the vehicle specified in paragraph 
(d)(5)(ii)(A), of this section, is required to be tested.
    (iii) The results of certification tests using the worst case 
vehicle selections made in this section shall only be applicable for 
configurations that are required to meet the same or less stringent 
(numerically higher) emission standards than those of the worst case 
configuration.
    (iv) The worst case test vehicle(s) selected for certification 
emission testing is(are) not required to meet Federal emission standards 
in its original configuration. However, each test vehicle shall have 
representative emissions performance that is close to the standards and 
have no obvious emission defects. Each test vehicle shall be tuned 
properly and set to the vehicle manufacturer's specifications before 
testing is performed. Any excessively worn or malfunctioning emission 
related part shall be repaired prior to testing.
    (e) Test part selection. Certification shall be based upon tests 
utilizing representative production aftermarket parts selected in a 
random manner in accordance with accepted statistical procedures.
    (f) Replacing original equipment parts. Installation of any 
certified aftermarket part shall not result in the removal or rendering 
inoperative of any original equipment emission related part other than 
the part(s) being replaced. Furthermore, installation of any certified 
aftermarket part shall not require the readjustment of any other 
emission related part to other than the vehicle manufacturer 
specifications, cause or contribute to an unreasonable risk to the 
public health, welfare or safety, or result in any additional range of 
parameter adjustability or accessibility to adjustment than that of the 
vehicle manufacturer's emission related parts.
    (g) Affects on vehicle on board diagnostic system. Installation of 
any certified aftermarket part shall not alter or render inoperative any 
feature of the on-board diagnostic system incorporated by the vehicle 
manufacturer. The certified part may integrate with the existing 
diagnostic system if it does not alter or render inoperative any 
features of the system. However, use of on-board diagnostics or warning 
indicators to alert the driver to part failure is not sufficient by 
itself to qualify the part for exemption from aging under paragraph 
(c)(4)(ii) of this section. The part manufacturer must demonstrate that 
the diagnostic and malfunction indicator system will routinely result in 
repair or replacement of the aftermarket part in use.

[54 FR 32588, Aug. 8, 1989]

[[Page 402]]



Sec.  85.2115  Notification of intent to certify.

    (a) At least 45 days prior to the sale of any certified automotive 
aftermarket part, notification of the intent to certify must be received 
by the Office Director.
    (1) The notification shall include:
    (i) Identification of each part to be certified; and.
    (ii) Identification of all vehicle or engine configurations for 
which the part is being certified including make(s), model(s), year(s), 
engine size(s) and all other specific configuration characteristics 
necessary to assure that the part will not be installed in any 
configuration for which it has not been certified; and
    (iii) All determinations, demonstrations, technical rationale, and 
documentation provided in Sec.  85.2114; and
    (iv) Any and all written waivers and approvals obtained from the MOD 
director as provided in Sec.  85.2114, and any correspondence with EPA 
regarding certification of that part; and
    (v) A description of the tests, techniques, procedures, and results 
utilized to demonstrate compliance with Sec.  85.2114(b) applicable to 
parts eligible to certify using emission-critical parameters, except 
that, if the procedure utilized is recommended in appendix I of this 
subpart, then only a statement to this effect is necessary. A 
description of all statistical methods and analyses used to determine 
the emission-critical parameters of the original equipment parts and 
compliance of the certified part(s) with those parameters including 
numbers of parts tested, selection criteria, means, variance, etc; and
    (vi) All results and documentation of tests and procedures used by 
the part manufacturer as evidence of compliance with the durability and 
emission requirements specified in Sec.  85.2114; and
    (vii) A discussion of the technical basis(es) for foregoing any 
portion of the Federal Test Procedure when applicable; and
    (viii) A description of the test part selection criteria used, and a 
statement that the test part(s) used for certification testing is(are) a 
representative production aftermarket part(s) consistent with Sec.  
85.2114(e); and
    (ix) A description of the test and demonstration vehicle selection 
criteria used, and rationale that supports the technical judgment that 
the vehicle configurations used for emission testing and durability 
demonstration represent worst case with respect to emissions of all 
those configurations for which the aftermarket part is being certified, 
and all data that supports that conclusion; and
    (x) The service intervals of the part, including maintenance and 
replacement intervals in months and/or miles, as applicable, and a 
statement indicating whether it is different than the service, 
maintenance, and replacement interval of the original equipment 
requirements; and
    (xi) A statement, if applicable, that the part will not meet the 
labeling requirements of Sec.  85.2119(a) and the description of the 
markings the aftermarket manufacturer intends to put on the part in 
order to comply with Sec.  85.2119(b); and
    (xii) A statement that the aftermarket part manufacturer accepts, as 
a condition of certification, the obligation to comply with the warranty 
requirements and dispute resolution procedures provided in Sec.  
85.2117; and
    (xiii) A statement of commitment and willingness to comply with all 
the relevant terms and conditions of this subpart; and
    (xiv) A statement by the aftermarket part manufacturer that use of 
its certified part will not cause a substantial increase to vehicle 
emissions in any normal driving mode not represented during 
certification or compliance testing; and
    (xv) The office or officer of the aftermarket part manufacturer 
authorized to receive correspondence regarding certification 
requirements pursuant to this subpart.
    (2) The notification shall be signed by an individual attesting to 
the accuracy and completeness of the information supplied in the 
notification.
    (3) Notification to the Agency shall be by certified mail or another 
method by which date of receipt can be established.
    (4) Two complete and identical copies of the notification and any 
subsequent

[[Page 403]]

industry comments on any such notification shall be submitted by the 
aftermarket manufacturer to: Mod Director, MOD (EN-340F), Attention: 
Aftermarket Parts, 401 ``M'' St. SW., Washington, DC 20460.
    (5) A copy of the notification submitted under paragraph (a)(4) of 
this section will be placed in a public docket. Comments on any notice 
in the public docket may be made to the MOD Director.
    (b) The MOD Director reserves the right to review an application to 
determine if the submitted documents adequately meet all the 
requirements for certification specified in Sec. Sec.  85.2114 and 
85.2115. A part may be sold as certified 45 days after the receipt by 
the Agency of the notification given pursuant to this subsection 
provided that the Office Director has not notified the part manufacturer 
otherwise.

[54 FR 32591, Aug. 8, 1989]



Sec.  85.2116  Objections to certification.

    (a) At any time prior to the end of the 45-day period after a 
notification of intent to certify an aftermarket part is received as 
specified in Sec.  85.2115, the MOD Director may notify the manufacturer 
of the aftermarket part that such aftermarket part may not be certified 
pending further investigation. The basis upon which this notification 
shall be made may include, but not be limited to, information or test 
results which indicate:
    (1) Compliance with the applicable emission-critical parameters was 
not achieved or that the testing methods used to demonstrate compliance 
with the emission-critical parameters were inadequate;
    (2) The part is to be certified on the basis of emission testing, 
and the procedure used in such tests was not in compliance with those 
portions of the Federal Test Procedure not waived pursuant to Sec.  
85.2114(d)(2).
    (3) Use of the certified part may cause a vehicle to exceed any 
applicable emission requirements;
    (4) The durability requirement of Sec.  85.2114 has not been 
complied with;
    (5) Use of the certified part could cause or contribute to an 
unreasonable risk to public health, welfare or safety in its operation 
or function;
    (6) Installation of the certified part requires procedures or 
equipment which would likely cause it to be improperly installed under 
normal conditions or would likely result in a vehicle being misadjusted; 
or
    (7) Information and/or data required to be in the notification of 
intent to certify as provided by Sec.  85.2115 have not been provided or 
may be inadequate; or,
    (8) Documentation submitted under Sec.  85.2114(c)(4)(ii) was 
determined inadequate for durability exemption.
    (b) The aftermarket part manufacturer must respond in writing to the 
statements made in the notification by the MOD Director, or the 
aftermarket part manufacturer shall withdraw its notification of intent 
to certify.
    (1) Any party interested in the outcome of a decision as to whether 
a part may be certified may provide the MOD Director with any relevant 
written information up to ten days after the manufacturer responds to 
the MOD Director's objection.
    (2) Any interested party may request additional time to respond to 
the information submitted by the part manufacturer. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (3) The part manufacturer may reply to information submitted by 
interested parties. Notification of intent to reply shall be submitted 
to the MOD Director within 10 days of the date information from 
interested parties is submitted to the MOD Director.
    (4) The MOD Director may, at his or her discretion, allow oral 
presentations by the aftermarket manufacturer or any interested party in 
connection with a contested part certification.
    (c) If an objection has been sent to an aftermarket part 
manufacturer pursuant to paragraph (a) of this section, the MOD Director 
shall, after reviewing all pertinent data and information, render a 
decision and inform the aftermarket part manufacturer in writing as to 
whether such part may be certified and, if so, under what conditions the 
part may be certified. The written decision shall include an explanation 
of the reasons therefor.

[[Page 404]]

    (1) The decision by the MOD Director shall be provided to the 
manufacturer within 30 working days of receipt of all necessary 
information by the manufacturer or interested parties, or of the date of 
any oral presentation regarding the certification, whichever occurs 
second.
    (2) A copy of the decision shall be sent to all identified 
interested parties.
    (3) Within 20 days of receipt of a decision made pursuant to this 
subsection, any party may file a written appeal to the Office Director. 
The Office Director may, in his or her discretion, allow additional oral 
or written submissions, prior to rendering a final decision. The 
schedule for such submission shall be in accordance with the schedule 
specified in Sec.  85.2116(b).
    (4) If no party files an appeal with the Office Director within 20 
days, then the decision of the MOD Director shall be final.
    (5) The Office Director shall make a final decision regarding the 
certification of a part within 30 working days of receipt of all 
necessary information by the part manufacturer or from the date of any 
oral presentation, whichever occurs later.
    (6) A copy of all final decisions made under this section shall be 
published in the Federal Register.

[45 FR 78460, Nov. 25, 1980, as amended at 54 FR 32592, Aug. 8, 1989]



Sec.  85.2117  Warranty and dispute resolution.

    (a) Warranty. (1) As a condition of certification, the aftermarket 
part manufacturer shall warrant that if the certified part is properly 
installed it will not cause a vehicle to exceed Federal emission 
requirements as determined by an emission test approved by EPA under 
section 207(b)(1) of the Act. This aftermarket part warranty shall 
extend for the remaining performance warranty period of any vehicle on 
which the part is installed, or for the warranty period specified for an 
equivalent original equipment component, if this period is shorter than 
the remaining warranty period of the vehicle.
    (2) The aftermarket part manufacturer's minimum obligation under 
this warranty shall be to reimburse vehicle manufacturers for all 
reasonable expenses incurred as a result of honoring a valid emission 
performance warranty claim which arises because of the use of the 
certified aftermarket part.
    (3) The procedure used to process a certified aftermarket part 
warranty claim is as follows. The time requirements are in units of 
calendar days.
    (i) The vehicle manufacturer shall submit, by certified mail or 
another method by which date of receipt can be established, a bill for 
reasonable expenses incurred to the part manufacturer for reimbursement. 
Accompanying the bill shall be a letter to the part manufacturer with an 
explanation of how the certified part caused the failure and a copy of 
the warranty repair order or receipt establishing the date that the 
performance repair was initiated by the vehicle owner.
    (ii) The parts retained pursuant to Sec.  85.2107(c)(1) shall be 
retained until the reimbursement process is resolved. The vehicle 
manufacturer shall store these parts or transfer these parts to the 
involved certified part manufacturer for storage. If the vehicle 
manufacturer transfers these parts to the certified part manufacturer, 
the part manufacturer shall retain these parts:
    (A) For at least one year from the date of repair involving these 
parts, if the part manufacturer does not receive a bill from the vehicle 
manufacturer within that time period, or
    (B) Until the claim reimbursement process has been resolved, if the 
part manufacturer receives a bill from the vehicle manufacturer within 
one year of the date of repair involving these parts.
    (iii) If the vehicle manufacturer transfers the parts retained 
pursuant to paragraph (a)(3)(ii) of this section to the part 
manufacturer, a bill shall be submitted to the part manufacturer within 
one year of the date of initiation of the actual repair by the vehicle 
owner. If this requirement is not met, the vehicle manufacturer shall 
forfeit all rights to the reimbursement provisions provided in this 
regulation.
    (iv) Storage costs are not reimbursable as part of a performance 
warranty claim.
    (b) Dispute resolution. (1) The part manufacturer shall respond to 
the vehicle manufacturer within 30 days of

[[Page 405]]

receipt of the bill by paying the claim or requesting a meeting to 
resolve any disagreement. A meeting shall occur within the next two week 
period. At this meeting the parties shall, in all good faith, attempt to 
resolve their disagreement. Discussions should be completed within 60 
days of receipt of the bill for the warranty claim by the part 
manufacturer.
    (2) If the parties cannot resolve their disagreement within 60 days, 
either party may file for arbitration. Neither party may file for 
arbitration within 60 days unless both parties agree to seek arbitration 
prior to the end of the 60-day period. If, after 60 days, either party 
files, then both parties shall submit to arbitration.
    (3) This arbitration shall be carried out pursuant to the 
Arbitration Rules contained in appendix II of this subpart which are 
based on Commercial Arbitration Rules published by the American 
Arbitration Association, revised and in effect as of September 1, 1988. 
The Arbitration Rules detail the procedures to be followed by the 
parties and the arbitrator in resolving disputes under this section. 
They can be varied only with the agreement of both parties. If either 
involved manufacturer refuses to participate in the arbitration process, 
that party is treated as if it had lost the arbitration and is required 
to pay all reasonable expenses.
    (4) Any party losing the arbitration has the right to resort to an 
appropriate federal district court or state court, subject to the 
established rules of that court regarding subject matter jurisdiction 
and personal jurisdiction.
    (5) If the vehicle manufacturer wins the arbitration, the part 
manufacturer must provide reimbursement in accordance with the 
arbitrator's award and decision. Such reimbursement must be made within 
30 days of the award and decision.
    (6)(i) If the part manufacturer refuses to pay a lost arbitration 
award, the involved part will be decertified pursuant to 40 CFR 85.2121, 
provided that if the part manufacturer resorts to a court of competent 
jurisdiction, decertification will be withheld pending the outcome of 
such judicial determination.
    (ii) In addition, under these circumstances, the vehicle 
manufacturer has the right to bring an enforcement action on the 
arbitration award and decision in the appropriate federal district court 
or state court, subject to the established rules of that court regarding 
subject matter jurisdiction and personal jurisdiction. If this court 
agrees with the arbitrator's award and decision, reimbursement shall be 
made within 30 days of the court's decision unless the court orders 
otherwise.

[54 FR 32592, Aug. 8, 1989]



Sec.  85.2118  Changes after certification.

    The aftermarket part manufacturer shall be required to recertify any 
part which:
    (a) Was certified pursuant to Sec.  85.2114(b) and to which 
modifications are subsequently made which could affect the results of 
any test or judgment made that the part meets all of the applicable 
Emission-Critical Parameters;
    (b) Was certified pursuant to Sec.  85.2114(c) and to which 
modifications are made which are likely to affect emissions or the 
capability of the part to meet any other requirement of this subpart; or
    (c) Was certified and is subsequently modified in a manner affecting 
the durability of the part or any emission control device, engine or the 
vehicle upon which such part is installed.

[45 FR 78461, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec.  85.2119  Labeling requirements.

    (a) Except as specified in paragraph (b) of this section, each part 
certified pursuant to these regulations shall have ``Certified to EPA 
Standards'' and the name of the aftermarket part manufacturer or other 
party designated to determine the validity of warranty claims placed on 
the part. The name of the aftermarket part manufacturer or other party 
and the statement, ``Certified to EPA Standards,'' must be made durable 
and readable for at least the useful life mileage interval of the part.
    (b) In lieu of the name of the aftermarket part manufacturer or 
other party and ``Certified to EPA Standards,'' the part may contain 
unique identification markings. A description of the marking and 
statement

[[Page 406]]

that such marking is intended in lieu of the name of the aftermarket 
part manufacturer or other party and ``Certified to EPA Standards,'' 
shall be made to the Agency in the notification of intent to certify. 
The unique symbol shall not be used on any uncertified or decertified 
part built or assembled after the date of decertification.
    (c) The package in which the certified aftermarket part is contained 
must have the following information conspicuously placed thereon:
    (1) The statement ``Certified by (name of manufacturer or warranter) 
to EPA Emission Standards'',
    (2) A list of the vehicles or engines (in accordance with Sec.  
85.2115(a)(1)(ii)) for which the part has been certified,
    (3) A statement of the maintenance or replacement interval for which 
the part has been certified, if the interval is of a shorter duration 
than the interval specified in the written instructions for proper 
maintenance and use for the original equipment,
    (4) A description of the maintenance necessary to be performed on 
the part in the proper maintenance and use of the part, if such 
maintenance is in addition to or different from that maintenance 
necessary on the original equipment part, and
    (5) The instructions for proper installation if different from the 
vehicle manufacturer's recommended installation instruction for that 
part.
    (d) The information required by paragraphs (c)(4) and (5) of this 
section may be provided on a written insert with the certified 
aftermarket part if the insert also contains the information required in 
paragraphs (c) (1), (2) and (3) of this section.
    (e) The information required by paragraph (c)(2) of this section may 
be provided in a catalog rather than on the package or on an insert: 
Provided, That access to the catalog is readily available to purchasers 
and installers of the part.
    (f) When an aftermarket part manufacturer desires to certify 
existing in-service stocks of its products, it may do so provided:
    (1) The part does not differ in any operational or durability 
characteristic from the aftermarket parts specified in the notification 
made pursuant to Sec.  85.2115, and
    (2) A supplemental information sheet is made available to all 
parties selling the part.
    (i) The supplemental sheet shall be made available in sufficient 
quantities so that it can be provided with all parts sold as certified, 
and
    (ii) The supplemental sheet shall contain all of the information 
specified in paragraph (c) of this section.

[45 FR 78461, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec.  85.2120  Maintenance and submittal of records.

    (a) For each certified aftermarket part, the aftermarket part 
manufacturer must establish, maintain and retain for 5 years the 
following adequately organized and indexed records:
    (1) Detailed production drawings showing all dimensions, tolerances, 
performance requirements and material specifications and any other 
information necessary to completely describe the part;
    (2) A description of the testing program, including all production 
part sampling techniques used to verify compliance of the certified 
aftermarket part with the applicable Emission-Critical Parameters and 
durability requirements;
    (3) All data obtained during testing of the part and subsequent 
analyses based on that data, including the milege and the vehicle or 
engine configuration determinants if emission testing is utilized as the 
basis for certification;
    (4) All information used in determining those vehicles for which the 
part is represented as being equivalent from an emissions standpoint to 
the original equipment part;
    (5) A description of the quality control plan used to monitor 
production and assure compliance of the part with the applicable 
certification requirements;
    (6) All data taken in implementing the quality control plan, and any 
subsequent analyses of that data;
    (7) A description of all the methodology, analysis, testing and/or 
sampling techniques used to ascertain the

[[Page 407]]

emission critical parameter specifications of the originial equipment 
part; and
    (8) All in-service data, analyses performed by the manufacturer and 
correspondence with vendors, distributors, consumers, retail outlets or 
vehicle manufacturers regarding any design, production or in-service 
problems associated with 25 or more of any certified part.
    (b) The records required to be maintained in paragraph (a) of this 
section shall be made available to the Agency upon the written request 
of the MOD Director.
    (c) For parts certified only for vehicles with less than 5 years of 
emission performance warranty coverage remaining, records must be kept 
for 3 years or until they determine that approximately 80% of the 
applicable vehicles are outside the warranty period, whichever occurs 
second.
    (d) This section shall expire 5 years from the effective date of 
this regulation unless renewed prior to that date.

[45 FR 78461, Nov. 25, 1980]



Sec.  85.2121  Decertification.

    (a) The MOD Director may notify an aftermarket part manufacturer 
that the Agency has made a preliminary determination that one or more 
parts should be decertified.
    (1) Such a preliminary determination may be made if there is reason 
to believe that the part manufactured has failed to comply with 
Sec. Sec.  85.2112 through 85.2122. Information upon which such a 
determination will be made includes but is not limited to the following.
    (i) Tests required to be performed to demonstrate compliance of the 
part with the applicable Emission-Critical Parameters
    (A) Were not performed on the part(s), or
    (B) Were insufficient to demonstrate compliance;
    (ii) The part was certified on the basis of emission tests, and
    (A) The procedures used in such tests were not in substantial 
compliance with a portion or portions of the Federal Test Procedure 
which were not waived pursuant to Sec.  85.2114(d);
    (B) The emission results were not in compliance with the 
requirements of Sec.  85.2114(d); or
    (C) The procedures used for part aging for durability demonstration 
were not in substantial compliance with the durability cycle required by 
Sec.  85.2114.
    (iii) Use of the certified part is causing vehicle emissions to 
exceed emission requirements for any regulated pollutant;
    (iv) Use of the certified part causes or contributes to an 
unreasonable risk to public health, welfare or safety or severely 
degrades drivability operation or function;
    (v) The part has been modified in a manner requiring recertification 
pursuant to Sec.  85.2118; or
    (vi) The manufacturer of such parts has not established, maintained 
or retained the records required pursuant to Sec.  85.2120 or fails to 
make the records available to the MOD Director upon written request 
pursuant to Sec.  85.2120.
    (vii) Documentation required to support the type of durability 
demonstration used for a part under Sec.  85.2114:
    (A) Were not submitted for the part, or
    (B) Were insufficient to justify a claim of durability exemption 
status.
    (viii) The aftermarket part manufacturer failed to pay a lost 
arbitration settlement within 30 days of the arbitrator's decision or 
within 30 days after completion of judicial review, if any.
    (2) Notice of a preliminary determination to decertify shall 
contain:
    (i) A description of the noncomplying part(s);
    (ii) The basis for the MOD Director's preliminary decision; and
    (iii) The date by which the manufacturer must
    (A) Terminate the sale of the part as a certified part, or
    (B) Make the necessary change (if so recommended by the Agency), and
    (C) Request an opportunity in writing to dispute the allegations of 
the preliminary decertification.
    (b) If the aftermarket part manufacturer requests an opportunity to 
respond to the preliminary determination, the manufacturer and other 
parties interested in the MOD Director's decision whether to decertify a 
part

[[Page 408]]

may, within 15 days of the date of the request, submit written 
presentations, including the relevant information and data, to the MOD 
Director. The MOD Director, in his or her discretion, may provide an 
opportunity for oral presentations.
    (1) Any interested party may request additional time to respond to 
the information submitted by the part manufacturer. The MOD Director 
upon a showing of good cause by the interested party may grant an 
extension of time to reply up to 30 days.
    (2) The part manufacturer may have an extension of up to 30 days to 
reply to information submitted by interested parties. Notification of 
intent to reply shall be submitted to the MOD Director within 10 days of 
the date information from interested parties is submitted to the MOD 
Director.
    (c) If a part manufacturer has disputed the allegations of the 
preliminary decisions, the MOD Director shall, after reviewing any 
additional information, notify the aftermarket part manufacturer of his 
or her decision whether the part may continue to be sold as certified. 
This notification shall include an explanation upon which the decision 
was made and the effective date for decertification, where appropriate.
    (d) Within 20 days from the date of a decision made pursuant to 
paragraph (c) of this section, any adversely affected party may appeal 
the decision to the Office Director.
    (1) A petition for appeal to the Office Director must state all of 
the reasons why the decision of the MOD Director should be reversed.
    (2) The Office Director may, in his or her discretion, allow 
additional oral or written testimony.
    (3) If no appeal is filed with the Office Director within the 
permitted time period, the decision of the MOD Director shall be final.
    (e) If a final decision is made to decertify a part under paragraph 
(d) of this section, the manufacturer of such part shall notify his 
immediate customers (other than retail customers) that, as of the date 
of the final determination, the part in question has been decertified. 
The part manufacturer shall offer to replace decertified parts in the 
customer's inventory with certified replacement parts or, if unable to 
do so, shall at the customer's request repurchase such inventory at a 
reasonable price.
    (f) Notwithstanding the requirements of paragraph (e) of this 
section, a part purchased by a vehicle owner as certified, shall be 
considered certified pursuant to this subpart.

[45 FR 78462, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec.  85.2122  Emission-critical parameters.

    (a) The following parts may be certified in accordance with Sec.  
85.2114(b):
    (1) Carburetor Vacuum Break (Choke Pull-Off). (i) The emission-
critical parameters for carburetor vacuum breaks are:
    (A) Diaphragm Displacement.
    (B) Timed Delay.
    (C) Modulated Stem Displacement.
    (D) Modulated Stem Displacement Force.
    (E) Vacuum Leakage.
    (ii) For the purposes of this paragraph:
    (A) ``Diaphragm Displacement'' means the distance through which the 
center of the diaphragm moves when activated. In the case of a non-
modulated stem, diaphragm displacement corresponds to stem displacement.
    (B) ``Timed Delay'' means a delayed diaphragm displacement 
controlled to occur within a given time period.
    (C) ``Modulated Stem Displacement'' means the distance through which 
the modulated stem may move when actuated independent of diaphragm 
displacement.
    (D) ``Modulated Stem Displacement Force'' means the amount of force 
required at start and finish of a modulated stem displacement.
    (E) ``Vacuum Leakage'' means leakage into the vacuum cavity of a 
vacuum break.
    (F) ``Vacuum Break'' (``Choke Pull-off'') means a vacuum-operated 
device to open the carburetor choke plate a predetermined amount on cold 
start.
    (G) ``Modulated Stem'' means a stem attached to the vacuum break 
diaphragm in such a manner as to allow stem displacement independent of 
diaphragm displacement.

[[Page 409]]

    (H) ``Vacuum Purge System'' means a vacuum system with a controlled 
air flow to purge the vacuum system of undesirable manifold vapors.
    (2) Carburetor Choke Thermostats. (i) The emission-critical 
parameters for all Choke Thermostats are:
    (A) Thermal Deflection Rate.
    (B) Mechanical Torque Rate.
    (C) Index Mark Position.
    (ii) The emission-critical parameters for Electrically-Heated Choke 
Thermostats are:
    (A) Those parameters set forth in paragraph (a)(2)(i) of this 
section
    (B) Time to rotate coil tang when electrically energized
    (C) Electrical circuit resistance
    (D) Electrical switching temperature
    (iii) For the purpose of this paragraph:
    (A) ``Choke'' means a device to restrict air flow into a carburetor 
in order to enrich the air/fuel mixture delivered to the engine by the 
carburetor during cold-engine start and cold-engine operation.
    (B) ``Thermostat'' means a temperature-actuated device.
    (C) ``Electrically-heated Choke'' means a device which contains a 
means for applying heat to the thermostatic coil by electrical current.
    (D) ``Thermostatic Coil'' means a spiral-wound coil of thermally-
sensitive material which provides rotary force (torque) and/or 
displacement as a function of applied temperature.
    (E) ``Thermostatic Switch'' means an element of thermally-sensitive 
material which acts to open or close an electrical circuit as a function 
of temperature.
    (F) ``Mechanical Torque Rate'' means a term applied to a 
thermostatic coil, defined as the torque accumulation per angular degree 
of deflection of a thermostatic coil.
    (G) ``Thermal Deflection Rate'' means the angular degrees of 
rotation per degree of temperature change of the thermostatic coil.
    (H) ``Index or Index Mark'' means a mark on a choke thermostat 
housing, located in a fixed relationship to the thermostatic coil tang 
position to aid in assembly and service adjustment of the choke.
    (I) ``PTC Type Choke Heaters'' means a positive termperature 
coefficient resistant ceramic disc capable of providing heat to the 
thermostatic coil when electrically energized.
    (3) Carburetor Accelerator Pumps. (i) The emission-critical 
parameter for accelerator pumps (plungers or diaphragms) is the average 
volume of fuel delivered per stroke by the pump within prescribed time 
limits.
    (ii) For the purpose of this paragraph an ``Accelerator Pump 
(Plunger or Diaphragm)'' means a device used to provide a supplemental 
supply of fuel during increasing throttle opening as required.
    (4) Positive Crankcase Ventilation (PCV) Valves. (i) The emission-
critical parameter for a PCV valve is the volume of flow as a function 
of pressure differential across the valve.
    (ii) For the purposes of this paragraph a ``PCV Valve'' means a 
device to control the flow of blow-by gasses and fresh air from the 
crankcase to the fuel induction system of the engine.
    (5) Breaker Points. (i) The emission-critical parameters for breaker 
points are:
    (A) Bounce.
    (B) Dwell Angle.
    (C) Contact Resistance.
    (ii) For the purposes of this paragraph:
    (A) ``Breaker Point'' means a mechanical switch operated by the 
distributor cam to establish and interrupt the primary ignition coil 
current.
    (B) ``Bounce'' means unscheduled point contact opening(s) after 
initial closure and before scheduled reopening.
    (C) ``Dwell Angle'' means the number of degrees of distributor 
mechanical rotation during which the breaker points are conducting 
current.
    (D) ``Contact Resistance'' means the opposition to the flow of 
current between the mounting bracket and the insulated terminal.
    (6) Capacitors/Condensers. (i) The emission-critical parameters for 
capacitors/condensers are:
    (A) Capacitance.
    (B) Series Resistance.
    (C) Breakdown Voltage.
    (ii) For the purposes of this paragraph:

[[Page 410]]

    (A) ``Capacitance'' means the property of a device which permits 
storage of electrically-separated charges when differences in electrical 
potential exist between the conductors and measured as the ratio of 
stored charge to the difference in electrical potential between 
conductors.
    (B) ``Series Resistance'' means the sum of resistances from the 
condenser plates to the condenser's external connections.
    (C) ``Breakdown Voltage'' means the voltage level at which the 
capacitor fails.
    (D) ``Capacitor/Condenser'' means a device for the storage of 
electrical energy consisting of two oppositely charged conducting plates 
separated by a dielectric and which resists the flow of direct current.
    (7) Distributor Caps and/or Rotors. (i) The emission-critical 
parameters for distributor caps and/or rotors are:
    (A) Physical and Thermal Integrity.
    (B) Dielectric Strength.
    (C) Flashover.
    (ii) For the purposes of this paragraph:
    (A) ``Flashover'' means the discharge of ignition voltage across the 
surface of the distributor cap and/or rotor rather than at the spark 
plug gap.
    (B) ``Dielectric Strength'' means the ability of the material of the 
cap and/or rotor to resist the flow of electric current.
    (C) ``Physical and Thermal Integrity'' means the ability of the 
material of the cap and/or rotor to resist physical and thermal 
breakdown.
    (8) Spark Plugs. (i) The emission critical parameters for spark 
plugs are:
    (A) Heat Rating.
    (B) Gap Spacing.
    (C) Gap Location.
    (D) Flashover.
    (E) Dielectric Strength.
    (ii) For the purposes of this paragraph:
    (A) ``Spark Plug'' means a device to suitably deliver high tension 
electrical ignition voltage to the spark gap in the engine combustion 
chamber.
    (B) ``Heat Rating'' means that measurement of engine indicated mean 
effective pressure (IMEP) value obtained on the engine at a point when 
the supercharge pressure is 25.4mm (one inch) Hg below the preignition 
point of the spark plug, as rated according to SAE J549A Recommended 
Practice.
    (C) ``Gap Spacing'' means the distance between the center electrode 
and the ground electrode where the high voltage ignition arc is 
discharged.
    (D) ``Gap Location'' means the position of the electrode gap in the 
combustion chamber.
    (E) ``Dielectric Strength'' means the ability of the spark plug's 
ceramic insulator material to resist electrical breakdown.
    (F) ``Flashover'' means the discharge of ignition voltage at any 
point other than at the spark plug gap.
    (9) Inductive System Coils. (i) The emission-critical parameters for 
inductive system coils are:
    (A) Open Circuit Voltage Output.
    (B) Dielectric Strength.
    (C) Flashover.
    (D) Rise Time.
    (ii) For the purposes of this paragraph:
    (A) ``Coil'' means a device used to provide high voltage in an 
inductive ignition system.
    (B) ``Flashover'' means the discharge of ignition voltage across the 
coil.
    (C) ``Dielectric Strength'' means the ability of the material of the 
coil to resist electrical breakdown.
    (D) ``Rise Time'' means the time required for the spark voltage to 
increase from 10% to 90% of its maximum value.
    (10) Primary Resistors. (i) The emission-critical parameter for 
primary resistors is the DC resistance.
    (ii) For the purpose of this paragraph, a ``Primary Resistor'' means 
a device used in the primary circuit of an inductive ignition system to 
limit the flow of current.
    (11) Breaker Point Distributors. (i) The emission-critical 
parameters for breaker point distributors are:
    (A) Spark Timing.
    (1) Centrifugal Advance Characteristics.
    (2) Vacuum Advance Characteristics.
    (B) Dwell Angle.
    (C) Breaker point contact operation.
    (D) Electrical resistance to ground.
    (E) Capacity for compatibility with generally available original 
equipment and certified replacement parts listed in Sec.  85.2112(a) 
(5), (6), (7), and (9).

[[Page 411]]

    (ii) For the purposes of this paragraph:
    (A) ``Distributor'' means a device for directing the secondary 
current from the induction coil to the spark plugs at the proper 
intervals and in the proper firing order.
    (B) ``Distributor Firing Angle'' means the angular relationship of 
breaker point opening from one opening to the next in the firing 
sequence.
    (C) ``Dwell Angle'' means the number of degrees of distributor 
mechanical rotation during which the breaker points are capable of 
conducting current.
    (12) Engine Valves. [Reserved]
    (13) Camshafts. [Reserved]
    (14) Pistons. [Reserved]
    (15) Oxidizing Catalytic Converter. (i) The emission-critical 
parameters for oxidizing catalytic converters are:
    (A) Conversion Efficiency.
    (B) Light-off Time.
    (C) Mechanical and Thermal Integrity.
    (ii) For the purposes of this paragraph including the relevant test 
procedures in the appendix:
    (A) ``Catalytic Converter'' means a device installed in the exhaust 
system of an internal combustion engine that utilizes catalytic action 
to oxidize hydrocarbon (HC) and carbon monoxide (CO) emissions to carbon 
dioxide (CO2) and water (H2O).
    (B) ``Conversion Efficiency'' means the measure of the catalytic 
converter's ability to oxidize HC/CO to CO2/H2O 
under fully warmed-up conditions stated as a percentage calculated by 
the following formula:
[GRAPHIC] [TIFF OMITTED] TC15NO91.093

    (C) ``Light-off Time'' or ``LOT'' means the time required for a 
catalytic converter (at ambient temperature 68-86 [deg]F) to warm-up 
sufficiently to convert 50% of the incoming HC and CO to CO2 
and H2 O.
    (D) ``Peak Air Flow'' means the maximum engine intake mass air flow 
rate measure during the 195 second to 202 second time interval of the 
Federal Test Procedure.
    (E) ``Feed Gas'' means the chemical composition of the exhaust gas 
measured at the converter inlet.
    (F) ``Aged Catalytic Converter'' means a converter that has been 
installed on a vehicle or engine stand and operated thru a cycle 
specifically designed to chemically age, including exposure to 
representative lead concentrations, and mechanically stress the 
catalytic converter in a manner representative of in-use vehicle or 
engine conditions.
    (G) ``Mechanical and Thermal Intergrity'' means the ability of a 
converter to continue to operate at its previously determined efficiency 
and light-off time and be free from exhaust leaks when subject to 
thermal and mechanical stresses representative of the intended 
application.
    (16) Air Cleaner Filter Element. (i) The emission-critical 
parameters for Air Cleaner Filter Elements are:
    (A) Pressure drop.
    (B) Efficiency.
    (ii) For the purpose of this paragraph:
    (A) ``Air Cleaner Filter Element'' means a device to remove 
particulates from the primary air that enters the air induction system 
of the engine.
    (B) ``Pressure Drop'' means a measure, in kilopascals, of the 
difference in static pressure measured immediately upstream and 
downstream of the air filter element.
    (C) ``Efficiency'' means the ability of the air cleaner or the unit 
under test to remove contaminant.
    (17) Electronic Inductive Ignition System and Components. [Reserved]
    (18) Electronic Inductive Distributors. [Reserved]
    (b) Additional part standards. [Reserved]

[45 FR 78462, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



Sec.  85.2123  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.

[[Page 412]]

    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information shall be deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted all confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34798, Aug. 27, 1985]



Sec. Appendix I to Subpart V of Part 85--Recommended Test Procedures and 
   Test Criteria and Recommended Durability Procedures To Demonstrate 
              Compliance With Emission Critical Parameters

               A. Carburetor Vacuum Break (Choke Pull-Off)

    1. Test Procedure and Criteria
    a. Vacuum leakage: Apply 457 13 mm (18.0 
0.5 inches) Hg. vacuum to the vacuum unit to 
achieve full diaphragm displacement. Seal vacuum source to unit. There 
shall be no visible loss of diaphragm displacement or drop in vacuum 
gauge reading after a 15 second observation. Vacuum purge system and 
diaphragm displacement adjusting screw holes should be temporarily 
sealed during this test when applicable.
    b. Diaphragm displacement: At stabilized temperature of -29 [deg]C 
and 121 [deg]C (-20 [deg]F and 250 [deg]F) with 457 13 mm (18.0 0.5 inches) Hg. vacuum 
applied to unit, the diaphragm displacement shall be within 1 mm (0.04 inches) of the nominal original equipment 
displacement. The vacuum purge system must be open during this test when 
applicable. Adjusting screws that limit displacement should be 
temporarily removed and adjusting screw holes temporarily sealed during 
this test.
    c. Timed delay (when applicable): With 457 13 
mm (18.0 0.5 inches) Hg. applied to the unit, the 
vacuum break diaphragm displacement shall occur within 20% of the original equipment time over the specified 
range of displacement. The diaphragm displacement shall be timed over 
the same distance for the original equipment as the replacement part and 
shall not be less than 60% of the total displacement range. The vacuum 
purge system must be open and the adjusting screw holes should be 
temporarily sealed during this test when applicable.
    d. Modulated stem displacement (when applicable): With a force 
sufficient to extend the modulated stem to its full displacement, the 
displacement shall be within 0.8 mm (0.03 inches) of the original equipment specification.
    e. Modulated stem displacement force (when applicable): The force 
required to start and finish the modulated stem displacement shall be 
within 35% of the original equipment specification 
for forces up to 142 grams (5 ounces) and shall be within 20% of the original equipment specification for forces 
exceeding 142 grams (5 ounces).
    2. Durability Procedures: After 250,000 full displacement cycles 
(from atmospheric pressure to a minimum of 530mm (21 inches) Hg. vacuum 
at a temperature of 79 [deg]C (175 [deg]F)) in air, the following 
conditions shall be met:
    a. Diaphragm displacement shall not degrade more than 10% from the 
original test measurements of paragraph 1.b. above.
    b. Timed delay shall not degrade more than 10% from the original 
test measurement in paragraph 1.c. above.
    c. Following these tests, the units must be free of visible defects.

                     B. Carburetor Choke Thermostats

    1. Test Procedures and Criteria
    a. All chokes
    i. Thermal deflection rate
    When tested on a suitable fixture, the deflection rate shall be 
within 6% of the original equipment value. The 
initial temperature and final temperature for purposes of this test may 
vary but shall exhibit a test temperature range of at least 44 [deg]C 
(80 [deg]F). Recommended test equipment, test procedures, and associated 
calculations are outlined in ASTM B389 (latest revision) or American 
National Standards Institute Z155-20.
    ii. Mechanical torque rate
    When tested on a suitable fixture, the torque rate shall be within 
12% of the mean original equipment value. 
Recommended test equipment, test procedures, and associated

[[Page 413]]

calculations are outlined in ASTM B362 (latest revision) or American 
National Standards Institute Z155-18 (latest revision).
    iii. Index mark position
    When stabilized for four hours at room temperature, the relative 
position of the thermostatic coil outer tang or loop and the index mark, 
when corrected to 24 [deg]C (75 [deg]F), shall be within 5 angular degrees of the mean original equipment 
positions.
    b. Electrically-heated Chokes
    i. Time to rotate coil tang
    When tested on a suitable fixture, the time to rotate through a 
prescribed angle at a prescribed temperature and prescribed voltage, for 
the specfic choke device under test shall be within 12 seconds or 25% of the mean 
original equipment value whichever is greater.
    ii. Electrical circuit resistance
    In an electrically-heated choke utilizing PTC type choke heater, the 
circuit resistance shall be within 1.5 ohms of the 
mean original equipment value at 24 3 [deg]C 
(75[deg] 5 [deg]F) unenergized.
    iii. Electrical switching temperature
    In an electrically heated choke thermostat utilizing a thermostatic 
disc switch in the electrical circuit, the temperature to open the 
circuit shall be within 5.5 [deg]C (10 [deg]F) and 
the temperature to close the circuit shall be within 11 [deg]C (20 [deg]F) of the mean original equipment 
value. Circuit opening temperature shall be measured on a decreasing 
temperature change, and the circuit closing temperature shall be 
measured on an increasing temperature change.

                     C. Carburetor Accelerator Pumps

    1. Test Procedure and Criteria
    a. Expose plunger or diaphragm assembly to temperatures of -30 
[deg]C (-20 [deg]F) for 70 hours and at 70 [deg]C (158 [deg]F) for 24 
hours, with a commercial grade fuel or equivalent.
    b. Within one hour after temperature exposure of 1.a. above, each 
plunger or diaphragm assembly, when installed in an applicable 
carburetor or test fixture, shall at room temperature deliver a volume 
of test fluid (Stoddard solvent or equivalent) from a 10 stroke cycle,* 
within 30% of the volume from a 10 stroke cycle of 
an original equipment plunger or diaphragm assembly.
---------------------------------------------------------------------------

    *10 stroke cycle: 10 strokes from closed throttle plate position to 
wide open throttle plate position occurring within a 15-25 second time 
period.
---------------------------------------------------------------------------

    2. Durability Procedure: After 250,000 operational cycles, at 
approximately 30 cycles per minute at room temperature in test fluid, 
the output of the plunger/diaphragm shall not drop below 90% of the low 
limit as established in 1.b.

              D. Positive Crankcase Ventilation (PCV) Valve

    1. Test Procedure and Criteria
    a. Measure the flow of the PCV valve in standard cubic feet per 
minute (SCFM) vs. pressure differential across the valve over a range of 
operating pressures from 4-22 inches Hg., at standard atmospheric 
conditions (21.1 [deg]C (70 [deg]F) at 755mm (29.92 inches).
    b. A PCV valve shall flow within the vehicle manufacturer's 
specifications or shall meet the following criteria: Whenever the mean 
of the original equipment flow curve is below 1 SCFM, a maximum 
deviation of the mean replacement PCV valve shall not exceed 0.1 SCFM. Whenever the mean original equipment curve is 
equal to or greater than 1 SCFM, a maximum deviation of the mean of the 
replacement PCV valve shall not exceed 10%. The 
total flow tolerance of the replacement valve shall not exceed the 
original equipment variation from the mean, at any pressure 
differential.
    2. Durability Procedure: The flow of any specific PCV valve must not 
deviate from the flow curve of the original equipment PCV valve by more 
than the total original allowable tolerance when each is similarly 
operated in the intended vehicle application over the service interval 
stated by the certifier.

                            E. Breaker Points

    1. Test Procedures and Criteria
    a. Set up test system circuit and equipment per Figure 1 with an OE 
breaker point assembly. Connect the primary to a 14 .5 V DC regulated power supply.
    b. Record dwell angle and open-circuit output voltage at 300 and 500 
distributor rpm and at 500 rpm intervals up to the maximum speed of the 
intended application.
    c. Insert the replacement part in the test system and repeat the 
observations per b above under identical test conditions.
    d. The data observed with the replacement part in the system must 
meet the following criteria:
    (1) The dwell angle change: Not to exceed that of the original 
equipment by more than 2[deg] at all measured rpm 
intervals.

[[Page 414]]

[GRAPHIC] [TIFF OMITTED] TC01MY92.109

    (2) The open circuit output voltage (M-3): Not less than 90% of the 
OE breaker point assembly at any measured rpm.
    e. Repeat step c above at -40 [deg]C (-40 [deg]F) and 100 [deg]C 
(212 [deg]F).
    f. The breaker points shall operate without evidence of point bounce 
at all test speeds and temperatures and shall operate easily without 
binding when operated manually.
    2. Durability Procedures
    a. Set up a bench ignition system using an applicable distributor or 
electro-mechanical equivalent.
    b. Install the breaker point assembly under test in the distributor, 
lubricate and adjust per applicable vehicle manufacturer's 
specifications. Use applicable coil, primary resistor, capacitor, cap 
and rotor.
    c. Connect the primary of the test system with a power supply 
regulated at 14 0.5 V DC for a 12V system.
    d. The secondary portion of the test system is to be connected to a 
12 2KV spark gap.
    e. An external heat source shall generate an ambient temperature of 
70[deg] (158 [deg]F) for the distributor.
    f. Drive the distributor at 1750 50 rpm for 
200 hours. After each 50 hour interval, run the distributor for 5 
minutes with one open circuit spark gap instead of a 12KV gap.
    g. The replacement breaker point assembly must have the capability 
of performing throughout the duration of the test without evidence of 
any failure resulting in loss of spark in the 12KV spark gap.
    h. After the 200 hours repeat step 1.c. above. The open circuit 
output voltage must be at least 90% of that measured in 1.c.

                        F. Capacitors/Condensers

    1. Test Procedures and Criteria
    a. The electrostatic capacitance of the replacement condenser shall 
be within 20% of the value of the original part at 
20 3 [deg]C (68 5 [deg]F). 
The capacitance is to be measured on

[[Page 415]]

a capacitance bridge having an accuracy of 1% at 1 
KHz frequency.
    b. Set up the test system in accordance with Figure 1. The condenser 
series resistance shall be such that the output voltage at 500 
distributor rpm with the replacement condenser shall not be less than 
90% of the output voltage (M-3) with the original equipment condenser.
    c. The capacitor must be able to withstand a minimum test voltage of 
500V DC for a minimum of 0.1 seconds without failure.
    d. (1) Measure capacitance after 4 hours minimum soak at 70[deg] 
(158 [deg]F).
    (2) After one hour at room temperature, place capacitor at -18 
[deg]C (0 [deg]F) for 4 hours minimum and measure capacitance.
    (3) Place capacitor at room temperature for 4 hours minimum and 
measure capacitance.
    e. After thermal cycling, repeat 1.a. and b. The results must be 
within 10 percent of the intital measurements.
    2. Durability Procedure
    a. Set up a bench ignition system using an applicable distributor or 
an electro-mechanical equivalent.
    b. Install the capacitor under test in the distributor adjusted to 
applicable vehicle manufacturer's specifications. Use applicable coil, 
primary resistor, breaker points, cap and rotor.
    c. Connect the primary of the test system with a power supply 
regulated at 14 0.5V DC for 12V system.
    d. The secondary portion of the test system is to be connected to a 
12 2KV spark gap.
    e. An external heat source shall generate an ambient temperature of 
70 [deg]C (158 [deg]F) for the distributor.
    f. Drive the distributor at 1750 50 rpm for 
200 hours. After each 50 hour interval, run the distributor for 5 
minutes with one open circuit spark gap instead of a 12KV gap.
    g. The replacement part must have the capability of performing 
throughout the duration of the test without evidence of any failure 
resulting in loss of spark in the 12KV spark gap.
    h. After the 200 hours, the condenser shall be within 10 percent of 
the capacitance and voltage measured in 1.a. and b. respectively.

                    G. Distributor Caps and/or Rotors

    1. Test Procedures and Criteria
    a. Set up test system in accordance with the circuit and equipment 
per Figure 1 with OE distributor cap and/or rotor. Connect the primary 
to a 14 .5V DC regulated power supply.
    b. Record open circuit output voltage (M-3) at 300 and 500 
distributor rpm and at intervals of 500 distributor rpm up to the 
maximum speed of the intended application.
    c. Insert the intended replacement part(s) in the system and repeat 
step b. above under identical test conditions.
    d. Subject the intended replacement part to the following thermal 
sequence through five complete cycles:
    1. 12 hours at -40 [deg]C (-40 [deg]F)
    2. 2 hours at room temperature
    3. 4 hours at 100 [deg]C (212 [deg]F)
    4. 2 hours at room temperature.
    e. Repeat step b. above with the replacement part(s).
    f. The output voltages measured with the replacement part(s) in the 
system must be at least 90% of the output voltage with the OE cap and/or 
rotor.
    2. Durability Procedures
    a. Set up test system in accordance with circuit and equipment per 
Figure 1.
    b. Install the cap and/or rotor under test in distributor, lubricate 
and adjust per applicable vehicle manufacturer's specifications. Use 
equivalent coil, primary resistor, breaker points and capacitor.
    c. Connect the primary of the test system with a power supply 
regulated at 14 0.5 V D.C.
    1. In breaker point operated systems, connect secondary to a 12 
KV2 KV gap.
    2. In electronic ignition systems, connect secondary to a gap 
equivalent to at least 50% of peak open-circuit voltage.
    d. An external heat source shall generate an ambient temperature of 
70[deg] (158 [deg]F) for the distributor.
    e. Distributor shall be driven at 1750 50 rpm 
for 200 hours. After each 50 hours interval, run the distributor for 5 
minutes with one open-circuit spark gap instead of a 12KV gap.
    f. The replacement part(s) must have the capability of performing 
throughout the duration of the test without evidence of any failure 
resulting in loss of spark at the spark gap.
    g. Repeat step 1.c. above. The open circuit output voltage must be 
at least 90% of that measured in step 1.c.
    h. The replacement cap and/or rotor must be free of any visual 
cracks, arcing or melting.

                             H. Spark Plugs

    1. Test Procedures and Criteria
    a. Heat rating: When comparatively rated in the SAE 17.6 Spark Plug 
Rating engine according to the SAE J549A Recommended Practice, the 
comparative average rating of at least five (5) replacement spark plugs 
shall be within 15 percent of the average IMEP of at least five (5) OE 
spark plugs.
    b. Gap spacing: The electrode spark gap shall be equivalent or 
adjustable to the recommended gap for the original equipment spark plug.

[[Page 416]]

    c. Gap location: The electrode gap position in the chamber shall be 
the same as specified by the vehicle manufacturer.
    d. Flashover: The spark plug terminal end, with the properly fitted 
connecting boot, shall not flash-over at peak anticipated voltage for 
the intended application when electrode gap is 15% larger than vehicle 
manufacturer's gap specifications.

                        I. Inductive System Coils

    1. Test Procedures and Criteria
    a. Set up the circuit in accordance with Figure 1. Operate the 
circuit by an applicable distributor or equivalent triggering device and 
applicable primarly resistor with a 50 pf load at 14.0 0.50 volts DC input as applicable and stabilized at an 
ambient temperature of 20 [deg]C 3 [deg]C (68 
[deg]F 5 [deg]F).
    b. With the original equipment coil installed, record the 
predominant minimum peak voltage and rise time at 300 and 500 
distributor rpm, and at 500 rpm intervals up to the maximum intended 
operating speed. The measurement is to be taken after 4 minutes 
operation at each speed.
    c. Install the replacement coil to be tested and repeat step b. 
above.
    d. The replacement coil shall have an open-circuit output voltage 
(M-3) at least 90% of the OE coil output voltage and a rise time not to 
exceed 110% of original equipment coil at each distributor test speed.
    2. Durability Procedure
    a. Install the replacement ignition coil in the ignition system 
using the applicable rotor, cap, capacitor, breaker points, and primary 
resistor.
[GRAPHIC] [TIFF OMITTED] TC01MY92.110

    b. Operate the circuit with a regulated power supply of 14.0 .5 volts DC connected to the primary at an ambient 
temperature of 70 [deg]C (158 [deg]F) at 1750 50 
distributor rpm for a duration of 200 hours. After each 50 hour 
interval, run the distributor for 5 minutes with one open-circuit spark 
gap instead of a 12KV gap.
    c. The ignition coil shall perform throughout the test without any 
evidence of coil failure which would result in the loss of the spark in 
the 12 KV spark gap.
    d. Repeat Step 1.c. above. The open-circuit output voltage must be 
at least 90% of that measured in 1.c.

                          J. Primary Resistors

    1. Test Procedures and Criteria.
    a. Configure the circuit shown in Figure 2, using the original 
equipment resistor.
    b. At 20 3 [deg]C (68 5 
[deg]F), apply voltage for 15 minutes; maintain current at 2.5 amps. At 
conclusion of 15 minutes, read voltage and current. Calculate resistance 
using the relationship

R = E/I,

where:

R = Resistance in ohms,
E = Voltage (V) in volts,
I = Current (A) in amps.

    c. Replace OE test sample with part to be certified and repeat step 
b. above.
    d. Resistance of the part shall be within 20% 
of original equipment resistance.
    2. Durability Procedure.
    a. Using the circuit shown in Figure 1, apply current at 70 [deg]C 
(150 [deg]F), for 200 hours.
    b. After 200 hours retest as in step 1.c. above, and verify that 
resistance is within 20% of the value as measured 
in step 1.b. above.

                     K. Distributors--Breaker Point

    1. Test Procedures and Criteria.
    a. Using an appropriate test installation, operate the distributor 
through its intended speed range.
    b. The advance mechanism shall function within the tolerance of the 
vehicle manufacturer's original specification over the speed range of 
the intended application as to vacuum and centrifugal advance.
    c. The advance mechanism shall repeatedly return to the zero setting

0.5 distributor degrees after advancing and 
retarding through the operating range.


[[Page 417]]


    d. The distributor firing angle accuracy shall remain within the 
originally specified tolerances throughout the speed range of the 
intended application.
    e. The distributor shall be capable of maintaining the dwell angle 
of the original equipment specification with 2 
degrees throughout the speed range of the intended application.
    f. The distributor shall be capable of open-circuit output voltage 
(M-3) equal to at leat 90 percent of the voltage produced by the 
original equipment system over the speed range of the intended 
application.
    2. Durability Procedure.
    a. At an ambient temperature of 70 [deg]C (150 [deg]F), operate the 
distributor at 1750 50 rpm for 200 hours.
    b. The distributor must meet the requirements of paragraph 1.b. 
through f. after the 200 hours.

                      L. Reserved for Engine Valves

                        M. Reserved for Camshafts

                         N. Reserved for Pistons

                    O. Oxidizing Catalytic Converters

    1. Test Procedures and Criteria.
    (a) The fresh and aged conversion efficiencies of the replacement 
oxidizing catalytic converter shall be equal to or exceed those of the 
original equipment converter for CO and HC emissions. The fresh and aged 
Light-off Time (LOT) of the replacement converter shall be equal to or 
less than those of the original equipment converter for CO and HC 
emissions. These parameters shall be determined for both fresh and aged 
converters under the same conditions using the following steady state 
feed gas concentrations and conditions for LOT and Conversion Efficiency 
respectively:

------------------------------------------------------------------------
                                                          Conversion
                                          LOT             efficiency
------------------------------------------------------------------------
Exhaust mass flow rate..........  See note (2)......  See note (1).
Total hydrocarbons..............  See note (3)......  See note (3).
Carbon monoxide.................  1.0 to 2.5%.......  1.0 to 2.5%.
Hydrogen........................  0.33 x % CO         0.33 x % CO
                                   maximum.            maximum.
Oxygen..........................  1.5 x % CO minimum  1.5 x % CO
                                                       minimum.
Converter inlet gas temperature.  650 [deg]F to 850   650 [deg]F to 850
                                   [deg]F.             [deg]F.
------------------------------------------------------------------------

    Note 1: Not less than peak air flow of the vehicle or engine 
configuration being certified for. If more than one vehicle or engine 
application is to be covered by a generic converter, the greatest peak 
vehicle or engine air flow shall be used.
    Note 2: Between 0.10 and 0.40 times the value determined in Note 1.
    Note 3: 500-2000 parts per million by volume minimum based on 
Methane calibration. If a non-engine simulator gas source is used, a 
mixture ratio of 10% propane to 90% propylene by volume will constitute 
an acceptable synthetic for total exhaust hydrocarbons.

    (i) LOT tests shall be conducted by exposing the converter to a step 
change in temperature, from ambient to that specified above: 650[deg]-
850 [deg]F. Converter inlet and outlet exhaust emissions as measured. 
Light-off Time is then determined by recording the time required for the 
converter to reduce the outlet emissions (HC and CO) to 50% of the inlet 
emissions, on a volumetric concentration basis, measured from the step 
temperature change.
    (ii) Conversion efficiency measurements shall be obtained by passing 
stabilized-feed gas through the converter (at conditions specified 
above) and making simultaneous measurements of inlet and outlet emission 
volume concentrations. The conversion efficiency for CO and HC is then 
calculated.
    (iii) The particular conditions for which LOT and conversion 
efficiency are measured (i.e., exhaust mass flow rate, total 
hydrocarbons, carbon monoxide, hydrogen, oxygen, and converter inlet 
temperature) for the replacement converter and original equipment 
converter tests must not vary from one another by more than 10%.
    (b) Fresh and aged catalytic converters may be obtained by operating 
the converter on individual vehicle or engine application for which it 
is intended on the Federal Test Procedure road durability driving cycle. 
A fresh converter results when the converter has operated between 2000 
and 5000 miles or equivalent hours. An aged converter results when the 
converter has been operated for the warranted life of the original 
equipment converter.
    (c) Where one generic converter is intended to cover multiple 
vehicle or engine configurations, converter aging may be obtained per 
Paragraph (b) above, on a vehicle or engine which represents the 
greatest peak air flow of the group of vehicle configurations to be 
covered, and whose calibration and feed gas concentrations are 
representative of the vehicle or engine configurations being certified 
for.
    2. Other Considerations.
    (a) Replacement converter must fit within the width and length space 
envelope of the original equipment converter. Converter spacing from the 
underbody and for ground clearance must be the same or greater than the 
original equipment converter application.
    (b) Pressure drop measured between inlet and outlet pipe 
interconnecting points on the replacement converter shall be within 
25% of similar measurements for the original 
equipment converter being replaced, when measured at each of three flow 
conditions 50 SCFM, 100 SCFM, and 150 SCFM

[[Page 418]]

with a suitable fluid medium such as air. Maximum allowable exhaust gas 
leakage from the replacement coverter shall be 0.4 cubic feet per minute 
measured at 4.0 pounds per square inch differential. All measurements 
must be normalized to equal density conditions.
    (c) Converter skin temperature shall be measured during the 
converter efficiency test. The skin temperature for the replacement 
converter must equal or be less than that for the original equipment 
converter.

                      P. Air Cleaner Filter Element

    1. Test Procedures and Criteria.
    (a) Using test equipment and procedures specified in SAE-J726c, 
perform:
    (i) Air Flow and Pressure Drop Test (2.3) at 200 SCFM, record test 
conditions and pressure drop.
    (ii) Efficiency Test (2.4) to measure full life efficiency at 200 
SCFM to a total pressure drop of 9 inches of water, record test 
conditions and test duration from first to last addition of standard 
dust, weigh test element and absolute filter at end of test using three 
randomly selected original equipment air filter elements.
    (b) Perform tests as in (a) above, under conditions controlled to 
within 10% of the corresponding original equipment 
test conditions, for three randomly selected replacement air filter 
elements.
    (c) The replacement air filter element average recorded test 
results. The pressure drop in (i) and absolute filter weight in (ii) 
must be equal to or less than those average results for the original 
equipment test results. The replacement air filter averaged test results 
for element weight in (ii) must be equal to or larger than averaged 
result for the original equipment averaged test results.
    2. Durability Procedure.
    (a) After use in the intended vehicle or engine application for the 
recommended service interval, the replacement element shall evidence an 
increase in pressure drop (as measured in 1 (a)(i) above) equal to or 
less than that of the original equipment air filter element tested in 
the identical manner.

[45 FR 78464, Nov. 25, 1980, as amended at 54 FR 32593, Aug. 8, 1989]



       Sec. Appendix II to Subpart V of Part 85--Arbitration Rules

                           Part A--Pre-Hearing

                  Section 1: Initiation of Arbitration

    Either party may commence an arbitration under these rules by filing 
at any regional office of the American Arbitration Association (the AAA) 
three copies of a written submission to arbitrate under these rules, 
signed by either party. It shall contain a statement of the matter in 
dispute, the amount of money involved, the remedy sought, and the 
hearing locale requested, together with the appropriate administrative 
fee as provided in the Administrative Fee Schedule of the AAA in effect 
at the time the arbitration is filed. The filing party shall notify the 
MOD Director in writing within 14 days of when it files for arbitration 
and provide the MOD Director with the date of receipt of the bill by the 
part manufacturer.
    Unless the AAA in its discretion determines otherwise and no party 
disagrees, the Expedited Procedures (as described in Part E of these 
Rules) shall be applied in any case where no disclosed claim or 
counterclaim exceeds $32,500, exclusive of interest and arbitration 
costs. Parties may also agree to the Expedited Procedures in cases 
involving claims in excess of $32,500.
    All other cases, including those involving claims not in excess of 
$32,500 where either party so desires, shall be administered in 
accordance with Parts A through D of these Rules.

                 Section 2: Qualification of Arbitrator

    Any arbitrator appointed pursuant to these Rules shall be neutral, 
subject to disqualification for the reasons specified in Section 6. If 
the parties specifically so agree in writing, the arbitrator shall not 
be subject to disqualification for said reasons.
    The term ``arbitrator'' in these rules refers to the arbitration 
panel, whether composed of one or more arbitrators.

      Section 3: Direct Appointment by Mutual Agreement of Parties

    The involved manufacturers should select a mutually-agreeable 
arbitrator through which they will resolve their dispute. This step 
should be completed within 90 days from the date of receipt of the 
warranty claim bill by the part manufacturer.

                    Section 4: Appointment From Panel

    If the parties have not appointed an arbitrator and have not 
provided any other method of appointment, the arbitrator shall be 
appointed in the following manner: 90 days from the date of receipt of 
the warranty claim bill by the part manufacturer, the AAA shall submit 
simultaneously to each party to the dispute an identical list of names 
of persons chosen from the National Panel of Commercial Arbitrators, 
established and maintained by the AAA.
    Each party to the dispute shall have ten days from the mailing date 
in which to cross off any names objected to, number the remaining names 
in order of preference, and return the list to the AAA. If a party does 
not return the list within the time specified, all persons named therein 
shall be deemed acceptable. From among the persons who

[[Page 419]]

have been approved on both lists, and in accordance with the designated 
order of mutual preference, the AAA shall invite the acceptance of an 
arbitrator to serve. If the parties fail to agree on any of the persons 
named, or if acceptable arbitrators are unable to act, or if for any 
other reason the appointment cannot be made from the submitted lists, 
the AAA shall have the power to make the appointment from among other 
members of the panel without the submission of additional lists.

  Section 5: Number of Arbitrators; Notice to Arbitrator of Appointment

    The dispute shall be heard and determined by one arbitrator, unless 
the AAA in its discretion, directs that a greater number of arbitrators 
be appointed.
    Notice of the appointment of the arbitrator shall be mailed to the 
arbitrator by the AAA, together with a copy of these rules, and the 
signed acceptance of the arbitrator shall be filed with the AAA prior to 
the opening of the first hearing.

              Section 6: Disclosure and Challenge Procedure

    Any person appointed as an arbitrator shall disclose to the AAA any 
circumstance likely to affect impartiality, including any bias or any 
financial or personal interest in the result of the arbitration or any 
past or present relationship with the parties or their representatives. 
Upon receipt of such information from the arbitrator or another source, 
the AAA shall communicate the information to the parties and, if it 
deems it appropriate to do so, to the arbitrator and others. Upon 
objection of a party to the continued service of an arbitrator, the AAA 
shall determine whether the arbitrator should be disqualified and shall 
inform the parties of its decision, which shall be conclusive.

                          Section 7: Vacancies

    If for any reason an arbitrator should be unable to perform the 
duties of the office, the AAA may, on proof satisfactory to it, declare 
the office vacant. Vacancies shall be filled in accordance with the 
applicable provisions of these rules.
    In the event of a vacancy in a panel of arbitrators after the 
hearings have commenced, the remaining arbitrator or arbitrators may 
continue with the hearing and determination of the controversy, unless 
the parties agree otherwise.

           Section 8: Interpretation and Application of Rules

    The arbitrator shall interpret and apply these rules insofar as they 
relate to the arbitrator's powers and duties. When there is more than 
one arbitrator and a difference arises among them concerning the meaning 
or application of these rules, it shall be decided by a majority vote. 
If that is unobtainable, either an arbitrator or a party may refer the 
question to the AAA for final decision. All other rules shall be 
interpreted and applied by the AAA.

      Section 9: Administrative Conference and Preliminary Hearing

    At the request of any party or at the discretion of the AAA, an 
administrative conference with the AAA and the parties and/or their 
representatives will be scheduled in appropriate cases to expedite the 
arbitration proceedings.
    In large or complex cases, at the request of any party or at the 
discretion of the arbitrator or the AAA, a preliminary hearing with the 
parties and/or their representatives and the arbitrator may be scheduled 
by the arbitrator to specify the issues to be resolved, stipulate to 
uncontested facts, and to consider any other matters that will expedite 
the arbitration proceedings. Consistent with the expedited nature of 
arbitration, the arbitrator may, at the preliminary hearing, establish 
(i) the extent of and the schedule for the production of relevant 
documents and other information, (ii) the identification of any 
witnesses to be called, and (iii) a schedule for further hearings to 
resolve the dispute.

                      Section 10: Fixing of Locale

    The parties may mutually agree on the locale where the arbitration 
is to be held. If any party requests that the hearing be held in a 
specific locale and the other party files no objection thereto within 
ten days after notice of the request has been mailed to it by the AAA, 
the locale shall be the one requested. If a party objects to the locale 
requested by the other party, the AAA shall have the power to determine 
the locale and its decision shall be final and binding.

                           Part B--The Hearing

               Section 1: Date, Time, and Place of Hearing

    The arbitrator shall set the date, time, and place for each hearing. 
The AAA shall mail to each party notice thereof at least ten days in 
advance, unless the parties by mutual agreement waive such notice or 
modify the terms thereof.

                        Section 2: Representation

    Any party may be represented by counsel or other authorized 
representative. A party intending to be so represented shall notify the 
other party and the AAA of the name and address of the representative at 
least three days prior to the date set for the hearing at which that 
person is first to appear.

[[Page 420]]

When such a representative initiates an arbitration or responds for a 
party, notice is deemed to have been given.

                    Section 3: Attendance at Hearings

    The arbitrator shall maintain the privacy of the hearings unless the 
law provides to the contrary. Representatives of the MOD director, and 
any persons having a direct interest in the arbitration are entitled to 
attend hearings. The arbitrator shall otherwise have the power to 
require the exclusion of any witness, other than a party or other 
essential person, during the testimony of any other witness. It shall be 
discretionary with the arbitrator to determine the propriety of the 
attendance of any other person.

                            Section 4: Oaths

    Before proceeding with the first hearing, each arbitrator may take 
an oath of office and, if required by law, shall do so. The arbitrator 
may require witnesses to testify under oath administered by any duly 
qualified person and, if it is required by law or requested by any 
party, shall do so.

                      Section 5: Majority Decision

    All decisions of the arbitrators must be by a majority. The award 
must also be made by a majority.

    Section 6: Order of Proceedings and Communication with Arbitrator

    A hearing shall be opened by the filing of the oath of the 
arbitrator, where required; by the recording of the date, time, and 
place of the hearing, and the presence of the arbitrator, the parties 
and their representatives, if any; and by the receipt by the arbitrator 
of the statement of the claim and the answering statement, if any.
    The arbitrator may, at the beginning of the hearing, ask for 
statements clarifying the issues involved. In some cases, part or all of 
the above will have been accomplished at the preliminary hearing 
conducted by the arbitrator pursuant to Part A Section 9 of these Rules.
    The complaining party shall then present evidence to support its 
claim. The defending party shall then present evidence supporting its 
defense. Witnesses for each party shall submit to questions or other 
examination. The arbitrator has the discretion to vary this procedure 
but shall afford a full and equal opportunity to all parties for the 
presentation of any material and relevant evidence.
    Exhibits, when offered by either party, may be received in evidence 
by the arbitrator.
    The names and addresses of all witnesses and a description of the 
exhibits in the order received shall be made a part of the record.
    There shall be no direct communication between the parties and an 
arbitrator other than at oral hearing, unless the parties and the 
arbitrator agree otherwise. Any other oral or written communication from 
the parties to the neutral arbitrator shall be directed to the AAA for 
transmittal to the arbitrator.

                           Section 7: Evidence

    The parties may offer such evidence as is relevant and material to 
the dispute and shall produce such evidence as the arbitrator may deem 
necessary to an understanding and determination of the dispute. An 
arbitrator or other person authorized by law to subpoena witnesses or 
documents may do so upon the request of any party or independently.
    The arbitrator shall be the judge of the relevance and materiality 
of the evidence offered, and conformity to legal rules of evidence shall 
not be necessary. All evidence shall be taken in the presence of all of 
the arbitrators and all of the parties, except where any of the parties 
is absent, in default, or has waived the right to be present.

Section 8: Evidence by Affidavit and Post-hearing Filing of Documents or 
                             Other Evidence

    The arbitrator may receive and consider the evidence of witnesses by 
affidavit, but shall give it only such weight as the arbitrator deems it 
entitled to after consideration of any objection made to its admission.
    If the parties agree or the arbitrator directs that documents or 
other evidence be submitted to the arbitrator after the hearing, the 
documents or other evidence shall be filed with the AAA for transmission 
to the arbitrator. All parties shall be afforded an opportunity to 
examine such documents or other evidence.

                      Section 9: Closing of Hearing

    The arbitrator shall specifically inquire of all parties whether 
they have any further proofs to offer or witnesses to be heard. Upon 
receiving negative replies or if satisfied that the record is complete, 
the arbitrator shall declare the hearing closed and a minute thereof 
shall be recorded. If briefs are to be filed, the hearing shall be 
declared closed as of the final date set by the arbitrator for the 
receipt of briefs. If documents are to be filed as provided for in Part 
B Section 9 and the date set for their receipt is later than that set 
for the receipt of briefs, the later date shall be the date of closing 
the hearing. The time limit within which the arbitrator is required to 
make the award shall commence to run, in the absence of other agreements 
by the parties, upon the closing of the hearing.

[[Page 421]]

                    Section 10: Reopening of Hearing

    The hearing may be reopened on the arbitrator's initiative, or upon 
application of a party, at any time before the award is made. The 
arbitrator may reopen the hearing and shall have 30 days from the 
closing of the reopened hearing within which to make an award.

                   Section 11: Waiver of Oral Hearing

    The parties may provide, by written agreement, for the waiver of 
oral hearings.

                       Section 12: Waiver of Rules

    Any party who proceeds with the arbitration after knowledge that any 
provision or requirement of these rules has not been complied with and 
who fails to state an objection thereto in writing, shall be deemed to 
have waived the right to object.

                     Section 13: Extensions of Time

    The parties may modify any period of time by mutual agreement. The 
AAA or the arbitrator may for good cause extend any period of time 
established by these rules, except the time for making the award. The 
AAA shall notify the parties of any extension.

                      Section 14: Serving of Notice

    Each party shall be deemed to have consented that any papers, 
notices, or process necessary or proper for the initiation or 
continuation of an arbitration under these rules; for any court action 
in connection therewith; or for the entry of judgment on any award made 
under these rules may be served on a party by mail addressed to the 
party or its representative at the last known address or by personal 
service, inside or outside the state where the arbitration is to be 
held, provided that reasonable opportunity to be heard with regard 
thereto has been granted to the party.
    The AAA and the parties may also use facsimile transmission, telex, 
telegram, or other written forms of electronic communication to give the 
notices required by these rules.

                       Part C--Award and Decision

                        Section 1: Time of Award

    The award shall be made promptly by the arbitrator and, unless 
otherwise agreed by the parties or specified by law, no later than 30 
days from the date of closing the hearing, or, if oral hearings have 
been waived, from the date of the AAA's transmittal of the final 
statements and proofs to the arbitrator.

                        Section 2: Form of Award

    The award shall be in writing and shall be signed by the arbitrator, 
or if a panel is utilized, a majority of the arbitrators. It shall be 
accompanied by a written decision which sets forth the reasons for the 
award. Both the award and the decision shall be filed by the arbitrator 
with the MOD Director.

                        Section 3: Scope of Award

    The arbitrator may grant to the vehicle manufacturer any repair 
expenses that he or she deems to be just and equitable.

                    Section 4: Award upon Settlement

    If the parties settle their dispute during the course of the 
arbitration, the arbitrator may set forth the terms of the agreed 
settlement in an award. Such an award is referred to as a consent award. 
The consent award shall be filed by the arbitrator with the MOD 
Director.

                 Section 5: Delivery of Award to Parties

    Parties shall accept as legal delivery of the award, the placing of 
the award, or a true copy thereof in the mail addressed to a party or 
its representative at the last known address, personal service of the 
award, or the filing of the award in any other manner that is permitted 
by law.

        Section 6: Release of Documents for Judicial Proceedings

    The AAA shall, upon the written request of a party, furnish to the 
party, at its expense, certified copies of any papers in the AAA's 
possession that may be required in judicial proceedings relating to the 
arbitration.

                        Part D--Fees and Expenses

                      Section 1: Administrative Fee

    The AAA shall be compensated for the cost of providing 
administrative services according to the AAA Administrative Fee Schedule 
and the AAA Refund Schedule. The Schedules in effect at the time the 
demand for arbitration or submission agreement is received shall be 
applicable.
    The administrative fee shall be advanced by the initiating party or 
parties, subject to final allocation at the end of the case.
    When a claim or counterclaim is withdrawn or settled, the refund 
shall be made in accordance with the Refund Schedule. The AAA may, in 
the event of extreme hardship on the part of any party, defer or reduce 
the administrative fee.

                           Section 2: Expenses

    The loser of the arbitration is liable for all arbitration expenses 
unless determined otherwise by the arbitrator.

[[Page 422]]

                       Section 3: Arbitrator's Fee

    An arrangement for the compensation of an arbitrator shall be made 
through discussions by the parties with the AAA and not directly between 
the parties and the arbitrator. The terms of compensation of arbitrators 
on a panel shall be identical.

                           Section 4: Deposits

    The AAA may require the parties to deposit in advance of any 
hearings such sums of money as it deems necessary to defray the expense 
of the arbitration, including the arbitrator's fee, if any, and shall 
render an accounting to the parties and return any unexpended balance at 
the conclusion of the case.

                      Part E--Expedited Procedures

                     Section 1: Notice by Telephone

    The parties shall accept all notices from the AAA by telephone. Such 
notices by the AAA shall subsequently be confirmed in writing to the 
parties. Should there be a failure to confirm in writing any notice 
hereunder, the proceeding shall nonetheless be valid if notice has, in 
fact, been given by telephone.

         Section 2: Appointment and Qualifications of Arbitrator

    The AAA shall submit simultaneously to each party an identical list 
of five proposed arbitrators drawn from the National Panel of Commercial 
Arbitrators, from which one arbitrator shall be appointed.
    Each party may strike two names from the list on a preemptory basis. 
The list is returnable to the AAA within seven days from the date of the 
AAA's mailing of the list to the parties.
    If for any reason the appointment of an arbitrator cannot be made 
from the list, the AAA may make the appointment from among other members 
of the panel without the submission of additional lists.
    The parties will be given notice by the AAA by telephone of the 
appointment of the arbitrator, who shall be subject to disqualification 
for the reasons specified in Part A, Section 6. The parties shall notify 
the AAA, by telephone, within seven days of any objection to the 
arbitrator appointed. Any objection by a party to the arbitrator shall 
be confirmed in writing to the AAA with a copy to the other party or 
parties.

               Section 3: Date, Time, and Place of Hearing

    The arbitrator shall set the date, time, and place of the hearing. 
The AAA will notify the parties by telephone, at least seven days in 
advance of the hearing date. Formal Notice of Hearing will be sent by 
the AAA to the parties and the MOD Director.

                         Section 4: The Hearing

    Generally, the hearing shall be completed within one day, unless the 
dispute is resolved by the submission of documents. The arbitrator, for 
good cause shown, may schedule an additional hearing to be held within 
seven days.

                        Section 5: Time of Award

    Unless otherwise agreed by the parties, the award shall be rendered 
not later than 14 days from the date of the closing of the hearing.

                    Section 6: Applicability of Rules

    Unless explicitly contradicted by the provisions of this part, 
provisions of other parts of the Rules apply to proceedings conducted 
under this part.

[54 FR 32593, Aug. 8, 1989, as amended at 70 FR 40432, July 13, 2005]



   Subpart W_Emission Control System Performance Warranty Short Tests

    Source: 79 FR 23684, Apr. 28, 2014, unless otherwise noted.



Sec.  85.2201  Applicability.

    (a) This subpart describes the test provisions to be employed in 
conjunction with the Emissions Performance Warranty in subpart V of this 
part. These provisions generally rely on a vehicle's onboard diagnostic 
system (OBD) to indicate whether a vehicle passes or fails the test.
    (b) The provisions of this subpart may be used to establish warranty 
eligibility for light-duty vehicles, light-duty trucks, and medium-duty 
passenger vehicles when tested during the useful life as prescribed in 
subpart V of this part.



Sec.  85.2207  Onboard diagnostic test standards.

    (a) A vehicle shall fail the OBD test if it is a 1996 or newer 
vehicle and the vehicle connector is missing, has been tampered with, or 
is otherwise inoperable.
    (b) A vehicle shall fail the OBD test if the malfunction indicator 
light (MIL) is commanded to be illuminated and it is not visually 
illuminated according to visual inspection.

[[Page 423]]

    (c) A vehicle shall fail the OBD test if the MIL is commanded to be 
illuminated for one or more diagnostic trouble codes (DTCs), as 
described in 40 CFR 86.1806.



Sec.  85.2222  Onboard diagnostic test procedures.

    The test sequence for the OBD inspection shall consist of the 
following steps:
    (a) The OBD inspection shall be conducted with the key-on/engine 
running, with the exception of inspecting for MIL illumination as 
required in paragraph (d)(4) of this section, during which the 
inspection shall be conducted with the key-on/engine off.
    (b) The inspector shall locate the vehicle connector and plug the 
test system into the connector.
    (c) The test system shall send a Mode $01, PID $01 request in 
accordance with 40 CFR 86.1806 to determine the OBD evaluation status. 
The test system shall determine what monitors are supported by the OBD 
system, and perform the readiness evaluation for applicable monitors in 
accordance with the requirements and specifications in 40 CFR 86.1806.
    (1) Coincident with the beginning of mandatory testing, repair, and 
retesting based upon the OBD test, if the readiness evaluation indicates 
that any onboard tests are not complete, the customer shall be 
instructed to return after the vehicle has been run under conditions 
that allow completion of all applicable onboard tests. If the readiness 
evaluation again indicates that any onboard test is not complete, the 
vehicle shall be failed.
    (2) An exception to paragraph (c)(1) of this section is allowed for 
MY 1996 to MY 2000 vehicles, inclusive, with two or fewer unset 
readiness monitors, and for MY 2001 and newer vehicles with no more than 
one unset readiness monitor. Vehicles from those model years which would 
otherwise pass the OBD inspection, but for the unset readiness code in 
question, may be issued a passing certificate without being required to 
operate the vehicle in such a way as to activate those particular 
monitors. Vehicles from those model years with an unset readiness code 
that also have a DTC stored resulting in an illuminated MIL must be 
failed, though setting the unset readiness flag in question shall not be 
a prerequisite for passing the retest.
    (d) The test system shall evaluate the MIL status bit and record 
status information in the vehicle test record.
    (1) If the MIL status bit indicates that the MIL has been commanded 
to be illuminated, the test system shall send a Mode $03 request in 
accordance with 40 CFR 86.1806 to determine the stored DTCs. The system 
shall repeat this cycle until the number of codes reported equals the 
number expected based on the Mode $01 response. All DTCs resulting in 
MIL illumination shall be recorded in the vehicle test record and the 
vehicle shall fail the OBD inspection.
    (2) If the MIL bit is not commanded to be illuminated the vehicle 
shall pass the OBD inspection, even if DTCs are present.
    (3) If the MIL bit is commanded to be illuminated, the inspector 
shall visually inspect the MIL to determine if it is illuminated. If the 
MIL is commanded to be illuminated but is not, the vehicle shall fail 
the OBD inspection.
    (4) If the MIL does not illuminate at all when the vehicle is in the 
key-on/engine-off condition, the vehicle shall fail the OBD inspection, 
even if no DTCs are present and the MIL has not been commanded on.



Sec.  85.2223  Onboard diagnostic test report.

    (a) Motorists whose vehicles fail the OBD test described in Sec.  
85.2222 shall be provided with the OBD test results, including the codes 
retrieved, the name of the component or system associated with each DTC, 
the status of the MIL illumination command, and the customer alert 
statement as stated in paragraph (b) of this section.
    (b) In addition to any codes that were retrieved, the test report 
shall include the following language:
    Your vehicle's computerized self-diagnostic system (OBD) registered 
the faults listed below. The faults are probably an indication of a 
malfunction of an emission component. However, multiple and/or seemingly 
unrelated faults

[[Page 424]]

may be an indication of an emission-related problem that occurred 
previously, but upon further evaluation by the OBD system was determined 
to be only temporary. Therefore, proper diagnosis by a qualified 
technician is required to positively identify the source of any 
emission-related problem.



Sec.  85.2231  Onboard diagnostic test equipment requirements.

    (a) The test system interface to the vehicle shall include a plug 
that conforms to the requirements and specifications of 40 CFR 86.1806.
    (b) The test system shall be capable of communicating with the 
standard data link connector of vehicles with certified OBD systems.
    (c) The test system shall be capable of checking for OBD monitors 
and the evaluation status of supported monitors (test complete/test not 
complete) in Mode $01 PID $01, as well as be able to request the DTCs, 
consistent with the requirements and specifications of 40 CFR 86.1806.



  Subpart X_Determination of Model Year for Motor Vehicles and Engines 
 Used in Motor Vehicles Under Section 177 and Part A of Title II of the 
                              Clean Air Act

    Source: 60 FR 4738, Jan. 24, 1995, unless otherwise noted.



Sec.  85.2301  Applicability.

    The definitions provided by this subpart are effective February 23, 
1995 and apply to all light-duty motor vehicles and trucks, heavy-duty 
motor vehicles and heavy-duty engines used in motor vehicles, and on-
highway motorcycles as such vehicles and engines are regulated under 
section 177 and Title II part A of the Clean Air Act.



Sec.  85.2302  Definition of model year.

    Model year means the manufacturer's annual production period (as 
determined under Sec.  85.2304) which includes January 1 of such 
calendar year, provided, that if the manufacturer has no annual 
production period, the term ``model year'' shall mean the calendar year.



Sec.  85.2303  Duration of model year.

    A specific model year must always include January 1 of the calendar 
year for which it is designated and may not include a January 1 of any 
other calendar year. Thus, the maximum duration of a model year is one 
calendar year plus 364 days.



Sec.  85.2304  Definition of production period.

    (a) The ``annual production period'' for all models within an engine 
family of light-duty motor vehicles, heavy-duty motor vehicles and 
engines, and on-highway motorcycles begins either: when any vehicle or 
engine within the engine family is first produced; or on January 2 of 
the calendar year preceding the year for which the model year is 
designated, whichever date is later. The annual production period ends 
either: When the last such vehicle or engine is produced; or on December 
31 of the calendar year for which the model year is named, whichever 
date is sooner.
    (b) The date when a vehicle or engine is first produced is the ``Job 
1 date,'' which is defined as that calendar date on which a manufacturer 
completes all manufacturing and assembling processes necessary to 
produce the first saleable unit of the designated model which is in all 
material respects the same as the vehicle or engine described in the 
manufacturer's application for certification. The ``Job 1 date'' may be 
a date earlier in time than the date on which the certificate of 
conformity is issued.



Sec.  85.2305  Duration and applicability of certificates of conformity.

    (a) Except as provided in paragraph (b) of this section, a 
certificate of conformity is deemed to be effective and cover the 
vehicles or engines named in such certificate and produced during the 
annual production period, as defined in Sec.  85.2304.
    (b) Section 203 of the Clean Air Act prohibits the sale, offering 
for sale, delivery for introduction into commerce, and introduction into 
commerce, of any new vehicle or engine not covered by a certificate of 
conformity unless it is an imported vehicle exempted by the 
Administrator or otherwise authorized

[[Page 425]]

jointly by EPA and U.S. Customs Service regulations. However, the Act 
does not prohibit the production of vehicles or engines without a 
certificate of conformity. Vehicles or engines produced prior to the 
effective date of a certificate of conformity, as defined in paragraph 
(a) of this section, may also be covered by the certificate if the 
following conditions are met:
    (1) The vehicles or engines conform in all material respects to the 
vehicles or engines described in the application for the certificate of 
conformity:
    (2) The vehicles or engines are not sold, offered for sale, 
introduced into commerce, or delivered for introduction into commerce 
prior to the effective date of the certificate of conformity;
    (3) The Agency is notified prior to the beginning of production when 
such production will start, and the Agency is provided full opportunity 
to inspect and/or test the vehicles during and after their production; 
for example, the Agency must have the opportunity to conduct selective 
enforcement auditing production line testing as if the vehicles had been 
produced after the effective date of the certificate.
    (c) New vehicles or engines imported by an original equipment 
manufacturer after December 31 of the calendar year for which the model 
year was named are still covered by the certificate of conformity as 
long as the production of the vehicle or engine was completed before 
December 31 of that year. This paragraph does not apply to vehicles that 
may be covered by certificates held by independent commercial importers 
unless specifically approved by EPA.
    (d) Vehicles or engines produced after December 31 of the calendar 
year for which the model year is named are not covered by the 
certificate of conformity for that model year. A new certificate of 
conformity demonstrating compliance with currently applicable standards 
must be obtained for these vehicles or engines even if they are 
identical to vehicles or engines built before December 31.
    (e) The extended coverage period described here for a certificate of 
conformity (i.e., up to one year plus 364 days) is primarily intended to 
allow flexibility in the introduction of new models. Under no 
circumstances should it be interpreted that existing models may ``skip'' 
yearly certification by pulling ahead the production of every other 
model year.



   Subpart Y_Fees for the Motor Vehicle and Engine Compliance Program



Sec.  85.2401  Assessment of fees.

    See 40 CFR part 1027 for the applicable fees associated with 
certifying engines, vehicles, and equipment under this chapter.

[73 FR 59178, Oct. 8, 2008]



               Sec. Appendixes I-VII to Part 85 [Reserved]



    Sec. Appendix VIII to Part 85--Vehicle and Engine Parameters and 
                             Specifications

           a. light duty vehicle parameters and specifications

    I. Basic Engine Parameters-Reciprocating
Engines.
    1. Compression ratio.
    2. Cranking compression pressure.
    3. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    4. Camshaft timing.
    a. Valve opening (degrees BTDC).
    b. Valve closing (degrees ATDC).
    c. Valve overlap (inch-degrees).
    II. Basic Engine Parameters--Rotary Engines.
    1. Intake port(s).
    a. Timing and overlap if exposed to the combustion chamber.
    2. Exhaust port(s).
    a. Timing and overlap if exposed to the combustion chamber.
    3. Cranking compression pressure.
    4. Compression ratio.
    III. Air Inlet System.
    1. Temperature control system calibration.
    IV. Fuel System.
    1. General.
    a. Engine idle speed.
    b. Engine idle mixture.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Transient enrichment system calibration.
    c. Starting enrichment system calibration.
    d. Altitude compensation system calibration.

[[Page 426]]

    e. Hot idle compensation system calibration.
    3. Fuel injection.
    a. Control parameters and calibration.
    b. Fuel shutoff system calibration.
    c. Starting enrichment system calibration.
    d. Transient enrichment system calibration.
    e. Air-fuel flow calibration.
    f. Altitude compensation system calibration.
    g. Operating pressure(s).
    h. Injector timing calibrations.
    V. Injection System.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
    VI. Engine Cooling System.
    1. Thermostat calibration.
    VII. Exhaust Emission Control System.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
    VIII. Evaporative Emission Control System.
    1. Control parameters and calibrations.
    2. Fuel tank.
    a. Pressure and vacuum relief settings.
    IX. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibration.
    X. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).
    XI. Emission Control Related Warning Systems.
    1. Control parameters and calibrations.
    2. Component calibrations.
    XII. Driveline Parameters.
    1. Axle ratio(s).

       b. heavy duty gasoline engine parameters and specifications

    I. Basic Engine Parameters.
    1. Compression ratio.
    2. Cranking compression pressure.
    3. Supercharger/turbocharger calibration.
    4. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    5. Camshaft timing.
    a. Valve opening (degrees BTDC).
    b. Valve closing (degrees ATDC).
    c. Valve overlap (inch-degrees).
    II. Air Inlet System.
    1. Temperature control system calibration.
    III. Fuel System.
    1. General.
    a. Engine idle speed.
    b. Engine idle mixture.
    2. Carburetion.
    a. Air-fuel flow calibration.
    b. Transient enrichment system calibration.
    c. Starting enrichment system calibration.
    d. Altitude compensation system calibration.
    e. Hot idle compensation system calibration.
    3. Fuel injection.
    a. Control parameters and calibrations.
    b. Fuel shutoff system calibration.
    c. Starting enrichment system calibration.
    d. Transient enrichment system calibration.
    e. Air-fuel flow calibration.
    f. Altitude compensation system calibration.
    g. Operating pressure(s).
    h. Injector timing calibration.
    IV. Ignition System.
    1. Control parameters and calibration.
    2. Initial timing setting.
    3. Dwell setting.
    4. Altitude compensation system calibration.
    5. Spark plug voltage.
    V. Engine Cooling System.
    1. Thermostat calibration.
    VI. Exhaust Emission Control System.
    1. Air injection system.
    a. Control parameters and calibrations.
    b. Pump flow rate.
    2. EGR system.
    a. Control parameters and calibrations.
    b. EGR valve flow calibration.
    3. Catalytic converter system.
    a. Active surface area.
    b. Volume of catalyst.
    c. Conversion efficiency.
    4. Backpressure.
    VII. Evaporative Emission Control System.
    1. Control parameters and calibrations.
    2. Fuel tank.
    a. Pressure and vacuum relief settings.
    VIII. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.
    IX. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibrations.
    X. Emission Control Related Warning Systems.
    1. Control parameters and calibrations.
    2. Component calibrations.

[[Page 427]]

        c. heavy duty diesel engine parameters and specifications

    I. Basic Engine Parameters-Four Stroke Cycle Reciprocating Engines.
    1. Compression ratio.
    2. Cranking compression pressure.
    3. Supercharger/turbocharger calibration.
    4. Valves (intake and exhaust).
    a. Head diameter dimension.
    b. Valve lifter or actuator type and valve lash dimension.
    5. Camshaft timing.
    a. Valve opening (degrees BTDC).
    b. Valve closing (degrees ATDC).
    c. Valve overlap (inch-degrees).
    II. Basic Engine Parameters--Two-Stroke Cycle Reciprocating Engine.
    1.-5. Same as Section C.I.
    6. Intake port(s).
    a. Timing in combustion cycle.
    7. Exhaust port(s).
    a. Timing in combustion cycle.
    III. Air Inlet System.
    1. Temperature control system calibration.
    2. Maximum allowable air inlet restriction.
    IV. Fuel System.
    1. Fuel injection.
    a. Control parameters and calibrations.
    b. Transient enrichment system calibration.
    c. Air-fuel flow calibration.
    d. Altitude compensation system calibration.
    e. Operating pressure(s).
    f. Injector timing calibration.
    V. Exhaust Emission Control System.
    1. Maximum allowable backpressure.
    VI. Crankcase Emission Control System.
    1. Control parameters and calibrations.
    2. Valve calibrations.
    VII. Auxiliary Emission Control Devices (AECD).
    1. Control parameters and calibrations.
    2. Component calibration(s).

[42 FR 28129, June 2, 1977]



PART 86_CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND ENGINES--
Table of Contents



Sec.
86.1 Incorporation by reference.

   Subpart A_General Provisions for Heavy-Duty Engines and Heavy-Duty 
                                Vehicles

86.000-2 Definitions.
86.000-3 Abbreviations.
86.000-7 Maintenance of records; submittal of information; right of 
          entry.
86.000-24 Test vehicles and engines.
86.001-2 Definitions.
86.001-21 Application for certification.
86.001-23 Required data.
86.001-24 Test vehicles and engines.
86.004-2 Definitions.
86.004-11 Emission standards for 2004 and later model year diesel heavy-
          duty engines and vehicles.
86.004-15 NOX plus NMHC and particulate averaging, trading, 
          and banking for heavy-duty engines.
86.004-16 Prohibition of defeat devices.
86.004-21 Application for certification.
86.004-25 Maintenance.
86.004-26 Mileage and service accumulation; emission measurements.
86.004-28 Compliance with emission standards.
86.004-38 Maintenance instructions.
86.004-40 Heavy-duty engine rebuilding practices.
86.005-1 General applicability.
86.005-10 Emission standards for 2005 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.007-11 Emission standards and supplemental requirements for 2007 and 
          later model year diesel heavy-duty engines and vehicles.
86.007-15 NOX and particulate averaging, trading, and banking 
          for heavy-duty engines.
86.007-17 On-board Diagnostics for engines used in applications less 
          than or equal to 14,000 pounds GVWR.
86.007-21 Application for certification.
86.007-23 Required data.
86.007-30 Certification.
86.008-10 Emission standards for 2008 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.010-2 Definitions.
86.010-18 On-board Diagnostics for engines used in applications greater 
          than 14,000 pounds GVWR.
86.010-38 Maintenance instructions.
86.012-2 Definitions.
86.016-1 General applicability.
86.078-3 Abbreviations.
86.078-6 Hearings on certification.
86.079-31 Separate certification.
86.079-32 Addition of a vehicle or engine after certification.
86.079-33 Changes to a vehicle or engine covered by certification.
86.079-39 Submission of maintenance instructions.
86.080-12 Alternative certification procedures.
86.082-2 Definitions.
86.082-34 Alternative procedure for notification of additions and 
          changes.
86.084-2 Definitions.
86.084-4 Section numbering; construction.
86.085-2 Definitions.
86.085-20 Incomplete vehicles, classification.
86.085-37 Production vehicles and engines.
86.088-2 Definitions.
86.090-2 Definitions.
86.090-3 Abbreviations.

[[Page 428]]

86.090-5 General standards; increase in emissions; unsafe conditions.
86.090-27 Special test procedures.
86.091-2 Definitions.
86.091-7 Maintenance of records; submittal of information; right of 
          entry.
86.091-29 Testing by the Administrator.
86.092-2 Definitions.
86.093-2 Definitions.
86.094-2 Definitions.
86.094-3 Abbreviations.
86.094-7 Maintenance of records; submittal of information; right of 
          entry.
86.094-14 Small-volume manufacturers certification procedures.
86.094-21 Application for certification.
86.094-22 Approval of application for certification; test fleet 
          selections; determinations of parameters subject to adjustment 
          for certification and Selective Enforcement Audit, adequacy of 
          limits, and physically adjustable ranges.
86.094-25 Maintenance.
86.095-35 Labeling.
86.096-2 Definitions.
86.096-3 Abbreviations.
86.096-24 Test vehicles and engines.
86.098-2 Definitions.
86.098-3 Abbreviations.
86.098-10 Emission standards for 1998 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.098-23 Required data.
86.099-10 Emission standards for 1999 and later model year Otto-cycle 
          heavy-duty engines and vehicles.
86.099-11 Emission standards for 1999 and later model year diesel heavy-
          duty engines and vehicles.

 Subpart B_Emission Regulations for 1977 and Later Model Year New Light-
  Duty Vehicles and New Light-Duty Trucks and New Otto-Cycle Complete 
                  Heavy-Duty Vehicles; Test Procedures

86.101 General applicability.
86.102 Definitions.
86.103 Abbreviations.
86.104 Section numbering; construction.
86.105 Introduction; structure of subpart.
86.106-96 Equipment required; overview.
86.107-96 Sampling and analytical systems; evaporative emissions.
86.107-98 Sampling and analytical system.
86.108-00 Dynamometer.
86.109-94 Exhaust gas sampling system; Otto-cycle vehicles not requiring 
          particulate emission measurements.
86.110-94 Exhaust gas sampling system; diesel-cycle vehicles, and Otto-
          cycle vehicles requiring particulate emissions measurements.
86.111-94 Exhaust gas analytical system.
86.112-91 Weighing chamber (or room) and microgram balance 
          specifications.
86.113-04 Fuel specifications.
86.113-15 Fuel specifications.
86.113-94 Fuel specifications.
86.114-94 Analytical gases.
86.115-78 EPA urban dynamometer driving schedule.
86.116-94 Calibrations, frequency and overview.
86.117-96 Evaporative emission enclosure calibrations.
86.118-00 Dynamometer calibrations.
86.119-90 CVS calibration.
86.120-94 Gas meter or flow instrumentation calibration; particulate, 
          methanol and formaldehyde measurement.
86.121-90 Hydrocarbon analyzer calibration.
86.122-78 Carbon monoxide analyzer calibration.
86.123-78 Oxides of nitrogen analyzer calibration.
86.124-78 Carbon dioxide analyzer calibration.
86.125-94 Methane analyzer calibration.
86.126-90 Calibration of other equipment.
86.127-00 Test procedures; overview.
86.127-12 Test procedures; overview.
86.128-79 Transmissions.
86.129-00 Road load power, test weight, and inertia weight class 
          determination.
86.129-80 Road load power, test weight, and inertia weight class 
          determination.
86.129-94 Road load power, test weight, inertia weight class 
          determination, and fuel temperature profile.
86.130-96 Test sequence; general requirements.
86.131-96 Vehicle preparation.
86.132-00 Vehicle preconditioning.
86.133-96 Diurnal emission test.
86.134-96 Running loss test.
86.135-12 Dynamometer procedure.
86.135-90 Dynamometer procedure.
86.136-90 Engine starting and restarting.
86.137-94 Dynamometer test run, gaseous and particulate emissions.
86.138-96 Hot soak test.
86.139-90 Particulate filter handling and weighing.
86.140-94 Exhaust sample analysis.
86.142-90 Records required.
86.143-96 Calculations; evaporative emissions.
86.144-94 Calculations; exhaust emissions.
86.145-82 Calculations; particulate emissions.
86.146-96 Fuel dispensing spitback procedure.
86.150-98 Refueling test procedure; overview.
86.151-98 General requirements; refueling test.
86.152-98 Vehicle preparation; refueling test.
86.153-98 Vehicle and canister preconditioning; refueling test.
86.154-98 Measurement procedure; refueling test.
86.155-98 Records required; refueling test.
86.156-98 Calculations; refueling test.

[[Page 429]]

86.157-98 Refueling test procedures for liquefied petroleum gas-fueled 
          vehicles.
86.158-00 Supplemental Federal Test Procedures; overview.
86.158-08 Supplemental Federal Test Procedures; overview.
86.159-00 Exhaust emission test procedures for US06 emissions.
86.159-08 Exhaust emission test procedures for US06 emissions.
86.160-00 Exhaust emission test procedure for SC03 emissions.
86.161-00 Air conditioning environmental test facility ambient 
          requirements.
86.162-03 Approval of alternative air conditioning test simulations.
86.163-00 Spot check correlation procedures for vehicles tested using a 
          simulation of the environmental test cell for air conditioning 
          emission testing.
86.164-00 Supplemental Federal Test Procedure calculations.
86.164-08 Supplemental Federal Test Procedure calculations.
86.165-12 Air conditioning idle test procedure.
86.166-12 [Reserved]

 Subpart C_Emission Regulations for 1994 and Later Model Year Gasoline-
  Fueled New Light-Duty Vehicles, New Light-Duty Trucks and New Medium-
        Duty Passenger Vehicles; Cold Temperature Test Procedures

86.201 General applicability.
86.213 Fuel specifications.

Subpart D [Reserved]

   Subpart E_Emission Regulations for 1978 and Later New Motorcycles, 
                           General Provisions

86.401-97 General applicability.
86.401-2006 General applicability.
86.402-78 Definitions.
86.402-98 Definitions.
86.403-78 Abbreviations.
86.404-78 Section numbering.
86.405-78 Measurement system.
86.406-78 Introduction, structure of subpart, further information.
86.407-78 Certificate of conformity required.
86.408-78 General standards; increase in emissions; unsafe conditions.
86.409-78 Defeat devices, prohibition.
86.410-90 Emission standards for 1990 and later model year motorcycles.
86.410-2006 Emission standards for 2006 and later model year 
          motorcycles.
86.411-78 Maintenance instructions, vehicle purchaser.
86.412-78 Maintenance instructions, submission to Administrator.
86.413-78 Labeling.
86.413-2006 Labeling.
86.414-78 Submission of vehicle identification number.
86.415-78 Production vehicles.
86.416-80 Application for certification.
86.417-78 Approval of application for certification.
86.418-78 Test fleet selection.
86.419-2006 Engine displacement, motorcycle classes.
86.420-78 Engine families.
86.421-78 Test fleet.
86.422-78 Administrator's fleet.
86.423-78 Test vehicles.
86.425-78 Test procedures.
86.426-78 Service accumulation.
86.427-78 Emission tests.
86.428-80 Maintenance, scheduled; test vehicles.
86.429-78 Maintenance, unscheduled; test vehicles.
86.430-78 Vehicle failure.
86.431-78 Data submission.
86.432-78 Deterioration factor.
86.434-78 Testing by the Administrator.
86.435-78 Extrapolated emission values.
86.436-78 Additional service accumulation.
86.437-78 Certification.
86.438-78 Amendments to the application.
86.439-78 Alternative procedure for notification of additions and 
          changes.
86.440-78 Maintenance of records.
86.441-78 Right of entry.
86.442-78 Denial, revocation, or suspension of certification.
86.443-78 Request for hearing.
86.444-78 Hearings on certification.
86.445-2006 What temporary provisions address hardship due to unusual 
          circumstances?
86.446-2006 What are the provisions for extending compliance deadlines 
          for small-volume manufacturers under hardship?
86.447-2006 What provisions apply to motorcycle engines below 50 cc that 
          are certified under the Small SI program or the Recreational-
          vehicle program?
86.448-2006 What provisions apply to vehicles certified under the 
          Recreational-vehicle program?
86.449 Averaging provisions.

Subpart F_Emission Regulations for 1978 and Later New Motorcycles, Test 
                               Procedures

86.501-78 Applicability.
86.502-78 Definitions.
86.503-78 Abbreviations.
86.504-78 Section numbering.
86.505-2004 Introduction; structure of subpart.
86.508-78 Dynamometer.
86.509-90 Exhaust gas sampling system.
86.511-90 Exhaust gas analytical system.
86.513 Fuel and engine lubricant specifications.

[[Page 430]]

86.514-78 Analytical gases.
86.515-78 EPA urban dynamometer driving schedule.
86.516-90 Calibrations, frequency and overview.
86.518-78 Dynamometer calibration.
86.519-90 Constant volume sampler calibration.
86.521-90 Hydrocarbon analyzer calibration.
86.522-78 Carbon monoxide analyzer calibration.
86.523-78 Oxides of nitrogen analyzer calibration.
86.524-78 Carbon dioxide analyzer calibration.
86.526-90 Calibration of other equipment.
86.527-90 Test procedures, overview.
86.528-78 Transmissions.
86.529-98 Road load force and inertia weight determination.
86.530-78 Test sequence, general requirements.
86.531-78 Vehicle preparation.
86.532-78 Vehicle preconditioning.
86.535-90 Dynamometer procedure.
86.536-78 Engine starting and restarting.
86.537-90 Dynamometer test runs.
86.540-90 Exhaust sample analysis.
86.542-90 Records required.
86.544-90 Calculations; exhaust emissions.
86.545-86.599 [Reserved]

  Subpart G_Selective Enforcement Auditing of New Light-Duty Vehicles, 
               Light-Duty Trucks, and Heavy-Duty Vehicles

86.601-1--86.601-83 [Reserved]
86.601-84 Applicability.
86.602-84 Definitions.
86.602-98 Definitions.
86.603-88 Test orders.
86.603-98 Test orders.
86.604-84 Testing by the Administrator.
86.605-88 Maintenance of records; submittal of information.
86.605-98 Maintenance of records; submittal of information.
86.606-84 Entry and access.
86.607-84 Sample selection.
86.608-98 Test procedures.
86.609-98 Calculation and reporting of test results.
86.610-98 Compliance with acceptable quality level and passing and 
          failing criteria for Selective Enforcement Audits.
86.612-97 Suspension and revocation of certificates of conformity.
86.614-84 Hearings on suspension, revocation, and voiding of 
          certificates of conformity.
86.615-84 Treatment of confidential information.

Subpart H [Reserved]

Subpart I_Emission Regulations for New Diesel Heavy-Duty Engines; Smoke 
                         Exhaust Test Procedure

86.884-1 General applicability.
86.884-2 Definitions.
86.884-3 Abbreviations.
86.884-4 Section numbering.
86.884-5 Test procedures.
86.884-6 Fuel specifications.
86.884-7 Dynamometer operation cycle for smoke emission tests.
86.884-8 Dynamometer and engine equipment.
86.884-9 Smoke measurement system.
86.884-10 Information.
86.884-11 Instrument checks.
86.884-12 Test run.
86.884-13 Data analysis.
86.884-14 Calculations.

   Subpart J_Fees for the Motor Vehicle and Engine Compliance Program

86.901 Assessment of fees.

   Subpart K_Selective Enforcement Auditing of New Heavy-Duty Engines

86.1001 Applicability.

Subpart L_Nonconformance Penalties for Gasoline-Fueled and Diesel Heavy-
    Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks

86.1101-87 Applicability.
86.1102-87 Definitions.
86.1103-2016 Criteria for availability of nonconformance penalties.
86.1104-2016 Determination of upper limits.
86.1105-87 Emission standards for which nonconformance penalties are 
          available.
86.1106-87 Production compliance auditing.
86.1107-87 Testing by the Administrator.
86.1108-87 Maintenance of records.
86.1109-87 Entry and access.
86.1110-87 Sample selection.
86.1111-87 Test procedures for PCA testing.
86.1112-87 Determining the compliance level and reporting of test 
          results.
86.1113-87 Calculation and payment of penalty.
86.1114-87 Suspension and voiding of certificates of conformity.
86.1115-87 Hearing procedures for nonconformance determinations and 
          penalties.
86.1116-87 Treatment of confidential information.

Subpart M [Reserved]

[[Page 431]]

        Subpart N_Exhaust Test Procedures for Heavy-duty Engines

86.1301 Scope; applicability.
86.1302-84 Definitions.
86.1303-84 Abbreviations.
86.1304 Section numbering; construction.
86.1305 Introduction; structure of subpart.
86.1333 Transient test cycle generation.
86.1360 Supplemental emission test; test cycle and procedures.
86.1362 Steady-state testing with a ramped-modal cycle.
86.1370 Not-To-Exceed test procedures.
86.1372 Measuring smoke emissions within the NTE zone.

Subpart O [Reserved]

 Subpart P_Emission Regulations for Otto-Cycle Heavy-Duty Engines, New 
 Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-Fueled 
 Diesel-Cycle Heavy-Duty Engines, New Otto-Cycle Light-Duty Trucks, and 
  New Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-
       Fueled Diesel-Cycle Light-Duty Trucks; Idle Test Procedures

86.1501 Scope; applicability.
86.1502 Definitions.
86.1503 Abbreviations.
86.1505 Introduction; structure of subpart.
86.1506 Equipment required and specifications; overview.
86.1509 Exhaust gas sampling system.
86.1511 Exhaust gas analysis system.
86.1513 Fuel specifications.
86.1514 Analytical gases.
86.1516 Calibration; frequency and overview.
86.1519 CVS calibration.
86.1522 Carbon monoxide analyzer calibration.
86.1524 Carbon dioxide analyzer calibration.
86.1526 Calibration of other equipment.
86.1527 Idle test procedure; overview.
86.1530 Test sequence; general requirements.
86.1537 Idle test run.
86.1540 Idle exhaust sample analysis.
86.1542 Information required.
86.1544 Calculation; idle exhaust emissions.

 Subpart Q_Regulations for Altitude Performance Adjustments for New and 
                    In-Use Motor Vehicles and Engines

86.1601 General applicability.
86.1602 Definitions.
86.1603 General requirements.
86.1604 Conditions for disapproval.
86.1605 Information to be submitted.
86.1606 Labeling.

Subpart R [Reserved]

  Subpart S_General Compliance Provisions for Control of Air Pollution 
 From New and In-Use Light-Duty Vehicles, Light-Duty Trucks, and Heavy-
                              Duty Vehicles

86.1801-01 Applicability.
86.1801-12 Applicability.
86.1802-01 Section numbering; construction.
86.1803-01 Definitions.
86.1804-01 Acronyms and abbreviations.
86.1805-04 Useful life.
86.1805-12 Useful life.
86.1805-17 Useful life.
86.1806-05 Onboard diagnostics.
86.1806-17 Onboard diagnostics.
86.1807-01 Vehicle labeling.
86.1808-01 Maintenance instructions.
86.1809-01 Prohibition of defeat devices.
86.1809-10 Prohibition of defeat devices.
86.1809-12 Prohibition of defeat devices.
86.1810-01 General standards; increase in emissions; unsafe conditions; 
          waivers
86.1810-09 General standards; increase in emissions; unsafe condition; 
          waivers.
86.1810-17 General requirements.
86.1811-04 Emission standards for light-duty vehicles, light-duty trucks 
          and medium-duty passenger vehicles.
86.1811-09 Emission standards for light-duty vehicles, light-duty trucks 
          and medium-duty passenger vehicles.
86.1811-10 Emission standards for light-duty vehicles, light-duty trucks 
          and medium-duty passenger vehicles.
86.1811-17 Exhaust emission standards for light-duty vehicles, light-
          duty trucks and medium-duty passenger vehicles.
86.1813-17 Evaporative and refueling emission standards.
86.1816-05 Emission standards for complete heavy-duty vehicles.
86.1816-08 Emission standards for complete heavy-duty vehicles.
86.1816-18 Emission standards for heavy-duty vehicles.
86.1817-05 Complete heavy-duty vehicle averaging, trading, and banking 
          program.
86.1817-08 Complete heavy-duty vehicle averaging, trading, and banking 
          program.
86.1818-12 Greenhouse gas emission standards for light-duty vehicles, 
          light-duty trucks, and medium-duty passenger vehicles.
86.1819 [Reserved]
86.1819-14 Greenhouse gas emission standards for heavy-duty vehicles.
86.1820-01 Durability group determination.
86.1821-01 Evaporative/refueling family determination.
86.1822-01 Durability data vehicle selection.
86.1823-01 Durability demonstration procedures for exhaust emissions.

[[Page 432]]

86.1823-08 Durability demonstration procedures for exhaust emissions.
86.1824-01 Durability demonstration procedures for evaporative 
          emissions.
86.1824-07 Durability demonstration procedures for evaporative 
          emissions.
86.1824-08 Durability demonstration procedures for evaporative 
          emissions.
86.1825-01 Durability demonstration procedures for refueling emissions.
86.1825-08 Durability demonstration procedures for refueling emissions.
86.1826-01 Assigned deterioration factors for small-volume manufacturers 
          and small-volume test groups.
86.1827-01 Test group determination.
86.1828-01 Emission data vehicle selection.
86.1829-01 Durability and emission testing. requirements; waivers.
86.1829-15 Durability and emission testing requirements; waivers.
86.1830-01 Acceptance of vehicles for emission testing.
86.1831-01 Mileage accumulation requirements for test vehicles.
86.1832-01 Optional equipment and air conditioning for test vehicles.
86.1833-01 Adjustable parameters.
86.1834-01 Allowable maintenance.
86.1835-01 Confirmatory certification testing.
86.1836-01 Manufacturer-supplied production vehicles for testing.
86.1837-01 Rounding of emission measurements.
86.1838-01 Small-volume manufacturer certification procedures.
86.1839-01 Carryover of certification data.
86.1840-01 Special test procedures.
86.1841-01 Compliance with emission standards for the purpose of 
          certification.
86.1842-01 Addition of a vehicle after certification; and changes to a 
          vehicle covered by certification.
86.1843-01 General information requirements.
86.1844-01 Information requirements: Application for certification and 
          submittal of information upon request.
86.1845-04 Manufacturer in-use verification testing requirements.
86.1846-01 Manufacturer in-use confirmatory testing requirements.
86.1847-01 Manufacturer in-use verification and in-use confirmatory 
          testing; submittal of information and maintenance of records.
86.1848-01 Certification.
86.1848-10 Compliance with emission standards for the purpose of 
          certification
86.1849-01 Right of entry.
86.1850-01 Denial, suspension or revocation of certificate of 
          conformity.
86.1851-01 Application of good engineering judgment to manufacturers' 
          decisions.
86.1852-01 Waivers for good in-use emission performance.
86.1853-01 Certification hearings.
86.1854-12 Prohibited acts.
86.1855-86.1859 [Reserved]
86.1860-04 How to comply with the Tier 2 and interim non-Tier 2 fleet 
          average NOX standards.
86.1860-17 How to comply with the Tier 3 fleet-average standards.
86.1861-04 How do the Tier 2 and interim non-Tier 2 NOX 
          averaging, banking and trading programs work?
86.1861-17 How do the NMOG + NOX and evaporative emission 
          credit programs work?
86.1862-04 Maintenance of records and submittal of information relevant 
          to compliance with fleet-average standards.
86.1863-07 Optional chassis certification for diesel vehicles.
86.1864-10 How to comply with the fleet average cold temperature NMHC 
          standards.
86.1865-12 How to comply with the fleet average CO2 
          standards.
86.1866-12 CO2 credits for advanced technology vehicles.
86.1867-12 CO2 credits for reducing leakage of air 
          conditioning refrigerant.
86.1868-12 CO2 credits for improving the efficiency of air 
          conditioning systems.
86.1869-12 CO2 credits for off-cycle CO2-reducing 
          technologies.
86.1870-12 CO2 credits for qualifying full-size light pickup 
          trucks.
86.1871-12 Optional early CO2 credit programs.

Appendix I to Subpart S of Part 86--Vehicle Procurement Methodology
Appendix II to Subpart S of Part 86--As-Received Testing Vehicle 
          Rejection Criteria
Appendix III to Subpart S of Part 86--As-Received Inspection

Subpart T_Manufacturer-Run In-Use Testing Program for Heavy-Duty Diesel 
                                 Engines

86.1901 What testing requirements apply to my engines that have gone 
          into service?
86.1905 How does this program work?
86.1908 How must I select and screen my in-use engines?
86.1910 How must I prepare and test my in-use engines?
86.1912 How do I determine whether an engine meets the vehicle-pass 
          criteria?
86.1915 What are the requirements for Phase 1 and Phase 2 testing?
86.1917 How does in-use testing under this subpart relate to the 
          emission-related warranty in Section 207(a)(1) of the Clean 
          Air Act?
86.1920 What in-use testing information must I report to EPA?
86.1925 What records must I keep?
86.1930 What special provisions apply from 2005 through 2010?

[[Page 433]]


Appendix I to Subpart T of Part 86--Sample Graphical Summary of NTE 
          Emission Results
86.1931-86.1999 -Reserved]
Appendix I to Part 86--Dynamometer Schedules
Appendix II to Part 86--Temperature Schedules
Appendix III to Part 86--Constant Volume Sampler Flow Calibration
Appendix IV to Part 86--Durability Driving Schedules
Appendix V to Part 86--The Standard Road Cycle (SRC)
Appendix VI to Part 86--Vehicle and Engine Components
Appendix VII to Part 86--Standard Bench Cycle (SBC)
Appendix VIII to Part 86--Aging Bench Equipment and Procedures
Appendix IX to Part 86--Experimentally Determining the R-Factor for 
          Bench Aging Durability Procedures
Appendix X to Part 86--Sampling Plans for Selective Enforcement Auditing 
          of Heavy-Duty Engines and Light-Duty Trucks
Appendix XI to Part 86--Sampling Plans for Selective Enforcement 
          Auditing of Light-Duty Vehicles
Appendix XII to Part 86--Tables for Production Compliance Auditing of 
          Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-
          Duty Trucks

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

    Editorial Note: Nomenclature changes to part 86 appear at 60 FR 
34377, June 30, 1995 and 69 FR 18803, Apr. 9, 2004.



Sec.  86.1  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, a document must be published in the Federal 
Register and the material must be available to the public. All approved 
material is available for inspection at U.S. EPA, Air and Radiation 
Docket and Information Center, 1301 Constitution Ave., NW., Room B102, 
EPA West Building, Washington, DC 20460, (202) 202-1744, and is 
available from the sources listed below. It is also available for 
inspection at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to http://www.archives.gov/federal_register/
code_of_federal_regulations/ibr_locations.html.
    (b) ASTM International material. The following standards are 
available from ASTM International, 100 Barr Harbor Drive, P.O. Box C700, 
West Conshohocken, PA, 19428-2959, (610) 832-9585, or http://
www.astm.org/:
    (1) ASTM C1549-09, Standard Test Method for Determination of Solar 
Reflectance Near Ambient Temperature Using a Portable Solar 
Reflectometer, approved August 1, 2009 (``ASTM C1549''), IBR approved 
for Sec.  86.1869-12(b).
    (2) ASTM D86-12, Standard Test Method for Distillation of Petroleum 
Products at Atmospheric Pressure, approved December 1, 2012 (``ASTM 
D86''), IBR approved for Sec. Sec.  86.113-04(a), 86.113-94(b), 
86.213(a), and 86.513(a).
    (3) ASTM D93-13, Standard Test Methods for Flash Point by Pensky-
Martens Closed Cup Tester, approved July 15, 2013 (``ASTM D93''), IBR 
approved for Sec.  86.113-94(b).
    (4) ASTM D445-12, Standard Test Method for Kinematic Viscosity of 
Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity), 
approved April 15, 2012 (``ASTM D445''), IBR approved for Sec.  86.113-
94(b).
    (5) ASTM D613-13, Standard Test Method for Cetane Number of Diesel 
Fuel Oil, approved December 1, 2013 (``ASTM D613''), IBR approved for 
Sec.  86.113-94(b).
    (6) ASTM D975-13a, Standard Specification for Diesel Fuel Oils, 
approved December 1, 2013 (``ASTM D975''), IBR approved for Sec.  
86.1910(c).
    (7) ASTM D976-06 (Reapproved 2011), Standard Test Method for 
Calculated Cetane Index of Distillate Fuels, approved October 1, 2011 
(``ASTM D976''), IBR approved for Sec.  86.113-94(b).
    (8) ASTM D1319-13, Standard Test Method for Hydrocarbon Types in 
Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved 
May 1, 2013 (``ASTM D1319''), IBR approved for Sec. Sec.  86.113-04(a), 
86.213(a), and 86.513(a).
    (9) ASTM D1945-03 (reapproved 2010), Standard Test Method for 
Analysis of Natural Gas by Gas Chromatography, approved January 1, 2010 
(``ASTM D1945''), IBR approved for Sec. Sec.  86.113-94(e) and 
86.513(d).

[[Page 434]]

    (10) ASTM D2163-07, Standard Test Method for Determination of 
Hydrocarbons in Liquefied Petroleum (LP) Gases and Propane/Propene 
Mixtures by Gas Chromatography, approved December 1, 2007 (``ASTM 
D2163''), IBR approved for Sec. Sec.  86.113-94(f).
    (11) ASTM D2622-10, Standard Test Method for Sulfur in Petroleum 
Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, 
approved February 15, 2010 (``ASTM D2622''), IBR approved for Sec. Sec.  
86.113-04(a), 86.113-94(b), 86.213(a), and 86.513(a).
    (12) ASTM D2699-13b, Standard Test Method for Research Octane Number 
of Spark-Ignition Engine Fuel, approved October 1, 2013 (``ASTM 
D2699''), IBR approved for Sec. Sec.  86.113-04(a) and 86.213(a).
    (13) ASTM D2700-13b, Standard Test Method for Motor Octane Number of 
Spark-Ignition Engine Fuel, approved October 1, 2013 (``ASTM D2700''), 
IBR approved for Sec. Sec.  86.113-04(a) and 86.213(a).
    (14) ASTM D3231-13, Standard Test Method for Phosphorus in Gasoline, 
approved June 15, 2013 (``ASTM D3231''), IBR approved for Sec. Sec.  
86.113-04(a), 86.213(a), and 86.513(a).
    (15) ASTM D3237-12, Standard Test Method for Lead in Gasoline by 
Atomic Absorption Spectroscopy, approved June 1, 2012 (``ASTM D3237''), 
IBR approved for Sec. Sec.  86.113-04(a), 86.213(a), and 86.513(a).
    (16) ASTM D4052-11, Standard Test Method for Density, Relative 
Density, and API Gravity of Liquids by Digital Density Meter, approved 
October 15, 2011 (``ASTM D4052''), IBR approved for Sec.  86.113-94(b).
    (17) ASTM D5186-03 (Reapproved 2009), Standard Test Method for 
Determination of the Aromatic Content and Polynuclear Aromatic Content 
of Diesel Fuels and Aviation Turbine Fuels by Supercritical Fluid 
Chromatography, approved April 15, 2009 (``ASTM D5186''), IBR approved 
for Sec.  86.113-94(b).
    (18) ASTM D5191-13, Standard Test Method for Vapor Pressure of 
Petroleum Products (Mini Method), approved December 1, 2013 (``ASTM 
D5191''), IBR approved for Sec. Sec.  86.113-04(a), 86.213(a), and 
86.513(a).
    (19) ASTM E29-93a, Standard Practice for Using Significant Digits in 
Test Data to Determine Conformance with Specifications, approved March 
15, 1993 (``ASTM E29''), IBR approved for Sec. Sec.  86.004-15(c), 
86.007-11(a), 86.007-15(m), 86.1803-01, 86.1823-01(a), 86.1824-01(c), 
86.1825-01(c).
    (20) ASTM E903-96, Standard Test Method for Solar Absorptance, 
Reflectance, and Transmittance of Materials Using Integrating Spheres, 
approved April 10, 1996 (``ASTM E903''), IBR approved for Sec.  86.1869-
12(b).
    (21) ASTM E1918-06, Standard Test Method for Measuring Solar 
Reflectance of Horizontal and Low-Sloped Surfaces in the Field, approved 
August 15, 2006 (``ASTM E1918''), IBR approved for Sec.  86.1869-12(b).
    (c) ANSI material. The following standards are available from 
American National Standards Institute, 25 W 43rd Street, 4th Floor, New 
York, NY 10036, (212) 642-4900, or http://www.ansi.org:
    (1) ANSI NGV1-2006, Standard for Compressed Natural Gas Vehicle 
(NGV) Fueling Connection Devices, 2nd edition, reaffirmed and 
consolidated March 2, 2006, IBR approved for Sec.  86.1813-17(f).
    (2) CSA IR-1-15, Compressed Natural Gas Vehicle (NGV) High Flow 
Fueling Connection Devices--Supplement to NGV 1-2006, ANSI approved 
August 26, 2015, IBR approved for Sec.  86.1813-17(f),
    (d) California Air Resources Board. The following documents are 
available from the California Air Resources Board, 1001 I Street, 
Sacramento, CA 95812, (916) 322-2884, or http://www.arb.ca.gov:
    (1) California Requirements Applicable to the LEV III Program, 
including the following documents:
    (i) LEV III exhaust emission standards are in Title 13 Motor 
Vehicles, Division 3 Air Resources Board, Chapter 1 Motor Vehicle 
Pollution Control Devices, Article 2 Approval of Motor Vehicle Pollution 
Control Devices (New Vehicles), Sec.  1961.2 Exhaust Emission Standards 
and Test Procedures--2015 and Subsequent Model Passenger Cars, Light-
Duty Trucks, and Medium-Duty Vehicles, effective as of December 31, 
2012, IBR approved for Sec.  86.1803-01.
    (ii) LEV III evaporative emission standards for model year 2015 and 
later vehicles are in Title 13 Motor Vehicles, Division 3 Air Resources 
Board, Chapter 1 Motor Vehicle Pollution Control Devices, Article 2 
Approval of Motor

[[Page 435]]

Vehicle Pollution Control Devices (New Vehicles) Sec.  1976 Standards 
and Test Procedures for Motor Vehicle Fuel Evaporative Emissions, 
effective as of December 31, 2012, IBR approved for Sec.  86.1803-01.
    (2) California Regulatory Requirements Applicable to the National 
Low Emission Vehicle Program, October 1996, IBR approved for Sec.  
86.113-04(a).
    (3) California Regulatory Requirements known as Onboard Diagnostics 
II (OBD-II), Approved on April 21, 2003, Title 13, California Code of 
Regulations, Section 1968.2, Malfunction and Diagnostic System 
Requirements for 2004 and Subsequent Model-Year Passenger Cars, Light-
Duty Trucks, and Medium-Duty Vehicles and Engines (OBD-II), IBR approved 
for Sec.  86.1806-05(j).
    (4) California Regulatory Requirements known as Onboard Diagnostics 
II (OBD-II), Approved on November 9, 2007, Title 13, California Code of 
Regulations, Section 1968.2, Malfunction and Diagnostic System 
Requirements for 2004 and Subsequent Model-Year Passenger Cars, Light-
Duty Trucks, and Medium-Duty Vehicles and Engines (OBD-II), IBR approved 
for Sec.  86.1806-05(j).
    (5) California Regulatory Requirements known as Onboard Diagnostics 
II (OBD-II), Title 13, Motor Vehicles, Division 3, Air Resources Board, 
Chapter 1, Motor Vehicle Pollution Control Devices, Article 2, Approval 
of Motor Vehicle Pollution Control Devices (New Vehicles), Sec.  1968.2 
Malfunction and Diagnostic System Requirements--2004 and Subsequent 
Model-Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles 
and Engines, effective as of July 31, 2013, IBR approved for Sec.  
86.1806-17(a).
    (e) ISO material. The following standards are available from 
International Organization for Standardization, Case Postale 56, CH-1211 
Geneva 20, Switzerland, 41-22-749-01-11, or http://www.iso.org:
    (1) ISO 13837:2008(E), Road Vehicles--Safety glazing materials--
Method for the determination of solar transmittance, First edition, 
April 15, 2008, IBR approved for Sec.  86.1869-12(b).
    (2) ISO 15765-4:2005(E), Road Vehicles--Diagnostics on Controller 
Area Networks (CAN)--Part 4: Requirements for emissions-related systems, 
January 15, 2005, IBR approved for Sec. Sec.  86.010-18(k) and 86.1806-
05(h).
    (f) NIST material. The following documents are available from 
National Institute of Standards and Technology, 100 Bureau Drive, 
Gaithersburg, MD 20899, or http://www.nist.gov:
    (1) NIST Special Publication 811, 2008 Edition, Guide for the Use of 
the International System of Units (SI), March 2008, IBR approved for 
Sec.  86.1901(d).
    (2) [Reserved]
    (g) SAE International material. The following standards are 
available from SAE International, 400 Commonwealth Dr., Warrendale, PA 
15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside 
the U.S. and Canada), or http://www.sae.org:
    (1) SAE J1151, Methane Measurement Using Gas Chromatography, 
stabilized September 2011, IBR approved for Sec.  86.111-94(b).
    (2) SAE J1349, Engine Power Test Code--Spark Ignition and 
Compression Ignition--As Installed Net Power Rating, revised September 
2011, IBR approved for Sec.  86.1803-01.
    (3) SAE J1850, Class B Data Communication Network Interface, Revised 
May 2001, IBR approved for Sec.  86.1806-05(h).
    (4) SAE J1877, Recommended Practice for Bar-Coded Vehicle 
Identification Number Label, July 1994, IBR approved for Sec.  86.1807-
01(f).
    (5) [Reserved]
    (6) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, 
Definitions, Abbreviations, and Acronyms, Revised May 1998, IBR approved 
for Sec. Sec.  86.1808-01(f), 86.1808-07(f).
    (7) SAE J1930, Electrical/Electronic Systems Diagnostic Terms, 
Definitions, Abbreviations, and Acronyms--Equivalent to ISO/TR 15031-2: 
April 30, 2002, Revised April 2002, IBR approved for Sec. Sec.  86.010-
18(k) and 86.1806-05(h).
    (8) SAE J1939, Recommended Practice for a Serial Control and 
Communications Vehicle Network, Revised October 2007, IBR approved for 
Sec.  86.010-18(k).
    (9) SAE J1939-11, Physical Layer--250K bits/s, Shielded Twisted 
Pair, Revised October 1999, IBR approved for Sec.  86.1806-05(h).

[[Page 436]]

    (10) SAE J1939-13, Off-Board Diagnostic Connector, July 1999, IBR 
approved for Sec.  86.1806-05(h).
    (11) SAE J1939-13, Off-Board Diagnostic Connector, Revised March 
2004, IBR approved for Sec.  86.010-18(k).
    (12) SAE J1939-21, Data Link Layer, Revised April 2001, IBR approved 
for Sec.  86.1806-05(h).
    (13) SAE J1939-31, Network Layer, Revised December 1997, IBR 
approved for Sec.  86.1806-05(h).
    (14) SAE J1939-71, Vehicle Application Layer (Through February 
2007), Revised January 2008, IBR approved for Sec. Sec.  86.010-38(j) 
and 86.1806-05(h).
    (15) SAE J1939-73, Application Layer--Diagnostics, Revised September 
2006, IBR approved for Sec. Sec.  86.010-18(k), 86.010-38(j), and 
86.1806-05(h).
    (16) SAE J1939-81, Network Management, Revised May 2003, IBR 
approved for Sec. Sec.  86.010-38(j) and 86.1806-05(h).
    (17) SAE J1962, Diagnostic Connector Equivalent to ISO/DIS 15031-3; 
December 14, 2001, Revised April 2002, IBR approved for Sec. Sec.  
86.010-18(k) and 86.1806-05(h).
    (18) SAE J1978, OBD II Scan Tool--Equivalent to ISO/DIS 15031-4; 
December 14, 2001, Revised April 2002, IBR approved for Sec. Sec.  
86.010-18(k) and 86.1806-05(h).
    (19) SAE J1979, E/E Diagnostic Test Modes, Revised September 1997, 
IBR approved for Sec. Sec.  86.1808-01(f) and 86.1808-07(f).
    (20) SAE J1979, (R) E/E Diagnostic Test Modes, Revised May 2007, IBR 
approved for Sec. Sec.  86.010-18(k) and 86.1806-05(h).
    (21) SAE J2012, (R) Diagnostic Trouble Code Definitions Equivalent 
to ISO/DIS 15031-6: April 30, 2002, Revised April 2002, IBR approved for 
Sec. Sec.  86.010-18(k) and 86.1806-05(h).
    (22) SAE J2064 FEB2011, R134a Refrigerant Automotive Air-Conditioned 
Hose, Revised February 2011, IBR approved for Sec.  86.1867-12(a) and 
(b).
    (23) SAE J2284-3, High Speed CAN (HSC) for Vehicle Applications at 
500 KBPS, May 2001, IBR approved for Sec. Sec.  86.1808-01(f) and 
86.1808-07(f).
    (24) SAE J2403, Medium/Heavy-Duty E/E Systems Diagnosis 
Nomenclature--Truck and Bus, Revised August 2007, IBR approved for 
Sec. Sec.  86.010-18(k), 86.010-38(j), and 86.1806-05(h).
    (25) SAE J2534, Recommended Practice for Pass-Thru Vehicle 
Programming, February 2002, IBR approved for Sec. Sec.  86.1808-01(f) 
and 86.1808-07(f).
    (26) SAE J2727 FEB2012, Mobile Air Conditioning System Refrigerant 
Emission Charts for R-134a and R-1234yf, Revised February 2012, IBR 
approved for Sec.  86.1867-12(a) and (b).
    (27) SAE J2765 OCT2008, Procedure for Measuring System COP 
[Coefficient of Performance] of a Mobile Air Conditioning System on a 
Test Bench, issued October 2008, IBR approved for Sec.  86.1868-12(h).
    (h) Truck and Maintenance Council material. The following documents 
are available from the Truck and Maintenance Council, 950 North Glebe 
Road, Suite 210, Arlington, VA 22203-4181, or (703) 838-1754:
    (1) TMC RP 1210B, Revised June 2007, WINDOWSTMCOMMUNICATION API, IBR 
approved for Sec.  86.010-38(j).
    (2) [Reserved]

[79 FR 23685, Apr. 28, 2014, as amended at 80 FR 9100, Feb. 19, 2015; 81 
FR 73973, Oct. 25, 2016]



   Subpart A_General Provisions for Heavy-Duty Engines and Heavy-Duty 
                                Vehicles

    Source: 42 FR 32907, June 28, 1977, unless otherwise noted.



Sec.  86.000-2  Definitions.

    The definitions of Sec.  86.098-2 continue to apply to 1998 and 
later model year vehicles. The definitions listed in this section apply 
beginning with the 2000 model year.
    AC1 means a test procedure as described in Sec.  86.162-00 which 
simulates testing with air conditioning operating in an environmental 
test cell by adding the air conditioning compressor load to the normal 
dynamometer forces.
    AC2 means a test procedure as described in Sec.  86.162-00 which 
simulates testing with air conditioning operating in an environmental 
test cell by adding a heat load to the passenger compartment.
    Alternative fuels means any fuel other than gasoline and diesel 
fuels, such as methanol, ethanol, and gaseous fuels.

[[Page 437]]

    866 Cycle means the test cycle that consists of the last 866 seconds 
(seconds 505 to 1372) of the EPA Urban Dynamometer Driving Schedule, 
described in Sec.  86.115-00 and listed in appendix I, paragraph (a), of 
this part.
    Environmental test cell means a test cell capable of wind-speed, 
solar thermal load, ambient temperature, and humidity control or 
simulation which meets the requirements of Sec.  86.161-00 for running 
emission tests with the air conditioning operating.
    Federal Test Procedure, or FTP means the test procedure as described 
in Sec.  86.130-00 (a) through (d) and (f) which is designed to measure 
urban driving tail pipe exhaust emissions and evaporative emissions over 
the Urban Dynamometer Driving Schedule as described in appendix I to 
this part.
    505 Cycle means the test cycle that consists of the first 505 
seconds (seconds 1 to 505) of the EPA Urban Dynamometer Driving 
Schedule, described in Sec.  86.115-00 and listed in appendix I, 
paragraph (a), of this part.
    SC03 means the test cycle, described in Sec.  86.160-00 and listed 
in appendix I, paragraph (h), of this part, which is designed to 
represent driving immediately following startup.
    Supplemental FTP, or SFTP means the additional test procedures 
designed to measure emissions during aggressive and microtransient 
driving, as described in Sec.  86.159-00 over the US06 cycle, and also 
the test procedure designed to measure urban driving emissions while the 
vehicle's air conditioning system is operating, as described in Sec.  
86.160-00 over the SC03 cycle.
    US06 means the test cycle, described in Sec.  86.159-00 and listed 
in appendix I, paragraph (g), of this part, which is designed to 
evaluate emissions during aggressive and microtransient driving.

[61 FR 54878, Oct. 22, 1996]



Sec.  86.000-3  Abbreviations.

    The abbreviations in Sec.  86.098-3 continue to apply to 1998 and 
later model year vehicles. The abbreviations in this section apply 
beginning with the 2000 model year:

A/C--Air conditioning
FTP--Federal Test Procedure
SFTP--Supplemental Federal Test Procedure
WOT--Wide Open Throttle

[61 FR 54878, Oct. 22, 1996]



Sec.  86.000-7  Maintenance of records; submittal of information; 
right of entry.

    Section 86.000-7 includes text that specifies requirements that 
differ from Sec.  86.091-7 or Sec.  86.094-7. Where a paragraph in Sec.  
86.091-7 or Sec.  86.094-7 is identical and applicable to Sec.  86.000-
7, this may be indicated by specifying the corresponding paragraph and 
the statement ``[Reserved]. For guidance see Sec.  86.091-7.'' or 
``[Reserved]. For guidance see Sec.  86.094-7.''
    (a) introductory text through (a)(2) [Reserved]. For guidance see 
Sec.  86.091-7.
    (a)(3) [Reserved]. For guidance see Sec.  86.094-7.
    (b)-(c)(2) [Reserved]. For guidance see Sec.  86.091-7.
    (c)(3) [Reserved]. For guidance see Sec.  86.094-7.
    (c)(4)-(d)(1)(v) [Reserved]. For guidance see Sec.  86.091-7.
    (d)(1)(vi)-(d)(2)(iv) [Reserved]. For guidance see Sec.  86.094-7.
    (d)(3)-(g) [Reserved]. For guidance see Sec.  86.091-7.
    (h)(1) [Reserved]
    (h)(2)-(h)(5) [Reserved]. For guidance see Sec.  86.094-7.
    (6) EPA may void ab initio a certificate for a vehicle certified to 
Tier 1 certification standards or to the respective evaporative and/or 
refueling test procedure and accompanying evaporative and/or refueling 
standards as set forth or otherwise referenced in Sec.  86.098-10 for 
which the manufacturer fails to retain the records required in this 
section or to provide such information to the Administrator upon 
request.

[61 FR 54878, Oct. 22, 1996, as amended at 79 FR 23687, Apr. 28, 2014]



Sec.  86.000-24  Test vehicles and engines.

    (a) [Reserved.
    (b) introductory text [Reserved]
    (b)(1)(i) Vehicles are chosen to be operated and tested for emission 
data based upon engine family groupings. Within each engine family, one 
test vehicle is selected. If air conditioning is

[[Page 438]]

projected to be available on any vehicles within the engine family, the 
Administrator will limit selections to engine codes which have air 
conditioning available and will require that any vehicle selected under 
this section has air conditioning installed and operational. The 
Administrator selects as the test vehicle the vehicle with the heaviest 
equivalent test weight (including options) within the family which meets 
the air conditioning eligibility requirement discussed earlier in this 
section. If more than one vehicle meets this criterion, then within that 
vehicle grouping, the Administrator selects, in the order listed, the 
highest road-load power, largest displacement, the transmission with the 
highest numerical final gear ratio (including overdrive), the highest 
numerical axle ratio offered in that engine family, and the maximum fuel 
flow calibration.
    (ii) The Administrator selects one additional test vehicle from 
within each engine family. The additional vehicle selected is the 
vehicle expected to exhibit the highest emissions of those vehicles 
remaining in the engine family. The selected vehicle will include an air 
conditioning engine code unless the Administrator chooses a worst 
vehicle configuration that is not available with air conditioning. If 
all vehicles within the engine family are similar, the Administrator may 
waive the requirements of this paragraph.
    (b)(1)(iii)-(b)(1)(vi) [Reserved]
    (c)-(f) [Reserved]
    (g)(1)-(2) [Reserved]
    (g)(3) Except for air conditioning, where it is expected that 33 
percent or less of a carline, within an engine-system combination, will 
be equipped with an item (whether that item is standard equipment or an 
option) that can reasonably be expected to influence emissions, that 
item may not be installed on any emission data vehicle or durability 
data vehicle of that carline within that engine-system combination, 
unless that item is standard equipment on that vehicle or specifically 
required by the Administrator.
    (4) Air conditioning must be installed and operational on any 
emission data vehicle of any vehicle configuration that is projected to 
be available with air conditioning regardless of the rate of 
installation of air conditioning within the carline. Section 86.096-
24(g) (1) and (2) and paragraph (g)(3) of this section will be used to 
determine whether the weight of the air conditioner will be included in 
equivalent test weight calculations for emission testing.

[61 FR 54882, Oct. 22, 1996, as amended at 79 FR 23687, Apr. 28, 2014]



Sec.  86.001-2  Definitions.

    The definitions of Sec.  86.000-2 continue to apply to 2000 and 
later model year vehicles. The definitions listed in this section apply 
beginning with the 2001 model year.
    Useful life means:
    (1) For light-duty vehicles, and for light light-duty trucks not 
subject to the Tier 0 standards of Sec.  86.094-9(a), intermediate 
useful life and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 10 years or 100,000 miles, whichever 
occurs first, except as otherwise noted in Sec.  86.094-9. The useful 
life of evaporative and/or refueling emission control systems on the 
portion of these vehicles subject to the evaporative emission test 
requirements of Sec.  86.130-96, and/or the refueling emission test 
requirements of Sec.  86.151-2001, is defined as a period of use of 10 
years or 100,000 miles, whichever occurs first.
    (2) For light light-duty trucks subject to the Tier 0 standards of 
Sec.  86.094-9(a), and for heavy light-duty truck engine families, 
intermediate and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 11 years or 120,000 miles, whichever 
occurs first. The useful life of evaporative emission and/or refueling 
control systems on the portion of these vehicles subject to the 
evaporative emission test requirements of Sec.  86.130-96, and/or the 
refueling emission test requirements of Sec.  86.151-2001, is also 
defined as a period of 11 years or 120,000 miles, whichever occurs 
first.
    (3) For an Otto-cycle heavy-duty engine family:
    (i) For hydrocarbon and carbon monoxide standards, a period of use 
of 8 years or 110,000 miles, whichever first occurs.

[[Page 439]]

    (ii) For the oxides of nitrogen standard, a period of use of 10 
years or 110,000 miles, whichever first occurs.
    (iii) For the portion of evaporative emission control systems 
subject to the evaporative emission test requirements of Sec.  86.1230-
96, a period of use of 10 years or 110,000 miles, whichever occurs 
first.
    (4) For a diesel heavy-duty engine family:
    (i) For light heavy-duty diesel engines, for hydrocarbon, carbon 
monoxide, and particulate standards, a period of use of 8 years or 
110,000 miles, whichever first occurs.
    (ii) For light heavy-duty diesel engines, for the oxides of nitrogen 
standard, a period of use of 10 years or 110,000 miles, whichever first 
occurs.
    (iii) For medium heavy-duty diesel engines, for hydrocarbon, carbon 
monoxide, and particulate standards, a period of use of 8 years or 
185,000 miles, whichever first occurs.
    (iv) For medium heavy-duty diesel engines, for the oxides of 
nitrogen standard, a period of use of 10 years or 185,000 miles, 
whichever first occurs.
    (v) For heavy heavy-duty diesel engines, for hydrocarbon, carbon 
monoxide, and particulate standards, a period of use of 8 years or 
290,000 miles, whichever first occurs, except as provided in paragraph 
(4)(vii) of this definition.
    (vi) For heavy heavy-duty diesel engines, for the oxides of nitrogen 
standard, a period of use of 10 years or 290,000 miles, whichever first 
occurs.
    (vii) For heavy heavy-duty diesel engines used in urban buses, for 
the particulate standard, a period of use of 10 years or 290,000 miles, 
whichever first occurs.

[59 FR 16281, Apr. 6, 1994, as amended at 61 FR 54886, Oct. 22, 1996]



Sec.  86.001-21  Application for certification.

    Section 86.001-21 includes text that specifies requirements that 
differ from Sec.  86.094-21 or Sec.  86.096-21. Where a paragraph in 
Sec.  86.094-21 or Sec.  86.096-21 is identical and applicable to Sec.  
86.001-21, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec.  86.094-
21.'' or ``[Reserved]. For guidance see Sec.  86.096-21.''
    (a)-(b)(1)(i)(B) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(1)(i)(C) The manufacturer must submit a Statement of Compliance 
in the application for certification which attests to the fact that they 
have assured themselves that the engine family is designed to comply 
with the intermediate temperature cold testing criteria of subpart C of 
this part, and does not unnecessarily reduce emission control 
effectiveness of vehicles operating at high altitude or other conditions 
not experienced within the US06 (aggressive driving) and SC03 (air 
conditioning) test cycles.
    (b)(1)(i)(C)(1)-(b)(1)(ii)(C) [Reserved]. For guidance see Sec.  
86.094-21.
    (b)(2) Projected U.S. sales data sufficient to enable the 
Administrator to select a test fleet representative of the vehicles (or 
engines) for which certification is requested, and data sufficient to 
determine projected compliance with the standards implementation 
schedules of Sec.  86.000-8 and 86.000-9. Volume projected to be 
produced for U.S. sale may be used in lieu of projected U.S. sales.
    (b)(3) A description of the test equipment and fuel proposed to be 
used.
    (b)(4)(i) For light-duty vehicles and light-duty trucks, a 
description of the test procedures to be used to establish the 
evaporative emission and/or refueling emission deterioration factors, as 
appropriate, required to be determined and supplied in Sec.  86.001-
23(b)(2).
    (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(5)(v) For light-duty vehicles and applicable light-duty trucks 
with non-integrated refueling emission control systems, the number of 
continuous UDDS cycles, determined from the fuel economy on the UDDS 
applicable to the test vehicle of that evaporative/refueling emission 
family-emission control system combination, required to use a volume of 
fuel equal to 85% of fuel tank volume.
    (b)(6)-(b)(8) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(9) For each light-duty vehicle, light-duty truck, evaporative/
refueling emission family or heavy-duty vehicle

[[Page 440]]

evaporative emission family, a description of any unique procedures 
required to perform evaporative and/or refueling emission tests, as 
applicable, (including canister working capacity, canister bed volume, 
and fuel temperature profile for the running loss test) for all vehicles 
in that evaporative and/or evaporative/refueling emission family, and a 
description of the method used to develop those unique procedures.
    (10) For each light-duty vehicle or applicable light-duty truck 
evaporative/refueling emission family, or each heavy-duty vehicle 
evaporative emission family:
    (i) Canister working capacity, according to the procedures specified 
in Sec.  86.132-96(h)(1)(iv);
    (ii) Canister bed volume; and
    (iii) Fuel temperature profile for the running loss test, according 
to the procedures specified in Sec.  86.129-94(d).
    (c)-(j) [Reserved]. For guidance see Sec.  86.094-21.
    (k) and (l) [Reserved]. For guidance see Sec.  86.096-21.

[61 FR 54886, Oct. 22, 1996]



Sec.  86.001-23  Required data.

    Section 86.001-23 includes text that specifies requirements that 
differ from Sec.  86.098-23. Where a paragraph in Sec.  86.098-23 is 
identical and applicable to Sec.  86.001-23, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.098-23.''
    (a)-(b)(1) [Reserved]. For guidance see Sec.  86.098-23.
    (b)(2) For light-duty vehicles and light-duty trucks, the 
manufacturer shall submit evaporative emission and/or refueling emission 
deterioration factors for each evaporative/refueling emission family-
emission control system combination and all test data that are derived 
from testing described under Sec.  86.001-21(b)(4)(i) designed and 
conducted in accordance with good engineering practice to assure that 
the vehicles covered by a certificate issued under Sec.  86.001-30 will 
meet the evaporative and/or refueling emission standards in Sec.  
86.099-8 or Sec.  86.001-9, as appropriate, for the useful life of the 
vehicle.
    (b)(3) and (b)(4) [Reserved]. For guidance see Sec.  86.098-23.
    (c) Emission data (1) [Reserved]
    (c)(2)-(e)(1) [Reserved]. For guidance see Sec.  86.098-23.
    (e)(2) For evaporative and refueling emissions durability, or light-
duty truck or HDE exhaust emissions durability, a statement of 
compliance with paragraph (b)(2) of this section or Sec.  86.098-23 
(b)(1)(ii), (b)(3), or (b)(4) as applicable.
    (3) For certification of vehicles with non-integrated refueling 
systems, a statement that the drivedown used to purge the refueling 
canister was the same as described in the manufacturer's application for 
certification. Furthermore, a description of the procedures used to 
determine the number of equivalent UDDS miles required to purge the 
refueling canisters, as determined by the provisions of Sec.  86.001-
21(b)(5)(v) and subpart B of this part. Furthermore, a written statement 
to the Administrator that all data, analyses, test procedures, 
evaluations and other documents, on which the above statement is based, 
are available to the Administrator upon request.
    (f)-(g) [Reserved]
    (h)-(m) [Reserved]. For guidance see Sec.  86.098-23.

[61 FR 54887, Oct. 22, 1996, as amended at 62 FR 54720, Oct. 21, 1997; 
79 FR 23687, Apr. 28, 2014]



Sec.  86.001-24  Test vehicles and engines.

    Section 86.001-24 includes text that specifies requirements that 
differ from Sec.  86.096-24, Sec.  86.098-24 or Sec.  86.000-24. Where a 
paragraph in Sec.  86.096-24, Sec.  86.098-24 or Sec.  86.000-9 is 
identical and applicable to Sec.  86.001-24, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.096-24.'' or ``[Reserved]. For guidance see 
Sec.  86.098-24.'' or ``[Reserved]. For guidance see Sec.  86.000-24.''
    (a)-(a)(4) [Reserved]. For guidance see Sec.  86.096-24.
    (a)(5)-(a)(7) [Reserved]. For guidance see Sec.  86.098-24.
    (a)(8)-(b)(1) introductory text [Reserved]. For guidance see Sec.  
86.096-24.
    (b)(1)(i)-(b)(1)(ii) [Reserved]. For guidance see Sec.  86.000-24.
    (b)(1)(iii)-(b)(1)(vi) [Reserved]. For guidance see Sec.  86.096-24.
    (b)(1)(vii)(A)-(b)(1)(viii)(A) [Reserved]. For guidance see Sec.  
86.098-24.

[[Page 441]]

    (b)(1)(viii)(B)-(e)(2) [Reserved]. For guidance see Sec.  86.096-24.
    (f) Carryover and carryacross of durability and emission data. In 
lieu of testing an emission-data or durability vehicle (or engine) 
selected under Sec.  86.096-24(b)(1) introductory text, (b)(1)(iii)-
(b)(1)(vi) and Sec.  86.000-24(b)(1)(i)-(b)(1)(ii) and Sec.  86.098-
24(b)(1)(vii)(A)-(b)(1)(viii)(A) or Sec.  86.096-24(c), and submitting 
data therefor, a manufacturer may, with the prior written approval of 
the Administrator, submit exhaust emission data, evaporative emission 
data and/or refueling emission data, as applicable, on a similar vehicle 
(or engine) for which certification has been obtained or for which all 
applicable data required under Sec.  86.001-23 has previously been 
submitted.
    (g)(1)-(g)(2) [Reserved]. For guidance see Sec.  86.096-24.
    (g)(3)-(g)(4) [Reserved]. For guidance see Sec.  86-000-24.
    (h) [Reserved]. For guidance see Sec.  86.096-24.

[61 FR 54887, Oct. 22, 1996]



Sec.  86.004-2  Definitions.

    The definitions of Sec.  86.001-2 continue to apply to 2001 and 
later model year vehicles. The definitions listed in this section apply 
beginning with the 2004 model year.
    Ambulance has the meaning given in Sec.  86.1803.
    Defeat device means an auxiliary emission control device (AECD) that 
reduces the effectiveness of the emission control system under 
conditions which may reasonably be expected to be encountered in normal 
vehicle operation and use, unless:
    (1) Such conditions are substantially included in the applicable 
Federal emission test procedure for heavy-duty vehicles and heavy-duty 
engines described in subpart N of this part;
    (2) The need for the AECD is justified in terms of protecting the 
vehicle against damage or accident;
    (3) The AECD does not go beyond the requirements of engine starting; 
or
    (4) The AECD applies only for engines that will be installed in 
emergency vehicles, and the need is justified in terms of preventing the 
engine from losing speed, torque, or power due abnormal conditions of 
the emission control system, or in terms of preventing such abnormal 
conditions from occurring, during operation related to emergency 
response. Examples of such abnormal conditions may include excessive 
exhaust backpressure from an overloaded particulate trap, and running 
out of diesel exhaust fluid for engines that rely on urea-based 
selective catalytic reduction.
    Diesel exhaust fluid (DEF) means a liquid reducing agent (other than 
the engine fuel) used in conjunction with selective catalytic reduction 
to reduce NOX emissions. Diesel exhaust fluid is generally 
understood to be an aqueous solution of urea conforming to the 
specifications of ISO 22241.
    Emergency vehicle has the meaning given in 40 CFR 1037.801.
    Fire truck has the meaning given in Sec.  86.1803.
    U.S.-directed production means the engines and/or vehicles (as 
applicable) produced by a manufacturer for which the manufacturer has 
reasonable assurance that sale was or will be made to ultimate 
purchasers in the United States, excluding engines and/or vehicles that 
are certified to state emission standards different than the emission 
standards in this part.
    Useful life means:
    (1) For light-duty vehicles, and for light light-duty trucks not 
subject to the Tier 0 standards of Sec.  86.094-9(a), intermediate 
useful life and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 10 years or 100,000 miles, whichever 
occurs first, except as otherwise noted in Sec.  86.094-9. The useful 
life of evaporative and/or refueling emission control systems on the 
portion of these vehicles subject to the evaporative emission test 
requirements of Sec.  86.130-96, and/or the refueling emission test 
requirements of Sec.  86.151-98, is defined as a period of use of 10 
years or 100,000 miles, whichever occurs first.
    (2) For light light-duty trucks subject to the Tier 0 standards of 
Sec.  86.094-9(a), and for heavy light-duty truck engine families, 
intermediate and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life

[[Page 442]]

is a period of use of 11 years or 120,000 miles, whichever occurs first. 
The useful life of evaporative emission and/or refueling control systems 
on the portion of these vehicles subject to the evaporative emission 
test requirements of Sec.  86.130-96, and/or the refueling emission test 
requirements of Sec.  86.151-98, is also defined as a period of 11 years 
or 120,000 miles, whichever occurs first.
    (3) For an Otto-cycle HDE family:
    (i) For hydrocarbon and carbon monoxide standards, a period of use 
of 10 years or 110,000 miles, whichever first occurs.
    (ii) For the oxides of nitrogen standard, a period of use of 10 
years or 110,000 miles, whichever first occurs.
    (iii) For the portion of evaporative emission control systems 
subject to the evaporative emission test requirements of Sec.  86.1230-
96, a period of use of 10 years or 110,000 miles, whichever first 
occurs.
    (4) For a diesel HDE family:
    (i) For light heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbons 
emissions standards, a period of use of 10 years or 110,000 miles, 
whichever first occurs.
    (ii) For medium heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbons 
emission standards, a period of use of 10 years or 185,000 miles, 
whichever first occurs.
    (iii) For heavy heavy-duty diesel engines, for carbon monoxide, 
particulate, and oxides of nitrogen plus non-methane hydrocarbon 
emissions standards, a period of use of 10 years or 435,000 miles, or 
22,000 hours, whichever first occurs, except as provided in paragraphs 
(4)(iv) and (4)(v) of this definition.
    (iv) The useful life limit of 22,000 hours in paragraph (4)(iii) of 
this definition is effective as a limit to the useful life only when an 
accurate hours meter is provided by the manufacturer with the engine and 
only when such hours meter can reasonably be expected to operate 
properly over the useful life of the engine.
    (v) For an individual engine, if the useful life hours limit of 
22,000 hours is reached before the engine reaches 10 years or 100,000 
miles, the useful life shall become 10 years or 100,000 miles, whichever 
occurs first, as required under Clean Air Act section 202(d).
    (5) As an option for both light-duty trucks under certain conditions 
and HDE families, an alternative useful life period may be assigned by 
the Administrator under the provisions of Sec.  86.094-21(f).
    Warranty period, for purposes of HDE emissions defect warranty and 
emissions performance warranty, shall be a period of 5 years/50,000 
miles, whichever occurs first, for Otto-cycle HDEs and light heavy-duty 
diesel engines. For all other heavy-duty diesel engines the 
aforementioned period shall be 5 years/100,000 miles, whichever occurs 
first. However, in no case may this period be less than the basic 
mechanical warranty period that the manufacturer provides (with or 
without additional charge) to the purchaser of the engine. Extended 
warranties on select parts do not extend the emissions warranty 
requirements for the entire engine but only for those parts. In cases 
where responsibility for an extended warranty is shared between the 
owner and the manufacturer, the emissions warranty shall also be shared 
in the same manner as specified in the warranty agreement.

[62 FR 54720, Oct. 21, 1997, as amended at 65 FR 59945, Oct. 6, 2000; 66 
FR 5159, Jan. 18, 2001; 77 FR 34145, June 8, 2012; 79 FR 46371, Aug. 8, 
2014; 81 FR 73973, Oct. 25, 2016]



Sec.  86.004-11  Emission standards for 2004 and later model year 
diesel heavy-duty engines and vehicles.

    This section applies to 2004 and later model year diesel HDEs.
    (a)(1) Exhaust emissions from new 2004 and later model year diesel 
HDEs shall not exceed the following:
    (i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons 
(NOX + NMHC) for engines fueled with either petroleum fuel, 
natural gas, or liquefied petroleum gas, 2.4 grams per brake horsepower-
hour (0.89 gram per megajoule), as measured under transient operating 
conditions.
    (B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent 
(NOX + NMHCE) for engines fueled with methanol, 2.4 grams per 
brake horsepower-hour (0.89 gram per megajoule),

[[Page 443]]

as measured under transient operating conditions.
    (C) Optional standard. Manufacturers may elect to certify to an 
Oxides of Nitrogen plus Non-methane Hydrocarbons (or equivalent for 
methanol-fueled engines) standard of 2.5 grams per brake horsepower-hour 
(0.93 gram per megajoule), as measured under transient operating 
conditions, provided that Non-methane Hydrocarbons (or equivalent for 
methanol-fueled engines) do not exceed 0.5 grams per brake horsepower-
hour (0.19 gram per megajoule) NMHC (or NMHCE for methanol-fueled 
engines), as measured under transient operating conditions.
    (D) A manufacturer may elect to include any or all of its diesel HDE 
families in any or all of the emissions ABT programs for HDEs, within 
the restrictions described in Sec.  86.004-15 or superseding applicable 
sections. If the manufacturer elects to include engine families in any 
of these programs, the NOX plus NMHC (or NOX plus 
NMHCE for methanol-fueled engines) FELs may not exceed 4.5 grams per 
brake horsepower-hour (1.7 grams per megajoule). This ceiling value 
applies whether credits for the family are derived from averaging, 
banking, or trading programs. Additionally, families certified to the 
optional standard contained in paragraph (a)(1)(i)(C) of this section 
shall not exceed 0.50 grams per brake horsepower-hour (0.19 gram per 
megajoule) NMHC (or NMHCE for methanol-fueled engines) through the use 
of credits.
    (E) [Reserved]
    (ii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule), as measured under transient operating conditions.
    (B) 0.50 percent of exhaust gas flow at curb idle (methanol-, 
natural gas-, and liquefied petroleum gas-fueled diesel HDEs only).
    (iii) Particulate. (A) For diesel engines to be used in urban buses, 
0.05 gram per brake horsepower-hour (0.019 gram per megajoule) for 
certification testing and selective enforcement audit testing, and 0.07 
gram per brake horsepower-hour (0.026 gram per megajoule) for in-use 
testing, as measured under transient operating conditions.
    (B) For all other diesel engines, 0.10 gram per brake horsepower-
hour (0.037 gram per megajoule), as measured under transient operating 
conditions.
    (C) A manufacturer may elect to include any or all of its diesel HDE 
families in any or all of the particulate ABT programs for HDEs, within 
the restrictions described in Sec.  86.004-15 or superseding applicable 
sections. If the manufacturer elects to include engine families in any 
of these programs, the particulate FEL may not exceed 0.25 gram per 
brake horsepower-hour (0.093 gram per megajoule).
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the operating schedule set forth in 
paragraph (f)(2) of appendix I to this part, and measured and calculated 
in accordance with the procedures set forth in subpart N or P of this 
part, except as noted in Sec.  86.098-23(c)(2) or superceding sections.
    (b)(1) The opacity of smoke emission from new 2004 and later model 
year diesel HDEs shall not exceed:
    (i) 20 percent during the engine acceleration mode.
    (ii) 15 percent during the engine lugging mode.
    (iii) 50 percent during the peaks in either mode.
    (2) The standards set forth in paragraph (b)(1) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (3) This paragraph (b)(3) applies as specified in 40 CFR 1037.103. 
Evaporative emissions (total of non-oxygenated hydrocarbons plus 
methanol) from heavy-duty vehicles equipped with methanol-fueled diesel 
engines shall not exceed the following standards. The standards apply 
equally to certification and in-use vehicles. The spitback standard also 
applies to newly assembled vehicles.
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96,

[[Page 444]]

diurnal plus hot soak measurements: 3.5 grams per test.
    (B) Running loss test: 0.05 grams per mile.
    (C) Fuel dispensing spitback test: 1.0 gram per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 4.5 grams per 
test.
    (B) Running loss test: 0.05 grams per mile.
    (iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 lbs, the standards set forth in paragraph (b)(3) of this section 
refer to a composite sample of evaporative emissions collected under the 
conditions and measured in accordance with the procedures set forth in 
subpart M of this part. For certification vehicles only, manufacturers 
may conduct testing to quantify a level of nonfuel background emissions 
for an individual test vehicle. Such a demonstration must include a 
description of the source(s) of emissions and an estimated decay rate. 
The demonstrated level of nonfuel background emissions may be subtracted 
from emission test results from certification vehicles if approved in 
advance by the Administrator.
    (B) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraph (b)(3)(ii) of this 
section refer to the manufacturer's engineering design evaluation using 
good engineering practice (a statement of which is required in Sec.  
86.091-23(b)(4)(ii)).
    (iv) All fuel vapor generated during in-use operations shall be 
routed exclusively to the evaporative control system (e.g., either 
canister or engine purge). The only exception to this requirement shall 
be for emergencies.
    (4) This paragraph (b)(4) applies as specified in 40 CFR 1037.103. 
Evaporative emissions from 2004 and later model year heavy-duty vehicles 
equipped with natural gas-fueled or liquefied petroleum gas-fueled HDEs 
shall not exceed the following standards. The standards apply equally to 
certification and in-use vehicles.
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
pounds for the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 pounds for the full three-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 4.0 grams per 
test.
    (iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 pounds, the standards set forth in paragraph (b)(4) of this 
section refer to a composite sample of evaporative emissions collected 
under the conditions set forth in subpart M of this part and measured in 
accordance with those procedures.
    (B) For vehicles with a Gross Vehicle Weight Rating greater than 
26,000 pounds, the standards set forth in paragraphs (b)(3)(ii) and 
(b)(4)(ii) of this section refer to the manufacturer's engineering 
design evaluation using good engineering practice (a statement of which 
is required in Sec.  86.091-23(b)(4)(ii)).
    (iv) Compressed natural gas vehicles must meet the requirements for 
fueling connection devices as specified in Sec.  86.1813-17(f)(1). 
Vehicles meeting these requirements are deemed to comply with 
evaporative emission standards.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 2004 or later model year methanol-, natural gas-
, or liquefied petroleum gas-fueled diesel, or any naturally-aspirated 
diesel HDE. For petroleum-fueled engines only, this provision does not 
apply to engines using turbochargers, pumps, blowers, or superchargers 
for air induction.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart I or N of this part to ascertain that such test engines meet the 
requirements of this section.

[[Page 445]]

    (e) The standards described in this section do not apply to diesel-
fueled medium-duty passenger vehicles (MDPVs) that are subject to 
regulation under subpart S of this part, except as specified in subpart 
S of this part. The standards described in this section also do not 
apply to diesel engines used in such MDPVs, except as specified in the 
regulations in subpart S of this part. The term ``medium-duty passenger 
vehicle'' is defined in Sec.  86.1803.

[62 FR 54721, Oct. 21, 1997, as amended at 65 FR 6848, Feb. 10, 2000; 65 
FR 59945, Oct. 6, 2000; 79 FR 23688, Apr. 28, 2014]



Sec.  86.004-15  NOX plus NMHC and particulate averaging, trading, 
and banking for heavy-duty engines.

    (a)(1) Heavy-duty engines eligible for NOX plus NMHC and 
particulate averaging, trading and banking programs are described in the 
applicable emission standards sections in this subpart. All heavy-duty 
engine families which include any engines labeled for use in clean-fuel 
vehicles as specified in 40 CFR part 88 are not eligible for these 
programs. For manufacturers not selecting Options 1 or 2 contained in 
Sec.  86.005-10(f), the ABT program requirements contained in Sec.  
86.000-15 apply for 2004 model year Otto-cycle engines, rather than the 
provisions contained in this Sec.  86.004-15. Participation in these 
programs is voluntary.
    (2)(i) Engine families with FELs exceeding the applicable standard 
shall obtain emission credits in a mass amount sufficient to address the 
shortfall. Credits may be obtained from averaging, trading, or banking, 
within the averaging set restrictions described in this section.
    (ii) Engine families with FELs below the applicable standard will 
have emission credits available to average, trade, bank or a combination 
thereof. Credits may not be used for averaging or trading to offset 
emissions that exceed an FEL. Credits may not be used to remedy an in-
use nonconformity determined by a Selective Enforcement Audit or by 
recall testing. However, credits may be used to allow subsequent 
production of engines for the family in question if the manufacturer 
elects to recertify to a higher FEL.
    (b) Participation in the NOX plus NMHC and/or particulate 
averaging, trading, and banking programs shall be done as follows:
    (1) During certification, the manufacturer shall:
    (i) Declare its intent to include specific engine families in the 
averaging, trading and/or banking programs. Separate declarations are 
required for each program and for each pollutant (i.e., NOX 
plus NMHC, and particulate).
    (ii) Declare an FEL for each engine family participating in one or 
more of these two programs.
    (A) The FEL must be to the same level of significant digits as the 
emission standard (one-tenth of a gram per brake horsepower-hour for 
NOX plus NMHC emissions and one-hundredth of a gram per brake 
horsepower-hour for particulate emissions).
    (B) In no case may the FEL exceed the upper limit prescribed in the 
section concerning the applicable heavy-duty engine NOX plus 
NMHC and particulate emission standards.
    (iii) Calculate the projected emission credits (positive or 
negative) based on quarterly production projections for each 
participating family and for each pollutant, using the applicable 
equation in paragraph (c) of this section and the applicable factors for 
the specific engine family.
    (iv)(A) Determine and state the source of the needed credits 
according to quarterly projected production for engine families 
requiring credits for certification.
    (B) State where the quarterly projected credits will be applied for 
engine families generating credits.
    (C) Credits may be obtained from or applied to only engine families 
within the same averaging set as described in paragraph (d) or (e) of 
this section. Credits available for averaging, trading, or banking as 
defined in Sec.  86.090-2, may be applied exclusively to a given engine 
family, or reserved as defined in Sec.  86.091-2.
    (2) Based on this information each manufacturer's certification 
application must demonstrate:
    (i) That at the end of model year production, each engine family has 
a net emissions credit balance of zero or

[[Page 446]]

more using the methodology in paragraph (c) of this section with any 
credits obtained from averaging, trading or banking.
    (ii) The source of the credits to be used to comply with the 
emission standard if the FEL exceeds the standard, or where credits will 
be applied if the FEL is less than the emission standard. In cases where 
credits are being obtained, each engine family involved must state 
specifically the source (manufacturer/engine family) of the credits 
being used. In cases where credits are being generated/supplied, each 
engine family involved must state specifically the designated use 
(manufacturer/engine family or reserved) of the credits involved. All 
such reports shall include all credits involved in averaging, trading or 
banking.
    (3) During the model year manufacturers must:
    (i) Monitor projected versus actual production to be certain that 
compliance with the emission standards is achieved at the end of the 
model year.
    (ii) Provide the end-of-model year reports required under Sec.  
86.001-23.
    (iii) For manufacturers participating in emission credit trading, 
maintain the quarterly records required under Sec.  86.091-7(c)(8).
    (4) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-model year reports, follow-up audits, and any other compliance 
measures deemed appropriate by the Administrator.
    (5) Compliance under averaging, banking, and trading will be 
determined at the end of the model year. Engine families without an 
adequate amount of NOX. NOX plus NMHC, and/or 
particulate emission credits will violate the conditions of the 
certificate of conformity. The certificates of conformity may be voided 
ab initio for engine families exceeding the emission standard.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated. Erroneous positive credits will be void. Erroneous 
negative balances may be adjusted by EPA for retroactive use.
    (i) If EPA review of a manufacturer's end-of-year report indicates a 
credit shortfall, the manufacturer will be permitted to purchase the 
necessary credits to bring the credit balance for that engine family to 
zero, using the discount specified in paragraph (c)(1) of this section 
on the ratio of credits purchased for every credit needed to bring the 
balance to zero. If sufficient credits are not available to bring the 
credit balance for the family in question to zero, EPA may void the 
certificate for that engine family ab initio.
    (ii) If within 180 days of receipt of the manufacturer's end-of-year 
report, EPA review determines a reporting error in the manufacturer's 
favor (i.e., resulting in a positive credit balance) or if the 
manufacturer discovers such an error within 180 days of EPA receipt of 
the end-of-year report, the credits will be restored for use by the 
manufacturer.
    (c)(1) For each participating engine family, NOX plus 
NMHC, and particulate emission credits (positive or negative) are to be 
calculated according to one of the following equations and rounded, in 
accordance with ASTM E29-93a (incorporated by reference at Sec.  86.1), 
to the nearest one-tenth of a Megagram (Mg). Consistent units are to be 
used throughout the equation.
    (i) For determining credit need for all engine families and credit 
availability for engine families generating credits for averaging 
programs only:

Emission credits = (Std - FEL) x (CF) x (UL) x (Production) x 
(10-6)

    (ii) For determining credit availability for engine families 
generating credits for trading or banking programs:

Emission credits = (Std - FEL) x (CF) x (UL) x (Production) x 
(10-6) x (Discount)

    (iii) For purposes of the equation in paragraphs (c)(1)(i) and (ii) 
of this section:

Std = the current and applicable heavy-duty engine NOX plus 
          NMHC or particulate emission standard in grams per brake 
          horsepower hour or grams per Megajoule.

[[Page 447]]

FEL = the NOX plus NMHC, or particulate family emission limit 
          for the engine family in grams per brake horsepower hour or 
          grams per Megajoule.
CF = a transient cycle conversion factor in BHP-hr/mi or MJ/mi, as given 
          in paragraph (c)(2) of this section.
UL = the useful life described in Sec.  86.004-2, or alternative life as 
          described in Sec.  86.004-21(f), for the given engine family 
          in miles.
Production = the number of engines produced for U.S. sales within the 
          given engine family during the model year. Quarterly 
          production projections are used for initial certification. 
          Actual production is used for end-of-year compliance 
          determination.
Discount = a one-time discount applied to all credits to be banked or 
          traded within the model year generated. Except as otherwise 
          allowed in paragraphs (k) and (l) of this section, the 
          discount applied here is 0.9. Banked credits traded in a 
          subsequent model year will not be subject to an additional 
          discount. Banked credits used in a subsequent model year's 
          averaging program will not have the discount restored.

    (2)(i) The transient cycle conversion factor is the total 
(integrated) cycle brake horsepower-hour or Megajoules, divided by the 
equivalent mileage of the applicable transient cycle. For Otto-cycle 
heavy-duty engines, the equivalent mileage is 6.3 miles. For diesel 
heavy-duty engines, the equivalent mileage is 6.5 miles.
    (ii) When more than one configuration is chosen by EPA to be tested 
in the certification of an engine family (as described in Sec.  86.085-
24), the conversion factor used is to be based upon a production 
weighted average value of the configurations in an engine family to 
calculate the conversion factor.
    (d) Averaging sets for NOX plus NMHC emission credits. The averaging 
and trading of NOX plus NMHC emission credits will only be 
allowed between heavy-duty engine families in the same averaging set. 
The averaging sets for the averaging and trading of NOX plus 
NMHC emission credits for heavy-duty engines are defined as follows:
    (1) For NOX + NMHC credits from Otto-cycle heavy-duty 
engines:
    (i) Otto-cycle heavy-duty engines constitute an averaging set. 
Averaging and trading among all Otto-cycle heavy-duty engine families is 
allowed. There are no subclass restrictions.
    (ii) Otto-cycle heavy-duty vehicles certified under the chassis-
based provisions of subpart S of this part may not average or trade with 
heavy-duty Otto-cycle engines except as allowed in Sec.  86.1817-05(o).
    (2) For NOX plus NMHC credits from diesel-cycle heavy-
duty engines:
    (i) Each of the three primary intended service classes for heavy-
duty diesel engines, as defined in Sec.  86.004-2, constitute an 
averaging set. Averaging and trading among all diesel-cycle engine 
families within the same primary service class is allowed.
    (ii) Urban buses are treated as members of the primary intended 
service class where they otherwise would fall.
    (e) Averaging sets for particulate emission credits. The averaging 
and trading of particulate emission credits will only be allowed between 
diesel cycle heavy-duty engine families in the same averaging set. The 
averaging sets for the averaging and trading of particulate emission 
credits for diesel cycle heavy-duty engines are defined as follows:
    (1) Engines intended for use in urban buses constitute a separate 
averaging set from all other heavy-duty engines. Averaging and trading 
between diesel cycle bus engine families is allowed.
    (2) For heavy-duty engines, exclusive of urban bus engines, each of 
the three primary intended service classes for heavy-duty diesel cycle 
engines, as defined in Sec.  86.004-2, constitute an averaging set. 
Averaging and trading between diesel-cycle engine families within the 
same primary service class is allowed.
    (3) Otto cycle engines may not participate in particulate averaging, 
trading, or banking.
    (f) Banking of NOX plus NMHC, and particulate emission credits--(1) 
Credit deposits. (i) NOX plus NMHC, and particulate emission 
credits may be banked from engine families produced in any model year.
    (ii) Manufacturers may bank credits only after the end of the model 
year and after actual credits have been reported to EPA in the end-of-
year report. During the model year and before submittal of the end-of-
year report, credits originally designated in the certification process 
for banking will

[[Page 448]]

be considered reserved and may be redesignated for trading or averaging.
    (2) Credit withdrawals. (i) NOX plus NMHC and particulate 
credits generated in 2004 and later model years do not expire. 
NOX plus NMHC credits generated by Otto-cycle engines in the 
2003 model year for manufacturers selecting Option 1 contained in Sec.  
86.005-10(f)(1) also do not expire.
    (ii) Manufacturers withdrawing banked NOX plus NMHC, and/
or particulate credits shall indicate so during certification and in 
their credit reports, as described in Sec.  86.091-23.
    (3) Use of banked emission credits. The use of banked credits shall 
be within the averaging set and other restrictions described in 
paragraphs (d) and (e) of this section, and only for the following 
purposes:
    (i) Banked credits may be used in averaging, or in trading, or in 
any combination thereof, during the certification period. Credits 
declared for banking from the previous model year but not reported to 
EPA may also be used. However, if EPA finds that the reported credits 
can not be proven, they will be revoked and unavailable for use.
    (ii) Banked credits may not be used for NOX plus NMHC or 
particulate averaging and trading to offset emissions that exceed an 
FEL. Banked credits may not be used to remedy an in-use nonconformity 
determined by a Selective Enforcement Audit or by recall testing. 
However, banked credits may be used for subsequent production of the 
engine family if the manufacturer elects to recertify to a higher FEL.
    (iii) NOX credits banked under paragraph Sec.  86.098-
15(j) or Sec.  86.000-15(k) may be used in place of NOX plus 
NMHC credits in 2004 and later model years provided that they are used 
in the correct averaging set. NOX credits banked under 
paragraph Sec.  86.000-15(k) may also be used in place of NOX 
plus NMHC credits in the 2003 model year for manufacturers selecting 
Option 1 contained in Sec.  86.005-10(f)(1), provided that they are used 
in the correct averaging set.
    (iv) Except for early credits banked under Sec.  86.000-15(k), 
NOX credits banked in accordance with Sec.  86.000-15 may not 
be used to meet the Otto-cycle engine standards contained in Sec.  
86.005-10.
    (g)(1) This paragraph (g) assumes NOX plus NMHC, and 
particulate nonconformance penalties (NCPs) will be available for the 
2004 and later model year HDEs.
    (2) Engine families using NOX plus NMHC and/or 
particulate NCPs but not involved in averaging:
    (i) May not generate NOX plus NMHC or particulate credits 
for banking and trading.
    (ii) May not use NOX plus NMHC or particulate credits 
from banking and trading.
    (3) If a manufacturer has any engine family to which application of 
NCPs and banking and trading credits is desired, that family must be 
separated into two distinct families. One family, whose FEL equals the 
standard, must use NCPs only while the other, whose FEL does not equal 
the standard, must use credits only.
    (4) If a manufacturer has any engine family in a given averaging set 
which is using NOX plus NMHC and/or particulate NCPs, none of 
that manufacturer's engine families in that averaging set may generate 
credits for banking and trading.
    (h) In the event of a negative credit balance in a trading 
situation, both the buyer and the seller would be liable.
    (i) Certification fuel used for credit generation must be of a type 
that is both available in use and expected to be used by the engine 
purchaser. Therefore, upon request by the Administrator, the engine 
manufacturer must provide information acceptable to the Administrator 
that the designated fuel is readily available commercially and would be 
used in customer service.
    (j) Credit apportionment. At the manufacturer's option, credits 
generated under the provisions described in this section may be sold to 
or otherwise provided to another party for use in programs other than 
the averaging, trading and banking program described in this section.
    (1) The manufacturer shall pre-identify two emission levels per 
engine family for the purposes of credit apportionment. One emission 
level shall be the FEL and the other shall be the level of the standard 
that the engine family is required to certify to under Sec.  86.005-10 
or Sec.  86.004-11. For each engine

[[Page 449]]

family, the manufacturer may report engine sales in two categories, 
``ABT-only credits'' and ``nonmanufacturer-owned credits''.
    (i) For engine sales reported as ``ABT-only credits'', the credits 
generated must be used solely in the ABT program described in this 
section.
    (ii) The engine manufacturer may declare a portion of engine sales 
``nonmanufacturer-owned credits'' and this portion of the credits 
generated between the standard and the FEL, based on the calculation in 
(c)(1) of this section, would belong to the engine purchaser. For ABT, 
the manufacturer may not generate any credits for the engine sales 
reported as ``nonmanufacturer-owned credits''. Engines reported as 
``nonmanufacturer-owned credits'' shall comply with the FEL and the 
requirements of the ABT program in all other respects.
    (2) Only manufacturer-owned credits reported as ``ABT-only credits'' 
shall be used in the averaging, trading, and banking provisions 
described in this section.
    (3) Credits shall not be double-counted. Credits used in the ABT 
program may not be provided to an engine purchaser for use in another 
program.
    (4) Manufacturers shall determine and state the number of engines 
sold as ``ABT-only credits'' and ``nonmanufacturer-owned credits'' in 
the end-of-model year reports required under Sec.  86.001-23.
    (k) Additional flexibility for diesel-cycle engines. If a diesel-
cycle engine family meets the conditions of either paragraph (k)(1) or 
(2) of this section, a Discount of 1.0 may be used in the trading and 
banking calculation, for both NOX plus NMHC and for 
particulate, described in paragraph (c)(1) of this section.
    (1) The engine family certifies with a certification level of 1.9 g/
bhp-hr NOX plus NMHC or lower for all diesel-cycle engine 
families.
    (2) All of the following must apply to the engine family:
    (i) Diesel-cycle engines only;
    (ii) 2004, 2005, and 2006 model years only;
    (iii) Must be an engine family using carry-over certification data 
from prior to model year 2004 where the NOX plus the HC 
certification level prior to model year 2004 is below the NOX 
plus NMHC or NOX plus NMHCE standard set forth in Sec.  
86.004-11. Under this option, the NOX credits generated from 
this engine family prior to model year 2004 may be used as 
NOX plus NMHC credits.
    (l) Additional flexibility for Otto-cycle engines. If an Otto-cycle 
engine family meets the conditions of paragraph (l)(1) or (2) of this 
section, a discount of 1.0 may be used in the trading and banking 
credits calculation for NOX plus NMHC described in paragraph 
(c)(1) of this section, as follows:
    (1) The engine family has a FEL of 0.5 g/bhp-hr NOX plus 
NMHC or lower;
    (2) All of the following conditions are met:
    (i) For first three consecutive model years that the engine family 
is certified to a NOX plus NMHC standard contained in Sec.  
86.005-10;
    (ii) The engine family is certified using carry-over data from an 
engine family which was used to generate early NOX credits 
per Sec.  86.000-15(k) where the sum of the NOX FEL plus the 
HC (or hydrocarbon equivalent where applicable) certification level is 
below 1.0 g/bhp-hr.

[62 FR 54722, Oct. 21, 1997, as amended at 65 FR 59946, Oct. 6, 2000]



Sec.  86.004-16  Prohibition of defeat devices.

    (a) No new heavy-duty vehicle or heavy-duty engine shall be equipped 
with a defeat device.
    (b) The Administrator may test or require testing on any vehicle or 
engine at a designated location, using driving cycles and conditions 
which may reasonably be expected to be encountered in normal operation 
and use, for the purpose of investigating a potential defeat device.
    (c) [Reserved]
    (d) For vehicle and engine designs designated by the Administrator 
to be investigated for possible defeat devices:
    (1) General. The manufacturer must show to the satisfaction of the 
Administrator that the vehicle or engine design does not incorporate 
strategies that reduce emission control effectiveness exhibited during 
the applicable Federal emissions test procedures when

[[Page 450]]

the vehicle or engine is operated under conditions which may reasonably 
be expected to be encountered in normal operation and use, unless one of 
the specific exceptions set forth in the definition of ``defeat device'' 
in Sec.  86.004-2 has been met.
    (2) Information submissions required. The manufacturer will provide 
an explanation containing detailed information (including information 
which the Administrator may request to be submitted) regarding test 
programs, engineering evaluations, design specifications, calibrations, 
on-board computer algorithms, and design strategies incorporated for 
operation both during and outside of the applicable Federal emission 
test procedure.

[65 FR 59947, Oct. 6, 2000, as amended at 70 FR 40432, July 13, 2005]



Sec.  86.004-21  Application for certification.

    Section 86.004-21 includes text that specifies requirements that 
differ from Sec.  86.094-21. Where a paragraph in Sec.  86.094-21 is 
identical and applicable to Sec.  86.004-21, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.094-21.''
    (a)-(b)(3) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(4)(i) [Reserved]
    (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see Sec.  86.094-21.
    (6) Participation in averaging programs--(i) Particulate averaging. 
(A) If the manufacturer elects to participate in the particulate 
averaging program for diesel light-duty vehicles and/or diesel light-
duty trucks or the particulate averaging program for heavy-duty diesel 
engines, the application must list the family particulate emission limit 
and the projected U.S. production volume of the family for the model 
year.
    (B) The manufacturer shall choose the level of the family 
particulate emission limits, accurate to hundredth of a gram per mile or 
hundredth of a gram per brake horsepowerhour for HDEs.
    (C) The manufacturer may at any time during production elect to 
change the level of any family particulate emission limit(s) by 
submitting the new limit(s) to the Administrator and by demonstrating 
compliance with the limit(s) as described in Sec. Sec.  86.090-2 and 
86.094-28(b)(5)(i).
    (ii) NOX and NOX plus NMHC averaging. (A) If the manufacturer elects 
to participate in the NOX averaging program for light-duty 
trucks or otto-cycle HDEs or the NOX plus NMHC averaging 
program for diesel-cycle HDEs, the application must list the family 
emission limit and the projected U.S. production volume of the family 
for the model year.
    (B) The manufacturer shall choose the level of the family emission 
limits, accurate to one-tenth of a gram per mile or to one-tenth of a 
gram per brake horsepower-hour for HDEs.
    (C) The manufacturer may at any time during production elect to 
change the level of any family emission limit(s) by submitting the new 
limits to the Administrator and by demonstrating compliance with the 
limit(s) as described in Sec. Sec.  86.088-2 and 86.094-28(b)(5)(ii).
    (b)(7) and (b)(8) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(9) For each light-duty vehicle, light-duty truck, evaporative/
refueling emission family or heavy-duty vehicle evaporative emission 
family, a description of any unique procedures required to perform 
evaporative and/or refueling emission tests, as applicable, (including 
canister working capacity, canister bed volume, and fuel temperature 
profile for the running loss test) for all vehicles in that evaporative 
and/or evaporative/refueling emission family, and a description of the 
method used to develop those unique procedures.
    (10) For each light-duty vehicle or applicable light-duty truck 
evaporative/refueling emission family, or each heavy-duty vehicle 
evaporative emission family:
    (i) Canister working capacity, according to the procedures specified 
in Sec.  86.132-96(h)(1)(iv);
    (ii) Canister bed volume; and
    (iii) Fuel temperature profile for the running loss test, according 
to the procedures specified in Sec.  86.129-94(d).
    (c)-(j) [Reserved]. For guidance see Sec.  86.094-21.
    (k)-(l) [Reserved]

[[Page 451]]

    (m) For model years 2004 through 2007, within 180 days after 
submission of the application for certification of a heavy-duty diesel 
engine, the manufacturer must provide emission test results from the 
Load Response Test conducted according to Sec.  86.1380-2004, including, 
at a minimum, test results conducted at each of the speeds identified in 
Sec.  86.1380-2004. Load Response Test data submissions are not 
necessary for carry-over engine families for which Load Response Test 
data has been previously submitted. In addition, upon approval of the 
Administrator, manufacturers may carry Load Response Test data across 
from one engine family to other engine families, provided that the 
carry-across engine families use similar emission control technology 
hardware which would be expected to result in the generation of similar 
emission data when run over the Load Response Test.
    (n) Upon request from EPA, a manufacturer must provide to EPA any 
hardware (including scan tools), passwords, and/or documentation 
necessary for EPA to read, interpret, and store (in engineering units if 
applicable) any information broadcast by an engine's on-board computers 
and electronic control modules which relates in any way to emission 
control devices and auxiliary emission control devices, provided that 
such hardware, passwords, or documentation exists and is not otherwise 
commercially available. Passwords include any information necessary to 
enable generic scan tools or personal computers access to proprietary 
emission related information broadcast by an engine's on-board computer, 
if such passwords exist. This requirement includes access by EPA to any 
proprietary code information which may be broadcast by an engine's on-
board computer and electronic control modules. Information which is 
confidential business information must be marked as such. Engineering 
units refers to the ability to read, interpret, and store information in 
commonly understood engineering units, for example, engine speed in 
revolutions per minute or per second, injection timing parameters such 
as start of injection in degree's before top-dead center, fueling rates 
in cubic centimeters per stroke, vehicle speed in miles per hour or 
kilometers per hour. This paragraph (n) does not restrict EPA authority 
to take any action authorized by section 208 of the Clean Air Act.

[62 FR 54724, Oct. 21, 1997, as amended at 65 FR 59947, Oct. 6, 2000; 79 
FR 23688, Apr. 28, 2014]



Sec.  86.004-25  Maintenance.

    Section 86.004-25 includes text that specifies requirements that 
differ from Sec.  86.094-25. Where a paragraph in Sec.  86.094-25 is 
applicable to Sec.  86.004-25, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec.  86.094-25.''.
    (a)(1) Applicability. This section applies to light-duty vehicles, 
light-duty trucks, and HDEs.
    (2) Maintenance performed on vehicles, engines, subsystems, or 
components used to determine exhaust, evaporative or refueling emission 
deterioration factors, as appropriate, is classified as either emission-
related or non-emission-related and each of these can be classified as 
either scheduled or unscheduled. Further, some emission-related 
maintenance is also classified as critical emission-related maintenance.
    (b) Introductory text through (b)(3)(ii) [Reserved]. For guidance 
see Sec.  86.094-25.
    (b)(3)(iii) For otto-cycle heavy-duty engines, the adjustment, 
cleaning, repair, or replacement of the items listed in paragraphs 
(b)(3)(iii) (A)-(E) of this section shall occur at 50,000 miles (or 
1,500 hours) of use and at 50,000-mile (or 1,500-hour) intervals 
thereafter.
    (A) Crankcase ventilation valves and filters.
    (B) Emission-related hoses and tubes.
    (C) Ignition wires.
    (D) Idle mixture.
    (E) Exhaust gas recirculation system related filters and coolers.
    (iv) For otto-cycle light-duty vehicles, light-duty trucks and otto-
cycle heavy-duty engines, the adjustment, cleaning, repair, or 
replacement of the oxygen sensor shall occur at 80,000 miles (or 2,400 
hours) of use and at 80,000-mile (or 2,400-hour) intervals thereafter.
    (v) For otto-cycle heavy-duty engines, the adjustment, cleaning, 
repair,

[[Page 452]]

or replacement of the items listed in paragraphs (b)(3)(v) (A)-(H) of 
this section shall occur at 100,000 miles (or 3,000 hours) of use and at 
100,000-mile (or 3,000-hour) intervals thereafter.
    (A) Catalytic converter.
    (B) Air injection system components.
    (C) Fuel injectors.
    (D) Electronic engine control unit and its associated sensors 
(except oxygen sensor) and actuators.
    (E) Evaporative emission canister.
    (F) Turbochargers.
    (G) Carburetors.
    (H) Exhaust gas recirculation system (including all related control 
valves and tubing) except as otherwise provided in paragraph 
(b)(3)(iii)(E) of this section.
    (4) For diesel-cycle heavy-duty engines, emission-related 
maintenance in addition to or at shorter intervals than the following 
specified values will not be accepted as technologically necessary, 
except as provided in paragraph (b)(7) of this section:
    (i) For diesel-cycle heavy-duty engines, the adjustment, cleaning, 
repair, or replacement of the following items shall occur at 50,000 
miles (or 1,500 hours) of use and at 50,000-mile (or 1,500-hour) 
intervals thereafter:
    (A) Exhaust gas recirculation system related filters and coolers.
    (B) Crankcase ventilation valves and filters.
    (C) Fuel injector tips (cleaning only).
    (D) DEF filters.
    (ii) [Reserved]
    (iii) The adjustment, cleaning, repair, or replacement of items 
listed in paragraphs (b)(4)(iii) (A)-(G) of this section shall occur at 
100,000 miles (or 3,000 hours) of use and at 100,000-mile (or 3,000-
hour) intervals thereafter for light heavy-duty diesel engines, or, at 
150,000 miles (or 4,500 hours) intervals thereafter for medium and heavy 
heavy-duty diesel engines.
    (A) Fuel injectors.
    (B) Turbocharger.
    (C) Electronic engine control unit and its associated sensors and 
actuators.
    (D) Particulate trap or trap oxidizer systems including related 
components (adjustment and cleaning only for filter element, replacement 
of the filter element is not allowed during the useful life).
    (E) Exhaust gas recirculation system (including all related control 
valves and tubing) except as otherwise provided in paragraph 
(b)(4)(i)(A) of this section.
    (F) Catalytic converter (adjustment and cleaning only for catalyst 
beds, replacement of the bed is not allowed during the useful life).
    (G) Any other add-on emissions-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emissions control and whose function is not 
integral to the design and performance of the engine.)
    (iv) [Reserved]
    (v) For engines that use selective catalytic reduction, the diesel 
exhaust fluid (DEF) tank must be sized so that DEF replenishment can 
occur at an interval, in miles or hours of vehicle operation, that is no 
less than the miles or hours of vehicle operation corresponding to the 
vehicle's fuel capacity. Use good engineering judgment to ensure that 
you meet this requirement for worst-case operation. For example, if the 
highest rate of DEF consumption (relative to fuel consumption) will 
occur under highway driving conditions (characterized by the SET), the 
DEF tank should be large enough that a single tankful of DEF would be 
enough to continue proper operation of the SCR system for the expected 
highway driving range with a single tank of fuel. Conversely, if the 
highest rate of DEF consumption (relative to fuel consumption) will 
occur under city or urban driving conditions (characterized by the 
transient FTP test), the DEF tank should be large enough that a single 
tank of DEF would be enough to continue proper operation of the SCR 
system for the expected city driving range with a single tank of fuel. 
For engine testing in a laboratory, any size DEF tank and fuel tank may 
be used; however, for our testing of engines, we may require you to 
provide us with a production-type DEF tank, including any associated 
sensors.
    (5) [Reserved]

[[Page 453]]

    (6)(i) The following components are defined as critical emission-
related components:
    (A) Catalytic converter.
    (B) Air injection system components.
    (C) Electronic engine control unit and its associated sensors 
(including oxygen sensor if installed) and actuators.
    (D) Exhaust gas recirculation system (including all related filters, 
coolers, control valves, and tubing).
    (E) Crankcase ventilation valves and filters.
    (F) Evaporative and refueling emission control system components 
(excluding canister air filter).
    (G) Particulate trap or trap-oxidizer system.
    (H) Components comprising the selective catalytic reduction system 
(including DEF tank).
    (I) Any other component whose primary purpose is to reduce emissions 
or whose failure would commonly increase emissions of any regulated 
pollutant without significantly degrading engine performance.
    (ii) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in-use. The manufacturer shall 
be required to show the reasonable likelihood of such maintenance being 
performed in-use, and such showing shall be made prior to the 
performance of the maintenance on the durability data engine. Critical 
emission-related scheduled maintenance items which satisfy one of the 
conditions defined in paragraphs (b)(6)(ii) (A)-(F) of this section will 
be accepted as having a reasonable likelihood of the maintenance item 
being performed in-use, except that DEF replenishment must satisfy 
paragraph (b)(6)(ii)(A) or (F) of this section to be accepted as having 
a reasonable likelihood of the maintenance item being performed in-use.
    (A) Data are presented which establish for the Administrator a 
connection between emissions and vehicle performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical driving.
    (B) Survey data are submitted which adequately demonstrate to the 
Administrator that, at an 80 percent confidence level, 80 percent of 
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (C) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the vehicle driver that maintenance 
is due. A signal bearing the message ``maintenance needed'' or ``check 
engine'', or a similar message approved by the Administrator, shall be 
actuated at the appropriate mileage point or by component failure. This 
signal must be continuous while the engine is in operation and not be 
easily eliminated without performance of the required maintenance. 
Resetting the signal shall be a required step in the maintenance 
operation. The method for resetting the signal system shall be approved 
by the Administrator. For HDEs, the system must not be designed to 
deactivate upon the end of the useful life of the engine or thereafter.
    (D) A manufacturer may desire to demonstrate through a survey that a 
critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (b)(6)(ii)(B) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one engine family, the sample will be 
sales weighted to ensure that it is representative of all the families 
in question.
    (E) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under Sec.  86.087-38.
    (F) Any other method which the Administrator approves as 
establishing a reasonable likelihood that the critical maintenance will 
be performed in-use.

[[Page 454]]

    (iii) Visible signal systems used under paragraph (b)(6)(ii)(C) of 
this section are considered an element of design of the emission control 
system. Therefore, disabling, resetting, or otherwise rendering such 
signals inoperative without also performing the indicated maintenance 
procedure is a prohibited act under section 203(a)(3) of the Clean Air 
Act (42 U.S.C. 7522(a)(3)).
    (b)(7)-(h) [Reserved]. For guidance see Sec.  86.094-25.
    (i) Notwithstanding the provisions of paragraph (b)(4) and (6) of 
this section, manufacturers may schedule replacement or repair of 
particulate trap (or trap oxidizer) systems or catalytic converters 
(including NOX adsorbers), provided that the manufacturer 
demonstrates to the Administrator's satisfaction that the repair or 
replacement will be performed according to the schedule and the 
manufacturer pays for the repair or replacement.

[62 FR 54725, Oct. 21, 1997, as amended at 79 FR 23688, Apr. 28, 2014; 
79 FR 46371, Aug. 8, 2014; 81 FR 73973, Oct. 25, 2016]



Sec.  86.004-26  Mileage and service accumulation; emission measurements.

    (a)-(b) [Reserved]
    (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
    (2) Two types of service accumulation are applicable to heavy-duty 
engines, as described in paragraphs (c)(2)(i) and (ii) of this section. 
For Otto-cycle heavy-duty engines exhaust emissions, the service 
accumulation method used by a manufacturer must be designed to 
effectively predict the deterioration of emissions in actual use over 
the full useful life of the of the candidate in-use vehicles and must 
cover the breadth of the manufacturer's product line that will be 
covered by the durability procedure. Manufacturers not selecting Options 
1 or 2 described in Sec.  86.005-10(f) may certify Otto-cycle engines 
using the provisions contained in Sec.  86.094-26(c)(2) rather than 
those contained in this paragraph (c)(2) for 2004 model year engine 
families certified using carry-over durability data, except for those 
engines used for early credit banking as allowed in Sec.  86.000-15(k).
    (i) Service accumulation on engines, subsystems, or components 
selected by the manufacturer under Sec.  86.094-24(c)(3)(i). The 
manufacturer determines the form and extent of this service 
accumulation, consistent with good engineering practice, and describes 
it in the application for certification.
    (ii) Dynamometer service accumulation on emission data engines 
selected under Sec.  86.094-24(b)(2) or (3). The manufacturer determines 
the engine operating schedule to be used for dynamometer service 
accumulation, consistent with good engineering practice. A single engine 
operating schedule shall be used for all engines in an engine family-
control system combination. Operating schedules may be different for 
different combinations.
    (3) Exhaust emission deterioration factors will be determined on the 
basis of the service accumulation described in Sec.  86.000-26(b)(2)(i) 
and related testing, according to the manufacturer's procedures.
    (4) The manufacturer shall determine, for each engine family, the 
number of hours at which the engine system combination is stabilized for 
emission-data testing. The manufacturer shall maintain, and provide to 
the Administrator if requested, a record of the rationale used in making 
this determination. The manufacturer may elect to accumulate 125 hours 
on each test engine within an engine family without making a 
determination. Any engine used to represent emission-data engine 
selections under Sec.  86.094-24(b)(2) shall be equipped with an engine 
system combination that has accumulated at least the number of hours 
determined under this paragraph. Complete exhaust emission tests shall 
be conducted for each emission-data engine selection under Sec.  86.094-
24(b)(2). Evaporative emission controls must be connected, as described 
in 40 CFR part 1065, subpart F. The Administrator may determine under 
Sec.  86.094-24(f) that no testing is required.
    (d)(1) This paragraph (d) applies for heavy-duty engines.
    (2)(i) The results of all emission testing shall be supplied to the 
Administrator. The manufacturer shall furnish to the Administrator 
explanation for voiding any test. The Administrator will determine if 
voiding the test was appropriate based upon the explanation

[[Page 455]]

given by the manufacturer for the voided test. Tests between test points 
may be conducted as required by the Administrator. Data from all tests 
(including voided tests) may be submitted weekly to the Administrator, 
but shall be delivered to the Administrator within 7 days after 
completion of the test. In addition, all test data shall be compiled and 
provided to the Administrator in accordance with Sec.  86.007-23. Where 
the Administrator conducts a test on a durability data vehicle at a 
prescribed test point, the results of that test will be used in the 
calculation of the deterioration factor.
    (ii) The results of all emission tests shall be recorded and 
reported to the Administrator. These test results shall be rounded as 
specified in 40 CFR part 1065 to the number of decimal places contained 
in the applicable emission standard expressed to one additional 
significant figure.
    (3) Whenever a manufacturer intends to operate and test a vehicle 
(or engine) that may be used for emission data, the manufacturer shall 
retain in its records all information concerning all emission tests and 
maintenance, including vehicle (or engine) alterations to represent 
other vehicle (or engine) selections. This information shall be 
submitted, including the vehicle (or engine) description and 
specification information required by the Administrator, to the 
Administrator following the emission test.
    (4) Emission testing of any type with respect to any certification 
vehicle or engine other than that specified in this subpart is not 
allowed except as such testing may be specifically authorized by the 
Administrator.

[65 FR 59947, Oct. 6, 2000, as amended at 70 FR 40432, July 13, 2005; 79 
FR 23688, Apr. 28, 2014]



Sec.  86.004-28  Compliance with emission standards.

    (a)-(b) [Reserved]
    (c)(1) Paragraph (c) of this section applies to heavy-duty engines.
    (2) The applicable exhaust emission standards (or family emission 
limits, as appropriate) for Otto-cycle engines and for diesel-cycle 
engines apply to the emissions of engines for their useful life.
    (3) Since emission control efficiency generally decreases with the 
accumulation of service on the engine, deterioration factors will be 
used in combination with emission data engine test results as the basis 
for determining compliance with the standards.
    (4)(i) Paragraph (c)(4) of this section describes the procedure for 
determining compliance of an engine with emission standards (or family 
emission limits, as appropriate), based on deterioration factors 
supplied by the manufacturer. Deterioration factors shall be established 
using applicable emissions test procedures. NOX plus NMHC 
deterioration factors shall be established based on the sum of the 
pollutants. When establishing deterioration factors for NOX 
plus NMHC, a negative deterioration (emissions decrease from the 
official exhaust emissions test result) for one pollutant may not offset 
deterioration of the other pollutant. Where negative deterioration 
occurs for NOX and/or NMHC, the official exhaust emission 
test result shall be used for purposes of determining the NOX 
plus NMHC deterioration factor.
    (ii) Separate exhaust emission deterioration factors, determined 
from tests of engines, subsystems, or components conducted by the 
manufacturer, shall be supplied for each engine-system combination. For 
Otto-cycle engines, separate factors shall be established for transient 
NMHC (NMHCE), CO, NOX. NOX plus NMHC, and idle CO, 
for those engines utilizing aftertreatment technology (e.g., catalytic 
converters). For diesel-cycle engines, separate factors shall be 
established for transient NMHC (NMHCE), CO, NOX. 
NOX plus NMHC and exhaust particulate. For diesel-cycle smoke 
testing, separate factors shall also be established for the acceleration 
mode (designated as ``A''), the lugging mode (designated as ``B''), and 
peak opacity (designated as ``C'').
    (iii)(A) Paragraphs (c)(4)(iii)(A) (1) and (2) of this section apply 
to Otto-cycle HDEs.
    (1) Otto-cycle HDEs not utilizing aftertreatment technology (e.g., 
catalytic converters). For transient NMHC (NMHCE), CO, NOX. 
the official exhaust emission results for each emission data engine at 
the selected test point shall

[[Page 456]]

be adjusted by the addition of the appropriate deterioration factor. 
However, if the deterioration factor supplied by the manufacturer is 
less than zero, it shall be zero for the purposes of this paragraph.
    (2) Otto-cycle HDEs utilizing aftertreatment technology (e.g., 
catalytic converters). For transient NMHC (NMHCE), CO, NOX. 
and for idle CO, the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by 
multiplication by the appropriate deterioration factor, except as 
otherwise provided in paragraph (c)(4)(iii)(A)(3) of this section. The 
deterioration factor must be calculated by dividing the exhaust 
emissions at full useful life by the stabilized mileage emission level 
(reference Sec.  86.096-26(c)(4), e.g., 125 hours). However, if the 
deterioration factor supplied by the manufacturer is less than one, it 
shall be one for purposes of this paragraph (c)(4)(iii)(A)(2).
    (3) An Otto-cycle heavy-duty engine manufacturer who believes that a 
deterioration factor derived using the calculation methodology described 
in paragraph (c)(4)(iii)(4)(A)(2) of this section are significantly 
unrepresentative for one or more engine families (either too high or too 
low) may petition the Administrator to allow for the use of an additive 
rather than a multiplicative deterioration factor. This petition must 
include full rationale behind the request together with any supporting 
data or other evidence. Based on this or other information the 
Administration may allow for an alternative procedure. Any petition 
should be submitted in a timely manner, to allow adequate time for a 
thorough evaluation. Manufacturers using an additive deterioration 
factor under this paragraph (c)(4)(iii)(A)(3) must perform in-use 
verification testing to determine if the additive deterioration factor 
reasonably predicts actual in-use emissions. The plan for the in-use 
verification testing must be approved by the Administrator as part of 
the approval process described in this paragraph (c)(4)(iii)(4)(A)(3) 
prior to the use of the additive deterioration factor. The Administrator 
may consider the results of the in-use verification testing both in 
certification and in-use compliance programs.
    (B) Paragraph (c)(4)(iii)(B) of this section applies to diesel-cycle 
HDEs.
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(4)(iii)(B)(2) of this section, use an 
additive deterioration factor for exhaust emissions. An additive 
deterioration factor for a pollutant is the difference between exhaust 
emissions at the end of the useful life and exhaust emissions at the 
low-hour test point. In these cases, adjust the official emission 
results for each tested engine at the selected test point by adding the 
factor to the measured emissions. If the factor is less than zero, use 
zero. Additive deterioration factors must be specified to one more 
decimal place than the applicable standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested engine at 
the selected test point by multiplying the measured emissions by the 
deterioration factor. If the factor is less than one, use one. A 
multiplicative deterioration factor may not be appropriate in cases 
where testing variability is significantly greater than engine-to-engine 
variability. Multiplicative deterioration factors must be specified to 
one more significant figure than the applicable standard.
    (3) Diesel-cycle HDEs only. For acceleration smoke (``A''), lugging 
smoke (``B''), and peak smoke (``C''), the official exhaust emission 
results for each emission data engine at the selected test point shall 
be adjusted by the addition of the appropriate deterioration factor. 
However, if the deterioration factor supplied by the manufacturer is 
less than zero, it shall be zero for the purposes of this paragraph.

[[Page 457]]

    (4) The emission values to compare with the standards (or family 
emission limits, as appropriate) shall be the adjusted emission values 
of paragraph (c)(4)(iii) of this section, rounded to the same number of 
significant figures as contained in the applicable standard in 
accordance with ASTM E 29-93a (as referenced in Sec.  86.094-28 
(a)(4)(i)(B)(2)(ii)), for each emission data engine.
    (5) and (6) [Reserved]
    (7) Every test engine of an engine family must comply with all 
applicable standards (or family emission limits, as appropriate), as 
determined in paragraph (c)(4)(iv) of this section, before any engine in 
that family will be certified.
    (8) For the purposes of setting an NMHC plus NOX 
certification level or FEL for a diesel-fueled engine family, the 
manufacturer may use one of the following options for the determination 
of NMHC for an engine family. The manufacturer must declare which option 
is used in its application for certification of that engine family.
    (i) THC may be used in lieu of NMHC for the standards set forth in 
Sec.  86.004-11.
    (ii) The manufacturer may choose its own method to analyze methane 
with prior approval of the Administrator.
    (iii) The manufacturer may assume that two percent of the measured 
THC is methane (NMHC = 0.98 x THC).
    (d)(1) Paragraph (d) of this section applies to heavy-duty vehicles 
equipped with gasoline-fueled or methanol-fueled engines.
    (2) The applicable evaporative emission standards in this subpart 
apply to the emissions of vehicles for their useful life.
    (3)(i) For vehicles with a GVWR of up to 26,000 pounds, because it 
is expected that emission control efficiency will change during the 
useful life of the vehicle, an evaporative emission deterioration factor 
shall be determined from the testing described in Sec.  86.098-23(b)(3) 
for each evaporative emission family-evaporative emission control system 
combination to indicate the evaporative emission control system 
deterioration during the useful life of the vehicle (minimum 50,000 
miles). The factor shall be established to a minimum of two places to 
the right of the decimal.
    (ii) For vehicles with a GVWR of greater than 26,000 pounds, because 
it is expected that emission control efficiency will change during the 
useful life of the vehicle, each manufacturer's statement as required in 
Sec.  86.098-23(b)(4)(ii) shall include, in accordance with good 
engineering practice, consideration of control system deterioration.
    (4) The evaporative emission test results, if any, shall be adjusted 
by the addition of the appropriate deterioration factor, provided that 
if the deterioration factor as computed in paragraph (d)(3) of this 
section is less than zero, that deterioration factor shall be zero for 
the purposes of this paragraph.
    (5) The emission level to compare with the standard shall be the 
adjusted emission level of paragraph (d)(4) of this section. Before any 
emission value is compared with the standard, it shall be rounded, in 
accordance with ASTM E 29-93a (as referenced in Sec.  86.094-28 
(a)(4)(i)(B)(2)(ii)), to two significant figures. The rounded emission 
values may not exceed the standard.
    (6) Every test vehicle of an evaporative emission family must comply 
with the evaporative emission standard, as determined in paragraph 
(d)(5) of this section, before any vehicle in that family may be 
certified.
    (e) [Reserved]
    (f)-(g) [Reserved]
    (h) [Reserved]. For guidance see Sec.  86.001-28.
    (i) This paragraph (i) describes how to adjust emission results from 
model year 2020 and earlier heavy-duty engines equipped with exhaust 
aftertreatment to account for regeneration events. This provision only 
applies for engines equipped with emission controls that are regenerated 
on an infrequent basis. For the purpose of this paragraph (i), the term 
``regeneration'' means an event during which emission levels change 
while the aftertreatment performance is being restored by design. 
Examples of regenerations are increasing exhaust gas temperature to 
remove sulfur from an adsorber or increasing exhaust gas temperature to 
oxidize PM in a trap. For the purpose of this paragraph (i), the term 
``infrequent'' means having an expected frequency of less than once

[[Page 458]]

per transient test cycle. Calculation and use of adjustment factors are 
described in paragraphs (i)(1) through (5) of this section. If your 
engine family includes engines with one or more AECDs for emergency 
vehicle applications approved under paragraph (4) of the definition of 
defeat device in Sec.  86.004-2, do not consider additional 
regenerations resulting from those AECDs when calculating emission 
factors or frequencies under this paragraph (i).
    (1) Development of adjustment factors. Manufacturers must develop 
separate pairs of adjustment factors (an upward adjustment factor and a 
downward adjustment factor) for each pollutant based on measured 
emission data and observed regeneration frequency. Adjustment factors 
may be carried-over to subsequent model years or carried-across to other 
engine families only where the Administrator determines that such carry-
over or carry-across is consistent with good engineering judgment. 
Adjustment factors should generally apply to an entire engine family, 
but manufacturers may develop separate adjustment factors for different 
engine configurations within an engine family. All adjustment factors 
for regeneration are additive.
    (2) Calculation of adjustment factors. The adjustment factors are 
calculated from the following parameters: the measured emissions from a 
test in which the regeneration occurs (EFH), the measured 
emissions from a test in which the regeneration does not occur 
(EFL), and the frequency of the regeneration event in terms 
of fraction of tests during which the regeneration occurs (F). The 
average emission rate (EFA) is calculated as:

EFA = (F)(EFH) + (1 - F)(EFL)

    (i) The upward adjustment factor (UAF) is calculated as: UAF = 
EFA - EFL.
    (ii) The downward adjustment factor (DAF) is calculated as: DAF = 
EFA - EFH.
    (3) Use of adjustment factors. Upward adjustment factors are added 
to measured emission rates for all tests in which the regeneration does 
not occur. Downward adjustment factors are added to measured emission 
rates for all tests in which the regeneration occurs. The occurrence of 
the regeneration must be identified in a manner that is readily apparent 
during all testing. Where no regeneration is identified, the upward 
adjustment factor shall be applied.
    (4) Sample calculation. If EFL is 0.10 g/bhp-hr, 
EFH is 0.50 g/bhp-hr, and F is 0.1 (i.e., the regeneration 
occurs once for each ten tests), then:

EFA = (0.1)(0.5 g/bhp-hr) + (1.0 - 0.1)(0.1 g/bhp-hr) = 0.14 
g/bhp-hr
UAF = 0.14 g/bhp-hr - 0.10 g/bhp-hr = 0.04 g/bhp-hr
DAF = 0.14 g/bhp-hr - 0.50 g/bhp-hr = -0.36 g/bhp-hr

    (5) Options. (i) A manufacturer may elect to omit adjustment factors 
for one or more of its engine families (or configurations) because the 
effect of the regeneration is small, or because it is not practical to 
identify when regenerations occur. In these cases, no upward or downward 
adjustment factor shall be added, and the manufacturer is liable for 
compliance with the emission standards for all tests, without regard to 
whether a regeneration occurs.
    (ii) Upon request by the manufacturer, the Administrator may account 
for regeneration events differently than is provided in this paragraph 
(i). However, this option only applies for events that occur extremely 
infrequently, and which cannot be practically addressed using the 
adjustment factors described in this paragraph (i).
    (j) For model year 2021 and later engines using aftertreatment 
technology with infrequent regeneration events that may occur during 
testing, take one of the following approaches to account for the 
emission impact of regeneration:
    (1) You may use the calculation methodology described in 40 CFR 
1065.680 to adjust measured emission results. Do this by developing an 
upward adjustment factor and a downward adjustment factor for each 
pollutant based on measured emission data and observed regeneration 
frequency as follows:
    (i) Adjustment factors should generally apply to an entire engine 
family,

[[Page 459]]

but you may develop separate adjustment factors for different 
configurations within an engine family. Use the adjustment factors from 
this section for all testing for the engine family.
    (ii) You may use carryover or carry-across data to establish 
adjustment factors for an engine family as described in Sec.  86.001-
24(f), consistent with good engineering judgment.
    (iii) Identify the value of F in each application for the 
certification for which it applies.
    (2) You may ask us to approve an alternate methodology to account 
for regeneration events. We will generally limit approval to cases where 
your engines use aftertreatment technology with extremely infrequent 
regeneration and you are unable to apply the provisions of this section.
    (3) You may choose to make no adjustments to measured emission 
results if you determine that regeneration does not significantly affect 
emission levels for an engine family (or configuration) or if it is not 
practical to identify when regeneration occurs. If you choose not to 
make adjustments under paragraph (j)(1) or (2) of this section, your 
engines must meet emission standards for all testing, without regard to 
regeneration.

[61 FR 54890, Oct. 22, 1996, as amended at 62 FR 54726, Oct. 21, 1997; 
65 FR 59948, Oct. 6, 2000; 66 FR 5159, Jan. 18, 2001; 71 FR 31486, Aug. 
30, 2006; 77 FR 34145, June 8, 2012; 79 FR 23688, Apr. 28, 2014; 81 FR 
73974, Oct. 25, 2016]



Sec.  86.004-38  Maintenance instructions.

    (a) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor vehicle (or motor vehicle engine) subject to 
the standards prescribed in Sec.  86.099-8, Sec.  86.004-9, Sec.  
86.004-10, or Sec.  86.004-11, as applicable, written instructions for 
the proper maintenance and use of the vehicle (or engine), by the 
purchaser consistent with the provisions of Sec.  86.004-25, which 
establishes what scheduled maintenance the Administrator approves as 
being reasonable and necessary.
    (1) The maintenance instructions required by this section shall be 
in clear, and to the extent practicable, nontechnical language.
    (2) The maintenance instructions required by this section shall 
contain a general description of the documentation which the 
manufacturer will require from the ultimate purchaser or any subsequent 
purchaser as evidence of compliance with the instructions.
    (b) Instructions provided to purchasers under paragraph (a) of this 
section shall specify the performance of all scheduled maintenance 
performed by the manufacturer on certification durability vehicles and, 
in cases where the manufacturer performs less maintenance on 
certification durability vehicles than the allowed limit, may specify 
the performance of any scheduled maintenance allowed under Sec.  86.004-
25.
    (c) Scheduled emission-related maintenance in addition to that 
performed under Sec.  86.004-25(b) may only be recommended to offset the 
effects of abnormal in-use operating conditions, except as provided in 
paragraph (d) of this section. The manufacturer shall be required to 
demonstrate, subject to the approval of the Administrator, that such 
maintenance is reasonable and technologically necessary to assure the 
proper functioning of the emission control system. Such additional 
recommended maintenance shall be clearly differentiated, in a form 
approved by the Administrator, from that approved under Sec.  86.004-
25(b).
    (d) Inspections of emission-related parts or systems with 
instructions to replace, repair, clean, or adjust the parts or systems 
if necessary, are not considered to be items of scheduled maintenance 
which insure the proper functioning of the emission control system. Such 
inspections, and any recommended maintenance beyond that approved by the 
Administrator as reasonable and necessary under paragraphs (a), (b), and 
(c) of this section, may be included in the written instructions 
furnished to vehicle owners under paragraph (a) of this section: 
Provided, That such instructions clearly state, in a form approved by 
the Administrator, that the owner need not perform such inspections or 
recommended maintenance in order to maintain the emissions defect and 
emissions performance warranty or manufacturer recall liability.

[[Page 460]]

    (e) The manufacturer may choose to include in such instructions an 
explanation of any distinction between the useful life specified on the 
label, and the emissions defect and emissions performance warranty 
period. The explanation must clearly state that the useful life period 
specified on the label represents the average period of use up to 
retirement or rebuild for the engine family represented by the engine 
used in the vehicle. An explanation of how the actual useful lives of 
engines used in various applications are expected to differ from the 
average useful life may be included. The explanation(s) shall be in 
clear, non-technical language that is understandable to the ultimate 
purchaser.
    (f) If approved by the Administrator, the instructions provided to 
purchasers under paragraph (a) of this section shall indicate what 
adjustments or modifications, if any, are necessary to allow the vehicle 
to meet applicable emission standards at elevations above 4,000 feet, or 
at elevations of 4,000 feet or less.
    (g) [Reserved]
    (h) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor engine subject to the standards prescribed 
in Sec.  86.004-10 or Sec.  86.004-11, as applicable, the following:
    (1) Instructions for all maintenance needed after the end of the 
useful life of the engine for critical emissions-related components as 
provided in Sec.  86.004-25(b), including recommended practices for 
diagnosis, cleaning, adjustment, repair, and replacement of the 
component (or a statement that such component is maintenance free for 
the life of the engine) and instructions for accessing and responding to 
any emissions-related diagnostic codes that may be stored in on-board 
monitoring systems;
    (2) A copy of the engine rebuild provisions contained in Sec.  
86.004-40.
    (i) For each new diesel-fueled engine subject to the standards 
prescribed in Sec.  86.007-11, as applicable, the manufacturer shall 
furnish or cause to be furnished to the ultimate purchaser a statement 
that ``This engine must be operated only with ultra low-sulfur diesel 
fuel (meeting EPA specifications for highway diesel fuel, including a 15 
ppm sulfur cap).''

[62 FR 54728, Oct. 21, 1997, as amended at 68 FR 38455, June 27, 2003; 
79 FR 23688, Apr. 28, 2014]



Sec.  86.004-40  Heavy-duty engine rebuilding practices.

    The provisions of this section are applicable to heavy-duty engines 
subject to model year 2004 or later standards and are applicable to the 
process of engine rebuilding (or rebuilding a portion of an engine or 
engine system). The process of engine rebuilding generally includes 
disassembly, replacement of multiple parts due to wear, and reassembly, 
and also may include the removal of the engine from the vehicle and 
other acts associated with rebuilding an engine. Any deviation from the 
provisions contained in this section is a prohibited act under section 
203(a)(3) of the Clean Air Act (42 U.S.C. 7522(a)(3)).
    (a) When rebuilding an engine, portions of an engine, or an engine 
system, there must be a reasonable technical basis for knowing that the 
resultant engine is equivalent, from an emissions standpoint, to a 
certified configuration (i.e., tolerances, calibrations, specifications) 
and the model year(s) of the resulting engine configuration must be 
identified. A reasonable basis would exist if:
    (1) Parts installed, whether the parts are new, used, or rebuilt, 
are such that a person familiar with the design and function of motor 
vehicle engines would reasonably believe that the parts perform the same 
function with respect to emissions control as the original parts; and
    (2) Any parameter adjustment or design element change is made only:
    (i) In accordance with the original engine manufacturer's 
instructions; or
    (ii) Where data or other reasonable technical basis exists that such 
parameter adjustment or design element change, when performed on the 
engine or similar engines, is not expected to adversely affect in-use 
emissions.
    (b) When an engine is being rebuilt and remains installed or is 
reinstalled in the same vehicle, it must be rebuilt to a configuration 
of the same or later model year as the original engine.

[[Page 461]]

When an engine is being replaced, the replacement engine must be an 
engine of (or rebuilt to) a configuration of the same or later model 
year as the original engine.
    (c) At time of rebuild, emissions-related codes or signals from on-
board monitoring systems may not be erased or reset without diagnosing 
and responding appropriately to the diagnostic codes, regardless of 
whether the systems are installed to satisfy requirements in Sec.  
86.004-25 or for other reasons and regardless of form or interface. 
Diagnostic systems must be free of all such codes when the rebuilt 
engine is returned to service. Such signals may not be rendered 
inoperative during the rebuilding process.
    (d) When conducting a rebuild without removing the engine from the 
vehicle, or during the installation of a rebuilt engine, all critical 
emissions-related components listed in Sec.  86.004-25(b) not otherwise 
addressed by paragraphs (a) through (c) of this section must be checked 
and cleaned, adjusted, repaired, or replaced as necessary, following 
manufacturer recommended practices.
    (e) Records shall be kept by parties conducting activities included 
in paragraphs (a) through (d) of this section. The records shall include 
at minimum the mileage and/or hours at time of rebuild, a listing of 
work performed on the engine and emissions-related control components 
including a listing of parts and components used, engine parameter 
adjustments, emissions-related codes or signals responded to and reset, 
and work performed under paragraph (d) of this section.
    (1) Parties may keep records in whatever format or system they 
choose as long as the records are understandable to an EPA enforcement 
officer or can be otherwise provided to an EPA enforcement officer in an 
understandable format when requested.
    (2) Parties are not required to keep records of information that is 
not reasonably available through normal business practices including 
information on activities not conducted by themselves or information 
that they cannot reasonably access.
    (3) Parties may keep records of their rebuilding practices for an 
engine family rather than on each individual engine rebuilt in cases 
where those rebuild practices are followed routinely.
    (4) Records must be kept for a minimum of two years after the engine 
is rebuilt.

[62 FR 54729, Oct. 21, 1997, as amended at 66 FR 5160, Jan. 18, 2001]



Sec.  86.005-1  General applicability.

    Section 86.005-1 includes text that specifies requirements that 
differ from Sec.  86.001-1. Where a paragraph in Sec.  86.001-1 is 
identical and applicable to Sec.  86.005-1, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.001-1.''.
    (a) Applicability. The provisions of this subpart generally apply to 
2005 and later model year new Otto-cycle heavy-duty engines used in 
incomplete vehicles and vehicles above 14,000 pounds GVWR and 2005 and 
later model year new diesel-cycle heavy-duty engines. In cases where a 
provision applies only to a certain vehicle group based on its model 
year, vehicle class, motor fuel, engine type, or other distinguishing 
characteristics, the limited applicability is cited in the appropriate 
section or paragraph. The provisions of this subpart continue to 
generally apply to 2000 and earlier model year new Otto-cycle and 
diesel-cycle light-duty vehicles, 2000 and earlier model year new Otto-
cycle and diesel-cycle light-duty trucks, and 2004 and earlier model 
year new Otto-cycle complete heavy-duty vehicles at or below 14,000 
pounds GVWR. Provisions generally applicable to 2001 and later model 
year new Otto-cycle and diesel-cycle light-duty vehicles, 2001 and later 
model year new Otto-cycle and diesel-cycle light-duty trucks, and 2005 
and later model year Otto-cycle complete heavy-duty vehicles at or below 
14,000 pounds GVWR are located in subpart S of this part.
    (b) Optional applicability. (1) A manufacturer may request to 
certify any 2003 or 2004 model year heavy-duty vehicle of 14,000 pounds 
Gross Vehicle Weight Rating or less in accordance with the light-duty 
truck provisions located in subpart S of this part. Heavy-duty engine or 
vehicle provisions of this subpart A do not apply to such a

[[Page 462]]

vehicle. This option is not available in the 2003 model year for 
manufacturers choosing Otto-cycle HDE option 1 in paragraph (c)(1) of 
this section, or in the 2004 model year for manufacturers choosing Otto-
cycle HDE option 2 in paragraph (c)(2) of this section.
    (2) For 2005 and later model years, a manufacturer may request to 
certify any incomplete Otto-cycle heavy-duty vehicle of 14,000 pounds 
Gross Vehicle Weight Rating or less in accordance with the provisions 
for Otto-cycle complete heavy-duty vehicles located in subpart S of this 
part. Heavy-duty engine or heavy-duty vehicle provisions of this subpart 
A do not apply to such a vehicle. This option is available starting with 
the 2003 model year to manufacturers choosing Otto-cycle HDE option 1 in 
paragraph (c)(1) of this section. This option is available starting with 
the 2004 model year to manufacturers choosing Otto-cycle HDE option 2 in 
paragraph (c)(1) of this section.
    (c) Otto-cycle heavy-duty engines and vehicles. The manufacturer 
must select one of the three options for Otto-cycle heavy-duty engines 
and vehicles in paragraphs (c)(1) through (c)(3) of this section. The 
emission standards and other requirements that apply under a given 
option shall apply to all Otto-cycle heavy-duty engines and vehicles 
certified by the manufacturer (e.g., a manufacturer may not select one 
option for certain engine families and the other option for other engine 
families). The requirements under each option shall remain effective, 
once selected, for subsequent model years, until superceded or otherwise 
revised by the Administrator (e.g., a manufacturer may not select one 
option prior to the 2004 model year and change to another option in the 
2006 model year). The complete requirements under each option are 
contained in subparts A and S of this part.
    (1) Otto-cycle HDE Option 1. The following requirements apply to 
Otto-cycle heavy-duty engines and vehicles certified by manufacturers 
selecting this option:
    (i) Emission standards for 2003 and later model year Otto-cycle 
heavy-duty engines, according to the provisions of Sec.  86.005-
10(f)(1).
    (ii) Emission standards for 2003 and later model year Otto-cycle 
complete heavy-duty vehicles, according to the provisions of Sec.  
86.1816-05, except that, for 2003 through 2006 model year Otto-cycle 
complete heavy-duty vehicles, manufacturers may optionally comply with 
the standards in either 86.005-10 or 86.1816-05.
    (iii) Averaging, banking, and trading provisions that allow transfer 
of credits between a manufacturer's complete vehicle averaging set and 
their heavy-duty Otto-cycle engine averaging set, according to the 
provisions of Sec.  86.1817-05(o).
    (iv) On-board diagnostics requirements effective starting with the 
2004 model year for Otto-cycle engines and complete vehicles, according 
to the provisions of Sec. Sec.  86.005-17 and 86.1806-05.
    (v) Refueling emissions requirements effective starting with the 
2004 model year for Otto-cycle complete vehicles, according to the 
provisions of Sec. Sec.  86.1810-01 and 86.1816-05.
    (2) Otto-cycle HDE Option 2. The following requirements apply to 
Otto-cycle heavy-duty engines and vehicles certified by manufacturers 
selecting this option:
    (i) Emission standards for 2004 and later model year Otto-cycle 
heavy-duty engines, according to the provisions of Sec.  86.005-
10(f)(2).
    (ii) Emission standards for 2004 and later model year Otto-cycle 
complete heavy-duty vehicles, according to the provisions of Sec.  
86.1816-05.
    (iii) Averaging, banking, and trading provisions that allow transfer 
of credits between a manufacturer's complete vehicle averaging set and 
their heavy-duty Otto-cycle engine averaging set, according to the 
provisions of Sec.  86.1817-05(o).
    (iv) On-board diagnostics requirements effective starting with the 
2004 model year for Otto-cycle engines and complete vehicles, according 
to the provisions of Sec. Sec.  86.005-17 and 86.1806-05.
    (v) Refueling emissions requirements effective starting with the 
2004 model year for Otto-cycle complete vehicles, according to the 
provisions of Sec. Sec.  86.1810-01 and 86.1816-05.
    (3) Otto-cycle HDE Option 3. The following requirements apply to 
Otto-cycle heavy-duty engines and vehicles

[[Page 463]]

certified by manufacturers that do not select one of the options for 
2003 or 2004 model year compliance in paragraph (c)(1) or (c)(2) of this 
section:
    (i) Emission standards for 2005 and later model year Otto-cycle 
heavy-duty engines, according to the provisions of Sec.  86.005-10.
    (ii) Emission standards for 2005 and later model year Otto-cycle 
complete heavy-duty vehicles, according to the provisions of Sec.  
86.1816-05.
    (iii) On-board diagnostics requirements effective starting with the 
2005 model year for Otto-cycle engines and complete vehicles, according 
to the provisions of Sec. Sec.  86.005-17 and 86.1806-05.
    (iv) Refueling emissions requirements effective starting with the 
2005 model year for Otto-cycle complete vehicles, according to the 
provisions of Sec. Sec.  86.1810-01 and 86.1816-05.
    (v) Manufacturers selecting this option may exempt 2005 model year 
Otto-cycle heavy-duty engines and vehicles whose model year commences 
before July 31, 2004 from the requirements in paragraphs (c)(3)(i) 
through (iv) of this section.
    (vi) For 2005 model year engines or vehicles exempted under 
paragraph (c)(3)(v) of this section, a manufacturer shall certify such 
Otto-cycle heavy-duty engines and vehicles to all requirements in this 
subpart applicable to 2004 model year Otto-cycle heavy-duty engines. The 
averaging, banking, and trading provisions contained in Sec.  86.000-15 
remain effective for these engines.
    (d) [Reserved]
    (e)-(f) [Reserved]. For guidance see Sec.  86.001-1.

[65 FR 59949, Oct. 6, 2000]



Sec.  86.005-10  Emission standards for 2005 and later model year 
Otto-cycle heavy-duty engines and vehicles.

    Section 86.005-10 includes text that specifies requirements that 
differ from Sec.  86.099-10. Where a paragraph in Sec.  86.099-10 is 
identical and applicable to Sec.  86.005-10, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.099-10.''
    (a)(1) Exhaust emissions from new 2005 and later model year Otto-
cycle HDEs, except for Otto-cycle HDEs subject to the alternative 
standards in paragraph (f) of this section, shall not exceed:
    (i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NOX  + 
NMHC) for engines fueled with either gasoline, natural gas, or liquefied 
petroleum gas. 1.0 grams per brake horsepower-hour (0.37 grams per 
megajoule).
    (B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOX  
+ NMHCE) for engines fueled with methanol. 1.0 grams per brake 
horsepower-hour (0.37 grams per megajoule).
    (C) A manufacturer may elect to include any or all of its Otto-cycle 
HDE families in any or all of the emissions ABT programs for HDEs, 
within the restrictions described in Sec.  86.098-15. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX plus NMHC (or NOX plus NMHCE for methanol-
fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour 
(1.7 grams per megajoule). This ceiling value applies whether credits 
for the family are derived from averaging, banking, or trading programs.
    (ii)(A) Carbon monoxide for engines intended for use in all 
vehicles, except as provided in paragraph (a)(3) of this section. 14.4 
grams per brake horsepower-hour (5.36 grams per megajoule), as measured 
under transient operating conditions.
    (B) Carbon monoxide for engines intended for use only in vehicles 
with a Gross Vehicle Weight Rating of greater than 14,000 pounds. 37.1 
grams per brake horsepower-hour (13.8 grams per megajoule), as measured 
under transient operating conditions.
    (C) Idle carbon monoxide. For all Otto-cycle HDEs utilizing 
aftertreatment technology, and not certified to the onboard diagnostics 
requirements of Sec.  86.005-17: 0.50 percent of exhaust gas flow at 
curb idle.
    (2) The standards set forth in paragraphs (a)(1) and (f) of this 
section refer to the exhaust emitted over the operating schedule set 
forth in paragraph (f)(1) of appendix I to this part, and measured and 
calculated in accordance with the procedures set forth in subpart N or P 
of this part.

[[Page 464]]

    (3)(i) A manufacturer may certify one or more Otto-cycle HDE 
configurations intended for use in all vehicles to the emission standard 
set forth in paragraph (a)(1)(ii)(B) of this section: Provided, that the 
total model year sales of such configuration(s), segregated by fuel 
type, being certified to the emission standard in paragraph 
(a)(1)(ii)(B) of this section represent no more than five percent of 
total model year sales of each fuel type Otto-cycle HDE intended for use 
in vehicles with a Gross Vehicle Weight Rating of up to 14,000 pounds by 
the manufacturer.
    (ii) The configurations certified to the emission standards of 
paragraph (a)(1)(ii)(B) of this section under the provisions of 
paragraph (a)(3)(i) of this section shall still be required to meet the 
evaporative emission standards set forth in Sec.  86.099-10(b)(1)(i), 
(b)(2)(i) and (b)(3)(i).
    (4) The manufacturer may exempt 2005 model year HDE engine families 
whose model year begins before July, 31, 2004 from the requirements in 
this paragraph (a). Exempted engine families shall be subject to the 
requirements in Sec.  86.099-10.
    (5) For certification purposes, where the applicable California 
evaporative emission standard is as stringent or more stringent than the 
applicable federal evaporative emission standard, the Administrator may 
accept California certification test data indicating compliance with the 
California standard to demonstrate compliance with the appropriate 
federal certification evaporative emission standard. The Administrator 
may require the manufacturer to provide comparative test data which 
clearly demonstrates that a vehicle meeting the California evaporative 
standard (when tested under California test conditions/test procedures) 
will also meet the appropriate federal evaporative emission standard 
when tested under federal test conditions/test procedures described in 
this part 86.
    (b) [Reserved]. For guidance see Sec.  86.099-10.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1998 or later model year Otto-cycle heavy-duty 
engine.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart N or P of this part to ascertain that such test engines meet the 
requirements of this section.
    (e) [Reserved]. For guidance see Sec.  86.099-10.
    (f) Alternative exhaust emission standards. In lieu of the exhaust 
emission standards in paragraph (a)(1)(i)(A) or (B) of this section, the 
manufacturer may select the standards and provisions in either paragraph 
(f)(1) or (f)(2) of this section.
    (1) Otto-cycle HDE Option 1. The alternative exhaust emission 
standards in this paragraph (f)(1) shall apply to new 2003 through 2007 
model year Otto-cycle HDEs and, at the manufacturers option, to new 2003 
through 2006 model year Otto-cycle complete heavy-duty vehicles less 
than or equal to 14,000 pounds GVWR
    (i) Oxides of Nitrogen plus Non-methane Hydrocarbons (NOX  + NMHC) 
for engines fueled with either gasoline, natural gas, or liquefied 
petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per 
megajoule).
    (ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOX 
 + NMHCE) for engines fueled with methanol. 1.5 grams per brake 
horsepower-hour (0.55 grams per megajoule).
    (2) Otto-cycle HDE Option 2. The alternative exhaust emission 
standards in this paragraph (f)(2) shall apply to new 2004 through 2007 
model year Otto-cycle HDEs.
    (i) Oxides of Nitrogen plus Non-methane Hydrocarbons (NO,X  + NMHC) 
for engines fueled with either gasoline, natural gas, or liquefied 
petroleum gas. 1.5 grams per brake horsepower-hour (0.55 grams per 
megajoule).
    (ii) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOX 
 + NMHCE) for engines fueled with methanol. 1.5 grams per brake 
horsepower-hour (0.55 grams per megajoule).

[65 FR 59950, Oct. 6, 2000, as amended at 66 FR 5160, Jan. 18, 2001; 70 
FR 72927, Dec. 8, 2005; 79 FR 23688, Apr. 28, 2014]

[[Page 465]]



Sec.  86.007-11  Emission standards and supplemental requirements for 2007 
and later model year diesel heavy-duty engines and vehicles.

    This section applies to new 2007 and later model year diesel heavy-
duty engines and vehicles. Starting in model year 2021, this section 
also applies to all heavy HDE, regardless of fuel or combustion cycle 
(see 40 CFR 1036.140(a) and 1036.150(c)). Section 86.007-11 includes 
text that specifies requirements that differ from Sec.  86.004-11. Where 
a paragraph in Sec.  86.004-11 is identical and applicable to Sec.  
86.007-11, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec.  86.004-
11.''
    (a)(1) Exhaust emissions from new 2007 and later model year diesel 
HDEs shall not exceed the following:
    (i) Oxides of Nitrogen (NOX). (A) 0.20 grams per brake 
horsepower-hour (0.075 grams per megajoule).
    (B) A manufacturer may elect to include any or all of its diesel HDE 
families in any or all of the NOX and NOX plus 
NMHC emissions ABT programs for HDEs, within the restrictions described 
in Sec.  86.007-15 or Sec.  86.004-15. If the manufacturer elects to 
include engine families in any of these programs, the NOX 
FELs may not exceed the following FEL caps: 2.00 grams per brake 
horsepower-hour (0.75 grams per megajoule) for model years before 2010; 
0.50 grams per brake horsepower-hour (0.19 grams per megajoule) for 
model years 2010 and later. This ceiling value applies whether credits 
for the family are derived from averaging, banking, or trading programs.
    (ii)(A) Nonmethane hydrocarbon (NMHC) for engines fueled with diesel 
fuel. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule).
    (B) Nonmethane-nonethane hydrocarbon (NMNEHC) for engines fueled 
with natural gas or liquefied petroleum gas. 0.14 grams per brake 
horsepower-hour (0.052 grams per megajoule).
    (C) Nonmethane hydrocarbon equivalent (NMHCE) for engines fueled 
with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per 
megajoule).
    (iii) Carbon monoxide. 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule).
    (iv) Particulate. (A) 0.01 grams per brake horsepower-hour (0.0037 
grams per megajoule).
    (B) A manufacturer may elect to include any or all of its diesel HDE 
families in any or all of the particulate ABT programs for HDEs, within 
the restrictions described in Sec.  86.007-15 or other applicable 
sections. If the manufacturer elects to include engine families in any 
of these programs, the particulate FEL may not exceed 0.02 grams per 
brake horsepower-hour (0.0075 grams per megajoule).
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the duty cycle specified in paragraphs 
(a)(2)(i) through (iii) of this section, where exhaust emissions are 
measured and calculated as specified in paragraphs (a)(2)(iv) and (v) of 
this section in accordance with the procedures set forth in subpart N of 
this part, except as noted in Sec.  86.007-23(c)(2):
    (i) Perform the test interval set forth in paragraph (f)(2) of 
appendix I of this part with a cold-start according to 40 CFR part 1065, 
subpart F. This is the cold-start test interval.
    (ii) Shut down the engine after completing the test interval and 
allow 201 minutes to elapse. This is the hot soak.
    (iii) Repeat the test interval. This is the hot-start test interval.
    (iv) Calculate the total emission mass of each constituent, m, and 
the total work, W, over each test interval according to 40 CFR 1065.650.
    (v) Determine your engine's brake-specific emissions using the 
following calculation, which weights the emissions from the cold-start 
and hot-start test intervals:
[GRAPHIC] [TIFF OMITTED] TR30AU06.001


[[Page 466]]


    (3) SET (i) Exhaust emissions, as determined under Sec.  86.1360-
2007(b) pertaining to the supplemental emission test cycle, for each 
regulated pollutant shall not exceed 1.0 times the applicable emission 
standards or FELs specified in paragraph (a)(1) of this section.
    (ii) For engines not having a NOX FEL less than1.5 g/bhp-
hr, gaseous exhaust emissions shall not exceed the steady-state 
interpolated values determined by the Maximum Allowable Emission Limits 
(for the corresponding speed and load), as determined under Sec.  
86.1360-2007(f), when the engine is operated in the steady-state control 
area defined under Sec.  86.1360-2007(d).
    (4) NTE (i)(A) The brake-specific exhaust NMHC or NOX 
emissions in g/bhp-hr, as determined under Sec.  86.1370-2007 pertaining 
to the not-to-exceed test procedures, shall not exceed 1.5 times the 
applicable NMHC or NOX emission standards or FELs specified 
in paragraph (a)(1) of this section, during engine and vehicle operation 
specified in paragraph (a)(4)(ii) of this section except as noted in 
paragraph (a)(4)(iii) of this section.
    (B) For engines not having a NOX FEL less than1.50 g/bhp-
hr, the brake-specific NOX and NMHC exhaust emissions in g/
bhp-hr, as determined under Sec.  86.1370-2007 pertaining to the not-to-
exceed test procedures, shall not exceed 1.25 times the applicable 
emission standards or FELs specified in paragraph (a)(1) of this section 
(or of Sec.  86.004-11, as allowed by paragraph (g) of this section), 
during engine and vehicle operation specified in paragraph (a)(4)(ii) of 
this section except as noted in paragraph (a)(4)(iii) of this section.
    (C) The brake-specific exhaust PM emissions in g/bhp-hr, as 
determined under Sec.  86.1370-2007 pertaining to the not-to-exceed test 
procedures, shall not exceed 1.5 times the applicable PM emission 
standards or FEL (for FELs above the standard only) specified in 
paragraph (a)(1) of this section, during engine and vehicle operation 
specified in paragraph (a)(4)(ii) of this section except as noted in 
paragraph (a)(4)(iii) of this section.
    (D) The brake-specific exhaust CO emissions in g/bhp-hr, as 
determined under Sec.  86.1370-2007 pertaining to the not-to-exceed test 
procedures, shall not exceed 1.25 times the applicable CO emission 
standards or FEL specified in paragraph (a)(1) of this section, during 
engine and vehicle operation specified in paragraph (a)(4)(ii) of this 
section except as noted in paragraph (a)(4)(iii) of this section.
    (ii) For each engine family, the not-to-exceed emission limits must 
apply during one of the following two ambient operating regions:
    (A) The not-to-exceed limits apply for all altitudes less than or 
equal to 5,500 feet above sea-level, during all ambient conditions 
(temperature and humidity). Temperature and humidity ranges for which 
correction factors are allowed are specified in Sec.  86.1370-2007(e); 
or
    (B)(1) The not-to-exceed emission limits apply at all altitudes less 
than or equal to 5,500 feet above sea-level, for temperatures less than 
or equal to the temperature determined by the following equation at the 
specified altitude:

T = -0.00254 x A + 100

Where:

T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea-level (A is negative for altitudes below 
          sea-level).

    (2) Temperature and humidity ranges for which correction factors are 
allowed are specified in Sec.  86.1370-2007(e);
    (iii) For engines equipped with exhaust gas recirculation, the not-
to-exceed emission limits specified in paragraph (a)(4)(i) of this 
section do not apply to engine or vehicle operation during cold 
operating conditions as specified in Sec.  86.1370-2007(f).
    (iv) Deficiencies for NTE emission standards. (A) For model years 
2007 through 2009, upon application by the manufacturer, the 
Administrator may accept a HDDE as compliant with the NTE standards even 
though specific requirements are not fully met. Such compliances without 
meeting specific requirements, or deficiencies, will be granted only if 
compliance would be infeasible or unreasonable considering such factors 
as, but not limited to: Technical feasibility of the given hardware and 
lead time and production cycles including phase-in or phase-out of

[[Page 467]]

engines or vehicle designs and programmed upgrades of computers. 
Deficiencies will be approved on an engine model and/or horsepower 
rating basis within an engine family, and each approval is applicable 
for a single model year. A manufacturer's application must include a 
description of the auxiliary emission control device(s) which will be 
used to maintain emissions to the lowest practical level, considering 
the deficiency being requested, if applicable. An application for a 
deficiency must be made during the certification process; no deficiency 
will be granted to retroactively cover engines already certified.
    (B) Unmet requirements should not be carried over from the previous 
model year except where unreasonable hardware or software modifications 
would be necessary to correct the deficiency, and the manufacturer has 
demonstrated an acceptable level of effort toward compliance as 
determined by the Administrator. The NTE deficiency should only be seen 
as an allowance for minor deviations from the NTE requirements. The NTE 
deficiency provisions allow a manufacturer to apply for relief from the 
NTE emission requirements under limited conditions. EPA expects that 
manufacturers should have the necessary functioning emission control 
hardware in place to comply with the NTE.
    (C) For model years 2010 through 2013, the Administrator may allow 
up to three deficiencies per engine family. The provisions of paragraphs 
(a)(4)(iv)(A) and (B) of this section apply for deficiencies allowed by 
this paragraph (a)(4)(iv)(C). In determining whether to allow the 
additional deficiencies, the Administrator may consider any relevant 
factors, including the factors identified in paragraph (a)(4)(iv)(A) of 
this section. If additional deficiencies are approved, the Administrator 
may set any additional conditions that he/she determines to be 
appropriate.
    (v) The emission limits specified in paragraphs (a)(3) and (a)(4) of 
this section shall be rounded to the same number of significant figures 
as the applicable standards in paragraph (a)(1) of this section using 
ASTM E29-93a (Incorporated by reference at Sec.  86.1).
    (vi) Manufacturers are not required to provide engine information 
exclusively related to in-use testing as part of initial certification. 
However, upon request from EPA the manufacturers must provide the 
information which clearly identifies parameters defining all NTE 
deficiencies described under paragraph (a)(4)(iv) of this section and 
parameters defining all NTE limited testing regions described under 
Sec.  86.1370-2007(b)(6) and (7) that are requested. When requested, 
deficiencies and limited testing regions must be reported for all engine 
families and power ratings in English with sufficient detail for us to 
determine if a particular deficiency or limited testing region will be 
encountered in the emission test data from the portable emission-
sampling equipment and field-testing procedures referenced in Sec.  
86.1375. Such information is to be provided within 60 days of the 
request from EPA.
    (b)(1) introductory text through (b)(1)(iii) [Reserved]. For 
guidance see Sec.  86.004-11.
    (b)(1)(iv) Operation within the NTE zone (defined in Sec.  86.1370-
2007) must comply with a filter smoke number of 1.0 under steady-state 
operation, or the following alternate opacity limits:
    (A) A 30 second transient test average opacity limit of 4% for a 5 
inch path; and
    (B) A 10 second steady state test average opacity limit of 4% for a 
5 inch path.
    (2)(i) The standards set forth in Sec.  86.004-11 (b)(1)(i)-(iii) 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (ii) The standards set forth in paragraph (b)(1)(iv) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in Sec.  86.1370-2007 and calculated in accordance with the 
procedures set forth in Sec.  86.1372-2007.
    (b)(3) and (b)(4) [Reserved]. For guidance see Sec.  86.004-11.
    (c) No crankcase emissions shall be discharged directly into the 
ambient atmosphere from any new 2007 or later model year diesel HDE, 
with the following exception: HDEs equipped with

[[Page 468]]

turbochargers, pumps, blowers, or superchargers for air induction may 
discharge crankcase emissions to the ambient atmosphere if the emissions 
are added to the exhaust emissions (either physically or mathematically) 
during all emission testing. Manufacturers taking advantage of this 
exception must manufacture the engines so that all crankcase emission 
can be routed into a dilution tunnel (or other sampling system approved 
in advance by the Administrator), and must account for deterioration in 
crankcase emissions when determining exhaust deterioration factors. For 
the purpose of this paragraph (c), crankcase emissions that are routed 
to the exhaust upstream of exhaust aftertreatment during all operation 
are not considered to be ``discharged directly into the ambient 
atmosphere.''
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart I or N of this part to ascertain that such test engines meet the 
requirements of paragraphs (a), (b), (c), and (d) of this section.
    (e) [Reserved]. For guidance see Sec.  86.004-11.
    (f) (1) Model year 2007 and later diesel-fueled heavy-duty engines 
and vehicles for sale in Guam, American Samoa, or the Commonwealth of 
the Northern Mariana Islands shall be subject to the same standards and 
requirements as apply to 2006 model year diesel heavy-duty engines and 
vehicles, but only if the vehicle or engine bears a permanently affixed 
label stating:

    THIS ENGINE (or VEHICLE, as applicable) CONFORMS TO US EPA EMISSION 
STANDARDS APPLICABLE TO MODEL YEAR 2006. THIS ENGINE (or VEHICLE, as 
applicable) DOES NOT CONFORM TO US EPA EMISSION REQUIREMENTS IN EFFECT 
AT TIME OF PRODUCTION AND MAY NOT BE IMPORTED INTO THE UNITED STATES OR 
ANY TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE 
COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS.

    (2) The importation or sale of such a vehicle or engine for use at 
any location U.S. other than Guam, American Samoa, or the Commonwealth 
of the Northern Mariana Islands shall be considered a violation of 
section 203(a)(1) of the Clean Air Act. In addition, vehicles or vehicle 
engines subject to this exemption may not subsequently be imported or 
sold into any state or territory of the United States other than Guam, 
American Samoa, or Commonwealth of the Northern Mariana Islands.
    (g) Model year 2018 and later engines at or above 56 kW that will be 
installed in specialty vehicles as allowed by 40 CFR 1037.605 may meet 
alternate emission standards as follows:
    (1) The engines must be of a configuration that is identical to one 
that is certified under 40 CFR part 1039, and meet the following 
additional standards using the same duty cycles that apply under 40 CFR 
part 1039:
    (i) The engines must be certified with a Family Emission Limit for 
PM of 0.020 g/kW-hr.
    (ii) Diesel-fueled engines using selective catalytic reduction must 
meet an emission standard of 0.1 g/kW-hr for N2O.
    (2) Except as specified in this paragraph (g), engines certified 
under this paragraph (g) must meet all the requirements that apply under 
40 CFR part 1039 instead of the comparable provisions in this subpart A. 
Before shipping engines under this section, you must have written 
assurance from the vehicle manufacturers that they need a certain number 
of exempted engines under this section. In your annual production report 
under 40 CFR 1039.250, count these engines separately and identify the 
vehicle manufacturers that will be installing them. Treat these engines 
as part of the corresponding engine family under 40 CFR part 1039 for 
compliance purposes such as selective enforcement audits, in-use 
testing, defect reporting, and recall.
    (3) The engines must be labeled as described in Sec.  86.095-35, 
with the following statement instead of the one specified in Sec.  
86.095-35(a)(3)(iii)(H): ``This engine conforms to alternate standards 
for specialty vehicles under 40 CFR 86.007-11(g)''. Engines certified 
under this paragraph (g) may not have the label specified for nonroad 
engines in 40 CFR

[[Page 469]]

part 1039 or any other label identifying them as nonroad engines.
    (4) In a separate application for a certificate of conformity, 
identify the corresponding nonroad engine family, describe the label 
required under this paragraph (g), state that you meet applicable 
diagnostic requirements under 40 CFR part 1039, and identify your 
projected U.S.-directed production volume.
    (5) No additional certification fee applies for engines certified 
under this paragraph (g).
    (6) Engines certified under this paragraph (g) may not generate or 
use emission credits under this part or under 40 CFR part 1039. The 
vehicles in which these engines are installed may generate or use 
emission credits as described in 40 CFR part 1037.
    (7) Engines may instead meet standards for heavy-duty highway 
engines in California, as demonstrated by an Executive Order issued by 
the California Air Resources Board.
    (h)(1) For model years prior to 2012, for purposes of determining 
compliance after title or custody has transferred to the ultimate 
purchaser, for engines having a NOX FEL no higher than 1.30 
g/bhp-hr, the applicable compliance limit shall be determined by adding 
the applicable adjustment from paragraph (h)(2) of this section to the 
otherwise applicable standard or FEL for NOX.
    (2)(i) For engines with 110,000 or fewer miles, the adjustment is 
0.10 g/bhp-hr.
    (ii) For engines with 110,001 to 185,000 miles, the adjustment is 
0.15 g/bhp-hr.
    (iii) For engines with 185,001 or more miles, the adjustment is 0.20 
g/bhp-hr.
    (3) For model years prior to 2012, for purposes of determining 
compliance after title or custody has transferred to the ultimate 
purchaser, the applicable compliance limit shall be determined by adding 
0.01 g/bhp-hr to the otherwise applicable standard or FEL for PM.
    (i) [Reserved]
    (j) Engines installed in new glider vehicles are subject to the 
standards of this section as specified in 40 CFR part 1037.

[65 FR 59954, Oct. 6, 2000, as amended at 66 FR 5161, Jan. 18, 2001; 70 
FR 34619, June 14, 2005; 70 FR 40432, July 13, 2005; 71 FR 51486, Aug. 
30, 2006; 73 FR 37192, June 30, 2008; 81 FR 73974, Oct. 25, 2016]



Sec.  86.007-15  NOX and particulate averaging, trading, and banking 
for heavy-duty engines.

    Section 86.007-15 includes text that specifies requirements that 
differ from Sec.  86.004-15. Where a paragraph in Sec.  86.004-15 is 
identical and applicable to Sec.  86.007-15, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.004-15.''
    (a)-(l) [Reserved]. For guidance see Sec.  86.004-15.
    (m) The following provisions apply for model year 2007 and later 
engines (including engines certified during years 2007-2009 under the 
phase-in provisions of Sec.  86.007-11(g)(1), Sec.  86.005-10(a), or 
Sec.  86.008-10(f)(1)). These provisions apply instead of the provisions 
of paragraphs Sec.  86.004-15 (a) through (k) to the extent that they 
are in conflict.
    (1) Manufacturers of Otto-cycle engines may participate in an NMHC 
averaging, banking and trading program to show compliance with the 
standards specified in Sec.  86.008-10. The generation and use of NMHC 
credits are subject to the same provisions in paragraphs Sec.  86.004-15 
(a) through (k) that apply for NOX plus NMHC credits, except 
as otherwise specified in this section.
    (2) Credits are calculated as NOX or NMHC credits for 
engines certified to separate NOX and NMHC standards. 
NOX plus NMHC credits (including banked credits and credits 
that are generated during years 2007-2009 under the phase-in provisions 
of Sec.  86.007-11(g)(1), Sec.  86.005-10(a), or Sec.  86.008-10(f)(1)) 
may be used to show compliance with 2007 or later NOX 
standards (NOX or NMHC standards for Otto-cycle engines), 
subject to an 0.8 discount factor (e.g., 100 grams of NOX 
plus NMHC credits is equivalent to 80 grams of NOX credits).
    (3) NOX or NMHC (or NOX plus NMHC) credits may 
be exchanged between heavy-duty Otto-cycle engine families

[[Page 470]]

certified to the engine standards of this subpart and heavy-duty Otto-
cycle engine families certified to the chassis standards of subpart S of 
this part, subject to an 0.8 discount factor (e.g., 100 grams of 
NOX (or NOX plus NMHC) credits generated from 
engines would be equivalent to 80 grams of NOX credits if 
they are used in the vehicle program of subpart S, and vice versa).
    (4) Credits that were previously discounted when they were banked 
according to paragraph (c) of Sec.  86.004-15, are subject to an 
additional discount factor of 0.888 instead of the 0.8 discount factor 
otherwise required by paragraph (m)(2) or (m)(3) of this section. This 
results in a total discount factor of 0.8 (0.9 x 0.888 = 0.8).
    (5) For diesel engine families, the combined number of engines 
certified to FELs higher than 0.50 g/bhp-hr using banked NOX 
(and/or NOX plus NMHC) credits in any given model year may 
not exceed 10 percent of the manufacturer's U.S.-directed production of 
engines in all heavy-duty diesel engine families for that model year.
    (6) The FEL must be expressed to the same number of decimal places 
as the standard (generally, one-hundredth of a gram per brake 
horsepower-hour). For engines certified to standards expressed only one-
tenth of a gram per brake horsepower-hour, if the FEL is below 1.0, then 
add a zero to the standard in the second decimal place and express the 
FEL to nearest one-hundredth of a gram per brake horsepower-hour.
    (7) Credits are to be rounded to the nearest one-hundredth of a 
Megagram using ASTM E29-93a (Incorporated by reference at Sec.  86.1).
    (8) Credits generated for 2007 and later model year diesel engine 
families, or generated for 2008 and later model year Otto-cycle engine 
families are not discounted (except as specified in paragraph (m)(2) or 
(m)(3) of this section), and do not expire.
    (9) For the purpose of using or generating credits during a phase-in 
of new standards, a manufacturer may elect to split an engine family 
into two subfamilies (e.g., one which uses credits and one which 
generates credits). The manufacturer must indicate in the application 
for certification that the engine family is to be split, and may assign 
the numbers and configurations of engines within the respective 
subfamilies at any time prior to the submission of the end-of-year 
report required by Sec.  86.001-23.
    (i) Manufacturers certifying a split diesel engine family to both 
the Phase 1 and Phase 2 standards with equally sized subfamilies may 
exclude the engines within that split family from end-of-year 
NOX (or NOX + NMHC) ABT calculations, provided 
that neither subfamily generates credits for use by other engine 
families, or uses banked credits, or uses averaging credits from other 
engine families. All of the engines in that split family must be 
excluded from the phase-in calculations of Sec.  86.007-11(g)(1) (both 
from the number of engines complying with the standards being phased-in 
and from the total number of U.S.-directed production engines.)
    (ii) Manufacturers certifying a split Otto-cycle engine family to 
both the Phase 1 and Phase 2 standards with equally sized subfamilies 
may exclude the engines within that split family from end-of-year 
NOX (or NOX + NMHC) ABT calculations, provided 
that neither subfamily generates credits for use by other engine 
families, or uses banked credits, or uses averaging credits from other 
engine families. All of the engines in that split family must be 
excluded from the phase-in calculations of Sec.  86.008-10(f)(1) (both 
from the number of engines complying with the standards being phased-in 
and from the total number of U.S.-directed production engines.)
    (iii) Manufacturers certifying a split engine family may label all 
of the engines within that family with a single NOX or 
NOX + NMHC FEL. The FEL on the label will apply for all SEA 
or other compliance testing.
    (iv) Notwithstanding the provisions of paragraph (m)(9)(iii) of this 
section, for split families, the NOX FEL shall be used to 
determine applicability of the provisions of Sec. Sec.  86.007-
11(a)(3)(ii), (a)(4)(i)(B), and (h)(1), and 86.008-10(g).
    (10) For model years 2007 through 2009, to be consistent with the 
phase-in provisions of Sec.  86.007-11(g)(1), credits generated from 
engines in one diesel engine service class (e.g., light-heavy

[[Page 471]]

duty diesel engines) may be used for averaging by engines in a different 
diesel engine service class, provided the credits are calculated for 
both engine families using the conversion factor and useful life of the 
engine family using the credits, and the engine family using the credits 
is certified to the standards listed in Sec.  86.007-11(a)(1). Banked or 
traded credits may not be used by any engine family in a different 
service class than the service class of the engine family generating the 
credits.

[66 FR 5163, Jan. 18, 2001]



Sec.  86.007-17  Onboard diagnostics for engines used in applications 
less than or equal to 14,000 pounds GVWR.

    Heavy-duty engines intended to be installed in heavy duty vehicles 
at or below 14,000 pounds GVWR that are subject to standards under this 
subpart must meet onboard diagnostic requirements as specified in Sec.  
86.1806.

[79 FR 23688, Apr. 28, 2014]



Sec.  86.007-21  Application for certification.

    Section 86.007-21 includes text that specifies requirements that 
differ from Sec.  86.004-21, 86.094-21 or 86.096-21. Where a paragraph 
in Sec.  86.004-21, 86.094-21 or 86.096-21 is identical and applicable 
to Sec.  86.007-21, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec.  86.004-21.'', ``[Reserved]. For guidance see Sec.  86.094-21.'', 
or ``[Reserved]. For guidance see Sec.  86.096-21.''.
    (a)-(b)(3) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(4)(i) [Reserved]
    (b)(4)(ii)-(b)(5)(iv) [Reserved]. For guidance see Sec.  86.094-21.
    (b)(5)(v)-(b)(6) [Reserved]. For guidance see Sec.  86.004-21.
    (b)(7)-(b)(8) [Reserved]. For guidance see Sec.  86.094-21.
    (c)-(j) [Reserved]. For guidance see Sec.  86.094-21.
    (k)-(l) [Reserved]
    (m)-(n) [Reserved]. For guidance see Sec.  86.004-21.
    (o) For diesel heavy-duty engines, the manufacturer must provide the 
following additional information pertaining to the supplemental emission 
test conducted under Sec.  86.1360-2007:
    (1) Weighted brake-specific emissions data (i.e., in units of g/bhp-
hr), calculated according to 40 CFR 1065.650 for all pollutants for 
which a brake-specific emission standard is established in this subpart;
    (2) For engines subject to the MAEL (see Sec.  86.007-11(a)(3)(ii)), 
brake specific gaseous emission data for each of the 12 non-idle test 
points (identified under Sec.  86.1360-2007(b)(1)) and the 3 EPA-
selected test points (identified under Sec.  86.1360-2007(b)(2));
    (3) For engines subject to the MAEL (see Sec.  86.007-11(a)(3)(ii)), 
concentrations and mass flow rates of all regulated gaseous emissions 
plus carbon dioxide;
    (4) Values of all emission-related engine control variables at each 
test point;
    (5) A statement that the test results correspond to the test engine 
selection criteria in 40 CFR 1065.401. The manufacturer also must 
maintain records at the manufacturer's facility which contain all test 
data, engineering analyses, and other information which provides the 
basis for this statement, where such information exists. The 
manufacturer must provide such information to the Administrator upon 
request;
    (6) For engines subject to the MAEL (see Sec.  86.007-11(a)(3)(ii)), 
a statement that the engines will comply with the weighted average 
emissions standard and interpolated values comply with the Maximum 
Allowable Emission Limits specified in Sec.  86.007-11(a)(3) for the 
useful life of the engine where applicable. The manufacturer also must 
maintain records at the manufacturer's facility which contain a detailed 
description of all test data, engineering analyses, and other 
information which provides the basis for this statement, where such 
information exists. The manufacturer must provide such information to 
the Administrator upon request.
    (7) [Reserved]
    (p)(1) The manufacturer must provide a statement in the application 
for certification that the diesel heavy-duty engine for which 
certification is being requested will comply with the applicable Not-To-
Exceed Limits specified in

[[Page 472]]

Sec.  86.007-11(a)(4) when operated under all conditions which may 
reasonably be expected to be encountered in normal vehicle operation and 
use. The manufacturer also must maintain records at the manufacturers 
facility which contain all test data, engineering analyses, and other 
information which provides the basis for this statement, where such 
information exists. The manufacturer must provide such information to 
the Administrator upon request.
    (2) For engines equipped with exhaust gas recirculation, the 
manufacturer must provide a detailed description of the control system 
the engine will use to comply with the requirements of Sec. Sec.  
86.007-11(a)(4)(iii) and 86.1370-2007(f) for NTE cold temperature 
operating exclusion, including but not limited to the method the 
manufacturer will use to access this exclusion during normal vehicle 
operation.
    (3) For each engine model and/or horsepower rating within an engine 
family for which a manufacturer is applying for an NTE deficiency(ies) 
under the provisions of Sec.  86.007-11(a)(4)(iv), the manufacturer's 
application for an NTE deficiency(ies) must include a complete 
description of the deficiency, including but not limited to: the 
specific description of the deficiency; what pollutant the deficiency is 
being applied for, all engineering efforts the manufacturer has made to 
overcome the deficiency, what specific operating conditions the 
deficiency is being requested for (i.e., temperature ranges, humidity 
ranges, altitude ranges, etc.), a full description of the auxiliary 
emission control device(s) which will be used to maintain emissions to 
the lowest practical level; and what the lowest practical emission level 
will be.
    (q) The manufacturer must name an agent for service of process 
located in the United States. Service on this agent constitutes service 
on you or any of your officers or employees for any action by EPA or 
otherwise by the United States related to the requirements of this part.

[65 FR 59954, Oct. 6, 2000, as amended at 70 FR 40433, July 13, 2005; 71 
FR 51487, Aug. 30, 2006; 79 FR 23689, Apr. 28, 2014]



Sec.  86.007-23  Required data.

    Section 86.007-23 includes text that specifies requirements that 
differ from Sec.  86.098-23 or Sec.  86.001-23. Where a paragraph in 
Sec.  86.098-23 or Sec.  86.001-23 is identical and applicable to Sec.  
86.007-23, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec.  86.098-
23.'' or ``[Reserved]. For guidance see Sec.  86.001-23.''.
    (a)-(b)(1) [Reserved]. For guidance see Sec.  86.098-23.
    (b)(2) [Reserved]
    (b)(3) and (b)(4) [Reserved]. For guidance see Sec.  86.098-23.
    (c) Emission data from certification vehicles and engines. The 
manufacturer shall submit emission data for each applicable emission 
standard from vehicles and engines tested in accordance with applicable 
test procedures and in such numbers as specified. These data shall 
include zero-mile or zero-hour data, if generated, and emission data 
generated for certification as required under Sec.  86.004-26. However, 
manufacturers may provide a statement in the application for 
certification that vehicles and engines comply with the following 
standards instead of submitting test data, provided that the statement 
is supported by previous emission tests, development tests, or other 
appropriate information, and good engineering judgment:
    (1) Idle CO, smoke, or particulate matter emissions from methanol-
fueled or gaseous-fueled diesel-cycle certification engines.
    (2) Particulate matter emissions from Otto-cycle certification 
engines or gaseous-fueled certification engines.
    (3) CO emissions from diesel-cycle certification engines.
    (4) Formaldehyde emissions from petroleum-fueled engines.
    (5) Particulate matter and formaldehyde emissions when conducting 
Selective Enforcement Audit testing of Otto-cycle engines.
    (6) Smoke from methanol-fueled or petroleum-fueled diesel-cycle 
certification engines.
    (7) Smoke when conducting Selective Enforcement Audit testing of 
diesel-cycle engines.

[[Page 473]]

    (8) Evaporative emissions from vehicles fueled by natural gas, 
liquefied petroleum gas, or hydrogen.
    (d)-(e)(1) [Reserved]. For guidance see Sec.  86.098-23.
    (e)(2) and (e)(3) [Reserved]. For guidance see Sec.  86.001-23.
    (f)-(g) [Reserved]
    (h)-(k) [Reserved]. For guidance see Sec.  86.098-23.
    (l) [Reserved]
    (m) [Reserved]. For guidance see Sec.  86.098-23.

[66 FR 5164, Jan. 18, 2001, as amended at 74 FR 56373, Oct. 30, 2009; 78 
FR 36388, June 17, 2013; 79 FR 23689, Apr. 28, 2014]




Sec.  86.007-30  Certification.

    (a)(1)(i) If, after a review of the test reports and data submitted 
by the manufacturer, data derived from any inspection carried out under 
Sec.  86.091-7(c) and any other pertinent data or information, the 
Administrator determines that a test vehicle(s) (or test engine(s)) 
meets the requirements of the Act and of this subpart, he will issue a 
certificate of conformity with respect to such vehicle(s) (or engine(s)) 
except in cases covered by paragraphs (a)(1)(ii) and (c) of this 
section.
    (ii) Gasoline-fueled and methanol-fueled heavy-duty vehicles. If, 
after a review of the statement(s) of compliance submitted by the 
manufacturer under Sec.  86.094-23(b)(4) and any other pertinent data or 
information, the Administrator determines that the requirements of the 
Act and this subpart have been met, he will issue one certificate of 
conformity per manufacturer with respect to the evaporative emission 
family(ies) covered by paragraph (c) of this section.
    (2) Such certificate will be issued for such period not to exceed 
one model year as the Administrator may determine and upon such terms as 
he may deem necessary or appropriate to assure that any new motor 
vehicle (or new motor vehicle engine) covered by the certificate will 
meet the requirements of the Act and of this part.
    (3)(i) One such certificate will be issued for each engine family. 
For gasoline-fueled and methanol-fueled light-duty vehicles and light-
duty trucks, and petroleum-fueled diesel cycle light-duty vehicles and 
light-duty trucks not certified under Sec.  86.098-28(g), one such 
certificate will be issued for each engine family-evaporative/refueling 
emission family combination. Each certificate will certify compliance 
with no more than one set of in-use and certification standards (or 
family emission limits, as appropriate).
    (ii) For gasoline-fueled and methanol fueled heavy-duty vehicles, 
one such certificate will be issued for each manufacturer and will 
certify compliance for those vehicles previously identified in that 
manufacturer's statement(s) of compliance as required in Sec.  86.098-
23(b)(4)(i) and (ii).
    (iii) For diesel light-duty vehicles and light-duty trucks, or 
diesel HDEs, included in the applicable particulate averaging program, 
the manufacturer may at any time during production elect to change the 
level of any family particulate emission limit by demonstrating 
compliance with the new limit as described in Sec.  86.094-28(a)(6), 
Sec.  86.094-28(b)(5)(i), or Sec.  86.004-28(c)(5)(i). New certificates 
issued under this paragraph will be applicable only for vehicles (or 
engines) produced subsequent to the date of issuance.
    (iv) For light-duty trucks or HDEs included in the applicable 
NOX averaging program, the manufacturer may at any time 
during production elect to change the level of any family NOX 
emission limit by demonstrating compliance with the new limit as 
described in Sec.  86.094-28(b)(5)(ii) or Sec.  86.004-28(c)(5)(ii). New 
certificates issued under this paragraph will be applicable only for 
vehicles (or engines) produced subsequent to the day of issue.
    (4)-(5) [Reserved]
    (6) Catalyst-equipped vehicles, otherwise covered by a certificate, 
which are driven outside the United States, Canada, and Mexico will be 
presumed to have been operated on leaded gasoline resulting in 
deactivation of the catalysts. If these vehicles are imported or offered 
for importation without retrofit of the catalyst, they will be 
considered not to be within the coverage of the certificate unless 
included in a catalyst control program operated by a manufacturer or a 
United States Government agency and approved by the Administrator.

[[Page 474]]

    (7) [Reserved]
    (8) For heavy-duty engines, a certificate covers only those new 
motor vehicle engines installed in heavy-duty vehicles which conform to 
the minimum gross vehicle weight rating, curb weight, or frontal area 
limitations for heavyduty vehicles described in Sec.  86.082-2.
    (9) For incomplete gasoline-fueled and methanol-fueled heavy-duty 
vehicles a certificate covers only those new motor vehicles which, when 
completed, conform to the nominal maximum fuel tank capacity limitations 
as described in the application for certification as required in Sec.  
86.094-21(e).
    (10)(i) [Reserved]
    (ii) For all heavy-duty diesel-cycle engines which are included in 
the particulate ABT programs under Sec.  86.098-15 or superseding ABT 
sections as applicable, the provisions of paragraphs (a)(10)(ii)(A)-(C) 
of this section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec.  86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec.  86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued, 
and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (11)(i) [Reserved]
    (ii) For all HDEs which are included in the NOX plus NMHC 
ABT programs contained in Sec.  86.098-15, or superseding ABT sections 
as applicable, the provisions of paragraphs (a)(11)(ii) (A)-(C) of this 
section apply.
    (A) All certificates issued are conditional upon the manufacturer 
complying with the provisions of Sec.  86.098-15 or superseding ABT 
sections as applicable and the ABT related provisions of other 
applicable sections, both during and after the model year production.
    (B) Failure to comply with all provisions of Sec.  86.098-15 or 
superseding ABT sections as applicable will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued, 
and the certificate may be deemed void ab initio.
    (C) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or excused.
    (12)-(16) [Reserved]
    (17) For all heavy-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec.  86.096-10:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.096-10 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.096-10 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (18) For all heavy-duty vehicles certified to evaporative test 
procedures and accompanying standards specified under Sec.  86.098-11:
    (i) All certificates issued are conditional upon the manufacturer 
complying with all provisions of Sec.  86.098-11 both during and after 
model year production.
    (ii) Failure to meet the required implementation schedule sales 
percentages as specified in Sec.  86.098-11 will be considered to be a 
failure to satisfy the conditions upon which the certificate was issued 
and the vehicles sold in violation of the implementation schedule shall 
not be covered by the certificate.
    (iii) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (b)(1) The Administrator will determine whether a vehicle (or 
engine) covered by the application complies with

[[Page 475]]

applicable standards (or family emission limits, as appropriate) by 
observing the following relationships: in paragraphs (b)(1)(i) through 
(iv) of this section:
    (i)-(ii) [Reserved]
    (iii) Heavy-duty engines. (A) An Otto-cycle emission data test 
engine selected under Sec.  86.094-24(b)(2)(iv) shall represent all 
engines in the same family of the same engine displacement-exhaust 
emission control system combination.
    (B) An Otto-cycle emission data test engine selected under Sec.  
86.094-24(b)(2)(iii) shall represent all engines in the same engine 
family of the same engine displacement-exhaust emission control system 
combination.
    (C) A diesel emission data test engine selected under Sec.  86.094-
24(b)(3)(ii) shall represent all engines in the same engine-system 
combination.
    (D) A diesel emission data test engine selected under Sec.  86.094-
24(b)(3)(iii) shall represent all engines of that emission control 
system at the rated fuel delivery of the test engine.
    (iv) Gasoline-fueled and methanol-fueled heavy-duty vehicles. A 
statement of compliance submitted under Sec.  86.094-23(b)(4)(i) or (ii) 
shall represent all vehicles in the same evaporative emission family-
evaporative emission control system combination.
    (2) The Administrator will proceed as in paragraph (a) of this 
section with respect to the vehicles (or engines) belonging to an engine 
family or engine family-evaporative/refueling emission family 
combination (as applicable), all of which comply with all applicable 
standards (or family emission limits, as appropriate).
    (3) If after a review of the test reports and data submitted by the 
manufacturer, data derived from any additional testing conducted 
pursuant to Sec.  86.091-29, data or information derived from any 
inspection carried out under Sec.  86.094-7(d) or any other pertinent 
data or information, the Administrator determines that one or more test 
vehicles (or test engines) of the certification test fleet do not meet 
applicable standards (or family emission limits, as appropriate), he 
will notify the manufacturer in writing, setting forth the basis for his 
determination. Within 30 days following receipt of the notification, the 
manufacturer may request a hearing on the Administrator's determination. 
The request shall be in writing, signed by an authorized representative 
of the manufacturer and shall include a statement specifying the 
manufacturer's objections to the Administrator's determination and data 
in support of such objections. If, after a review of the request and 
supporting data, the Administrator finds that the request raises a 
substantial factual issue, he shall provide the manufacturer a hearing 
in accordance with Sec.  86.078-6 with respect to such issue.
    (4) [Reserved]
    (5) For heavy-duty engines the manufacturer may, at his option, 
proceed with any of the following alternatives with respect to any 
engine family represented by a test engine(s) determined not in 
compliance with applicable standards (or family emission limit, as 
appropriate):
    (i) Request a hearing under Sec.  86.078-6; or
    (ii) Delete from the application for certification the engines 
represented by the failing test engine. (Engines so deleted may be 
included in a later request for certification under Sec.  86.079-32.) 
The Administrator may then select in place of each failing engine an 
alternate engine chosen in accordance with selection criteria employed 
in selecting the engine that failed; or
    (iii) Modify the test engine and demonstrate by testing that it 
meets applicable standards. Another engine which is in all material 
respect the same as the first engine, as modified, may then be operated 
and tested in accordance with applicable test procedures.
    (6) If the manufacturer does not request a hearing or present the 
required data under paragraphs (b)(4) or (5) of this section (as 
applicable) of this section, the Administrator will deny certification.
    (c)(1) Notwithstanding the fact that any certification vehicle(s) 
(or certification engine(s)) may comply with other provisions of this 
subpart, the Administrator may withhold or deny the issuance of a 
certificate of conformity (or suspend or revoke any such certificate 
which has been issued) with

[[Page 476]]

respect to any such vehicle(s) (or engine(s)) if:
    (i) The manufacturer submits false or incomplete information in his 
application for certification thereof;
    (ii) The manufacturer renders inaccurate any test data which he 
submits pertaining thereto or otherwise circumvents the intent of the 
Act, or of this part with respect to such vehicle (or engine);
    (iii) Any EPA Enforcement Officer is denied access on the terms 
specified in Sec.  86.091-7(d) to any facility or portion thereof which 
contains any of the following:
    (A) The vehicle (or engine);
    (B) Any components used or considered for use in its modification or 
buildup into a certification vehicle (or certification engine);
    (C) Any production vehicle (or production engine) which is or will 
be claimed by the manufacturer to be covered by the certificate;
    (D) Any step in the construction of a vehicle (or engine) described 
in paragraph (c)(iii)(C) of this section;
    (E) Any records, documents, reports, or histories required by this 
part to be kept concerning any of the above; or
    (iv) Any EPA Enforcement Officer is denied ``reasonable assistance'' 
(as defined in Sec.  86.091-7(d) in examining any of the items listed in 
paragraph (c)(1)(iii) of this section.
    (2) The sanctions of withholding, denying, revoking, or suspending 
of a certificate may be imposed for the reasons in paragraphs (c)(1)(i), 
(ii), (iii), or (iv) of this section only when the infraction is 
substantial.
    (3) In any case in which a manufacturer knowingly submits false or 
inaccurate information or knowingly renders inaccurate or invalid any 
test data or commits any other fraudulent acts and such acts contribute 
substantially to the Administrator's decision to issue a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (4) In any case in which certification of a vehicle (or engine) is 
proposed to be withheld, denied, revoked, or suspended under paragraph 
(c)(1)(iii) or (iv) of this section, and in which the Administrator has 
presented to the manufacturer involved reasonable evidence that a 
violation of Sec.  86.091-7(d) in fact occurred, the manufacturer, if he 
wishes to contend that, even though the violation occurred, the vehicle 
(or engine) in question was not involved in the violation to a degree 
that would warrant withholding, denial, revocation, or suspension of 
certification under either paragraph (c)(1)(iii) or (iv) of this 
section, shall have the burden of establishing that contention to the 
satisfaction of the Administrator.
    (5) Any revocation or suspension of certification under paragraph 
(c)(1) of this section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec.  86.078-6 
hereof; and
    (ii) Extend no further than to forbid the introduction into commerce 
of vehicles (or engines) previously covered by the certification which 
are still in the hands of the manufacturer, except in cases of such 
fraud or other misconduct as makes the certification invalid ab initio.
    (6) The manufacturer may request in the form and manner specified in 
paragraph (b)(3) of this section that any determination made by the 
Administrator under paragraph (c)(1) of this section to withhold or deny 
certification be reviewed in a hearing conducted in accordance with 
Sec.  86.078-6. If the Administrator finds, after a review of the 
request and supporting data, that the request raises a substantial 
factual issue, he will grant the request with respect to such issue.
    (d) [Reserved]
    (e) For light-duty trucks and heavy-duty engines. (1) 
Notwithstanding the fact that any vehicle configuration or engine family 
may be covered by a valid outstanding certificate of conformity, the 
Administrator may suspend such outstanding certificate of conformity in 
whole or in part with respect to such vehicle or engine configuration or 
engine family if:
    (i) The manufacturer refuses to comply with the provisions of a test 
order issued by the Administrator pursuant to Sec.  86.1003; or
    (ii) The manufacturer refuses to comply with any of the requirements 
of Sec.  86.1003; or

[[Page 477]]

    (iii) The manufacturer submits false or incomplete information in 
any report or information provided pursuant to the requirements of Sec.  
86.1009; or
    (iv) The manufacturer renders inaccurate any test data submitted 
pursuant to Sec.  86.1009; or
    (v) Any EPA Enforcement Officer is denied the opportunity to conduct 
activities related to entry and access as authorized in Sec.  86.1006 of 
this part and in a warrant or court order presented to the manufacturer 
or the party in charge of a facility in question; or
    (vi) EPA Enforcement Officers are unable to conduct activities 
related to entry and access as authorized in Sec.  86.1006 of this part 
because a manufacturer has located a facility in a foreign jurisdiction 
where local law prohibits those activities; or
    (vii) The manufacturer refuses to or in fact does not comply with 
the requirements of Sec. Sec.  86.1004(a), 86.1005, 86.1007, 86.1008, 
86.1010, 86.1011, or 86.1013.
    (2) The sanction of suspending a certificate may not be imposed for 
the reasons in paragraph (e)(1) (i), (ii), or (vii) of this section 
where such refusal or denial is caused by conditions and circumstances 
outside the control of the manufacturer which renders it impossible to 
comply with those requirements. Such conditions and circumstances shall 
include, but are not limited to, any uncontrollable factors which result 
in the temporary unavailability of equipment and personnel needed to 
conduct the required tests, such as equipment breakdown or failure or 
illness of personnel, but shall not include failure of the manufacturers 
to adequately plan for and provide the equipment and personnel needed to 
conduct the tests. The manufacturer will bear the burden of establishing 
the presence of the conditions and circumstances required by this 
paragraph.
    (3) The sanction of suspending a certificate may be imposed for the 
reasons outlined in paragraph (e)(1)(iii), (iv), or (v) of this section 
only when the infraction is substantial.
    (4) In any case in which a manufacturer knowingly submitted false or 
inaccurate information or knowingly rendered inaccurate any test data or 
committed any other fraudulent acts, and such acts contributed 
substantially to the Administrator's original decision not to suspend or 
revoke a certificate of conformity in whole or in part, the 
Administrator may deem such certificate void from the date of such 
fraudulent act.
    (5) In any case in which certification of a light-duty truck or 
heavy-duty engine is proposed to be suspended under paragraph (e)(1)(v) 
of this section and in which the Administrator has presented to the 
manufacturer involved reasonable evidence that a violation of Sec.  
86.1006 in fact occurred, if the manufacturer wishes to contend that, 
although the violation occurred, the vehicle or engine configuration or 
engine family in question was not involved in the violation to a degree 
that would warrant suspension of certification under paragraph (e)(1)(v) 
of this section, he shall have the burden of establishing that 
contention to the satisfaction of the Administrator.
    (6) Any suspension of certification under paragraph (e)(1) of this 
section shall:
    (i) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec.  86.1014; 
and
    (ii) Not apply to vehicles or engines no longer in the hands of the 
manufacturer.
    (7) Any voiding of a certificate of conformity under paragraph 
(e)(4) of this section shall be made only after the manufacturer 
concerned has been offered an opportunity for a hearing conducted in 
accordance with Sec.  86.1014.
    (8) Any voiding of the certificate under paragraph (a) (10) or (11) 
of this section will be made only after the manufacturer concerned has 
been offered an opportunity for a hearing conducted in accordance with 
Sec.  86.1014.

[74 FR 8360, Feb. 24, 2009, as amended at 79 FR 23689, Apr. 28, 2014; 81 
FR 73975, Oct. 25, 2016]



Sec.  86.008-10  Emission standards for 2008 and later model year 
Otto-cycle heavy-duty engines and vehicles.

    This section applies to new 2008 and later model year Otto-cycle 
heavy-duty engines and vehicles. Starting in model year 2021, this 
section applies to light

[[Page 478]]

HDE and medium HDE, but it no longer applies to heavy HDE (see 40 CFR 
1036.140(a) and 1036.150(c)).
    (a)(1) Exhaust emissions from new 2008 and later model year Otto-
cycle HDEs shall not exceed:
    (i)(A) Oxides of Nitrogen (NOX). 0.20 grams per brake horsepower-
hour (0.075 grams per megajoule).
    (B) A manufacturer may elect to include any or all of its Otto-cycle 
HDE families in any or all of the NOX and NOX plus 
NMHC emissions ABT programs for HDEs, within the restrictions described 
in Sec.  86.008-15 or Sec.  86.004-15. If the manufacturer elects to 
include engine families in any of these programs, the NOX FEL 
may not exceed 0.50 grams per brake horsepower-hour (0.26 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, banking, or trading programs. The 
NOX FEL cap is 0.80 for model years before 2011 for 
manufacturers choosing to certify to the 1.5 g/bhp-hr NOX + 
NMHC standard in 2003 or 2004, in accordance with Sec.  86.005-10(f).
    (ii)(A) Nonmethane hydrocarbon (NMHC) for engines fueled with 
gasoline. 0.14 grams per brake horsepower-hour (0.052 grams per 
megajoule).
    (B) Nonmethane-nonethane hydrocarbon (NMNEHC) for engines fueled 
with natural gas or liquefied petroleum gas. 0.14 grams per brake 
horsepower-hour (0.052 grams per megajoule).
    (C) Nonmethane hydrocarbon equivalent (NMHCE) for engines fueled 
with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per 
megajoule).
    (D) A manufacturer may elect to include any or all of its Otto-cycle 
HDE families in any or all of the hydrocarbon emission ABT programs for 
HDEs, within the restrictions described in Sec.  86.007-15 or Sec.  
86.004-15. If the manufacturer elects to include engine families in any 
of these programs, the hydrocarbon FEL may not exceed 0.30 grams per 
brake horsepower-hour. This ceiling value applies whether credits for 
the family are derived from averaging, banking, or trading programs. The 
hydrocarbon FEL cap is 0.40 for model years before 2011 for 
manufacturers choosing to certify to the 1.5 g/bhp-hr NOX + 
HC in 2004, as allowed in Sec.  86.005-10.
    (iii) Carbon monoxide. 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule).
    (iv) Particulate. 0.01 grams per brake horsepower-hour (0.0037grams 
per megajoule).
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the operating schedule set forth in 
paragraph (f)(1) of Appendix I to this part, and measured and calculated 
in accordance with the procedures set forth in subpart N or P of this 
part:
    (i) Perform the test interval set forth in paragraph (f)(1) of 
Appendix I of this part with a cold-start according to 40 CFR part 1065, 
subpart F. This is the cold-start test interval.
    (ii) Shut down the engine after completing the test interval and 
allow 20 minutes to elapse. This is the hot soak.
    (iii) Repeat the test interval. This is the hot-start test interval.
    (iv) Calculate the total emission mass of each constituent, m, and 
the total work, W, over each test interval according to 40 CFR 1065.650.
    (v) Determine your engine's brake-specific emissions using the 
following calculation, which weights the emissions from the cold-start 
and hot-start test intervals:
[GRAPHIC] [TIFF OMITTED] TR30AP10.000

    (3)-(4) [Reserved]
    (b) This paragraph (b) applies as specified in 40 CFR 1037.103. 
Evaporative emissions from heavy-duty vehicles shall not exceed the 
following standards when measured using the test procedures specified in 
40 CFR 1037.501. The standards apply equally to certification and in-use 
vehicles. The spitback standard also applies to newly assembled 
vehicles. For certification vehicles only, manufacturers may conduct 
testing to quantify a level of nonfuel background emissions for an 
individual test vehicle. Such a demonstration must include a description 
of the source(s) of emissions and an estimated decay rate. The 
demonstrated level of nonfuel background emissions may be subtracted 
from emission test results from certification vehicles if

[[Page 479]]

approved in advance by the Administrator.
    (1) Hydrocarbons (for vehicles equipped with gasoline-fueled, 
natural gas-fueled or liquefied petroleum gas-fueled engines).
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 1.4 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements (gasoline-fueled 
vehicles only): 1.75 grams per test.
    (B) Running loss test (gasoline-fueled vehicles only): 0.05 grams 
per mile.
    (C) Fuel dispensing spitback test (gasoline-fueled vehicles only): 
1.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 1.9 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements (gasoline-fueled 
vehicles only): 2.3 grams per test.
    (B) Running loss test (gasoline-fueled vehicles only): 0.05 grams 
per mile.
    (2) Total Hydrocarbon Equivalent (for vehicles equipped with 
methanol-fueled engines).
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 1.4 grams carbon per 
test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 1.75 grams carbon 
per test.
    (B) Running loss test: 0.05 grams carbon per mile.
    (C) Fuel dispensing spitback test: 1.0 grams carbon per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 1.9 grams carbon per 
test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 2.3 grams carbon 
per test.
    (B) Running loss test: 0.05 grams carbon per mile.
    (3)(i) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 lbs, the standards set forth in paragraphs (b)(1) and (b)(2) of 
this section refer to a composite sample of evaporative emissions 
collected under the conditions and measured in accordance with the 
procedures set forth in subpart M of this part.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraphs (b)(1)(ii) and 
(b)(2)(ii) of this section refer to the manufacturer's engineering 
design evaluation using good engineering practice (a statement of which 
is required in Sec.  86.098-23(b)(4)(ii)).
    (4) All fuel vapor generated in a gasoline- or methanol-fueled 
heavy-duty vehicle during in-use operations shall be routed exclusively 
to the evaporative control system (e.g., either canister or engine 
purge). The only exception to this requirement shall be for emergencies.
    (5) Compressed natural gas vehicles must meet the requirements for 
fueling connection devices as specified in Sec.  86.1813-17(f)(1). 
Vehicles meeting these requirements are deemed to comply with 
evaporative emission standards.
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 2008 or later model year Otto-cycle HDE.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart N or P of this part to ascertain that such test engines meet the 
requirements of this section.
    (e) The standards described in this section do not apply to Otto-
cycle medium-duty passenger vehicles (MDPVs) that are subject to 
regulation under subpart S of this part, except as specified in subpart 
S of this part. The

[[Page 480]]

standards described in this section also do not apply to Otto-cycle 
engines used in such MDPVs, except as specified in subpart S of this 
part. The term ``medium-duty passenger vehicle'' is defined in Sec.  
86.1803.
    (f) [Reserved]
    (g) Model year 2018 and later engines that will be installed in 
specialty vehicles as allowed by 40 CFR 1037.605 may meet alternate 
emission standards as follows:
    (1) The engines must be of a configuration that is identical to one 
that is certified under 40 CFR part 1048 to the Blue Sky standards under 
40 CFR 1048.140.
    (2) Except as specified in this paragraph (g), engines certified 
under this paragraph (g) must meet all the requirements that apply under 
40 CFR part 1048 instead of the comparable provisions in this subpart A. 
Before shipping engines under this section, you must have written 
assurance from the vehicle manufacturers that they need a certain number 
of exempted engines under this section. In your annual production report 
under 40 CFR 1048.250, count these engines separately and identify the 
vehicle manufacturers that will be installing them. Treat these engines 
as part of the corresponding engine family under 40 CFR part 1048 for 
compliance purposes such as testing production engines, in-use testing, 
defect reporting, and recall.
    (3) The engines must be labeled as described in Sec.  86.095-35, 
with the following statement instead of the one specified in Sec.  
86.095-35(a)(3)(iii)(H): ``This engine conforms to alternate standards 
for specialty vehicles under 40 CFR 86.008-10(g)''. Engines certified 
under this paragraph (g) may not have the label specified for nonroad 
engines in 40 CFR part 1048 or any other label identifying them as 
nonroad engines.
    (4) In a separate application for a certificate of conformity, 
identify the corresponding nonroad engine family, describe the label 
required under this paragraph (g), state that you meet applicable 
diagnostic requirements under 40 CFR part 1048, and identify your 
projected U.S.-directed production volume.
    (5) No additional certification fee applies for engines certified 
under this paragraph (g).
    (6) Engines certified under this paragraph (g) may not generate or 
use emission credits under this part. The vehicles in which these 
engines are installed may generate or use emission credits as described 
in 40 CFR part 1037.
    (7) Engines may instead meet standards for heavy-duty highway 
engines in California, as demonstrated by an Executive Order issued by 
the California Air Resources Board.

[66 FR 5165, Jan. 18, 2001, as amended at 75 FR 22978, Apr. 30, 2010; 79 
FR 23689, Apr. 28, 2014; 81 FR 73975, Oct. 25, 2016]



Sec.  86.010-2  Definitions.

    The definitions of Sec.  86.004-2 continue to apply to 2004 and 
later model year vehicles. The definitions listed in this section apply 
beginning with the 2010 model year.
    DTC means diagnostic trouble code.
    Engine or engine system as used in Sec. Sec.  86.007-17, 86.007-30, 
86.010-18, and 86.010-38 means the engine, fuel system, induction 
system, aftertreatment system, and everything that makes up the system 
for which an engine manufacturer has received a certificate of 
conformity.
    Engine start as used in Sec.  86.010-18 means the point when the 
engine reaches a speed 150 rpm below the normal, warmed-up idle speed 
(as determined in the drive position for vehicles equipped with an 
automatic transmission). For hybrid vehicles or for engines employing 
alternative engine start hardware or strategies (e.g., integrated 
starter and generators.), the manufacturer may use an alternative 
definition for engine start (e.g., key-on) provided the alternative 
definition is based on equivalence to an engine start for a conventional 
vehicle.
    Functional check, in the context of onboard diagnostics, means 
verifying that a component and/or system that receives information from 
a control computer responds properly to a command from the control 
computer.
    Ignition cycle as used in Sec.  86.010-18 means a cycle that begins 
with engine start, meets the engine start definition for at least two 
seconds plus or minus

[[Page 481]]

one second, and ends with engine shutoff.
    Limp-home operation as used in Sec.  86.010-18 means an operating 
mode that an engine is designed to enter upon determining that normal 
operation cannot be maintained. In general, limp-home operation implies 
that a component or system is not operating properly or is believed to 
be not operating properly.
    Malfunction means the conditions have been met that require the 
activation of an OBD malfunction indicator light and storage of a DTC.
    MIL-on DTC means the diagnostic trouble code stored when an OBD 
system has detected and confirmed that a malfunction exists (e.g., 
typically on the second drive cycle during which a given OBD monitor has 
evaluated a system or component). Industry standards may refer to this 
as a confirmed or an active DTC.
    Onboard Diagnostics (OBD) group means a combination of engines, 
engine families, or engine ratings that use the same OBD strategies and 
similar calibrations.
    Pending DTC means the diagnostic trouble code stored upon the 
detection of a potential malfunction.
    Permanent DTC means a DTC that corresponds to a MIL-on DTC and is 
stored in non-volatile random access memory (NVRAM). A permanent DTC can 
only be erased by the OBD system itself and cannot be erased through 
human interaction with the OBD system or any onboard computer.
    Potential malfunction means that conditions have been detected that 
meet the OBD malfunction criteria but for which more drive cycles are 
allowed to provide further evaluation prior to confirming that a 
malfunction exists.
    Previous-MIL-on DTC means a DTC that corresponds to a MIL-on DTC but 
is distinguished by representing a malfunction that the OBD system has 
determined no longer exists but for which insufficient operation has 
occurred to satisfy the DTC erasure provisions.
    Rationality check, in the context of onboard diagnostics, means 
verifying that a component that provides input to a control computer 
provides an accurate input to the control computer while in the range of 
normal operation and when compared to all other available information.
    Similar conditions, in the context of onboard diagnostics, means 
engine conditions having an engine speed within 375 rpm, load conditions 
within 20 percent, and the same warm up status (i.e., cold or hot). The 
manufacturer may use other definitions of similar conditions based on 
comparable timeliness and reliability in detecting similar engine 
operation.

[74 FR 8369, Feb. 24, 2009]



Sec.  86.010-18  On-board Diagnostics for engines used in applications 
greater than 14,000 pounds GVWR.

    (a) General. According to the implementation schedule shown in 
paragraph (o) of this section, heavy-duty engines intended for use in a 
heavy-duty vehicle weighing more than 14,000 pounds GVWR must be 
equipped with an on-board diagnostic (OBD) system capable of monitoring 
all emission-related engine systems or components during the life of the 
engine. The OBD system is required to detect all malfunctions specified 
in paragraphs (g), (h), and (i) of this Sec.  86.010-18 although the OBD 
system is not required to use a unique monitor to detect each of those 
malfunctions.
    (1) When the OBD system detects a malfunction, it must store a 
pending, a MIL-on, or a previous-MIL-on diagnostic trouble code (DTC) in 
the onboard computer's memory. A malfunction indicator light (MIL) must 
also be activated as specified in paragraph (b) of this section.
    (2) Data link connector. (i) For model years 2010 through 2012, the 
OBD system must be equipped with a data link connector to provide access 
to the stored DTCs as specified in paragraph (k)(2) of this section.
    (ii) For model years 2013 and later, the OBD system must be equipped 
with a standardized data link connector to provide access to the stored 
DTCs as specified in paragraph (k)(2) of this section.
    (3) The OBD system cannot be programmed or otherwise designed to 
deactivate based on age and/or mileage. This requirement does not alter 
existing law and enforcement practice regarding a manufacturer's 
liability for

[[Page 482]]

an engine beyond its regulatory useful life, except where an engine has 
been programmed or otherwise designed so that an OBD system deactivates 
based on age and/or mileage of the engine.
    (4) Drive cycle or driving cycle, in the context of this Sec.  
86.010-18, means operation that meets any of the conditions of 
paragraphs (a)(4)(i) through (a)(4)(iv) of this section. Further, for 
OBD monitors that run during engine-off conditions, the period of 
engine-off time following engine shutoff and up to the next engine start 
may be considered part of the drive cycle for the conditions of 
paragraphs (a)(4)(i) and (a)(4)(iv) of this section. For engines/
vehicles that employ engine shutoff OBD monitoring strategies that do 
not require the vehicle operator to restart the engine to continue 
vehicle operation (e.g., a hybrid bus with engine shutoff at idle), the 
manufacturer may use an alternative definition for drive cycle (e.g., 
key-on followed by key-off). Any alternative definition must be based on 
equivalence to engine startup and engine shutoff signaling the beginning 
and ending of a single driving event for a conventional vehicle. For 
engines that are not likely to be routinely operated for long continuous 
periods of time, a manufacturer may also request approval to use an 
alternative definition for drive cycle (e.g., solely based on engine 
start and engine shutoff without regard to four hours of continuous 
engine-on time). Administrator approval of the alternative definition 
will be based on manufacturer-submitted data and/or information 
demonstrating the typical usage, operating habits, and/or driving 
patterns of these vehicles.
    (i) Begins with engine start and ends with engine shutoff;
    (ii) Begins with engine start and ends after four hours of 
continuous engine-on operation;
    (iii) Begins at the end of the previous four hours of continuous 
engine-on operation and ends after four hours of continuous engine-on 
operation; or
    (iv) Begins at the end of the previous four hours of continuous 
engine-on operation and ends with engine shutoff.
    (5) As an alternative to demonstrating compliance with the 
provisions of paragraphs (b) through (l) of this Sec.  86.010-18, a 
manufacturer may demonstrate how the OBD system they have designed to 
comply with California OBD requirements for engines used in applications 
greater than 14,000 pounds also complies with the intent of the 
provisions of paragraphs (b) through (l) of this section. To make use of 
this alternative, the manufacturer must demonstrate to the Administrator 
how the OBD system they intend to certify meets the intent behind all of 
the requirements of this section, where applicable (e.g., paragraph (h) 
of this section would not apply for a diesel fueled/CI engine). 
Furthermore, if making use of this alternative, the manufacturer must 
comply with the specific certification documentation requirements of 
paragraph (m)(3) of this section.
    (6) Temporary provisions to address hardship due to unusual 
circumstances. (i) After considering the unusual circumstances, the 
Administrator may permit the manufacturer to introduce into U.S. 
commerce engines that do not comply with this Sec.  86.010-18 for a 
limited time if all the following conditions apply:
    (A) Unusual circumstances that are clearly outside the 
manufacturer's control prevent compliance with the requirements of this 
Sec.  86.010-18.
    (B) The manufacturer 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) No other allowances are available under the regulations in this 
chapter to avoid the impending violation.
    (ii) To apply for an exemption, the manufacturer must send to the 
Administrator a written request as soon as possible before being in 
violation. In the request, the manufacturer must show that all the 
conditions and requirements of paragraph (a)(6)(i) of this section are 
met.
    (iii) The request must also include a plan showing how all the 
applicable requirements will be met as quickly as possible.
    (iv) The manufacturer shall give the Administrator other relevant 
information upon request.
    (v) The Administrator may include additional conditions on an 
approval

[[Page 483]]

granted under the provisions of this paragraph (a)(6), including 
provisions that may require field repair at the manufacturer's expense 
to correct the noncompliance.
    (vi) Engines sold as non-compliant under this temporary hardship 
provision must display ``non-OBD'' in the data stream as required under 
paragraph (k)(4)(ii) of this section. Upon correcting the noncompliance, 
the data stream value must be updated accordingly.
    (b) Malfunction indicator light (MIL) and Diagnostic Trouble Codes 
(DTC). The OBD system must incorporate a malfunction indicator light 
(MIL) or equivalent and must store specific types of diagnostic trouble 
codes (DTC). Unless otherwise specified, all provisions of this 
paragraph (b) apply for 2010 and later model years.
    (1) MIL specifications. (i) For model years 2013 and later, the MIL 
must be located on the primary driver's side instrument panel and be of 
sufficient illumination and location to be readily visible under all 
lighting conditions. The MIL must be amber (yellow) in color; the use of 
red for the OBD-related MIL is prohibited. More than one general purpose 
malfunction indicator light for emission-related problems shall not be 
used; separate specific purpose warning lights (e.g., brake system, 
fasten seat belt, oil pressure, etc.) are permitted. When activated, the 
MIL shall display the International Standards Organization (ISO) engine 
symbol.
    (ii) The OBD system must activate the MIL when the ignition is in 
the key-on/engine-off position before engine cranking to indicate that 
the MIL is functional. The MIL shall be activated continuously during 
this functional check for a minimum of 5 seconds. During this MIL key-on 
functional check, the data stream value (see paragraph (k)(4)(ii) of 
this section) for MIL status must indicate ``commanded off'' unless the 
OBD system has detected a malfunction and has stored a MIL-on DTC. This 
MIL key-on functional check is not required during vehicle operation in 
the key-on/engine-off position subsequent to the initial engine cranking 
of an ignition cycle (e.g., due to an engine stall or other non-
commanded engine shutoff).
    (iii) As an option, the MIL may be used to indicate readiness status 
(see paragraph (k)(4)(i) of this section) in a standardized format in 
the key-on/engine-off position.
    (iv) A manufacturer may also use the MIL to indicate which, if any, 
DTCs are currently stored (e.g., to ``blink'' the stored DTCs). Such use 
must not activate unintentionally during routine driver operation.
    (v) For model years 2013 and later, the MIL required by this 
paragraph (b) must not be used in any other way than is specified in 
this section.
    (2) MIL activation and DTC storage protocol. (i) Within 10 seconds 
of detecting a potential malfunction, the OBD system must store a 
pending DTC that identifies the potential malfunction.
    (ii) If the potential malfunction is again detected before the end 
of the next drive cycle during which monitoring occurs (i.e., the 
potential malfunction has been confirmed as a malfunction), then within 
10 seconds of such detection the OBD system must activate the MIL 
continuously and store a MIL-on DTC (systems using the SAE J1939 
standard protocol specified in paragraph (k)(1) of this section may 
either erase or retain the pending DTC in conjunction with storing the 
MIL-on DTC). If the potential malfunction is not detected before the end 
of the next drive cycle during which monitoring occurs (i.e., there is 
no indication of the malfunction at any time during the drive cycle), 
the corresponding pending DTC should be erased at the end of the drive 
cycle. Similarly, if a malfunction is detected for the first time and 
confirmed on a given drive cycle without need for further evaluation, 
then within 10 seconds of such detection the OBD system must activate 
the MIL continuously and store a MIL-on DTC (again, systems using the 
SAE J1939 standard protocol specified in paragraph (k)(1) of this 
section may optionally store a pending DTC in conjunction with storing 
the MIL-on DTC).
    (iii) A manufacturer may request Administrator approval to employ 
alternative statistical MIL activation and DTC storage protocols to 
those specified in paragraphs (b)(2)(i) and (b)(2)(ii) of this section. 
Approval will depend upon the manufacturer providing data

[[Page 484]]

and/or engineering evaluations that demonstrate that the alternative 
protocols can evaluate system performance and detect malfunctions in a 
manner that is equally effective and timely. Strategies requiring on 
average more than six drive cycles for MIL activation will not be 
accepted.
    (iv) The OBD system must store a ``freeze frame'' of the operating 
conditions (as defined in paragraph (k)(4)(iii) of this section) present 
upon detecting a malfunction or a potential malfunction. In the event 
that a pending DTC has matured to a MIL-on DTC, the manufacturer shall 
either retain the currently stored freeze frame conditions or replace 
the stored freeze frame with freeze frame conditions regarding the MIL-
on DTC. Any freeze frame stored in conjunction with any pending DTC or 
MIL-on DTC should be erased upon erasure of the corresponding DTC.
    (v) If the engine enters a limp-home mode of operation that can 
affect emissions or the performance of the OBD system, or in the event 
of a malfunction of an onboard computer(s) itself that can affect the 
performance of the OBD system, the OBD system must activate the MIL and 
store a MIL-on DTC within 10 seconds to inform the vehicle operator. If 
the limp-home mode of operation is recoverable (i.e., operation 
automatically returns to normal at the beginning of the following 
ignition cycle), the OBD system may wait to activate the MIL and store 
the MIL-on DTC if the limp-home mode of operation is again entered 
before the end of the next ignition cycle rather than activating the MIL 
within 10 seconds on the first drive cycle during which the limp-home 
mode of operation is entered.
    (vi) Before the end of an ignition cycle, the OBD system must store 
a permanent DTC(s) that corresponds to any stored MIL-on DTC(s).
    (3) MIL deactivation and DTC erasure protocol--(i) Deactivating the 
MIL. Except as otherwise provided for in paragraphs (g)(2)(iv)(E) and 
(g)(6)(iv)(B) of this section for diesel misfire malfunctions and empty 
reductant tanks, and paragraphs (h)(1)(iv)(F), (h)(2)(viii), and 
(h)(7)(iv)(B) of this section for gasoline fuel system, misfire, and 
evaporative system malfunctions, once the MIL has been activated, it may 
be deactivated after three subsequent sequential drive cycles during 
which the monitoring system responsible for activating the MIL functions 
and the previously detected malfunction is no longer present and 
provided no other malfunction has been detected that would independently 
activate the MIL according to the requirements outlined in paragraph 
(b)(2) of this section.
    (ii) Erasing a MIL-on DTC. The OBD system may erase a MIL-on DTC if 
the identified malfunction has not again been detected in at least 40 
engine warm up cycles and the MIL is presently not activated for that 
malfunction. The OBD system may also erase a MIL-on DTC upon 
deactivating the MIL according to paragraph (b)(3)(i) of this section 
provided a previous-MIL-on DTC is stored upon erasure of the MIL-on DTC. 
The OBD system may erase a previous-MIL-on DTC if the identified 
malfunction has not again been detected in at least 40 engine warm up 
cycles and the MIL is presently not activated for that malfunction.
    (iii) Erasing a permanent DTC. The OBD system can erase a permanent 
DTC only if:
    (A) The OBD system itself determines that the malfunction that 
caused the corresponding permanent DTC to be stored is no longer present 
and is not commanding activation of the MIL, concurrent with the 
requirements of paragraph (b)(3)(i) of this section which, for purposes 
of this paragraph (b)(3)(iii), shall apply to all monitors.
    (B) All externally erasable DTC information stored in the onboard 
computer has been erased (i.e., through the use of a scan tool or 
battery disconnect) and the monitor of the malfunction that caused the 
permanent DTC to be stored is subject to the minimum ratio requirements 
of paragraph (d) of this section, the OBD system shall erase the 
permanent DTC at the end of a drive cycle if the monitor has run and 
made one or more determinations during a drive cycle that the 
malfunction of the component or the system is not present and has not 
made any determinations within the same

[[Page 485]]

drive cycle that the malfunction is present.
    (C)(1) All externally erasable DTC information stored in the onboard 
computer has been erased (i.e., through the use of a scan tool or 
battery disconnect) and the monitor of the malfunction that caused the 
permanent DTC to be stored is not subject to the minimum ratio 
requirements of paragraph (d) of this section, the OBD system shall 
erase the permanent DTC at the end of a drive cycle provided the 
following two criteria have independently been satisfied:
    (i) The monitor has run and made one or more determinations during a 
drive cycle that the malfunction is no longer present and has not made 
any determinations within the same drive cycle that the malfunction is 
present; and,
    (ii) The monitor does not detect a malfunction on a drive cycle and 
the criteria of paragraph (d)(4)(ii) of this section has been met.
    (2) These two separate criteria may be met on the same or different 
drive cycles provided the monitor never detects a malfunction during 
either drive cycle, and if criteria (b)(3)(iii)(C)(1)(i) happens first 
then no malfunction may be detected before criteria 
(b)(3)(iii)(C)(1)(ii) occurs. If a malfunction occurs after criteria 
(b)(3)(iii)(C)(1)(i) then criteria (b)(3)(iii)(C)(1)(i) must be 
satisfied again. For the second criterion, the manufacturer must exclude 
any temperature and/or elevation provisions of paragraph (d)(4)(ii) of 
this section. For this paragraph (b)(3)(iii)(C), monitors required to 
use ``similar conditions'' as defined in Sec.  86.010-2 to store and 
erase pending and MIL-on DTCs cannot require that the similar conditions 
be met prior to erasure of the permanent DTC.
    (D) The Administrator shall allow monitors subject to paragraph 
(b)(3)(iii)(B) of this section to use the criteria of paragraph 
(b)(3)(iii)(C) of this section in lieu of paragraph (b)(3)(iii)(B). 
Further, manufacturers may request Administrator approval to use 
alternative criteria to erase the permanent DTC. The Administrator shall 
approve alternate criteria that will not likely require driving 
conditions that are longer and more difficult to meet than those 
required under paragraph (b)(3)(iii)(C) of this section and do not 
require access to enhanced scan tools to determine conditions necessary 
to erase the permanent DTC.
    (4) Exceptions to MIL and DTC requirements. (i) If a limp-home mode 
of operation causes a overt indication (e.g., activation of a red engine 
shut-down warning light) such that the driver is certain to respond and 
have the problem corrected, a manufacturer may choose not to activate 
the MIL as required by paragraph (b)(2)(v) of this section. 
Additionally, if an auxiliary emission control device has been properly 
activated as approved by the Administrator, a manufacturer may choose 
not to activate the MIL.
    (ii) For gasoline engines, a manufacturer may choose to meet the MIL 
and DTC requirements in Sec.  86.007-17 in lieu of meeting the 
requirements of paragraph (b) of this Sec.  86.010-18.
    (c) Monitoring conditions. The OBD system must monitor and detect 
the malfunctions specified in paragraphs (g), (h), and (i) of this 
section under the following general monitoring conditions. The more 
specific monitoring conditions of paragraph (d) of this section are 
sometimes required according to the provisions of paragraphs (g), (h), 
and (i) of this section.
    (1) As specifically provided for in paragraphs (g), (h), and (i) of 
this section, the monitoring conditions for detecting malfunctions must 
be technically necessary to ensure robust detection of malfunctions 
(e.g., avoid false passes and false indications of malfunctions); 
designed to ensure monitoring will occur under conditions that may 
reasonably be expected to be encountered in normal vehicle operation and 
normal vehicle use; and, designed to ensure monitoring will occur during 
the FTP transient test cycle contained in appendix I paragraph (f), of 
this part, or similar drive cycle as approved by the Administrator.
    (2) Monitoring must occur at least once per drive cycle in which the 
monitoring conditions are met.
    (3) Manufacturers may define monitoring conditions that are not 
encountered during the FTP cycle as required in paragraph (c)(1) of this 
section. In doing so, the manufacturer would be

[[Page 486]]

expected to consider the degree to which the requirement to run during 
the FTP transient cycle restricts monitoring during in-use operation, 
the technical necessity for defining monitoring conditions that are not 
encountered during the FTP cycle, whether monitoring is otherwise not 
feasible during the FTP cycle, and/or the ability to demonstrate that 
the monitoring conditions satisfy the minimum acceptable in-use monitor 
performance ratio requirement as defined in paragraph (d) of this 
section.
    (d) In-use performance tracking. As specifically required in 
paragraphs (g), (h), and (i) of this section, the OBD system must 
monitor and detect the malfunctions specified in paragraphs (g), (h), 
and (i) of this section according to the criteria of this paragraph (d). 
The OBD system is not required to track and report in-use performance 
for monitors other than those specifically identified in paragraph 
(d)(1) of this section, but all monitors on applicable model year 
engines are still required to meet the in-use performance ratio as 
specified in paragraph (d)(1)(ii) of this section.
    (1) The manufacturer must implement software algorithms in the OBD 
system to individually track and report the in-use performance of the 
following monitors, if equipped, in the standardized format specified in 
paragraph (e) of this section: NMHC converting catalyst (paragraph 
(g)(5) of this section); NOX converting catalyst (paragraph 
(g)(6) of this section); gasoline catalyst (paragraph (h)(6) of this 
section); exhaust gas sensor (paragraph (g)(9) of this section) or 
paragraph (h)(8) of this section); evaporative system (paragraph (h)(7) 
of this section); EGR system (paragraph (g)(3) of this section or (h)(3) 
of this section); VVT system (paragraph (g)(10) of this section or 
(h)(9) of this section); secondary air system (paragraph (h)(5) of this 
section); DPF system (paragraph (g)(8) of this section); boost pressure 
control system (paragraph (g)(4) of this section); and, NOX 
adsorber system (paragraph (g)(7) of this section).
    (i) The manufacturer shall not use the calculated ratio specified in 
paragraph (d)(2) of this section or any other indication of monitor 
frequency as a monitoring condition for a monitor (e.g., using a low 
ratio to enable more frequent monitoring through diagnostic executive 
priority or modification of other monitoring conditions, or using a high 
ratio to enable less frequent monitoring).
    (ii) For model years 2013 and later, manufacturers must define 
monitoring conditions that, in addition to meeting the criteria in 
paragraphs (c)(1) and (d)(1) of this section, ensure that the monitor 
yields an in-use performance ratio (as defined in paragraph (d)(2) of 
this section) that meets or exceeds the minimum acceptable in-use 
monitor performance ratio of 0.100 for all monitors specifically 
required in paragraphs (g), (h), and (i) of this section to meet the 
monitoring condition requirements of this paragraph (d).
    (iii) If the most reliable monitoring method developed requires a 
lower ratio for a specific monitor than that specified in paragraph 
(d)(1)(ii) of this section, the Administrator may lower the minimum 
acceptable in-use monitoring performance ratio.
    (2) In-use performance ratio definition. For monitors required to 
meet the requirements of paragraph (d) of this section, the performance 
ratio must be calculated in accordance with the specifications of this 
paragraph (d)(2).
    (i) The numerator of the performance ratio is defined as the number 
of times a vehicle has been operated such that all monitoring conditions 
have been encountered that are necessary for the specific monitor to 
detect a malfunction.
    (ii) The denominator is defined as the number of times a vehicle has 
been operated in accordance with the provisions of paragraph (d)(4) of 
this section.
    (iii) The performance ratio is defined as the numerator divided by 
the denominator.
    (3) Specifications for incrementing the numerator. (i) Except as 
provided for in paragraph (d)(3)(v) of this section, the numerator, when 
incremented, must be incremented by an integer of one. The numerator 
shall not be incremented more than once per drive cycle.
    (ii) The numerator for a specific monitor must be incremented within 
10

[[Page 487]]

seconds if and only if the following criteria are satisfied on a single 
drive cycle:
    (A) Every monitoring condition has been satisfied that is necessary 
for the specific monitor to detect a malfunction and store a pending 
DTC, including applicable enable criteria, presence or absence of 
related DTCs, sufficient length of monitoring time, and diagnostic 
executive priority assignments (e.g., diagnostic ``A'' must execute 
prior to diagnostic ``B''). For the purpose of incrementing the 
numerator, satisfying all the monitoring conditions necessary for a 
monitor to determine that the monitor is not malfunctioning shall not, 
by itself, be sufficient to meet this criteria.
    (B) For monitors that require multiple stages or events in a single 
drive cycle to detect a malfunction, every monitoring condition 
necessary for all events to complete must be satisfied.
    (C) For monitors that require intrusive operation of components to 
detect a malfunction, a manufacturer must request approval of the 
strategy used to determine that, had a malfunction been present, the 
monitor would have detected the malfunction. Administrator approval of 
the request will be based on the equivalence of the strategy to actual 
intrusive operation and the ability of the strategy to determine 
accurately if every monitoring condition was satisfied that was 
necessary for the intrusive event to occur.
    (D) For the secondary air system monitor, the criteria in paragraphs 
(d)(3)(ii)(A) through (d)(3)(ii)(C) of this section are satisfied during 
normal operation of the secondary air system. Monitoring during 
intrusive operation of the secondary air system later in the same drive 
cycle for the sole purpose of monitoring shall not, by itself, be 
sufficient to meet these criteria.
    (iii) For monitors that can generate results in a ``gray zone'' or 
``non-detection zone'' (i.e., monitor results that indicate neither a 
properly operating system nor a malfunctioning system) or in a ``non-
decision zone'' (e.g., monitors that increment and decrement counters 
until a pass or fail threshold is reached), the numerator, in general, 
shall not be incremented when the monitor indicates a result in the 
``non-detection zone'' or prior to the monitor reaching a complete 
decision. When necessary, the Administrator will consider data and/or 
engineering analyses submitted by the manufacturer demonstrating the 
expected frequency of results in the ``non-detection zone'' and the 
ability of the monitor to determine accurately, had an actual 
malfunction been present, whether or not the monitor would have detected 
a malfunction instead of a result in the ``non-detection zone.''
    (iv) For monitors that run or complete their evaluation with the 
engine off, the numerator must be incremented either within 10 seconds 
of the monitor completing its evaluation in the engine off state, or 
during the first 10 seconds of engine start on the subsequent drive 
cycle.
    (v) Manufacturers that use alternative statistical MIL activation 
protocols as allowed in paragraph (b)(2)(iii) of this section for any of 
the monitors requiring a numerator, are required to increment the 
numerator(s) appropriately. The manufacturer may be required to provide 
supporting data and/or engineering analyses demonstrating both the 
equivalence of their incrementing approach to the incrementing specified 
in this paragraph (d)(3) for monitors using the standard MIL activation 
protocol, and the overall equivalence of the incrementing approach in 
determining that the minimum acceptable in-use performance ratio of 
paragraph (d)(1)(ii) of this section, if applicable, has been satisfied.
    (4) Specifications for incrementing the denominator. (i) The 
denominator, when incremented, must be incremented by an integer of one. 
The denominator shall not be incremented more than once per drive cycle.
    (ii) The denominator for each monitor must be incremented within 10 
seconds if and only if the following criteria are satisfied on a single 
drive cycle:
    (A) Cumulative time since the start of the drive cycle is greater 
than or equal to 600 seconds while at an elevation of less than 8,000 
feet (2,400 meters) above sea level and at an ambient temperature of 
greater than or equal to 20 degrees Fahrenheit (-7 C);

[[Page 488]]

    (B) Cumulative gasoline engine operation at or above 25 miles per 
hour or diesel engine operation at or above 1,150 rotations per minute 
(diesel engines may use the gasoline criterion for 2010 through 2012 
model years), either of which occurs for greater than or equal to 300 
seconds while at an elevation of less than 8,000 feet (2,400 meters) 
above sea level and at an ambient temperature of greater than or equal 
to 20 degrees Fahrenheit (-7 C); and,
    (C) Continuous engine operation at idle (e.g., accelerator pedal 
released by driver and engine speed less than or equal to 200 rpm above 
normal warmed-up idle (as determined in the drive position for vehicles 
equipped with an automatic transmission) or vehicle speed less than or 
equal to one mile per hour) for greater than or equal to 30 seconds 
while at an elevation of less than 8,000 feet (2,400 meters) above sea 
level and at an ambient temperature of greater than or equal to 20 
degrees Fahrenheit (-7 C).
    (iii) In addition to the requirements of paragraph (d)(4)(ii) of 
this section, the evaporative system monitor denominator(s) may be 
incremented if and only if:
    (A) Cumulative time since the start of the drive cycle is greater 
than or equal to 600 seconds while at an ambient temperature of greater 
than or equal to 40 degrees Fahrenheit (4 C) but less than or equal to 
95 degrees Fahrenheit (35 C); and,
    (B) Engine cold start occurs with the engine coolant temperature 
greater than or equal to 40 degrees Fahrenheit (4 C) but less than or 
equal to 95 degrees Fahrenheit (35 C) and less than or equal to 12 
degrees Fahrenheit (7 C) higher than the ambient temperature.
    (iv) In addition to the requirements of paragraph (d)(4)(ii) of this 
section, the denominator(s) for the following monitors may be 
incremented if and only if the component or strategy is commanded ``on'' 
for a cumulative time greater than or equal to 10 seconds. For purposes 
of determining this commanded ``on'' time, the OBD system shall not 
include time during intrusive operation of any of the components or 
strategies that occurs later in the same drive cycle for the sole 
purpose of monitoring.
    (A) Secondary air system (paragraph (h)(5) of this section).
    (B) Cold start emission reduction strategy (paragraph (h)(4) of this 
section).
    (C) Components or systems that operate only at engine start-up 
(e.g., glow plugs, intake air heaters) and are subject to monitoring 
under ``other emission control systems'' (paragraph (i)(4) of this 
section) or comprehensive component output components (paragraph 
(i)(3)(iii) of this section).
    (v) In addition to the requirements of paragraph (d)(4)(ii) of this 
section, the denominator(s) for the following monitors of output 
components (except those operated only at engine start-up and subject to 
the requirements of paragraph (d)(4)(iv) of this section, may be 
incremented if and only if the component is commanded to function (e.g., 
commanded ``on'', ``opened'', ``closed'', ``locked'') on two or more 
occasions during the drive cycle or for a cumulative time greater than 
or equal to 10 seconds, whichever occurs first:
    (A) Variable valve timing and/or control system (paragraph (g)(10) 
of this section or (h)(9) of this section).
    (B) ``Other emission control systems'' (paragraph (i)(4) of this 
section).
    (C) Comprehensive component output component (paragraph (i)(3) of 
this section) (e.g., turbocharger waste-gates, variable length manifold 
runners).
    (vi) For monitors of the following components, the manufacturer may 
use alternative or additional criteria for incrementing the denominator 
to that set forth in paragraph (d)(4)(ii) of this section. To do so, the 
alternative criteria must be based on equivalence to the criteria of 
paragraph (d)(4)(ii) of this section in measuring the frequency of 
monitor operation relative to the amount of engine operation:
    (A) Engine cooling system input components (paragraph (i)(1) of this 
section).
    (B) ``Other emission control systems'' (paragraph (i)(4) of this 
section).
    (C) Comprehensive component input components that require extended 
monitoring evaluation (paragraph (i)(3) of this section) (e.g., stuck 
fuel level sensor rationality).

[[Page 489]]

    (D) Comprehensive component input component temperature sensor 
rationality monitors (paragraph (i)(3) of this section) (e.g., intake 
air temperature sensor, ambient temperature sensor, fuel temperature 
sensor).
    (E) Diesel particulate filter (DPF) frequent regeneration (paragraph 
(g)(8)(ii)(B) of this section).
    (vii) For monitors of the following components or other emission 
controls that experience infrequent regeneration events, the 
manufacturer may use alternative or additional criteria for incrementing 
the denominator to that set forth in paragraph (d)(4)(ii) of this 
section. To do so, the alternative criteria must be based on equivalence 
to the criteria of paragraph (d)(4)(ii) of this section in measuring the 
frequency of monitor operation relative to the amount of engine 
operation:
    (A) NMHC converting catalyst (paragraph (g)(5) of this section).
    (B) Diesel particulate filter (DPF) (paragraphs (g)(8)(ii)(A) and 
(g)(8)(ii)(D) of this section).
    (viii) In addition to the requirements of paragraph (d)(4)(ii) of 
this section, the denominator(s) for the following monitors shall be 
incremented if and only if a regeneration event is commanded for a time 
greater than or equal to 10 seconds:
    (A) DPF incomplete regeneration (paragraph (g)(8)(ii)(C) of this 
section).
    (B) DPF active/intrusive injection (paragraph (g)(8)(ii)(E) of this 
section).
    (ix) For hybrids that employ alternative engine start hardware or 
strategies (e.g., integrated starter and generators), or alternative 
fuel vehicles (e.g., dedicated, bi-fuel, or dual-fuel applications), the 
manufacturer may use alternative criteria for incrementing the 
denominator to that set forth in paragraph (d)(4)(ii) of this section. 
In general, the Administrator will not approve alternative criteria for 
those hybrids that employ engine shut off only at or near idle and/or 
vehicle stop conditions. To use alternative criteria, the alternative 
criteria must be based on the equivalence to the criteria of paragraph 
(d)(4)(ii) of this section in measuring the amount of vehicle operation 
relative to the measure of conventional vehicle operation.
    (5) Disablement of numerators and denominators. (i) Within 10 
seconds of detecting a malfunction (i.e., a pending or a MIL-on DTC has 
been stored) that disables a monitor for which the monitoring conditions 
in paragraph (d) of this section must be met, the OBD system must stop 
incrementing the numerator and denominator for any monitor that may be 
disabled as a consequence of the detected malfunction. Within 10 seconds 
of the time at which the malfunction is no longer being detected (e.g., 
the pending DTC is erased through OBD system self-clearing or through a 
scan tool command), incrementing of all applicable numerators and 
denominators must resume.
    (ii) Within 10 seconds of the start of a power take-off unit (e.g., 
dump bed, snow plow blade, or aerial bucket, etc.) that disables a 
monitor for which the monitoring conditions in paragraph (d) of this 
section must be met, the OBD system must stop incrementing the numerator 
and denominator for any monitor that may be disabled as a consequence of 
power take-off operation. Within 10 seconds of the time at which the 
power take-off operation ends, incrementing of all applicable numerators 
and denominators must resume.
    (iii) Within 10 seconds of detecting a malfunction (i.e., a pending 
or a MIL-on DTC has been stored) of any component used to determine if 
the criteria of paragraphs (d)(4)(ii) and (d)(4)(iii) of this section 
are satisfied, the OBD system must stop incrementing all applicable 
numerators and denominators. Within 10 seconds of the time at which the 
malfunction is no longer being detected (e.g., the pending DTC is erased 
through OBD system self-clearing or through a scan tool command), 
incrementing of all applicable numerators and denominators must resume.
    (e) Standardized tracking and reporting of in-use monitor 
performance--(1) General. For monitors required to track and report in-
use monitor performance according to paragraph (d) of this section, the 
performance data must be tracked and reported in accordance with the 
specifications in paragraphs (d)(2), (e), and (k)(5) of this section. 
The OBD system must separately report an in-use monitor performance 
numerator

[[Page 490]]

and denominator for each of the following components:
    (i) For diesel engines, NMHC catalyst bank 1, NMHC catalyst bank 2, 
NOX catalyst bank 1, NOX catalyst bank 2, exhaust 
gas sensor bank 1, exhaust gas sensor bank 2, EGR/VVT system, DPF, boost 
pressure control system, and NOX adsorber. The OBD system 
must also report a general denominator and an ignition cycle counter in 
the standardized format specified in paragraphs (e)(5), (e)(6), and 
(k)(5) of this section.
    (ii) For gasoline engines, catalyst bank 1, catalyst bank 2, exhaust 
gas sensor bank 1, exhaust gas sensor bank 2, evaporative leak detection 
system, EGR/VVT system, and secondary air system. The OBD system must 
also report a general denominator and an ignition cycle counter in the 
standardized format specified in paragraphs (e)(5), (e)(6), and (k)(5) 
of this section.
    (iii) For specific components or systems that have multiple monitors 
that are required to be reported under paragraphs (g) and (h) of this 
section (e.g., exhaust gas sensor bank 1 may have multiple monitors for 
sensor response or other sensor characteristics), the OBD system must 
separately track numerators and denominators for each of the specific 
monitors and report only the corresponding numerator and denominator for 
the specific monitor that has the lowest numerical ratio. If two or more 
specific monitors have identical ratios, the corresponding numerator and 
denominator for the specific monitor that has the highest denominator 
must be reported for the specific component.
    (2) Numerator. (i) The OBD system must report a separate numerator 
for each of the applicable components listed in paragraph (e)(1) of this 
section.
    (ii) The numerator(s) must be reported in accordance with the 
specifications in paragraph (k)(5)(ii) of this section.
    (3) Denominator. (i) The OBD system must report a separate 
denominator for each of the applicable components listed in paragraph 
(e)(1) of this section.
    (ii) The denominator(s) must be reported in accordance with the 
specifications in paragraph (k)(5)(ii) of this section.
    (4) Monitor performance ratio. For purposes of determining which 
corresponding numerator and denominator to report as required in 
paragraph (e)(1)(iii) of this section, the ratio must be calculated in 
accordance with the specifications in paragraph (k)(5)(iii) of this 
section.
    (5) Ignition cycle counter. (i) The ignition cycle counter is 
defined as a counter that indicates the number of ignition cycles a 
vehicle has experienced according to the specifications of paragraph 
(e)(5)(ii)(B) of this section. The ignition cycle counter must be 
reported in accordance with the specifications in paragraph (k)(5)(ii) 
of this section.
    (ii) The ignition cycle counter must be incremented as follows:
    (A) The ignition cycle counter, when incremented, must be 
incremented by an integer of one. The ignition cycle counter shall not 
be incremented more than once per ignition cycle.
    (B) The ignition cycle counter must be incremented within 10 seconds 
if and only if the engine exceeds an engine speed of 50 to 150 rpm below 
the normal, warmed-up idle speed (as determined in the drive position 
for engines paired with an automatic transmission) for at least two 
seconds plus or minus one second.
    (iii) Within 10 seconds of detecting a malfunction (i.e., a pending 
or a MIL-on DTC has been stored) of any component used to determine if 
the criteria in paragraph (e)(5)(ii)(B) of this section are satisfied 
(i.e., engine speed or time of operation), the OBD system must stop 
incrementing the ignition cycle counter. Incrementing of the ignition 
cycle counter shall not be stopped for any other condition. Within 10 
seconds of the time at which the malfunction is no longer being detected 
(e.g., the pending DTC is erased through OBD system self-clearing or 
through a scan tool command), incrementing of the ignition cycle counter 
must resume.
    (6) General denominator. (i) The general denominator is defined as a 
measure of the number of times an engine has been operated according to 
the specifications of paragraph (e)(6)(ii)(B) of this section. The 
general denominator must be reported in accordance

[[Page 491]]

with the specifications in paragraph (k)(5)(ii) of this section.
    (ii) The general denominator must be incremented as follows:
    (A) The general denominator, when incremented, must be incremented 
by an integer of one. The general denominator shall not be incremented 
more than once per drive cycle.
    (B) The general denominator must be incremented within 10 seconds if 
and only if the criteria identified in paragraph (d)(4)(ii) of this 
section are satisfied on a single drive cycle.
    (C) Within 10 seconds of detecting a malfunction (i.e., a pending or 
a MIL-on DTC has been stored) of any component used to determine if the 
criteria in paragraph (d)(4)(ii) of this section are satisfied (i.e., 
vehicle speed/load, ambient temperature, elevation, idle operation, or 
time of operation), the OBD system must stop incrementing the general 
denominator. Incrementing of the general denominator shall not be 
stopped for any other condition (e.g., the disablement criteria in 
paragraphs (d)(5)(i) and (d)(5)(ii) of this section shall not disable 
the general denominator). Within 10 seconds of the time at which the 
malfunction is no longer being detected (e.g., the pending DTC is erased 
through OBD system self-clearing or through a scan tool command), 
incrementing of the general denominator must resume.
    (f) Malfunction criteria determination. (1) In determining the 
malfunction criteria for the diesel engine monitors required under 
paragraphs (g) and (i) of this section that are required to indicate a 
malfunction before emissions exceed an emission threshold based on any 
applicable standard, the manufacturer must:
    (i) Use the emission test cycle and standard (i.e., the transient 
FTP or the supplemental emissions test (SET)) determined by the 
manufacturer to provide the most effective monitoring conditions and 
robust monitor provided all other applicable requirements of this 
section are met.
    (ii) Identify in the certification documentation required under 
paragraph (m) of this section, the test cycle and standard determined by 
the manufacturer to be the most stringent for each applicable monitor 
and the most effective and robust for each applicable monitor.
    (iii) If the Administrator reasonably believes that a manufacturer 
has determined incorrectly the test cycle and standard that is most 
stringent or effective, the manufacturer must be able to provide 
emission data and/or engineering analysis supporting their choice of 
test cycle and standard.
    (2) On engines equipped with emission controls that experience 
infrequent regeneration events, a manufacturer need not adjust the 
emission test results that are used to determine the malfunction 
criteria for monitors that are required to indicate a malfunction before 
emissions exceed a certain emission threshold. For each such monitor, 
should the manufacturer choose to adjust the emission test results, the 
manufacturer must adjust the emission result as done in accordance with 
the provisions of Sec.  86.004-28(i) with the component for which the 
malfunction criteria are being established having been deteriorated to 
the malfunction threshold. The adjusted emission value must be used for 
purposes of determining whether or not the applicable emission threshold 
is exceeded.
    (i) For purposes of this paragraph (f)(2), regeneration means an 
event, by design, during which emissions levels change while the 
emission control performance is being restored.
    (ii) For purposes of this paragraph (f)(2), infrequent means having 
an expected frequency of less than once per transient FTP cycle.
    (3) For gasoline engines, rather than meeting the malfunction 
criteria specified under paragraphs (h) and (i) of this section, the 
manufacturer may request approval to use an OBD system certified to the 
requirements of Sec.  86.007-17. To do so, the manufacturer must 
demonstrate use of good engineering judgment in determining equivalent 
malfunction detection criteria to those required in this section.
    (g) OBD monitoring requirements for diesel-fueled/compression-
ignition engines. The following table shows the thresholds at which 
point certain components or systems, as specified in this paragraph (g), 
are considered malfunctioning.

[[Page 492]]



     Table 1--OBD Emissions Thresholds for Diesel-Fueled/Compression-Ignition Engines Meant for Placement in
                             Applications Greater Than 14,000 Pounds GVWR (g/bhp-hr)
----------------------------------------------------------------------------------------------------------------
                                                                Sec.
                         Component                           86.010-18     NMHC       CO      NOX         PM
                                                             reference
----------------------------------------------------------------------------------------------------------------
Model years 2010-2012:
  NOX aftertreatment system...............................       (g)(6)  ........  .......    + 0.6
                                                                 (g)(7)
  Diesel particulate filter (DPF) system..................       (g)(8)      2.5x  .......  .......      0.05/ +
                                                                                                            0.04
  Air-fuel ratio sensors upstream of aftertreatment              (g)(9)      2.5x     2.5x    + 0.3      0.03/ +
   devices................................................                                                  0.02
  Air-fuel ratio sensors downstream of aftertreatment            (g)(9)      2.5x  .......    + 0.3      0.05/ +
   devices................................................                                                  0.04
  NOX sensors.............................................       (g)(9)  ........  .......    + 0.6      0.05/ +
                                                                                                            0.04
  ``Other monitors'' with emissions thresholds............       (g)(1)      2.5x     2.5x    + 0.3      0.03/ +
                                                                 (g)(3)                                     0.02
                                                                 (g)(4)
                                                                (g)(10)
Model years 2013 and later:
  NOX aftertreatment system...............................       (g)(6)  ........  .......    + 0.3
                                                                 (g)(7)
  Diesel particulate filter (DPF) system..................       (g)(8)        2x  .......  .......      0.05/ +
                                                                                                            0.04
  Air-fuel ratio sensors upstream of aftertreatment              (g)(9)        2x       2x    + 0.3      0.03/ +
   devices................................................                                                  0.02
  Air-fuel ratio sensors downstream of aftertreatment            (g)(9)        2x  .......    + 0.3      0.05/ +
   devices................................................                                                  0.04
  NOX sensors.............................................       (g)(9)  ........  .......    + 0.3      0.05/ +
                                                                                                            0.04
  ``Other monitors'' with emissions thresholds............       (g)(1)        2x       2x    + 0.3      0.03/ +
                                                                 (g)(2)                                     0.02
                                                                 (g)(3)
                                                                 (g)(4)
                                                                (g)(10)
----------------------------------------------------------------------------------------------------------------
Notes: FEL = Family Emissions Limit; 2.5x std means a multiple of 2.5 times the applicable emissions standard; +
  0.3 means the standard or FEL plus 0.3; 0.05/ + 0.04 means an absolute level of 0.05 or an additive level of
  the standard or FEL plus 0.04, whichever level is higher; these emissions thresholds apply to the monitoring
  requirements of paragraph (g) of this Sec.   86.010-18.

    (1) Fuel system monitoring--(i) General. The OBD system must monitor 
the fuel delivery system to verify that it is functioning properly. The 
individual electronic components (e.g., actuators, valves, sensors, 
pumps) that are used in the fuel system and are not specifically 
addressed in this paragraph (g)(1) must be monitored in accordance with 
the requirements of paragraph (i)(3) of this section.
    (ii) Fuel system malfunction criteria--(A) Fuel system pressure 
control. The OBD system must monitor the fuel system's ability to 
control to the desired fuel pressure. This monitoring must be done 
continuously unless new hardware has to be added, in which case the 
monitoring must be done at least once per drive cycle. The OBD system 
must detect a malfunction of the fuel system's pressure control system 
when the pressure control system is unable to maintain an engine's 
emissions at or below the emissions thresholds for ``other monitors'' as 
shown in Table 1 of this paragraph (g). For engines in which no failure 
or deterioration of the fuel system pressure control could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has reached its 
control limits such that the commanded fuel system pressure cannot be 
delivered. For model year 2010 to 2012 engines with a unit injector fuel 
system, this requirement may be met by conducting a functional check of 
the fuel system pressure control in lieu of monitoring for conditions 
that could cause an engine's emissions to exceed the applicable 
emissions thresholds.
    (B) Fuel system injection quantity. The OBD system must detect a 
malfunction of the fuel injection system when the system is unable to 
deliver the commanded quantity of fuel necessary to maintain an engine's 
emissions at or below the emissions thresholds for ``other monitors'' as 
shown in Table 1 of this paragraph (g). For engines in which no failure 
or deterioration of the fuel injection quantity could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has reached its 
control limits such that the commanded fuel quantity cannot be 
delivered. For model year 2010 to 2012 engines with a unit injector fuel 
system, this requirement may be met by conducting a

[[Page 493]]

functional check of the fuel system injection quantity in lieu of 
monitoring for conditions that could cause an engine's emissions to 
exceed the applicable emissions thresholds.
    (C) Fuel system injection timing. The OBD system must detect a 
malfunction of the fuel injection system when the system is unable to 
deliver fuel at the proper crank angle/timing (e.g., injection timing 
too advanced or too retarded) necessary to maintain an engine's 
emissions at or below the emissions thresholds for ``other monitors'' as 
shown in Table 1 of this paragraph (g). For engines in which no failure 
or deterioration of the fuel injection timing could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has reached its 
control limits such that the commanded fuel injection timing cannot be 
achieved. For model year 2010 to 2012 engines with a unit injector fuel 
system, this requirement may be met by conducting a functional check of 
the fuel system injection timing in lieu of monitoring for conditions 
that could cause an engine's emissions to exceed the applicable 
emissions thresholds.
    (D) Combined Monitoring. For engines with a unit injector fuel 
system, the manufacturer may request Administrator approval to combine 
the malfunction criteria of paragraphs (g)(1)(ii)(A) through 
(g)(1)(ii)(C) of this section into one malfunction provided the 
manufacturer can demonstrate that the combined malfunction will satisfy 
the intent of each separate malfunction criteria. For engines with a 
common rail fuel system, the manufacturer may request Administrator 
approval to combine the malfunction criteria of paragraphs (g)(1)(ii)(B) 
through (g)(1)(ii)(C) of this section into one malfunction provided the 
manufacturer can demonstrate that the combined malfunction will satisfy 
the intent of each separate malfunction criteria.
    (E) Fuel system feedback control. See paragraph (i)(6) of this 
section.
    (iii) Fuel system monitoring conditions. (A) With the exceptions 
noted in this paragraph for unit injector systems, the OBD system must 
monitor continuously for malfunctions identified in paragraphs 
(g)(1)(ii)(A) and (g)(1)(ii)(E) of this section. For 2010 through 2012 
unit injector systems, where functional monitoring is done in lieu of 
emission threshold monitoring for malfunctions identified in paragraph 
(g)(1)(ii)(A) of this section, the manufacturer must define the 
monitoring conditions in accordance with paragraphs (c) and (d) of this 
section. For 2013 and later unit injector systems, the manufacturer must 
define the monitoring conditions for malfunctions identified in 
paragraph (g)(1)(ii)(A) of this section in accordance with paragraphs 
(c) and (d) of this section, with the exception that monitoring must 
occur every time the monitoring conditions are met during the drive 
cycle rather than once per drive cycle as required in paragraph (c)(2) 
of this section.
    (B) For 2010 through 2012, the manufacturer must define the 
monitoring conditions for malfunctions identified in paragraphs 
(g)(1)(ii)(B), (g)(1)(ii)(C), and (g)(1)(ii)(D) of this section in 
accordance with paragraphs (c) and (d) of this section. For 2013 and 
later, the manufacturer must define the monitoring conditions in 
accordance with paragraphs (c) and (d) of this section, with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section.
    (iv) Fuel system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (2) Engine misfire monitoring--(i) General. The OBD system must 
monitor the engine for misfire causing excess emissions.
    (ii) Engine misfire malfunction criteria. (A) The OBD system must be 
capable of detecting misfire occurring in one or more cylinders. To the 
extent possible without adding hardware for this specific purpose, the 
OBD system must also identify the specific misfiring cylinder. If more 
than one cylinder is misfiring continuously, or if more than one but 
less than half of the cylinders are misfiring continuously (if the 
manufacturer can demonstrate the

[[Page 494]]

robustness of their monitor to the approval of the Administrator), a 
separate DTC must be stored indicating that multiple cylinders are 
misfiring. When identifying multiple cylinder misfire, the OBD system is 
not required to identify individually through separate DTCs each of the 
continuously misfiring cylinders.
    (B) For model years 2013 and later, on engines equipped with sensors 
that can detect combustion or combustion quality (e.g., for use in 
engines with homogeneous charge compression ignition (HCCI) control 
systems), the OBD system must detect a misfire malfunction causing 
emissions to exceed the applicable thresholds for ``other monitors'' 
shown in Table 1 of this paragraph (g). To determine what level of 
misfire would cause emissions to exceed the applicable emissions 
thresholds, the manufacturer must determine the percentage of misfire 
evaluated in 1,000 revolution increments that would cause emissions from 
an emission durability demonstration engine to exceed the emissions 
thresholds if the percentage of misfire were present from the beginning 
of the test. To establish this percentage of misfire, the manufacturer 
must use misfire events occurring at equally spaced, complete engine 
cycle intervals, across randomly selected cylinders throughout each 
1,000-revolution increment. If this percentage of misfire is determined 
to be lower than one percent, the manufacturer may set the malfunction 
criteria at one percent. Any misfire malfunction must be detected if the 
percentage of misfire established via this testing is exceeded 
regardless of the pattern of misfire events (e.g., random, equally 
spaced, continuous). The manufacturer may employ other revolution 
increments besides the 1,000 revolution increment. To do so, the 
manufacturer must demonstrate that the strategy is equally effective and 
timely in detecting misfire.
    (iii) Engine misfire monitoring conditions. (A) The OBD system must 
monitor for engine misfire during engine idle conditions at least once 
per drive cycle in which the monitoring conditions for misfire are met. 
The manufacturer must be able to demonstrate via engineering analysis 
and/or data that the self-defined monitoring conditions: are technically 
necessary to ensure robust detection of malfunctions (e.g., avoid false 
passes and false detection of malfunctions); require no more than 1000 
cumulative engine revolutions; and, do not require any single continuous 
idle operation of more than 15 seconds to make a determination that a 
malfunction is present (e.g., a decision can be made with data gathered 
during several idle operations of 15 seconds or less); or, satisfy the 
requirements of paragraph (c) of this section with alternative engine 
operating conditions.
    (B) Manufacturers may employ alternative monitoring conditions 
(e.g., off-idle) provided the manufacturer is able to demonstrate that 
the alternative monitoring ensure equivalent robust detection of 
malfunctions and equivalent timeliness in detection of malfunctions.
    (C) For model years 2013 and later, on engines equipped with sensors 
that can detect combustion or combustion quality the OBD system must 
monitor continuously for engine misfire under all positive torque engine 
speed and load conditions. If a monitoring system cannot detect all 
misfire patterns under all required engine speed and load conditions, 
the manufacturer may request that the Administrator approve the 
monitoring system nonetheless. In evaluating the manufacturer's request, 
the Administrator will consider the following factors: the magnitude of 
the region(s) in which misfire detection is limited; the degree to which 
misfire detection is limited in the region(s) (i.e., the probability of 
detection of misfire events); the frequency with which said region(s) 
are expected to be encountered in-use; the type of misfire patterns for 
which misfire detection is troublesome; and demonstration that the 
monitoring technology employed is not inherently incapable of detecting 
misfire under required conditions (i.e., compliance can be achieved on 
other engines). The evaluation will be based on the following misfire 
patterns: equally spaced misfire occurring on randomly selected 
cylinders; single cylinder continuous misfire; and, paired cylinder 
(cylinders firing at the same crank angle) continuous misfire.

[[Page 495]]

    (iv) Engine misfire MIL activation and DTC storage. (A) General 
requirements for MIL activation and DTC storage are set forth in 
paragraph (b) of this section.
    (B) For model years 2013 and later, on engines equipped with sensors 
that can detect combustion or combustion quality, upon detection of the 
percentage of misfire specified in paragraph (g)(2)(ii)(B) of this 
section, the following criteria shall apply for MIL activation and DTC 
storage: A pending DTC must be stored no later than after the fourth 
exceedance of the percentage of misfire specified in paragraph 
(g)(2)(ii) of this section during a single drive cycle; if a pending 
fault code has been stored, the OBD system must activate the MIL and 
store a MIL-on DTC within 10 seconds if the percentage of misfire 
specified in paragraph (g)(2)(ii) of this section is again exceeded four 
times during the drive cycle immediately following storage of the 
pending DTC, regardless of the conditions encountered during the drive 
cycle, or on the next drive cycle in which similar conditions are 
encountered to those that were occurring when the pending DTC was 
stored. Similar conditions means an engine speed within 375 rpm, engine 
load within 20 percent, and the same warm up status (i.e., cold or hot). 
The Administrator may approve other definitions of similar conditions 
based on comparable timeliness and reliability in detecting similar 
engine operation. The pending DTC may be erased at the end of the next 
drive cycle in which similar conditions are encountered to those that 
were occurring when the pending DTC was stored provided the specified 
percentage of misfire was not again exceeded. The pending DTC may also 
be erased if similar conditions are not encountered during the 80 drive 
cycles immediately following initial detection of the malfunction.
    (C) For model years 2013 and later, on engines equipped with sensors 
that can detect combustion or combustion quality, the OBD system must 
store and erase freeze frame conditions either in conjunction with 
storing and erasing a pending DTC or in conjunction with storing and 
erasing a MIL-on DTC. If freeze frame conditions are stored for a 
malfunction other than a misfire malfunction when a DTC is stored as 
specified in paragraph (g)(2)(iv)(B) of this section, the stored freeze 
frame information must be replaced with the freeze frame information 
regarding the misfire malfunction.
    (D) For model years 2013 and later, on engines equipped with sensors 
that can detect combustion or combustion quality, upon detection of 
misfire according to paragraph (g)(2)(iv)(B) of this section, the OBD 
system must also store the following engine conditions: engine speed, 
load, and warm up status of the first misfire event that resulted in the 
storage of the pending DTC.
    (E) For model years 2013 and later, on engines equipped with sensors 
that can detect combustion or combustion quality, the MIL may be 
deactivated after three sequential drive cycles in which similar 
conditions have been encountered without an exceedance of the specified 
percentage of misfire.
    (3) EGR system monitoring--(i) General. The OBD system must monitor 
the EGR system on engines so equipped for low flow rate, high flow rate, 
and slow response malfunctions. For engines equipped with EGR coolers 
(e.g., heat exchangers), the OBD system must monitor the cooler for 
insufficient cooling malfunctions. The individual electronic components 
(e.g., actuators, valves, sensors) that are used in the EGR system must 
be monitored in accordance with the comprehensive component requirements 
in paragraph (i)(3) of this section.
    (ii) EGR system malfunction criteria--(A) EGR low flow. The OBD 
system must detect a malfunction of the EGR system prior to a decrease 
from the manufacturer's specified EGR flow rate that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g). For engines in 
which no failure or deterioration of the EGR system that causes a 
decrease in flow could result in an engine's emissions exceeding the 
applicable emissions thresholds, the OBD system must detect a 
malfunction when the system has reached its control limits such that it 
cannot increase EGR flow to achieve the commanded flow rate.

[[Page 496]]

    (B) EGR high flow. The OBD system must detect a malfunction of the 
EGR system, including a leaking EGR valve (i.e., exhaust gas flowing 
through the valve when the valve is commanded closed) prior to an 
increase from the manufacturer's specified EGR flow rate that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 1 of this paragraph (g). For 
engines in which no failure or deterioration of the EGR system that 
causes an increase in flow could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has reached its control limits such 
that it cannot reduce EGR flow to achieve the commanded flow rate.
    (C) EGR slow response. The OBD system must detect a malfunction of 
the EGR system prior to any failure or deterioration in the capability 
of the EGR system to achieve the commanded flow rate within a 
manufacturer-specified time that would cause an engine's emissions to 
exceed the emissions thresholds for ``other monitors'' as shown in Table 
1 of this paragraph (g). The OBD system must monitor both the capability 
of the EGR system to respond to a commanded increase in flow and the 
capability of the EGR system to respond to a commanded decrease in flow.
    (D) EGR system feedback control. See paragraph (i)(6) of this 
section.
    (E) EGR cooler performance. The OBD system must detect a malfunction 
of the EGR cooler prior to a reduction from the manufacturer's specified 
cooling performance that would cause an engine's emissions to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 1 of this 
paragraph (g). For engines in which no failure or deterioration of the 
EGR cooler could result in an engine's emissions exceeding the 
applicable emissions thresholds, the OBD system must detect a 
malfunction when the system has no detectable amount of EGR cooling.
    (iii) EGR system monitoring conditions. (A) The OBD system must 
monitor continuously for malfunctions identified in paragraphs 
(g)(3)(ii)(A), (g)(3)(ii)(B), and (g)(3)(ii)(D) of this section.
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(3)(ii)(C) of this section in 
accordance with paragraphs (c) and (d) of this section, with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(3)(ii)(C) of this section must be tracked separately but reported as 
a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (C) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(3)(ii)(E) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(3)(ii)(E) of this section must be tracked separately but reported as 
a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (D) The manufacturer may request Administrator approval to disable 
temporarily the EGR system monitor(s) under specific ambient conditions 
(e.g., when freezing may affect performance of the system) or during 
specific operating conditions (e.g., transients, extreme low or high 
flow conditions). The manufacturer must be able to demonstrate via data 
or engineering analysis that a reliable system monitor cannot be run 
when these conditions exist because it cannot robustly distinguish 
between a malfunctioning system and a properly operating system. The 
manufacturer is still required to maintain comprehensive component 
monitoring as required in paragraph (i)(3) of this section.
    (iv) EGR system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (4) Turbo boost control system monitoring--(i) General. The OBD 
system

[[Page 497]]

must monitor the boost pressure control system (e.g., turbocharger) on 
engines so equipped for under and over boost malfunctions. For engines 
equipped with variable geometry turbochargers (VGT), the OBD system must 
monitor the VGT system for slow response malfunctions. For engines 
equipped with charge air cooler systems, the OBD system must monitor the 
charge air cooler system for cooling system performance malfunctions. 
The individual electronic components (e.g., actuators, valves, sensors) 
that are used in the boost pressure control system must be monitored in 
accordance with the comprehensive component requirements in paragraph 
(i)(3) of this section.
    (ii) Turbo boost control system malfunction criteria--(A) Turbo 
underboost. The OBD system must detect a malfunction of the boost 
pressure control system prior to a decrease from the manufacturer's 
commanded boost pressure, or expected boost pressure on engines not 
equipped with a boost pressure control system, that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g). For engines in 
which no failure or deterioration of the boost pressure control system 
that causes a decrease in boost could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has reached its control limits such 
that it cannot increase boost to achieve the commanded boost pressure.
    (B) Turbo overboost. The OBD system must detect a malfunction of the 
boost pressure control system on engines so equipped prior to an 
increase from the manufacturer's commanded boost pressure that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 1 of this paragraph (g). For 
engines in which no failure or deterioration of the boost pressure 
control system that causes an increase in boost could result in an 
engine's emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when the system has reached its 
control limits such that it cannot decrease boost to achieve the 
commanded boost pressure.
    (C) VGT slow response. The OBD system must detect a malfunction 
prior to any failure or deterioration in the capability of the VGT 
system on engines so equipped to achieve the commanded turbocharger 
geometry within a manufacturer-specified time that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g). For engines in 
which no failure or deterioration of the VGT system response could 
result in an engine's emissions exceeding the applicable emissions 
thresholds, the OBD system must detect a malfunction of the VGT system 
when proper functional response of the system to computer commands does 
not occur.
    (D) Turbo boost feedback control. See paragraph (i)(6)of this 
section.
    (E) Charge air undercooling. The OBD system must detect a 
malfunction of the charge air cooling system prior to a decrease from 
the manufacturer's specified cooling rate that would cause an engine's 
emissions to exceed the emissions thresholds for ``other monitors'' as 
shown in Table 1 of this paragraph (g). For engines in which no failure 
or deterioration of the charge air cooling system that causes a decrease 
in cooling performance could result in an engine's emissions exceeding 
the applicable emissions thresholds, the OBD system must detect a 
malfunction when the system has no detectable amount of charge air 
cooling.
    (iii) Turbo boost monitoring conditions. (A) The OBD system must 
monitor continuously for malfunctions identified in paragraphs 
(g)(4)(ii)(A), (g)(4)(ii)(B), and (g)(4)(ii)(D) of this section.
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(4)(ii)(C) of this section in 
accordance with paragraphs (c) and (d) of this section, with the 
exception that monitoring must occur every time the monitoring 
conditions are met during the drive cycle rather than once per drive 
cycle as required in paragraph (c)(2) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in

[[Page 498]]

paragraph (g)(4)(ii)(C) of this section must be tracked separately but 
reported as a single set of values as specified in paragraph (e)(1)(iii) 
of this section.
    (C) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (g)(4)(ii)(E) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(4)(ii)(E) of this section must be tracked separately but reported as 
a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (D) The manufacturer may request Administrator approval to disable 
temporarily the turbo boost system monitor(s) during specific operating 
conditions (e.g., transients, extreme low or high flow conditions). The 
manufacturer must be able to demonstrate via data or engineering 
analysis that a reliable system monitor cannot be run when these 
conditions exist because it cannot robustly distinguish between a 
malfunctioning system and a properly operating system. The manufacturer 
is still required to maintain comprehensive component monitoring as 
required in paragraph (i)(3) of this section.
    (iv) Turbo boost system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (5) NMHC converting catalyst monitoring--(i) General. The OBD system 
must monitor the NMHC converting catalyst(s) for proper NMHC conversion 
capability. For purposes of this paragraph (g)(5), each catalyst that 
converts NMHC must be monitored either individually or in combination 
with others. For purposes of this paragraph (g)(5), NMHC conversion that 
may occur over the DPF or other aftertreatment devices is not included.
    (ii) NMHC converting catalyst malfunction criteria--(A) NMHC 
converting catalyst conversion efficiency. The OBD system must detect a 
malfunction when the catalyst has no detectable amount of NMHC 
conversion capability.
    (B) NMHC converting catalyst aftertreatment assistance functions. 
For catalysts used to generate an exotherm to assist DPF regeneration, 
the OBD system must detect a malfunction when the catalyst is unable to 
generate a sufficient exotherm to achieve DPF regeneration. In meeting 
this requirement, the OBD system must detect a malfunction when the DOC 
is unable to generate a temperature rise of 100 degrees C, or to reach 
the necessary DPF regeneration temperature, within 60 seconds of 
initiating an active DPF regeneration. Further, the OBD system must 
detect a malfunction when the DOC is unable to sustain the necessary 
regeneration temperature for the duration of the regeneration event. The 
OBD or control system must abort the regeneration if the regeneration 
temperature has not been reached within five minutes of initiating an 
active regeneration event, or if the regeneration temperature cannot be 
sustained for the duration of the regeneration event. As an alternative 
to these specific malfunction criteria, the manufacturer may employ 
different criteria. To do so, the manufacturer must submit a description 
with supporting data, subject to Administrator approval, of their DPF 
regeneration monitoring strategy. The Administrator will consider the 
strategy's equivalence to the specific criteria stated in this paragraph 
when considering the request. Also as an alternative to these specific 
malfunction criteria, the manufacturer may employ an OBD monitor that 
detects a catalyst malfunction when the catalyst conversion capability 
decreases to the point that NMHC emissions exceed 2.5 times the 
applicable NMHC emission standard but must adjust emission test results 
pursuant to paragraph (f)(2) of this section. For catalysts located 
downstream of a DPF and used to convert NMHC emissions during DPF 
regeneration, the OBD system must detect a malfunction when the catalyst 
has no detectable amount of NMHC conversion capability unless the 
manufacturer can demonstrate that deterioration or malfunction of the 
catalyst will not result in emissions that exceed the applicable NMHC 
standard.
    (iii) NMHC converting catalyst monitoring conditions. The 
manufacturer

[[Page 499]]

must define the monitoring conditions for malfunctions identified in 
paragraphs (g)(5)(ii)(A) and (g)(5)(ii)(B) of this section in accordance 
with paragraphs (c) and (d) of this section. For purposes of tracking 
and reporting as required in paragraph (d)(1) of this section, all 
monitors used to detect malfunctions identified in paragraphs 
(g)(5)(ii)(A) and (g)(5)(ii)(B) of this section must be tracked 
separately but reported as a single set of values as specified in 
paragraph (e)(1)(iii) of this section.
    (iv) NMHC converting catalyst MIL activation and DTC storage. The 
MIL must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section. The monitoring method for the NMHC 
converting catalyst(s) must be capable of detecting all instances, 
except diagnostic self-clearing, when a catalyst DTC has been erased but 
the catalyst has not been replaced (e.g., catalyst over-temperature 
histogram approaches are not acceptable).
    (6) Selective catalytic reduction (SCR) and lean NOX 
catalyst monitoring--(i) General. The OBD system must monitor the SCR 
and/or the lean NOX converting catalyst(s) for proper 
conversion capability. For engines equipped with SCR systems or other 
catalyst systems that use an active/intrusive reductant injection (e.g., 
active lean NOX catalysts that use diesel fuel post-injection 
or in-exhaust injection), the OBD system must monitor the active/
intrusive reductant injection system for proper performance. The 
individual electronic components (e.g., actuators, valves, sensors, 
heaters, pumps) in the active/intrusive reductant injection system must 
be monitored in accordance with the comprehensive component requirements 
in paragraph (i)(3) of this section. For purposes of this paragraph 
(g)(6), each catalyst that converts NOX must be monitored 
either individually or in combination with others.
    (ii) SCR and lean NOX catalyst malfunction criteria--(A) 
SCR and lean NOX catalyst conversion efficiency. The OBD 
system must detect a catalyst malfunction when the catalyst conversion 
capability decreases to the point that would cause an engine's emissions 
to exceed the emissions thresholds for NOX aftertreatment 
systems as shown in Table 1 of this paragraph (g). If no failure or 
deterioration of the catalyst NOX conversion capability could 
result in an engine's emissions exceeding any of the applicable 
emissions thresholds, the OBD system must detect a malfunction when the 
catalyst has no detectable amount of NOX conversion 
capability.
    (B) SCR and lean NOX catalyst active/intrusive reductant 
delivery performance. The OBD system must detect a malfunction prior to 
any failure or deterioration of the system to properly regulate 
reductant delivery (e.g., urea injection, separate injector fuel 
injection, post injection of fuel, air assisted injection/mixing) that 
would cause an engine's emissions to exceed any of the applicable 
emissions thresholds for NOX aftertreatment systems as shown 
in Table 1 of this paragraph (g). If no failure or deterioration of the 
reductant delivery system could result in an engine's emissions 
exceeding any of the applicable thresholds, the OBD system must detect a 
malfunction when the system has reached its control limits such that it 
is no longer able to deliver the desired quantity of reductant.
    (C) SCR and lean NOX catalyst active/intrusive reductant 
quantity. If the SCR or lean NOX catalyst system uses a 
reductant other than the fuel used for the engine, or uses a reservoir/
tank for the reductant that is separate from the fuel tank used for the 
engine, the OBD system must detect a malfunction when there is no longer 
sufficient reductant available (e.g., the reductant tank is empty).
    (D) SCR and lean NOX catalyst active/intrusive reductant 
quality. If the SCR or lean NOX catalyst system uses a 
reservoir/tank for the reductant that is separate from the fuel tank 
used for the engine, the OBD system must detect a malfunction when an 
improper reductant is used in the reductant reservoir/tank (e.g., the 
reductant tank is filled with something other than the reductant).
    (E) SCR and lean NOX catalyst active/intrusive reductant 
feedback control. See paragraph (i)(6) of this section.

[[Page 500]]

    (iii) SCR and lean NOX catalyst monitoring conditions. 
(A) The manufacturers must define the monitoring conditions for 
malfunctions identified in paragraphs (g)(6)(ii)(A) and (g)(6)(ii)(D) of 
this section in accordance with paragraphs (c) and (d) of this section. 
For purposes of tracking and reporting as required in paragraph (d)(1) 
of this section, all monitors used to detect malfunctions identified in 
paragraph (g)(6)(ii)(A) of this section must be tracked separately but 
reported as a single set of values as specified in paragraph (e)(1)(iii) 
of this section.
    (B) The OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(6)(ii)(B), (g)(6)(ii)(C), and (g)(6)(ii)(E) 
of this section.
    (iv) SCR and lean NOX catalyst MIL activation and DTC 
storage. (A) For malfunctions identified in paragraph (g)(6)(ii)(A) of 
this section, the MIL must activate and DTCs must be stored according to 
the provisions of paragraph (b) of this section.
    (B) For malfunctions identified in paragraphs (g)(6)(ii)(B), 
(g)(6)(ii)(C), and (g)(6)(ii)(D) of this section, the manufacturer may 
delay activating the MIL if the vehicle is equipped with an alternative 
indicator for notifying the vehicle operator of the malfunction. The 
alternative indicator must be of sufficient illumination and be located 
such that it is readily visible to the vehicle operator under all 
lighting conditions. If the vehicle is not equipped with such an 
alternative indicator and the OBD MIL activates, the MIL may be 
immediately deactivated and the corresponding DTC(s) erased once the OBD 
system has verified that the reductant tank has been refilled properly 
and the MIL has not been activated for any other malfunction. The 
Administrator may approve other strategies that provide equivalent 
assurance that a vehicle operator would be promptly notified and that 
corrective action would be taken.
    (C) The monitoring method for the SCR and lean NOX 
catalyst(s) must be capable of detecting all instances, except 
diagnostic self-clearing, when a catalyst DTC(s) has been erased but the 
catalyst has not been replaced (e.g., catalyst over-temperature 
histogram approaches are not acceptable).
    (7) NOX adsorber system monitoring--(i) General. The OBD 
system must monitor the NOX adsorber on engines so-equipped 
for proper performance. For engines equipped with active/intrusive 
injection (e.g., in-exhaust fuel and/or air injection) to achieve 
desorption of the NOX adsorber, the OBD system must monitor 
the active/intrusive injection system for proper performance. The 
individual electronic components (e.g., injectors, valves, sensors) that 
are used in the active/intrusive injection system must be monitored in 
accordance with the comprehensive component requirements in paragraph 
(i)(3) of this section.
    (ii) NOX adsorber system malfunction criteria--(A) 
NOX adsorber system capability. The OBD system must detect a 
NOX adsorber malfunction when its capability (i.e., its 
combined adsorption and conversion capability) decreases to the point 
that would cause an engine's NOX emissions to exceed the 
emissions thresholds for NOX aftertreatment systems as shown 
in Table 1 of this paragraph (g). If no failure or deterioration of the 
NOX adsorber capability could result in an engine's 
NOX emissions exceeding the applicable emissions thresholds, 
the OBD system must detect a malfunction when the system has no 
detectable amount of NOX adsorber capability.
    (B) NOX adsorber system active/intrusive reductant 
delivery performance. For NOX adsorber systems that use 
active/intrusive injection (e.g., in-cylinder post fuel injection, in-
exhaust air-assisted fuel injection) to achieve desorption of the 
NOX adsorber, the OBD system must detect a malfunction if any 
failure or deterioration of the injection system's ability to properly 
regulate injection causes the system to be unable to achieve desorption 
of the NOX adsorber.
    (C) NOX adsorber system feedback control. Malfunction 
criteria for the NOX adsorber and the NOX adsorber 
active/instrusive reductant delivery system are contained in paragraph 
(i)(6) of this section.
    (iii) NOX adsorber system monitoring conditions. (A) The 
manufacturer must define the monitoring conditions for

[[Page 501]]

malfunctions identified in paragraph (g)(7)(ii)(A) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required in paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(g)(7)(ii)(A) of this section must be tracked separately but reported as 
a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (B) The OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(7)(ii)(B) and (g)(7)(ii)(C) of this 
section.
    (iv) NOX adsorber system MIL activation and DTC storage. 
The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (8) Diesel particulate filter (DPF) system monitoring--(i) General. 
The OBD system must monitor the DPF on engines so-equipped for proper 
performance. For engines equipped with active regeneration systems that 
use an active/intrusive injection (e.g., in-exhaust fuel injection, in-
exhaust fuel/air burner), the OBD system must monitor the active/
intrusive injection system for proper performance. The individual 
electronic components (e.g., injectors, valves, sensors) that are used 
in the active/intrusive injection system must be monitored in accordance 
with the comprehensive component requirements in paragraph (i)(3) of 
this section.
    (ii) DPF system malfunction criteria--(A) DPF filtering performance. 
The OBD system must detect a malfunction prior to a decrease in the PM 
filtering capability of the DPF (e.g., cracking, melting, etc.) that 
would cause an engine's PM emissions to exceed the emissions thresholds 
for DPF systems as shown in Table 1 of this paragraph (g). If no failure 
or deterioration of the PM filtering performance could result in an 
engine's PM emissions exceeding the applicable emissions thresholds, the 
OBD system must detect a malfunction when no detectable amount of PM 
filtering occurs. As an alternative to a threshold monitor, the OBD 
system, on model year 2010 through 2012 engines only, can be designed to 
detect a malfunction based on a detectable decrease in the expected 
pressure drop across the DPF for a period of 5 seconds or more. The 
monitoring area for this alternative is determined using engine speed 
and load points defined in test cycles and procedures for the 
supplemental emissions test (SET) under Sec.  86.1360-2007. The 
monitoring area shall include all engine speed and load points greater 
than a region bounded by a line connecting mode numbers 2, 6, 3, and 13 
(i.e. A100, A75, B50, and C50). At engine speeds greater than ``speed 
C'', the monitor shall run whenever engine load is greater than 50%. For 
purposes of this paragraph, the detectable change in pressure drop is 
determined by operating the engine at the B50 engine speed and load 
point (as described in the SET test procedures), observing the pressure 
drop on a clean, nominal DPF, and multiplying the observed pressure drop 
by 0.5 or other factor supported by data and approved by the 
Administrator. The detectable change in pressure drop shall be reported 
in units of kilopascals (kPa). At time of certification, manufacturers 
shall provide the detectable change in pressure drop value along with 
OBD data stream parameters recorded with a clean DPF under the following 
nine engine speed/load operating points of the SET: A50, A75, A100, B50, 
B75, B100, C50, C75, and C100. The OBD data stream pararmeters to be 
reported are described in (k)(4)(ii) of this section and shall include 
the following: Engine speed; calculated load; air flow rate from mass 
air flow sensor (if so equipped); fuel rate; and DPF delta pressure.
    (B) DPF regeneration frequency. The OBD system must detect a 
malfunction when the DPF regeneration frequency increases from (i.e., 
occurs more often than) the manufacturer's specified regeneration 
frequency to a level such that it would cause an engine's NMHC emissions 
to exceed the emissions threshold for DPF systems as shown in Table 1 of 
this paragraph (g). If no such regeneration frequency exists that could 
cause NMHC emissions to exceed the applicable emission threshold, the 
OBD system must detect a malfunction when the DPF regeneration frequency 
exceeds the manufacturer's specified design limits for allowable 
regeneration frequency.

[[Page 502]]

    (C) DPF incomplete regeneration. The OBD system must detect a 
regeneration malfunction when the DPF does not properly regenerate under 
manufacturer-defined conditions where regeneration is designed to occur.
    (D) DPF missing substrate. The OBD system must detect a malfunction 
if either the DPF substrate is completely destroyed, removed, or 
missing, or if the DPF assembly has been replaced with a muffler or 
straight pipe.
    (E) DPF system active/intrusive injection. For DPF systems that use 
active/intrusive injection (e.g., in-cylinder post fuel injection, in-
exhaust air-assisted fuel injection) to achieve regeneration of the DPF, 
the OBD system must detect a malfunction if any failure or deterioration 
of the injection system's ability to properly regulate injection causes 
the system to be unable to achieve regeneration of the DPF.
    (F) DPF regeneration feedback control. See paragraph (i)(6) of this 
section.
    (iii) DPF monitoring conditions. The manufacturer must define the 
monitoring conditions for malfunctions identified in paragraph 
(g)(8)(ii) of this section in accordance with paragraphs (c) and (d) of 
this section, with the exception that monitoring must occur every time 
the monitoring conditions are met during the drive cycle rather than 
once per drive cycle as required in paragraph (c)(2) of this section. 
For OBD systems designed to the alternative malfunction criteria of 
paragraph (g)(8)(ii)(A) of this section, the alternative DPF monitor 
shall run continuously whenever engine speed and load conditions are 
within the monitoring area described in paragraph (g)(8)(ii)(A). The OBD 
system may make a malfunction or potential malfunction determination 
during any successful monitoring event but shall include in the enable 
criteria of any subsequent monitoring events a confirmed successful and 
complete DPF regeneration. The subsequent monitoring events must be 
conducted within an operating period that ensures that the detected 
malfunction has not ``healed'' due to trapped particulates in the 
compromised portion of the DPF substrate. For purposes of tracking and 
reporting as required in paragraph (d)(1) of this section, all monitors 
used to detect malfunctions identified in paragraph (g)(8)(ii) of this 
section must be tracked separately but reported as a single set of 
values as specified in paragraph (e)(1)(iii) of this section.
    (iv) DPF system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (9) Exhaust gas sensor and sensor heater monitoring--(i) General. 
The OBD system must monitor for proper output signal, activity, response 
rate, and any other parameter that can affect emissions, all exhaust gas 
sensors (e.g., oxygen, air-fuel ratio, NOX) used for emission 
control system feedback (e.g., EGR control/feedback, SCR control/
feedback, NOX adsorber control/feedback) and/or as a 
monitoring device. For engines equipped with heated exhaust gas sensors, 
the OBD system must monitor the heater for proper performance.
    (ii) Malfunction criteria for air-fuel ratio sensors located 
upstream of aftertreatment devices--(A)Sensor performance. The OBD 
system must detect a malfunction prior to any failure or deterioration 
of the sensor voltage, resistance, impedance, current, response rate, 
amplitude, offset, or other characteristic(s) that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 1 of this paragraph (g).
    (B) Circuit integrity. The OBD system must detect malfunctions of 
the sensor related to a lack of circuit continuity or signal out-of-
range values.
    (C) Feedback function. The OBD system must detect a malfunction of 
the sensor if the emission control system (e.g., EGR, SCR, or 
NOX adsorber) is unable to use that sensor as a feedback 
input (e.g., causes limp-home or open-loop operation).
    (D) Monitoring function. To the extent feasible, the OBD system must 
detect a malfunction of the sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no

[[Page 503]]

longer sufficient for use as an OBD system monitoring device (e.g., for 
catalyst, EGR, SCR, or NOX adsorber monitoring).
    (iii) Malfunction criteria for air-fuel ratio sensors located 
downstream of aftertreatment devices--(A) Sensor performance. The OBD 
system must detect a malfunction prior to any failure or deterioration 
of the sensor voltage, resistance, impedance, current, response rate, 
amplitude, offset, or other characteristic(s) that would cause an 
engine's emissions to exceed the emissions thresholds for air-fuel ratio 
sensors downstream of aftertreatment devices as shown in Table 1 of this 
paragraph (g).
    (B) Circuit integrity. The OBD system must detect malfunctions of 
the sensor related to a lack of circuit continuity or signal out-of-
range values.
    (C) Feedback function. The OBD system must detect a malfunction of 
the sensor if the emission control system (e.g., EGR, SCR, or 
NOX absorber) is unable to use that sensor as a feedback 
input (e.g., causes limp-home or open-loop operation).
    (D) Monitoring function. To the extent feasible, the OBD system must 
detect a malfunction of the sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst, EGR, SCR, or NOX 
absorber monitoring).
    (iv) Malfunction criteria for NOX sensors--(A) Sensor 
performance. The OBD system must detect a malfunction prior to any 
failure or deterioration of the sensor voltage, resistance, impedance, 
current, response rate, amplitude, offset, or other characteristic(s) 
that would cause an engine's emissions to exceed the emissions 
thresholds for NOX sensors as shown in Table 1 of this 
paragraph (g).
    (B) Circuit integrity. The OBD system must detect malfunctions of 
the sensor related to a lack of circuit continuity or signal out-of-
range values.
    (C) Feedback function. The OBD system must detect a malfunction of 
the sensor if the emission control system (e.g., EGR, SCR, or 
NOX adsorber) is unable to use that sensor as a feedback 
input (e.g., causes limp-home or open-loop operation).
    (D) Monitoring function. To the extent feasible, the OBD system must 
detect a malfunction of the sensor when the sensor output voltage, 
resistance, impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst, EGR, SCR, or NOX 
adsorber monitoring).
    (v) Malfunction criteria for other exhaust gas sensors. For other 
exhaust gas sensors, the manufacturer must submit a monitoring plan to 
the Administrator for approval. The plan must include data and/or 
engineering evaluations that demonstrate that the monitoring plan is as 
reliable and effective as the monitoring required in paragraphs 
(g)(9)(ii), (g)(9)(iii), (g)(9)(iv) of this section.
    (vi) Malfunction criteria for exhaust gas sensor heaters. (A) The 
OBD system must detect a malfunction of the heater performance when the 
current or voltage drop in the heater circuit is no longer within the 
manufacturer's specified limits for normal operation (i.e., within the 
criteria required to be met by the component vendor for heater circuit 
performance at high mileage). The manufacturer may use other malfunction 
criteria for heater performance malfunctions. To do so, the manufacturer 
must be able to demonstrate via data and/or an engineering evaluation 
that the monitor is reliable and robust.
    (B) The OBD system must detect malfunctions of the heater circuit 
including open or short circuits that conflict with the commanded state 
of the heater (e.g., shorted to 12 Volts when commanded to 0 Volts 
(ground)).
    (vii) Monitoring conditions for exhaust gas sensors. (A) The 
manufacturer must define the monitoring conditions for malfunctions 
identified in paragraphs (g)(9)(ii)(A), (g)(9)(iii)(A), and 
(g)(9)(iv)(A) of this section (i.e., sensor performance) in accordance 
with paragraphs (c) and (d) of this section. For purposes of tracking 
and reporting as required in paragraph (d)(1) of this section, all 
monitors used to detect malfunctions identified in paragraphs 
(g)(9)(ii)(A), (g)(9)(iii)(A), and

[[Page 504]]

(g)(9)(iv)(A) of this section must be tracked separately but reported as 
a single set of values as specified in paragraph (e)(1)(iii) of this 
section.
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraphs (g)(9)(ii)(D), (g)(9)(iii)(D), and 
(g)(9)(iv)(D) of this section (i.e., monitoring function) in accordance 
with paragraphs (c) and (d) of this section with the exception that 
monitoring must occur every time the monitoring conditions are met 
during the drive cycle rather than once per drive cycle as required in 
paragraph (c)(2) of this section.
    (C) Except as provided for in paragraph (g)(9)(vii)(D) of this 
section, the OBD system must monitor continuously for malfunctions 
identified in paragraphs (g)(9)(ii)(B), (g)(9)(ii)(C), (g)(9)(iii)(B), 
(g)(9)(iii)(C), (g)(9)(iv)(B), (g)(9)(iv)(C) of this section (i.e., 
circuit integrity and feedback function).
    (D) A manufacturer may request approval to disable continuous 
exhaust gas sensor monitoring when an exhaust gas sensor malfunction 
cannot be distinguished from other effects (e.g., disable monitoring for 
out-of-range on the low side during fuel cut conditions). To do so, the 
manufacturer must demonstrate via data and/or engineering analyses that 
a properly functioning sensor cannot be distinguished from a 
malfunctioning sensor and that the disablement interval is limited only 
to that necessary for avoiding falsemalfunction detection.
    (viii) Monitoring conditions for exhaust gas sensor heaters--(A) The 
manufacturer must define monitoring conditions for malfunctions 
identified in paragraph (g)(9)(vi)(A) of this section (i.e., sensor 
heater performance) in accordance with paragraphs (c) and (d) of this 
section.
    (B) The OBD system must monitor continuously for malfunctions 
identified in paragraph (g)(9)(vi)(B) of this section (i.e., circuit 
malfunctions).
    (ix) Exhaust gas sensor and sensor heater MIL activation and DTC 
storage. The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section.
    (10) Variable Valve Timing (VVT) system monitoring--(i) General. The 
OBD system must monitor the VVT system on engines so equipped for target 
error and slow response malfunctions. The individual electronic 
components (e.g., actuators, valves, sensors) that are used in the VVT 
system must be monitored in accordance with the comprehensive components 
requirements in paragraph (i)(3) of this section.
    (ii) VVT system malfunction criteria--(A) VVT system target error. 
The OBD system must detect a malfunction prior to any failure or 
deterioration in the capability of the VVT system to achieve the 
commanded valve timing and/or control within a crank angle and/or lift 
tolerance that would cause an engine's emissions to exceed the emission 
thresholds for ``other monitors'' as shown in Table 1 of this paragraph 
(g).
    (B) VVT slow response. The OBD system must detect a malfunction 
prior to any failure or deterioration in the capability of the VVT 
system to achieve the commanded valve timing and/or control within a 
manufacturer-specified time that would cause an engine's emissions to 
exceed the emission thresholds for ``other monitors'' as shown in Table 
1 of this paragraph (g).
    (C) For engines in which no failure or deterioration of the VVT 
system could result in an engine's emissions exceeding the applicable 
emissions thresholds of paragraphs (g)(10)(ii)(A) and (g)(10)(ii)(B) of 
this section, the OBD system must detect a malfunction of the VVT system 
when proper functional response of the system to computer commands does 
not occur.
    (iii) VVT system monitoring conditions. Manufacturers must define 
the monitoring conditions for VVT system malfunctions identified in 
paragraph (g)(10)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section, with the exception that monitoring must occur 
every time the monitoring conditions are met during the drive cycle 
rather than once per drive cycle as required in paragraph (c)(2) of this 
section. For purposes of tracking and reporting as required in paragraph 
(d)(1) of this section, all monitors used to detect malfunctions 
identified in paragraph (g)(10)(ii) of this section

[[Page 505]]

must be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (iv) VVT MIL activation and DTC storage. The MIL must activate and 
DTCs must be stored according to the provisions of paragraph (b) of this 
section.
    (h) OBD monitoring requirements for gasoline-fueled/spark-ignition 
engines. The following table shows the thresholds at which point certain 
components or systems, as specified in this paragraph (h), are 
considered malfunctioning.

Table 2--OBD Emissions Thresholds for Gasoline-Fueled/Spark-Ignition Engines Meant for Placement in Applications
                                   Greater Than 14,000 Pounds GVWR (g/bhp-hr)
----------------------------------------------------------------------------------------------------------------
                                                                                               Sec.   86.010-18
            Component                     NOX                NMHC                 CO               reference
----------------------------------------------------------------------------------------------------------------
Catalyst system.................  1.75x std.........  1.75x std.........  ..................  (h)(6)
Evaporative emissions control     ..................  0.150 inch leak...  ..................  (h)(7)
 system.
``Other monitors'' with           1.5x std..........  1.5x std..........  1.5x std..........  (h)(1), (h)(2),
 emissions thresholds.                                                                         (h)(3), (h)(4),
                                                                                               (h)(5), (h)(8),
                                                                                               (h)(9)
----------------------------------------------------------------------------------------------------------------
Notes: 1.75x std means a multiple of 1.75 times the applicable emissions standard; these emissions thresholds
  apply to the monitoring requirements of paragraph (h) of this section; The evaporative emissions control
  system threshold is not, technically, an emissions threshold but rather a leak size that must be detected;
  nonetheless, for ease we refer to this as the threshold.

    (1) Fuel system monitoring--(i) General. The OBD system must monitor 
the fuel delivery system to determine its ability to provide compliance 
with emission standards.
    (ii) Fuel system malfunction criteria. (A) The OBD system must 
detect a malfunction of the fuel delivery system (including feedback 
control based on a secondary oxygen sensor) when the fuel delivery 
system is unable to maintain an engine's emissions at or below the 
emissions thresholds for ``other monitors'' as shown in Table 2 of this 
paragraph (h).
    (B) Except as provided for in paragraph (h)(1)(ii)(C) of this 
section, if the engine is equipped with adaptive feedback control, the 
OBD system must detect a malfunction when the adaptive feedback control 
has used up all of the adjustment allowed by the manufacturer.
    (C) If the engine is equipped with feedback control that is based on 
a secondary oxygen (or equivalent) sensor, the OBD system is not 
required to detect a malfunction of the fuel system solely when the 
feedback control based on a secondary oxygen sensor has used up all of 
the adjustment allowed by the manufacturer. However, if a failure or 
deterioration results in engine emissions that exceed the emissions 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h), the OBD system is required to detect a malfunction.
    (D) The OBD system must detect a malfunction whenever the fuel 
control system fails to enter closed loop operation following engine 
start within a manufacturer specified time interval. The specified time 
interval must be supported by data and/or engineering analyses submitted 
by the manufacturer.
    (E) The manufacturer may adjust the malfunction criteria and/or 
monitoring conditions to compensate for changes in altitude, for 
temporary introduction of large amounts of purge vapor, or for other 
similar identifiable operating conditions when such conditions occur.
    (iii) Fuel system monitoring conditions. The fuel system must be 
monitored continuously for the presence of a malfunction.
    (iv) Fuel system MIL activation and DTC storage. (A) A pending DTC 
must be stored immediately upon the fuel system exceeding the 
malfunction criteria established in paragraph (h)(1)(ii) of this 
section.
    (B) Except as provided for in paragraph (h)(1)(iv)(C) of this 
section, if a pending DTC is stored, the OBD system must activate the 
MIL immediately and store a MIL-on DTC if a malfunction is again 
detected during either the drive cycle immediately following storage of 
the pending DTC regardless of

[[Page 506]]

the conditions encountered during that drive cycle, or on the next drive 
cycle in which similar conditions are encountered to those that occurred 
when the pending DTC was stored. Similar conditions means engine 
conditions having an engine speed within 375 rpm, load conditions within 
20 percent, and the same warm-up status (i.e., cold or hot) as the 
engine conditions stored pursuant to paragraph (h)(1)(iv)(E) of this 
section. Other definitions of similar conditions may be used but must 
result in comparable timeliness and reliability in detecting similar 
engine operation.
    (C) The pending DTC may be erased at the end of the next drive cycle 
in which similar conditions have been encountered without having again 
exceeded the specified fuel system malfunction criteria. The pending DTC 
may also be erased if similar conditions are not encountered during the 
80 drive cycles immediately following detection of the potential 
malfunction for which the pending DTC was stored.
    (D) Storage of freeze frame conditions. The OBD system must store 
and erase freeze frame conditions either in conjunction with storing and 
erasing a pending DTC or in conjunction with storing and erasing a MIL-
on DTC. Freeze frame information associated with a fuel system 
malfunction shall be stored in preference to freeze frame information 
required elsewhere in paragraphs (h) or (i) of this section.
    (E) Storage of fuel system conditions for determining similar 
conditions of operation. The OBD must store the engine speed, load, and 
warm-up status present at the time it first detects a potential 
malfunction meeting the criteria of paragraph (h)(1)(ii) of this section 
and stores a pending DTC.
    (F) Deactivating the MIL. The MIL may be extinguished after three 
sequential driving cycles in which similar conditions have been 
encountered without detecting a malfunction of the fuel system.
    (2) Engine misfire monitoring--(i) General. (A) The OBD system must 
monitor the engine for misfire causing catalyst damage and misfire 
causing excess emissions.
    (B) The OBD system must identify the specific cylinder that is 
misfiring. The manufacturer may store a general misfire DTC instead of a 
cylinder specific DTC under certain operating conditions. To do so, the 
manufacturer must submit data and/or engineering analyses that 
demonstrate that the misfiring cylinder cannot be identified reliably 
when the conditions occur.
    (C) If more than one cylinder is misfiring, a separate DTC must be 
stored to indicate that multiple cylinders are misfiring unless 
otherwise allowed by this paragraph (h)(2). When identifying multiple 
cylinder misfire, the OBD system is not required to also identify using 
separate DTCs each of the misfiring cylinders individually. If more than 
90 percent of the detected misfires occur in a single cylinder, an 
appropriate DTC may be stored that indicates the specific misfiring 
cylinder rather than storing the multiple cylinder misfire DTC. If two 
or more cylinders individually have more than 10 percent of the total 
number of detected misfires, a multiple cylinder DTC must be stored.
    (ii) Engine misfire malfunction criteria--(A) Misfire causing 
catalyst damage. The manufacturer must determine the percentage of 
misfire evaluated in 200 revolution increments for each engine speed and 
load condition that would result in a temperature that causes catalyst 
damage. If this percentage of misfire is exceeded, it shall be 
considered a malfunction that must be detected. For every engine speed 
and load condition for which this percentage of misfire is determined to 
be lower than five percent, the manufacturer may set the malfunction 
criteria at five percent. The manufacturer may use a longer interval 
than 200 revolutions but only for determining, on a given drive cycle, 
the first misfire exceedance as provided in paragraph (h)(2)(iv)(A) of 
this section. To do so, the manufacturer must demonstrate that the 
interval is not so long that catalyst damage would occur prior to the 
interval being elapsed.
    (B) Misfire causing emissions to exceed the applicable thresholds. 
The manufacturer must determine the percentage of misfire evaluated in 
1000 revolution increments that would cause emissions

[[Page 507]]

from an emissions durability demonstration engine to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 2 of this 
paragraph (h) if that percentage of misfire were present from the 
beginning of the test. If this percentage of misfire is exceeded, 
regardless of the pattern of misfire events (e.g., random, equally 
spaced, continuous), it shall be considered a malfunction that must be 
detected. To establish this percentage of misfire, the manufacturer must 
use misfire events occurring at equally spaced, complete engine cycle 
intervals, across randomly selected cylinders throughout each 1000-
revolution increment. If this percentage of misfire is determined to be 
lower than one percent, the manufacturer may set the malfunction 
criteria at one percent. The manufacturer may use a longer interval than 
1000 revolutions. To do so, the manufacturer must demonstrate that the 
strategy would be equally effective and timely at detecting misfire.
    (iii) Engine misfire monitoring conditions. (A) The OBD system must 
monitor continuously for misfire under the following conditions: from no 
later than the end of the second crankshaft revolution after engine 
start; during the rise time and settling time for engine speed to reach 
the desired idle engine speed at engine start-up (i.e., ``flare-up'' and 
``flare-down''); and, under all positive torque engine speeds and load 
conditions except within the engine operating region bound by the 
positive torque line (i.e., engine load with the transmission in 
neutral), and the points represented by an engine speed of 3000 rpm with 
the engine load at the positive torque line and the redline engine speed 
with the engine's manifold vacuum at four inches of mercury lower than 
that at the positive torque line. For this purpose, redline engine speed 
is defined as either the recommended maximum engine speed as displayed 
on the instrument panel tachometer, or the engine speed at which fuel 
shutoff occurs.
    (B) If an OBD monitor cannot detect all misfire patterns under all 
required engine speed and load conditions as required by paragraph 
(h)(2)(iii)(A) of this section, the OBD system may still be acceptable. 
The Administrator will evaluate the following factors in making a 
determination: The magnitude of the region(s) in which misfire detection 
is limited; the degree to which misfire detection is limited in the 
region(s) (i.e., the probability of detection of misfire events); the 
frequency with which said region(s) are expected to be encountered in-
use; the type of misfire patterns for which misfire detection is 
troublesome; and demonstration that the monitoring technology employed 
is not inherently incapable of detecting misfire under the required 
conditions (i.e., compliance can be achieved on other engines). The 
evaluation will be based on the following misfire patterns: equally 
spaced misfire occurring on randomly selected cylinders; single cylinder 
continuous misfire; and paired cylinder (cylinders firing at the same 
crank angle) continuous misfire.
    (C) The manufacturer may use monitoring system that has reduced 
misfire detection capability during the portion of the first 1000 
revolutions after engine start that a cold start emission reduction 
strategy is active that reduces engine torque (e.g., spark retard 
strategies). To do so, the manufacturer must demonstrate that the 
probability of detection is greater than or equal to 75 percent during 
the worst case condition (i.e., lowest generated torque) for a vehicle 
operated continuously at idle (park/neutral idle) on a cold start 
between 50 and 86 degrees Fahrenheit and that the technology cannot 
reliably detect a higher percentage of the misfire events during the 
conditions.
    (D) The manufacturer may disable misfire monitoring or use an 
alternative malfunction criterion when misfire cannot be distinguished 
from other effects. To do so, the manufacturer must demonstrate that the 
disablement interval or the period of use of an alternative malfunction 
criterion is limited only to that necessary for avoiding false detection 
and for one or more of the following operating conditions: Rough road; 
fuel cut; gear changes for manual transmission vehicles; traction 
control or other vehicle stability control activation such as anti-lock 
braking or other engine torque modifications to enhance vehicle 
stability; off-board control or intrusive activation of vehicle 
components

[[Page 508]]

or monitors during service or assembly plant testing; portions of 
intrusive evaporative system or EGR monitors that can significantly 
affect engine stability (i.e., while the purge valve is open during the 
vacuum pull-down of an evaporative system leak check but not while the 
purge valve is closed and the evaporative system is sealed or while an 
EGR monitor causes the EGR valve to be cycled intrusively on and off 
during positive torque conditions); or, engine speed, load, or torque 
transients due to throttle movements more rapid than those that occur 
over the FTP cycle for the worst case engine within each engine family. 
In general, the Administrator will not approve disablement for 
conditions involving normal air conditioning compressor cycling from on-
to-off or off-to-on, automatic transmission gear shifts (except for 
shifts occurring during wide open throttle operation), transitions from 
idle to off-idle, normal engine speed or load changes that occur during 
the engine speed rise time and settling time (i.e., ``flare-up'' and 
``flare-down'') immediately after engine starting without any vehicle 
operator-induced actions (e.g., throttle stabs), or excess acceleration 
(except for acceleration rates that exceed the maximum acceleration rate 
obtainable at wide open throttle while the vehicle is in gear due to 
abnormal conditions such as slipping of a clutch). The Administrator may 
approve misfire monitoring disablement or use of an alternate 
malfunction criterion for any other condition on a case by case basis 
upon determining that the manufacturer has demonstrated that the request 
is based on an unusual or unforeseen circumstance and that it is 
applying the best available computer and monitoring technology.
    (E) For engines with more than eight cylinders that cannot meet the 
requirements of paragraph (h)(2)(iii)(A) of this section, a manufacturer 
may use alternative misfire monitoring conditions. Such use must be 
based on data and/or an engineering evaluation submitted by the 
manufacturer that demonstrate that misfire detection throughout the 
required operating region cannot be achieved when employing proven 
monitoring technology (i.e., a technology that provides for compliance 
with these requirements on other engines) and provided misfire is 
detected to the fullest extent permitted by the technology. However, the 
misfire detection system must still monitor during all positive torque 
operating conditions encountered during an FTP cycle.
    (iv) MIL activation and DTC storage for engine misfire causing 
catalyst damage--(A) Pending DTCs. A pending DTC must be stored 
immediately if, during a single drive cycle, the specified misfire 
percentage described in paragraph (h)(2)(ii)(A) of this section is 
exceeded three times when operating in the positive torque region 
encountered during a FTP cycle or is exceeded on a single occasion when 
operating at any other engine speed and load condition in the positive 
torque region defined in paragraph (h)(2)(iii)(A) of this section. 
Immediately after a pending DTC is stored pursuant to this paragraph, 
the MIL must blink once per second at all times during the drive cycle 
that engine misfire is occurring. The MIL may be deactivated during 
those times that misfire is not occurring. If, at the time that a 
catalyst damaging misfire malfunction occurs, the MIL is already 
activated for a malfunction other than misfire, the MIL must still blink 
once per second at all times during the drive cycle that engine misfire 
is occurring. If misfire ceases, the MIL must stop blinking but remain 
activated as appropriate in accordance with the other malfunction.
    (B) MIL-on DTCs. If a pending DTC is stored in accordance with 
paragraph (h)(2)(iv)(A) of this section, the OBD system must immediately 
store a MIL-on DTC if the percentage of misfire described in paragraph 
(h)(2)(ii)(A) of this section is again exceeded one or more times during 
either the drive cycle immediately following storage of the pending DTC, 
regardless of the conditions encountered during that drive cycle, or on 
the next drive cycle in which similar conditions are encountered to 
those that occurred when the pending DTC was stored. If, during a 
previous drive cycle, a pending DTC is stored in accordance with 
paragraph (h)(2)(iv)(A) of this section, a MIL-on DTC must be stored 
immediately upon

[[Page 509]]

exceeding the percentage misfire described in paragraph (h)(2)(ii)(A) of 
this section regardless of the conditions encountered. Upon storage of a 
MIL-on DTC, the MIL must blink once per second at all times during the 
drive cycle that engine misfire is occurring. If misfire ceases, the MIL 
must stop blinking but remain activated until the conditions are met for 
extinguishing the MIL.
    (C) Erasure of pending DTCs. Pending DTCs stored in accordance with 
paragraph (h)(2)(iv)(A) of this section must be erased at the end of the 
next drive cycle in which similar conditions are encountered to those 
that occurred when the pending DTC was stored provided no exceedances 
have been detected of the misfire percentage described in paragraph 
(h)(2)(ii)(A) of this section. The pending DTC may also be erased if 
similar conditions are not encountered during the next 80 drive cycles 
immediately following storage of the pending DTC.
    (D) Exemptions for engines with fuel shutoff and default fuel 
control. In engines that provide for fuel shutoff and default fuel 
control to prevent over fueling during catalyst damaging misfire 
conditions, the MIL need not blink as required by paragraphs 
(h)(2)(iv)(A) and (h)(2)(iv)(B) of this section. Instead, the MIL may be 
activated continuously upon misfire detection provided that the fuel 
shutoff and default fuel control are activated immediately upon misfire 
detection. Fuel shutoff and default fuel control may be deactivated only 
when the engine is outside of the misfire range except that the 
manufacturer may periodically, but not more than once every 30 seconds, 
deactivate fuel shutoff and default fuel control to determine if the 
catalyst damaging misfire is still occurring. Normal fueling and fuel 
control may be resumed if the catalyst damaging misfire is no longer 
occurring.
    (E) The manufacturer may use a strategy that activates the MIL 
continuously rather than blinking the MIL during extreme catalyst damage 
misfire conditions (i.e., catalyst damage misfire occurring at all 
engine speeds and loads). Use of such a strategy must be limited to 
catalyst damage misfire levels that cannot be avoided during reasonable 
driving conditions. To use such a strategy, the manufacturer must be 
able to demonstrate that the strategy will encourage operation of the 
vehicle in conditions that will minimize catalyst damage (e.g., at low 
engine speeds and loads).
    (v) MIL activation and DTC storage for engine misfire causing 
emissions to exceed applicable emissions thresholds. (A) Immediately 
upon detection, during the first 1000 revolutions after engine start of 
the misfire percentage described in paragraph (h)(2)(ii)(B) of this 
section, a pending DTC must be stored. If such a pending DTC is stored 
already and another such exceedance of the misfire percentage is 
detected within the first 1000 revolutions after engine start on any 
subsequent drive cycle, the MIL must activate and a MIL-on DTC must be 
stored. The pending DTC may be erased if, at the end of the next drive 
cycle in which similar conditions are encountered to those that occurred 
when the pending DTC was stored, there has been no exceedance of the 
misfire percentage described in paragraph (h)(2)(ii)(B) of this section. 
The pending DTC may also be erased if similar conditions are not 
encountered during the next 80 drive cycles immediately following 
storage of the pending DTC.
    (B) No later than the fourth detection during a single drive cycle, 
following the first 1000 revolutions after engine start of the misfire 
percentage described in paragraph (h)(2)(ii)(B) of this section, a 
pending DTC must be stored. If such a pending DTC is stored already, 
then the MIL must activate and a MIL-on DTC must be stored within 10 
seconds of the fourth detection of the misfire percentage described in 
paragraph (h)(2)(ii)(B) of this section during either the drive cycle 
immediately following storage of the pending DTC, regardless of the 
conditions encountered during that drive cycle excepting those 
conditions within the first 1000 revolutions after engine start, or on 
the next drive cycle in which similar conditions are encountered to 
those that occurred when the pending DTC was stored excepting those 
conditions within the first 1000 revolutions after engine start. The 
pending DTC may be erased if, at the

[[Page 510]]

end of the next drive cycle in which similar conditions are encountered 
to those that occurred when the pending DTC was stored, there has been 
no exceedance of the misfire percentage described in paragraph 
(h)(2)(ii)(B) of this section. The pending DTC may also be erased if 
similar conditions are not encountered during the next 80 drive cycles 
immediately following storage of the pending DTC.
    (vi) Storage of freeze frame conditions for engine misfire. (A) The 
OBD system must store and erase freeze frame conditions (as defined in 
paragraph (k)(4)(iii) of this section) either in conjunction with 
storing and erasing a pending DTC or in conjunction with storing and 
erasing a MIL-on DTC.
    (B) If, upon storage of a DTC as required by paragraphs (h)(2)(iv) 
and (h)(2)(v) of this section, there already exist stored freeze frame 
conditions for a malfunction other than a misfire or fuel system 
malfunction (see paragraph (h)(1) of this section) then the stored 
freeze frame information shall be replaced with freeze frame information 
associated with the misfire malfunction.
    (vii) Storage of engine conditions in association with engine 
misfire. Upon detection of the misfire percentages described in 
paragraphs (h)(2)(ii)(A) and (h)(2)(ii)(B) of this section, the 
following engine conditions must be stored for use in determining 
similar conditions: Engine speed, load, and warm up status of the first 
misfire event that resulted in pending DTC storage.
    (viii) MIL deactivation in association with engine misfire. The MIL 
may be deactivated after three sequential drive cycles in which similar 
conditions have been encountered without an exceedance of the misfire 
percentages described in paragraphs (h)(2)(ii)(A) and (h)(2)(ii)(B) of 
this section.
    (3) Exhaust gas recirculation system monitoring--(i) General. The 
OBD system must monitor the EGR system on engines so equipped for low 
and high flow rate malfunctions. The individual electronic components 
(e.g., actuators, valves, sensors) that are used in the EGR system must 
be monitored in accordance with the comprehensive component requirements 
in paragraph (i)(3) of this section.
    (ii) EGR system malfunction criteria. (A) The OBD system must detect 
a malfunction of the EGR system prior to a decrease from the 
manufacturer's specified EGR flow rate that would cause an engine's 
emissions to exceed the emissions thresholds for ``other monitors'' as 
shown in Table 2 of this paragraph (h). For engines in which no failure 
or deterioration of the EGR system that causes a decrease in flow could 
result in an engine's emissions exceeding the applicable emissions 
thresholds, the OBD system must detect a malfunction when the system has 
no detectable amount of EGR flow.
    (B) The OBD system must detect a malfunction of the EGR system prior 
to an increase from the manufacturer's specified EGR flow rate that 
would cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 2 of this paragraph (h). For 
engines in which no failure or deterioration of the EGR system that 
causes an increase in flow could result in an engine's emissions 
exceeding the applicable emissions thresholds, the OBD system must 
detect a malfunction when the system has reached its control limits such 
that it cannot reduce EGR flow.
    (iii) EGR system monitoring conditions. (A) The manufacturer must 
define the monitoring conditions for malfunctions identified in 
paragraph (h)(3)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section. For purposes of tracking and reporting as 
required by paragraph (d)(1) of this section, all monitors used to 
detect malfunctions identified in paragraph (h)(3)(ii) of this section 
must be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (B) The manufacturer may disable temporarily the EGR monitor under 
conditions when monitoring may not be reliable (e.g., when freezing may 
affect performance of the system). To do so, the manufacturer must be 
able to demonstrate that the monitor is unreliable when such conditions 
exist.
    (iv) EGR system MIL activation and DTC storage. The MIL must 
activate and DTCs must be stored according to

[[Page 511]]

the provisions of paragraph (b) of this section.
    (4) Cold start emission reduction strategy monitoring--(i) General. 
If an engine incorporates a specific engine control strategy to reduce 
cold start emissions, the OBD system must monitor the key components 
(e.g., idle air control valve), other than secondary air, while the 
control strategy is active to ensure proper operation of the control 
strategy.
    (ii) Cold start strategy malfunction criteria. (A) The OBD system 
must detect a malfunction prior to any failure or deterioration of the 
individual components associated with the cold start emission reduction 
control strategy that would cause an engine's emissions to exceed the 
emissions thresholds for ``other monitors'' as shown in Table 2 of this 
paragraph (h). The manufacturer must establish the malfunction criteria 
based on data from one or more representative engine(s) and provide an 
engineering evaluation for establishing the malfunction criteria for the 
remainder of the manufacturer's product line.
    (B) Where no failure or deterioration of a component used for the 
cold start emission reduction strategy could result in an engine's 
emissions exceeding the applicable emissions thresholds, the individual 
component must be monitored for proper functional response while the 
control strategy is active in accordance with the malfunction criteria 
in paragraphs (i)(3)(ii) and (i)(3)(iii) of this section.
    (iii) Cold start strategy monitoring conditions. The manufacturer 
must define monitoring conditions for malfunctions identified in 
paragraph (h)(4)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section.
    (iv) Cold start strategy MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (5) Secondary air system monitoring--(i) General. The OBD system on 
engines equipped with any form of secondary air delivery system must 
monitor the proper functioning of the secondary air delivery system 
including all air switching valve(s). The individual electronic 
components (e.g., actuators, valves, sensors) that are used in the 
secondary air system must be monitored in accordance with the 
comprehensive component requirements in paragraph (i)(3) of this 
section. For purposes of this paragraph (h)(5), ``air flow'' is defined 
as the air flow delivered by the secondary air system to the exhaust 
system. For engines using secondary air systems with multiple air flow 
paths/distribution points, the air flow to each bank (i.e., a group of 
cylinders that share a common exhaust manifold, catalyst, and control 
sensor) must be monitored in accordance with the malfunction criteria in 
paragraph (h)(5)(ii) of this section. Also for purposes of this 
paragraph (h)(5), ``normal operation'' is defined as the condition when 
the secondary air system is activated during catalyst and/or engine 
warm-up following engine start. ``Normal operation'' does not include 
the condition when the secondary air system is turned on intrusively for 
the sole purpose of monitoring.
    (ii) Secondary air system malfunction criteria. (A) Except as 
provided in paragraph (h)(5)(ii)(C) of this section, the OBD system must 
detect a secondary air system malfunction prior to a decrease from the 
manufacturer's specified air flow during normal operation that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 2 of this paragraph (h).
    (B) Except as provided in paragraph (h)(5)(ii)(C) of this section, 
the OBD system must detect a secondary air system malfunction prior to 
an increase from the manufacturer's specified air flow during normal 
operation that would cause an engine's emissions to exceed the emissions 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h).
    (C) For engines in which no deterioration or failure of the 
secondary air system would result in an engine's emissions exceeding the 
applicable emissions thresholds, the OBD system must detect a 
malfunction when no detectable amount of air flow is delivered by the 
secondary air system during normal operation.

[[Page 512]]

    (iii) Secondary air system monitoring conditions. The manufacturer 
must define monitoring conditions for malfunctions identified in 
paragraph (h)(5)(ii) of this section in accordance with paragraphs (c) 
and (d) of this section. For purposes of tracking and reporting as 
required by paragraph (d)(1) of this section, all monitors used to 
detect malfunctions identified in paragraph (h)(5)(ii) of this section 
must be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (iv) Secondary air system MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (6) Catalyst system monitoring--(i) General. The OBD system must 
monitor the catalyst system for proper conversion capability.
    (ii) Catalyst system malfunction criteria. The OBD system must 
detect a catalyst system malfunction when the catalyst system's 
conversion capability decreases to the point that emissions exceed the 
emissions thresholds for the catalyst system as shown in Table 2 of this 
paragraph (h).
    (iii) Catalyst system monitoring conditions. The manufacturer must 
define monitoring conditions for malfunctions identified in paragraph 
(h)(6)(ii) of this section in accordance with paragraphs (c) and (d) of 
this section. For purposes of tracking and reporting as required by 
paragraph (d)(1) of this section, all monitors used to detect 
malfunctions identified in paragraph (h)(6)(ii) of this section must be 
tracked separately but reported as a single set of values as specified 
in paragraph (e)(1)(iii) of this section.
    (iv) Catalyst system MIL activation and DTC storage. (A) The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (B) The monitoring method for the catalyst system must be capable of 
detecting when a catalyst DTC has been erased (except OBD system self 
erasure), but the catalyst has not been replaced (e.g., catalyst 
overtemperature histogram approaches are not acceptable).
    (7) Evaporative system monitoring--(i) General. The OBD system must 
verify purge flow from the evaporative system and monitor the complete 
evaporative system, excluding the tubing and connections between the 
purge valve and the intake manifold, for vapor leaks to the atmosphere. 
Individual components of the evaporative system (e.g. valves, sensors) 
must be monitored in accordance with the comprehensive components 
requirements in paragraph (i)(3) of this section.
    (ii) Evaporative system malfunction criteria--(A) Purge monitor. The 
OBD system must detect an evaporative system malfunction when no purge 
flow from the evaporative system to the engine can be detected by the 
OBD system.
    (B) Leak monitor. The OBD system must detect an evaporative system 
malfunction when the complete evaporative system contains a leak or 
leaks that cumulatively are greater than or equal to a leak caused by a 
0.150 inch diameter hole.
    (C) The manufacturer may demonstrate that detection of a larger hole 
is more appropriate than that specified in paragraph (h)(7)(ii)(B) of 
this section. To do so, the manufacturer must demonstrate through data 
and/or engineering analyses that holes smaller than the proposed 
detection size would not result in evaporative or running loss emissions 
that exceed 1.5 times the applicable evaporative emissions standards. 
Upon such a demonstration, the proposed detection size could be 
substituted for the requirement of paragraph (h)(7)(ii)(B) of this 
section.
    (iii) Evaporative system monitoring conditions. (A) The manufacturer 
must define monitoring conditions for malfunctions identified in 
paragraph (h)(7)(ii)(A) of this section in accordance with paragraphs 
(c) and (d) of this section.
    (B) The manufacturer must define monitoring conditions for 
malfunctions identified in paragraph (h)(7)(ii)(B) of this section in 
accordance with paragraphs (c) and (d) of this section. For purposes of 
tracking and reporting as required by paragraph (d)(1) of this section, 
all monitors used to detect malfunctions identified in paragraph 
(h)(7)(ii)(B) of this section

[[Page 513]]

must be tracked separately but reported as a single set of values as 
specified in paragraph (e)(1)(iii) of this section.
    (C) The manufacturer may disable or abort an evaporative system 
monitor when the fuel tank level is over 85 percent of nominal tank 
capacity or during a refueling event.
    (D) The manufacturer may request Administrator approval to run the 
evaporative system monitor during only those drive cycles characterized 
as cold starts provided such a condition is needed to ensure reliable 
monitoring. In making the request, the manufacturer must demonstrate 
through data and/or engineering analyses that a reliable monitor can 
only be run on drive cycles that begin with a specific set of cold start 
criteria. A set of cold start criteria based solely on ambient 
temperature exceeding engine coolant temperature will not be acceptable.
    (E) The OBD system may disable temporarily the evaporative purge 
system to run an evaporative system leak monitor.
    (iv) Evaporative system MIL activation and DTC storage. (A) Except 
as provided for in paragraph (h)(7)(iv)(B) of this section, the MIL must 
activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (B) If the OBD system is capable of discerning that a system leak is 
being caused by a missing or improperly secured gas cap, the OBD system 
need not activate the MIL or store a DTC provided the vehicle is 
equipped with an alternative indicator for notifying the operator of the 
gas cap problem. The alternative indicator must be of sufficient 
illumination and location to be readily visible under all lighting 
conditions. If the vehicle is not equipped with such an alternative 
indicator, the MIL must activate and a DTC be stored as required in 
paragraph (h)(7)(iv)(A) of this section; however, these may be 
deactivated and erased, respectively, if the OBD system determines that 
the gas cap problem has been corrected and the MIL has not been 
activated for any other malfunction. The Administrator may approve other 
strategies that provide equivalent assurance that a vehicle operator 
will be notified promptly of a missing or improperly secured gas cap and 
that corrective action will be undertaken.
    (8) Exhaust gas sensor monitoring--(i) General. (A) The OBD system 
must monitor for malfunctions the output signal, response rate, and any 
other parameter that can affect emissions of all primary (i.e., fuel 
control) exhaust gas sensors (e.g., oxygen, wide-range air/fuel). Both 
the lean-to-rich and rich-to-lean response rates must be monitored.
    (B) The OBD system must also monitor all secondary exhaust gas 
sensors (those used for secondary fuel trim control or as a monitoring 
device) for proper output signal, activity, and response rate.
    (C) For engines equipped with heated exhaust gas sensor, the OBD 
system must monitor the heater for proper performance.
    (ii) Primary exhaust gas sensor malfunction criteria. (A) The OBD 
system must detect a malfunction prior to any failure or deterioration 
of the exhaust gas sensor output voltage, resistance, impedance, 
current, response rate, amplitude, offset, or other characteristic(s) 
(including drift or bias corrected for by secondary sensors) that would 
cause an engine's emissions to exceed the emissions thresholds for 
``other monitors'' as shown in Table 2 of this paragraph (h).
    (B) The OBD system must detect malfunctions of the exhaust gas 
sensor caused by either a lack of circuit continuity or out-of-range 
values.
    (C) The OBD system must detect a malfunction of the exhaust gas 
sensor when a sensor failure or deterioration causes the fuel system to 
stop using that sensor as a feedback input (e.g., causes default or 
open-loop operation).
    (D) The OBD system must detect a malfunction of the exhaust gas 
sensor when the sensor output voltage, resistance, impedance, current, 
amplitude, activity, or other characteristics are no longer sufficient 
for use as an OBD system monitoring device (e.g., for catalyst 
monitoring).
    (iii) Secondary exhaust gas sensor malfunction criteria. (A) The OBD 
system must detect a malfunction prior to any failure or deterioration 
of the exhaust

[[Page 514]]

gas sensor voltage, resistance, impedance, current, response rate, 
amplitude, offset, or other characteristic(s) that would cause an 
engine's emissions to exceed the emissions thresholds for ``other 
monitors'' as shown in Table 2 of this paragraph (h).
    (B) The OBD system must detect malfunctions of the exhaust gas 
sensor caused by a lack of circuit continuity.
    (C) To the extent feasible, the OBD system must detect a malfunction 
of the exhaust gas sensor when the sensor output voltage, resistance, 
impedance, current, amplitude, activity, offset, or other 
characteristics are no longer sufficient for use as an OBD system 
monitoring device (e.g., for catalyst monitoring).
    (D) The OBD system must detect malfunctions of the exhaust gas 
sensor caused by out-of-range values.
    (E) The OBD system must detect a malfunction of the exhaust gas 
sensor when a sensor failure or deterioration causes the fuel system 
(e.g., fuel control) to stop using that sensor as a feedback input 
(e.g., causes default or open-loop operation).
    (iv) Exhaust gas sensor heater malfunction criteria. (A) The OBD 
system must detect a malfunction of the heater performance when the 
current or voltage drop in the heater circuit is no longer within the 
manufacturer's specified limits for normal operation (i.e., within the 
criteria required to be met by the component vendor for heater circuit 
performance at high mileage). Other malfunction criteria for heater 
performance malfunctions may be used upon demonstrating via data or 
engineering analyses that the monitoring reliability and timeliness is 
equivalent to the stated criteria in this paragraph (h)(8)(iv)(A).
    (B) The OBD system must detect malfunctions of the heater circuit 
including open or short circuits that conflict with the commanded state 
of the heater (e.g., shorted to 12 Volts when commanded to 0 Volts 
(ground)).
    (v) Primary exhaust gas sensor monitoring conditions. (A) The 
manufacturer must define monitoring conditions for malfunctions 
identified in paragraphs (h)(8)(ii)(A) and (h)(8)(ii)(D) of this section 
in accordance with paragraphs (c) and (d) of this section. For purposes 
of tracking and reporting as required by paragraph (d)(1) of this 
section, all monitors used to detect malfunctions identified in 
paragraphs (h)(8)(ii)(A) and (h)(8)(ii)(D) of this section must be 
tracked separately but reported as a single set of values as specified 
in paragraph (e)(1)(iii) of this section.
    (B) Except as provided for in paragraph (h)(8)(v)(C) of this 
section, monitoring for malfunctions identified in paragraphs 
(h)(8)(ii)(B) and (h)(8)(ii)(C) of this section must be conducted 
continuously.
    (C) The manufacturer may disable continuous primary exhaust gas 
sensor monitoring when a primary exhaust gas sensor malfunction cannot 
be distinguished from other effects (e.g., disable out-of-range low 
monitoring during fuel cut conditions). To do so, the manufacturer must 
demonstrate via data or engineering analyses that a properly functioning 
sensor cannot be distinguished from a malfunctioning sensor and that the 
disablement interval is limited only to that necessary for avoiding 
false detection.
    (vi) Secondary exhaust gas sensor monitoring conditions. (A) The 
manufacturer must define monitoring conditions for malfunctions 
identified in paragraphs (h)(8)(iii)(A) through (h)(8)(iii)(C) of this 
section in accordance with paragraphs (c) and (d) of this section.
    (B) Except as provided for in paragraph (h)(8)(vi)(C) of this 
section, monitoring for malfunctions identified in paragraphs 
(h)(8)(iii)(D) and (h)(8)(iii)(E) of this section must be conducted 
continuously.
    (C) The manufacturer may disable continuous secondary exhaust gas 
sensor monitoring when a secondary exhaust gas sensor malfunction cannot 
be distinguished from other effects (e.g., disable out-of-range low 
monitoring during fuel cut conditions). To do so, the manufacturer must 
demonstrate via data or engineering analyses that a properly functioning 
sensor cannot be distinguished from a malfunctioning sensor and that the 
disablement interval is limited only to that necessary for avoiding 
false detection.
    (vii) Exhaust gas sensor heater monitoring conditions. (A) The 
manufacturer must define monitoring conditions for malfunctions 
identified in paragraph

[[Page 515]]

(h)(8)(iv)(A) of this section in accordance with paragraphs (c) and (d) 
of this section.
    (B) Monitoring for malfunctions identified in paragraph 
(h)(8)(iv)(B) of this section must be conducted continuously.
    (viii) Exhaust gas sensor MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (9) Variable valve timing (VVT) system monitoring--(i) General. The 
OBD system must monitor the VVT system on engines so equipped for target 
error and slow response malfunctions. The individual electronic 
components (e.g., actuators, valves, sensors) that are used in the VVT 
system must be monitored in accordance with the comprehensive components 
requirements in paragraph (i)(3).
    (ii) VVT system malfunction criteria--(A) VVT system target error. 
The OBD system must detect a malfunction prior to any failure or 
deterioration in the capability of the VVT system to achieve the 
commanded valve timing and/or control within a crank angle and/or lift 
tolerance that would cause an engine's emissions to exceed the emission 
thresholds for ``other monitors'' as shown in Table 2 of this paragraph 
(h).
    (B) VVT slow response. The OBD system must detect a malfunction 
prior to any failure or deterioration in the capability of the VVT 
system to achieve the commanded valve timing and/or control within a 
manufacturer-specified time that would cause an engine's emissions to 
exceed the emission thresholds for ``other monitors'' as shown in Table 
2 of this paragraph (h).
    (C) For engines in which no failure or deterioration of the VVT 
system could result in an engine's emissions exceeding the applicable 
emissions thresholds of paragraphs (h)(9)(ii)(A) and (h)(9)(ii)(B) of 
this section, the OBD system must detect a malfunction of the VVT system 
when proper functional response of the system to computer commands does 
not occur.
    (iii) VVT system monitoring conditions. Manufacturers must define 
the monitoring conditions for VVT system malfunctions identified in 
paragraph (h)(9)(ii) in accordance with paragraphs (c) and (d) of this 
section, with the exception that monitoring must occur every time the 
monitoring conditions are met during the drive cycle rather than once 
per drive cycle as required in paragraph (c)(2) of this section. For 
purposes of tracking and reporting as required in paragraph (d)(1) of 
this section, all monitors used to detect malfunctions identified in 
paragraph (h)(9)(ii) must be tracked separately but reported as a single 
set of values as specified in paragraph (e)(1)(iii) of this section.
    (iv) VVT MIL activation and DTC storage. The MIL must activate and 
DTCs must be stored according to the provisions of paragraph (b) of this 
section.
    (i) OBD monitoring requirements for all engines--(1) Engine cooling 
system monitoring--(i) General. (A) The OBD system must monitor the 
thermostat on engines so equipped for proper operation.
    (B) The OBD system must monitor the engine coolant temperature (ECT) 
sensor for electrical circuit continuity, out-of-range values, and 
rationality malfunctions.
    (C) For engines that use a system other than the cooling system and 
ECT sensor (e.g., oil temperature, cylinder head temperature) to 
determine engine operating temperature for emission control purposes 
(e.g., to modify spark or fuel injection timing or quantity), the 
manufacturer may forego cooling system monitoring and instead monitor 
the components or systems used in their approach. To do so, the 
manufacturer must to submit data and/or engineering analyses that 
demonstrate that their monitoring plan is as reliable and effective as 
the monitoring required in this paragraph (i)(1).
    (ii) Malfunction criteria for the thermostat. (A) The OBD system 
must detect a thermostat malfunction if, within the manufacturer 
specified time interval following engine start, any of the following 
conditions occur: The coolant temperature does not reach the highest 
temperature required by the OBD system to enable other diagnostics; and, 
the coolant temperature does not reach a warmed-up temperature within 20 
degrees Fahrenheit of the manufacturer's nominal thermostat regulating 
temperature. For the second of these two

[[Page 516]]

conditions, the manufacturer may use a lower temperature for this 
criterion if either the manufacturer can demonstrate that the fuel, 
spark timing, and/or other coolant temperature-based modification to the 
engine control strategies would not cause an emissions increase greater 
than or equal to 50 percent of any of the applicable emissions 
standards; or, ambient air temperature is between 20 degrees Fahrenheit 
and 50 degrees Fahrenheit in which case, upon Administrator approval, 
the minimum coolant temperature required to be reached may be decreased 
based on the ambient air temperature.
    (B) With Administrator approval, the manufacturer may use 
alternative malfunction criteria to those of paragraph (i)(1)(ii)(A) of 
this section and/or alternative monitoring conditions to those of 
paragraph (i)(1)(iv) of this section that are a function of temperature 
at engine start on engines that do not reach the temperatures specified 
in the malfunction criteria when the thermostat is functioning properly. 
To do so, the manufacturer is required to submit data and/or engineering 
analyses that demonstrate that a properly operating system does not 
reach the specified temperatures and that the possibility is minimized 
for cooling system malfunctions to go undetected thus disabling other 
OBD monitors.
    (C) The manufacturer may request Administrator approval to forego 
monitoring of the thermostat if the manufacturer can demonstrate that a 
malfunctioning thermostat cannot cause a measurable increase in 
emissions during any reasonable driving condition nor cause any 
disablement of other OBD monitors.
    (iii) Malfunction criteria for the ECT sensor--(A) Circuit 
integrity. The OBD system must detect malfunctions of the ECT sensor 
related to a lack of circuit continuity or out-of-range values.
    (B) Time to reach closed-loop/feedback enable temperature. The OBD 
system must detect if, within the manufacturer specified time interval 
following engine start, the ECT sensor does not achieve the highest 
stabilized minimum temperature that is needed to initiate closed-loop/
feedback control of all affected emission control systems (e.g., fuel 
system, EGR system). The manufacturer specified time interval must be a 
function of the engine coolant temperature and/or intake air temperature 
at startup. The manufacturer time interval must be supported by data 
and/or engineering analyses demonstrating that it provides robust 
monitoring and minimizes the likelihood of other OBD monitors being 
disabled. The manufacturer may forego the requirements of this paragraph 
(i)(1)(iii)(B) provided the manufacturer does not use engine coolant 
temperature or the ECT sensor to enable closed-loop/feedback control of 
any emission control systems.
    (C) Stuck in range below the highest minimum enable temperature. To 
the extent feasible when using all available information, the OBD system 
must detect a malfunction if the ECT sensor inappropriately indicates a 
temperature below the highest minimum enable temperature required by the 
OBD system to enable other monitors (e.g., an OBD system that requires 
ECT to be greater than 140 degrees Fahrenheit to enable a diagnostic 
must detect malfunctions that cause the ECT sensor to inappropriately 
indicate a temperature below 140 degrees Fahrenheit). The manufacturer 
may forego this requirement for temperature regions in which the 
monitors required under paragraphs (i)(1)(ii) or (i)(1)(iii)(B) of this 
section will detect ECT sensor malfunctions as defined in this paragraph 
(i)(1)(iii)(C).
    (D) Stuck in range above the lowest maximum enable temperature. The 
OBD system must detect a malfunction if the ECT sensor inappropriately 
indicates a temperature above the lowest maximum enable temperature 
required by the OBD system to enable other monitors (e.g., an OBD system 
that requires an engine coolant temperature less than 90 degrees 
Fahrenheit at startup prior to enabling an OBD monitor must detect 
malfunctions that cause the ECT sensor to indicate inappropriately a 
temperature above 90 degrees Fahrenheit). The manufacturer may forego 
this requirement within temperature regions in which the monitors 
required under paragraphs (i)(1)(ii), (i)(1)(iii)(B), (i)(1)(iii)(C) of 
this section will detect ECT sensor

[[Page 517]]

malfunctions as defined in this paragraph (i)(1)(iii)(D) or in which the 
MIL will be activated according to the provisions of paragraph (b)(2)(v) 
of this section. The manufacturer may also forego this monitoring within 
temperature regions where a temperature gauge on the instrument panel 
indicates a temperature in the ``red zone'' (engine overheating zone) 
and displays the same temperature information as used by the OBD system.
    (iv) Monitoring conditions for the thermostat. (A) The manufacturer 
must define the monitoring conditions for malfunctions identified in 
paragraph (i)(1)(ii)(A) of this section in accordance with paragraph (c) 
of this section. Additionally, except as provided for in paragraphs 
(i)(1)(iv)(B) and (i)(1)(iv)(C) of this section, monitoring for 
malfunctions identified in paragraph (i)(1)(ii)(A) of this section must 
be conducted once per drive cycle on every drive cycle in which the ECT 
sensor indicates, at engine start, a temperature lower than the 
temperature established as the malfunction criteria in paragraph 
(i)(1)(ii)(A) of this section.
    (B) The manufacturer may disable thermostat monitoring at ambient 
engine start temperatures below 20 degrees Fahrenheit.
    (C) The manufacturers may request Administrator approval to suspend 
or disable thermostat monitoring if the engine is subjected to 
conditions that could lead to false diagnosis. To do so, the 
manufacturer must submit data and/or engineering analyses that 
demonstrate that the suspension or disablement is necessary. In general, 
the manufacturer will not be allowed to suspend or disable the 
thermostat monitor on engine starts where the engine coolant temperature 
at engine start is more than 35 degrees Fahrenheit lower than the 
thermostat malfunction threshold temperature determined under paragraph 
(i)(1)(ii)(A) of this section.
    (v) Monitoring conditions for the ECT sensor. (A) Except as provided 
for in paragraph (i)(1)(v)(D) of this section, the OBD system must 
monitor continuously for malfunctions identified in paragraph monitoring 
for malfunctions identified in paragraph (i)(1)(iii)(A) of this section 
(i.e., circuit integrity and out-of-range).
    (B) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraph (i)(1)(iii)(B) of this section in 
accordance with paragraph (c) of this section. Additionally, except as 
provided for in paragraph (i)(1)(v)(D) of this section, monitoring for 
malfunctions identified in paragraph (i)(1)(iii)(B) of this section must 
be conducted once per drive cycle on every drive cycle in which the ECT 
sensor indicates a temperature lower than the closed-loop enable 
temperature at engine start (i.e., all engine start temperatures greater 
than the ECT sensor out-of-range low temperature and less than the 
closed-loop enable temperature).
    (C) The manufacturer must define the monitoring conditions for 
malfunctions identified in paragraphs (i)(1)(iii)(C) and (i)(1)(iii)(D) 
of this section in accordance with paragraphs (c) and (d) of this 
section.
    (D) The manufacturer may suspend or delay the monitor for the time 
to reach closed-loop enable temperature if the engine is subjected to 
conditions that could lead to false diagnosis (e.g., vehicle operation 
at idle for more than 50 to 75 percent of the warm-up time).
    (E) The manufacturer may request Administrator approval to disable 
continuous ECT sensor monitoring when an ECT sensor malfunction cannot 
be distinguished from other effects. To do so, the manufacturer must 
submit data and/or engineering analyses that demonstrate a properly 
functioning sensor cannot be distinguished from a malfunctioning sensor 
and that the disablement interval is limited only to that necessary for 
avoiding false detection.
    (vi) Engine cooling system MIL activation and DTC storage. The MIL 
must activate and DTCs must be stored according to the provisions of 
paragraph (b) of this section.
    (2) Crankcase ventilation (CV) system monitoring--(i) General. The 
OBD system must monitor the CV system on engines so equipped for system 
integrity. Engines not required to be equipped with CV systems are 
exempt from monitoring the CV system. For diesel engines, the 
manufacturer must

[[Page 518]]

submit a plan for Administrator approval prior to OBD certification. 
That plan must include descriptions of the monitoring strategy, 
malfunction criteria, and monitoring conditions for CV system 
monitoring. The plan must demonstrate that the CV system monitor is of 
equivalent effectiveness, to the extent feasible, to the malfunction 
criteria and the monitoring conditions of this paragraph (i)(2).
    (ii) Crankcase ventilation system malfunction criteria. (A) For the 
purposes of this paragraph (i)(2), ``CV system'' is defined as any form 
of crankcase ventilation system, regardless of whether it utilizes 
positive pressure. ``CV valve'' is defined as any form of valve or 
orifice used to restrict or control crankcase vapor flow. Further, any 
additional external CV system tubing or hoses used to equalize crankcase 
pressure or to provide a ventilation path between various areas of the 
engine (e.g., crankcase and valve cover) are considered part of the CV 
system ``between the crankcase and the CV valve'' and subject to the 
malfunction criteria in paragraph (i)(2)(ii)(B) of this section.
    (B) Except as provided for in paragraphs (i)(2)(ii)(C) through 
(i)(2)(ii)(E) of this section, the OBD system must detect a malfunction 
of the CV system when a disconnection of the system occurs between 
either the crankcase and the CV valve, or between the CV valve and the 
intake manifold.
    (C) The manufacturer may forego monitoring for a disconnection 
between the crankcase and the CV valve provided the CV system is 
designed such that the CV valve is fastened directly to the crankcase 
such that it is significantly more difficult to remove the CV valve from 
the crankcase than to disconnect the line between the CV valve and the 
intake manifold (taking aging effects into consideration). To do so, the 
manufacturer must be able to provide data and/or an engineering 
evaluation demonstrating that the CV system is so designed.
    (D) The manufacturer may forego monitoring for a disconnection 
between the crankcase and the CV valve provided the CV system is 
designed such that it uses tubing connections between the CV valve and 
the crankcase that are: resistant to deterioration or accidental 
disconnection; significantly more difficult to disconnect than is the 
line between the CV valve and the intake manifold; and, not subject to 
disconnection per the manufacturer's repair procedures for any non-CV 
system repair. To do so, the manufacturer must be able to provide data 
and/or engineering evaluation demonstrating that the CV system is so 
designed.
    (E) The manufacturer may forego monitoring for a disconnection 
between the CV valve and the intake manifold provided the CV system is 
designed such that any disconnection either causes the engine to stall 
immediately during idle operation, or is unlikely to occur due to a CV 
system design that is integral to the induction system (e.g., machined 
passages rather than tubing or hoses). To do so, the manufacturer must 
be able to provide data and/or an engineering evaluation demonstrating 
that the CV system is so designed.
    (iii) Crankcase ventilation system monitoring conditions. The 
manufacturer must define the monitoring conditions for malfunctions 
identified in paragraph (i)(2) of this section in accordance with 
paragraphs (c) and (d) of this section.
    (iv) Crankcase ventilation system MIL activation and DTC storage. 
The MIL must activate and DTCs must be stored according to the 
provisions of paragraph (b) of this section. The stored DTC need not 
identify specifically the CV system (e.g., a DTC for idle speed control 
or fuel system monitoring can be stored) if the manufacturer can 
demonstrate that additional monitoring hardware is necessary to make 
such an identification and provided the manufacturer's diagnostic and 
repair procedures for the detected malfunction include directions to 
check the integrity of the CV system.
    (3) Comprehensive component monitoring--(i) General. Except as 
provided for in paragraph (i)(4) of this section, the OBD system must 
detect a malfunction of any electronic engine component or system not 
otherwise described in paragraphs (g), (h), (i)(1), and (i)(2) of this 
section that either provides input to (directly or indirectly, such 
components may include the

[[Page 519]]

crank angle sensor, knock sensor, throttle position sensor, cam position 
sensor, intake air temperature sensor, boost pressure sensor, manifold 
pressure sensor, mass air flow sensor, exhaust temperature sensor, 
exhaust pressure sensor, fuel pressure sensor, fuel composition sensor 
of a flexible fuel vehicle, etc.) or receives commands from (such 
components or systems may include the idle speed control system, glow 
plug system, variable length intake manifold runner systems, 
supercharger or turbocharger electronic components, heated fuel 
preparation systems, the wait-to-start lamp on diesel applications, the 
MIL, etc.) the onboard computer(s) and meets either of the criteria 
described in paragraphs (i)(3)(i)(A) and/or (i)(3)(i)(B) of this 
section. Note that, for the purposes of this paragraph (i)(3), 
``electronic engine component or system'' does not include components 
that are driven by the engine and are not related to the control of the 
fueling, air handling, or emissions of the engine (e.g., PTO components, 
air conditioning system components, and power steering components).
    (A) It can cause emissions to exceed applicable emission standards. 
To preclude monitoring, the manufacturer must be able to provide 
emission data showing that the component or system, when malfunctioning 
and installed on a suitable test engine, does not cause emissions to 
exceed the emission standards.
    (B) It is used as part of the monitoring strategy for any other 
monitored system or component.
    (ii) Comprehensive component malfunction criteria for input 
components. (A) The OBD system must detect malfunctions of input 
components caused by a lack of circuit continuity and out-of-range 
values. In addition, where feasible, rationality checks must also be 
done and shall verify that a sensor output is neither inappropriately 
high nor inappropriately low (i.e., ``two-sided'' monitoring).
    (B) To the extent feasible, the OBD system must separately detect 
and store different DTCs that distinguish rationality malfunctions from 
lack of circuit continuity and out-of-range malfunctions. For lack of 
circuit continuity and out-of-range malfunctions, the OBD system must, 
to the extent feasible, separately detect and store different DTCs for 
each distinct malfunction (e.g., out-of-range low, out-of-range high, 
open circuit). The OBD system is not required to store separate DTCs for 
lack of circuit continuity malfunctions that cannot be distinguished 
from other out-of-range circuit malfunctions.
    (C) For input components that are used to activate alternative 
strategies that can affect emissions (e.g., AECDs, engine shutdown 
systems), the OBD system must conduct rationality checks to detect 
malfunctions that cause the system to activate erroneously or deactivate 
the alternative strategy. To the extent feasible when using all 
available information, the rationality check must detect a malfunction 
if the input component inappropriately indicates a value that activates 
or deactivates the alternative strategy. For example, for an alternative 
strategy that activates when the intake air temperature is greater than 
120 degrees Fahrenheit, the OBD system must detect malfunctions that 
cause the intake air temperature sensor to indicate inappropriately a 
temperature above 120 degrees Fahrenheit.
    (D) For engines that require precise alignment between the camshaft 
and the crankshaft, the OBD system must monitor the crankshaft position 
sensor(s) and camshaft position sensor(s) to verify proper alignment 
between the camshaft and crankshaft in addition to monitoring the 
sensors for circuit continuity and proper rationality. Proper alignment 
monitoring between a camshaft and a crankshaft is required only in cases 
where both are equipped with position sensors. For engines equipped with 
VVT systems and a timing belt or chain, the OBD system must detect a 
malfunction if the alignment between the camshaft and crankshaft is off 
by one or more cam/crank sprocket cogs (e.g., the timing belt/chain has 
slipped by one or more teeth/cogs). If a manufacturer demonstrates that 
a single tooth/cog misalignment cannot cause a measurable increase in 
emissions during any reasonable driving condition, the OBD system must 
detect a malfunction when the minimum number of

[[Page 520]]

teeth/cogs misalignment has occurred that does cause a measurable 
emission increase.
    (iii) Comprehensive component malfunction criteria for output 
components/systems. (A) The OBD system must detect a malfunction of an 
output component/system when proper functional response does not occur 
in response to computer commands. If such a functional check is not 
feasible, the OBD system must detect malfunctions of output components/
systems caused by a lack of circuit continuity or circuit malfunction 
(e.g., short to ground or high voltage). For output component lack of 
circuit continuity malfunctions and circuit malfunctions, the OBD system 
is not required to store different DTCs for each distinct malfunction 
(e.g., open circuit, shorted low). Manufacturers are not required to 
activate an output component/system when it would not normally be active 
for the sole purpose of performing a functional check of it as required 
in this paragraph (i)(3).
    (B) For gasoline engines, the idle control system must be monitored 
for proper functional response to computer commands. For gasoline 
engines using monitoring strategies based on deviation from target idle 
speed, a malfunction must be detected when either of the following 
conditions occurs: The idle speed control system cannot achieve the 
target idle speed within 200 revolutions per minute (rpm) above the 
target speed or 100 rpm below the target speed; or, the idle speed 
control system cannot achieve the target idle speed within the smallest 
engine speed tolerance range required by the OBD system to enable any 
other monitors. Regarding the former of these conditions, the 
manufacturer may use larger engine speed tolerances. To do so, the 
manufacturer must be able to provide data and/or engineering analyses 
that demonstrate that the tolerances can be exceeded without a 
malfunction being present.
    (C) For diesel engines, the idle control system must be monitored 
for proper functional response to computer commands. For diesel engines, 
a malfunction must be detected when either of the following conditions 
occurs: the idle fuel control system cannot achieve the target idle 
speed or fuel injection quantity within 50 percent 
of the manufacturer-specified fuel quantity and engine speed tolerances; 
or, the idle fuel control system cannot achieve the target idle speed or 
fueling quantity within the smallest engine speed or fueling quantity 
tolerance range required by the OBD system to enable any other monitors.
    (D) For model years 2010 through 2012, glow plugs must be monitored 
for circuit continuity malfunctions. For model years 2010 and later, 
intake air heater systems and, for model years 2013 and later, glow 
plugs must be monitored for proper functional response to computer 
commands and for circuit continuity malfunctions. The glow plug/intake 
air heater circuit(s) must be monitored for proper current and voltage 
drop. The manufacturer may use other monitoring strategies but must be 
able to provide data and/or engineering analyses that demonstrate 
reliable and timely detection of malfunctions. The OBD system must also 
detect a malfunction when a single glow plug no longer operates within 
the manufacturer's specified limits for normal operation. If a 
manufacturer can demonstrate that a single glow plug malfunction cannot 
cause a measurable increase in emissions during any reasonable driving 
condition, the OBD system must instead detect a malfunction when the 
number of glow plugs needed to cause an emission increase is 
malfunctioning. To the extent feasible, the stored DTC must identify the 
specific malfunctioning glow plug(s).
    (E) The wait-to-start lamp circuit and the MIL circuit must be 
monitored for malfunctions that cause either lamp to fail to activate 
when commanded to do so (e.g., burned out bulb). This monitoring of the 
wait-to-start lamp circuit and the MIL circuit is not required for wait-
to-start lamps and MILs using light-emitting diodes (LEDs).
    (iv) Monitoring conditions for input components. (A) The OBD system 
must monitor input components continuously for out-of-range values and 
circuit continuity. The manufacturer may disable continuous monitoring 
for circuit continuity and out-of-range values

[[Page 521]]

when a malfunction cannot be distinguished from other effects. To do so, 
the manufacturer must be able to provide data and/or engineering 
analyses that demonstrate that a properly functioning input component 
cannot be distinguished from a malfunctioning input component and that 
the disablement interval is limited only to that necessary for avoiding 
false malfunction detection.
    (B) For input component rationality checks (where applicable), the 
manufacturer must define the monitoring conditions for detecting 
malfunctions in accordance with paragraphs (c) and (d) of this section, 
with the exception that rationality checks must occur every time the 
monitoring conditions are met during the drive cycle rather than once 
per drive cycle as required in paragraph (c)(2) of this section.
    (v) Monitoring conditions for output components/systems. (A) The OBD 
system must monitor output components/systems continuously for circuit 
continuity and circuit malfunctions. The manufacturer may disable 
continuous monitoring for circuit continuity and circuit malfunctions 
when a malfunction cannot be distinguished from other effects. To do so, 
the manufacturer must be able to provide data and/or engineering 
analyses that demonstrate that a properly functioning output component/
system cannot be distinguished from a malfunctioning one and that the 
disablement interval is limited only to that necessary for avoiding 
false malfunction detection.
    (B) For output component/system functional checks, the manufacturer 
must define the monitoring conditions for detecting malfunctions in 
accordance with paragraphs (c) and (d) of this section. Specifically for 
the idle control system, the manufacturer must define the monitoring 
conditions for detecting malfunctions in accordance with paragraphs (c) 
and (d) of this section, with the exception that functional checks must 
occur every time the monitoring conditions are met during the drive 
cycle rather than once per drive cycle as required in paragraph (c)(2) 
of this section.
    (vi) Comprehensive component MIL activation and DTC storage. (A) 
Except as provided for in paragraphs (i)(3)(vi)(B) and (i)(3)(vi)(C) of 
this section, the MIL must activate and DTCs must be stored according to 
the provisions of paragraph (b) of this section.
    (B) The MIL need not be activated in conjunction with storing a MIL-
on DTC for any comprehensive component if: the component or system, when 
malfunctioning, could not cause engine emissions to increase by 15 
percent or more of the applicable FTP standard during any reasonable 
driving condition; or, the component or system is not used as part of 
the monitoring strategy for any other system or component that is 
required to be monitored.
    (C) The MIL need not be activated if a malfunction has been detected 
in the MIL circuit that prevents the MIL from activating (e.g., burned 
out bulb or light-emitting diode, LED). Nonetheless, the electronic MIL 
status (see paragraph (k)(4)(ii) of this section) must be reported as 
MIL commanded-on and a MIL-on DTC must be stored.
    (4) Other emission control system monitoring--(i) General. For other 
emission control systems that are either not addressed in paragraphs (g) 
through (i)(3) of this section (e.g., hydrocarbon traps, homogeneous 
charge compression ignition control systems), or addressed in paragraph 
(i)(3) of this section but not corrected or compensated for by an 
adaptive control system (e.g., swirl control valves), the manufacturer 
must submit a plan for Administrator approval of the monitoring 
strategy, malfunction criteria, and monitoring conditions prior to 
introduction on a production engine. The plan must demonstrate the 
effectiveness of the monitoring strategy, the malfunction criteria used, 
the monitoring conditions required by the monitor, and, if applicable, 
the determination that the requirements of paragraph (i)(4)(ii) of this 
section are satisfied.
    (ii) For engines that use emission control systems that alter intake 
air flow or cylinder charge characteristics by actuating valve(s), 
flap(s), etc., in the intake air delivery system (e.g., swirl control 
valve systems), the manufacturer, in addition to meeting the 
requirements of paragraph (i)(4)(i) of this section, may elect to have 
the OBD system monitor the shaft to which all

[[Page 522]]

valves in one intake bank are physically attached rather than performing 
a functional check of the intake air flow, cylinder charge, or 
individual valve(s)/flap(s). For non-metal shafts or segmented shafts, 
the monitor must verify all shaft segments for proper functional 
response (e.g., by verifying that the segment or portion of the shaft 
farthest from the actuator functions properly). For systems that have 
more than one shaft to operate valves in multiple intake banks, the 
manufacturer is not required to add more than one set of detection 
hardware (e.g., sensor, switch) per intake bank to meet this 
requirement.
    (5) Exceptions to OBD monitoring requirements. (i) The Administrator 
may revise the PM filtering performance malfunction criteria for DPFs to 
exclude detection of specific failure modes such as partially melted 
substrates, if the most reliable monitoring method developed requires 
it.
    (ii) The manufacturer may disable an OBD system monitor at ambient 
engine start temperatures below 20 degrees Fahrenheit (low ambient 
temperature conditions may be determined based on intake air or engine 
coolant temperature at engine start) or at elevations higher than 8,000 
feet above sea level. To do so, the manufacturer must submit data and/or 
engineering analyses that demonstrate that monitoring is unreliable 
during the disable conditions. A manufacturer may request that an OBD 
system monitor be disabled at other ambient engine start temperatures by 
submitting data and/or engineering analyses demonstrating that 
misdiagnosis would occur at the given ambient temperatures due to their 
effect on the component itself (e.g., component freezing).
    (iii) The manufacturer may disable an OBD system monitor when the 
fuel level is 15 percent or less of the nominal fuel tank capacity for 
those monitors that can be affected by low fuel level or running out of 
fuel (e.g., misfire detection). To do so, the manufacturer must submit 
data and/or engineering analyses that demonstrate that monitoring at the 
given fuel levels is unreliable, and that the OBD system is still able 
to detect a malfunction if the component(s) used to determine fuel level 
indicates erroneously a fuel level that causes the disablement.
    (iv) The manufacturer may disable OBD monitors that can be affected 
by engine battery or system voltage levels.
    (A) For an OBD monitor affected by low vehicle battery or system 
voltages, manufacturers may disable monitoring when the battery or 
system voltage is below 11.0 Volts. The manufacturer may use a voltage 
threshold higher than 11.0 Volts to disable monitors but must submit 
data and/or engineering analyses that demonstrate that monitoring at 
those voltages is unreliable and that either operation of a vehicle 
below the disablement criteria for extended periods of time is unlikely 
or the OBD system monitors the battery or system voltage and will detect 
a malfunction at the voltage used to disable other monitors.
    (B) For an OBD monitor affected by high engine battery or system 
voltages, the manufacturer may disable monitoring when the battery or 
system voltage exceeds a manufacturer-defined voltage. To do so, the 
manufacturer must submit data and/or engineering analyses that 
demonstrate that monitoring above the manufacturer-defined voltage is 
unreliable and that either the electrical charging system/alternator 
warning light will be activated (or voltage gauge would be in the ``red 
zone'') or the OBD system monitors the battery or system voltage and 
will detect a malfunction at the voltage used to disable other monitors.
    (v) The manufacturer may also disable affected OBD monitors in 
systems designed to accommodate the installation of power take off (PTO) 
units provided monitors are disabled only while the PTO unit is active 
and the OBD readiness status (see paragraph (k)(4)(i) of this section) 
is cleared by the onboard computer (i.e., all monitors set to indicate 
``not complete'' or ``not ready'') while the PTO unit is activated. If 
monitors are so disabled and when the disablement ends, the readiness 
status may be restored to its state prior to PTO activation.
    (6) Feedback control system monitoring. If the engine is equipped 
with feedback control of any of the systems covered

[[Page 523]]

in paragraphs (g), (h) and (i) of this section, then the OBD system must 
detect as malfunctions the conditions specified in this paragraph (i)(6) 
for each of the individual feedback controls.
    (i) The OBD system must detect when the system fails to begin 
feedback control within a manufacturer specified time interval.
    (ii) When any malfunction or deterioration causes open loop or limp-
home operation.
    (iii) When feedback control has used up all of the adjustment 
allowed by the manufacturer.
    (iv) A manufacturer may temporarily disable monitoring for 
malfunctions specified in paragraph (i)(6)(iii) of this section during 
conditions that the specific monitor cannot distinguish robustly between 
a malfunctioning system and a properly operating system. To do so, the 
manufacturer is required to submit data and/or engineering analyses 
demonstrating that the individual feedback control system, when 
operating as designed on an engine with all emission controls working 
properly, routinely operates during these conditions while having used 
up all of the adjustment allowed by the manufacturer. In lieu of 
detecting, with a system specific monitor, the malfunctions specified in 
paragraphs (i)(6)(i) and (i)(6)(ii) of this section the OBD system may 
monitor the individual parameters or components that are used as inputs 
for individual feedback control systems provided that the monitors 
detect all malfunctions that meet the criteria of paragraphs (i)(6)(i) 
and (i)(6)(ii) of this section.
    (j) Production evaluation testing--(1) Verification of 
standardization requirements. (i) For model years 2013 and later, the 
manufacturer must perform testing to verify that production vehicles 
meet the requirements of paragraphs (k)(3) and (k)(4) of this section 
relevant to the proper communication of required emissions-related 
messages to a SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool.
    (ii) Selection of test vehicles. (A) The manufacturer must perform 
this testing every model year on ten unique production vehicles (i.e., 
engine rating and chassis application combination) per engine family. If 
there are less than ten unique production vehicles for a certain engine 
family, the manufacturer must test each unique production vehicle in 
that engine family. The manufacturer must perform this testing within 
either three months of the start of engine production or one month of 
the start of vehicle production, whichever is later. The manufacturer 
may request approval to group multiple production vehicles together and 
test one representative vehicle per group. To do so, the software and 
hardware designed to comply with the standardization requirements of 
paragraph (k)(1) of this section (e.g., communication protocol message 
timing, number of supported data stream parameters, engine and vehicle 
communication network architecture) in the representative vehicle must 
be identical to all others in the group and any differences in the 
production vehicles cannot be relevant with respect to meeting the 
criteria of paragraph (j)(1)(iv) of this section.
    (B) For 2016 and subsequent model years, the required number of 
vehicles to be tested shall be reduced to five per engine family 
provided zero vehicles fail the testing required by paragraph (j)(1) of 
this section for two consecutive years.
    (C) For 2019 and subsequent model years, the required number of 
vehicles to be tested shall be reduced to three per engine family 
provided zero vehicles fail the testing required by paragraph (j)(1) of 
this section for three consecutive years.
    (D) The requirement for submittal of data from one or more of the 
production vehicles shall be waived if data have been submitted 
previously for all of the production vehicles. The manufacturer may 
request approval to carry over data collected in previous model years. 
To do so, the software and hardware designed to comply with the 
standardization requirements of paragraph (k)(1) of this section must be 
identical to the previous model year and there must not have been other 
hardware or software changes that affect compliance with the 
standardization requirements.

[[Page 524]]

    (E) For hybrid engine families with projected U.S.-directed 
production volume of less than 5,000 engines, the manufacturers are only 
required to test one engine-hybrid combination per family.
    (iii) Test equipment. For the testing required by paragraph (j)(1) 
of this section, the manufacturer shall use an off-board device to 
conduct the testing. The manufacturer must be able to show that the off-
board device is able to verify that the vehicles tested using the device 
are able to perform all of the required functions in paragraph 
(j)(1)(iv) of this section with any other off-board device designed and 
built in accordance with the SAE J1978 or SAE J1939 (both as specified 
in paragraph (k)(1) of this section) generic scan tool specifications.
    (iv) Required testing. The testing must verify that communication 
can be established properly between all emission-related on-board 
computers and a SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool designed to adhere strictly to the 
communication protocols allowed in paragraph (k)(3) of this section. The 
testing must also verify that all emission-related information is 
communicated properly between all emission-related on-board computers 
and a SAE J1978 or SAE J1939 (both as specified in paragraph (k)(1) of 
this section) scan tool in accordance with the requirements of paragraph 
(k)(1) of this section and the applicable ISO and SAE specifications 
including specifications for physical layer, network layer, message 
structure, and message content. The testing must also verify that the 
onboard computer(s) can properly respond to a SAE J1978 or SAE J1939 
(both as specified in paragraph (k)(1) of this section) scan tool 
request to clear emissions-related DTCs and reset the ready status in 
accordance with paragraph (k)(4)(ix) of this section. The testing must 
further verify that the following information can be properly 
communicated to a SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool:
    (A) The current ready status from all onboard computers required to 
support ready status in accordance with SAE J1978 or SAE J1939-73 (both 
as specified in paragraph (k)(1) of this section) and paragraph 
(k)(4)(i) of this section in the key-on, engine-off position and while 
the engine is running.
    (B) The MIL command status while a deactivated MIL is commanded and 
while an activated MIL is commanded in accordance with SAE J1979 or SAE 
J1939 (both as specified in paragraph (k)(1) of this section) and 
paragraph (k)(4)(ii) of this section in the key-on, engine-off position 
and while the engine is running, and in accordance with SAE J1979 or SAE 
J1939 (both as specified in paragraph (k)(1) of this section) and 
paragraphs (b)(1)(ii) of this section during the MIL functional check, 
if applicable, and, if applicable, (k)(4)(i)(C) of this section during 
the MIL ready status check while the engine is off.
    (C) All data stream parameters required in paragraph (k)(4)(ii) of 
this section in accordance with SAE J1979 or SAE J1939 (both as 
specified in paragraph (k)(1) of this section) including, if applicable, 
the proper identification of each data stream parameter as supported in 
SAE J1979 (e.g., Mode/Service $01, PID $00).
    (D) The CAL ID, CVN, and VIN as required by paragraphs (k)(4)(vi), 
(k)(4)(vii), and (k)(4)(viii) of this section and in accordance with SAE 
J1979 or SAE J1939 (both as specified in paragraph (k)(1) of this 
section).
    (E) An emissions-related DTC (permanent, pending, MIL-on, previous-
MIL-on) in accordance with SAE J1979 or SAE J1939-73 (both as specified 
in paragraph (k)(1) of this section) including the correct indication of 
the number of stored DTCs (e.g., Mode/Service $01, PID $01, Data A for 
SAE J1979 (as specified in paragraph (k)(1) of this section)) and 
paragraph (k)(4)(iv) of this section.
    (v) Reporting of results. The manufacturer must submit to the 
Administrator the following, based on the results of the testing 
required by paragraph (j)(1)(iv) of this section:
    (A) If a variant meets all the requirements of paragraph (j)(1)(iv) 
of this section, a statement specifying that the variant passed all the 
tests. Upon request from the Administrator, the detailed results of any 
such testing may have to be submitted.

[[Page 525]]

    (B) If any variant does not meet the requirements paragraph 
(j)(1)(iv) of this section, a written report detailing the problem(s) 
identified and the manufacturer's proposed corrective action (if any) to 
remedy the problem(s). This report must be submitted within one month of 
testing the specific variant. The Administrator will consider the 
proposed remedy and, if in disagreement, will work with the manufacturer 
to propose an alternative remedy. Factors to be considered by the 
Administrator in considering the proposed remedy will include the 
severity of the problem(s), the ability of service technicians to access 
the required diagnostic information, the impact on equipment and tool 
manufacturers, and the amount of time prior to implementation of the 
proposed corrective action.
    (vi) Alternative testing protocols. Manufacturers may request 
approval to use other testing protocols. To do so, the manufacturer must 
demonstrate that the alternative testing methods and equipment will 
provide an equivalent level of verification of compliance with the 
standardization requirements as is required by paragraph (j)(1) of this 
section.
    (2) Verification of monitoring requirements. (i) Within either the 
first six months of the start of engine production or the first three 
months of the start of vehicle production, whichever is later, the 
manufacturer must conduct a complete evaluation of the OBD system of one 
or more production vehicles (test vehicles) and submit the results of 
the evaluation to the Administrator.
    (ii) Selection of test vehicles. (A) For each engine selected for 
monitoring system demonstration in paragraph (l) of this section, the 
manufacturer must evaluate one production vehicle equipped with an 
engine from the same engine family and rating as the demonstration 
engine. The vehicle selection must be approved by the Administrator.
    (B) If the manufacturer is required to test more than one test 
vehicle, the manufacturer may test an engine in lieu of a vehicle for 
all but one of the required test vehicles.
    (C) The requirement for submittal of data from one or more of the 
test vehicles may be waived if data have been submitted previously for 
all of the engine ratings and variants.
    (iii) Evaluation requirements. (A) The evaluation must demonstrate 
the ability of the OBD system on the selected test vehicle to detect a 
malfunction, activate the MIL, and, where applicable, store an 
appropriate DTC readable by a scan tool when a malfunction is present 
and the monitoring conditions have been satisfied for each individual 
monitor required by this section. For model years 2013 and later, the 
evaluation must demonstrate the ability of the OBD system on the 
selected test vehicle to detect a malfunction, activate the MIL, and, 
where applicable, store an appropriate DTC readable by a SAE J1978 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) scan 
tool when a malfunction is present and the monitoring conditions have 
been satisfied for each individual monitor required by this section.
    (B) The evaluation must verify that the malfunction of any component 
used to enable another OBD monitor but that does not itself result in 
MIL activation (e.g., fuel level sensor) will not inhibit the ability of 
other OBD monitors to detect malfunctions properly.
    (C) The evaluation must verify that the software used to track the 
numerator and denominator for the purpose of determining in-use 
monitoring frequency increments as required by paragraph (d)(2) of this 
section.
    (D) Malfunctions may be implanted mechanically or simulated 
electronically, but internal onboard computer hardware or software 
changes shall not be used to simulate malfunctions. For monitors that 
are required to indicate a malfunction before emissions exceed an 
emission threshold, manufacturers are not required to use malfunctioning 
components/systems set exactly at their malfunction criteria limits. 
Emission testing is not required to confirm that the malfunction is 
detected before the appropriate emission thresholds are exceeded.
    (E) The manufacturer must submit a proposed test plan for approval 
prior to performing evaluation testing. The test

[[Page 526]]

plan must identify the method used to induce a malfunction for each 
monitor.
    (F) If the demonstration of a specific monitor cannot be reasonably 
performed without causing physical damage to the test vehicle (e.g., 
onboard computer internal circuit malfunctions), the manufacturer may 
omit the specific demonstration.
    (G) For evaluation of test vehicles selected in accordance with 
paragraph (j)(2)(ii) of this section, the manufacturer is not required 
to demonstrate monitors that were demonstrated prior to certification as 
required in paragraph (l) of this section.
    (iv) The manufacturer must submit a report of the results of all 
testing conducted as required by paragraph (j)(2) of this section. The 
report must identify the method used to induce a malfunction in each 
monitor, the MIL activation status, and the DTC(s) stored.
    (3) Verification of in-use monitoring performance ratios. (i) The 
manufacturer must collect and report in-use monitoring performance data 
representative of production vehicles (i.e., engine rating and chassis 
application combination). The manufacturer must collect and report the 
data to the Administrator within 12 months after the first production 
vehicle was first introduced into commerce.
    (ii) The manufacturer must separate production vehicles into the 
monitoring performance groups and submit data that represents each of 
these groups. The groups shall be based on the following criteria:
    (A) Emission control system architecture. All engines that use the 
same or similar emissions control system architecture (e.g., EGR with 
DPF and SCR; EGR with DPF and NOX adsorber; EGR with DPF-
only) and associated monitoring system would be in the same emission 
architecture category.
    (B) Vehicle application type. Within an emission architecture 
category, engines shall be separated into one of three vehicle 
application types: Engines intended primarily for line-haul chassis 
applications, engines intended primarily for urban delivery chassis 
applications, and all other engines.
    (iii) The manufacturer may use an alternative grouping method to 
collect representative data. To do so, the manufacturer must show that 
the alternative groups include production vehicles using similar 
emission controls, OBD strategies, monitoring condition calibrations, 
and vehicle application driving/usage patterns such that they are 
expected to have similar in-use monitoring performance. The manufacturer 
will still be required to submit one set of data for each of the 
alternative groups.
    (iv) For each monitoring performance group, the data must include 
all of the in-use performance tracking data (i.e., all numerators, 
denominators, the general denominator, and the ignition cycle counter), 
the date the data were collected, the odometer reading, the VIN, and the 
calibration ID. For model years 2013 and later, for each monitoring 
performance group, the data must include all of the in-use performance 
tracking data reported through SAE J1979 or SAE J1939 (both as specified 
in paragraph (k)(1) of this section; i.e., all numerators, denominators, 
the general denominator, and the ignition cycle counter), the date the 
data were collected, the odometer reading, the VIN, and the calibration 
ID.
    (v) The manufacturer must submit a plan to the Administrator that 
details the types of production vehicles in each monitoring performance 
group, the number of vehicles per group to be sampled, the sampling 
method, the timeline to collect the data, and the reporting format. The 
plan must provide for effective collection of data from, at least, 15 
vehicles per monitoring performance group and provide for data that 
represent a broad range of temperature conditions. The plan shall not, 
by design, exclude or include specific vehicles in an attempt to collect 
data only from vehicles expected to have the highest in-use performance 
ratios.
    (vi) The 12 month deadline for reporting may be extended to 18 
months if the manufacturer can show that the delay is justified. In such 
a case, an interim report of progress to date must be submitted within 
the 12 month deadline.
    (k) Standardization requirements--(1) Reference materials. The 
following documents are incorporated by reference, see Sec.  86.1. 
Anyone may inspect copies at

[[Page 527]]

the U.S. EPA or at the National Archives and Records Administration 
(NARA). For information on the availability of this material at U.S. 
EPA, NARA, or the standard making bodies directly, refer to Sec.  86.1.
    (i) SAE J1930, Revised April 2002.
    (ii) SAE J1939, Revised October 2007.
    (iii) SAE J1939-13, Revised March 2004, for model years 2013 and 
later.
    (iv) SAE J1939-73, Revised September 2006.
    (v) SAE J1962, Revised April 2002, for model years 2013 and later.
    (vi) SAE J1978, Revised April 2002.
    (vii) SAE J1979, Revised May 2007.
    (viii) SAE J2012, Revised April 2002.
    (ix) SAE J2403, Revised August 2007.
    (x) ISO 15765-4:2005(E), January 15, 2005.
    (2) Diagnostic connector. For model years 2010 through 2012, the 
manufacturer defined data link connector must be accessible to a trained 
service technician. For model years 2013 and later, a standard data link 
connector conforming to SAE J1962 (as specified in paragraph (k)(1) of 
this section) or SAE J1939-13 (as specified in paragraph (k)(1) of this 
section) specifications (except as provided for in paragraph (k)(2)(iii) 
if this section) must be included in each vehicle.
    (i) For model years 2013 and later, the connector must be located in 
the driver's side foot-well region of the vehicle interior in the area 
bound by the driver's side of the vehicle and the driver's side edge of 
the center console (or the vehicle centerline if the vehicle does not 
have a center console) and at a location no higher than the bottom of 
the steering wheel when in the lowest adjustable position. The connector 
shall not be located on or in the center console (i.e., neither on the 
horizontal faces near the floor-mounted gear selector, parking brake 
lever, or cup-holders nor on the vertical faces near the car stereo, 
climate system, or navigation system controls). The location of the 
connector shall be capable of being easily identified and accessed 
(e.g., to connect an off-board tool). For vehicles equipped with a 
driver's side door, the connector must be identified and accessed easily 
by someone standing (or ``crouched'') on the ground outside the driver's 
side of the vehicle with the driver's side door open. The Administrator 
may approve an alternative location upon request from the manufacturer. 
In all cases, the installation position of the connector must be both 
identified and accessed easily by someone standing outside the vehicle 
and protected from accidental damage during normal vehicle use.
    (ii) For model years 2013 and later, if the connector is covered, 
the cover must be removable by hand without the use of any tools and be 
labeled ``OBD'' to aid technicians in identifying the location of the 
connector. Access to the diagnostic connector shall not require opening 
or the removal of any storage accessory (e.g., ashtray, coinbox). The 
label must clearly identify that the connector is located behind the 
cover and is consistent with language and/or symbols commonly used in 
the automobile and/or heavy truck industry.
    (iii) For model years 2013 and later, if the ISO 15765-4:2005(E) (as 
specified in paragraph (k)(1) of this section) communication protocol is 
used for the required OBD standardized functions, the connector must 
meet the ``Type A'' specifications of SAE J1962 (as specified in 
paragraph (k)(1) of this section). Any pins in the connector that 
provide electrical power must be properly fused to protect the integrity 
and usefulness of the connector for diagnostic purposes and shall not 
exceed 20.0 Volts DC regardless of the nominal vehicle system or battery 
voltage (e.g., 12V, 24V, 42V).
    (iv) For model years 2013 and later, if the SAE J1939 (as specified 
in paragraph (k)(1) of this section) protocol is used for the required 
OBD standardized functions, the connector must meet the specifications 
of SAE J1939-13 (as specified in paragraph (k)(1) of this section). Any 
pins in the connector that provide electrical power must be properly 
fused to protect the integrity and usefulness of the connector for 
diagnostic purposes.
    (v) For model years 2013 and later, the manufacturer may equip 
engines/vehicles with additional diagnostic connectors for manufacturer-
specific purposes (i.e., purposes other than the required OBD 
functions). However, if the additional connector conforms to

[[Page 528]]

the ``Type A'' specifications of SAE J1962 (as specified in paragraph 
(k)(1) of this section) or the specifications of SAE J1939-13 (as 
specified in paragraph (k)(1) of this section) and is located in the 
vehicle interior near the required connector as described in this 
paragraph (k)(2), the connector(s) must be labeled clearly to identify 
which connector is used to access the standardized OBD information 
required by paragraph (k) of this section.
    (3) Communications to a scan tool. For model years 2013 and later, 
all OBD control modules (e.g., engine, auxiliary emission control 
module) on a single vehicle must use the same protocol for communication 
of required emission-related messages from on-board to off-board network 
communications to a scan tool meeting SAE J1978 (as specified in 
paragraph (k)(1) of this section) specifications or designed to 
communicate with an SAE J1939 (as specified in paragraph (k)(1) of this 
section) network. Engine manufacturers shall not alter normal operation 
of the engine emission control system due to the presence of off-board 
test equipment accessing information required by this paragraph (k). The 
OBD system must use one of the following standardized protocols:
    (i) ISO 15765-4:2005(E) (as specified in paragraph (k)(1) of this 
section). All required emission-related messages using this protocol 
must use a 500 kbps baud rate.
    (ii) SAE J1939 (as specified in paragraph (k)(1) of this section). 
This protocol may only be used on vehicles with diesel engines.
    (4) Required emission related functions. The following functions 
must be implemented and must be accessible by, at a minimum, a 
manufacturer scan tool. For model years 2013 and later, the following 
standardized functions must be implemented in accordance with the 
specifications in SAE J1979 (as specified in paragraph (k)(1) of this 
section) or SAE J1939 (as specified in paragraph (k)(1) of this section) 
to allow for access to the required information by a scan tool meeting 
SAE J1978 (as specified in paragraph (k)(1) of this section) 
specifications or designed to communicate with an SAE J1939 (as 
specified in paragraph (k)(1) of this section) network:
    (i) Ready status. The OBD system must indicate, in accordance with 
SAE J1979 or SAE J1939-73 (both as specified in paragraph (k)(1) of this 
section) specifications for model years 2013 and later, ``complete'' or 
``not complete'' for each of the installed monitored components and 
systems identified in paragraphs (g), (h) with the exception of (h)(4), 
and (i)(3) of this section. All components or systems identified in 
paragraphs (h)(1), (h)(2), or (i)(3) of this section that are monitored 
continuously must always indicate ``complete.'' Components or systems 
that are not subject to being monitored continuously must immediately 
indicate ``complete'' upon the respective monitor(s) being executed 
fully and determining that the component or system is not 
malfunctioning. A component or system must also indicate ``complete'' 
if, after the requisite number of decisions necessary for determining 
MIL status has been executed fully, the monitor indicates a malfunction 
of the component or system. The status for each of the monitored 
components or systems must indicate ``not complete'' whenever diagnostic 
memory has been cleared or erased by a means other than that allowed in 
paragraph (b) of this section. Normal vehicle shut down (i.e., key-off/
engine-off) shall not cause the status to indicate ``not complete.''
    (A) The manufacturer may request that the ready status for a monitor 
be set to indicate ``complete'' without the monitor having completed if 
monitoring is disabled for a multiple number of drive cycles due to the 
continued presence of extreme operating conditions (e.g., cold ambient 
temperatures, high altitudes). Any such request must specify the 
conditions for monitoring system disablement and the number of drive 
cycles that would pass without monitor completion before ready status 
would be indicated as ``complete.''
    (B) For the evaporative system monitor, the ready status must be set 
in accordance with this paragraph (k)(4)(i) when both the functional 
check of the purge valve and, if applicable, the leak detection monitor 
of the hole size specified in paragraph

[[Page 529]]

(h)(7)(ii)(B) of this section indicate that they are complete.
    (C) If the manufacturer elects to indicate ready status through the 
MIL in the key-on/engine-off position as provided for in paragraph 
(b)(1)(iii) of this section, the ready status must be indicated in the 
following manner: If the ready status for all monitored components or 
systems is ``complete,'' the MIL shall remain continuously activated in 
the key-on/engine-off position for at least 10-20 seconds. If the ready 
status for one or more of the monitored components or systems is ``not 
complete,'' after at least 5 seconds of operation in the key-on/engine-
off position with the MIL activated continuously, the MIL shall blink 
once per second for 5-10 seconds. The data stream value for MIL status 
as required in paragraph (k)(4)(ii) of this section must indicate 
``commanded off'' during this sequence unless the MIL has also been 
``commanded on'' for a detected malfunction.
    (ii) Data stream. For model years 2010 through 2012, the following 
signals must be made available on demand through the data link 
connector. For model years 2013 and later, the following signals must be 
made available on demand through the standardized data link connector in 
accordance with SAE J1979 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) specifications. The actual signal value must 
always be used instead of a limp home value. Data link signals may 
report an error state or other predefined status indicator if they are 
defined for those signals in the SAE J1979 or SAE J1939 (both as 
specified in paragraph (k)(1) of this section) specifications.
    (A) For gasoline engines. (1) Calculated load value, engine coolant 
temperature, engine speed, vehicle speed, and time elapsed since engine 
start.
    (2) Absolute load, fuel level (if used to enable or disable any 
other monitors), barometric pressure (directly measured or estimated), 
engine control module system voltage, and commanded equivalence ratio.
    (3) Number of stored MIL-on DTCs, catalyst temperature (if directly 
measured or estimated for purposes of enabling the catalyst monitor(s)), 
monitor status (i.e., disabled for the rest of this drive cycle, 
complete this drive cycle, or not complete this drive cycle) since last 
engine shut-off for each monitor used for ready status, distance 
traveled (or engine run time for engines not using vehicle speed 
information) while MIL activated, distance traveled (or engine run time 
for engines not using vehicle speed information) since DTC memory last 
erased, and number of warm-up cycles since DTC memory last erased, OBD 
requirements to which the engine is certified (e.g., California OBD, EPA 
OBD, European OBD, non-OBD) and MIL status (i.e., commanded-on or 
commanded-off).
    (B) For diesel engines. (1) Calculated load (engine torque as a 
percentage of maximum torque available at the current engine speed), 
driver's demand engine torque (as a percentage of maximum engine 
torque), actual engine torque (as a percentage of maximum engine 
torque), reference engine maximum torque, reference maximum engine 
torque as a function of engine speed (suspect parameter numbers (SPN) 
539 through 543 defined by SAE J1939 (as specified in paragraph (k)(1) 
of this section) within parameter group number (PGN) 65251 for engine 
configuration), engine coolant temperature, engine oil temperature (if 
used for emission control or any OBD monitors), engine speed, and time 
elapsed since engine start.
    (2) Fuel level (if used to enable or disable any other monitors), 
vehicle speed (if used for emission control or any OBD monitors), 
barometric pressure (directly measured or estimated), and engine control 
module system voltage.
    (3) Number of stored MIL-on DTCs, monitor status (i.e., disabled for 
the rest of this drive cycle, complete this drive cycle, or not complete 
this drive cycle) since last engine shut-off for each monitor used for 
ready status, distance traveled (or engine run time for engines not 
using vehicle speed information) while MIL activated, distance traveled 
(or engine run time for engines not using vehicle speed information) 
since DTC memory last erased, number of warm-up cycles since DTC memory 
last erased, OBD requirements to which the engine is certified (e.g., 
California OBD, EPA OBD, European

[[Page 530]]

OBD, non-OBD), and MIL status (i.e., commanded-on or commanded-off).
    (4) NOX NTE control area status (i.e., inside control 
area, outside control area, inside manufacturer-specific NOX 
NTE carve-out area, or deficiency active area) and PM NTE control area 
status (i.e., inside control area, outside control area, inside 
manufacturer-specific PM NTE carve-out area, or deficiency active area).
    (5) For purposes of the calculated load and torque parameters in 
paragraph (k)(4)(ii)(B)(1) of this section, manufacturers must report 
the most accurate values that are calculated within the applicable 
electronic control unit (e.g., the engine control module). Most 
accurate, in this context, must be of sufficient accuracy, resolution, 
and filtering to be used for the purposes of in-use emission testing 
with the engine still in a vehicle (e.g., using portable emission 
measurement equipment).
    (C) For all engines so equipped. (1) Absolute throttle position, 
relative throttle position, fuel control system status (e.g., open loop, 
closed loop), fuel trim, fuel pressure, ignition timing advance, fuel 
injection timing, intake air/manifold temperature, engine intercooler 
temperature, manifold absolute pressure, air flow rate from mass air 
flow sensor, secondary air status (upstream, downstream, or atmosphere), 
ambient air temperature, commanded purge valve duty cycle/position, 
commanded EGR valve duty cycle/position, actual EGR valve duty cycle/
position, EGR error between actual and commanded, PTO status (active or 
not active), redundant absolute throttle position (for electronic 
throttle or other systems that utilize two or more sensors), absolute 
pedal position, redundant absolute pedal position, commanded throttle 
motor position, fuel rate, boost pressure, commanded/target boost 
pressure, turbo inlet air temperature, fuel rail pressure, commanded 
fuel rail pressure, DPF inlet pressure, DPF inlet temperature, DPF 
outlet pressure, DPF outlet temperature, DPF delta pressure, exhaust 
pressure sensor output, exhaust gas temperature sensor output, injection 
control pressure, commanded injection control pressure, turbocharger/
turbine speed, variable geometry turbo position, commanded variable 
geometry turbo position, turbocharger compressor inlet temperature, 
turbocharger compressor inlet pressure, turbocharger turbine inlet 
temperature, turbocharger turbine outlet temperature, waste gate valve 
position, and glow plug lamp status.
    (2) Oxygen sensor output, air/fuel ratio sensor output, 
NOX sensor output, and evaporative system vapor pressure.
    (iii) Freeze frame. (A) For model years 2010 through 2012, ``Freeze 
frame'' information required to be stored pursuant to paragraphs 
(b)(2)(iv), (h)(1)(iv)(D), and (h)(2)(vi) of this section must be made 
available on demand through the data link connector. For model years 
2013 and later, ``Freeze frame'' information required to be stored 
pursuant to paragraphs (b)(2)(iv), (h)(1)(iv)(D), and (h)(2)(vi) of this 
section must be made available on demand through the standardized data 
link connector in accordance with SAE J1979 or SAE J1939-73 (both as 
specified in paragraph (k)(1) of this section) specifications.
    (B) ``Freeze frame'' conditions must include the DTC that caused the 
data to be stored along with all of the signals required in paragraphs 
(k)(4)(ii)(A)(1) and (k)(4)(ii)(B)(1) of this section. Freeze frame 
conditions must also include all of the signals required on the engine 
in paragraphs (k)(4)(ii)(A)(2) and (k)(4)(ii)(B)(2) of this section, and 
paragraph (k)(4)(ii)(C)(1) of this section that are used for diagnostic 
or control purposes in the specific monitor or emission-critical 
powertrain control unit that stored the DTC.
    (C) Only one frame of data is required to be recorded. For model 
years 2010 through 2012, the manufacturer may choose to store additional 
frames provided that at least the required frame can be read by, at a 
minimum, a manufacturer scan tool. For model years 2013 and later, the 
manufacturer may choose to store additional frames provided that at 
least the required frame can be read by a scan tool meeting SAE J1978 
(as specified in paragraph (k)(1) of this section) specifications or 
designed to communicate with an SAE J1939 (as specified in paragraph 
(k)(1) of this section) network.

[[Page 531]]

    (iv) Diagnostic trouble codes. (A) For model years 2010 through 
2012, For all monitored components and systems, any stored pending, MIL-
on, and previous-MIL-on DTCs must be made available through the 
diagnostic connector. For model years 2013 and later, all monitored 
components and systems, any stored pending, MIL-on, and previous-MIL-on 
DTCs must be made available through the diagnostic connector in a 
standardized format in accordance with SAE J1939 (as specified in 
paragraph (k)(1) of this section) or ISO 15765-4:2005(E) (as specified 
in paragraph (k)(1) of this section) specifications; standardized DTCs 
conforming to the applicable standardized specifications must be 
employed.
    (B) The stored DTC must, to the extent possible, pinpoint the 
probable cause of the malfunction or potential malfunction. To the 
extent feasible, the manufacturer must use separate DTCs for every 
monitor where the monitor and repair procedure or probable cause of the 
malfunction is different. In general, rationality and functional checks 
must use different DTCs than the respective circuit integrity checks. 
Additionally, to the extent possible, input component circuit integrity 
checks must use different DTCs for distinct malfunctions (e.g., out-of-
range low, out-of-range high, open circuit).
    (C) The manufacturer must use appropriate standard-defined DTCs 
whenever possible. With Administrator approval, the manufacturer may use 
manufacturer-defined DTCs in accordance with the applicable standard's 
specifications. To do so, the manufacturer must be able to show a lack 
of available standard-defined DTCs, uniqueness of the monitor or 
monitored component, expected future usage of the monitor or component, 
and estimated usefulness in providing additional diagnostic and repair 
information to service technicians. Manufacturer-defined DTCs must be 
used in a consistent manner (i.e., the same DTC shall not be used to 
represent two different failure modes) across a manufacturer's entire 
product line.
    (D) For model years 2010 through 2012, a pending or MIL-on DTC (as 
required in paragraphs (g) through (i) of this section) must be stored 
and available to, at a minimum, a manufacturer scan tool within 10 
seconds after a monitor has determined that a malfunction or potential 
malfunction has occurred. A permanent DTC must be stored and available 
to, at a minimum, a manufacturer scan tool no later than the end of an 
ignition cycle in which the corresponding MIL-on DTC that caused MIL 
activation has been stored. For model years 2013 and later, a pending or 
MIL-on DTC (as required in paragraphs (g) through (i) of this section) 
must be stored and available to an SAE J1978 (as specified in paragraph 
(k)(1) of this section) or SAE J1939 (as specified in paragraph (k)(1) 
of this section) scan tool within 10 seconds after a monitor has 
determined that a malfunction or potential malfunction has occurred. A 
permanent DTC must be stored and available to an SAE J1978 (as specified 
in paragraph (k)(1) of this section) or SAE J1939 (as specified in 
paragraph (k)(1) of this section) scan tool no later than the end of an 
ignition cycle in which the corresponding MIL-on DTC that caused MIL 
activation has been stored.
    (E) For model years 2010 through 2012, pending DTCs for all 
components and systems (including those monitored continuously and non-
continuously) must be made available through the diagnostic connector. 
For model years 2013 and later, pending DTCs for all components and 
systems (including those monitored continuously and non-continuously) 
must be made available through the diagnostic connector in accordance 
with the applicable standard's specifications. For all model years, a 
manufacturer using alternative statistical protocols for MIL activation 
as allowed in paragraph (b)(2)(iii) of this section must submit the 
details of their protocol for setting pending DTCs. The protocol must 
be, overall, equivalent to the requirements of this paragraph 
(k)(4)(iv)(E) and provide service technicians with a quick and accurate 
indication of a potential malfunction.
    (F) For model years 2010 through 2012, permanent DTC for all 
components and systems must be made available through the diagnostic 
connector

[[Page 532]]

in a format that distinguishes permanent DTCs from pending DTCs, MIL-on 
DTCs, and previous-MIL-on DTCs. A MIL-on DTC must be stored as a 
permanent DTC no later than the end of the ignition cycle and 
subsequently at all times that the MIL-on DTC is commanding the MIL on. 
For model years 2013 and later, permanent DTC for all components and 
systems must be made available through the diagnostic connector in a 
standardized format that distinguishes permanent DTCs from pending DTCs, 
MIL-on DTCs, and previous-MIL-on DTCs. A MIL-on DTC must be stored as a 
permanent DTC no later than the end of the ignition cycle and 
subsequently at all times that the MIL-on DTC is commanding the MIL on. 
For all model years, permanent DTCs must be stored in non-volatile 
random access memory (NVRAM) and shall not be erasable by any scan tool 
command or by disconnecting power to the on-board computer. Permanent 
DTCs must be erasable if the engine control module is reprogrammed and 
the ready status described in paragraph (k)(4)(i) of this section for 
all monitored components and systems are set to ``not complete.'' The 
OBD system must have the ability to store a minimum of four current MIL-
on DTCs as permanent DTCs in NVRAM. If the number of MIL-on DTCs 
currently commanding activation of the MIL exceeds the maximum number of 
permanent DTCs that can be stored, the OBD system must store the 
earliest detected MIL-on DTC as permanent DTC. If additional MIL-on DTCs 
are stored when the maximum number of permanent DTCs is already stored 
in NVRAM, the OBD system shall not replace any existing permanent DTC 
with the additional MIL-on DTCs.
    (v) Test results. (A) For model years 2010 through 2012 and except 
as provided for in paragraph (k)(4)(v)(G) of this section, for all 
monitored components and systems identified in paragraphs (g) and (h) of 
this section, results of the most recent monitoring of the components 
and systems and the test limits established for monitoring the 
respective components and systems must be stored and available through 
the data link. For model years 2013 and later and except as provided for 
in paragraph (k)(4)(v)(G) of this section, for all monitored components 
and systems identified in paragraphs (g) and (h) of this section, 
results of the most recent monitoring of the components and systems and 
the test limits established for monitoring the respective components and 
systems must be stored and available through the data link in accordance 
with the standardized format specified in SAE J1979 (as specified in 
paragraph (k)(1) of this section) for engines using the ISO 15765-
4:2005(E) (as specified in paragraph (k)(1) of this section) protocol or 
SAE J1939 (as specified in paragraph (k)(1) of this section).
    (B) The test results must be reported such that properly functioning 
components and systems (e.g., ``passing'' systems) do not store test 
values outside of the established test limits. Test limits must include 
both minimum and maximum acceptable values and must be defined so that a 
test result equal to either test limit is a ``passing'' value, not a 
``failing'' value.
    (C) For model years 2013 and later, the test results must be 
standardized such that the name of the monitored component (e.g., 
catalyst bank 1) can be identified by a generic scan tool and the test 
results and limits can be scaled and reported by a generic scan tool 
with the appropriate engineering units.
    (D) The test results must be stored until updated by a more recent 
valid test result or the DTC memory of the OBD system computer is 
cleared. Upon DTC memory being cleared, test results reported for 
monitors that have not yet completed with valid test results since the 
last time the fault memory was cleared must report values of zero for 
the test result and test limits.
    (E) All test results and test limits must always be reported and the 
test results must be stored until updated by a more recent valid test 
result or the DTC memory of the OBD system computer is cleared.
    (F) The OBD system must store and report unique test results for 
each separate monitor.
    (G) The requirements of this paragraph (k)(4)(v) do not apply to 
continuous fuel system monitoring, cold start

[[Page 533]]

emission reduction strategy monitoring, and continuous circuit 
monitoring.
    (vi) Software calibration identification (CAL ID). On all engines, a 
single software calibration identification number (CAL ID) for each 
monitor or emission critical control unit(s) must be made available 
through, for model years 2010 through 2012, the data link connector or, 
for model years 2013 and later, the standardized data link connector in 
accordance with the SAE J1979 or SAE J1939 (both as specified in 
paragraph (k)(1) of this section) specifications. A unique CAL ID must 
be used for every emission-related calibration and/or software set 
having at least one bit of different data from any other emission-
related calibration and/or software set. Control units coded with 
multiple emission or diagnostic calibrations and/or software sets must 
indicate a unique CAL ID for each variant in a manner that enables an 
off-board device to determine which variant is being used by the engine. 
Control units that use a strategy that will result in MIL activation if 
the incorrect variant is used (e.g., control units that contain variants 
for manual and automatic transmissions but will activate the MIL if the 
selected variant does not match the type of transmission mated to the 
engine) are not required to use unique CAL IDs. Manufacturers may 
request Administrator approval to respond with more than one CAL ID per 
diagnostic or emission critical control unit. Administrator approval of 
the request shall be based on the method used by the manufacturer to 
ensure each control unit will respond to a scan tool with the CAL IDs in 
order of highest to lowest priority with regards to areas of the 
software most critical to emission and OBD system performance.
    (vii) Software calibration verification number (CVN). (A) All 
engines must use an algorithm to calculate a single calibration 
verification number (CVN) that verifies the on-board computer software 
integrity for each monitor or emission critical control unit that is 
electronically reprogrammable. The CVN must be made available through, 
for model years 2010 through 2012, the data link connector or, for model 
years 2013 and later, the standardized data link connector in accordance 
with the SAE J1979 or SAE J1939 (both as specified in paragraph (k)(1) 
of this section) specifications. The CVN must indicate whether the 
emission-related software and/or calibration data are valid and 
applicable for the given vehicle and CAL ID. For systems having more 
than one CAL ID as allowed under paragraph (k)(4)(vi) of this section, 
one CVN must be made available for each CAL ID and must be output to a 
scan tool in the same order as the corresponding CAL IDs. For 2010 
through 2012, manufacturers may use a default value for the CVN if their 
emissions critical powertrain control modules are not programmable in 
the field. For all years, manufacturers may use a default value for the 
CVN if their emissions critical powertrain control modules are one-time 
programmable or masked read-only memory. Any default CVN shall be 
00000000 for systems designed in accordance with the SAE J1979 (as 
specified in paragraph (k)(1) of this section) specifications, and 
FFFFFFFFh for systems designed in accordance with the SAE J1939 (as 
specified in paragraph (k)(1) of this section) specifications.
    (B) The CVN algorithm used to calculate the CVN must be of 
sufficient complexity that the same CVN is difficult to achieve with 
modified calibration values.
    (C) The CVN must be calculated at least once per ignition cycle and 
stored until the CVN is subsequently updated. Except for immediately 
after a reprogramming event or a non-volatile memory clear or for the 
first 30 seconds of engine operation after a volatile memory clear or 
battery disconnect, the stored value must be made available through, for 
model years 2010 through 2012, the data link connector to, at a minimum, 
a manufacturer scan tool or, for model years 2013 and later, the data 
link connector to a generic scan tool in accordance with SAE J1979 or 
SAE J1939 (both as specified in paragraph (k)(1) of this section) 
specifications. For model years 2010 through 2012, the stored CVN value 
shall not be erased when DTC memory is erased or during normal vehicle 
shut down (i.e., key-off/engine-off). For model years 2013 and later, 
the stored CVN value

[[Page 534]]

shall not be erased when DTC memory is erased by a generic scan tool in 
accordance with SAE J1979 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) specifications or during normal vehicle shut 
down (i.e., key-off/engine-off).
    (D) For model years 2013 and later, the CVN and CAL ID combination 
information must be available for all engines/vehicles in a standardized 
electronic format that allows for off-board verification that the CVN is 
valid and appropriate for a specific vehicle and CAL ID.
    (viii) Vehicle identification number (VIN). (A) For model years 2010 
through 2012, all vehicles must have the vehicle identification number 
(VIN) available through the data link connector to, at a minimum, a 
manufacturer scan tool Only one electronic control unit per vehicle may 
report the VIN to a scan tool. For model years 2013 and later, all 
vehicles must have the vehicle identification number (VIN) available in 
a standardized format through the standardized data link connector in 
accordance with SAE J1979 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) specifications. Only one electronic control unit 
per vehicle may report the VIN to an SAE J1978 or SAE J1939 (both as 
specified in paragraph (k)(1) of this section) scan tool.
    (B) If the VIN is reprogrammable, all emission-related diagnostic 
information identified in paragraph (k)(4)(ix)(A) of this section must 
be erased in conjunction with reprogramming of the VIN.
    (ix) Erasure of diagnostic information. (A) For purposes of this 
paragraph (k)(4)(ix), ``emission-related diagnostic information'' 
includes all of the following: ready status as required by paragraph 
(k)(4)(i) of this section; data stream information as required by 
paragraph (k)(4)(ii) of this section including the number of stored MIL-
on DTCs, distance traveled while MIL activated, number of warm-up cycles 
since DTC memory last erased, and distance traveled since DTC memory 
last erased; freeze frame information as required by paragraph 
(k)(4)(iii) of this section; pending, MIL-on, and previous-MIL-on DTCs 
as required by paragraph (k)(4)(iv) of this section; and, test results 
as required by paragraph (k)(4)(v) of this section.
    (B) For all engines, the emission-related diagnostic information 
must be erased if commanded by any scan tool and may be erased if the 
power to the on-board computer is disconnected. If any of the emission-
related diagnostic information is commanded to be erased by any scan 
tool, all emission-related diagnostic information must be erased from 
all diagnostic or emission critical control units. The OBD system shall 
not allow a scan tool to erase a subset of the emission-related 
diagnostic information (e.g., the OBD system shall not allow a scan tool 
to erase only one of three stored DTCs or only information from one 
control unit without erasing information from the other control 
unit(s)).
    (5) In-use performance ratio tracking requirements. (i) For each 
monitor required in paragraphs (g) through (i) of this section to 
separately report an in-use performance ratio, manufacturers must 
implement software algorithms to, for model years 2010 through 2012, 
report a numerator and denominator or, for model years 2013 and later, 
report a numerator and denominator in the standardized format specified 
in this paragraph (k)(5) in accordance with the SAE J1979 or SAE J1939 
(both as specified in paragraph (k)(1) of this section) specifications.
    (ii) For the numerator, denominator, general denominator, and 
ignition cycle counters required by paragraph (e) of this section, the 
following numerical value specifications apply:
    (A) Each number shall have a minimum value of zero and a maximum 
value of 65,535 with a resolution of one.
    (B) Each number shall be reset to zero only when a non-volatile 
random access memory (NVRAM) reset occurs (e.g., reprogramming event) 
or, if the numbers are stored in keep-alive memory (KAM), when KAM is 
lost due to an interruption in electrical power to the control unit 
(e.g., battery disconnect). Numbers shall not be reset to zero under any 
other circumstances including when a scan tool command to clear DTCs or 
reset KAM is received.
    (C) To avoid overflow problems, if either the numerator or 
denominator for

[[Page 535]]

a specific component reaches the maximum value of 65,535 2, both numbers shall be divided by two before either is 
incremented again.
    (D) To avoid overflow problems, if the ignition cycle counter 
reaches the maximum value of 65,535 2, the 
ignition cycle counter shall rollover and increment to zero on the next 
ignition cycle.
    (E) To avoid overflow problems, if the general denominator reaches 
the maximum value of 65,535 2, the general 
denominator shall rollover and increment to zero on the next drive cycle 
that meets the general denominator definition.
    (F) If a vehicle is not equipped with a component (e.g., oxygen 
sensor bank 2, secondary air system), the corresponding numerator and 
denominator for that specific component shall always be reported as 
zero.
    (iii) For the ratio required by paragraph (e) of this section, the 
following numerical value specifications apply:
    (A) The ratio shall have a minimum value of zero and a maximum value 
of 7.99527 with a resolution of 0.000122.
    (B) The ratio for a specific component shall be considered to be 
zero whenever the corresponding numerator is equal to zero and the 
corresponding denominator is not zero.
    (C) The ratio for a specific component shall be considered to be the 
maximum value of 7.99527 if the corresponding denominator is zero or if 
the actual value of the numerator divided by the denominator exceeds the 
maximum value of 7.99527.
    (6) Engine run time tracking requirements. (i) For all gasoline and 
diesel engines, the manufacturer must implement software algorithms to, 
for model years 2010 through 2012, track and report individually or, for 
model years 2013 and later, track and report individually in a 
standardized format the amount of time the engine has been operated in 
the following conditions:
    (A) Total engine run time.
    (B) Total idle run time (with ``idle'' defined as accelerator pedal 
released by the driver, engine speed less than or equal to 200 rpm above 
normal warmed-up idle (as determined in the drive position for vehicles 
equipped with an automatic transmission) or vehicle speed less than or 
equal to one mile per hour, and power take-off not active).
    (C) Total run time with power take off active.
    (ii) For each counter specified in paragraph (k)(6)(i) of this 
section, the following numerical value specifications apply:
    (A) Each number shall be a four-byte value with a minimum value of 
zero, a resolution of one second per bit, and an accuracy of ten seconds per drive cycle.
    (B) Each number shall be reset to zero only when a non-volatile 
memory reset occurs (e.g., reprogramming event). Numbers shall not be 
reset to zero under any other circumstances including when a scan tool 
(generic or enhanced) command to clear fault codes or reset KAM is 
received.
    (C) To avoid overflow problems, if any of the individual counters 
reach the maximum value, all counters shall be divided by two before any 
are incremented again.
    (D) For model years 2010 through 2012, the counters shall be made 
available to, at a minimum, a manufacturer scan tool and may be rescaled 
when transmitted from a resolution of one second per bit to no more than 
three minutes per bit. For model years 2013 and later, the counters 
shall be made available to a generic scan tool in accordance with the 
SAE J1979 or SAE J1939 (both as specified in paragraph (k)(1) of this 
section) specifications and may be rescaled when transmitted, if 
required by the SAE specifications, from a resolution of one second per 
bit to no more than three minutes per bit.
    (7) For 2019 and subsequent model year alternative-fueled engines 
derived from a diesel-cycle engine, a manufacturer may meet the 
standardization requirements of paragraph (k) of this section that are 
applicable to diesel engines rather than the requirements applicable to 
gasoline engines.
    (l) Monitoring system demonstration requirements for certification--
(1) General. (i) The manufacturer must submit emissions test data from 
one or more durability demonstration test engines (test engines).
    (ii) The Administrator may approve other demonstration protocols if 
the manufacturer can provide comparable

[[Page 536]]

assurance that the malfunction criteria are chosen based on meeting the 
malfunction criteria requirements and that the timeliness of malfunction 
detection is within the constraints of the applicable monitoring 
requirements.
    (iii) For flexible fuel engines capable of operating on more than 
one fuel or fuel combinations, the manufacturer must submit a plan for 
providing emission test data. The plan must demonstrate that testing 
will represent properly the expected in-use fuel or fuel combinations.
    (2) Selection of test engines. (i) Prior to submitting any 
applications for certification for a model year, the manufacturer must 
notify the Administrator regarding the planned engine families and 
engine ratings within each family for that model year. The Administrator 
will select the engine family(ies) and the specific engine rating within 
the engine family(ies) that the manufacturer shall use as demonstration 
test engines. The selection of test vehicles for production evaluation 
testing as specified in paragraph (j)(2) of this section may take place 
during this selection process.
    (ii) For model years 2010 through 2012. The manufacturer must 
provide emissions test data from the OBD parent rating as defined in 
paragraph (o)(1) of this section.
    (iii) For model years 2013 and later. (A) A manufacturer certifying 
one to five engine families in a given model year must provide emissions 
test data for a single test engine from one engine rating. A 
manufacturer certifying six to ten engine families in a given model year 
must provide emissions test data for a single test engine from two 
different engine ratings. A manufacturer certifying eleven or more 
engine families in a given model year must provide emissions test data 
for a single test engine from three different engine ratings. A 
manufacturer may forego submittal of test data for one or more of these 
test engines if data have been submitted previously for all of the 
engine ratings and/or if all requirements for certification carry-over 
from one model year to the next are satisfied.
    (B) For a given model year, a manufacturer may elect to provide 
emissions data for test engines from more engine ratings than required 
by paragraph (l)(2)(iii)(A) of this section. For each additional engine 
rating tested in that given model year, the number of engine ratings 
required for testing in one future model year will be reduced by one.
    (iv) For the test engine, the manufacturer must use an engine 
(excluding aftertreatment devices) aged for a minimum of 125 hours 
fitted with exhaust aftertreatment emission controls aged to be 
representative of useful life aging. In the event that an accelerated 
aging procedure is used, the manufacturer is required to submit a 
description of the accelerated aging process and/or supporting data or 
use the accelerated aging procedure used for emission certification 
deterioration factor generation. The process and/or data must 
demonstrate that deterioration of the exhaust aftertreatment emission 
controls is stabilized sufficiently such that it represents emission 
control performance at the end of the useful life.
    (3) Required testing. Except as otherwise described in this 
paragraph (l)(3), the manufacturer must perform single malfunction 
testing based on the applicable test with the components/systems set at 
their malfunction criteria limits as determined by the manufacturer for 
meeting the emissions thresholds required in paragraphs (g), (h), and 
(i) of this section.
    (i) Required testing for diesel-fueled/compression ignition 
engines--(A) Fuel system. The manufacturer must perform a separate test 
for each malfunction limit established by the manufacturer for the fuel 
system parameters (e.g., fuel pressure, injection timing) specified in 
paragraphs (g)(1)(ii)(A) through (g)(1)(ii)(C) and/or (g)(1)(ii)(D) of 
this section, if applicable, of this section. When performing a test for 
a specific parameter, the fuel system must be operating at the 
malfunction criteria limit for the applicable parameter only. All other 
parameters must be operating with normal characteristics. In conducting 
the fuel system demonstration tests, the manufacturer may use computer 
modifications to cause the fuel system to operate at the malfunction 
limit if the manufacturer can demonstrate that the computer 
modifications produce test results

[[Page 537]]

equivalent to an induced hardware malfunction.
    (B) Engine misfire. For model years 2013 and later, the manufacturer 
must perform a test at the malfunction limit established by the 
manufacturer for the monitoring required by paragraph (g)(2)(ii)(B) of 
this section.
    (C) EGR system. The manufacturer must perform a separate test for 
each malfunction limit established by the manufacturer for the EGR 
system parameters (e.g., low flow, high flow, slow response) specified 
in paragraphs (g)(3)(ii)(A) through (g)(3)(ii)(C) and in (g)(3)(ii)(E) 
of this section. In conducting the EGR system slow response 
demonstration tests, the manufacturer may use computer modifications to 
cause the EGR system to operate at the malfunction limit if the 
manufacturer can demonstrate that the computer modifications produce 
test results equivalent to an induced hardware malfunction.
    (D) Turbo boost control system. The manufacturer must perform a 
separate test for each malfunction limit established by the manufacturer 
for the turbo boost control system parameters (e.g., underboost, 
overboost, response) specified in paragraphs (g)(4)(ii)(A) through 
(g)(4)(ii)(C) and in (g)(4)(ii)(E) of this section.
    (E) NMHC catalyst. The manufacturer must perform a separate test for 
each monitored NMHC catalyst(s). The catalyst(s) being evaluated must be 
deteriorated to the applicable malfunction limit established by the 
manufacturer for the monitoring required by paragraph (g)(5)(ii)(A) of 
this section and using methods established by the manufacturer in 
accordance with paragraph (l)(7) of this section. For each monitored 
NMHC catalyst(s), the manufacturer must also demonstrate that the OBD 
system will detect a catalyst malfunction with the catalyst at its 
maximum level of deterioration (i.e., the substrate(s) completely 
removed from the catalyst container or ``empty'' can). Emissions data 
are not required for the empty can demonstration.
    (F) NOX catalyst. The manufacturer must perform a separate test for 
each monitored NOX catalyst(s) (e.g., SCR catalyst). The catalyst(s) 
being evaluated must be deteriorated to the applicable malfunction 
criteria established by the manufacturer for the monitoring required by 
paragraphs (g)(6)(ii)(A) and (g)(6)(ii)(B) of this section and using 
methods established by the manufacturer in accordance with paragraph 
(l)(7) of this section. For each monitored NOX catalyst(s), the 
manufacturer must also demonstrate that the OBD system will detect a 
catalyst malfunction with the catalyst at its maximum level of 
deterioration (i.e., the substrate(s) completely removed from the 
catalyst container or ``empty'' can). Emissions data are not required 
for the empty can demonstration.
    (G) NOX adsorber. The manufacturer must perform a test using a NOX 
adsorber(s) deteriorated to the applicable malfunction limit established 
by the manufacturer for the monitoring required by paragraph 
(g)(7)(ii)(A) of this section. The manufacturer must also demonstrate 
that the OBD system will detect a NOX adsorber malfunction with the NOX 
adsorber at its maximum level of deterioration (i.e., the substrate(s) 
completely removed from the container or ``empty'' can). Emissions data 
are not required for the empty can demonstration.
    (H) Diesel particulate filter. The manufacturer must perform a 
separate test using a DPF deteriorated to the applicable malfunction 
limits established by the manufacturer for the monitoring required by 
paragraph (g)(8)(ii)(A) and (g)(8)(ii)(B) of this section. For systems 
using the optional DPF monitoring provision of paragraph (g)(8)(ii)(A) 
of this section, the manufacturer must perform a separate test using a 
DPF modified in a manner approved by the Administrator (e.g., drilling 
of wallflow channel end plugs, drilling of through holes, etc.) and 
testing at each of the nine test points specified in paragraph 
(g)(8)(ii)(A) of this section. The manufacturer must also demonstrate 
that the OBD system will detect a DPF malfunction with the DPF at its 
maximum level of deterioration (i.e., the filter(s) completely removed 
from the filter container or ``empty'' can). Emissions data are not 
required for the empty can demonstration.
    (I) Exhaust gas sensor. The manufacturer must perform a separate 
test for

[[Page 538]]

each malfunction limit established by the manufacturer for the 
monitoring required in paragraphs (g)(9)(ii)(A), (g)(9)(iii)(A), and 
(g)(9)(iv)(A) of this section. When performing a test, all exhaust gas 
sensors used for the same purpose (e.g., for the same feedback control 
loop, for the same control feature on parallel exhaust banks) must be 
operating at the malfunction criteria limit for the applicable parameter 
only. All other exhaust gas sensor parameters must be operating with 
normal characteristics.
    (J) VVT system. The manufacturer must perform a separate test for 
each malfunction limit established by the manufacturer for the 
monitoring required in paragraphs (g)(10)(ii)(A) and (g)(10)(ii)(B) of 
this section. In conducting the VVT system demonstration tests, the 
manufacturer may use computer modifications to cause the VVT system to 
operate at the malfunction limit if the manufacturer can demonstrate 
that the computer modifications produce test results equivalent to an 
induced hardware malfunction.
    (K) For each of the testing requirements of this paragraph (l)(3)(i) 
of this section, if the manufacturer has established that only a 
functional check is required because no failure or deterioration of the 
specific tested system could result in an engine's emissions exceeding 
the applicable emissions thresholds, the manufacturer is not required to 
perform a demonstration test; however, the manufacturer is required to 
provide the data and/or engineering analysis used to determine that only 
a functional test of the system(s) is required.
    (ii) Required testing for gasoline-fueled/spark-ignition engines--
(A) Fuel system. For engines with adaptive feedback based on the primary 
fuel control sensor(s), the manufacturer must perform a test with the 
adaptive feedback based on the primary fuel control sensor(s) at the 
rich limit(s) and a test at the lean limit(s) established by the 
manufacturer as required by paragraph (h)(1)(ii)(A) of this section to 
detect a malfunction before emissions exceed applicable emissions 
thresholds. For engines with feedback based on a secondary fuel control 
sensor(s) and subject to the malfunction criteria in paragraph 
(h)(1)(ii)(A) of this section, the manufacturer must perform a test with 
the feedback based on the secondary fuel control sensor(s) at the rich 
limit(s) and a test at the lean limit(s) established by the manufacturer 
as required by paragraph (h)(1)(ii)(A) of this section to detect a 
malfunction before emissions exceed the applicable emissions thresholds. 
For other fuel metering or control systems, the manufacturer must 
perform a test at the criteria limit(s). For purposes of fuel system 
testing as required by this paragraph (l)(3)(ii)(A), the malfunction(s) 
induced may result in a uniform distribution of fuel and air among the 
cylinders. Non uniform distribution of fuel and air used to induce a 
malfunction shall not cause misfire. In conducting the fuel system 
demonstration tests, the manufacturer may use computer modifications to 
cause the fuel system to operate at the malfunction limit. To do so, the 
manufacturer must be able to demonstrate that the computer modifications 
produce test results equivalent to an induced hardware malfunction.
    (B) Misfire. The manufacturer must perform a test at the malfunction 
criteria limit specified in paragraph (h)(2)(ii)(B) of this section.
    (C) EGR system. The manufacturer must perform a test at each flow 
limit calibrated to the malfunction criteria specified in paragraphs 
(h)(3)(ii)(A) and (h)(3)(ii)(B) of this section.
    (D) Cold start emission reduction strategy. The manufacturer must 
perform a test at the malfunction criteria for each component monitored 
according to paragraph (h)(4)(ii)(A) of this section.
    (E) Secondary air system. The manufacturer must perform a test at 
each flow limit calibrated to the malfunction criteria specified in 
paragraphs (h)(5)(ii)(A) and (h)(5)(ii)(B) of this section.
    (F) Catalyst. The manufacturer must perform a test using a catalyst 
system deteriorated to the malfunction criteria specified in paragraph 
(h)(6)(ii) of this section using methods established by the manufacturer 
in accordance with paragraph (l)(7)(ii) of this section.

[[Page 539]]

The manufacturer must also demonstrate that the OBD system will detect a 
catalyst system malfunction with the catalyst system at its maximum 
level of deterioration (i.e., the substrate(s) completely removed from 
the catalyst container or ``empty'' can). Emission data are not required 
for the empty can demonstration.
    (G) Exhaust gas sensor. The manufacturer must perform a test with 
all primary exhaust gas sensors used for fuel control simultaneously 
possessing a response rate deteriorated to the malfunction criteria 
limit specified in paragraph (h)(8)(ii)(A) of this section. The 
manufacturer must also perform a test for any other primary or secondary 
exhaust gas sensor parameter under parargraphs (h)(8)(ii)(A) and 
(h)(8)(iii)(A) of this section that can cause engine emissions to exceed 
the applicable emissions thresholds (e.g., shift in air/fuel ratio at 
which oxygen sensor switches, decreased amplitude). When performing 
additional test(s), all primary and secondary (if applicable) exhaust 
gas sensors used for emission control must be operating at the 
malfunction criteria limit for the applicable parameter only. All other 
primary and secondary exhaust gas sensor parameters must be operating 
with normal characteristics.
    (H) VVT system. The manufacturer must perform a test at each target 
error limit and slow response limit calibrated to the malfunction 
criteria specified in paragraphs (h)(9)(ii)(A) and (h)(9)(ii)(B) of this 
section. In conducting the VVT system demonstration tests, the 
manufacturer may use computer modifications to cause the VVT system to 
operate at the malfunction limit. To do so, the manufacturer must be 
able to demonstrate that the computer modifications produce test results 
equivalent to an induced hardware malfunction.
    (I) For each of the testing requirements of this paragraph 
(l)(3)(ii), if the manufacturer has established that only a functional 
check is required because no failure or deterioration of the specific 
tested system could cause an engine's emissions to exceed the applicable 
emissions thresholds, the manufacturer is not required to perform a 
demonstration test; however the manufacturer is required to provide the 
data and/or engineering analyses used to determine that only a 
functional test of the system(s) is required.
    (iii) Required testing for all engines. (A) Other emission control 
systems. The manufacturer must conduct demonstration tests for all other 
emission control components (e.g., hydrocarbon traps, adsorbers) 
designed and calibrated to a malfunction limit based on an emissions 
threshold based on the requirements of paragraph (i)(4) of this section.
    (B) For each of the testing requirements of paragraph (l)(3)(iii)(A) 
of this section, if the manufacturer has established that only a 
functional check is required because no failure or deterioration of the 
specific tested system could result in an engine's emissions exceeding 
the applicable emissions thresholds, the manufacturer is not required to 
perform a demonstration test; however, the manufacturer is required to 
provide the data and/or engineering analysis used to determine that only 
a functional test of the system(s) is required.
    (iv) The manufacturer may electronically simulate deteriorated 
components but shall not make any engine control unit modifications when 
performing demonstration tests unless approved by the Administrator. All 
equipment necessary to duplicate the demonstration test must be made 
available to the Administrator upon request.
    (4) Testing protocol--(i) Preconditioning. The manufacturer must use 
an applicable cycle for preconditioning test engines prior to conducting 
each of the emission tests required by paragraph (l)(3) of this section. 
The manufacturer may perform a single additional preconditioning cycle, 
identical to the initial one, after a 20-minute hot soak but must 
demonstrate that such an additional cycle is necessary to stabilize the 
emissions control system. A practice of requiring a cold soak prior to 
conducting preconditioning cycles is not permitted.
    (ii) Test sequence. (A) The manufacturer must set individually each 
system or component on the test engine at the malfunction criteria limit 
prior to

[[Page 540]]

conducting the applicable preconditioning cycle(s). If a second 
preconditioning cycle is permitted in accordance with paragraph 
(l)(4)(i) of this section, the manufacturer may adjust the system or 
component to be tested before conducting the second preconditioning 
cycle. The manufacturer shall not replace, modify, or adjust the system 
or component after the last preconditioning cycle has been completed.
    (B) After preconditioning, the test engine must be operated over the 
applicable cycle to allow for the initial detection of the tested system 
or component malfunction. This test cycle may be omitted from the 
testing protocol if it is unnecessary. If required by the monitoring 
strategy being tested, a cold soak may be performed prior to conducting 
this test cycle.
    (C) The test engine must then be operated over the applicable 
exhaust emissions test.
    (iii) A manufacturer required to test more than one test engine 
according to paragraph (l)(2)(iii) of this section may use internal 
calibration sign-off test procedures (e.g., forced cool downs, less 
frequently calibrated emission analyzers) instead of official test 
procedures to obtain the emission test data required by this paragraph 
(l) of this section for all but one of the required test engines. The 
manufacturer may elect this option if the data from the alternative test 
procedure are representative of official emissions test results. A 
manufacturer using this option is still responsible for meeting the 
malfunction criteria specified in paragraphs (g) through (i) of this 
section if and when emissions tests are performed in accordance with 
official test procedures.
    (iv) The manufacturer may request approval to use an alternative 
testing protocol for demonstration of MIL activation if the engine 
dynamometer emission test cycle does not allow all of a given monitor's 
enable conditions to be satisfied. The manufacturer may request the use 
of an alternative engine dynamometer test cycle or the use of chassis 
testing to demonstrate proper MIL activation. To do so, the manufacturer 
must demonstrate the technical necessity for using an alternative test 
cycle and the degree to which the alternative test cycle demonstrates 
that in-use operation with the malfunctioning component will result in 
proper MIL activation.
    (5) Evaluation protocol. Full OBD engine ratings, as defined by 
paragraph (o)(1) of this section, shall be evaluated according to the 
following protocol:
    (i) For all tests conducted as required by paragraph (l) of this 
section, the MIL must activate before the end of the first engine start 
portion of the applicable test.
    (ii) If the MIL activates prior to emissions exceeding the 
applicable malfunction criteria limits specified in paragraphs (g) 
through (i), no further demonstration is required. With respect to the 
misfire monitor demonstration test, if the manufacturer has elected to 
use the minimum misfire malfunction criteria of one percent as allowed 
in paragraphs (g)(2)(ii)(B), if applicable, and (h)(2)(ii)(B) of this 
section, no further demonstration is required provided the MIL activates 
with engine misfire occurring at the malfunction criteria limit.
    (iii) If the MIL does not activate when the system or component is 
set at its malfunction criteria limit(s), the criteria limit(s) or the 
OBD system is not acceptable.
    (A) Except for testing of the catalyst or DPF system, if the MIL 
first activates after emissions exceed the applicable malfunction 
criteria specified in paragraphs (g) through (i) of this section, the 
test engine shall be retested with the tested system or component 
adjusted so that the MIL will activate before emissions exceed the 
applicable malfunction criteria specified in paragraphs (g) through (i) 
of this section. If the component cannot be so adjusted because an 
alternative fuel or emission control strategy is used when a malfunction 
is detected (e.g., open loop fuel control used after an oxygen sensor 
malfunction is detected), the test engine shall be retested with the 
component adjusted to the worst acceptable limit (i.e., the applicable 
OBD monitor indicates that the component is performing at or slightly 
better than the malfunction criteria limit). When tested with the 
component so adjusted, the MIL must not activate during the test and the 
engine emissions must be

[[Page 541]]

below the applicable malfunction criteria specified in paragraphs (g) 
through (i) of this section.
    (B) In testing the catalyst or DPF system, if the MIL first 
activates after emissions exceed the applicable emissions threshold(s) 
specified in paragraphs (g) and (h), the tested engine shall be retested 
with a less deteriorated catalyst or DPF system (i.e., more of the 
applicable engine out pollutants are converted or trapped). For the OBD 
system to be approved, testing shall be continued until the MIL 
activates with emissions below the applicable thresholds of paragraphs 
(g) and (h) of this section, or the MIL activates with emissions within 
a range no more than 20 percent below the applicable emissions 
thresholds and 10 percent or less above those emissions thresholds.
    (iv) If an OBD system is determined to be unacceptable by the 
criteria of this paragraph (l)(5) of this section, the manufacturer may 
recalibrate and retest the system on the same test engine. In such a 
case, the manufacturer must confirm, by retesting, that all systems and 
components that were tested prior to the recalibration and are affected 
by it still function properly with the recalibrated OBD system.
    (6) Confirmatory testing. (i) The Administrator may perform 
confirmatory testing to verify the emission test data submitted by the 
manufacturer as required by this paragraph (l) of this section comply 
with its requirements and the malfunction criteria set forth in 
paragraphs (g) through (i) of this section. Such confirmatory testing is 
limited to the test engine(s) required by paragraph (l)(2) of this 
section.
    (ii) To conduct this confirmatory testing, the Administrator may 
install appropriately deteriorated or malfunctioning components (or 
simulate them) in an otherwise properly functioning test engine of an 
engine rating represented by the demonstration test engine in order to 
test any of the components or systems required to be tested by paragraph 
(l) of this section. The manufacturer shall make available, if 
requested, an engine and all test equipment (e.g., malfunction 
simulators, deteriorated components) necessary to duplicate the 
manufacturer's testing. Such a request from the Administrator shall 
occur within six months of reviewing and approving the demonstration 
test engine data submitted by the manufacturer for the specific engine 
rating.
    (7) Catalyst aging--(i) Diesel catalysts. For purposes of 
determining the catalyst malfunction limits for the monitoring required 
by paragraphs (g)(5)(ii)(A), (g)(5)(ii)(B), and (g)(6)(ii)(A) of this 
section, where those catalysts are monitored individually, the 
manufacturer must use a catalyst deteriorated to the malfunction 
criteria using methods established by the manufacturer to represent real 
world catalyst deterioration under normal and malfunctioning engine 
operating conditions. For purposes of determining the catalyst 
malfunction limits for the monitoring required by paragraphs 
(g)(5)(ii)(A), (g)(5)(ii)(B), and (g)(6)(ii)(A) of this section, where 
those catalysts are monitored in combination with other catalysts, the 
manufacturer must submit their catalyst system aging and monitoring plan 
to the Administrator as part of their certification documentation 
package. The plan must include the description, emission control 
purpose, and location of each component, the monitoring strategy for 
each component and/or combination of components, and the method for 
determining the applicable malfunction criteria including the 
deterioration/aging process.
    (ii) Gasoline catalysts. For the purposes of determining the 
catalyst system malfunction criteria in paragraph (h)(6)(ii) of this 
section, the manufacturer must use a catalyst system deteriorated to the 
malfunction criteria using methods established by the manufacturer to 
represent real world catalyst deterioration under normal and 
malfunctioning operating conditions. The malfunction criteria must be 
established by using a catalyst system with all monitored and 
unmonitored (downstream of the sensor utilized for catalyst monitoring) 
catalysts simultaneously deteriorated to the malfunction criteria except 
for those engines that use fuel shutoff to prevent over-fueling during 
engine misfire conditions. For such engines, the malfunction criteria 
must be established by

[[Page 542]]

using a catalyst system with all monitored catalysts simultaneously 
deteriorated to the malfunction criteria while unmonitored catalysts 
shall be deteriorated to the end of the engine's useful life.
    (m) Certification documentation requirements. (1) When submitting an 
application for certification of an engine, the manufacturer must submit 
the following documentation. If any of the items listed here are 
standardized for all of the manufacturer's engines, the manufacturer 
may, for each model year, submit one set of documents covering the 
standardized items for all of its engines.
    (i) For the required documentation that is not standardized across 
all engines, the manufacturer may be allowed to submit documentation for 
certification from one engine that is representative of other engines. 
All such engines shall be considered to be part of an OBD certification 
documentation group. To represent the OBD group, the chosen engine must 
be certified to the most stringent emissions standards and OBD 
monitoring requirements and cover all of the emissions control devices 
for the engines in the group and covered by the submitted documentation. 
Such OBD groups must be approved in advance of certification.
    (ii) Upon approval, one or more of the documentation requirements of 
this paragraph (m) of this section may be waived or modified if the 
information required is redundant or unnecessarily burdensome to 
generate.
    (iii) To the extent possible, the certification documentation must 
use SAE J1930 (as specified in paragraph (k)(1) of this section) or SAE 
J2403 (as specified in paragraph (k)(1) of this section) terms, 
abbreviations, and acronyms as specified in paragraph (k)(1) of this 
section.
    (2) Unless otherwise specified, the following information must be 
submitted as part of the certification application and prior to 
receiving a certificate.
    (i) A description of the functional operation of the OBD system 
including a complete written description for each monitoring strategy 
that outlines every step in the decision-making process of the monitor. 
Algorithms, diagrams, samples of data, and/or other graphical 
representations of the monitoring strategy shall be included where 
necessary to adequately describe the information.
    (ii) A table including the following information for each monitored 
component or system (either computer-sensed or computer-controlled) of 
the emissions control system:
    (A) Corresponding diagnostic trouble code.
    (B) Monitoring method or procedure for malfunction detection.
    (C) Primary malfunction detection parameter and its type of output 
signal.
    (D) Malfunction criteria limits used to evaluate output signal of 
primary parameter.
    (E) Other monitored secondary parameters and conditions (in 
engineering units) necessary for malfunction detection.
    (F) Monitoring time length and frequency of monitoring events.
    (G) Criteria for storing a diagnostic trouble code.
    (H) Criteria for activating a malfunction indicator light.
    (I) Criteria used for determining out-of-range values and input 
component rationality checks.
    (iii) Whenever possible, the table required by paragraph (m)(2)(ii) 
of this section shall use the following engineering units:
    (A) Degrees Celsius for all temperature criteria.
    (B) KiloPascals (KPa) for all pressure criteria related to manifold 
or atmospheric pressure.
    (C) Grams (g) for all intake air mass criteria.
    (D) Pascals (Pa) for all pressure criteria related to evaporative 
system vapor pressure.
    (E) Miles per hour (mph) for all vehicle speed criteria.
    (F) Relative percent (%) for all relative throttle position criteria 
(as defined in SAE J1979 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section)).
    (G) Voltage (V) for all absolute throttle position criteria (as 
defined in SAE J1979 or SAE J1939 (both as specified in paragraph (k)(1) 
of this section)).

[[Page 543]]

    (H) Per crankshaft revolution (/rev) for all changes per ignition 
event based criteria (e.g., g/rev instead of g/stroke or g/firing).
    (I) Per second (/sec) for all changes per time based criteria (e.g., 
g/sec).
    (J) Percent of nominal tank volume (%) for all fuel tank level 
criteria.
    (iv) A logic flowchart describing the step-by-step evaluation of the 
enable criteria and malfunction criteria for each monitored emission 
related component or system.
    (v) Emissions test data, a description of the testing sequence 
(e.g., the number and types of preconditioning cycles), approximate time 
(in seconds) of MIL activation during the test, diagnostic trouble 
code(s) and freeze frame information stored at the time of detection, 
corresponding test results (e.g. SAE J1979 (as specified in paragraph 
(k)(1) of this section) Mode/Service $06, SAE J1939 (as specified in 
paragraph (k)(1) of this section) Diagnostic Message 8 (DM8)) stored 
during the test, and a description of the modified or deteriorated 
components used for malfunction simulation with respect to the 
demonstration tests specified in paragraph (l) of this section. The 
freeze frame data are not required for engines termed ``Extrapolated 
OBD'' engines.
    (vi) For gasoline engines, data supporting the misfire monitor, 
including:
    (A) The established percentage of misfire that can be tolerated 
without damaging the catalyst over the full range of engine speed and 
load conditions.
    (B) Data demonstrating the probability of detection of misfire 
events by the misfire monitoring system over the full engine speed and 
load operating range for the following misfire patterns: random 
cylinders misfiring at the malfunction criteria established in paragraph 
(h)(2)(ii)(B) of this section, one cylinder continuously misfiring, and 
paired cylinders continuously misfiring.
    (C) Data identifying all disablement of misfire monitoring that 
occurs during the FTP. For every disablement that occurs during the 
cycles, the data shall identify: when the disablement occurred relative 
to the driver's trace, the number of engine revolutions during which 
each disablement was present, and which disable condition documented in 
the certification application caused the disablement.
    (D) Manufacturers are not required to use the durability 
demonstration engine to collect the misfire data required by paragraph 
(m)(2)(vi) of this section.
    (vii) Data supporting the limit for the time between engine starting 
and attaining the designated heating temperature for after-start heated 
catalyst systems.
    (viii) Data supporting the criteria used to detect a malfunction of 
the fuel system, EGR system, boost pressure control system, catalyst, 
NOX adsorber, DPF, cold start emission reduction strategy, 
secondary air, evaporative system, VVT system, exhaust gas sensors, and 
other emission controls that causes emissions to exceed the applicable 
malfunction criteria specified in paragraphs (g) through (i) of this 
section. For diesel engine monitors required by paragraphs (g) and (i) 
of this section that are required to indicate a malfunction before 
emissions exceed an emission threshold based on any applicable standard 
(e.g., 2.5 times any of the applicable standards), the test cycle and 
standard determined by the manufacturer to be the most stringent for 
each applicable monitor in accordance with paragraph (f)(1) of this 
section.
    (ix) A list of all electronic powertrain input and output signals 
(including those not monitored by the OBD system) that identifies which 
signals are monitored by the OBD system. For input and output signals 
that are monitored as comprehensive components, the listing shall also 
identify the specific diagnostic trouble code for each malfunction 
criteria (e.g., out-of-range low, out-of-range high, open circuit, 
rationality low, rationality high).
    (x) A written description of all parameters and conditions necessary 
to begin closed-loop/feedback control of emission control systems (e.g., 
fuel system, boost pressure, EGR flow, SCR reductant delivery, DPF 
regeneration, fuel system pressure).
    (xi) A written identification of the communication protocol utilized 
by each engine for communication with a scan tool (model years 2010 
through

[[Page 544]]

2012) or an SAE J1978 or SAE J1939 (both as specified in paragraph 
(k)(1) of this section) scan tool (model years 2013 and later).
    (xii) For model years 2013 and later, a pictorial representation or 
written description of the diagnostic connector location including any 
covers or labels.
    (xiii) A written description of the method used by the manufacturer 
to meet the requirements of paragraph (i)(2) of this section (crankcase 
ventilation system monitoring) including diagrams or pictures of valve 
and/or hose connections.
    (xiv) Build specifications provided to engine purchasers or chassis 
manufacturers detailing all specifications or limitations imposed on the 
engine purchaser relevant to OBD requirements or emissions compliance 
(e.g., cooling system heat rejection rates, allowable MIL locations, 
connector location specifications). A description of the method or 
copies of agreements used to ensure engine purchasers or chassis 
manufacturers will comply with the OBD and emissions relevant build 
specifications (e.g., signed agreements, required audit/evaluation 
procedures).
    (xv) Any other information determined by the Administrator to be 
necessary to demonstrate compliance with the requirements of this 
section.
    (3) In addition to the documentation required by paragraphs (m)(1) 
and (m)(2) of this section, a manufacturer making use of paragraph 
(a)(5) of this section must submit the following information with their 
application for certification.
    (i) A detailed description of how the OBD system meets the intent of 
Sec.  86.010-18.
    (ii) A detailed description of why the manufacturer has chosen not 
to design the OBD system to meet the requirements of Sec.  86.010-18 and 
has instead designed the OBD system to meet the applicable California 
OBD requirements.
    (iii) A detailed description of any deficiencies granted by the 
California staff and any concerns raised by California staff. A copy of 
a California Executive Order alone will not be considered acceptable 
toward meeting this requirement. This description shall also include, to 
the extent feasible, a plan with timelines for resolving deficiencies 
and/or concerns.
    (n) Deficiencies. (1) Upon application by the manufacturer, the 
Administrator may accept an OBD system as compliant even though specific 
requirements are not fully met. Such compliances without meeting 
specific requirements, or deficiencies, will be granted only if 
compliance is infeasible or unreasonable considering such factors as, 
but not limited to: Technical feasibility of the given monitor and lead 
time and production cycles including phase-in or phase-out of engines or 
vehicle designs and programmed upgrades of computers. Unmet requirements 
shall not be carried over from the previous model year except where 
unreasonable hardware or software modifications are necessary to correct 
the deficiency, and the manufacturer has demonstrated an acceptable 
level of effort toward compliance as determined by the Administrator. 
Furthermore, EPA will not accept any deficiency requests that include 
the complete lack of a major diagnostic monitor (``major'' diagnostic 
monitors being those for exhaust aftertreatment devices, oxygen sensor, 
air-fuel ratio sensor, NOX sensor, engine misfire, 
evaporative leaks, and diesel EGR, if equipped), with the possible 
exception of the special provisions for alternative fueled engines. For 
alternative fueled heavy-duty engines (e.g., natural gas, liquefied 
petroleum gas, methanol, ethanol), manufacturers may request the 
Administrator to waive specific monitoring requirements of this section 
for which monitoring may not be reliable with respect to the use of the 
alternative fuel. At a minimum, alternative fuel engines must be 
equipped with an OBD system meeting OBD requirements to the extent 
feasible as approved by the Administrator.
    (2) In the event the manufacturer seeks to carry-over a deficiency 
from a past model year to the current model year, the manufacturer must 
re-apply for approval to do so. In considering the request to carry-over 
a deficiency, the Administrator shall consider the manufacturer's 
progress towards correcting the deficiency. The Administrator may not 
allow manufacturers to

[[Page 545]]

carry over monitoring system deficiencies for more than two model years 
unless it can be demonstrated that substantial engine hardware 
modifications and additional lead time beyond two years are necessary to 
correct the deficiency.
    (3) A deficiency shall not be granted retroactively (i.e., after the 
engine has been certified).
    (o) Implementation schedule. Except as specifically provided for in 
this paragraph (o) for small volume manufacturers and alternative fueled 
engines, the requirements of this section must be met according to the 
following provisions:
    (1) For model years 2010 through 2012--(i) Full OBD. The 
manufacturer must implement an OBD system meeting the applicable 
requirements of Sec.  86.010-18 on one engine rating within one engine 
family of the manufacturer's product line. This ``Full OBD'' rating will 
be known as the ``OBD parent'' rating. The OBD parent rating must be 
chosen, unless otherwise approved by the Administrator, as the rating 
having the highest weighted projected U.S. sales within the engine 
family having the highest weighted projected U.S. sales, with U.S. sales 
being weighted by the useful life of the engine rating.
    (ii) Extrapolated OBD. For all other engine ratings within the 
engine family from which the OBD parent rating has been selected, the 
manufacturer must implement an OBD system meeting the applicable 
requirements of Sec.  86.010-18 except that the OBD system is not 
required to detect a malfunction prior to exceeding the emission 
thresholds shown in Table 1 of paragraph (g) and Table 2 of paragraph 
(h) of this section. These ``Extrapolated OBD'' engines will be know as 
the ``OBD child'' ratings. On these OBD child ratings, rather than 
detecting a malfunction prior to exceeding the emission thresholds, the 
manufacturer must submit a plan for Administrator review and approval 
that details the engineering evaluation the manufacturer will use to 
establish the malfunction criteria for the OBD child ratings. The plan 
must demonstrate both the use of good engineering judgment in 
establishing the malfunction criteria, and robust detection of 
malfunctions, including consideration of differences of base engine, 
calibration, emission control components, and emission control 
strategies.
    (iii) Engine families other than those from which the parent and 
child ratings have been selected, are not subject to the requirements of 
this section.
    (iv) Small volume manufacturers, as defined in Sec.  86.094-14(b)(1) 
and (2) and as determined using 2010 model year sales, are exempt from 
the requirements of this Sec.  86.010-18, unless model year 2011 or 
model year 2012 sales exceed 20,000 units.
    (v) Engines certified as alternative fueled engines are exempt from 
the requirements of this Sec.  86.010-18.
    (2) For model years 2013 through 2015--(i) OBD groups. The 
manufacturer shall define one or more OBD groups to cover all engine 
ratings in all engine families. The manufacturer must submit a grouping 
plan for Administrator review and approval detailing the OBD groups and 
the engine families and engine ratings within each group for a given 
model year.
    (ii) Full OBD. (A) For all model year 2010 through 2012 ``Full OBD'' 
and ``Extrapolated OBD'' engine ratings, the manufacturer must implement 
an OBD system meeting the applicable requirements of this section.
    (B) On one engine rating within each of the manufacturer's OBD 
groups, the manufacturer must implement an OBD system meeting the 
applicable requirements of this section. These ``Full OBD'' ratings will 
be known as the ``OBD parent'' ratings. The OBD parent rating for each 
OBD group shall be chosen, unless otherwise approved by the 
Administrator, as the rating having the highest weighted projected U.S. 
sales within the OBD group, with U.S. sales being weighted by the useful 
life of the engine rating.
    (iii) Extrapolated OBD. For all other engine ratings within each OBD 
group, the manufacturer must implement an OBD system meeting the 
requirements of this section except that the OBD system is not required 
to detect a malfunction prior to exceeding the emission thresholds shown 
in Table 1 of paragraph (g) and Table 2 of paragraph (h) of this 
section. These extrapolated OBD engines will be know as the ``OBD

[[Page 546]]

child'' ratings. On these OBD child ratings, rather than detecting a 
malfunction prior to exceeding the emission thresholds, the manufacturer 
must submit a plan for Administrator review and approval that details 
the engineering evaluation the manufacturer will use to establish the 
malfunction criteria for the OBD child ratings. The plan must 
demonstrate both the use of good engineering judgment in establishing 
the malfunction criteria, and robust detection of malfunctions, 
including consideration of differences of base engine, calibration, 
emission control components, and emission control strategies.
    (iv) Engines certified as alternative fueled engines shall meet, to 
the extent feasible, the requirements specified in paragraph (i)(3) of 
this Sec.  86.010-18. Additionally, such engines shall monitor the 
NOX aftertreatment system on engines so equipped and detect a 
malfunction if:
    (A) The NOX aftertreatment system has no detectable 
amount of NOX aftertreatement capability (i.e., 
NOX catalyst conversion or NOX adsorption).
    (B) The NOX aftertreatment substrate is completely 
destroyed, removed, or missing.
    (C) The NOX aftertreatment assembly is replaced with a 
straight pipe.
    (3) For model years 2016 through 2018--(i) OBD groups. The 
manufacturer shall define one or more OBD groups to cover all engine 
ratings in all engine families. The manufacturer must submit a grouping 
plan for Administrator review and approval detailing the OBD groups and 
the engine families and engine ratings within each group for a given 
model year.
    (ii) Full OBD. The manufacturer must implement an OBD system meeting 
the applicable requirements of this section on all engine ratings in all 
engine families.
    (iii) Engines certified as alternative fueled engines shall meet, to 
the extent feasible, the requirements specified in paragraph (i)(3) of 
this Sec.  86.010-18. Additionally, such engines shall monitor the 
NOX aftertreatment system on engines so equipped and detect a 
malfunction if:
    (A) The NOX aftertreatment system has no detectable 
amount of NOX aftertreatement capability (i.e., 
NOX catalyst conversion or NOX adsorption).
    (B) The NOX aftertreatment substrate is completely 
destroyed, removed, or missing.
    (C) The NOX aftertreatment assembly is replaced with a 
straight pipe.
    (4) For model years 2019 and later. (i) The manufacturer must 
implement an OBD system meeting the applicable requirements of Sec.  
86.010-18 on all engines.
    (p) In-use compliance standards. For monitors required to indicate a 
malfunction before emissions exceed a certain emission threshold (e.g., 
2.5 times any of the applicable standards):
    (1) For model years 2010 through 2012. (i) On the full OBD rating 
(i.e., the parent rating) as defined in paragraph (o)(1) of this 
section, separate in-use emissions thresholds shall apply. These 
thresholds are determined by doubling the applicable thresholds as shown 
in Table 1 of paragraph (g) and Table 2 of paragraph (h) of this 
section. The resultant thresholds apply only in-use and do not apply for 
certification or selective enforcement auditing.
    (ii) The extrapolated OBD ratings (i.e., the child ratings) as 
defined in paragraph (o)(1) of this section shall not be evaluated 
against emissions levels for purposes of OBD compliance in-use.
    (iii) Only the test cycle and standard determined and identified by 
the manufacturer at the time of certification in accordance with 
paragraph (f) of this section as the most stringent shall be used for 
the purpose of determining OBD system noncompliance in-use.
    (iv) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.
    (2) For model years 2013 through 2015. (i) On the full OBD ratings 
as defined in paragraph (o)(2) of this section, separate in-use 
emissions thresholds shall apply. These thresholds are determined by 
doubling the applicable thresholds as shown in Table 1 of paragraph (g) 
and Table 2 of paragraph (h) of this section. The resultant thresholds 
apply

[[Page 547]]

only in-use and do not apply for certification or selective enforcement 
auditing.
    (ii) The extrapolated OBD ratings as defined in paragraph (o)(2) of 
this section shall not be evaluated against emissions levels for 
purposes of OBD compliance in-use.
    (iii) Only the test cycle and standard determined and identified by 
the manufacturer at the time of certification in accordance with 
paragraph (f) of this section as the most stringent shall be used for 
the purpose of determining OBD system noncompliance in-use.
    (iv) For monitors subject to meeting the minimum in-use monitor 
performance ratio of 0.100 in paragraph (d)(1)(ii), the OBD system shall 
not be considered noncompliant unless a representative sample indicates 
the in-use ratio is below 0.050.
    (v) An OBD system shall not be considered noncompliant solely due to 
a failure or deterioration mode of a monitored component or system that 
could not have been reasonably foreseen to occur by the manufacturer.
    (3) For model years 2016 through 2018. (i) On the engine ratings 
tested according to (l)(2)(iii) of this section, the certification 
emissions thresholds shall apply in-use.
    (ii) On the manufacturer's remaining engine ratings, separate in-use 
emissions thresholds shall apply. These thresholds are determined by 
doubling the applicable thresholds as shown in Table 1 of paragraph (g) 
and Table 2 of paragraph (h) of this section. The resultant thresholds 
apply only in-use and do not apply for certification or selective 
enforcement auditing.
    (iii) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.
    (4) For model years 2019 and later. (i) On all engine ratings, the 
certification emissions thresholds shall apply in-use.
    (ii) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that could not have been reasonably foreseen to occur by the 
manufacturer.
    (q) Optional phase-in for hybrid vehicles. This paragraph (q) 
applies for model year 2013 through 2015 engines when used with hybrid 
powertrain systems. It also applies for model year 2016 engines used 
with hybrid powertrain systems that were offered for sale prior to 
January 1, 2013, as specified in paragraph (q)(4) of this section. 
Manufacturers choosing to use the provisions of this paragraph (q) must 
submit an annual pre-compliance report to EPA for model years 2013 and 
later, as specified in paragraph (q)(5) of this section. Note that all 
hybrid powertrain systems must be fully compliant with the OBD 
requirements of this section no later than model year 2017.
    (1) If an engine-hybrid system has been certified by the California 
Air Resources Board with respect to its OBD requirements and it 
effectively meets the full OBD requirements of this section, all 
equivalent systems must meet those same requirements and may not be 
certified under this paragraph (q). For purposes of this paragraph 
(q)(1), an engine-hybrid system is considered to be equivalent to the 
certified system if it uses the same basic design (e.g. displacement) 
for the engine and primary hybrid components (see paragraph (q)(4) of 
this section). Equivalent systems may have minor hardware or calibration 
differences.
    (2) As of 2013, if an engine-hybrid system has not been certified to 
meet the full OBD requirements of this section, it must comply with the 
following requirements:
    (i) The engine in its installed configuration must meet the EMD and 
EMD + requirements in 13 CCR Sec.  1971.1(d)(7.1.4) of the California 
Code of Regulations. For purposes of this paragraph (q), a given EMD 
requirement is deemed to be met if the engine's OBD system addresses the 
same function. This allowance does not apply for OBD monitors or 
diagnostics that have been modified under paragraph (q)(2)(ii) of this 
section.
    (ii) The engine-hybrid system must maintain existing OBD capability 
for engines where the same or equivalent engine has been OBD certified. 
An equivalent engine is one produced by the same engine manufacturer 
with the

[[Page 548]]

same fundamental design, but that may have hardware or calibration 
differences that do not impact OBD functionality, such as slightly 
different displacement, rated power, or fuel system. (Note that engines 
with the same fundamental design will be presumed to be equivalent 
unless the manufacturer demonstrates that the differences effectively 
preclude applying equivalent OBD systems.) Though the OBD capability 
must be maintained, it does not have to meet detection thresholds (as 
described in Tables 1 and 2 of this section) and in-use performance 
frequency requirements (as described in paragraph (d) of this section). 
A manufacturer may modify detection thresholds to prevent false 
detection, and must indicate all deviations from the originally 
certified package with engineering justification in the certification 
documentation.
    (iii) This paragraph (q)(2)(iii) applies for derivatives of hybrid 
powertrain system designs that were offered for sale prior to January 1, 
2013. Until these systems achieve full OBD certification, they must at a 
minimum maintain all fault-detection and diagnostic capability included 
on similar systems offered for sale prior to 2013. Manufacturers 
choosing to use the provisions of this paragraph (q)(2) must keep copies 
of the service manuals (and similar documents) for these previous model 
years to show the technical description of the system's fault detection 
and diagnostic capabilities.
    (iv) You must submit an annual pre-compliance report to EPA for 
model years 2013 and later, as specified in paragraph (q)(5) of this 
section.
    (3) Engine-hybrid systems may be certified to the requirements of 
paragraph (q)(2) of this section by the engine manufacturer, the hybrid 
system manufacturer, or the vehicle manufacturer. If engine 
manufacturers certify the engine hybrid system, they must provide 
detailed installation instructions. Where the engine manufacturer does 
not specifically certify its engines for use in hybrid vehicles under 
this paragraph (q), the hybrid system manufacturer and vehicle 
manufacturer must install the engine to conform to the requirements of 
this section (i.e., full OBD) or recertify under paragraph (q)(2) of 
this section.
    (4) The provisions of this paragraph (q) apply for model year 2016 
engines where you demonstrate that the hybrid powertrain system used is 
a derivative of a design that was offered for sale prior to January 1, 
2013. In this case, you may ask us to consider the original system and 
the later system to be the same model for purposes of this paragraph 
(q), unless the systems are fundamentally different. In determining 
whether such systems are derivative or fundamentally different, we will 
consider factors such as the similarity of the following:
    (i) Transmissions.
    (ii) Hybrid machines (where ``hybrid machine'' means any system that 
is the part of a hybrid vehicle system that captures energy from and 
returns energy to the powertrain).
    (iii) Hybrid architecture (such as parallel or series).
    (iv) Motor/generator size, controller/CPU (memory or inputs/
outputs), control algorithm, and batteries. This paragraph (q)(4)(iv) 
applies only if all of these are modified simultaneously.
    (5) Manufacturers choosing to use the provisions of this paragraph 
(q) must submit an annual pre-compliance report to EPA for model years 
2013 and later. Engine manufacturers must submit this report with their 
engine certification information. Hybrid manufacturers that are not 
certifying the engine-hybrid system must submit their report by June 1 
of the model year, or at the time of certification if they choose to 
certify. Include the following in the report:
    (i) A description of the manufacturer's product plans and of the 
engine-hybrid systems being certified.
    (ii) A description of activities undertaken and progress made by the 
manufacturer towards achieving full OBD certification, including 
monitoring, diagnostics, and standardization.
    (iii) For model year 2016 engines, a description of your basis for 
applying the provision of this paragraph (q) to the engines.
    (6) Manufacturers that modify the engine's diagnostic system from 
the approved configuration to be compatible with a hybrid powertrain 
system

[[Page 549]]

under this paragraph (q) must add the following compliance statement to 
the ECI label: ``for use in hybrid applications only''.

[74 FR 8369, Feb. 24, 2009, as amended at 76 FR 57374, Sept. 15, 2011; 
78 FR 36388, June 17, 2013]



Sec.  86.010-38  Maintenance instructions.

    (a) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor vehicle (or motor vehicle engine) subject to 
the standards prescribed in Sec.  86.099-8, Sec.  86.004-9, Sec.  
86.004-10, or Sec.  86.004-11, as applicable, written instructions for 
the proper maintenance and use of the vehicle (or engine), by the 
purchaser consistent with the provisions of Sec.  86.004-25, which 
establishes what scheduled maintenance the Administrator approves as 
being reasonable and necessary.
    (1) The maintenance instructions required by this section shall be 
in clear, and to the extent practicable, nontechnical language.
    (2) The maintenance instructions required by this section shall 
contain a general description of the documentation which the 
manufacturer will require from the ultimate purchaser or any subsequent 
purchaser as evidence of compliance with the instructions.
    (b) Instructions provided to purchasers under paragraph (a) of this 
section shall specify the performance of all scheduled maintenance 
performed by the manufacturer on certification durability vehicles and, 
in cases where the manufacturer performs less maintenance on 
certification durability vehicles than the allowed limit, may specify 
the performance of any scheduled maintenance allowed under Sec.  86.004-
25.
    (c) Scheduled emission-related maintenance in addition to that 
performed under Sec.  86.004-25(b) may only be recommended to offset the 
effects of abnormal in-use operating conditions, except as provided in 
paragraph (d) of this section. The manufacturer shall be required to 
demonstrate, subject to the approval of the Administrator, that such 
maintenance is reasonable and technologically necessary to assure the 
proper functioning of the emission control system. Such additional 
recommended maintenance shall be clearly differentiated, in a form 
approved by the Administrator, from that approved under Sec.  86.004-
25(b).
    (d) Inspections of emission-related parts or systems with 
instructions to replace, repair, clean, or adjust the parts or systems 
if necessary, are not considered to be items of scheduled maintenance 
which insure the proper functioning of the emission control system. Such 
inspections, and any recommended maintenance beyond that approved by the 
Administrator as reasonable and necessary under paragraphs (a), (b), and 
(c) of this section, may be included in the written instructions 
furnished to vehicle owners under paragraph (a) of this section: 
Provided, That such instructions clearly state, in a form approved by 
the Administrator, that the owner need not perform such inspections or 
recommended maintenance in order to maintain the emissions defect and 
emissions performance warranty or manufacturer recall liability.
    (e) The manufacturer may choose to include in such instructions an 
explanation of any distinction between the useful life specified on the 
label, and the emissions defect and emissions performance warranty 
period. The explanation must clearly state that the useful life period 
specified on the label represents the average period of use up to 
retirement or rebuild for the engine family represented by the engine 
used in the vehicle. An explanation of how the actual useful lives of 
engines used in various applications are expected to differ from the 
average useful life may be included. The explanation(s) shall be in 
clear, non-technical language that is understandable to the ultimate 
purchaser.
    (f) If approved by the Administrator, the instructions provided to 
purchasers under paragraph (a) of this section shall indicate what 
adjustments or modifications, if any, are necessary to allow the vehicle 
to meet applicable emission standards at elevations above 4,000 feet, or 
at elevations of 4,000 feet or less.
    (g) Manufacturers are subject to the service-information 
requirements of Sec.  86.1808-01(f) beginning in the 2005 model year for 
manufacturers of heavy-duty vehicles and heavy-duty engines

[[Page 550]]

weighing 14,000 pounds gross vehicle weight (GVW) and less that are 
subject to the OBD requirements of this part.
    (h) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor engine subject to the standards prescribed 
in Sec.  86.004-10 or Sec.  86.004-11, as applicable, the following:
    (1) Instructions for all maintenance needed after the end of the 
useful life of the engine for critical emissions-related components as 
provided in Sec.  86.004-25(b), including recommended practices for 
diagnosis, cleaning, adjustment, repair, and replacement of the 
component (or a statement that such component is maintenance free for 
the life of the engine) and instructions for accessing and responding to 
any emissions-related diagnostic codes that may be stored in on-board 
monitoring systems;
    (2) A copy of the engine rebuild provisions contained in Sec.  
86.004-40.
    (i) Through model year 2013, the manufacturer shall furnish or cause 
to be furnished to the ultimate purchaser the following statement for 
each new diesel-fueled engine subject to the standards prescribed in 
Sec.  86.007-11, as applicable: ``This engine must be operated only with 
ultra low-sulfur diesel fuel (meeting EPA specifications for highway 
diesel fuel, including a 15 ppm sulfur cap).''
    (j) The following provisions describe requirements related to 
emission control diagnostic service information for heavy-duty engines 
used in vehicles over 14,000 pounds gross vehicle weight (GVW):
    (1) Manufacturers of heavy-duty engines used in applications 
weighing more than 14,000 pounds gross vehicle weight (GVW) that are 
subject to the applicable OBD requirements of this subpart A are subject 
to the provisions of this paragraph (j) beginning in the 2010 model 
year. The provisions of this paragraph (j) apply only to those heavy-
duty engines subject to the applicable OBD requirements.
    (2) Upon Administrator approval, manufacturers of vehicles may 
alternatively comply with all service information and tool provisions 
found in Sec.  86.1808-01 that are applicable to 2001 and subsequent 
model year vehicles weighing less than 14,000 pounds gross vehicle 
weight (GVW). Upon Administrator approval, manufacturers that produce 
engines for use in vehicles between 8,500 and 14,000 pounds may, for 
those engines, alternatively comply with all service information and 
tool provisions in Sec.  86.010-38(j) that are applicable to 2010 and 
subsequent model year vehicles over 14,000 pounds. Implementation dates 
must comply with the service information provision dates applicable to 
engines in vehicles between 8,500 and 14,000 pounds.
    (3) General requirements. (i) Manufacturers shall furnish or cause 
to be furnished to any person engaged in the repairing or servicing of 
heavy-duty engines, or the Administrator upon request, any and all 
information needed to make use of the on-board diagnostic system and 
such other information, including instructions for making emission-
related diagnosis and repairs, including but not limited to service 
manuals, technical service bulletins, recall service information, bi-
directional control information, and training information, unless such 
information is protected by section 208(c) as a trade secret. 
Manufacturers may take steps to restrict warranty and customer assurance 
plan information used only for the purpose of providing such 
manufacturer covered repairs to only those repair locations authorized 
by the manufacturer. No such information may be withheld under section 
208(c) of the Act if that information is provided (directly or 
indirectly) by the manufacturer to franchised dealers, authorized 
service networks, or other persons engaged in the repair, diagnosing, or 
servicing of heavy-duty engines.
    (ii) Definitions. The following definitions apply for this paragraph 
(j):
    (A) Aftermarket service provider means any individual or business 
engaged in the diagnosis, service, and repair of a heavy-duty engine, 
who is not directly affiliated with a manufacturer or manufacturer 
franchised dealership, or authorized service network.
    (B) Authorized service network means a group of independent service 
and repair facilities that are recognized by engine manufacturers as 
being capable of performing repairs to factory specification, including 
warranty repair work.

[[Page 551]]

    (C) Bi-directional control means the capability of a diagnostic tool 
to send messages on the data bus that temporarily overrides the module's 
control over a sensor or actuator and gives control to the diagnostic 
tool operator. Bi-directional controls do not create permanent changes 
to engine or component calibrations.
    (D) Data stream information means information (i.e., messages and 
parameters) originated within the engine by a module or intelligent 
sensors (i.e., a sensor that contains and is controlled by its own 
module) and transmitted between a network of modules and/or intelligent 
sensors connected in parallel with either one or more communication 
wires. The information is broadcast over the communication wires for use 
by the OBD system to gather information on emissions-related components 
or systems and from other engine modules that may impact emissions. For 
the purposes of this section, data stream information does not include 
engine calibration related information, or any data stream information 
from systems or modules that do not impact emissions.
    (E) Emissions-related information means any information related to 
the diagnosis, service, and repair of emissions-related components. 
Emissions-related information includes, but is not limited to, 
information regarding any system, component or part of an engine that 
controls emissions and that is part of the diagnostic strategy for an 
OBD monitor, but not limited to: The engine, the fuel system and 
ignition system; information for any system, component or part that is 
likely to impact emissions, and any other information specified by the 
Administrator to be relevant to the diagnosis and repair of an 
emissions-related problem; any other information specified by the 
Administrator to be relevant for the diagnosis and repair of an 
emissions-related failure found through an evaluation of vehicles in-use 
and after such finding has been communicated to the affected 
manufacturer(s).
    (F) Emissions-related training information means any information 
related training or instruction for the purpose of the diagnosis, 
service, and repair of emissions-related components.
    (G) Enhanced service and repair information means information which 
is specific for an original equipment manufacturer's brand of tools and 
equipment. This includes computer or anti-theft system initialization 
information necessary for the completion of any emissions-related repair 
on engines that employ integral security systems.
    (H) Equipment and tool company means a registered equipment or 
software company either public or private that is engaged in, or plans 
to engage in, the manufacture of scan tool reprogramming equipment or 
software.
    (I) Generic service and repair information means information which 
is not specific for an original equipment manufacturer's brand of tools 
and equipment.
    (J) Indirect information means any information that is not 
specifically contained in the service literature, but is contained in 
items such as tools or equipment provided to franchised dealers or 
authorized service networks (or others). This includes computer or anti-
theft system initialization information necessary for the completion of 
any emissions-related repair on engines that employ integral security 
systems.
    (K) Intermediary means any individual or entity, other than an 
original equipment manufacturer, which provides service or equipment to 
aftermarket service providers.
    (L) Manufacturer franchised dealership means any service provider 
with which a manufacturer has a direct business relationship.
    (M) Recalibration means the process of downloading to an engine's 
on-board computer emissions-related revisions of on-board computer 
application software and calibration parameters with default 
configurations. Recalibration is not dependent on the use of the vehicle 
identification number (VIN) in determining vehicle configuration.
    (N) Reconfiguration means the process of enabling or adjusting 
engine features or engine parameters associated with such features to 
adapt a heavy-duty engine to a particular vehicle and/or application.
    (O) Third party information provider means any individual or entity, 
other than an original equipment manufacturer, who consolidates 
manufacturer

[[Page 552]]

service information and makes this information available to aftermarket 
service providers.
    (P) Third party training provider means any individual or entity, 
other than an original equipment manufacturer who develops and/or 
delivers instructional and educational material for training courses.
    (4) Information dissemination. By July 1, 2010 each manufacturer 
shall provide or cause to be provided to the persons specified in 
paragraph (j)(3)(i) of this section and to any other interested parties 
a manufacturer-specific World Wide Web site containing the information 
specified in paragraph (j)(3)(i) of this section for 2010 and later 
model year engines which have been certified to the OBD requirements 
specified in Sec.  86.010-18 and are offered for sale; this requirement 
does not apply to indirect information, including the information 
specified in paragraphs (j)(13) through (j)(17) of this section. Upon 
request and approval of the Administrator, manufacturers who can 
demonstrate significant hardship in complying with this provision by 
August 27, 2009, may request an additional six months lead time to meet 
this requirement. Each manufacturer Web site shall:
    (i) Provide access in full-text to all of the information specified 
in paragraph (j)(6) of this section.
    (ii) Be updated at the same time as manufacturer franchised 
dealership or authorized service network World Wide Web sites.
    (iii) Provide users with a description of the minimum computer 
hardware and software needed by the user to access that manufacturer's 
information (e.g., computer processor speed and operating system 
software). This description shall appear when users first log-on to the 
home page of the manufacturer's Web site.
    (iv) Upon Administrator approval, implement a range of time periods 
for online access to any person specified in paragraph (j)(3)(i) of this 
section whereby the user will be able to access the site, search for the 
information, and purchase, view and print the information at a fair and 
reasonable cost as specified in paragraph (j)(8) of this section for 
each of the options. In addition, for each of the range of time periods, 
manufacturers are required to make their entire site accessible for the 
respective period of time and price. In other words, a manufacturer may 
not limit Web site access to just one make or one model.
    (v) Allow the user to search the manufacturer Web site by various 
topics including but not limited to model, model year, key words or 
phrases, etc., while allowing ready identification of the latest 
calibration. Manufacturers who do not use model year to classify their 
engines in their service information may use an alternate delineation 
such as body series. Any manufacturer utilizing this flexibility shall 
create a cross-reference to the corresponding model year and provide 
this cross-reference on the manufacturer Web site home page.
    (vi) Provide accessibility using common, readily available software 
and shall not require the use of software, hardware, viewers, or 
browsers that are not readily available to the general public. 
Manufacturers shall also provide hyperlinks to any plug-ins, viewers or 
browsers (e.g. Adobe Acrobat or Netscape) needed to access the 
manufacturer Web site.
    (vii) Allow simple hyper-linking to the manufacturer Web site from 
Government Web sites and automotive-related Web sites.
    (viii) Possess sufficient server capacity to allow ready access by 
all users and has sufficient capacity to assure that all users may 
obtain needed information without undue delay.
    (ix) Correct or delete any reported broken Web links on a weekly 
basis.
    (x) Allow for Web site navigation that does not require a user to 
return to the manufacturer home page or a search engine in order to 
access a different portion of the site.
    (xi) Allow users to print out any and all of the materials required 
to be made available on the manufacturers Web site that can be 
reasonably printed on a standard printer, including the ability to print 
it at the user's location.
    (5) Small volume provisions for information dissemination. (i) 
Manufacturers with total annual sales of less than 5,000 engines shall 
have until July 1, 2011 to launch their individual Web

[[Page 553]]

sites as required by paragraph (j)(4) of this section.
    (ii) Manufacturers with total annual sales of less than 1,000 
engines may, in lieu of meeting the requirement of paragraph (j)(4) of 
this section, request the Administrator to approve an alternative method 
by which the required emissions-related information can be obtained by 
the persons specified in paragraph (j)(3)(i) of this section.
    (6) Required information. All information relevant to the diagnosis 
and completion of emissions-related repairs shall be posted on 
manufacturer Web sites. This excludes indirect information specified in 
paragraphs (j)(7) and (j)(13) through (j)(17) of this section. To the 
extent that this information does not already exist in some form for 
their manufacturer franchised dealerships or authorized service 
networks, manufacturers are required to develop and make available the 
information required by this section to both their manufacturer 
franchised dealerships or authorized service networks and the 
aftermarket. The required information includes, but is not limited to:
    (i) Manuals, including subsystem and component manuals developed by 
a manufacturer's third party supplier that are made available to 
manufacturer franchised dealerships or authorized service networks, 
technical service bulletins (TSBs), recall service information, 
diagrams, charts, and training materials. Informal recall service 
information such as engineering notes and/or sketches are not required 
to be made available as long as this information is not made available 
to manufacturer franchised dealerships or authorized service networks in 
the form of manuals. Manuals and other such service information from 
third party suppliers are not required to be made available in full-text 
on manufacturer Web sites as described in paragraph (j)(4) of this 
section. Rather, manufacturers must make available on the manufacturer 
Web site as required by paragraph (j)(4) of this section an index of the 
relevant information and instructions on how to order such information. 
In the alternate, a manufacturer can create a link from its Web site to 
the Web site(s) of the third party supplier.
    (ii) OBD system information which includes, but is not limited to, 
the following:
    (A) A general description of the operation of each monitor, 
including a description of the parameter that is being monitored;
    (B) A listing of all typical OBD diagnostic trouble codes associated 
with each monitor;
    (C) A description of the typical enabling conditions (either generic 
or monitor-specific) for each monitor (if equipped) to execute during 
engine operation, including, but not limited to, minimum and maximum 
intake air and engine coolant temperature, speed range, and time after 
engine startup. In addition, manufacturers shall list all monitor-
specific OBD drive cycle information for all major OBD monitors as 
equipped including, but not limited to, catalyst, catalyst heater, 
oxygen sensor, oxygen sensor heater, evaporative system, exhaust gas re-
circulation (EGR), secondary air, and air conditioning system. 
Additionally, for diesel engines which also perform misfire, fuel system 
and comprehensive component monitoring under specific driving conditions 
(i.e., non-continuous monitoring; as opposed to spark ignition engines 
that monitor these systems under all conditions or continuous 
monitoring), the manufacturer shall make available monitor-specific 
drive cycles for these monitors. Any manufacturer who develops generic 
drive cycles, either in addition to, or instead of, monitor-specific 
drive cycles shall also make these available in full-text on 
manufacturer Web sites;
    (D) A listing of each monitor sequence, execution frequency and 
typical duration;
    (E) A listing of typical malfunction thresholds for each monitor;
    (F) For OBD parameters for specific engines that deviate from the 
typical parameters, the OBD description shall indicate the deviation and 
provide a separate listing of the typical values for those engines;
    (G) Identification and scaling information necessary to interpret 
and understand data available through Diagnostic Message 8 pursuant to 
SAE J1939-73 (as specified in paragraph

[[Page 554]]

(j)(17) of this section), or through Service/Mode $06 pursuant to SAE 
J1979 (as specified in paragraph (j)(17) of this section).
    (H) Algorithms, look-up tables, or any values associated with look-
up tables are not required to be made available.
    (iii) Any information regarding any system, component, or part of a 
engine monitored by the OBD system that could in a failure mode cause 
the OBD system to illuminate the malfunction indicator light (MIL);
    (iv) Manufacturer-specific emissions-related diagnostic trouble 
codes (DTCs) and any related service bulletins, troubleshooting guides, 
and/or repair procedures associated with these manufacturer-specific 
DTCs; and
    (v) Information regarding how to obtain the information needed to 
perform reinitialization of any computer or anti-theft system following 
an emissions-related repair.
    (7) Anti-theft System Initialization Information. Computer or anti-
theft system initialization information and/or related tools necessary 
for the proper installation of on-board computers or necessary for the 
completion of any emissions-related repair on engines that employ 
integral security systems or the repair or replacement of any other 
emission-related part shall be made available at a fair and reasonable 
cost to the persons specified in paragraph (j)(3)(i) of this section.
    (i) Except as provided under paragraph (j)(7)(ii) of this section, 
manufacturers must make this information available to persons specified 
in paragraph (j)(3)(i) of this section, such that such persons will not 
need any special tools or manufacturer-specific scan tools to perform 
the initialization. Manufacturers may make such information available 
through, for example, generic aftermarket tools, a pass-through device, 
or inexpensive manufacturer specific cables.
    (ii) A manufacturer may request Administrator approval for an 
alternative means to re-initialize engines for some or all model years 
through the 2013 model year by July 27, 2009. The Administrator shall 
approve the request only after the following conditions have been met:
    (A) The manufacturer must demonstrate that the availability of such 
information to aftermarket service providers would significantly 
increase the risk of theft.
    (B) The manufacturer must make available a reasonable alternative 
means to install or repair computers, or to otherwise repair or replace 
an emission-related part.
    (C) Any alternative means proposed by a manufacturer cannot require 
aftermarket technicians to use a manufacturer franchised dealership or 
authorized service networks to obtain information or special tools to 
re-initialize the anti-theft system. All information must come directly 
from the manufacturer or a single manufacturer-specified designee.
    (D) Any alternative means proposed by a manufacturer must be 
available to aftermarket technicians at a fair and reasonable price.
    (E) Any alternative must be available to aftermarket technicians 
within twenty-four hours of the initial request.
    (F) Any alternative must not require the purchase of a special tool 
or tools, including manufacturer-specific tools, to complete this 
repair. Alternatives may include lease of such tools, but only for 
appropriately minimal cost.
    (G) In lieu of leasing their manufacturer-specific tool to meet this 
requirement, a manufacturer may also choose to release the necessary 
information to equipment and tool manufacturers for incorporation into 
aftermarket scan tools. Any manufacturer choosing this option must 
release the information to equipment and tool manufacturers within 60 
days of Administrator approval.
    (8) Cost of required information. (i) All information required to be 
made available by this section, shall be made available at a fair and 
reasonable price. In determining whether a price is fair and reasonable, 
consideration may be given to relevant factors, including, but not 
limited to, the following:
    (A) The net cost to the manufacturer franchised dealerships or 
authorized service networks for similar information obtained from 
manufacturers, less any discounts, rebates, or other incentive programs;

[[Page 555]]

    (B) The cost to the manufacturer for preparing and distributing the 
information, excluding any research and development costs incurred in 
designing and implementing, upgrading or altering the onboard computer 
and its software or any other engine part or component. Amortized 
capital costs for the preparation and distribution of the information 
may be included;
    (C) The price charged by other manufacturers for similar 
information;
    (D) The price charged by manufacturers for similar information prior 
to the launch of manufacturer Web sites;
    (E) The ability of the average aftermarket technician or shop to 
afford the information;
    (F) The means by which the information is distributed;
    (G) The extent to which the information is used, which includes the 
number of users, and frequency, duration, and volume of use; and
    (H) Inflation.
    (ii) Manufacturers must submit to EPA a request for approval of 
their pricing structure for their Web sites and amounts to be charged 
for the information required to be made available under paragraphs 
(j)(4) and (j)(6) of this section at least 180 days in advance of the 
launch of the web site. Subsequent to the approval of the manufacturer 
Web site pricing structure, manufacturers shall notify EPA upon the 
increase in price of any one or all of the subscription options of 20 
percent or more above the previously approved price, taking inflation 
into account.
    (A) The manufacturer shall submit a request to EPA that sets forth a 
detailed description of the pricing structure and amounts, and support 
for the position that the pricing structure and amounts are fair and 
reasonable by addressing, at a minimum, each of the factors specified in 
paragraph (j)(8)(i) of this section.
    (B) EPA will act upon on the request within180 days following 
receipt of a complete request or following receipt of any additional 
information requested by EPA.
    (C) EPA may decide not to approve, or to withdraw approval for a 
manufacturer's pricing structure and amounts based on a conclusion that 
this pricing structure and/or amounts are not, or are no longer, fair 
and reasonable, by sending written notice to the manufacturer explaining 
the basis for this decision.
    (D) In the case of a decision by EPA not to approve or to withdraw 
approval, the manufacturer shall within three months following notice of 
this decision, obtain EPA approval for a revised pricing structure and 
amounts by following the approval process described in this paragraph.
    (9) Unavailable information. Any information which is not provided 
at a fair and reasonable price shall be considered unavailable, in 
violation of these regulations and section 202(m)(5) of the Clean Air 
Act.
    (10) Third party information providers. (i) By January 1, 2011 
manufacturers shall, for model year 2010 and later engines, make 
available to third-party information providers as defined in paragraph 
(j)(3)(ii) of this section with whom they may wish to engage in 
licensing or business arrangements, the required emissions-related 
information as specified in paragraph (j)(6) of this section either:
    (A) Directly in electronic format such as diskette or CD-ROM using 
non-proprietary software, in English; or
    (B) Indirectly via a Web site other than that required by paragraph 
(j)(4) of this section
    (ii) Manufacturers are not responsible for the accuracy of the 
information distributed by third parties. However, where manufacturers 
charge information intermediaries for information, whether through 
licensing agreements or other arrangements, manufacturers are 
responsible for inaccuracies contained in the information they provide 
to third party information providers.
    (11) Required emissions-related training information. By January 1, 
2011, for emissions-related training information, manufacturers shall:
    (i) Video tape or otherwise duplicate and make available for sale on 
manufacturer Web sites within 30 days after transmission any emissions-
related training courses provided to manufacturer franchised dealerships 
or authorized service networks via the Internet

[[Page 556]]

or satellite transmission. Manufacturers shall not be required to 
duplicate transmitted emissions-related training courses if anyone 
engaged in the repairing or servicing of heavy-duty engines has the 
opportunity to receive the Internet or satellite transmission, even if 
there is a cost associated with the equipment required to receive the 
transmission;
    (ii) Provide on the manufacturer Web site an index of all emissions-
related training information available for purchase by aftermarket 
service providers for 2010 and newer engines. The required information 
must be made available for purchase within 3 months of model 
introduction and then must be made available at the same time it is made 
available to manufacturer franchised dealerships or authorized service 
networks, whichever is earlier. The index shall describe the title of 
the course or instructional session, the cost of the video tape or 
duplicate, and information on how to order the item(s) from the 
manufacturer Web site. All of the items available must be shipped within 
3 business day of the order being placed and are to made available at a 
fair and reasonable price as described in paragraph (j)(8) of this 
section. Manufacturers unable to meet the 3 business day shipping 
requirement under circumstances where orders exceed supply and 
additional time is needed by the distributor to reproduce the item being 
ordered, may exceed the 3 business day shipping requirement, but in no 
instance can take longer than 14 days to ship the item.
    (12) Timeliness and maintenance of information dissemination. (i) 
Subsequent to the initial launch of the manufacturer's Web site, 
manufacturers must make the information required under paragraph (j)(6) 
of this section available on their Web site within six months of model 
introduction, or at the same time it is made available to manufacturer 
franchised dealerships or authorized service networks, whichever is 
earlier. After this six month period, the information must be available 
and updated on the manufacturer Web site at the same time that the 
updated information is made available to manufacturer franchised 
dealerships or authorized service networks, except as otherwise 
specified in this section.
    (ii) Archived information. Manufacturers must maintain the required 
information on their Web sites in full-text as defined in paragraph 
(j)(6) of this section for a minimum of 15 years after model 
introduction. Subsequent to this fifteen year period, manufacturers may 
archive the information in the manufacturer's format of choice and 
provide an index of the archived information on the manufacturer Web 
site and how it can be obtained by interested parties. Manufacturers 
shall index their available information with a title that adequately 
describes the contents of the document to which it refers. Manufacturers 
may allow for the ordering of information directly from their Web site, 
or from a Web site hyperlinked to the manufacturer Web site. In the 
alternate, manufacturers shall list a phone number and address where 
aftermarket service providers can call or write to obtain the desired 
information. Manufacturers must also provide the price of each item 
listed, as well as the price of items ordered on a subscription basis. 
To the extent that any additional information is added or changed for 
these model years, manufacturers shall update the index as appropriate. 
Manufacturers will be responsible for ensuring that their information 
distributors do so within one regular business day of receiving the 
order. Items that are less than 20 pages (e.g. technical service 
bulletins) shall be faxed to the requestor and distributors are required 
to deliver the information overnight if requested and paid for by the 
ordering party. Archived information must be made available on demand 
and at a fair and reasonable price.
    (13) Recalibration information. (i) Manufacturers shall make 
available to the persons specified in paragraph (j)(3)(i) of this 
section all emissions-related recalibration or reprogramming events 
(including driveability reprogramming events that may affect emissions) 
in the format of their choice at the same time they are made available 
to manufacturer franchised dealerships or authorized service networks. 
This requirement applies on July 1, 2013.

[[Page 557]]

    (ii) Manufacturers shall provide persons specified in paragraph 
(j)(3)(i) of this section with an efficient and cost-effective method 
for identifying whether the calibrations on engines are the latest to be 
issued. This requirement applies on July 1, 2013.
    (iii) For all 2013 and later OBD engines equipped with reprogramming 
capability, manufacturers shall comply with either SAE J2534-1 (as 
specified in paragraph (j)(17) of this section), or the Technology and 
Maintenance Council's (TMC) Recommended Practice TMC RP 1210B (as 
specified in paragraph (j)(17) of this section).
    (iv) For model years 2013 and later, manufacturers shall make 
available to aftermarket service providers the necessary manufacturer-
specific software applications and calibrations needed to initiate pass-
through reprogramming. This software shall be able to run on a standard 
personal computer that utilizes standard operating systems as specified 
in either SAE J2534-1 (as specified in paragraph (j)(17) of this 
section) or TMC RP 1210B (as specified in paragraph (j)(17) of this 
section).
    (v) Manufacturers may take any reasonable business precautions 
necessary to protect proprietary business information and are not 
required to provide this information to any party that does not agree to 
these reasonable business precautions. The requirements to make hardware 
available and to release the information to equipment and tool companies 
apply on July 1, 2013, and within 3 months of model introduction for all 
new model years.
    (14) Generic and enhanced information for scan tools. By July 1, 
2013, manufacturers shall make available to equipment and tool companies 
all generic and enhanced service information including bi-directional 
control and data stream information as defined in paragraph (j)(3(ii) of 
this section. This requirement applies for 2013 and later model year 
engines.
    (i) The information required by this paragraph (j)(14) shall be 
provided electronically using common document formats to equipment and 
tool companies with whom they have appropriate licensing, contractual, 
and/or confidentiality arrangements. To the extent that a central 
repository for this information (e.g. the TEK-NET library developed by 
the Equipment and Tool Institute) is used to warehouse this information, 
the Administrator shall have free unrestricted access. In addition, 
information required by this paragraph (j)(14) shall be made available 
to equipment and tool companies who are not otherwise members of any 
central repository and shall have access if the non-members have 
arranged for the appropriate licensing, contractual and/or 
confidentiality arrangements with the manufacturer and/or a central 
repository.
    (ii) In addition to the generic and enhanced information defined in 
paragraph (j)(3)(ii) of this section, manufacturers shall also make 
available the following information necessary for developing generic 
diagnostic scan tools:
    (A) The physical hardware requirements for data communication (e.g., 
system voltage requirements, cable terminals/pins, connections such as 
RS232 or USB, wires, etc.),
    (B) Electronic Control Unit (ECU) data communication (e.g., serial 
data protocols, transmission speed or baud rate, bit timing 
requirements, etc.),
    (C) Information on the application physical interface (API) or 
layers. (i.e., processing algorithms or software design descriptions for 
procedures such as connection, initialization, and termination),
    (D) Engine application information or any other related service 
information such as special pins and voltages or additional connectors 
that require enablement and specifications for the enablement.
    (iii) Any manufacturer who utilizes an automated process in their 
manufacturer-specific scan tool for diagnostic fault trees shall make 
available to equipment and tool companies the data schema, detail 
specifications, including category types/codes and codes, and data 
format/content structure of the diagnostic trouble trees.
    (iv) Manufacturers can satisfy the requirement of paragraph 
(j)(14)(iii) of this section by making available diagnostic trouble 
trees on their manufacturer Web sites in full-text.
    (v) Manufacturers shall make all required information available to 
the requesting equipment and tool company

[[Page 558]]

within 14 days after the request to purchase has been made unless the 
manufacturer requests Administrator approval to refuse to disclose such 
information to the requesting company or requests Administrator approval 
for additional time to comply. After receipt of a request and 
consultation with the affected parties, the Administrator shall either 
grant or refuse the petition based on the evidence submitted during the 
consultation process:
    (A) If the evidence demonstrates that the engine manufacturer has a 
reasonably based belief that the requesting equipment and tool company 
could not produce safe and functionally accurate tools that would not 
cause damage to the engine, the petition for non-disclosure will be 
granted. Engine manufacturers are not required to provide data stream 
and bi-directional control information that would permit an equipment 
and tool company's products to modify an EPA-certified engine or 
transmission configuration.
    (B) If the evidence does not demonstrate that the engine 
manufacturer has a reasonably-based belief that the requesting equipment 
and tool company could not produce safe and functionally accurate tools 
that would not cause damage to the engine, the petition for non-
disclosure will be denied and the engine manufacturer, as applicable, 
shall make the requested information available to the requesting 
equipment and tool company within 2 days of the denial.
    (vi) If the manufacturer submits a request for Administrator 
approval for additional time, and satisfactorily demonstrates to the 
Administrator that the engine manufacturer is able to comply but 
requires additional time within which to do so, the Administrator shall 
grant the request and provide additional time to fully and expeditiously 
comply.
    (vii) Manufacturers may require that tools using information covered 
under paragraph (j)(14) of this section comply with the Component 
Identifier message specified in SAE J1939-71 (as specified in paragraph 
(j)(17) of this section) as Parameter Group Number (PGN) 65249 
(including the message parameter's make, model, and serial number) and 
the SAE J1939-81 (as specified in paragraph (j)(17) of this section) 
Address Claim PGN.
    (viii) Manufacturers are not required to make available to equipment 
and tool companies any information related to reconfiguration 
capabilities or any other information that would make permanent changes 
to existing engine configurations.
    (15) Availability of manufacturer-specific scan tools. (i) By July 
1, 2013, manufacturers shall make available for sale to the persons 
specified in paragraph (j)(3)(i) of this section their own manufacturer-
specific diagnostic tools at a fair and reasonable cost. These tools 
shall also be made available in a timely fashion either through the 
manufacturer Web site or through a manufacturer-designated intermediary. 
Upon Administrator approval, manufacturers will not be required to make 
available manufacturer-specific tools with reconfiguration capabilities 
if they can demonstrate to the satisfaction of the Administrator that 
these tools are not essential to the completion of an emissions-related 
repair, such as recalibration. As a condition of purchase, manufacturers 
may request that the purchaser take all necessary training offered by 
the engine manufacturer. Any required training materials and classes 
must comply with the following:
    (A) Similar training must be required by the engine manufacturer for 
the use of the same tool by its franchised dealerships or authorized 
service networks;
    (B) The training must be substantially similar to such training in 
terms of material covered and the length of training;
    (C) The training must be made available within six months after a 
tool request has been made;
    (D) The training must be made available at a fair and reasonable 
price.
    (ii) Manufacturers shall ship purchased tools in a timely manner 
after a request and training, if any, has been completed. Any required 
training materials and classes must be made available at a fair and 
reasonable price. Manufacturers who develop different versions of one or 
more of their diagnostic tools that are used in whole or in part for 
emission-related diagnosis and repair shall also insure that all

[[Page 559]]

emission-related diagnosis and repair information is available for sale 
to the aftermarket at a fair and reasonable cost. Factors for 
determining fair and reasonable cost include, but are not limited to:
    (A) The net cost to the manufacturer's franchised dealerships or 
authorized service network for similar tools obtained from 
manufacturers, less any discounts, rebates, or other incentive programs;
    (B) The cost to the manufacturer for preparing and distributing the 
tools, excluding any research and development costs;
    (C) The price charged by other manufacturers of similar sizes for 
similar tools;
    (D) The capabilities and functionality of the manufacturer tool;
    (E) The means by which the tools are distributed;
    (F) Inflation;
    (G) The ability of aftermarket technicians and shops to afford the 
tools.
    Manufacturers shall provide technical support to aftermarket service 
providers for the tools described in this section, either themselves or 
through a third-party of their choice.
    (16) Changing content of manufacturer-specific scan tools. 
Manufacturers who opt to remove non-emissions related content from their 
manufacturer-specific scan tools and sell them to the persons specified 
in paragraph (j)(3)(i) of this section shall adjust the cost of the tool 
accordingly lower to reflect the decreased value of the scan tool. All 
emissions-related content that remains in the manufacturer-specific tool 
shall be identical to the information that is contained in the complete 
version of the manufacturer-specific tool. Any manufacturer who wishes 
to implement this option must request approval from the Administrator 
prior to the introduction of the tool into commerce.
    (17) Reference materials. Manufacturers shall conform with the 
following industry standards. These documents are incorporated by 
reference in Sec.  86.1. Anyone may inspect copies at the U.S. EPA or at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at U.S. EPA, NARA, or the standard 
making bodies directly, refer to Sec.  86.1.
    (i) SAE J1939-71, Revised January 2008. For providing a means for 
the application processes to access the OSI environment, manufacturers 
shall comply with this industry standard.
    (ii) SAE J1939-73, Revised September 2006. For identification and 
scaling information necessary to interpret and understand data available 
through Diagnostic Message 8, manufacturers shall comply with this 
industry standard. In the alternate, manufacturers may comply with 
Service/Mode $06 pursuant to SAE J1979, Revised May 2007. These 
recommended practices describe the implementation of diagnostic test 
modes for emissions related test data. Manufacturers shall comply with 
either SAE J1939-73 or SAE J1979 beginning with Model Year 2013.
    (iii) SAE J1939-81, Revised May 2003. For management of source 
addresses and the association of those address with an actual function 
and with the detection and reporting of network realized errors, 
manufacturers shall comply with this industry standard.
    (iv) SAE J2403, Revised August 2007. For Web-based delivery of 
service information, manufacturers shall comply with this industry 
standard which standardizes various terms, abbreviations, and acronyms 
associated with on-board diagnostics. Manufacturers shall comply with 
SAE J2403 beginning with the Model Year 2013.
    (v) TMC RP 1210B, Revised June 2007. For pass-thru reprogramming 
capabilities, manufacturers shall comply with Technology and Maintenance 
Council's (TMC) Recommended Practice TMC RP 1210B. In the alternate, 
manufacturers may comply with SAE J2534-1, Revised December 2004. These 
recommended practices provide technical specifications and information 
that manufacturers must supply to equipment and tool companies to 
develop aftermarket pass-thru reprogramming tools. Manufacturers shall 
comply with either TMC RP 1210B or SAE J2534-1 beginning with Model Year 
2013.
    (18) Reporting requirements. Performance reports that adequately 
demonstrate that each manufacturers website meets the information 
requirements outlined in paragraphs (j)(6)(i)

[[Page 560]]

through (j)(6)(vi) of this section shall be submitted to the 
Administrator annually or upon request by the Administrator. These 
reports shall indicate the performance and effectiveness of the websites 
by using commonly used Internet statistics (e.g., successful requests, 
frequency of use, number of subscriptions purchased, etc.). 
Manufacturers shall provide to the Administrator reports on an annual 
basis within 30 days of the end of the calendar year. These annual 
reports shall be submitted to the Administrator electronically utilizing 
non-proprietary software in the format as agreed to by the Administrator 
and the manufacturers.
    (19) Prohibited acts, liability and remedies. (i) It is a prohibited 
act for any person to fail to promptly provide or cause a failure to 
promptly provide information as required by this paragraph (j), or to 
otherwise fail to comply or cause a failure to comply with any provision 
of this subsection.
    (ii) Any person who fails or causes the failure to comply with any 
provision of this paragraph (j) is liable for a violation of that 
provision. A corporation is presumed liable for any violations of this 
subpart that are committed by any of its subsidiaries, affiliates or 
parents that are substantially owned by it or substantially under its 
control.
    (iii) Any person who violates a provision of this paragraph (j) 
shall be subject to a civil penalty of not more than $ 31,500 per day 
for each violation. This maximum penalty is shown for calendar year 
2002. Maximum penalty limits for later years may be set higher based on 
the Consumer Price Index, as specified in 40 CFR part 19. In addition, 
such person shall be liable for all other remedies set forth in Title II 
of the Clean Air Act, remedies pertaining to provisions of Title II of 
the Clean Air Act, or other applicable provisions of law.
    (iv) Manufacturers will not have any emissions warranty, in-use 
compliance, defect reporting or recall liability for service on a heavy-
duty engine that is not undertaken by the manufacturer, for any damage 
caused by their own tools in the hands of independent service providers, 
or for the use and misuse of third party tools.

[74 FR 8408, Feb. 24, 2009, as amended at 75 FR 22978, Apr. 30, 2010; 79 
FR 23689, Apr. 28, 2014]



Sec.  86.012-2  Definitions.

    The definitions of Sec.  86.010-2 continue to apply to model year 
2010 and later model year vehicles. The definitions listed in this 
section apply beginning with model year 2012. Urban bus means a 
passenger-carrying vehicle with a load capacity of fifteen or more 
passengers and intended primarily for intracity operation, i.e., within 
the confines of a city or greater metropolitan area. Urban bus operation 
is characterized by short rides and frequent stops. To facilitate this 
type of operation, more than one set of quick-operating entrance and 
exit doors would normally be installed. Since fares are usually paid in 
cash or tokens, rather than purchased in advance in the form of tickets, 
urban buses would normally have equipment installed for collection of 
fares. Urban buses are also typically characterized by the absence of 
equipment and facilities for long distance travel, e.g., rest rooms, 
large luggage compartments, and facilities for stowing carry-on luggage.

[76 FR 57375, Sept. 15, 2011]



Sec.  86.016-1  General applicability.

    (a) Applicability. The provisions of this subpart apply for certain 
types of new heavy-duty engines and vehicles as described in this 
paragraph (a). Note that this subpart does not apply for light-duty 
vehicles, light-duty trucks, or medium-duty passenger vehicles (see 
subpart S of this part for requirements that apply for those vehicles). 
In some cases, manufacturers of heavy-duty engines and vehicles can 
choose whether to meet the requirements of this subpart or the 
requirements of subpart S of this part; those provisions are therefore 
considered optional, but only to the extent that manufacturers comply 
with the other set of requirements. In cases where a provision applies 
only for a certain vehicle group based on its model year, vehicle class, 
motor fuel, engine type, or other distinguishing

[[Page 561]]

characteristics, the limited applicability is cited in the appropriate 
section. The provisions of this subpart apply for certain heavy-duty 
engines and vehicles as follows:
    (1) The provisions of this subpart related to exhaust emission 
standards apply for diesel-cycle and Otto-cycle heavy-duty engines 
installed in vehicles above 14,000 pounds GVWR; however, these vehicles 
may instead be certified under subpart S of this part in certain 
circumstances as specified in Sec.  86.1801.
    (2) The provisions of this subpart related to exhaust emission 
standards apply for engines that will be installed in incomplete heavy-
duty vehicles at or below 14,000 pounds GVWR; however, these vehicles 
may instead be certified under subpart S of this part as specified in 
Sec.  86.1801.
    (3) Diesel-cycle and Otto-cycle complete heavy-duty vehicles at or 
below 14,000 pounds GVWR and the corresponding engines are not subject 
to the provisions of this subpart related to exhaust emission standards, 
except that these provisions are optional for diesel-cycle engines 
installed in such vehicles until those vehicles become subject to the 
Tier 3 standards under Sec.  86.1816-18.
    (4) The provisions of this subpart related to evaporative emission 
standards apply for diesel-cycle and Otto-cycle heavy-duty vehicles as 
follows:
    (i) These provisions do not apply for vehicles at or below 14,000 
pounds GVWR.
    (ii) Vehicles above 14,000 pounds GVWR must meet evaporative 
emission standards as specified in 40 CFR 1037.103. This involves 
meeting the standards specified in Sec. Sec.  86.008-10(b) and 86.007-
11(b)(3) and (4) until the Tier 3 standards in Sec.  86.1813 start to 
apply.
    (iii) Note that diesel-fueled vehicles are not subject to 
evaporative emissions under this part.
    (5) The provisions of this subpart related to onboard diagnostics 
apply for diesel-cycle and Otto-cycle heavy-duty engines and vehicles as 
follows:
    (i) Engines installed in vehicles above 14,000 pounds GVWR must meet 
the onboard diagnostic requirements specified in Sec.  86.010-18.
    (ii) Engines installed in vehicles at or below 14,000 pounds GVWR 
must meet the onboard diagnostic requirements specified in Sec.  
86.1806.
    (b) Relationship to subpart S of this part. Unless specified 
otherwise, if engines are not subject to provisions of this subpart or 
if manufacturers choose not to meet optional provisions of this subpart 
as described in paragraph (a) of this section, those engines must be 
installed in vehicles meeting the corresponding requirements under 
subpart S of this part. If a vehicle and its installed engine comply 
with a mix of provisions from this subpart and from subpart S of this 
part, the vehicle must be certified under subpart S of this part, and 
the engine does not need to be certified separately.
    (c) Greenhouse gas emission standards. See 40 CFR parts 1036 and 
1037 for greenhouse gas emission standards that apply for heavy-duty 
engines and vehicles.
    (d) Non-petroleum fueled vehicles. The standards and requirements of 
this part apply to model year 2016 and later non-petroleum fueled motor 
vehicles as follows:
    (1) The standards and requirements of this part apply as specified 
for vehicles fueled with methanol, natural gas, and LPG.
    (2) The standards and requirements of subpart S of this part apply 
as specified for light-duty vehicles and light-duty trucks.
    (3) The standards and requirements of this part applicable to 
methanol-fueled heavy-duty vehicles and engines (including flexible fuel 
vehicles and engines) apply to heavy-duty vehicles and engines fueled 
with any oxygenated fuel (including flexible fuel vehicles and engines). 
Most significantly, this means that the hydrocarbon standards apply as 
NMHCE and the vehicles and engines must be tested using the applicable 
oxygenated fuel according to the test procedures in 40 CFR part 1065 
applicable for oxygenated fuels. For purposes of this paragraph (d), 
oxygenated fuel means any fuel containing at least 50 volume percent 
oxygenated compounds. For example, a fuel mixture of 85 gallons of 
ethanol and 15 gallons of gasoline is an oxygenated fuel, while a fuel 
mixture of 15 gallons of ethanol

[[Page 562]]

and 85 gallons of gasoline is not an oxygenated fuel.
    (4) The standards and requirements of subpart S of this part 
applicable to heavy-duty vehicles under 14,000 pounds GVWR apply to all 
heavy-duty vehicles powered solely by electricity, including plug-in 
electric vehicles and solar-powered vehicles. Use good engineering 
judgment to apply these requirements to these vehicles, including 
applying these provisions to vehicles over 14,000 pounds GVWR. Electric 
heavy-duty vehicles may not generate NOX or PM emission 
credits. Heavy-duty vehicles powered solely by electricity are deemed to 
have zero emissions of regulated pollutants.
    (5) The standards and requirements of this part applicable to 
diesel-fueled heavy-duty vehicles and engines apply to all other heavy-
duty vehicles and engines not otherwise addressed in this paragraph (d).
    (6) See 40 CFR parts 1036 and 1037 for requirements related to 
greenhouse gas emissions.
    (7) Manufacturers may voluntarily certify to the standards of 
paragraphs (d)(3) through (5) of this section before model year 2016. 
Note that other provisions in this part require compliance with the 
standards described in paragraphs (d)(1) and (2) of this section for 
model years before 2016.
    (e) Small volume manufacturers. Special certification procedures are 
available for any manufacturer whose projected combined U.S. sales of 
light-duty vehicles, light-duty trucks, heavy-duty vehicles, and heavy-
duty engines in its product line (including all vehicles and engines 
imported under the provisions of 40 CFR 85.1505 and 85.1509) are fewer 
than 10,000 units for the model year in which the manufacturer seeks 
certification. To certify its product line under these optional 
procedures, the small-volume manufacturer must first obtain the 
Administrator's approval. The manufacturer must meet the eligibility 
criteria specified in Sec.  86.098-14(b) before the Administrator's 
approval will be granted. The small-volume manufacturer's certification 
procedures are described in Sec.  86.098-14.
    (f) Optional procedures for determining exhaust opacity. (1) The 
provisions of subpart I of this part apply to tests which are performed 
by the Administrator, and optionally, by the manufacturer.
    (2) Measurement procedures, other than those described in subpart I 
of this part, may be used by the manufacturer provided the manufacturer 
satisfies the requirements of Sec.  86.007-23(f).
    (3) When a manufacturer chooses to use an alternative measurement 
procedure, it has the responsibility to determine whether the results 
obtained by the procedure will correlate with the results which would be 
obtained from the measurement procedure in subpart I of this part. 
Consequently, the Administrator will not routinely approve or disapprove 
any alternative opacity measurement procedure or any associated 
correlation data which the manufacturer elects to use to satisfy the 
data requirements for subpart I of this part.
    (4) If a confirmatory test is performed and the results indicate 
there is a systematic problem suggesting that the data generated under 
an optional alternative measurement procedure do not adequately 
correlate with data obtained in accordance with the procedures described 
in subpart I of this part, EPA may require that all certificates of 
conformity not already issued be based on data obtained from procedures 
described in subpart I of this part.
    (g) Clean alternative fuel conversions. The provisions of this 
subpart also apply for clean alternative fuel conversions as defined in 
40 CFR 85.502 of all vehicles described in paragraph (a) of this 
section.
    (h) Turbine engines. Turbine engines are deemed to be compression-
ignition engines for purposes of this part.

[76 FR 57375, Sept. 15, 2011, as amended at 79 FR 23690, Apr. 28, 2014; 
81 FR 73975, Oct. 25, 2016]



Sec.  86.078-3  Abbreviations.

    The abbreviations in this section apply to this subpart and also to 
subparts B, D, H, I, J, N, O and P of this part and have the following 
meanings:

accel.--acceleration.
AECD--Auxiliary emission control device.
API--American Petroleum Institute.

[[Page 563]]

ASTM--American Society for Testing and Materials.
BHP--Brake horsepower.
BSCO--Brake specific carbon monoxide.
BSHC--Brake specific hydrocarbons.
BSNOX--Brake specific oxides of nitrogen.
C--Celsius.
cfh--cubic feet per hour.
CFV--Critical flow venturi.
CFV-CVS--Critical flow venturi--constant volume sampler.
CH4 methane.
CL--Chemiluminescence.
CO2--carbon dioxide.
CO--Carbon monoxide.
conc.--concentration.
cfm--cubic feet per minute.
CT--Closed throttle.
cu. in.--cubic inch(es).
CVS--Constant volume sampler.
decel.--deceleration.
EP--End point.
evap.--evaporative.
F--Fahrenheit.
FID--Flame ionization detector.
FL--Full load.
ft.--feet.
g--gram(s).
gal.--U.S. gallon(s).
GVW--Gross vehicle weight.
GVWR--Gross vehicle weight rating.
h--hour(s).
H2O--water.
HC--hydrocarbon(s).
HFID--Heated flame ionization detector.
Hg--mercury.
hi--high.
hp.--horsepower.
IBP--Initial boiling point.
ID--Internal diameter.
in.--inch(es).
K--kelvin.
kg--kilogram(s).
km--kilometer(s).
kPa--kilopascal(s).
lb.--pound(s).
lb.-ft.--pound-feet.
m--meter(s).
max.--maximum.
mg--milligram(s).
mi.--mile(s).
min.--minute(s).
ml--milliliter(s).
mm--millimeter(s).
mph--miles per hour.
mv--millivolt(s).
N2--nitrogen.
NDIR--Nondispersive infrared.
NO--nitric oxide.
NO2--nitrogen dioxide.
N2O nitrous oxide.
NOX--oxides of nitrogen.
No.--Number.
O2--oxygen.
Pb--lead.
pct.--percent.
PDP-CVS--Positive displacement pump--constant volume sampler.
ppm--parts per million by volume.
ppm C--parts per million, carbon.
psi--pounds per square inch.
psig--pounds per square inch gauge.
PTA--Part throttle acceleration.
PTD--Part throttle deceleration.
R--Rankin.
rpm--revolutions per minute.
RVP--Reid vapor pressure.
s--second(s).
SAE--Society of Automotive Engineers.
SI--International system of units.
sp.--speed.
TEL--Tetraethyl lead.
TML--Tetramethyl lead.
UDDS--Urban dynamometer driving schedule.
V--volt(s).
vs--versus.
W--watt(s).
WF--Weighting factor.
WOT--Wide open throttle.
wt.--weight.
[foot]--feet.
--inch(es).
[deg]--degree(s).
[sum]--summation.

[42 FR 32907, June 28, 1977, as amended at 45 FR 4149, Jan. 21, 1980; 74 
FR 56373, Oct. 30, 2009]



Sec.  86.078-6  Hearings on certification.

    If a manufacturer's request for a hearing is approved, EPA will 
follow the hearing procedures specified in 40 CFR part 1068, subpart G.

[81 FR 73975, Oct. 25, 2016]



Sec.  86.079-31  Separate certification.

    Where possible a manufacturer should include in a single application 
for certification all vehicles (or engines) for which certification is 
required. A manufacturer may, however, choose to apply separately for 
certification of part of his product line. The selection of test 
vehicles (or test engines) and the computation of test results will be 
determined separately for each application.

[42 FR 45149, Sept. 8, 1977]



Sec.  86.079-32  Addition of a vehicle or engine after certification.

    (a) If a manufacturer proposes to add to his product line a vehicle 
(or engine) of the same engine-system combination as vehicles (or 
engines) previously certified but which was not described in the 
application for certification

[[Page 564]]

when the test vehicle(s) (or test engine(s)) representing other vehicles 
(or engines) of that combination was certified, he shall notify the 
Administrator. Such notification shall be in advance of the addition 
unless the manufacturer elects to follow the procedure described in 
Sec.  86.079-34. This notification shall include a full description of 
the vehicle (or engine) to be added.
    (b) The Administrator may require the manufacturer to perform such 
tests on the test vehicle(s) (or test engine(s)) representing the 
vehicle (or engine) to be added which would have been required if the 
vehicle (or engine) had been included in the original application for 
certification.
    (c) If, after a review of the test reports and data submitted by the 
manufacturer, and data derived from any testing conducted under Sec.  
86.079-29, the Administrator determines that the test vehicle(s) or test 
engine(s) meets all applicable standards, the appropriate certificate 
will be amended accordingly. If the Administrator determines that the 
test vehicle(s) (or test engine(s)) does not meet applicable standards, 
he will proceed under Sec.  86.079-30(b).

[42 FR 45149, Sept. 8, 1977]



Sec.  86.079-33  Changes to a vehicle or engine covered by certification.

    (a) The manufacturer shall notify the Administrator of any change in 
production vehicles (or production engines) in respect to any of the 
parameters listed in Sec.  86.079-24(a)(3), Sec.  86.079-24(b)(1)(iii), 
Sec.  86.079-24(b)(2) (iii) or Sec.  86.079-24(b)(3)(iii) as applicable, 
giving a full description of the change. Such notification shall be in 
advance of the change unless the manufacturer elects to follow the 
procedure described in Sec.  86.079-34.
    (b) Based upon the description of the change, and data derived from 
such testing as the Administrator may require or conduct. The 
Administrator will determine whether the vehicle (or engine), as 
modified, would still be covered by the certificate of conformity then 
in effect.
    (c) If the Administrator determines that the outstanding certificate 
would cover the modified vehicles (or engines) he will notify the 
manufacturer in writing. Except as provided in Sec.  86.079-34 the 
change may not be put into effect prior to the manufacturer's receiving 
this notification. If the Administrator determines that the modified 
vehicles (or engines) would not be covered by the certificate then in 
effect, the modified vehicles (or engines) shall be treated as additions 
to the product line subject to Sec.  86.079-32.

[42 FR 45149, Sept. 8, 1977]



Sec.  86.079-39  Submission of maintenance instructions.

    (a) The manufacturer shall provide to the Administrator, no later 
than the time of the submission required by Sec.  86.079-23, a copy of 
the maintenance instructions which the manufacturer proposes to supply 
to the ultimate purchaser in accordance with Sec.  86.079-38(a). The 
Administrator will review such instructions to determine whether they 
are reasonable and necessary to assure the proper functioning of the 
vehicle's (or engine's) emission control systems. The Administrator will 
notify the manufacturer of his determination whether such instructions 
are reasonable and necessary to assure the proper functioning of the 
emission control systems.
    (b) Any revision to the maintenance instructions which will affect 
emissions shall be supplied to the Administrator at least 30 days before 
being supplied to the ultimate purchaser unless the Administrator 
consents to a lesser period of time.

[42 FR 45151, Sept. 8, 1977]



Sec.  86.080-12  Alternative certification procedures.

    (a)(1) The Administrator will determine which of the following 
certification procedures (paragraph (a)(3) or (a)(4) of this section) 
may be used to demonstrate compliance for each heavy-duty engine, light-
duty vehicle, and light-duty truck engine family for which certification 
is sought.
    (2) The families selected for the procedure described in paragraph 
(a)(3) of this section will be subject to this procedure at the option 
of the manufacturer.

[[Page 565]]

    (3) The following provisions apply to those heavy-duty engine, 
light-duty vehicle, and light-duty truck engine families which the 
Administrator has specified may be subject to the abbreviated 
certification review procedure.
    (i) The manufacturer shall satisfy all applicable requirements of 
part 86 necessary to demonstrate compliance with the applicable 
standards for each class of new motor vehicles or new motor vehicle 
engines for which certification is sought.
    (ii) As specifically allowed by the Administrator, the manufacturer 
shall assume the responsibility for part or all of the decisions 
applicable to the family for which certification is sought and which are 
within the jurisdiction of the Administrator, with the exception that 
the Administrator will determine whether a test vehicle, or test engine, 
has met the applicable emission standards.
    (iii) The manufacturer shall maintain, update, and correct all 
records and information required.
    (iv) The Administrator may review a manufacturer's records at any 
time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.
    (v) At the Administrator's request, the manufacturer shall notify 
the Administrator of the status of the certification program including 
projected schedules of those significant accomplishments specified by 
the Administrator.
    (vi) The manufacturer shall permit the Administrator to inspect any 
facilities, records, and vehicles from which data are obtained under the 
abbreviated certification review procedure.
    (vii) Upon completing all applicable requirements of part 86, the 
manufacturer shall submit a separate application for a certificate of 
conformity for each set of standards and each class of new motor 
vehicles or new motor vehicle engines for which certification is sought. 
Such application shall be made in writing to the Administrator by the 
manufacturer.
    (A) The Administrator may approve or disapprove, in whole or in 
part, an application for certification according to the procedures 
specified in Sec.  86.080-22(b).
    (B) If, after a review of the application for certification, test 
reports and data submitted by the manufacturer, data obtained during an 
inspection, and any other pertinent data or information, the 
Administrator determines that a test vehicle(s) or test engine(s) has 
not met the requirements of the Act and the applicable subpart, he will 
notify the manufacturer in writing and set forth the reason(s) for the 
determination as specified in Sec.  86.080-22(c).
    (4) Those families which are to be subjected to the complete EPA 
review procedure will follow the procedures specified in this subpart 
with the exception of Sec.  86.080-12(a)(3).
    (b) The manufacturer may request that an engine family be subject to 
the abbreviated certification review procedure.
    (c) The Administrator may require that an engine family previously 
allowed to be subject to the abbreviated certification review procedure 
be transferred to the complete review procedure.

[45 FR 26045, Apr. 17, 1980]



Sec.  86.082-2  Definitions.

    (a) The definitions of this section apply to this subpart and also 
to subparts B, D, I, and R of this part.
    (b) As used in this subpart, all terms not defined herein shall have 
the meaning given them in the Act:
    Accuracy means the difference between a measurement and true value.
    Act means part A of title II of the Clean Air Act, 42 U.S.C. as 
amended, 7521, et seq.
    Administrator means the Administrator of the Environmental 
Protection Agency or his authorized representative.
    Auxiliary Emission Control Device (AECD) means any element of design 
which senses temperature, vehicle speed, engine RPM, transmission gear, 
manifold vacuum, or any other parameter for the purpose of activating, 
modulating, delaying, or deactivating the operation of any part of the 
emission control system.
    Basic engine means a unique combination of manufacturer, engine 
displacement, number of cylinders, fuel system

[[Page 566]]

(as distinguished by number of carburetor barrels or use of fuel 
injection), catalyst usage, and other engine and emission control system 
characteristics specified by the Administrator.
    Basic vehicle frontal area means the area enclosed by the geometric 
projection of the basic vehicle along the longitudinal axis, which 
includes tires but excludes mirrors and air deflectors, onto a plane 
perpendicular to the longitudinal axis of the vehicle.
    Body style means a level of commonality in vehicle construction as 
defined by number of doors and roof treatment (e.g., sedan, convertible, 
fastback, hatchback).
    Body type means a name denoting a group of vehicles that are either 
in the same car line or in different car lines provided the only reason 
the vehicles qualify to be considered in different car lines is that 
they are produced by a separate division of a single manufacturer.
    Calibrating gas means a gas of known concentration which is used to 
establish the response curve of an analyzer.
    Calibration means the set of specifications, including tolerances, 
unique to a particular design, version, or application of a component or 
components assembly capable of functionally describing its operation 
over its working range.
    Car line means a name denoting a group of vehicles within a make or 
car division which has a degree of commonality in construction (e.g., 
body, chassis). Car line does not consider any level of decor or 
opulence and is not generally distinguished by characteristics as 
roofline, number of doors, seats, or windows except for station wagons 
or light-duty trucks. Station wagons and light-duty trucks are 
considered to be different car lines than passenger cars.
    Configuration means a subclassification of an engine-system 
combination on the basis of engine code, inertia weight class, 
transmission type and gear ratios, final drive ratio, and other 
parameters which may be designated by the Administrator.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any portion of the engine crankcase ventilation or 
lubrication systems.
    Curb-idle for manual transmission code heavy-duty engines means the 
manufacturer's recommended engine speed with the transmission in neutral 
or with the clutch disengaged. For automatic transmission code heavy-
duty engines, curb-idle means the manufacturer's recommended engine 
speed with the automatic transmission in gear and the output shaft 
stalled.
    Defeat Device means an AECD that reduces the effectiveness of the 
emission control system under conditions which may reasonably be 
expected to be encountered in normal urban vehicle operation and use, 
unless (1) such conditions are substantially included in the Federal 
emission test procedure, (2) the need for the AECD is justified in terms 
of protecting the vehicle against damage or accident, or (3) the AECD 
does not go beyond the requirements of engine starting.
    Diurnal breathing losses means evaporative emissions as a result of 
the daily range in temperature.
    Drive train configuration means a unique combination of engine code, 
transmission configuration, and axle ratio.
    Dynamometer-idle for automatic transmission code heavy-duty engines 
means the manufacturer's recommended engine speed without a transmission 
that simulates the recommended engine speed with a transmission and with 
the transmission in neutral.
    Engine code means a unique combination, within an engine-system 
combination, of displacement, carburetor (or fuel injection) 
calibration, choke calibration, distributor calibration, auxiliary 
emission control devices, and other engine and emission control system 
components specified by the Administrator.
    Engine family means the basic classification unit of a 
manufacturer's product line used for the purpose of test fleet selection 
and determined in accordance with Sec.  86.082-24.
    Engine family group means a combination of engine families for the 
purpose of determining a minimum deterioration factor under the 
Alternative Durability Program.

[[Page 567]]

    Engine-system combination means an engine family-exhaust emission 
control system combination.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator (or by his designee).
    Evaporative emission code means a unique combination, in an 
evaporative emission family-evaporative emission control system 
combination, of purge system calibrations, fuel tank and carburetor bowl 
vent calibrations and other fuel system and evaporative emission control 
system components and calibrations specified by the Administrator.
    Evaporative emissions means hydrocarbons emitted into the atmosphere 
from a motor vehicle, other than exhaust and crankcase emissions.
    Evaporative vehicle configuration means a unique combination of 
basic engine, engine code, body type, and evaporative emission code.
    Exhaust emissions means substances emitted to the atmosphere from 
any opening downstream from the exhaust port of a motor vehicle engine.
    Fuel evaporative emissions means vaporized fuel emitted into the 
atmosphere from the fuel system of a motor vehicle.
    Fuel system means the combination of fuel tank(s), fuel pump, fuel 
lines, and carburetor or fuel injection components, and includes all 
fuel system vents and fuel evaporative emission control system 
components.
    Gross vehicle weight means the manufacturer's gross weight rating 
for the individual vehicle.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the maximum design loaded weight of a single vehicle.
    Hang-up refers to the process of hydrocarbon molecules being 
adsorbed, condensed, or by any other method removed from the sample flow 
prior to reaching the instrument detector. It also refers to any 
subsequent desorption of the molecules into the sample flow when they 
are assumed to be absent.
    Heavy-duty engine means any engine which the engine manufacturer 
could reasonably expect to be used for motive power in a heavy-duty 
vehicle.
    Heavy-duty vehicle means any motor vehicle rated at more than 8,500 
pounds GVWR or that has a vehicle curb weight of more than 6,000 pounds 
or that has a basic vehicle frontal area in excess of 45 square feet.
    High altitude means any elevation over 1,219 meters (4,000 feet).
    High-altitude conditions means a test altitude of 1,620 meters 
(5,315 feet), plus or minus 100 meters (328 feet), or equivalent 
observed barometric test conditions of 83.3 1 
kilopascals.
    High-altitude reference point means an elevation of 1,620 meters 
(5,315 feet) plus or minus 100 meters (328 feet), or equivalent observed 
barometric test conditions of 83.3 kPa (24.2 inches Hg), plus or minus 1 
kPa (0.30 Hg).
    Hot-soak losses means evaporative emissions after termination of 
engine operation.
    Incomplete truck means any truck which does not have the primary 
load carrying device or container attached.
    Inertia weight class means the class, which is a group of test 
weights, into which a vehicle is grouped based on its loaded vehicle 
weight in accordance with the provisions of part 86.
    Intermediate speed means peak torque speed if peak torque speed 
occurs between 60 and 75 percent of rated speed. If the peak torque 
speed is less than 60 percent of rated speed, intermediate speed means 
60 percent of rated speed. If the peak torque speed is greater than 75 
percent of rated speed, intermediate speed means 75 percent of rated 
speed.
    Light-duty truck means any motor vehicle rated at 8,500 pounds GVWR 
or less which as a vehicle curb weight of 6,000 pounds or less and which 
has a basic vehicle frontal area of 45 square feet or less, which is:
    (1) Designed primarily for purposes of transportation of property or 
is a derivation of such a vehicle, or
    (2) Designed primarily for transportation of persons and has a 
capacity of more than 12 persons, or
    (3) Available with special features enabling off-street or off-
highway operation and use.
    Light-duty vehicle means a passenger car or passenger car derivative 
capable of seating 12 passengers or less.

[[Page 568]]

    Loaded vehicle weight means the vehicle curb weight plus 300 pounds.
    Low altitude means any elevation equal to or less than 1,219 meters 
(4,000 feet).
    Low altitude conditions means a test altitude less than 549 meters 
(1,800 feet).
    Malfunction means not operating according to specifications (e.g., 
those specifications listed in the application for certification).
    Maximum rated horsepower means the maximum brake horsepower output 
of an engine as stated by the manufacturer in his sales and service 
literature and his application for certification under Sec.  86.082-21.
    Maximum rated torque means the maximum torque produced by an engine 
as stated by the manufacturer in his sales and service literature and 
his application for certification under Sec.  86.082-21.
    Military engine means any engine manufactured solely for the 
Department of Defense to meet military specifications.
    Model means a specific combination of car line, body style, and 
drivetrain configuration.
    Model type means a unique combination of car line, basic engine, and 
transmission class.
    Model year means the manufacturer's annual production period (as 
determined by the Administrator) which includes January 1 of such 
calendar year: Provided, That if the manufacturer has no annual 
production period, the term model year shall mean the calendar year.
    Nominal fuel tank capacity means the volume of the fuel tank(s), 
specified by the manufacturer to the nearest tenth of a U.S. gallon, 
which may be filled with fuel from the fuel tank filler inlet.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke.
    Option means any available equipment or feature not standard 
equipment on a model.
    Oxides of nitrogen means the sum of the nitric oxide and nitrogen 
dioxide contained in a gas sample as if the nitric oxide were in the 
form of nitrogen dioxide.
    Peak torque speed means the speed at which an engine develops 
maximum torque.
    Percent load means the fraction of the maximum available torque at a 
specified engine speed.
    Precision means the standard deviation of replicated measurements.
    Rated speed means the speed at which the manufacturer specifies the 
maximum rated horsepower of an engine.
    Reconfigured emission-data vehicle means an emission-data vehicle 
obtained by modifying a previously used emission-data vehicle to 
represent another emission-data vehicle.
    Round has the meaning given in 40 CFR 1065.1001, unless otherwise 
specified.
    Running loss means fuel evaporative emissions resulting from an 
average trip in an urban area or the simulation of such a trip.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed on a periodic basis to prevent part failure or 
vehicle (if the engine were installed in a vehicle) malfunction.
    Smoke means the matter in the exhaust emission which obscures the 
transmission of light.
    Span gas means a gas of known concentration which is used routinely 
to set the output level of an analyzer.
    Standard equipment means those features or equipment which are 
marketed on a vehicle over which the purchaser can exercise no choice.
    System includes any motor vehicle engine modification which controls 
or causes the reduction of substances emitted from motor vehicles.
    Tank fuel volume means the volume of fuel in the fuel tank(s), which 
is determined by taking the manufacturer's nominal fuel tank(s) capacity 
and multiplying by 0.40, the result being rounded using ASTM E 29-67 to 
the nearest tenth of a U.S. gallon.
    Test weight means the weight, within an inertia weight class, which 
is used in the dynamometer testing of a vehicle, and which is based on 
its loaded vehicle weight in accordance with the provisions of part 86.

[[Page 569]]

    Throttle means the mechanical linkage which either directly or 
indirectly controls the fuel flow to the engine.
    Transmission class means the basic type of transmission, e.g., 
manual, automatic, semiautomatic.
    Transmission configuration means a unique combination, within a 
transmission class, of the number of the forward gears and, if 
applicable, overdrive. The Administrator may further subdivide a 
transmission configuration (based on such criteria as gear ratios, 
torque convertor multiplication ratio, stall speed and shift 
calibration, etc.), if he determines that significant fuel economy or 
exhaust emission differences exist within that transmission 
configuration.
    United States has the meaning given in 40 CFR 1068.30.
    Unscheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed to correct a part failure or vehicle (if the engine 
were installed in a vehicle) malfunction.
    Useful life means:
    (1) For light-duty vehicles and light-duty trucks a period of use of 
5 years or 50,000 miles, whichever first occurs.
    (2) For gasoline-fueled heavy-duty engines a period of use of 5 
years or 50,000 miles of vehicle operation or 1,500 hours of engine 
operation (or an equivalent period of 1,500 hours of dynamometer 
operation), whichever first occurs.
    (3) For diesel heavy-duty engines a period of use of 5 years or 
100,000 miles of vehicle operation or 3,000 hours of engine operation 
(or an equivalent period of 1,000 hours of dynamometer operation), 
whichever first occurs.
    Van means a light-duty truck having an integral enclosure, fully 
enclosing the driver compartment and load carrying device, and having no 
body sections protruding more than 30 inches ahead of the leading edge 
of the windshield.
    Vehicle configuration means a unique combination of basic engine, 
engine code, inertia weight class, transmission configuration, and axle 
ratio.
    Vehicle curb weight means the actual or the manufacturer's estimated 
weight of the vehicle in operational status with all standard equipment, 
and weight of fuel at nominal tank capacity, and the weight of optional 
equipment computed in accordance with Sec.  86.082-24; incomplete light-
duty trucks shall have the curb weight specified by the manufacturer.
    Zero (0) hours means that point after normal assembly line 
operations and adjustments are completed and before ten (10) additional 
operating hours have been accumulated, including emission testing, if 
performed.
    Zero (0) miles means that point after initial engine starting (not 
to exceed 100 miles of vehicle operation, or three hours of engine 
operation) at which normal assembly line operations and adjustments are 
completed, and including emission testing, if performed.

[46 FR 50475, Oct. 13, 1981, as amended at 47 FR 49807, 49808, Nov. 2, 
1982; 62 FR 31233, June 6, 1997; 79 FR 23690, Apr. 28, 2014]



Sec.  86.082-34  Alternative procedure for notification of additions 
and changes.

    (a) A manufacturer may, in lieu of notifying the Administrator in 
advance of an addition of a vehicle (or engine) under Sec.  86.079-32 or 
a change in a vehicle (or engine) under Sec.  86.079-33, notify the 
Administrator concurrently with making an addition of a vehicle or a 
change in a vehicle, if the manufacturer determines that following the 
change all vehicles (or engines) effected by the addition or change will 
still meet the applicable emission standards. Such notification shall 
include a full description of the addition or change and any supporting 
documentation the manufacturer may desire to include to support the 
manufacturer's determination. The manufacturer's determination that the 
addition or change does not cause noncompliance shall be based on an 
engineering evaluation of the addition or change and/or testing.
    (b) The Administrator may require that additional emission testing 
be performed to support the manufacturers original determination 
submitted in paragraph (a) of this section. If additional testing is 
required the Administrator shall proceed as in Sec.  86.079-32 (b) and 
(c) or Sec.  86.079-33 (b) and (c) as appropriate. Additional test data, 
if requested, must be provided within 30

[[Page 570]]

days of the request or the manufacturer must rescind the addition or 
change immediately. The Administrator may grant additional time to 
complete testing. If based on this additional testing or any other 
information, the Administrator determines that the vehicles effected by 
the addition or change do not meet the applicable standards the 
Administrator will notify the manufacturer to rescind the addition or 
change immediately upon receipt of the notification.
    (c) Election to produce vehicles (or engines) under this section 
will be deemed to be a consent to recall all vehicles (or engines) which 
the Administrator determines under Sec.  86.079-32(c) do not meet 
applicable standards, and to cause such nonconformity to be remedied at 
no expense to the owner.

[46 FR 50486, Oct. 13, 1981, as amended at47 FR 49807, Nov. 2, 1982]



Sec.  86.084-2  Definitions.

    The definitions in Sec.  86.082-2 remain effective. The definitions 
listed in this section apply beginning with the 1984 model year.
    Approach angle means the smallest angle in a plan side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the front tire static loaded radius arc 
and touching the underside of the automobile forward of the front tire.
    Axle clearance means the vertical distance from the level surface on 
which an automobile is standing to the lowest point on the axle 
differential of the automobile.
    Breakover angle means the supplement of the largest angle, in the 
plan side view of an automobile, that can be formed by two lines tangent 
to the front and rear static loaded radii arcs and intersecting at a 
point on the underside of the automobile.
    Curb-idle means:
    (1) For manual transmission code light-duty trucks, the engine speed 
with the transmission in neutral or with the clutch disengaged and with 
the air conditioning system, if present, turned off. For automatic 
transmission code light-duty trucks, curb-idle means the engine speed 
with the automatic transmission in the Park position (or Neutral 
position if there is no Park position), and with the air conditioning 
system, if present, turned off.
    (2) For manual transmission code heavy-duty engines, the 
manufacturer's recommended engine speed with the clutch disengaged. For 
automatic transmission code heavy-duty engines, curb idle means the 
manufacturer's recommended engine speed with the automatic transmission 
in gear and the output shaft stalled. (Measured idle speed may be used 
in lieu of curb-idle speed for the emission tests when the difference 
between measured idle speed and curb idle speed is sufficient to cause a 
void test under 40 CFR 1065.530 but not sufficient to permit adjustment 
in accordance with 40 CFR part 1065, subpart E.
    Departure angle means the smallest angle, in a plan side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the rear tire static loaded radius arc 
and touching the underside of the automobile rearward of the rear tire.
    Emission-related maintenance means that maintenance which does 
substantially affect emissions or which is likely to affect the 
deterioration of the vehicle or engine with respect to emissions, even 
if the maintenance is performed at some time other than that which is 
recommended.
    Heavy-passenger cars means, for the 1984 model year only, a 
passenger car or passenger car derivative capable of seating 12 
passengers or less, rated at 6,000 pounds GVW or more and having an 
equivalent test weight of 5,000 pounds or more.
    Non-emission related maintenance means that maintenance which does 
not substantially affect emissions and which does not have a lasting 
effect on the deterioration of the vehicle or engine with respect to 
emissions once the maintenance is performed at any particular date.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed on a periodic basis to prevent part failure or 
vehicle (if the engine were installed in a vehicle) malfunction, or 
anticipated as necessary to

[[Page 571]]

correct an overt indication of vehicle malfunction or failure for which 
periodic maintenance is not appropriate.
    Special features enabling off-street or off-highway operation and 
use means a vehicle:
    (1) That has 4-wheel drive; and
    (2) That has at least four of the following characteristics 
calculated when the automobile is at curb weight, on a level surface, 
with the front wheels parallel to the vehicle's longitudinal centerline, 
and the tires inflated to the manufacturer's recommended pressure;
    (i) Approach angle of not less than 28 degrees.
    (ii) Breakover angle of not less than 14 degrees.
    (iii) Departure angle of not less than 20 degrees.
    (iv) Running clearance of not less than 8 inches.
    (v) Front and rear axle clearances of not less than 7 inches each.
    Static loaded radius arc means a portion of a circle whose center is 
the center of a standard tire-rim combination of an automobile and whose 
radius is the distance from that center to the level surface on which 
the automobile is standing, measured with the automobile at curb weight, 
the wheel parallel to the vehicle's longitudinal centerline, and the 
tire inflated to the manufacturer's recommended pressure.
    Unscheduled maintenance means any adjustment, repair, removal 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed to correct a part failure or vehicle (if the engine 
were installed in a vehicle) malfunction which was not anticipated.
    Useful life means:
    (a) For light-duty vehicles a period of use of 5 years or 50,000 
miles, whichever first occurs.
    (b)(1) For a light-duty truck engine family or heavy-duty engine 
family, the average period of use up to engine retirement or rebuild, 
whichever occurs first, as determined by the manufacturer under Sec.  
86.084-21(b)(4)(ii)(B).
    (2) For a specific light-duty truck or heavy-duty engine, the period 
of use represented by the first occurring of the following:
    (i) The engine reaches the point of needing to be rebuilt, according 
to the criteria established by the manufacturer under Sec.  86.084-
21(b)(4)(ii)(C), or
    (ii) The engine reaches its engine family's useful life.
    (3) If the useful life of a specific light-duty truck or heavy-duty 
engine is found to be less than 5 years or 50,000 miles (or the 
equivalent), the useful life shall be a period of use of 5 years or 
50,000 miles (or the equivalent), whichever occurs first, as required by 
section 202(d)(2) of the Act.
    (4) For purpose of identification this option shall be known as the 
average useful-life period.
    (c)(1) As an option for a light-duty truck engine family, a period 
of use of 12 years or 130,000 miles, whichever occurs first.
    (2) As an option for a gasoline heavy-duty engine family, a period 
of use of 10 years or 120,000 miles, whichever occurs first.
    (3) As an option for a diesel heavy-duty engine family, a period of 
use of 10 years or 120,000 miles, whichever occurs first, for engines 
certified for use in vehicles of less than 19,500 pounds GVWR; a period 
of use of 10 years or 200,000 miles, whichever occurs first, for engines 
certified for use in vehicles of 19,501-26,000 pounds GVWR; or, a period 
of use of 10 years or 275,000 miles, whichever occurs first, for engines 
certified for use in vehicles whose GVWR exceeds 26,000 pounds.
    (4) As an option for both light-duty truck and heavy-duty engine 
families, an alternate full-life value assigned by the Administrator 
under Sec.  86.084-21(b)(4)(ii)(B)(4).
    (5) For purpose of identification these options shall be known as 
the assigned useful-life period options.
    (6) For those light-duty truck and heavy-duty engine families using 
the assigned useful-life period options, the warranty period for 
emissions defect warranty and emissions performance warranty shall be 5 
years/50,000 miles for light-duty trucks, 5 years/50,000 miles for 
gasoline heavy-duty engines and for diesel heavy-duty engines certified 
for use in vehicle of less than 19,501 lbs. GVWR, and 5 years/100,000 
miles for all other diesel heavy-duty engines. However, in no case may 
this period be less than the basic mechanical warranty period.

[[Page 572]]

    (7) The assigned useful-life period options, as detailed in 
paragraphs (c)(1) through (c)(6) of this section, are applicable for the 
1984 model year only.
    (d)(1) As an option for the 1984 model year and for the 1984 model 
year only, the useful life of light-duty trucks and heavy-duty engine 
families may be defined as prescribed in Sec.  86.077-2.
    (2) For purpose of identification this option shall be known as the 
half-life useful-life option.

[45 FR 63747, Sept. 25, 1980, as amended at 47 FR 49811, Nov. 2, 1982; 
48 FR 1412, Jan. 12, 1983; 48 FR 48607, Oct. 19, 1983; 49 FR 48136, Dec. 
10, 1984; 70 FR 40433, July 13, 2005]



Sec.  86.084-4  Section numbering; construction.

    (a) The model year of initial applicability is indicated by the last 
two digits of the 5-digit group. A section remains in effect for 
subsequent model years until it is superseded. The number following the 
hyphen designates what previous section is replaced by a future 
regulation. For example, Sec.  86.005-1 applies to model year 2005 and 
later vehicles and engines until it is superseded. Section 86.016-1 
takes effect with model year 2016 and continues to apply until it is 
superseded; Sec.  86.005-1 no longer applies starting with model year 
2016, except as specified by Sec.  86.016-1.
    (b) If a regulation in this subpart references a section that has 
been superseded or no longer exists, this should be understood as a 
reference to the same section for the appropriate model year. For 
example, if a regulation in this subpart refers to Sec.  86.001-30, it 
should be taken as a reference to Sec.  86.007-30 or any later version 
of that section that applies for the appropriate model year. However, 
this does not apply if the reference to a superseded section 
specifically states that the older provision applies instead of any 
updated provisions from the section in effect for the current model 
year; this occurs most often as part of the transition to new emission 
standards.
    (c) Except where indicated, the language in this subpart applies to 
both vehicles and engines. In many instances, language referring to 
engines is enclosed in parentheses and immediately follows the language 
discussing vehicles.

[81 FR 73976, Oct. 25, 2016]



Sec.  86.085-2  Definitions.

    The definitions of Sec.  86.084-2 remain effective. The definitions 
listed in this section apply beginning with the 1985 model year.
    Abnormally treated vehicle, any diesel light-duty vehicle or diesel 
light-duty truck that is operated for less than five miles in a 30 day 
period immediately prior to conducting a particulate emissions test.
    Composite particulate standard, for a manufacturer which elects to 
average diesel light-duty vehicles and diesel light-duty trucks together 
in the particulate averaging program, means that standard calculated 
according to the following equation and rounded to the nearest hundredth 
gram-per-mile:
[GRAPHIC] [TIFF OMITTED] TR06OC93.004

Where:

PRODLDV represents the manufacturer's total diesel light-duty 
          vehicle production for those engine families being included in 
          the average for a given model year.
STDLDV represents the light-duty vehicle particulate 
          standard.
PRODLDT represents the manufacturer's total diesel light-duty 
          truck production for those engine families being included in 
          the average for a given model year.
STDLDT represents the light-duty truck particulate standard.

    Family particulate emission limit means the diesel particulate 
emission level to which an engine family is certified in the particulate 
averaging program, expressed to an accuracy of one hundredth gram-per-
mile.

[[Page 573]]

    Production-weighted average means the manufacturer's production-
weighted average particulate emission level, for certification purposes, 
of all of its diesel engine families included in the particulate 
averaging program. It is calculated at the end of the model year by 
multiplying each family particulate emission limit by its respective 
production, summing these terms, and dividing the sum by the total 
production of the effected families. Those vehicles produced for sale in 
California or at high altitude shall each be averaged separately from 
those produced for sale in any other area.
    Primary intended service class means:
    (a) The primary service application group for which a heavy-duty 
diesel engine is designed and marketed, as determined by the 
manufacturer. The primary intended service classes are designated as 
light, medium, and heavy heavy-duty diesel engines. The determination is 
based on factors such as vehicle GVW, vehicle usage and operating 
patterns, other vehicle design characteristics, engine horsepower, and 
other engine design and operating characteristics.
    (1) Light heavy-duty diesel engines usually are non-sleeved and not 
designed for rebuild; their rated horsepower generally ranges from 70 to 
170. Vehicle body types in this group might include any heavy-duty 
vehicle built for a light-duty truck chassis, van trucks, multi-stop 
vans, recreational vehicles, and some single axle straight trucks. 
Typical applications would include personal transportation, light-load 
commercial hauling and delivery, passenger service, agriculture, and 
construction. The GVWR of these vehicles is normally less than 19,500 
lbs.
    (2) Medium heavy-duty diesel engines may be sleeved or non-sleeved 
and may be designed for rebuild. Rated horsepower generally ranges from 
170 to 250. Vehicle body types in this group would typically include 
school buses, tandem axle straight trucks, city tractors, and a variety 
of special purpose vehicles such as small dump trucks, and trash 
compactor trucks. Typical applications would include commercial short 
haul and intra-city delivery and pickup. Engines in this group are 
normally used in vehicles whose GVWR varies from 19,500-33,000 lbs.
    (3) Heavy heavy-duty diesel engines are sleeved and designed for 
multiple rebuilds. Their rated horsepower generally exceeds 250. 
Vehicles in this group are normally tractors, trucks, and buses used in 
inter-city, long-haul applications. These vehicles normally exceed 
33,000 lbs GVWR.
    Useful life means:
    (a) For light-duty vehicles a period of use of 5 years or 50,000 
miles, whichever first occurs.
    (b) For a light-duty truck engine family, a period of use of 11 
years or 120,000 miles, whichever occurs first.
    (c) For a gasoline-fueled heavy-duty engine family (and in the case 
of evaporative emission regulations, for gasoline-fueled heavy-duty 
vehicles), a period of use of 8 years or 110,000 miles, whichever first 
occurs.
    (d) For a diesel heavy-duty engine family:
    (1) For light heavy-duty diesel engines, a period of use of 8 years 
or 110,000 miles, whichever first occurs.
    (2) For medium heavy-duty diesel engines, a period of use of 8 years 
or 185,000 miles, whichever first occurs.
    (3) For heavy heavy-duty diesel engines, a period of use of 8 years 
or 290,000 miles, whichever first occurs.
    (e) As an option for both light-duty truck and heavy-duty engine 
families, an alternative useful life period assigned by the 
Administrator under the provisions of paragraph (f) of Sec.  86.085-21.
    (f) The useful-life period for purposes of the emissions defect 
warranty and emissions performance warranty shall be a period of 5 
years/50,000 miles whichever first occurs, for light-duty trucks, 
gasoline heavy-duty engines, and light heavy-duty diesel engines. For 
all other heavy-duty diesel engines the aforementioned period is 5 
years/100,000 miles, whichever first occurs. However, in no case may 
this period be less than the manufacturer's basic mechanical warranty 
period for the engine family.

[48 FR 33462, July 21, 1983, as amended at 48 FR 52184, Nov. 16, 1983; 
52 FR 47863, Dec. 16, 1987; 79 FR 23690, Apr. 28, 2014]

[[Page 574]]



Sec.  86.085-20  Incomplete vehicles, classification.

    For purposes of this part:
    (a) A heavy-duty gasoline-fueled vehicle is considered to be a 
complete vehicle if it has the primary load carrying device or container 
attached at the time the vehicle leaves the control of the manufacturer 
of the engine, and is considered to be an incomplete vehicle if it does 
not.
    (b) For all other heavy-duty vehicles, a vehicle that has the 
primary load carrying device or container attached at the time the 
vehicle is introduced into U.S. commerce is considered to be a complete 
vehicle. Vehicles not considered to be complete vehicles are incomplete 
vehicles. For purposes of determining when a vehicle is introduced into 
U.S. commerce, an assembly of motor vehicle parts is deemed to be a 
vehicle if either of the following applies:
    (1) A piece of equipment that is intended for self-propelled use on 
highways becomes a vehicle when it includes at least an engine, a 
transmission, and a frame. (Note: For purposes of this definition, any 
electrical, mechanical, and/or hydraulic devices attached to engines for 
the purpose of powering wheels are considered to be transmissions.)
    (2) A piece of equipment that is intended for self-propelled use on 
highways becomes a vehicle when it includes a passenger compartment 
attached to a frame with axles.

[79 FR 23690, Apr. 28, 2014]



Sec.  86.085-37  Production vehicles and engines.

    (a) Any manufacturer obtaining certification under this part shall 
supply to the Administrator, upon request, a reasonable number of 
production vehicles (or engines) selected by the Administrator which are 
representative of the engines, emission control systems, fuel systems, 
and transmission offered and typical of production models available for 
sale under the certificate. These vehicles (or engines) shall be 
supplied for testing at such time and place and for such reasonable 
periods as the Administrator may require. Heavy-duty engines supplied 
under this paragraph may be required to be mounted in chassis and 
appropriately equipped for operation on a chassis dynamometer.
    (b) [Reserved]
    (c) Any heavy-duty engine or gasoline-fueled heavy-duty vehicle 
manufacturer obtaining certification under this part shall notify the 
Administrator, on a yearly basis, of the number of engines or vehicles 
of such engine family-evaporative emission family-engine displacement-
exhaust emission control system-fuel system combination produced for 
sale in the United States during the preceding year.

[48 FR 1455, Jan. 12, 1983, as amended at 59 FR 50073, Sept. 30, 1994; 
62 FR 31233, June 6, 1997; 79 FR 23690, Apr. 28, 2014; 81 FR 73976, Oct. 
25, 2016]



Sec.  86.088-2  Definitions.

    The definitions in Sec.  86.085-2 remain effective. The definitions 
in this section apply beginning with the 1988 model year.
    Composite NOX standard, for a manufacturer which elects 
to average light-duty trucks subject to the NOX standard of 
Sec.  86.088-9(a)(iii)(A) together with those subject to the 
NOX standard of Sec.  86.088-9(a)(iii)(B) in the light-duty 
truck NOX averaging program, means that standard calculated 
according to the following equation and rounded to the nearest one-tenth 
gram per mile:
[GRAPHIC] [TIFF OMITTED] TR06OC93.006

Where:

PRODA = The manufacturer's total light-duty truck production 
          for those engine families subject to the standard of

[[Page 575]]

          Sec.  86.088-9(a)(iii)(A) and included in the average for a 
          given model year,
STDA = The NOX standard of Sec.  86.088-
          9(a)(iii)(A),
PRODB = The manufacturer's total light-duty truck production 
          for those engine families subject to the standard of Sec.  
          86.088-9(a)(iii)(B) and included in the average for a given 
          model year, and
STDB = The NOX standard of Sec.  86.088-
          9(a)(iii)(B).

    Critical emission-related components are those components which are 
designed primarily for emission control, or whose failure may result in 
a significant increase in emissions accompanied by no significant 
impairment (or perhaps even an improvement) in performance, 
driveability, and/or fuel economy as determined by the Administrator.
    Critical emission-related maintenance means that maintenance to be 
performed on critical emission-related components.
    Emission-related maintenance means that maintenance which does 
substantially affect emissions or which is likely to affect the 
emissions deterioration of the vehicle or engine during normal in-use 
operation, even if the maintenance is performed at some time other than 
that which is recommended.
    Family NOX emission limit means the NOX 
emission level to which an engine family is certified in the light-duty 
truck NOX averaging program, expressed to one-tenth of a gram 
per mile accuracy.
    Non-emission-related maintenance means that maintenance which does 
not substantially affect emissions and which does not have a lasting 
effect on the emissions deterioration of the vehicle or engine during 
normal in-use operation once the maintenance is performed.
    Production-weighted NOX average means the manufacturer's 
production-weighted average NOX emission level, for 
certification purposes, of all of its light-duty truck engine families 
included in the NOX averaging program. It is calculated at 
the end of the model year by multiplying each family NOX 
emission limit by its respective production, summing those terms, and 
dividing the sum by the total production of the effected families. Those 
vehicles produced for sale in California or at high altitude shall each 
be averaged separately from those produced for sale in any other area.
    Production-weighted particulate average means the manufacturer's 
production-weighted average particulate emission level, for 
certification purposes, of all of its diesel engine families included in 
the particulate averaging program. It is calculated at the end of the 
model year by multiplying each family particulate emission limit by its 
respective production, summing those terms, and dividing the sum by the 
total production of the effected families. Those vehicles produced for 
sale in California or at high altitude shall each be averaged separately 
from those produced for sale in any other area.

(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10648, Mar. 15, 1985]



Sec.  86.090-2  Definitions.

    The definitions in Sec.  86.088-2 remain effective. The definitions 
in this section apply beginning with the 1990 model year.
    Averaging for heavy-duty engines means the exchange of 
NOX and particulate emission credits among engine families 
within a given manufacturer's product line.
    Averaging set means a subcategory of heavy-duty engines within which 
engine families can average and trade emission credits with one other.
    Banking means the retention of heavy-duty engine NOX and 
particulate emission credits, by the manufacturer generating the 
emission credits, for use in future model year certification programs as 
permitted by regulation.
    Composite particulate standard, for a manufacturer which elects to 
average light-duty vehicles and light-duty trucks together in either the 
petroleum-fueled or methanol-fueled light-duty particulate averaging 
program, means that standards calculated using the following equation 
and rounded to the nearest one-hundredth (0.01) of a gram per mile:

[[Page 576]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.007

Where:

PRODLDV represents the manufacturer's total petroleum-fueled 
          diesel or methanol-fueled diesel light-duty vehicle production 
          for those engine families being included in the appropriate 
          average for a given model year.
STDLDV represents the light-duty vehicle particulate 
          standard.
PRODLDT represents the manufacturer's total petroleum-fueled 
          diesel or methanol-fueled diesel light-duty truck production 
          for those engine families being included in the appropriate 
          average for a given model year.
STDLDT represents the light-duty truck particulate standard.

    Dedicated vehicle (or engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated using a single 
fuel. Flexible fuel vehicles and multi-fuel vehicles are not dedicated 
vehicles.
    Diesel means type of engine with operating characteristics 
significantly similar to the theoretical Diesel combustion cycle. The 
non-use of a throttle during normal operation is indicative of a diesel 
engine.
    Dual fuel vehicle (or engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated on two different 
fuels, but not on a mixture of fuels.
    Emission credits mean the amount of emission reductions or 
exceedances, by a heavy-duty engine family, below or above the emission 
standard, respectively. Emission credits below the standard are 
considered as ``positive credits,'' while emission credits above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
U.S. production volume of the engine family. ``Reserved credits'' are 
emission credits generated within a model year waiting to be reported to 
EPA at the end of the model year. ``Actual credits'' refer to emission 
credits based on actual U.S. production volumes as contained in the end-
of-year reports submitted to EPA. Some or all of these credits may be 
revoked if EPA review of the end of year reports or any subsequent audit 
actions uncover problems or errors.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer which serves in lieu of an emission standard for 
certification purposes in any of the averaging, trading, or banking 
programs. FELs must be expressed to the same number of decimal places as 
the applicable emission standard. The FEL for an engine family using 
NOX or particulate NCPs must equal the value of the current 
NOX or particulate emission standard.
    Flexible fuel vehicle (or engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated on any mixture of 
two or more different fuels.
    Methanol-fueled means any motor vehicle or motor vehicle engine that 
is engineered and designed to be operated using methanol fuel (i.e., a 
fuel that contains at least 50 percent methanol (CH3OH) by 
volume) as fuel. Flexible fuel vehicles are methanol-fueled vehicles.
    Non-oxygenated hydrocarbon means organic emissions measured by a 
flame ionization detector, excluding methanol.
    Otto-cycle means type of engine with operating characteristics 
significantly similar to the theoretical Otto combustion cycle. The use 
of a throttle during normal operation is indicative of an Otto-cycle 
engine.
    Primary intended service class has the meaning given in 40 CFR 
1036.140.
    Production weighted particulate average means the manufacturer's 
production-weighted average particulate emission level, for 
certification purposes, of all of its diesel engine families included in 
the light-duty particulate averaging program. It is calculated at the 
end of the model year by multiplying each family particulate emission 
limit by its respective production, summing those terms, and dividing 
the sum by the total production of the effected families. Those vehicles

[[Page 577]]

produced for sale in California or at high altitude shall each be 
averaged separately from those produced for sale in any other area.
    Throttle means a device used to control an engine's power output by 
limiting the amount of air entering the combustion chamber.
    Total hydrocarbon equivalent means the sum of the carbon mass 
emissions of non-oxygenated hydrocarbons, methanol, formaldehyde or 
other organic compounds that are separately measured, expressed as 
gasoline-fueled vehicle hydrocarbons. In the case of exhaust emissions, 
the hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. In 
the case of diurnal and hot soak emissions, the hydrogen-to-carbon 
ratios of the equivalent hydrocarbons are 2.33:1 and 2.2:1, 
respectively.
    Trading means the exchange of heavy-duty engine NOX or 
particulate emission credits between manufacturers.
    Useful life means:
    (a) For light-duty vehicles a period of use of 5 years or 50,000 
miles, whichever first occurs.
    (b) For a light-duty truck engine family, a period of use of 11 
years or 120,000 miles, whichever occurs first.
    (c) For an Otto-cycle heavy-duty engine family, a period of use of 8 
years of 110,000 miles, whichever first occurs.
    (d) For a diesel heavy-duty engine family:
    (1) For light heavy-duty diesel engines, period of use of 8 years or 
110,000 miles, whichever first occurs.
    (2) For medium heavy-duty diesel engines, a period of use of 8 years 
or 185,000 miles, whichever first occurs.
    (3) For heavy heavy-duty diesel engines, a period of use of 8 years 
or 290,000 miles, whichever first occurs.
    (e) As an option for both light-duty truck and heavy-duty engine 
families, an alternative useful life period assigned by the 
Administrator under the provisions of paragraph (f) of Sec.  86.090-21.
    (f) The useful-life period for purposes of the emissions defect 
warranty and emissions performance warranty shall be a period of 5 
years/50,000 miles whichever first occurs, for light-duty trucks, Otto 
cycle heavy-duty engines and light heavy-duty diesel engines. For all 
other heavy-duty diesel engines the aforementioned period is 5 years/
100,000 miles, whichever first occurs. However, in no case may this 
period be less than the manufacturer's basic mechanical warranty period 
for the engine family.

[55 FR 30612, July 26, 1990, as amended at 60 FR 34334, June 30, 1995; 
62 FR 31233, June 6, 1997; 76 FR 57376, Sept. 15, 2011]



Sec.  86.090-3  Abbreviations.

    (a) The abbreviations in Sec.  86.078-3 remain effective. The 
abbreviations in this section apply beginning with the 1990 model year.
    (b) The abbreviations in this section apply to this subpart, and 
also to subparts B, E, F, M, N, and P of this part, and have the 
following meanings:

DNPH--2,4-dinitrophenylhydrazine.
FEL--Family emission limit.
GC--Gas chromatograph.
HPLC--High-pressure liquid chromatography.
MeOH--Methanol (CH3OH).
Mg--Megagram(s) (1 million grams)
MJ--Megajoule(s) (1 million joules)
THCE--Total Hydrocarbon Equivalent
UV--Ultraviolet.

[55 FR 30613, July 26, 1990, as amended at 60 FR 34335, June 30, 1995]



Sec.  86.090-5  General standards; increase in emissions; unsafe conditions.

    (a)(1) Every new motor vehicle (or new motor vehicle engine) 
manufactured for sale, sold, offered for sale, introduced, or delivered 
for introduction to commerce, or imported into the United States for 
sale or resale which is subject to any of the standards prescribed in 
this subpart shall be covered by a certificate of conformity issued 
pursuant to Sec. Sec.  86.090-21, 86.090-22, 86.090-23, 86.090-29, 
86.090-30, 86.079-31, 86.079-32, 86.079-33, and 86.082-34.
    (2) No heavy-duty vehicle manufacturer shall take any of the actions 
specified in section 203(a)(1) of the Act with respect to any Otto-cycle 
or diesel heavy-duty vehicle which uses an engine which has not been 
certified as meeting applicable standards.
    (3) Notwithstanding paragraphs (a) (1) and (2) of this section, a 
light or heavy duty motor vehicle equipped with an engine certified to 
the nonroad provision of 40 CFR part 89 may be

[[Page 578]]

sold, offered for sale or otherwise introduced into commerce by a motor 
vehicle manufacturer to a secondary manufacturer if the motor vehicle 
manufacturer obtains written assurance from the secondary manufacturer 
that such vehicle will be converted to a nonroad vehicle or to a piece 
of nonroad equipment, as defined in 40 CFR part 89, before title is 
transferred to an ultimate purchaser. Failure of the secondary 
manufacturer to convert such vehicles to nonroad vehicles or equipment 
prior to transfer to an ultimate purchaser shall be considered a 
violation of section 203(a) (1) and (3) of the Clean Air Act.
    (b)(1) Any system installed on or incorporated in a new motor 
vehicle (or new motor vehicle engine) to enable such vehicle (or engine) 
to conform to standards imposed by this subpart.
    (i) Shall not in its operation or function cause the emission into 
the ambient air of any noxious or toxic substance that would not be 
emitted in the operation of such vehicle (or engine) without such 
system, except as specifically permitted by regulation; and
    (ii) Shall not in its operation, function or malfunction result in 
any unsafe condition endangering the motor vehicle, its occupants, or 
persons or property in close proximity to the vehicle.
    (2) In establishing the physically adjustable range of each 
adjustable parameter on a new motor vehicle (or new motor vehicle 
engine), the manufacturer shall ensure that, taking into consideration 
the production tolerances, safe vehicle driveability characteristics are 
available within that range, as required by section 202(a)(4) of the 
Clean Air Act.
    (3) Every manufacturer of new motor vehicles (or new motor vehicle 
engines) subject to any of the standards imposed by this subpart shall, 
prior to taking any of the actions specified in section 203(a)(1) of the 
Act, test or cause to be tested motor vehicles (or motor vehicle 
engines) in accordance with good engineering practice to ascertain that 
such test vehicles (or test engines) will meet the requirements of this 
section for the useful life of the vehicle (or engine).

[54 FR 14460, Apr. 11, 1989, as amended at 61 FR 58106, Nov. 12, 1996]



Sec.  86.090-27  Special test procedures.

    (a) The Administrator may, on the basis of written application by a 
manufacturer, prescribe test procedures, other than those set forth in 
this part, for any light-duty vehicle, light-duty truck, heavy-duty 
engine, or heavy-duty vehicle which the Administrator determines is not 
susceptible to satisfactory testing by the procedures set forth in this 
part.
    (b) If the manufacturer does not submit a written application for 
use of special test procedures but the Administrator determines that a 
light-duty vehicle, light-duty truck, heavy-duty engine, or heavy-duty 
vehicle is not susceptible to satisfactory testing by the procedures set 
forth in this part, the Administrator shall notify the manufacturer in 
writing and set forth the reasons for such rejection in accordance with 
the provisions of Sec.  86.090-22(c).

[54 FR 14481, Apr. 11, 1989]



Sec.  86.091-2  Definitions.

    The definitions of Sec.  86.090-2 remain effective. The definitions 
listed in this section apply beginning with the 1991 model year.
    Urban bus means a heavy heavy-duty diesel-powered passenger-carrying 
vehicle with a load capacity of fifteen or more passengers and intended 
primarily for intra-city operation, i.e., within the confines of a city 
or greater metropolitan area. Urban bus operation is characterized by 
short rides and frequent stops. To facilitate this type of operation, 
more than one set of quick-operating entrance and exit doors would 
normally be installed. Since fares are usually paid in cash or tokens 
rather than purchased in advance in the form of tickets, urban buses 
would normally have equipment installed for collection of fares. Urban 
buses are also typically characterized by the absence of equipment and 
facilities for long distance travel, e.g., rest rooms, large luggage 
compartments,

[[Page 579]]

and facilities for stowing carry-on luggage. The useful life for urban 
buses is the same as the useful life for other heavy heavy-duty diesel 
engines.

[55 FR 30619, July 26, 1990]



Sec.  86.091-7  Maintenance of records; submittal of information; 
right of entry.

    (a) The manufacturer of any new motor vehicle (or new motor vehicle 
engine) subject to any of the standards or procedures prescribed in this 
subpart shall establish, maintain and retain the following adequately 
organized and indexed records.
    (1) General records. (i) The records required to be maintained by 
this paragraph shall consist of:
    (A) Identification and description of all certification vehicles (or 
certification engines) for which testing is required under this subpart.
    (B) A description of all emission control systems which are 
installed on or incorporated in each certification vehicle (or 
certification engine).
    (C) A description of all procedures used to test each such 
certification vehicle (or certification engine).
    (ii) A properly filed application for certification, following the 
format prescribed by the US EPA for the appropriate model year, fulfills 
each of the requirements of this paragraph (a)(1).
    (2) Individual records. (i) A brief history of each motor vehicle 
(or motor vehicle engine) used for certification under this subpart 
including:
    (A) In the case where a current production engine is modified for 
use in a certification vehicle (or as a certification engine), a 
description of the process by which the engine was selected and of the 
modifications made. In the case where the engine for a certification 
vehicle (or certification engine) is not derived from a current 
production engine, a general description of the buildup of the engine 
(e.g., experimental heads were cast and machined according to supplied 
drawings, etc.). In both cases above, a description of the origin and 
selection process for carburetor, distributor, fuel system components, 
fuel injection components, emission control system components, smoke 
exhaust emission control system components, and exhaust aftertreatment 
devices as applicable, shall be included. The required descriptions 
shall specify the steps taken to assure that the certification vehicle 
(or certification engine) with respect to its engine, drivetrain, fuel 
system, emission control system components, exhaust aftertreatment 
devices, smoke exhaust emission control system components, vehicle 
weight or any other devices or components, as applicable, that can 
reasonably be expected to influence exhaust or evaporative emissions, as 
applicable, will be representative of production vehicles (or engines) 
and that either all components and/or vehicles (or engine) construction 
processed, component inspection and selection techniques, and assembly 
techniques employed in constructing such vehicles (or engines) are 
reasonably likely to be implemented for production vehicles (or engines) 
or that they are as closely analogous as practicable to planned 
construction and assembly processed.
    (B) A complete record of all emission tests performed (except tests 
performed by EPA directly), including test results, the date and purpose 
of each test, and the number of miles accumulated on the vehicle (or the 
number of hours accumulated on the engine).
    (C) The date of each mileage (or service) accumulation run, listing 
the mileage (or number of operating hours) accumulated.
    (D) [Reserved]
    (E) A record and description of all maintenance and other servicing 
performed, giving the date of the maintenance or service and the reason 
for it.
    (F) A record and description of each test performed to diagnose 
engine or emission control system performance, giving the date and time 
of the test and the reason for it.
    (G) [Reserved]
    (H) A brief description of any significant events affecting the 
vehicle (or engine) during any time in the period covered by the history 
not described by an entry under one of the previous headings including 
such extraordinary events as vehicle accidents (or accidents involving 
the engine) or dynamometer runaway.
    (ii) Each such history shall be started on the date that the first 
of any of the

[[Page 580]]

selection or buildup activities in paragraph (a)(2)(i)(A) of this 
section occurred with respect to the certification vehicle (or engine) 
changes or additional work is done on it, and shall be kept in a 
designated location.
    (b) The manufacturer of any new motor vehicle (or new motor vehicle 
engine) subject to any of the standards prescribed in this subpart shall 
submit to the Administrator at the time of issuance by the manufacturer 
copies of all instructions or explanations regarding the use, repair, 
adjustment, maintenance, or testing of such vehicle (or engine) relevant 
to the control of crankcase, exhaust or evaporative emissions, as 
applicable, issued by the manufacturer for use by other manufacturers, 
assembly plants, distributors, dealers, and ultimate purchasers, 
Provided, That any material not translated into the English language 
need not be submitted unless specifically requested by the 
Administrator.
    (c)(1) The manufacturer (or contractor for the manufacturer, if 
applicable) of any new vehicle or engine that is certified under 
averaging, trading, or banking programs (as applicable) shall establish, 
maintain, and retain the following adequately organized and indexed 
records for each such vehicle or heavy-duty engine produced:
    (i) EPA engine family.
    (ii) Vehicle (or engine) identification number.
    (iii) Vehicle (or engine) model year and build date.
    (iv) BHP rating (heavy-duty engines only).
    (v) Purchaser and destination.
    (vi) Assembly plant.
    (2) The manufacturer (or contractor for the manufacturer, if 
applicable) of any new vehicle or engine family that is certified under 
averaging, trading, or banking programs (as applicable) shall establish, 
maintain, and retain the following adequately organized and indexed 
records for each such family:
    (i) EPA engine family.
    (ii) FEL.
    (iii) BHP conversion factor and the transient test BHP for each 
configuration tested (heavy-duty engines only).
    (iv) Useful life.
    (v) Projected U.S. production volume for the model year.
    (vi) Actual U.S. production volume for the model year.
    (3) [Reserved]
    (4) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (5) Pursuant to a request made by the Administrator, the 
manufacturer shall submit to him the information that is required to be 
retained.
    (6) EPA may void ab initio a certificate of conformity for a vehicle 
or engine family for which the manufacturer fails to retain the records 
required in this section or to provide such information to the 
Administrator upon request.
    (7) Any engine family using NCPs must comply with the provisions 
established in the NCP program provided by 40 CFR part 86, subpart L.
    (8) Any manufacturer, producing an engine family participating in 
trading using reserved credits, shall maintain the following records on 
a quarterly basis for each engine family in the trading subclass:
    (i) The engine family,
    (ii) The averaging set,
    (iii) The actual quarterly and cumulative U.S. production volumes,
    (iv) The value required to calculate credits as given in Sec.  
86.091-15,
    (v) The resulting type [NOX or particulate] and number of 
credits generated/required,
    (vi) How and where credit surpluses are dispersed, and
    (vii) How and through what means credit deficits are met.
    (d)(1) Any manufacturer who has applied for certification of a new 
motor vehicle (or new motor vehicle engine) subject to certification 
test under this subpart shall admit or cause to be admitted any EPA 
Enforcement Officer or any EPA authorized representative during 
operating hours on presentation of credentials to any of the following:
    (i) Any facility where any such tests or any procedures or 
activities connected with such test are or were performed.
    (ii) Any facility where any new motor vehicle (or new motor vehicle 
engine) which is being, was, or is to be tested is present.

[[Page 581]]

    (iii) Any facility where any construction process or assembly 
process used in the modification or build up of such a vehicle (or 
engine) into a certification vehicle (or certification engine) is taking 
place or has taken place.
    (iv) Any facility where any record or other document relating to any 
of the above is located.
    (v) Any facility where any record or other document relating to the 
information specified in paragraph (c) of this section is located.
    (2) [Reserved]
    (3) In order to allow the Administrator to determine whether or not 
production motor vehicles (or production motor vehicle engines) conform 
to the conditions upon which a certificate of conformity has been 
issued, or conform in all material respects to the design specifications 
which applied to those vehicles (or engines) described in the 
application for certification for which a certificate of conformity has 
been issued to standards prescribed under section 202 of the Act, any 
manufacturer shall admit any EPA Enforcement Officer or any EPA 
authorized representative on presentation of credentials to both:
    (i) Any facility where any document, design, or procedure relating 
to the translation of the design and construction of engines and 
emission related components described in the application for 
certification or used for certification testing into production vehicles 
(or production engines) is located or carried on;
    (ii) Any facility where any motor vehicles (or motor vehicle 
engines) to be introduced into commerce are manufactured or assembled; 
and
    (iii) Any facility where records specified in paragraph (c) of this 
section are located.
    (4) On admission to any such facility referred to in paragraph 
(d)(4) of this section, any EPA Enforcement Officer or any EPA 
authorized representative shall be allowed:
    (i) To inspect and monitor any aspects of such manufacture or 
assembly and other procedures;
    (ii) To inspect and make copies of any such records, documents or 
designs;
    (iii) To inspect and photograph any part or aspect of any such new 
motor vehicles (or new motor vehicle engines) and any component used in 
the assembly thereof that are reasonably related to the purpose of his 
entry; and
    (iv) To inspect and make copies of any records and documents 
specified in paragraph (c) of this section.
    (5) Any EPA Enforcement Officer or EPA authorized representative 
shall be furnished by those in charge of a facility being inspected with 
such reasonable assistance as he may request to help him discharge any 
function listed in this paragraph. Each applicant for or recipient of 
certification is required to cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA whether or not the applicant controls the facility.
    (6) The duty to admit or cause to be admitted any EPA Enforcement 
Officer or EPA authorized representative applies whether or not the 
applicant owns or controls the facility in question and applies both to 
domestic and to foreign manufacturers and facilities. EPA will not 
attempt to make any inspections which it has been informed that local 
law forbids. However, if local law makes it impossible to do what is 
necessary to insure the accuracy of data generated at a facility, no 
informed judgment that a vehicle or engine is certifiable or is covered 
by a certificate can properly be based on those data. It is the 
responsibility of the manufacturer to locate its testing and 
manufacturing facilities in jurisdictions where this situation will not 
arise.
    (7) For purposes of this paragraph:
    (i) Presentation of credentials shall mean display of the document 
designating a person as an EPA Enforcement Officer or EPA authorized 
representative.
    (ii) Where vehicle, component, or engine storage areas or facilities 
are concerned, operating hours shall mean all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the area or facility and have access to it.
    (iii) Where facilities or areas other than those covered by 
paragraph (d)(7)(ii) of this section are concerned, operating hours 
shall mean all times

[[Page 582]]

during which an assembly line is in operation or all times during which 
testing, maintenance, mileage (or service) accumulation, production or 
compilation of records, or any other procedure or activity related to 
certification testing, to translation of designs from the test stage to 
the production stage, or to vehicle (or engine) manufacture or assembly 
is being carried out in a facility.
    (iv) Reasonable assistance includes, but is not limited to, 
clerical, copying, interpretation and translation services, the making 
available on request of personnel of the facility being inspected during 
their working hours to inform the EPA Enforcement Officer or EPA 
authorized representative of how the facility operates and to answer his 
questions, and the performance on request of emissions tests on any 
vehicle (or engine) which is being, has been, or will be used for 
certification testing. Such tests shall be nondestructive, but may 
require appropriate mileage (or service) accumulation. A manufacturer 
may be compelled to cause the personal appearance of any employee at 
such a facility before an EPA Enforcement Officer or EPA authorized 
representative by written request for his appearance, signed by the 
Assistant Administrator for Air and Radiation, served on the 
manufacturer. Any such employee who has been instructed by the 
manufacturer to appear will be entitled to be accompanied, represented, 
and advised by counsel.
    (v) Any entry without 24 hour prior written or oral notification to 
the affected manufacturer shall be authorized in writing by the 
Assistant Administrator for Air and Radiation.
    (8) EPA may void ab initio a certificate of conformity for vehicle 
or engine families introduced into commerce if the manufacturer (or 
contractor for the manufacturer, if applicable) fails to comply with any 
provision of this section.
    (e) EPA Enforcement Officers or EPA authorized representatives are 
authorized to seek a warrant or court order authorizing the EPA 
Enforcement Officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
Enforcement Officers or EPA authorized representatives may proceed ex 
parte to obtain a warrant whether or not the Enforcement Officers first 
attempted to seek permission of the manufacturer or the party in charge 
of the facilities in question to conduct activities related to entry and 
access as authorized in this section.
    (f) A manufacturer shall permit EPA Enforcement Officers or EPA 
authorized representatives who present a warrant or court order as 
described in paragraph (e) of this section to conduct activities related 
to entry and access as authorized in this section and as described in 
the warrant or court order. The manufacturer shall cause those in charge 
of its facility or facility operated for its benefit to permit EPA 
Enforcement Officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section 
pursuant to a warrant or court order whether or not the manufacturer 
controls the facility. In the absence of such a warrant or court order, 
EPA Enforcement Officers or EPA authorized representatives may conduct 
activities related to entry and access as authorized in this section 
only upon the consent of the manufacturer or the party in charge of the 
facilities in question.
    (g) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit EPA Enforcement Officers or EPA authorized 
representatives to conduct activities related to entry and access as 
authorized in this section without a warrant or court order.

[55 FR 30619, July 26, 1990, as amended at 75 FR 22978, Apr. 30, 2010]



Sec.  86.091-29  Testing by the Administrator.

    (a) [Reserved]
    (b)(1) Paragraph (b) of this section applies to heavy-duty engines.
    (2) The Administrator may require that any one or more of the test 
engines be submitted to him, at such place or places as he may 
designate, for the purpose of conducting emissions tests. The 
Administrator may specify that he will conduct such testing at the 
manufacturer's facility, in which

[[Page 583]]

case instrumentation and equipment specified by the Administrator shall 
be made available by the manufacturer for test operations. Any testing 
conducted at a manufacturer's facility pursuant to this paragraph shall 
be scheduled by the manufacturer as promptly as possible.
    (3)(i) Whenever the Administrator conducts a test on a test engine 
the results of that test, unless subsequently invalidated by the 
Administrator, shall comprise the official data for the engine at that 
prescribed test point and the manufacturer's data for that prescribed 
test point shall not be used in determining compliance with emission 
standards (or family emission limits, as appropriate).
    (ii) Whenever the Administrator does not conduct a test on a test 
engine at a test point, the manufacturer's test data will be accepted as 
the official data for that test point: Provided, That if the 
Administrator makes a determination based on testing under paragraph 
(b)(2) of this section, that there is a lack of correlation between the 
manufacturer's test equipment and the test equipment used by the 
Administrator, no manufacturer's test data will be accepted for purposes 
of certification until the reasons for the lack of correlation are 
determined and the validity of the data is established by the 
manufacturer, And further provided, That if the Administrator has 
reasonable basis to believe that any test data submitted by the 
manufacturer is not accurate or has been obtained in violation of any 
provision of this part, the Administrator may refuse to accept that data 
as the official data pending retesting or submission of further 
information.
    (iii)(A)(1) The Administrator may adjust or cause to be adjusted any 
adjustable parameter of an emission-data engine which the Administrator 
has determined to be subject to adjustment for certification testing in 
accordance with Sec.  86.085-22(e)(1), to any setting within the 
physically adjustable range of that parameter, as determined by the 
Administrator in accordance with Sec.  86.085-22(e)(3)(i), prior to the 
performance of any tests to determine whether such engine conforms to 
applicable emission standards, including tests performed by the 
manufacturer under Sec.  86.088-23(c)(2). The Administrator, in making 
or specifying such adjustments, may consider the effect of the deviation 
from the manufacturer's recommended setting on emissions performance 
characteristics as well as the likelihood that similar settings will 
occur on in-use heavy-duty engines. In determining likelihood, the 
Administrator may consider factors such as, but not limited to, the 
effect of the adjustment on engine performance characteristics and 
surveillance information from similar in-use engines.
    (2) For those engine parameters which the Administrator has not 
determined to be subject to adjustment for certification testing in 
accordance with Sec.  86.085-22(e)(1), the emission-data engine 
presented to the Administrator for testing shall be calibrated within 
the production tolerances applicable to the manufacturer's 
specifications to be shown on the engine label (see Sec.  86.091-
35(a)(3)(iii)) as specified in the application for certification. If the 
Administrator determines that an engine is not within such tolerances, 
the engine shall be adjusted at the facility designated by the 
Administrator prior to the test and an engineering report shall be 
submitted to the Administrator describing the corrective action taken. 
Based on the engineering report, the Administrator will determine if the 
engine shall be used as an emission-data engine.
    (B) If the Administrator determines that the test data developed 
under paragraph (b)(3)(iii)(A) of this section would cause the emission-
data engine to fail due to excessive 125-hour emission values or by the 
application of the appropriate deterioration factor, then the following 
procedure shall be observed:
    (1) The manufacturer may request a retest. Before the retest, those 
engine parameters which the Administrator has not determined to be 
subject to adjustment for certification testing in accordance with Sec.  
86.085-22(e)(1) may be readjusted to the manufacturer's specifications, 
if these adjustments were made incorrectly prior to the first test. The 
Administrator may adjust or cause to be adjusted any parameter which the 
Administrator has determined to

[[Page 584]]

be subject to adjustment in accordance with Sec.  86.085-22(e)(3)(i). 
However, if the idle speed parameter is one which the Administrator has 
determined to be subject to adjustment, the Administrator shall not 
adjust it to a setting which causes a higher engine idle speed than 
would have been possible within the physically adjustable range of the 
idle speed parameter on the engine before it accumulated any dynamometer 
service, all other parameters being identically adjusted for the purpose 
of the comparison. Other maintenance or repairs may be performed in 
accordance with Sec.  86.088-25. All work on the vehicle shall be done 
at such location and under such conditions as the Administrator may 
prescribe.
    (2) The engine will be retested by the Administrator and the results 
of this test shall comprise the official data for the emission-data 
engine.
    (iv) If sufficient durability data are not available at the time of 
any emission test conducted under paragraph (b)(2) of this section to 
enable the Administrator to determine whether an emission-data engine 
would fail, the manufacturer may request a retest in accordance with the 
provisions of paragraph (b)(3)(iii)(B) (1) and (2) of this section. If 
the manufacturer does not promptly make such request, he shall be deemed 
to have waived the right to a retest. A request for retest must be made 
before the manufacturer removes the engine from the test premises.
    (c)(1) Paragraph (c) of this section applies to gasoline-fueled and 
methanol-fueled heavy-duty vehicles.
    (2) The Administrator may require that any one or more of the 
evaporative emission family-system combinations included in the 
manufacturer's statement(s) of compliance be installed on an appropriate 
vehicle and such vehicle be submitted to him, at such place or places as 
he may designate, for the purpose of conducting emissions tests. The 
Administrator may specify that he will conduct such testing at the 
manufacturer's facility, in which case instrumentation and equipment 
specified by the Administrator shall be made available by the 
manufacturer for test operations. Any testing conducted at a 
manufacturer's facility pursuant to this paragraph shall be scheduled by 
the manufacturer as promptly as possible.
    (3)(i) Whenever the Administrator conducts a test segment on an 
evaporative emission family-system combination, the results of that test 
segment, unless subsequently invalidated by the Administrator, shall 
comprise the official data for that test segment for the evaporative 
emission family-system combination, and the manufacturer's data, 
analyses, etc., for that test segment shall not be used in determining 
compliance with emission standards. The Administrator may stop a test 
after any evaporative test segment and use as official data any valid 
results obtained up to that point in the test, as described in subpart B 
of this part.
    (ii) Whenever the Administrator does not conduct a test on an 
evaporative emission family-system combination, the manufacturer's test 
data will be accepted as the official data: Provided, That if the 
Administrator makes a determination, based on testing under paragraph 
(c)(2) of this section, that there is a lack of correlation between the 
manufacturer's test equipment and the test equipment used by the 
Administrator, no manufacturer's test data will be accepted for purposes 
of certification until the reasons for the lack of correlation are 
determined and the validity of the data is established by the 
manufacturer, And further provided, That if the Administrator has 
reasonable basis to believe that any test data, analyses, or other 
information submitted by the manufacturer is not accurate or has been 
obtained in violation of any provision of this part, the Administrator 
may refuse to accept those data, analyses, etc., as the official data 
pending retesting or submission of further information.

(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[50 FR 10675, Mar. 15, 1985, as amended at 54 FR 14488, Apr. 11, 1989; 
58 FR 16020, Mar. 24, 1993; 79 FR 23690, Apr. 28, 2014]



Sec.  86.092-2  Definitions.

    The definitions of Sec.  86.091-2 remain effective. The definitions 
listed in this section apply beginning with the 1992 model year.

[[Page 585]]

    (a) Proven emission control systems are emission control components 
or systems (and fuel metering systems) that have completed full 
durability testing evaluation over a vehicle's useful life in some other 
certified engine family, or have completed bench or road testing 
demonstrated to be equal or more severe than certification mileage 
accumulation requirements. Alternatively, proven components or systems 
are those that are determined by EPA to be of comparable functional 
quality and manufactured using comparable materials and production 
techniques as components or systems which have been durability 
demonstrated in some other certified engine family. In addition, the 
components or systems must be employed in an operating environment 
(e.g., temperature, exhaust flow, etc.,) similar to that experienced by 
the original or comparable components or systems in the original 
certified engine family.
    (b) Unproven emission control systems are emission control 
components or systems (and fuel metering systems) that do not qualify as 
proven emission control systems.
    (c) Similar systems are engine, fuel metering and emission control 
system combinations which use the same fuel (e.g., gasoline, diesel, 
etc.), combustion cycle (i.e., two or four stroke), general type of fuel 
system (i.e., carburetor or fuel injection), catalyst system (e.g., 
none, oxidization, three-way plus oxidization, three-way only, etc.), 
fuel control system (i.e., feedback or non-feedback), secondary air 
system (i.e., equipped or not equipped) and EGR (i.e., equipped or not 
equipped).
    (d) Conveniently available service facility and spare parts for 
small-volume manufacturers means that the vehicle manufacturer has a 
qualified service facility at or near the authorized point of sale or 
delivery of its vehicles and maintains an inventory of all emission-
related spare parts or has made arrangements for the part manufacturers 
to supply the parts by expedited shipment (e.g., utilizing overnight 
express delivery service, UPS, etc.).

[55 FR 7187, Feb. 28, 1990]



Sec.  86.093-2  Definitions.

    The definitions of Sec.  86.092-2 continue to apply. The definitions 
listed in this section apply beginning with the 1993 model year.
    Bus means a heavy heavy-duty diesel-powered passenger-carrying 
vehicle with a load capacity of fifteen or more passengers that is 
centrally fueled, and all urban buses. This definition only applies in 
the context of Sec. Sec.  86.093-11 and 86.093-35.
    Centrally fueled bus means a bus that is refueled at least 75 
percent of the time at one refueling facility that is owned, operated, 
or controlled by the bus operator.
    Urban bus means a passenger-carrying vehicle powered by a heavy 
heavy-duty diesel engine, or of a type normally powered by a heavy 
heavy-duty diesel engine, with a load capacity of fifteen or more 
passengers and intended primarily for intracity operation, i.e., within 
the confines of a city or greater metropolitan area. Urban bus operation 
is characterized by short rides and frequent stops. To facilitate this 
type of operation, more than one set of quick-operating entrance and 
exit doors would normally be installed. Since fares are usually paid in 
cash or tokens, rather than purchased in advance in the form of tickets, 
urban buses would normally have equipment installed for collection of 
fares. Urban buses are also typically characterized by the absence of 
equipment and facilities for long distance travel, e.g., rest rooms, 
large luggage compartments, and facilities for stowing carry-on luggage. 
The useful life for urban buses is the same as the useful life for other 
heavy heavy-duty diesel engines.

[58 FR 15795, Mar. 24, 1993]



Sec.  86.094-2  Definitions.

    The definitions of Sec.  86.093-2 remain effective. The definitions 
listed in this section are effective beginning with the 1994 model year.
    Adjusted Loaded Vehicle Weight means the numerical average of 
vehicle curb weight and GVWR.
    Bi-directional control means the capability of a diagnostic tool to 
send messages on the data bus that temporarily overrides the module's 
control over a

[[Page 586]]

sensor or actuator and gives control to the diagnostic tool operator. 
Bi-directional controls do not create permanent changes to engine or 
component calibrations.
    Data stream information means information (i.e., messages and 
parameters) originated within the vehicle by a module or intelligent 
sensors (i.e., a sensor that contains and is controlled by its own 
module) and transmitted between a network of modules and/or intelligent 
sensors connected in parallel with either one or two communication 
wires. The information is broadcast over the communication wires for use 
by other modules (e.g., chassis, transmission, etc.) to conduct normal 
vehicle operation or for use by diagnostic tools. Data stream 
information does not include engine calibration related information.
    Defeat device means an auxilary emission control device (AECD) that 
reduces the effectiveness of the emission control system under 
conditions which may reasonably be expected to be encountered in normal 
vehicle operation and use, unless:
    (1) Such conditions are substantially included in the Federal 
emission test procedure;
    (2) The need for the AECD is justified in terms of protecting the 
vehicle against damage or accident; or
    (3) The AECD does not go beyond the requirements of engine starting.
    Durability useful life means the highest useful life mileage out of 
the set of all useful life mileages that apply to a given vehicle. The 
durability useful life determines the duration of service accumulation 
on a durability data vehicle. The determination of durability useful 
life shall reflect any alternative useful life mileages approved by the 
Administrator under Sec.  86.094-21(f). The determination of durability 
useful life shall exclude any standard and related useful life mileage 
for which the manufacturer has obtained a waiver of emission data 
submission requirements under Sec.  86.094-23(c)
    Element of design means any control system (i.e., computer software, 
electronic control system, emission control system, computer logic), 
and/or control system calibrations, and/or the results of systems 
interaction, and/or hardware items on a motor vehicle or motor vehicle 
engine.
    Engine warm-up cycle means sufficient vehicle operation such that 
the coolant temperature has risen by at least 40 [deg]F from engine 
starting and reaches a minimum temperature of 160 [deg]F.
    Enhanced service and repair information means information which is 
specific for an original equipment manufacturer's brand of tools and 
equipment.
    Equivalent test weight means the weight, within an inertia weight 
class, which is used in the dynamometer testing of a vehicle and which 
is based on its loaded vehicle weight or adjusted loaded vehicle weight 
in accordance with the provisions of subparts A and B of this part.
    Gaseous fuel means natural gas or liquefied petroleum gas.
    Generic service and repair information means information which is 
not specific for an original equipment manufacturer's brand of tools and 
equipment.
    Heavy light-duty truck means any light-duty truck rated greater than 
6000 lbs GVWR.
    Indirect information means any information that is not specifically 
contained in the service literature, but is contained in items such as 
tools or equipment provided to franchised dealers (or others).
    Intermediary means any individual or entity, other than an original 
equipment manufacturer, which provides service or equipment to 
automotive technicians.
    Intermediate Temperature Cold Testing means testing done pursuant to 
the driving cycle and testing conditions contained in 40 CFR part 86, 
subpart C, at temperatures between 25 [deg]F (-4 [deg]C) and 68 [deg]F 
(20 [deg]C).
    Light-duty truck 1 means any light light-duty truck up through 3750 
lbs loaded vehicle weight.
    Light-duty truck 2 means any light light-duty truck greater than 
3750 lbs loaded vehicle weight.
    Light-duty truck 3 means any heavy light-duty truck up through 5750 
lbs adjusted loaded vehicle weight.

[[Page 587]]

    Light-duty truck 4 means any heavy light-duty truck greater than 
5750 lbs adjusted loaded vehicle weight.
    Light light-duty truck means any light-duty truck rated up through 
6000 lbs GVWR.
    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.
    Multi-fuel means capable of operating on two or more different fuel 
types, either separately or simultaneously.
    Natural gas means a fuel whose primary constituent is methane.
    Non-Methane Hydrocarbon Equivalent means the sum of the carbon mass 
emissions of non-oxygenated non-methane hydrocarbons, methanol, 
formaldehyde, or other organic compounds that are separately measured, 
expressed as gasoline-fueled vehicle hydrocarbons. In the case of 
exhaust emissions, the hydrogen-to-carbon ratio of the equivalent 
hydrocarbon is 1.85:1. In the case of diurnal and hot soak emissions, 
the hydrogen-to-carbon ratios of the equivalent hydrocarbons are 2.33:1 
and 2.2:1, respectively.
    Petroleum fuel means liquid fuels normally derived from crude oil, 
excluding liquefied petroleum gas. Gasoline and diesel fuel are 
petroleum fuels.
    Test weight basis means the basis on which equivalent test weight is 
determined in accordance with Sec.  86.129-94 of subpart B of this part.
    Useful life means:
    (a) For light-duty vehicles, and for model year 1994 and later light 
light-duty trucks not subject to the Tier 0 standards of paragraph (a) 
of Sec.  86.094-9, intermediate useful life and/or full useful life. 
Intermediate useful life is a period of use of 5 years or 50,000 miles, 
whichever occurs first. Full useful life is a period of use of 10 years 
or 100,000 miles, whichever occurs first, except as otherwise noted in 
Sec.  86.094-9.
    (b) For light light-duty trucks subject to the Tier 0 standards of 
paragraph (a) of Sec.  86.094-9, and for heavy light-duty truck engine 
families, intermediate and/or full useful life. Intermediate useful life 
is a period of use of 5 years or 50,000 miles, whichever occurs first. 
Full useful life is a period of use of 11 years or 120,000 miles, 
whichever occurs first.
    (c) For an Otto-cycle heavy-duty engine family, a period of use of 8 
years or 110,000 miles, whichever first occurs.
    (d) For a diesel heavy-duty engine family:
    (1) For light heavy-duty diesel engines, period of use of 8 years or 
110,000 miles, whichever first occurs.
    (2) For medium heavy-duty diesel engines, a period of use of 8 years 
or 185,000 miles, whichever first occurs.
    (3) For heavy-duty diesel engines, a period of use of 8 years or 
290,000 miles, whichever first occurs, except as provided in paragraph 
(d)(4) of this definition.
    (4) for heavy heavy-duty diesel engines used in urban buses, for the 
particulate standard, a period of use of 10 years or 290,000 miles, 
whichever first occurs.
    (e) As an option for both light-duty trucks under certain conditions 
and heavy-duty engine families, an alternative useful life period 
assigned by the Administrator under the provisions of paragraph (f) of 
Sec.  86.094-21.
    (f) The useful-life period for purposes of the emissions defect 
warranty and emissions performance warranty shall be a period of 5 
years/50,000 miles, whichever first occurs, for light-duty trucks, Otto-
cycle heavy-duty engines and light heavy-duty diesel engines. For all 
other heavy-duty diesel engines the aforementioned period is 5 years/
100,000 miles, whichever first occurs. However, in no case may this 
period be less than the manufacturer's basic mechanical warranty period 
for the engine family.

[56 FR 25739, June 5, 1991, as amended at 57 FR 31897, July 17, 1992; 58 
FR 4002, Jan. 12, 1993; 58 FR 9485, Feb. 19, 1993; 58 FR 15799, Mar. 24, 
1993; 59 FR 48494, Sept. 21, 1994; 60 FR 34335, June 30, 1995; 60 FR 
40496, Aug. 9, 1995]



Sec.  86.094-3  Abbreviations.

    (a) The abbreviations in Sec.  86.090-3 remain effective. The 
abbreviations in this section apply beginning with the 1994 model year.

[[Page 588]]

    (b) The abbreviations in this section apply to this subpart, and 
also to subparts B, E, F, H, M, N and P of this part, and have the 
following meanings:

ALVW--Adjusted Loaded Vehicle Weight
LPG--Liquefied Petroleum Gas
NMHC--Nonmethane Hydrocarbons
NMHCE--Non-Methane Hydrocarbon Equivalent
PM--Particulate Matter
THC--Total Hydrocarbons

[56 FR 25740, June 5, 1991, as amended at 58 FR 33208, June 16, 1993; 59 
FR 48494, Sept. 21, 1994; 60 FR 34335, June 30, 1995]



Sec.  86.094-7  Maintenance of records; submittal of information; 
right of entry.

    (a) Introductory text through (a)(2) [Reserved]
    (a)(3) All records, other than routine emission test records, 
required to be maintained under this subpart shall be retained by the 
manufacturer for a period of eight (8) years after issuance of all 
certificates of conformity to which they relate. Routine emission test 
records shall be retained by the manufacturer for a period of one (1) 
year after issuance of all certificates of conformity to which they 
relate. Records may be retained as hard copy or reduced to microfilm, 
punch cards, etc., depending on the record retention procedures of the 
manufacturer, provided, that in every case all the information contained 
in the hard copy shall be retained.
    (b)-(c)(2) [Reserved]
    (c)(3) The manufacturer (or contractor for the manufacturer, if 
applicable) shall retain all records required to be maintained under 
this section for a period of eight (8) years from the due date for the 
end-of-model year averaging, trading, and banking reports. Records may 
be retained as hard copy or reduced to microfilm, ADP files, etc., 
depending on the manufacturer's record retention procedure, provided 
that in every case all the information contained in the hard copy is 
retained.
    (c)(4)-(d)(1)(v) [Reserved]
    (d)(1)(vi) Any facility where any record or other document relating 
to the information specified in paragraph (h) of this section is 
located.
    (2) Upon admission to any facility referred to in paragraph (d)(1) 
of this section, any EPA Enforcement Officer or any EPA authorized 
representative shall be allowed:
    (i) To inspect and monitor any part or aspect of such procedures, 
activities, and testing facilities, including, but not limited to, 
monitoring vehicle (or engine) preconditioning, emissions tests and 
mileage (or service) accumulation, maintenance, and vehicle soak and 
storage procedures (or engine storage procedures), and to verify 
correlation or calibration of test equipment;
    (ii) To inspect and make copies of any such records, designs, or 
other documents, including those records specified in Sec.  86.091-7(c); 
and
    (iii) To inspect and make copies of any such records, designs or 
other documents including those records specified in paragraph (h) of 
this section; and
    (iv) To inspect and/or photograph any part or aspect of any such 
certification vehicle (or certification engine) and any components to be 
used in the construction thereof.
    (d)(3)-(g) [Reserved]
    (h)(1) [Reserved]
    (2) In addition, the manufacturer (or contractor for the 
manufacturer, if applicable) of each certified engine family shall 
establish, maintain, and retain adequately organized records of the 
actual U.S. sales volume for the model year for each engine family. The 
manufacturer may petition the Administrator to allow actual volume 
produced for U.S. sale to be used in lieu of actual U.S. sales. Such 
petition shall be submitted within 30 days of the end of the model year 
to the Manufacturer Operations Division. For the petition to be granted, 
the manufacturer must establish to the satisfaction of the Administrator 
that actual production volume is functionally equivalent to actual sales 
volume.
    (3) The manufacturer (or contractor for the manufacturer, if 
applicable) shall retain all records required to be maintained under 
this section for a period of eight (8) years from the due date for the 
applicable end-of-model year report. Records may be retained as hard 
copy or reduced to microfilm, ADP film, etc., depending on the 
manufacturer's record retention procedure,

[[Page 589]]

provided that in every case all the information contained in the hard 
copy is retained.
    (4) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (5) Pursuant to a request made by the Administrator, the 
manufacturer shall submit to him the information that is required to be 
retained.
    (6) EPA may void ab initio a certificate for a vehicle certified to 
Tier 1 certification standards or to the respective evaporative and/or 
refueling test procedure and accompanying evaporative and/or refueling 
standards as set forth or otherwise referenced in Sec.  86.098-10 for 
which the manufacturer fails to retain the records required in this 
section or to provide such information to the Administrator upon 
request.

[56 FR 25740, June 5, 1991, as amended at 57 FR 31897, July 17, 1992; 75 
FR 22978, Apr. 30, 2010; 79 FR 23691, Apr. 28, 2014]



Sec.  86.094-14  Small-volume manufacturer certification procedures.

    (a)(1) The small-volume manufacturer certification procedures 
described in paragraphs (b) and (c) of this section are optional. Small-
volume manufacturers may use these optional procedures to demonstrate 
compliance with the general standards and specific emission requirements 
contained in this subpart.
    (2) To satisfy the durability data requirements of the small-volume 
manufacturer certification procedures, manufacturers of vehicles (or 
engines) as described in paragraph (b) of this section may use assigned 
deterioration factors that the Administrator determines by methods 
described in paragraph (c)(3)(ii) of this section. However, if no 
deterioration factor data (either the manufacturer's or industry-wide 
deterioration factor data) are available from previously completed 
durability data vehicles or engines used for certification, 
manufacturers of vehicles (or engines) as described in paragraph (b) of 
this section or with new technology not previously certified may use 
assigned deterioration factors that the Administrator determines by 
alternative methods, based on good engineering judgment. The factors 
that the Administrator determines by alternative methods will be 
published in an advisory letter or advisory circular.
    (b)(1) The optional small-volume manufacturer certification 
procedures apply to heavy-duty vehicles, and heavy-duty engines produced 
by manufacturers with U.S. sales, including all vehicles and engines 
imported under the provisions of Sec. Sec.  85.1505 and 85.1509 of this 
chapter (for the model year in which certification is sought) of fewer 
than 10,000 units (Light-Duty Vehicles, Light-Duty Trucks, Heavy-Duty 
Vehicles and Heavy-Duty Engines combined).
    (2) For the purpose of determining the applicability of paragraph 
(b)(1) of this section, the sales the Administrator shall use shall be 
the aggregate of the projected or actual sales of those vehicles and/or 
engines in any of these groupings:
    (i) Vehicles and/or engines produced by two or more firms, one of 
which is 10 percent or greater part owned by another;
    (ii) Vehicles and/or engines produced by any two or more firms if a 
third party has equity ownership of 10 percent or more in each of the 
firms;
    (iii) Vehicles and/or engines produced by two or more firms having a 
common corporate officer(s) who is (are) responsible for the overall 
direction of the companies;
    (iv) Vehicles and/or engines imported or distributed by all firms 
where the vehicles and/or engines are manufactured by the same entity 
and the importer or distributor is an authorized agent of the entity.
    (3) If the aggregated sales, as determined in paragraph (b)(2) of 
this section are less than 301 units, the manufacturers in the 
aggregated relationship may certify under the provisions in this section 
that apply to manufacturers with sales of less than 301 units.
    (4) If the aggregated sales, as determined in paragraph (b)(2) of 
this section are greater than 300 but fewer than 10,000 units, the 
manufacturers in the aggregated relationship may certify under the 
provisions in this section that apply to manufacturers with sales from 
and including 301 through

[[Page 590]]

9,999 motor vehicles and motor vehicles engines per year.
    (5) If the aggregated sales, as determined in paragraph (b)(2) of 
this section are equal to or greater than 10,000 units, then the 
manufacturers involved in the aggregated relationship will be allowed to 
certify a number of units under the small-volume engine family 
certification procedures (reference Sec.  86.001-24(e)) in accordance 
with the following criteria:
    (i) If a manufacturer purchases less than 50 percent of another 
manufacturer, each manufacturer retains its right to certify 9,999 units 
using the small-volume engine family certification procedures.
    (ii) If a manufacturer purchases 50 percent or more of another 
manufacturer, the manufacturer with the over 50 percent interest must 
share, with the manufacturer it purchased, its 9,999 units under the 
small-volume engine family certification procedures.
    (iii) In a joint venture arrangement (50/50 ownership) between two 
manufacturers, each manufacturer retains its eligibility for 9,999 units 
under the small-volume engine family certification procedures, but the 
joint venture must draw its maximum 9,999 units from the units allocated 
to its parent manufacturers.
    (c) All the provisions of this subpart apply to small-volume 
manufacturers, except as described in this paragraph (c). The 
appropriate model year of specific sections shall be determined in 
accordance with Sec.  86.084-4.
    (1) Section 86.080-12 is not applicable.
    (2) Small-volume manufacturers shall include in their records all 
the information that EPA requires in Sec.  86.007-21. This information 
will be considered part of the manufacturer's application for 
certification. However, the manufacturer is not required to submit the 
information to the Administrator unless the Administrator requests it.
    (3) Small-volume manufacturers may satisfy the requirements of Sec.  
86.001-24(b) and (c) as follows:
    (i) Emission data. Small-volume manufacturers may select one 
emission data test vehicle (engine) per engine family by the worst-case 
emissions criteria as follows:
    (A) Heavy-duty Otto-cycle engines. The manufacturer shall select one 
emission data engine first based on the largest displacement within the 
engine family. Then within the largest displacement the manufacturer 
shall select, in the order listed, highest fuel flow at the speed of 
maximum rated torque, the engine with the most advanced spark timing, no 
EGR or lowest EGR flow, and no air pump or lowest actual flow air pump.
    (B) Heavy-duty diesel engines. The manufacturer shall select one 
emission data engine based on the highest fuel feed per stroke, 
primarily at the speed of maximum rated torque and secondarily at rated 
speed.
    (ii) Durability data. Small-volume manufacturers may satisfy the 
durability data requirements with the following procedures:
    (A) Manufacturers with aggregated sales of less than 301 motor 
vehicles and motor vehicle engines per year may use assigned 
deterioration factors that the Administrator determines and prescribes. 
The factors will be the Administrator's estimate, periodically updated 
and published in an advisory letter or advisory circular, of the 70th 
percentile deterioration factors calculated using the industry-wide data 
base of previously completed durability data vehicles or engines used 
for certification. However, the manufacturer may, at its option, 
accumulate miles (hours) on a durability data vehicle (engine) and 
complete emission tests for the purpose of establishing its own 
deterioration factors.
    (B)(1) Manufacturers with aggregated sales from and including 301 
through 9,999 motor vehicles and motor vehicle engines per year 
certifying light-duty vehicle exhaust emissions from vehicles equipped 
with proven emission control systems shall use assigned deterioration 
factors that the manufacturer determines based on its good engineering 
judgment. However, the manufacturer may not use deterioration factors 
less than either the average or 70th percentile of all of that 
manufacturer's deterioration factor data, whichever is less. These 
minimum deterioration factors shall be calculated according to 
procedures in paragraph (c)(3)(ii)(B)(2), of this section. If the

[[Page 591]]

manufacturer does not have at least two data points to calculate these 
manufacturer specific average deterioration factors, then the 
deterioration factors shall be no less than the EPA supplied industry-
wide deterioration factors. However, the manufacturer may, at its 
option, accumulate miles on a durability data vehicle and complete 
emission tests for the purpose of establishing its own deterioration 
factors.
    (2) The manufacturer's minimum deterioration factors shall be 
calculated using the deterioration factors from all engine families, 
within the same vehicle/engine-fuel usage category (e.g., gasoline-
fueled light-duty vehicle, etc.) previously certified to the same 
emission standards. The manufacturer shall use only deterioration 
factors from engine families previously certified by the manufacturer 
and the deterioration factors shall not be included in the calculation 
more than once. The deterioration factors for each pollutant shall be 
calculated separately. The manufacturer may, at its option, limit the 
deterioration factors used in the calculation of the manufacturer's 
minimum deterioration factors to those from all similar systems to the 
system being certified if sufficient data (i.e., from at least two 
certified systems) exists. All data eligible to be grouped as similar 
system data shall be used in calculating similar system deterioration 
factors. Any deterioration factors used in calculating similar system 
deterioration factors shall not be included in calculating the 
manufacturer's minimum deterioration factors used to certify any of the 
manufacturer's remaining vehicle systems.
    (C) Manufacturers with aggregated sales from 301 through 9,999 motor 
vehicles and motor vehicle engines and certifying light-duty vehicle 
exhaust emissions from vehicles equipped with unproven emission control 
systems shall use deterioration factors that the manufacturer determines 
from official certification durability data generated by vehicles from 
engine families representing a minimum of 25 percent of the 
manufacturer's sales equipped with unproven emission control systems. 
The sales projections are to be based on total sales projected for each 
engine/system combination. The durability programs applicable to such 
manufacturers for this purpose shall be the Standard AMA, the Production 
AMA and the Alternative Service Accumulation Durability Programs of 
Sec.  86.094-13. The durability data vehicle (engine) mileage 
accumulation and emission tests are to be conducted in accordance with 
Sec.  86.094-13. The manufacturer must develop deterioration factors by 
generating durability data in accordance with Sec.  86.094-13 on a 
minimum of 25 percent of the manufacturer's projected sales (by engine/
system combination) that is equipped with unproven emission control 
systems. The manufacturer must complete the 25 percent durability 
requirement before the remainder of the manufacturer's sales equipped 
with unproven emission control systems is certified using manufacturer-
determined assigned deterioration factors. Alternatively, any of these 
manufacturers may, at their option, accumulate miles on durability data 
vehicles and complete emission tests for the purpose of establishing 
their own deterioration factors on the remaining sales.
    (4) Section 86.001-24(d) and (e) are not applicable.
    (5) Small-volume manufacturers shall comply with the following 
provisions instead of Sec.  86.007-30(a)(2) and (b):
    (i) Small-volume manufacturers shall submit an application for 
certification containing the following elements:
    (A) The names, addresses, and telephone numbers of the persons the 
manufacturer authorizes to communicate with us.
    (B) A brief description of the vehicles (or engines) covered by the 
certificate (the manufacturers' sales data book or advertising, 
including specifications, may satisfy this requirement for most 
manufacturers). The description shall include, as a minimum, the 
following items:
    (1) Engine evaporative/refueling family names and vehicle (or 
engine) configurations.
    (2) Vehicle carlines or engine models to be listed on the 
certificate of conformity.
    (3) The test weight and horsepower setting for each vehicle or 
engine configuration.

[[Page 592]]

    (4) Projected sales.
    (5) Combustion cycle.
    (6) Cooling mechanism.
    (7) Number of cylinders.
    (8) Displacement.
    (9) Fuel system type.
    (10) Number of catalytic converters, type, volume, composition, 
surface area, and total precious metal loading.
    (11) Method of air aspiration.
    (12) Thermal reactor characteristics.
    (13) Suppliers' and/or manufacturers' name and model number of any 
emission related items of the above, if purchased from a supplier who 
uses the items in its own certified vehicle(s) or engine(s).
    (14) A list of emission component part numbers.
    (15) Drawings, calibration curves, and descriptions of emission 
related components, including those components regulated under Sec.  
86.001-22(e), and schematics of hoses and other devices connecting these 
components.
    (16)-(17) [Reserved]
    (18) Proof that the manufacturer has obtained or entered an 
agreement to purchase, when applicable, the insurance policy required by 
the Sec.  85.1510(b) of this chapter. The manufacturer may submit a copy 
of the insurance policy or purchase agreement as proof that the 
manufacturer has obtained or entered an agreement to purchase the 
insurance policy.
    (19) For each evaporative/refueling emission family, a description 
of any unique procedures required to perform evaporative and/or 
refueling emission tests (as applicable) (including canister working 
capacity, canister bed volume, and fuel temperature profile for the 
running loss test) for all vehicles in that evaporative/refueling 
emission family, and a description of the method used to develop those 
unique procedures.
    (20) For each evaporative/refueling emission family:
    (i) Canister working capacity, according to the procedures specified 
in Sec.  86.132-96(h)(1)(iv);
    (ii) Canister bed volume; and
    (iii) Fuel temperature profile for the running loss test, according 
to the procedures specified in Sec.  86.129-94(d).
    (C) The results of all emission tests the manufacturer performs to 
demonstrate compliance with the applicable standards.
    (D)(1) The following statement signed by the authorized 
representative of the manufacturer: ``The vehicles (or engines) 
described herein have been tested in accordance with (list of the 
applicable subparts A, B, I, N, or P) of part 86, title 40, Code of 
Federal Regulations, and on the basis of those tests are in conformance 
with that subpart. All the data and records required by that subpart are 
on file and are available for inspection by the EPA Administrator. We 
project the total U.S. sales of vehicles (engines) subject to this 
subpart (including all vehicles and engines imported under the 
provisions of 40 CFR 85.1505 and 40 CFR 85.1509) to be fewer than 10,000 
units.''
    (2) [Reserved]
    (3) A statement that the vehicles or engines described in the 
manufacturer's application for certification are not equipped with 
auxiliary emission control devices which can be classified as a defeat 
device as defined in Sec.  86.004-2.
    (4) A statement of compliance with section 206(a)(3) of the Clean 
Air Act (42 U.S.C. 7525(a)(3)).
    (5)-(6) [Reserved]
    (7) A statement affirming that the manufacturer will provide a list 
of emission and emission-related service parts, including part number 
designations and sources of parts, to the vehicle purchaser for all 
emission and emission-related parts which might affect vehicle emission 
performance throughout the useful life of the vehicle. Secondly, it must 
state that qualified service facilities and emission-related repair 
parts will be conveniently available to serve its vehicles. In addition, 
if service facilities are not available at the point of sale or 
distribution, the manufacturer must indicate that the vehicle purchaser 
will be provided information identifying the closest authorized service 
facility to the point of sale, if in the United States, or the closest 
authorized service facility to the point of distribution to the ultimate 
purchaser if the vehicle was purchased outside of the United States by 
the ultimate purchaser. Such information should also be made available 
to the Administrator upon request.

[[Page 593]]

    (E) Manufacturers utilizing deterioration factors determined by the 
manufacturer based on its good engineering judgment (reference paragraph 
(c)(3)(ii)(B) of this section) shall provide a description of the 
method(s) used by the manufacturer to determine the deterioration 
factors.
    (ii) If the manufacturer meets the requirements of this subpart, the 
Administrator will issue a certificate of conformity for the vehicles or 
engines described in the application for certification.
    (iii) The certificate will be issued for such a period not to exceed 
one model year as the Administrator may determine and upon such terms as 
he may deem necessary to assure that any vehicle or engine covered by 
the certificate will meet the requirements of the Act and of this 
subpart.
    (iv) If, after a review of the statements and descriptions submitted 
by the manufacturer, the Administrator determines that the manufacturer 
has not met the applicable requirements, the Administrator shall notify 
the manufacturer in writing of his intention to deny certification, 
setting forth the basis for his determination. The manufacturer may 
request a hearing on the Administrator's determination. If the 
manufacturer does not request a hearing or present the required 
information, the Administrator will deny certification.
    (6) Sections 86.079-31 and 86.079-32 are not applicable.
    (7) The following provisions apply for small-volume manufacturers 
instead of the provisions specified in Sec.  86.079-33:
    (i) Small-volume manufacturers may make production changes (running 
changes) without receiving the Administrator's prior approval. The 
manufacturer shall assure (by conducting emission tests as it deems 
necessary) that the affected vehicles (engines) remain in compliance 
with the requirements of this part.
    (ii) The manufacturer shall notify the Administrator within seven 
days after implementing any production related change (running change) 
that would affect vehicle emissions. This notification shall include any 
changes to the information required under paragraph (c)(5)(i) of this 
section. The manufacturer shall also amend as necessary its records 
required under paragraph (c)(2) of this section to confirm the 
production design change.
    (8) Section 86.082-34 is not applicable.

[81 FR 73976, Oct. 25, 2016]



Sec.  86.094-21  Application for certification.

    (a) A separate application for a certificate of conformity shall be 
made for each set of standards (or family emission limits, as 
appropriate) and each class of new motor vehicles or new motor vehicle 
engines. Such application shall be made to the Administrator by the 
manufacturer and shall be updated and corrected by amendment.
    (b) The application shall be in writing, signed by an authorized 
representative of the manufacturer, and shall include the following:
    (1)(i) Identification and description of the vehicles (or engines) 
covered by the application and a description of their engine (vehicles 
only), emission control system, and fuel system components. This 
description will include:
    (A) A detailed description of each Auxiliary Emission Control Device 
(AECD) to be installed in or on any vehicle (or engine) covered by the 
application;
    (B) A detailed justification of each AECD (described in (b)(1)(i)(A) 
of this section) which results in a reduction in effectiveness of the 
emission control system. Such a justification may be disapproved by 
consideration of currently available technology, whereupon the 
application for certification may be disapproved under Sec.  86.094-
22(b) for the incorporation of a defeat device;
    (ii)(A) The manufacturer shall provide to the Administrator in the 
application for certification:
    (1) A list of those parameters which are physically capable of being 
adjusted (including those adjustable parameters for which access is 
difficult) and that, if adjusted to settings other than the 
manufacturer's recommended setting, may affect emissions;
    (2) A specification of the manufacturer's intended physically 
adjustable range of each such parameter, and the production tolerances 
of the limits or

[[Page 594]]

stops used to establish the physically adjustable range;
    (3) A description of the limits or stops used to establish the 
manufacturer's intended physically adjustable range of each adjustable 
parameter, or any other means used to inhibit adjustment;
    (4) The nominal or recommended setting, and the associated 
production tolerances, for each such parameter.
    (B) The manufacturer may provide, in the application for 
certification, information relating to why certain parameters are not 
expected to be adjusted in actual use and to why the physical limits or 
stops used to establish the physically adjustable range of each 
parameter, or any other means used to inhibit adjustment, are effective 
in preventing adjustment of parameters on in-use vehicles to settings 
outside the manufacturer's intended physically adjustable ranges. This 
may include results of any tests to determine the difficulty of gaining 
access to an adjustment or exceeding a limit as intended or recommended 
by the manufacturer.
    (C) The Administrator may require to be provided detailed drawings 
and descriptions of the various emission related components, and/or 
hardware samples of such components, for the purpose of making his 
determination of which vehicle or engine parameter will be subject to 
adjustment for new certification and Selective Enforcement Audit testing 
and of the physically adjustable range for each such vehicle or engine 
parameter.
    (2) Projected U.S. sales data sufficient to enable the Administrator 
to select a test fleet representative of the vehicles (or engines) for 
which certification is requested, and, for model year 1994 through 1995 
light-duty vehicles and light light-duty trucks and model year 1996 
heavy light-duty trucks, data sufficient to determine projected 
compliance with the Tier 1 standards implementation schedules of 
Sec. Sec.  86.094-8 and 86.094-9. The data shall also include the 
altitude of intended sale for model year 1994 light-duty trucks 
certified to the Tier 0 standards of Sec.  86.094-9. Volume projected to 
be produced for U.S. sale may be used in lieu of projected U.S. sales.
    (3) A description of the test equipment and fuel proposed to be 
used.
    (4)(i) [Reserved]
    (ii) For heavy-duty vehicles equipped with gasoline-fueled or 
methanol-fueled engines, the Administrator does not assume that each 
evaporative emission family-evaporative emission control system 
combination will deteriorate in a unique manner during the useful life 
of the vehicle. The manufacturer shall therefore identify those 
evaporative emission deterioration factors which shall be applied to the 
various evaporative emission family-evaporative emission control system 
combinations which are expected to exhibit similar deterioration 
characteristics during the useful life of the vehicle.
    (5)(i)(A) A description of the test procedures to be used to 
establish the durability data or the exhaust emission deterioration 
factors required to be determined and supplied in Sec.  86.094-23(b)(1).
    (B) For each light-duty truck engine family provided an optional 
useful life period under the provisions of paragraph (f) of this 
section, and for each heavy-duty engine family, a statement of the 
useful life.
    (C) For engine families provided an alternative useful-life period 
under paragraph (f) of this section, a statement of that alternative 
period and a brief synopsis of the justification.
    (ii) For heavy-duty diesel engine families, a statement of the 
primary intended service class (light, medium, or heavy) and an 
explanation as to why that service class was selected. Each diesel 
engine family shall be certified under one primary intended service 
class only. After reviewing the guidance in Sec.  86.090-2, the class 
shall be determined on the basis of which class best represents the 
majority of the sales of that engine family.
    (iii)(A) For each light-duty vehicle engine family, each light-duty 
truck

[[Page 595]]

engine family, and each heavy-duty engine family, a statement of 
recommended maintenance and procedures necessary to assure that the 
vehicles (or engines) covered by a certificate of conformity in 
operation conform to the regulations, and a description of the program 
for training of personnel for such maintenance, and the equipment 
required.
    (B) [Reserved]
    (iv) At the option of the manufacturer, the proposed composition of 
the emission data test fleet or (where applicable) the durability data 
test fleet.
    (6) [Reserved]
    (7)(i) For Otto-cycle heavy-duty engines, the application must state 
whether the engine family is being certified for use in all vehicles 
regardless of their Gross Vehicle Weight Rating (see Sec.  86.091-10 
(a)(1)(i) and (a)(3)(i)), or only for use in vehicles with a Gross 
Vehicle Weight Rating greater than 14,000 pounds.
    (ii) If the engine family is being certified for use in all vehicles 
and is being certified to the emission standards applicable to Otto-
cycle engines for use only in vehicles with a Gross Vehicle Weight 
Rating over 14,000 pounds under the provisions of Sec.  86.091-10(a)(3), 
then the application must also attest that the engine family, together 
with all other engine families being certified under the provisions of 
Sec.  86.091-10(a)(3), represent no more than 5 percent of model year 
sales of the manufacturer of all Otto-cycle heavy-duty engines for use 
in vehicles with Gross Vehicle Weight Ratings of up to 14,000 pounds.
    (8) [Reserved]
    (c) Complete copies of the application and of any amendments 
thereto, and all notifications under Sec. Sec.  86.079-32, 86.079-33, 
and 86.082-34 shall be submitted in such multiple copies as the 
Administrator may require.
    (d) [Reserved]
    (e) For vehicles equipped with gasoline-fueled or methanol-fueled 
heavy-duty engines, the manufacturer shall specify a maximum nominal 
fuel tank capacity for each evaporative emission family-evaporative 
emission control system combination.
    (f) Light-duty truck and heavy-duty engine manufacturers who believe 
that the useful life periods of Sec.  86.094-2 are significantly 
unrepresentative for one or more engine families (either too long or too 
short), may petition the Administrator to provide an alternative useful-
life period. This petition must include the full rationale behind the 
request together with any supporting data and other evidence. Based on 
this or other information the Administrator may assign an alternative 
useful-life period. Any petition should be submitted in a timely manner, 
to allow adequate time for a thorough evaluation. For model year 1994 
and later light-duty trucks not subject to the Tier 0 standards of Sec.  
86.094-9, alternative useful life periods will be granted only for THC, 
THCE, and idle CO requirements.
    (g) [Reserved]
    (h) For each engine family incorporating an emission control 
diagnostic system, the manufacturer shall submit the following 
information:
    (1) Detailed written information fully describing the functional 
operation characteristics of the diagnostic system.
    (2) The general method of detecting malfunctions for each emission-
related powertrain component.
    (i) [Reserved]
    (j) For methanol-fueled vehicles, the manufacturer shall specify:
    (1) Whether the vehicle is a flexible fuel vehicle or a dedicated 
vehicle (manufacturers must obtain advance approval from the 
Administrator to classify methanol-fueled vehicles that can use gasoline 
as dedicated vehicles); and
    (2) The fuel(s) (i.e., the percent methanol) for which the vehicle 
was designed.

[58 FR 4009, Jan. 12, 1993, as amended at 58 FR 9487, Feb. 19, 1993, 60 
FR 34335, June 30, 1995; 63 FR 70694, Dec. 22, 1998; 75 FR 22978, Apr. 
30, 2010; 79 FR 23691, Apr. 28, 2014]



Sec.  86.094-22  Approval of application for certification; 
test fleet selections; determinations of parameters subject to adjustment 
for certification and Selective Enforcement Audit, adequacy of limits, 
and physically adjustable ranges.

    (a) After a review of the application for certification and any 
other information which the Administrator may

[[Page 596]]

require, the Administrator may approve the application and select a test 
fleet in accordance with Sec.  86.094-24.
    (b) Disapproval of application. (1) The Administrator may disapprove 
in whole or in part an application for certification for reasons 
including incompleteness, inaccuracy, inappropriate proposed mileage (or 
service) accumulation procedures, test equipment, or fuel; or 
incorporation of defeat devices in vehicles (or on engines) described by 
the application.
    (2) The issuance of a certificate of conformity does not exempt the 
covered vehicles from further evaluation or testing for defeat device 
purposes as described in Sec.  86.094-16.
    (c) Where any part of an application is rejected, the Administrator 
shall notify the manufacturer in writing and set forth the reasons for 
such rejection. Within 30 days following receipt of such notification, 
the manufacturer may request a hearing on the Administrator's 
determination. The request shall be in writing, signed by an authorized 
representative of the manufacturer and shall include a statement 
specifying the manufacturer's objections to the Administrator's 
determinations, and data in support of such objections. If, after the 
review of the request and supporting data, the Administrator finds that 
the request raises a substantial factual issue, he shall provide the 
manufacturer a hearing in accordance with Sec.  86.078-6 with respect to 
such issue.
    (d) Approval of test procedures. (1) [Reserved]
    (2) Light-duty trucks using the Standard Self-Approval durability 
Program and heavy-duty engines only. The Administrator does not approve 
the test procedures for establishing exhaust emission deterioration 
factors for light-duty trucks using the Standard Self-Approval 
Durability Program described in Sec.  86.094-13(f) nor for heavy-duty 
engines. The manufacturer shall submit these procedures and 
determinations as required in Sec.  86.094-21(b)(5)(i) prior to 
determining the deterioration factors.
    (3) Heavy-duty vehicles equipped with gasoline-fueled or methanol-
fueled engines only. The Administrator does not approve the test 
procedures for establishing the evaporative emission deterioration 
factors. The test procedure will conform to the requirements in Sec.  
86.094-23(b)(3).
    (e) Parameter adjustment requirements. When the Administrator 
selects emission data vehicles for the test fleet, he will at the same 
time determine those vehicle or engine parameters which will be subject 
to adjustment for certification, Selective Enforcement Audit and 
Production Compliance Audit testing, the adequacy of the limits, stops, 
seals, or other means used to inhibit adjustment, and the resulting 
physically adjustable ranges for each such parameter and will then 
notify the manufacturer of his determinations.
    (1) Determining parameters subject to adjustment. (i) Except as 
noted in paragraph (e)(1)(iv) of this section, the Administrator may 
determine to be subject to adjustment the idle fuel-air mixture 
parameter on Otto-cycle vehicles (or engines) (carbureted or fuel-
injected); the choke valve action parameter(s) on carbureted, Otto-cycle 
vehicles (or engines); or any parameter on any vehicle (or engine) 
(Otto-cycle or diesel) which is physically capable of being adjusted, 
may significantly affect emissions, and was not present on the 
manufacturer's vehicles (or engines) in the previous model year in the 
same form and function.
    (ii) The Administrator may, in addition, determine to be subject to 
adjustment any other parameters on any vehicle or engine which is 
physically capable of being adjusted and which may significantly affect 
emissions. However, the Administrator may do so only if he has 
previously notified the manufacturer that he might do so and has found, 
at the time he gave this notice, that the intervening period would be 
adequate to permit the development and application of the requisite 
technology, giving appropriate consideration to the cost of compliance 
within such period. In no event will this notification be given later 
than September 1 of the calendar year two years prior to the model year.
    (iii) In determining the parameters subject to adjustment, the 
Administrator will consider the likelihood that, for each of the 
parameters listed in paragraphs (e)(1) (i) and (ii) of this

[[Page 597]]

section, settings other than the manufacturer's recommended setting will 
occur on in-use vehicles (or engines). In determining likelihood, the 
Administrator may consider such factors as, but not limited to, 
information contained in the preliminary application, surveillance 
information from similar in-use vehicles (or engines), the difficulty 
and cost of gaining access to an adjustment, damage to the vehicle (or 
engine) if an attempt is made to gain such access and the need to 
replace parts following such attempt, and the effect of settings other 
than the manufacturer's recommended setting on vehicle (or engine) 
performance characteristics including emission characteristics.
    (iv) Manual chokes of heavy-duty engines only will not be considered 
a parameter subject to adjustment under the parameter adjustment 
requirements.
    (2)(i) The Administrator shall determine a parameter to be 
adequately inaccessible or sealed if:
    (A) In the case of an idle mixture screw, the screw is recessed 
within the carburetor casting and sealed with lead, thermosetting 
plastic, or an inverted elliptical spacer or sheared off after 
adjustment at the factory, and the inaccessibility is such that the 
screw cannot be accessed and/or adjusted with simple tools in one-half 
hour or for $20 (1978 dollars) or less;
    (B) In the case of a choke bimetal spring, the plate covering the 
bimetal spring is riveted or welded in place, or held in place with 
nonreversible screws;
    (C) In the case of a parameter which may be adjusted by elongating 
or bending adjustable members (e.g., the choke vacuum break), the 
elongation of the adjustable member is limited by design or, in the case 
of a bendable member, the member is constructed of a material which when 
bent would return to its original shape after the force is removed 
(plastic or spring steel materials);
    (D) In the case of any parameter, the manufacturer demonstrates that 
adjusting the parameter to settings other than the manufacturer's 
recommended setting takes more than one-half hour or costs more than $20 
(1978 dollars).
    (ii) The Administrator shall determine a physical limit or stop to 
be an adequate restraint on adjustability if:
    (A) In the case of a threaded adjustment, the threads are 
terminated, pinned, or crimped so as to prevent additional travel 
without breakage or need for repairs which take more than one-half hour 
or cost more than $20 (1978 dollars);
    (B) The adjustment is ineffective at the end of the limits of travel 
regardless of additional forces or torques applied to the adjustment;
    (C) The manufacturer demonstrates that travel or rotation limits 
cannot be exceeded with the use of simple and inexpensive tools 
(screwdriver, pliers, open-end or box wrenches, etc.) without incurring 
significant and costly damage to the vehicle (or engine) or control 
system or without taking more than one-half hour or costing more than 
$20 (1978 dollars).
    (iii) If manufacturer service manuals or bulletins describe routine 
procedures for gaining access to a parameter or for removing or 
exceeding a physical limit, stop, seal or other means used to inhibit 
adjustment, or if surveillance data indicate that gaining access, 
removing, or exceeding is likely, paragraphs (e)(2)(i) and (ii) of this 
section shall not apply for that parameter.
    (iv) In determining the adequacy of a physical limit, stop, seal, or 
other means used to inhibit adjustment of a parameter not covered by 
paragraph (e)(2)(i) or (ii) of this section, the Administrator will 
consider the likelihood that it will be circumvented, removed, or 
exceeded on in-use vehicles. In determining likelihood, the 
Administrator may consider such factors as, but not limited to, 
information contained in the preliminary application; surveillance 
information from similar in-use vehicles (or engines); the difficulty 
and cost of circumventing, removing, or exceeding the limit, stop, seal, 
or other means; damage to the vehicle (or engine) if an attempt is made 
to circumvent, remove, or exceed it and the need to replace parts 
following such attempt; and the effect of settings beyond the limit, 
stop, seal, or other means on vehicle (or engine) performance 
characteristics other than emission characteristics.

[[Page 598]]

    (3) The Administrator shall determine two physically adjustable 
ranges for each parameter subject to adjustment:
    (i)(A) In the case of a parameter determined to be adequately 
inaccessible or sealed, the Administrator may include within the 
physically adjustable range applicable to testing under this subpart 
(certification testing) all settings within the production tolerance 
associated with the nominal setting for that parameter, as specified by 
the manufacturer in the preliminary application for certification; or
    (B) In the case of other parameters, the Administrator shall include 
within this range all settings within physical limits or stops 
determined to be adequate restraints on adjustability. The Administrator 
may also include the production tolerances on the location of these 
limits or stops when determining the physically adjustable range.
    (ii)(A) In the case of a parameter determined to be adequately 
inaccessible or sealed, the Administrator shall include within the 
physically adjustable range applicable to testing under subparts G or K 
(Selective Enforcement Audit and Production Compliance Audit) only the 
actual settings to which the parameter is adjusted during production; or
    (B) In the case of other parameters, the Administrator shall include 
within this range all settings within physical limits or stops 
determined to be adequate restraints on adjustability, as they are 
actually located on the test vehicle (or engine).
    (f) Submittal of advance information. (1) If the manufacturer 
submits the information specified in Sec.  86.094-21(b)(1)(ii) in 
advance of its full preliminary application for certification, the 
Administrator shall review the information and make the determinations 
required in paragraph (e) of this section within 90 days of the 
manufacturer's submittal.
    (2) The 90-day decision period is exclusive of the elapsed time 
during which EPA may request additional information from manufacturers 
regarding an adjustable parameter and the receipt of the manufacturers' 
response(s).
    (g) Within 30 days following receipt of notification of the 
Administrator's determinations made under paragraph (e) of this section, 
the manufacturer may request a hearing on the Administrator's 
determinations. The request shall be in writing, signed by an authorized 
representative of the manufacturer, and shall include a statement 
specifying the manufacturer's objections to the Administrator's 
determinations, and data in support of such objections. If, after review 
of the request and supporting data, the Administrator finds that the 
request raises a substantial factual issue, he shall provide the 
manufacturer a hearing in accordance with Sec.  86.078-6 with respect to 
such issue.

[48 FR 4010, Jan. 12, 1993, as amended at 75 FR 22978, Apr. 30, 2010]



Sec.  86.094-25  Maintenance.

    (a) [Reserved]
    (b) This section specifies emission-related scheduled maintenance 
for purposes of obtaining durability data and for inclusion in 
maintenance instructions furnished to purchasers of new motor vehicles 
and new motor vehicles engines under Sec.  86.087-38.
    (1) All emission-related scheduled maintenance for purposes of 
obtaining durability data must occur at the same mileage intervals (or 
equivalent intervals if engines, subsystems, or components are used) 
that will be specified in the manufacturer's maintenance instructions 
furnished to the ultimate purchaser of the motor vehicle or engine under 
Sec.  86.094-35. This maintenance schedule may be updated as necessary 
throughout the testing of the vehicle/engine, provided that no 
maintenance operation is deleted from the maintenance schedule after the 
operation has been performed on the test vehicle or engine.
    (2) Any emission-related maintenance which is performed on vehicles, 
engines, subsystems, or components must be technologically necessary to 
assure in-use compliance with the emission standards. The manufacturer 
must submit data which demonstrate to the Administrator that all of the

[[Page 599]]

emission-related scheduled maintenance which is to be performed is 
technologically necessary. Scheduled maintenance must be approved by the 
Administrator prior to being performed or being included in the 
maintenance instructions provided to purchasers under Sec.  86.010-38.
    (3) For Otto-cycle light-duty vehicles, light-duty trucks and heavy 
duty engines, emission-related maintenance in addition to, or at shorter 
intervals than, that listed in paragraphs (b)(3) (i) through (vii) of 
this section will not be accepted as technologically necessary, except 
as provided in paragraph (b)(7) of this section.
    (i)(A) [Reserved]
    (B) The cleaning or replacement of Otto-cycle heavy duty engine 
spark plugs shall occur at 25,000 miles (or 750 hours) of use and at 
25,000-mile (or 750-hour) intervals thereafter, for engines certified 
for use with unleaded fuel only.
    (ii) [Reserved]
    (4)-(6) [Reserved]
    (7) Changes to scheduled maintenance. (i) For maintenance practices 
that existed prior to the 1980 model year, only the maintenance items 
listed in paragraphs (b) (3) and (4) of this section are currently 
considered by EPA to be emission-related. The Administrator may, 
however, determine additional scheduled maintenance items that existed 
prior to the 1980 model year to be emission-related by announcement in a 
Federal Register Notice. In no event may this notification occur later 
than September 1 of the calendar year two years prior to the affected 
model year.
    (ii) In the case of any new scheduled maintenance, the manufacturer 
must submit a request for approval to the Administrator for any 
maintenance that it wishes to recommend to purchasers and perform during 
durability determination. New scheduled maintenance is that maintenance 
which did not exist prior to the 1980 model year, including that which 
is a direct result of the implementation of new technology not found in 
production prior to the 1980 model year. The manufacturer must also 
include its recommendations as to the category (i.e., emission-related 
or non-emission-related, critical or non-critical) of the subject 
maintenance and, for suggested emission-related maintenance, the maximum 
feasible maintenance interval. Such requests must include detailed 
evidence supporting the need for the maintenance requested, and 
supporting data or other substantiation for the recommended maintenance 
category and for the interval suggested for emission-related 
maintenance. Requests for new scheduled maintenance must be approved 
prior to the introduction of the new maintenance. The Administrator will 
then designate the maintenance as emission-related or non-emission-
related. For maintenance items established as emission-related, the 
Administrator will further designate the maintenance as critical if the 
component which receives the maintenance is a critical component under 
paragraph (b)(6) of this section. For each maintenance item designated 
as emission-related, the Administrator will also establish a 
technologically necessary maintenance interval, based on industry data 
and any other information available to EPA. Designations of emission-
related maintenance items, along with their identification as critical 
or non-critical, and establishment of technologically necessary 
maintenance intervals, will be announced in the Federal Register.
    (iii) Any manufacturer may request a hearing on the Administrator's 
determinations in this paragraph (b)(7). The request shall be in writing 
and shall include a statement specifying the manufacturer's objections 
to the Administrator's determinations, and data in support of such 
objections. If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial factual issue, 
he shall provide the manufacturer a hearing as described in 40 CFR part 
1068, subpart G.
    (c) Non-emission-related scheduled maintenance which is reasonable 
and technologically necessary (e.g., oil change, oil filter change, fuel 
filter change, air filter change, cooling system maintenance, adjustment 
of idle speed, governor, engine bolt torque, valve lash, injector lash, 
timing, adjustment of air pump drive belt tension, lubrication of the 
exhaust manifold heat control valve, lubrication of

[[Page 600]]

carburetor choke linkage, retorqueing carburetor mounting bolts, etc.) 
may be performed on durability data vehicles at the least frequent 
intervals recommended by the manufacturer to the ultimate purchaser, 
(e.g., not at the intervals recommended for severe service).
    (d) [Reserved]
    (e) Maintenance on emission data vehicles and engines. (1) 
Adjustment of engine idle speed on emission data vehicles may be 
performed once before the low-mileage/low-hour emission test point. Any 
other engine, emission control system, or fuel system adjustment, 
repair, removal, disassembly, cleaning, or replacement on emission data 
vehicles shall be performed only with the advance approval of the 
Administrator.
    (2)-(3) [Reserved]
    (4) Repairs to vehicle components of an emission data vehicle other 
than the engine, emission control system, or fuel system, shall be 
performed only as a result of part failure, vehicle system malfunction, 
or with the advance approval of the Administrator.
    (f) Equipment, instruments, or tools may not be used to identify 
malfunctioning, maladjusted, or defective engine components unless the 
same or equivalent equipment, instruments, or tools will be available to 
dealerships and other service outlets and:
    (1) Are used in conjunction with scheduled maintenance on such 
components; or
    (2) Are used subsequent to the identification of a vehicle or engine 
malfunction, as provided in paragraph (d)(2) of this section for 
durability data vehicles or in paragraph (e)(1) of this section for 
emission data vehicles; or
    (3) Unless specifically authorized by the Administrator.
    (g) [Reserved]
    (h) All test data, maintenance reports, and required engineering 
reports shall be compiled and provided to the Administrator in 
accordance with Sec.  86.090-23.

[58 FR 4018, Jan. 12, 1993, as amended at 58 FR 9487, Feb. 19, 1993; 79 
FR 23691, Apr. 28, 2014; 81 FR 73978, Oct. 25, 2016]



Sec.  86.095-35  Labeling.

    (a) The manufacturer of any motor vehicle (or motor vehicle engine) 
subject to the applicable emission standards (and family emission 
limits, as appropriate) of this subpart, shall, at the time of 
manufacture, affix a permanent legible label, of the type and in the 
manner described below, containing the information hereinafter provided, 
to all production models of such vehicles (or engines) available for 
sale to the public and covered by a Certificate of Conformity under 
Sec.  86.007-30(a).
    (1)-(2) [Reserved]
    (3) Heavy-duty engines. (i) A permanent legible label shall be 
affixed to the engine in a position in which it will be readily visible 
after installation in the vehicle.
    (ii) The label shall be attached to an engine part necessary for 
normal engine operation and not normally requiring replacement during 
engine life.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: ``Important Engine Information.'';
    (B) The full corporate name and trademark of the manufacturer; 
though the label may identify another company and use its trademark 
instead of the manufacturer's as long as the manufacturer complies with 
the branding provisions of 40 CFR 1068.45.
    (C) Engine displacement (in cubic inches or liters) and engine 
family and model designations;
    (D) Date of engine manufacture (month and year). The manufacturer 
may, in lieu of including the date of manufacture on the engine label, 
maintain a record of the engine manufacture dates. The manufacturer 
shall provide the date of manufacture records to the Administrator upon 
request;
    (E) Engine specifications and adjustments as recommended by the 
manufacturer. These specifications should indicate the proper 
transmission position during tune-up and what accessories (e.g., air 
conditioner), if any, should be in operation;
    (F) For Otto-cycle engines the label should include the idle speed, 
ignition timing, and the idle air-fuel mixture setting procedure and 
value (e.g., idle

[[Page 601]]

CO, idle air-fuel ratio, idle speed drop), and valve lash;
    (G) For diesel engines the label should include the advertised hp at 
rpm, fuel rate at advertised hp in mm\3\/stroke, valve lash, initial 
injection timing, and idle speed;
    (H) The prominent statement: ``This engine conforms to U.S. EPA 
regulations applicable to XXXX Model Year New Heavy-Duty Engines.'';
    (I) If the manufacturer has an alternate useful life period under 
the provisions of Sec.  86.094-21(f), the prominent statement: ``This 
engine has been certified to meet U.S. EPA standards for a useful-life 
period of XXX miles or XXX hours of operation, whichever occurs first. 
This engine's actual life may vary depending on its service 
application.'' The manufacturer may alter this statement only to express 
the assigned alternate useful life in terms other than miles or hours 
(e.g., years, or hours only);
    (J) For diesel engines, the prominent statement: ``This engine has a 
primary intended service application as a XXX heavy-duty engine.'' (The 
primary intended service applications are light, medium, and heavy, as 
defined in Sec.  86.090-2.);
    (K) For engines certified under the alternative standards specified 
in Sec.  86.007-11(g) or Sec.  86.008-10(g), the following statement: 
``This engine is certified for only in specialty vehicles as specified 
in [40 CFR 86.007-11 or 40 CFR 86.008-10]'';
    (L) For diesel engines which are included in the diesel heavy-duty 
particulate averaging program, the family particulate emission limit to 
which the engine is certified;
    (M) For any heavy-duty engines which are included in the heavy-duty 
NOX averaging program, the family NOX emission 
limit to which the engine is certified;
    (N) Engines granted final admission under Sec.  85.1505 of this 
chapter must comply with the labeling requirements contained in Sec.  
85.1510 of this chapter.
    (O) For engines with one or more approved AECDs for emergency 
vehicle applications under paragraph (4) of the definition of ``defeat 
device'' in Sec.  86.004-2, the statement: ``THIS ENGINE IS FOR 
INSTALLATION IN EMERGENCY VEHICLES ONLY.''
    (iv) The label may be made up of one or more pieces: Provided, That 
all pieces are permanently attached to the same engine or vehicle part 
as applicable.
    (4) Heavy-duty vehicles employing a fuel or fuels covered by 
evaporative emission standards. This paragraph (a)(4) applies for 
vehicles subject to evaporative emission standards under this subpart, 
as described in Sec.  86.016-1(a)(4). See 40 CFR part 1037 for 
provisions that apply in later model years.
    (i) A permanent, legible label shall be affixed in a readily visible 
position in the engine compartment. If such vehicles do not have an 
engine compartment, the label required in this paragraph (a)(4) shall be 
affixed in a readily available position on the operator's enclosure or 
on the engine.
    (ii) The label shall be affixed by the vehicle manufacturer who has 
been issued the Certificate of Conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (iii) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (A) The label heading: Vehicle Emission Control Information;
    (B) Full corporate name and trademark of manufacturer;
    (C) Evaporative family identification;
    (D) The maximum nominal fuel tank capacity (in gallons), as 
specified in 40 CFR 1037.135; and
    (E) An unconditional statement of compliance with the appropriate 
model year U.S. Environmental Protection Agency regulations which apply 
to XXX-fueled heavy-duty vehicles.
    (F) Vehicles granted final admission under Sec.  85.1505 of this 
chapter must comply with the labeling requirements contained in Sec.  
85.1510 of this chapter.
    (b) The provisions of this section shall not prevent a manufacturer 
from

[[Page 602]]

also reciting on the label that such vehicle (or engine) conforms to any 
applicable state emission standards for new motor vehicles (or new motor 
vehicle engines) or any other information that such manufacturer deems 
necessary for, or useful to, the proper operation and satisfactory 
maintenance of the vehicle (or engine).
    (c) Vehicles powered by model year 2007 through 2013 diesel-fueled 
engines must include permanent, readily visible labels on the dashboard 
(or instrument panel) and near all fuel inlets that state ``Use Ultra 
Low Sulfur Diesel Fuel Only''; or ``Ultra Low Sulfur Diesel Fuel Only''.
    (d)-(g) [Reserved]
    (h) Notification of nonconformance penalty. (1) Light-duty trucks 
and heavy-duty vehicles and engines for which nonconformance penalties 
are to be paid in accordance with Sec.  86.1113-87(b) shall have the 
following information printed on the label required in paragraph (a) of 
this section. The manufacturer shall begin labeling production engines 
or vehicles within 10 days after the completion of the PCA. This 
statement shall read: ``The manufacturer of this engine/vehicle will pay 
a nonconformance penalty to be allowed to introduce it into commerce at 
an emission level higher than the applicable emission standard. The 
compliance level (or new emission standard) for this engine/vehicle is 
XXX.'' (The manufacturer shall insert the applicable pollutant and 
compliance level calculated in accordance with Sec.  86.1112-87(a).)
    (2) If a manufacturer introduces an engine or vehicle into commerce 
prior to the compliance level determination of Sec.  86.1112-87(a), it 
shall provide the engine or vehicle owner with a label as described 
above to be affixed in a location in proximity to the label required in 
paragraph (a) of this section within 30 days of the completion of the 
PCA.
    (i) The Administrator may approve in advance other label content and 
formats, provided the alternative label contains information consistent 
with this section.

[56 FR 25755, June 5, 1991, as amended at 81 FR 73978, Oct. 25, 2016]

    Editorial Note: For Federal Register citations affecting Sec.  
86.095-35, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.govinfo.gov.



Sec.  86.096-2  Definitions.

    The definitions listed in this section apply beginning with the 1996 
model year. The definitions of Sec.  86.094-2 continue to apply to 1996 
and later model year vehicles.
    Certification Short Test means the test, for gasoline-fueled Otto-
cycle light-duty vehicles and light-duty trucks, performed in accordance 
with the procedures contained in 40 CFR part 86 subpart O.
    Diurnal breathing losses means diurnal emissions.
    Diurnal emissions means evaporative emissions resulting from the 
daily cycling of ambient temperatures.
    Hot soak emissions means evaporative emissions after termination of 
engine operation.
    Hot-soak losses means hot soak emissions.
    Resting losses means evaporative emissions that may occur 
continuously, that are not diurnal emissions, hot soak emissions, 
running losses, or spitback emissions.
    Running losses means evaporative emissions that occur during vehicle 
operation.
    Spitback emissions means evaporative emissions resulting from the 
loss of liquid fuel that is emitted from a vehicle during a fueling 
operation.
    Useful life means:
    (1) For light-duty vehicles, and for light light-duty trucks not 
subject to the Tier 0 standards of Sec.  86.094-9(a), intermediate 
useful life and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 10 years or 100,000 miles, whichever 
occurs first, except as otherwise noted in Sec.  86.094-9. The useful 
life of evaporative emission control systems on the portion of these 
vehicles subject to the evaporative emission test requirements of Sec.  
86.130-96 is defined as a period of use of 10 years or 100,000 miles, 
whichever occurs first.
    (2) For light light-duty trucks subject to the Tier 0 standards of 
Sec.  86.094-9(a), and for heavy light-duty truck engine families, 
intermediate and/or full useful life. Intermediate useful life is a

[[Page 603]]

period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 11 years or 120,000 miles, whichever 
occurs first. The useful life of evaporative emission control systems on 
the portion of these vehicles subject to the evaporative emission test 
requirements of Sec.  86.130-96 is also defined as a period of 11 years 
or 120,000 miles, whichever occurs first.
    (3) For an Otto-cycle heavy-duty engine family, a period of use of 8 
years or 110,000 miles, whichever occurs first, except for the portion 
of evaporative emission control systems subject to the evaporative 
emission test requirements of Sec.  86.1230-96, for which the applicable 
period of use is 10 years or 110,000 miles, whichever occurs first.
    (4) For a diesel heavy-duty engine family:
    (i) For light heavy-duty diesel engines, period of use of 8 years or 
110,000 miles, whichever occurs first.
    (ii) For medium heavy-duty diesel engines, a period of use of 8 
years or 185,000 miles, whichever occurs first.
    (iii) For heavy heavy-duty diesel engines, a period of use of 8 
years or 290,000 miles, whichever occurs first, except as provided in 
paragraph (4)(iv) of this definition.
    (iv) For heavy heavy-duty diesel engines used in urban buses, for 
the particulate standard, a period of use of 10 years or 290,000 miles, 
whichever occurs first.
    (5) As an option for both light-duty trucks under certain conditions 
and heavy-duty engine families, an alternative useful life period 
assigned by the Administrator under the provisions of Sec.  86.094-
21(f).
    (6) The useful-life period for purposes of the emissions defect 
warranty and emissions performance warranty shall be a period of 5 
years/50,000 miles, whichever occurs first, for light-duty trucks, Otto-
cycle heavy-duty engines and light heavy-duty diesel engines. For all 
other heavy-duty diesel engines the aforementioned period is 5 years/
100,000 miles, whichever occurs first. However, in no case may this 
period be less than the manufacturer's basic mechanical warranty period 
for the engine family.

[58 FR 16020, Mar. 24, 1993, as amended at 58 FR 58417, Nov. 1, 1993]



Sec.  86.096-3  Abbreviations.

    (a) The abbreviations in Sec.  86.094-3 continue to apply. The 
abbreviation in this section applies beginning with the 1996 model year.
    (b) The abbreviation in this section applies to this subpart and to 
subpart O of this part, and has the following meaning:

CST--Certification Short Test

[58 FR 58417, Nov. 1, 1993]



Sec.  86.096-24  Test vehicles and engines.

    (a) General. This paragraph applies to the grouping of vehicles or 
engines into families.
    (1) The vehicles or engines covered by an application for 
certification will be divided into groupings of engines which are 
expected to have similar emission characteristics throughout their 
useful life. Each group of engines with similar emission characteristics 
is defined as a separate engine family.
    (2) To be classed in the same engine family, engines must be 
identical in all the respects listed in paragraphs (a)(2) (i) through 
(x) of this section.
    (i) The cylinder bore center-to-center dimensions.
    (ii)-(iii) [Reserved]
    (iv) The cylinder block configuration (air-cooled or water-cooled: 
L-6, 90 deg., V-8, and so forth).
    (v) The location of the intake and exhaust valves (or ports).
    (vi) The method of air aspiration.
    (vii) The combustion cycle.
    (viii) Catalytic converter characteristics.
    (ix) Thermal reactor characteristics.
    (x) Type of air inlet cooler (for example, intercoolers and after-
coolers) for diesel heavy-duty engines.
    (3)(i) Engines identical in all the respects listed in paragraph 
(a)(2) of this section may be further divided into different engine 
families if the Administrator determines that they may be expected to 
have different emission characteristics. This determination will be 
based upon a consideration of the features of each engine listed in 
paragraphs (a)(3)(i) (A) through (G) of this section.
    (A) The bore and stroke.

[[Page 604]]

    (B) The surface-to-volume ratio of the nominally dimensioned 
cylinder at the top dead center positions.
    (C) The intake manifold induction port sizes and configuration.
    (D) The exhaust manifold port size and configuration.
    (E) The intake and exhaust valve sizes.
    (F) The fuel system.
    (G) The camshaft timing and ignition or injection timing 
characteristics.
    (ii) Light-duty trucks and heavy-duty engines produced in different 
model years and distinguishable in the respects listed in paragraph 
(a)(2) of this section are treated as belonging to a single engine 
family if the Administrator requires it, after determining that the 
engines may be expected to have similar emission deterioration 
characteristics.
    (4) Where engines are of a type which cannot be divided into engine 
families based upon the criteria listed in paragraphs (a)(2) and (3) of 
this section, the Administrator establishes families for those engines 
based upon those features most related to their emission 
characteristics. Engines that are eligible to be included in the same 
engine family based on the criteria in paragraphs (a)(2) and (a)(3)(i) 
of this section may be further divided into different engine families if 
the manufacturer determines that they may be expected to have different 
emission characteristics. This determination will be based upon a 
consideration of the features of each engine listed in paragraphs (a)(4) 
(i) through (iii) of this section.
    (i) The dimension from the center line of the crankshaft to the 
center line of the camshaft.
    (ii) The dimension from the center line of the crankshaft to the top 
of the cylinder block head face.
    (iii) The size of the intake and exhaust valves (or ports).
    (5)-(11) [Reserved]
    (12) Those vehicles covered by an application for certification 
which are equipped with gasoline-fueled or methanol-fueled heavy-duty 
engines will be divided into groupings of vehicles on the basis of 
physical features which are expected to affect evaporative emissions. 
Each group of vehicles with similar features must be defined as a 
separate evaporative emission family.
    (13) For gasoline-fueled or methanol-fueled heavy-duty vehicles to 
be classified in the same evaporative emission family, vehicles must be 
identical with respect to the items listed in paragraphs (a)(13) (i) and 
(ii) of this section.
    (i) Method of fuel/air metering (that is, carburetion versus fuel 
injection).
    (ii) Carburetor bowl fuel volume, within a 10 cc range.
    (14) For vehicles equipped with gasoline-fueled or methanol-fueled 
heavy-duty engines to be classified in the same evaporative emission 
control system, vehicles must be identical with respect to the items 
listed in paragraphs (a)(14) (i) through (ix) of this section.
    (i) Method of vapor storage.
    (ii)-(iii) [Reserved] .
    (iv) Vapor storage working capacity, within a 20g range.
    (v) Number of storage devices.
    (vi) Method of purging stored vapors.
    (vii) [Reserved]
    (viii) Liquid fuel hose material.
    (ix) Vapor storage material.
    (15) Where vehicles equipped with gasoline-fueled or methanol-fueled 
heavy-duty engines are types which cannot be divided into evaporative 
emission family-control system combinations based on the criteria listed 
above, the Administrator establishes evaporative emission family-control 
system combinations for those vehicles based on features most related to 
their evaporative emission characteristics.
    (b) Emission data. (1) [Reserved]
    (2) Otto-cycle heavy-duty emission data engines. This paragraph 
applies to Otto-cycle heavy-duty emission data engines.
    (i)-(ii) [Reserved]
    (iii) The Administrator selects a maximum of two engines within each 
engine family based upon features indicating that they may have the 
highest emission levels of the engines in the engine family in 
accordance with the criteria described in paragraphs (b)(2)(iii) (A) and 
(B) of this section.
    (A) The Administrator selects one emission data engine first based 
on the largest displacement within the engine family. Then from those 
within the

[[Page 605]]

largest displacement the Administrator selects, in the order listed, the 
engine with the highest fuel flow at the speed of maximum rated torque, 
with the most advanced spark timing, with no EGR or lowest EGR flow, and 
with no air pump or with the lowest actual flow air pump.
    (B) The Administrator selects one additional engine from within each 
engine family. The engine selected is the engine expected to exhibit the 
highest emissions of those engines remaining in the engine family. If 
all engines within the engine family are similar, the Administrator may 
waive the requirements of this paragraph.
    (iv) If the engines selected in accordance with paragraph 
(b)(2)(iii) of this section do not represent each engine displacement-
exhaust emission control system combination, then the Administrator 
selects one engine of each engine displacement-exhaust emission control 
system combination not represented.
    (v) Within an engine family/displacement/control system combination, 
the manufacturer may alter any emission data engine (or other engine 
including current or previous model year emission data engines and 
development engines provided they meet the emission data engines' 
protocol) to represent more than one selection under paragraph 
(b)(2)(iii) of this section.
    (3) Diesel heavy-duty emission data engines. This paragraph applies 
to diesel-cycle heavy-duty emission data engines.
    (i) Engines will be chosen to be run for emission data based upon 
engine family groupings. Within each engine family, the requirements of 
paragraphs (b)(3) (i) through (iv) of this section must be met.
    (ii) Engines of each engine family will be divided into groups based 
upon their exhaust emission control systems. One engine of each engine 
system combination must be run for smoke emission data and gaseous 
emission data. Either the complete gaseous emission test or the complete 
smoke test may be conducted first. Within each combination, the engine 
that features the highest fuel feed per stroke, primarily at the speed 
of maximum rated torque and secondarily at rated speed, will usually be 
selected. If there are military engines with higher fuel rates than 
other engines in the same engine system combinations, then one military 
engine is also selected. The engine with the highest fuel feed per 
stroke is usually the one selected.
    (iii) The Administrator may select a maximum of one additional 
engine within each engine-system combination based upon features 
indicating that it may have the highest emission levels of the engines 
of that combination. In selecting this engine, the Administrator will 
consider such features as the injection system, fuel system, compression 
ratio, rated speed, rated horsepower, peak torque speed, and peak 
torque.
    (iv) Within an engine family control system combination, the 
manufacturer may alter any emission data engine (or other engine 
including current or previous model year emission data engines and 
development engines provided they meet the emission data engines' 
protocol) to represent more than one selection under paragraphs (b)(3) 
(ii) and (iii) of this section.
    (c) Durability data. (1)-(2) [Reserved]
    (3) Heavy-duty engines. This paragraph applies to engines, 
subsystems, or components used to establish exhaust emission 
deterioration factors for heavy-duty engines.
    (i) The manufacturer must select the engines, subsystems, or 
components to be used to determine exhaust emission deterioration 
factors for each engine-family control system combination. Whether 
engines, subsystems, or components are used, they must be selected so 
that their emission deterioration characteristics may be expected to 
represent those of in-use engines, based on good engineering judgment.
    (ii) [Reserved]
    (d) [Reserved]
    (e)(1) [Reserved]
    (2) Any manufacturer may request to certify engine families with 
combined total sales of fewer than 10,000 light-duty vehicles, light-
duty trucks, heavy-duty vehicles, and heavy-duty engines utilizing the 
procedures contained in Sec.  86.094-14 for emission data vehicle 
selection and determination of deterioration factors. The deterioration 
factors are applied only to entire engine families.

[[Page 606]]

    (f) [Reserved]

[58 FR 58417, Nov. 1, 1993, as amended at 75 FR 22979, Apr. 30, 2010; 79 
FR 23691, Apr. 28, 2014]



Sec.  86.098-2  Definitions.

    The definitions of Sec.  86.096-2 continue to apply to 1996 and 
later model year vehicles. The definitions listed in this section apply 
beginning with the 1998 model year.
    Dispensed fuel temperature means the temperature (deg.F or deg.C may 
be used) of the fuel being dispensed into the tank of the test vehicle 
during a refueling test.
    Evaporative/refueling emission control system means a unique 
combination within an evaporative/refueling family of canister 
adsorptive material, purge system configuration, purge strategy, and 
other parameters determined by the Administrator to affect evaporative 
and refueling emission control system durability or deterioration 
factors.
    Evaporative/refueling emission family means the basic classification 
unit of a manufacturers' product line used for the purpose of 
evaporative and refueling emissions test fleet selection and determined 
in accordance with Sec.  86.098-24.
    Fixed liquid level gauge means a type of liquid level gauge used on 
liquefied petroleum gas-fueled vehicles which uses a relatively small 
positive shutoff valve and is designed to indicate when the liquid level 
in the fuel tank being filled reaches the proper fill level. The venting 
of fuel vapor and/or liquid fuel to the atmosphere during the refueling 
event is generally associated with the use of the fixed liquid level 
gauge.
    Integrated refueling emission control system means a system where 
vapors resulting from refueling are stored in a common vapor storage 
unit(s) with other evaporative emissions of the vehicle and are purged 
through a common purge system.
    Non-integrated refueling emission control system means a system 
where fuel vapors from refueling are stored in a vapor storage unit 
assigned solely to the function of storing refueling vapors.
    Refueling emissions means evaporative emissions that emanate from a 
motor vehicle fuel tank(s) during a refueling operation.
    Refueling emissions canister(s) means any vapor storage unit(s) that 
is exposed to the vapors generated during refueling.
    Resting losses means evaporative emissions that may occur 
continuously, that are not diurnal emissions, hot soak emissions, 
refueling emissions, running losses, or spitback emissions.
    Useful life means:
    (1) For light-duty vehicles, and for light light-duty trucks not 
subject to the Tier 0 standards of Sec.  86.094-9(a), intermediate 
useful life and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 10 years or 100,000 miles, whichever 
occurs first, except as otherwise noted in Sec.  86.094-9. The useful 
life of evaporative and/or refueling emission control systems on the 
portion of these vehicles subject to the evaporative emission test 
requirements of Sec.  86.130-96, and/or the refueling emission test 
requirements of Sec.  86.151-98, is defined as a period of use of 10 
years or 100,000 miles, whichever occurs first.
    (2) For light light-duty trucks subject to the Tier 0 standards of 
Sec.  86.094-9(a), and for heavy light-duty truck engine families, 
intermediate and/or full useful life. Intermediate useful life is a 
period of use of 5 years or 50,000 miles, whichever occurs first. Full 
useful life is a period of use of 11 years or 120,000 miles, whichever 
occurs first. The useful life of evaporative emission control systems on 
the portion of these vehicles subject to the evaporative emission test 
requirements of Sec.  86.130-96 is also defined as a period of 11 years 
or 120,000 miles, whichever occurs first.
    (3) For an Otto-cycle heavy-duty engine family:
    (i) For hydrocarbon and carbon monoxide standards, a period of use 
of 8 years or 110,000 miles, whichever first occurs.
    (ii) For the oxides of nitrogen standard, a period of use of 10 
years or 110,000 miles, whichever first occurs.
    (iii) For the portion of evaporative emission control systems 
subject to the evaporative emission test requirements of Sec.  86.1230-
96, a period of use of

[[Page 607]]

10 years or 110,000 miles, whichever occurs first.
    (4) For a diesel heavy-duty engine family:
    (i) For light heavy-duty diesel engines, for hydrocarbon, carbon 
monoxide, and particulate standards, a period of use of 8 years or 
110,000 miles, whichever first occurs.
    (ii) For light heavy-duty diesel engines, for the oxides of nitrogen 
standard, a period of use of 10 years or 110,000 miles, whichever first 
occurs.
    (iii) For medium heavy-duty diesel engines, for hydrocarbon, carbon 
monoxide, and particulate standards, a period of use of 8 years or 
185,000 miles, whichever first occurs.
    (iv) For medium heavy-duty diesel engines, for the oxides of 
nitrogen standard, a period of use of 10 years or 185,000 miles, 
whichever first occurs.
    (v) For heavy heavy-duty diesel engines, for hydrocarbon, carbon 
monoxide, and particulate standards, a period of use of 8 years or 
290,000 miles, whichever first occurs, except as provided in paragraph 
(3)(vii) of this definition.
    (vi) For heavy heavy-duty diesel engines, for the oxides of nitrogen 
standard, a period of use of 10 years or 290,000 miles, whichever first 
occurs.
    (vii) For heavy heavy-duty diesel engines used in urban buses, for 
the particulate standard, a period of use of 10 years or 290,000 miles, 
whichever first occurs.

[59 FR 16288, Apr. 6, 1994, as amended at 59 FR 48501, Sept. 21, 1994]



Sec.  86.098-3  Abbreviations.

    (a) The abbreviations in Sec.  86.096-3 continue to apply. The 
abbreviations in this section apply beginning with the 1998 model year.
    (b) The abbreviations of this section apply to this subpart, and 
also to subparts B, E, F, G, K, M, N, and P of this part, and have the 
following meanings:

T D--Dispensed fuel temperature
ABT--Averaging, banking, and trading
HDE--Heavy-duty engine

[62 FR 54716, Oct. 21, 1997]



Sec.  86.098-10  Emission standards for 1998 and later model year 
Otto-cycle heavy-duty engines and vehicles.

    Section 86.098-10 includes text that specifies requirements that 
differ from Sec.  86.096-10. Where a paragraph in Sec.  86.096-10 is 
identical and applicable to Sec.  86.098-10, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.096-10.''
    (a)(1) Except as provided for 2003 and 2004 model years in 
Sec. Sec.  86.005-10(f) and 86.1816-05, exhaust emissions from new 1998 
and later model year Otto-cycle heavy-duty engines shall not exceed:
    (i) For Otto-cycle heavy-duty engines fueled with either gasoline or 
liquefied petroleum gas, and intended for use in all vehicles except as 
provided in paragraph (a)(3) of this paragraph.
    (A) Hydrocarbons. 1.1 grams per brake horsepower-hour (0.41 gram per 
megajoule), as measured under transient operating conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule), as measured under transient operating conditions.
    (2) For Otto-cycle heavy-duty engines fueled with either gasoline or 
liquefied petroleum gas and utilizing aftertreatment technology: 0.50 
percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen (1) 4.0 grams per brake horsepower-hour (1.49 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its gasoline-
fueled Otto-cycle HDE families in any or all of the NOX or 
NOX plus NMHC ABT programs for HDEs, within the restrictions 
described in Sec.  86.098-15 as applicable. If the manufacturer elects 
to include engine families in any of these programs, the NOX 
FELs may not exceed 5.0 grams per brake horsepower-hour (1.9 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (3) A manufacturer may elect to include any or all of its liquified 
petroleum gas-fueled Otto-cycle HDE families in any or all of the 
NOX or NOX plus NMHC ABT programs for HDEs, within 
the restrictions described in

[[Page 608]]

Sec.  86.098-15 as applicable. If the manufacturer elects to include 
engine families in any of these programs, the NOX FELs may 
not exceed 5.0 grams per brake horsepower-hour (1.9 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (ii) For Otto-cycle heavy-duty engines fueled with either gasoline 
or liquefied petroleum gas, and intended for use only in vehicles with a 
Gross Vehicle Weight Rating of greater than 14,000 pounds.
    (A) Hydrocarbons. 1.9 grams per brake horsepower-hour (0.71 gram per 
megajoule), as measured under transient operating conditions.
    (B) Carbon Monoxide. (1) 37.1 grams per brake horsepower-hour (13.8 
grams per megajoule), as measured under transient operating conditions.
    (2) For Otto-cycle heavy-duty engines fueled with either gasoline or 
liquefied petroleum gas and utilizing aftertreatment technology: 0.50 
percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen (1) 4.0 grams per brake horsepower-hour (1.49 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its gasoline-
fueled Otto-cycle HDE families in any or all of the NOX or 
NOX plus NMHC ABT programs for HDEs, within the restrictions 
described in Sec.  86.098-15 as applicable. If the manufacturer elects 
to include engine families in any of these programs, the NOX 
FELs may not exceed 5.0 grams per brake horsepower-hour (1.9 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (3) A manufacturer may elect to include any or all of its liquified 
petroleum gas-fueled Otto-cycle HDE families in any or all of the 
NOX or NOX plus NMHC ABT programs for HDEs, within 
the restrictions described in Sec.  86.098-15 as applicable. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 5.0 grams per brake horsepower-
hour (1.9 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (iii) For methanol-fueled Otto cycle heavy-duty engines intended for 
use in all vehicles, except as provided in paragraph (a)(3) of this 
section.
    (A) Total Hydrocarbon Equivalent. 1.1 gram per brake horsepower-hour 
(0.41 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule), as measured under transient operating conditions.
    (2) 0.50 percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. (1) 4.0 grams per brake horsepower-hour 
(1.49 grams per megajoule), as measured under transient operating 
conditions.
    (2) A manufacturer may elect to include any or all of its methanol-
fueled Otto-cycle HDE families in any or all of the NOX or 
NOX plus NMHC ABT programs for HDEs, within the restrictions 
described in Sec.  86.098-15 as applicable. If the manufacturer elects 
to include engine families in any of these programs, the NOX 
FELs may not exceed 5.0 grams per brake horsepower-hour (1.9 grams per 
megajoule). This ceiling value applies whether credits for the family 
are derived from averaging, trading or banking programs.
    (iv) For methanol-fueled Otto-cycle heavy-duty engines intended for 
use only in vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs.
    (A) Total Hydrocarbon Equivalent. 1.9 grams per brake horsepower-
hour (0.71 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 37.1 grams per brake horsepower-hour (13.8 
grams per megajoule), as measured under transient operating conditions.
    (2) 0.50 percent of exhaust gas flow at curb idle.
    (C) Oxides of nitrogen. (1) 4.0 grams per brake horsepower-hour 
(1.49 grams per megajoule), as measured under transient operating 
conditions.
    (2) A manufacturer may elect to include any or all of its methanol-
fueled Otto-cycle HDE families in any or all

[[Page 609]]

of the NOX or NOX plus NMHC ABT programs for HDEs, 
within the restrictions described in Sec.  86.098-15 as applicable. If 
the manufacturer elects to include engine families in any of these 
programs, the NOX FELs may not exceed 5.0 grams per brake 
horsepower-hour (1.9 grams per megajoule). This ceiling value applies 
whether credits for the family are derived from averaging, trading or 
banking programs.
    (v) For natural gas-fueled Otto-cycle heavy-duty engines intended 
for use in all vehicles except as provided in paragraph (a)(3) of this 
section.
    (A) Nonmethane hydrocarbons. 0.9 gram per brake horsepower-hour 
(0.33 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 14.4 grams per brake horsepower-hour (5.36 
grams per megajoule), as measured under transient operating conditions.
    (2) For natural gas-fueled Otto-cycle heavy-duty engines utilizing 
aftertreatment technology. 0.50 percent of exhaust flow at curb idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its natural 
gas-fueled Otto-cycle HDE families in any or all of the NOX 
or NOX plus NMHC ABT programs for HDEs, within the 
restrictions described in Sec.  86.098-15 as applicable. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 5.0 grams per brake horsepower-
hour (1.9 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (vi) For natural gas-fueled Otto-cycle engines intended for use only 
in vehicles with a Gross Vehicle Weight Rating of greater than 14,000 
pounds.
    (A) Nonmethane hydrocarbons. 1.7 grams per brake horsepower-hour 
(0.63 gram per megajoule), as measured under transient operating 
conditions.
    (B) Carbon monoxide. (1) 37.1 grams per brake horsepower-hour (13.8 
grams per megajoule), as measured under transient operating conditions.
    (2) For natural gas-fueled Otto-cycle heavy-duty engines utilizing 
aftertreatment technology. 0.50 percent of exhaust gas flow at curb 
idle.
    (C) Oxides of nitrogen. (1) 5.0 grams per brake horsepower-hour (1.9 
grams per megajoule), as measured under transient operating conditions.
    (2) A manufacturer may elect to include any or all of its natural 
gas-fueled Otto-cycle HDE families in any or all of the NOX 
or NOX plus NMHC ABT programs for HDEs, within the 
restrictions described in Sec.  86.098-15 as applicable. If the 
manufacturer elects to include engine families in any of these programs, 
the NOX FELs may not exceed 5.0 grams per brake horsepower-
hour (1.9 grams per megajoule). This ceiling value applies whether 
credits for the family are derived from averaging, trading or banking 
programs.
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the operating schedule set forth in 
paragraph (f)(1) of appendix I to this part, and measured and calculated 
in accordance with the procedures set forth in subpart N or P of this 
part.
    (3)(i) A manufacturer may certify one or more Otto-cycle heavy-duty 
engine configurations intended for use in all vehicles to the emission 
standards set forth in paragraphs (a)(1)(ii), (a)(1)(iv) or (a)(1)(vi) 
of this paragraph: Provided, that the total model year sales of such 
configuration(s), segregated by fuel type, being certified to the 
emission standards in paragraph (a)(1)(ii) of this section represent no 
more than five percent of total model year sales of each fuel type Otto-
cycle heavy-duty engine intended for use in vehicles with a Gross 
Vehicle Weight Rating of up to 14,000 pounds by the manufacturer.
    (ii) The configurations certified to the emission standards of 
paragraphs (a)(1) (ii) and (vi) of this section under the provisions of 
paragraph (a)(3)(i) of this section shall still be required to meet the 
evaporative emission standards set forth in paragraphs Sec.  86.096-
10(b)(1)(i), (b)(2)(i) and (b)(3)(i).
    (iii) The configurations certified to the emission standards of 
paragraphs (a)(1) (ii) and (iv) of this section under the provisions of 
paragraphs (a)(3) (i) and (ii) of this section shall still be required 
to meet the evaporative emission standards set forth in paragraphs

[[Page 610]]

(b)(1)(i), (b)(2)(i), and (b)(3)(i) of this section.
    (b) [Reserved]
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1998 or later model year Otto-cycle heavy-duty 
engine.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart N or P of this part to ascertain that such test engines meet the 
requirements of paragraphs (a) and (c) of this section.

[58 FR 15800, Mar. 24, 1993, as amended at 59 FR 48501, Sept. 21, 1994; 
62 FR 54716, Oct. 21, 1997; 65 FR 59955, Oct. 6, 2000; 75 FR 22979, Apr. 
30, 2010]



Sec.  86.098-23  Required data.

    (a) The manufacturer shall perform the tests required by the 
applicable test procedures and submit to the Administrator the 
information described in paragraphs (b) through (m) of this section, 
provided, however, that if requested by the manufacturer, the 
Administrator may waive any requirement of this section for testing of a 
vehicle (or engine) for which emission data are available or will be 
made available under the provisions of Sec.  86.091-29.
    (b) Durability data. (1)(i) [Reserved]
    (ii) The manufacturer shall submit exhaust emission deterioration 
factors for light-duty trucks and HDEs and all test data that are 
derived from the testing described under Sec.  86.094-21(b)(5)(i)(A), as 
well as a record of all pertinent maintenance. Such testing shall be 
designed and conducted in accordance with good engineering practice to 
assure that the engines covered by a certificate issued under Sec.  
86.098-30 will meet each emission standard (or family emission limit, as 
appropriate) in Sec.  86.094-9, Sec.  86.098-10, Sec.  86.098-11 or 
superseding emissions standards sections as appropriate, in actual use 
for the useful life applicable to that standard.
    (2) [Reserved]
    (3) For heavy-duty vehicles equipped with gasoline-fueled or 
methanol-fueled engines, the manufacturer shall submit evaporative 
emission deterioration factors for each evaporative emission family-
evaporative emission control system combination identified in accordance 
with Sec.  86.094-21(b)(4)(ii). Furthermore, a statement that the test 
procedure(s) used to derive the deterioration factors includes, but need 
not be limited to, a consideration of the ambient effects of ozone and 
temperature fluctuations, and the service accumulation effects of 
vibration, time, and vapor saturation and purge cycling. The 
deterioration factor test procedure shall be designed and conducted in 
accordance with good engineering practice to assure that the vehicles 
covered by a certificate issued under Sec.  86.098-30 will meet the 
evaporative emission standards in Sec. Sec.  86.096-10 and 86.098-11 or 
superseding emissions standards sections as applicable in actual use for 
the useful life of the engine. Furthermore, a statement that a 
description of the test procedure, as well as all data, analyses, and 
evaluations, is available to the Administrator upon request.
    (4)(i) For heavy-duty vehicles with a Gross Vehicle Weight Rating of 
up to 26,000 lbs and equipped with gasoline-fueled or methanol-fueled 
engines, the manufacturer shall submit a written statement to the 
Administrator certifying that the manufacturer's vehicles meet the 
standards of Sec.  86.098-10 or Sec.  86.098-11 or superseding emissions 
standards sections as applicable as determined by the provisions of 
Sec.  86.098-28. Furthermore, the manufacturer shall submit a written 
statement to the Administrator that all data, analyses, test procedures, 
evaluations, and other documents, on which the requested statement is 
based, are available to the Administrator upon request.
    (ii) For heavy-duty vehicles with a Gross Vehicle Weight Rating of 
greater than 26,000 lbs and equipped with gasoline-fueled or methanol-
fueled engines, the manufacturer shall submit a written statement to the 
Administrator certifying that the manufacturer's evaporative emission 
control systems are designed, using good engineering practice, to meet 
the standards of Sec.  86.096-10 or Sec.  86.098-11 or superseding 
emissions standards sections as applicable as determined by the 
provisions

[[Page 611]]

of Sec.  86.098-28. Furthermore, the manufacturer shall submit a written 
statement to the Administrator that all data, analyses, test procedures, 
evaluations, and other documents, on which the requested statement is 
based, are available to the Administrator upon request.
    (iii) For petroleum-fueled diesel-cycle vehicles certifying under 
the waiver provisions of Sec.  86.098-28, the certifications and 
representations specified in Sec.  86.098-28.
    (c) [Reserved]
    (d) The manufacturer shall submit a statement that the vehicles (or 
engines) for which certification is requested conform to the 
requirements in Sec.  86.090-5(b), and that the descriptions of tests 
performed to ascertain compliance with the general standards in Sec.  
86.090-5(b), and that the data derived from such tests, are available to 
the Administrator upon request.
    (e)(1) The manufacturer shall submit a statement that the test 
vehicles (or test engines) for which data are submitted to demonstrate 
compliance with the applicable standards (or family emission limits, as 
appropriate) of this subpart are in all material respects as described 
in the manufacturer's application for certification, that they have been 
tested in accordance with the applicable test procedures utilizing the 
fuels and equipment described in the application for certification, and 
that on the basis of such tests the vehicles (or engines) conform to the 
requirements of this part. If such statements cannot be made with 
respect to any vehicle (or engine) tested, the vehicle (or engine) shall 
be identified, and all pertinent data relating thereto shall be supplied 
to the Administrator. If, on the basis of the data supplied and any 
additional data as required by the Administrator, the Administrator 
determines that the test vehicles (or test engine) were not as described 
in the application for certification or were not tested in accordance 
with the applicable test procedures utilizing the fuels and equipment as 
described in the application for certification, the Administrator may 
make the determination that the vehicle (or engine) does not meet the 
applicable standards (or family emission limits, as appropriate). The 
provisions of Sec.  86.098-30(b) shall then be followed.
    (2)-(3) [Reserved
    (f)-(g) [Reserved]
    (h) Additionally, manufacturers participating in any of the 
emissions ABT programs under Sec.  86.098-15 or superseding ABT sections 
for HDEs shall submit for each participating family the items listed in 
paragraphs (h) (1) through (3) of this section.
    (1) Application for certification. (i) The application for 
certification will include a statement that the engines for which 
certification is requested will not, to the best of the manufacturer's 
belief, when included in any of the ABT programs, cause the applicable 
emissions standard(s) to be exceeded.
    (ii) The application for certification will also include 
identification of the section of this subpart under which the family is 
participating in ABT (i.e., Sec.  86.098-15 or superseding ABT 
sections), the type (NOX, NOX + NMHC, or particulate) and the 
projected number of credits generated/needed for this family, the 
applicable averaging set, the projected U.S. (49-state or 50 state, as 
applicable) production volumes, by quarter, NCPs in use on a similar 
family and the values required to calculate credits as given in the 
applicable ABT section. Manufacturers shall also submit how and where 
credit surpluses are to be dispersed and how and through what means 
credit deficits are to be met, as explained in the applicable ABT 
section. The application must project that each engine family will be in 
compliance with the applicable emission standards based on the engine 
mass emissions and credits from averaging, trading and banking.
    (2) [Reserved]
    (3) End-of-year report. The manufacturer shall submit end-of-year 
reports for each engine family participating in any of the ABT programs, 
as described in paragraphs (h)(3)(i) through (iv) of this section.
    (i) These reports shall be submitted within 90 days of the end of 
the model year to: Director, Engine Programs and Compliance Division 
(6405J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460.

[[Page 612]]

    (ii) These reports shall indicate the engine family, the averaging 
set, the actual U.S. (49-state or 50-state, as applicable) production 
volume, the values required to calculate credits as given in the 
applicable ABT section, the resulting type and number of credits 
generated/required, and the NCPs in use on a similar NCP family. 
Manufacturers shall also submit how and where credit surpluses were 
dispersed (or are to be banked) and how and through what means credit 
deficits were met. Copies of contracts related to credit trading must 
also be included or supplied by the broker if applicable. The report 
shall also include a calculation of credit balances to show that net 
mass emissions balances are within those allowed by the emission 
standards (equal to or greater than a zero credit balance). Any credit 
discount factor described in the applicable ABT section must be included 
as required.
    (iii) The production counts for end-of-year reports shall be based 
on the location of the first point of retail sale (e.g., customer, 
dealer, secondary manufacturer) by the manufacturer.
    (iv) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including changes in the production counts, may be corrected up 
to 180 days subsequent to submission of the end-of-year report. Errors 
discovered by EPA after 180 days shall be corrected if credits are 
reduced. Errors in the manufacturer's favor will not be corrected if 
discovered after the 180 day correction period allowed.
    (i) Failure by a manufacturer participating in the ABT programs to 
submit any quarterly or end-of-year report (as applicable) in the 
specified time for all vehicles and engines that are part of an 
averaging set is a violation of section 203(a)(1) of the Clean Air Act 
(42 U.S.C. 7522(a)(1)) for each such vehicle and engine.
    (j) Failure by a manufacturer generating credits for deposit only in 
the HDE banking programs to submit their end-of-year reports in the 
applicable specified time period (i.e., 90 days after the end of the 
model year) shall result in the credits not being available for use 
until such reports are received and reviewed by EPA. Use of projected 
credits pending EPA review will not be permitted in these circumstances.
    (k) Engine families certified using NCPs are not required to meet 
the requirements outlined in paragraphs (f) through (j) of this section.
    (l) [Reserved]
    (m) Additionally, except for small-volume manufacturers, 
manufacturers certifying vehicles shall submit for each model year 1998 
light-duty vehicle, light-duty truck, and gasoline- and methanol-fueled 
heavy-duty vehicle evaporative family:
    (1) In the application for certification the projected sales volume 
of evaporative families certifying to the respective evaporative test 
procedure and accompanying standards as set forth or otherwise 
referenced in Sec. Sec.  86.090-8, 86.090-9, 86.091-10 and 86.094-11 or 
as set forth or otherwise referenced in Sec. Sec.  86.096-8, 86.096-9, 
86.096-10 and 86.098-11 or as set forth or otherwise referenced in 
superseding emissions standards sections. Volume projected to be 
produced for U.S. sale may be used in lieu of projected U.S. sales.
    (2) End-of-year reports for each evaporative family.
    (i) These end-of-year reports shall be submitted within 90 days of 
the end of the model year to: For heavy-duty engines--Director, Engine 
Programs and Compliance Divisions (6403J), For vehicles--Director, 
Vehicle Compliance and Programs Division (6405J), U.S. Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
    (ii) These reports shall indicate the model year, evaporative family 
and the actual U.S. sales volume. The manufacturer may petition the 
Administrator to allow volume produced for U.S. sale to be used in lieu 
of U.S. sales. Such petition shall be submitted within 30 days of the 
end of the model year to the Manufacturers Operations Division. For the 
petition to be granted, the manufacturer must establish to the 
satisfaction of the Administrator that production volume is functionally 
equivalent to sales volume.
    (iii) The U.S. sales volume for end-of-year reports shall be based 
on the location of the point of sale to a dealer, distributor, fleet 
operator, broker, or any

[[Page 613]]

other entity that comprises the point of first sale.
    (iv) Failure by a manufacturer to submit the end-of-year report 
within the specified time may result in certificate(s) for the 
evaporative family(ies) being voided ab initio plus any applicable civil 
penalties for failure to submit the required information to the Agency.
    (v) The information shall be organized in such a way as to allow the 
Administrator to determine compliance with the Evaporative Emission 
Testing implementation schedules of Sec. Sec.  86.096-8, 86.096-9, 
86.096-10 and 86.098-11.

[58 FR 16025, Mar. 24, 1993, as amended at 58 FR 34536, June 28, 1993; 
59 FR 16290, Apr. 6, 1994; 62 FR 54717, Oct. 21, 1997; 75 FR 22979, Apr. 
30, 2010; 79 FR 23691, Apr. 28, 2014]



Sec.  86.099-10  Emission standards for 1999 and later model year 
Otto-cycle heavy-duty engines and vehicles.

    Section 86.099-10 includes text that specifies requirements that 
differ from Sec.  86.098-10. Where a paragraph in Sec.  86.98-10 is 
identical and applicable to Sec.  86.099-10, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.098-10.''
    (a) [Reserved]. For guidance see Sec.  86.098-10.
    (b) Evaporative emissions from heavy-duty vehicles shall not exceed 
the following standards. The standards apply equally to certification 
and in-use vehicles. The spitback standard also applies to newly 
assembled vehicles. For certification vehicles only, manufacturers may 
conduct testing to quantify a level of nonfuel background emissions for 
an individual test vehicle. Such a demonstration must include a 
description of the source(s) of emissions and an estimated decay rate. 
The demonstrated level of nonfuel background emissions may be subtracted 
from emission test results from certification vehicles if approved in 
advance by the Administrator.
    (1) Hydrocarbons (for vehicles equipped with gasoline-fueled, 
natural gas-fueled or liquefied petroleum gas-fueled engines). (i) For 
vehicles with a Gross Vehicle Weight Rating of up to 14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements (gasoline-fueled 
vehicles only): 3.5 grams per test.
    (B) Running loss test (gasoline-fueled vehicles only): 0.05 grams 
per mile.
    (C) Fuel dispensing spitback test (gasoline-fueled vehicles only): 
1.0 gram per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements (gasoline-fueled 
vehicles only): 4.5 grams per test.
    (B) Running loss test (gasoline-fueled vehicles only): 0.05 grams 
per mile.
    (2) Total Hydrocarbon Equivalent (for vehicles equipped with 
methanol-fueled engines). (i) For vehicles with a Gross Vehicle Weight 
Rating of up to 14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 3.0 grams carbon per 
test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 3.5 grams carbon 
per test.
    (B) Running loss test: 0.05 grams carbon per mile.
    (C) Fuel dispensing spitback test: 1.0 gram carbon per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 4.0 grams carbon per 
test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 4.5 grams carbon 
per test.
    (B) Running loss test: 0.05 grams carbon per mile.

[[Page 614]]

    (3)(i) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 lbs, the standards set forth in paragraphs (b)(1) and (b)(2) of 
this section refer to a composite sample of evaporative emissions 
collected under the conditions and measured in accordance with the 
procedures set forth in subpart M of this part.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraphs (b)(1)(ii) and 
(b)(2)(ii) of this section refer to the manufacturer's engineering 
design evaluation using good engineering practice (a statement of which 
is required in Sec.  86.091-23(b)(4)(ii)).
    (4) All fuel vapor generated in a gasoline- or methanol-fueled 
heavy-duty vehicle during in-use operations shall be routed exclusively 
to the evaporative control system (e.g., either canister or engine 
purge). The only exception to this requirement shall be for emergencies.
    (c)-(d) [Reserved]. For guidance see Sec.  86.098-10.
    (e) The standards described in this section do not apply to Otto-
cycle medium-duty passenger vehicles (MDPVs) that are subject to 
regulation under subpart S of this part, except as specified in subpart 
S of this part. The standards described in this section also do not 
apply to Otto-cycle engines used in such MDPVs, except as specified in 
subpart S of this part. The term ``medium-duty passenger vehicle'' is 
defined in Sec.  86.1803.

[58 FR 16026, Mar. 24, 1993, as amended at 59 FR 48503, Sept. 21, 1994; 
60 FR 43888, Aug. 23, 1995; 65 FR 6848, Feb. 10, 2000]



Sec.  86.099-11  Emission standards for 1999 and later model year 
diesel heavy-duty engines and vehicles.

    (a) Exhaust emissions from new 1999 and later model year diesel 
heavy-duty engines shall not exceed the following:
    (1)(i) Hydrocarbons (for diesel engines fueled with either 
petroleum-fuel or liquefied petroleum gas). 1.3 grams per brake 
horsepower-hour (0.48 gram per megajoule), as measured under transient 
operating conditions.
    (ii) Total Hydrocarbon Equivalent (for methanol-fueled diesel 
engines). 1.3 grams per brake horsepower-hour (0.48 gram per megajoule), 
as measured under transient operating conditions.
    (iii) Nonmethane hydrocarbons (for natural gas-fueled diesel 
engines). 1.2 grams per brake horsepower-hour (0.45 gram per megajoule), 
as measured under transient operating conditions.
    (2) Carbon monoxide. (i) 15.5 grams per brake horsepower-hour (5.77 
grams per megajoule), as measured under transient operating conditions.
    (ii) 0.50 percent of exhaust gas flow at curb idle (methanol-, 
natural gas-, and liquefied petroleum gas-fueled diesel only).
    (3) Oxides of Nitrogen. (i) 4.0 grams per brake horsepower-hour 
(1.49 grams per megajoule), as measured under transient operating 
conditions.
    (ii) A manufacturer may elect to include any or all of its diesel 
HDE families in any or all of the NOX or NOX plus 
NMHC ABT programs for HDEs, within the restrictions described in Sec.  
86.098-15 as applicable. If the manufacturer elects to include engine 
families in any of these programs, the NOX FELs may not 
exceed 5.0 grams per brake horsepower-hour (1.9 grams per megajoule). 
This ceiling value applies whether credits for the family are derived 
from averaging, trading or banking programs.
    (4) Particulate. (i) For diesel engines to be used in urban buses, 
0.05 gram per brake horsepower-hour (0.019 gram per megajoule) for 
certification testing and selective enforcement audit testing, and 0.07 
gram per brake horsepower-hour (0.026 gram per megajoule) for in-use 
testing, as measured under transient operating conditions.
    (ii) For all other diesel engines only, 0.10 gram per brake 
horsepower-hour (0.037 gram per megajoule), as measured under transient 
operating conditions.
    (iii) A manufacturer may elect to include any or all of its diesel 
HDE families in any or all of the particulate ABT programs for HDEs, 
within the restrictions described in Sec.  86.098-15 as applicable. If 
the manufacturer elects to include engine families in any of these 
programs, the particulate FEL may not exceed:
    (A) For engine families intended for use in urban buses, 0.25 gram 
per brake

[[Page 615]]

horsepower-hour (0.093 gram per megajoule);
    (B) For engine families not intended for use in urban buses, 0.60 
gram per brake horsepower-hour (0.22 gram per megajoule). This ceiling 
value applies whether credits for the family are derived from averaging, 
trading or banking programs.
    (b)(1) The opacity of smoke emission from new 1999 and later model 
year diesel heavy-duty engine shall not exceed:
    (i) 20 percent during the engine acceleration mode.
    (ii) 15 percent during the engine lugging mode.
    (iii) 50 percent during the peaks in either mode.
    (2) The standards set forth in paragraph (b)(1) of this section 
refer to exhaust smoke emissions generated under the conditions set 
forth in subpart I of this part and measured and calculated in 
accordance with those procedures.
    (3) Evaporative emissions (total of non-oxygenated hydrocarbons plus 
methanol) from heavy-duty vehicles equipped with methanol-fueled diesel 
engines shall not exceed the following standards. The standards apply 
equally to certification and in-use vehicles. The spitback standard also 
applies to newly assembled vehicles.
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 3.5 grams per 
test.
    (B) Running loss test: 0.05 grams per mile.
    (C) Fuel dispensing spitback test: 1.0 gram per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 lbs:
    (A)(1) For the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 4.0 grams per test.
    (2) For the supplemental two-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 4.5 grams per 
test.
    (B) Running loss test: 0.05 grams per mile.
    (iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 lbs, the standards set forth in paragraph (b)(3) of this section 
refer to a composite sample of evaporative emissions collected under the 
conditions and measured in accordance with the procedures set forth in 
subpart M of this part. For certification vehicles only, manufacturers 
may conduct testing to quantify a level of nonfuel background emissions 
for an individual test vehicle. Such a demonstration must include a 
description of the source(s) of emissions and an estimated decay rate. 
The demonstrated level of nonfuel background emissions may be subtracted 
from emission test results from certification vehicles if approved in 
advance by the Administrator.
    (B) For vehicles with a Gross Vehicle Weight Rating of greater than 
26,000 lbs., the standards set forth in paragraph (b)(3)(ii) of this 
section refer to the manufacturer's engineering design evaluation using 
good engineering practice (a statement of which is required in Sec.  
86.091-23(b)(4)(ii)).
    (iv) All fuel vapor generated during in-use operations shall be 
routed exclusively to the evaporative control system (e.g., either 
canister or engine purge). The only exception to this requirement shall 
be for emergencies.
    (4) Evaporative emissions from 1999 and later model year heavy-duty 
vehicles equipped with natural gas-fueled or liquefied petroleum gas-
fueled heavy-duty engines shall not exceed the following standards. The 
standards apply equally to certification and in-use vehicles.
    (i) For vehicles with a Gross Vehicle Weight Rating of up to 14,000 
pounds for the full three-diurnal test sequence described in Sec.  
86.1230-96, diurnal plus hot soak measurements: 3.0 grams per test.
    (ii) For vehicles with a Gross Vehicle Weight Rating of greater than 
14,000 pounds for the full three-diurnal test sequence described in 
Sec.  86.1230-96, diurnal plus hot soak measurements: 4.0 grams per 
test.
    (iii)(A) For vehicles with a Gross Vehicle Weight Rating of up to 
26,000 pounds, the standards set forth in paragraph (b)(4) of this 
section refer to a

[[Page 616]]

composite sample of evaporative emissions collected under the conditions 
set forth in subpart M of this part and measured in accordance with 
those procedures.
    (B) For vehicles with a Gross Vehicle Weight Rating greater than 
26,000 pounds, the standards set forth in paragraphs (b)(3)(ii) and 
(b)(4)(ii) of this section refer to the manufacturer's engineering 
design evaluation using good engineering practice (a statement of which 
is required in Sec.  86.091-23(b)(4)(ii)).
    (c) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new 1999 or later model year methanol-, natural gas-
, or liquefied petroleum gas-fueled diesel, or any naturally-aspirated 
diesel heavy-duty engine. For petroleum-fueled engines only, this 
provision does not apply to engines using turbochargers, pumps, blowers, 
or superchargers for air induction.
    (d) Every manufacturer of new motor vehicle engines subject to the 
standards prescribed in this section shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicle engines in accordance with applicable procedures in 
subpart I or N of this part to ascertain that such test engines meet the 
requirements of paragraphs (a), (b), (c), and (d) of this section.

[58 FR 34537, June 28, 1993, as amended at 59 FR 48503, Sept. 21, 1994; 
60 FR 43888, Aug. 23, 1995; 62 FR 54720, Oct. 21, 1997]



 Subpart B_Emission Regulations for 1977 and Later Model Year New Light-
  Duty Vehicles and New Light-Duty Trucks and New Otto-Cycle Complete 
                  Heavy-Duty Vehicles; Test Procedures

    Source: 42 FR 32954, June 28, 1977, unless otherwise noted.



Sec.  86.101  General applicability.

    (a) General provisions. This subpart describes test procedures for 
measuring exhaust, evaporative, and refueling emissions from motor 
vehicles subject to emission standards under subpart S of this part. 
This generally includes light-duty vehicles, light-duty trucks, and 
complete heavy-duty vehicles at or below 14,000 pounds GVWR. The 
following provisions apply for all testing under this subpart:
    (1) Provisions of this subpart apply to tests performed by both the 
Administrator and manufacturers.
    (2) References in this subpart to engine families and emission 
control systems apply to durability groups and test groups as 
applicable.
    (3) Except as noted, heavy-duty vehicles are subject to all the same 
provisions of this subpart that apply to light-duty trucks.
    (4) The procedures in this subpart apply for testing vehicles 
powered by any fuel, except as specified in subpart S of this part.
    (5) For exhaust emission testing, measure emissions for all 
pollutants with an applicable emission standard.
    (6) All emission control systems designed for production vehicles 
must be functioning during testing. Maintenance to correct component 
malfunction or failure must be authorized in accordance with Sec.  
86.1834.
    (7) The test sequence for the Federal Test Procedure (FTP) includes 
steps to precondition vehicles for evaporative emission measurements; 
these steps are required for exhaust testing whether or not testing 
includes evaporative emission measurements.
    (8) Evaporative emission measurement procedures of this subpart 
include specifications for testing methanol-fueled vehicles. For 
vehicles fueled with other oxygenated fuels, use good engineering 
judgment to apply these procedures. For example, if you are testing an 
ethanol-fueled vehicle, perform diagnostics in your evaporative emission 
enclosure with ethanol and propane.
    (9) For exhaust emission testing with ethanol-gasoline blends that 
have less than 25% ethanol by volume, if you use NMHC-to-NMOG conversion 
factors instead of measuring oxygenates as described in 40 CFR 1066.635, 
the testing specifications and diagnostic requirements in this part 86 
that are specific to ethanol-gasoline blends do not apply.
    (b) Migration to 40 CFR parts 1065 and 1066. This subpart 
transitions to rely

[[Page 617]]

on the test procedure specifications in 40 CFR parts 1065 and 1066 as 
follows:
    (1) Through model year 2021, manufacturers may use the test 
procedures specified in paragraph (c) or (d) of this section or, using 
good engineering judgement, elements of both. For any EPA testing before 
model year 2022, EPA will use the manufacturer's selected procedures for 
applying acceptable speed-tolerance criteria (either Sec.  86.115-78 or 
40 CFR 1066.425(c)). For any other parameters, EPA may conduct testing 
using either of the specified procedures. As allowed under this part, 
manufacturers may use carryover data from previous model years to 
demonstrate compliance with emission standards, without regard to the 
provisions of this section.
    (2) Manufacturers must use the following procedures before model 
year 2022:
    (i) For vehicles certified to any of the Tier 3 emission standards 
specified in subpart S of this part, determine overall driver accuracy 
based on drive-cycle metrics as described in 40 CFR 1066.425(j).
    (ii) Equipment specifications and measurement procedures that are 
specific to PM emissions from 40 CFR part 1066 apply for any vehicles 
certified to the Tier 3 PM emission standards specified in subpart S of 
this part.
    (iii) Use 40 CFR 1066.635 to determine NMOG for any vehicles 
certified to the Tier 3 NMOG + NOX emission standards in 
subpart S of this part.
    (3) For model years 2022 and later, manufacturers must use the test 
procedures specified in paragraph (d) of this section. Manufacturers may 
continue to use data based on the test procedures specified in paragraph 
(c) of this section for an engine family in 2022 and later model years, 
as long as the engine family is eligible for certification with 
carryover emission data.
    (c) Interim procedures. Test vehicles as described in this subpart 
for the appropriate model year, through model year 2021, as follows:
    (1) Sections 86.106 through 86.115 set forth general testing 
specifications and equipment requirements. Sections 86.116 through 
86.126 discuss calibration methods and frequency. Sections 86.127 
through 86.145 describe procedures for measuring exhaust and evaporative 
emissions. Sections 86.146 through 86.157 lay out refueling test 
procedures. Sections 86.158 through 86.166 cover procedures related to 
the Supplemental Federal Test Procedure and testing related to air 
conditioning systems. The test procedure for measuring fuel system leaks 
is described in 40 CFR 1066.985.
    (2) Alternate equipment, procedures, and calculation methods may be 
used if shown to yield equivalent or superior results, and if approved 
in advance by the Administrator.
    (d) Long-term procedures. Test vehicles as described in 40 CFR parts 
1065 and 1066. The following requirements from this subpart also apply:
    (1) Use fuel for testing and service accumulation as specified in 
Sec.  86.113.
    (2) Perform evaporative emission tests as follows:
    (i) Use evaporative testing equipment meeting the specifications in 
Sec.  86.107. This equipment must meet calibration requirements as 
specified in Sec.  86.117.
    (ii) Generate fuel test temperature profiles as described in Sec.  
86.129-94(d).
    (iii) Follow the general provisions and driving schedules described 
in 40 CFR part 1066, subpart I. Evaporative testing consists of vehicle 
preconditioning as described in Sec.  86.132, diurnal measurement as 
described in Sec.  86.133, running loss testing as described in Sec.  
86.134, and hot soak testing as described in Sec.  86.138.
    (iv) Calculate emission results as described in Sec.  86.143.
    (3) Keep records as described in Sec.  86.142
    (4) Perform refueling emission tests, calculate emission results, 
and keep associated records as described in Sec.  86.146 through 86.157.

[79 FR 23691, Apr. 28, 2014, as amended at 80 FR 9102, Feb. 19, 2015]



Sec.  86.102  Definitions.

    The definitions in Sec.  86.1803 apply to this subpart.

[79 FR 23692, Apr. 28, 2014]



Sec.  86.103  Abbreviations.

    The abbreviations in subpart A apply to this subpart.

[45 FR 14508, Mar. 5, 1980]

[[Page 618]]



Sec.  86.104  Section numbering; construction.

    (a) The model year of initial applicability is indicated by the 
section number. The two digits following the hyphen designate the first 
model year for which a section is effective. A section remains effective 
until superseded.

    Example. Section 86.111-78 applies to the 1978 and subsequent model 
years until superseded. If a Sec.  86.111-81 is promulgated it would 
take effect beginning with the 1981 model year; Sec.  86.111-78 would 
apply to model years 1978 through 1980.

    (b) A section reference without a model year suffix refers to the 
section applicable for the appropriate model year.
    (c) Unless indicated otherwise, all provisions in this subpart apply 
to petroleum-fueled, natural gas-fueled, liquefied petroleum gas-fueled 
and methanol-fueled vehicles.

[42 FR 32954, June 28, 1977. Redesignated at 45 FR 14508, Mar. 5, 1980, 
as amended at 54 FR 14499, Apr. 11, 1989; 59 FR 48504, Sept. 21, 1994]



Sec.  86.105  Introduction; structure of subpart.

    (a) This subpart describes the equipment required and the procedures 
to follow in order to perform gaseous exhaust, particulate, and 
evaporative emission tests on light-duty vehicles and light-duty trucks. 
Subpart A of this part sets forth testing requirements and test 
intervals necessary to comply with EPA certification procedures. Not all 
emission measurement techniques described in this subpart will be 
necessary for all vehicles. Subpart A of this part defines the 
conditions under which vehicles may be exempted from measuring methane 
and/or waived from measuring particulate matter.
    (b) Three topics are addressed in this subpart. Sections 86.106 
through 86.115 set forth specifications and equipment requirements; 
Sec. Sec.  86.116 through 86.126 discuss calibration methods and 
frequency; test procedures and data requirements are listed in 
Sec. Sec.  86.127 through 86.157.

[56 FR 25760, June 5, 1991, as amended at 59 FR 16295, Apr. 6, 1994; 59 
FR 48504, Sept. 21, 1994]



Sec.  86.106-96  Equipment required; overview.

    (a) This subpart contains procedures for exhaust emission tests on 
petroleum-fueled, natural gas-fueled, liquefied petroleum gas-fueled, 
and methanol-fueled light-duty vehicles and light-duty trucks, and for 
evaporative emission tests on gasoline-fueled, natural gas-fueled, 
liquefied petroleum gas-fueled, and methanol-fueled light-duty vehicles 
and light-duty trucks. Certain items of equipment are not necessary for 
a particular test, e.g., evaporative enclosure when testing petroleum-
fueled diesel vehicles. Alternate equipment, procedures, and calculation 
methods may be used if shown to yield equivalent or superior results, 
and if approved in advance by the Administrator. Equipment required and 
specifications are as follows:
    (1) Evaporative emission tests, gasoline-fueled vehicles. The 
evaporative emission test is closely related to and connected with the 
exhaust emission test. All vehicles tested for evaporative emissions 
must undergo testing according to the test sequences described in Sec.  
86.130-96; however, the Administrator may omit measurement of exhaust 
emissions to test for evaporative emissions. The Administrator may 
truncate a test after any valid emission measurement without affecting 
the validity of the test. Further, unless the evaporative emission test 
is waived by the Administrator under Sec.  86.090-26 or Sec.  86.1810, 
as applicable, all vehicles must undergo both tests. (Petroleum-fueled 
diesel vehicles are excluded from the evaporative emission standard.) 
Section 86.107 specifies the necessary equipment.
    (2) Exhaust emission tests. All vehicles subject to this subpart are 
subject to testing for both gaseous and particulate exhaust emissions 
using the CVS concept (see Sec.  86.109), except where exemptions or 
waivers are expressly provided in subpart A of this part. Vehicles 
subject to the ``Tier 0'' (i.e., phase-out) standards described under 
subpart A of this part are exempted from testing for methane emissions. 
Otto-cycle vehicles subject to the ``Tier 0'' standards are waived from 
testing for particulates. For vehicles waived from the requirement for 
measuring particulate

[[Page 619]]

emissions, use of a dilution tunnel is not required (see Sec.  86.109). 
The CVS must be connected to the dilution tunnel if particulate emission 
sampling is required (see Sec.  86.110). Petroleum- and methanol-fueled 
diesel-cycle vehicle testing requires that a PDP-CVS or CFV-CVS with 
heat exchanger be used. (This equipment may be used with methanol-fueled 
Otto-cycle vehicles; however, particulates need not be measured for 
vehicles that are waived from the requirement). All vehicles equipped 
with evaporative canisters are preconditioned by loading the canisters 
with hydrocarbon vapors. Petroleum-fueled diesel vehicles are excluded 
from this requirement.
    (3) Fuel, analytical gas, and driving schedule specifications. Fuel 
specifications for exhaust and evaporative emission testing and for 
mileage accumulation for petroleum-fueled and methanol-fueled vehicles 
are specified in Sec.  86.113. Analytical gases are specified in Sec.  
86.114. The Urban Dynamometer Driving Schedule (UDDS), US06, and SC03 
driving schedules, for use in exhaust emission tests, and the New York 
City Cycle (NYCC), for use with the UDDS in running loss tests, are 
specified in Sec. Sec.  86.115, 86.130, 86.159, 86.160, and appendix I 
to this part.
    (b) [Reserved]

[58 FR 16026, Mar. 24, 1993, as amended at 59 FR 48504, Sept. 21, 1994; 
60 FR 43888, Aug. 23, 1995; 64 FR 23921, May 4, 1999; 79 FR 23692, Apr. 
28, 2014]



Sec.  86.107-96  Sampling and analytical systems; evaporative emissions.

    (a) Testing enclosures--(1) Diurnal emission test. The enclosure 
shall be readily sealable, rectangular in shape, with space for 
personnel access to all sides of the vehicle. When sealed, the enclosure 
shall be gas tight in accordance with Sec.  86.117-96. Interior surfaces 
must be impermeable and nonreactive to hydrocarbons (and to methanol, if 
the enclosure is used for methanol-fueled vehicles). The temperature 
conditioning system shall be capable of controlling the internal 
enclosure air temperature to follow the prescribed temperature versus 
time cycle as specified in Sec.  86.133-96 and appendix II of this part, 
within an instantaneous tolerance of 3.0 [deg]F of 
the nominal temperature versus time profile throughout the test, and an 
average tolerance of 2.0 [deg]F over the duration of the test (where the 
average is calculated using the absolute value of each measured 
deviation). The control system shall be tuned to provide a smooth 
temperature pattern that has a minimum of overshoot, hunting, and 
instability about the desired long-term ambient temperature profile. 
Interior surface temperatures shall not be less than 40 [deg]F at any 
time during the diurnal emission test. To accommodate the volume changes 
due to enclosure temperature changes, either a variable-volume or fixed-
volume enclosure may be used for diurnal emission testing:
    (i) Variable-volume enclosure. The variable-volume enclosure expands 
and contracts in response to the temperature change of the air mass in 
the enclosure. Two potential means of accommodating the internal volume 
changes are movable panel(s), or a bellows design, in which impermeable 
bag(s) inside the enclosure expand and contract in response to internal 
pressure changes by exchanging air from outside the enclosure. Any 
design for volume accommodation must maintain the integrity of the 
enclosure as specified in Sec.  86.117-96 over the specified temperature 
range. Any method of volume accommodation shall limit the differential 
between the enclosure internal pressure and the barometric pressure to a 
maximum value of 2.0 inches of water. The 
enclosure shall be capable of latching to a fixed volume. A variable-
volume enclosure must be capable of accommodating a 7 percent change from its ``nominal volume'' (see Sec.  
86.117-96(b)), accounting for temperature and barometric pressure 
variation during testing.
    (ii) Fixed-volume enclosure. The fixed-volume enclosure shall be 
constructed with rigid panels that maintain a fixed enclosure volume, 
and meet the following requirements.
    (A) The enclosure shall be equipped with a mechanism to maintain a 
fixed internal air volume. This may be accomplished either by 
withdrawing air at a constant rate and providing makeup air as needed, 
or by reversing the flow of air into and out of the enclosure in 
response to rising or falling

[[Page 620]]

temperatures. If inlet air is added continuously throughout the test, it 
should be filtered with activated carbon to provide a relatively low and 
constant hydrocarbon level. Any method of volume accommodation shall 
maintain the differential between the enclosure internal pressure and 
the barometric pressure to a maximum value of 2.0 
inches of water.
    (B) The equipment shall be capable of measuring the mass of 
hydrocarbon and methanol (if the enclosure is used for methanol-fueled 
vehicles) in the inlet and outlet flow streams with a resolution of 0.01 
gram per hour. A bag sampling system may be used to collect a 
proportional sample of the air withdrawn from and admitted to the 
enclosure. Alternatively, the inlet and outlet flow streams may be 
continuously analyzed using an on-line FID analyzer and integrated with 
the flow measurements to provide a continuous record of the mass 
hydrocarbon and methanol removal.
    (2) Running loss test. The enclosure shall be readily sealable, 
rectangular in shape, with space for personnel access to all sides of 
the vehicle. When sealed, the enclosure shall be gas tight in accordance 
with Sec.  86.117-96. The enclosure may be equipped with a personnel 
door, provided that the enclosure can still meet the requirements of 
Sec.  86.117-96 with the door installed. Interior surfaces must be 
impermeable and nonreactive to hydrocarbons and to methanol (if the 
enclosure is used for methanol-fueled vehicles). Interior surface 
temperatures shall not be less than 40 [deg]F. If a running loss 
enclosure meets all the requirements of paragraph (a)(1) of this 
section, it may be used as a diurnal evaporative emission enclosure. The 
enclosure must contain a dynamometer that meets the requirements of 
Sec.  86.108. Provisions shall be made to remove exhaust gases from the 
enclosure. During the running loss test, ambient temperatures must be 
maintained at 955 [deg]F (952 [deg]F on average). An air or oxygen cylinder with an 
attached self-contained breathing apparatus may be provided for the 
vehicle operator. The air required for vehicle operation shall be 
provided by one of the following methods:
    (i) The running loss enclosure may be equipped to supply air to the 
vehicle, at a temperature of 955 [deg]F, from 
sources outside of the running loss enclosure directly into the 
operating engine's air intake system. Supplemental air requirements 
(e.g., for an air pump) shall be supplied by drawing air from the engine 
intake source.
    (ii) If it is shown to yield equivalent or superior results, the 
running loss enclosure may be designed with an air makeup system that 
brings outside air into the enclosure to accommodate the aspiration 
needs of the engine and any auxiliary devices. The makeup air shall be 
monitored to establish the background hydrocarbon levels (or hydrocarbon 
and methanol, levels, if applicable) of the makeup air. A filter may be 
used to provide dry air with a stable concentration of background 
hydrocarbon. The makeup-air vent shall be readily sealable for 
calibration of the enclosure and other purposes. For calculation of 
running loss emissions, it may be assumed that the hydrocarbon and 
methanol concentration in the air consumed by the vehicle is the same as 
that of the rest of the air in the enclosure.
    (3) Hot soak test. The hot soak test may be conducted by holding the 
vehicle in an enclosure that meets the requirements for either diurnal 
emission or running loss tests. The enclosure shall be configured to 
provide an internal enclosure ambient temperature of 9510 [deg]F for the first 5 minutes, and 955 [deg]F (952 [deg]F on average) 
for the remainder of the hot soak test.
    (i) If the hot soak test is conducted in the same enclosure as the 
immediately preceding running loss test, interior surface temperatures 
shall not be below 70 [deg]F for the last 55 minutes of the hot soak 
test.
    (ii) If the hot soak test is not conducted in the same enclosure as 
the immediately preceding running loss test, interior surface 
temperatures shall not be below 70 [deg]F for the duration of the hot 
soak test.
    (b) Evaporative emission hydrocarbon and methanol analyzers. (1) For 
gasoline fueled, natural gas-fueled, liquefied petroleum gas-fueled and 
methanol-fueled vehicles a hydrocarbon analyzer utilizing the hydrogen 
flame ionization

[[Page 621]]

principle (FID) shall be used to monitor the atmosphere within the 
enclosure (a heated FID (HFID)(235[deg]15 [deg]F 
(1138 [deg]C)) is recommended for methanol-fueled 
vehicles). For natural gas-fueled vehicles, the FID may be calibrated 
using methane, or if calibrated using propane the FID response to 
methane shall be determined and applied to the FID hydrocarbon reading. 
Provided evaporative emission results are not effected, a probe may be 
used to detect or verify hydrocarbon sources during a running loss test. 
Instrument bypass flow may be returned to the enclosure. The FID shall 
have a response time to 90 percent of final reading of less than 1.5 
seconds.
    (2) For methanol-fueled vehicles, a methanol sampling and analyzing 
system is required in addition to the FID analyzer. The methanol 
sampling equipment shall consist of impingers for collecting the 
methanol sample and appropriate equipment for drawing the sample through 
the impingers. The analytical equipment shall consist of a gas 
chromatograph equipped with a flame ionization detector.
    (3) The methanol sampling system shall be designed such that, if a 
test vehicle emitted the maximum allowable level of methanol (based on 
all applicable standards) during any phase of the test, the measured 
concentration in the primary impinger would exceed either 25 mg/l or a 
concentration equal to 25 times the limit of detection for the GC 
analyzer, and such that the primary impinger collects at least 90 
percent of the analyte in the samples. The remaining analyte shall be 
collected by the secondary impinger. This requirement does not apply to 
dilution air samples, since they do not require secondary impingers, or 
to samples in which the concentrations approach the limit of detection. 
The provisions of this paragraph apply to the design of sampling 
systems, not to individual tests.
    (c) Evaporative emission hydrocarbon and methanol data recording 
system. (1) The electrical output of the FID used for measuring 
hydrocarbons (or hydrocarbons plus methanol, as appropriate) shall be 
recorded at least at the initiation and termination of each running loss 
and hot soak test, and at least at the initiation and termination of the 
enclosure sampling period(s) for the diurnal emission test, as described 
in Sec.  86.133. The recording may be taken by means of a strip chart 
potentiometric recorder, by use of an on-line computer system or other 
suitable means. In any case, the recording system must have operational 
characteristics (signal-to-noise ratio, speed of response, etc.) 
equivalent to or better than those of the signal source being recorded, 
and must provide a permanent record of results. The record shall show a 
positive indication of the initiation and completion of each hot soak, 
running loss, or diurnal emission test (including initiation and 
completion of sampling period(s)), along with the time elapsed during 
each soak.
    (2) For the methanol sample, permanent records shall be made of the 
following: the volumes of deionized water introduced into each impinger, 
the rate and time of sample collection, the volumes of each sample 
introduced into the gas chromatograph, the flow rate of carrier gas 
through the column, the column temperature, and the chromatogram of the 
analyzed sample.
    (d) Fuel temperature control system. Fuel temperatures of the test 
vehicle shall be controlled, as specified in Sec.  86.134(g)(1)(xv), 
with the following combination of fans. The control system shall be 
tuned and operated to provide a smooth and continuous fuel temperature 
profile that is representative of the on-road temperature profile. The 
running loss test configuration should be designed to avoid heating or 
cooling the fuel tank's vapor space in a way that would cause vapor 
temperature behavior to be unrepresentative of the vehicle's on-road 
profile.
    (1) A vehicle cooling fan shall discharge air to the front of the 
vehicle. The fan shall be a road-speed modulated fan that is controlled 
to a discharge velocity that follows the dynamometer roll speed, at 
least up to speeds of 30 mph, throughout the driving cycle. If a warning 
light or gauge indicates that the vehicle's engine coolant has 
overheated, subsequent test runs on the vehicle must include a vehicle 
cooling fan that follows the dynamometer roll speed at all speeds 
throughout the test cycle. The fan may

[[Page 622]]

direct airflow to both the vehicle radiator air inlet(s) and the vehicle 
underbody.
    (2) An additional fan may be used to discharge airflow from the 
front of the vehicle directly to the vehicle underbody to control fuel 
temperatures. Such a fan shall provide a total discharge airflow not to 
exceed 8,000 cfm.
    (3) Additional fans may be used to route heating or cooling air 
directly at the bottom of the vehicle's fuel tank. The air supplied to 
the tank shall be between 85[deg] and 160 [deg]F, with a total discharge 
airflow not to exceed 4,000 cfm. For exceptional circumstances, 
manufacturers may direct up to 6,000 cfm at the bottom of the fuel tank 
with the advance approval of the Administrator.
    (4) Direct fuel heating may be needed for canister preconditioning, 
as specified in Sec.  86.132(j)(2). Also, under exceptional 
circumstances in which airflow alone is insufficient to control fuel 
temperatures during the running loss test, direct fuel tank heating may 
be used (see Sec.  86.134-96(g)(1)(xv)). The heating system must not 
cause hot spots on the tank wetted surface that could cause local 
overheating of the fuel. Heat must not be applied directly to the tank's 
vapor space, nor to the liquid-vapor interface.
    (e) [Reserved]
    (f) Pressure recording system. A strip chart potentiometric 
recorder, an on-line computer system, or other suitable means, shall be 
used to record the enclosure gage pressure for any testing in an 
enclosure, as well as the vehicle's fuel tank pressure during the 
running loss test and the outdoor driving procedure specified in Sec.  
86.129-94(d). Fuel tank pressure measurement and recording equipment are 
optional during the running loss test. The recording system shall record 
each pressure at least once every minute. The recording system shall be 
capable of resolving time to 15 s and capable of 
resolving pressure to 0.1 inches of water. The 
pressure recording system (recorder and sensor) shall have an accuracy 
of 1.0 inch of water. The recorder (data 
processor) shall have a time accuracy of 15 s and 
a precision of 15 s. The pressure transducer shall 
be installed to measure the pressure in the vapor space of the fuel 
tank.
    (g) Purge blower. One or more portable or fixed blowers shall be 
used to purge the enclosure. The blowers shall have sufficient flow 
capacity to reduce the enclosure hydrocarbon and/or methanol 
concentration from the test level to the ambient level between tests. 
Actual flow capacity will depend upon the time available between tests.
    (h) Mixing blower. Blowers or fans shall be used to mix the 
enclosure contents during evaporative emission testing. The inlets and 
outlets of the air circulation blower(s) shall be configured to provide 
a well dispersed air circulation pattern that produces effective 
internal mixing and avoids significant temperature or hydrocarbon 
stratification. Maintenance of uniform concentrations throughout the 
enclosure is important to the accuracy of testing.
    (1) Diurnal emission test. Blowers or fans shall have a capacity of 
0.80.2 cfm per cubic foot of the nominal enclosure 
volume for mixing in the enclosure. Additional fans may be used to 
maintain a minimum wind speed of 5 mph (8 km/h) under the fuel tank of 
the test vehicle.
    (2) Running loss test. Blowers or fans shall have a total capacity 
of at least 1.0 cfm per cubic foot of the nominal enclosure volume.
    (3) Hot soak test. Blowers or fans must have a capacity of 0.80.2 cfm per cubic foot of the nominal enclosure volume. 
Circulated air shall not be aimed directly at the vehicle.
    (i) Point-source running loss measurement facility. Some system 
requirements pertain specifically to running loss testing by the point-
source method, in which emissions from potential sources are collected 
and routed to a sampling system. Emissions are sampled with the same 
equipment and techniques as for exhaust emission measurement. The test 
environment must contain a dynamometer that meets the requirements of 
Sec.  86.108. During the running loss test, ambient temperatures must be 
maintained at 955 [deg]F (952 [deg]F on average). An air or oxygen cylinder with an 
attached self-contained breathing apparatus may be provided for the 
vehicle operator.

[[Page 623]]

    (1) The running loss vapor vent collection system shall be 
configured to collect all running loss emissions from each of the 
discrete point sources that function as vehicle fuel system vapor vents, 
and transport the collected vapor emissions to a CFV- or PDP-based 
dilution and measurement system. The collection system shall consist of 
a collector at each vehicle vapor vent, lengths of heated sample line 
connecting each collector to the inlet of the heated sample pump, and 
lengths of heated sample line connecting the outlet of the heated sample 
pump to the inlet of the running loss fuel vapor sampling system. Up to 
3 feet of unheated line connecting each of the vapor collectors to the 
heated sample lines shall be allowed. Each heated sample pump and its 
associated sample lines shall be maintained at a temperature between 175 
[deg]F and 200 [deg]F to prevent condensation of fuel vapor in the 
sample lines. The heated sample pump(s) and its associated flow controls 
shall be configured and operated to draw a flow of ambient air into each 
collector at a flow rate of at least 0.67 cfm. The flow controls on each 
heated sampling system shall include an indicating flow meter that 
provides an alarm output to the data recording system if the flow rate 
drops below 0.67 cfm by more than 5 percent. The collector inlet for 
each discrete vapor vent shall be placed in proximity to the vent as 
necessary to capture any fuel vapor emissions without significantly 
affecting flow or pressure of the normal action of the vent. The 
collector inlets shall be designed to interface with the configuration 
and orientation of each specific vapor vent. For vapor vents that 
terminate in a tube or hose barb, a short length of tubing of an inside 
diameter larger throughout its length than the inside diameter of the 
vent outlet may be used to extend the vent into the mouth of the 
collector. For those vapor vent designs that are not compatible with 
such collector configurations, the vehicle manufacturer shall supply a 
collector that is configured to interface with the vapor vent design and 
that terminates in a fitting that is capable of capturing all vapor 
emitted from the vent. The Administrator may test for running losses by 
the point-source method without heating sample lines or pumps.
    (2) The running loss fuel vapor sampling system shall be a CFV- or 
PDP-based dilution and measurement system that further dilutes the 
running loss fuel vapors collected by the vapor vent collection 
system(s) with ambient air, collects continuously proportional samples 
of the diluted running loss vapors and dilution air in sample bags, and 
measures the total dilute flow through the sampling system over each 
test interval. In practice, the system shall be configured and operated 
in a manner that is directly analogous to an exhaust emissions constant 
volume sampling system, except that the input flow to the system is the 
flow from the running loss vapor vent collection system(s) instead of 
vehicle exhaust flow. The system shall be configured and operated to 
meet the following requirements:
    (i) The running loss fuel vapor sampling system shall be designed to 
measure the true mass of fuel vapor emissions collected by the running 
loss vapor vent collection system from the specified fuel vapor vents. 
The total volume of the mixture of running loss emissions and dilution 
air shall be measured and a continuously proportioned sample of volume 
shall be collected for analysis. Mass emissions shall be determined from 
the sample concentration and total flow over the test period.
    (ii) The PDP-CVS shall consist of a dilution air filter and mixing 
assembly, heat exchanger, positive-displacement pump, sampling system, 
and associated valves, pressure and temperature sensors. The PDP-CVS 
shall conform to the following requirements:
    (A) The gas mixture temperature, measured at a point immediately 
ahead of the positive-displacement pump, shall be within 10 [deg]F of the designed operating temperature at the 
start of the test. The gas mixture temperature variation from its value 
at the start of the test shall be limited to 10 
[deg]F during the entire test. The temperature measuring system shall 
have an accuracy and precision of 2 [deg]F.
    (B) The pressure gauges shall have an accuracy and precision of 
1.6 inches of water (0.4 
kPa).

[[Page 624]]

    (C) The flow capacity of the CVS shall not exceed 350 cfm.
    (D) Sample collection bags for dilution air and running loss fuel 
vapor samples shall be sufficient size so as not to impede sample flow.
    (iii) The CFV sample system shall consist of a dilution air filter 
and mixing assembly, a sampling venturi, a critical flow venturi, a 
sampling system and assorted valves, and pressure and temperature 
sensors. The CFV sample system shall conform to the following 
requirements:
    (A) The temperature measuring system shall have an accuracy and 
precision of 2 [deg]F and a response time of 0.100 
seconds of 62.5 percent of a temperature change (as measured in hot 
silicone oil).
    (B) The pressure measuring system shall have an accuracy and 
precision of 1.6 inches of water (0.4 kPa).
    (C) The flow capacity of the CVS shall not exceed 350 cfm.
    (D) Sample collection bags for dilution air and running loss fuel 
vapor samples shall be of sufficient size so as not to impede sample 
flow.
    (3) An on-line computer system or strip-chart recorder shall be used 
to record the following additional parameters during the running loss 
test sequence:
    (i) CFV (if used) inlet temperature and pressure.
    (ii) PDP (if used) inlet temperature, pressure, and differential 
pressure.

[58 FR 16027, Mar. 24, 1993, as amended at 59 FR 48505, Sept. 21, 1994; 
60 FR 34335, June 30, 1995; 60 FR 43888, Aug. 23, 1995; 79 FR 23692, 
Apr. 28, 2014]



Sec.  86.107-98  Sampling and analytical system.

    Section 86.107-98 includes text that specifies requirements that 
differ from Sec.  86.107-96. Where a paragraph in Sec.  86.107-96 is 
identical and applicable to Sec.  86.107-98, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.107-96.'' Where a corresponding paragraph of 
Sec.  86.107-96 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a)(1)-(a)(3) [Reserved]. For guidance see Sec.  86.107-96.
    (a)(4) Refueling emissions test. The requirements detailed in Sec.  
86.107-90 (a)(1) shall apply. Alternatively, an enclosure meeting the 
specifications detailed in Sec.  86.107-96 (a)(1), (2), or (3) may be 
used if approved in advance by the Administrator. In addition, the 
enclosure shall have one or more access ports leading to flexible, 
automatic sealing boots, in the wall(s) of the enclosure. The function 
of the access port(s) and boots shall be to allow fueling of the test 
vehicle from a fuel nozzle and hose located outside of the enclosure, 
with only the spout of the nozzle passing through the automatic sealing 
opening of the boot during fueling. There shall be no loss in the gas 
tightness of the enclosure at the opening of the boot either when the 
nozzle is inserted or when the nozzle is not inserted.
    (b)-(d) [Reserved]. For guidance see Sec.  86.107-96.
    (e) Temperature recording system--(1) For all emission testing. A 
strip chart potentiometric recorder, an on-line computer system, or 
other suitable means shall be used to record enclosure ambient 
temperature during all evaporative emission test segments, as well as 
vehicle fuel tank temperature during the running loss test. The 
recording system shall record each temperature at least once every 
minute. The recording system shall be capable of resolving time to 
15 s and capable of resolving temperature to 
0.75 [deg]F (0.42 [deg]C). 
The temperature recording system (recorder and sensor) shall have an 
accuracy of 3 [deg]F (1.7 
[deg]C). The recorder (data processor) shall have a time accuracy of 
15 s and a precision of 15 
s. Enclosures shall be equipped with two ambient temperature sensors, 
connected to provide one average output, located 3 feet above the floor 
at the approximate mid-length of each side wall of the enclosure and 
within 3 to 12 inches of each side wall. For diurnal emission testing, 
an additional temperature sensor shall be located underneath the vehicle 
to provide a temperature measurement representative of the temperature 
of the air under the fuel tank. For running loss testing, an ambient 
temperature sensor shall be located at the inlet to the fan that 
provides engine cooling. Manufacturers shall arrange that vehicles 
furnished

[[Page 625]]

for testing at federal certification facilities be equipped with 
temperature sensors for measurement of fuel tank temperature. Vehicles 
shall be equipped with 2 temperature sensors installed to provide an 
average liquid fuel temperature. The temperature sensors shall be placed 
to measure the temperature at the mid-volume of the liquid fuel at a 
fill level of 40 percent of nominal tank capacity. An additional 
temperature sensor may be placed to measure vapor temperatures 
approximately at the mid-volume of the vapor space, though measurement 
of vapor temperatures is optional during the running loss test. In-tank 
temperature sensors are not required for the supplemental two-diurnal 
test sequence specified in Sec.  86.130-96 or for the refueling test 
specified in Sec.  86.151-98.
    (2) Refueling emission testing only. In addition to the enclosure 
ambient temperature recording system described in paragraph (e)(1) of 
this section, strip chart recorder(s) or automatic data processor shall 
be used to record vehicle soak area ambient temperature and dispensed 
fuel temperature at the nozzle during the test. The temperature 
recorder(s) or data processor shall record each temperature at least 
once every 20 seconds (the soak area ambient temperature recorder may be 
a continuous recording system). The recording system shall be capable of 
resolving time to 15s and be capable of resolving 
temperature to 0.75 [deg]F (0.42 [deg]C).
    (f)-(h)(3) [Reserved]. For guidance see Sec.  86.107-96.
    (h)(4) Refueling emission test. Blowers or fans must have a capacity 
of 0.80.2 cfm per cubic foot of the nominal 
enclosure volume. Circulated air shall not be aimed directly at the 
vehicle.
    (5) Spilled fuel mixing blower; refueling emission test. An 
explosion-proof blower of 100-200 ft\3\/min (2.8-5.7 m\3\/min) capacity 
is required to enhance mixing of vapors from spilled fuel through the 
enclosure atmosphere during tests. The discharge from this blower shall 
be directed toward the region of the enclosure floor where fuel spillage 
during fueling may occur.
    (i) [Reserved]. For guidance see Sec.  86.107-96.
    (j) Refueling equipment. The refueling equipment shall consist of a 
fuel delivery system with temperature control equipment, fuel flow 
safety switch, dispensing pump, hose, nozzle and a meter to measure the 
dispensed fuel volume. The dispensing nozzle shall be a commercial 
model, not equipped with vapor recovery hardware. A fuel recirculation 
system may be utilized to avoid trapping of unheated fuel in the hose. 
The fuel delivery system must be capable of delivering fuel at 671.5 [deg]F (19.40.8 [deg]C) and a 
constant flow rate between 4.2 and 9.8 gal/min (15.9 and 37.1 liter/min) 
with a tolerance of 0.3 gal/min (1.1 liter/min) during the refueling emissions 
measurement phase of the test. The accuracy of the meter for measuring 
the dispensed fuel volume shall be 2 percent at 
the test flow rate.

[59 FR 16295, Apr. 6, 1994, as amended at 60 FR 43890, Aug. 23, 1995]



Sec.  86.108-00  Dynamometer.

    (a) The dynamometer shall simulate the road load force and inertia 
specified for the vehicle being tested, and shall determine the distance 
traveled during each phase of the test procedure.
    (b) Two types of dynamometer roll configurations are currently 
approved by the Administrator:
    (1) A small twin-roll dynamometer that has a nominal roll diameter 
of 8.65 inches and a nominal roll spacing of 17 inches; and
    (2)(i) An electric dynamometer that has a single roll with a nominal 
diameter of 48 inches (1.20 to 1.25 meters).
    (ii)(A) The dynamometer must be capable of dynamically controlling 
inertia load during the US06 test cycle as a function of a vehicle 
throttle position signal if a manufacturer desires using the following 
test option. Any time the duration of throttle operation greater than or 
equal to 85% of wide open throttle (WOT) is greater than or equal to 
eight seconds, the test inertia load may be adjusted during any of five 
EPA specified acceleration events by an amount of load that will 
eliminate additional throttle operation greater than or equal to 85% of 
WOT.

[[Page 626]]

    (B)(1) The specific US06 schedule accelerations time periods where 
inertia load adjustments may be applied are:
    (i) 49 through 69 seconds;
    (ii) 83 through 97 seconds;
    (iii) 135 through 165 seconds;
    (iv) 315 through 335 seconds; and
    (v) 568 through 583 seconds.
    (2) During these five time intervals when inertia load adjustment is 
occurring, inertia load adjustment is discontinued when throttle 
operation is less than 85% of WOT or at the end of the specified time 
interval.
    (C) Each type of generic application for implementing this concept 
must receive the Administrator's approval before a manufacturer may use 
these inertia adjustments for official US06 schedule certification 
tests.
    (c) Other dynamometer configurations may be used for testing if it 
can be demonstrated that the simulated road load power and inertia are 
equivalent, and if approved in advance by the Administrator.
    (d) An electric dynamometer meeting the requirements of paragraph 
(b)(2) of this section, or a dynamometer approved as equivalent under 
paragraph (c) of this section, must be used for all types of emission 
testing in the following situations.
    (1)(i) Gasoline vehicles which are part of an engine family which is 
designated to meet the phase-in of SFTP compliance required under the 
implementation schedule of table A00-1 of Sec.  86.000-08, or table A00-
3, or table A00-5 of Sec.  86.000-09.
    (ii) Diesel LDVs and LDT1s which are part of an engine family which 
is designated to meet the phase-in of SFTP compliance required under the 
implementation schedule of table A00-1 of Sec.  86.000-08, or table A00-
3, or table A00-5 of Sec.  86.000-09.
    (2) Starting with the 2002 model year, any light-duty vehicle or 
light light-duty truck which uses any regulated fuel.
    (3) Starting with the 2004 model year, any heavy light-duty truck 
which uses any regulated fuel.

[61 FR 54890, Oct. 22, 1996]



Sec.  86.109-94  Exhaust gas sampling system; Otto-cycle vehicles 
not requiring particulate emission measurements.

    (a)(1) General. The exhaust gas sampling system described in this 
paragraph is designed to measure the true mass of gaseous emissions in 
the exhaust of either Otto-cycle light-duty vehicles or light-duty 
trucks which are waived from requirements for the measurement of 
particulate emissions. In the CVS concept of measuring mass emissions, 
two conditions must be satisfied: the total volume of the mixture of 
exhaust and dilution air must be measured, and a continuously 
proportioned volume of sample must be collected for analysis. Mass 
emissions are determined from the sample concentration and total flow 
over the test period.
    (2) Vehicle tailpipe to CVS Duct. For methanol-fueled vehicles, 
cooling of the exhaust gases in the duct connecting the vehicle tailpipe 
to the CVS shall be minimized. This may be accomplished by:
    (i) Using a duct of unrestricted length maintained at a temperature 
above the maximum dew point of the exhaust, but below 250 [deg]F (121 
[deg]C); heating and possibly cooling capabilities are required; or
    (ii) Using a short duct (up to 12 feet long) constructed of smooth 
wall pipe with a minimum of flexible sections, maintained at a 
temperature above the maximum dew point of the exhaust, but below 250 
[deg]F (121 [deg]C), prior to the test and during the 10 minute hot soak 
segment and uninsulated during the test (insulation may remain in place 
and/or heating may occur during testing provided maximum temperature is 
not exceeded); or
    (iii) Using smooth wall duct less than five feet long with no 
required heating. A maximum of two short flexible connectors are allowed 
under this option; or
    (iv) Omitting the duct and performing the exhaust gas dilution 
function at the vehicle tailpipe exit.
    (3) Positive displacement pump. The Positive Displacement Pump-
Constant Volume Sampler (PDP-CVS), Figure B94-1 satisfies the first 
condition by metering at a constant temperature and pressure through the 
pump. The

[[Page 627]]

total volume is measured by counting the revolutions made by the 
calibrated positive displacement pump. The proportional samples for the 
bag sample, and for methanol-fueled vehicles, the methanol sample 
(Figure B94-2) and the formaldehyde sample (Figure B94-3), are achieved 
by sampling at a constant flow rate. For methanol-fueled vehicles, the 
sample lines for the methanol and formaldehyde samples are heated to 
prevent condensation. The temperature of the sample lines shall be more 
than 5 [deg]F (3 [deg]C) above the maximum dew point of the sample, but 
below 250 [deg]F (121 [deg]C). (Note: For 1990 through 1994 model year 
methanol-fueled vehicles, methanol and formaldehyde sampling may be 
omitted provided the bag sample (hydrocarbons and methanol) is analyzed 
using a HFID calibrated with methanol.)

[[Page 628]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.145


[[Page 629]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.146


[[Page 630]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.147

    (4) Critical flow venturi. The operation of the Critical Flow 
Venturi-Constant Volume Sampler (CFV-CVS) sample system, Figure B94-4, 
is based upon the principles of fluid dynamics associated with critical 
flow. Proportional sampling throughout temperature excursions is 
maintained by use of small

[[Page 631]]

CFVs in the sample lines (for methanol-fueled vehicles, one line 
supplies sample for the bag sample, another line supplies sample for the 
methanol sample, and a third line supplies sample for the formaldehyde 
sample.) The methanol and formaldehyde sample lines are heated to 
prevent condensation. The temperature of the sample lines shall be more 
than 5 [deg]F (3 [deg]C) above the maximum dew point of the sample, but 
below 250 [deg]F (121 [deg]C). Care should be taken to ensure that the 
CFVs of the sample probes are not heated since heating of the CFVs would 
cause loss of proportionality. The variable mixture flow rate is 
maintained at sonic velocity, is inversely proportional to the square 
root of the gas temperature, and is computed continuously. Since the 
pressure and temperature are the same at all venturi inlets, the sample 
volume is proportional to the total volume. (Note: For 1990 through 1994 
model year methanol-fueled vehicles, methanol and formaldehyde sampling 
may be omitted provided the bag sample (hydrocarbons and methanol) is 
analyzed using a HFID calibrated with methanol.)

[[Page 632]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.148

    (5) Electronic flow control. The Critical Flow Venturi-Electronic 
Flow Control-Constant Volume Sampler (CFV-EFC-CVS) system is identical 
to the CFV-CVS system described in paragraphs (a)(4) and (c) of this 
section, except that it maintains proportional sampling for methanol and 
formaldehyde by measuring the CVS flow rate, and electronically 
controlling sample flow rates. For methanol-fueled vehicles, the samples 
lines for the methanol and formaldehyde samples are heated to prevent 
condensation. The temperature of the sample lines shall be more than 5 
[deg]F (3 [deg]C) above the maximum dew

[[Page 633]]

point of the sample, but below 250 [deg]F (121 [deg]C).
    (6) Other systems. Other sampling systems may be used if shown to 
yield equivalent or superior results, and if approved in advance by the 
Administrator.
    (b) Component description, PDP-CVS. The PDP-CVS, Figure B94-1, 
consists of a dilution air filter and mixing assembly, heat exchanger, 
positive displacement pump, sampling systems (see Figure B94-2 for 
methanol sampling system and Figure B94-3 for formaldehyde sampling 
system) sampling lines which are heated to a temperature that is more 
than 5 [deg]F (3 [deg]C) above the maximum dew point of the sample, but 
below 250 [deg]F (121 [deg]C) in the case of the methanol-fueled 
vehicles (heating of the sample lines may be omitted, provided the 
methanol and formaldehyde sample collection systems are close coupled to 
the probes thereby preventing loss of sample due to cooling and 
resulting condensation in the sample lines), and associated valves, 
pressure and temperature sensors. The PDP-CVS shall conform to the 
following requirements:
    (1) Static pressure variations at the tailpipe(s) of the vehicle 
shall remain within 5 inches of water (1.2 kPa) of 
the static pressure variations measured during a dynamometer driving 
cycle with no connection to the tailpipe(s). (Sampling systems capable 
of maintaining the static pressure to within 1 
inch of water (0.25 kPa) will be used by the Administrator if a written 
request substantiates the need for this closer tolerance.)
    (2) The gas mixture temperature, measured at a point immediately 
ahead of the positive displacement pump, shall be within 10 [deg]F (5.6 [deg]C) of the 
designed operating temperature at the start of the test. The gas mixture 
temperature variation from its value at the start of the test shall be 
limited to 10 [deg]F (5.6 
[deg]C) during the entire test. The temperature measuring system shall 
have an accuracy and precision of 2 [deg]F (1.1 
[deg]C).
    (3) The pressure gauges shall have an accuracy and precision of 
1.6 inches of water (0.4 kPa).
    (4) The flow capacity of the CVS shall be large enough to completely 
eliminate water condensation in the dilution and sampling systems. (300 
to 350 cfm (0.142 to 0.165 m\3\/s) is sufficient for most petroleum-
fueled vehicles. Higher flow rates are required for methanol-fueled 
vehicles and may be required for natural gas-fueled and liquefied 
petroleum gas-fueled vehicles. Procedures for determining CVS flow rates 
are detailed in ``Calculation of Emissions and Fuel Economy When Using 
Alternative Fuels,'' EPA 460/3-83-009.) (Copies may be obtained from 
U.S. Department of Commerce, NTIS, Springfield, Virginia 22161; order 
PB84104702.) Dehumidifying the dilution air before entering the CVS is 
allowed. Hearing the dilution air is also allowed, provided:
    (i) The air (or air plus exhaust gas) temperature does not exceed 
250 [deg]F.
    (ii) Calculation of the CVS flow rate necessary to prevent water 
condensation is based on the lowest temperature encountered in the CVS 
prior to sampling. (It is recommended that the CVS system be insulated 
when heated dilution air is used.)
    (iii) The dilution ratio is sufficiently high to prevent 
condensation in bag samples as they cool to room temperature.
    (5) Sample collection bags for dilution air and exhaust samples 
shall be of sufficient size so as not to impede sample flow. A single 
dilution air sample, covering the total test period, may be collected 
for the determination of methanol and formaldehyde background (methanol-
fueled vehicles).
    (6) The methanol sample collection system and the formaldehyde 
sample collection system shall each be of sufficient capacity so as to 
collect samples of adequate size for analysis without significant impact 
on the volume of dilute exhaust passing through the PDP. The systems 
shall also comply with the following requirements that apply to the 
design of the systems, not to individual tests.
    (i) The methanol system shall be designed such that, if a test 
vehicle emitted the maximum allowable level of methanol (based on all 
applicable standards) during the first phase of the test, the measured 
concentration in the primary impinger would exceed either 25 mg/l or a 
concentration equal to 25 times the limit of detection for the

[[Page 634]]

GC analyzer. Sampling systems for all phases shall be identical.
    (ii) The formaldehyde system shall be designed such that, if a test 
vehicle emitted formaldehyde at a rate equal to twenty percent of the 
maximum allowable level of NMHCE (i.e., 0.05 g/mi for a 0.25 g/mi NMHCE 
standard), or the maximum formaldehyde level allowed by a specific 
formaldehyde standard, whichever is less, during the first phase of the 
test, the concentration of formaldehyde in the DNPH solution of the 
primary impinger, or solution resulting from the extraction of the DNPH 
cartridge, shall exceed either 2.5 mg/l or a concentration equal to 25 
times the limit of detection for the HPLC analyzer. Sampling systems for 
all phases shall be identical.
    (iii) The methanol and formaldehyde impinger systems shall be 
designed such that the primary impinger collects at least 90 percent of 
the analyte in the samples. The remaining analyte shall be collected by 
the secondary impinger. This requirement does not apply to dilution air 
samples, since they do not require secondary impingers, or to samples in 
which the concentrations approach the limit of detection.
    (c) Component description, CFV-CVS. The CFV-CVS sample system, 
Figure B94-4, consists of a dilution air filter and mixing assembly, a 
cyclone particulate separator, unheated sampling venturies for the bag 
samples, and for the methanol and formaldehyde samples from methanol-
fueled vehicles, samples lines heated to a temperature that is more than 
5 [deg]F (3 [deg]C) above the maximum dew point of the sample, but below 
250 [deg]F (121 [deg]C) for the methanol and formaldehyde samples from 
methanol fueled vehicles (heating of the sample lines may be omitted 
provided, the methanol and formaldehyde sample collection systems are 
close coupled to the probes thereby preventing loss of sample due to 
cooling and resulting condensation in the sample lines), a critical flow 
venturi, and assorted valves, and pressure and temperature sensors. The 
CFV sample system shall conform to the following requirements:
    (1) Static pressure variations at the tailpipe(s) of the vehicle 
shall remain within 5 inches of water (1.2 kPa) of 
the static pressure variations measured during a dynamometer driving 
cycle with no connection to the tailpipe(s). (Sampling systems capable 
of maintaining the static pressure to within 1 
inch of water (0.25 kPa) will be used by the Administrator if a written 
request substantiates the need for this closer tolerance.)
    (2) The temperature measuring system shall have an accuracy and 
precision of 2 [deg]F (1.1 [deg]C) and a response 
time of 0.100 seconds to 62.5 percent of a temperature change (as 
measured in hot silicone oil).
    (3) The pressure measuring system shall have an accuracy and 
precision of 1.6 inches of water (0.4 kPa).
    (4) The flow capacity of the CVS shall be large enough to completely 
eliminate water condensation in the dilution and sampling systems. (300 
to 350 cfm (0.142 to 0.165 m\3\/s) is sufficient for most petroleum-
fueled vehicles. Higher flow rates are required for methanol-fueled 
vehicles and may be required for natural gas-fueled and liquefied 
petroleum gas-fueled vehicles. Procedures for determining CVS flow rates 
are detailed in ``Calculation of Emissions and Fuel Economy When Using 
Alternative Fuels,'' EPA 460/3-83-009.) Dehumidifying the dilution air 
before entering the CVS is allowed. Heating the dilution air is also 
allowed, provided:
    (i) The air (or air plus exhaust gas) temperature does not exceed 
250 [deg]F (121 [deg]C).
    (ii) Calculation of the CVS flow rate necessary to prevent water 
condensation is based on the lowest temperature encountered in the CVS 
prior to sampling. (It is recommended that the CVS system be insulated 
when heated dilution air is used.)
    (iii) The dilution ratio is sufficiently high to prevent 
condensation in bag samples as they cool to room temperature.
    (5) Sample collection bags for dilution air and exhaust samples 
shall be of sufficient size so as not to impede sample flow. A single 
dilution air sample, covering the total test period, may be collected 
for the determination of methanol and formaldehyde background (methanol-
fueled vehicles).
    (6) The methanol sample collection system and the formaldehyde 
sample

[[Page 635]]

collection system shall each be of sufficient capacity so as to collect 
samples of adequate size for analysis without significant impact on the 
volume of dilute exhaust passing through the CVS. The systems shall also 
comply with the following requirements that apply to the design of the 
systems, not to individual tests.
    (i) The methanol system shall be designed such that, if a test 
vehicle emitted the maximum allowable level of methanol (based on all 
applicable standards) during the first phase of the test, the measured 
concentration in the primary impinger would exceed either 25 mg/l or a 
concentration equal to 25 times the limit of detection for the GC 
analyzer. Sampling systems for all phases shall be identical.
    (ii) The formaldehyde system shall be designed such that, if a test 
vehicle emitted formaldehyde at a rate equal to twenty percent of the 
maximum allowable level of NMHCE (i.e., 0.05 g/mi for a 0.25 g/mi NMHCE 
standard), or the maximum formaldehyde level allowed by a specific 
formaldehyde standard, whichever is less, during the first phase of the 
test, the concentration of formaldehyde in the DNPH solution of the 
primary impinger, or solution resulting from the extraction of the DNPH 
cartridge, shall exceed either 2.5 mg/l or a concentration equal to 25 
times the limit of detection for the HPLC analyzer. Sampling systems for 
all phases shall be identical.
    (iii) The methanol and formaldehyde systems shall be designed such 
that the primary impinger collects at least 90 percent of the analyte in 
the samples. The remaining analyte shall be collected by the secondary 
impinger. This requirement does not apply to dilution air samples, since 
they do not require secondary impingers, or to samples in which the 
concentrations approach the limit of detection.
    (d) Component description, CFV-EFC-CVS. The CVS sample system is 
identical to the system described in paragraph (c) of this section, plus 
includes a means of electronically measuring the CVS flow rate, and 
electronic mass flow controllers for the methanol and formaldehyde 
sample lines. The EFC sample system shall conform to all of the 
requirements listed in paragraph (c), except that the methanol and 
formaldehyde samples must both be drawn from a static probe. It also 
must comply with the following additional requirements:
    (1) The ratio of the CVS mass flow rate to the sample mass flow rate 
shall not deviate from the design ratio by more than 5 percent. (The volumetric sample flow rate shall be 
varied inversely with the square root of the bulk stream temperature.)
    (2) Flow meters to totalize sample volumes for methanol and/or 
formaldehyde samples shall meet the accuracy specifications of Sec.  
86.120. Total sample volumes may be obtained from the flow controllers, 
provided that the controllers meet the accuracy specifications of Sec.  
86.120.

[56 FR 25760, June 5, 1991, as amended at 59 FR 48505, Sept. 21, 1994; 
60 FR 34336, June 30, 1995]



Sec.  86.110-94  Exhaust gas sampling system; diesel-cycle vehicles, 
and Otto-cycle vehicles requiring particulate emissions measurements.

    Section 86.110-94 includes text that specifies requirements that 
differ from Sec.  86.110-90. Where a paragraph in Sec.  86.110-90 is 
identical and applicable to Sec.  86.110-94, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.110-90.'' Where a corresponding paragraph of 
Sec.  86.110-90 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a) General. The exhaust gas sampling system described in this 
paragraph is designed to measure the true mass of both gaseous and 
particulate emissions in the exhaust of either diesel-cycle or Otto-
cycle light-duty vehicles and light-duty trucks. This system utilizes 
the CVS concept (described in Sec.  86.109) of measuring mass emissions. 
The mass of gaseous emissions is determined from the sample 
concentration and total flow over the test period. The mass of 
particulate emissions is determined from a proportional mass sample 
collected on a filter and from the total flow over the test period. 
General requirements are as follows:
    (1) This sampling system requires the use of a PDP-CVS, CFV-CVS (or 
a CFV-EFC-CVS), sample system with heat

[[Page 636]]

exchanger connected to a dilution tunnel. The heat exchanger is not 
required for the CFV-CVS or EFC-CFV-CVS if electronic flow controllers 
are used to maintain proportionality for the particulate sample. Figure 
B94-5 is a schematic drawing of the PDP system. Figure B94-6 is a 
schematic drawing of the CFV-CVS system. (Methanol-fueled Otto-cycle 
vehicles may be tested using this test equipment, without measuring 
particulate emissions.)
[GRAPHIC] [TIFF OMITTED] TR06OC93.151


[[Page 637]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.152

    (2) Bag, continuous HFID (required for petroleum-fueled diesel-cycle 
and optional for methanol-fueled, natural gas-fueled and liquefied 
petroleum gas-fueled diesel-cycle vehicles), and particulate sampling 
capabilities as shown in Figure B94-5 (or Figure B94-6) are required to 
provide both gaseous and particulate emissions sampling capabilities 
from a single system.
    (3) Petroleum-fueled diesel-cycle vehicles require a heated flame 
ionization detector (HFID) (375 [deg]20 [deg]F 
(191 [deg]11 [deg]C)) sample for total hydrocarbon 
(THC) analysis. The HFID sample must

[[Page 638]]

be taken directly from the diluted exhaust stream through a heated probe 
in the dilution tunnel.
    (4) Methanol-fueled vehicles require the use of a heated flame 
ionization detector (HFID) (235 [deg]15 [deg]F 
(113 [deg]8 [deg]C)) for hydrocarbon analysis. 
With an HFID, the hydrocarbon analysis can be made on the bag sample and 
the methanol and formaldehyde analyses are performed on the samples 
collected for these purposes (Figures B94-2 and B94-3).

    Note: For 1990 through 1994 model year methanol-fueled vehicles, 
methanol and formaldehyde sampling may be omitted provided the bag 
sample is analyzed using a HFID calibrated with methanol.

    (5) For methanol-fueled vehicles, the vehicle tailpipe-to-dilution 
tunnel connection shall be made by:
    (i) A tailpipe to dilution tunnel duct of unrestricted length 
maintained at a temperature above the dew point of the mixture, but 
below 250 [deg]F (121 [deg]C) through heating and cooling as required; 
or
    (ii) Using a short duct (up to 12 feet long) constructed of smooth 
wall pipe with a minimum of flexible sections maintained at a 
temperature above the dew point of the mixture, but below 250 [deg]F 
(121 [deg]C) prior to the test and during breaks in testing (insulation 
may remain in place and or heating may occur during the testing provided 
the maximum temperature is not exceeded); or
    (iii) Using smooth wall duct less than five feet long with no 
required heating. A maximum of two short flexible connectors are allowed 
under this option; or
    (iv) By omitting the duct and performing the exhaust gas dilution 
function at the vehicle tailpipe exit.
    (6) For natural gas-fueled and liquefied petroleum gas-fueled diesel 
vehicles either a heated flame ionization detector (HFID) 
[375[deg]20 [deg]F (191[deg]11 [deg]C)] or a non-heated flame ionization detector 
may be used for hydrocarbon analysis.
    (7) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems.
    (8) Other sampling systems may be used if shown to yield equivalent 
or superior results and if approved in advance by the Administrator.
    (b) Component description--petroleum-fueled, natural gas-fueled and 
liquefied petroleum gas-fueled vehicles. The components necessary for 
petroleum-fueled, natural gas-fueled and liquefied petroleum gas-fueled 
vehicle exhaust sampling shall meet the following requirements:
    (1) The PDP-CVS, Figure B94-5, shall contain a proportional 
particulate sampling system, and shall conform to all of the 
requirements listed for the exhaust gas PDP-CVS (Sec.  86.109(b)), with 
one exception: a flow rate of sufficient volume is required to maintain 
the diluted exhaust stream, from which the particulate sample flow is 
taken, at a temperature of 125 [deg]F (52 [deg]C) or less.
    (2) The CFV sample system, Figure B94-6, shall contain a 
proportional particulate sampling system, and shall conform to all of 
the requirements listed for the exhaust gas CFV sample system (Sec.  
86.109(c)), except for the following:
    (i) A flow rate of sufficient volume is required to maintain the 
diluted exhaust stream, from which the particulate sample flow is taken, 
at a temperature of 125 [deg]F (52 [deg]C) or less.
    (ii) If a constant volume particulate sample is collected, a heat 
exchanger is required.
    (iii) If a heat exchanger is used, the gas mixture temperature, 
measured at a point immediately ahead of the critical flow venturi, 
shall be within 20 [deg]F (11 [deg]C) of the 
designed operating temperature at the start of the test. The gas mixture 
temperature variation from its value at the start of the test shall be 
limited to 20 [deg]F (11 [deg]C) during the entire 
test. The temperature measuring system shall have an accuracy and 
precision of 2 [deg]F (1.1 [deg]C).
    (iv) The cyclonic separator is optional.
    (3) For gasoline-fueled, natural gas-fueled and liquefied petroleum 
gas-fueled Otto-cycle and petroleum-fueled, natural gas- fueled and 
liquefied petroleum gas-fueled diesel-cycle vehicles,

[[Page 639]]

the transfer of heat from the vehicle exhaust gas shall be minimized 
between the point where it leaves the vehicle tailpipe(s) and the point 
where it enters the dilution tunnel airstream. To accomplish this, a 
short length (not more than 12 feet (365 cm) if uninsulated, or not more 
than 20 feet (610 cm) if insulated) of smooth stainless steel tubing 
from the tailpipe to the dilution tunnel is required. This tubing shall 
have a maximum inside diameter of 4.0 inches (10.2 cm). Short sections 
of flexible tubing at connection points are allowed.
    (4) The vehicle exhaust shall be directed downstream at the point 
where it is introduced into the dilution tunnel.
    (5) The dilution air shall be between 68 [deg]F (20 [deg]C) and 86 
[deg]F (30 [deg]C) during the test.
    (6) The dilution tunnel shall be:
    (i) Sized to permit development of turbulent flow (Reynolds No. 
4000) and complete mixing of the exhaust and 
dilution air between the mixing orifice and each of the two sample 
probes (i.e., the particulate probe and the heated THC sample probe). It 
is recommended that uniform mixing be demonstrated by the user.
    (ii) At least 8.0 inches (20.3 cm) in diameter.
    (iii) Constructed of electrically conductive material which does not 
react with the exhaust components.
    (iv) Grounded.
    (7) The temperature of the diluted exhaust stream inside of the 
dilution tunnel shall be sufficient to prevent water condensation. 
However, the sample zone dilute exhaust temperature shall not exceed 125 
[deg]F (52 [deg]C) at any time during the test.
    (8) The particulate sample probe shall be:
    (i) Installed facing upstream at a point where the dilution air and 
exhaust are well mixed (i.e., near the tunnel centerline, approximately 
10 tunnel diameters downstream from the point where the exhaust enters 
the dilution tunnel).
    (ii) Sufficiently distant (radially) from the THC probe (when the 
THC probe is required) so as to be free from the influence of any wakes 
or eddies produced by the THC probe.
    (iii) 0.5 inch (1.27 cm) minimum inside diameter.
    (iv) The distance from the sampling tip to the filter holder shall 
be at least 5 probe diameters (for filters located inside of the 
tunnel), but not more than 40.0 inches (102 cm) for filters located 
outside of the dilution tunnel.
    (v) Free from sharp bends.
    (vi) Configured so that a clean particulate filter (including back-
up filter) can be selected simultaneously with the selection of an empty 
gaseous emissions bag.
    (9) The flow rate through the particulate probe shall be maintained 
to a constant value within 5 percent of the set 
flow rate.
    (10) The particulate sample pump shall be located sufficiently 
distant from the dilution tunnel so that the inlet gas temperature is 
maintained at a constant temperature (5.0 [deg]F 
(2.8 [deg]C)).
    (11) The gas meters or flow instrumentation shall be located 
sufficiently distant from the tunnel so that the inlet gas temperature 
remains constant (5.0 [deg]F (2.8 [deg]C)).
    (12) The THC probe (when the THC probe is required) shall be:
    (i) Installed facing upstream at a point where the dilution air and 
exhaust are well mixed (i.e., approximately 10 tunnel diameters 
downstream from the point where the exhaust enters the dilution tunnel).
    (ii) Sufficiently distant (radially) from the particulate probe so 
as to be free from the influence of any wakes or eddies produced by the 
particulate probe.
    (iii) Heated and insulated over the entire length to maintain a 375 
[deg]20 [deg]F (191 [deg]11 
[deg]C) wall temperature.
    (iv) 0.19 in. (0.48 cm) minimum inside diameter.
    (13) It is intended that the THC probe be free from cold spots 
(i.e., free from spots where the probe wall temperature is less than 355 
[deg]F). This will be determined by a temperature sensor located on a 
section of the probe wall outside of the dilution tunnel. The 
temperature sensor shall be insulated from any heating elements on the 
probe. The sensor shall have an accuracy and precision of 2 [deg]F (1.1 [deg]C).

[[Page 640]]

    (14) The dilute exhaust gas flowing in the THC sample system shall 
be:
    (i) At 375 [deg]F10 [deg]F (191 [deg]C6 [deg]C) immediately before the heated filter. This 
will be determined by a temperature sensor located immediately upstream 
of the filter. The sensor shall have an accuracy and precision of 2 [deg]F (1.1 [deg]C).
    (ii) At 375 [deg]F10 [deg]F (191 [deg]C 6 [deg]C) immediately before the HFID. This will be 
determined by a temperature sensor located at the exit of the heated 
sample line. The sensor shall have an accuracy and precision of 2 [deg]F (1.1 [deg]C).
    (15) It is intended that the dilute exhaust gas flowing in the THC 
sample system be between 365 [deg]F and 385 [deg]F (185 [deg]C and 197 
[deg]C).
    (c) Component description--methanol-fueled vehicles. The components 
necessary for methanol-fueled vehicle exhaust sampling shall meet the 
following requirements:
    (1) The PDP-CVS, Figure B94-5, shall contain a proportional 
particulate sampling system, and shall conform to all of the 
requirements listed for the exhaust gas PDP-CVS (Sec.  86.109), with one 
exception: a flow rate of sufficient volume is required to maintain the 
diluted exhaust stream, from which the particulate sample flow is taken, 
at a temperature of 125 [deg]F (52 [deg]C) or less.
    (2) The CFV-CVS sample system, Figure B94-6, shall contain a 
proportional particulate sampling system, and shall conform to all of 
the requirements listed for the exhaust gas CFV sample system (Sec.  
86.109), except for the following:
    (i) A flow rate of sufficient volume is required to maintain the 
diluted exhaust stream, from which the particulate sample flow is taken, 
at a temperature of 125 [deg]F (52 [deg]C) or less.
    (ii) If a constant volume particulate sample is collected, a heat 
exchanger is required.
    (iii) If a heat exchanger is used, the gas mixture temperature, 
measured at a point immediately ahead of the critical flow venturi, 
shall be within 20 [deg]F (11 [deg]C) of the 
designed operating temperature at the start of the test. The gas mixture 
temperature variation from its value at the start of the test shall be 
limited to 20 [deg]F (11 [deg]C) during the entire 
test. The temperature measuring system shall have an accuracy and 
precision of 2 [deg]F (1.1 [deg]C).
    (iv) The cyclonic separator is optional.
    (3) The EFC-CFV-CVS sample system shall conform to all of the 
requirements listed for the exhaust gas EFC sample system (Sec.  86.109) 
with three exceptions:
    (i) A flow rate of sufficient volume is required to maintain the 
diluted exhaust stream, from which the particulate sample flow is taken, 
at a temperature of 125 [deg]F (52 [deg]C) or less.
    (ii) A proportional particulate sample shall be collected using an 
electronic flow controller that meets the performance criteria listed in 
Sec.  86.109 for methanol and formaldehyde EFC systems.
    (iii) The cyclonic separator is optional.
    (4) Losses of methanol due to condensation of water in the duct 
connecting the vehicle tail pipe to the dilution tunnel must be 
eliminated. This may be accomplished by:
    (i) The use of a duct of unrestricted length maintained at a 
temperature above the maximum dew point of the exhaust, but below 250 
[deg]F (121 [deg]C), through heating and cooling as required; or
    (ii) The use of a short duct (up to 12 feet long) constructed of 
smooth wall pipe with a minimum of flexible sections maintained at a 
temperature above the maximum dew point of the exhaust, but below 250 
[deg]F (121 [deg]C), prior to the test and during breaks in testing 
(insulation may remain in place and/or heating may occur during testing 
provided maximum temperature is not exceeded); or
    (iii) Using smooth wall duct less than five feet long with no 
required heating. A maximum of two short flexible connectors are allowed 
under this option; or
    (iv) Omitting the duct and performing the exhaust gas dilution 
function at the vehicle tailpipe exit.
    (5) The vehicle exhaust shall be directed downstream at the point 
where it is introduced into the dilution tunnel.
    (6) The dilution air shall be between 68 [deg]F (20 [deg]C) and 86 
[deg]F (30 [deg]C) during the test (unless the requirements of Sec.  
86.109-94(b)(4) are also met).
    (7) The dilution tunnel shall be:

[[Page 641]]

    (i) Sized to permit development of turbulent flow (Reynold's No. 
4000) and complete mixing of the exhaust and 
dilution air between the mixing orifice and the particulate sample 
probe. It is recommended that uniform mixing be demonstrated by the 
user.
    (ii) At least 8.0 inches (20.3 cm) in diameter.
    (iii) Constructed of electrically conductive material which does not 
react with the exhaust components.
    (iv) Grounded.
    (8) The temperature of the diluted exhaust stream inside of the 
dilution tunnel shall be sufficient to prevent water condensation. 
However, the sample zone dilute exhaust temperature shall not exceed 125 
[deg]F (52 [deg]C) at any time during the test.
    (9) The particulate sample probe shall be:
    (i) Installed facing upstream at a point where the dilution air and 
exhaust are well mixed (i.e., near the tunnel centerline, approximately 
10 tunnel diameters downstream from the point where the exhaust enters 
the dilution tunnel).
    (ii) Sufficiently distant (radially) from the THC probe so as to be 
free from the influence of any wakes or eddies produced by the THC 
probe.
    (iii) 0.5 inch (1.27 cm) minimum inside diameter.
    (iv) The distance from the sampling tip to the filter holder shall 
be at least five probe diameters (for filters located inside the 
tunnel), but not more than 40.0 inches (102 cm) for filters located 
outside of the dilution tunnel.
    (v) Free from sharp bends.
    (vi) Configured so that a clean particulate filter (including back 
up filter) can be selected simultaneously with the selection of an empty 
gaseous emissions bag.
    (10) The flow rate through the particulate probe shall be maintained 
to a constant value within 5 percent of the set 
flow rate.
    (11) The particulate sample pump shall be located sufficiently 
distant from the dilution tunnel so that the inlet gas temperature is 
maintained at a constant temperature (5.0 [deg]F 
(2.8 [deg]C)).
    (12) The gas meters or flow instrumentation shall be located 
sufficiently distant from the tunnel so that the inlet gas temperature 
remains constant (5.0 [deg]F (2.8 [deg]C)).
    (13) The hydrocarbon probe shall be:
    (i) Installed facing upstream at a point where the dilution air and 
exhaust are well mixed (i.e., approximately ten tunnel diameters 
downstream from the point where the exhaust enters the dilution tunnel).
    (ii) Sufficiently distant (radially) from the particulate probe so 
as to be free from the influence of any wakes of eddies produced by the 
particulate probe.
    (iii) Heated and insulated over the entire length to maintain a wall 
temperature more than 5 [deg]F (3 [deg]C) above the maximum dew point of 
the sample, but below 250 [deg]F (121 [deg]C).
    (iv) 0.19 in. (0.48 cm) minimum inside diameter.
    (14) It is intended that the THC probe be free from cold spots 
(i.e., free from cold spots where the probe wall temperature is less 
than 5 [deg]F (3 [deg]C) above the maximum dew point of the sample.) 
This will be determined by a temperature sensor located on a section of 
the probe wall outside of the dilution tunnel. The temperature sensor 
shall be insulated from any heating elements on the probe. The sensor 
shall have an accuracy and precision of 2 [deg]F 
(1.1 [deg]C).
    (15) The dilute exhaust gas flowing in the hydrocarbon sample system 
shall be:
    (i) At 235 [deg]F 15 [deg]F (113 [deg]C 8 [deg]C) immediately before the heated filter. This 
will be determined by a temperature sensor located immediately upstream 
of the filter. The sensor shall have an accuracy and precision of 2 [deg]F (1.1 [deg]C).
    (ii) At 235[deg] 15 [deg]F (113 [deg]C 8 [deg]C) immediately before the HFID. This will be 
determined by a temperature sensor located at the exit of the heated 
sample line. The sensor shall have an accuracy and precision of 2 [deg]F (1.1 [deg]C).
    (16) It is intended that the dilute exhaust gas flowing in the 
hydrocarbon sample system between 220 [deg]F and 250 [deg]F (105 [deg]C 
and 121 [deg]C).
    (17) For methanol-fueled vehicles, bag sampling procedures for the 
measurement of hydrocarbons as described in Sec.  86.109 may be 
employed.
    (d) Filters, particulate sampling. Use fluorocarbon-coated glass 
fiber filters

[[Page 642]]

or fluorocarbon-based (membrane) filters to collect particulate matter, 
as follows:
    (1) Use primary and back-up test filters as follows for particulate 
measurements:
    (i) During each phase of the UDDS, sample dilute exhaust 
simultaneously with paired primary and back-up test filters.
    (ii) Position the back-up filter holder 3 to 4 inches downstream of 
the primary filter holder.
    (iii) Determine the net weight of particulate material collected on 
each primary test filter and each back-up test filter using the 
procedure described in Sec.  86.139.
    (iv) Determine a ratio of net weights using the following formula:
    [GRAPHIC] [TIFF OMITTED] TR28AP14.142
    
    (v) If the ratio is greater than 0.95, base the particulate emission 
calculations on the net weight of the primary filter only.
    (vi) If the ratio is less than 0.95, base the particulate emission 
calculations on the combined net weights of the back-up test filter and 
the primary test filter.
    (2) The particulate filter must have a 47 mm diameter (37 mm stain 
area).

[56 FR 25767, June 5, 1991, as amended at 59 FR 48505, Sept. 21, 1994; 
60 FR 34342, June 30, 1995; 79 FR 23692, Apr. 28, 2014]



Sec.  86.111-94  Exhaust gas analytical system.

    Section 86.111-94 includes text that specifies requirements that 
differ from Sec.  86.111-90. Where a paragraph in Sec.  86.111-90 is 
identical and applicable to Sec.  86.111-94, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.111-90.'' Where a corresponding paragraph of 
Sec.  86.111-90 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a) Schematic drawings. Figure B94-7 is a schematic drawing of the 
exhaust gas analytical system for samples from bag sampling systems for 
analysis of total hydrocarbon (THC) (hydrocarbon plus methanol in the 
case of methanol-fueled vehicles), methane (CH4) (for 
vehicles subject to the NMHC and NMHCE standards), carbon monoxide (CO), 
carbon dioxide (CO2), and oxides of nitrogen 
(NOX). The schematic diagram of the continuous THC analysis 
train (and for THC plus methanol for methanol-fueled diesel-cycle 
vehicles) is shown as part of Figure B94-5 (or Figure B94-6). Since 
various configurations can produce accurate results, exact conformance 
with either drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps, and switches may be used to 
provide additional information and coordinate the functions of the 
component systems.

[[Page 643]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.154

    (b) Major component description. The exhaust gas analytical system, 
Figure B94-7, consists of a flame ionization detector (FID) (heated, 
235[deg] 15 [deg]F (113[deg] 8 [deg]C) for methanol-fueled vehicles) for the 
determination of THC, a methane analyzer (consisting of a gas 
chromatograph combined with a FID) for the determination of 
CH4, non-dispersive infrared analyzers (NDIR) for the 
determination of CO and CO2, a chemiluminescence analyzer 
(CL) for the determination of NOX, and an analyzer meeting 
the requirements specified in 40 CFR 1065.275 for the determination of 
N2O. A heated flame ionization detector (HFID) is used for 
the continuous determination of THC from

[[Page 644]]

petroleum-fueled diesel-cycle vehicles (may also be used with methanol-
fueled diesel-cycle vehicles), Figure B94-5 (or B94-6). The analytical 
system for methanol consists of a gas chromatograph (GC) equipped with a 
flame ionization detector. The analysis for formaldehyde is performed 
using high-pressure liquid chromatography (HPLC) of 2,4-
dinitrophenylhydrazine (DNPH) derivatives using ultraviolet (UV) 
detection. The exhaust gas analytical system shall conform to the 
following requirements:
    (1) The CL requires that the nitrogen dioxide present in the sample 
be converted to nitric oxide before analysis. Other types of analyzers 
may be used if shown to yield equivalent results and if approved in 
advance by the Administrator.
    (2) The carbon monoxide (CO) NDIR analyzer may require a sample 
conditioning column containing CaSO4, or indicating silica 
gel to remove water vapor, and containing ascarite to remove carbon 
dioxide from the CO analysis stream.
    (i) If CO instruments which are essentially free of CO2 
and water vapor interference are used, the use of the conditioning 
column may be deleted, see Sec. Sec.  86.122 and 86.144.
    (ii) A CO instrument will be considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture 
of 3 percent CO2 in N2 which has been bubbled 
through water at room temperature produces an equivalent CO response, as 
measured on the most sensitive CO range, which is less than l percent of 
full scale CO concentration on ranges above 300 ppm full scale or less 
than 3 ppm on ranges below 300 ppm full scale, see Sec.  86.122.
    (3) For petroleum-fueled diesel vehicles (and if selected, for 
methanol-fueled, natural gas-fueled and liquefied petroleum gas-fueled 
diesel vehicles) a continuous hydrocarbon sample shall be measured using 
a heated analyzer train as shown in Figure B90-5 (or B90-6). The train 
shall include a heated probe, a heated continuous sampling line, a 
heated particulate filter and a heated hydrocarbon instrument (HFID) 
complete with heated pump, filter and flow control system.
    (i) The response time of this instrument shall be less than 1.5 
seconds for 90 percent of full scale response.
    (ii) The continuous THC sample system may use an ``overflow'' zero 
and span system; see Sec.  86.140-82(b)(4). In this type of system 
(figures B82-3A and B82-4A), zero or span gas is introduced into the 
heated sample line at a flow rate that exceeds the sample flow rate to 
the HFID. The excess gas overflows the sample probe into the dilution 
tunnel. This method assures that the reference gas enters HFID in the 
same concentration as the injected reference gas and at the same rate as 
the sample exhaust gas. In addition to zero and span checks, it may also 
be used to calibrate the THC analyzer per Sec.  86.121-82(b). The 
overflow gas flow rate into the sample line shall be greater than 125 
percent of the HFID flow rate with the CVS blower operating. A lower 
flow rate may be used if it has been experimentally shown to produce 
equivalent results and current documentation is maintained. The overflow 
gases shall enter the heated sample line as close as practicable to the 
outside surface of the dilution tunnel.
    (iii) No other analyzers may draw a sample from the continuous THC 
sample probe, line, or system, unless a common sample pump is used of 
all analyzers and the single sample line system design reflects good 
engineering practice.
    (iv) Sample transport time from sampling point to inlet of 
instrument shall be less than 4 seconds.
    (v) For petroleum-fueled, natural gas-fueled and liquefied petroleum 
gas-fueled diesel vehicles, the sample line and filter shall be heated 
to maintain a sample gas temperature of 375[deg] 10 [deg]F (191[deg] 6 [deg]C) 
before the filter and before the HFID.
    (vi) For methanol-fueled diesel-cycle vehicles, the sample line and 
filter shall be heated to maintain a sample gas temperature of 235 
[deg]15 [deg]F (113 [deg]8 
[deg]C) before the filter and before the HFID.
    (vii) Using a methane analyzer consisting of a gas chromatograph 
combined with a FID, measure methane according to SAE J1151 
(incorporated by reference in Sec.  86.1).

[[Page 645]]

    (c) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent or superior results 
and if approved in advance by the Administrator.

[56 FR 25771, June 5, 1991, as amended at 58 FR 33209, June 16, 1993; 59 
FR 48505, Sept. 21, 1994; 59 FR 50073, Sept. 30, 1994; 75 FR 25677, May 
7, 2010; 77 FR 63152, Oct. 15, 2012; 79 FR 23693, Apr. 28, 2014]



Sec.  86.112-91  Weighing chamber (or room) and microgram 
balance specifications.

    (a) Ambient conditions--(1) Temperature. The temperature of the 
chamber in which the particulate filters are conditioned and weighed 
shall be maintained to within 10 [deg]F (6 [deg]C) 
of a set point between 68 [deg]F (20 [deg]C) and 86 [deg]F (30 [deg]C) 
during all filter conditioning and filter weighing. A continuous 
recording of the temperature is required.
    (2) Humidity. The relative humidity of the chamber in which the 
particulate filters are conditioned and weighed shall be maintained to 
within 10 percent of a set point between 30 and 70 
percent during all filter conditioning and filter weighing. A continuous 
recording of the temperature is required.
    (3) The environment shall be free from any ambient contaminants 
(such as dust) that would settle on the particulate filters during their 
stabilization.
    (4) It is required that two unused reference filters remain in the 
weighing room at all times in covered (to reduce dust contamination) but 
unsealed (to permit humidity exchange) petri dishes. These reference 
filters shall be placed in the same general area as the sample filters. 
These reference filters shall be weighed within 4 hours of, but 
preferably just prior to, the pre- and post-test sample filter 
weighings.
    (5) If the weight of either of the reference filters changes between 
pre- and post-test sample filter weighings by more than 2.0 percent of the test average primary filter loading 
(recommended minimum of 0.5 milligrams) or 0.010 
milligrams, whichever is greater, then the post-test sample filter 
weights are invalid. However, the post-test weighing procedure can be 
repeated to obtain valid weights within the time limits as specified in 
Sec.  86.139.
    (6) The reference filters shall be changed at least once per month, 
but never between pre- and post-test weighings of a given sample filter. 
The reference filters shall be the same size and material as the sample 
filters.
    (b) Microgram balance specifications. The microgram balance used to 
determine the weights of all filters shall have a precision (standard 
deviation) and a readability of one microgram.
    (c) Other procedures and equipment. Other procedures and equipment 
may be used if shown to yield equivalent or superior results and if 
approved in advance by the Administrator.

[56 FR 25773, June 5, 1991]



Sec.  86.113-04  Fuel specifications.

    This section includes text that specifies requirements that differ 
from Sec.  86.113-94. Where a paragraph in Sec.  86.113-94 is identical 
and applicable to this section, this will be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec.  86.113-94.''.
    (a) Gasoline fuel. (1) Gasoline meeting the following 
specifications, or substantially equivalent specifications approved by 
the Administrator, must be used for exhaust and evaporative emission 
testing:

   Table 1 of Sec.   86.113-04--Test Fuel Specifications for Gasoline
                             Without Ethanol
------------------------------------------------------------------------
                                                           Reference
              Item                      Regular          procedure \1\
------------------------------------------------------------------------
Research octane, Minimum \2\....  93................  ASTM D2699; ASTM
                                                       D2700
Octane sensitivity \2\..........  7.5...............  ASTM D2699; ASTM
                                                       D2700
Distillation Range ( [deg]F):
    Evaporated initial boiling    75-95.............  ASTM D86
     point \3\.
    10% evaporated..............  120-135...........
    50% evaporated..............  200-230...........
    90% evaporated..............  300-325...........
    Evaporated final boiling      415 Maximum.......
     point.
Hydrocarbon composition (vol %):
    Olefins.....................  10% Maximum.......  ASTM D1319

[[Page 646]]

 
    Aromatics...................  35% Maximum.......
    Saturates...................  Remainder.........
Lead, g/gallon (g/liter),         0.050 (0.013).....  ASTM D3237
 Maximum.
Phosphorous, g/gallon (g/liter),  0.005 (0.0013)....  ASTM D3231
 Maximum.
Total sulfur, wt. % \4\.........  0.0015-0.008......  ASTM D2622
Dry Vapor Pressure Equivalent     8.7-9.2 (60.0-      ASTM D5191
 (DVPE), psi (kPa) \5\.            63.4).
------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   86.1.
\2\ Octane specifications are optional for manufacturer testing.
\3\ For testing at altitudes above 1,219 m (4000 feet), the specified
  range is 75-105 [deg]F.
\4\ Sulfur concentration will not exceed 0.0045 weight percent for EPA
  testing.
\5\ For testing unrelated to evaporative emission control, the specified
  range is 8.0-9.2 psi (55.2-63.4 kPa). For testing at altitudes above
  1,219 m (4000 feet), the specified range is 7.6-8.0 psi (52.4-55.2
  kPa). Calculate dry vapor pressure equivalent, DVPE, based on the
  measured total vapor pressure, pT, using the following equation: DVPE
  (psi) = 0.956 [middot] pT-0.347 (or DVPE (kPa) = 0.956 [middot] pT-
  2.39). DVPE is intended to be equivalent to Reid Vapor Pressure using
  a different test method.

    (2) Manufacturers may use California test fuels, as follows:
    (i) For model year 2014 and earlier vehicles certified for 50-state 
sale, manufacturers may perform exhaust emission tests using California 
Phase 2 gasoline as specified in Chapter 4 of the California Regulatory 
Requirements Applicable to the National Low Emission Vehicle Program, 
October 1996 (incorporated by reference in Sec.  86.1). However, the 
Administrator may use or require the use of test fuel meeting the 
specifications in paragraph (a)(1) of this section for confirmatory 
testing, selective enforcement auditing and in-use testing.
    (ii) For model year 2015 and later, manufacturers may certify 50-
state Tier 2 vehicles based on testing used to meet California's LEV III 
standards, subject to the following provisions:
    (A) Manufacturers may perform exhaust and evaporative emission tests 
using California Phase 2 gasoline or California LEV III gasoline. The 
Administrator may use or require the use of test fuel meeting the 
specifications in paragraph (a)(1) of this section for confirmatory 
testing, selective enforcement auditing and in-use testing.
    (B) All evaporative testing with California fuel must be conducted 
with temperatures meeting the specifications adopted by the California 
Air Resources Board.
    (C) The vehicles must also meet exhaust and evaporative emission 
standards at high-altitude conditions as specified in Sec. Sec.  
86.1811-17 and 86.1813-17, except that testing is based on the fuel 
specified in paragraph (a)(1) of this section.
    (D) The vehicle must meet the applicable cold temperature standards 
using test fuel specified for cold temperature testing in Sec.  86.213.
    (3)(i) Unless otherwise approved by the Administrator, gasoline 
representative of commercial gasoline that will be generally available 
through retail outlets must be used in service accumulation. Unless 
otherwise approved by the Administrator, where the vehicle is to be used 
for evaporative emission durability demonstration, such fuel must 
contain ethanol as required by Sec.  86.1824-08(f)(1).
    (ii) Unless otherwise approved by the Administrator, the octane 
rating of the gasoline used must be no higher than 1.0 Retail octane 
number above the lowest octane rating that meets the fuel grade the 
manufacturer will recommend to the ultimate purchaser for the relevant 
production vehicles. If the manufacturer recommends a Retail octane 
number rather than a fuel grade, then the octane rating of the service 
accumulation gasoline can be no higher than 1.0 Retail octane number 
above the recommended Retail octane number. The service accumulation 
gasoline must also have a minimum sensitivity of 7.5 octane numbers, 
where sensitivity is defined as the Research octane number minus the 
Motor octane number.
    (iii) The Reid Vapor Pressure of the gasoline used must be 
characteristic of the motor fuel used during the season in which the 
service accumulation takes place.

[[Page 647]]

    (4) The specification range of the gasoline to be used under this 
paragraph (a) must be reported in accordance with Sec. Sec.  86.094-
21(b)(3) and 86.1844-01.
    (b)-(g) [Reserved]. For guidance see Sec.  86.113-94.

[65 FR 6848, Feb. 10, 2000, as amended at 75 FR 25678, May 7, 2010; 79 
FR 23693, Apr. 28, 2014; 80 FR 9102, Feb. 19, 2015]



Sec.  86.113-15  Fuel specifications.

    Section 86.113-15 includes text that specifies requirements that 
differ from Sec.  86.113-94. Where a paragraph in Sec.  86.113-94 is 
identical and applicable to Sec.  86.113-15, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.113-94.''
    (a) Gasoline fuel. This paragraph (a) describes how to transition to 
an ethanol-blend test fuel for vehicles certified under subpart S of 
this part. You may use the test fuels specified in Sec.  86.113-04(a) 
for vehicles that are not yet subject to testing with the new fuel. You 
may use the specified ethanol-blend test fuel anytime earlier than we 
specify as long as you use the corresponding procedures for measuring 
and calculating emission results. See 40 CFR 600.117 for special 
provisions that apply for emission measurements related to fuel economy 
and greenhouse gases. Manufacturers must certify using E10 test fuel as 
specified in 40 CFR part 1065, subpart H, and service accumulation fuel 
meeting applicable specifications as follows:
    (1) Except as allowed under paragraph (a)(2) of this section, Use 
E10 test fuel to demonstrate compliance with the Tier 3 exhaust emission 
standards as specified in Sec.  86.1811 and 86.1816, and to demonstrate 
compliance with the Tier 3 evaporative emission standards as specified 
in Sec.  86.1813.
    (2) You may use California test fuels to demonstrate compliance with 
Tier 3 emission standards as follows:
    (i) For vehicles certified for 50-state sale, you may instead use 
California Phase 3 gasoline (E10) as adopted in California's LEV III 
program for exhaust emission testing. Through model year 2019, we will 
also use this E10 fuel for any low-altitude exhaust emission testing 
with such vehicles. Starting in model year 2020, we may use test fuel 
meeting either California Phase 3 gasoline (E10) or the gasoline (E10) 
test fuel specified in this paragraph (a). For cold temperature testing 
and for exhaust emission tests at high-altitude conditions, you may 
certify vehicles through model year 2019 based on testing with the 
gasoline (E0) test fuel specified in Sec.  86.113-04(a); for such 
vehicles, we may use test fuel meeting either the gasoline (E0) test 
fuel specified in Sec.  86.113-04(a) or the gasoline (E10) test fuel 
specified in this paragraph (a).
    (ii) For vehicles that were certified to SULEV exhaust emission 
standards with a 150,000 mile useful life under California's LEV II 
program and that are eligible to use that carryover data for continued 
certification, you may use that carryover data to demonstrate compliance 
with the exhaust emission standards that apply for Bin 30 vehicles under 
Sec.  86.1811-17 for model years 2015 through 2019. The test fuel 
specifications that applied for the original emission measurements under 
the LEV II program also apply for any additional exhaust testing under 
the Tier 3 program, including confirmatory testing, selective 
enforcement auditing, and in-use testing. For vehicles certified under 
this paragraph (a)(2)(ii), use the E10 test fuel specified in 40 CFR 
1065.710 for cold temperature testing and high-altitude testing.
    (iii) For vehicles certified for 50-state sale, you may instead use 
California test fuel for evaporative emission testing as follows:
    (A) If you originally certified vehicles in California in model year 
2015 or 2016 to PZEV standards with California Phase 2 gasoline, you may 
use that data with carryover vehicles to certify to the Tier 3 
evaporative emission standards through model year 2019. We will use this 
same fuel to measure diurnal, hot soak, running loss, and SHED rig 
emissions at low-altitude conditions for such vehicles. For refueling, 
spitback, and high-altitude testing, you may use test fuel meeting 
either the gasoline (E0) test fuel specified in Sec.  86.113-04(a) or 
the gasoline (E10) test fuel specified in this paragraph (a); we may use 
either of the specified fuels for our testing. For leak testing, you 
must use the gasoline (E10) test fuel specified in this paragraph (a).

[[Page 648]]

    (B) If you certify vehicles to LEV III standards with California 
Phase 3 gasoline (E10), you may use that collection of data to certify 
to the Tier 3 evaporative emission standards. Through model year 2019, 
we will use this same fuel to measure diurnal, hot soak, running loss, 
SHED rig, and canister bleed emissions (as appropriate) at low-altitude 
conditions; starting in model year 2020, we may use either California 
Phase 3 gasoline (E10) or the gasoline (E10) test fuel specified in this 
paragraph (a) for our testing with such vehicles. For refueling, 
spitback, high-altitude, and leak testing, you must use the gasoline 
(E10) test fuel specified in this paragraph (a), except that you may 
instead use the gasoline (E0) test fuel specified in Sec.  86.113-04(a) 
for model year 2015 and 2016; we will use your selected fuel for our 
testing. Note that you may no longer certify vehicles to the Tier 3 
standards based on California's rig-testing procedures after model year 
2021, as described in Sec.  86.1813-17(g).
    (C) For evaporative emission testing with California test fuels, 
perform tests based on the test temperatures specified by the California 
Air Resources Board.
    (3) Except as specified in paragraph (a)(2)(iii) of this section and 
in this paragraph (a)(3), use E10 test fuel to demonstrate compliance 
with the refueling and spitback emission standards for any vehicles that 
must be certified to meet the diurnal plus hot soak standards with E10 
test fuel under paragraphs (a)(1) and (2) of this section. You may delay 
using E10 test fuel until model year 2022 for incomplete heavy-duty 
vehicles not certified to refueling emission standards.
    (4) If a vehicle uses E10 test fuel for evaporative emission testing 
and E0 is the applicable test fuel for exhaust emission testing, exhaust 
measurement and reporting requirements apply over the course of the 
evaporative emission test, but the vehicle need not meet the exhaust 
emission standards during the evaporative emission test run.
    (5) For service accumulation, use a commercially available fuel, 
subject to the additional specification in Sec.  86.1824-08(f) for 
evaporative emissions.
    (b) through (g) [Reserved]. For guidance see Sec.  86.113-94.

[79 FR 23694, Apr. 28, 2014]



Sec.  86.113-94  Fuel specifications.

    (a) [Reserved]
    (b) Petroleum diesel test fuel. (1) The petroleum fuels employed for 
testing diesel vehicles shall be clean and bright, with pour and cloud 
points adequate for operability. The petroleum diesel fuel may contain 
nonmetallic additives as follows: Cetane improver, metal deactivator, 
antioxidant, dehazer, antirust, pour depressant, dye, dispersant and 
biocide. Fuels specified for emissions testing are intended to be 
representative of commercially available in-use fuels.
    (2) A diesel fuel designated as ``Type 2-D'' grade meeting the 
following specifications, or substantially equivalent specifications 
approved by the Administrator, must be used for exhaust emission 
testing:

----------------------------------------------------------------------------------------------------------------
                                                                                                   Reference
           Property                          Unit                          Type 2-D              procedure \1\
----------------------------------------------------------------------------------------------------------------
(i) Cetane Number.............  ..............................  40-50........................  ASTM D613
(ii) Cetane Index.............  ..............................  40-50........................  ASTM D976
(iii) Distillation range:
    (A) IBP...................                                  340-400 (171.1-204.4)........
    (B) 10 pct. point.........                                  400-460 (204.4-237.8)........
    (C) 50 pct. point.........   [deg]F ( [deg]C).............  470-540 (243.3-282.2)........  STM D86
    (D) 90 pct. point.........                                  560-630 (293.3-332.2)........
    (E) EP....................                                  610-690 (321.1-365.6)
(iv) Gravity..................  [deg]API......................  32-37........................  ASTM D4052
(v) Total sulfur..............  ppm...........................  7-15.........................  ASTM D2622
(vi) Hydrocarbon composition:   pct...........................  27...........................  ASTM D5186
 Aromatics, minimum (Remainder
 shall be paraffins,
 naphthenes, and olefins).
(vii) Flashpoint, min.........   [deg]F ( [deg]C).............  130 (54.4)...................  ASTM D93
(viii) Viscosity..............  centistokes...................  2.0-3.2......................  ASTM D445
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   86.1.


[[Page 649]]

    (3) A diesel fuel designated as ``Type 2-D'' grade meeting the 
following specifications, or substantially equivalent specifications 
approved by the Administrator, must be used for service accumulation:

----------------------------------------------------------------------------------------------------------------
               Property                           Unit                  Type 2-D         Reference procedure \1\
----------------------------------------------------------------------------------------------------------------
(i) Cetane Number.....................  .......................  38-58.................  ASTM D613
(ii) Cetane Index, minimum............  .......................  40....................  ASTM D976
(iii) 90 percent distillation.........  [deg]F.................  540-630...............  ASTM D86
(iv) Gravity..........................  [deg]API...............  30-39.................  ASTM D4052
(v) Total sulfur......................  Ppm....................  7-15..................  ASTM D2622
(vi) Flashpoint, minimum..............  [deg]F ( [deg]C).......  130 (54.4)............  ASTM D93
(vii) Viscosity.......................  centistokes............  1.5-4.5...............  ASTM D445
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   86.1.

    (4) Other petroleum distillate fuels may be used for testing and 
service accumulation provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Use of a fuel listed under paragraphs (b)(2) and (b)(3) of 
this section would have a detrimental effect on emissions or durability; 
and
    (iv) Written approval from the Administrator of the fuel 
specifications is provided prior to the start of testing.
    (5) The specification range of the fuels to be used under paragraphs 
(b)(2), (b)(3) and (b)(4) of this section shall be reported in 
accordance with Sec.  86.094-21(b)(3) or Sec.  86.1844-01 as applicable.
    (c) Methanol fuel. (1) Methanol fuel used for exhaust and 
evaporative emission testing and in service accumulation shall be 
representative of commercially available methanol fuel and shall consist 
of at least 50 percent methanol by volume.
    (i) Manufacturers shall recommend the methanol fuel to be used for 
testing and service accumulation.
    (ii) The Administrator shall determine the methanol fuel to be used 
for testing and service accumulation.
    (2) Other methanol fuels may be used for testing and service 
accumulation provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Use of a fuel listed under paragraph (c)(1) of this section 
would have a detrimental effect on emissions or durability; and
    (iv) Written approval from the Administrator of the fuel 
specifications must be provided prior to the start of testing.
    (3) The specification range of the fuels to be used under paragraphs 
(c)(1) and (c)(2) of this section shall be reported in accordance with 
Sec.  86.094-21(b)(3) or Sec.  86.1844-01 as applicable.
    (d) [Reserved]
    (e) Natural gas. (1) A natural gas fuel meeting the following 
specifications, or substantially equivalent specifications approved by 
the Administrator, must be used for exhaust and evaporative emission 
testing:

 
------------------------------------------------------------------------
                   Item                               Value \1\
------------------------------------------------------------------------
Methane, CH4..............................  Minimum, 89.0 mole percent.
Ethane, C2H6..............................  Maximum, 4.5 mole percent.
C3 and higher.............................  Maximum, 2.3 mole percent.
C6 and higher.............................  Maximum, 0.2 mole percent.
Oxygen....................................  Maximum, 0.6 mole percent.
Inert gases (sum of CO2 and N2)...........  Maximum, 4.0 mole percent.
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D1945
  (incorporated by reference in Sec.   86.1).

    (2) The natural gas at ambient conditions must have a distinctive 
odor potent enough for its presence to be detected down to a 
concentration in air of not over one-fifth of the lower limit of 
flammability.
    (3) Natural gas representative of commercially available natural gas 
fuel generally available through retail outlets shall be used in service 
accumulation for natural gas-fueled vehicles.

[[Page 650]]

    (4) A natural gas fuel meeting different specifications may be used 
for testing and service accumulation if all the following conditions are 
met:
    (i) The alternate test fuel is commercially available.
    (ii) Information acceptable to the Administrator is provided to show 
that only the designated fuel will be used in customer service.
    (iii) The Administrator must provide advance written approval for 
the alternate test fuel.
    (f) Liquefied petroleum gas fuel. (1) Liquefied petroleum gas fuel 
used for exhaust and evaporative emission testing and in service 
accumulation shall be commercially available liquefied petroleum gas 
fuel.
    (i) Manufacturers shall recommend the liquefied petroleum gas fuel 
to be used for testing and service accumulation.
    (ii) The Administrator shall determine the liquefied petroleum gas 
fuel to be used for testing and service accumulation.
    (2) Other liquefied petroleum gas fuels may be used for testing and 
service accumulation provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Written approval from the Administrator of the fuel 
specifications must be provided prior to the start of testing.
    (3) The specification range of the fuel to be used under paragraphs 
(f)(1) and (2) of this section shall be measured in accordance with ASTM 
D2163 (incorporated by reference in Sec.  86.1).
    (g) Fuels not meeting the specifications set forth in this section 
may be used only with the advance approval of the Administrator.

[59 FR 48506, Sept. 21, 1994, as amended at 60 FR 34342, June 30, 1995; 
62 FR 47120, Sept. 5, 1997; 63 FR 24448, May 4, 1998; 64 FR 23921, May 
4, 1999; 65 FR 8277, Feb. 18, 2000; 79 FR 23694, Apr. 28, 2014; 79 FR 
36657, June 30, 2014]



Sec.  86.114-94  Analytical gases.

    (a) Analyzer gases. (1) Gases for the CO and CO2 
analyzers shall be single blends of CO and CO2 respectively 
using nitrogen as the diluent.
    (2) Gases for the THC analyzer shall be:
    (i) Single blends of propane using air as the diluent; and
    (ii) Optionally, for response factor determination, single blends of 
methanol using air as the diluent.
    (3) Gases for the methane analyzer shall be single blends of methane 
using air as the diluent.
    (4) Gases for the NOX analyzer shall be single blends of 
NO named as NOX. with a maximum NO2 concentration 
of 5 percent of the nominal value, using nitrogen as the diluent.
    (5) Fuel for FIDs and HFIDs and the methane analyzer shall be a 
blend of 40 2 percent hydrogen with the balance 
being helium. The mixture shall contain less than one ppm equivalent 
carbon response. 98 to 100 percent hydrogen fuel may be used with 
advance approval by the Administrator.
    (6) The allowable zero gas (air or nitrogen) impurity concentrations 
shall not exceed 1 ppm equivalent carbon response, 1 ppm carbon 
monoxide, 0.04 percent (400 ppm) carbon dioxide, and 0.1 ppm nitric 
oxide.
    (7) ``Zero grade air'' includes artificial ``air'' consisting of a 
blend of nitrogen and oxygen with oxygen concentrations between 18 and 
21 mole percent.
    (8) The use of precision blending devices (gas dividers) to obtain 
the required calibration, as defined below, is acceptable, provided that 
the calibration curves they produce name a calibration gas within 2 
percent of its certified concentration. This verification shall be 
performed at between 15 and 50 percent of the full scale concentration 
of the range and shall be included with each gas calibration 
incorporating a blending device. Alternative procedures to verify the 
validity of the analyzer calibration curves generated using a gas 
divider are acceptable provided the procedures are approved in advance 
by the Administrator.
    (b) Calibration gases (not including methanol) shall be traceable to 
within one percent of NIST (formerly NBS) gas standards, or other gas 
standards which have been approved by the Administrator.

[[Page 651]]

    (c) Span gases (not including methanol) shall be accurate to within 
two percent of true concentration, where true concentration refers to 
NIST (formerly NBS) gas standards, or other gas standards which have 
been approved by the Administrator.
    (d) Methanol in air gases used for response factor determination 
shall:
    (1) Be traceable to within 2 percent of NIST 
(formerly NBS) gas standards, or other standards which have been 
approved by the Administrator; and
    (2) Remain within 2 percent of the labeled 
concentration. Demonstration of stability shall be based on a quarterly 
measurement procedure with a precision of 2 
percent (two standard deviations), or other method approved by the 
Administrator. The measurement procedure may incorporate multiple 
measurements. If the true concentration of the gas changes by more than 
two percent, but less than ten percent, the gas may be relabeled with 
the new concentration.

[56 FR 25773, June 5, 1991, as amended at 60 FR 34342, June 30, 1995]



Sec.  86.115-78  EPA dynamometer driving schedules.

    (a) The driving schedules for the Urban Dynamometer Driving 
Schedule, US06, SC03, and the New York City Cycles are specified in 
appendix I of this part. The driving schedules are defined by a smooth 
trace drawn through the specified speed vs. time relationships. They 
each consist of a distinct non-repetitive series of idle, acceleration, 
cruise, and deceleration modes of various time sequences and rates.
    (b) The driver should attempt to follow the target schedule as 
closely as possible (refer to Sec.  86.128 for additional cycle driving 
instructions). The speed tolerance at any given time for these 
schedules, or for a driver's aid chart approved by the Administrator, 
are as follows:
    (1) The upper limit is 2 mph (3.2 km/h) higher than the highest 
point on the trace within 1 second of the given time.
    (2) The lower limit is 2 mph (3.2 km/h) lower than the lowest point 
on the trace within 1 second of the given time.
    (3)(i) Speed variations greater than the tolerances (such as may 
occur during gear changes or braking spikes) are acceptable, provided 
they occur for less than 2 seconds on any occasion and are clearly 
documented as to the time and speed at that point of the driving 
schedule.
    (ii) When conducted to meet the requirements of Sec.  86.129-94 or 
Sec.  86.153-98(d), up to three additional occurrences of speed 
variations greater than the tolerance are acceptable, provided they 
occur for less than 15 seconds on any occasion, and are clearly 
documented as to the time and speed at that point of the driving 
schedule.
    (4) Speeds lower than those prescribed are acceptable, provided the 
vehicle is operated at maximum available power during such occurrences.
    (5) When conducted to meet the requirements of Sec.  86.129-94, 
Sec.  86.132-96, Sec.  86.146-96, or Sec.  86.153-98(d), the speed 
tolerance shall be as specified above, except that the upper and lower 
limits shall be 4 mph (6.4 km/h).
    (c) Figures B78-4(a) and B78-4(b) show the range of acceptable speed 
tolerances for typical points. Figure B78-4(a) is typical of portions of 
the speed curve which are increasing or decreasing throughout the 2-
second time interval. Figure B78-4(b) is typical of portions of the 
speed curve which include a maximum or minimum value.

[[Page 652]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.155


[42 FR 32954, June 28, 1977, as amended at 43 FR 52920, Nov. 14, 1978; 
58 FR 16030, Mar. 24, 1993; 59 FR 16296, Apr. 6, 1994; 79 FR 23695, Apr. 
28, 2014]



Sec.  86.116-94  Calibrations, frequency and overview.

    (a) Calibrations shall be performed as specified in Sec.  86.117 
through Sec.  86.126.
    (b) At least yearly or after any maintenance which could alter 
background emission levels, evaporative enclosure background emission 
measurements shall be performed.

[[Page 653]]

    (c) At least monthly or after any maintenance which could alter 
calibration, the following calibrations and checks shall be performed:
    (1) Calibrate the THC analyzers (both evaporative and exhaust 
instruments), methane analyzer, carbon dioxide analyzer, carbon monoxide 
analyzer, and oxides of nitrogen analyzer (certain analyzers may require 
more frequent calibration depending on particular equipment and uses).
    (2) Calibrate the dynamometer. If the dynamometer receives a weekly 
performance check (and remains within calibration) the monthly 
calibration need not be performed.
    (3) Perform an organic gas retention and calibration on the 
evaporative emissions enclosure (see Sec.  86.117-90(c)).
    (4) Calibrate the gas meters or flow instrumentation used for 
providing total flow measurement for particulate sampling.
    (5) Check the oxides of nitrogen converter efficiency.
    (d) At least weekly or after any maintenance which could alter 
calibration, the following calibrations and checks shall be performed:
    (1) [Reserved]
    (2) Perform a CVS system verification, and
    (3) Run a performance check on the dynamometer. This check may be 
omitted if the dynamometer has been calibrated within the preceding 
month.
    (e) The CVS positive displacement pump or Critical Flow Venturi 
shall be calibrated following initial installation, major maintenance, 
or as necessary when indicated by the CVS system verification (described 
in Sec.  86.119).
    (f) Sample conditioning columns, if used in the CO analyzer train, 
should be checked at a frequency consistent with observed column life or 
when the indicator of the column packing begins to show deterioration.
    (g) The Administrator, upon request, may waive the requirement to 
comply with the specified methanol recovery tolerance (e.g., 2 percent in Sec. Sec.  86.117-90 and 86.119-90), and/or 
the specified methanol retention tolerance (e.g., 4 percent in Sec.  86.117-90), and instead require 
compliance with higher tolerances (not to exceed 6 
percent for recoveries and 8 for retention), 
provided that:
    (1) The Administrator determines that compliance with these 
specified tolerances is not practically feasible; and
    (2) The manufacturer makes information available to the 
Administrator which indicates that the calibration tests and their 
results are consistent with good laboratory practice, and that the 
results are consistent with the results of calibration testing conducted 
by the Administrator.

[56 FR 25774, June 5, 1991, as amended at 58 FR 58422, Nov. 1, 1993; 59 
FR 33913, July 1, 1994; 60 FR 34342, June 30, 1995]



Sec.  86.117-96  Evaporative emission enclosure calibrations.

    The calibration of evaporative emission enclosures consists of three 
parts: initial and periodic determination of enclosure background 
emissions (hydrocarbons and methanol); initial determination of 
enclosure internal volume; and periodic hydrocarbon and methanol 
retention check and calibration. Ethanol retention checks may be 
performed instead of methanol retention checks. Alcohol retentions may 
be omitted if no alcohol-fueled vehicles will be tested in the 
evaporative enclosure. For evaporative and refueling emission tests with 
ethanol-gasoline blends that have less than 25% ethanol by volume, if 
you account for ethanol with a mathematical adjustment as described in 
Sec.  86.1813-17(a)(1)(iv) instead of measuring ethanol, the testing 
specifications and diagnostic requirements in this part 86 that are 
specific to ethanol-gasoline blends do not apply. Alternate calibration 
methods may be used if shown to yield equivalent or superior results, 
and if approved in advance by the Administrator; specifically, more 
extreme temperatures may be used for determining calibration without 
affecting the validity of test results.
    (a) Initial and periodic determination of enclosure background 
emissions. Prior to its introduction into service, annually thereafter, 
and after any repair that can affect the enclosure background emissions, 
the enclosure shall be checked to determine that it does not contain 
materials that will themselves

[[Page 654]]

emit hydrocarbons or methanol. When methanol as well as hydrocarbons are 
present in the evaporative enclosure, the HFID hydrocarbon concentration 
measurement includes the partial response of the HFID to methanol plus 
the hydrocarbons. Determination of the HFID response to methanol, Sec.  
86.121, prior to its being placed in service is required for the 
determination of hydrocarbons. Proceed as follows:
    (1) Prepare the enclosure. (i) Variable-volume enclosures may be 
operated in either latched or unlatched volume configuration, as 
described in paragraph (b)(1) of this section. Ambient temperatures 
shall be maintained at 963 [deg]F throughout the 
4-hour period.
    (ii) Fixed-volume enclosures may be operated with inlet and outlet 
flow streams either closed or open; if inlet and outlet flow streams are 
open, the air flowing into and out of the enclosure must be monitored in 
accordance with Sec.  86.107-96(a)(1)(ii)(B). Ambient temperatures shall 
be maintained at 963 [deg]F throughout the 4-hour 
period.
    (iii) For running loss enclosures ambient temperatures shall be 
maintained at 953 [deg]F throughout the 4-hour 
period. For running loss enclosures designed with a vent for makeup air, 
the enclosure shall be operated with the vent closed.
    (2) The enclosure may be sealed and the mixing fan operated for a 
period of up to 12 hours before the 4-hour background sampling period 
begins.
    (3) Zero and span (calibrate if required) the hydrocarbon analyzer.
    (4) Prior to the background determination, purge the enclosure until 
a stable background hydrocarbon reading is obtained.
    (5) Turn on the mixing blower (if not already on).
    (6) Seal enclosure and measure background hydrocarbon concentration, 
background methanol, temperature, and barometric pressure.
    These are the initial readings CHCi, 
CCH3OHi, and PBi, Ti for the 
enclosure background determination.
    (7) Allow the enclosure to stand undisturbed for four hours.
    (8) Measure the hydrocarbon concentration on the same FID and the 
methanol level. These are the final concentrations, CHCf and 
CCH3OHf. Also measure final temperature and 
barometric pressure.
    (9) Calculate the mass change of methanol, hydrocarbons, and 
hydrocarbons plus methanol in the enclosure according to the equations 
in paragraph (d) of this section.
    (i) Diurnal enclosures. The enclosure background emissions 
(hydrocarbons plus methanol) shall not be greater than 0.05g for the 4 
hours.
    (ii) Running loss enclosures. The enclosure background emissions 
(hydrocarbons plus methanol) shall not be greater than 0.2 grams for the 
4 hours.
    (b) Initial determination of enclosure internal volume. Prior to its 
introduction into service the enclosure internal volume shall be 
determined by the following procedure:
    (1) Carefully measure the internal length, width and height of the 
enclosure, accounting for irregularities (such as braces) and calculate 
the internal volume. For variable-volume enclosures, latch the enclosure 
to a fixed volume when the enclosure is held at a constant temperature; 
this nominal volume shall be repeatable within 0.5 
percent of the reported value.
    (2)-(3) [Reserved]
    (c) Hydrocarbon and methanol (organic gas) retention check and 
calibration. The hydrocarbon and methanol (if the enclosure is used for 
methanol-fueled vehicles) retention check provides a check upon the 
calculated volume and also measures the leak rate. The enclosure leak 
rate shall be determined prior to its introduction into service, 
following any modifications or repairs to the enclosure that may affect 
the integrity of the enclosure, and at least monthly thereafter. The 
methanol retention check must be performed only upon initial 
installation and after major maintenance, consistent with good 
engineering judgment. If six consecutive monthly retention checks are 
successfully completed without corrective action, the enclosure leak 
rate may be determined quarterly thereafter as long as no corrective 
action is required.
    (1) An enclosure to be used for the diurnal emission test (see Sec.  
86.133-96)

[[Page 655]]

shall be calibrated according to the following procedure. Calibration 
for hydrocarbon and methanol may be conducted simultaneously or in 
sequential test runs.
    (i) Zero and span (calibrate if required) the hydrocarbon analyzer.
    (ii) Purge the enclosure until a stable background hydrocarbon 
reading is obtained.
    (iii) Turn on the mixing blowers (if not already on).
    (iv) [Reserved]
    (v) Turn on the ambient temperature control system (if not already 
on) and adjust it for an initial temperature of 96 [deg]F (36 [deg]C). 
On variable-volume enclosures, latch the enclosure to the appropriate 
volume position for the set temperature. On fixed-volume enclosures 
close the outlet and inlet flow streams.
    (vi) When the enclosure stabilizes at 963 
[deg]F (362 [deg]C), seal the enclosure and 
measure background hydrocarbon concentration, background methanol, 
temperature, and barometric pressure. These are the initial readings 
CHCi, CCH3OHi, Ti, and 
PBi for the enclosure calibration.
    (vii) Inject into the enclosure 0.5 to 1.0 grams of pure methanol at 
a recommended temperature of at least 150 [deg]F (65 [deg]C) and/or 0.5 
to 1.0 grams of pure propane at lab ambient temperature. The injected 
quantity may be measured by volume flow or by mass measurement. The 
method used to measure the quantity of methanol and propane must have an 
accuracy of 0.5 percent of the measured value 
(less accurate methods may be used with the advance approval of the 
Administrator).
    (viii) After a minimum of 5 minutes of mixing, analyze the enclosure 
atmosphere for hydrocarbon and methanol content, also record temperature 
and pressure. These measurements are the final readings for the 
enclosure calibration as well as the initial readings for the retention 
check.
    (ix) To verify the enclosure calibration, calculate the mass of 
propane and the mass of methanol using the measurements taken in 
paragraphs (c)(1)(vi) and (viii) of this section. See paragraph (d) of 
this section. This quantity must be within 2 
percent of that measured in paragraph (c)(1)(vii) of this section for 
propane and 5 percent for methanol. Evaluate long-
term trends using good engineering judgment to minimize measurement 
bias. Keep records to document such evaluations and make them available 
to EPA upon request.
    (x) For variable-volume enclosures, unlatch the enclosure from the 
nominal volume configuration. For fixed-volume enclosures, open the 
outlet and inlet flow streams.
    (xi) Start cycling the ambient temperature from 96 [deg]F to 72 
[deg]F and back to 96 [deg]F over a 24-hour period, according to the 
profile specified in Sec.  86.133-96 and appendix II of this part, 
within 15 minutes of sealing the enclosure.
    (xii) At the completion of the 24-hour cycling period, analyze the 
enclosure atmosphere for hydrocarbon and methanol content; determine the 
net withdrawn methanol (in the case of diurnal emission testing with 
fixed volume enclosures); record temperature and barometric pressure. 
These are the final readings for the hydrocarbon and methanol retention 
check. The final hydrocarbon and methanol mass, calculated in paragraph 
(d) of this section, shall be within three percent of that determined in 
paragraph (c)(1)(viii) of this section. (For 1991-1995 calendar years, 
the difference may exceed 3 percent for methanol, 
provided it does not exceed 6 percent.)
    (2) An enclosure to be used for the running loss test (see Sec.  
86.134-96) shall meet the calibration and retention requirements of 
Sec.  86.117-90(c).
    (3) Enclosures calibrated according to the procedures specified in 
either paragraph (c)(1) or (c)(2) of this section may be used for hot 
soak testing (see Sec.  86.138).
    (d) Calculations. (1) The calculation of net methanol and 
hydrocarbon mass change is used to determine enclosure background and 
leak rate. It is also used to check the enclosure volume measurements. 
The methanol mass change is calculated from the initial and final 
methanol samples, the net withdrawn methanol (in the case of diurnal 
emission testing with fixed-volume enclosures), and initial and final 
temperature and pressure according to the following equation:

[[Page 656]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.008


Where:

    (i) MCH3OH = Methanol mass change, [micro]g.
    (ii) V = Enclosure volume, ft\3\, as measured in paragraph (b)(1) of 
this section.
    (iii)-(iv) [Reserved]
    (v) VE = Volume of sample withdrawn, ft\3\. Sample 
volumes must be corrected for differences in temperature to be 
consistent with determination of Vn, prior to being used in 
the equation.
    (vi) PB = Barometric pressure at time of sampling, in. 
Hg.
    (vii) CMS = GC concentration of test sample.
    (viii) AV = Volume of absorbing reagent in impinger (ml).
    (ix) i = Initial sample.
    (x) f = Final sample.
    (xii) 1 = First impinger.
    (xiii) 2 = Second impinger.
    (xiv) MCH3OH,out = mass of methanol exiting the 
enclosure, in the case of fixed volume enclosures for diurnal emission 
testing, [micro]g.
    (xv) MCH3OH,in = mass of methanol exiting the enclosure, 
in the case of fixed volume enclosures for diurnal emission testing, 
[micro]g.
    (2) The hydrocarbon mass change is calculated from the initial and 
final FID readings of hydrocarbon concentration, methanol concentration 
with FID response to methanol, the net withdrawn hydrocarbon and 
methanol (in the case of diurnal emission testing with fixed-volume 
enclosures), and initial and final temperature and pressure according to 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR06OC93.018


Where,
    (i) MHC = Hydrocarbon mass change, g.
    (ii) CHC = FID hydrocarbon concentration as ppm carbon, 
that is, ppm propane x 3, including FID response to methanol in the 
sample.
    (iii) CCH3OH = Methanol concentration as ppm carbon
    [GRAPHIC] [TIFF OMITTED] TR06OC93.019
    
    (iv) V = Enclosure volume ft\3\ (m\3\), as measured in paragraph 
(b)(1) of this section.
    (v) r = FID response factor to methanol.
    (vi) PB = Barometric pressure, in. Hg. (kPa).
    (vii) T = Enclosure ambient temperature, R(K).
    (viii) i = Indicates initial reading.
    (ix) f = Indicates final reading.
    (x)(A) k = 3.05.
    (B) For SI units, k = 17.60.
    (xi) MHC, out = mass of hydrocarbon exiting the 
enclosure, in the case of fixed-volume enclosures for diurnal emission 
testing, g.
    (xii) MHC, in = mass of hydrocarbon entering the 
enclosure, in the case of

[[Page 657]]

fixed-volume enclosures for diurnal emission testing, g.
    (3) For variable-volume enclosures, defined in Sec.  
86.107(a)(1)(i), the following simplified form of the hydrocarbon mass 
change equation may be used:
[GRAPHIC] [TIFF OMITTED] TR06OC93.020

    (e) Calibration of equipment for point-source testing of running 
losses. For the point-source method, the running loss fuel vapor 
sampling system shall be calibrated as a CVS system, as specified in 
Sec.  86.119, with the additional specification that the vapor sampling 
system verification be conducted as follows:
    (1) The following ``gravimetric'' technique can be used to verify 
that the vapor sampling system and analytical instruments can accurately 
measure a mass of gas that has been injected into the system. If the 
vapor sampling system will be used only in the testing of petroleum-
fueled engines, the system verification may be performed using propane. 
If the vapor sampling system will be used with methanol-fueled vehicles 
as well as petroleum-fueled vehicles, the system verification 
performance check must include a methanol check in addition to the 
propane check. (Verification can also be accomplished by constant flow 
metering using critical flow orifice devices.)
    (i) Obtain a small cylinder that has been charged with pure propane 
gas. Obtain another small cylinder that has been charged with pure 
methanol if the system will be used for methanol-fueled vehicle testing. 
Since this cylinder will be heated to 150-155 [deg]F, care must be taken 
to ensure that the liquid volume of methanol placed in the cylinder does 
not exceed approximately one-half of the total volume of the cylinder.
    (ii) Determine a reference cylinder weight to the nearest 0.01 
grams.
    (iii) Operate the vapor sampling system in the normal manner and 
release a known quantity of pure propane into the most frequently used 
fuel vapor collector during the sampling period (approximately 5 
minutes).
    (iv) Continue to operate the vapor sampling system in the normal 
manner and release a known quantity of pure methanol into the system 
during the sampling period (approximately 5 minutes).
    (v) The calculations of Sec.  86.144 are performed in the normal 
way, except in the case of propane. The density of propane (17.30 g/
ft\3\/carbon atom (0.6109 kg/m\3\/carbon atom)) is used in place of the 
density of exhaust hydrocarbons. In the case of methanol, the density of 
37.71 g/ft\3\ (1.332 kg/m\3\) is used.
    (vi) The gravimetric mass is subtracted from the vapor sampling 
system measured mass and then divided by the gravimetric mass to 
determine the percent accuracy of the system.
    (vii) The cause for any discrepancy greater than 2 percent must be found and corrected.
    (2) This procedure shall be conducted in the point-source running 
loss test environment with the collector installed in a vehicle in the 
normal test configuration. The fuel of the test vehicle shall either be 
diesel, or it shall be kept under 100 [deg]F (38 [deg]C). Two to six 
grams of pure propane and two to six grams of pure methanol shall be 
injected into the collector while the vehicle is operated over one Urban 
Dynamometer Driving Schedule (UDDS), as described in Sec.  86.115 and 
appendix I of this part. The propane and methanol injections shall be 
conducted at the ambient temperature of 955 [deg]F 
(353 [deg]C).

[58 FR 16030, Mar. 24, 1993, as amended at 60 FR 34343, June 30, 1995; 
60 FR 43890, Aug. 23, 1995; 70 FR 72927, Dec. 8, 2005; 73 FR 38293, July 
3, 2008; 79 FR 23695, Apr. 28, 2014]

[[Page 658]]



Sec.  86.118-00  Dynamometer calibrations.

    (a) The dynamometer shall be calibrated at least once each month or 
performance verified at least once each week and then calibrated as 
required.
    (b) For large single roll electric dynamometers or equivalent 
dynamometer configurations, the dynamometer adjustment settings for each 
vehicle's emission test sequence shall be verified by comparing the 
force imposed during dynamometer operation with actual road load force.

[61 FR 54891, Oct. 22, 1996]



Sec.  86.119-90  CVS calibration.

    The CVS is calibrated using an accurate flowmeter and restrictor 
valve. Measurements of various parameters are made and related to flow 
through the unit. Procedures used by EPA for both PDP and CFV are 
outlined below. Other procedures yielding equivalent results may be used 
if approved in advance by the Administrator. After the calibration curve 
has been obtained, verification of the entire system can be performed by 
injecting a known mass of gas into the system and comparing the mass 
indicated by the system to the true mass injected. An indicated error 
does not necessarily mean that the calibration is wrong, since other 
factors can influence the accuracy of the system, e.g., analyzer 
calibration. A verification procedure is found in paragraph (c) of this 
section.
    (a) PDP calibrations. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the CVS 
pump. All the parameters related to the pump are simultaneously measured 
with the parameters related to a flowmeter which is connected in series 
with the pump. The calculated flow rate ft\3\/min (at pump inlet 
absolute pressure and temperature) can then be plotted versus a 
correlation function which is the value on a specific combination of 
pump parameters. The linear equation which relates the pump flow and the 
correlation function is then determined. In the event that a CVS has a 
multiple speed drive, a calibration for each range used must be 
performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Three conditions must be maintained to assure 
the accuracy and integrity of the calibration curve. First, the pump 
pressures should be measured at taps on the pump rather than at the 
external piping on the pump inlet and outlet. Pressure taps that are 
mounted at the top center and bottom center of the pump drive headplate 
are exposed to the actual pump cavity pressures, and therefore reflect 
the absolute pressure differentials. Secondly, temperature stability 
must be maintained during the calibration. The laminar flowmeter is 
sensitive to inlet temperature oscillations which cause the data points 
to be scattered. Gradual changes (2 [deg]F (1.1 
[deg]C)) in temperature are acceptable as long as they occur over a 
period of several minutes. Finally, all connections between the 
flowmeter and the CVS pump must be absolutely void of any leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure B90-8. Although particular 
types of equipment are shown, other configurations that yield equivalent 
results may be used if approved in advance by the Administrator. For the 
system indicated, the following data with given accuracy are required:

                      Calibration Data Measurements
------------------------------------------------------------------------
            Parameter                Symbol       Units      Tolerances
------------------------------------------------------------------------
Barometric pressure (corrected).  PB            in. Hg     0.012
                                                            kPa)

[[Page 659]]

 
Pressure drop across the LFE      EDP           in. H2O    0.001
                                                            kPa)
Air temperature at CVS pump       PTI           [deg]F([d  2O (1.0 kPa) 
that will yield a minimum of six data points for the total calibration. 
Allow the system to stabilize for 3 minutes and repeat the data 
acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic feet per minute from the flowmeter data 
using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, 
Vo, in cubic feet per revolution at absolute pump inlet 
temperature and pressure:


[[Page 661]]


Vo = (Qs/n) x (Tp/528) x (29.92/
Pp)

Where:

(A) Vo = Pump flow ft\3\/rev (m\3\/rev) at Tp, 
          Pp.
(B) Qs = Meter air flow rate in standard cubic feet per 
          minute, standard conditions are 68 [deg]F, 29.92 in. Hg (20 
          [deg]C, 101.3 kPa).
(C) n = Pump speed in revolutions per minute.
(D)(1) Tp = Pump inlet temperature, [deg]R([deg]K) = PTI + 
          460.

(2) For SI units, Tp = PTI + 273.

(E)(l) Pp = Absolute pump inlet pressure, in. Hg. (kPa) = 
PB - PPI (SP.GR./13.57).
(2) For SI units, Pp = PB - PPI.

Where:

(F) PB = barometric pressure, in. Hg. (kPa).
(G) PPI = Pump inlet depression, in. fluid (kPa).
(H) SP.GR. = Specific gravity of manometer fluid relative to water.

    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR06OC93.021

Where:

(A) Xo = correlation function.
(B) [Delta] Pp = the pressure differential from pump inlet to 
          pump outlet, in. Hg (kPa) = Pe - Pp.

(C)(1) Pe = Absolute pump outlet pressure, in Hg, (kPa) = 
PB + PPO (SP.GR./13.57).

(2) For SI units, Pe = PB + PPO.

Where:

(D) PPO = Pressure head at pump outlet, in. fluid (kPa).
(iv) A linear least squares fit is performed to generate the calibration 
          equations which have the forms:
Vo = Do - M(Xo)
n = A - B([Delta] Pp)
Do, M, A, and B are the slope-intercept constants describing 
          lines.

    (8) A CVS system that has multiple speeds should be calibrated on 
each speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, Do, will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within 0.50 
percent of the measured value of Vo. Values of M will vary 
from one pump to another, but values of Do for pumps of the 
same make, model, and range should agree within 3 
percent of each other. Particulate influx from use will cause the pump 
slip to decrease as reflected by lower values for M. Calibrations should 
be performed at pump start-up and after major maintenance to assure the 
stability of the pump slip rate. Analysis of mass injection data will 
also reflect pump slip stability.
    (b) CFV calibration. (1) Calibration of the CFV is based upon the 
flow equation for a critical venturi. Gas flow is a function of inlet 
pressure and temperature:
[GRAPHIC] [TIFF OMITTED] TR06OC93.022


Where:

(i) Qs = Flow.
(ii) Kv = Calibration coefficient.
(iii) P = Absolute pressure.
(iv) T = Absolute temperature.


The calibration procedure described below establishes the value of the 
calibration coefficient at measured values of pressure, temperature and 
air flow.
    (2) The manufacturer's recommended procedure shall be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
              Parameter                      Symbol                 Units                    Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)......  Pb................  Inches Hg (kPa)........  .01 in
                                                                                     Hg (.034 kPa)
Air temperature, flowmeter...........  ETI...............  [deg]F ([deg]C)........  25
                                                                                     [deg]F (14 [deg]C)
Pressure depression upstream of LFE..  EPI...............  Inches H2O (kPa).......  .05 in
                                                                                     H2O (.012 kPa)
Pressure drop across LFE matrix......  EDP...............  Inches H2O (kPa).......  .005
                                                                                     in H2O (.001
                                                                                     kPa)
Air flow.............................  Qs................  Ft\3\/min. (m\3\/min,).  .5 pct

[[Page 662]]

 
CFV inlet depression.................  PPI...............  Inches fluid (kPa).....  .13 in
                                                                                     fluid (.055 kPa)
CFV outlet pressure..................  PPO...............  Inches Hg (kPa)........  0.05
                                                                                     in. Hg (0.17 kPa) \1\
Temperature at venturi inlet.........  Tv................  [deg]F ([deg]C)........  0.5
                                                                                     [deg]F (0.28 [deg]C)
Specific gravity of manometer fluid    Sp. Gr............
 (1.75 oil).
----------------------------------------------------------------------------------------------------------------
\1\ Requirement begins August 20, 2001.

    (4) Set up equipment as shown in Figure B90-9 and check for leaks. 
Any leaks between the flow measuring device and the critical flow 
venturi will seriously affect the accuracy of the calibration.

[[Page 663]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.199

    (5) Set the variable flow restrictor to the open position, start the 
blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least 8 readings across the 
critical flow range of the venturi.
    (7) Data analysis: The data recorded during the calibration are to 
be used in the following calculations:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic feet per minute from the flow meter data 
using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:

[[Page 664]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.023


Where:

(A) Qs = Flow rate in standard cubic feet per minute, 
standard conditions are 68 [deg]F 29.92 in. Hg (20 [deg]C, 101.3 kPa).
(B) Tv = Temperature at venturi inlet, [deg]R([deg]K).
(C)(1) Pv = Pressure at venturi inlet, mm Hg (kPa) = 
PB - PPI (SP.GR./13.57).
(2) For SI units, Pv = PB - PPI.

Where:

(D) PPI = Venturi inlet pressure depression, in. fluid (kPa).
(E) SP.GR. = Specific gravity of manometer fluid, relative to water.

    (iii) Plot Kv as a function of venturi inlet pressure. 
For sonic flow Kv will have a relatively constant value. As 
pressure decreases (vacuum increases), the venturi becomes unchoked and 
Kv decreases. See Figure B90-10.

[[Page 665]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.200

    (iv) For a minimum of 8 points in the critical region calculate an 
average Kv and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average 
Kv take corrective action.
    (8) Calculation of a parameter for monitoring sonic flow in the CFV 
during exhaust emissions tests:
    (i) Option 1. (A) CFV pressure ratio. Based upon the calibration 
data selected to meet the criteria for paragraphs (d)(7) (iv) and (v) of 
this section, in which Kv is constant, select the data values 
associated with the calibration point with the lowest absolute venturi

[[Page 666]]

inlet pressure. With this set of calibration data, calculated the 
following CFV pressure ratio limit, Prratio-lim:
[GRAPHIC] [TIFF OMITTED] TR18FE00.022

Where:

Pin-cal = Venturi inlet pressure (PPI in absolute pressure 
          units), and
Pout-cal = Venturi outlet pressure (PPO in absolute pressure 
          units), measured at the exit of the venturi diffuser outlet.

    (B) The venturi pressure ratio (Prratio-i) during all 
emissions tests must be less than, or equal to, the calibration pressure 
ratio limit (Prratio-lim) derived from the CFV calibration 
data, such that:
[GRAPHIC] [TIFF OMITTED] TR18FE00.023

Where:

Pin-i and Pout-i are the venturi inlet and outlet 
          pressures, in absolute pressure units, at each i-th interval 
          during the emissions test.

    (ii) Option 2. Other methods: With prior Administrator approval, any 
other method may be used that assure that the venturi operates at sonic 
conditions during emissions tests, provided the method is based upon 
sound engineering principles.
    (c) CVS System Verification. The following ``gravimetric'' technique 
can be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
If the CVS and analytical system will be used only in the testing of 
petroleum-fueled engines, the system verification may be performed using 
either propane or carbon monoxide. If the CVS and analytical system will 
be used with methanol-fueled vehicles as well as petroleum-fueled 
vehicles, system verification performance check must include a methanol 
check in addition to either the propane or carbon monoxide check. 
(Verification can also be accomplished by constant flow metering using 
critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with pure propane 
or carbon monoxide gas (CAUTION--carbon monoxide is poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane or carbon monoxide into the system during the sampling 
period (approximately 5 minutes).
    (4) Following completion of step (3) in this paragraph (c) (if 
methanol injection is required), continue to operate the CVS in the 
normal manner and release a known quantity of pure methanol (in gaseous 
form) into the system during the sampling period (approximately five 
minutes). This step does not need to be performed with each 
verification, provided that it is performed at least twice annually.
    (5) The calculations of Sec.  86.144 are performed in the normal 
way, except in the case of propane. The density of propane (17.30 g/
ft\3\/carbon atom (0.6109 kg/m\3\/carbon atom)) is used in place of the 
density of exhaust hydrocarbons. In the case of carbon monoxide, the 
density of 32.97 g/ft\3\ (1.164 kg/m\3\) is used. In the case of 
methanol, the density of 37.71 g/ft\3\ (1.332 kg/m\3\) is used.
    (6) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (7) The cause for any discrepancy greater than 2 percent must be found and corrected. (For 1991-1995 
calendar years, discrepancies greater than 2 
percent are allowed for the methanol test, provided that they do not 
exceed 8 percent for 1991 testing or 6 percent for 1992-1995 testing.)

[54 FR 14518, Apr. 11, 1989, as amended at 60 FR 34344, June 30, 1995; 
62 FR 47121, Sept. 5, 1997; 63 FR 24448, May 4, 1998; 65 FR 8278, Feb. 
18, 2000]



Sec.  86.120-94  Gas meter or flow instrumentation calibration; particulate, 
methanol and formaldehyde measurement.

    (a) Sampling for particulate, methanol and formaldehyde emissions 
requires the use of gas meters or flow instrumentation to determine flow 
through the particulate filters, methanol impingers and formaldehyde 
impingers. These instruments shall receive initial and periodic 
calibrations as follows:

[[Page 667]]

    (1)(i) Install a calibration device in series with the instrument. A 
critical flow orifice, a bellmouth nozzle, a laminar flow element or an 
NBS traceable flow calibration device is required as the standard 
device.
    (ii) The flow system should be checked for leaks between the 
calibration and sampling meters, including any pumps that may be part of 
the system, using good engineering practice.
    (2) Flow air through the calibration system at the sample flow rate 
used for particulate, methanol, and formaldehyde testing and at the 
backpressure which occurs during the test.
    (3) When the temperature and pressure in the system have stabilized, 
measure the indicated gas volume over a time period of at least five 
minutes or until a gas volume of at least 1 
percent accuracy can be determined by the standard device. Record the 
stabilized air temperature and pressure upstream of the instrument and 
as required for the standard device.
    (4) Calculate air flow at standard conditions as measured by both 
the standard device and the instrument(s). (Standard conditions are 
defined as 68 [deg]F (20 [deg]C) and 29.92 in Hg (101.3 kPa).)
    (5) Repeat the procedures of paragraphs (a)(2) through (4) of this 
section using at least two flow rates which bracket the typical 
operating range.
    (6) If the air flow at standard conditions measured by the 
instrument differs by 1.0 percent of the maximum 
operating range or 2.0 percent of the point 
(whichever is smaller), then a correction shall be made by either of the 
following two methods:
    (i) Mechanically adjust the instrument so that it agrees with the 
calibration measurement at the specified flow rates using the criteria 
of paragraph (a)(6) of this section; or
    (ii) Develop a continuous best fit calibration curve for the 
instrument (as a function of the calibration device flow measurement) 
from the calibration points to determine corrected flow. The points on 
the calibration curve relative to the calibration device measurements 
must be within 1.0 percent of the maximum 
operating range of 2.0 percent of the point 
(whichever is smaller).
    (b) Other systems. A bell prover may be used to calibrate the 
instrument if the procedure outlined in ANSI B109.1-1973 is used. Prior 
approval by the Administrator is not required to use the bell prover.

[60 FR 34344, June 30, 1995]



Sec.  86.121-90  Hydrocarbon analyzer calibration.

    The hydrocarbon analyzers shall receive the following initial and 
periodic calibration. The HFID used with petroleum-fueled diesel 
vehicles shall be operated at a temperature of 375 [deg]F10 [deg]F (191 [deg]6 [deg]C). The 
HFID used with methanol-fueled vehicles shall be operated at 235 
[deg]15 [deg]F (1138 
[deg]C).
    (a) Initial and periodic optimization of detector response. Prior to 
its introduction into service and at least annually thereafter, the FID 
and HFID hydrocarbon analyzers shall be adjusted for optimum hydrocarbon 
response. Alternate methods yielding equivalent results may be used, if 
approved in advance by the Administrator.
    (1) Follow the manufacturer's instructions or good engineering 
practice for instrument startup and basic operating adjustment using the 
appropriate FID fuel and zero-grade air.
    (2) Optimize on the most common operating range. Introduce into the 
analyzer a propane (methane as appropriate) in air mixture (methanol in 
air mixture for methanol-fueled vehicles when optional methanol 
calibrated HFID procedure is used during the 1994 model year) with a 
propane (or methane or methanol as appropriate) concentration equal to 
approximately 90 percent of the most common operating range.
    (3) One of the following is required for FID or HFID optimization:
    (i) For all FIDs and HFIDs, the procedures specified by the 
applicable FID or HFID manufacturer.
    (ii) For Beckman 400 FIDs only, implementation of the 
recommendations outlined in Society of Automotive Engineers (SAE) paper 
No. 770141, ``Optimization of Flame Ionization Detector for 
Determination of Hydrocarbons in Diluted Automobile Exhaust''; author, 
Glenn D. Reschke.
    (iii) For HFIDs only, the following peaking procedure. (A) With the 
fuel

[[Page 668]]

and air flow rates set in the manufacturer's recommendations, determine 
the analyzer response from the difference between the span-gas response 
and the zero gas response. Incrementally adjust the fuel flow above and 
below the manufacturer's specification. Record the span and zero 
response at these fuel flows. A plot of the difference between the span 
and zero response versus the fuel flow will be similar to the one shown 
in Fig. B87-11. Adjust the fuel-flow rate to the highest setting that 
produces the maximum analyzer response.
    (B) To determine the optimum air flow, use the fuel flow setting 
determined in paragraph (a)(3)(iii)(A) of this section and vary air 
flow.
    (iv) Alternative procedures may be used if approved in advance by 
the Administrator.
    (4) To determine the optimum air flow, use the FID fuel flow setting 
determined above and vary air flow.
    (5) After the optimum flow rates have been determined, record them 
for future reference.
    (b) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter the FID or HFID hydrocarbon analyzers 
shall be calibrated on all normally used instrument ranges, and, if 
testing methanol vehicles under the procedure described in Sec.  86.107-
90(a)(2)(ii) or Sec.  86.110-90(a)(4), the methanol response factor 
shall be determined (paragraph (c) of this section). Use the same flow 
rate as when analyzing sample.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with zero-grade air.
    (3) Calibrate on each normally used operating range with propane in 
air calibration gases (either methanol or methane in air as appropriate) 
having nominal concentrations of 15, 30, 45, 60, 75 and 90 percent of 
that range. For each range calibrated, if the deviation from a least 
squares best-fit straight line is two percent or less of the value at 
each data point, concentration values may be calculated by use of a 
single calibration factor for that range. If the deviation exceeds two 
percent at any point, the best-fit non-linear equation which represents 
the data to within two percent of each test point shall be used to 
determine concentration.
    (c) FID response factor to methanol. When the FID analyzer is to be 
used for the analysis of hydrocarbon samples containing methanol, the 
methanol response factor of the analyzer shall be established. The 
methanol response factor shall be determined at several concentrations 
in the range of concentrations in the exhaust sample, using either bag 
samples or gas bottles meeting the requirements of Sec.  86.114.
    (1) The bag sample of methanol for analysis in the FID, if used, 
shall be prepared using the apparatus shown in Figure B90-11. A known 
volume of methanol is injected, using a microliter syringe, into the 
heated mixing zone (250 [deg]F (121 [deg]C)) of the apparatus. The 
methanol is vaporized and swept into the sample bag with a known volume 
of zero grade air measured by a gas flow meter meeting the performance 
requirements of Sec.  86.120.

[[Page 669]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.159

    (2) The bag sample is analyzed using the FID.
    (3) The FID response factor, r, is calculated as follows:

r = FIDppm/SAMppm


Where:

    (i) r = FID response factor.

[[Page 670]]

    (ii) FIDppm = FID reading in ppmC.
    (iii) SAMppm = methanol concentration in the sample bag, or gas 
bottle, in ppmC. SAMppm for sample bags
[GRAPHIC] [TIFF OMITTED] TR06OC93.024


Where:

    (iv) 0.02406 = Volume of one mole at 29.92 in. Hg and 68 [deg]F, 
m\3\.
    (v) Fuel injected = Volume of methanol injected, ml.
    (vi) Fuel density = Density of methanol, 0.7914 g/ml.
    (vii) Air volume = Volume of zero grade air, m\3\.
    (viii) Mol. Wt. CH3OH = 32.04.
    (d) FID response factor to methane. When the FID analyzer is to be 
used for the analysis of gasoline, diesel, methanol, ethanol, liquefied 
petroleum gas, and natural gas-fueled vehicle hydrocarbon samples, the 
methane response factor of the analyzer must be established. To 
determine the total hydrocarbon FID response to methane, known methane 
in air concentrations traceable to the National Institute of Standards 
and Technology (NIST) must be analyzed by the FID. Several methane 
concentrations must be analyzed by the FID in the range of 
concentrations in the exhaust sample. The total hydrocarbon FID response 
to methane is calculated as follows:


rCH4 = FIDppm/SAMppm

    Where:

    (1) rCH4 = FID response factor to methane.
    (2) FIDppm = FID reading in ppmC.
    (3) SAMppm = the known methane concentration in ppmC.

[54 FR 14525, Apr. 11, 1989, as amended at 59 FR 48508, Sept. 21, 1994; 
60 FR 34345, June 30, 1995; 70 FR 40433, July 13, 2005]



Sec.  86.122-78  Carbon monoxide analyzer calibration.

    The NDIR carbon monoxide analyzer shall receive the following 
initial and periodic calibrations:
    (a) Initial and periodic interference check. Prior to its 
introduction into service and annually thereafter the NDIR carbon 
monoxide analyzer shall be checked for response to water vapor and 
CO2:
    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Bubble a mixture of 3 percent CO2 in N2 
through water at room temperature and record analyzer response.
    (4) An analyzer response of more than 1 percent of full scale for 
ranges above 300 ppm full scale or of more than 3 ppm on ranges below 
300 ppm full scale will require corrective action. (Use of conditioning 
columns is one form of corrective action which may be taken.)
    (b) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter the NDIR carbon monoxide analyzer shall 
be calibrated.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
monoxide in N2 calibration gases having nominal 
concentrations of 15, 30, 45, 60, 75, and 90 percent of that range. 
Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is 2 percent or less of the value at each data point, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds 2 percent at any point, the best-fit 
non-linear equation which represents the data to within 2 percent of 
each test point shall be used to determine concentration.



Sec.  86.123-78  Oxides of nitrogen analyzer calibration.

    The chemiluminescent oxides of nitrogen analyzer shall receive the 
following initial and periodic calibration.
    (a) Prior to introduction into service and at least monthly 
thereafter the chemiluminescent oxides of nitrogen analyzer must be 
checked for NO2 to NO converter efficiency. Figure B78-9

[[Page 671]]

is a reference for paragraphs (a) (1) through (11) of this section.
    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (4) Introduce into the NOX generator analyzer-system an 
NO in nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture shall be less than 5 percent 
of the NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.

[[Page 672]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.160

    (6) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
step (5). Record the concentration of NO in this NO + O2 
mixture.
    (7) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in step (5). There must be at least 10 percent 
unreacted NO at this point. Record the concentration of residual NO.
    (8) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value.
    (9) Switch off the NOX generation but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO + O2 mixture. Record this value.
    (10) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO in N2

[[Page 673]]

mixture. This value should be no more than 5 percent above the value 
indicated in step (4).
    (11) Calculate the efficiency of the NOX converted by 
substituting the concentrations obtained into the following equation:

Percent Efficiency = [1 + (a - b)/(c - d)] x 100

where:
a = concentration obtained in step (8).
b = concentration obtained in step (9).
c = concentration obtained in step (6).
d = concentration obtained in step (7).


If converter efficiency is not greater than 90 percent corrective action 
will be required.
    (b) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter the chemiluminescent oxides of nitrogen 
analyzer shall be calibrated on all normally used instrument ranges. Use 
the same flow rate as when analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO in N2 
calibration gases having nominal concentrations of 15, 30, 45, 60, 75, 
and 90 percent of that range. For each range calibrated, if the 
deviation from a least-squares best-fit straight line is 2 percent or 
less of the value at each data point, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds 2 percent at any point, the best-fit non-linear 
equation which represents the data to within 2 percent of each test 
point shall be used to determine concentration.
    (c) When testing methanol-fueled vehicles, it may be necessary to 
clean the analyzer frequently to prevent interference with 
NOX measurements (see EPA/600/S3-88/040).

[42 FR 32954, June 28, 1977, as amended at 42 FR 45652, Sept. 12, 1977; 
52 FR 47869, Dec. 16, 1987; 58 FR 58422, Nov. 1, 1993; 60 FR 34347, June 
30, 1995]



Sec.  86.124-78  Carbon dioxide analyzer calibration.

    Prior to its introduction into service and monthly thereafter the 
NDIR carbon dioxide analyzer shall be calibrated:
    (a) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (b) Zero the carbon dioxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (c) Calibrate on each normally used operating range with carbon 
dioxide in N2 calibration gases with nominal concentrations 
of 15, 30, 45, 60, 75, and 90 percent of that range. Additional 
calibration points may be generated. For each range calibrated, if the 
deviation from a least-squares best-fit straight line is 2 percent or 
less of the value at each data point, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds 2 percent at any point, the best-fit non-linear 
equation which represents the data to within 2 percent of each test 
point shall be used to determine concentration.



Sec.  86.125-94  Methane analyzer calibration.

    Prior to introduction into service and monthly thereafter, the 
methane analyzer shall be calibrated:
    (a) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (b) Zero the methane analyzer with zero-grade air.
    (c) Calibrate on each normally used operating range with 
CH4 in air with nominal concentrations of 15, 30, 45, 60, 75, 
and 90 percent of that range. Additional calibration points may be 
generated. For each range calibrated, if the deviation from a least-
squares best-fit straight line is 2 percent or less of the value at each 
data point, concentration values may be calculated by use of a single 
calibration factor for that range. If the deviation exceeds 2 percent at 
any point, the best-fit non-linear equation which represents the data to 
within 2 percent of each test

[[Page 674]]

point shall be used to determine concentration.

[56 FR 25774, June 5, 1991]



Sec.  86.126-90  Calibration of other equipment.

    Other test equipment used for testing shall be calibrated as often 
as required by the manufacturer or as necessary according to good 
practice. Specific equipment requiring calibration are the gas 
chromatograph and flame ionization detector used in measuring methanol 
and the high pressure liquid chromatograph (HPLC) and ultraviolet 
detector for measuring formaldehyde.

[54 FR 14527, Apr. 11, 1989]



Sec.  86.127-00  Test procedures; overview.

    Applicability. The procedures described in this and subsequent 
sections are used to determine the conformity of vehicles with the 
standards set forth in subpart A or S of this part (as applicable) for 
light-duty vehicles and light-duty trucks. Except where noted, the 
procedures of paragraphs (a) through (b) of this section, Sec.  86.127-
96 (c) and (d), and the contents of Sec. Sec.  86.135-94, 86.136-90, 
86.137-96, 86.140-94, 86.142-90, and 86.144-94 are applicable for 
determining emission results for vehicle exhaust emission systems 
designed to comply with the FTP emission standards, or the FTP emission 
element required for determining compliance with composite SFTP 
standards. Paragraphs (f) and (g) of this section discuss the additional 
test elements of aggressive driving (US06) and air conditioning (SC03) 
that comprise the exhaust emission components of the SFTP. Section 
86.127-96(e) discusses fuel spitback emissions and paragraphs (h) and 
(i) of this section are applicable to all vehicle emission test 
procedures. Section 86.127-00 includes text that specifies requirements 
that differ from Sec.  86.127-96. Where a paragraph in Sec.  86.127-96 
is identical and applicable to Sec.  86.127-00, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.127-96.''
    (a) The overall test consists of prescribed sequences of fueling, 
parking, and operating test conditions. Vehicles are tested for any or 
all of the following emissions:
    (1) Gaseous exhaust THC, CO, NOX. CO2 (for 
petroleum-fueled and gaseous- fueled vehicles), plus CH3OH 
and HCHO for methanol-fueled vehicles, plus CH4 (for vehicles 
subject to the NMHC and NMHCE standards).
    (2) Particulates.
    (3) Evaporative HC (for gasoline-fueled, methanol-fueled and 
gaseous-fueled vehicles) and CH3OH (for methanol-fueled 
vehicles). The evaporative testing portion of the procedure occurs after 
the exhaust emission test; however, exhaust emissions need not be 
sampled to complete a test for evaporative emissions.
    (4) Fuel spitback (this test is not required for gaseous-fueled 
vehicles).
    (b) The FTP Otto-cycle exhaust emission test is designed to 
determine gaseous THC, CO, CO2, CH4, 
NOX, and particulate mass emissions from gasoline-fueled, 
methanol-fueled and gaseous-fueled Otto-cycle vehicles as well as 
methanol and formaldehyde from methanol-fueled Otto-cycle vehicles, 
while simulating an average trip in an urban area of 11 miles (18 
kilometers). The test consists of engine start-ups and vehicle operation 
on a chassis dynamometer through a specified driving schedule (see 
paragraph (a), EPA Urban Dynamometer Driving Schedule, of appendix I to 
this part). A proportional part of the diluted exhaust is collected 
continuously for subsequent analysis, using a constant volume (variable 
dilution) sampler or critical flow venturi sampler.
    (c)-(e) [Reserved]. For guidance see Sec.  86.127-96.
    (f) The element of the SFTP for exhaust emissions related to 
aggressive driving (US06) is designed to determine gaseous THC, NMHC, 
CO, CO2, CH4, and NOX emissions from 
gasoline-fueled or diesel-fueled vehicles (see Sec.  86.158-00 
Supplemental test procedures; overview, and Sec.  86.159-00 Exhaust 
emission test procedures for US06 emissions). The test cycle simulates 
urban driving speeds and accelerations that are not represented by the 
FTP Urban Dynamometer Driving Schedule simulated trips discussed in 
paragraph (b) of this section. The test consists of vehicle operation on 
a chassis dynamometer

[[Page 675]]

through a specified driving cycle (see paragraph (g), US06 Dynamometer 
Driving Schedule, of appendix I to this part). A proportional part of 
the diluted exhaust is collected continuously for subsequent analysis, 
using a constant volume (variable dilution) sampler or critical flow 
venturi sampler.
    (g)(1) The element of the SFTP related to the increased exhaust 
emissions caused by air conditioning operation (SC03) is designed to 
determine gaseous THC, NMHC, CO, CO2, CH4, and 
NOX emissions from gasoline-fueled or diesel fueled vehicles 
related to air conditioning use (see Sec.  86.158-00 Supplemental 
federal test procedures; overview and Sec.  86.160-00 Exhaust emission 
test procedure for SC03 emissions). The test cycle simulates urban 
driving behavior with the air conditioner operating. The test consists 
of engine startups and vehicle operation on a chassis dynamometer 
through specified driving cycles (see paragraph (h), SC03 Dynamometer 
Driving Schedule, of appendix I to this part). A proportional part of 
the diluted exhaust is collected continuously for subsequent analysis, 
using a constant volume (variable dilution) sampler or critical flow 
venturi sampler. The testing sequence includes an approved 
preconditioning cycle, a 10 minute soak with the engine turned off, and 
the SC03 cycle with measured exhaust emissions.
    (2) The SC03 air conditioning test is conducted with the air 
conditioner operating at specified settings and the ambient test 
conditions of:
    (i) Air temperature of 95 [deg]F;
    (ii) 100 grains of water/pound of dry air (approximately 40 percent 
relative humidity);
    (iii) Simulated solar heat intensity of 850 W/m \2\ (see Sec.  
86.161-00(d)); and
    (iv) air flow directed at the vehicle that will provide 
representative air conditioner system condenser cooling at all vehicle 
speeds (see Sec.  86.161-00(e)).
    (3) Manufacturers have the option of simulating air conditioning 
operation during testing at other ambient test conditions provided they 
can demonstrate that the vehicle tail pipe exhaust emissions are 
representative of the emissions that would result from the SC03 cycle 
test procedure and the ambient conditions of paragraph (g)(2) of this 
section. The Administrator has approved two optional air conditioning 
test simulation procedures AC1 and AC2 (see Sec.  86.162-00) for only 
the model years of 2000 through 2002. If a manufacturer desires to 
conduct simulation SC03 testing for model year 2003 and beyond, the 
simulation test procedure must be approved in advance by the 
Administrator (see Sec. Sec.  86.162-00 and 86.163-00).
    (h) Except in cases of component malfunction or failure, all 
emission control systems installed on or incorporated in a new motor 
vehicle shall be functioning during all procedures in this subpart. 
Maintenance to correct component malfunction or failure shall be 
authorized in accordance with Sec.  86.098-25 or Sec.  86.1834-01 as 
applicable.
    (i) Background concentrations are measured for all species for which 
emissions measurements are made. For exhaust testing, this requires 
sampling and analysis of the dilution air. For evaporative testing, this 
requires measuring initial concentrations. (When testing methanol-fueled 
vehicles, manufacturers may choose not to measure background 
concentrations of methanol and/or formaldehyde, and then assume that the 
concentrations are zero during calculations.)

[61 FR 54891, Oct. 22, 1996, as amended at 64 FR 23921, May 4, 1999]



Sec.  86.127-12  Test procedures; overview.

    Applicability. The procedures described in this subpart are used to 
determine the conformity of vehicles with the standards set forth in 
subpart A or S of this part (as applicable) for light-duty vehicles, 
light-duty trucks, and medium-duty passenger vehicles. Except where 
noted, the procedures of paragraphs (a) through (d) of this section, and 
the contents of Sec. Sec.  86.135-00, 86.136-90, 86.137-96, 86.140-94, 
86.142-90, and 86.144-94 are applicable for determining emission results 
for vehicle exhaust emission systems designed to comply with the FTP 
emission standards, or the FTP emission element required for determining 
compliance with composite SFTP standards. Paragraph (e) of this section 
discusses fuel spitback emissions. Paragraphs (f) and

[[Page 676]]

(g) of this section discuss the additional test elements of aggressive 
driving (US06) and air conditioning (SC03) that comprise the exhaust 
emission components of the SFTP. Paragraphs (h) and (i) of this section 
are applicable to all vehicle emission test procedures.
    (a) The overall test consists of prescribed sequences of fueling, 
parking, and operating test conditions. Vehicles are tested for any or 
all of the following emissions, depending upon the specific test 
requirements and the vehicle fuel type:
    (1) Gaseous exhaust THC, NMHC, NMOG, CO, NOX, 
CO2, N2O, CH4, CH3OH, 
C2H5OH, C2H4O, and HCHO.
    (2) Particulates.
    (3) Evaporative HC (for gasoline-fueled, methanol-fueled and 
gaseous-fueled vehicles) and CH3OH (for methanol-fueled 
vehicles). The evaporative testing portion of the procedure occurs after 
the exhaust emission test; however, exhaust emissions need not be 
sampled to complete a test for evaporative emissions.
    (4) Fuel spitback (this test is not required for gaseous-fueled 
vehicles).
    (b) The FTP Otto-cycle exhaust emission test is designed to 
determine gaseous THC, NMHC, NMOG, CO, CO2, CH4, 
NOX, N2O, and particulate mass emissions from 
gasoline-fueled, methanol-fueled and gaseous-fueled Otto-cycle vehicles 
as well as methanol and formaldehyde from methanol-fueled Otto-cycle 
vehicles, as well as methanol, ethanol, acetaldehyde, and formaldehyde 
from ethanol-fueled vehicles, while simulating an average trip in an 
urban area of approximately 11 miles (approximately 18 kilometers). The 
test consists of engine start-ups and vehicle operation on a chassis 
dynamometer through a specified driving schedule (see paragraph (a) of 
appendix I to this part for the Urban Dynamometer Driving Schedule). A 
proportional part of the diluted exhaust is collected continuously for 
subsequent analysis, using a constant volume (variable dilution) sampler 
or critical flow venturi sampler.
    (c) The diesel-cycle exhaust emission test is designed to determine 
particulate and gaseous mass emissions during the test described in 
paragraph (b) of this section. For petroleum-fueled diesel-cycle 
vehicles, diluted exhaust is continuously analyzed for THC using a 
heated sample line and analyzer; the other gaseous emissions 
(CH4, CO, CO2, N2O, and NOX) 
are collected continuously for analysis as in paragraph (b) of this 
section. For methanol- and ethanol-fueled vehicles, THC, methanol, 
formaldehyde, CO, CO2, CH4, N2O, and 
NOX are collected continuously for analysis as in paragraph 
(b) of this section. Additionally, for ethanol-fueled vehicles, ethanol 
and acetaldehyde are collected continuously for analysis as in paragraph 
(b) of this section. THC, methanol, ethanol, acetaldehyde, and 
formaldehyde are collected using heated sample lines, and a heated FID 
is used for THC analyses. Simultaneous with the gaseous exhaust 
collection and analysis, particulates from a proportional part of the 
diluted exhaust are collected continuously on a filter. The mass of 
particulate is determined by the procedure described in Sec.  86.139. 
This testing requires a dilution tunnel as well as the constant volume 
sampler.
    (d) The evaporative emission test (gasoline-fueled vehicles, 
methanol-fueled and gaseous-fueled vehicles) is designed to determine 
hydrocarbon and methanol evaporative emissions as a consequence of 
diurnal temperature fluctuation, urban driving and hot soaks following 
drives. It is associated with a series of events that a vehicle may 
experience and that may result in hydrocarbon and/or methanol vapor 
losses. The test procedure is designed to measure:
    (1) Diurnal emissions resulting from daily temperature changes (as 
well as relatively constant resting losses), measured by the enclosure 
technique (see Sec.  86.133-96);
    (2) Running losses resulting from a simulated trip performed on a 
chassis dynamometer, measured by the enclosure or point-source technique 
(see Sec.  86.134-96; this test is not required for gaseous-fueled 
vehicles); and
    (3) Hot soak emissions, which result when the vehicle is parked and 
the hot engine is turned off, measured by the enclosure technique (see 
Sec.  86.138-96).
    (e) Fuel spitback emissions occur when a vehicle's fuel fill neck 
cannot

[[Page 677]]

accommodate dispensing rates. The vehicle test for spitback consists of 
a short drive followed immediately by a complete refueling event. This 
test is not required for gaseous-fueled vehicles.
    (f) The element of the SFTP for exhaust emissions related to 
aggressive driving (US06) is designed to determine gaseous THC, NMHC, 
CO, CO2, CH4, and NOX emissions from 
gasoline-fueled or diesel-fueled vehicles (see Sec.  86.158-08 
Supplemental test procedures; overview, and Sec.  86.159-08 Exhaust 
emission test procedures for US06 emissions). The test cycle simulates 
urban driving speeds and accelerations that are not represented by the 
FTP Urban Dynamometer Driving Schedule simulated trips discussed in 
paragraph (b) of this section. The test consists of vehicle operation on 
a chassis dynamometer through a specified driving cycle (see paragraph 
(g), US06 Dynamometer Driving Schedule, of appendix I to this part). A 
proportional part of the diluted exhaust is collected continuously for 
subsequent analysis, using a constant volume (variable dilution) sampler 
or critical flow venturi sampler.
    (g)(1) The element of the SFTP related to the increased exhaust 
emissions caused by air conditioning operation (SC03) is designed to 
determine gaseous THC, NMHC, CO, CO2, CH4, and 
NOX emissions from gasoline-fueled or diesel fueled vehicles 
related to air conditioning use (see Sec.  86.158-08 Supplemental 
Federal test procedures; overview and Sec.  86.160-00 Exhaust emission 
test procedure for SC03 emissions). The test cycle simulates urban 
driving behavior with the air conditioner operating. The test consists 
of engine startups and vehicle operation on a chassis dynamometer 
through specified driving cycles (see paragraph (h), SC03 Dynamometer 
Driving Schedule, of appendix I to this part). A proportional part of 
the diluted exhaust is collected continuously for subsequent analysis, 
using a constant volume (variable dilution) sampler or critical flow 
venturi sampler. The testing sequence includes an approved 
preconditioning cycle, a 10 minute soak with the engine turned off, and 
the SC03 cycle with measured exhaust emissions.
    (2) The SC03 air conditioning test is conducted with the air 
conditioner operating at specified settings and the ambient test 
conditions of:
    (i) Air temperature of 95 [deg]F;
    (ii) 100 grains of water/pound of dry air (approximately 40 percent 
relative humidity);
    (iii) Simulated solar heat intensity of 850 W/m\2\ (see Sec.  
86.161-00(d)); and
    (iv) Air flow directed at the vehicle that will provide 
representative air conditioner system condenser cooling at all vehicle 
speeds (see Sec.  86.161-00(e)).
    (3) Manufacturers have the option of simulating air conditioning 
operation during testing at other ambient test conditions provided they 
can demonstrate that the vehicle tail pipe exhaust emissions are 
representative of the emissions that would result from the SC03 cycle 
test procedure and the ambient conditions of paragraph (g)(2) of this 
section. The simulation test procedure must be approved in advance by 
the Administrator (see Sec. Sec.  86.162-03 and 86.163-00).
    (h) Except in cases of component malfunction or failure, all 
emission control systems installed on or incorporated in a new motor 
vehicle shall be functioning during all procedures in this subpart. 
Maintenance to correct component malfunction or failure shall be 
authorized in accordance with Sec.  86.007-25 or Sec.  86.1834-01 as 
applicable.
    (i) Background concentrations are measured for all species for which 
emissions measurements are made. For exhaust testing, this requires 
sampling and analysis of the dilution air. For evaporative testing, this 
requires measuring initial concentrations. (When testing methanol-fueled 
vehicles, manufacturers may choose not to measure background 
concentrations of methanol and/or formaldehyde, and then assume that the 
concentrations are zero during calculations.)

[75 FR 25678, May 7, 2010]



Sec.  86.128-79  Transmissions.

    (a) All test conditions, except as noted, shall be run according to 
the manufacturer's recommendations to the ultimate purchaser, Provided, 
That:

[[Page 678]]

Such recommendations are representative of what may reasonably be 
expected to be followed by the ultimate purchaser under in-use 
conditions.
    (b) Vehicles equipped with free wheeling or overdrive, except as 
noted, shall be tested with these features operated according to the 
manufacturer's recommendations to the ultimate purchaser.
    (c) Idle modes less than one minute in length shall be run with 
automatic transmissions in ``Drive'' and the wheels braked; manual 
transmissions shall be in gear with the clutch disengaged, except for 
the first idle mode (see Sec. Sec.  86.134, 86.136, and 86.137). The 
first idle mode and idle modes longer than one minute in length may be 
run with automatic transmissions in ``Neutral;'' manual transmissions 
may be in ``Neutral'' with the clutch engaged (clutch may be disengaged 
for engine start-up). If an automatic transmission is in ``Neutral'' 
during an idle mode, it shall be placed in ``Drive'' with the wheels 
braked at least 5 seconds before the end of the idle mode. If a manual 
transmission is in ``Neutral'' during an idle mode, it shall be placed 
in gear with the clutch disengaged at least 5 seconds before the end of 
the idle mode.
    (d) The vehicle shall be driven with appropriate accelerator pedal 
movement necessary to achieve the speed versus time relationship 
prescribed by the driving schedule. Both smoothing of speed variations 
and excessive accelerator pedal perturbations are to be avoided.
    (e) Accelerations shall be driven smoothly following representative 
shift speeds and procedures. For manual transmissions, the operator 
shall release the accelerator pedal during each shift and accomplish the 
shift with minimum time. If the vehicle cannot accelerate at the 
specified rate, the vehicle shall be operated at maximum available power 
until the vehicle speed reaches the value prescribed for that time in 
the driving schedule.
    (f) The deceleration modes shall be run in gear using brakes or 
accelerator pedal as necessary to maintain the desired speed. Manual 
transmission vehicles shall have the clutch engaged and shall not change 
gears from the previous mode. For those modes which decelerate to zero, 
manual transmission clutches shall be depressed when the speed drops 
below 15 mph (24.1 km/h), when engine roughness is evident, or when 
engine stalling is imminent.
    (g)(1) In the case of test vehicles equipped with manual 
transmissions, the transmission shall be shifted in accordance with 
procedures which are representative of shift patterns that may 
reasonably be expected to be followed by vehicles in use, in terms of 
such variables as vehicle speed or percent rated engine speed. At the 
Administrator's discretion, a test vehicle may also be shifted according 
to the shift procedures recommended by the manufacturer to the ultimate 
purchaser, if such procedures differ from those which are reasonably 
expected to be followed by vehicles in use.
    (2) A manufacturer may recommend to the ultimate purchaser shift 
procedures other than those used in testing by the EPA, Provided that: 
All shift procedures (including multiple shift speeds) which the 
manufacturer proposes to supply to the ultimate purchaser are provided 
to the Administrator as part of the manufacturer's application for 
certification, or as an amendment to such application, under Sec.  
86.079-32, Sec.  86.079-33, Sec.  86.082-34, or Sec.  86.1844-01 as 
applicable.
    (h) Downshifting is allowed at the beginning of or during a power 
mode in accordance with the shift procedure determined in paragraph 
(g)(1) of this section.

[43 FR 52921, Nov. 14, 1978, as amended at 58 FR 16033, Mar. 24, 1993; 
64 FR 23921, May 4, 1999; 79 FR 23696, Apr. 28, 2014]



Sec.  86.129-00  Road load power, test weight, and inertia 
weight class determination.

    Applicability. Section 86.129-94 (a) applies to all vehicle testing. 
Section 86.129-80 (b) and (c) are applicable to vehicles from engine 
families which are not required to meet SFTP requirements, although a 
manufacturer may elect to use the requirements in paragraphs (e) and (f) 
of this section instead of Sec.  86.129-80 (b) and (c) on any vehicle. 
Section 86.129-94(d) which discusses fuel temperature profile, is 
applicable to evaporative emission running loss

[[Page 679]]

testing. Paragraphs (e) and (f) of this section are applicable to 
vehicles from engine families required to comply with SFTP requirements. 
Section 86.129-00 includes text that specifies requirements that differ 
from Sec.  86.129-80 or Sec.  86.129-94. Where a paragraph in Sec.  
86.129-80 or Sec.  86.129-94 is identical and applicable to Sec.  
86.129-00, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec.  86.129-
80.'' or ``[Reserved]. For guidance see Sec.  86.129-94.''
    (a) [Reserved]. For guidance see Sec.  86.129-94.
    (b)-(c) [Reserved]. For guidance see Sec.  86.129-80.
    (d) [Reserved]. For guidance see Sec.  86.129-94.
    (e)(1) For each test vehicle from an engine family required to 
comply with SFTP requirements, the manufacturer shall supply 
representative road load forces for the vehicle at speeds between 15 km/
hr (9.3 mph) and 115 km/hr (71.5 mph). The road load force shall 
represent vehicle operation on a smooth level road, during calm winds, 
with no precipitation, at an ambient temperature of 20 [deg]C (68 
[deg]F), and atmospheric pressure of 98.21 kPa. Road load force for low 
speed may be extrapolated. Manufacturers may, at their option, use road 
load forces meeting the objectives of paragraph (f) of this section for 
any vehicle.
    (2) The dynamometer's power absorption shall be set for each 
vehicle's emission test sequence such that the force imposed during 
dynamometer operation matches actual road load force at all speeds.
    (3) The 10 percent adjustment in road load power for air 
conditioning discussed in Sec.  86.129-80(b)(3), is not applicable when 
road load forces are determined for dynamometer testing using paragraphs 
(e)(1) and (e)(2) of this section.
    (f)(1) Required test dynamometer inertia weight class selections for 
the test elements of FTP, US06, and SC03 are determined by the test 
vehicles test weight basis and corresponding equivalent weight as listed 
in the tabular information of Sec.  86.129-94(a). With the exception of 
the fuel economy test weight information in footnote 4 to the table in 
Sec.  86.129-94(a), none of the other footnotes to the tabular listing 
apply to emission tests utilizing an approved single roll dynamometer or 
equivalent dynamometer configuration. All light-duty vehicles and light 
light-duty trucks are to be tested at the inertia weight class 
corresponding to their equivalent test weight.
    (i) For light-duty vehicles and light light-duty trucks, test weight 
basis is loaded vehicle weight, which is the vehicle weight plus 300 
pounds.
    (ii) For heavy light-duty trucks, the definition of test weight 
basis varies depending on the SFTP test element being tested.
    (A) For the aggressive driving cycle (US06), the test weight basis 
is the vehicle curb weight plus 300 pounds.
    (B) For the FTP and the air conditioning (SC03) element of the SFTP, 
the test weight is the average of the curb weight plus GVWR.
    (C) Regardless of other requirements in this section relating to the 
testing of HLDTs, for Tier 2 HLDTs, the test weight basis for FTP and 
SFTP testing (both US06 and SC03), if applicable, is the vehicle curb 
weight plus 300 pounds. For MDPVs certified to standards in bin 11 in 
Tables S04-1 and 2 in Sec.  86.1811-04, the test weight basis must be 
adjusted loaded vehicle weight (ALVW) as defined in this part.
    (2) Dynamic inertia load adjustments may be made to the test inertia 
weight during specific US06 acceleration events when wide open throttle 
operation is equal to or greater than eight (8) seconds (see Sec.  
86.108-00). The dynamic inertia weight adjustment procedure must be 
approved in advance of conducting official US06 testing. The 
Administrator will perform confirmatory US06 testing using the same 
dynamometer inertia adjustment procedures as the manufacturer if:
    (i) The manufacturer submits a request to the Administrator; and
    (ii) The manufacturer provides the dynamometer hardware and/or 
software necessary for these adjustments to the Administrator.

[61 FR 54892, Oct. 22, 1996, as amended at 65 FR 6850, Feb. 10, 2000]

    Editorial Note: At 64 FR 23921, May 4, 1999, Sec.  86.129-00 was 
amended by revising footnote 4 to the table in paragraph (a) and by

[[Page 680]]

revising paragraph (d)(1)(iv). Since both paragraphs (a) and (d) of 
Sec.  86.129-00 were reserved and contained no text, these amendments 
could not be made.



Sec.  86.129-80  Road load power, test weight, and inertia 
weight class determination.

    (a) [Reserved]
    (b) Power absorption unit adjustment--light-duty trucks. (1) The 
power absorption unit shall be adjusted to reproduce road load power at 
50 mph true speed. The indicated road load power setting shall take into 
account the dynamometer friction. The relationship between road load 
(absorbed) power and indicated road load power for a particular 
dynamometer shall be determined by the procedure outlined in Sec.  
86.118 or other suitable means.
    (2) The road load power listed in the table above shall be used or 
the vehicle manufacturer may determine the road load power by an 
alternate procedure requested by the manufacturer and approved in 
advance by the Administrator.
    (3) Where it is expected that more than 33 percent of a car line 
within an engine-system combination will be equipped with air 
conditioning per Sec.  86.080-24(g)(2), the road load power listed above 
or as determined in paragraph (b)(2) of this section shall be increased 
by 10 percent, up to a maximum increase of 1.4 horsepower, for testing 
all test vehicies representing that car line within that engine-system 
combination if those vehicles are intended to be offered with air 
conditioning in production. The above increase for air conditioning 
shall be added prior to rounding off as instructed by notes 2 and 3 of 
the table.
    (c) Power absorption unit adjustment--light-duty vehicles. (1) The 
power absorption unit shall be adjusted to reproduce road load power at 
50 mph true speed. The dynamometer power absorption shall take into 
account the dynamometer friction, as discussed in Sec.  86.118.
    (2) The dynamometer road load setting is determined from the 
equivalent test weight, the reference frontal area, the body shape, the 
vehicle protuberances, and the tire type by the following equations.
    (i) For light-duty vehicles to be tested on a twin roll dynamometer.

Hp = aA + P + tW

where:

Hp = the dynamometer power absorber setting at 50 mph (horsepower).
A = the vehicle reference frontal area (ft\2\). The vehicle reference 
          frontal area is defined as the area of the orthogonal 
          projection of the vehicle; including tires and suspension 
          components, but excluding vehicle protuberances, onto a plane 
          perpendicular to both the longitudinal plane of the vehicle 
          and the surface upon which the vehicle is positioned. 
          Measurements of this area shall be computed to the nearest 
          tenth of a square foot using a method approved in advance by 
          the Administrator.
P = the protuberance power correction factor from table 1 of this 
          paragraph (horsepower).
W = vehicle equivalent test weight (lbs) from the table in paragraph 
          (a).
a = 0.43 for fastback-shaped vehicles; = 0.50 for all other light duty 
          vehicles.
t = 0.0 for vehicles equipped with radial ply tires; = 3 x 
          10- 4 for all other vehicles.

    A vehicle is considered to have a fastback shape if the rearward 
projection of that portion of the rear surface (Ab) which 
slopes at an angle of less than 20 degrees from the horizontal is at 
least 25 percent as large as the vehicle reference frontal area. In 
addition, this surface must be smooth, continuous, and free from any 
local transitions greater than four degrees. An example of a fastback 
shape is presented in Figure 1.

[[Page 681]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.161


 Table I--Protuberance Power, P. Versus Total Protuberance Frontal Area,
                                   Ap
------------------------------------------------------------------------
                                                                  P
                     Ap (square foot)                       (horsepower)
------------------------------------------------------------------------
Ap<0.30...................................................          0.0
0.30 Ap<0.60..............................................          .40
0.60 Ap<0.90..............................................          .70
0.90 Ap<1.20..............................................         1.00
1.20 Ap<1.50..............................................         1.30
1.50 Ap<1.80..............................................         1.60
1.80 Ap<2.10..............................................         1.90
2.10 Ap<2.40..............................................         2.20
2.40 Ap<2.70..............................................         2.50
2.70 Ap<3.00..............................................         2.80
3.00 Ap...................................................         3.10
------------------------------------------------------------------------

    The protuberance frontal area, Ap, is defined in a manner analogous 
to the definition of the vehicle reference frontal area, i.e., the total 
area of the orthogonal projections of the vehicle mirrors, hood 
ornaments, roof racks, and other protuberance onto a plane(s) 
perpendicular to both the longitudinal plane of the vehicle and the 
surface upon which the vehicle is positioned. A protuberance is defined 
as any fixture attached to the vehicle protruding more than 1 inch from 
the vehicle surface and having a projected area greater than 0.01 ft\2\ 
with the area calculated by a method approved in advance by the 
Administrator. Included in the total protuberance frontal area shall be 
all fixtures which occur as standard equipment. The area of any optional 
equipment shall also be included if it is expected that more than 33 
percent of the car line sold will be equipped with this option.

    (ii) The dynamometer power absorber setting for light-duty vehicles 
shall be rounded to the nearest 0.1 horsepower.
    (iii) For light-duty vehicles to be tested on a single, large roll 
dynamometer.

Hp = aA + P + (5.0 x 10 -4 + 0.33t)W

All symbols in the above equation are defined in paragraph (c)(2)(i) of 
          this section. The rounding criteria of paragraph (c)(2)(i) 
          also apply to this paragraph.

    (3) The road load power calculated above shall be used or the 
vehicle manufacturer may determine the road load power by an alternate 
procedure requested by the manufacturer and approved in advance by the 
Administrator.
    (4) Where it is expected that more than 33 percent of a car line 
within an engine-system combination will be equipped with air 
conditioning, per Sec.  86.080-24(g)(2), the road load power as 
determined in paragraph (c) (2) or (3) of this section shall be 
increased by 10 percent up to a maximum increment of 1.4 horsepower, for 
testing all test vehicles of that car line within that engine-system 
combination if those vehicles are intended to be offered with air 
conditioning in production. This power increment shall be added to the 
indicated dynamometer power absorption setting prior to rounding off 
this value.

[42 FR 45653, Sept. 12, 1977, as amended at 43 FR 52921, Nov. 14, 1978; 
79 FR 23696, Apr. 28, 2014]



Sec.  86.129-94  Road load power, test weight, inertia 
weight class determination, and fuel temperature profile.

    Section 86.129-94 includes text that specifies requirements that 
differ from Sec.  86.129-80. Where a paragraph in Sec.  86.129-80 is 
identical and applicable to Sec.  86.129-94, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.129-80.'' Where a corresponding paragraph of 
Sec.  86.129-80 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a) Flywheels, electrical, or other means of simulating test weight 
as shown in the following table shall be used. If the equivalent test 
weight

[[Page 682]]

specified is not available on the dynamometer being used, the next 
higher equivalent test weight (not to exceed 250 pounds) available shall 
be used:

------------------------------------------------------------------------
                                                       Test
Road load power at 50 mi/hour--                     equivalent   Inertia
   light duty trucks \1 2 3\     Test weight basis     test      weight
                                       \4 5\          weight      class
                                                     (pounds)   (pounds)
------------------------------------------------------------------------
                                Up to 1062........      1,000      1,000
                                1063 to 1187......      1,125      1,000
                                1188 to 1312......      1,250      1,250
                                1313 to 1437......      1,375      1,250
                                1438 to 1562......      1,500      1,500
                                1563 to 1687......      1,625      1,500
                                1688 to 1812......      1,750      1,750
                                1813 to 1937......      1,875      1,750
                                1938 to 2062......      2,000      2,000
                                2063 to 2187......      2,125      2,000
                                2188 to 2312......      2,250      2,250
                                2313 to 2437......      2,375      2,250
                                2438 to 2562......      2,500      2,500
                                2563 to 2687......      2,625      2,500
                                2688 to 2812......      2,750      2,750
                                2813 to 2937......      2,875      2,750
                                2938 to 3062......      3,000      3,000
                                3063 to 3187......      3,125      3,000
                                3188 to 3312......      3,250      3,000
                                3313 to 3437......      3,375      3,500
                                3438 to 3562......      3,500      3,500
                                3563 to 3687......      3,625      3,500
                                3688 to 3812......      3,750      3,500
                                3813 to 3937......      3,875      4,000
                                3938 to 4125......      4,000      4,000
                                4126 to 4375......      4,250      4,000
                                4376 to 4625......      4,500      4,500
                                4626 to 4875......      4,750      4,500
                                4876 to 5125......      5,000      5,000
                                5126 to 5375......      5,250      5,000
                                5376 to 5750......      5,500      5,500
                                5751 to 6250......      6,000      6,000
                                6251 to 6750......      6,500      6,500
                                6751 to 7250......      7,000      7,000
                                7251 to 7750......      7,500      7,500
                                7751 to 8250......      8,000      8,000
                                8251 to 8750......      8,500      8,500
                                8751 to 9250......      9,000      9,000
                                9251 to 9750......      9,500      9,500
                                9751 to 10250.....     10,000     10,000
                                10251 to 10750....     10,500     10,500
                                10751 to 11250....     11,000     11,000
                                11251 to 11750....     11,500     11,500
                                11751 to 12250....     12,000     12,000
                                12251 to 12750....     12,500     12,500
                                12751 to 13250....     13,000     13,000
                                13251 to 13750....     13,500     13,500
                                13751 to 14000....     14,000    14,000
------------------------------------------------------------------------
\1\ For all light-duty trucks except vans, and for heavy-duty vehicles
  optionally certified as light-duty trucks, and for complete heavy-duty
  vehicles, the road load power (horsepower) at 50 mi/h shall be 0.58
  times B (defined in footnote 3 of this table) rounded to the nearest
  \1/2\ horsepower.
\2\ For vans, the road load power at 50 mi/h (horsepower) shall be 0.50
  times B (defined in footnote 3 of this table) rounded to the nearest
  \1/2\ horsepower.
\3\ B is the basic vehicle frontal area (square foot) plus the
  additional frontal area (square foot) of mirrors and optional
  equipment exceeding 0.1 ft \2\ which are anticipated to be sold on
  more than 33 percent of the car line. Frontal area measurements shall
  be computed to the nearest 10th of a square foot using a method
  approved in advance by the Administrator.
\4\ For model year 1994 and later heavy light-duty trucks not subject to
  the Tier 0 standards of Sec.   86.094-9, test weight basis is as
  follows: for emissions tests, the basis shall be adjusted loaded
  vehicle weight, as defined in Sec.   86.094-2; and for fuel economy
  tests, the basis shall be loaded vehicle weight, as defined in Sec.
  86.082-2, or, at the manufacturer's option, adjusted loaded vehicle
  weight as defined in Sec.   86.094-2. For all other vehicles, test
  weight basis shall be loaded vehicle weight, as defined in Sec.
  86.082-2.
\5\ Light-duty vehicles over 5,750 lb. loaded vehicle weight shall be
  tested at a 5,500 lb. equivalent test weight.

    (b)-(c) [Reserved]. For guidance see Sec.  86.129-80.
    (d) Fuel temperature profile--(1) General requirements. (i) To be 
tested for running losses, as specified in Sec.  86.134, a vehicle must 
have a fuel temperature profile. The following procedure is used to 
generate the fuel temperature profile, which serves as a target for 
controlling fuel temperatures during the running loss test. This profile 
represents the fuel temperature change that occurs during on-road 
driving. If a vehicle has more than one fuel tank, a profile shall be 
established for each tank. Manufacturers may also simultaneously 
generate a profile for vapor temperatures.
    (ii) If a manufacturer uses a vehicle model to develop a profile to 
represent multiple models, the vehicle model selected must have the 
greatest expected fuel temperature increase during driving of all those 
models it represents. Also, manufacturers must select test vehicles with 
any available vehicle options that increase fuel temperatures during 
driving (for example, any feature that limits underbody airflow).
    (iii) Manufacturers may conduct testing to develop fuel temperature 
profiles in a laboratory setting, subject to approval by the 
Administrator. The laboratory facility should simulate outdoor testing 
to reproduce fuel and vapor temperature behavior over the specified 
driving schedule. The design of the laboratory facility should include 
consideration of any parameters that may affect fuel temperatures, such 
as solar loading, pavement heat, and relative wind velocities around and 
underneath the test vehicle. Indoor testing to develop the fuel 
temperature profiles must be conducted with little or no vehicle-
specific adjustment of laboratory parameters. Manufacturers would need 
to maintain an ongoing demonstration of correlation between laboratory 
and outdoor measurement of fuel temperatures. Specifically, fuel

[[Page 683]]

temperatures and pressures from indoor driving should be at least as 
high as measured when driving outdoors according to the procedures 
described in this section.
    (iv) Small-volume manufacturers, as defined in Sec.  86.094-
14(b)(1), may use an alternate method for generating fuel temperature 
profiles, subject to the approval of the Administrator.
    (v) The Administrator may conduct testing to establish any vehicle's 
temperature profiles or to verify compliance with fuel tank pressure 
requirements.
    (2) Vehicle instrumentation. (i) The vehicle must be equipped with 
temperature sensors and pressure transducers, as described in Sec.  
86.107-96 (e) and (f), and a driver's aid, which shall be configured to 
provide the test driver with the desired vehicle speed vs. time trace 
and the actual vehicle speed.
    (ii) A computer, data logger, or strip chart data recorder shall 
record the following parameters at a minimum during the test run:
    (A) Desired speed;
    (B) Actual speed;
    (C) Instantaneous average liquid fuel temperature (Tliq); 
and
    (D) Vapor space pressure (the Administrator may omit measurement of 
fuel tank pressure).
    (iii) The data recording system described in paragraph (d)(2)(ii) of 
this section shall be capable of resolving time to 1 s, capable of resolving temperature to 2 [deg]F, capable of resolving pressure to 1.0 inch of water, and capable of resolving speed to 
1 mph. The temperature and pressure signals shall 
be recorded at intervals of up to 1 minute; speed signals shall be 
recorded at intervals of up to 1 second.
    (3) Ambient conditions. The procedure shall be run under the 
following ambient conditions. Conditions should be representative of 
sunny summer days.
    (i) Starting ambient temperature (Tamb, o) shall be at 
least 95 [deg]F, steady or increasing (no more than 2 [deg]F drop) 
during the procedure. Ambient temperature shall be measured and recorded 
in regular intervals of at least once every 5 minutes. Measure ambient 
temperature with the following requirements (based on Federal Standard 
for Siting Meteorological Sensors at Airports, FCM-S4-1987). The sensors 
shall be mounted 5 1 feet (1.5 0.3 meters) above ground level. The sensors shall be 
protected from radiation from the sun, sky, earth, and any other 
surrounding objects, but at the same time be adequately ventilated. The 
sensors shall be installed in such a position as to ensure that 
measurements are representative of the free air circulation in the 
locality and not influenced by artificial conditions such as large 
buildings, cooling towers, and expanses of concrete and tarmac. Keep any 
grass and vegetation within 100 feet (30 meters) of the sensor clipped 
to a height of about 10 inches (25 centimeters) or less.
    (ii) Wind conditions shall be calm to light with maximum wind speed 
of 15 mph. In the case of temporary gusting, wind speeds between 15 and 
25 mph may occur for up to 5 percent of the total driving time without 
invalidating the data collection. Wind speed shall be measured and 
recorded in regular intervals of at least once per minute. Measure wind 
speed with the following requirements (based on Federal Standard for 
Siting Meteorological Sensors at Airports, FCM-S4-1987). The site should 
be relatively level, but small gradual slopes are acceptable. The sensor 
shall be mounted 30 to 33 feet (9 to 10 meters) above the average ground 
height within a radius of 500 feet (150 meters). The sensor height shall 
not exceed 33 feet, except as necessary to be at least 15 feet (5 
meters) above the height of any obstruction (e.g. vegetation, buildings, 
etc.) within a 500 foot (150 meter) radius. An object is considered to 
be an obstruction if the included lateral angle from the sensor to the 
ends of the object is 10 degrees or more.
    (iii) Road surface temperature shall be at least 125 [deg]F 
throughout the driving period. Pavement temperature shall be measured 
and recorded in regular intervals of at least once per minute. The track 
temperature may be measured with an embedded sensor, a portable 
temperature probe, or an infrared pyrometer that can provide an accuracy 
of 2 [deg]F. Temperatures must be measured on a 
surface representative of the surface where the vehicle is driven.

[[Page 684]]

    (iv) Conditions shall be sunny or mostly sunny with a maximum cloud 
cover of 25 percent.
    (v) Reported cloud cover, wind speed, and ambient temperature should 
be consistent with that reported by the nearest weather station; the 
Administrator may request justification of any discrepancy.
    (4) Profile determination procedure. (i) Drain the fuel tank(s) and 
fill with test fuel to the ``tank fuel volume'' defined in Sec.  86.082-
2. The test fuel should meet the specifications of Sec.  86.113, except 
that fuel with a lower volatility may be used, subject to Administrator 
approval. Manufacturers using a lower volatility fuel must generate a 
vapor temperature profile for demonstrating compliance with the limit on 
fuel tank pressure during the running loss test (see Sec.  86.134-96).
    (ii) The vehicle shall be moved to the location where the data is to 
be collected. It may be driven a maximum distance of 5 miles and may 
also be transported by other means. The vehicle shall be stabilized by 
one of the following methods:
    (A) The vehicle shall be parked for a minimum of 12 hours in an open 
area on a surface that is representative of the test road, without any 
artificial heating or cooling of the fuel. The orientation of the front 
of the vehicle during parking (e.g., N, SW, etc.) shall be documented.
    (B) The vehicle may be soaked in a temperature-controlled 
environment to stabilize fuel temperatures. Before starting the drive, 
the vehicle shall be stabilized with fuel temperatures 95 3 [deg]F for at least one hour. The fuel temperature may 
not exceed 98 [deg]F at any time before the beginning of the driving 
schedule, during which only whole-vehicle heating and cooling may be 
used to control fuel temperatures. If a manufacturer uses the provisions 
of paragraph (d)(7)(v) of this section to establish a lower initial fuel 
temperature for the running loss test, the fuel in the test vehicle may 
not be stabilized at a temperature higher than the newly established 
initial fuel temperature.
    (iii) Once the ambient conditions specified in paragraph (d)(3) of 
this section are met and the vehicle has been stabilized according to 
paragraph (d)(4)(ii) of this section, the vehicle's engine may be 
started. The vehicle's air conditioning system (if so equipped) shall be 
set to the ``normal'' air conditioning mode and adjusted to the minimum 
discharge air temperature and high fan speed. Vehicles equipped with 
automatic temperature controlled air conditioning systems shall be set 
to operate in ``automatic'' temperature and fan modes with the system 
set at 72 [deg]F.
    (iv) The vehicle may be operated at minimum throttle for a period up 
to 60 seconds prior to the start of the driving schedule, as necessary 
to move from the parking location onto the road surface. The driver's 
aid shall be started and the vehicle operated over the driving cycle 
specified in Sec.  86.134-96(b) with the transmission operated in the 
same manner as specified in Sec.  86.128-79. The data recording system 
shall provide a record of the required parameters over the entire period 
of driving.
    (5) Records required. In addition to the vehicle data recording, the 
following parameters shall be documented for the determination of the 
fuel temperature profile:
    (i) Date and time of vehicle fueling;
    (ii) Odometer reading at vehicle fueling;
    (iii) Date and time vehicle was parked, parking location and 
orientation;
    (iv) Odometer reading at parking;
    (v) Date and time engine was started;
    (vi) Time of initiation of first UDDS;
    (vii) Time of completion of the driving cycle;
    (viii) Ambient temperatures throughout the period of driving 
(Tamb);
    (ix) Wind speed throughout the period of driving;
    (x) Track surface temperatures throughout the period of driving 
cycle (Tsur);
    (xi) Percent cloud cover during the period of driving; and
    (xii) Ambient temperature, wind speed, and percent cloud cover 
reported by the nearest weather station for the time corresponding most 
closely to the period of driving.
    (6) Fuel tank pressure. Tank pressure shall not exceed 10 inches of 
water at any time during the temperature profile determination unless a 
pressurized

[[Page 685]]

system is used and the manufacturer demonstrates that vapor would not be 
vented to the atmosphere upon fuel cap removal.
    (7) Calculation of temperature profiles. (i) The traces from the 
driving schedule shall be verified to meet the speed tolerance 
requirements of Sec.  86.115. The following conditions shall be 
verified:
    (A) Tamb, i=Tamb, o-2 [deg]F.

Where,
    (1)i = instantaneous measurement throughout the drive; and
    (2)o = initial measurement at the start of the specified driving 
schedule.
    (B) Tamb, o=95 [deg]F.
    (C) Tsur, i-Tamb, i=30 [deg]F.
    (D) Wmax<=15 mph.
    (ii) Failure to comply with any of these requirements shall result 
in invalidation of the data and require that the procedure be repeated, 
beginning with the fuel drain at paragraph (d)(4)(i) of this section.
    (iii) If all these requirements are met, the following calculations 
shall be performed to determine a profile for liquid fuel temperatures 
and, if applicable, for vapor temperatures:
Ti, profile = Ti-To.

Where:
    (A) Ti,profile = the series of temperatures that comprise 
the relative temperature profile.
    (B) Ti = the series of observed liquid fuel or vapor 
temperatures during the drive.
    (C) To = the liquid fuel or vapor temperature observed at 
the start of the specified driving schedule.
    (iv) The relative temperature profile consists of the set of 
temperatures at each 1-minute interval. If temperatures are sampled more 
frequently than once per minute, the temperature data points may 
represent a rolling average of temperatures sampled for up to one-minute 
intervals. If multiple valid test runs are conducted for any model, then 
all the collected data shall be used to calculate a composite profile, 
based on the average temperatures at each point. The absolute 
temperature profile is determined by adding 95 [deg]F (35 [deg]C) to 
each point of the relative profile. Other methodologies for developing 
corrected liquid fuel and vapor space temperature profiles may be used 
if demonstrated to yield equivalent results and approved in advance by 
the Administrator.
    (v) Manufacturers may use a lower initial fuel temperature for the 
running loss test, if approved in advance by the Administrator. To 
demonstrate the need for such an adjustment, manufacturers would be 
expected to determine the maximum fuel temperature experienced by a 
vehicle during an extended park or after driving one UDDS cycle when 
exposed to the ambient conditions described in paragraph (d)(3) of this 
section. To use this provision, manufacturers would have to show maximum 
fuel temperatures no greater than 92 [deg]F.

[56 FR 25775, June 5, 1991, as amended at 58 FR 16033, Mar. 24, 1993; 59 
FR 39649, Aug. 3, 1994; 60 FR 43891, Aug. 23, 1995; 65 FR 59956, Oct. 6, 
2000]



Sec.  86.130-96  Test sequence; general requirements.

    Paragraphs (a) through (d) of this section are applicable to 
vehicles tested for the FTP test. Paragraph (e) of this section is 
applicable to vehicles tested for the SFTP supplemental tests of air 
conditioning (SC03) and aggressive driving (US06). Paragraph (f) of this 
section is applicable to all emission testing.
    (a)(1) Gasoline- and methanol-fueled vehicles. The test sequence 
shown in figure B96-10 shows the steps encountered as the test vehicle 
undergoes the procedures subsequently described to determine conformity 
with the standards set forth. The full three- diurnal sequence depicted 
in figure B96-10 tests vehicles for all sources of evaporative 
emissions. The supplemental two-diurnal test sequence is designed to 
verify that vehicles sufficiently purge their evaporative canisters 
during the exhaust emission test. Sections 86.132-96, 86.133-96 and 
86.138-96 describe the separate specifications of the supplemental two-
diurnal test sequence.
    (2) Gaseous-fueled vehicles. The test sequence shown in figure B96-
10 shows the steps encountered as the test vehicle undergoes the 
procedures subsequently described to determine conformity with the 
standards set forth, with the exception that the fuel drain and fill and 
precondition canister steps

[[Page 686]]

are not required for gaseous-fueled vehicles. In addition, the 
supplemental two-diurnal test and the running loss test are not 
required.
    (b) The vehicle test for fuel spitback during fuel dispensing is 
conducted as a stand-alone test (see Sec.  86.146). This test is not 
required for gaseous-fueled vehicles.
    (c) Ambient temperature levels encountered by the test vehicle shall 
be not less than 68 [deg]F nor more than 86 [deg]F, unless otherwise 
specified. If a different ambient temperature is specified for soaking 
the vehicle, the soak period may be interrupted once for up to 10 
minutes to transport the vehicle from one soak area to another, provided 
the ambient temperature experienced by the vehicle is never below 68 
[deg]F. The temperatures monitored during testing must be representative 
of those experienced by the test vehicle.
    (d) The vehicle shall be approximately level during all phases of 
the test sequence to prevent abnormal fuel distribution.
    (e) The supplemental tests for exhaust emissions related to 
aggressive driving (US06) and air conditioning (SC03) use are conducted 
as stand-alone tests as described in Sec. Sec.  86.158 through 86.160. 
These tests may be performed in any sequence that maintains the 
appropriate preconditioning requirements as specified in Sec.  86.132.
    (f) If tests are invalidated after collection of emission data from 
previous test segments, the test may be repeated to collect only those 
data points needed to complete emission measurements. Compliance with 
emission standards may be determined by combining emission measurements 
from different test runs. If any emission measurements are repeated, the 
new measurements supersede previous values.

[58 FR 16034, Mar. 24, 1993, as amended at 59 FR 48509, Sept. 21, 1994; 
60 FR 43893, Aug. 23, 1995; 79 FR 23696, Apr. 28, 2014]



Sec.  86.131-96  Vehicle preparation.

    (a) For gasoline- and methanol-fueled vehicles prepare the fuel 
tank(s) for recording the temperature of the prescribed test fuel, as 
described in Sec.  86.107-96(e).
    (b) Provide additional fittings and adapters, as required, to 
accommodate a fuel drain at the lowest point possible in the tank(s) as 
installed on the vehicle.
    (c) For preconditioning that involves loading the evaporative 
emission canister(s) with butane, provide valving or other means as 
necessary to allow purging and loading of the canister(s).
    (d) For vehicles to be tested for running loss emissions, prepare 
the fuel tank(s) for measuring and recording the temperature and 
pressure of the fuel tank as specified in Sec.  86.107-96 (e) and (f). 
Measurement of vapor temperature is optional during the running loss 
test. If vapor temperature is not measured, fuel tank pressure need not 
be measured.
    (e) For vehicles to be tested for running loss emissions, prepare 
the exhaust system by sealing or plugging all detectable sources of 
exhaust gas leaks. The exhaust system shall be tested or inspected to 
ensure that detectable exhaust hydrocarbons are not emitted into the 
running loss enclosure during the running loss test.
    (f) For vehicles to be tested for aggressive driving emissions 
(US06), provide a throttle position sensing signal that is compatible 
with the test dynamometer. This signal provides the input information 
that controls dynamometer dynamic inertia weight adjustments (see 
Sec. Sec.  86.108-00(b)(2)(ii) and 86.129-00(f)(2)). If a manufacturer 
chooses not to implement dynamic inertia adjustments for a portion or 
all of their product line, this requirement is not applicable.
    (g) You may disable any AECDs that have been approved solely for 
emergency vehicle applications under paragraph (4) of the definition of 
defeat device in Sec.  86.1803. The emission standards do not apply when 
any of these AECDs are active.

[58 FR 16037, Mar. 24, 1993, as amended at 60 FR 43895, Aug. 23, 1995; 
79 FR 23696, Apr. 28, 2014]



Sec.  86.132-00  Vehicle preconditioning.

    Applicability. Section 86.132-96 (a) through (c)(1) and (d) through 
(m) and paragraph (c)(2) of this section are applicable to FTP and 
evaporative emission testing. Paragraphs (n) and (o) of

[[Page 687]]

this section are applicable to vehicles tested for the SFTP supplemental 
tests of aggressive driving (US06) and air conditioning (SC03). Section 
86.132-00 includes text that specifies requirements that differ from 
Sec.  86.132-96. Where a paragraph in Sec.  86.132-96 is identical and 
applicable to Sec.  86.132-00, this may be indicated by specifying the 
corresponding paragraph and the statement ``[Reserved]. For guidance see 
Sec.  86.132-96.''
    (a)-(c)(1) [Reserved]. For guidance see Sec.  86.132-96.
    (c)(2)(i) Once a test vehicle has completed the refueling and 
vehicle soak steps specified in Sec.  86.132-96 (b) and (c)(1), these 
steps may be omitted in subsequent testing with the same vehicle and the 
same fuel specifications, provided the vehicle remains under laboratory 
ambient temperature conditions for at least 6 hours before starting the 
next test. In such cases, each subsequent test shall begin with the 
preconditioning drive specified in Sec.  86.132-96(c)(1). The test 
vehicle may not be used to set dynamometer horsepower.
    (ii) The SFTP test elements of aggressive driving (US06) and air 
conditioning (SC03) can be run immediately or up to 72 hours after the 
official FTP and/or evaporative test sequence without refueling provided 
the vehicle has remained under laboratory ambient temperature 
conditions. If the time interval exceeds 72 hours or the vehicle leaves 
the ambient temperature conditions of the laboratory, the manufacturer 
must repeat the refueling operation.
    (d)-(m) [Reserved]. For guidance see Sec.  86.132-96.
    (n) Aggressive Driving Test (US06) Preconditioning. (1) If the US06 
test follows the exhaust emission FTP or evaporative testing, the 
refueling step may be deleted and the vehicle may be preconditioned 
using the fuel remaining in the tank (see paragraph (c)(2)(ii) of this 
section). The test vehicle may be pushed or driven onto the test 
dynamometer. Acceptable cycles for preconditioning are as follows:
    (i) Preconditioning may consist of a 505, 866, highway, US06 or SC03 
test cycles.
    (ii) [Reserved]
    (iii) If a manufacturer has concerns about fuel effects on adaptive 
memory systems, a manufacturer may precondition a test vehicle on test 
fuel and the US06 cycle. Upon request from a manufacturer, the 
administrator will also perform the preconditioning with the US06 cycle.
    (iv) The preconditioning cycles for the US06 test schedule are 
conducted at the same ambient test conditions as the certification US06 
test.
    (2) Following the preconditioning specified in paragraphs (n)(1)(i), 
(ii), and (iii) of this section, the test vehicle is returned to idle 
for one to two minutes before the start of the official US06 test cycle.
    (o) Air Conditioning Test (SC03) Preconditioning. (1) If the SC03 
test follows the exhaust emission FTP or evaporative testing, the 
refueling step may be deleted and the vehicle may be preconditioned 
using the fuel remaining in the tank (see paragraph (c)(2)(ii) of this 
section). The test vehicle may be pushed or driven onto the test 
dynamometer. Acceptable cycles for preconditioning are as follows:
    (i) If the soak period since the last exhaust test element is less 
than or equal to two hours, preconditioning may consist of a 505, 866, 
or SC03 test cycles.
    (ii) If the soak period since the last exhaust test element is 
greater than two hours, preconditioning consists of one full Urban 
Dynamometer Driving Cycle. Manufacturers, at their option, may elect to 
use the preconditioning in paragraph (o)(1)(i) of this section when the 
soak period exceeds two hours.
    (2) Following the preconditioning specified in paragraphs (o)(1)(i) 
and (ii) of this section, the test vehicle is turned off, the vehicle 
cooling fan(s) is turned off, and the vehicle is allowed to soak for 10 
minutes prior to the start of the official SC03 test cycle.
    (3) The preconditioning cycles for the SC03 air conditioning test 
and the 10 minute soak are conducted at the same ambient test conditions 
as the SC03 certification air conditioning test.

[61 FR 54893, Oct. 22, 1996, as amended at 74 FR 61547, Nov. 25, 2009]

[[Page 688]]



Sec.  86.132-96  Vehicle preconditioning.

    (a) Fuel tank cap(s) of gasoline- and methanol-fueled vehicles shall 
be removed during any period that the vehicle is parked outdoors 
awaiting testing, to prevent unusual loading of the canisters. During 
this time care must be taken to prevent entry of water or other 
contaminants into the fuel tank. During storage in the test area while 
awaiting testing, the fuel tank cap(s) may be in place. The vehicle 
shall be moved into the test area and the following operations 
performed.
    (b)(1) Gasoline- and Methanol-Fueled Vehicles. Drain the fuel 
tank(s) and fill with test fuel, as specified in Sec.  86.113, to the 
``tank fuel volume'' defined in Sec.  86.082-2. The fuel cap(s) shall be 
installed within one minute after refueling.
    (2) Gaseous-Fueled Vehicles. Vehicle fuel tanks to be filled with 
fuel that meets the specifications in Sec.  86.113. Fuel tanks shall be 
filled to a minimum of 75% of service pressure for natural gas-fueled 
vehicles or a minimum of 75% of available fill volume for liquefied 
petroleum gas-fueled vehicles. Prior draining of the fuel tanks is not 
called for if the fuel in the tanks already meets the specifications in 
Sec.  86.113.
    (c)(1) Gasoline- and methanol-fueled vehicles shall be soaked for at 
least 6 hours after being refueled. Petroleum-fueled diesel vehicles and 
gaseous-fueled vehicles shall be soaked for at least 1 hour after being 
refueled. Following this soak period, the test vehicle shall be placed, 
either by being driven or pushed, on a dynamometer and operated through 
one Urban Dynamometer Driving Schedule (UDDS), specified in Sec.  86.115 
and appendix I of this part.
    (2) Once a test vehicle has completed the refueling and vehicle soak 
steps specified in paragraphs (b) and (c)(1) of this section, these 
steps may be omitted in subsequent testing with the same vehicle and the 
same fuel specifications, provided the vehicle remains under laboratory 
ambient temperature conditions for at least 6 hours before starting the 
next test. In such cases, each subsequent test shall begin with the 
preconditioning drive specified in this paragraph. The test vehicle may 
not be used to set dynamometer horsepower.
    (d) For unusual circumstances where the need for additional 
preconditioning is demonstrated by the manufacturer, such 
preconditioning may be allowed with the advance approval of the 
Administrator.
    (e) The Administrator may also choose to conduct or require to be 
conducted additional preconditioning to ensure that the evaporative 
emission control system is stabilized in the case of gasoline-fueled and 
methanol-fueled vehicles, or to ensure that the exhaust system is 
stabilized in the case of petroleum- and methanol-fueled diesel 
vehicles. The preconditioning shall consist of one of the following:
    (1) For gasoline- and methanol-fueled vehicles. (i) Additional 
preconditioning shall consist of no more than 50 miles of mileage 
accumulation under typical driving conditions, either on the road or on 
a dynamometer.
    (ii) In the case of repeat testing on a flexible-fueled vehicle, in 
which the test fuel is changed, the following preconditioning procedure 
shall be used. This additional preconditioning allows the vehicle to 
adapt to the new fuel before the next test run.
    (A) Purge the vehicle's evaporative canister for 60 minutes at 0.8 
cfm.
    (B) Drain the fuel tank(s) and fill with 3 gallons of the test fuel.
    (C) Start the vehicle and allow it to idle for 1 minute.
    (D) Drain the fuel tank(s) and fill with the new test fuel to the 
``tank fuel volume'' defined in Sec.  86.082-2. The average temperature 
of the dispensed fuel shall be less than 60 [deg]F.
    (E) Conduct a heat build according to the procedure specified in 
Sec.  86.133-90.
    (F) The vehicle shall be placed, either by being driven or pushed, 
on a dynamometer and operated through one UDDS, specified in Sec.  
86.115 and appendix I of this part.
    (G) Following the dynamometer drive, the vehicle shall be turned off 
for 5 minutes, then restarted and allowed to idle for 1 minute. The 
vehicle shall then be turned off for 1 minute, and allowed to idle again 
for 1 minute.

[[Page 689]]

    (H) After the vehicle is turned off the last time, it may be tested 
for evaporative and exhaust emissions, starting with paragraph (a) of 
this section.
    (2) For petroleum-fueled diesel, methanol-fueled diesel, and 
gaseous-fueled vehicles. The preconditioning shall consist of either of 
the following:
    (i) An initial one hour minimum soak and, one, two, or three driving 
cycles of the UDDS, as described in paragraph (c) of this section, each 
followed by a soak of at least one hour with engine off, engine 
compartment cover closed and cooling fan off. The vehicle may be driven 
off the dynamometer following each UDDS for the soak period; or
    (ii) For abnormally treated vehicles, as defined in Sec.  86.085-2 
or Sec.  86.1803-01 as applicable, two Highway Fuel Economy Driving 
Schedules, found in 40 CFR part 600, appendix I, run in immediate 
succession, with the road load power set at twice the value obtained 
from Sec.  86.129-80.
    (f)(1) Gasoline- and methanol-fueled vehicles. After completion of 
the preconditioning drive, the vehicle shall be driven off the 
dynamometer. The vehicle's fuel tank(s) shall be drained and then filled 
with test fuel, as specified in Sec.  86.113, to the ``tank fuel 
volume'' defined in Sec.  86.082-2. The vehicle shall be refueled within 
1 hour after completion of the preconditioning drive. The fuel cap(s) 
shall be installed within 1 minute after refueling. The vehicle shall be 
parked within five minutes after refueling.
    (2) Petroleum-fueled diesel vehicles. Within five minutes after 
completion after the preconditioning drive, the vehicle shall be driven 
off the dynamometer and parked.
    (3) Gaseous-fueled vehicles. After completion of the preconditioning 
drive, the vehicle shall be driven off the dynamometer. Vehicle fuel 
tanks shall be refilled with fuel that meets the specifications in Sec.  
86.113. Fuel tanks shall be filled to a minimum of 75% of service 
pressure for natural gas-fueled vehicles or a minimum of 75% of 
available fill volume for liquefied petroleum gas-fueled vehicles. Prior 
draining of the fuel tanks is not called for if the fuel in the tanks 
already meets the specifications in Sec.  86.113. The vehicle shall be 
parked within five minutes after refueling, or, in the absence of 
refueling, within five minutes after completion of the preconditioning 
drive.
    (g) The vehicle shall be soaked for not less than 12 hours nor more 
than 36 hours between the end of the refueling event and the beginning 
of the cold start exhaust emission test.
    (h) During the soak period for the three-diurnal test sequence 
described in Sec.  86.130-96, evaporative canisters, if the vehicle is 
so equipped, shall be preconditioned according to the following 
procedure. For vehicles with multiple canisters in a series 
configuration, the set of canisters must be preconditioned as a unit. 
For vehicles with multiple canisters in a parallel configuration, each 
canister must be preconditioned separately. If production evaporative 
canisters are equipped with a functional service port designed for vapor 
load or purge steps, the service port shall be used during testing to 
precondition the canister. In addition, for model year 1998 and later 
vehicles equipped with refueling canisters, these canisters shall be 
preconditioned for the three-diurnal test sequence according to the 
procedure in paragraph (j)(1) of this section. If a vehicle is designed 
to actively control evaporative or refueling emissions without a 
canister, the manufacturer shall devise an appropriate preconditioning 
procedure, subject to the approval of the Administrator.
    (1)(i) Prepare the evaporative emission canister for the canister 
purging and loading operation. The canister shall not be removed from 
the vehicle, unless access to the canister in its normal location is so 
restricted that purging and loading can only reasonably be accomplished 
by removing the canister from the vehicle. Special care shall be taken 
during this step to avoid damage to the components and the integrity of 
the fuel system. A replacement canister may be temporarily installed 
during the soak period while the canister from the test vehicle is 
preconditioned.
    (ii) The canister purge shall be performed with ambient air of 
humidity controlled to 5025 grains per pound of 
dry air. This may be accomplished by purging the canister in a room that 
is conditioned to this level of absolute humidity. The flow rate of the 
purge

[[Page 690]]

air shall be maintained at a nominal flow rate of 0.8 cfm and the 
duration shall be determined to provide a total purge volume flow 
through the canister equivalent to 300 canister bed volume exchanges. 
The bed volume is based on the volume of adsorbing material in the 
canister.
    (iii) The evaporative emission canister shall then be loaded by 
sending to the canister an amount of commercial grade butane vapors 
equivalent to 1.5 times its nominal working capacity. The canister shall 
be loaded with a mixture composed of 50 percent butane and 50 percent 
nitrogen by volume at a rate of 152 grams butane 
per hour. If the canister loading at that rate takes longer than 12 
hours, a manufacturer may determine a new rate, based on completing the 
canister loading in no less than 12 hours. The new rate may be used for 
all subsequent canister loading according to paragraph (h) of this 
section. The time of initiation and completion of the canister loading 
shall be recorded.
    (iv) The determination of a canister's nominal working capacity 
shall be based on the average capacity of no less than five canisters 
that are in a stabilized condition.
    (A) For stabilization, each canister must be loaded no less than 10 
times and no more than 100 times to 2-gram breakthrough with a 50/50 
mixture by volume of butane and nitrogen, at a rate of 15 grams butane 
per hour. Each canister loading step must be preceded by canister 
purging with 300 canister bed volume exchanges at 0.8 cfm.
    (B) For determining working capacity, each canister must first be 
purged with 300 canister bed volume exchanges at 0.8 cfm. The working 
capacity of each canister shall be established by determining the mass 
of butane required to load the canister from the purged state so that it 
emits 2 grams of hydrocarbon vapor; the canister must be loaded with a 
50/50 mixture by volume of butane and nitrogen, at a rate of 15 grams 
butane per hour.
    (2) For methanol-fueled and flexible-fueled vehicles, canister 
preconditioning shall be performed with a fuel vapor composition 
representative of that which the vehicle would generate with the fuel 
mixture used for the current test. Manufacturers shall develop a 
procedure to precondition the evaporative canister, if the vehicle is so 
equipped, for the different fuel. The procedure shall represent a 
canister loading equivalent to that specified in paragraph (h)(1) of 
this section and shall be approved in advance by the Administrator.
    (i) [Reserved]
    (j) For the supplemental two-diurnal test sequence described in 
Sec.  86.130-96, one of the following methods shall be used to 
precondition evaporative canisters during the soak period specified in 
paragraph (g) of this section. For vehicles with multiple canisters in a 
series configuration, the set of canisters must be preconditioned as a 
unit. For vehicles with multiple canisters in a parallel configuration, 
each canister must be preconditioned separately. In addition, for model 
year 1998 and later vehicles equipped with refueling canisters, these 
canisters shall be preconditioned for the supplemental two-diurnal test 
sequence according to the procedure in paragraph (j)(1) of this section. 
Canister emissions are measured to determine breakthrough. Breakthrough 
is here defined as the point at which the cumulative quantity of 
hydrocarbons emitted is equal to 2 grams.
    (1) Butane loading to breakthrough. The following procedure provides 
for emission measurement in an enclosure. Breakthrough may also be 
determined by measuring the weight gain of an auxiliary evaporative 
canister connected downstream of the vehicle's canister, in which case, 
the following references to the enclosure can be ignored. The auxiliary 
canister shall be well purged prior to loading. If production 
evaporative canisters are equipped with a functional service port 
designed for vapor load or purge steps, the service port shall be used 
during testing to precondition the canister.
    (i) Prepare the evaporative/refueling emission canister for the 
canister loading operation. The canister shall not be removed from the 
vehicle, unless access to the canister in its normal location is so 
restricted that purging and loading can only reasonably be accomplished 
by removing the canister from the vehicle. Special care shall be taken

[[Page 691]]

during this step to avoid damage to the components and the integrity of 
the fuel system. A replacement canister may be temporarily installed 
during the soak period while the canister from the test vehicle is 
preconditioned.
    (ii) The evaporative emission enclosure shall be purged for several 
minutes. Warning: If at any time the concentration of hydrocarbons, of 
methanol, or of methanol and hydrocarbons exceeds 15,000 ppm C the 
enclosure should be immediately purged. This concentration provides at 
least a 4:1 safety factor against the lean flammability limit.
    (iii) The FID hydrocarbon analyzer shall be zeroed and spanned 
immediately prior to the canister loading procedure.
    (iv) If not already on, the evaporative enclosure mixing fan shall 
be turned on at this time.
    (v) Place the vehicle in a sealed enclosure and measure emissions 
with a FID.
    (vi)(A) For gasoline-fueled vehicles, load the canister with a 
mixture composed of 50 percent butane and 50 percent nitrogen by volume 
at a rate of 40 grams butane per hour.
    (B) For methanol-fueled and flexible-fueled vehicles, canister 
preconditioning shall be performed with a fuel vapor composition 
representative of that which the vehicle would generate with the fuel 
mixture used for the current test. Manufacturers shall develop a 
procedure to precondition the evaporative canister, if the vehicle is so 
equipped, for the different fuel.
    (vii) As soon as the canister reaches breakthrough, the vapor source 
shall be shut off.
    (viii) Reconnect the evaporative/refueling emission canister and 
restore the vehicle to its normal operating condition.
    (2) Load with repeated diurnal heat builds to breakthrough. The 
following procedure provides for emission measurement in an enclosure. 
Breakthrough may also be determined by measuring the weight gain of an 
auxiliary evaporative canister connected downstream of the vehicle's 
canister, in which case, the following references to the enclosure can 
be ignored. The auxiliary canister shall be well purged with dry air 
prior to loading.
    (i) The evaporative emission enclosure shall be purged for several 
minutes. Warning: If at any time the concentration of hydrocarbons, of 
methanol, or of methanol and hydrocarbons exceeds 15,000 ppm C the 
enclosure should be immediately purged. This concentration provides at 
least a 4:1 safety factor against the lean flammability limit.
    (ii) The FID hydrocarbon analyzer shall be zeroed and spanned 
immediately prior to the diurnal heat builds.
    (iii) If not already on, the evaporative enclosure mixing fan shall 
be turned on at this time.
    (iv) The fuel tank(s) of the prepared vehicle shall be drained and 
filled with test fuel, as specified in Sec.  86.113, to the ``tank fuel 
volume'' defined in Sec.  86.082-2. The average temperature of the 
dispensed fuel shall be 6012 [deg]F (167 [deg]C). The fuel tank cap(s) shall be installed 
within 1 minute after refueling.
    (v) Within one hour of being refueled, the vehicle shall be placed, 
with the engine shut off, in the evaporative emission enclosure. The 
fuel tank temperature sensor shall be connected to the temperature 
recording system. A heat source, specified in Sec.  86.107-90(a)(4), 
shall be properly positioned with respect to the fuel tank(s) and 
connected to the temperature controller.
    (vi) The temperature recording system shall be started.
    (vii) The fuel may be artificially heated to the starting diurnal 
temperature.
    (viii) When the fuel temperature reaches at least 69 [deg]F (21 
[deg]C), immediately: turn off purge blower (if not already off); close 
and seal enclosure doors; and initiate measurement of the hydrocarbon 
level in the enclosure.
    (ix) When the fuel temperature reaches 722 
[deg]F (221 [deg]C), start the diurnal heat build.
    (x) The fuel shall be heated in such a way that its temperature 
change conforms to the following function to within 4 [deg]F (3 [deg]C):

F = To + 0.4t; or


for SI units,

C = To + (2/9)t.


[[Page 692]]


Where,

F = fuel temperature, [deg]F;
C = fuel temperature, [deg]C;
t = time since beginning of test, minutes; and
To = initial temperature in [deg]F ([deg]C for SI units).

    (xi) As soon as breakthrough occurs or when the fuel temperature 
reaches 96 [deg]F (36 [deg]C), whichever occurs first, the heat source 
shall be turned off, the enclosure doors shall be unsealed and opened, 
and the vehicle fuel tank cap(s) shall be removed. If breakthrough has 
not occurred by the time the fuel temperature reaches 96 [deg]F (36 
[deg]C), the heat source shall be removed from the vehicle, the vehicle 
shall be removed (with engine still off) from the evaporative emission 
enclosure and the entire procedure outlined in paragraph (j)(2) of this 
section shall be repeated until breakthrough occurs.
    (xii) After breakthrough occurs, the fuel tank(s) of the prepared 
vehicle shall be drained and filled with test fuel, as specified in 
Sec.  86.113, to the ``tank fuel volume'' defined in Sec.  86.082-2. The 
fuel shall be stabilized to a temperature within 3 [deg]F of the lab 
ambient before beginning the driving cycle for the exhaust emission 
test.
    (k) [Reserved]
    (l) Vehicles to be tested for exhaust emissions only shall be 
processed according to Sec. Sec.  86.135 through 86.137. Vehicles to be 
tested for evaporative emissions shall be processed in accordance with 
the procedures in Sec. Sec.  86.133 through 86.138, starting with Sec.  
86.135.
    (m) Vehicles to be tested for evaporative emissions with the 
supplemental two-diurnal test sequence described in Sec.  86.130-96, 
shall proceed according to Sec. Sec.  86.135 through 86.137, followed by 
the supplemental hot soak test (see Sec.  86.138-96(k)) and the 
supplemental diurnal emission test (see Sec.  86.133-96(p)).
    (n) With prior approval of the Administrator, manufacturers may use 
an alternative canister loading method in lieu of the applicable 
canister loading method described in the provisions of paragraphs (h), 
(j)(1) and (j)(2) of this section, provided the alternative method is 
shown to be equivalent or result in a more fully loaded canister (a 
canister that has adsorbed an equal or greater amount of hydrocarbon 
vapors) than the applicable canister loading method required by the 
provisions of paragraphs (h), (j)(1) and (j)(2) of this section. 
Additionally, the Administrator may conduct confirmatory certification 
testing and in-use testing using the alternative canister loading method 
used by the manufacturer to test applicable certification and/or in-use 
vehicles or the appropriate method outlined in the provisions of 
paragraphs (h), (j)(1) and (j)(2) of this section.

[58 FR 16037, Mar. 24, 1993, as amended at 59 FR 16296, Apr. 6, 1994; 59 
FR 48509, Sept. 21, 1994; 60 FR 43895, Aug. 23, 1995; 64 FR 23922, May 
4, 1999; 70 FR 72927, Dec. 8, 2005; 79 FR 23696, Apr. 28, 2014]



Sec.  86.133-96  Diurnal emission test.

    (a)(1) The diurnal emission test for gasoline-, methanol- and 
gaseous-fueled vehicles consists of three 24-hour test cycles following 
the hot soak test. Emissions are measured for each 24-hour cycle, with 
the highest emission level used to determine compliance with the 
standards specified in subpart A of this part. The Administrator may 
truncate a test after any 24-hour cycle without affecting the validity 
of the collected data. Sampling of emissions from the running loss and 
hot soak tests is not required as preparation for the diurnal emission 
test. The diurnal emission test may be conducted as part of either the 
three- diurnal test sequence or the supplemental two-diurnal test 
sequence, as described in Sec.  86.130-96.
    (2) For the full three-diurnal test sequence, the diurnal emission 
test outlined in paragraphs (b) through (o) of this section follows the 
high-temperature hot soak test concluded in Sec.  86.138-96(j).
    (3) For the supplemental two-diurnal test sequence, the diurnal 
emission test outlined in paragraph (p) of this section follows the 
alternate hot soak test specified in Sec.  86.138-96(k). This test is 
not required for gaseous-fueled vehicles.
    (b) The test vehicle shall be soaked for not less than 6 hours nor 
more than 36 hours between the end of the hot soak test and the start of 
the diurnal emission test. For at least the last 6 hours of this period, 
the vehicle shall

[[Page 693]]

be soaked at 72[deg]3 [deg]F. The temperature 
tolerance may be waived for up to 10 minutes to allow purging of the 
enclosure or transporting the vehicle into the enclosure at the 
beginning of the diurnal emission test.
    (c) The test vehicle shall be exposed to ambient temperatures cycled 
according to the profile specified in Sec.  86.133 and appendix II of 
this part.
    (1) Temperatures measured with the underbody temperature sensor 
shall follow the profile with a maximum deviation of 3 [deg]F at any 
time and an average temperature deviation not to exceed 2 [deg]F, where 
the average deviation is calculated using the absolute value of each 
measured deviation. In addition, the temperature from the sidewall 
temperature sensors shall follow the profile with a maximum deviation of 
5 [deg]F at any time.
    (2) Ambient temperatures shall be measured at least every minute. 
Temperature cycling shall begin when time = 0 minutes, as specified in 
paragraph (i)(5) of this section.
    (d) The diurnal enclosure shall be purged for several minutes prior 
to the test. Warning: If at any time the concentration of hydrocarbons, 
of methanol or of methanol and hydrocarbons exceeds 15,000 ppm C the 
enclosure should be immediately purged. This concentration provides at 
least a 4:1 safety factor against the lean flammability limit.
    (e) The test vehicle, with the engine shut off and the test vehicle 
windows and luggage compartment(s) opened, shall be moved into the 
diurnal enclosure.
    (f)-(g) [Reserved]
    (h) Prior to sampling for emissions and throughout the period of 
cycled ambient temperatures, the mixing fan(s) shall circulate the air 
at a rate of 0.80.2 cfm per cubic foot of ambient 
volume. The mixing fan(s), plus any additional fans if needed, shall 
also maintain a minimum wind speed of 5 mph (8 km/hr) under the fuel 
tank of the test vehicle. The Administrator may adjust fan speed and 
location to ensure sufficient air circulation around the fuel tank. The 
wind speed requirement may be satisfied by consistently using a fan 
configuration that has been demonstrated to maintain a broad 5-mph air 
flow in the vicinity of the vehicle's fuel tank, subject to verification 
by the Administrator.
    (i) Emission sampling may begin as follows:
    (1) The FID (or HFID) hydrocarbon analyzer shall be zeroed and 
spanned immediately prior to the sampling.
    (2) Impingers charged with known volumes of pure deionized water 
shall be placed in the methanol sampling system (methanol-fueled 
vehicles only).
    (3) Turn off purge blowers (if not already off).
    (4) Close and seal enclosure doors (if not already closed and 
sealed).
    (5) Within 10 minutes of closing and sealing the doors, analyze 
enclosure atmosphere for hydrocarbons and record. This is the initial 
(time = 0 minutes) hydrocarbon concentration, CHCi, required 
in Sec.  86.143. Hydrocarbon emissions may be sampled continuously 
during the test period.
    (6) Analyze the enclosure atmosphere for methanol, if applicable, 
and record. The methanol sampling must start simultaneously with the 
initiation of the hydrocarbon analysis and continue for 4.00.5 minutes. This is the initial methanol concentration, 
CCH3OHi, required in Sec.  86.143. Record the time 
elapsed during this analysis. If the 4-minute sample period is 
inadequate to collect a sample of sufficient concentration to allow 
accurate GC analysis, rapidly collect the methanol sample in a bag and 
then bubble the bag sample through the impingers at the specified flow 
rate. The time elapsed between collection of the bag sample and flow 
through the impingers should be minimized to prevent any losses. If the 
test is conducted in a fixed-volume enclosure that allows airflow into 
and out of the enclosure, the effect of makeup air dilution must be 
factored into the analysis.
    (j) If testing indicates that a vehicle design may result in fuel 
temperature responses during enclosure testing that are not 
representative of in-use summertime conditions, the Administrator may 
adjust air circulation and temperature during the test as needed to 
ensure that the test sufficiently duplicates the vehicle's in-use 
experience.

[[Page 694]]

    (k) The FID (or HFID) hydrocarbon analyzer shall be zeroed and 
spanned immediately prior to the end of each emission sampling period.
    (l) Fresh impingers shall be installed in the methanol collection 
system immediately prior to the end of each emission measurement, if 
applicable.
    (m) The end of the first, second, and third emission sampling period 
shall occur 14406, 28806, 
43206 minutes, respectively, after the beginning 
of the initial sampling, as specified in paragraph (i)(5) of this 
section.
    (1) At the end of each emission sampling period, analyze the 
enclosure atmosphere for hydrocarbons and record. This is the final 
hydrocarbon concentration, CHCf, required in Sec.  86.143. 
The emission measurement at the end of each period becomes the initial 
hydrocarbon concentration, CHCi, of the next emission 
sampling period.
    (2) Analyze the enclosure atmosphere for methanol, if applicable, 
and record. The methanol sampling must start simultaneously with the 
initiation of the hydrocarbon analysis and continue for 4.00.5 minutes. This is the final (time = 1440 minutes) 
methanol concentration, CCH3OHf, required in Sec.  
86.143. Record the time elapsed during this analysis. If the 4-minute 
sample period is inadequate to collect a sample of sufficient 
concentration to allow accurate GC analysis, rapidly collect the 
methanol sample in a bag and then bubble the bag sample through the 
impingers at the specified flow rate. The time elapsed between 
collection of the bag sample and flow through the impingers should be 
minimized to prevent any losses. If the test is conducted in a fixed-
volume enclosure that allows airflow into and out of the enclosure, the 
effect of makeup air dilution must be factored into the analysis.
    (n) At the end of the temperature cycling period the enclosure doors 
shall be unsealed and opened, the test vehicle windows and luggage 
compartments may be closed and the test vehicle, with the engine shut 
off, shall be removed from the enclosure.
    (o) This completes the full three-diurnal evaporative emission test 
sequence described in Sec.  86.130-96.
    (p) For the supplemental two-diurnal test sequence described in 
Sec.  86.130-96, the following steps shall be performed in lieu of the 
steps described in paragraphs (b) through (n) of this section.
    (1) For the supplemental two-diurnal test sequence, the test vehicle 
shall be soaked for not less than 6 hours nor more than 36 hours between 
the end of the hot soak test described in Sec.  86.138-96(k), and the 
start of the two-diurnal emission test. For at least the last 6 hours of 
this period, the vehicle shall be soaked at 723 
[deg]F.
    (2) The vehicle shall be tested for diurnal emissions according to 
the procedures specified in paragraphs (c) through (n) of this section, 
except that the test includes only two 24-hour periods. Therefore the 
end of the first and second emission sampling periods shall occur 
14406 and 28806 minutes, 
respectively, after the initial sampling.
    (3) This completes the supplemental two-diurnal test sequence for 
evaporative emission measurement.

[58 FR 16039, Mar. 24, 1993, as amended at 59 FR 48509, Sept. 21, 1994; 
60 FR 43896, Aug. 23, 1995]



Sec.  86.134-96  Running loss test.

    (a) Overview. Gasoline- and methanol-fueled vehicles are to be 
tested for running loss emissions during simulated high-temperature 
urban driving; this test is not required for gaseous-fueled vehicles. 
During operation, tank temperatures are controlled according to a 
prescribed profile to simulate in-use conditions. If the vehicle is 
determined to have exceeded the standard before the end of the running 
loss test, the test may be terminated without invalidating the data. The 
test can be run either in a sealed enclosure or with the point-source 
method, as specified in paragraph (g) of this section. Measurement of 
vapor temperature is optional during the running loss test; however, if 
testing by the Administrator shows that a vehicle has exceeded an 
emission standard without measurement of vapor temperatures, the 
manufacturer may, utilizing its own resources, conduct subsequent 
testing on that vehicle to determine if the exceedance is attributable 
to inadequate control of vapor temperatures.
    (b) Driving schedule. Conduct the running loss test by operating the 
test vehicle through one Urban Dynamometer

[[Page 695]]

Driving Schedule (UDDS), a 2-minute idle, two New York City Cycles, 
another 2-minute idle, another UDDS, then another 2-minute idle (see 
Sec.  86.115 and appendix I of this part). Fifteen seconds after the 
engine starts, place the transmission in gear. Twenty seconds after the 
engine starts, begin the initial vehicle acceleration of the driving 
schedule. The transmission shall be operated according to the 
specifications of Sec.  86.128 during the driving cycles.
    (c) Dynamometer operation. (1) The exhaust from the vehicle must be 
routed outside the test cell or enclosure. Exhaust gases may, but need 
not, be collected and sampled.
    (2) Provisions of Sec.  86.135-90(c) shall apply.
    (3) Practice runs over the prescribed driving schedule may not be 
performed at test point.
    (4) Provisions of Sec.  86.135-90 (e) and (f) shall apply.
    (5) If the dynamometer horsepower must be adjusted manually, it 
shall be set within 1 hour prior to the running loss test phase. The 
test vehicle shall not be used to make this adjustment. Dynamometers 
using automatic control of preselectable power settings may be set any 
time prior to the beginning of the emissions test.
    (6) Dynamometer roll or shaft revolutions shall be used to determine 
the actual driving distance for the running loss test, DRL, 
required in Sec.  86.143. The revolutions shall be measured on the same 
roll or shaft used for measuring the vehicle's speed.
    (7) Provisions of Sec.  86.135-90(i) shall apply.
    (8) The test run may be stopped if a warning light or gauge 
indicates that the vehicle's engine coolant has overheated.
    (d) Engine starting and restarting. (1) Provisions of Sec.  86.136-
90(a) shall apply.
    (2) If the vehicle does not start after the manufacturer's 
recommended cranking time (or 10 continuous seconds in the absence of a 
manufacturer's recommendation), cranking shall cease for the period 
recommended by the manufacturer (or 10 seconds in the absence of a 
manufacturer's recommendation). This may be repeated for up to three 
start attempts. If the vehicle does not start after three attempts, the 
reason for failure to start shall be determined. If failure to start is 
an operational error, the vehicle shall be rescheduled for testing, 
starting with the soak period immediately preceding the running loss 
test.
    (3) If failure to start is caused by a vehicle malfunction, 
corrective action of less than 30 minutes duration may be taken 
(according to Sec.  86.090-25), and the test continued, provided that 
the ambient conditions to which the vehicle is exposed are maintained at 
955 [deg]F (353 [deg]C). 
When the engine starts, the timing sequence of the driving schedule 
shall begin. If failure to start is caused by vehicle malfunction and 
the vehicle cannot be started, the test shall be voided, the vehicle 
removed from the dynamometer, and corrective action may be taken 
according to Sec.  86.090-25. The reason for the malfunction (if 
determined) and the corrective action taken shall be reported to the 
Administrator.
    (4) Provisions of Sec.  86.136-90(e) shall apply.
    (e) Pressure checks. No pressure checks of the evaporative system 
shall be allowed. Under no circumstances will any changes/repairs to the 
evaporative emissions control system be allowed.
    (f) Temperature stabilization. Immediately after the hot transient 
exhaust emission test, the vehicle shall be soaked in a temperature 
controlled area for a maximum of 6 hours until the fuel temperature is 
stabilized. The fuel may be heated or cooled to stabilize fuel 
temperatures, but the fuel heating rate must not exceed 5 [deg]F in any 
1-hour interval during the soak period. A manufacturer may use a faster 
heating rate or a longer period for stabilizing fuel temperatures if the 
needed heating cannot be easily accomplished in the 6-hour period, 
subject to Administrator approval.
    (1) Fuel temperatures must be held at 95 3 
[deg]F for at least one hour before the start of the running loss test.
    (2) If a vehicle's fuel temperature profile has an initial 
temperature lower than 95 [deg]F, as described in Sec.  86.129-
94(d)(7)(v), the fuel in the test vehicle must be stabilized to within 3 
[deg]F of that temperature for at least one

[[Page 696]]

hour before the start of the running loss test.
    (g) Running loss test. The running loss test may be conducted either 
by the enclosure method, or by the point-source method.
    (1) Enclosure method. (i) The running loss enclosure shall be purged 
for several minutes immediately prior to the test. Warning: If at any 
time the concentration of hydrocarbons, of methanol, or of methanol and 
hydrocarbons exceeds 15,000 ppm C the enclosure should be immediately 
purged. This concentration provides at least a 4:1 safety factor against 
the lean flammability limit.
    (ii) The FID hydrocarbon analyzer shall be zeroed and spanned 
immediately prior to the test.
    (iii) If not already on, the running loss enclosure mixing fan(s) 
shall be turned on at this time. Throughout the test, the mixing fan(s) 
shall circulate the air at a rate of at least 1.0 cfm per cubic foot of 
ambient volume.
    (iv) The test vehicle, with the engine off, shall be moved onto the 
dynamometer in the running loss enclosure. The vehicle engine 
compartment cover shall be unlatched, but closed as much as possible, 
allowing for the air intake equipment specified in paragraph (g)(1)(vii) 
of this section. The vehicle engine compartment cover may be closed if 
alternate routing is found for the air intake equipment. Any windows, 
doors, and luggage compartments shall be closed. A window may be opened 
to direct cooling air into the passenger compartment of the vehicle, if 
the vehicle is not equipped with its own air conditioning.
    (v) Fans shall be positioned as described in Sec. Sec.  86.107-96 
(d) and (h).
    (vi) Set vehicle air conditioning controls as described in 40 CFR 
1066.835.
    (vii) Connect the air intake equipment to the vehicle, if 
applicable. This connection shall be made to minimize leakage.
    (viii) The temperature and pressure recording systems shall be 
started. Measurement of vapor temperature is optional during the running 
loss test. If vapor temperature is not measured, fuel tank pressure need 
not be measured.
    (ix) Turn off purge blowers (if not already off).
    (x) The temperature of the liquid fuel shall be monitored and 
recorded at least every 15 seconds with the temperature recording system 
specified in Sec.  86.107-96(e).
    (xi) Close and seal the enclosure doors.
    (xii) When the ambient temperature is 955 
[deg]F (353 [deg]C) and the fuel has been 
stabilized according to paragraph (f) of this section, the running loss 
test may begin. Measure the initial ambient temperature and pressure.
    (A) Analyze enclosure atmosphere for hydrocarbons and record. This 
is the initial (time = 0 minutes) hydrocarbon concentration, 
CHCi, required in Sec.  86.143. Hydrocarbon emissions may be 
sampled continuously during the test period.
    (B) Analyze the enclosure atmosphere for methanol, if applicable, 
and record. The methanol sampling must start simultaneously with the 
initiation of the hydrocarbon analysis and continue for 4.00.5 minutes. This is the initial (time = 0 minutes) 
methanol concentration, CCH3OHi, required in Sec.  
86.143. Record the time elapsed during this analysis. If the 4-minute 
sample period is inadequate to collect a sample of sufficient 
concentration to allow accurate GC analysis, rapidly collect the 
methanol sample in a bag and then bubble the bag sample through the 
impingers at the specified flow rate. The time elapsed between 
collection of the bag sample and flow through the impingers should be 
minimized to prevent any losses.
    (xiii) Start the engine and begin operation of the vehicle over the 
drive cycle specified in paragraph (b) of this section.
    (xiv) The ambient temperature shall be maintained at 955 [deg]F (952 [deg]F on average) 
during the running loss test, measured at the inlet to the cooling fan 
in front of the vehicle; it shall be recorded at least every 60 seconds.
    (xv) The fuel temperature during the dynamometer drive shall be 
controlled to match the fuel tank temperature profile determined in 
Sec.  86.129. Measured fuel temperatures must be within 3 [deg]F of the target profile throughout the

[[Page 697]]

test run. Vapor temperatures, if measured, must be within 5 [deg]F of the target profile during the first 4186 
seconds of the running loss test, and within 3 
[deg]F for the remaining 120 seconds of the test run. For any vehicle 
complying with the test standards, vapor temperatures may be higher than 
the specified tolerances without invalidating test results. For testing 
by the Administrator, vapor temperatures may be lower than the specified 
tolerances without invalidating test results. If the test vehicle has 
more than one fuel tank, the temperatures for both fuel tanks shall 
follow the target profiles determined in Sec.  86.129. The control 
system shall be tuned and operated to provide smooth and continuous tank 
temperature profiles that are representative of the on-road profiles.
    (xvi) Fuel tank pressure must not exceed 10 inches of water during 
the running loss test, except that temporary exceedances are allowed for 
vehicles whose tank pressure remained below 10 inches of water during 
the entire outdoor driving period specified in Sec.  86.129. These 
temporary pressure exceedances may not occur for more than 10 percent of 
the total driving time.
    (xvii) The FID (or HFID) hydrocarbon analyzer shall be zeroed and 
spanned immediately prior the end of the test.
    (xviii) Fresh impingers shall be installed in the methanol 
collection system immediately prior to the end of the test, if 
applicable.
    (xix) The running loss test ends with the completion of the third 2-
minute idle period.
    (xx) At the end of the running loss test:
    (A) Analyze the enclosure atmosphere for hydrocarbons and record. 
This is the final hydrocarbon concentration, CHCf, required 
in Sec.  86.143.
    (B) Analyze the enclosure atmosphere for methanol, if applicable, 
and record. The methanol sampling must start prior to the end of the 
test and continue for 4.00.5 minutes. The methanol 
sampling must be completed within 2 minutes after the end of the running 
loss test. This is the final methanol concentration, 
CCH3OHf, required in Sec.  86.143. Record the time 
elapsed during this analysis. If the 4-minute sample period is 
inadequate to collect a sample of sufficient concentration to allow 
accurate GC analysis, rapidly collect the methanol sample in a bag and 
then bubble the bag sample through the impingers at the specified flow 
rate. The time elapsed between collection of the bag sample and flow 
through the impingers should be minimized to prevent any losses.
    (C) Turn off all the fans specified in Sec.  86.107-96(d). Also, the 
time that the vehicle's engine compartment cover is open for removal of 
air intake equipment, if applicable, shall be minimized to avoid loss of 
heat from the engine compartment.
    (xxi) Turn off any CVS apparatus (if not already turned off).
    (2) Point-source method. (i) The test vehicle, with the engine off, 
shall be moved onto the dynamometer. The vehicle engine compartment 
cover and any windows, doors, and luggage compartments shall be closed.
    (ii) Fans shall be positioned as described in Sec. Sec.  86.135-
90(b) and 86.107-96(d).
    (iii) The running loss vapor vent collection system shall be 
properly positioned at the potential fuel vapor vents or leaks of the 
vehicle's fuel system. Typical vapor vents for current fuel systems are 
the ports of the evaporative emission canister and the pressure relief 
vent of the fuel tank (typically integrated into the fuel tank cap).
    (iv) The running loss vapor vent collection system may be connected 
to a PDP-CVS or CFV-CVS bag collection system. Otherwise, running loss 
vapors shall be sampled continuously with analyzers meeting the 
requirements of Sec.  86.107-96(b).
    (v) Fans shall be positioned as described in Sec.  86.107-96(d).
    (vi) Set vehicle air conditioning controls as described in 40 CFR 
1066.835.
    (vii) The temperature and pressure recording systems shall be 
started. Measurement of vapor temperature is optional during the running 
loss test. If vapor temperature is not measured, fuel tank pressure need 
not be measured.
    (viii) The temperature of the liquid fuel shall be monitored and 
recorded at least every 15 seconds with the temperature recording system 
specified in Sec.  86.107-96(e).

[[Page 698]]

    (ix) When the ambient temperature is 955 
[deg]F (353 [deg]C) and the fuel tank temperature 
is 953 [deg]F the running loss test may begin.
    (x) The ambient temperature shall be maintained at 955 [deg]F (952 [deg]F on average) 
during the running loss test, measured at the inlet to the cooling fan 
in front of the vehicle; it shall be recorded at least every 60 seconds.
    (xi) Fuel temperatures shall be controlled according to the 
specifications of paragraph (g)(1)(xv) of this section.
    (xii) The tank pressure requirements described in paragraph 
(g)(1)(xvi) of this section apply also to running loss testing by the 
point source method.
    (xiii) The running loss test ends with completion of the third 2-
minute idle period.
    (xiv) If emissions are collected in bags, the sample bags must be 
analyzed within 20 minutes of their respective sample collection phases, 
as described in Sec.  86.137-94(b)(15). The results of the analysis are 
used in Sec.  86.143 to calculate the mass of hydrocarbons emitted.
    (xv) At the end of the running loss test, turn off all the fans 
specified in Sec.  86.107-96(d).
    (3) With prior approval of the Administrator, manufacturers may use 
an alternative running loss test procedure, provided the alternative 
test procedure is shown to yield equivalent or superior emission results 
(in terms of quality control, accuracy and repeatability) for the 
running loss, hot soak and diurnal portions of the three diurnal-plus-
hot-soak test sequence. Additionally, the Administrator may conduct 
certification and in-use testing using the test procedures outlined in 
paragraph (g)(1) of this section, paragraph (g)(2) of this section or 
the alternative running loss test procedure as approved for a specific 
vehicle.
    (4) High-altitude testing. For testing under high-altitude 
conditions, decrease the target ambient and fuel temperatures by 5 
[deg]F. For example, the fuel temperature profile should be adjusted 
downward based on a nominal starting temperature of 90 [deg]F, and the 
nominal temperature in the enclosure should be 90 [deg]F.
    (h) Following the completion of the running loss drive, the vehicle 
may be tested for hot soak emissions as specified in Sec.  86.138-96.

[58 FR 16040, Mar. 24, 1993, as amended at 59 FR 48510, Sept. 21, 1994; 
60 FR 43896, Aug. 23, 1995; 70 FR 72927, Dec. 8, 2005; 79 FR 23696, Apr. 
28, 2014]



Sec.  86.135-12  Dynamometer procedure.

    (a) Overview. The dynamometer run consists of two tests, a ``cold'' 
start test, after a minimum 12-hour and a maximum 36-hour soak according 
to the provisions of Sec. Sec.  86.132 and 86.133, and a ``hot'' start 
test following the ``cold'' start by 10 minutes. Engine startup (with 
all accessories turned off), operation over the UDDS, and engine 
shutdown make a complete cold start test. Engine startup and operation 
over the first 505 seconds of the driving schedule complete the hot 
start test. The exhaust emissions are diluted with ambient air in the 
dilution tunnel as shown in Figure B94-5 and Figure B94-6. A dilution 
tunnel is not required for testing vehicles waived from the requirement 
to measure particulates. Six particulate samples are collected on 
filters for weighing; the first sample plus backup is collected during 
the first 505 seconds of the cold start test; the second sample plus 
backup is collected during the remainder of the cold start test 
(including shutdown); the third sample plus backup is collected during 
the hot start test. Continuous proportional samples of gaseous emissions 
are collected for analysis during each test phase. For gasoline-fueled, 
natural gas-fueled and liquefied petroleum gas-fueled Otto-cycle 
vehicles, the composite samples collected in bags are analyzed for THC, 
CO, CO2, CH4, NOX, and N2O. 
For petroleum-fueled diesel-cycle vehicles (optional for natural gas-
fueled, liquefied petroleum gas-fueled and methanol-fueled diesel-cycle 
vehicles), THC is sampled and analyzed continuously according to the 
provisions of Sec.  86.110-94. Parallel samples of the dilution air are 
similarly analyzed for THC, CO, CO2, CH4, 
NOX, and N2O. For natural gas-fueled, liquefied 
petroleum gas-fueled and methanol-fueled vehicles, bag samples are 
collected and analyzed for THC (if not sampled continuously), CO, 
CO2, CH4, NOX, and N2O. For 
methanol-fueled vehicles, methanol and formaldehyde samples are

[[Page 699]]

taken for both exhaust emissions and dilution air (a single dilution air 
formaldehyde sample, covering the total test period may be collected). 
For ethanol-fueled vehicles, methanol, ethanol, acetaldehyde, and 
formaldehyde samples are taken for both exhaust emissions and dilution 
air (a single dilution air formaldehyde sample, covering the total test 
period may be collected). Parallel bag samples of dilution air are 
analyzed for THC, CO, CO2, CH4, NOX, 
and N2O.
    (b) During dynamometer operation, a fixed speed cooling fan shall be 
positioned so as to direct cooling air to the vehicle in an appropriate 
manner with the engine compartment cover open. In the case of vehicles 
with front engine compartments, the fan shall be squarely positioned 
within 12 inches (30.5 centimeters) of the vehicle. In the case of 
vehicles with rear engine compartments (or if special designs make the 
above impractical), the cooling fan shall be placed in a position to 
provide sufficient air to maintain vehicle cooling. The fan capacity 
shall normally not exceed 5300 cfm (2.50 m\3\/sec). However, if the 
manufacturer can show that during field operation the vehicle receives 
additional cooling, and that such additional cooling is needed to 
provide a representative test, the fan capacity may be increased, 
additional fans used, variable speed fan(s) may be used, and/or the 
engine compartment cover may be closed, if approved in advance by the 
Administrator. For example, the hood may be closed to provide adequate 
air flow to an intercooler through a factory installed hood scoop. 
Additionally, the Administrator may conduct certification, fuel economy 
and in-use testing using the additional cooling set-up approved for a 
specific vehicle.
    (c) The vehicle speed as measured from the dynamometer rolls shall 
be used. A speed vs. time recording, as evidence of dynamometer test 
validity, shall be supplied on request of the Administrator.
    (d) Practice runs over the prescribed driving schedule may be 
performed at test point, provided an emission sample is not taken, for 
the purpose of finding the appropriate throttle action to maintain the 
proper speed-time relationship, or to permit sampling system adjustment. 
Both smoothing of speed variations and excessive accelerator pedal 
perturbations are to be avoided. When using two-roll dynamometers a 
truer speed-time trace may be obtained by minimizing the rocking of the 
vehicle in the rolls; the rocking of the vehicle changes the tire 
rolling radius on each roll. This rocking may be minimized by 
restraining the vehicle horizontally (or nearly so) by using a cable and 
winch.
    (e) The drive wheel tires may be inflated up to a gauge pressure of 
45 psi (310 kPa) in order to prevent tire damage. The drive wheel tire 
pressure shall be reported with the test results.
    (f) If the dynamometer has not been operated during the 2-hour 
period immediately preceding the test, it shall be warmed up for 15 
minutes by operating at 30 mph (48 kph) using a non-test vehicle or as 
recommended by the dynamometer manufacturer.
    (g) If the dynamometer horsepower must be adjusted manually, it 
shall be set within 1 hour prior to the exhaust emissions test phase. 
The test vehicle shall not be used to make this adjustment. Dynamometers 
using automatic control of pre-selectable power settings may be set 
anytime prior to the beginning of the emissions test.
    (h) The driving distance, as measured by counting the number of 
dynamometer roll or shaft revolutions, shall be determined for the 
transient cold start, stabilized cold start, and transient hot start 
phases of the test. The revolutions shall be measured on the same roll 
or shaft used for measuring the vehicle's speed.
    (i) Four-wheel drive and all-wheel drive vehicles may be tested 
either in a four-wheel drive or a two-wheel drive mode of operation. In 
order to test in the two-wheel drive mode, four-wheel drive and all-
wheel drive vehicles may have one set of drive wheels disengaged; four-
wheel and all-wheel drive vehicles which can be shifted to a two-wheel 
mode by the driver may be tested in a two-wheel drive mode of operation.

[75 FR 25679, May 7, 2010, as amended at 77 FR 63152, Oct. 15, 2012]

[[Page 700]]



Sec.  86.135-90  Dynamometer procedure.

    (a) The dynamometer run consists of two tests--a ``cold'' start 
test, after a minimum 12-hour and a maximum 36-hour soak according to 
the provisions of Sec. Sec.  86.132 and 86.133, and a ``hot'' start test 
following the ``cold'' start by 10 minutes. Engine startup (with all 
accessories turned off), operation over the UDDS and engine shutdown 
make a complete cold-start test. Engine startup and operation over the 
first 505 seconds of the driving schedule complete the hot start test. 
The exhaust emissions are diluted with ambient air in the dilution 
tunnel as shown in Figure B94-5 and Figure B94-6. A dilution tunnel is 
not required for testing vehicles waived from the requirement to measure 
particulate matter. Six particulate samples are collected on filters for 
weighing; the first sample plus backup is collected during the first 505 
seconds of the cold-start test; the second sample plus backup is 
collected during the remainder of the cold-start test (including 
shutdown); the third sample plus backup is collected during the hot 
start test. Continuous or batch proportional samples of gaseous 
emissions are collected for analysis during each test phase. Use the 
following measurement procedures for each type of engine:
    (1) For gasoline-fueled, natural gas-fueled and liquefied petroleum 
gas-fueled Otto-cycle vehicles, the composite samples collected in bags 
are analyzed for THC, CO, CO2, CH4, and 
NOX.
    (2) For petroleum-fueled diesel-cycle vehicles (optional for natural 
gas-fueled, liquefied petroleum gas-fueled and methanol-fueled diesel-
cycle vehicles), THC is sampled and analyzed continuously according to 
the provisions of Sec.  86.110. Parallel samples of the dilution air are 
similarly analyzed for THC, CO, CO2, CH4, and 
NOX.
    (3) For natural gas-fueled, liquefied petroleum gas-fueled and 
methanol-fueled vehicles, bag samples are collected and analyzed for THC 
(if not sampled continuously), CO, CO2, CH4, and 
NOX.
    (4) For methanol-fueled vehicles, methanol and formaldehyde samples 
are taken for both exhaust emissions and dilution air (a single dilution 
air formaldehyde sample, covering the total test period may be 
collected). Parallel bag samples of dilution air are analyzed for THC, 
CO, CO2, CH4, and NOX.
    (b) During dynamometer operation, a fixed speed cooling fan shall be 
positioned so as to direct cooling air to the vehicle in an appropriate 
manner with the engine compartment cover open. In the case of vehicles 
with front engine compartments, the fan shall be squarely positioned 
within 12 inches (30.5 centimeters) of the vehicle. In the case of 
vehicles with rear engine compartments (or if special designs make the 
above impractical), the cooling fan shall be placed in a position to 
provide sufficient air to maintain vehicle cooling. The fan capacity 
shall normally not exceed 5300 cfm (2.50 m3/sec). If however, the 
manufacturer can show that during field operation the vehicle receives 
additional cooling, and that such additional cooling is needed to 
provide a representative test, the fan capacity may be increased, 
additional fans used, variable speed fan(s) may be used, and/or the 
engine compartment cover may be closed if approved in advance by the 
Administrator. For example, the hood may be closed to provide adequate 
air flow to an intercooler through a factory installed hood scoop. 
Additionally, the Administrator may conduct certification, fuel economy 
and in-use testing using the additional cooling set-up approved for a 
specific vehicle.
    (c) The vehicle speed as measured from the dynamometer rolls shall 
be used. A speed vs. time recording, as evidence of dynamometer test 
validity, shall be supplied on request of the Administrator.
    (d) Practice runs over the prescribed driving schedule may be 
performed at test point, provided an emission sample is not taken, for 
the purpose of finding the appropriate throttle action to maintain the 
proper speed-time relationship, or to permit sampling system adjustment. 
Both smoothing of speed variations and excessive accelerator pedal 
perturbations are to be avoided. When using two-roll dynamometers a 
truer speed-time trace may be obtained by minimizing the rocking of the 
vehicle in the rolls; the rocking of the vehicle changes the tire 
rolling radius on

[[Page 701]]

each roll. This rocking may be minimized by restraining the vehicle 
horizontally (or nearly so) by using a cable and winch.
    (e) The drive wheel tires may be inflated up to a gauge pressure of 
45 psi (310 kPa) in order to prevent tire damage. The drive wheel tire 
pressure shall be reported with the test results.
    (f) lf the dynamometer has not been operated during the 2-hour 
period immediately preceding the test, it shall be warmed up for 15 
minutes by operating at 30 mph (48 kph) using a non-test vehicle or as 
recommended by the dynamometer manufacturer.
    (g) If the dynamometer horsepower must be adjusted manually, it 
shall be set within 1 hour prior to the exhaust emissions test phase. 
The test vehicle shall not be used to make this adjustment. Dynamometers 
using automatic control of preselectable power settings may be set 
anytime prior to the beginning of the emissions test.
    (h) The driving distance, as measured by counting the number of 
dynamometer roll or shaft revolutions, shall be determined for the 
transient cold start, stabilized cold start, and transient hot start 
phases of the test. The revolutions shall be measured on the same roll 
or shaft used for measuring the vehicle's speed.
    (i) Four-wheel drive and all-wheel drive vehicles may be tested 
either in a four-wheel drive or a two-wheel drive mode of operation. In 
order to test in the two-wheel drive mode, four-wheel drive and all-
wheel drive vehicles may have one set of drive wheels disengaged; four-
wheel and all-wheel drive vehicles which can be shifted to a two-wheel 
mode by the driver may be tested in a two-wheel drive mode of operation.

[54 FR 14529, Apr. 11, 1989, as amended at 70 FR 72927, Dec. 8, 2005; 74 
FR 61547, Nov. 25, 2009; 79 FR 23697, Apr. 28, 2014]



Sec.  86.136-90  Engine starting and restarting.

    (a) Otto-cycle vehicles. Paragraph (a) of this section applies to 
Otto-cycle vehicles.
    (1) The engine shall be started according to the manufacturer's 
recommended starting procedures in the owner's manual. The initial 20-
second idle period shall begin when the engine starts.
    (2) Choke operation: (i) Vehicles equipped with automatic chokes 
shall be operated according to the manufacturer's operating instructions 
in the owner's manual, including choke setting and ``kick-down'' from 
cold fast idle.
    (ii) Vehicles equipped with manual chokes shall be operated 
according to the manufacturer's operating instructions in the owner's 
manual.
    (3) The transmission shall be placed in gear 15 seconds after the 
engine is started. If necessary, braking may be employed to keep the 
drive wheels from turning.
    (4) The operator may use the choke, accelerator pedal, etc., where 
necessary to keep the engine running.
    (5) If the manufacturer's operating instructions in the owner's 
manual do not specify a warm engine starting procedure, the engine 
(automatic and manual-choke engines) shall be started by depressing the 
accelerator pedal about half way and cranking the engine until it 
starts.
    (b) Diesel vehicles. The engine shall be started according to the 
manufacturers recommended starting procedures in the owners manual. The 
initial 20-second idle period shall begin when the engine starts. The 
transmission shall be placed in gear 15 seconds after the engine is 
started. If necessary, braking may be employed to keep the drive wheels 
from turning.
    (c) If the vehicle does not start after the manufacturer's 
recommended cranking time (or 10 continuous seconds in the absence of a 
manufacturer's recommendation), cranking shall cease for the period 
recommended by the manufacturer (or 10 seconds in the absence of a 
manufacturer's recommendation). This may be repeated for up to three 
start attempts. If the vehicle does not start after three attempts, the 
reason for failure to start shall be determined. The gas flow measuring 
device on the constant volume sampler (usually a revolution counter) or 
CFV (and the hydrocarbon integrator and particulate sampling system when 
testing petroleum-fueled diesel vehicles and the particulate

[[Page 702]]

sampling system when testing methanol-fueled diesel vehicles, see Sec.  
86.137) shall be turned off and the sampler selector valves, including 
the methanol sampler, placed in the ``standby'' position during this 
diagnostic period. In addition, either the CVS should be turned off, or 
the exhaust tube disconnected from the tailpipe during the diagnostic 
period. If failure to start is an operational error, the vehicle shall 
be rescheduled for testing from a cold start.
    (d) If the engine ``false starts'' the operator shall repeat the 
recommended starting procedure (such as resetting the choke, etc.).
    (e) Stalling. (1) If the engine stalls during an idle period, the 
engine shall be restarted immediately and the test continued. If the 
engine cannot be started soon enough to allow the vehicle to follow the 
next acceleration as prescribed, the driving schedule indicator shall be 
stopped. When the vehicle restarts, the driving schedule indicator shall 
be reactivated.
    (2) If the engine stalls during some operating mode other than idle, 
the driving schedule indicator shall be stopped, the vehicle shall then 
be restarted and accelerated to the speed required at that point in the 
driving schedule and the test continued. During acceleration to this 
point, shifting shall be performed in accordance with Sec.  86.128.
    (3) If the vehicle will not restart within one minute, the test 
shall be voided, the vehicle removed from the dynamometer, corrective 
action taken, and the vehicle rescheduled for test. The reason for the 
malfunction (if determined) and the corrective action taken shall be 
reported to the Administrator.

[54 FR 14530, Apr. 11, 1989, as amended at 58 FR 16042, Mar. 24, 1993; 
59 FR 48510, Sept. 21, 1994]



Sec.  86.137-94  Dynamometer test run, gaseous and particulate emissions.

    Section 86.137-94 includes text that specifies requirements that 
differ from Sec.  86.137-90. Where a paragraph in Sec.  86.137-90 is 
identical and applicable to Sec.  86.137-94, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.137-90.'' Where a corresponding paragraph of 
Sec.  86.137-90 is not applicable, this is indicated by the statement 
``[Reserved].''
    (a) General. The dynamometer run consists of two tests, a cold start 
test, after a minimum 12-hour and a maximum 36-hour soak according to 
the provisions of Sec.  86.132, and a hot start test following the cold 
start test by 10 minutes. The vehicle shall be stored prior to the 
emission test in such a manner that precipitation (e.g., rain or dew) 
does not occur on the vehicle. The complete dynamometer test consists of 
a cold start drive of 7.5 miles (12.1 km) and simulates a hot start 
drive of 7.5 miles (12.1 km). The vehicle is allowed to stand on the 
dynamometer during the 10 minute time period between the cold and hot 
start tests. The cold start test is divided into two periods. The first 
period, representing the cold start ``transient'' phase, terminates at 
the end of the deceleration which is scheduled to occur at 505 seconds 
of the driving schedule. The second period, representing the 
``stabilized'' phase, consists of the remainder of the driving schedule 
including engine shutdown. The hot start test, similarly, consists of 
two periods. The first period, representing the hot start ``transient'' 
phase, terminates at the same point in driving schedule as the first 
period of the cold start test. The second period of the hot start test, 
``stabilized'' phase, is assumed to be identical to the second period of 
the cold start test. Therefore, the hot start test terminates after the 
first period (505 seconds) is run.
    (b) The following steps shall be taken for each test:
    (1) Place drive wheels of vehicle on dynamometer without starting 
engine.
    (2) Open the vehicle engine compartment cover and position the 
cooling fan.
    (3) For all vehicles, with the sample selector valves in the 
``standby'' position, connect evacuated sample collection bags to the 
dilute exhaust and dilution air sample collection systems.
    (4) For methanol-fueled vehicles, with the sample selector valves in 
the ``standby'' position, insert fresh sample collection impingers into 
the methanol sample collection system, fresh

[[Page 703]]

impingers or a fresh cartridge into the formaldehyde sample collection 
system and fresh impingers (or a single cartridge for formaldehyde) into 
the dilution air sample collection systems for methanol and formaldehyde 
(background measurements of methanol and formaldehyde may be omitted and 
concentrations assumed to be zero for calculations in Sec.  86.144).
    (5) Start the CVS (if not already on), the sample pumps (except the 
particulate sample pump, if applicable), the temperature recorder, the 
vehicle cooling fan, and the heated THC analysis recorder (diesel-cycle 
only). (The heat exchanger of the constant volume sampler, if used, 
petroleum-fueled diesel-cycle THC analyzer continuous sample line and 
filter, methanol-fueled vehicle THC, methanol and formaldehyde sample 
lines, if applicable, should be preheated to their respective operating 
temperatures before the test begins).
    (6) Adjust the sample flow rates to the desired flow rate and set 
the gas flow measuring devices to zero.
    (i) For gaseous bag samples (except THC samples), the minimum flow 
rate is 0.17 cfm (0.08 1/sec).
    (ii) For THC samples, the minimum FID (or HFID in the case of 
diesel-cycle and methanol-fueled Otto-cycle vehicles) flow rate is 0.066 
cfm (0.031 1/sec).
    (iii) For methanol samples, the flow rates shall be set such that 
the system meets the design criteria of Sec.  86.109 and Sec.  86.110. 
For samples in which the concentration in the primary impinger exceeds 
0.5 mg/l, it is recommended that the mass of methanol collected in the 
secondary impinger not exceed ten percent of the total mass collected. 
For samples in which the concentration in the primary impinger does not 
exceed 0.5 mg/l, analysis of the secondary impingers is not necessary.
    (iv) For formaldehyde samples, the flow rates shall be set such that 
the system meets the design criteria of Sec.  86.109 and Sec.  86.110. 
For impinger samples in which the concentration of formaldehyde in the 
primary impinger exceeds 0.1 mg/l, it is recommended that the mass of 
formaldehyde collected in the secondary impinger not exceed ten percent 
of the total mass collected. For samples in which the concentration in 
the primary impinger does not exceed 0.1 mg/l, analysis of the secondary 
impingers is not necessary.
    (7) Attach the exhaust tube to the vehicle tailpipe(s).
    (8) Carefully install a particulate sample filter into each of the 
filter holders. The filters must be handled only with forceps or tongs. 
Rough or abrasive filter handling will result in erroneous weight 
determination.
    (9) Start the gas flow measuring device, position the sample 
selector valves to direct the sample flow into the ``transient'' exhaust 
sample bag, the ``transient'' methanol exhaust sample, the ``transient'' 
formaldehyde exhaust sample, the ``transient'' dilution air sample bag, 
the ``transient'' methanol dilution air sample and the ``transient'' 
formaldehyde dilution air sample (turn on the petroleum-fueled diesel-
cycle THC analyzer system integrator, mark the recorder chart, start 
particulate sample pump No. 1, and record both gas meter or flow 
measurement instrument readings, if applicable), turn the key on, and 
start cranking the engine.
    (10) Fifteen seconds after the engine starts, place the transmission 
in gear.
    (11) Twenty seconds after the engine starts, begin the initial 
vehicle acceleration of the driving schedule.
    (12) Operate the vehicle according to the Urban Dynamometer Driving 
Schedule (Sec.  86.115).

    Note: During particulate testing, adjust the flow rate through the 
particulate sample probe to maintain a constant value within 5 percent of the set flow rate. Record the average 
temperature and pressure at the gas meter or flow instrument inlet. If 
the set flow rate cannot be maintained because of high particulate 
loading on the filter, the test shall be terminated. The test shall be 
rerun using a lower flow rate, or larger diameter filter, or both.

    (13) At the end of the deceleration which is scheduled to occur at 
505 seconds, simultaneously switch the sample flows from the 
``transient'' bags and samples to the ``stabilized'' bags and samples, 
switch off gas flow measuring device No. 1, switch off the No. 1 
petroleum-fueled diesel hydrocarbon integrator and the No. 1 particulate 
sample pump, mark the petroleum-fueled diesel hydrocarbon recorder

[[Page 704]]

chart, and close valves isolating particulate filter No. 1, if 
applicable, start gas flow measuring device No. 2, and start the 
petroleum-fueled diesel hydrocarbon integrator No. 2 and the No. 2 
particulate sample pump and open valves isolating particulate filter No. 
2, if applicable. Before the acceleration which is scheduled to occur at 
510 seconds, record the measured roll or shaft revolutions and reset the 
counter or switch to a second counter. As soon as possible transfer the 
``transient'' exhaust and dilution air samples to the analytical system 
and process the samples according to Sec.  86.140 obtaining a stabilized 
reading of the bag exhaust sample on all analyzers within 20 minutes of 
the end of the sample collection phase of the test. Obtain methanol and 
formaldehyde sample analyses, if applicable, within 24 hours of the end 
of the sample collection phase of the test.
    (14) Turn the engine off 2 seconds after the end of the last 
deceleration (at 1,369 seconds).
    (15) Five seconds after the engine stops running, simultaneously 
turn off gas flow measuring device No. 2 and if applicable, turn off the 
hydrocarbon integrator No. 2, mark the hydrocarbon recorder chart, turn 
off the No. 2 particulate sample pump and close the valves isolating 
particulate filter No. 2, and position the sample selector valves to the 
``standby'' position (and open the valves isolating particulate filter 
No. 1, if applicable). Record the measured roll or shaft revolutions 
(both gas meter or flow measurement instrumentation readings), and reset 
the counter. As soon as possible, transfer the ``stabilized'' exhaust 
and dilution air samples to the analytical system and process the 
samples according to Sec.  86.140, obtaining a stabilized reading of the 
exhaust bag sample on all analyzers within 20 minutes of the end of the 
sample collection phase of the test. Obtain methanol and formaldehyde 
sample analyses, if applicable, within 24 hours of the end of the sample 
period. (If it is not possible to perform analysis on the methanol and 
formaldehyde samples within 24 hours, the samples should be stored in a 
dark cold (4-10 [deg]C) environment until analysis. The samples should 
be analyzed within fourteen days.) If applicable, carefully remove both 
pairs of particulate sample filters from their respective holders, and 
place each in a separate petri dish, and cover.
    (16) Immediately after the end of the sample period, turn off the 
cooling fan and close the engine compartment cover.
    (17) Turn off the CVS or disconnect the exhaust tube from the 
tailpipe(s) of the vehicle.
    (18) Repeat the steps in paragraphs (b)(2) through (b)(12) of this 
section for the hot start test, except only two evacuated sample bags, 
two methanol sample impingers, two formaldehyde sample impingers, and 
one pair of particulate sample filters, as appropriate, are required. 
The step in paragraph (b)(9) of this section shall begin between 9 and 
11 minutes after the end of the sample period for the cold-start test.
    (19) At the end of the deceleration scheduled to occur at 505 
seconds, simultaneously turn off gas flow measuring device No. 1 (and 
the petroleum-fueled diesel hydrocarbon integrator No. 1; mark the 
petroleum-fueled diesel hydrocarbon recorder chart and turn off the No. 
1 particulate sample pump, if applicable) and position the sample 
selector valve to the ``standby'' position. (Engine shutdown is not part 
of the hot start test sample period.) Record the measured roll or shaft 
revolutions (and the No. 1 gas meter reading or flow measurement 
instrument). Carefully remove the third pair of particulate sample 
filters from the holder and place in a clean petri dish and cover, if 
applicable.
    (20) As soon as possible, transfer the hot start ``transient'' 
exhaust and dilution air samples to the analytical system and process 
the samples according to Sec.  86.140, obtaining a stabilized reading of 
the exhaust bag sample on all analyzers within 20 minutes of the end of 
the sample collection phase of the test. Obtain methanol and 
formaldehyde sample analyses, if applicable, within 24 hours of the end 
of the sample period. If it is not possible to perform analysis on the 
methanol and formaldehyde samples within 24 hours, the samples should be 
stored in a dark,

[[Page 705]]

cold (4-10 [deg]C) environment until analysis. Analyze the samples 
within fourteen days.
    (21) As soon as possible, and in no case longer than one hour after 
the end of the hot start phase of the test, transfer the six particulate 
filters to the weighing chamber for post-test conditioning, if 
applicable.
    (22) Disconnect the exhaust tube from the vehicle tailpipe(s) and 
drive the vehicle from dynamometer.
    (23) The CVS or CFV may be turned off, if desired.
    (24) Vehicles to be tested for evaporative emissions proceed 
according to Sec.  86.134; vehicles to be tested with the supplemental 
two-diurnal test sequence for evaporative emissions proceed according to 
Sec.  86.138-96(k). For all others, this completes the test sequence.

[56 FR 25776, June 5, 1991, as amended at 60 FR 34347, June 30, 1995; 79 
FR 23697, Apr. 28, 2014]



Sec.  86.138-96  Hot soak test.

    (a)(1) Gasoline- and methanol-fueled vehicles. For gasoline- and 
methanol-fueled vehicles, the hot soak test shall be conducted 
immediately following the running loss test. However, sampling of 
emissions from the running loss test is not required as preparation for 
the hot soak test.
    (2) Gaseous-fueled vehicles. Since gaseous-fueled vehicles are not 
required to perform a running loss test, the hot soak test shall be 
conducted within seven minutes after completion of the hot start exhaust 
test.
    (b) The hot soak test may be conducted in the running loss enclosure 
as a continuation of that test or in a separate enclosure.
    (1) If the hot soak test is conducted in the running loss enclosure, 
the driver may exit the enclosure after the running loss test. If 
exiting, the driver should use the personnel door described in Sec.  
86.107-96(a)(2), exiting as quickly as possible with a minimum 
disturbance to the system. The final hydrocarbon and methanol 
concentration for the running loss test, measured in Sec.  86.134-
96(g)(1)(xx), shall be the initial hydrocarbon and methanol 
concentration (time = 0 minutes) CHCi and 
CCH3OHi, for the hot soak test.
    (2) If the vehicle must be moved to a different enclosure, the 
following steps must be taken:
    (i) The enclosure for the hot soak test shall be purged for several 
minutes prior to completion of the running loss test. WARNING: If at any 
time the concentration of hydrocarbons, of methanol, or of methanol and 
hydrocarbons exceeds 15,000 ppm C the enclosure should be immediately 
purged. This concentration provides at least a 4:1 safety factor against 
the lean flammability limit.
    (ii) The FID hydrocarbon analyzer shall be zeroed and spanned 
immediately prior to the test.
    (iii) Fresh impingers shall be installed in the methanol sample 
collection system immediately prior to the start of the test, if 
applicable.
    (iv) If not already on, the mixing fan(s) shall be turned on at this 
time. Throughout the hot soak test, the mixing fan(s) shall circulate 
the air at a rate of 0.80.2 cfm per cubic foot of 
the nominal enclosure volume.
    (v) Begin sampling as follows:
    (A) Analyze the enclosure atmosphere for hydrocarbons and record. 
This is the initial (time = 0 minutes) hydrocarbon concentration, 
CHCi, required in Sec.  86.143. Hydrocarbon emissions may be 
sampled continuously during the test period.
    (B) Analyze the enclosure atmosphere for methanol, if applicable, 
and record. The methanol sampling must start simultaneously with the 
initiation of the hydrocarbon analysis and continue for 4.00.5 minutes. This is the initial (time = 0 minutes) 
methanol concentration, CCH3OHi, required in Sec.  
86.143. Record the time elapsed during this analysis. If the 4-minute 
sample period is inadequate to collect a sample of sufficient 
concentration to allow accurate GC analysis, rapidly collect the 
methanol sample in a bag and then bubble the bag sample through the 
impingers at the specified flow rate. The time elapsed between 
collection of the bag sample and flow through the impingers should be 
minimized to prevent any losses.
    (vi) The vehicle engine compartment cover shall be closed (if not 
already closed), the cooling fan shall be moved, the vehicle shall be 
disconnected from

[[Page 706]]

the dynamometer and any sampling system, and then driven at minimum 
throttle to the enclosure for the hot soak test. These steps should be 
done as quickly as possible to minimize the time needed to start the hot 
soak test.
    (vii) The vehicle's engine must be stopped before any part of the 
vehicle enters the enclosure.
    (viii) The vehicle shall enter the enclosure; the enclosure doors 
shall be closed and sealed within 2 minutes of engine shutdown and 
within seven minutes after the end of the running loss test.
    (ix) The test vehicle windows and any luggage compartments shall be 
opened (if not already open). The vehicle engine compartment cover shall 
be closed (if not already closed).
    (c) [Reserved]
    (d) The temperature recording system shall be started and the time 
of engine shutoff shall be noted on the evaporative emission hydrocarbon 
data recording system.
    (e) For the first 5 minutes of the hot soak test, the ambient 
temperature shall be maintained at 9510 [deg]F. 
For the remainder of the hot soak test, the ambient temperature shall be 
maintained at 955 [deg]F (952 [deg]F on average).
    (f) The 600.5 minute hot soak begins when the 
enclosure doors are sealed (or when the running loss test ends, if the 
hot soak test is conducted in the running loss enclosure).
    (g) The FID (or HFID) hydrocarbon analyzer shall be zeroed and 
spanned immediately prior to the end of the test.
    (h) Fresh impingers shall be installed in the methanol collection 
system immediately prior to the end of the test, if applicable.
    (i) [Reserved]
    (j) At the end of the 600.5 minute test 
period:
    (1) Analyze the enclosure atmosphere for hydrocarbons and record. 
This is the final (time = 60 minutes) hydrocarbon concentration, 
CHCf, required in Sec.  86.143.
    (2) Analyze the enclosure atmosphere for methanol and record, if 
applicable. The methanol sampling must start simultaneously with the 
initiation of the hydrocarbon analysis and continue for 4.00.5 minutes. This is the final (time = 60 minutes) 
methanol concentration, CCH3OHf, required in Sec.  
86.143. Record the time elapsed during this analysis. If the 4-minute 
sample period is inadequate to collect a sample of sufficient 
concentration to allow accurate GC analysis, rapidly collect the 
methanol sample in a bag and then bubble the bag sample through the 
impingers at the specified flow rate. The time elapsed between 
collection of the bag sample and flow through the impingers should be 
minimized to prevent any losses.
    (k) For the supplemental two-diurnal test sequence (see Sec.  
86.130-96), perform a hot soak test as described in this section, except 
that the test shall be conducted within seven minutes after completion 
of the hot start exhaust test and temperatures throughout the hot soak 
measurement period must be between 68 [deg] and 86 [deg]F. This hot soak 
test is followed by two consecutive diurnal heat builds, described in 
Sec.  86.133-96(p).
    (l) If the vehicle is to be tested for diurnal emissions, follow the 
procedure outlined in Sec.  86.133-96.

[58 FR 16042, Mar. 24, 1993, as amended at 59 FR 48510, Sept. 21, 1994; 
60 FR 43897, Aug. 23, 1995; 75 FR 22980, Apr. 30, 2010]



Sec.  86.139-90  Particulate filter handling and weighing.

    (a) At least 8 hours, but not more than 56 hours before the test, 
place each filter in an open, but protected, petri dish and place in the 
weighing chamber which meets the humidity and temperature specifications 
of Sec.  86.112.
    (b) At the end of the 8 to 56 hour stabilization period, weigh the 
filter on a balance having a precision of one microgram. Record this 
weight. This reading is the tare weight.
    (c) The filter shall then be stored in a covered petri dish which 
shall remain in the weighing chamber until needed for testing.
    (d)(1) If the filter is not used within one hour of its removal from 
the weighing chamber, it shall be reweighed.
    (2) The one hour limit may be replaced by an eight-hour limit if one 
or both of the following conditions are met:

[[Page 707]]

    (i) A stabilized filter is placed and kept in a sealed filter holder 
assembly with the ends plugged, or
    (ii) A stabilized filter is placed in a sealed filter holder 
assembly, which is then immediately placed in a sample line through 
which there is no flow.
    (e) After the test, and after the sample filter is returned to the 
weighing room, condition it for at least 1 hour but not more than 56 
hours. Then weigh a second time. This latter reading is the gross weight 
of the filter. Record this weight.
    (f) The net weight (Pe) is the gross weight minus the 
tare weight.

    Note: Should the sample on the filter contact the petri dish or any 
other surface, the test is void and must be rerun.

[54 FR 14532, Apr. 11, 1989]



Sec.  86.140-94  Exhaust sample analysis.

    The following sequence shall be performed in conjunction with each 
series of measurements:
    (a) For CO, CO2, CH4, NOX, and for 
Otto-cycle and methanol-fueled, natural gas-fueled and liquefied 
petroleum gas-fueled (if non-heated FID option is used) diesel vehicle 
HC:
    (1) Zero the analyzers and obtain a stable zero reading. Recheck 
after tests.
    (2) Introduce span gases and set instrument gains. In order to avoid 
errors, span and calibrate at the same flow rates used to analyze the 
test sample. Span gases should have concentrations equal to 75 to 100 
percent of full scale. If gain has shifted significantly on the 
analyzers, check the calibrations. Show actual concentrations on chart.
    (3) Check zeroes; repeat the procedure in paragraphs (a) (1) and (2) 
of this section if required.
    (4) Check flow rates and pressures.
    (5) Measure THC, CO, CO2, CH4, and 
NOX concentrations of samples.
    (6) Check zero and span points. If difference is greater than 2 
percent of full scale, repeat the procedure in paragraphs (a) (1) 
through (5) of this section.
    (b) For petroleum-fueled, natural gas-fueled and liquefied petroleum 
gas-fueled (if HFID is used) diesel vehicle HC:
    (1) Zero HFID analyzer and obtain a stable zero reading.
    (2) Introduce span gas and set instrument gains. Span gas should 
have concentration equal to 75 to 100 percent of full scale.
    (3) Check zero as in paragraph (b)(1) of this section.
    (4) Introduction of zero and span gas into the analyzer can be 
accomplished by either of the following methods:
    (i) Close heated valve in THC sample (see Figures B94-5 or B94-6) 
and allow gases to enter HFID. Extreme care should be taken not to 
introduce gases under high pressure.
    (ii) Connect zero and span line directly to THC sample probe and 
introduce gases at a flow rate greater than 125 percent of the HFID flow 
rate with the CVS blower operating (see Figures B94-5 or B94-6). Excess 
flow must be allowed to exit probe inlet.

    Note: In order to minimize errors, HFID flow rate and pressure 
during zero and span (and background bag reading) must be exactly the 
same as that used during testing.

    (5) Continuously record (integrate electronically if desired) dilute 
THC emission levels during test. Background samples are collected in 
sample bags and analyzed as in paragraphs (b)(4) (i) or (ii) of this 
section.
    (6) Check zero and span as in paragraphs (b) (1) through (4) of this 
section. If difference is greater than 2 percent of full scale, void 
test and check for THC ``hangup'' or electronic drift in analyzer.
    (c) For CH3OH (methanol-fueled vehicles), introduce test 
samples into the gas chromatograph and measure the concentration. This 
concentration is CMS in the calculations.
    (d) For HCHO (methanol-fueled vehicles), introduce formaldehyde test 
samples into the high pressure liquid chromatograph and measure the 
concentration of formaldehyde as a dinitrophenylhydrazine derivative in 
acetonitrile. This concentration is CFS in the calculations.
    (e) For CH4 analysis:
    (1) In the event that the procedure results in negative 
NMHCwm values (as may occur with high methane fractions), any 
negative NMHCwm value whose absolute value is less than 10 
percent of the NMHC standard shall be

[[Page 708]]

rounded to zero. Negative NMHCwm values whose absolute value 
is more than 10 percent of the NMHC standard shall require sample 
remeasurement. If the 10 percent criterion cannot be met after 
remeasurement, the test will be void.
    (2) Other sampling procedures may be used if shown to yield 
equivalent or superior results and if approved in advance by the 
Administrator.

[56 FR 25777, June 5, 1991, as amended at 59 FR 48510, Sept. 21, 1994; 
60 FR 34347, June 30, 1995]



Sec.  86.142-90  Records required.

    The following information shall be recorded with respect to each 
test:
    (a) Test number.
    (b) System or device tested (brief description).
    (c) Date and time of day for each part of the test schedule.
    (d) Test results. Also include a comparison of drive cycle energy 
and target cycle energy relative to both inertia and road load forces as 
specified in 40 CFR 1066.425 for each drive cycle or test phase, as 
appropriate.
    (e) Driver and equipment operator IDs.
    (f) Vehicle. ID number, manufacturer, model year, standards, engine 
family, evaporative emissions family, basic engine description 
(including displacement, number of cylinders, turbo-/supercharger used, 
and catalyst usage), fuel system (including number of carburetors, 
number of carburetor barrels, fuel injection type, and fuel tank(s) 
capacity and location), engine code, gross vehicle weight rating, 
inertia weight class, actual curb weight at zero miles, actual road load 
at 50 mph (80 kph), transmission configuration, axle ratio, car line, 
system miles, idle rpm, and drive wheel tire pressure, as applicable.
    (g) Dynamometer. Dynamometer ID, inertia weight setting, indicated 
power absorption setting, records to verify compliance with the vehicle 
speed versus time requirements of the test, and driving distance for 
each of the three phases of the test, calculated from the measured roll 
or shaft revolutions.
    (h) Gas analyzers. Analyzer bench ID, analyzer ranges, recordings of 
analyzer output during zero, span, and sample readings.
    (i) Recorder charts: Test number, date, vehicle ID, operator ID, and 
identification of the measurements recorded.
    (j) Test cell barometric pressure, ambient temperature, and 
humidity.

    Note: A central laboratory barometer may be used: Provided, that 
individual test cell barometric pressures are shown to be within 0.1 percent of the barometric pressure at the central 
barometer location.

    (k) Temperatures. Records to verify compliance with the ambient 
temperature requirements throughout the test procedure and recordings of 
vehicle fuel temperature(s) during the diurnal test and of the enclosure 
temperatures during the diurnal and hot soak tests.
    (l) CFV-CVS. Total dilute exhaust volume (Vmix) for each phase of 
the exhaust test.
    (m) PDP-CVS. Test measurements required to calculate the Vmix. Total 
dilute exhaust volume (Vmix) for each phase of the exhaust test.
    (n) The humidity of the dilution air.

    Note: If conditioning columns are not used (see Sec. Sec.  86.122 
and 86.144) this measurement can be deleted. If the conditioning columns 
are used and the dilution air is taken from the test cell, the ambient 
humidity can be used for this measurement.

    (o) Additional records required for diesel vehicles. (1) Pressure 
and temperature of the dilute exhaust mixture (and background air if 
sampled) at the inlet to the gas meter used for particulate sampling.
    (2) The temperature of the dilute exhaust mixture inside the 
dilution tunnel near the inlet of the particulate probe.
    (3) The temperature of the gas flowing in the heated sample line 
before the heated filter, and also before the HFID, and the temperature 
of the control system of the heated hydrocarbon detector.
    (4) Gas meter or flow measurement instrumentation readings at the 
start of each sample period and at the end of each sample period.
    (5) The stabilized pre-test weight and post-test weight of each 
particulate sample and back-up filter.
    (6) Continuous temperature and humidity recording of the ambient air 
in

[[Page 709]]

which the particulate filters were stabilized.
    (p) Additional required records for methanol-fueled vehicles. (1) 
Specification of the methanol-fuel or methanol-fuel mixtures used during 
the test.
    (2) Volume of sample passed through the methanol sampling system and 
the volume of deionized water in each impinger.
    (3) The concentration of the GC analyses of the test samples 
(methanol).
    (4) Volume of sample passed through the formaldehyde sampling system 
and the volume of DNPH solution used.
    (5) The concentration of the HPLC analysis of the test sample 
(formaldehyde).
    (6) The temperatures of the sample lines before the HFID and the 
impinger, the temperature of the exhaust transfer duct (as applicable), 
and the temperature of the control system of the heated hydrocarbon 
detector.
    (7) A continuous measurement of the dew point of the raw and diluted 
exhaust. This requirement may be omitted if the temperatures of all 
heated lines are kept above 220 [deg]F, or if the manufacturer performs 
an engineering analysis demonstrating that the temperature of the heated 
systems remains above the maximum dew point of the gas stream throughout 
the course of the test.
    (q) Additional required records for natural gas-fueled vehicles. 
Composition, including all carbon containing compounds; e.g. 
CO2, of the natural gas-fuel used during the test. 
C1 and C2 compounds shall be individually 
reported. C3 and heavier hydrocarbons, and C6 and 
heavier compounds may be reported as a group.
    (r) Additional required records for liquefied petroleum gas-fueled 
vehicles. Composition of the liquefied petroleum gas-fuel used during 
the test. Each hydrocarbon compound present, through C4 
compounds, shall be individually reported. C5 and heavier 
hydrocarbons may be reported as a group.

[54 FR 14533, Apr. 11, 1989, as amended at 58 FR 58422, Nov. 1, 1993; 59 
FR 48510, Sept. 21, 1994; 60 FR 34348, June 30, 1995; 79 FR 23697, Apr. 
28, 2014]



Sec.  86.143-96  Calculations; evaporative emissions.

    (a) The following equations are used to calculate the evaporative 
emissions from gasoline- and methanol-fueled vehicles, and for gaseous-
fueled vehicles.
    (b) Use the measurements of initial and final concentrations to 
determine the mass of hydrocarbons and methanol emitted. For testing 
with pure gasoline, methanol emissions are assumed to be zero.
    (1) For enclosure testing of diurnal, hot soak, and running loss 
emissions:
    (i) Methanol emissions:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.309
    
Where:

(A) MCH3OH = Methanol mass change, [micro]g.
(B) Vn = Net enclosure volume, ft\3\, as determined by 
          subtracting 50 ft\3\ (1.42 m\3\) (volume of vehicle with trunk 
          and windows open) from the enclosure volume. A manufacturer 
          may use the measured volume of the vehicle (instead of the 
          nominal 50 ft\3\) with advance approval by the Administrator: 
          Provided, the measured volume is determined and used for all 
          vehicles tested by that manufacturer.
(C) [Reserved]
(D) VE = Volume of sample withdrawn, ft\3\. Sample volumes 
          must be corrected for differences in temperature to be 
          consistent with determination of Vn, prior to being 
          used in the equation.
(E) [Reserved]
(F) CMS = GC concentration of sample, [micro]g/ml.
(G) AV = Volume of absorbing reagent in impinger.
(H) PB = Barometric pressure at time of sampling, in. Hg.
(I) i = Initial sample.
(J) f = Final sample.
(K) 1 = First impinger.
(L) 2 = Second impinger.
(M) MCH3OH, out = mass of methanol exiting the enclosure, in 
          the case of fixed-volume enclosures for diurnal emission 
          testing, [micro]g.

[[Page 710]]

(N) MCH3OH, in = mass of methanol entering the enclosure, in 
          the case of fixed-volume enclosures for diurnal emission 
          testing, [micro]g.

    (ii) Hydrocarbon emissions:
    [GRAPHIC] [TIFF OMITTED] TR06OC93.030
    
Where,

(A) MHC = Hydrocarbon mass change, g.
(B) CHC = FID hydrocarbon concentration as ppm including FID 
          response to methanol (or methane, as appropriate) in the 
          sample.
(C) CCH3OH = Methanol concentration as ppm carbon.
[GRAPHIC] [TIFF OMITTED] TR06OC93.031

(D) Vn = Net enclosure volume ft\3\ (m\3\) as determined by 
          subtracting 50 ft\3\ (1.42 m\3\) (volume of vehicle with trunk 
          and windows open) from the enclosure volume. A manufacturer 
          may use the measured volume of the vehicle (instead of the 
          nominal 50 ft\3\) with advance approval by the Administrator, 
          provided the measured volume is determined and used for all 
          vehicles tested by that manufacturer.
(E) r = FID response factor to methanol.
(F) PB = Barometric pressure, in Hg (Kpa).
(G) T = Enclosure temperature, [deg]R([deg]K).
(H) i = initial reading.
(I) f = final reading.
(J) 1 = First impinger.
(K) 2 = Second impinger.
(L) Assuming a hydrogen to carbon ratio of 2.3:
(1) k = 2.97; and
(2) For SI units, k = 17.16.
(M) MHC, out = mass of hydrocarbons exiting the enclosure, in 
          the case of fixed-volume enclosures for diurnal emission 
          testing, g.
(N) MHC, in = mass of hydrocarbons entering the enclosure, in 
          the case of fixed-volume enclosures for diurnal emission 
          testing, g.

    (iii) For variable-volume enclosures, defined in Sec.  
86.107(a)(1)(i), the following simplified form of the hydrocarbon mass 
change equation may be used:
[GRAPHIC] [TIFF OMITTED] TR06OC93.032

    (2) For running loss testing by the point-source method, the mass 
emissions of each test phase are calculated below, then summed for a 
total mass emission for the running loss test. If emissions are 
continuously sampled, the following equations can be used in integral 
form.
    (i) Methanol emissions:

MCH3OH = [rho]CH3OH 
Vmix x
(CCH3OH, rl-CCH3OH, d)

Where,

(A) MCH3OH = methanol mass change, [micro]g.

(B) [rho]CH3,OH = 37.71 g/ft\3\, density of pure 
          vapor at 68 [deg]F.
(C) Vmix = total dilute sample volume, in ft\3\, calculated 
          as appropriate for the collection technique used.
(D) CCH3OH, rl = methanol concentration of diluted 
          running loss sample, in ppm carbon equivalent.
(E) CCH3OH, d = methanol concentration of dilution 
          air, in ppm carbon equivalent.


[[Page 711]]


    (ii) Hydrocarbon emissions:

MHC = [rho]HC Vmix10-6 x 
(CHC, rl-CHC, d)

Where,

(A) MHC = hydrocarbon mass change, g.
(B) [rho]HC = 16.88 g/ft\3\, density of pure vapor at 68 
          [deg]F (for hydrogen to carbon ratio of 2.3).
(C) Vmix = total dilute sample volume, in ft\3\, calculated 
          as appropriate for the collection technique used.
(D) CHC, rl = hydrocarbon concentration of diluted running 
          loss sample, in ppm carbon equivalent.
(E) CHC, d = hydrocarbon concentration of dilution air, in 
          ppm carbon equivalent.
    (c) If the test fuel contains at least 25% oxygenated compounds by 
volume, measure the concentration of oxygenated compounds directly using 
a photoacoustic analyzer specified in 40 CFR 1065.269 or using impingers 
as described in 40 CFR 1065.805(f). Calculate total hydrocarbon 
equivalent emissions with the following equation, using density values 
specified in 40 CFR 1066.1005(f):
[GRAPHIC] [TIFF OMITTED] TR28AP14.005

Where:
mTHCE = the sum of the mass of THCE in the SHED.
mTHC = the mass of THC and all oxygenated hydrocarbons in the 
          SHED, as measured by the FID. Calculate THC mass based on 
          [rho]THC.
rTHC = the effective C1-equivalent density of THC 
          as specified in 40 CFR 1066.1005(f).
mOHCi = the mass of oxygenated species i in the SHED.
rOHCi = the C1-equivalent density of oxygenated 
          species i.
RFOHCi[THC-FID] = the response factor of a THC-FID to 
          oxygenated species i relative to propane on a C1-
          equivalent basis as determined in 40 CFR 1065.845.

    (d)(1) For the full three-diurnal test sequence, there are two final 
results to report:
    (i) The sum of the adjusted total mass emissions for the diurnal and 
hot soak tests (MDI + MHS); and
    (ii) The adjusted total mass emissions for the running loss test, on 
a grams per mile basis = MRL/DRL, where 
DRL = miles driven for the running loss test (see Sec.  
86.134-96(c)(6)).
    (2) For the supplemental two-diurnal test sequence, there is one 
final result to report: the sum of the adjusted total mass emissions for 
the diurnal and hot soak tests (MDI + MHS), 
described in Sec. Sec.  86.133-96(p) and 86.138-96(k), respectively.

[58 FR 16043, Mar. 24, 1993, as amended at 59 FR 48510, Sept. 21, 1994; 
60 FR 34348, June 30, 1995; 60 FR 43897, Aug. 23, 1995; 79 FR 23698, 
Apr. 28, 2014; 81 FR 73979, Oct. 25, 2016]



Sec.  86.144-94  Calculations; exhaust emissions.

    The final reported test results shall be computed by use of the 
following formula:
    (a) For light-duty vehicles and light duty trucks:
    [GRAPHIC] [TIFF OMITTED] TR06OC93.051
    

Where:
    (1) YWM = Weighted mass emissions of each pollutant, 
i.e., THC, CO, THCE, NMHC, NMHCE, CH4, NOX, or 
CO2, in grams per vehicle mile.
    (2) Yct = Mass emissions as calculated from the 
``transient'' phase of the cold start test, in grams per test phase.
    (3) Yht = Mass emissions as calculated from the 
``transient'' phase of the hot start test, in grams per test phase.

[[Page 712]]

    (4) Ys = Mass emissions as calculated from the 
``stabilized'' phase of the cold start test, in grams per test phase.
    (5) Dct = The measured driving distance from the 
``transient'' phase of the cold start test, in miles.
    (6) Dht = The measured distance from the ``transient'' 
phase of the hot start test, in miles.
    (7) Ds = The measured driving distance from the 
``stabilized'' phase of the cold start test, in miles.
    (b) The mass of each pollutant for each phase of both the cold start 
test and the hot start test is determined from the following:
    (1) Total hydrocarbon mass:

HCmass = Vmix x DensityHC x 
(HCconc/1,000,000)

    (2) Oxides of nitrogen mass:

NOxmass = Vmix x DensityNO2 x 
KH x (NOxconc/1,000,000)

    (3) Carbon monoxide mass:

COmass = Vmix x DensityCO x 
(COconc/1,000,000)

    (4) Carbon dioxide mass:

CO2mass = Vmix x DensityCO2 x 
(CO2conc/100)

    (5) Methanol mass:

CH3OHmass = Vmix x 
DensityCH3OH x (CH3OHconc/1,000,000)

    (6) Formaldehyde mass:

HCHOmass = Vmix x DensityHCHO x 
(HCHOconc/1,000,000)

    (7) Total hydrocarbon equivalent mass:

THCEmass = HCmass + 13.8756/32.042 x 
(CH3OHmass) + 13.8756/32.0262 x 
(HCHOmass)

    (8) Non-methane hydrocarbon mass:

NMHCmass = Vmix x DensityNMHC x 
(NMHCconc/1,000,000)

    (9) Non-methane hydrocarbon equivalent mass:

NMHCEmass = NMHCmass + 13.8756/32.042 x 
(CH3OHmass) + 13.8756/30.0262 x 
(HCHOmass)

    (10) Methane mass:

CH4mass = Vmix = DensityCH4 = 
(CH4conc/1,000,00)

    (11) Nitrous Oxide Mass:
Vmix x DensityN2O x 
(N2Oconc/1,000,000)

    (c) Meaning of symbols:
    (1)(i) HCmass = Total hydrocarbon emissions, in grams per 
test phase.
    (ii) DensityHC = Density of total hydrocarbon.
    (A) For gasoline-fuel, diesel-fuel and methanol fuel; 
DensityHC = 16.33 g/ft\3\-carbon atom (0.5768 kg/m\3\-carbon 
atom), assuming an average carbon to hydrogen ratio of 1:1.85, at 68 
[deg]F (20 [deg]C) and 760 mm Hg (101.3 kPa) pressure.
    (B) For natural gas and liquefied petroleum gas-fuel; 
DensityHC = 1.1771 (12.011 + H/C (1.008)) g/ft\3\-carbon atom 
(0.04157(12.011 + H/C (1.008))kg/m\3\-carbon atom), where H/C is the 
hydrogen to carbon ratio of the hydrocarbon components of the test fuel, 
at 68 [deg]F (20 [deg]C) and 760 mm Hg (101.3 kPa) pressure.
    (iii)(A) HCconc = Total hydrocarbon concentration of the 
dilute exhaust sample corrected for background, in ppm carbon 
equivalent, i.e., equivalent propane x 3.
    (B) HCconc = HCe-HCd(1-1/DF).

Where:
    (iv)(A) HCe = Total hydrocarbon concentration of the 
dilute exhaust sample or, for diesel-cycle (or methanol-fueled vehicles, 
if selected), average hydrocarbon concentration of the dilute exhaust 
sample as calculated from the integrated THC traces, in ppm carbon 
equivalent.
    (B) HCe = FID HCe-(r)CCH\3\OHe.
    (v) FID HCe = Concentration of total hydrocarbon plus 
methanol in dilute exhaust as measured by the FID, ppm carbon 
equivalent.
    (vi) r = FID response to methanol.
    (vii) CCH\3\OHe = Concentration of methanol in dilute 
exhaust as determined from the dilute exhaust methanol sample in ppm 
carbon. For vehicles not fueled with methanol, CCH\3\OHe 
equals zero.
    (viii)(A) HCd = Total hydrocarbon concentration of the 
dilution air as measured, in ppm carbon equivalent.
    (B) HCd = FID HCd-(r)CCH\3\OHd.
    (ix) FID HCd = Concentration of total hydrocarbon plus 
methanol in dilution air as measured by the FID, ppm carbon equivalent.
    (x) CCH\3\OHd = Concentration of methanol in dilution air 
as determined from dilution air methanol sample in ppm

[[Page 713]]

carbon. For vehicles not fueled with methanol, CCH\3\OHd 
equals zero.
    (2)(i) NOxmass = Oxides of nitrogen emissions, in grams 
per test phase.
    (ii) DensityNO2 = Density of oxides of nitrogen is 54.16 
g/ft3 (1.913 kg/m\3\) assuming they are in the form of nitrogen dioxide, 
at 68 [deg]F (20 [deg]C) and 760 mm Hg (101.3kPa) pressure.
    (iii)(A) NOxconc = Oxides of nitrogen concentration of 
the dilute exhaust sample corrected for background, in ppm.
    (B) NOxconc = NOxe-NOxd(1-(1/DF)).

Where:
    (iv) NOxe = Oxides of nitrogen concentration of the 
dilute exhaust sample as measured, in ppm.
    (v) NOxd = Oxides of nitrogen concentration of the 
dilution air as measured, in ppm.
    (3)(i) COmass = Carbon monoxide emissions, in grams per 
test phase.
    (ii) DensityCO = Density of carbon monoxide is 32.97 g/
ft\3\ (1.164 kg/m3), at 68 [deg]F (20 [deg]C) and 760 mm Hg (101.3 kPa) 
pressure.
    (iii)(A) COconc = Carbon monoxide concentration of the 
dilute exhaust sample corrected for background, water vapor, and 
CO2 extraction, in ppm.
    (B) COconc = COe - COd(1 - (1/DF)).

Where:
    (iv)(A) COe = Carbon monoxide concentration of the dilute 
exhaust volume corrected for water vapor and carbon dioxide extraction, 
in ppm.
    (B) COe = (1 - 0.01925CO2e-
0.000323R)COem for petroleum fuel with hydrogen to carbon 
ratio of 1.85:1.
    (C) COe = [1-(0.01 + 0.005HCR) CO2e-
0.000323R]COem for methanol-fuel or natural gas-fuel or 
liquefied petroleum gas-fuel, where HCR is hydrogen-to-carbon ratio as 
measured for the fuel used.
    (v) COem = Carbon monoxide concentration of the dilute 
exhaust sample as measured, in ppm.
    (vi) CO2e = Carbon dioxide concentration of the dilute 
exhaust sample, in percent.
    (vii) R = Relative humidity of the dilution air, in percent (see 
Sec.  86.142(n)).
    (viii)(A) COd = Carbon monoxide concentration of the 
dilution air corrected for water vapor extraction, in ppm.
    (B) COd = (1-0.000323R)COdm.

Where:
    (ix) COdm = Carbon monoxide concentration of the dilution 
air sample as measured, in ppm.

    Note: If a CO instrument which meets the criteria specified in Sec.  
86.111 is used and the conditioning column has been deleted, 
COem must be substituted directly for COe and 
COdm must be substituted directly for COd.

    (4)(i) CO2mass = Carbon dioxide emissions, in grams per 
test phase.
    (ii) Density CO2 = Density of carbon dioxide is 51.81 g/
ft\3\ (1.830 kg/m\3\), at 68 [deg]F (20 [deg]C) and 760 mm Hg (101.3 
kPa) pressure.
    (iii)(A) CO2conc = Carbon dioxide concentration of the 
dilute exhaust sample corrected for background, in percent.
    (B) CO2conc = CO2e - CO2d(1 - (1/
DF)). Where:
    (iv) CO2d = Carbon dioxide concentration of the dilution 
air as measured, in percent.
    (5)(i) CH3OHmass = Methanol emissions 
corrected for background, in grams per test phase.
    (ii) DensityCH3OH = Density of methanol is 37.71 g/ft\3\-
carbon atom (1.332 kg/m\3\-carbon atom), at 68 [deg]F (20 [deg]C) and 
760 mm Hg (101.3 kPa) pressure.
    (iii)(A) CH3OHconc = Methanol concentration of 
the dilute exhaust corrected for background, ppm.
    (B) CH3OHconc = CCH3OHe - 
CCH3OHd(1 - (1/DF)).

Where:
    (iv)(A) CCH3OHe = Methanol concentration in the dilute 
exhaust, ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.055
    

[[Page 714]]


    (v)(A) CCH3OHd = Methanol concentration in the dilution 
air, ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.056
    
    (vi) TEM = Temperature of methanol sample withdrawn from 
dilute exhaust, [deg]R.
    (vii) TDM = Temperature of methanol sample withdrawn from 
dilution air, [deg]R.
    (viii) PB = Barometric pressure during test, mm Hg.
    (ix) VEM = Volume of methanol sample withdrawn from 
dilute exhaust, ft\3\.
    (x) VDM = Volume of methanol sample withdrawn from 
dilution air, ft\3\.
    (xi) CS = GC concentration of sample drawn from dilute 
exhaust, [micro]g/ml.
    (xii) CD = GC concentration of sample drawn from dilution 
air, [micro]g/ml.
    (xiii) AVS = Volume of absorbing reagent (deionized water) in 
impinger through which methanol sample from dilute exhaust is drawn, ml.
    (xiv) AVD = Volume of absorbing reagent (deionized water) in 
impinger through which methanol sample from dilution air is drawn, ml.
    (xv) 1 = first impinger.
    (xvi) 2 = second impinger.
    (xvii) 1 = first impinger.
    (xviii) 2 = second impinger.
    (6)(i) HCHOmass = Formaldehyde emissions corrected for 
background, in grams per test phase.
    (ii) DensityHCHO = Density of formaldehyde is 35.36 g/
ft\3\- carbon atom (1.249 kg/m\3\-carbon atom), at 68 [deg]F (20 [deg]C) 
and 760 mm Hg (101.3 kPa) pressure.
    (iii)(A) HCHOconc = Formaldehyde concentration of the 
dilute exhaust corrected for background, in ppm.
    (B) HCHOconc = CHCHOe - CHCHOd (1 - 
(1/DF)).

Where:
    (iv)(A) CHCHOe = Formaldehyde concentration in dilute 
exhaust, in ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.057
    
    (v)(A) CHCHOd = Formaldehyde concentration in dilution 
air in ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.058
    
    (vi) CFDE = Concentration of DNPH derivative of 
formaldehyde from dilute exhaust sample in sampling solution, [micro]g/
ml.
    (vii) VAE = Volume of sampling solution for dilute 
exhaust formaldehyde sample, ml.
    (viii)(A) Q = Ratio of molecular weights of formaldehyde to its DNPH 
derivative.
    (B) Q = 0.1429.
    (ix) TEF = Temperature of formaldehyde sample withdrawn 
from dilute exhaust, [deg]R.
    (x) VSE = Volume of formaldehyde sample withdrawn from 
dilute exhaust, ft\3\.
    (xi) PB = Barometric pressure during test, mm Hg.
    (xii) CFDA = Concentration of DNPH derivative of 
formaldehyde from dilution air sample in sampling solution, [micro]g/ml.
    (xiii) VAA = Volume of sampling solution for dilution air 
formaldehyde sample, ml.
    (xiv) TDF = Temperature of formaldehyde sample withdrawn 
from dilution air, [deg]R.
    (xv) VSA = Volume of formaldehyde sample withdrawn from 
dilution air, ft\3\.
    (7)(i) DF = 13.4/[CO2e + (HCe + 
COe) 10-4] for petroleum-fueled vehicles.
    (ii) For methanol-fueled vehicles, where fuel composition is 
CXHyOz as measured, or calculated, for 
the fuel used:

[[Page 715]]

[GRAPHIC] [TIFF OMITTED] TR30AP10.001

    (iii)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.060
    

for natural gas-fueled or liquefied petroleum gas-fueled vehicles where 
fuel composition is Cx Hy as measured for the fuel 
used.
    (iv)(A) KH = Humidity correction factor.
    (B) KH = 1/[1-0.0047(H-75)].
    (C) For SI units, KH = 1 x [1-0.0329(H x 10.71)].

Where:
    (v)(A) H = Absolute humidity in grains (grams) of water per pound 
(kilogram) of dry air.
    (B) H=[(43.478)Ra x Pd]/[PB-
(Pd x Ra/100)].
    (C) For SI units, H=[(6.211)Ra x Pd]/
[PB x (Pd x Ra/100)].
    (vi) Ra = Relative humidity of the ambient air, percent.
    (vii) Pd = Saturated vapor pressure, mm Hg (kPa) at the 
ambient dry bulb temperature.
    (viii) PB = Barometric pressure, mm Hg (kPa).
    (ix)(A) Vmix = Total dilute exhaust volume in cubic feet 
per test phase corrected to standard conditions (528[deg]R (293 [deg]K) 
and 760 mm Hg (101.3 kPa)).
    (B) For PDP-CVS, Vmix is:
    [GRAPHIC] [TIFF OMITTED] TR06OC93.061
    
    (C) For SI units,
    [GRAPHIC] [TIFF OMITTED] TR06OC93.062
    

Where:
    (x) Vo = Volume of gas pumped by the positive 
displacement pump, in cubic feet (m\3\) per revolution. This volume is 
dependent on the pressure differential across the positive displacement 
pump.
    (xi) N = Number of revolutions of the positive displacement pump 
during the test phase while samples are being collected.
    (xii) PB = Barometric pressure, mm Hg (kPa).
    (xiii) P4 = Pressure depression below atmospheric 
measured at the inlet to the positive displacement pump, in mm Hg (kPa) 
(during an idle mode).
    (xiv) Tp = Average temperature of dilute exhaust entering 
positive displacement pump during test, [deg]R([deg]K).
    (8)(i) NMHCconc = HCconc - (rCH4 x 
CH4conc).
    (ii) DensityNMHC = The density of non-methane 
hydrocarbon.
    (A) For gasoline-fuel and diesel-fuel; DensityNMHC = 
16.33 g/ft\3\-carbon atom (0.5768 kg/m\3\-carbon atom), assuming an 
average carbon to hydrogen ratio of 1:1.85 at 68 [deg]F (20 [deg]C) and 
760 mm Hg (101.3 kPa) pressure.
    (B) For natural gas and liquefied petroleum gas fuel; 
DensityNMHC = 1.1771(12.011 + H/C(1.008))g/ft\3\-carbon atom 
(0.04157(12.011 + H/C(1.008))kg/m\3\-

[[Page 716]]

carbon atom), where H/C is the hydrogen to carbon ratio of the non-
methane hydrocarbon components of the test fuel, at 68 [deg]F (20 
[deg]C) and 760 mm Hg (101.3 kPa) pressure.
    (iii)(A) CH4conc = Methane concentration of the dilute 
exhaust sample corrected for background, in ppm carbon equivalent.
    (B) CH4conc = CH4e - CH4d(1 - 1/DF)

Where:
    (iv) CH4e = Methane exhaust bag concentration in ppm 
carbon equivalent.
    (v) CH4d = Methane concentration of the dilution air in 
ppm carbon equivalent.
    (vi) rCH4 = HC FID response to methane as measured in Sec.  
86.121(d).
    (9)(i) CH4mass = Methane emissions, in grams per test 
phase.
    (ii) DensityCH4 = Density of methane is 18.89 g/ft\3\-
carbon atom (0.6672 kg/m\3\-carbon atom), at 68 [deg]F (20 [deg]C) and 
760 mm Hg (101.3 kPa) pressure.
    (10)(i) N2Omass = Nitrous oxide emissions, in 
grams per test phase.
    (ii) DensityN2O = Density of nitrous oxide is 51.81 g/
ft\3\ (1.83 kg/m\3\), at 68 [deg]F (20 [deg]C) and 760 mm Hg (101.3kPa) 
pressure.
    (iii)(A) N2Oconc = Nitrous oxide concentration 
of the dilute exhaust sample corrected for background, in ppm.
    (B) N2Oconc = N2Oe - 
N2Od(1 - (1/DF)).

Where:

N2Oe = Nitrous oxide concentration of the dilute 
          exhaust sample as measured, in ppm.
N2Od = Nitrous oxide concentration of the dilution 
          air as measured, in ppm.

    (d) For petroleum-fueled vehicles, example calculation of mass 
values of exhaust emissions using positive displacement pump:
    (1) For the ``transient'' phase of the cold start test assume the 
following: Vo = 0.29344 ft\3\rev; N = 10,485; R = 48.0 pct; 
Ra = 48.2 percent; PB = 762 mm Hg; Pd = 
22.225 mm Hg; P4 = 70 mm Hg; Tp = 570 [deg]R; 
HCe = 105.8 ppm, carbon equivalent; NOxe = 11.2 
ppm; COem = 306.6 ppm; CO2e = 1.43 percent; 
CH4e = 10.74 ppm; HCd = 12.1 ppm; NOxd 
= 0.8 ppm; COdm = 15.3 ppm; CO2d = 0.032 percent; 
CH4d = 2.20 ppm; Dct = 3.598 miles.

Then:
    (i) Vmix = (0.29344)(10,485)(762-70)(528)/(760)(570) = 
2595.0 ft\3\ per test phase.
    (ii) H = (43.478)(48.2)(22.225)/762 - (22.225)(48.2/100) = 62 grains 
of water per pound of dry air.
    (iii) KH = 1/[1 - 0.0047(62-75)] = 0.9424.
    (iv) COe = [1-0.01925(1.43) - 0.000323(48)](306.6) = 
293.4 ppm.
    (v) COd = [1 - 0.000323(48)](15.3) = 15.1 ppm.
    (vi) DF = 13.4/[1.43 + 10-4(105.8 + 293.4)] = 9.116.
    (vii) HCconc = 105.8-12.1(1 - 1/9.116) = 95.03 ppm.
    (viii) HCmass = (2595)(16.33)(95.03/1,000,000) = 4.027 
grams per test phase.
    (ix) NOxconc = 11.2 - 0.8(1 - 1/9.116) = 10.49 ppm.
    (x) NOxmass = (2595)(54.16)(10.49/1,000,000)(0.9424) = 
1.389 grams per test phase.
    (xi) COconc = 293.4 - 15.1(1 - 1/9.116) = 280.0 ppm.
    (xii) COmass = (2595)(32.97)(280/1,000,000) = 23.96 grams 
per test phase.
    (xiii) CO2conc = 1.43 - 0.032(1 - 1/9.116) = 1.402 
percent.
    (xiv) CO2mass = (2595.0)(51.85)(1.402/100) = 1886 grams 
per test phase.
    (xv) CH4conc = 10.74 - 2.2 (1 - 1/9.116) = 8.78 ppm.
    (xvi) NMHCconc = 95.03 - 8.78 = 86.25 ppm.
    (xvii) NMHCmass = (2595)(16.33)(86.25)/1,000,000 = 3.655 
grams per test phase.
    (2) For the stabilized portion of the cold start test assume that 
similar calculations resulted in the following:
    (i) HCmass = 0.62 gram per test phase.
    (ii) NOxmass = 1.27 grams per test phase.
    (iii) COmass = 5.98 grams per test phase.
    (iv) CO2mass = 2346 grams per test phase.
    (v) Ds = 3.902 miles.
    (vi) NMHCmass = 0.50 gram per test phase.
    (3) For the ``transient'' portion of the hot start test assume that 
similar calculations resulted in the following:
    (i) HCmass = 0.51 gram per test phase.
    (ii) NOxmass = 1.38 grams per test phase.
    (iii) COmass = 5.01 grams per test phase.
    (iv) CO2mass = 1758 grams per test phase.
    (v) Dht = 3.598 miles.
    (vi) NMHCmass = 0.44 grams per test phase.

[[Page 717]]

    (4) Weighted mass emission results:
    (i) HCwm = 0.43[(4.027 + 0.62)/(3.598 + 3.902)] + 
0.57[(0.51 + 0.62)/(3.598 + 3.902)] = 0.352 gram per vehicle mile.
    (ii) NOxwm = 0.43[(1.389 + 1.27)/(3.598 + 3.902)] + 
0.57[(1.38 + 1.27)/(3.598 + 3.902)] = 0.354 gram per vehicle mile.
    (iii) COwm = 0.43[(23.96 + 5.98)/(3.598 + 3.902)] + 
0.57[(5.01 + 5.98)/(3.598 + 3.902)] = 2.55 grams per vehicle mile.
    (iv) CO2wm = 0.43[(1886 + 2346)/(3.598 + 3.902) + 
0.57[(1758 + 2346)/(3.598 + 3.902)] = 555 gram per vehicle mile.
    (v) NMHCwm = 0.43[(3.655 + 0.50)/(3.598 + 3.902)] + 
0.57[(0.44 + 0.50)/(3.598 + 3.902)] = 0.310 gram per vehicle mile.
    (e) For methanol-fueled vehicles with measured fuel composition of 
CH3.487 O0.763, example calculation of exhaust 
emissions using positive displacement pump:
    (1) For the ``transient'' phase of the cold start test assume the 
following: V0 = 0.29344 ft\3\ rev; N = 25,801; R = 37.5 pct; 
Ra = 37.5 percent; PB = 725.42 mm Hg; Pd = 22.02 
mm Hg; P4 = 70 mm Hg; Tp 570 deg.R; FID 
HCe = 14.65 ppm, carbon equivalent; r = 0.788; TEM 
= 527.67 deg.R; VEM = 0.2818 ft\3\; CS1 = 7.101; 
AVS1 = 15.0 ml; CS2 = 0.256; AVS2 = 
15.0 ml; TDM = 527.67 deg.R; VDM = 1.1389 ft\3\; 
CD1 = 0.439; AVD1 = 15.0 ml; CD2 = 0.0; 
AVD2 = 15.0 ml; CFDE = 8.970 [micro]g/ml; 
VAE = 5.0 ml; Q = 0.1429; TEF = 527.67 deg.R; 
VSE = 0.2857 ft\3\; CFDA = 0.39 [micro]g/ml; 
VAA = 5.0 ml; TDF = 527.67 deg.R; VSA = 
1.1043 ft\3\; NOX. = 5.273 ppm; COem = 98.8 ppm; 
CO2e = 0.469 pct; CH4e = 2.825 ppm; FID 
HCd = 2.771 ppm; NOX. = 0.146 ppm; COdm 
= 1.195 ppm; CO2d = 0.039 percent; CH4d = 2.019 
ppm; Dct = 3.583 miles.


Then:

    (i) Vmix = (0.29344)(25,801)(725.42-70)(528)/(760)(570) = 
6048.1.0 ft\3\ per test phase.
    (ii) H = (43.478)(37.5)(22.02)/[725.42-(22.02 x 37.5/100)] = 50 
grains of water per pound of dry air.
    (iii) KH = 1/[1-0.0047(50-75)] = 0.8951.
    (iv) COe = [1-(0.01 + 0.005 x 3.487) x 0.469)-
0.000323(37.5)) x 98.8 = 96.332 ppm.
    (v) COd = (1-0.000323(37.5)) x 1.195 = 1.181 ppm.
    (vi) CCH3OHe = (3.813 x 
10-2)(527.67)[(7.101)(15.0) + (0.256)(15.0)]/(725.42)(0.2818) 
= 10.86 ppm.
    (vii) HCe = 14.65-(0.788)(10.86) = 6.092.
    (viii) DF = 100(1/[1 + (3.487/2) + 3.76(1 + (3.487/4) - (0.763/
2))])/0.469 + (6.092 + 96.332 + 10.86 + 0.664)(10-4) = 
24.939.
    (ix) CCH3OHd = (3.813 x 
10-2)(527.67)[(0.439)(15.0) + (0.0)(15.0)]/(725.42)(1.1389) = 
0.16 ppm.
    (x) CH3OHconc = 10.86-0.16(1-1/24.939) = 10.71 
ppm.
    (xi) CH3OHmass = 6048.1 x 37.71 x (10.71/
1,000,000) = 2.44 grams per test phase.
    (xii) HCconc = [14.65 - (0.788)(10.86)] - [2.771 - 
(0.788)(0.16)] (1-1/24.94) = 3.553 ppm.
    (xiii) HCmass = (6048.1)(16.33)(3.553/1,000,000) = 0.35 
grams per test phase.
    (xiv) CHCHOe = 4.069 x 
10-2(8.970)(5.0)(0.1429)(527.67)/(0.2857)(725.42) = 0.664 
ppm.
    (xv) CHCHOd = 4.069 x 
10-2(0.39)(5.0)(0.1429)(527.67)/(1.1043)(725.42) = 0.0075 
ppm.
    (xvi) HCHOconc = 0.664-0.0075(1-1/24.939) = 0.6568 ppm.
    (xvii) HCHOmass = (6048.1)(35.36)(0.6568/1,000,000) = 
0.1405 grams per test phase.
    (xviii) THCE = 0.35 + (13.8756/32.042)(2.44) + (13.8756/ 
30.0262)(0.1405) = 1.47 grams per test phase.
    (xix) NOXconc = 5.273-(0.146)(1-1/24.939) = 5.13 ppm.
    (xx) NOXmass = (6048.1)(54.16)(5.13/1,000,000)(0.8951) = 
1.505 grams per test phase.
    (xxi) COconc = 96.332-1.181(1-1/24.939) = 95.2 ppm.
    (xxii) COmass = (6048.1)(32.97)(95.2/1,000,000) = 18.98 
grams per test phase.
    (xxiii) CO2conc = 0.469-0.039(1-1/24.939) = 0.432 
percent.
    (xxiv) CO2mass = (6048.1)(51.85)(0.432/100) = 1353 grams.
    (xxv) CH4conc = 2.825-2.019(1-1/24.939) = 0.89 ppm.
    (xxvi) NMHCconc = 3.553 ppm-0.89 ppm = 2.67 ppm.
    (xxvii) NMHCmass = (6048.1)(16.33)(2.67/1,000,000) = 
0.263 grams per test phase.
    (xxviii) NMHCEmass = 0.263 + (13.8756/32.042)(2.44) + 
(13.8756/ 30.0262)(0.1405) = 1.39 grams per test phase.
    (2) For the stabilized portion of the cold start test assume that 
similar calculations resulted in the following:
    (i) THCE = 0.143 grams per test phase.
    (ii) NOXmass = 0.979 grams per test phase.
    (iii) COmass = 0.365 grams per test phase.

[[Page 718]]

    (iv) CO2mass = 1467 grams per test phase.
    (v) Ds = 3.854 miles.
    (vi) NMHCE = 0.113 grams per test phase.
    (3) For the ``transient'' portion of the hot start test assume that 
similar calculations resulted in the following:
    (i) THCE = 0.488 grams as carbon equivalent per test phase.
    (ii) NOXmass = 1.505 grams per test phase.
    (iii) COmass = 3.696 grams per test phase.
    (iv) CO2mass = 1179 grams per test phase.
    (v) Dht = 3.577 miles.
    (vi) NMHCE = 0.426 grams per test phase.
    (4) Weighted emission results:
    (i) THCEwm = (0.43) x (1.473 + 0.143)/(3.583 + 3.854) + 
(0.57) x (0.488 + 0.143)/(3.577 + 3.854) = 0.142 grams as carbon 
equivalent per mile.
    (ii) NOxwm = (0.43) x (1.505 + 0.979)/(3.583 + 3.854) + 
(0.57) x (1.505 + 0.979)/3.577 + 3.854) = 0.344 grams per mile.
    (iii) COwm = (0.43) x (18.983 + 0.365)/(3.583 = 3.854) + 
(0.57) x (3.696 + 0.365)/(3.577 + 3.854) = 1.43 grams per mile.
    (iv) CO2wm = (0.43) x (1353 + 1467)/(3.583 + 3.854) + 
(0.57) x (1179 + 1467)/(3.577 + 3.854) = 366 grams per mile.
    (v) NMHCEwm = (0.43) x (1.386 + 0.113)/(3.583 + 3.854) + 
(0.57) x (0.426 = 0.113)/(3.577 + 3.854) = 0.128 grams per mile.

[56 FR 25777, June 5, 1991, as amended at 59 FR 39649, Aug. 3, 1994; 59 
FR 48511, Sept. 21, 1994; 60 FR 34349, June 30, 1995; 62 FR 47122, Sept. 
5, 1997; 70 FR 40434, July 13, 2005; 75 FR 22980, Apr. 30, 2010; 76 FR 
57377, Sept. 15, 2011]



Sec.  86.145-82  Calculations; particulate emissions.

    (a) The final reported test results for the mass particulate 
(Mp) in grams/mile shall be computed as follows.

Mp = 0.43(Mp1 + Mp2)/(Dct + 
Ds) + 0.57(Mp3 + Mp2)/(Dht = 
Ds)

where:
    (1) Mp1 = Mass of particulate determined from the 
``transient'' phase of the cold start test, in grams per test phase. 
(See Sec.  86.110-82(c)(1) for determination.)
    (2) Mp2 = Mass of particulate determined from the 
``stabilized'' phase of the cold start test, in grams per test phase. 
(See Sec.  86.110-82(c)(1) for determination.)
    (3) Mp3 = Mass of particulate determined from the 
``transient'' phase of the hot start test, in grams per test phase. (See 
Sec.  86.110-82(c)(1) for determination).
    (4) Dct = The measured driving distance from the 
``transient'' phase of the cold start test, in miles.
    (5) Ds = The measured driving distance from the 
``stabilized'' phase of the cold start test, in miles.
    (6) Dht = The measured driving distance from the 
``transient'' phase of the hot start test, in miles.
    (b) The mass of particulate for each phase of testing is determined 
as follows:
[GRAPHIC] [TIFF OMITTED] TR06OC93.074


where:
    (1) j = 1, 2 or 3 depending on which phase the mass of particulate 
is being determined for (i.e., the ``transient'' phase of the cold start 
test, the ``stabilized'' phase of the cold start test, or the 
``transient'' phase of the hot start test).
    (2) Vmix = Total dilute exhaust volume in cubic meters 
per test, corrected to standard conditions 528[deg]R (293K) and 29.92 in 
Hg (101.3 kPa). Vmix is further defined in Sec.  86.144.
    (3) Pe = mass of particulate per test on the exhaust 
filter(s), grams.
    (4) Pb = mass of particulate on the ``background'' 
filter, grams.
    (i) The background particulate level, Pb, inside the 
dilution air filter box at EPA is very low. Pb will be 
assumed = 0, and background particulate samples will not be taken with 
each exhaust sample. It is recommended that background particulate 
checks be made periodically to verify the low level.
    (ii) Any manufacturer may make the same assumption without prior EPA 
approval.
    (iii) If Pb is assumed = 0, then no background correction 
is made. The equation for particulate mass emissions then reduces to:

[[Page 719]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.075

    (6) Vep = total volume of sample pulled through the 
filter, cubic feet at standard conditions.
[GRAPHIC] [TIFF OMITTED] TR06OC93.076


where:
    (i) Vap = corrected (according to procedure specified in 
Sec.  85.120) dilute exhaust sample volume, cubic feet.
    (ii) Pbar = barometric pressure, in Hg.
    (iii) Pip = pressure elevation above ambient measured at 
the inlet to the dilute exhaust sample gas meter or flow instrument, in 
Hg. (For most gas meters with unrestricted discharge Pip is 
negligible and can be assumed = 0.)
    (iv) Tip = average temperature of the dilute exhaust 
sample at the inlet to the gas meter or flow instrument, [deg]R.
    (7) Vbp = total volume of the background sample, cubic 
feet at standard conditions. (Vbp is not required if 
Pb is assumed = 0.) It is calculated using the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR06OC93.077


where:
    (i) Vab = corrected (according to procedure specified in 
Sec.  85.120) background sample volume, cubic feet.
    (ii) Pbar = barometric pressure, in. Hg.
    (iii) Pib = pressure elevation above ambient measured at 
the inlet to the background gas meter or flow instrument, in Hg. (For 
most gas meters with unrestricted discharge Pib is negligible 
and can be assumed = 0.)
    (iv) Tib = average temperature of the background sample 
at the inlet to the gas meter or flow instrument, [deg]R.
    (8) DF = dilution factor. (DF is not required if Pb is 
assumed = 0.)

[45 FR 14523, Mar. 5, 1980, as amended at 46 FR 50494, Oct. 13, 1981, 
and 47 FR 49807, Nov. 2, 1982]



Sec.  86.146-96  Fuel dispensing spitback procedure.

    (a) The vehicle is fueled at a rate of 10 gal/min to test for fuel 
spitback emissions. All liquid fuel spitback emissions that occur during 
the test are collected in a bag made of a material impermeable to 
hydrocarbons or methanol. The bag shall be designed and used so that 
liquid fuel does not spit back onto the vehicle body, adjacent floor, 
etc., and it must not impede the free flow of displaced gasoline vapor 
from the orifice of the filler pipe. The bag must be designed to permit 
passage of the dispensing nozzle through the bag. If the bag has been 
used for previous testing, sufficient time shall be allowed for the bag 
to dry out. The dispensing nozzle shall be a commercial model, not 
equipped with vapor recovery hardware.
    (b) Ambient temperature levels encountered by the test vehicle shall 
be not less than 68 [deg]F nor more than 86 [deg]F. The temperatures 
monitored during testing must be representative of those experienced by 
the test vehicle. The vehicle shall be approximately level during all 
phases of the test sequence to prevent abnormal fuel distribution.
    (c) Measure and record the mass of the bag to be used for collecting 
spitback emissions to the nearest 0.01 gram.
    (d) Drain the fuel tank(s) and fill with test fuel, as specified in 
Sec.  86.113, to 10 percent of the reported nominal fuel tank capacity. 
The fuel cap(s) shall be installed immediately after refueling.
    (e) The vehicle shall be soaked at 806 [deg]F 
(273 [deg]C) for a minimum of six hours, then 
placed, either by being driven or pushed, on a dynamometer and operated 
through one Urban Dynamometer Driving Schedule (specified in Sec.  
86.115 and appendix I of this part). The test vehicle may not be used to 
set dynamometer horsepower.
    (f) Following the preconditioning drive, the vehicle shall be moved 
or driven at minimum throttle to the refueling area.
    (g) All areas in proximity to the vehicle fuel fill orifice and the 
dispenser nozzle itself shall be completely dry of liquid fuel.
    (h) The fuel filler neck shall be snugly fitted with the vented bag 
to capture

[[Page 720]]

any fuel emissions. The fuel nozzle shall be inserted through the bag 
into the filler neck of the test vehicle to its maximum penetration. The 
plane of the nozzle's handle shall be perpendicular to the floor of the 
laboratory.
    (i) The fueling procedure consists of dispensing fuel through a 
nozzle, interrupted by a series of automatic shutoffs. A minimum of 3 
seconds shall elapse between any automatic shutoff and subsequent 
resumption of dispensing. Dispensing may not be manually terminated, 
unless the test vehicle has already clearly failed the test. The vehicle 
shall be fueled according to the following procedure:
    (1) The fueling operation shall be started within 4 minutes after 
the vehicle is turned off and within 8 minutes after completion of the 
preconditioning drive. The average temperature of the dispensed fuel 
shall be 65 5 [deg]F (18 3 
[deg]C).
    (2) The fuel shall be dispensed at a rate of 9.80.3 gallons/minute (37.11.1 L/min) 
until the automatic shutoff is activated.
    (3) If the automatic shutoff is activated before the nozzle has 
dispensed an amount of fuel equal to 70 percent of the tank's nominal 
capacity, the dispensing may be resumed at a reduced rate. Repeat as 
necessary until the nozzle has dispensed an amount of fuel equal to at 
least 70 percent of the tank's nominal capacity.
    (4) Once the automatic shutoff is activated after the nozzle has 
dispensed an amount of fuel equal to 70 percent of the tank's nominal 
capacity, the fuel shall be dispensed at a rate of 5 1 gallons/minute (19 4 [ell]/min) 
for all subsequent dispensing. Dispensing shall be restarted two 
additional times.
    (5) If the nozzle has dispensed an amount of fuel less than 85 
percent of the tank's nominal capacity after the two additional 
dispensing restarts, dispensing shall be resumed, and shall continue 
through as many automatic shutoffs as necessary to achieve this level. 
This completes the fueling procedure.
    (j) Withdraw the nozzle from the vehicle and the bag, holding the 
tip of the nozzle upward to avoid any dripping into the bag.
    (k) Within 1 minute after completion of the fueling event, the bag 
shall be folded to minimize the vapor volume inside the bag. The bag 
shall be folded as quickly as possible to prevent evaporation of 
collected emissions.
    (l) Within 5 minutes after completion of the fueling event, the mass 
of the bag and its contents shall be measured and recorded (consistent 
with paragraph (c) of this section). The bag shall be weighed as quickly 
as possible to prevent evaporation of collected emissions.

[58 FR 16045, Mar. 24, 1993, as amended at 60 FR 43898, Aug. 23, 1995]



Sec.  86.150-98  Refueling test procedure; overview.

    (a) The refueling emissions test procedure described in this and 
subsequent sections is used to determine the conformity of vehicles with 
the refueling emissions standards set forth in subpart A of this part 
for light-duty vehicles and light-duty trucks. The refueling emissions 
test procedure may be performed as an individual test or in combination 
with the evaporative and exhaust emissions test sequences of Sec.  
86.130-96.
    (b) The refueling emissions test is designed to measure hydrocarbon 
emissions resulting from the generation or displacement of fuel tank 
vapor during vehicle refueling. The refueling emissions shall be 
measured by the enclosure technique.
    (c) All emission control systems installed on or incorporated in a 
new motor vehicle shall be functioning during all procedures in this 
subpart except:
    (1) In cases of component malfunction or failure; and
    (2) during certain specified fuel drain and fill operations, at 
which times the refueling emission control canister is disconnected. 
Maintenance to correct component malfunction or failure shall be 
authorized in accordance with Sec.  86.098-25.
    (d) For liquefied petroleum gas-fueled vehicles only. Refueling test 
procedures for light-duty vehicles and light-duty trucks operated on 
liquefied petroleum gas are described in Sec.  86.157.

[59 FR 16296, Apr. 6, 1994, as amended at 59 FR 48511, Sept. 21, 1994]

[[Page 721]]



Sec.  86.151-98  General requirements; refueling test.

    (a) The refueling emissions procedure, shown in Figure B98-12, 
starts with the stabilizing of the vehicle and the loading of the 
refueling emissions canister(s) to breakthrough, and continues with the 
vehicle drive for purging of the canister, followed by the refueling 
emissions measurement. The test is conducted following Sec. Sec.  
86.152-98 through 86.154-98 in order.
    (b) Ambient temperature levels encountered by the test vehicle 
throughout the test sequence shall not be less than 68 [deg]F (20 
[deg]C) nor more than 86 [deg]F (30 [deg]C).
    (c) The vehicle shall be approximately level during all phases of 
the test sequence to prevent abnormal fuel distribution.
[GRAPHIC] [TIFF OMITTED] TR06OC93.166


[59 FR 16296, Apr. 6, 1994]

[[Page 722]]



Sec.  86.152-98  Vehicle preparation; refueling test.

    (a) Provide additional fittings and adapters, as required, to 
accommodate a fuel drain at the lowest point possible in the tank(s) as 
installed on the vehicle. The canister shall not be removed from the 
vehicle, unless access to the canister in its normal location is so 
restricted that purging and loading can only reasonably be accomplished 
by removing the canister from the vehicle. Special care shall be taken 
during this step to avoid damage to the components and the integrity of 
the fuel system. A replacement canister may be temporarily installed 
during the soak period while the canister from the test vehicle is 
preconditioned.
    (b) Optionally, provide valving or other means to allow the venting 
of the refueling vapor line to the atmosphere rather than to the 
refueling emissions canister(s) when allowed by this test procedure.
    (c) For preconditioning that involves loading the vapor collection 
canister(s) with butane, provide valving or other means as necessary to 
allow loading of the canister(s).

[59 FR 16298, Apr. 6, 1994, as amended at 60 FR 43898, Aug. 23, 1995; 70 
FR 72927, Dec. 8, 2006]



Sec.  86.153-98  Vehicle and canister preconditioning; refueling test.

    (a) Vehicle and canister preconditioning. Vehicles and vapor storage 
canisters shall be preconditioned in accordance with the preconditioning 
procedures for the supplemental two-diurnal evaporative emissions test 
specified in Sec.  86.132-96 (a) through (j). For vehicles equipped with 
non-integrated refueling emission control systems, the canister must be 
loaded using the method involving butane loading to breakthrough (see 
Sec.  86.132-96(j)(1)).
    (b) Seal test. The Administrator may choose to omit certain canister 
load and purge steps, and replace them with a bench purge of the 
refueling canister(s), in order to verify the adequacy of refueling 
emission control system seals. Failure of this seal test shall 
constitute a failure of the refueling emission control test. For 
integrated systems, this bench purge may be performed after the exhaust 
testing in order to obtain exhaust emission test results. Non-integrated 
system seal testing shall be performed using paragraph (b)(1) of this 
section.
    (1) Without the exhaust emission test. The Administrator may conduct 
the canister preconditioning by purging the canister(s) with at least 
1200 canister bed volumes of ambient air (with humidity controlled to 
5025 grains of water vapor per pound of dry air) 
maintained at a nominal flow rate of 0.8 cfm directly following the 
preconditioning drive described in Sec.  86.132-96 (c) through (e). In 
this case, the canister loading procedures and the vehicle driving 
procedures described in Sec.  86.132-96 (f) through (j) and in 
paragraphs (c) through (d) of this section shall be omitted, and the 10 
minute and 60 minute time requirements of paragraph (e) of this section 
shall apply to time after completion of the bench purge. In the case of 
multiple refueling canisters, each canister shall be purged separately.
    (2) With the exhaust emission test. The Administrator may conduct 
the canister preconditioning by purging the canister(s) directly after 
the exhaust test (see paragraph (c)(1) of this section). The canister 
shall be purged with at least 1200 canister bed volumes of ambient air 
(with humidity controlled to 5025 grains of water 
vapor per pound of dry air) maintained at a nominal flow rate of 0.8 
cfm. In this case, the vehicle driving procedures described in 
paragraphs (c)(2) through (d) of this section shall be omitted, and the 
10 minute and 60 minute time requirements of paragraph (e) of this 
section shall apply to time after completion of the bench purge. In the 
case of multiple refueling canisters, each canister shall be purged 
separately.
    (3) Manufacturers may use the procedures described in this paragraph 
(b) to demonstrate compliance with the seal test for vehicles with fuel 
tanks exceeding 35 gallons nominal fuel tank capacity, and for any 
incomplete vehicles.
    (c) Canister purging; integrated systems. (1) Vehicles to be tested 
for exhaust emissions only shall be processed according to Sec. Sec.  
86.135-94 through 86.137-96. Vehicles to be tested for refueling

[[Page 723]]

emissions shall be processed in accordance with the procedures in 
Sec. Sec.  86.135-94 through 86.137-96, followed by the procedures 
outlined in paragraph (c)(2) of this section.
    (2) To provide additional opportunity for canister purge, conduct 
additional driving on a dynamometer, within one hour of completion of 
the hot start exhaust test, by operating the test vehicle through one 
UDDS, a 2 minute idle, two NYCCs, another 2 minute idle, another UDDS, 
then another 2 minute idle (see Sec.  86.115-78 and appendix I of this 
part). Fifteen seconds after the engine starts, place the transmission 
in gear. Twenty seconds after the engine starts, begin the initial 
vehicle acceleration of the driving schedule. The transmission shall be 
operated according to the specifications of Sec.  86.128-79 during the 
driving cycles. The vehicle's air conditioner (if so equipped) shall be 
turned off. Ambient temperature shall be controlled as specified in 
Sec.  86.151-98. It is not necessary to monitor and/or control in-tank 
fuel temperatures.
    (i) The fixed-speed fan specified in Sec.  86.135-94(b) may be used 
for engine cooling. If a fixed-speed fan is used, the vehicle's hood 
shall be opened.
    (ii) Alternatively, the roadspeed-modulated fan specified in Sec.  
86.107-96(d)(1) may be used for engine cooling. If a road-speed 
modulated fan is used, the vehicle's hood shall be closed.
    (d) Canister purging: non-integrated systems. Within one hour of 
completion of canister loading to breakthrough, the fuel tank(s) shall 
be further filled to 95 percent of nominal tank capacity determined to 
the nearest one-tenth of a U.S. gallon (0.38 liter) with the fuel 
specified in Sec.  86.113-94. During this fueling operation, the 
refueling emissions canister(s) shall be disconnected, unless the 
manufacturer specifies that the canister(s) should not be disconnected. 
Following completion of refueling, the refueling emissions canister(s) 
shall be reconnected, if the canister was disconnected during refueling. 
Special care shall be taken during this step to avoid damage to the 
components and the integrity of the fuel system. Vehicle driving to 
purge the refueling canister(s) shall be performed using either the 
chassis dynamometer procedure or the test track procedure, as described 
in paragraphs (d)(1) and (d)(2) of this section. The Administrator may 
choose to shorten the vehicle driving for a partial refueling test as 
described in paragraph (d)(3) of this section. For vehicles equipped 
with dual fuel tanks, the required volume of fuel shall be driven out of 
one tank, the second tank shall be selected as the fuel source, and the 
required volume of fuel shall be driven out of the second tank.
    (1) Chassis dynamometer procedure. (i) Vehicle driving on a chassis 
dynamometer shall consist of repeated drives with the UDDS until 85 
percent of fuel tank capacity has been consumed. Driving in testing 
performed by manufacturers may be terminated before 85 percent of the 
fuel tank capacity has been consumed, provided that driving is not 
terminated partway through a UDDS cycle. Driving in testing performed by 
the Administrator may be terminated after the same number of UDDS cycles 
as driven in the manufacturer's certification testing.
    (ii) Except with the advance approval of the Administrator, the 
number of UDDSs required to consume 85 percent of tank fuel capacity 
(total capacity of both tanks when the vehicle is equipped with dual 
fuel tanks) shall be determined from the fuel economy on the UDDS 
applicable to the test vehicle and from the number of gallons to the 
nearest 0.1 gallon (0.38 liter) that constitutes 85 percent of tank 
volume. If this ``fuel consumed point'' occurs partway through a UDDS 
cycle, the cycle shall be completed in its entirety.
    (iii) For vehicles equipped with dual fuel tanks, fuel switching 
from the first tank to the second tank shall occur at the 10 percent 
volume of the first tank regardless of the point in the UDDS cycle at 
which this occurs.
    (iv) If necessary to accommodate work schedules, the engine may be 
turned off and the vehicle parked on the dynamometer. The vehicle may be 
parked off of the dynamometer to facilitate maintenance or repairs if 
required.
    (v) During the driving on the dynamometer, a cooling fan(s) shall be 
positioned as described in Sec.  86.135-94(b).

[[Page 724]]

    (2) Test track procedure. (i) Vehicle driving on a test track shall 
consist of repeated drives with the UDDS until 85 percent of fuel tank 
capacity has been consumed. Driving performed by manufacturers may be 
terminated before 85 percent of the fuel tank capacity has been 
consumed, provided that driving is not terminated partway through a UDDS 
cycle. Driving performed by the Administrator may be terminated after 
the same number of UDDS cycles as driven in the manufacturer's 
certification testing.
    (ii) If the distance from the emission laboratory to the test track 
is less than 5 miles (8.05 km) the vehicle may be driven to the test 
track at a speed not to exceed 25 mph. If the distance is greater than 5 
miles (8.05 km) the vehicle shall be moved to the test track with the 
engine off.
    (iii) Except with the advance approval of the Administrator, the 
number of UDDSs required to consume 85 percent of tank fuel capacity 
(total capacity of both tanks when the vehicle is equipped with dual 
fuel tanks) shall be determined from the fuel economy on the UDDS 
applicable to the test vehicle and from the number of gallons to the 
nearest 0.1 gallon (0.38 liter) that constitutes 85 percent of tank 
volume. If this ``fuel consumed point'' occurs partway through a UDDS 
cycle, the cycle shall be completed in its entirety.
    (iv) The vehicle shall be driven at a speed not to exceed 25 mph 
from the test track to the laboratory provided the distance from the 
test track to the laboratory does not exceed 5 miles (8.05 km). If the 
distance from the test track to the emission laboratory is greater than 
5 miles (8.05 km) the vehicle shall be moved from the test track with 
the engine off.
    (v) For vehicles equipped with dual fuel tanks, fuel switching from 
the first tank to the second tank shall occur at the 10 percent volume 
of the first tank regardless of the point in the UDDS cycle at which 
this occurs.
    (vi) If necessary to accommodate work schedules, the engine may be 
turned off and the vehicle parked on the test track. The vehicle may be 
parked off of the test track to facilitate maintenance or repairs if 
required. If the vehicle is moved from the test track, it shall be 
returned to the track with the engine off when mileage accumulation is 
to be resumed.
    (3) Drive schedule for partial refueling test. The Administrator may 
conduct a partial refueling test involving a shortening of the drive 
procedures described in paragraphs (d) (1) and (2) of this section and a 
modified soak and refueling procedure as described in paragraph (e) of 
this section and Sec.  86.154-98(e)(7)(i). The drive shall be performed 
as described in paragraph (d) (1) or (2) of this section except that the 
drive shall be terminated when at least 10 percent but no more than 85 
percent of the fuel tank nominal capacity has been consumed and not 
partway through a UDDS cycle. The amount of fuel consumed in the drive 
shall be determined by multiplying the number of UDDSs driven by the 
mileage accumulated per UDDS and dividing by the fuel economy for the 
UDDS applicable to the test vehicle.
    (e) Vehicle cool down--(1) Partial refueling test. If the 
Administrator is conducting the non-integrated system partial refueling 
test, after the driving procedure specified in paragraph (d)(3) of this 
section, the vehicle shall be parked (without starting the engine) and 
soaked at 803 [deg]F (271.7 
[deg]C) for a minimum of 1 hour and a maximum of 6 hours.
    (2) For all other refueling emission tests. Within 10 minutes of 
completion of refueling emissions canister stabilization (see paragraph 
(c) or (d) of this section), the refueling emissions canister(s) shall 
be disconnected, unless the manufacturer specifies that the refueling 
canister(s) should not be disconnected. Within 60 minutes of completion 
of refueling emissions canister stabilization (see paragraph (c) or (d) 
of this section), the vehicle fuel tank(s) shall be drained, the fuel 
tank(s) fueled to 10 percent of nominal tank capacity determined to the 
nearest one-tenth of a U.S. gallon (0.38 liter) with the specified fuel, 
and the vehicle parked (without starting the engine) and soaked at 
803 [deg]F (271.7 [deg]C) 
for a minimum of 6 hours and a maximum of 24 hours.

[59 FR 16298, Apr. 6, 1994, as amended at 60 FR 43898, Aug. 23, 1995; 70 
FR 72927, Dec. 8, 2005; 79 FR 23698, Apr. 28, 2014]

[[Page 725]]



Sec.  86.154-98  Measurement procedure; refueling test.

    (a) The refueling test measurement procedure described in this 
section immediately follows the vehicle and canister preconditioning 
described in Sec.  86.153-98.
    (b) The refueling emission enclosure shall be purged for several 
minutes immediately prior to the test. Warning: If at any time the 
concentration of hydrocarbons, of methanol, or of methanol and 
hydrocarbons exceeds 15,000 ppm C, the enclosure should be immediately 
purged. This concentration provides a 4:1 safety factor against the lean 
flammability limit.
    (c)(1) The FID (or HFID) hydrocarbon analyzer, and additional 
analyzer, if needed, shall be zeroed and spanned immediately prior to 
the test.
    (2) For methanol-fueled vehicles only, impingers charged with known 
volumes of pure deionized water shall be placed in the methanol sampling 
system.
    (d) If not already on, the enclosure mixing fan and the spilled fuel 
mixing blower shall be turned on at this time.
    (e) The refueling emission measurement portion of the refueling test 
shall be performed as follows:
    (1) The line from the fuel tank(s) to the refueling emissions 
canister(s) shall be connected.
    (2) The test vehicle, with the engine shut off, shall be moved into 
the enclosure. The test vehicle windows and luggage compartment shall be 
opened if not already open.
    (3) An electrical ground shall be attached to the vehicle. The 
vehicle fuel filler cap shall be removed and the enclosure door shall be 
closed and sealed within two minutes of cap removal. The FID (or HFID) 
trace shall be allowed to stabilize.
    (4) The dispensed fuel temperature recording system shall be 
started.
    (5)(i) Within 10 minutes of closing and sealing the doors, analyze 
enclosure atmosphere for hydrocarbons and record. This is the initial 
(time = 0 minutes) hydrocarbon concentration, CHCi, required 
in Sec.  86.143-96.
    (ii) For methanol-fueled vehicles only, measure the initial 
concentration of methanol as described in Sec.  86.133-96(i)(6).
    (6) Within one minute of obtaining the initial FID (or HFID) 
reading, and methanol reading if applicable, the fuel nozzle shall be 
inserted into the filler neck of the test vehicle, to its maximum 
penetration, and the refueling operation shall be started. The plane of 
the nozzle's handle shall be approximately perpendicular to the floor of 
the laboratory. The fuel shall be dispensed at a temperature of 671.5 [deg]F (19.40.8 [deg]C) and at 
a dispensing rate of 9.80.3 gal/min (37.11.1 liter/min). In testing conducted by the 
Administrator, a lower dispensing rate (no lower than 4.0 gal/min (15.1 
liter/min)) may be used.
    (7)(i) Partial refueling test. If the Administrator conducts the 
non-integrated system partial refueling test, the fuel flow shall 
continue until the amount of fuel pumped is equal to the fuel consumed 
during the driving, as determined in accordance with Sec.  86.153-
98(d)(3). The final volume of fuel dispensed must be within one-tenth of 
a U.S. gallon (0.38 liter) of the targeted amount. If automatic nozzle 
shut-off occurs prior to this point, the nozzle shall be reactivated 
within 15 seconds and fuel dispensing continued as needed. A minimum of 
3 seconds shall elapse between any automatic shutoff and subsequent 
resumption of dispensing.
    (ii) For all other refueling tests. The fuel flow shall continue 
until the refueling nozzle automatic shut-off is activated. The amount 
of fuel dispensed must be at least 85 percent of nominal fuel tank 
volume, determined to the nearest one-tenth of a U.S. gallon (0.38 
liter). If automatic nozzle shut-off occurs prior to this point, the 
nozzle shall be reactivated within 15 seconds and fuel dispensing 
continued as needed. A minimum of 3 seconds shall elapse between any 
automatic shutoff and subsequent resumption of dispensing. Dispensing 
may not be manually terminated, unless the test vehicle has already 
clearly failed the test.
    (8)(i) The final reading of the evaporative enclosure FID analyzer 
shall be taken 605 seconds following the final 
shut-off of fuel flow. This is the final hydrocarbon concentration, 
CHCf, required in Sec.  86.143-96. The elapsed time, in 
minutes, between the initial and

[[Page 726]]

final FID (or HFID) readings shall be recorded.
    (ii) For methanol-fueled vehicles only. Measure the final 
concentration of methanol as described in Sec.  86.133-96(m)(2).
    (9) For vehicles equipped with more than one fuel tank, the 
procedures described in this section shall be performed for each fuel 
tank.

[59 FR 16299, Apr. 6, 1994, as amended at 60 FR 43898, Aug. 23, 1995]



Sec.  86.155-98  Records required; refueling test.

    The following information shall be recorded with respect to each 
test:
    (a) Test number.
    (b) System or device tested (brief description).
    (c) Date and time of day.
    (d) Instrument operated.
    (e) Operator.
    (f) Vehicle: ID number, manufacturer, model year, engine family, 
evaporative/refueling emission family, refueling emission control 
system, refueling emissions canister continuous drive purge miles and 
number of UDDSs driven for non-integrated systems, fuel system 
(including fuel tank(s) capacity and location), basic engine description 
(including displacement, number of cylinders, turbocharger (if used), 
and catalyst usage), engine code, and odometer reading.
    (g) All pertinent instrument information including nozzle and fuel 
delivery system description. As an alternative, a reference to a vehicle 
test cell number may be used, with advance approval of the 
Administrator, provided test cell calibration records show the pertinent 
instrument information.
    (h) Recorder charts: Identify zero, span, and enclosure gas sample 
traces.
    (i) Enclosure barometric pressure and ambient temperature: a central 
laboratory barometer may be used, provided that individual test cell 
barometric pressures are shown to be within 0.1 
percent of the barometric pressure at the central barometer location.
    (j) Temperatures: Soak area; dispensed fuel, initial and final.
    (k) Fuel dispensing rate(s).
    (l) Dispensed fuel volume.
    (m) For methanol-fueled vehicles:
    (1) Volume of sample passed through the methanol sampling system and 
the volume of deionized water in each impinger.
    (2) The methanol concentration in the reference sample and the peak 
area from the GC analysis of the reference sample.
    (3) The peak area of the GC analyses of the test samples (methanol).
    (n) All additional information necessary for the calculations 
specified in Sec.  86.156-98.

[59 FR 16300, Apr. 6, 1994]



Sec.  86.156-98  Calculations; refueling test.

    (a) The calculation of the net hydrocarbon mass change and methanol 
mass change (if applicable) in the enclosure is used to determine 
refueling mass emissions. The mass is calculated from initial and final 
hydrocarbon and methanol (if applicable) concentrations in ppm carbon, 
initial and final enclosure ambient temperatures, initial and final 
barometric pressures, and net enclosure volume using the equations of 
Sec.  86.143-96. For vehicles with multiple tanks, the results for each 
tank shall be calculated and then summed to determine overall refueling 
emissions.
    (b) The final results for comparison with the refueling control 
emission standard shall be computed by dividing the total refueling mass 
emissions by the total gallons of fuel dispensed in the refueling test 
(see Sec.  86.154-98(e)(7)(ii)).
    (c) The results of all emission tests shall be rounded, in 
accordance with ASTM E 29-67 (reapproved 1980) (as referenced in Sec.  
86.094-28(a)(4)(i)(B)(2)(ii)) to the number of decimal places contained 
in the applicable emission standard expressed to one additional 
significant figure.

[59 FR 16300, Apr. 6, 1994]



Sec.  86.157-98  Refueling test procedures for liquefied petroleum gas-fueled vehicles.

    (a) Equipment. (1) The sampling and analytical system shall meet the 
specifications in Sec.  86.107-98(a) through (i).
    (2) The refueling equipment nozzle specifications shall meet the 
requirements described in Sec.  80.32.

[[Page 727]]

    (b) General requirements. (1) The refueling test procedure for 
light-duty liquefied petroleum gas-fueled vehicles and trucks starts 
with the preconditioning of the vehicle followed by a refueling 
emissions measurement. The test is conducted by following paragraphs (c) 
through (f) of this section in order.
    (2) Ambient temperature levels encountered by the test vehicle 
throughout the test sequence shall not be less than 68 [deg]F (20 
[deg]C) nor more than 86 [deg]F (30 [deg]C).
    (3) The vehicle shall be approximately level during all phases of 
the test sequence to prevent abnormal fuel distribution.
    (c) Vehicle preconditioning. (1) The vehicle fuel tanks are to be 
filled with fuel that meets the specifications in Sec.  86.113. Fuel 
tanks shall be filled to 10 percent of nominal fuel tank capacity, 
determined to the nearest one-tenth of a U.S. gallon (0.38 liter).
    (2) The vehicle shall be parked (without starting the engine) within 
the temperature range specified in paragraph (a)(2) of this section for 
a minimum of one hour and a maximum of six hours.
    (d) Measurement procedure. (1) The steps prior to the actual 
refueling event described in Sec.  86.154-98(b) through (e)(5) shall be 
performed.
    (2) Within one minute of obtaining the initial FID (or HFID) 
reading, the dispensed fuel nozzle shall be attached to the vehicle fuel 
receptacle, and the refueling operation shall be started. If the vehicle 
is equipped with a fixed liquid level gauge or other gauge or valve 
which could be opened to release fuel or fuel vapor during refueling, 
and has not received an exemption as outlined in Sec.  86.098-28(h), 
Sec.  86.001-28(h) or Sec.  86.004-28(h), the fixed level gauge or other 
gauges or valves shall be opened after the dispensing nozzle is 
attached, but prior to the start of the refueling operation. The 
dispensed fuel must be at a temperature stabilized to approximately the 
same temperature as the vehicle was in paragraph (c)(2) of this section. 
The dispensing rate must be typical of in-use dispensing rates for 
liquefied petroleum gas into light-duty vehicles and trucks.
    (3) The fuel flow shall continue until the amount of fuel dispensed 
is at least 85 percent of nominal fuel tank capacity, determined to the 
nearest one-tenth of a U.S. gallon (0.38 liter).
    (4) Following the fuel shut-off the fixed liquid level gauge or 
other gauges or valves, if open, shall be closed and the nozzle 
disconnected.
    (5) The final reading of the evaporative enclosure FID (or HFID) 
analyzer shall be taken 60 5 seconds following the 
disconnect of the refueling nozzle. This is the final hydrocarbon 
concentration, CHCf, required in Sec.  86.143. The elapsed 
time, in minutes, between the initial and final FID (or HFID) readings 
shall be recorded.
    (6) For vehicles equipped with more than one fuel tank, the 
procedures described in this section shall be performed for each fuel 
tank.
    (e) Records required. (1) Test: test number, system or device tested 
(brief description), date and time of day, instrument operated, 
operator, enclosure barometric pressure and temperature, recorder charts 
(identify zero, span, and enclosure gas traces), fuel dispensing rate(s) 
and dispensed fuel volume.
    (2) Vehicle: ID number, manufacturer, model year, engine family, 
evaporative/refueling emission family, fuel tank(s) capacity, basic fuel 
system description and odometer reading.
    (3) All pertinent instrument information including nozzle and fuel 
delivery system description. As an alternative, a reference to a vehicle 
test cell number may be used, with advance approval of the 
Administrator, provided test cell calibration records show the pertinent 
instrument information.
    (4) All additional information necessary for the calculations 
specified in paragraph (f) of this section.
    (f) Calculations. (1) The calculation of the net hydrocarbon mass 
change in the enclosure is used to determine refueling mass emissions. 
The mass is calculated from initial and final hydrocarbon concentrations 
in ppm carbon, initial and final enclosure ambient temperatures, initial 
and final barometric pressures and net volume using the equations of 
Sec.  86.143. For vehicles with multiple tanks, the results for each 
tank shall be calculated and then

[[Page 728]]

summed to determine overall refueling emissions.
    (2) The final results for comparison with the refueling control 
emission standard shall be computed by dividing the total refueling mass 
emissions by the total gallons of fuel dispensed in the refueling test 
(see paragraph (d)(3) of this section).
    (3) The results of all emission tests shall be rounded, in 
accordance with ASTM E 29-67 to the number of decimal places contained 
in the applicable emission standard expressed to one additional 
significant figure. This procedure has been incorporated by reference 
(see Sec.  86.1).

[59 FR 48511, Sept. 21, 1994]



Sec.  86.158-00  Supplemental Federal Test Procedures; overview.

    The procedures described in Sec. Sec.  86.158-00, 86.159-00, 86.160-
00, and 86.162-00 discuss the aggressive driving (US06) and air 
conditioning (SC03) elements of the Supplemental Federal Test Procedures 
(SFTP). These test procedures consist of two separable test elements: A 
sequence of vehicle operation that tests exhaust emissions with a 
driving schedule (US06) that tests exhaust emissions under high speeds 
and accelerations (aggressive driving); and a sequence of vehicle 
operation that tests exhaust emissions with a driving schedule (SC03) 
which includes the impacts of actual air conditioning operation. These 
test procedures (and the associated standards set forth in subpart S of 
this part) are applicable to light-duty vehicles and light-duty trucks.
    (a) Vehicles are tested for the exhaust emissions of THC, CO, 
NOX. CH4, and CO2. For diesel-cycle 
vehicles, THC is sampled and analyzed continuously according to the 
provisions of Sec.  86.110.
    (b) Each test procedure follows the vehicle preconditioning 
specified in Sec.  86.132-00.
    (c) US06 Test Cycle. The test procedure for emissions on the US06 
driving schedule (see Sec.  86.159-00) is designed to determine gaseous 
exhaust emissions from light-duty vehicles and light-duty trucks while 
simulating high speed and acceleration on a chassis dynamometer 
(aggressive driving). The full test consists of preconditioning the 
engine to a hot stabilized condition, as specified in Sec.  86.132-00, 
and an engine idle period of 1 to 2 minutes, after which the vehicle is 
accelerated into the US06 cycle. A proportional part of the diluted 
exhaust is collected continuously for subsequent analysis, using a 
constant volume (variable dilution) sampler or critical flow venturi 
sampler.
    (d) SC03 Test Cycle. The test procedure for determining exhaust 
emissions with the air conditioner operating (see Sec.  86.160-00) is 
designed to determine gaseous exhaust emissions from light-duty vehicles 
and light-duty trucks while simulating an urban trip during ambient 
conditions of 95 [deg]F, 100 grains of water/pound of dry air 
(approximately 40 percent relative humidity), and a solar heat load 
intensity of 850 W/m\2\. The full test consists of vehicle 
preconditioning (see Sec.  86.132-00 paragraphs (o) (1) and (2)), an 
engine key-off 10 minute soak, an engine start, and operation over the 
SC03 cycle. A proportional part of the diluted exhaust is collected 
continuously during the engine start and the SC03 driving cycle for 
subsequent analysis, using a constant volume (variable dilution) sampler 
or critical flow venturi sampler.
    (e) The emission results from the aggressive driving test (Sec.  
86.159-00), air conditioning test (Sec.  86.160-00), and a FTP test 
(Sec.  86.130-00 (a) through (d) and (f)) (conducted on a large single 
roll or equivalent dynamometer) are analyzed according to the 
calculation methodology in Sec.  86.164-00 and compared to the 
applicable SFTP emission standards in subpart A of this part (Sec. Sec.  
86.108-00 and 86.109-00).
    (f) These test procedures may be run in any sequence that maintains 
the applicable preconditioning elements specified in Sec.  86.132-00.

[61 FR 54894, Oct. 22, 1996, as amended at 70 FR 40434, July 13, 2005]



Sec.  86.158-08  Supplemental Federal Test Procedures; overview.

    The procedures described in Sec. Sec.  86.158-08, 86.159-08, 86.160-
00, and 86.162-00 discuss the aggressive driving (US06) and air 
conditioning (SC03) elements of the Supplemental Federal Test Procedures 
(SFTP). These test procedures consist of two separable test elements: A 
sequence of vehicle operation that tests

[[Page 729]]

exhaust emissions with a driving schedule (US06) that tests exhaust 
emissions under high speeds and accelerations (aggressive driving); and 
a sequence of vehicle operation that tests exhaust emissions with a 
driving schedule (SC03) which includes the impacts of actual air 
conditioning operation. These test procedures (and the associated 
standards set forth in subpart S of this part) are applicable to light-
duty vehicles and light-duty trucks.
    (a) Vehicles are tested for the exhaust emissions of THC, CO, 
NOX, CH4, and CO2. For diesel-cycle 
vehicles, THC is sampled and analyzed continuously according to the 
provisions of Sec.  86.110.
    (b) Each test procedure follows the vehicle preconditioning 
specified in Sec.  86.132-00.
    (c) US06 Test Cycle. The test procedure for emissions on the US06 
driving schedule (see Sec.  86.159-08) is designed to determine gaseous 
exhaust emissions from light-duty vehicles and light-duty trucks while 
simulating high speed and acceleration on a chassis dynamometer 
(aggressive driving). The full test consists of preconditioning the 
engine to a hot stabilized condition, as specified in Sec.  86.132-00, 
and an engine idle period of 1 to 2 minutes, after which the vehicle is 
accelerated into the US06 cycle. A proportional part of the diluted 
exhaust is collected continuously for subsequent analysis, using a 
constant volume (variable dilution) sampler or critical flow venturi 
sampler. Optionally, as specified in Sec.  86.159-08 and in part 600 of 
this chapter, a proportional part of the diluted exhaust may be 
collected continuously in two bag samples, one representing US06 City 
driving and the other representing US06 Highway driving. If two bag 
samples are collected, for petroleum-fueled diesel-cycle vehicles for 
which THC is sampled and analyzed continuously according to the 
provisions of Sec.  86.110, the analytical system shall be configured to 
calculate THC for the US06 City phase and the US06 Highway phase as 
described in Sec.  86.159-08.
    (d) SC03 Test Cycle. The test procedure for determining exhaust 
emissions with the air conditioner operating (see Sec.  86.160-00) is 
designed to determine gaseous exhaust emissions from light-duty vehicles 
and light-duty trucks while simulating an urban trip during ambient 
conditions of 95 [deg]F, 100 grains of water/pound of dry air 
(approximately 40 percent relative humidity), and a solar heat load 
intensity of 850 W/m\2\. The full test consists of vehicle 
preconditioning (see Sec.  86.132-00 paragraphs (o)(1) and (2)), an 
engine key-off 10 minute soak, an engine start, and operation over the 
SC03 cycle. A proportional part of the diluted exhaust is collected 
continuously during the engine start and the SC03 driving cycle for 
subsequent analysis, using a constant volume (variable dilution) sampler 
or critical flow venturi sampler.
    (e) The emission results from the aggressive driving test (Sec.  
86.159-08), air conditioning test (Sec.  86.160-00), and FTP test (Sec.  
86.130-00 (a) through (d) and (f)) (conducted on a large single roll or 
equivalent dynamometer) are analyzed according to the calculation 
methodology in Sec.  86.164-08 and compared to the applicable SFTP 
emission standards in subpart S of this part.
    (f) These test procedures may be run in any sequence that maintains 
the applicable preconditioning elements specified in Sec.  86.132-00.

[71 FR 77920, Dec. 27, 2006]



Sec.  86.159-00  Exhaust emission test procedures for US06 emissions.

    (a) Overview. The dynamometer operation consists of a single, 600 
second test on the US06 driving schedule, as described in appendix I, 
paragraph (g), of this part. The vehicle is preconditioned in accordance 
with Sec.  86.132-00, to bring it to a warmed-up stabilized condition. 
This preconditioning is followed by a 1 to 2 minute idle period that 
proceeds directly into the US06 driving schedule during which continuous 
proportional samples of gaseous emissions are collected for analysis. If 
engine stalling should occur during cycle operation, follow the 
provisions of Sec.  86.136-90 (engine starting and restarting). For 
gasoline-fueled Otto-cycle vehicles, the composite samples collected in 
bags are analyzed for THC, CO, CO2, CH4, and 
NOX. For petroleum-fueled diesel-cycle vehicles, THC is 
sampled and analyzed continuously according to the provisions of Sec.  
86.110. Parallel bag samples of

[[Page 730]]

dilution air are analyzed for THC, CO, CO2, CH4, 
and NOX.
    (b) Dynamometer activities. (1) All official US06 tests shall be run 
on a large single roll electric dynamometer, or an approved equivalent 
dynamometer configuration, that satisfies the requirements of Sec.  
86.108-00.
    (2) Position (vehicle can be driven) the test vehicle on the 
dynamometer and restrain.
    (3) Required US06 schedule test dynamometer inertia weight class 
selections are determined by the test vehicles test weight basis and 
corresponding equivalent weight as listed in the tabular information of 
Sec.  86.129-94(a) and discussed in Sec.  86.129-00 (e) and (f).
    (4) Set the dynamometer test inertia weight and roadload horsepower 
requirements for the test vehicle (see Sec.  86.129-00 (e) and (f). The 
dynamometer's horsepower adjustment settings shall be set to match the 
force imposed during dynamometer operation with actual road load force 
at all speeds.
    (5) The vehicle speed as measured from the dynamometer rolls shall 
be used. A speed vs. time recording, as evidence of dynamometer test 
validity, shall be supplied on request of the Administrator.
    (6) The drive wheel tires may be inflated up to a gauge pressure of 
45 psi (310 kPa), or the manufacturer's recommended pressure if higher 
than 45 psi, in order to prevent tire damage. The drive wheel tire 
pressure shall be reported with the test results.
    (7) The driving distance, as measured by counting the number of 
dynamometer roll or shaft revolutions, shall be determined for the test.
    (8) Four-wheel drive and all-wheel drive vehicles may be tested 
either in a four-wheel drive or a two-wheel drive mode of operation. In 
order to test in the two-wheel drive mode, four-wheel drive and all-
wheel drive vehicles may have one set of drive wheels disengaged; four-
wheel and all-wheel drive vehicles which can be shifted to a two-wheel 
mode by the driver may be tested in a two-wheel drive mode of operation.
    (9) During dynamometer operation, a fixed speed cooling fan with a 
maximum discharge velocity of 15,000 cfm will be positioned so as to 
direct cooling air to the vehicle in an appropriate manner with the 
engine compartment cover open. In the case of vehicles with front engine 
compartments, the fan shall be positioned within 24 inches (61 
centimeters) of the vehicle. In the case of vehicles with rear engine 
compartments (or if special designs make the above impractical), the 
cooling fan(s) shall be placed in a position to provide sufficient air 
to maintain vehicle cooling. The Administrator may approve modified 
cooling configurations or additional cooling if necessary to 
satisfactorily perform the test. In approving requests for additional or 
modified cooling, the Administrator will consider such items as actual 
road cooling data and whether such additional cooling is needed to 
provide a representative test.
    (c) The flow capacity of the CVS shall be large enough to virtually 
eliminate water condensation in the system.
    (d) Practice runs over the prescribed driving schedule may be 
performed at test point, provided an emission sample is not taken, for 
the purpose of finding the appropriate throttle action to maintain the 
proper speed-time relationship, or to permit sampling system adjustment.
    (e) Perform the test bench sampling sequence outlined in Sec.  
86.140-94 prior to or in conjunction with each series of exhaust 
emission measurements.
    (f) Test activities. (1) The US06 consists of a single test which is 
directly preceded by a vehicle preconditioning in accordance with Sec.  
86.132-00. Following the vehicle preconditioning, the vehicle is idled 
for not less than one minute and not more than two minutes. The 
equivalent dynamometer mileage of the test is 8.0 miles (1.29 km).
    (2) The following steps shall be taken for each test:
    (i) Immediately after completion of the preconditioning, idle the 
vehicle. The idle period is not to be less than one minute or not 
greater than two minutes.
    (ii) With the sample selector valves in the ``standby'' position, 
connect evacuated sample collection bags to

[[Page 731]]

the dilute exhaust and dilution air sample collection systems.
    (iii) Start the CVS (if not already on), the sample pumps, the 
temperature recorder, the vehicle cooling fan, and the heated THC 
analysis recorder (diesel-cycle only). The heat exchanger of the 
constant volume sampler, if used, petroleum-fueled diesel-cycle THC 
analyzer continuous sample line should be preheated to their respective 
operating temperatures before the test begins.
    (iv) Adjust the sample flow rates to the desired flow rate and set 
the gas flow measuring devices to zero.
    (A) For gaseous bag samples (except THC samples), the minimum flow 
rate is 0.17 cfm (0.08 liters/sec).
    (B) For THC samples, the minimum FID (or HFID in the case of diesel-
cycle vehicles) flow rate is 0.066 cfm (0.031 liters/sec).
    (C) CFV sample flow rate is fixed by the venturi design.
    (v) Attach the exhaust tube to the vehicle tailpipe(s).
    (vi) Start the gas flow measuring device, position the sample 
selector valves to direct the sample flow into the exhaust sample bag, 
the dilution air sample bag, turn on the petroleum-fueled diesel-cycle 
THC analyzer system integrator, mark the recorder chart, and record both 
gas meter or flow measurement instrument readings, (if applicable).
    (vii) Place vehicle in gear after starting the gas flow measuring 
device, but prior to the first acceleration. Begin the first 
acceleration 5 seconds after starting the measuring device.
    (viii) Operate the vehicle according to the US06 driving schedule, 
as described in appendix I, paragraph (g), of this part. Manual 
transmission vehicles shall be shifted according to the manufacturer 
recommended shift schedule, subject to review and approval by the 
Administrator. For further guidance on transmissions see Sec.  86.128-
00.
    (ix) Turn the engine off 2 seconds after the end of the last 
deceleration (i.e., engine off at 596 seconds).
    (x) Five seconds after the engine stops running, simultaneously turn 
off gas flow measuring device No. 1 (and the petroleum-fueled diesel 
hydrocarbon integrator No. 1 and mark the petroleum-fueled diesel 
hydrocarbon recorder chart if applicable) and position the sample 
selector valves to the ``standby'' position. Record the measured roll or 
shaft revolutions and the No. 1 gas meter reading or flow measurement 
instrument.
    (xi) As soon as possible, transfer the exhaust and dilution air bag 
samples to the analytical system and process the samples according to 
Sec.  86.140-94 obtaining a stabilized reading of the bag exhaust sample 
on all analyzers within 20 minutes of the end of the sample collection 
phase of the test.
    (xii) Immediately after the end of the sample period, turn off the 
cooling fan, close the engine compartment cover, disconnect the exhaust 
tube from the vehicle tailpipe(s), and drive the vehicle from 
dynamometer.
    (xiii) The CVS or CFV may be turned off, if desired.

[61 FR 54894, Oct. 22, 1996, as amended at 70 FR 40434, July 13, 2005; 
70 FR 72928, Dec. 8, 2005]



Sec.  86.159-08  Exhaust emission test procedures for US06 emissions.

    (a) Overview. The dynamometer operation consists of a single, 600 
second test on the US06 driving schedule, as described in appendix I, 
paragraph (g), of this part. The vehicle is preconditioned in accordance 
with Sec.  86.132-00, to bring it to a warmed-up stabilized condition. 
This preconditioning is followed by a 1 to 2 minute idle period that 
proceeds directly into the US06 driving schedule during which continuous 
proportional samples of gaseous emissions are collected for analysis. 
US06 emissions may optionally be collected in two bag samples 
representing US06 City and US06 Highway emissions, as provided for in 
this section and in part 600 of this chapter. Emissions from seconds 0-
130 and seconds 495-596 are collected in one bag to represent US06 City 
emissions, and emissions from seconds 130-495 are collected in a second 
bag to represent US06 Highway emissions. If engine stalling should occur 
during cycle operation, follow the provisions of Sec.  86.136-90 (engine 
starting and restarting). For gasoline-fueled Otto-cycle vehicles, the 
composite samples collected in bags

[[Page 732]]

are analyzed for THC, CO, CO2, CH4, and 
NOX. For petroleum-fueled diesel-cycle vehicles, THC is 
sampled and analyzed continuously according to the provisions of Sec.  
86.110. Parallel bag samples of dilution air are analyzed for THC, CO, 
CO2, CH4, and NOX.
    (b) Dynamometer activities. (1) All official US06 tests shall be run 
on a large single roll electric dynamometer, or an approved equivalent 
dynamometer configuration, that satisfies the requirements of Sec.  
86.108-00.
    (2) Position (vehicle can be driven) the test vehicle on the 
dynamometer and restrain.
    (3) Required US06 schedule test dynamometer inertia weight class 
selections are determined by the test vehicles test weight basis and 
corresponding equivalent weight as listed in the tabular information of 
Sec.  86.129-94(a) and discussed in Sec.  86.129-00 (e) and (f).
    (4) Set the dynamometer test inertia weight and roadload horsepower 
requirements for the test vehicle according to Sec.  86.129-00 (e) and 
(f). The dynamometer's horsepower adjustment settings shall be set to 
match the force imposed during dynamometer operation with actual road 
load force at all speeds.
    (5) The vehicle speed as measured from the dynamometer rolls shall 
be used. A speed vs. time recording, as evidence of dynamometer test 
validity, shall be supplied on request of the Administrator.
    (6) The drive wheel tires may be inflated up to a gauge pressure of 
45 psi (310 kPa), or the manufacturer's recommended pressure if higher 
than 45 psi, in order to prevent tire damage. The drive wheel tire 
pressure shall be reported with the test results.
    (7) The driving distance, as measured by counting the number of 
dynamometer roll or shaft revolutions, shall be determined for the test.
    (8) Four-wheel drive and all-wheel drive vehicles may be tested 
either in a four-wheel drive or a two-wheel drive mode of operation. In 
order to test in the two-wheel drive mode, four-wheel drive and all-
wheel drive vehicles may have one set of drive wheels disengaged; four-
wheel and all-wheel drive vehicles which can be shifted to a two-wheel 
mode by the driver may be tested in a two-wheel drive mode of operation.
    (9) During dynamometer operation, a fixed speed cooling fan with a 
maximum discharge velocity of 15,000 cfm will be positioned so as to 
direct cooling air to the vehicle in an appropriate manner with the 
engine compartment cover open. In the case of vehicles with front engine 
compartments, the fan shall be positioned within 24 inches (61 
centimeters) of the vehicle. In the case of vehicles with rear engine 
compartments (or if special designs make the above impractical), the 
cooling fan(s) shall be placed in a position to provide sufficient air 
to maintain vehicle cooling. The Administrator may approve modified 
cooling configurations, additional cooling, variable speed fan(s), and/
or a closed engine compartment cover if necessary to satisfactorily 
perform the test. In approving requests for additional or modified 
cooling, the Administrator will consider such items as actual road 
cooling data and whether such additional cooling is needed to provide a 
representative test. For example, the hood may be closed to provide 
adequate air flow to an intercooler through a factory installed hood 
scoop. Additionally, the Administrator may conduct certification, fuel 
economy and in-use testing using the additional cooling set-up approved 
for a specific vehicle.
    (c) The flow capacity of the CVS shall be large enough to virtually 
eliminate water condensation in the system.
    (d) Practice runs over the prescribed driving schedule may be 
performed at test point, provided an emission sample is not taken, for 
the purpose of finding the appropriate throttle action to maintain the 
proper speed-time relationship, or to permit sampling system adjustment.
    (e) Perform the test bench sampling sequence outlined in Sec.  
86.140-94 prior to or in conjunction with each series of exhaust 
emission measurements.
    (f) Test activities. (1) The US06 consists of a single test which is 
directly preceded by a vehicle preconditioning in accordance with Sec.  
86.132-00. Following the vehicle preconditioning, the vehicle is idled 
for not less than one

[[Page 733]]

minute and not more than two minutes. The equivalent dynamometer mileage 
of the test is 8.0 miles (1.29 km).
    (2) The following steps shall be taken for each test:
    (i) Immediately after completion of the preconditioning, idle the 
vehicle. The idle period is not to be less than one minute or greater 
than two minutes.
    (ii) With the sample selector valves in the ``standby'' position, 
connect evacuated sample collection bags to the dilute exhaust and 
dilution air sample collection systems.
    (iii) Start the CVS (if not already on), the sample pumps, the 
temperature recorder, the vehicle cooling fan, and the heated THC 
analysis recorder (diesel-cycle only). The heat exchanger of the 
constant volume sampler, if used, petroleum-fueled diesel-cycle THC 
analyzer continuous sample line should be preheated to their respective 
operating temperatures before the test begins.
    (iv) Adjust the sample flow rates to the desired flow rate and set 
the gas flow measuring devices to zero.
    (A) For gaseous bag samples (except THC samples), the minimum flow 
rate is 0.17 cfm (0.08 liters/sec).
    (B) For THC samples, the minimum FID (or HFID in the case of diesel-
cycle vehicles) flow rate is 0.066 cfm (0.031 liters/sec).
    (C) CFV sample flow rate is fixed by the venturi design.
    (v) Attach the exhaust tube to the vehicle tailpipe(s).
    (vi) Start the gas flow measuring device, position the sample 
selector valves to direct the sample flow into the exhaust sample bag, 
the dilution air sample bag, turn on the petroleum-fueled diesel-cycle 
THC analyzer system integrator, mark the recorder chart, and record both 
gas meter or flow measurement instrument readings, (if applicable).
    (vii) Place vehicle in gear after starting the gas flow measuring 
device, but prior to the first acceleration. Begin the first 
acceleration 5 seconds after starting the measuring device.
    (viii) Operate the vehicle according to the US06 driving schedule, 
as described in appendix I, paragraph (g), of this part. Manual 
transmission vehicles shall be shifted according to the manufacturer 
recommended shift schedule, subject to review and approval by the 
Administrator. For further guidance on transmissions see Sec.  86.128-
00.
    (ix) Paragraphs (f)(2)(ix)(A) and (B) of this section apply to 
vehicles for which the manufacturer is collecting US06 City and US06 
Highway emissions for subsequent analysis according to the provisions of 
part 600 of this chapter. Vehicles for which emissions are being 
collected in a single continuous sample for subsequent analysis must be 
tested according to paragraph (x) of this section, and this paragraph 
(f)(2)(ix) will not apply.
    (A) At two seconds after the end of the deceleration which is 
scheduled to occur at 128 seconds (i.e., at 130 seconds), simultaneously 
switch the sample flows from the ``US06 City'' bags and samples to the 
``US06 Highway'' bags and samples, switch gas flow measuring device No. 
1 (and the petroleum-fueled diesel hydrocarbon integrator No. 1 and mark 
the petroleum-fueled diesel hydrocarbon recorder chart if applicable) to 
``standby'' mode, and start gas flow measuring device No. 2 (and the 
petroleum-fueled diesel hydrocarbon integrator No. 2 if applicable). 
Before the acceleration which is scheduled to occur at 136 seconds, 
record the measured roll or shaft revolutions.
    (B) At two seconds after the end of the deceleration which is 
scheduled to occur at 493 seconds (i.e., at 495 seconds), simultaneously 
switch the sample flows from the ``US06 Highway'' bags and samples to 
the ``US06 City'' bags and samples, switch off gas flow measuring device 
No. 2 (and the petroleum-fueled diesel hydrocarbon integrator No. 2 and 
mark the petroleum-fueled diesel hydrocarbon recorder chart if 
applicable), and start gas flow measuring device No. 1 (and the 
petroleum-fueled diesel hydrocarbon integrator No. 1 if applicable). 
Before the acceleration which is scheduled to occur at 500 seconds, 
record the measured roll or shaft revolutions and the

[[Page 734]]

No. 2 gas meter reading or flow measurement instrument. As soon as 
possible transfer the ``US06 Highway'' exhaust and dilution air bag 
samples to the analytical system and process the samples according to 
Sec.  86.140-94 obtaining a stabilized reading of the bag exhaust sample 
on all analyzers within 20 minutes of the end of the sample collection 
phase of the test.
    (x) Turn the engine off 2 seconds after the end of the last 
deceleration (i.e., engine off at 596 seconds).
    (xi) Five seconds after the engine stops running, simultaneously 
turn off gas flow measuring device No. 1 (and the petroleum-fueled 
diesel hydrocarbon integrator No. 1 and mark the petroleum-fueled diesel 
hydrocarbon recorder chart if applicable) and position the sample 
selector valves to the ``standby'' position. Record the measured roll or 
shaft revolutions and the No. 1 gas meter reading or flow measurement 
instrument.
    (xii) As soon as possible, transfer the exhaust and dilution air bag 
samples (or the US06 City exhaust and dilution air bag samples, if 
applicable) to the analytical system and process the samples according 
to Sec.  86.140-94 obtaining a stabilized reading of the bag exhaust 
sample on all analyzers within 20 minutes of the end of the sample 
collection phase of the test.
    (xiii) Immediately after the end of the sample period, turn off the 
cooling fan, close the engine compartment cover, disconnect the exhaust 
tube from the vehicle tailpipe(s), and drive the vehicle from 
dynamometer.
    (xiv) The CVS or CFV may be turned off, if desired.

[71 FR 77920, Dec. 27, 2006, as amended at 74 FR 61548, Nov. 25, 2009]



Sec.  86.160-00  Exhaust emission test procedure for SC03 emissions.

    (a) Overview. The dynamometer operation consists of a single, 600 
second test on the SC03 driving schedule, as described in appendix I, 
paragraph (h), of this part. The vehicle is preconditioned, in 
accordance with Sec.  86.132-00 of this subpart, to bring the vehicle to 
a warmed-up stabilized condition. This preconditioning is followed by a 
10 minute vehicle soak (engine off) that proceeds directly into the SC03 
driving schedule, during which continuous proportional samples of 
gaseous emissions are collected for analysis. The entire test, including 
the preconditioning driving, vehicle soak, and SC03 official test cycle, 
is either conducted in an environmental test facility or under test 
conditions that simulates testing in an environmental test cell (see 
Sec.  86.162-00 (a) for a discussion of simulation procedure approvals). 
The environmental test facility must be capable of providing the 
following nominal ambient test conditions of: 95 [deg]F air temperature, 
100 grains of water/pound of dry air (approximately 40 percent relative 
humidity), a solar heat load intensity of 850 W/m\2\, and vehicle 
cooling air flow proportional to vehicle speed. Section 86.161-00 
discusses the minimum facility requirements and corresponding control 
tolerances for air conditioning ambient test conditions. The vehicle's 
air conditioner is operated or appropriately simulated for the duration 
of the test procedure (except for the vehicle 10 minute soak), including 
the preconditioning. For gasoline-fueled Otto-cycle vehicles, the 
composite samples collected in bags are analyzed for THC, CO, 
CO2, CH4, and NOX. For petroleum-fueled 
diesel-cycle vehicles, THC is sampled and analyzed continuously 
according to the provisions of Sec.  86.110. Parallel bag samples of 
dilution air are analyzed for THC, CO, CO2, CH4, 
and NOX.
    (b) Dynamometer activities. (1) All official air conditioning tests 
shall be run on a large single roll electric dynamometer or an 
equivalent dynamometer configuration that satisfies the requirements of 
Sec.  86.108-00.
    (2) Position (vehicle can be driven) the test vehicle on the 
dynamometer and restrain.
    (3) Required SC03 schedule test dynamometer inertia weight class 
selections are determined by the test vehicles test weight basis and 
corresponding equivalent weight as listed in the tabular information of 
Sec.  86.129-00(a) and discussed in Sec.  86.129-00 (e) and (f).
    (4) Set the dynamometer test inertia weight and roadload horsepower 
requirements for the test vehicle (see Sec.  86.129-00 (e) and (f)). The 
dynamometer's horsepower adjustment

[[Page 735]]

settings shall be set such that the force imposed during dynamometer 
operation matches actual road load force at all speeds.
    (5) The vehicle speed as measured from the dynamometer rolls shall 
be used. A speed vs. time recording, as evidence of dynamometer test 
validity, shall be supplied at request of the Administrator.
    (6) The drive wheel tires may be inflated up to a gauge pressure of 
45 psi (310 kPa), or the manufacturer's recommended pressure if higher 
than 45 psi, in order to prevent tire damage. The drive wheel tire 
pressure shall be reported with the test results.
    (7) The driving distance, as measured by counting the number of 
dynamometer roll or shaft revolutions, shall be determined for the test.
    (8) Four-wheel drive and all-wheel drive vehicles may be tested 
either in a four-wheel drive or a two-wheel drive mode of operation. In 
order to test in the two-wheel drive mode, four-wheel drive and all-
wheel drive vehicles may have one set of drive wheels disengaged; four-
wheel and all-wheel drive vehicles which can be shifted to a two-wheel 
mode by the driver may be tested in a two-wheel drive mode of operation.
    (c) Vehicle and test activities for testing in a full environmental 
cell. The SFTP air conditioning test in an environmental test cell is 
composed of the following sequence of activities. Alternative procedures 
which appropriately simulate full environmental cell testing may be 
approved under the provisions of Sec. Sec.  86.162-00(a) and 86.163-00.
    (1) Drain and fill the vehicle's fuel tank to 40 percent capacity 
with test fuel. If a vehicle has gone through the drain and fuel 
sequence less than 72 hours previously and has remained under laboratory 
ambient temperature conditions, this drain and fill operation can be 
omitted (see Sec.  86.132-00(c)(2)(ii)).
    (2)(i) Position the variable speed cooling fan in front of the test 
vehicle with the vehicle's hood down. This air flow should provide 
representative cooling at the front of the test vehicle (air 
conditioning condenser and engine) during the SC03 driving schedule. See 
Sec.  86.161-00(e) for a discussion of cooling fan specifications.
    (ii) In the case of vehicles with rear engine compartments (or if 
this front location provides inadequate engine cooling), an additional 
cooling fan shall be placed in a position to provide sufficient air to 
maintain vehicle cooling. The fan capacity shall normally not exceed 
5300 cfm (2.50 m\3\/s). If, however, it can be demonstrated that during 
road operation the vehicle receives additional cooling, and that such 
additional cooling is needed to provide a representative test, the fan 
capacity may be increased or additional fans used if approved in advance 
by the Administrator.
    (3) Close all vehicle windows.
    (4) Connect the emission test sampling system to the vehicle's 
exhaust tail pipe(s).
    (5)(i) Set the environmental test cell ambient test conditions to 
the conditions defined in Sec.  86.161-00.
    (ii) Turn on the solar heating system.
    (iii) All vehicle test phases of preconditioning, soak, and the 
official SC03 test cycle are to be performed in this set of ambient test 
conditions.
    (6) Set the air conditioning system controls as follows:
    (i) A/C mode setting at Maximum.
    (ii) Airflow setting at Recirculate, if so equipped.
    (iii) Fan setting at Highest setting.
    (iv) A/C Temperature setting at full cool (for automatic systems set 
at 72 [deg]F).
    (v) Air conditioning controls should be placed in the ``on'' 
position prior to vehicle starting so that the air conditioning system 
is active whenever the engine is running.
    (7) Start the vehicle (with air conditioning system on) and conduct 
a preconditioning cycle as discussed in Sec.  86.132-00(o)(1).
    (i) If engine stalling should occur during any air conditioning test 
cycle operation, follow the provisions of Sec.  86.136-90 (Engine 
starting and restarting).
    (ii) For manual transmission vehicles, the vehicle shall be shifted 
according the provisions of Sec.  86.128-00.
    (8) Following the preconditioning cycle, the test vehicle (and 
consequently the air conditioning system) and cooling fan(s) are turned 
off and the vehicle is allowed to soak in the

[[Page 736]]

ambient conditions of paragraph (c)(5) of this section for 10 1 minutes.
    (9) Start engine (with air conditioning system also running). 
Fifteen seconds after the engine starts, place vehicle in gear.
    (10) Eighteen seconds after the engine starts, begin the initial 
vehicle acceleration of the driving schedule.
    (11) Operate the vehicle according to the SC03 driving schedule, as 
described in appendix I, paragraph (h), of this part.
    (12) Turn the engine off 2 seconds after the end of the last 
deceleration (i.e., engine off at 596 seconds).
    (d) Exhaust Emission Measurement Activities. The following 
activities are performed, when applicable, in order to meet the timing 
of the vehicle test and environmental facility activities.
    (1) Perform the test bench sampling calibration sequence outlined in 
Sec.  86.140-94 prior to or in conjunction with each series of exhaust 
emission measurements.
    (2) With the sample selector valves in the ``standby'' position, 
connect evacuated sample collection bags to the dilute exhaust and 
dilution air sample collection systems.
    (3) Start the CVS (if not already on), the sample pumps, the 
temperature recorder, the vehicle cooling fan, and the heated THC 
analysis recorder (diesel-cycle only). The heat exchanger of the 
constant volume sampler, if used, petroleum-fueled diesel-cycle THC 
analyzer continuous sample line should be preheated to their respective 
operating temperatures before the test begins.
    (4) Adjust the sample flow rates to the desired flow rate and set 
the gas flow measuring devices to zero.
    (i) For gaseous bag samples (except THC samples), the minimum flow 
rate is 0.17 cfm (0.08 liters/sec).
    (ii) For THC samples, the minimum FID (or HFID in the case of 
diesel-cycle vehicles) flow rate is 0.066 cfm (0.031 1/sec).
    (iii) CFV sample flow rate is fixed by the venturi design.
    (5) Attach the exhaust tube to the vehicle tailpipe(s).
    (6) Start the gas flow measuring device, position the sample 
selector valves to direct the sample flow into the exhaust sample bag, 
the dilution air sample bag, turn on the petroleum-fueled diesel-cycle 
THC analyzer system integrator, mark the recorder chart, and record both 
gas meter or flow measurement instrument readings, if applicable.
    (7) Start the engine (with air conditioning system also running). 
Fifteen seconds after the engine starts, place vehicle in gear.
    (8) Twenty seconds after the engine starts, begin the initial 
vehicle acceleration of the driving schedule.
    (9) Operate the vehicle according to the SC03 driving schedule.
    (10) Turn the engine off 2 seconds after the end of the last 
deceleration (i.e., engine off at 596 seconds).
    (11) Five seconds after the engine stops running, simultaneously 
turn off gas flow measuring device No. 1 (and the petroleum-fueled 
diesel hydrocarbon integrator No. 1 and mark the petroleum-fueled diesel 
hydrocarbon recorder chart if applicable) and position the sample 
selector valves to the ``standby'' position. Record the measured roll or 
shaft revolutions and the No. 1 gas meter reading or flow measurement 
instrument).
    (12) As soon as possible, transfer the exhaust and dilution air bag 
samples to the analytical system and process the samples according to 
Sec.  86.140 obtaining a stabilized reading of the bag exhaust sample on 
all analyzers within 20 minutes of the end of the sample collection 
phase of the test.
    (13) Immediately after the end of the sample period, turn off the 
cooling fan, disconnect the exhaust tube from the vehicle tailpipe(s), 
and drive the vehicle from dynamometer.
    (14) The CVS or CFV may be turned off, if desired.
    (e) NOX humidity correction. Calculated NOX 
exhaust emissions from air conditioning tests conducted in an 
environmental test cell at a nominal 100 grains of water/pound of dry 
air are to be corrected for humidity to 100 grains of water/pound of dry 
air (see the relationship of Sec.  86.164-00(d)).

[61 FR 54895, Oct. 22, 1996, as amended at 70 FR 40434, July 13, 2005; 
70 FR 72928, Dec. 8, 2005]

[[Page 737]]



Sec.  86.161-00  Air conditioning environmental test facility 
ambient requirements.

    The goal of an air conditioning test facility is to simulate the 
impact of an ambient heat load on the power requirements of the 
vehicle's air conditioning compressor while operating on a specific 
driving cycle. The environmental facility control elements that are 
discussed are ambient air temperature and humidity, minimum test cell 
size, solar heating, and vehicle frontal air flow.
    (a) Ambient air temperature. (1) Ambient air temperature is 
controlled, within the test cell, during all phases of the air 
conditioning test sequence to 95 2 [deg]F on 
average and 95 5 [deg]F as an instantaneous 
measurement.
    (2) Air temperature is recorded continuously at a minimum of 30 
second intervals. Records of cell air temperatures and values of average 
test temperatures are maintained by the manufacturer for all 
certification related programs.
    (b) Ambient humidity. (1) Ambient humidity is controlled, within the 
test cell, during all phases of the air conditioning test sequence to an 
average of 100 5 grains of water/pound of dry air.
    (2) Humidity is recorded continuously at a minimum of 30 second 
intervals. Records of cell humidity and values of average test humidity 
are maintained by the manufacturer for all certification related 
programs.
    (c) Minimum test cell size. (1) The recommended minimum 
environmental exhaust emission test cell size is width 20 feet, length 
40 feet, and height 10 feet.
    (2) Test cells with smaller size dimensions may be approved by the 
Administrator if it can be shown that all of the ambient test condition 
performance requirements are satisfied.
    (d) Solar heat loading. (1)(i) Acceptable types of radiant energy 
emitters that may be used for simulating solar heat load are:
    (A) Metal halide;
    (B) Quartz halogen with dichroic mirrors; and
    (C) Sodium iodide.
    (ii) The Administrator will approve other types of radiant energy 
emitters if the manufacturer can show they satisfy the requirements of 
this section.
    (2) The height of the minimal cell size will dictate the type of 
radiant energy source that will satisfy the spectral distribution and 
uniformity definitions of this section.
    (3) Radiant energy specifications. (i) Simulated solar radiant 
energy intensity is determined as an average of the two points measured 
at:
    (A) Centerline of the test vehicle at the base of the windshield.
    (B) Centerline of the vehicle at the base of the rear window (truck 
and van location defined as bottom of vertical window or where an 
optional window would be located).
    (ii) The radiant energy intensity set point is 850 45 watts/square meter.
    (iii) The definition of an acceptable spectral distribution is 
contained in the following table:

                 Definition of the Spectral Distribution
------------------------------------------------------------------------
                                                    Percent of total
                                                        spectrum
            Band width (nanometers)            -------------------------
                                                Lower limit  Upper limit
                                                 (percent)    (percent)
------------------------------------------------------------------------
<320..........................................        0            0
 320-400......................................        0            7
400-780.......................................       45           55
780................................       35           53
------------------------------------------------------------------------
Note: Filter the UV region between 280 and 320 wave lengths.

    (iv) The angle of incidence of radiant energy is defined as 90 
degrees from the test cell floor.
    (v) The requirements for measuring the uniformity of radiant energy 
are:
    (A) The radiant energy uniformity tolerance is 15 percent of the radiant energy intensity set point of 
850 watts/square meter.
    (B) The uniformity of radiant energy intensity is measured at each 
point of a 0.5 meter grid over the entire footprint of the test vehicle 
at the elevation of one meter including the footprint edges.
    (C) Radiant energy uniformity must be checked at least every 500 
hours of emitter usage or every six months depending on which covers the 
shorter time period; and every time major changes in the solar 
simulation hardware occur.

[[Page 738]]

    (vi) The radiant energy intensity measurement instrument 
specifications (minimum) are:
    (A) Sensitivity of 9 microvolts per watt/square meter;
    (B) Response time of 1 second;
    (C) Linearity of 0.5 percent; and
    (D) Cosine of 1 percent from normalization 0-
70 degree zenith angle.
    (e) Vehicle frontal air flow. The Administrator will approve frontal 
air flow based on ``blower in box'' technology as an acceptable 
simulation of environmental air flow cooling for the air conditioning 
compressor and engine, provided the following requirements are 
satisfied.
    (1) The minimum air flow nozzle discharge area must be equal or 
exceed the vehicle frontal inlet area. Optimum discharge area is 18 
square feet (4.25 x 4.25), however, other sizes can be used.
    (2) Air flow volumes must be proportional to vehicle speed. With the 
above optimum discharge size, the fan volume would vary from 0 cubic 
feet/minute (cfm) at 0 mph to approximately 95,000 cfm at 60 mph. If 
this fan is also the only source of cell air circulation or if fan 
operational mechanics make the 0 mph air flow requirement impractical, 
air flow of 2 mph or less will be allowed at 0 mph vehicle speed.
    (3) The fan air flow velocity vector perpendicular to the axial flow 
velocity vector shall be less than 10 percent of the mean velocity 
measured at fan speeds corresponding to vehicle speeds of 20 and 40 mph.
    (4)(i) Fan axial air flow velocity is measured two feet from nozzle 
outlet at each point of a one foot grid over the entire discharge area.
    (ii) The uniformity of axial flow tolerance is 20 percent of the fan 
speeds corresponding to vehicle speeds of 20 and 40 mph.
    (5) The instrument used to verify the air velocity must have an 
accuracy of 2 percent of the measured air flow speed.
    (6) The fan discharge nozzle must be located 2 to 3 feet from the 
vehicle and 0 to 6 inches above the test cell floor during air 
conditioning testing. This applies to non-wind tunnel environmental test 
cells only.
    (7) The design specifications discussed in paragraphs (e)(1) through 
(e)(5) of this section must be verified by the manufacturer prior to 
conducting certification air conditioning tests.

[61 FR 54897, Oct. 22, 1996, as amended at 70 FR 40434, July 13, 2005]



Sec.  86.162-03  Approval of alternative air conditioning test simulations.

    (a) Upon petition from a manufacturer or upon the Agency's own 
initiative, the Administrator will approve a simulation of the 
environmental cell for air conditioning test (SC03) described in Sec.  
86.160-00 providing that the procedure can be run by the Administrator 
for SEA and in-use enforcement testing and providing that the following 
criteria are met:
    (1) In deciding whether approvals will be granted, the Administrator 
will consider data showing how well the simulation matches environmental 
cell test data for the range of vehicles to be covered by the simulation 
including items such as the tailpipe emissions, air conditioning 
compressor load, and fuel economy.
    (2) For any simulation approved under paragraph (a) of this section, 
the manufacturer must agree to be subject to an ongoing yearly 
correlation spot check as described in Sec.  86.163-00.
    (3) Once a simulation is approved and used by a manufacturer for 
testing for a given vehicle, EPA agrees to use the simulation test 
procedure for all official testing conducted on that vehicle by the 
Agency for certification, SEA, and recall purposes, excluding spot check 
testing and vehicles which fail the spot check criteria as described in 
Sec.  86.163-00.
    (4) EPA will moniter the aggregate results of spot check testing and 
full environmental test cells. If EPA determines, based on such 
aggregate results, that any simulation is producing test results 
consistantly below those from a full environmental test cell, EPA may 
review its approval of the simulation.
    (b) [Reserved]

[61 FR 54899, Oct. 22, 1996]

[[Page 739]]



Sec.  86.163-00  Spot check correlation procedures for vehicles tested 
using a simulation of the environmental test cell for air conditioning 
emission testing.

    This section is applicable for vehicles which are tested using a 
simulation of the environmental test cell approved under the provisions 
of Sec.  86.162-00(a).
    (a) The Administrator may select up to five emission data vehicles 
(one emission data vehicle for small volume manufacturers), including 
vehicles submitted for running change approval, each model year for any 
manufacturer undergoing the spot checking procedures of this section.
    (b) Testing conducted under this section (including testing 
performed in an environmental test cell) will be considered as official 
data as described in Sec.  86.091-29 and used in determining compliance 
with the standards. Such testing must comply with all applicable 
emission standards of subpart A of this part. Retests for the purpose of 
emission compliance will be allowed using the procedures described in 
Sec.  86.091-29.
    (c) Spot check procedures. (1) Subject to the limitations of 
paragraphs (a) and (d)(2)(iii) of this section, the Administrator may 
require that one or more of the test vehicles which use a simulation 
rather than actual testing in an environmental test cell for air 
conditioning emission testing be submitted at a place the Administrator 
will designate for air conditioning emission testing in an environmental 
test cell as described in Sec.  86.160-00. The Administrator may order 
this testing to be conducted at a manufacturer facility. All 
manufacturers which use a simulation instead of environmental cell 
testing must have access to an environment test cell meeting the 
requirements of Sec.  86.161-00 to perform this testing.
    (2) An air conditioning emission test will be performed as described 
in Sec.  86.162-00 in a full environmental test cell.
    (i) The results of the original simulation test and the full 
environmental test cell required in paragraph (c)(1) of this section are 
compared. In order to pass the spot check, the test results must pass 
both the following two criteria:
    (A) The NOX emission results of the simulation test must 
be at least 85% of the NOX emission results of the 
environmental chamber test.
    (B) The fuel consumption of the simulation test must be at least 95% 
of the fuel consumption of the environmental chamber test.
    (ii) If either of two criteria of paragraph (c)(2)(i) of this 
section were not met, a retest is allowed. The manufacturer may elect to 
conduct either a retest of the simulation procedure or the environmental 
chamber testing. In order to pass the spot check, the test results must 
pass both the following two criteria using the retest test result.
    (A) The NOX emission results of the simulation test must 
be at least 85% of the NOX emission results of the 
environmental chamber test.
    (B) The fuel consumption of the simulation test must be at least 95% 
of the fuel consumption of the environmental chamber test.
    (iii) If either of the two criteria of paragraph (c)(2)(ii) of this 
section were not met, a second retest is allowed. The procedure not 
selected for the first retest must be used for the second retest, 
yielding two test results for each procedure. In order to pass the spot 
check, the test results must pass both the following two criteria using 
the average test result for each procedure:
    (A) The NOX emission results of the simulation test must 
be at least 85% of the NOX emission results of the 
environmental chamber test.
    (B) The fuel consumption of the simulation test must be at least 95% 
of the fuel consumption of the environmental chamber test.
    (iv) If the spot check criteria have not passed after any of the 
initial test, the first retest, or the second retest the spot check is 
considered failed.
    (d) Consequences of failing a spot check. (1) If the emission 
results of the testing using the environmental test chamber passes all 
the applicable standards, those test results may be used to obtain a 
certificate of conformity.

[[Page 740]]

    (2) The Administrator will allow up to 60 days for the manufacturer 
to supply additional data addressing the correlation of the simulation 
with a full environmental test cell.
    (i) If that data prove to the satisfaction of the Administrator that 
the simulation produces results that correlate sufficiently with the 
environmental test chamber, the Administrator may allow the continued 
use of the simulation.
    (ii) Otherwise, the Administrator will determine that the simulation 
fails to meet adequate correlation levels with full environmental 
testing. As a consequence of this finding, all future air conditioning 
emission testing on the population of vehicles represented by the 
failing-spot-check test vehicle (which may include past model year 
configurations) will be conducted using an environment chamber or a 
different (or corrected) approved simulation procedure.
    (iii) For each vehicle that fails a spot check, the Administrator 
may select up to two additional vehicles to test for the spot check that 
do not count against the five vehicle limit of paragraph (a) of this 
section.
    (e) EPA will monitor the aggregate results of spot check testing and 
full environmental test cells. If EPA determines, based on such 
aggregate results, that any simulation (other than the AC1 and AC2 
procedures described in paragraphs (b) and (c) of this section for the 
2000, 2001, and 2002 model years) is producing test results consistently 
below those from a full environmental test cell, EPA may review its 
approval of the simulation.

[61 FR 54899, Oct. 22, 1996]



Sec.  86.164-00  Supplemental Federal Test Procedure calculations.

    (a) The provisions of Sec.  86.144-94 (b) and (c) are applicable to 
this section except that the NOX humidity correction factor 
of Sec.  86.144-94(c)(7)(iv) must be modified when adjusting SC03 
environmental test cell NOX results to 100 grains of water 
(see paragraph (d) of this section). These provisions provide the 
procedures for calculating mass emission results of each regulated 
exhaust pollutant for the test schedules of FTP, US06, and SC03.
    (b) The provisions of Sec.  86.144-94(a) are applicable to this 
section. These provisions provide the procedures for determining the 
weighted mass emissions for the FTP test schedule (Ywm).
    (c)(1) When the test vehicle is equipped with air conditioning, the 
final reported test results for the SFTP composite (NMHC + 
NOX) and optional composite CO standards shall be computed by 
the following formulas.

(i) YWSFTP = 0.35(YFTP) + 0.37(YSC03) + 
0.28(YUS06)

    Where:
    (A) YWSFTP = Mass emissions per mile for a particular 
pollutant weighted in terms of the contributions from the FTP, SC03, and 
US06 schedules. Values of YWSFTP are obtained for each of the 
exhaust emissions of NMHC, NOX. and CO.
    (B) YFTP = Weighted mass emissions per mile (Ywm) based 
on the measured driving distance of the FTP test schedule.
    (C) YSC03 = Calculated mass emissions per mile based on 
the measured driving distance of the SC03 test schedule.
    (D) YUS06 = Calculated mass emissions per mile based on 
the measured driving distance of the US06 test schedule.
    (ii) Composite (NMHC = NOX) + YWSFTP(NMHC) 
WSFTP(NOX)

Where:
    (A) YWSFTP(NMHC) = results of paragraph (c)(1)(i) of this 
section for NMHC.
    (B) YWSFTP(NOX) = results of paragraph 
(c)(1)(i) of this section for NOX.
    (2) When the test vehicle is not equipped with air conditioning, the 
relationship of paragraph (c)(1)(i) of this section is:
    (i) YWSFTP = 0.72(YFTP) + 
0.28(YUS06)

Where:
    (A) YWSFTP = Mass emissions per mile for a particular 
pollutant weighted in terms of the contributions from the FTP and US06 
schedules. Values of YWSFTP are obtained for each of the 
exhaust emissions of NMHC, NOX. and CO.
    (B) YFTP = Weighted mass emissions per mile (Ywm) based 
on the measured driving distance of the FTP test schedule.
    (C) YUS06 = Calculated mass emissions per mile based on 
the measured driving distance of the US06 test schedule.

[[Page 741]]

    (ii) Composite (NMHC + NOX) = YWSFTP(NMHC) + 
YWSFTP(NOX)

Where:
    (A) YWSFTP(NMHC) = results of paragraph (c)(2)(i) of this 
section for NMHC.
    (B) YWSFTP(NOX) = results of paragraph 
(c)(2)(i) of this section for NOX.
    (d) The NOX humidity correction factor for adjusting 
NOX test results to the environmental test cell air 
conditioning ambient condition of 100 grains of water/pound of dry air 
is:

KH (100) = 0.8825/[1-0.0047(H-75)]

Where:

H = measured test humidity in grains of water/pound of dry air.

[61 FR 54900, Oct. 22, 1996, as amended at 70 FR 40434, July 13, 2005]



Sec.  86.164-08  Supplemental Federal Test Procedure calculations.

    (a) The provisions of Sec.  86.144-94 (b) and (c) are applicable to 
this section except that the NOX humidity correction factor 
of Sec.  86.144-94(c)(7)(iv) must be modified when adjusting SC03 
environmental test cell NOX results to 100 grains of water 
according to paragraph (d) of this section. These provisions provide the 
procedures for calculating mass emission results of each regulated 
exhaust pollutant for the test schedules of FTP, US06, and SC03.
    (b) The provisions of Sec.  86.144-94(a) are applicable to this 
section. These provisions provide the procedures for determining the 
weighted mass emissions for the FTP test schedule (Ywm).
    (c)(1) When the test vehicle is equipped with air conditioning, the 
final reported test results for the SFTP composite (NMHC + 
NOX) and optional composite CO standards shall be computed by 
the following formulas.
    (i) YWSFTP = 0.35(YFTP) + 
0.37(YSC03) + 0.28(YUS06)
    Where:
    (A) YWSFTP = Mass emissions per mile for a particular 
pollutant weighted in terms of the contributions from the FTP, SC03, and 
US06 schedules. Values of YWSFTP are obtained for each of the 
exhaust emissions of NMHC, NOX and CO.
    (B) YFTP = Weighted mass emissions per mile 
(YWM) based on the measured driving distance of the FTP test 
schedule.
    (C) YSC03 = Calculated mass emissions per mile based on 
the measured driving distance of the SC03 test schedule.
    (D)(1) YUS06 = Calculated mass emissions per mile based 
on the measured driving distance of the US06 test schedule; or,
    (2) In the case of a 2-phase US06 test run according to the 
provisions of Sec.  86.159-08(f)(2) and part 600 of this chapter:
    YUS06 = Calculated mass emissions per mile, using the summed mass 
emissions of the ``US06 City'' phase and the ``US06 Highway'' phase, 
based on the measured driving distance of the US06 test schedule. The 
``US06 City'' phase shall be sampled during seconds 0-130 and from 495 
seconds until five seconds after the engine stops running (e.g. 602 or 
603 seconds) of the US06 driving schedule. The ``US06 Highway'' phase 
shall be sampled during seconds 130-495 of the US06 driving schedule),
    (ii) Composite (NMHC + NOX) = YWSFTP(NMHC) + 
YWSFTP(NOX)
    Where:
    (A) YWSFTP(NMHC) = results of paragraph (c)(1)(i) of this 
section for NMHC.
    (B) YWSFTP(NOX) = results of paragraph 
(c)(1)(i) of this section for NOX.
    (2) When the test vehicle is not equipped with air conditioning, the 
final reported test results for the SFTP composite (NMHC + 
NOX) and optional composite CO standards shall be computed by 
the following formulas.
    (i) YWSFTP = 0.72(YFTP) + 
0.28(YUS06)
    Where:
    (A) YWSFTP = Mass emissions per mile for a particular 
pollutant weighted in terms of the contributions from the FTP and US06 
schedules. Values of YWSFTP are obtained for each of the 
exhaust emissions of NMHC, NOX and CO.
    (B) YFTP = Weighted mass emissions per mile (Ywm) based 
on the measured driving distance of the FTP test schedule.
    (C)(1) YUS06 = Calculated mass emissions per mile based 
on the measured driving distance of the US06 test schedule; or,
    (2) In the case of a 2-phase US06 test run according to the 
provisions of Sec.  86.159-08(f)(2) and part 600 of this chapter:

[[Page 742]]

    YUS06 = Calculated mass emissions per mile, using the summed mass 
emissions of the ``US06 City'' phase and the ``US06 Highway'' phase, 
based on the measured driving distance of the US06 test schedule. The 
``US06 City'' phase shall be sampled during seconds 0-130 and from 495 
seconds until five seconds after the engine stops running (e.g. 602 or 
603 seconds) of the US06 driving schedule. The ``US06 Highway'' phase 
shall be sampled during seconds 130-495 of the US06 driving schedule),
    (ii) Composite (NMHC + NOX) = YWSFTP(NMHC) + 
YWSFTP(NOX)
    Where:
    (A) YWSFTP(NMHC) = results of paragraph (c)(2)(i) of this 
section for NMHC.
    (B) YWSFTP(NOX) = results of paragraph 
(c)(2)(i) of this section for NOX.
    (d) The NOX humidity correction factor for adjusting 
NOX test results to the environmental test cell air 
conditioning ambient condition of 100 grains of water/pound of dry air 
is:

KH (100) = 0.8825/[1-0.0047(H-75)]

Where:

H = measured test humidity in grains of water/pound of dry air.

[71 FR 77922, Dec. 27, 2006, as amended at 74 FR 61548, Nov. 25, 2009]



Sec.  86.165-12  Air conditioning idle test procedure.

    (a) Applicability. This section describes procedures for determining 
air conditioning-related CO2 emissions from light-duty 
vehicles, light-duty trucks, and medium-duty passenger vehicles. The 
results of this test are used to qualify for air conditioning efficiency 
CO2 credits according to Sec.  86.1866-12(c).
    (b) Overview. The test consists of a brief period to stabilize the 
vehicle at idle, followed by a ten-minute period at idle when 
CO2 emissions are measured without any air conditioning 
systems operating, followed by a ten-minute period at idle when 
CO2 emissions are measured with the air conditioning system 
operating. This test is designed to determine the air conditioning-
related CO2 emission value, in grams per minute. If engine 
stalling occurs during cycle operation, follow the provisions of Sec.  
86.136-90 to restart the test. Measurement instruments must meet the 
specifications described in this subpart.
    (c) Test cell ambient conditions. (1) Ambient humidity within the 
test cell during all phases of the test sequence shall be controlled to 
an average of 40-60 grains of water/pound of dry air.
    (2) Ambient air temperature within the test cell during all phases 
of the test sequence shall be controlled to 73-80 [deg]F on average and 
75 5 [deg]F as an instantaneous measurement. Air 
temperature shall be recorded continuously at intervals of not more than 
30 seconds.
    (d) Test sequence. (1) Connect the vehicle exhaust system to the raw 
sampling location or dilution stage according to the provisions of this 
subpart. For dilution systems, dilute the exhaust as described in this 
subpart. Continuous sampling systems must meet the specifications 
provided in this subpart.
    (2) Test the vehicle in a fully warmed-up condition. If the vehicle 
has soaked for two hours or less since the last exhaust test element, 
preconditioning may consist of a 505 Cycle, 866 Cycle, US06, or SC03, as 
these terms are defined in Sec.  86.1803-01, or a highway fuel economy 
test procedure, as defined in Sec.  600.002-08 of this chapter. For soak 
periods longer than two hours, precondition the vehicle using one full 
Urban Dynamometer Driving Schedule. Ensure that the vehicle has 
stabilized at test cell ambient conditions such that the vehicle 
interior temperature is not substantially different from the external 
test cell temperature. Windows may be opened during preconditioning to 
achieve this stabilization.
    (3) Immediately after the preconditioning, turn off any cooling 
fans, if present, close the vehicle's hood, fully close all the 
vehicle's windows, ensure that all the vehicle's air conditioning 
systems are set to full off, start the CO2 sampling system, 
and then idle the vehicle for not less than 1 minute and not more than 5 
minutes to achieve normal and stable idle operation.
    (4) Measure and record the continuous CO2 concentration 
for 600 seconds. Measure the CO2 concentration continuously 
using raw or dilute sampling procedures. Multiply this concentration by 
the continuous (raw or dilute)

[[Page 743]]

flow rate at the emission sampling location to determine the 
CO2 flow rate. Calculate the CO2 cumulative flow 
rate continuously over the test interval. This cumulative value is the 
total mass of the emitted CO2. Alternatively, CO2 
may be measured and recorded using a constant velocity sampling system 
as described in Sec. Sec.  86.106-96(a)(2) and 86.109.
    (5) Within 60 seconds after completing the measurement described in 
paragraph (d)(4) of this section, turn on the vehicle's air conditioning 
system. Set automatic air conditioning systems to a temperature 9 [deg]F 
(5 [deg]C) below the ambient temperature of the test cell. Set manual 
air conditioning systems to maximum cooling with recirculation turned 
off, except that recirculation shall be enabled if the air conditioning 
system automatically defaults to a recirculation mode when set to 
maximum cooling. Continue idling the vehicle while measuring and 
recording the continuous CO2 concentration for 600 seconds as 
described in paragraph (d)(4) of this section. Air conditioning systems 
with automatic temperature controls are finished with the test after 
this 600 second idle period. Manually controlled air conditioning 
systems must complete one additional idle period as described in 
paragraph (d)(6) of this section.
    (6) This paragraph (d)(6) applies only to manually controlled air 
conditioning systems. Within 60 seconds after completing the measurement 
described in paragraph (d)(5) of this section, leave the vehicle's air 
conditioning system on and set as described in paragraph (d)(5) of this 
section but set the fan speed to the lowest setting that continues to 
provide air flow. Recirculation shall be turned off except that if the 
system defaults to a recirculation mode when set to maximum cooling and 
maintains recirculation with the low fan speed, then recirculation shall 
continue to be enabled. After the fan speed has been set, continue 
idling the vehicle while measuring and recording the continuous 
CO2 concentration for a total of 600 seconds as described in 
paragraph (d)(4) of this section.
    (e) Calculations. (1) For the measurement with no air conditioning 
operation, calculate the CO2 emissions (in grams per minute) 
by dividing the total mass of CO2 from paragraph (d)(4) of 
this section by 10.0 (the duration in minutes for which CO2 
is measured). Round this result to the nearest tenth of a gram per 
minute.
    (2)(i) For the measurement with air conditioning in operation for 
automatic air conditioning systems, calculate the CO2 
emissions (in grams per minute) by dividing the total mass of 
CO2 from paragraph (d)(5) of this section by 10.0. Round this 
result to the nearest tenth of a gram per minute.
    (ii) For the measurement with air conditioning in operation for 
manually controlled air conditioning systems, calculate the 
CO2 emissions (in grams per minute) by summing the total mass 
of CO2 from paragraphs (d)(5) and (d)(6) of this section and 
dividing by 20.0. Round this result to the nearest tenth of a gram per 
minute.
    (3) Calculate the increased CO2 emissions due to air 
conditioning (in grams per minute) by subtracting the results of 
paragraph (e)(1) of this section from the results of paragraph (e)(2)(i) 
or (ii) of this section, whichever is applicable.
    (f) The Administrator may prescribe procedures other than those in 
this section for air conditioning systems and/or vehicles that may not 
be susceptible to satisfactory testing by the procedures and methods in 
this section. For example, the Administrator may prescribe alternative 
air conditioning system settings for systems with controls that are not 
able to meet the requirements in this section.

[75 FR 25680, May 7, 2010, as amended at 76 FR 39521, July 6, 2011; 77 
FR 63152, Oct. 15, 2012]



Sec.  86.166-12  [Reserved]



 Subpart C_Emission Regulations for 1994 and Later Model Year Gasoline-
  Fueled New Light-Duty Vehicles, New Light-Duty Trucks and New Medium-
        Duty Passenger Vehicles; Cold Temperature Test Procedures

    Source: 79 FR 23698, Apr. 28, 2014, unless otherwise noted.

[[Page 744]]



Sec.  86.201  General applicability.

    (a) Vehicles are subject to cold temperature testing requirements as 
described in subpart S of this part and 40 CFR part 600.
    (b) Migration to 40 CFR parts 1065 and 1066. This subpart 
transitions to rely on the test procedure specifications in 40 CFR parts 
1065 and 1066 as follows:
    (1) Through model year 2021, manufacturers may use the test 
procedures specified in paragraph (c) or (d) of this section or, using 
good engineering judgement, elements of both. For any EPA testing before 
model year 2022, EPA will use the manufacturer's selected procedures for 
applying acceptable speed-tolerance criteria. For any other parameters, 
EPA may conduct testing using either of the specified procedures. As 
allowed under this part, manufacturers may use carryover data from 
previous model years to demonstrate compliance with emission standards, 
without regard to the provisions of this section.
    (2) For vehicles certified before model year 2022 to any of the Tier 
3 emission standards specified in subpart S of this part, manufacturers 
must determine overall driver accuracy based on driven cycle energy as 
described in 40 CFR 1066.425(j).
    (c) Interim procedures. Through model year 2021, manufacturers may 
certify vehicles based on data collected according to previously 
published cold temperature and intermediate temperature testing 
procedures.
    (d) Long-term procedures. Starting in model year 2022, perform 
testing to measure CO and NMHC emissions and determine fuel economy as 
described in 40 CFR part 1066; see especially 40 CFR 1066.710. We may 
approve the use of previously published cold temperature and 
intermediate temperature testing procedures for later model years as an 
alternative procedure under 40 CFR 1066.10(c). Perform intermediate 
temperature testing as follows:
    (1) For testing during ambient temperatures of less than 50 [deg]F 
(10 [deg]C), perform testing as described in 40 CFR part 1066, subpart 
H.
    (2) For testing at temperatures of 50 [deg]F (10 [deg]C) or higher, 
perform FTP testing as described in 40 CFR part 1066.
    (e) Section 86.213 describes special provisions related to test fuel 
specifications.

[80 FR 9103, Feb. 19, 2015]



Sec.  86.213  Fuel specifications.

    (a) Gasoline. Use a gasoline test fuel with ethanol (low-level blend 
only) or without ethanol as follows:
    (1) You must certify using service accumulation fuel and E10 test 
fuel as specified in Sec.  86.113 for any vehicles required to use a 
low-level ethanol-gasoline blend test fuel for measuring exhaust 
emissions. You may use this test fuel any time earlier than we specify.
    (2) You may use the test fuel specified in this paragraph (a)(2) for 
vehicles that are not yet subject to exhaust testing with an ethanol-
blend test fuel under Sec.  86.113. Manufacturers may certify based on 
this fuel using carryover data until testing with the ethanol-blend test 
fuel is required. The following specifications apply for gasoline test 
fuel without ethanol:

        Table 1 of Sec.   86.213--Cold Temperature Test Fuel Specifications for Gasoline Without Ethanol
----------------------------------------------------------------------------------------------------------------
                 Item                          Regular                  Premium          Reference procedure \1\
----------------------------------------------------------------------------------------------------------------
(RON + MON)/2 \2\....................  87.80.3.                  eq>0.5.
Sensitivity \3\......................  7.5....................  7.5....................  ASTM D2699; ASTM D2700
Distillation Range ( [deg]F):
    Evaporated initial boiling point.  76-96..................  76-96..................  ASTM D86
    10% evaporated...................  98-118.................  105-125................
    50% evaporated...................  179-214................  195-225................
    90% evaporated...................  316-346................  316-346................
    Evaporated final boiling point...  413 Maximum............  413 Maximum............
Hydrocarbon composition (vol %):
    Olefins..........................  12.55.0.                  eq>5.0.
    Aromatics........................  26.44.0.                  eq>4.0.
    Saturates........................  Remainder..............  Remainder..............
Lead, g/gallon.......................  0.01, Maximum..........  0.01, Maximum..........  ASTM D3237

[[Page 745]]

 
Phosphorous, g/gallon................  0.005, Maximum.........  0.005, Maximum.........  ASTM D3231
Total sulfur, wt. % \3\..............  0.0015-0.008...........  0.0015-0.008...........  ASTM D2622
RVP, psi.............................  11.50.3.                  eq>0.3.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   86.1.
\2\ Octane specifications are optional for manufacturer testing. The premium fuel specifications apply for
  vehicles designed to use high-octane premium fuel.
\3\ Sulfur concentration will not exceed 0.0045 weight percent for EPA testing.

    (3) Manufacturers may use the E0 gasoline test fuel specified in 
Sec.  86.113 for certification instead of the fuel specified in 
paragraph (a)(2) of this section, as long as the change in test fuel 
does not cause cold temperature NMHC, CO, or CO2 emissions to 
decrease; manufacturers must keep records documenting these emission 
effects and make them available to EPA upon request.
    (4) We may approve alternate fuel specifications that are 
substantially equivalent to those in paragraph (a)(2) of this section 
for a manufacturer's testing.
    (b) Diesel fuel. Diesel fuel for testing under this subpart must 
meet the specifications for low-temperature test fuel in 40 CFR 
1065.703.

[79 FR 23698, Apr. 28, 2014, as amended at 80 FR 9103, Feb. 19, 2015]

Subpart D [Reserved]



   Subpart E_Emission Regulations for 1978 and Later New Motorcycles, 
                           General Provisions

    Source: 42 FR 1126, Jan. 5, 1977, unless otherwise noted.



Sec.  86.401-2006  General applicability.

    This subpart applies to 1978 and later model year, new, gasoline-
fueled motorcycles built after December 31, 1977, and to 1990 and later 
model year, new methanol-fueled motorcycles built after December 31, 
1989 and to 1997 and later model year, new natural gas-fueled and 
liquefied petroleum gas-fueled motorcycles built after December 31, 1996 
and to 2006 and later model year new motorcycles, regardless of fuel.

[69 FR 2435, Jan. 15, 2004]



Sec.  86.401-97  General applicability.

    (a) This subpart applies to 1978 and later model year, new, 
gasoline-fueled motorcycles built after 31 December, 1977, and to 1990 
and later model year, new, methanol-fueled motorcycles built after 31 
December, 1989 and to 1997 and later model year, new, natural gas-fueled 
and liquefied petroleum gas-fueled motorcycles built after 31 December, 
1996.
    (b) Motorcycles with engine displacements less than 50 cc (3.1 cu 
in) are excluded from the requirements of this subpart.
    (c) Motorcycles are excluded from the requirements of this subpart, 
if with an 80 kg (176 lb) driver, it cannot:
    (1) Start from a dead stop using only the engine; or
    (2) Exceed a maximum speed of 40 km/h (25 mph) on level paved 
surfaces.

[59 FR 48512, Sept. 21, 1994]



Sec.  86.402-78  Definitions.

    (a) The definitions in this section apply to this subpart and also 
to subpart F.
    Act means part A of title II of the Clean Air Act, 42 U.S.C. 1857 f-
1 through f-7, as amended by Pub. L. 91-604.
    Administrator means the Administrator of the Environmental 
Protection Agency or his authorized representative.
    Class, see Sec.  86.419.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any portion of the engine crankcase ventilation or 
lubrication systems.
    Curb mass means the actual or manufacturer's estimated mass of the 
vehicle with fluids at nominal capacity and

[[Page 746]]

with all equipment specified by the Administrator.
    Displacement, and Displacement Class, see Sec.  86.419.
    Engine family means the basic classification unit of a 
manufacturer's product line used for the purpose of test fleet selection 
and determined in accordance with Sec.  86.420.
    Engine-displacement-system combination means an engine family-
displacement-emission control system combination.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator (or by his designee).
    Exhaust emissions means substances emitted to the atmosphere from 
any opening downstream from the exhaust port of a motor vehicle engine.
    Fuel system means the combination of fuel tank, fuel pump, fuel 
lines, oil injection metering system, and carburetor or fuel injection 
components, and includes all fuel system vents.
    Loaded vehicle mass means curb mass plus 80 kg (176 lb.), average 
driver mass.
    Model year means the manufacturer's annual production period (as 
determined by the Administrator) which includes January first of such 
calendar year. If the manufacturer has no annual production period, the 
term model year shall mean the calendar year.
    Motorcycle means any motor vehicle with a headlight, taillight, and 
stoplight and having: Two wheels, or Three wheels and a curb mass less 
than or equal to 680 kilograms (1499 pounds).
    Oxides of nitrogen means the sum of the nitric oxide and nitrogen 
dioxide contained in a gas sample as if the nitric oxide were in the 
form of nitrogen dioxide.
    Round has the meaning given in 40 CFR 1065.1001, unless otherwise 
specified.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed on a periodic basis to prevent part failure or 
vehicle malfunction, or anticipated as necessary to correct an overt 
indication of vehicle malfunction or failure for which periodic 
maintenance is not appropriate.
    Span gas means a gas of known concentration which is used routinely 
to set the output level of any analyzer.
    System includes any motor vehicle modification which controls or 
causes the reduction of substances emitted from motor vehicles.
    Total test distance is defined for each class of motorcycles in 
Sec.  86.427-78.
    Useful life is defined for each class (see Sec.  86.419) of 
motorcycle:

Class I--5.0 years or 12,000 km (7,456 miles), whichever first occurs.
Class II--5.0 years or 18,000 km (11,185 miles), whichever first occurs.
Class III--5.0 years or 30,000 km (18,641 miles), whichever first 
occurs.

    Unscheduled maintenance means any inspection, adjustment, repair, 
removal, disassembly, cleaning, or replacement of vehicle components or 
systems which is performed to correct or diagnose a part failure or 
vehicle malfunction which was not anticipated.
    Zero kilometers means that point after normal assembly line 
operations and adjustments, after normal dealer setup and preride 
inspection operations have been completed, and before 100 kilometers of 
vehicle operation of three hours of engine operation have been 
accumulated, including emission testing if performed.
    (b) [Reserved]

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56737, Oct. 28, 1977; 49 
FR 48138, Dec. 10, 1984; 81 FR 73979, Oct. 25, 2016]



Sec.  86.402-98  Definitions.

    The definitions of Sec.  86.402-78 apply to this subpart. The 
following definition in this section is applicable beginning with the 
1998 model year:
    Designated Compliance Officer means the Manager, Engine Programs 
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania 
Ave., Washington, DC 20460.
    Motorcycle means any motor vehicle with a headlight, taillight, and 
stoplight and having: Two wheels, or Three wheels and a curb mass less 
than or equal to 793 kilograms (1749 pounds).
    Motor vehicle has the meaning we give in 40 CFR 85.1703.

[[Page 747]]

    Useful life is defined for each class (see Sec.  86.419) of 
motorcycle:
    (1) Class I-A--5.0 years or 6,000 km (3,728 miles), whichever occurs 
first.
    (2) Class I-B--5.0 years or 12,000 km (7,456 miles), whichever 
occurs first.
    (3) Class II--5.0 years or 18,000 km (11,185 miles), whichever 
occurs first.
    (4) Class III--5.0 years or 30,000 km (18,641 miles), whichever 
occurs first.

[63 FR 11849, Mar. 11, 1998, as amended at 69 FR 2435, Jan. 15, 2004]



Sec.  86.403-78  Abbreviations.

    The abbreviations used in this subpart have the following meanings 
in both capital and lowercase:

ASTM--American Society for Testing and Materials.
C--Celsius.
cc--Cubic centimetre(s).
cfh--Cubic feet per hour.
cfm--Cubic feet per minute.
CH4 methane.
cm--Centimetre(s).
CO--Carbon monoxide.
CO2--Carbon dioxide.
Conc--Concentration.
cu.--Cubic.
CVS--Constant volume sampler.
EGR--Exhaust gas recirculation.
EP--End point.
EPA--Environmental Protection Agency.
F--Fahrenheit.
h--hour.
HC--Hydrocarbon(s).
Hg--Mercury.
H2O--Water.
in.--Inch(es).
K--Kelvin.
kg--Kilogram(s).
km--Kilometre(s).
kpa--Kilopascals.
lb--Pound(s).
m--Metre(s).
mph--Miles per hour.
mm--Millimetre(s).
N2--Nitrogen.
N2O nitrous oxide.
NOX--Oxides of nitrogen.
No.--Number.
O2--Oxygen.
Pa--Pascal(s).
Pb--lead.
ppm--Parts per million by volume.
psi--Pounds per square inch.
psig--Pounds per square inch gauge.
R--Rankine.
rpm--Revolutions per minute.
wt--Weight.
[deg]--Degree(s).
%--Percent.

[42 FR 1126, Jan. 5, 1977, as amended at 74 FR 56373, Oct. 30, 2009]



Sec.  86.404-78  Section numbering.

    (a) The year of initial applicability of a section is indicated by 
its section number. The two digits following the hyphen designate the 
first model year for which a section is effective. A section remains 
effective until superseded.

    Example: Section 86.411-78 applies to 1978 and subsequent model 
years until it is superseded. If a Sec.  86.411-81 is promulgated it 
would take effect beginning with 1981; Sec.  86.411-78 would apply to 
years 1978 through 1980.

    (b) A reference to a section without a year designation implies the 
appropriate model year.

    Example: When considering 1979 vehicles a reference to Sec.  86.411 
implies Sec.  86.411-79. However if no Sec.  86.411-79 has been 
promulgated then Sec.  86.411-78 is implied; See paragraph (a) of this 
section.



Sec.  86.405-78  Measurement system.

    (a) This subpart and subpart F have been written using System 
International (SI) units. SI units will be used to determine compliance 
with these regulations. English equivalents have been indicated solely 
for the user's convenience.
    (b) [Reserved]



Sec.  86.406-78  Introduction, structure of subpart, further information.

    (a) This subpart contains general provisions regulating the emission 
of air pollution from new motorcycles. Test procedures are found in 
subpart F.
    (b) Several discrete concepts are addressed:
    (1) Requirements. Sections 86.407 to 86.415.
    (2) Application for certification. Sections 86.416 and 86.417.
    (3) Test fleet selection. Sections 86.418 to 86.423.
    (4) Service accumulation, testing, maintenance, certification. 
Sections 86.424 to 86.439.
    (5) Administrative provisions. Sections 86.440 to 86.444.
    (c) The certification procedure to be followed depends upon the 
manufacturer's projected sales.
    (1) New motorcycles, produced by a manufacturer whose projected U.S. 
sales of motorcycles is 10,000 or more units (for the model year in 
which certification is sought) shall demonstrate

[[Page 748]]

compliance with all general standards and all specific emission 
requirements before they can be sold in the United States. The 
manufacturer is required to submit an application with sales data, 
product information, required maintenance, testing and service 
accumulation procedures. The Administrator will select vehicle(s) which 
will represent the manufacturer's product line. The manufacturer is 
required to construct these vehicles to be representative of actual 
production. Service is accumulated and emission tests performed with 
data submitted to the Administrator. The Administrator may run his own 
tests to confirm the manufacturer's results. The Administrator will 
review the data and either grant or deny certification. If the 
manufacturer wishes to make changes to a certified vehicle, or to 
produce a new vehicle, the Administrator must be notified. The 
Administrator may require testing to demonstrate continued compliance 
with emission standards. Each vehicle must be labeled with tune up 
specifications and the purchaser must be supplied with maintenance 
instructions. Also, information on production vehicles must be supplied 
to the Administrator.
    (2) New motorcycles produced by a manufacturer whose projected U.S. 
sales of motorcycles is less than 10,000 units (for the model year in 
which certification is sought) shall meet both the general standards and 
specific emission requirements described in Sec. Sec.  86.401 through 
86.417, Sec.  86.425, Sec.  86.437, and Sec. Sec.  86.440 through 86.444 
of this subpart before they can be sold in the United States. The 
manufacturer is required to submit an application containing a statement 
that his vehicles conform to the applicable emission standards. The 
manufacturer is required to retain in his records, but not submit with 
the application, valid emission test data which support his statement. 
The Administrator will review the application and either grant or deny 
certification. Each vehicle must be labeled with tune up specifications 
and the purchaser must be supplied with maintenance instructions. Also, 
information on production vehicles must be supplied to the 
Administrator.
    (d) Manufacturers who are considering an application should contact: 
Director, Vehicle Programs and Compliance Division, Environmental 
Protection Agency, 2565 Plymouth Rd., Ann Arbor, Michigan 48105 and 
state whether he/she plans to certify for total sales of greater than or 
less than 10,000 vehicles for the applicable model year.

[42 FR 1126, Jan. 5, 1977, as amended at 63 FR 11849, Mar. 11, 1998]



Sec.  86.407-78  Certificate of conformity required.

    (a) General requirement. Every new motorcycle manufactured for sale, 
sold, offered for sale, introduced or delivered for introduction into 
commerce, or imported into the United States which is subject to any of 
the standards prescribed in this subpart is required to be covered by a 
certificate of conformity issued pursuant to this subpart, except as 
specified in paragraph (b) of this section, or otherwise exempted from 
this requirement.
    (b) Interim personal use exemption. An individual may manufacture 
one motorcycle for personal use without a certificate of conformity, 
subject to the following provisions:
    (1) The motorcycle may not be manufactured from a certified 
motorcycle. The motorcycle may not be manufactured from a partially 
complete motorcycle that is equivalent to a certified motorcycle, unless 
the emission controls are included in the final product. The motorcycle 
must be manufactured primarily from unassembled components, but may 
incorporate some preassembled components. For example, fully 
preassembled transmissions may be used.
    (2) The motorcycle may not be sold within five years of the date of 
final assembly.
    (3) No individual may manufacture more than one motorcycle during 
his or her lifetime under this exemption. This restriction applies with 
respect to the person who purchases the components and/or uses the 
motorcycle, rather than to the person(s) who actually assemble(s) the 
motorcycle.
    (4) This exemption may not be used to circumvent the requirements of

[[Page 749]]

paragraph (a) of this section or the requirements of the Clean Air Act. 
For example, this exemption would not cover a case in which an entity 
purchases a kit, assembles the kit, and then sells it to another party; 
this would be considered to be the sale of the complete motorcycle.
    (c) Interim display exemptions. Uncertified custom motorcycles that 
are used solely for display purposes are exempt from the standards 
provided they conform to the requirements of this paragraph (c). Unless 
a certificate of conformity has been received for such motorcycles, they 
may not be operated on the public streets or highways except for that 
operation incident and necessary to the display purpose.
    (1) No request is necessary for display motorcycles that will not be 
sold or leased.
    (2) The following requirements apply for exempting display 
motorcycles that will be sold or leased:
    (i) Manufacturers planning to sell motorcycles for display must 
notify EPA of their intent to do so before they sell any exempted 
motorcycles. They must also maintain sales records of exempted 
motorcycles for at least three years and make them available to EPA upon 
request.
    (ii) No manufacturer may sell or lease more than 24 exempted display 
motorcycles in any single calendar year.
    (iii) Anyone selling or leasing a motorcycle exempt under this 
paragraph (c) must ensure that the buyer or lessee agrees to comply with 
the display exemption terms in the regulations.
    (3) Each motorcycle exempt under this paragraph (c) must include a 
label that identifies the manufacturer and includes the following 
statement: THIS MOTORCYCLE IS EXEMPT FROM EPA EMISSION REQUIREMENTS. ITS 
USE ON PUBLIC ROADS IS LIMITED PURSUANT TO 40 CFR 86.407-78(c). EPA may 
allow manufacturers to locate the label in a location where it is 
obscured or hidden by a readily removable component. For example, EPA 
may allow the label to be located under the seat.
    (4) As described in 40 CFR part 1051, motorcycles that are not 
considered to be motor vehicles according to 40 CFR 85.1703(a) may be 
exempt under this paragraph (c) from the standards and requirements of 
40 CFR part 1051. Such motorcycles shall be combined with the 
manufacturer's highway motorcycles with respect to the sales restriction 
described in paragraph (c)(2)(ii) of this section.
    (5) This exemption may not be used to circumvent the requirements of 
paragraph (a) of this section or the requirements of the Clean Air Act.

[69 FR 2435, Jan. 15, 2004]



Sec.  86.408-78  General standards; increase in emissions; unsafe conditions.

    (a) Any system installed on or incorporated in a new motorcycle to 
enable such vehicle to conform to standards imposed by this subpart:
    (1) Shall not in its operation or function cause the emission into 
the ambient air of any noxious or toxic substance that would not be 
emitted in the operation of such vehicle without such system, except as 
specifically permitted by regulation; and
    (2) Shall not in its operation, function, or malfunction result in 
any unsafe condition endangering the motorcycle, its rider(s), or 
persons or property in close proximity to the vehicle.
    (b) Every manufacturer of new motorcycles subject to any of the 
standards imposed by this subpart shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motorcycles in accordance with good engineering practice to 
ascertain that such test vehicles will meet the requirements of this 
section for the useful life of the vehicle.



Sec.  86.409-78  Defeat devices, prohibition.

    (a) No motorcycle shall be equipped with a defeat device.
    (b) Defeat device means any element of design which:
    (1) Senses temperature, vehicle speed, engine RPM, transmission 
gear, manifold vacuum, or any other parameter for the purpose of 
activating, modulating, delaying or deactivating the operation of any 
part of the emission control system and

[[Page 750]]

    (2) Reduces the effectiveness of the emission control system under 
conditions which may reasonably be expected to be encountered in normal 
urban vehicle operation and use, unless
    (i) Such conditions are substantially included in the Federal 
emission test procedure, or
    (ii) The need for the device is justified in terms of protecting the 
vehicle against damage or accident, or
    (iii) The device does not go beyond the requirements of engine 
starting or warm-up.



Sec.  86.410-90  Emission standards for 1990 and later model year motorcycles.

    (a)(1) Exhaust emissions from 1990 and later model year gasoline-
fueled, natural gas-fueled and liquefied petroleum gas-fueled 
motorcycles shall not exceed (compliance with these standards is 
optional prior to the 1997 model year for natural gas-fueled and 
liquefied petroleum gas-fueled motorcycles):
    (i) Hydrocarbons. 5.0 grams per vehicle kilometer.
    (ii) Carbon monoxide. 12 grams per vehicle kilometer.
    (2) Exhaust emissions from 1990 and later model year methanol-fueled 
motorcycles shall not exceed:
    (i) Total hydrocarbon equivalent. 5.0 grams per vehicle kilometer.
    (ii) Carbon monoxide. 12 grams per vehicle kilometer.
    (3) The standards set forth in paragraphs (a) (1) and (2) of this 
section refer to the exhaust emitted over driving schedule as set forth 
in subpart F and measured and calculated in accordance with those 
procedures.
    (b) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new motorcycle subject to this subpart.

[54 FR 14539, Apr. 11, 1989, as amended at 59 FR 48512, Sept. 21, 1994]



Sec.  86.410-2006  Emission standards for 2006 and later 
model year motorcycles.

    (a)(1) Exhaust emissions from Class I and Class II motorcycles shall 
not exceed the standards listed in the following table:

       Table E2006-1--Class I and II Motorcycle Emission Standards
------------------------------------------------------------------------
                                               Emission standards (g/km)
                 Model year                  ---------------------------
                                                   HC            CO
------------------------------------------------------------------------
2006 and later..............................          1.0          12.0
------------------------------------------------------------------------

    (2) Exhaust emissions from Class III motorcycles shall not exceed 
the standards listed in the following table:

         Table E2006-2--Class III Motorcycle Emission Standards
------------------------------------------------------------------------
                                                      Emission standards
                                                            (g/km)
          Tier                    Model year         -------------------
                                                       HC + NOX     CO
------------------------------------------------------------------------
Tier 1.................  2006-2009..................         1.4    12.0
Tier 2.................  2010 and later.............         0.8    12.0
------------------------------------------------------------------------

    (b) The standards set forth in paragraphs (a) (1) and (2) of this 
section refer to the exhaust emitted over the driving schedule as set 
forth in subpart F and measured and calculated in accordance with those 
procedures.
    (c) Compliance with the HC + NOX standards set forth in 
paragraph (a)(2) of this section may be demonstrated using the averaging 
provisions of Sec.  86.449.
    (d) No crankcase emissions shall be discharged into the ambient 
atmosphere from any new motorcycle subject to this subpart.
    (e) Manufacturers with fewer than 500 employees worldwide and 
producing fewer than 3,000 motorcycles per year for the United States 
are considered small-volume manufacturers for the purposes of this 
section. The following provisions apply for these small-volume 
manufacturers:
    (1) Small-volume manufacturers are not required to comply with the 
Tier 1 standards applicable to Class III motorcycles until model year 
2008.
    (2) Small-volume manufacturers are not required to comply with the 
Tier 2 standards applicable to Class III motorcycles.
    (3) Small-volume manufacturers are not required to comply with 
permeation requirements in paragraph (g) of this section until model 
year 2010.
    (f) Manufacturers may choose to certify their Class I and Class II 
motorcycles to an HC + NOX standard of 1.4 g/

[[Page 751]]

km instead of the 1.0 g/km HC standard listed in paragraph (a)(1) of 
this section. Engine families certified to this standard may demonstrate 
compliance using the averaging provisions of Sec.  86.449.
    (g) Model year 2008 and later motorcycles must comply with the 
evaporative emission standards described in 40 CFR 1051.110. 
Manufacturers may show compliance using the design-based certification 
procedures described in 40 CFR 1051.245. Manufacturers may comply with 
the tank permeation standards using the averaging provisions in 40 CFR 
part 1051, subpart H, but may not include any motorcycles equipped with 
metal fuel tanks in their average emission level. Manufacturers may not 
average between highway motorcycle engine families and recreational 
vehicle families.

[69 FR 2436, Jan. 15, 2004, as amended at 70 FR 40434, July 13, 2005; 81 
FR 73979, Oct. 25, 2016]



Sec.  86.411-78  Maintenance instructions, vehicle purchaser.

    (a) The manufacturer shall furnish or cause to be furnished to the 
ultimate purchaser of each new motorcycle the written instructions for 
the periodic and anticipated maintenance and use of the vehicle by the 
ultimate purchaser as may be reasonable and necessary to assure the 
proper functioning of emission control systems for the vehicle's useful 
life.
    (1) Such instructions shall be provided for those vehicle and engine 
components listed in appendix VI to this part (and for any other 
components) to the extent that maintenance of these components is 
necessary to assure the proper functioning of emission control systems.
    (2) Such instructions shall be in the English language and in clear, 
and to the extent practicable, nontechnical language.
    (b) The maintenance instructions required by this section shall:
    (1) Contain a general description of the documentation which the 
manufacturer will require from the ultimate purchaser or any subsequent 
purchaser as evidence of compliance with the instructions, and
    (2) Specify the performance of all scheduled maintenance performed 
by the manufacturer under Sec.  86.428.



Sec.  86.412-78  Maintenance instructions, submission to Administrator.

    (a) Instructions for ultimate purchaser. (1) The manufacturer shall 
provide to the Administrator, at least 30 days before being supplied to 
the ultimate purchaser (unless the Administrator consents to a lesser 
period of time), a copy of the maintenance instructions which the 
manufacturer proposes to supply to the ultimate purchaser. The 
instructions must include the periodic and anticipated maintenance 
contained in the application for certification or contained in the 
manufacturers' records (if anticipated sales are less than 10,000 
units). Such instructions must be reasonable and necessary to assure the 
proper functioning of the vehicle's emission control systems.
    (2) Any revision to the maintenance instructions which will affect 
emissions shall be supplied to the Administrator at least 30 days before 
being supplied to the ultimate purchaser unless the Administrator 
consents to a lesser period of time.
    (b) Other instructions. The manufacturer of any new motorcycle 
subject to any of the standards prescribed in this subpart shall submit 
to the Administrator at the time of issuance by the manufacturer, copies 
of all sales brochures, instructions, or explanations regarding the use, 
repair, adjustment, maintenance, or testing of such vehicle relevant to 
the control of crankcase or exhaust emissions, issued by the 
manufacturer for use by other manufacturers, assembly plants, 
distributors, dealers, repair facilities, and ultimate purchasers. Any 
material not translated into the English language need not be submitted 
unless specifically requested by the Administrator.



Sec.  86.413-78  Labeling.

    (a)(1) The manufacturer of any motorcycle shall, at the time of 
manufacture, affix a permanent, legible label,

[[Page 752]]

of the type and in the manner described below, containing the 
information hereinafter provided, to all production models of such 
vehicles available for sale to the public and covered by a certificate 
of conformity.
    (2) A permanent, legible label shall be affixed in a readily 
accessible position. Multi-part labels may be used.
    (3) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label.
    (4) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (i) The label heading. Vehicle Emission Control Information;
    (ii) Full corporate name and trademark of the manufacturer;
    (iii) Engine displacement (in cubic centimetres) and engine family 
identification;
    (iv) Engine tuneup specifications and adjustments, as recommended by 
the manufacturer, including idle speed, ignition timing, and the idle 
air-fuel mixture setting procedure and value (e.g., idle CO, idle air-
fuel ratio, idle speed drop). These specifications shall indicate the 
proper transmission position during tuneup;
    (v) Any specific fuel or engine lubricant requirements (e.g., lead 
content, Research octane number, engine lubricant type);
    (vi) An unconditional statement of conformity to USEPA regulations 
which includes the model year; for example, This Vehicle Conforms to 
USEPA Regulation Applicable to . . . . . . . . . Model Year New 
Motorcycles.
    (b) The provisions of this section shall not prevent a manufacturer 
from also reciting on the label that such vehicle conforms to any other 
applicable Federal or State standards for new motorcycles or any other 
information that such manufacturer deems necessary for, or useful to, 
the proper operation and satisfactory maintenance of the vehicle.

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56737, Oct. 28, 1977]



Sec.  86.413-2006  Labeling.

    (a)(1) The manufacturer of any motorcycle shall, at the time of 
manufacture, affix a permanent, legible label, of the type and in the 
manner described in this section, containing the information provided in 
this section, to all production models of such vehicles available for 
sale to the public and covered by a certificate of conformity.
    (2) A permanent, legible label shall be affixed in a readily 
accessible position. Multi-part labels may be used.
    (3) The label shall be affixed by the vehicle manufacturer who has 
been issued the certificate of conformity for such vehicle, in such a 
manner that it cannot be removed without destroying or defacing the 
label, and shall not be affixed to any part which is easily detached 
from the vehicle or is likely to be replaced during the useful life of 
the vehicle.
    (4) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (i) The label heading shall read: ``Vehicle Emission Control
    Information'';
    (ii) Full corporate name and trademark of the manufacturer;
    (iii) Engine displacement (in cubic centimeters or liters) and 
engine family identification;
    (iv) Engine tuneup specifications and adjustments, as recommended by 
the manufacturer, including, if applicable: idle speed, ignition timing, 
and the idle air-fuel mixture setting procedure and value (e.g., idle 
CO, idle air-fuel ratio, idle speed drop). These specifications shall 
indicate the proper transmission position during tuneup, and which 
accessories should be in operation and which systems should be 
disconnected during a tuneup;
    (v) Any specific fuel or engine lubricant requirements (e.g., lead 
content, research octane number, engine lubricant type);

[[Page 753]]

    (vi) Identification of the exhaust emission control system, using 
abbreviations in accordance with SAE J1930, June 1993, including the 
following abbreviations for items commonly appearing on motorcycles:

OC Oxidation catalyst;
TWC Three-way catalyst;
AIR Secondary air injection (pump);
PAIR Pulsed secondary air injection;
DFI Direct fuel injection;
O2S Oxygen sensor;
HO2S Heated oxygen sensor;
EM Engine modification;
CFI Continuous fuel injection;
MFI Multi-port (electronic) fuel injection; and
TBI Throttle body (electronic) fuel injection.

    (viii) An unconditional statement of conformity to U.S. EPA 
regulations which includes the model year; for example, ``This Vehicle 
Conforms to U.S. EPA Regulations Applicable to__Model Year New 
Motorcycles'' (the blank is to be filled in with the appropriate model 
year). For all Class III motorcycles and for Class I and Class II 
motorcycles demonstrating compliance with the averaging provisions in 40 
CFR 86.449 the statement must also include the phrase ``is certified to 
an HC + NOX emission standard of __ grams/kilometer'' (the 
blank is to be filled in with the Family Emission Limit determined by 
the manufacturer).
    (b) The provisions of this section shall not prevent a manufacturer 
from also reciting on the label that such vehicle conforms to any other 
applicable Federal or State standards for new motorcycles or any other 
information that such manufacturer deems necessary for, or useful to, 
the proper operation and satisfactory maintenance of the vehicle.

[70 FR 40434, July 13, 2005]



Sec.  86.414-78  Submission of vehicle identification number.

    (a) Upon request by the Administrator, the manufacturer of any 
motorcycle covered by a certificate of conformity shall, within 30 days, 
identify by vehicle identification number, the vehicle(s) covered by the 
certificate of conformity.
    (b) The manufacturer of any motorcycle covered by a certificate of 
conformity shall furnish to the Administrator, at the beginning of each 
model year, any vehicle identification number coding system which 
identifies whether such vehicle(s) are covered by a certificate of 
conformity.



Sec.  86.415-78  Production vehicles.

    (a) Any manufacturer obtaining certification shall supply to the 
Administrator, upon his request, a reasonable number of production 
vehicles selected by the Administrator which are representative of the 
engines, emission control systems, fuel systems, and transmissions 
offered and typical of production models available for sale under the 
certificate. These vehicles shall be supplied for testing at such time 
and place and for such reasonable periods as the Administrator may 
require.
    (b) Any manufacturer obtaining certification shall notify the 
Administrator of the number of vehicles of each engine family-engine 
displacement-emission control system-fuel system-transmission type-
inertial mass category combination produced for sale in the United 
States during the preceding year. This report must be submitted every 
year within 45 days after the end of the model year.
    (c) All motorcycles covered by a certificate of conformity shall 
prior to delivery to the ultimate purchaser be adjusted, by the 
manufacturer or his agent, to the ignition timing specification detailed 
in Sec.  86.413.

[42 FR 1126, Jan. 5, 1977, as amended at 49 FR 48138, Dec. 10, 1984; 75 
FR 22980, Apr. 30, 2010]



Sec.  86.416-80  Application for certification.

    (a) New motorcycles produced by a manufacturer whose projected sales 
in the United States is 10,000 or more units (for the model year in 
which certification if sought) are covered by the following:
    (1) An application for a certificate of conformity to the 
regulations in the English language applicable to new motorcycles shall 
be made to the Administrator by the manufacturer and shall be updated 
and corrected by amendment. Where possible, a manufacturer should 
include in a single application for certification, a description of all 
vehicles in each class for

[[Page 754]]

which certification is required. A manufacturer may, however, choose to 
apply separately for certification of part of his product line. The 
selection of test vehicles and the computation of test results will be 
determined separately for each application.
    (2) The application shall be in writing signed by an authorized 
representative of the manufacturer, and shall include the following:
    (i) Identification and description of the vehicles covered by the 
application and a description of their engine, emission control system 
and fuel system components. This shall include a detailed description of 
each auxiliary emission control device. Transmission gear ratios, 
overall drive ratios and vehicle mass (or range of mass) shall also be 
included. The label and its location shall be specified, Sec.  86.413. 
Available optional equipment shall be described.
    (ii) The range of available fuel and ignition system adjustments.
    (iii) Projected U.S. sales data sufficient to enable the 
Administrator to select a test fleet representative of the vehicles for 
which certification is requested. If reduced testing based on low sales 
volume is requested the method of predicting sales shall be described.
    (iv) A description of the test equipment (if applicable) and fuel 
and engine lubricant proposed to be used.
    (v) A description of the proposed service accumulation procedure and 
a description of the proposed scheduled maintenance.
    (vi) A statement of recommended periodic and anticipated maintenance 
and procedures necessary to assure that the vehicles covered by a 
certificate of conformity in operation conform to the regulations, 
listings of the fuels and lubricants to be recommended to the ultimate 
purchaser and a description of the program for training of personnel for 
such maintenance, and the equipment required to perform this 
maintenance.
    (vii) A description of normal assembly line operations and 
adjustments if such procedures exceed 100 km (62 miles) or three hours 
of engine operations.
    (viii) Beginning with model year 2008, a description of the 
evaporative emission controls and applicable test data.
    (ix) The name of an agent for service of process located in the 
United States. Service on this agent constitutes service on you or any 
of your officers or employees for any action by EPA or otherwise by the 
United States related to the requirements of this part.
    (3) Completed copies of the application and of any amendments 
thereto, and all notifications under Sec. Sec.  86.438 and 86.439 shall 
be submitted in such multiple copies as the Administrator may require.
    (4) For purposes of this section, ``auxiliary emission control 
device'' means any element of design which senses temperature, vehicle 
speed, engine RPM, transmission gear, manifold vacuum, or any other 
parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    (b) New motorcycles produced by a small-volume manufacturer (as 
defined in Sec.  86.410(e)) or by any other manufacturer whose projected 
sales in the United States is less than 10,000 units (for the model year 
in which certification is sought) are covered by the following:
    (1) All the information that would otherwise be required to be 
submitted to EPA under paragraph (a)(2) of this section must be made a 
part of the manufacturer's records, except there is no requirement to 
submit the information to the Administrator or receive approval from the 
Administrator.
    (2) Section 86.437 details the statements that these manufacturers 
are required to provide to the Administrator.
    (c) For the purpose of determining applicability of paragraphs (a) 
or (b) of this section, where there is more than one importer or 
distributor of vehicles manufactured by the same person, the projected 
sales shall be the aggregate of the projected sales of those vehicles by 
such importers or distributors.
    (d)(1) The Administrator has determined that the following 
certification procedure may be used to demonstrate compliance for each 
motorcycle engine family for which certification is

[[Page 755]]

sought. Manufacturers may follow these procedures at their option.
    (i) The manufacturer shall satisfy all applicable requirements of 
part 86 necessary to demonstrate compliance with the standards for each 
class of new motorcycles for which certification is sought.
    (ii) As specifically allowed by the Administrator the manufacturer 
shall assume the responsibility for part or all of the decisions 
applicable to the family for which certification is sought and which are 
within the jurisdiction of the Administrator, with the exception that 
the Administrator will determine whether a test motorcycle has met the 
applicable emission standards.
    (iii) The manufacturer shall maintain, update, and correct all 
records and information required.
    (iv) The Administrator may review a manufacturer's records at any 
time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.
    (v) At the Administrator's request, the manufacturer shall notify 
the Administrator of the status of the certification program including 
projected schedules of those significant accomplishments specified by 
the Administrator.
    (vi) The manufacturer shall permit the Administrator to inspect any 
facilities, records, and vehicles from which data were obtained under 
the abbreviated certification review procedure.
    (vii) Upon completing all applicable requirements of part 86 the 
manufacturer shall submit a separate application for a certificate of 
conformity for each class of new motorcycles for which certification is 
sought. Such application shall be made in writing to the Administrator 
by the manufacturer.
    (A) The Administrator may approve or disapprove in whole or in part 
an application for certification according to the procedures specified 
in Sec.  86.417-78(b).
    (B) If, after a review of the application for certification, test 
reports and data submitted by the manufacturer, data obtained during an 
inspection, and any other pertinent data or information, the 
Administrator determines that a test vehicle(s) has not met the 
requirements of the Act and the applicable subpart, he will notify the 
manufacturer in writing and set forth the reason(s) for the 
determination.
    (2) Those families which are not following the procedure described 
in paragraph (d)(1) of this section will follow the procedure in this 
subpart with the exception of paragraph (d)(1) of this section.
    (e) The Administrator may require that an engine family previously 
allowed to be subjected to the abbreviated certification review 
procedure be transferred to the complete review procedure.
    (f) Upon request, the Administrator may allow a manufacturer to use 
alternate certification procedures that are equivalent in terms of 
demonstrating compliance with the requirements of this part.

[42 FR 56737, Oct. 28, 1977, as amended at 45 FR 26045, Apr. 17, 1980; 
49 FR 48138, Dec. 10, 1984; 69 FR 2436, Jan. 15, 2004; 71 FR 51487, Aug. 
30, 2006]



Sec.  86.417-78  Approval of application for certification.

    (a) After a review of the application for certification and any 
other information which the Administrator may require, the Administrator 
may approve the application and select a test fleet as appropriate.
    (b) The Administrator may disapprove in whole or in part an 
application for certification for reasons including incompleteness, 
inaccuracy, inappropriate proposed distance accumulation procedures, 
maintenance, test equipment, label content or location, fuel or 
lubricant, and incorporation of defeat devices in vehicles described by 
the application. Where any part of an application is rejected the 
Administrator shall notify the manufacturer in writing and set forth the 
reasons for such rejection. The manufacturer may request a hearing under 
Sec.  86.443.



Sec.  86.418-78  Test fleet selection.

    (a) Test fleet selection and requirements on test vehicles are found 
in Sec. Sec.  86.419 to 86.423. This selection process is also 
graphically depicted in Figure E78-1.

[[Page 756]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.172

    (b) [Reserved]



Sec.  86.419-2006  Engine displacement, motorcycle classes.

    (a)(1) Engine displacement shall be calculated using nominal engine 
values and rounded to the nearest whole cubic centimeter.
    (2) For rotary engines, displacement means the maximum volume of a 
combustion chamber between two rotor tip seals, minus the minimum volume 
of the combustion chamber between those two rotor tip seals, times three 
times the number of rotors, according to the following formula:

cc = (max. chamber volume - min. chamber volume) x 3 x no. of rotors

    (b) Motorcycles will be divided into classes based on engine 
displacement.
    (1) Class I--0 to 169 cc (0 to 10.4 cu. in.).
    (i) Class I motorcycles with engine displacement less than 50 cc 
comprise the Class I-A subclass.
    (ii) Class I motorcycles with engine displacement 50 cc or higher 
comprise the Class I-B subclass.
    (2) Class II--170 to 279 cc (10.4 to 17.1 cu. in.).
    (3) Class III--280 cc and over (17.1 cu. in. and over).
    (c) At the manufacturer's option, a vehicle described in an 
application for certification may be placed in a higher class (larger 
displacement). All procedures for the higher class must then be complied 
with and compliance with emission standards will be determined on the 
basis of engine displacement.

[69 FR 2437, Jan. 15, 2004, as amended at 81 FR 73979, Oct. 25, 2016]



Sec.  86.420-78  Engine families.

    (a) The vehicles covered in the application will be divided into 
groupings whose engines are expected to have similar emission 
characteristics throughout their useful life. Each group of engines with 
similar emission characteristics shall be defined as a separate engine 
family.
    (b) Reciprocating families. To be classed in the same engine family, 
reciprocating engines must be identical in all of the following 
applicable respects:
    (1) The combustion cycle.
    (2) The cooling mechanism.
    (3) The cylinder configuration (inline, vee, opposed, bore spacings, 
etc.).
    (4) The number of cylinders.
    (5) The engine displacement class, Sec.  86.419.
    (6) The method of air aspiration.
    (7) The number of catalytic converters, location, volume, and 
composition.
    (8) The thermal reactor characteristics.
    (9) The number of carburetors.
    (10) The prechamber characteristics.
    (c) At the manufacturer's option, reciprocating engines identical in 
all the respects listed in paragraph (b) of this

[[Page 757]]

section may be further divided into different engine families if the 
Administrator determines that they may be expected to have different 
emission characteristics. This determination will be based upon a 
consideration of features such as:
    (1) The bore and stroke.
    (2) The combustion chamber configuration.
    (3) The intake and exhaust timing method of actuation (poppet valve, 
reed valve, rotary valve, etc.).
    (4) The intake and exhaust valve or port sizes, as applicable.
    (5) The fuel system.
    (6) The exhaust system.
    (d) Rotary families. To be classed in the same engine family, rotary 
combustion cycle engines must be identical in all of the following 
applicable respects:
    (1) The major axis of the epitrochoidal curve.
    (2) The minor axis of the epitrochoidal curve.
    (3) The generating radius of the epitrochoidal curve.
    (4) The cooling mechanism.
    (5) The number of rotors.
    (6) The engine displacement class, Sec.  86.419.
    (7) The method of air aspiration.
    (8) The number of catalytic converters, location, volume and 
composition.
    (9) The thermal reactor characteristics.
    (10) The number of carburetors.
    (11) The prechamber characteristics.
    (e) At the manufacturer's option, rotary combustion cycle engines 
identical in all the respects listed in paragraph (d) of this section, 
may be further divided into different engine families if the 
Administrator determines that they may be expected to have different 
emission characteristics. This determination will be based upon a 
consideration of features, such as:
    (1) The width of the rotor housing.
    (2) The type and location of intake port (side, peripheral, 
combination, etc.).
    (3) The number of spark plugs per rotor.
    (4) The fuel system.
    (5) The exhaust system.
    (f) Where engines are of a type which cannot be divided into engine 
families based upon the criteria listed in paragraphs (b) and (d) of 
this section, the Administrator will establish families of those engines 
based upon the features most related to their emission characteristics.

[42 FR 1126, Jan. 5, 1977, as amended at 44 FR 48205, Aug. 17, 1979]



Sec.  86.421-78  Test fleet.

    (a) A test vehicle will be selected by the Administrator to 
represent each engine-displacement-system combination. The configuration 
(engine calibration, transmission, drive ratio, mass, options, etc.) in 
the manufacturer's application which the Administrator believes has the 
greatest probability of exceeding the standards will be selected.
    (b) At the manufacturer's option, the Administrator will only select 
one vehicle to represent each engine family where the total projected 
annual sales for that family are less than 5,000 vehicles.
    (c) A manufacturer may elect to operate and test additional vehicles 
which are identical to those selected by the Administrator. Written 
notice of a commitment to operate and test additional vehicles shall be 
given to the Administrator prior to the start of testing and not later 
than 30 days following notification of the test fleet selection. The 
results of tests performed by the manufacturer will be combined to 
determine deterioration factors. Each vehicle must meet applicable 
standards when tested by the Administrator and when those results are 
projected to the useful life.
    (d) In lieu of testing a test vehicle and submitting data therefore, 
a manufacturer may, with the prior written approval of the 
Administrator, submit exhaust emission data on a similar vehicle for 
which certification has previously been obtained or for which all 
applicable data has previously been submitted.



Sec.  86.422-78  Administrator's fleet.

    The Administrator may require additional test vehicles identical in 
all material respects to vehicles selected in accordance with Sec.  
86.421. The number of

[[Page 758]]

vehicles selected shall not increase the size of the test fleet by more 
than 20 percent or one vehicle, whichever is greater.



Sec.  86.423-78  Test vehicles.

    (a)(1) Before beginning service accumulation on a test vehicle, the 
manufacturer may perform a zero-kilometer exhaust emission test.
    (2) If such a test is performed, the data shall be submitted to the 
Administrator when the application is submitted.
    (3) Zero-kilometer test results shall not be included in the 
determination of deterioration factors.
    (b) Once a manufacturer begins to operate a test vehicle, as 
indicated by compliance with paragraph (a) of this section, the data 
from the vehicle will be used, unless specified otherwise by the 
Administrator. Discontinuation of a vehicle shall be allowed only with 
the written consent of the Administrator.
    (c) Test vehicles shall be calibrated at zero kilometres within the 
production tolerances applicable to the manufacturer's specifications.
    (d) The Administrator may disqualify a vehicle which receives 
assembly line operations and adjustments which will not be performed on 
production vehicles.

[42 FR 1126, Jan. 5, 1977, as amended at 49 FR 48138, Dec. 10, 1984]



Sec.  86.425-78  Test procedures.

    (a) Motorcycle emission test procedures are found in subpart F.
    (b) The Administrator may prescribe emission test procedures for any 
motorcycle which he determines is not susceptible to satisfactory 
testing by the procedures set forth in subpart F.
    (c) Testing of any type with respect to any test vehicle other than 
that specified in this subpart and subpart F is not allowed except as 
specifically authorized by the Administrator.



Sec.  86.426-78  Service accumulation.

    (a) The procedure for service accumulation will be the Durability 
Driving Schedule as specified in appendix IV to this part. A modified 
procedure may also be used if approved in advance by the Administrator. 
Except with the advance approval of the Administrator, all vehicles will 
accumulate distance at a measured curb mass which is within 5 kg (11.0 
lb) of the loaded vehicle mass specified by the Administrator.
    (b) During service accumulation, vehicles shall not be operated for 
more than 12 hours during an operating sequence. Engine shutdowns are 
permitted during the operating sequence, but the periods of shutdown are 
not included in the 12 hour total. Following each operating sequence, 
the vehicle shall soak, without operation, for a minimum of 8 hours. 
During soak periods, the vehicle shall be exposed to normal outside 
ambient temperatures and humidity conditions unless vehicle maintenance 
or servicing is being performed.
    (c) The manufacturer's recommended shifting procedure will be used 
for laps 1 through 10. Lap 11 shifts (W.O.T. accelerations) must be 
conducted at the manufacturer's recommended maximum safe engine speed.

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56737, Oct. 28, 1977]



Sec.  86.427-78  Emission tests.

    (a)(1) Each test vehicle shall be driven with all emission control 
systems installed and operating for the following total test distances, 
or for such lesser distances as the Administrator may agree to as 
meeting the objectives of this procedure. (See Sec.  86.419 for class 
explanation.)

------------------------------------------------------------------------
                                  Total test   Minimum test    Minimum
       Displacement class          distance      distance     number of
                                 (kilometers)  (kilometers)     tests
------------------------------------------------------------------------
I..............................         6,000         2,500            4
II.............................         9,000         2,500            4
III............................        15,000         3,500            4
------------------------------------------------------------------------

    (2) A zero kilometer emission test may be performed prior to the 
beginning of service accumulation.
    (b) All vehicles shall undergo at least four emission tests; one at 
the minimum test distance, one before and one after periodic 
maintenance, and one at the total test distance. If no maintenance is 
scheduled, then at least two tests will be performed, at equal 
intervals, between the minimum and total test distances. Additional 
tests may be performed; such tests must be at equal

[[Page 759]]

intervals and approved by the Administrator prior to starting service 
accumulation.
    (c) Where the Administrator agrees to a lesser distance for service 
accumulation, he may modify the maintenance provisions of this subpart.
    (d) All tests required by this subpart must be conducted at an 
accumulated distance within 250 kilometers (155 mi) of the nominal 
distance at each test point.
    (e)(1) If a manufacturer conducts multiple tests at any test point 
at which the data are intended to be used in the calculation of the 
deterioration factor, the number of tests must be the same at each point 
and may not exceed three valid tests unless the manufacturer chooses to 
average the test results.
    (2) If the manufacturer chooses to average the test results at a 
test point, he may conduct more tests than the minimum number of tests 
conducted at any other test point.
    The results of the multiple tests shall be averaged to create a 
single value which is the test point value used in the deterioration 
factor calculation specified in Sec.  86.432-78.
    (3) When using this option to generate data for a particular test 
point, the manufacturer must include in the average all valid test data 
generated at that test point.
    (4) The manufacturer shall follow the same procedure for all exhaust 
pollutants.
    (5) The test results obtained from the emission tests performed 
before and after maintenance affecting emissions shall not be averaged.
    (f) The Administrator may require that any one or more of the test 
vehicles be submitted to him, at such places as he may designate, for 
the purpose of conducting emissions tests. The Administrator may specify 
that he will conduct such testing at the manufacturer's facility, in 
which case instrumentation and equipment specified by the Administrator 
shall be made available by the manufacturer for test operations. Any 
testing conducted at a manufacturer's facility pursuant to this 
paragraph shall be scheduled by the manufacturer as promptly as 
possible.
    (g) Whenever the Administrator conducts a test on a test vehicle, 
the results of that test, unless subsequently invalidated by the 
Administrator, shall comprise the data for the vehicle at that 
prescribed test point and the manufacturer's data for that prescribed 
test point shall not be used in determining compliance with emission 
standards.

[42 FR 1126, Jan. 5, 1977, as amended at 49 FR 48139, Dec. 10, 1984]



Sec.  86.428-80  Maintenance, scheduled; test vehicles.

    (a) Periodic maintenance on the engine, emission control system, and 
fuel system of test vehicles shall be scheduled for performance at the 
same distance intervals that will be specified in the manufacturer's 
maintenance instructions furnished to the ultimate purchaser. Such 
maintenance shall be performed only under the following provisions.
    (b) Periodic major engine tune-ups to the manufacturer's 
specifications may be performed no more frequently than as follows nor 
may any tune-up be performed within 1000 km prior to the official test.

------------------------------------------------------------------------
                                                               Minimum
                     Displacement class                        interval
                                                             (kilometer)
------------------------------------------------------------------------
I..........................................................        3,000
II.........................................................        3,000
III........................................................        4,000
------------------------------------------------------------------------

    (c) A scheduled major engine tune-up shall be restricted to items 
listed below and shall be conducted in a manner consistent with service 
instructions and specifications provided by the manufacturer for use by 
customer service personnel. The following items may be inspected, 
replaced, cleaned, adjusted, and/or serviced as required: (1) Breaker 
points, timing, (2) idle speed and idle air/fuel mixture, (3) valve 
lash, (4) engine bolt torque, and (5) spark plugs.
    (d) The Administrator will specify the ignition timing, idle air 
fuel mixture and other fuel system adjustments to be used at each tune-
up. The settings selected will be those the Administrator deems 
appropriate within the physically available range.

[[Page 760]]

    (e) Periodic change of engine and transmission oil, and change or 
service of oil, air, and fuel filters will be allowed at the same 
distance intervals that will be specified in the manufacturer's 
maintenance instructions.
    (f) Requests for authorization of periodic maintenance of emission 
control related components not specifically authorized to be maintained 
by this section, and for anticipated maintenance (see Sec.  86.428), 
must be made prior to the beginning of distance accumulation. The 
Administrator will approve the performance of such maintenance if the 
manufacturer makes a satisfactory showing that the maintenance will be 
performed on vehicles in use and that the maintenance is reasonable and 
necessary.
    (1) The EGR system may be serviced a maximum of two times during the 
durability service accumulation if failure of the EGR system activates 
an audible and/or visual signal approved by the Administrator which 
alerts the vehicle operator to the need for EGR system maintenance, or 
if the need for periodic maintenance of the EGR system is overtly 
signalled to the vehicle operator by an appropriate means, e.g., an 
indicator light or significantly reduced driveability performance.
    (2) The catalytic converter may be serviced only once during the 
durability service accumulation if failure of the catalytic converter 
activates an audible and/or visual signal approved by the Administrator 
which alerts the vehicle operator to the need for catalytic converter 
maintenance, or if the need for periodic maintenance of the catalytic 
converter is overtly signalled to the vehicle operator by an appropriate 
means, e.g., an indicator light or significantly reduced driveability 
performance.
    (g) Certain engine components may require maintenance which, by its 
nature, cannot be scheduled for periodic intervals, but which the 
manufacturer believes will be necessary. For example, piston and 
cylinder replacement caused by piston seizure which results in the 
vehicle being inoperative; or in the case of two-stroke engines, 
decarbonization, the need for which is signalled to the vehicle operator 
by significantly reduce driveability performance. Such maintenance is 
designated anticipated maintenance. Anticipated maintenance must be 
identified by the manufacturer and approved as being appropriate by the 
Administrator prior to the start of service accumulation. The 
approximate distance at which the need for anticipated maintenance may 
arise must be specified in the application for certification.
    (h) Complete emission tests (see subpart F) are required, unless 
waived by the Administrator, before and after any vehicle maintenance 
which may reasonably be expected to affect emissions.



Sec.  86.429-78  Maintenance, unscheduled; test vehicles.

    (a) Any unscheduled engine, emission control system, or fuel system 
adjustment, repair, removal, disassembly, cleaning, or replacement on 
vehicles shall be performed only with the advance approval of the 
Administrator.
    (1) In the case of unscheduled maintenance, such approval will be 
given if the Administrator:
    (i) Has made a preliminary determination that part failure or system 
malfunction, or the repair of such failure or malfunction, does not 
render the vehicle unrepresentative of vehicles in use, and does not 
require direct access to the combustion chamber, except for spark plug, 
fuel injection component, or removable prechamber removal or 
replacement; and
    (ii) Has made a determination that the need for maintenance or 
repairs is indicated by an overt indication of malfunction such as 
persistent misfire, vehicle stall, overheating, fluid leakage, loss of 
oil pressure, or charge indicator warning.
    (2) Emission measurements may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (a)(1)(i) of this 
section.
    (b) Repairs to vehicle components of test vehicles, other than the 
engine, emission control system, or fuel system, shall be performed only 
as a result of part failure, vehicle system malfunction, or with the 
advance approval of the Administrator.
    (c) The Administrator shall be given the opportunity to verify the 
extent of

[[Page 761]]

an overt indication of part failure and/or vehicle malfunction (e.g., 
misfire, stall), or an activation of an audible and/or visual signal, 
prior to the performance of any maintenance to which such overt 
indication or signal is relevant under the provisions of this section.
    (d) Equipment, instruments, or tools may not be used to identify 
malfunctioning, maladjusted, or defective engine components unless the 
same or equivalent equipment, instruments, or tools will be available at 
dealerships and other service outlets and
    (1) Are used in conjunction with scheduled maintenance on such 
components, and
    (2) Are used subsequent to the identification of a vehicle or engine 
malfunction, as provided in paragraph (a)(1) of this section for 
durability or emission data vehicles, or
    (3) Unless specifically authorized by the Administrator.
    (e) If the Administrator determines that part failure or system 
malfunction occurrence and/or repair rendered the vehicle 
unrepresentative of vehicles in use, the vehicle shall not be used as a 
test vehicle.
    (f) Complete emission tests are required, unless waived by the 
Administrator, before and after any vehicle maintenance which may 
reasonably be expected to affect emissions.



Sec.  86.430-78  Vehicle failure.

    Any test vehicle which incurs major mechanical failure necessitating 
disassembly of the engine shall not be used as a test vehicle. This 
prohibition does not apply to failures occurring after the completion of 
all required tests at the total test distance.

[49 FR 48139, Dec. 10, 1984]



Sec.  86.431-78  Data submission.

    (a) Data from all tests (including voided tests) performed by a 
manufacturer with total projected sales in excess of 10,000 vehicles 
shall be included in the application.
    (b) The manufacturer shall furnish to the Administrator explanation 
for voiding any test. The Administrator will determine if voiding the 
test was appropriate based upon the explanation given by the 
manufacturer. If the Administrator determines that voiding the test was 
not appropriate, the Administrator may require that the data from that 
test be used in the calculation of the deterioration factor for 
emissions.
    (c) When unscheduled or anticipated maintenance is performed, a 
complete record of all pertinent maintenance, including the malfunction 
diagnosis made, the corrective action taken, and the test data obtained 
shall be included in the application.
    (d) A complete record of all maintenance shall be supplied.
    (e) Measure CO2, N2O, and CH4 as 
described in this paragraph (e) with each zero kilometer certification 
test (if one is conducted) and with each test conducted at the 
applicable minimum test distance as defined in Sec.  86.427-78. Use the 
analytical equipment and procedures specified in 40 CFR part 1065 as 
needed to measure N2O and CH4. Report these values 
in your application for certification. The requirements of this 
paragraph (e) apply starting with model year 2011 for CO2 and 
2012 for CH4. The requirements of this paragraph (e) related 
to N2O emissions apply for engine families that depend on 
NOX aftertreatment to meet emission standards starting with 
model year 2013. Small-volume manufacturers (as defined in Sec.  86.410-
2006(e)) may omit measurement of N2O and CH4; 
other manufacturers may provide appropriate data and/or information and 
omit measurement of N2O and CH4 as described in 40 
CFR 1065.5. Use the same measurement methods as for your other results 
to report a single value for CO2, N2O, and 
CH4. Round the final values as follows:
    (1) Round CO2 to the nearest 1 g/km.
    (2) Round N2O to the nearest 0.001 g/km.
    (3) Round CH4 to the nearest 0.001 g/km.

[42 FR 1126, Jan. 5, 1977, as amended at 49 FR 48139, Dec. 10, 1984; 74 
FR 56373, Oct. 30, 2009]



Sec.  86.432-78  Deterioration factor.

    (a) Deterioration factors shall be developed for each test vehicle 
from the emission test results. A separate factor shall be developed for 
each pollutant. The applicable data to be used in calculating these 
factors are:

[[Page 762]]

    (1) The results from all valid tests conducted by the manufacturer 
or Administrator at scheduled test intervals.
    (2) The results from tests conducted before and after scheduled 
maintenance unless specifically excluded by the Administrator.
    (3) The results from tests conducted before and after unscheduled 
maintenance, if approval of the maintenance by the Administrator was 
conditioned on the data being used in the deterioration factor 
calculation.
    (b) Emission results which are less than 0.10 g/km shall be 
considered to be 0.10 g/km for purposes of this section.
    (c) Test results for each pollutant shall be plotted as a function 
of the service accumulated at the start of the emission test, rounded to 
the nearest kilometre. These results shall be correlated to a straight 
line, fit by the method of least squares.
    (d) An exhaust emission deterioration factor will be calculated by 
dividing the predicted emissions at the useful life distance by the 
predicted emissions at the total test distance. Predicted emissions are 
obtained from the correlation developed in paragraph (c) of this 
section.


Factor = Predicted total distance emissions / Predicted total test 
distance emissions.


These interpolated and extrapolated values shall be carried out to four 
places to the right of the decimal point before dividing one by the 
other to determine the deterioration factor. The results shall be 
rounded to three places to the right of the decimal point.
    (e) Deterioration factors computed to be less than 1.000 shall be 
1.000.
    (f)(1) The manufacturer has the option of applying an outlier test 
point procedure to completed durability data within its certification 
testing program for a given model year.
    (2) The outlier procedure will be specified by the Administrator.
    (3) For any pollutant, durability-data test points that are 
identified as outliers shall not be included in the determination of 
deterioration factors if the manufacturer has elected this option.
    (4) The manufacturer shall specify to the Administrator, before the 
certification of the first engine family for that model year, if it 
intends to use the outlier procedure.
    (5) The manufacturer may not change procedures after the first 
engine family of the model year is certified.
    (6) Where the manufacturer chooses to apply the outlier procedure to 
a data set containing data which were averaged under Sec.  86.427-78(e), 
the outlier procedure shall be completed before averaging the data.

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56737, Oct. 28, 1977; 49 
FR 48139, Dec. 10, 1984; 81 FR 73979, Oct. 25, 2016]



Sec.  86.434-78  Testing by the Administrator.

    (a) At the conclusion of service accumulation, and after emission 
tests for deterioration, the Administrator may require confirmatory 
testing. The Administrator will designate where such testing shall be 
performed.
    (b) The manufacturer may request a retest. The results of the retest 
will be used to determine compliance.
    (c) If the emission results exceed the standard, certification will 
be denied.

[49 FR 48139, Dec. 10, 1984]



Sec.  86.435-78  Extrapolated emission values.

    (a) If the deterioration factor lines are below the standards 
between the minimum test distance and the useful life, or if all points 
used to generate the lines are below the standards, predicted useful 
life emissions shall be calculated. If not, the manufacturers may elect 
to withdraw the vehicle or accumulate additional service.
    (b) The emission test results of each pollutant obtained from the 
half life test will be multiplied by the appropriate deterioration 
factors to determine useful life emissions.
    (1) If the useful life emissions are below the standards, 
certification will be granted.
    (2) If any of the useful life emissions exceed the emission 
standards, the vehicle must (if not withdrawn) accumulate distance to 
the useful life.

[42 FR 1126, Jan. 5, 1977, as amended at 49 FR 48139, Dec. 10, 1984]

[[Page 763]]



Sec.  86.436-78  Additional service accumulation.

    (a) Additional service up to the useful life will be accumulated 
under the same conditions as the initial service accumulation.
    (b) New deterioration lines will be generated using all applicable 
test points up to the useful life. The same procedures for determining 
the original deterioration lines will be used.
    (c) [Reserved]
    (d) To qualify for certification:
    (1) The full life emission test results must be below the standards, 
and
    (2) The deterioration line must be below the standard at the minimum 
test distance and the useful life, or all points used to generate the 
line, must be below the standard.
    (e) If the vehicle is unable to complete the total distance due to 
engine mechanical failure, certification will be granted if:
    (1) The mechanical failure was anticipated, Sec.  86.428, and
    (2) A new deterioration line calculated using the procedure 
described in Sec.  86.436-78(b) is below the standard at the minimum 
test distance and at the useful life, and,
    (3) The results of the half life emission tests, when adjusted by 
the new deterioration factors, are below the standards.

[42 FR 1126, Jan. 5, 1977, as amended at 49 FR 48139, Dec. 10, 1984]



Sec.  86.437-78  Certification.

    (a) New motorcycles produced by a manufacturer whose projected sales 
in the United States is 10,000 or more units (for the model year in 
which certification is sought) are covered by the following:
    (1) The manufacturer shall submit to the Administrator a statement 
that the test vehicles with respect to which data are submitted have 
been tested in accordance with the applicable test procedures, that they 
meet the requirements of such tests, and that, on the basis of such 
tests, they conform to the requirements of the regulations in this part. 
If such statements cannot be made with respect to any vehicle tested, 
the vehicle shall be identified, and all pertinent test data relating 
thereto shall be supplied.
    (2)(i) If, after a review of the test reports and data submitted by 
the manufacturer, data derived from any inspection carried out under 
Sec.  86.441 and any other pertinent data or information, the 
Administrator determines that a test vehicle(s) meets the requirements 
of the Act and of this subpart, he will issue a certificate of 
conformity with respect to such vehicle(s) except in cases covered by 
Sec.  86.442.
    (ii) Such certificate will be issued for such period not to exceed 
one model year as the Administrator may determine and upon such terms as 
he may deem necessary to assure that any new motorcycle covered by the 
certificate will meet the requirements of the act and of this subpart.
    (iii) The certificate will cover all vehicles represented by the 
test vehicle and will certify compliance with no more than one set of 
applicable standards.
    (3)(i) If, after a review of the test reports and data submitted by 
the manufacturer, data derived from any additional testing conducted 
pursuant to Sec.  86.427, or information derived from any inspection 
carried out under Sec.  86.441, or any other pertinent data or 
information, the Administrator determines that one or more test vehicles 
of the certification test fleet do not meet applicable standards, he 
will notify the manufacturer in writing, setting forth the basis for his 
determination. The manufacturer may request a hearing on the 
Administrator's determination.
    (ii) The manufacturer may, at his option, proceed with any of the 
following alternatives with respect to any vehicles represented by a 
test vehicle(s) determined not in compliance with applicable standards:
    (A) Request a hearing.
    (B) Delete from the application for certification the vehicles 
represented by the failing test vehicle. (Vehicles so deleted may be 
included in a later request for certification under paragraph 
(b)(2)(iii) of this section.) The Administrator will then select in 
place of each failing vehicle an alternate vehicle chosen in accordance 
with selection criteria employed in selecting the vehicle that failed, 
or

[[Page 764]]

    (C) Repair the test vehicle and demonstrate by testing that it meets 
applicable standards. Another vehicle which is in all material respects 
the same as the first vehicle, as repaired, shall then be operated and 
tested in accordance with applicable test procedures.
    (iii) If the manufacturer does not request a hearing or present the 
required data under subparagraph (2) of this paragraph, the 
Administrator will deny certification.
    (b) New motorcycles produced by a manufacturer whose projected sales 
in the United States is less than 10,000 units (for the model year in 
which certification is sought) are covered by the following:
    (1) The manufacturer shall submit to the Administrator an 
application for certification containing the following:
    (i) A brief description of the vehicles to be covered by the 
certificate (the manufacturer's sales data book or advertising including 
specifications will satisfy this requirement for most manufacturers).
    (ii) A statement signed by the authorized representative of the 
manufacturer stating: ``The vehicles described herein have been tested 
in accordance with the provisions of subpart E, part 86, title 40, of 
the Code of Federal Regulations, and on the basis of these tests are in 
conformance with that subpart. All of the data and records required by 
that subpart are on file and are available for inspection by the 
Administrator. Total sales of vehicles subject to this subpart will be 
limited to less than 10,000 units.''
    (iii) The name of an agent for service of process located in the 
United States. Service on this agent constitutes service on you or any 
of your officers or employees for any action by EPA or otherwise by the 
United States related to the requirements of this part.
    (2) If, after a review of the statement the Administrator determines 
that the requirements of this subpart have been met, he will issue a 
certificate of conformity with respect to the described vehicles except 
in cases covered by Sec.  86.442.
    (3) Such certificate will be issued for such a period not to exceed 
one model year as the Administrator may determine and upon such terms as 
he may deem necessary to assure that any new motorcycle covered by the 
certificate will meet the requirements of the Act and of this subpart.
    (4) The certificate will cover all vehicles described by the 
manufacturer.
    (5)(i) If, after a review of the statements and descriptions 
submitted by the manufacturer, the Administrator determines that the 
applicable requirements have not been met, he will notify the 
manufacturer in writing, setting forth the basis for his determination. 
The manufacturer may request a hearing on the Administrator's 
determination.
    (ii) If the manufacturer does not request a hearing or present the 
required information the Administrator will deny certification.

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56738, Oct. 28, 1977; 46 
FR 50496, Oct. 13, 1981; 47 FR 49807, Nov. 2, 1982; 71 FR 51487, Aug. 
30, 2006]



Sec.  86.438-78  Amendments to the application.

    (a) The manufacturer shall inform the Administrator by way of 
amendment to the application of any proposed changes to vehicles in 
production or additional vehicles to be produced. The Administrator 
will, if appropriate, select a new test vehicle. Except as provided in 
Sec.  86.439, no changes may be instituted until approved by the 
Administrator.
    (b) The Administrator may allow reduced testing.



Sec.  86.439-78  Alternative procedure for notification 
of additions and changes.

    (a)(1) A manufacturer may, in lieu of notifying the Administrator in 
advance of an addition of a vehicle or a change in a vehicle under Sec.  
86.438-78, notify the Administrator concurrently with the addition of a 
vehicle or the making of a change in a vehicle if the manufacturer 
determines that following the change all vehicles affected by the 
addition or change will still meet the applicable emission standards.
    (2) Such notification shall include a full description of the 
addition or change and any supporting documentation the manufacturer may 
include to

[[Page 765]]

support the manufacturer's determination that the addition or change 
does not cause noncompliance.
    (3) The manufacturer's determination that the addition or change 
does not cause noncompliance shall be based on an engineering evaluation 
of the addition or change and/or testing.
    (b) [Reserved]
    (c)(1) The Administrator may require that additional emission 
testing be performed to support the manufacturer's original 
determination submitted in accordance with paragraph (a) of this 
section.
    (2) If additional testing is required, the Administrator shall 
proceed as in Sec.  86.438-78.
    (3) Additional test data, if requested, must be provided within 30 
days of the request or the manufacturer must rescind the addition or 
change immediately.
    (4) The Administrator may grant additional time to complete testing.
    (5) If based on this additional testing or any other information, 
the Administrator determines that the vehicles affected by the addition 
or change do not meet the applicable standards, the Administrator will 
notify the manufacturer to rescind the addition or change immediately 
upon receipt of the notification.
    (d) Election to produce vehicles under this section will be deemed 
to be a consent to recall all vehicles which the Administrator 
determines under Sec.  86.438-78 do not meet applicable standards, and 
to cause such nonconformity to be remedied at no expense to the owner.

[49 FR 48139, Dec. 10, 1984]



Sec.  86.440-78  Maintenance of records.

    (a) The manufacturer of any motorcycle subject to any of the 
standards or procedures prescribed in this subpart shall establish, 
maintain and retain the following adequately organized and indexed 
records;
    (1) General records. (i)(A) Identification and description of all 
certification vehicles for which testing is required under this subpart.
    (B) A description of all emission control systems which are 
installed on or incorporated in each certification vehicle.
    (C) A description of all procedures used to test each such 
certification vehicle.
    (ii) A properly completed application, following the format 
prescribed by the U.S. EPA for the appropriate year of production, 
fulfills each of the requirements of this paragraph.
    (2) Individual records. (i) A brief history of each motocycle used 
for certification under this subpart including:
    (A)(1) In the case where a current production engine is modified for 
use in a certification vehicle, a description of the process by which 
the engine was selected and of the modification made.
    (2) In the case where the engine for a certification vehicle is not 
derived from a current production engine, a general description of the 
build-up of the engine (e.g., experimental heads were cast and machined 
according to supplied drawings, etc.)
    (3) In both cases above, a description of the origin and selection 
process for the carburetor, fuel system, emission control system 
components, and exhaust after treatment device shall be included.
    (4) The required description shall specify the steps taken to assure 
that the certification vehicle with respect to its engine, drive train, 
fuel system, emission control system components, exhaust after treatment 
device, vehicle mass, or any other device or component that can 
reasonably be expected to influence exhaust emissions, will be 
representative of production vehicles, and that either all components 
and/or vehicle construction processes, component inspection and 
selection techniques, and assembly techniques employed in constructing 
such vehicles are reasonably likely to be implemented for production 
vehicles, or they are as closely analogous as practicable to planned 
construction and assembly processes.
    (B) A complete record of all emission tests performed (except tests 
performed by EPA directly) including test results, the date and purpose 
of each test, and the distance accumulated on the vehicle.
    (C) The date of each service accumulation run, listing the distance 
accumulated.
    (D) [Reserved]

[[Page 766]]

    (E) A record and description of all maintenance and other servicing 
performed, giving the date of the maintenance or service and the reason 
for it.
    (F) A record and description of each test performed to diagnose 
engine or emissions control system performance, giving the date and time 
of the test and the reason for it.
    (G) [Reserved]
    (H) A brief description of any significant events affecting the 
vehicle during any time in the period covered by the history, not 
described by an entry under one of the previous headings, including such 
extraordinary events as vehicle accidents or dynamometer runaway.
    (ii) Each such history shall be started on the date that the first 
of any of the selection or build-up activities in paragraph (a)(2)(i)(A) 
of this section occurred with respect to the certification vehicle, 
shall be updated each time the operational status of the vehicle changes 
or additional work is performed on it, and shall be kept in a designated 
location.
    (3) All records, other than routine emission test records, required 
to be maintained under this subpart shall be retained by the 
manufacturer for a period of six (6) years after the issuance of all 
certificates of conformity to which they relate. Routine emission test 
records shall be retained by the manufacturer for a period of one (1) 
year after issuance of all certificates of conformity to which they 
relate. Records may be retained as hard copy or reduced to microfilm, 
punch cards, etc., depending on the record retention procedures of the 
manufacturer: Provided That, in every case, all the information 
contained in the hard copy shall be retained.

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56738, Oct. 28, 1977; 49 
FR 48140, Dec. 10, 1984]



Sec.  86.441-78  Right of entry.

    (a) Any manufacturer who has applied for certification of a new 
motorcycle subject to certification tests under this subpart shall admit 
or cause to be admitted any EPA Enforcement Officer during operating 
hours on presentation of any credentials to any of the following:
    (1) Any facility where any such tests or any procedures or 
activities connected with such tests are or were performed.
    (2) Any facility where any new motorcycle which is being, was or is 
to be tested is present.
    (3) Any facility where any construction process or assembly process 
used in the modification or build-up of such a vehicle into a 
certification vehicle is taking place or has taken place.
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (c)(1) 
of this section, any EPA Enforcement Officer shall be allowed:
    (1) To inspect and monitor any part or aspect of such procedures, 
activities, and testing facilities, including, but not limited to, 
monitoring vehicle preconditioning, emissions tests and service 
accumulation, maintenance, and vehicle soak and storage procedures; and 
to verify correlation or calibration of test equipment;
    (2) To inspect and make copies of any such records, designs, or 
other documents; and
    (3) To inspect and/or photograph any part or aspect of any such 
certification vehicle and any components to be used in the construction 
thereof.
    (c) In order to allow the Administrator to determine whether or not 
production motorcycles conform in all material respects to the design 
specifications which applied to those vehicles described in the 
application for certification for which a certificate of conformity has 
been issued and to standards prescribed under section 202 of the Act, 
any manufacturer shall admit any EPA Enforcement Officer on presentation 
of credentials to both:
    (1) Any facility where any document design, or procedure relating to 
the translation of the design and construction of engines and emission 
related components described in the application for certification or 
used for certification testing into production vehicles is located or 
carried on; and
    (2) Any facility where any motorcycles to be introduced into 
commerce are manufactured or assembled.

[[Page 767]]

    (d) On admission to any such facility referred to in paragraph 
(c)(3) of this section, any EPA Enforcement Officer shall be allowed:
    (1) To inspect and monitor any aspects of such manufacture or 
assembly and other procedures;
    (2) To inspect and make copies of any such records, documents or 
designs; and
    (3) To inspect and photograph any part or aspect of any such new 
motorcycles and any component used in the assembly thereof that are 
reasonably related to the purpose of his entry.
    (e) Any EPA Enforcement Officer shall be furnished by those in 
charge of a facility being inspected with such reasonable assistance as 
he may request to help him discharge any function listed in this 
paragraph. Each applicant for or recipient of certification is required 
to cause those in charge of a facility operated for its benefit to 
furnish such reasonable assistance without charge to EPA whether or not 
the applicant controls the facility.
    (f) The duty to admit or cause to be admitted any EPA Enforcement 
Officer applies whether or not the applicant owns or controls the 
facility in question and applies both to domestic and to foreign 
manufacturers and facilities. EPA will not attempt to make any 
inspections which it has been informed that local law forbids. However, 
if local law makes it impossible to do what is necessary to insure the 
accuracy of data generated at a facility, no informed judgment that a 
vehicle or engine is certifiable or is covered by a certificate can 
properly be based on that data. It is the responsibility of the 
manufacturer to locate its testing and manufacturing facilities in 
jurisdictions where this situation will not arise.
    (g) For purposes of this section:
    (1) Presentation of credentials shall mean display of the document 
designating a person as an EPA Enforcement Officer.
    (2) Where vehicle, component, or engine storage areas or facilities 
are concerned, operating hours shall mean all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the area or facility and have access to it.
    (3) Where facilities or areas other than those covered by paragraph 
(g)(2) of this section are concerned, operating hours shall mean all 
times during which an assembly line is in operation or all times during 
which testing, maintenance, service accumulation, production or 
compilation of records, or any other procedure or activity related to 
certification testing, to translation of designs from the test stage to 
the production stage, or to vehicle manufacture or assembly is being 
carried out in a facility.
    (4) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services, the making available 
on request of personnel of the facility being inspected during their 
working hours to inform the EPA Enforcement Officer of how the facility 
operates and to answer his questions, and the performance on request of 
emissions tests on any vehicle which is being, has been, or will be used 
for certification testing. Such tests shall be nondestructive, but may 
require appropriate service accumulation. A manufacturer may be 
compelled to cause the personal appearance of any employee at such a 
facility before an EPA Enforcement Officer by written request for his 
appearance, signed by the Assistant Administrator for Enforcement, 
served on the manufacturer. Any such employee who has been instructed by 
the manufacturer to appear will be entitled to be accompanied, 
represented, and advised by counsel. No counsel who accompanies, 
represents, or advises an employee compelled to appear may accompany, 
represent, or advise any other person in the investigation.
    (5) Any entry without 24 hours prior written or oral notification to 
the affected manufacturer shall be authorized in writing by the 
Assistant Administrator for Enforcement.



Sec.  86.442-78  Denial, revocation, or suspension of certification.

    (a) Notwithstanding the fact that any certification vehicle(s) may 
comply with other provisions of this subpart, the Administrator may 
withhold or deny the issuance of a certificate of conformity (or suspend 
or revoke any

[[Page 768]]

such certificate which has been issued) with respect to any such 
vehicle(s) if:
    (1) The manufacturer submits false or incomplete information in his 
application for certification thereof; or
    (2) The manufacturer renders inaccurate or invalid any test data 
which he submits pertaining thereto or otherwise circumvents the intent 
of the Act or of this subpart with respect to such vehicle; or
    (3) Any EPA Enforcement Officer is denied access on the terms 
specified in Sec.  86.441 to any facility or portion thereof which 
contains any of the following:
    (i) The vehicle, or
    (ii) Any components used or considered for use in its modification 
or build-up into a certification vehicle, or
    (iii) Any production vehicle which is or will be claimed by the 
manufacturer to be covered by the certificate, or
    (iv) Any step in the construction of a vehicle described in 
paragraph (c) of this section, or
    (v) Any records, documents, reports, or histories required by this 
part to be kept concerning any of the above.
    (4) Any EPA Enforcement Officer is denied ``reasonable assistance'' 
(as defined in Sec.  86.444) in examining any of the items listed in 
paragraph (a)(1)(iii) of this section.
    (b) The sanctions of withholding, denying, revoking, or suspending 
of a certificate may be imposed for the reasons in paragraph (a) of this 
section only when the infraction is substantial.
    (c) In any case in which a manufacturer knowingly submits false or 
inaccurate information, or knowingly renders inaccurate or invalid any 
test data, or commits any fraudulent acts and such acts contribute 
substantially to the Administrator's decision to issue a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (d) In any case in which certification of a vehicle is proposed to 
be withheld, denied, revoked, or suspended under paragraph (a) (3) or 
(4) of this section, and in which the Administrator has presented to the 
manufacturer involved reasonable evidence that a violation of Sec.  
86.441 in fact occurred, the manufacturer, if the wishes to contend 
that, even though the violation occurred, the vehicle in question was 
not involved in the violation to a degree that would warrant 
withholding, denial, revocation, or suspension of certification under 
either paragraph (a) (3) or (4) of this section, shall have the burden 
of establishing that contention to the satisfaction of the 
Administrator.
    (e) Any revocation or suspension of certification under paragraph 
(a) of this section shall:
    (1) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec.  86.444 
hereof.
    (2) Extend no further than to forbid the introduction into commerce 
of vehicles previously covered by the certification which are still in 
the hands of the manufacturer, except in cases of such fraud or other 
misconduct as makes the certification invalid ab initio.
    (f) The manufacturer may request in the form and manner specified in 
Sec.  86.443 that any determination made by the Administrator under 
paragraph (a) of this section to withhold or deny certification be 
reviewed in a hearing conducted in accordance with Sec.  86.444. If the 
Administrator finds, after a review of the request and supporting data, 
that the request raises a substantial factual issue, he will grant the 
request with respect to such issue.

[42 FR 1126, Jan. 5, 1977, as amended at 42 FR 56738, Oct. 28, 1977]



Sec.  86.443-78  Request for hearing.

    The manufacturer may request a hearing on the Administrator's 
determination as described in 40 CFR part 1068, subpart G.

[81 FR 73979, Oct. 25, 2016]



Sec.  86.444-78  Hearings on certification.

    If a manufacturer's request for a hearing is approved, EPA will 
follow the hearing procedures specified in 40 CFR part 1068, subpart G.

[81 FR 73979, Oct. 25, 2016]



Sec.  86.445-2006  What temporary provisions address hardship 
due to unusual circumstances?

    (a) After considering the circumstances, the Director of the Office 
of Transportation and Air Quality may permit you to introduce into 
commerce

[[Page 769]]

highway motorcycles that do not comply with emission standards if all 
the following conditions and requirements apply:
    (1) Unusual circumstances that are clearly outside your control and 
that could not have been avoided with reasonable discretion prevent you 
from meeting requirements from this chapter.
    (2) You exercised prudent planning and were not able to avoid the 
violation; you have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (3) Not having the exemption will jeopardize the solvency of your 
company.
    (4) No other allowances are available under the regulations of this 
part to avoid the impending violation, excluding those in Sec.  86.446.
    (b) To apply for an exemption, you must send the Designated 
Compliance Officer a written request as soon as possible before you are 
in violation. In your request, show that you meet all the conditions and 
requirements in paragraph (a) of this section.
    (c) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (d) You must give us other relevant information if we ask for it.
    (e) We may include reasonable additional conditions on an approval 
granted under this section, including provisions to recover or otherwise 
address the lost environmental benefit or paying fees to offset any 
economic gain resulting from the exemption. For example, in the case of 
multiple tiers of emission standards, we may require that you meet the 
less stringent standards.
    (f) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each motorcycle exempted under 
this section. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters) and model year of the engine or 
whom to contact for further information.
    (4) The statement ``THIS MOTORCYCLE IS EXEMPT UNDER 40 CFR 86.445-
2006 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

[69 FR 2437, Jan. 15, 2004]



Sec.  86.446-2006  What are the provisions for extending compliance deadlines 
for small-volume manufacturers under hardship?

    (a) After considering the circumstances, the Director of the Office 
of Transportation and Air Quality may extend the compliance deadline for 
you to meet new or revised emission standards, as long as you meet all 
the conditions and requirements in this section.
    (b) To be eligible for this exemption, you must qualify as a small-
volume manufacturer under Sec.  86.410-2006(e).
    (c) To apply for an extension, you must send the Designated 
Compliance Officer a written request. In your request, show that all the 
following conditions and requirements apply:
    (1) You have taken all possible business, technical, and economic 
steps to comply.
    (i) In the case of importers, show that you attempted to find a 
manufacturer capable of supplying complying products as soon as you 
became aware of the applicable requirements, but were unable to do so.
    (ii) For all other manufacturers, show that the burden of compliance 
costs prevents you from meeting the requirements of this chapter.
    (2) Not having the exemption will jeopardize the solvency of your 
company.
    (3) No other allowances are available under the regulations in this 
part to avoid the impending violation, excluding those in Sec.  86.445.
    (d) In describing the steps you have taken to comply under paragraph 
(c)(1) of this section, include at least the following information:
    (1) Describe your business plan, showing the range of projects 
active or under consideration.
    (2) Describe your current and projected financial standing, with and 
without the burden of complying fully with the regulations in this part.
    (3) Describe your efforts to raise capital to comply with 
regulations in this

[[Page 770]]

part (this may not apply for importers).
    (4) Identify the engineering and technical steps you have taken or 
plan to take to comply with the regulations in this part.
    (5) Identify the level of compliance you can achieve. For example, 
you may be able to produce engines that meet a somewhat less stringent 
emission standard than the regulations require.
    (e) Include in your request a plan showing how you will meet all the 
applicable requirements as quickly as possible.
    (f) You must give us other relevant information if we ask for it.
    (g) An authorized representative of your company must sign the 
request and include the statement: ``All the information in this request 
is true and accurate, to the best of my knowledge.''
    (h) Send your request for this extension at least nine months before 
new standards apply. Do not send your request before the regulations in 
question apply to other manufacturers.
    (i) We may include reasonable requirements on an approval granted 
under this section, including provisions to recover or otherwise address 
the lost environmental benefit. For example, we may require that you 
meet a less stringent emission standard or buy and use available 
emission credits.
    (j) We will approve extensions of up to one year. We may review and 
revise an extension as reasonable under the circumstances.
    (k) Add a permanent, legible label, written in block letters in 
English, to a readily visible part of each motorcycle exempted under 
this section. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement (in liters) and model year of the motorcycle 
or whom to contact for further information.
    (4) The statement ``THIS MOTORCYCLE IS EXEMPT UNDER 40 CFR 86.446 
FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.''.

[69 FR 2437, Jan. 15, 2004]



Sec.  86.447-2006  What provisions apply to motorcycle engines 
below 50 cc that are certified under the Small SI program 
or the Recreational-vehicle program?

    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce into commerce a new highway motorcycle 
(that is, a motorcycle that is a motor vehicle) if it has an engine 
below 50 cc that is already certified to the requirements that apply to 
engines or vehicles under 40 CFR part 90 or 1051 for the appropriate 
model year. If you comply with all the provisions of this section, we 
consider the certificate issued under 40 CFR part 90 or 1051 for each 
engine or vehicle to also be a valid certificate of conformity under 
this part 86 for its model year, without a separate application for 
certification under the requirements of this part 86. See Sec.  86.448-
2006 for similar provisions that apply to vehicles that are certified to 
chassis-based standards under 40 CFR part 1051.
    (b) Vehicle-manufacturer provisions. If you are not an engine 
manufacturer, you may produce highway motorcycles using nonroad engines 
below 50 cc under this section as long as you meet all the requirements 
and conditions specified in paragraph (d) of this section. If you modify 
the nonroad engine in any of the ways described in paragraph (d)(2) of 
this section for installation in a highway motorcycle, we will consider 
you a manufacturer of a new highway motorcycle. Such engine 
modifications prevent you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section, and vehicles containing these engines, are exempt from all the 
requirements and prohibitions of this part, except for those specified 
in this section. Engines and vehicles exempted under this section must 
meet all the applicable requirements from 40 CFR part 90 or 1051. This 
applies to engine manufacturers, vehicle manufacturers who use these 
engines, and all other persons as if these engines were used in 
recreational vehicles or other nonroad applications. The prohibited acts 
of 42 U.S.C. 7522 apply to these new highway motorcycles; however, we 
consider the certificate issued under 40 CFR part 90 or

[[Page 771]]

1051 for each engine to also be a valid certificate of conformity under 
this part 86 for its model year. If we make a determination that these 
engines do not conform to the regulations during their useful life, we 
may require you to recall them under 40 CFR part 86, 90, or 1068.
    (d) Specific requirements. If you are an engine or vehicle 
manufacturer and meet all the following criteria and requirements 
regarding your new engine or vehicle, the highway motorcycle is eligible 
for an exemption under this section:
    (1) Your engine must be below 50 cc and must be covered by a valid 
certificate of conformity for Class II engines issued under 40 CFR part 
90 or for recreational vehicles under 40 CFR part 1051.
    (2) You must not make any changes to the certified engine that could 
reasonably be expected to increase its exhaust emissions for any 
pollutant, or its evaporative emissions, if applicable. For example, if 
you make any of the following changes to one of these engines, you do 
not qualify for this exemption:
    (i) Change any fuel system or evaporative system parameters from the 
certified configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original engine 
manufacturer's specified ranges.
    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in highway motorcycles. This 
includes engines used in any application, without regard to which 
company manufactures the vehicle or equipment. In addition, if you 
manufacture highway motorcycles, you must show that fewer than 50 
percent of the engine family's total sales in the United States are 
highway motorcycles. Show that you meet the engine-sales criterion as 
follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm the engine sales volumes based on its sales 
information.
    (4) You must ensure that the engine has the label we require under 
40 CFR part 90 or 1051.
    (5) You must add a permanent supplemental label to the engine in a 
position where it will remain clearly visible after installation in the 
vehicle. In the supplemental label, do the following:
    (i) Include the heading: ``HIGHWAY MOTORCYCLE ENGINE EMISSION 
CONTROL INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR HIGHWAY USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS.''.
    (iv) State the date you finished installation (month and year), if 
applicable.
    (6) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine or vehicle models you expect to produce under 
this exemption in the coming year.
    (iii) State: ``We produce each listed [engine or vehicle] model for 
without making any changes that could increase its certified emission 
levels, as described in 40 CFR 86.447-2006.''.
    (e) Failure to comply. If your highway motorcycles do not meet the 
criteria listed in paragraph (d) of this section, they will be subject 
to the standards, requirements, and prohibitions of this part 86 and the 
certificate issued under 40 CFR part 90 or 1051 will not be deemed to 
also be a certificate issued under this part 86. Introducing these 
engines into commerce without a valid exemption or certificate of 
conformity under this part violates the prohibitions in 40 CFR part 85.

[[Page 772]]

    (f) Data submission. We may require you to send us emission test 
data on any applicable nonroad duty cycles.
    (g) Participation in averaging, banking and trading. Engines or 
vehicles adapted for recreational use under this section may not 
generate or use emission credits under this part 86. These engines or 
vehicles may generate credits under the ABT provisions in 40 CFR part 90 
or 1051. These engines or vehicles must use emission credits under 40 
CFR part 90 or 1051 if they are certified to an FEL that exceeds an 
applicable standard.

[70 FR 40435, July 13, 2005]



Sec.  86.448-2006  What provisions apply to vehicles certified 
under the Recreational-vehicle program?

    (a) General provisions. If you are a highway-motorcycle 
manufacturer, this section allows you to introduce into commerce a new 
highway motorcycle with an engine below 50 cc if it is already certified 
to the requirements that apply to recreational vehicles under 40 CFR 
parts 1051. A highway motorcycle is a motorcycle that is a motor 
vehicle. If you comply with all of the provisions of this section, we 
consider the certificate issued under 40 CFR part 1051 for each 
recreational vehicle to also be a valid certificate of conformity for 
the motor vehicle under this part 86 for its model year, without a 
separate application for certification under the requirements of this 
part 86. See Sec.  86.447-2006 for similar provisions that apply to 
nonroad engines produced for highway motorcycles.
    (b) Nonrecreational-vehicle provisions. If you are not a 
recreational-vehicle manufacturer, you may produce highway motorcycles 
from recreational vehicles with engines below 50 cc under this section 
as long as you meet all the requirements and conditions specified in 
paragraph (d) of this section. If you modify the recreational vehicle or 
its engine in any of the ways described in paragraph (d)(2) of this 
section for installation in a highway motorcycle, we will consider you a 
manufacturer of a new highway motorcycle. Such modifications prevent you 
from using the provisions of this section.
    (c) Liability. Vehicles for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines and vehicles 
exempted under this section must meet all the applicable requirements 
from 40 CFR part 1051. This applies to engine manufacturers, vehicle 
manufacturers, and all other persons as if the highway motorcycles were 
recreational vehicles. The prohibited acts of 42 U.S.C. 7522 apply to 
these new highway motorcycles; however, we consider the certificate 
issued under 40 CFR part 1051 for each recreational vehicle to also be a 
valid certificate of conformity for the highway motorcycle under this 
part 86 for its model year. If we make a determination that these 
engines or vehicles do not conform to the regulations during their 
useful life, we may require you to recall them under 40 CFR part 86 or 
40 CFR 1068.505.
    (d) Specific requirements. If you are a recreational-vehicle 
manufacturer and meet all the following criteria and requirements 
regarding your new highway motorcycle and its engine, the highway 
motorcycle is eligible for an exemption under this section:
    (1) Your motorcycle must have an engine below 50 cc and it must be 
covered by a valid certificate of conformity as a recreational vehicle 
issued under 40 CFR part 1051.
    (2) You must not make any changes to the certified recreational 
vehicle that we could reasonably expect to increase its exhaust 
emissions for any pollutant, or its evaporative emissions if it is 
subject to evaporative-emission standards. For example, if you make any 
of the following changes, you do not qualify for this exemption:
    (i) Change any fuel system parameters from the certified 
configuration.
    (ii) Change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the vehicle 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (iii) Modify or design the engine cooling system so that 
temperatures or heat rejection rates are outside the original vehicle 
manufacturer's specified ranges.

[[Page 773]]

    (3) You must show that fewer than 50 percent of the engine family's 
total sales in the United States are used in highway motorcycles. This 
includes highway and off-highway motorcycles, without regard to which 
company completes the manufacturing of the highway motorcycle. Show this 
as follows:
    (i) If you are the original manufacturer of the vehicle, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the vehicle to confirm this based on their sales information.
    (4) The highway motorcycle must have the vehicle emission control 
information we require under 40 CFR part 1051.
    (5) You must add a permanent supplemental label to the highway 
motorcycle in a position where it will remain clearly visible. In the 
supplemental label, do the following:
    (i) Include the heading: ``HIGHWAY MOTORCYCLE ENGINE EMISSION 
CONTROL INFORMATION''.
    (ii) Include your full corporate name and trademark. You may instead 
include the full corporate name and trademark of another company you 
choose to designate.
    (iii) State: ``THIS VEHICLE WAS ADAPTED FOR HIGHWAY USE WITHOUT 
AFFECTING ITS EMISSION CONTROLS.''.
    (iv) State the date you finished modifying the vehicle (month and 
year), if applicable.
    (6) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the highway motorcycle models you expect to produce under 
this exemption in the coming year.
    (iii) State: ``We produced each listed highway motorcycle without 
making any changes that could increase its certified emission levels, as 
described in 40 CFR 86.448-2006.''.
    (e) Failure to comply. If your highway motorcycles do not meet the 
criteria listed in paragraph (d) of this section, they will be subject 
to the standards, requirements, and prohibitions of this part 86 and 40 
CFR part 85, and the certificate issued under 40 CFR part 1051 will not 
be deemed to also be a certificate issued under this part 86. 
Introducing these motorcycles into commerce without a valid exemption or 
certificate of conformity under this part violates the prohibitions in 
40 CFR part 85.
    (f) Data submission. We may require you to send us emission test 
data on the duty cycle for Class I motorcycles.
    (g) Participation in averaging, banking and trading. Recreational 
vehicles adapted for use as highway motorcycles under this section may 
not generate or use emission credits under this part 86. These engines 
may generate credits under the ABT provisions in 40 CFR part 1051. These 
engines must use emission credits under 40 CFR part 1051 if they are 
certified to an FEL that exceeds an applicable standard.

[70 FR 40436, July 13, 2005]



Sec.  86.449  Averaging provisions.

    (a) This section describes how and when averaging may be used to 
show compliance with applicable HC + NOX emission standards. 
Emission credits may not be banked for use in later model years, except 
as specified in paragraph (j) of this section.
    (1) Compliance with the Class I and Class II HC + NOX 
standards set forth in Sec.  86.410-2006 (f) may be demonstrated using 
the averaging provisions of this section. To do this you must show that 
your average emission levels are at or below the applicable standards in 
Sec.  86.410-2006.
    (2) Compliance with the Class III HC + NOX standards set 
forth in Sec.  86.410-2006 (a)(2) may be demonstrated using the 
averaging provisions of this section. To do this you must show that your 
average emission levels are at or below the applicable standards in 
Sec.  86.410-2006.
    (3) Family emission limits (FELs) may not exceed the following caps:

[[Page 774]]



----------------------------------------------------------------------------------------------------------------
                                                                                                     FEL cap (g/
                                                                                                         km)
                  Class                                Tier                      Model year         ------------
                                                                                                       HC + NOX
----------------------------------------------------------------------------------------------------------------
Class I or II............................  Tier 1.....................  2006 and later.............          5.0
Class III................................  Tier 1.....................  2006-2009..................          5.0
                                           Tier 2.....................  2010 and later.............          2.5
----------------------------------------------------------------------------------------------------------------

    (b) Do not include any exported vehicles in the certification 
averaging program. Include only motorcycles certified under this subpart 
and intended for sale in the United States.
    (c) To use the averaging program, do the following things:
    (1) Certify each vehicle to a family emission limit.
    (2) Calculate a preliminary average emission level according to 
paragraph (d) of this section using projected production volumes for 
your application for certification.
    (3) After the end of your model year, calculate a final average 
emission level according to paragraph (d) of this section for each 
averaging set for which you manufacture or import motorcycles.
    (d) Calculate your average emission level for each averaging set for 
each model year according to the following equation and round it to the 
nearest tenth of a g/km. Use consistent units throughout the 
calculation. The averaging sets are defined in paragraph (k) of this 
section.
    (1) Calculate the average emission level as:
    [GRAPHIC] [TIFF OMITTED] TR15JA04.000
    
Where:

FELi = The FEL to which the engine family is certified.
ULi = The useful life of the engine family.
Productioni = The number of vehicles in the engine family.

    (2) Use production projections for initial certification, and actual 
production volumes to determine compliance at the end of the model year.
    (e)(1) Maintain and keep five types of properly organized and 
indexed records for each group and for each emission family:
    (i) Model year and EPA emission family.
    (ii) FEL.
    (iii) Useful life.
    (iv) Projected production volume for the model year.
    (v) Actual production volume for the model year.
    (2) Keep paper records of this information for three years from the 
due date for the end-of-year report. You may use any additional storage 
formats or media if you like.
    (3) Follow paragraphs (f) through (i) of this section to send us the 
information you must keep.
    (4) We may ask you to keep or send other information necessary to 
implement this subpart.
    (f) Include the following information in your application for 
certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative credit balance for any motorcycle when all credits are 
calculated. This means that if you believe that your average emission 
level will be above the standard (i.e., that you will have a deficit for 
the model year), you must have banked credits pursuant to paragraph (j) 
of this section to offset the deficit.
    (2) Detailed calculations of projected emission credits (zero, 
positive, or negative) based on production projections. If you project a 
credit deficit, state the source of credits needed to offset the credit 
deficit.
    (g) At the end of each model year, send an end-of-year report.

[[Page 775]]

    (1) Make sure your report includes the following things:
    (i) Calculate in detail your average emission level and any emission 
credits based on actual production volumes.
    (ii) If your average emission level is above the allowable average 
standard, state the source of credits needed to offset the credit 
deficit.
    (2) Base your production volumes on the point of first retail sale. 
This point is called the final product-purchase location.
    (3) Send end-of-year reports to the Designated Compliance Officer 
within 120 days of the end of the model year. If you send reports later, 
EPA may void your certificate ab initio.
    (4) If you generate credits for banking pursuant to paragraph (j) of 
this section and you do not send your end-of-year reports within 120 
days after the end of the model year, you may not use the credits until 
we receive and review your reports. You may not use projected credits 
pending our review.
    (5) You may correct errors discovered in your end-of-year report, 
including errors in calculating credits according to the following 
table:

------------------------------------------------------------------------
          If . . .                And if . . .          Then we . . .
------------------------------------------------------------------------
(i) Our review discovers an   The discovery occurs  Restore the credits
 error in your end-of-year     within 180 days of    for your use.
 report that increases your    receipt.
 credit balance.
(ii) You discover an error    The discovery occurs  Restore the credits
 in your report that           within 180 days of    for your use.
 increases your credit         receipt.
 balance.
(iii) We or you discover an   The discovery occurs  Do not restore the
 error in your report that     more than 180 days    credits for your
 increases your credit         after receipt.        use.
 balance.
(iv) We discover an error in  At any time after     Reduce your credit
 your report that reduces      receipt.              balance.
 your credit balance.
------------------------------------------------------------------------

    (h) Include in each report a statement certifying the accuracy and 
authenticity of its contents.
    (i) We may void a certificate of conformity for any emission family 
if you do not keep the records this section requires or give us the 
information when we ask for it.
    (j) You may include Class III motorcycles that you certify with HC + 
NOX emissions below 0.8 g/km in the following optional early 
banking program:
    (1) To include a Class III motorcycle in the early banking program, 
assign it an emission rate of 0.8 g/km when calculating your average 
emission level for compliance with the Tier 1 standards.
    (2)(i) Calculate bankable credits from the following equation:

Bonus credit = Y x [(0.8 g/km - Certified emission level)] x 
[(Production volume of engine family) x (Useful life)]

    (ii) The value of Y is defined by the model year and emission level, 
as shown in the following table:

----------------------------------------------------------------------------------------------------------------
                                                         Multiplier (Y) for use in MY 2010 or later corporate
                                                                               averaging
                                                     -----------------------------------------------------------
                     Model year                        If your certified emission
                                                      level is less than 0.8 g/km,   If your certified emission
                                                       but greater than 0.4 g/km,   level is less than 0.4 g/km,
                                                             then Y = . . .                then Y = . . .
----------------------------------------------------------------------------------------------------------------
2003 through 2006...................................                         1.500                         3.000
2007................................................                         1.375                         2.500
2008................................................                         1.250                         2.000
2009................................................                         1.125                         1.500
----------------------------------------------------------------------------------------------------------------

    (3) Credits banked under this paragraph (j) may be use for 
compliance with any 2010 or later model year standards as follows:
    (i) If your average emission level is above the average standard, 
calculate your credit deficit according to the following equation, 
rounding to the nearest tenth of a gram:


[[Page 776]]


Deficit = (Emission Level - Average Standard) x (Total Annual 
Production) x (Useful Life)

    (ii) Credit deficits may be offset using banked credits.
    (k) Credits may not be exchanged across averaging sets except as 
explicitly allowed by this paragraph (k).
    (1) There are two averaging sets:
    (i) Class I and Class II motorcycles certified to HC + 
NOX standards.
    (ii) Class III motorcycles.
    (2) Where a manufacturer's average HC + NOX emission 
level for Class III motorcycles (as calculated under paragraph (d)(1) of 
this section) is below the applicable standard, the manufacturer may 
generate credits that may be used show compliance with HC + 
NOX standards for Class I and Class II motorcycles during the 
same model year. Use the following equations to calculate credits and 
credit deficits for each class or subclass:

Credit = (Average Standard - Emission Level) x (Total Annual Production) 
x (Useful Life)

Deficit = (Emission Level - Average Standard) x (Total Annual 
Production) x (Useful Life)

    (l) Manufacturers participating in the averaging program of this 
section may modify FELs during the model year as specified in this 
paragraph (l).
    (1) Upon notifying EPA, manufacturers may raise the FEL for an 
engine family and begin labeling motorcycles with the new FEL.
    (2) Manufacturers may ask to lower FELs based on test data of 
production vehicles showing that the motorcycles in the engine family 
have emissions below the new FEL. Manufacturers must test the 
motorcycles according to 40 CFR part 1051, subpart D. Manufacturers may 
not begin labeling motorcycles with the new FEL until they have received 
EPA approval to do so.
    (3) Manufacturers may not change the FEL of any motorcycle that has 
been placed into service or that is no longer in their possession.

[69 FR 2439, Jan. 15, 2004]



Subpart F_Emission Regulations for 1978 and Later New Motorcycles; Test 
                               Procedures

    Source: 42 FR 1137, Jan. 5, 1977, unless otherwise noted.



Sec.  86.501-78  Applicability.

    (a) This subpart contains the motorcycle test procedures specified 
in subpart E.
    (b) Provisions of this subpart apply to tests performed by both the 
Administrator and motor vehicle manufacturers.



Sec.  86.502-78  Definitions.

    (a) The definitions in Sec.  86.402-78 apply to this subpart.
    (b) [Reserved]



Sec.  86.503-78  Abbreviations.

    (a) The abbreviations in Sec.  86.403-78 apply to this subpart.
    (b) [Reserved]



Sec.  86.504-78  Section numbering.

    (a) The section numbering system described in Sec.  86.404-78 is 
used in this subpart.
    (b) [Reserved]



Sec.  86.505-2004  Introduction; structure of subpart.

    (a) This subpart describes the equipment required and the procedures 
to follow in order to perform exhaust emission tests on motorcycles. 
Subpart E sets forth the testing requirements and test intervals 
necessary to comply with EPA certification procedures. Alternate 
equipment, procedures, and calculation methods may be used if shown to 
yield equivalent or superior results, and if approved in advance by the 
Administrator.
    (b) Three topics are addressed in this subpart. Sections 86.508 
through 86.515 set forth specifications and equipment requirements; 
Sec. Sec.  86.516 through 86.526 discuss calibration methods and 
frequency; test procedures and data requirements are listed (in 
approximate order of performance) in Sec. Sec.  86.527 through 86.544.
    (c) For diesel-fueled motorcycles, use the sampling and analytical 
procedures and the test fuel described in subpart B

[[Page 777]]

of this part for diesel-fueled light-duty vehicles. PM measurement is 
not required.

[69 FR 2440, Jan. 15, 2004]



Sec.  86.508-78  Dynamometer.

    (a) The dynamometer shall have a single roll with a diameter of at 
least 0.400 metre.
    (b) The dynamometer shall be equipped with a roll revolution counter 
for measuring actual distance traveled.
    (c) Flywheels or other means shall be used to stimulate the inertia 
specified in Sec.  86.529.
    (d) A variable speed cooling blower shall direct air to the vehicle. 
The blower outlet shall be at least 0.40 m \2\ (4.31 ft \2\) and shall 
be squarely positioned between 0.3 m (0.98 ft) and 0.45 m (1.48 ft) in 
front of the vehicle's front wheel. The velocity of the air at the 
blower outlet shall be within the following limits (as a function of 
roll speed):

------------------------------------------------------------------------
            Actual roll speed               Allowable cooling air speed
------------------------------------------------------------------------
0 km/h to 5 km/h.........................  0 km/h to 10 km/h.
5 km/h to 10 km/h........................  0 km/h to roll speed + 5 km/
                                            h.
10 km/h to 50 km/h.......................  Roll speed 5 km/h.
50 km/h to 70 km/h.......................  Roll speed 10 pct.
Above 70 km/h............................  At least 63 km/h.
------------------------------------------------------------------------

    (e) The dynamometer shall comply with the tolerances in Sec.  
86.529.

[42 FR 1137, Jan. 5, 1977, as amended at 42 FR 56738, Oct. 28, 1977]



Sec.  86.509-90  Exhaust gas sampling system.

    (a)(1) General. The exhaust gas sampling system is designed to 
measure the true mass emissions of vehicle exhaust. In the CVS concept 
of measuring mass emissions, two conditions must be satisfied: the total 
volume of the mixture of exhaust and dilution air must be measured and a 
continuously proportioned volume of sample must be collected for 
analysis. Mass emissions are determined from the sample concentration 
and totalized flow over the test period.
    (2) Vehicle tailpipe to CVS duct. For methanol fueled vehicles, 
cooling of the exhaust gases in the duct connecting the vehicle tailpipe 
to the CVS shall be minimized. This may be accomplished by:
    (i) Using a duct of unrestricted length maintained at a temperature 
above the maximum dew point of the exhaust, but below 121 [deg]C (250 
[deg]F); heating and possibly cooling capabilities are required; or
    (ii) Using a short duct (up to 12 feet long) constructed of smooth 
wall pipe with a minimum of flexible sections, maintained at a 
temperature above the maximum dew point of the exhaust, but below 121 
[deg]C (250 [deg]F), prior to the test and during any breaks in the test 
and uninsulated during the test (insulation may remain in place and/or 
heating may occur during testing provided maximum temperature is not 
exceeded); or
    (iii) Using smooth wall duct less than five feet long with no 
required heating. A maximum of two short flexible connectors are allowed 
under this option; or
    (iv) Omitting the duct and performing the exhaust gas dilution 
function at the motorcycle tailpipe exit.
    (3) Positive displacement pump. The Positive Displacement Pump-
Constant Volume Sampler (PDP-CVS), Figure F90-1 satisfies the first 
condition by metering at a constant temperature and pressure through the 
pump. The total volume is measured by counting the revolutions made by 
the calibrated positive displacement pump. The proportional samples are 
achieved by sampling at a constant flow rate. For methanol-fueled 
motorcycle sample lines for the methanol and formaldehyde samples are 
heated to prevent condensation. The temperature of the sample lines 
shall be more than 3 [deg]C (5 [deg]F) above the maximum dew point of 
the sample, but below 121 [deg]C (250 [deg]F). (Note: For 1990 through 
1994 model year methanol-fueled motorcycles, methanol and formaldehyde 
sampling may be omitted provided the bag sample (hydrocarbons and 
methanol) is analyzed using a HFID calibrated with methanol.)

[[Page 778]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.173

    (4) Critical flow venturi. The operation of the Critical Flow 
Venturi--Constant Volume Sampler (CFV-CVS) sample system, Figure F90-2, 
is based upon the principles of fluid dynamics associated with critical 
flow. Proportional sampling throughout temperature excursions is 
maintained by use of small

[[Page 779]]

CFVs in the sample lines, which respond to the varying temperatures in 
the same manner as the main CFV. For methanol-fueled motorcycles, the 
methanol and formaldehyde sample lines are heated to prevent 
condensation. The temperature of the sample lines shall be more than 3 
[deg]C (5 [deg]F) above the maximum dew point of the sample, but below 
121 [deg]C (250 [deg]F). Care must be taken to ensure that the CFVs of 
the sample probes are not heated since heating of the CFVs would cause 
loss of proportionality. (Note: For 1990 through 1994 model year 
methanol-fueled motorcycles, methanol and formaldehyde sampling may be 
omitted provided the bag sample (hydrocarbons and methanol) is analyzed 
using a HFID calibrated with methanol.) Total flow per test is 
determined by continuously computing and integrating instantaneous flow. 
A low response time temperature sensor is necessary for accurate flow 
calculation.

[[Page 780]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.174


[[Page 781]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.175

    (5) Electronic Flow Control. The Critical Flow Venturi--Electronic 
Flow Control--Constant Volume Sampler (CFV-EFC-CVS) system is identical 
to the CFV-CVS system described in paragraphs (a)(4) and (c) of this 
section, except that it maintains proportional sampling for methanol and 
formaldehyde by measuring the CVS flow rate, and electronically 
controlling sample flow rates. It is recommended that sample volumes be 
measured by separate flow meters. For methanol-fueled motorcycles, the 
samples lines for the methanol and formaldehyde samples are heated to 
prevent condensation. The temperature of the sample lines shall be more 
than 20 [deg]F (11 [deg]C) above

[[Page 782]]

the maximum dew point of the sample, but below 121 [deg]C (250 [deg]F).
    (6) Other systems. Other sampling systems may be used if shown to 
yield equivalent results, and if approved in advance by the 
Administrator (e.g., a heat exchanger with the CFV-CVS or an electronic 
flow integrator without a heat exchanger, with the PDP-CVS).
    (b) Component description, PDP-CVS. The PDP-CVS, Figure F90-1, 
consists of a dilution air filter and mixing assembly, heat exchanger, 
positive displacement pump, sampling systems including, probes and 
sampling lines which, in the case of the methanol-fueled motorcycles, 
are heated to prevent condensation (heating of the sample lines may be 
omitted, provided the methanol and formaldehyde sample collection 
systems are close coupled to the probes thereby preventing loss of 
sample due to cooling and resulting condensation in the sample lines), 
and associated valves, pressure and temperature sensors. The PDP-CVS 
shall conform to the following requirements:
    (1) Static pressure variations at the tailpipe(s) of the vehicle 
shall remain within 1.25 kPa (5.02 in H2O) of the static pressure 
variations measured during a dynamometer driving cycle with no 
connection to the tailpipe(s). (Sampling systems capable of maintaining 
the static pressure to within 0.25 kPa (1.00 in. H2O) will be used by the 
Administrator if a written request substantiates the need for this 
closer tolerance.)
    (2) The gas mixture temperature, measured at a point immediately 
ahead of the positive displacement pump, shall be within 5 [deg]C (9 [deg]F) of the designed operating 
temperature at the start of the test. The gas mixture temperature 
variation from its value at the start of the test shall be limited to 
5 [deg]C (9 [deg]F) during the entire test. The 
temperature measuring system shall have an accuracy and precision of 
1 [deg]C (1.8 [deg]F).
    (3) The pressure gauges shall have an accuracy and precision of 
0.4 kPa (3 mm Hg).
    (4) The location of the dilution air inlet shall be placed so as to 
use test-cell air for dilution and the flow capacity of the CVS shall be 
large enough to completely eliminate water condensation in the dilution 
and sampling systems. Control of water condensation with methanol-fueled 
vehicles is critical. Additional care may also be required to eliminate 
water condensation when testing natural gas and liquefied petroleum gas-
fueled vehicles. (Procedures for determining CVS flow rates are detailed 
in ``Calculation of Emissions and Fuel Economy When Using Alternative 
Fuels,'' EPA 460/3-83-009.) Dehumidifying the dilution air before 
entering the CVS is allowed. Heating the dilution air is also allowed, 
provided:
    (i) The air (or air plus exhaust gas) temperature does not exceed 
121 [deg]C (250 [deg]F).
    (ii) Calculation of the CVS flow rate necessary to prevent water 
condensation is based on the lowest temperature encountered in the CVS 
prior to sampling. (It is recommended that the CVS system be insulated 
when heated dilution air is used.)
    (iii) The dilution ratio is sufficiently high to prevent 
condensation in bag samples as they cool to room temperature.
    (5) Sample collection bags for dilution air and exhaust samples 
(hydrocarbons and carbon monoide) shall be of sufficient size so as not 
to impede sample flow. A single dilution air sample, covering the total 
test period, may be collected for the determination of methanol and 
formaldehyde background (methanol-fueled motorcycles).
    (6) The methanol sample collection system and the formaldehyde 
sample collection system shall each be of sufficient capacity so as to 
collect samples of adequate size for analysis without significant impact 
on the volume of dilute exhaust passing through the PDP. The systems 
shall also comply with the following requirements that apply to the 
design of the systems, not to individual tests:
    (i) The methanol system shall be designed such that if a test 
motorcycle continuously emitted the maximum allowable level of methanol 
(based on all applicable standards) the measured concentration in the 
primary impinger would exceed either 25 mg/l or a concentration equal to 
25 times the limit of detection for the GC analyzer.

[[Page 783]]

    (ii) The formaldehyde system shall be designed such that if a test 
motorcycle continuously emitted formaldehyde at a rate equal to twenty 
percent of the maximum allowable level of THCE (i.e., 1.0 g/km for a 5.0 
g/km standard), or the maximum formaldehyde level allowed by a specific 
formaldehyde standard, whichever is less, the concentration of 
formaldehyde in the DNPH solution of the primary impinger, or solution 
resulting from the extraction of the DNPH cartridge, shall exceed either 
2.5 mg/l or a concentration equal to 25 times the limit of detection for 
the HPLC analyzer.
    (iii) The methanol and formaldehyde systems shall be designed such 
that the primary impinger collects at least 90 percent of the analyte in 
the samples. The remaining analyte shall be collected by the secondary 
impinger. This requirement does not apply to dilution air samples, since 
they do not require secondary impingers, or to samples in which the 
concentrations approach the limit of detection.
    (c) Component description, CFV-CVS. The CFV-CVS sample system, 
Figure F90-2, consists of a dilution air filter and mixing assembly, a 
cyclone particulate separator, unheated sampling venturies for the bag 
samples, and for the methanol and formaldehyde samples from methanol-
fueled vehicles, samples lines heated to prevent condensation for the 
methanol and formaldehyde samples from methanol fueled vehicles (heating 
of the sample lines may be omitted provided, the methanol and 
formaldehyde sample collection systems are close coupled to the probes 
thereby preventing loss of sample due to cooling and resulting 
condensation in the sample lines), a critical flow venturi, and assorted 
valves, and pressure and temperature sensors. The CFV sample system 
shall conform to the following requirements:
    (1) Static pressure variations at the tailpipe(s) of the vehicle 
shall remain within 1.25 kPa (5.02 in 
H2O) of the static pressure variations measured during a 
dynamometer driving cycle with no connection to the tailpipe(s). 
(Sampling systems capable of maintaining the static pressure to within 
0.25 kPa (1.00 in H2O) will be used by 
the Administrator if a written request substantiates the need for this 
closer tolerance.)
    (2) The temperature measuring system shall have an accuracy and 
precision of 1 [deg]C (1.8 [deg]F) and a response 
time of 0.100 second to 62.5 percent of a temperature change (as 
measured in hot silicone oil).
    (3) The pressure measuring system shall have an accuracy and 
precision of 0.4 kPa (3 mm 
Hg).
    (4) The location of the dilution air inlet shall be placed so as to 
use test-cell air for dilution and the flow capacity of the CVS shall be 
large enough to completely eliminate water condensation in the dilution 
and sampling systems. Control of water condensation with methanol-fueled 
vehicles is critical. Additional care may also be required to eliminate 
water condensation when testing natural gas and liquefied petroleum gas-
fueled vehicles. (Procedures for determining CVS flow rates are detailed 
in ``Calculation of Emissions and Fuel Economy When Using Alternative 
Fuels,'' EPA 460/3-83-009.) Dehumidifying the dilution air before 
entering the CVS is allowed. Heating the dilution air is also allowed, 
provided:
    (i) The air (or air plus exhaust gas) temperature does not exceed 
250 [deg]F.
    (ii) Calculation of the CVS flow rate necessary to prevent water 
condensation is based on the lowest temperature encountered in the CVS 
prior to sampling. (It is recommended that the CVS system be insulated 
when heated dilution air is used.)
    (iii) The dilution ratio is sufficiently high to prevent 
condensation in bag samples as they cool to room temperature.
    (5) Sample collection bags for dilution air and exhaust samples 
(hydrocarbons and carbon monoxide) shall be of sufficient size so as not 
to impede sample flow. A single dilution air sample, covering the total 
test period, may be collected for the determination of methanol and 
formaldehyde background (methanol-fueled motorcycles).
    (6) The methanol sample collection system and the formaldehyde 
sample collection system shall each be of sufficient capacity so as to 
collect samples of adequate size for analysis without

[[Page 784]]

significant impact on the volume of dilute exhaust passing through the 
CVS. The systems shall also comply with the following requirements that 
apply to the design of the systems, not to individual tests:
    (i) The methanol system shall be designed such that if a test 
motorcycle continuously emitted the maximum allowable level of methanol 
(based on all applicable standards) the measured concentration in the 
primary impinger would exceed either 25 mg/l or a concentration equal to 
25 times the limit of detection for the GC analyzer.
    (ii) The formaldehyde system shall be designed such that if a test 
motorcycle continuously emitted formaldehyde at a rate equal to twenty 
percent of the maximum allowable level of THCE (i.e., 1.0 g/km for a 5.0 
g/km standard), or the maximum formaldehyde level allowed by a specific 
formaldehyde standard, whichever is less, the concentration of 
formaldehyde in the DNPH solution of the primary impinger, or solution 
resulting from the extraction of the DNPH cartridge, shall exceed either 
2.5 mg/l or a concentration equal to 25 times the limit of detection for 
the HPLC analyzer.
    (iii) The methanol and formaldehyde systems shall be designed such 
that the primary impinger collects at least 90 percent of the analyte in 
the samples. The remaining analyte shall be collected by the secondary 
impinger. This requirement does not apply to dilution air samples, since 
they do not require secondary impingers, or to samples in which the 
concentrations approach the limit of detection.
    (d) Component description, CFV-EFC-CVS. The CVS sample system is 
identical to the system described in paragraph (c) of this section, plus 
includes a means of electronically measuring the CVS flow rate, and 
electronic mass flow controllers for the methanol and formaldehyde 
sample lines, and separate flow meters to totalize sample flow volumes 
(optional). The EFC sample system shall conform to all of the 
requirements listed in paragraph (c) of this section, except that the 
methanol and formaldehyde samples mat both be drawn from a single static 
probe. It also must comply with the following additional requirements:
    (1) The ratio of the CVS flow rate to the sample flow rate shall not 
deviate from the ratio at the start of the test by more than 5 percent. (The volumetric sample flow rate shall be 
varied inversely with the square root of the bulk stream temperature.)
    (2) Flow totalizers for methanol and/or formaldehyde samples shall 
have an accuracy of 2 percent. Total sample 
volumes may be obtained from the flow controllers, with the advance 
approval of the administrator, provided that the controllers can be 
shown to have an accuracy of 2 percent.

[54 FR 14539, Apr. 11, 1989, as amended at 59 FR 48512, Sept. 21, 1994; 
60 FR 34351, June 30, 1995]



Sec.  86.511-90  Exhaust gas analytical system.

    (a) Schematic drawings. Figure F90-3 is a schematic drawing of the 
exhaust gas analytical system for analysis of hydrocarbons (HC) 
(hydrocarbons plus methanol in the case of methanol-fueled motorcycles), 
carbon monoxide (CO), carbon dioxide (CO2), and oxides of 
nitrogen (NOX). Since various configurations can produce 
accurate results, exact conformance with the drawing is not required. 
Additional components such as instruments, valves, solenoids, pumps and 
switches may be used to provide additional information and coordinate 
the functions of the component systems

[[Page 785]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.176

    (b) Major component description. The exhaust gas analytical system 
for HC, CO and CO2, Figure F90-3, consists of a flame 
ionization detector (FID) (heated (235[deg]15 
[deg]C (113[deg]8 [deg]C)) for methanol-fueled 
vehicles) for the determination of hydrocarbons, nondispersive infrared 
analyzers (NDIR) for the determination of carbon monoxide and carbon 
dioxide and, if oxides of nitrogen are measured, a chemiluminescence 
analyzer (CL) for the determination of oxides of nitrogen. The 
analytical system for methanol consists of a gas chromatograph (GC) 
equipped with a flame ionization detector. The analysis for formaldehyde 
is performed using high pressure liquid chromatography (HPLC) of 2,4-

[[Page 786]]

dinitrophenylhydrazine (DNPH) derivatives using ultraviolet (UV) 
detection. The exhaust gas analytical system shall conform to the 
following requirements:
    (1) The CL requires that the nitrogen dioxide present in the sample 
be converted to nitric oxide before analysis. Other types of analyzers 
may be used if shown to yield equivalent results and if approved in 
advance by the Administrator.
    (2) The carbon monoxide (CO) NDIR analyzer may require a sample 
conditioning column containing CaSO4, or indicating silica 
gel to remove water vapor and containing ascarite to remove carbon 
dioxide from the CO analysis stream.
    (i) If CO instruments which are essentially free of CO2 
and water vapor interference are used, the use of the conditioning 
column may be deleted, see Sec. Sec.  86.522 and 86.544.
    (ii) A CO instrument will be considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture 
of 3 percent CO2 in N2 which has been bubbled 
through water at room temperature produces an equivalent CO response, as 
measured on the most sensitive CO range, which is less than 1 percent of 
full scale CO concentration on ranges above 300 ppm full scale or less 
than 3 ppm on ranges below 300 ppm full scale; see Sec.  86.522.
    (c) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.

[54 FR 14544, Apr. 11, 1989]



Sec.  86.513  Fuel and engine lubricant specifications.

    (a) Gasoline. (1) Gasoline meeting the following specifications, or 
substantially equivalent specifications approved by the Administrator, 
must be used for exhaust and evaporative emission testing:

       Table 1 of Sec.   86.513--Gasoline Test Fuel Specifications
------------------------------------------------------------------------
             Item                    Value            Procedure \1\
------------------------------------------------------------------------
Distillation Range:
    1. Initial boiling point,  23.9-35.0 \2\...  ASTM D86
     [deg]C.
    2. 10% point, [deg]C.....  48.9-57.2.......
    3. 50% point, [deg]C.....  93.3-110.0......
    4. 90% point, [deg]C.....  148.9-162.8.....
    5. End point, [deg]C.....  212.8 maximum...
Hydrocarbon composition:
    1. Olefins, volume %.....  10 maximum......  ASTM D1319
    2. Aromatics, volume %...  35 maximum......
    3. Saturates.............  Remainder.......
Lead (organic), g/liter......  0.013 maximum...  ASTM D3237
Phosphorous, g/liter.........  0.0013 maximum..  ASTM D3231
Sulfur, weight %.............  0.008 maximum...  ASTM D2622
Dry Vapor Pressure Equivalent  55.2 to 63.4 \3\  ASTM D5191
 (DVPE), kPa.
------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   86.1.
\2\ For testing at altitudes above 1,219 m, the specified initial
  boiling point range is (23.9 to 40.6) [deg]C.
\3\ For testing at altitudes above 1,219 m, the specified volatility
  range is 52 to 55 kPa. Calculate dry vapor pressure equivalent, DVPE,
  based on the measured total vapor pressure, pT, using the following
  equation: DVPE (kPa) = 0.956 [middot] pT-2.39 (or DVPE (psi) = 0.956
  [middot] pT-0.347). DVPE is intended to be equivalent to Reid Vapor
  Pressure using a different test method.

    (2) The following specifications apply for fuels used during service 
accumulation for certification:
    (i) Unleaded gasoline and engine lubricants representative of 
commercial fuels and engine lubricants which will be generally available 
through retail outlets shall be used in service accumulation.
    (ii) The octane rating of the gasoline used shall be no higher than 
4.0 Research octane numbers above the minimum recommended by the 
manufacturer.
    (iii) The Reid Vapor Pressure of the gasoline used shall be 
characteristic of commercial gasoline fuel during the season in which 
the service accumulation takes place.
    (b) Methanol fuel. (1) Methanol fuel used for exhaust and 
evaporative emission testing and in service accumulation of methanol-
fueled motorcycles

[[Page 787]]

shall be representative of commercially available methanol fuel and 
shall consist of at least 50 percent methanol by volume.
    (2) Manufacturers shall recommend the methanol fuel to be used for 
testing and service accumulation in accordance with paragraph (b)(1) of 
this section.
    (3) The Administrator shall determine the methanol fuel to be used 
for testing and service accumulation.
    (4) Other methanol fuels may be used for testing and service 
accumulation provided:
    (i) They are commercially available; and
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Use of a fuel listed under paragraphs (b)(1), (b)(2) or (b)(3) 
of this section would have a detrimental effect on emissions or 
durability; and
    (iv) Written approval from the Administrator of the fuel 
specifications must be provided prior to the start of testing.
    (c) Mixtures of petroleum and methanol fuels for flexible fuel 
motorcycles. (1) Mixtures of petroleum and methanol fuels used for 
exhaust and evaporative emission testing and service accumulation for 
flexible fuel motorcycles shall consist of the petroleum fuel listed in 
paragraph (a) of this section and the methanol fuel listed in paragraph 
(b), and shall be within the range of fuel mixtures for which the 
vehicle was designed, as reported in accordance with Sec.  86.90-21. The 
Administrator may use any fuel or fuel mixture within this range for 
testing.
    (2) The fuel mixtures used by the manufacturers shall be sufficient 
to demonstrate compliance over the full design range, and shall include:
    (i) For emission testing,
    (A) The petroleum fuel specified in paragraph (a) or (b),
    (B) A methanol fuel representative of the methanol fuel expected to 
the found in use, as specified in paragraph (b),
    (ii) For service accumulation, an alternating combination of the 
fuels specified in paragraphs (a) and (b) will be used to demonstrate 
the durability of the emission control systems based on good engineering 
judgement. The combination shall be selected such that the cumulative 
volumes of both the methanol fuel and the petroleum fuel used shall be 
at least twenty-five percent of the total fuel volume. The fuels shall 
be alternated at mileage intervals not to exceed 1,000 kilometers.
    (3) The specification range of the fuels to be used under paragraph 
(c) of this section shall be reported in accordance with Sec.  86.094-
21.
    (d) Natural gas fuel. (1) Natural gas meeting the following 
specifications, or substantially equivalent specifications approved by 
the Administrator, must be used for exhaust and evaporative emission 
testing:

     Table 2 of Sec.   86.513--Natural Gas Test Fuel Specifications
------------------------------------------------------------------------
                 Item                              Value \1\
------------------------------------------------------------------------
Methane, CH4.........................  Minimum, 89.0 mole percent.
Ethane, C2H6.........................  Maximum, 4.5 mole percent.
C3 and higher........................  Maximum, 2.3 mole percent.
C6 and higher........................  Maximum, 0.2 mole percent.
Oxygen...............................  Maximum, 0.6 mole percent.
Inert gases (sum of CO2 and N2)......  Maximum, 4.0 mole percent.
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D1945
  (incorporated by reference in Sec.   86.1).

    (2) The natural gas at ambient conditions must have a distinctive 
odor potent enough for its presence to be detected down to a 
concentration in air of not over one-fifth of the lower limit of 
flammability.
    (3) Natural gas fuel and engine lubricants representative of 
commercial fuels and engine lubricants generally available through 
retail outlets shall be used in service accumulation.
    (4) A natural gas fuel meeting different specifications may be used 
for testing and service accumulation if all the following conditions are 
met:
    (i) The alternate test fuel is commercially available.
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel will be used in customer service.
    (iii) The Administrator must provide advance written approval for 
the alternate test fuel.

[[Page 788]]

    (e) Liquefied petroleum gas-fuel. (1) Liquefied petroleum gas-fuel 
used for exhaust and evaporative emission testing and in service 
accumulation of liquefied petroleum gas-fueled motorcycles shall be 
commercially available liquefied petroleum gas-fuel.
    (2) Manufacturers shall recommend the liquefied petroleum gas-fuel 
to be used for testing and service accumulation in accordance with 
paragraph (e)(1) of this section.
    (3) The Administrator shall determine the liquefied petroleum gas-
fuel to be used for testing and service accumulation.
    (4) Other liquefied petroleum gas-fuels may be used for testing and 
service accumulation provided:
    (i) They are commercially available;
    (ii) Information, acceptable to the Administrator, is provided to 
show that only the designated fuel would be used in customer service; 
and
    (iii) Written approval from the Administrator of the fuel 
specifications must be provided prior to the start of testing.
    (f) Lubricants. (1) If the manufacturer specifies several lubricants 
to be used by the ultimate purchaser, the Administrator will select one 
to be used during service accumulation.
    (2) The same lubricant(s) shall be used for both service 
accumulation and emission testing.
    (g) The specification range of the fuels and of the engine 
lubricants to be used under paragraphs (a), (b), (c), (d) and (e) of 
this section shall be reported in accordance with Sec.  86.416.
    (h) Written approval from the Administrator of the fuel and 
lubricant specifications must be provided prior to the start of testing.

[59 FR 48512, Sept. 21, 1994, as amended at 60 FR 34354, June 30, 1995. 
Redesignated and amended at 79 FR 23699, Apr. 28, 2014; 80 FR 9103, Feb. 
19, 2015]



Sec.  86.514-78  Analytical gases.

    (a) Analyzer gases. (1) Gases for the CO and CO2 
analyzers shall be single blends of CO and CO2 respectively 
using nitrogen as the diluent.
    (2) Gases for the THC analyzer shall be:
    (i) Single blends of propane using air as the diluent; and
    (ii) Optionally, for response factor determination, single blends of 
methanol using air as the diluent.
    (3) Gases for the NOX analyzer shall be single blends of 
NO named as NOX with a maximum NO2 concentration 
of 5 percent of the nominal value using nitrogen as the diluent.
    (4) [Reserved]
    (5) The allowable zero gas (air or nitrogen) impurity concentrations 
shall not exceed 1 ppm equivalent carbon response, 1 ppm carbon 
monoxide, 0.04 percent (400 ppm) carbon dioxide, and 0.1 ppm nitric 
oxide.
    (6) ``Zero grade air'' includes artificial ``air'' consisting of a 
blend of nitrogen and oxygen with oxygen concentrations between 18 and 
21 mole percent.
    (7) The use of proportioning and precision blending devices to 
obtain the required analyzer gas concentrations is allowable provided 
their use has been approved in advance by the Administrator.
    (b) Calibration gases (not including methanol) shall be known to 
within 2 percent of true values.
    (c) Methanol in air gases used for response factor determination 
shall:
    (1) Be traceable to within 2 percent of NIST 
(formerly NBS) gas standards, or other gas standards which have been 
approved by the Administrator; and
    (2) Remain within 2 percent of the labeled 
concentration. Demonstration of stability shall be based on a quarterly 
measurement procedure with a precision of 2 
percent (two standard deviations), or other method approved by the 
Administrator. The measurement procedure may incorporate multiple 
measurements. If the true concentration of the gas changes by more than 
two percent, but less than ten percent, the gas may be relabeled with 
the new concentration.

[42 FR 1137, Jan. 5, 1977, as amended at 60 FR 34354, June 30, 1995]



Sec.  86.515-78  EPA urban dynamometer driving schedule.

    (a) The dynamometer driving schedules are listed in appendix I. The 
driving schedules are defined by a smooth trace drawn through the 
specified

[[Page 789]]

speed vs. time relationships. They consist of a nonrepetitive series of 
idle, acceleration, cruise, and deceleration modes of various time 
sequences and rates. Appropriate driving schedules are as follows:
    (1) Class I--Appendix I(b).
    (2) Class II--Appendix I(a)(2).
    (3) Class III--Appendix I(a)(2).
    (b) The speed tolerance at any given time on the dynamometer driving 
schedule prescribed in appendix I or as printed on a driver's aid chart 
approved by the Administrator, when conducted to meet the requirements 
of Sec.  86.537 is defined by upper and lower limits. The upper limit is 
3.2 km/h (2 mph) higher than the highest point on the trace within 1 
second of the given time. The lower limit is 3.2 km/h (2 mph) lower than 
the lowest point on the trace within 1 second of the given time. Speed 
variations greater than the tolerances (such as may occur during gear 
changes) are acceptable provided they occur for less than 2 seconds on 
any occasion. Speeds lower than those prescribed are acceptable provided 
the vehicle is operated at maximum available power during such 
occurrences. When conducted to meet the requirements of Sec.  86.532 the 
speed tolerance shall be as specified above, except that the upper and 
lower limits shall be 6.4 km/h (4 mph).
    (c) Figure F78-4 shows the range of acceptable speed tolerances for 
typical points. Figure F78-4(a) is typical of portions of the speed 
curve which are increasing or decreasing throughout the two second time 
interval. Figure F78-4(b) is typical of portions of the speed curve 
which include a maximum or minimum value.
[GRAPHIC] [TIFF OMITTED] TR06OC93.177

    (d) For motorcycles with an engine displacement less than 50 cc and 
a top speed less than 58.7 km/hr (36.5 mph), the speed indicated for 
each second of operation on the applicable Class I driving trace (speed 
versus time sequence) specified in appendix I(b) shall be adjusted 
downward by the ratio of actual top speed to specified maximum test 
speed. Calculate the ratio with three significant figures by dividing 
the top speed of the motorcycle in km/hr by 58.7. For example, for a 
motorcycle with a top speed of 48.3 km/hr (30 mph), the ratio would be 
48.3/58.7 = 0.823. The top speed to be used under this section shall be 
indicated in the manufacturer's application for certification, and shall 
be the highest sustainable speed of the motorcycle with an 80 kg rider 
on a flat paved surface. If the motorcycle is equipped with a permanent 
speed governor that is unlikely to be removed in actual use, measure the 
top speed in the governed configuration; otherwise measure the

[[Page 790]]

top speed in the ungoverned configuration.

[42 FR 1137, Jan. 5, 1977, as amended at 69 FR 2441, Jan. 15, 2004; 79 
FR 23700, Apr. 28, 2014]



Sec.  86.516-90  Calibrations, frequency and overview.

    (a) Calibrations shall be performed as specified in Sec. Sec.  
86.517 through 86.526.
    (b) [Reserved]
    (c) At least monthly or after any maintenance which could alter 
calibration, the following calibrations and checks shall be performed:
    (1) Calibrate the hydrocarbon analyzer, methane analyzer, carbon 
dioxide analyzer, carbon monoxide analyzer, and oxides of nitrogen 
analyzer (certain analyzers may require more frequent calibration 
depending on particular equipment and uses).
    (2) Calibrate the dynamometer. If the dynamometer receives a weekly 
performance check (and remains within calibration), the monthly 
calibration need not be performed.
    (3) Check the oxides of nitrogen converter efficiency.
    (d) At least weekly or after any maintenance which could alter 
calibration, the following calibrations and checks shall be performed:
    (1) [Reserved]
    (2) Perform a CVS system verification, and
    (3) Run a performance check on the dynamometer. This check may be 
omitted if the dynamometer has been calibrated within the preceding 
month.
    (e) The CVS positive displacement pump or Critical Flow Venturi 
shall be calibrated following initial installation, major maintenance or 
as necessary when indicated by the CVS system verification (described in 
Sec.  86.519).
    (f) Sample conditioning columns, if used in the CO analyzer train, 
should be checked at a frequency consistent with observed column life or 
when the indicator of the column packing begins to show deterioration.

[54 FR 14546, Apr. 11, 1989, as amended at 58 FR 58423, Nov. 1, 1993; 60 
FR 34354, June 30, 1995]



Sec.  86.518-78  Dynamometer calibration.

    (a) The dynamometer shall be calibrated at least once each month or 
performance verified at least once each week and then calibrated as 
required. The dynamometer is driven above the test speed range. The 
device used to drive the dynamometer is then disengaged from the 
dynamometer and the roll is allowed to coast down. The kinetic energy of 
the system is dissipated by the dynamometer. This method neglects the 
variations in roll bearing friction due to the drive axle weight of the 
vehicle.
    (b) Calibration shall consist of coasting down the dynamometer for 
each inertia load combination used. Coastdown times for the interval 
from 70 to 60 km/h shall be within the tolerances specified in Sec.  
86.529. The dynamometer adjustments necessary to produce these results 
shall be noted for future reference.
    (c) The performance check consists of conducting a dynamometer 
coastdown at one or more inertia-horsepower settings and comparing the 
coastdown time to the table in Figure F98-9 of Sec.  86.529-98. If the 
coastdown time is outside the tolerance, a new calibration is required.

[42 FR 1137, Jan. 5, 1977, as amended at 63 FR 11849, Mar. 11, 1998]



Sec.  86.519-90  Constant volume sampler calibration.

    (a) The CVS (Constant Volume Sampler) is calibrated using an 
accurate flowmeter and restrictor valve. Measurements of various 
parameters are made and related to flow through the unit. Procedures 
used by EPA for both PDP (Positive Displacement Pump) and CFV (Critical 
Flow Venturi) are outlined below. Other procedures yielding equivalent 
results may be used if approved in advance by the Administrator. After 
the calibration curve has been obtained, verification of the entire 
system can be performed by injecting a known mass of gas into the system 
and comparing the mass indicated by the system to the true mass 
injected. An indicated error does not necessarily mean that the 
calibration is wrong, since other factors can influence the accuracy of 
the system, e.g., analyzer calibration. A verification procedure is 
found in paragraph (d) of this section.
    (b) PDP calibration. (1) The following calibration procedures 
outlines the

[[Page 791]]

equipment, the test configuration, and the various parameters which must 
be measured to establish the flow rate of the constant volume sampler 
pump. All the parameters related to the pump are simultaneously measured 
with the parameters related to a flowmeter which is connected in series 
with the pump. The calculated flow rate (at pump inlet absolute pressure 
and temperature) can then be plotted versus a correlation function which 
is the value of a specific combination of pump parameters. The linear 
equation which relates the pump flow and the correlation function is 
then determined. In the event that a CVS has a multiple speed drive, a 
calibration for each range must be performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Three conditions must be maintained to assure 
the accuracy and integrity of the calibration curve. First, the pump 
pressures should be measured at taps on the pump rather than at the 
external piping on the pump inlet and outlet. Pressure taps that are 
mounted at the top center and bottom center of the pump drive headplate 
are exposed to the actual pump cavity pressures, and therefore reflect 
the absolute pressure differentials. Secondly, temperature stability 
must be maintained during the calibration. The laminar flowmeter is 
sensitive to inlet temperature oscillations which cause the data points 
to be scattered. Gradual changes (1 [deg]C (1.8 [deg]F)) in temperature are acceptable as long as 
they occur over a period of several minutes. Finally, all connections 
between the flowmeter and the CVS pump must be absolutely void of any 
leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure F78-5. Although particular 
types of equipment are shown, other configurations that yield equivalent 
results may be used if approved in advance by the Administrator. For the 
system indicated, the following data with given accuracy are required:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
              Parameter                         Symbol                   Units                  Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure corrected........  PB.....................  kPa (in. Hg)...........  0.03 kPa (0.01
                                                                                          in. Hg)
Ambient temperature..................  TA.....................  [deg]C ([deg]F)........  0.3 [deg]C (0.54
                                                                                          [deg]F)
Air Temperature into LFE.............  ETI....................  [deg]C ([deg]F)........  0.15 [deg]C (0.27
                                                                                          [deg]F)
Pressure depression upstream of LFE..  EPI....................  kPa (in. H2O)..........  0.01 kPa (0.05
                                                                                          in. H2O)
Pressure drop across the LFE matrix..  EDP....................  kPa (in. H2O)..........  0.001 kPa (0.005
                                                                                          in. H2O)
Air temperature at CVS pump inlet....  PTI....................  [deg]C ([deg]F)........  0.25 [deg]C (0.45
                                                                                          [deg]F)
Pressure depression at CVS pump inlet  PPI....................  kPa (in. Fluid)........  0.021 kPa (0.046
                                                                                          in. Fluid)
Specific gravity of manometer fluid    Sp Gr..................  .......................  .......................
 (1.75 oil)..
Pressure head at CVS pump outlet.....  PPO....................  kPa (in. Fluid)........  0.21 kPa (0.046
                                                                                          in. Fluid)
Air temperature at CVS pump outlet     PTO....................  [deg]C ([deg]F)........  0.25 [deg]C (0.45
                                                                                          [deg]F)
Pump revolutions during test period..  N......................  Revs...................  l
                                                                                          Rev.
Elapsed time for test period.........  t......................  sec....................  0.05 sec.
----------------------------------------------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure F78-6, 
set the variable restrictor in the wide open position and run the CVS 
pump for twenty minutes. Record the calibration data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression (about 1.0 kPa (4 in. 
H2O)) that will yield a minimum of six data points for the 
total calibration. Allow the system to stabilize for 3 minutes and 
repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated from the flowmeter data using the manufacturers' prescribed 
method.
    (ii) The air flow rate is then converted to pump flow, Vo 
in m\3\ per revolution at absolute pump inlet temperature and pressure.

Vo = (Qs/n) x (Tp/293) x (101.3/
Pp)


[[Page 792]]



Where:

    (A) Vo = Pump flow, m\3\/rev (ft\3\/rev) at 
Tp, Pp.
    (B) Qs = Meter air flow rate in standard cubic meters per 
minute; standard conditions are 20 [deg]C, 101.3 kPa (68 [deg]F, 29.92 
in. Hg).
    (C) n = Pump speed in revolutions per minute.
    (D)(1) Tp = Pump inlet temperature, ([deg]K) = PTI + 273.
    (2) For English units, Tp = PTI + 460.
    (E)(1) Pp = Absolute pump inlet pressure, kPa (in. Hg) = 
PB - PPI.

    (2) For English units, Pp = PB - PPI(SP.GR./
13.57).


Where:
    (F) PB = barometric pressure, kPa (in. Hg.).
    (G) PPI = Pump inlet depression, kPa (in. fluid).
    (H) SP.GR. = Specific gravity of manometer fluid relative to water.
    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR06OC93.105


Where:
    (A) Xo = correlation function.
    (B) [Delta] Pp = The pressure differential from pump 
inlet to pump outlet, kPa (in. Hg) = Pe - Pp.
    (C)(1) Pe = Absolute pump outlet pressure, kPa (in. Hg) = 
PB + PPO.
    (2) For English units, Pe = PB + PPO(SP.GR./
13.57).

Where:
    (D) PPO = Pressure head at pump outlet, kPa (in. fluid).
    (iv) A linear least squares fit is performed to generate the 
calibration equations which have the forms:
    Vo = Do - M(Xo)
    n = A - B([Delta] Pp)
    D0' M, A, and B are the slope-intercept constants, 
describing the lines.
    (8) A CVS system that has multiple speeds shall be calibrated on 
each speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, D0' will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within 0.50 
percent of the measured value of Vo. Values of M will vary 
from one pump to another, but values of Do for pumps of the 
same make, model, and range should agree within 3 
percent of each other. Particulate influx from use will cause the pump 
slip to decrease as reflected by lower values for M. Calibrations should 
be performed at pump startup and after major maintenance to assure the 
stability of the pump slip rate. Analysis of mass injection data will 
also reflect pump slip stability.
    (c) CFV calibration. (1) Calibration of the Critical Flow Venturi 
(CFV) is based upon the flow equation for a critical venturi. Gas flow 
is a function of inlet pressure and temperature:
[GRAPHIC] [TIFF OMITTED] TR06OC93.106


Where:
    (i) Qs = Flow.
    (ii) Kv = Calibration coefficient.
    (iii) P = Absolute pressure.
    (iv) T = Absolute temperature.
    The calibration procedure described below establishes the value of 
the calibration coefficient at the measured values of pressure, 
temperature and air flow.
    (2) The manufacturer's recommended procedure shall be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
              Parameter                         Symbol                   Units                  Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)......  PB.....................  kPa (in. Hg)...........  0.03 kPa (0.01
                                                                                          in. Hg)
Air temperature, flowmeter...........  ETI....................  [deg]C ([deg]F)........  0.15 [deg]C (0.27
                                                                                          [deg]F)
Pressure depression upstream of LFE..  EPI....................  kPa (in. H2O)..........  0.01kPa (0.05
                                                                                          in. H2O)
Pressure drop across LFE matrix......  EDP....................  kPa (in. H2O)..........  0.001 kPa (0.005
                                                                                          in. H2O)
Air flow.............................  Qs.....................  m\3\/min (ft\3\/min)...  0.5%
CFV inlet depression.................  PPI....................  kPa (in. fluid)........  0.02 kPa (0.05
                                                                                          in. fluid)
Temperature at venturi inlet.........  Tv.....................  [deg]C ([deg]F)........  0.25 [deg]C (0.45
                                                                                          [deg]F)

[[Page 793]]

 
Specific gravity of manometer fluid    Sp Gr..................  . . ...................  . . .
 (1.75 oil).
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure F78-6 and check for leaks. 
Any leaks between the flow measuring device and the critical flow 
venturi will seriously affect the accuracy of the calibration.
    (5) Set the variable flow restrictor to the open position, start the 
blower and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least 8 readings across the 
critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) The air flow rate, Qs, at each test point is 
calculated from the flowmeter data using the manufacturer's prescribed 
method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR06OC93.107


Where:
    (A) Qs = Flow rate in m\3\/minute, standard conditions 
are 20 [deg]C, 101.3 kPa (68 [deg]F, 29.92 in. Hg)
    (B) Tv = Temperature at venturi inlet, [deg]K([deg]R).
    (C)(1) Pv = Pressure at venturi inlet, kPa (mm Hg) = 
PB-PPI.
    (2) For English units, Pv = PB - PPI (SP.GR./
13.57).

Where:
    (D) PPI = Venturi inlet pressure depression, kPa (in. fluid).
    (E) SP.GR. = Specific gravity of manometer fluid, relative to water.
    (iii) Plot Kv as a function of venturi inlet depression. 
For sonic flow, Kv will have a relatively constant value. As 
pressure decreases (vacuum increases), the venturi becomes unchoked and 
Kv decreases (is no longer constant). See Figure F78-7.
    (iv) For a minimum of 8 points in the critical region, calculate an 
average Kv and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average 
Kv, take corrective action.
    (d) CVS system verification. The following ``gravimetric'' technique 
can be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
If the CVS and analytical system will be used only in the testing of 
gasoline-fueled vehicles, the system verification may be performed using 
either propane or carbon monoxide. If the CVS and analytical system will 
be used with methanol-fueled vehicles as well as gasoline-fueled 
vehicles, system verification performance check must include a methanol 
check in addition to either the propane or carbon monoxide check. 
(Verification can also be accomplished by constant flow metering using 
critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with pure propane 
or carbon monoxide gas (CAUTION--carbon monoxide is poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane or carbon monoxide into the system during the sampling 
period (approximately 5 minutes).
    (4) Following completion of step (3) above (if methanol injection is 
required), continue to operate the CVS in the normal manner and release 
a known quantity of pure methanol (in gaseous form) into the system 
during the sampling period (approximately 5 minutes). This step does not 
need to be performed with each verification, provided that it is 
performed at least twice annually.
    (5) The calculations of Sec.  86.544 are performed in the normal way 
except in the case of propane. The density of propane (0.6109 kg/m\3\/
carbon atom (17.30 g/ft\3\/carbon atom)) is used in place of the density 
of exhaust hydrocarbons. In the case of carbon monoxide, the density of 
1.164 kg/m\3\ (32.97 g/ft\3\) is used.

[[Page 794]]

In the case of methanol, the density of 1.332 kg/m\3\ (37.71 g/ft\3\) is 
used.
    (6) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (7) The cause for any discrepancy greater than 2 percent must be found and corrected. The 
Administrator, upon request, may waive the requirement to comply with 
2 percent methanol recovery tolerance, and instead 
require compliance with a higher tolerance (not to exceed 6 percent), provided that:
    (i) The Administrator determines that compliance with the specified 
tolerance is not practically feasible; and
    (ii) The manufacturer makes information available to the 
Administrator which indicates that the calibration tests and their 
results are consistent with good laboratory practice, and that the 
results are consistent with the results of calibration testing conducted 
by the Administrator.

[54 FR 14546, Apr. 11, 1989, as amended at 60 FR 34355, June 30, 1995]



Sec.  86.521-90  Hydrocarbon analyzer calibration.

    (a) The FID hydrocarbon analyzer shall receive the following initial 
and periodic calibration. The HFID used with methanol-fueled vehicles 
shall be operated at 235 [deg]F15 [deg]F (113 
[deg]C8 [deg]C).
    (b) Initial and periodic optimization of detector response. Prior to 
its introduction into service and at least annually thereafter, the FID 
hydrocarbon analyzer shall be adjusted for optimum hydrocarbon response. 
Analyzers used with petroleum fuels and liquefied petroleum gas-fuel 
shall be optimized using propane. Analyzers used with natural gas-fuel 
for measurement of hydrocarbons shall be optimized using methane. If a 
single analyzer is used for all measurements, it shall be optimized 
using propane and its response factor for methane shall be determined 
and accounted for in measurements of total hydrocarbons from natural 
gas-fuel. Alternate methods yielding equivalent results may be used, if 
approved in advance by the Administrator.
    (1) Follow the manufacturer's instructions or good engineering 
practice for instrument startup and basic operating adjustment using the 
appropriate FID fuel and zero-grade air.
    (2) Optimize on the most common operating range. Introduce into the 
analyzer a propane (methane as appropriate) in air mixture (methanol in 
air mixture for methanol-fueled vehicles when optional methanol 
calibrated FID procedure is used during the 1990 through 1994 model 
year) with a propane (or methane or methanol as appropriate) 
concentration equal to approximately 90 percent of the most common 
operating range.
    (3) Select an operating FID fuel flow rate that will give near 
maximum response and least variation in response with minor fuel flow 
variations.
    (4) To determine the optimum air flow, use the FID fuel flow setting 
determined above and vary air flow.
    (5) After the optimum flow rates have been determined, record them 
for future reference.
    (c) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter the FID hydrocarbon analyzer shall be 
calibrated on all normally used instrument ranges, and, if applicable, 
the methanol response factor shall be determined (paragraph (d) of this 
section). Use the same flow rate as when analyzing sample.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with zero grade air.
    (3) Calibrate on each normally used operating range with propane in 
air (or methanol or methane in air as appropriate) calibration gases 
having nominal concentrations of 15, 30, 45, 60, 75 and 90 percent of 
that range. For each range calibrated, if the deviation from a least 
squares best-fit straight line is two percent or less of the value at 
each data point, concentration values may be calculated by use of a 
single calibration factor for that range. If the deviation exceeds two 
percent at any point, the best-fit non-linear equation which represents 
the data to within two percent of each test point shall be used to 
determine concentration.
    (d) FID response factor to methanol. When the FID analyzer is to be 
used for the analysis of hydrocarbon samples

[[Page 795]]

containing methanol, the methanol response factor of the analyzer shall 
be established. The methanol response factor shall be determined at 
several concentrations in the range of concentrations in the exhaust 
sample, using either bag samples or gas bottles meeting the requirements 
of Sec.  86.514.
    (1) The bag sample, if used, of methanol for analysis in the FID 
shall be prepared using the apparatus shown in Figure F90-4. A known 
volume of methanol is injected, using a microliter syringe, into the 
heated mixing zone (250 [deg]F (121 [deg]C)) of the apparatus. The 
methanol is vaporized and swept into the sample bag with a known volume 
of zero grade air measured by a gas flow meter meeting the performance 
requirements of Sec.  86.120.

[[Page 796]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.180

    (2) The bag sample is analyzed using the FID.
    (3) The FID response factor, r, is calculated as follows:
    r = FIDppm/SAMppm

Where:
    (i) r = FID response factor.

[[Page 797]]

    (ii) FIDppm = FID reading, ppmC.
    (iii) SAMppm = methanol concentration in the sample bag, or gas 
bottle, in ppmC. SAMppm for sample bags:
[GRAPHIC] [TIFF OMITTED] TR06OC93.108


Where:
    (iv) 0.02406 = Volume of one mole at 101.3 kPa (29.92 in. Hg) and 20 
[deg]C (68 [deg]F), m\3\.
    (v) Fuel injected = Volume of methanol injected, ml.
    (vi) Fuel Density = Density of methanol, 0.7914 g/ml
    (vii) Air volume = Volume of zero grade air, m\3\
    (viii) Mol. Wt. CH3OH = 32.04
    (e) FID response factor to methane. When the FID analyzer is to be 
used for the analysis of natural gas-fueled motorcycle hydrocarbon 
samples, the methane response factor of the analyzer shall be 
established. To determine the total hydrocarbon FID response to methane, 
known methane in air concentrations traceable to National Institute of 
Standards and Technology (NIST) shall be analyzed by the FID. Several 
methane concentrations shall be analyzed by the FID in the range of 
concentrations in the exhaust sample. The total hydrocarbon FID response 
to methane is calculated as follows:
rCH4 = FIDppm/SAMppm

Where:
(1) rCH4 = FID response factor to methane.
(2) FIDppm = FID reading in ppmC.
(3) SAMppm = the known methane concentration in ppmC.

[54 FR 14546, Apr. 11, 1989, as amended at 59 FR 48514, Sept. 21, 1994; 
60 FR 34355, June 30, 1995]



Sec.  86.522-78  Carbon monoxide analyzer calibration.

    (a) Initial and periodic interference check. Prior to its 
introduction into service and annually thereafter the NDIR carbon 
monoxide analyzer shall be checked for response to water vapor and 
CO2:
    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance on the most 
sensitive range.
    (2) Zero the carbon monoxide analyzer with either zero grade air or 
zero grade nitrogen.
    (3) Bubble a mixture of 3 percent CO2 in N2 
through water at room temperature and record analyzer response.
    (4) An analyzer response of more than 1 percent of full scale for 
ranges above 300 ppm full scale or of more than 3 ppm on ranges below 
300 ppm full scale will require corrective action. (Use of conditioning 
columns is one form of corrective action which may be taken.)
    (b) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter the NDIR carbon monoxide analyzer shall 
be calibrated.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either zero grade air or 
zero grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
monoxide in N2 calibration gases having nominal 
concentrations of 15, 30, 45, 60, 75, and 90 percent of that range. 
Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is 2 percent or less of the value at each data point, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds 2 percent at any point, the best-fit 
non-linear equation which represents the data to within 2 percent of 
each test point shall be used to determine concentration.



Sec.  86.523-78  Oxides of nitrogen analyzer calibration.

    (a) Prior to introduction into service and at least monthly 
thereafter, if oxides of nitrogen are measured, the chemiluminescent 
oxides of nitrogen analyzer must be checked for NO2 to NO 
converter efficiency. Figure F78-8 is a reference for paragraphs (a) (1) 
through (11) of this section.

[[Page 798]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.181

    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero grade air or zero 
grade nitrogen.
    (3) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (4) Introduce into the NOX generator analyzer-system a NO 
in nitrogen (N2) mixture with a NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture shall be less than 5 percent 
of the NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (6) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
step 5. Record the concentration of NO in this NO + O2 
mixture.
    (7) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on

[[Page 799]]

the analyzer is 20 percent of that measured in step 5. There must be at 
least 10 percent unreacted NO at this point. Record the concentration of 
residual NO.
    (8) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value.
    (9) Switch off the NOX generation but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO + O2 mixture. Record this value.
    (10) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO in N2 mixture. This value should be no more than 
5 percent above the value indicated in step 4.
    (11) Calculate the efficiency of the NOX converter by 
substituting the concentrations obtained into the following equation:

Percent Efficiency = [1 + (a - b)/(c - d)] x 100

where:

a = concentration obtained in step (8).
b = concentration obtained in step (9).
c = concentration obtained in step (6).
d = concentration obtained in step (7).


If converter efficiency is not greater than 90 percent corrective action 
will be required.
    (b) Initial and periodic calibration. Prior to its introduction into 
service and monthly thereafter, if oxides of nitrogen are measured, the 
chemiluminescent oxides of nitrogen analyzer shall be calibrated on all 
normally used instrument ranges. Use the same flow rate as when 
analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero grade air or zero 
grade nitrogen.
    (3) Calibrate on each normally used operating range with NO in 
N2 calibration gases with nominal concentrations of 50 and 
100 percent of that range. Additional calibration points may be 
generated.
    (c) When testing methanol-fueled motorcycles, it may be necessary to 
clean the analyzer frequently to prevent interference with 
NOX measurements (see EPA/600/S3-88/040).

[42 FR 1137, Jan. 5, 1977, as amended at 52 FR 47870, Dec. 16, 1987; 58 
FR 58423, Nov. 1, 1993; 60 FR 34357, June 30, 1995]



Sec.  86.524-78  Carbon dioxide analyzer calibration.

    (a) Prior to its introduction into service and monthly thereafter 
the NDIR carbon dioxide analyzer shall be calibrated:
    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either zero grade air or 
zero grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide in N2 calibration gases with nominal concentrations 
of 15, 30, 45, 60, 75, and 90 percent of that range. Additional 
calibration points may be generated. For each range calibrated, if the 
deviation from a least-squares best-fit straight line is 2 percent or 
less of the value at each data point, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds 2 percent at any point, the best-fit non-linear 
equation which represents the data to within 2 percent of each test 
point shall be used to determine concentration.
    (b) [Reserved]



Sec.  86.526-90  Calibration of other equipment.

    Other test equipment used for testing shall be calibrated as often 
as required by the manufacturer or as necessary according to good 
practice. Specific equipment requiring calibration is the gas 
chromatograph and flame ionization detector used in measuring methanol 
and the high pressure liquid chromatograph (HPLC) and ultraviolet 
detector for measuring formaldehyde.

[54 FR 14551, Apr. 11, 1989]



Sec.  86.527-90  Test procedures, overview.

    (a) The procedures described in this and subsequent sections are 
used to determine the conformity of motorcycles with the standards set 
forth in subpart E of this part.

[[Page 800]]

    (b) The overall test consists of prescribed sequences of fueling, 
parking, and operating conditions.
    (c) The exhaust emission test is designed to determine hydrocarbon 
(gasoline-fueled, natural gas-fueled and liquefied petroleum gas-fueled 
motorcycles), methanol, formaldehyde, and hydrocarbon (methanol-fueled 
motorcycles), carbon monoxide and oxides of nitrogen mass emissions 
while simulating an average trip in an urban area. The test consists of 
engine startups and motorcycle operation on a chassis dynamometer, 
through a specified driving schedule. A proportional part of the diluted 
exhaust emissions is collected continuously for subsequent analysis, 
using a constant volume (variable dilution) sampler.
    (d) Except in cases of component malfunction or failure, all 
emission control systems installed on or incorporated in a new 
motorcycle shall be functioning during all procedures in this subpart. 
Maintenance to correct component malfunction or failure shall be 
authorized in accordance with subpart E of this part.
    (e) Background concentrations are measured for all species for which 
emissions measurements are made. For exhaust testing, this requires 
sampling and analysis of the dilution air. (When testing methanol-fueled 
motorcycles, manufacturers may choose not to measure background 
concentrations of methanol and/or formaldehyde, and then assume that the 
concentrations are zero during calculations.)

[54 FR 14551, Apr. 11, 1989, as amended at 59 FR 48515, Sept. 21, 1994; 
60 FR 34357, June 30, 1995]



Sec.  86.528-78  Transmissions.

    (a) Vehicles equipped with transfer cases, multiple sprockets, etc., 
shall be tested in the manufacturer's recommended configuration for 
street or highway use. If more than one configuration is recommended or 
if the recommendation is deemed unreasonable by the Administrator, the 
Administrator will specify the test configuration.
    (b) All tests shall be conducted with automatic transmissions in 
``Drive'' (highest gear). Automatic clutch-torque converter 
transmissions may be shifted as manual transmissions at the option of 
the manufacturer.
    (c) Idle modes shall be run with automatic transmissions in 
``Drive'' and the wheels braked, manual transmission shall be in gear 
with the clutch disengaged; except first idle, see Sec. Sec.  86.536 and 
86.537.
    (d) The vehicle shall be driven with minimum throttle movement to 
maintain the desired speed. No simultaneous use of brake and throttle 
shall be permitted.
    (e) Acceleration modes shall be driven smoothly. Automatic 
transmissions shall shift automatically through the normal sequence of 
gears; manual transmissions shall be shifted as recommended by the 
manufacturer to the ultimate purchaser (unless determined to be 
unreasonable by the Administrator) with the operator closing the 
throttle during each shift and accomplishing the shift with minimum 
time. If the vehicle cannot accelerate at the specified rate, the 
vehicle shall be operated with the throttle fully opened until the 
vehicle speed reaches the value prescribed for that time in the driving 
schedule.
    (f) The deceleration modes shall be run in gear using brakes or 
throttle as necessary to maintain the desired speed. Manual transmission 
vehicles shall be downshifted using the same shift points as when 
upshifting or as recommended by the manufacturer in the vehicle owner's 
manual. All downshifts shall be made smoothly, disengaging the clutch 
while shifting and engaging the clutch once the lower gear has been 
selected. For those modes which require the vehicle to decelerate to 
zero, manual transmission clutches shall be disengaged when the speed 
drops below 15 km/h (9.3 mph) for vehicles with engine displacements 
equal to or greater than 280 cc (17.1 cu. in.), when the speed drops 
below 10 km/h (6.2 mph) for vehicles with engine displacements less than 
280 cc (17.1 cu. in.), when engine roughness is evident, or when engine 
stalling is imminent.
    (g) If downshifting during deceleration is not permitted in the 
vehicle owner's manual, manual transmissions will be downshifted at the 
beginning of or during a power mode if recommended by the manufacturer 
or if

[[Page 801]]

the engine obviously is lugging. For those modes which require these 
vehicles to decelerate to zero, manual transmission clutches shall be 
disengaged when the speed drops below 25 km/h (15.5 mph) for vehicles 
with engine displacement equal to or greater than 280 cc (17.1 cu. in.), 
when the speed drops below 20 km/h (12.4 mph) for vehicles with engine 
displacements less than 280 cc (17.1 cu. in.), when engine roughness is 
evident, or when engine stalling is imminent. While the clutch is 
disengaged and during these deceleration modes, the vehicle shall be 
shifted to the appropriate gear for starting the next mode.
    (h) If shift speeds are not recommended by the manufacturer, manual 
transmission vehicles shall be shifted as follows:
    (1) For Class I and II motorcycles:

------------------------------------------------------------------------
                Shift                                Speed
------------------------------------------------------------------------
1st to 2d gear.......................  19 km/h (11.8 mi/h).
2d to 3d gear........................  33 km/h (20.5 mi/h).
3d to 4th gear.......................  44 km/h (27.3 mi/h).
4th to 5th gear......................  53 km/h (32.9 mi/h).
------------------------------------------------------------------------

    (2) For Class III motorcycles:

------------------------------------------------------------------------
                Shift                                Speed
------------------------------------------------------------------------
1st to 2d gear.......................  30 km/h (18.6 mi/h).
2d to 3d gear........................  45 km/h (28.0 mi/h).
3d to 4th gear.......................  60 km/h (37.3 mi/h).
4th to 5th gear......................  75 km/h (46.6 mi/h).
------------------------------------------------------------------------

    (3) Higher gears may be used at the manufacturer's option.



Sec.  86.529-98  Road load force and inertia weight determination.

    (a)(1) Road load as a function of speed is given by the following 
equation:

F = A + CV\2\

    (2) The values for coefficients A and C and the test inertia are 
given in Figure F98-9 of this section. Velocity V is in km/h and force 
(F) is in newtons. The forces given by the equation in paragraph (a)(1) 
of this section shall be simulated to the best ability of the equipment 
being used.
    (b) The inertia given in Figure F98-9 shall be used. Motorcycles 
with loaded vehicle mass outside these limits shall be tested at an 
equivalent inertial mass and road load force specified by the 
Administrator. Figure F98-9 follows:

                                                                      Figure F98-9
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                               Force coefficients                   70 to 60 km/h coastdown calibration
                                                                          ---------------------------                              times
                                                               Equivalent                                         --------------------------------------
                  Loaded vehicle mass (kg)                      inertial                              Force at 65                  Allowable tolerance
                                                               mass (kg)      A (nt)      C (nt/(km/   km/h (nt)   Target time -------------------------
                                                                                            h)\2\)                    (sec)       Longest      Shortest
                                                                                                                                 time (sec)   time (sec)
--------------------------------------------------------------------------------------------------------------------------------------------------------
95-105......................................................          100          0.0         .0224         94.8         2.95          3.1          2.8
106-115.....................................................          110          0.82        .0227         96.8         3.18          3.3          3.0
116-125.....................................................          120          1.70        .0230         98.8         3.39          3.6          3.2
126-135.....................................................          130          2.57        .0233        100.9         3.60          3.8          3.4
136-145.....................................................          140          3.44        .0235        102.9         3.80          4.0          3.6
146-155.....................................................          150          4.32        .0238        104.9         3.99          4.2          3.8
156-165.....................................................          160          5.19        .0241        107.0         4.10          4.4          4.0
166-175.....................................................          170          6.06        .0244        109.0         4.36          4.6          4.2
176-185.....................................................          180          6.94        .0246        111.0         4.53          4.7          4.3
186-195.....................................................          190          7.81        .0249        113.1         4.69          4.9          4.5
196-205.....................................................          200          8.69        .0252        115.1         4.85          5.1          4.6
206-215.....................................................          210          9.56        .0255        117.1         5.00          5.2          4.8
216-225.....................................................          220         10.43        .0257        119.2         5.15          5.4          4.9
226-235.....................................................          230         11.31        .0260        121.2         5.30          5.5          5.1
236-245.....................................................          240         12.18        .0263        123.2         5.43          5.7          5.2
246-255.....................................................          250         13.06        .0266        125.3         5.57          5.8          5.4
256-265.....................................................          260         13.93        .0268        127.3         5.70          5.9          5.5
266-275.....................................................          270         14.80        .0271        129.3         5.82          6.1          5.6
276-285.....................................................          280         15.68        .0274        131.4         5.95          6.2          5.7
286-295.....................................................          290         16.55        .0277        133.4         6.06          6.3          5.8
296-305.....................................................          300         17.43        .0279        135.4         6.18          6.4          6.0
306-315.....................................................          310         18.30        .0282        137.5         6.29          6.5          6.1
316-325.....................................................          320         19.17        .0285        139.5         6.40          6.6          6.2
326-335.....................................................          330         20.05        .0288        141.6         6.50          6.7          6.3
336-345.....................................................          340         20.92        .0290        143.6         6.60          6.8          6.4
346-355.....................................................          350         21.80        .0293        145.6         6.70          6.9          6.5
356-365.....................................................          360         22.67        .0296        147.7         6.80          7.0          6.6
366-375.....................................................          370         23.54        .0299        149.7         6.89          7.1          6.7

[[Page 802]]

 
376-385.....................................................          380         24.42        .0301        151.7         6.98          7.2          6.8
386-395.....................................................          390         25.29        .0304        153.8         7.07          7.3          6.9
396-405.....................................................          400         26.17        .0307        155.8         7.16          7.4          6.9
406-415.....................................................          410         27.04        .0310        157.8         7.24          7.5          7.0
416-425.....................................................          420         27.91        .0312        159.9         7.33          7.6          7.1
426-435.....................................................          430         28.79        .0315        161.9         7.41          7.6          7.2
436-445.....................................................          440         29.66        .0317        163.7         7.49          7.7          7.3
446-455.....................................................          450         30.54        .0318        164.9         7.61          7.8          7.4
456-465.....................................................          460         31.41        .0319        166.0         7.73          8.0          7.5
466-475.....................................................          470         32.28        .0319        167.1         7.84          8.1          7.6
476-485.....................................................          480         33.16        .0320        168.3         7.95          8.2          7.7
486-495.....................................................          490         34.03        .0320        169.4         8.06          8.3          7.8
496-505.....................................................          500         34.90        .0321        170.5         8.17          8.4          7.9
506-515.....................................................          510         35.78        .0322        171.7         8.28          8.5          8.0
516-525.....................................................          520         36.65        .0322        172.8         8.39          8.6          8.2
526-535.....................................................          530         37.53        .0323        173.9         8.49          8.7          8.3
536-545.....................................................          540         38.40        .0323        175.1         8.60          8.8          8.4
546-555.....................................................          550         39.27        .0324        176.2         8.70          9.0          8.5
556-565.....................................................          560         40.15        .0325        177.3         8.80          9.1          8.6
566-575.....................................................          570         41.02        .0325        178.5         8.90          9.2          8.7
576-585.....................................................          580         41.90        .0326        179.6         9.00          9.3          8.8
586-595.....................................................          590         42.77        .0327        180.8         9.10          9.4          8.9
596-605.....................................................          600         43.64        .0327        181.9         9.19          9.5          8.9
606-615.....................................................          610         44.52        .0328        183.0         9.29          9.5          9.0
616-625.....................................................          620         45.39        .0328        184.2         9.38          9.6          9.1
626-635.....................................................          630         46.27        .0329        185.3         9.47          9.7          9.2
636-645.....................................................          640         47.14        .0330        186.4         9.56          9.8          9.3
646-655.....................................................          650         48.01        .0330        187.6         9.65          9.9          9.4
656-665.....................................................          660         48.89        .0331        188.7         9.74         10.0          9.5
666-675.....................................................          670         49.76        .0332        189.8         9.83         10.1          9.6
676-685.....................................................          680         50.64        .0332        191.0         9.92         10.2          9.7
686-695.....................................................          690         51.51        .0333        192.1        10.01         10.3          9.8
696-705.....................................................          700         52.38        .0333        193.2        10.09         10.4          9.8
706-715.....................................................          710         53.26        .0334        194.4        10.17         10.4          9.9
716-725.....................................................          720         54.13        .0335        195.5        10.26         10.5         10.0
726-735.....................................................          730         55.01        .0335        196.6        10.34         10.6         10.1
736-745.....................................................          740         55.88        .0336        197.8        10.42         10.7         10.2
746-755.....................................................          750         56.75        .0336        198.9        10.50         10.8         10.2
756-765.....................................................          760         57.63        .0337        200.1        10.58         10.9         10.3
766-775.....................................................          770         58.50        .0338        201.2        10.66         10.9         10.3
776-785.....................................................          780         59.38        .0338        203.3        10.74         11.0         10.4
786-795.....................................................          790         60.25        .0339        204.5        10.82         11.1         10.5
796-805.....................................................          800         61.12        .0339        205.6        10.91         11.2         10.6
806-815.....................................................          810         62.00        .0340        206.7        10.99         11.3         10.7
816-825.....................................................          820         62.87        .0341        207.9        11.07         11.4         10.8
826-835.....................................................          830         63.75        .0341        209.0        11.15         11.5         10.8
836-845.....................................................          840         64.62        .0342        210.1        11.24         11.5         10.9
846-855.....................................................          850         65.49        .0343        211.3        11.32         11.6         11.0
856-865.....................................................          860         66.37        .0343        212.4        11.40         11.7         11.1
866-873.....................................................          870         67.24        .0344        213.5        11.48         11.8         11.2
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (c) The dynamometer shall be adjusted to reproduce the specified 
road load as determined by the most recent calibration. Alternatively, 
the actual vehicle road load can be measured and duplicated:
    (1) Make at least 5 replicate coastdowns in each direction from 70 
to 60 km/h on a smooth, level track under balanced wind conditions. The 
driver must have a mass of 80 10 kg and be in the 
normal driving position. Record the coastdown time.
    (2) Average the coastdown times. Adjust the dynamometer load so that 
the coastdown time is duplicated with the vehicle and driver on the 
dynamometer.

[[Page 803]]

    (3) Alternate procedures may be used if approved in advance by the 
Administrator.

[63 FR 11849, Mar. 11, 1998, as amended at 80 FR 9104, Feb. 19, 2015]



Sec.  86.530-78  Test sequence, general requirements.

    (a) Ambient temperature levels encountered by the test vehicle 
throughout the test sequence shall not be less than 20 [deg]C (68 
[deg]F) nor more than 30 [deg]C (86 [deg]F). The vehicle shall be 
approximately level during the emission test to prevent abnormal fuel 
distribution.
    (b) [Reserved]



Sec.  86.531-78  Vehicle preparation.

    (a) The manufacturer shall provide additional fittings and adapters, 
as required by the Administrator * * *, such as * * * to accommodate a 
fuel drain at the lowest point possible in the tank(s) as installed on 
the vehicle and to provide for exhaust sample collection.
    (b) [Reserved]



Sec.  86.532-78  Vehicle preconditioning.

    (a) The vehicle shall be moved to the test area and the following 
operations performed:
    (1) The fuel tank(s) shall be drained through the provided fuel 
tank(s) drain(s) and charged with the specified test fuel, Sec.  86.513, 
to half the tank(s) capacity.
    (2) The vehicle shall be placed, either by being driven or pushed, 
on a dynamometer and operated through one Urban Dynamometer Driving 
Schedule test procedure (see Sec.  86.515 and appendix I). The vehicle 
need not be cold, and may be used to set dynamometer horsepower.
    (b) Within five (5) minutes of completion of preconditioning, the 
vehicle shall be removed from the dynamometer and may be driven or 
pushed to the soak area to be parked. The vehicle shall be stored for 
not less than the following times prior to the cold start exhaust test.

------------------------------------------------------------------------
                                                                  Hours
------------------------------------------------------------------------
Class I........................................................        6
Class II.......................................................        8
Class III......................................................       12
------------------------------------------------------------------------


In no case shall the vehicle be stored for more than 36 hours prior to 
the cold start exhaust test.



Sec.  86.535-90  Dynamometer procedure.

    (a) The dynamometer run consists of two tests, a ``cold'' start test 
and a ``hot'' start test following the ``cold'' start by 10 minutes. 
Engine startup (with all accessories turned off), operation over the 
driving schedule, and engine shutdown make a complete cold start test. 
Engine startup and operation over the first 505 seconds of the driving 
schedule complete the hot start test. The exhaust emissions are diluted 
with ambient air and a continuously proportional sample is collected for 
analysis during each phase. The composite samples collected in bags are 
analyzed for hydrocarbons, carbon monoxide, carbon dioxide, and, 
optionally, for oxides of nitrogen. A parallel sample of the dilution 
air is similarly analyzed for hydrocarbon, carbon monoxide, carbon 
dioxide, and, optionally, for oxides of nitrogen. Methanol and 
formaldehyde samples (exhaust and dilution air) are collected and 
analyzed for methanol-fueled vehicles (a single dilution air 
formaldehyde sample covering the total time of the test may be collected 
in place of individual test phases).
    (b) [Reserved]
    (c) The vehicle speed, as measured from the dynamometer roll, shall 
be used. A speed vs. time recording, as evidence of dynamometer test 
validity, shall be supplied on request of the Administrator.
    (d) Practice runs over the prescribed driving schedule may be 
performed at test points, provided an emission sample is not taken, for 
the purpose of finding the minimum throttle action to maintain the 
proper speed-time relationship, or to permit sampling system 
adjustments.
    (e) The drive wheel tires must be inflated to the manufacturer's 
recommended pressure, 15 kPa (2.2 psi). The drive wheel tire pressure shall be 
reported with the test results.
    (f) If the dynamometer has not been operated during the two-hour 
period immediately preceding the test, it shall be warmed up for 15 
minutes by operating at 50 km/h (31 mph) using a

[[Page 804]]

nontest vehicle, or as recommended by the dynamometer manufacturer.
    (g) If the dynamometer horsepower must be adjusted manually, it 
shall be set within one hour prior to the exhaust emissions test phase. 
The test vehicle shall not be used to make this adjustment. Dynamometers 
using automatic control of preselectable power settings may be set 
anytime prior to the beginning of the emissions test.
    (h) The driving distance, as measured by counting the number of 
dynamometer roll revolutions, shall be determined for the transient cold 
start, stabilized cold start, and transient hot start phases of the 
test.

[54 FR 14551, Apr. 11, 1989]



Sec.  86.536-78  Engine starting and restarting.

    (a)(1) The engine shall be started according to the manufacturer's 
recommended starting procedures. The initial 20 second idle period shall 
begin when the engine starts.
    (2) Choke operation. (i) Vehicles equipped with automatic chokes 
shall be operated according to the instructions in the manufacturer's 
operating instructions or owner's manual including choke setting and 
``kick-down'' from cold fast idle. The transmission shall be placed in 
gear 15 seconds after the engine is started. If necessary, braking may 
be employed to keep the drive wheels from turning.
    (ii) Vehicles equipped with manual chokes shall be operated 
according to the manufacturer's operating instructions or owner's 
manual. Where times are provided in the instructions, the Administrator 
may specify the specific point for operation, within 15 seconds of the 
recommended time.
    (3) The operator may use the choke, throttle etc. where necessary to 
keep the engine running.
    (4) If the manufacturer's operating instructions or owner's manual 
do not specify a warm engine starting procedure, the engine (automatic 
and manual choke engines) shall be started by opening the throttle about 
half way and cranking the engine until it starts.
    (b) [Reserved]
    (c) If, during the cold start, the vehicle does not start after 10 
seconds of cranking, or ten cycles of the manual starting mechanism, 
cranking shall cease and the reason for failure to start determined. The 
revolution counter on the constant volume sampler shall be turned off 
and the sample solenoid valves placed in the ``standby'' position during 
this diagnostic period. In addition, either the CVS blower shall be 
turned off or the exhaust tube disconnected from the tailpipe during the 
diagnostic period.
    (1) If failure to start is an operational error, the vehicle shall 
be rescheduled for testing from a cold start. If failure to start is 
caused by vehicle malfunction, corrective action (following the 
unscheduled maintenance provisions) of less than 30 minutes duration may 
be taken and the test continued. The sampling system shall be 
reactivated at the same time cranking is started. When the engine 
starts, the driving schedule timing sequence shall begin. If failure to 
start is caused by vehicle malfunction and the vehicle cannot be 
started, the test shall be voided, the vehicle removed from the 
dynamometer, corrective action taken (following the unscheduled 
maintenance provisions), and the vehicle rescheduled for test. The 
reason for the malfunction (if determined) and the corrective action 
taken shall be reported.
    (2) If the vehicle does not start during the hot start after ten 
seconds of cranking, or ten cycles of the manual starting mechanism, 
cranking shall cease, the test shall be voided, the vehicle removed from 
the dynamometer, corrective action taken in accordance with Sec.  86.428 
or Sec.  86.429, and the vehicle rescheduled for test. The reason for 
the malfunction (if determined) and the corrective action taken shall be 
reported.
    (d) If the engine ``false starts'', the operator shall repeat the 
recommended starting procedure (such as resetting the choke, etc.)
    (e) Stalling. (1) If the engine stalls during an idle period, the 
engine shall be restarted immediately and the test continued. If the 
engine cannot be started soon enough to allow the vehicle to follow the 
next acceleration as

[[Page 805]]

prescribed, the driving schedule indicator shall be stopped. When the 
vehicle restarts, the driving schedule indicator shall be reactivated.
    (2) If the engine stalls during some operating mode other than idle, 
the driving schedule indicator shall be stopped, the vehicle shall then 
be restarted and accelerated to the speed required at that point in the 
driving schedule and the test continued. During acceleration to this 
point, shifting shall be performed in accordance with Sec.  86.528.
    (3) If the vehicle will not restart within one minute, the test 
shall be voided, the vehicle removed from the dynamometer, corrective 
action taken, and the vehicle rescheduled for test. The reason for the 
malfunction (if determined) and the corrective action taken shall be 
reported.



Sec.  86.537-90  Dynamometer test runs.

    (a) The vehicle shall be allowed to stand with the engine turned off 
(see Sec.  86.532 for required time). The vehicle shall be stored prior 
to the emission test in such a manner that precipitation (e.g., rain or 
dew) does not occur on the vehicle. The complete dynamometer test 
consists of a cold start drive of 12.0 km (7.5 mi), (10.9 km (6.8 mi) 
for Class I motorcycles) and simulates a hot start drive of 12.0 km (7.5 
mi), (10.9 km (6.8 mi) for Class I motorcycles). The vehicle is allowed 
to stand on the dynamometer during the 10-minute period between the cold 
and hot start tests. The cold start is divided into two periods. The 
first period, representing the cold start ``transient'' phase, 
terminates at the end of the deceleration which is scheduled to occur at 
505 seconds of the driving schedule. The second period, representing the 
``stabilized'' phase, consists of the remainder of the driving schedule 
including engine shutdown. The hot start test similarly consists of two 
periods. The period, representing the hot start ``transient'' phase, 
terminates at the same point in the driving schedule at the first point 
of the cold start test. The second period of the hot start test, 
``stabilized'' phase, is assumed to be identical to the second period of 
the cold start test. Therefore, the hot start test terminates after the 
first period (505 seconds) is run.
    (b) The following steps shall be taken for each test:
    (1) Place drive wheel of vehicle on dynamometer without starting 
engine.
    (2) Activate vehicle cooling fan.
    (3) For all vehicles, with the sample selector valves in the 
``standby'' position connect evacuated sample collection bags to the 
dilute exhaust and dilution air sample collection systems.
    (4) For methanol-fueled vehicles, with the sample selector valves in 
the ``standby'' position, insert fresh sample collection impingers into 
the methanol sample collection system, fresh impingers or a fresh 
cartridge into the formaldehyde sample collection system and fresh 
impingers (or a single cartridge for formaldehyde) into the dilution air 
sample collection systems for methanol and formaldehyde (background 
measurements of methanol and formaldehyde may be omitted and 
concentrations assumed to be zero for calculations in Sec.  86.544).
    (5) Start the CVS (if not already on), the sample pumps and the 
temperature recorder. (The heat exchanger of the constant volume 
sampler, if used, methanol-fueled vehicle hydrocarbon analyzer and 
sample lines should be preheated to their respective operating 
temperatures before the test begins.)
    (6) Adjust the sample flow rates to the desired flow rate and set 
the gas flow measuring devices to zero.
    (i) For gaseous bag samples (except hydrocarbon samples), the 
minimum flow rate is 0.17 cfm (0.08 l/s).
    (ii) For hydrocarbon samples, the minimum FID (or HFID in the case 
of methanol-fueled vehicles) flow rate is 0.066 cfm (0.031 l/s).
    (iii) For methanol samples, the flow rates shall be set such that 
the system meets the design criteria of Sec.  86.509. For samples in 
which the concentration in the primary impinger exceeds 0.5 mg/l, it is 
recommended that the mass of methanol collected in the secondary 
impinger not exceed ten percent of the total mass collected. For samples 
in which the concentration in the primary impinger does not exceed 0.5 
mg/l, secondary impingers do not need to be analyzed.

[[Page 806]]

    (iv) For formaldehyde samples, the flow rates shall be set such that 
the system meets the design criteria of Sec.  86.509. For impinger 
samples in which the concentration of formaldehyde in the primary 
impinger exceeds 0.1 mg/l, it is recommended that the mass of 
formaldehyde collected in the secondary impinger not exceed ten percent 
of the total mass collected. For samples in which the concentration in 
the primary impinger does not exceed 0.1 mg/l, secondary impingers do 
not need to be analyzed.
    (7) Attach the flexible exhaust tube to the vehicle tailpipe(s).
    (8) Start the gas flow measuring device, position the sample 
selector valves to direct the sample flow into the ``transient'' exhaust 
sample bag, the ``transient'' methanol exhaust sample, the ``transient'' 
formaldehyde exhaust sample, the ``transient'' dilution air sample bag, 
the ``transient'' methanol dilution air sample and the ``transient'' 
formaldehyde dilution air sample, turn the key on, and start cranking 
the engine.
    (9) Fifteen seconds after the engine starts, place the transmission 
in gear.
    (10) Twenty seconds after the engine starts, begin the initial 
vehicle acceleration of the driving schedule.
    (11) Operate the vehicle according to the Urban Dynamometer Driving 
Schedule (Sec.  86.515).
    (12) At the end of the deceleration which is scheduled to occur at 
505 seconds, simultaneously switch the sample flows from the 
``transient'' bags and samples to ``stabilized'' bags and samples, 
switch off gas flow measuring device No. 1 and, start gas flow measuring 
device No. 2. Before the acceleration which is scheduled to occur at 510 
seconds, record the measured roll or shaft revolutions and reset the 
counter or switch to a second counter. As soon as possible, transfer the 
``stabilized'' exhaust and dilution air samples to the analytical system 
and process the samples according to Sec.  86.540, obtaining a 
stabilized reading of the exhaust bag sample on all analyzers within 20 
minutes of the end of the sample collection phase of the test. Obtain 
methanol and formaldehyde sample analyses, if applicable, within 24 
hours of the end of the sample period. (If it is not possible to perform 
analysis on the methanol and formaldehyde samples within 24 hours, the 
samples should be stored in a dark cold (4-10 [deg]C) environment until 
analysis. The samples should be analyzed within fourteen days.)
    (13) Turn the engine off 2 seconds after the end of the last 
deceleration (at 1,369 seconds).
    (14) Five seconds after the engine stops running, simultaneously 
turn off gas flow measuring device No. 2 and position the sample 
selector valves to the ``standby'' position (and open the valves 
isolating particulate filter No. 1, if applicable). Record the measured 
roll or shaft revolutions (both gas meter or flow measurement 
instrumentation readings) and re-set the counter. As soon as possible, 
transfer the ``stabilized'' exhaust and dilution air samples to the 
analytical system and process the samples according to Sec.  86.540, 
obtaining a stabilized reading of the exhaust bag sample on all 
analyzers within 20 minutes of the end of the sample collection phase of 
the test. Obtain methanol and formaldehyde sample analyses, if 
applicable, within 24 hours of the end of the sample period. (If it is 
not possible to perform analysis on the methanol and formaldehyde 
samples within 24 hours, the samples should be stored in a dark cold (4-
10 [deg]C) environment until analysis. The samples should be analyzed 
within fourteen days.)
    (15) Immediately after the end of the sample period, turn off the 
cooling fan.
    (16) Turn off the CVS or disconnect the exhaust tube from the 
tailpipe(s) of the vehicle.
    (17) Repeat the steps in paragraph (b) (2) through (11) of this 
section for the hot start test, except only two evacuated sample bags, 
two methanol sample impingers, and two formaldehyde sample impingers are 
required. The step in paragraph (b)(8) of this section shall begin 
between 9 and 11 minutes after the end of the sample period for the cold 
start test.
    (18) At the end of the deceleration which is scheduled to occur at 
505 seconds, simultaneously turn off gas flow measuring device No. 1 and 
position the sample selector valve to the ``standby'' position. (Engine 
shutdown is not part of the hot start test sample

[[Page 807]]

period.) Record the measured roll or shaft revolutions.
    (19) As soon as possible, transfer the hot start ``transient'' 
exhaust and dilution air bag samples to the analytical system and 
process the samples according to Sec.  86.540 obtaining a stabilized 
reading of the bag exhaust sample on all analyzers within 20 minutes of 
the end of the sample collection phase of the test. Obtain methanol and 
formaldehyde sample analyses, if applicable, within 24 hours of the end 
of the sample period (if it is not possible to perform analysis on the 
methanol and formaldehyde samples within 24 hours, the samples should be 
stored in a dark, cold ( 0 [deg]C) environment until analysis).
    (20) Disconnect the exhaust tube from the vehicle tailpipe(s) and 
remove the vehicle from dynamometer.
    (21) The CVS or CFV may be turned off, if desired.
    (22) Continuous monitoring of exhaust emissions will not normally be 
allowed. Specific written approval must be obtained from the 
Administrator for continuous monitoring of exhaust emissions.

[54 FR 14551, Apr. 11, 1989, as amended at 60 FR 34357, June 30, 1995]



Sec.  86.540-90  Exhaust sample analysis.

    The following sequence of operations shall be performed in 
conjunction with each series of measurements:
    (a) For CO, CO2, gasoline-fueled, natural gas-fueled, 
liquefied petroleum gas-fueled and methanol-fueled motorcycle HC and, if 
appropriate, NOX:
    (1) Zero the analyzers and obtain a stable zero reading. Recheck 
after tests.
    (2) Introduce span gases and set instrument gains. In order to avoid 
errors, span and calibrate at the same flow rates used to analyze the 
test sample. Span gases should have concentrations equal to 75 to 100 
percent of full scale. If gain has shifted significantly on the 
analyzers, check the calibrations. Show actual concentrations on chart.
    (3) Check zeros; repeat the procedure in paragraphs (a) (1) and (2) 
of this section if required.
    (4) Check flow rates and pressures.
    (5) Measure HC, CO, CO2, and, if appropriate, 
NOX. concentrations of samples.
    (6) Check zero and span points. If difference is greater than 2 
percent of full scale, repeat the procedure in paragraphs (a) (1) 
through (5) of this section.
    (b) For CH3OH (methanol-fueled vehicles), introduce test 
samples into the gas chromatograph and measure the concentration. This 
concentration is CMS in the calculations.
    (c) For HCHO (methanol-fueled vehicles), introduce test samples into 
the high pressure liquid chromatograph and measure the concentration of 
formaldehyde as a dinitropheylhydrazine derivative in acetonitrile. This 
concentration is CFS in the calculations.

[54 FR 14552, Apr. 11, 1989, as amended at 59 FR 48515, Sept. 21, 1994; 
60 FR 34357, June 30, 1995]



Sec.  86.542-90  Records required.

    The following information shall be recorded with respect to each 
test:
    (a) Test number.
    (b) System or device tested (brief description).
    (c) Date and time of day for each part of the test schedule.
    (d) Instrument operator.
    (e) Driver or operator.
    (f) Vehicle: Make, Vehicle identification number, Model year, 
Transmission type, Odometer reading at initiation of preconditioning, 
Engine displacement, Engine family, Emission control system, Recommended 
idle RPM, Nominal fuel tank capacity, Inertial loading, Actual curb mass 
recorded at 0 kilometers, and Drive wheel tire pressure.
    (g) Dynamometer serial number: As an alternative to recording the 
dynamometer serial number, a reference to a vehicle test cell number may 
be used, with the advance approval of the Administrator, provided the 
test cell records show the pertinent instrument information.
    (h) All pertinent instrument information such as tuning-gain-serial 
number-detector number-range. As an alternative, a reference to a 
vehicle test cell number may be used, with the advance

[[Page 808]]

approval of the Administrator, provided test cell calibration records 
show the pertinent instrument information.
    (i) Recorder Charts: Identify zero, span, exhaust gas, and dilution 
air sample traces.
    (j) Test cell barometric pressure, ambient temperature and humidity.

    Note: A central laboratory barometer may be used; Provided, that 
individual test cell barometric pressures are shown to be within 0.1 percent of the barometric pressure at the central 
barometer location.

    (k) [Reserved]
    (l) Pressure of the mixture of exhaust and dilution air entering the 
CVS metering device, the pressure increase across the device, and the 
temperature at the inlet. The temperature may be recorded continuously 
or digitally to determine temperature variations.
    (m) The number of revolutions of the positive displacement pump 
accumulated during each test phase while exhaust samples are being 
collected. The number of standard cubic meters metered by a critical 
flow venturi during each test phase would be the equivalent record for a 
CFV-CVS.
    (n) The humidity of the dilution air.

    Note: If conditioning columns are not used (see Sec. Sec.  86.522 
and 86.544) this measurement can be deleted. If the conditioning columns 
are used and the dilution air is taken from the test cell, the ambient 
humidity can be used for this measurement.

    (o) The driving distance for each of the three phases of test, 
calculated from the measured roll or shaft revolutions.
    (p) Additional required records for methanol-fueled vehicles:
    (1) Specification of the methanol fuel, or fuel mixtures, used 
during testing.
    (2) Volume of sample passed through the methanol sampling system and 
the volume of deionized water in each impinger.
    (3) The methanol calibration information from the GC standards.
    (4) The concentration of the GC analyses of the test samples 
(methanol).
    (5) Volume of sample passed through the formaldehyde sampling 
system.
    (6) The formaldehyde calibration information from the HPLC 
standards.
    (7) The concentration of the HPLC analysis of the test sample 
(formaldehyde).
    (q) Additional required records for natural gas-fueled vehicles. 
Composition, including all carbon containing compounds; e.g. 
CO2, of the natural gas-fuel used during the test. 
C1 and C2 compounds shall be individually 
reported. C3 and heavier hydrocarbons and C6 and 
heavier compounds may be reported as a group.
    (r) Additional required records for liquefied petroleum gas-fueled 
vehicles. Composition of the liquefied petroleum gas-fuel used during 
the test. Each hydrocarbon compound present, through C4 
compounds, shall be individually reported. C5 and heavier 
hydrocarbons may be reported as a group.

[54 FR 14553, Apr. 11, 1989, as amended at 59 FR 48515, Sept. 21, 1994; 
60 FR 34357, June 30, 1995]



Sec.  86.544-90  Calculations; exhaust emissions.

    This section describes how to calculate exhaust emissions. Determine 
emission results for each pollutant to at least one more decimal place 
than the applicable standard. Apply the deterioration factor, then round 
the adjusted figure to the same number of decimal places as the emission 
standard. Compare the rounded emission levels to the emission standard 
for each emission data vehicle. In the case of NOX + HC 
standards, apply the deterioration factor to each pollutant and then add 
the results before rounding.
    (a) Calculate a composite FTP emission result using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.039


[[Page 809]]


Where:

Ywm = Weighted mass emissions of each pollutant (i.e., 
          CO2, HC, CO, or NOX) in grams per 
          vehicle kilometer and if appropriate, the weighted carbon mass 
          equivalent of total hydrocarbon equivalent, in grams per 
          vehicle kilometer.
Yct = Mass emissions as calculated from the transient phase 
          of the cold-start test, in grams per test phase.
Ys = Mass emissions as calculated from the stabilized phase 
          of the cold-start test, in grams per test phase.
Dct = The measured driving distance from the transient phase 
          of the cold-start test, in kilometers.
Ds = The measured driving distance from the stabilized phase 
          of the cold-start test, in kilometers.
Yht = Mass emissions as calculated from the transient phase 
          of the hot-start test, in grams per test phase.
Dht = The measured driving distance from the transient phase 
          of the hot-start test, in kilometers.

    (b) The mass of each pollutant for each phase of both the cold-start 
test and the hot-start test is determined from the following:
    (1) Hydrocarbon mass:

HCmass = Vmix x DensityHC x 
(HCconc/1,000,000)

    (2) Oxides of nitrogen mass:

NOxmass = Vmix x DensityNO2 x 
KH x (NOxconc/1,000,000)

    (3) Carbon monoxide mass:

COmass = Vmix x DensityCO x 
(COconc/1,000,000)

    (4) Carbon dioxide mass:

CO2mass = Vmix x DensityCO2 x 
(CO2conc/100)

    (5) Methanol mass:

CH3OHmass = Vmix x 
DensityCH3OH x (CH3OHconc/1,000,000)

    (6) Formaldehyde mass:

HCHOmass = Vmix x DensityHCHO x 
(HCHOconc/1,000,000)

    (7) Total hydrocarbon equivalent:
(i) THCE = HCmass + 13.8756/32.042 x 
(CH3OH)mass + 13.8756/30.0262 x 
(HCHO)mass

    (8) Nitrous Oxide Mass:
Vmix x DensityN2O x 
(N2Oconc/1,000,000)

    (c) Meaning of symbols:
    (1)(i) HCmass = Hydrocarbon emissions, in grams per test 
phase.
    (ii) DensityHC = Density of HC in exhaust gas.
    (A) For gasoline-fuel; DensityHC = 576.8 g/m\3\-carbon 
atom (16.33 g/ft\3\-carbon atom), assuming an average carbon to hydrogen 
ratio of 1:1.85, at 20 [deg]C (68 [deg]F) and 101.3 kPa (760 mm Hg) 
pressure.
    (B) For natural gas and liquefied petroleum gas-fuel; 
DensityHC = 41.57(12.011 + H/C(1.008)) g/m\3\-carbon atom 
(1.1771(12.011 + H/C(1.008)) g/ft\3\-carbon atom) where H/C is the 
hydrogen to carbon ratio of the hydrocarbon components of test fuel, at 
20 [deg]C (68 [deg]F) and 101.3 kPa (760mm Hg) pressure.
    (iii)(A) HCconc = Hydrocarbon concentration of the dilute 
exhaust sample corrected for background, in ppm carbon equivalent, i.e., 
equivalent propane x 3.
    (B) HCconc = HCe - HCd(1 - (1/DF))

Where:
    (iv)(A) HCe = Hydrocarbon concentrations of the dilute 
exhaust sample as measured, in ppm carbon equivalent (propane ppm x 3).
    (B) HCe = FIDHCe - (r)CCH3OHe
    (v) FID HCe = Concentration of hydrocarbon (plus methanol 
if methanol-fueled motorcycle is tested) in dilute exhaust as measured 
by the FID ppm carbon equivalent.
    (vi) r = FID response to methanol.
    (vii) CCH30He = Concentration of methanol in dilute 
exhaust as determined from the dilute exhaust methanol sample, ppm 
carbon.
    (viii)(A) HCd = Hydrocarbon concentration of the dilution 
air as measured, ppm carbon equivalent.
    (B) HCd = FID HCd - (r)CCH30Hd
    (ix) FID HCd = Concentration of hydrocarbon (plus 
methanol if methanol-fueled motorcycle is tested) in dilution air as 
measured by the FID, ppm carbon equivalent.
    (x) CCH3OHd = Concentration of methanol in dilution air 
as determined from dilution air methanol sample, ppm carbon.
    (2)(i) NOxmass = Oxides of nitrogen emissions, grams per 
test phase.
    (ii) DensityN02 = Density of oxides of nitrogen in the 
exhaust gas, assuming they are in the form of nitrogen dioxide, 1913 g/
m\3\ (54.16 g/ft\3\), at 20 [deg]C (68 [deg]F) and 101.3 kPa (760 mm Hg) 
pressure.

[[Page 810]]

    (iii)(A) NOxconc = Oxides of nitrogen concentration of 
the dilute exhaust sample corrected for background, ppm.
    (B) NOxconc = NOxe - NOxd(1 - (1/
DF))

Where:
    (iv) NOxe = Oxides of nitrogen concentration of the 
dilute exhaust sample as measured, ppm.
    (v) NOxd = Oxides of nitrogen concentration of the 
dilution air as measured, ppm.
    (3)(i) COmass = Carbon monoxide emissions, in grams per 
test phase.
    (ii) DensityCO = Density of carbon monoxide, 1164 g/m\3\ 
(32.97 g/ft\3\), at 20 [deg]C (68 [deg]F) and 101.3 kPa (760 mm Hg) 
pressure.
    (iii)(A) COconc = Carbon monoxide concentration of the 
dilute exhaust sample corrected for background, water vapor, and 
CO2 extraction, ppm.
    (B) COconc = COe - COd(1 - (1/DF))

Where:
    (iv)(A) COe = Carbon monoxide concentration of the dilute 
exhaust sample volume corrected for water vapor and carbon dioxide 
extraction, in ppm.
    (B) COe = (1 - 0.01925CO2e - 
0.000323R)COem for gasoline-fueled vehicles with hydrogen to 
carbon ratio of 1.85:1
    (C) COe = [1 - (0.01 + 0.005HCR) CO2e - 
0.000323R]COem for methanol-fueled, natural gas-fueled or 
liquefied petroleum gas-fueled motorcycles, where HCR is hydrogen to 
carbon ratio as measured for the fuel used.
    (v) COem = Carbon monoxide concentration of the dilute 
exhaust sample as measured, ppm
    (vi) CO2e = Carbon dioxide concentration of the dilute 
exhaust sample, pct.
    (vii) R = Relative humidity of the dilution air, pct (see Sec.  
86.542(n)).
    (viii)(A) COd = Carbon monoxide concentration of the 
dilution air corrected for water vapor extraction, ppm.
    (B) COd = (1 - 0.000323R)COdm

Where:
    (ix) COdm = Carbon monoxide concentration of the dilution 
air sample as measured, ppm.

    Note: If a CO instrument which meets the criteria specified in Sec.  
86.511 is used and the conditioning column has been deleted, 
COem can be substituted directly for COe and 
COdm must be substituted directly for COd.

    (4)(i) CO2mass = Carbon dioxide emissions, grams per test 
phase.
    (ii) DensityC02 = Density of carbon dioxide, 1830 g/m\3\ 
(51.81 g/ft\3\), at 20 [deg]C (68 [deg]F) and 101.3 kPa (760 mm Hg) 
pressure.
    (iii)(A) CO2conc = carbon dioxide concentration of the 
dilute exhaust sample corrected for background, in percent.
    (B) CO2conc = CO2e - CO2d(1 - 1/DF)

Where:
    (iv) CO2d = Carbon dioxide concentration of the dilution 
air as measured, in percent.
    (5)(i) CH3OHmass = Methanol emissions 
corrected for background, grams per test phase.
    (ii) DensityCH3OH = Density of methanol is 1332 g/m\3\ 
(37.71 g/ft\3\), at 20 [deg]C (68 [deg]F) and 101.3 kPa (760 mm Hg) 
pressure.
    (iii)(A) CH3OHconc = Methanol concentration of 
the dilute exhaust corrected for background, ppm.
    (B) CH3OHconc = CCH3OHe - 
CCH3OHd(1 - (1/DF))

Where:
    (iv)(A) CCH3OHe = Methanol concentration in the dilute 
exhaust, ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR30JN95.022
    
    (v)(A) CCH3OHd = Methanol concentration in the dilution 
air, ppm.
    (B)

[[Page 811]]

[GRAPHIC] [TIFF OMITTED] TR30JN95.023

    (vi) TEM = Temperature of methanol sample withdrawn from 
dilute exhaust, [deg]R.
    (vii) TDM = Temperature of methanol sample withdrawn from 
dilution air, [deg]R.
    (viii) PB = Barometric pressure during test, mm Hg.
    (ix) VEM = Volume of methanol sample withdrawn from 
dilute exhaust, ft\3\.
    (x) VDM = Volume of methanol sample withdrawn from 
dilution air, ft\3\.
    (xi) Cs = GC concentration of sample drawn from dilute 
exhaust, [micro]g/ml.
    (xii) CD = GC concentration of sample drawn from dilution 
air, [micro]g/ml.
    (xiii) AVs = Volume of absorbing reagent (deionized 
water) in impinger through which methanol sample from dilute exhaust is 
drawn, ml.
    (xiv) AVD = Volume of absorbing reagent (deionized water) 
in impinger through which methanol sample from dilution air is drawn, 
ml.
    (xv) 1 = first impinger.
    (xvi) 2 = second impinger.
    (6)(i) HCHOmass = Formaldehyde emissions corrected for 
background, grams per test phase.
    (ii) DensityHCHO = Density of formaldehyde is 1249 g/m\3\ 
(35.36 g/ft\3\), at 20 [deg]C (68 [deg]F) and 101.3 kPa (760 mm Hg) 
pressure.
    (iii)(A) HCHOconc = Formaldehyde concentration of the 
dilute exhaust corrected for background, ppm.
    (B) HCHOconc = CHCHOe - CHCHOd (1 - 
(1/DF))
    Where:
    (iv)(A) CHCHOe = Formaldehyde concentration in dilute 
exhaust, ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.203
    
    (v)(A) CHCHOd = Formaldehyde concentration in dilution 
air, ppm.
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.202
    
    (vi) CFDE = Concentration of DNPH derivative of 
formaldehyde from dilute exhaust sample in sampling solution, [micro]g/
ml.
    (vii) VAE = Volume of sampling solution for dilute 
exhaust formaldehyde sample, ml.
    (viii)(A) Q = Ratio of molecular weights of formaldehyde to its DNPH 
derivative.
    (B) Q = 0.1429
    (ix) TEF = Temperature of formaldehyde sample withdrawn 
from dilute exhaust, [deg]R.
    (x) VSE = Volume of formaldehyde sample withdrawn from 
dilute exhaust, ft\3\.
    (xi) PB = Barometric pressure during test, mm Hg.
    (xii) CFDA = Concentration of DNPH derivative of 
formaldehyde from dilution air sample in sampling solution, [micro]g/ml.

[[Page 812]]

    (xiii) VAA = Volume of sampling solution for dilution air 
formaldehyde sample, ml.
    (xiv) TDF = Temperature of formaldehyde sample withdrawn 
from dilution air, [deg]R.
    (xv) VSA = Volume of formaldehyde sample withdrawn from 
dilution air, ft\3\.
    (7)(i) DF = 13.4/[CO2e + (HCe = 
COe)10-4] for gasoline-fueled vehicles.
    (ii) For methanol-fueled, natural gas-fueled or liquefied petroleum 
gas-fueled motorcycles, where fuel composition is Cx 
Hy Oz as measured, or calculated, for the fuel 
used (for natural gas and liquefied petroleum gas-fuel, Z = 0):
[GRAPHIC] [TIFF OMITTED] TR30JN95.024

    (iii)(A) Vmix = Total dilute exhaust volume in cubic 
meters per test phase corrected to standard conditions (293 [deg]K (528 
[deg]R) and 101.3 kPa (760 mm Hg)).
    (B)
    [GRAPHIC] [TIFF OMITTED] TR06OC93.235
    

Where:
    (iv) Vo = Volume of gas pumped by the positive 
displacement pump, in cubic meters per revolution. This volume is 
dependent on the pressure differential across the positive displacement 
pump. (See calibration techniques in Sec.  86.519.)
    (v) N = Number of revolutions of the positive displacement pump 
during the test phase while samples are being collected.
    (vi) PB = Barometric pressure, kPa.
    (vii) Pi = Pressure depression below atmospheric measured 
at the inlet to the positive displacement pump, kPa.
    (viii) Tp = Average temperature of dilute exhaust 
entering positive displacement pump during test while samples are being 
collected, [deg]K.
    (ix)(A) Kh = Humidity correction factor.
    (B) Kh = 1/[1 - 0.0329(H - 10.71)]

Where:
    (x)(A) H = Absolute humidity in grams of water per kilogram of dry 
air.
    (B) H = [(6.211)Ra x Pd]/[PB - 
(Pd x Ra/100)]
    (xi) Ra = Relative humidity of the ambient air, pct.
    (xii) Pd = Saturated vapor pressure, in kPa at the 
ambient dry bulb temperature.
    (xiii) PB = Barometric pressure, kPa.
    (8)(i) N2Omass = Nitrous oxide emissions, in 
grams per test phase.
    (ii) Density N2O = Density of nitrous oxide is 51.81 g/ft\3\ (1.83 
kg/m\3\), at 68 [deg]F (20 [deg]C) and 760 mm Hg (101.3kPa) pressure.
    (iii)(A) N2Oconc = Nitrous oxide concentration 
of the dilute exhaust sample corrected for background, in ppm.
    (B) N2Oconc = N2Oe-
N2Od(1-(1/DF)).


Where:

N2Oe = Nitrous oxide concentration of the dilute 
exhaust sample as measured, in ppm.
N2Od = Nitrous oxide concentration of the dilution 
air as measured, in ppm.

    (d) Sample calculation of mass emission values for gasoline-fueled 
vehicles with engine displacements equal to or greater than 170 cc (10.4 
cu. in.):
    (1) For the ``transient'' phase of the cold-start test, assume 
Vo = 0.0077934 m\3\ per rev; N = 12,115; R = 20.5 pct; 
Ra = 20.5 pct; PB = 99.05 kPa; Pd = 
3.382 kPa; Pi = 9.851 kPa; Tp = 309.8 [deg]K; 
HCe = 249.75 ppm carbon equivalent; NOxe = 38.30 
ppm; COem = 311.23 ppm; CO2e = 0.415 percent; 
HCd = 4.90 ppm; NOxd = 0.30 ppm; COdm = 
8.13 ppm; CO2d = 0.037 pct; Dct = 5.650 km.

Then:
    (i) Vmix = [(0.0077934)(12,115)(99.05-9.851)(293.15)]/ 
[(101.325)(309.8)] = 78.651 m\3\ per test phase.

[[Page 813]]

    (ii) H = [(6.211)(20.5)(3.382)]/[(99.05) - (3.382)(20.5/100)] = 
4.378 grams H2O per kg dry air.
    (iii) Kh = 1/[1 - 0.0329(4.378 - 10.71)] = 0 8276
    (iv) COe = [1 - 0.01925(0.415) - 0.000323 (20.5)](311.23) 
= 306.68 ppm.
    (v) COd = [1 - 0.000323(20.5)](8.13) = 8.08 ppm.
    (vi) DF = 13.4/[0.415 + (249.75 + 306.68)10-4] = 28.472
    (vii) HCconc = 249.75 - 4.90(1 - 1/28.472) = 245.02 ppm.
    (viii) HCmass = (78.651) (576.8) (245.02) 10-6 
= 11.114 grams per test phase.
    (ix) NOxconc = 38.30 - 0.30(1 - 1/28.472) = 38.01 ppm.
    (x) NOxmass = (78.651)(1913)(38.01)(0.8276) x 
10-6 = 4.733 grams per test phase.
    (xi) COconc = 306.68 - 8.08 (1 - 1/28.472) = 298.88 ppm.
    (xii) COmass = (78.651) (1164) (298.88) (10-6) 
= 27.362 grams per test phase.
    (xiii) CO2conc = 0.415 - 0.037 (1 - 1/28.472) = 0.3793 
percent.
    (xiv) CO2mass = (78.651)(1843)(0.3793)/100 = 549.81 grams 
per test phase.
    (2) For the ``stabilized'' portion of the cold-start test, assume 
that similar calculations resulted in HCmass = 7.184 grams 
per test phase; NOxmass = 2.154 grams per test phase; 
COmass = 64.541 grams per test phase; and CO2mass 
= 529.52 grams per test phase. Ds = 6.070 km.
    (3) For the ``transient'' portion of the hot-start test, assume that 
similar calculations resulted in HCmass = 6.122 grams per 
test phase; NOxmass = 7.056 grams per test phase; 
COmass = 34.964 grams per test phase; and CO2mass 
= 480.93 grams per test phase. Dht = 5.660 km.
    (4) For a 1978 motorcycle with an engine displacement equal to or 
greater than 170 cc (10.4 cu. in):
    (i) HCwm = 0.43 [(11.114 + 7.184)/(5.650 + 6.070)] + 0.57 
[(6.122 + 7.184)/(5.660 + 6.070)] = 1.318 grams per vehicle kilometer.
    (ii) NOxwm = 0.43 [(4.733 = 2.154)/(5.650 = 6.070)] = 
0.57 [(7.056 = 2.154)/(5.660 = 6.070)] = 0.700 gram per vehicle 
kilometer.
    (iii) COwm = 0.43 [(27.362 + 64.541)/(5.650 + 6.070)] + 
0.57 [(34.964 + 64.541)/(5.660 + 6.070)] = 8.207 grams per vehicle 
kilometer.
    (iv) CO2wm = 0.43 [(549.81 + 529.52)/(5.650 + 6.070)] + 
0.57 [(480.93 + 529.52)/(5.660 + 6.070)] = 88.701 grams per vehicle 
kilometer.

[54 FR 14553, Apr. 11, 1989, as amended at 59 FR 48515, Sept. 21, 1994; 
60 FR 34358, June 30, 1995; 69 FR 2441, Jan. 15, 2004; 76 FR 57377, 
Sept. 15, 2011; 81 FR 73980, Oct. 25, 2016]



Sec. Sec.  86.545-86.599  [Reserved]



  Subpart G_Selective Enforcement Auditing of New Light-Duty Vehicles, 
               Light-Duty Trucks, and Heavy-Duty Vehicles

    Source: 41 FR 31483, July 28, 1976, unless otherwise noted.



Sec. Sec.  86.601-1--86.601-83  [Reserved]



Sec.  86.601-84  Applicability.

    The provisions of this subpart apply to light-duty vehicles, light-
duty trucks, and heavy-duty vehicles. However, manufacturers that 
optionally certify heavy-duty vehicles based on chassis testing under 
Sec.  86.1863-07 may choose instead to perform selective enforcement 
audits using the procedures specified in 40 CFR part 1068, subpart E. 
References to ``light-duty vehicle'' or ``LDT'' in this subpart G shall 
be deemed to include light-duty trucks and heavy-duty vehicles as 
appropriate.
    (a) Section numbering; construction. (1) The model year of initial 
applicability is indicated by the two digits following the hyphen of the 
section number. A section remains in effect for subsequent model years 
until it is superseded.
    (2) A section reference without a model year suffix shall be 
interpreted to be a reference to the section applicable to the 
appropriate model year.
    (b) References in this subpart to engine families and emission 
control systems shall be deemed to refer to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles and light-duty

[[Page 814]]

trucks under the provisions of subpart S of this part.

(Secs. 206, 208(a) and 301(a), Clean Air Act, as amended, 42 U.S.C. 
7525, 7542(a) and 7601(a))

[49 FR 69, Jan. 3, 1984. Redesignated at 54 FR 2122, Jan. 19, 1989, as 
amended at 62 FR 31234, June 6, 1997; 64 FR 23922, May 4, 1999; 75 FR 
22980, Apr. 30, 2010]



Sec.  86.602-84  Definitions.

    (a) The definitions in this section apply to this subpart.
    (b) As used in this subpart, all terms not defined herein have the 
meaning given them in the Act.
    (1) Acceptable Quality Level (AQL) means the maximum percentage of 
failing vehicles that, for purposes of sampling inspection, can be 
considered satisfactory as a process average.
    (2) Axle Ratio means all ratios within 3% of 
the axle ratio specified in the configuration in the test order.
    (3) Configuration means a subclassification of an engine-system 
combination on the basis of engine code, inertia weight class, 
transmission type and gear ratios, axle ratio, and other parameters 
which may be designated by the Administrator.
    (4) Test Sample means the collection of vehicles of the same 
configuration which have been drawn from the population of vehicles of 
that configuration and which will receive exhaust emission testing.
    (5) Inspection Criteria means the pass and fail numbers associated 
with a particular sampling plan.
    (6) Vehicle means any new production light-duty vehicle as defined 
in subpart A of this part.
    (7) Test Vehicle means a vehicle in a test sample.
    (8) In the Hands of the Manufacturer means that vehicles are still 
in the possession of the manufacturer and have not had their bills of 
lading transferred to another person for the purpose of transporting.

[49 FR 48480, Dec. 12, 1984. Redesignated at 54 FR 2122, Jan. 19, 1989]



Sec.  86.602-98  Definitions.

    Section 86.602-98 includes text that specifies requirements that 
differ from Sec.  86.602-84. Where a paragraph in Sec.  86.602-84 is 
identical and applicable to Sec.  86.602-98, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.602-84.'' Where a corresponding paragraph of 
Sec.  86.602-84 is not applicable, this is indicated by the statement 
``[Reserved].''.
    (a) through (b)(2) [Reserved]. For guidance see Sec.  86.602-84.
    (b)(3)(i) Configuration, when used for LDV exhaust emissions 
testing, means a subclassification of an engine-system combination on 
the basis of engine code, inertia weight class, transmission type and 
gear ratios, axle ratio, and other parameters which may be designated by 
the Administrator.
    (ii) Configuration, when used for LDV refueling emissions testing, 
means a subclassification of an evaporative/refueling emission family on 
the basis of evaporative and refueling control system and other 
parameters which may be designated by the Administrator.
    (4) Test sample means the collection of vehicles of the same 
configuration which have been drawn from the population of vehicles of 
that configuration and which will receive emission testing.
    (b)(5) through (b)(8) [Reserved]. For guidance see Sec.  86.602-84.
    (9) Executive Officer means the Executive Officer of the California 
Air Resources Board or his or her authorized representative.
    (10) Executive Order means the document the Executive Officer grants 
a manufacturer for an engine family that certifies the manufacturer has 
verified that the engine family complies with all applicable standards 
and requirements pursuant to Title 13 of the California Code of 
Regulations.
    (11) 50-state engine family means an engine family that meets both 
federal and California Air Resources Board motor vehicle emission 
control regulations and has received a federal certificate of conformity 
as well as an Executive Order.

[59 FR 16300, Apr. 6, 1994, as amended at 62 FR 31234, June 6, 1997]



Sec.  86.603-88  Test orders.

    (a) The Administrator will require any testing under this subpart by 
means of a test order addressed to the manufacturer.

[[Page 815]]

    (b) The test order will be signed by the Assistant Administrator for 
Air and Radiation or his designee. The test order will be delivered in 
person by an EPA Enforcement Officer to a company representative or sent 
by registered mail, return receipt requested, to the manufacturer's 
representative who signs the Application for Certification submitted by 
the manufacturer pursuant to the requirements of the applicable sections 
of subpart A of this part. Upon receipt of a test order, the 
manufacturer shall comply with all of the provisions of this subpart and 
instructions in the test order.
    (c)(1) The test order will specify the vehicle configuration 
selected for testing, the time and location at which vehicles must be 
selected, and the procedure by which vehicles of the specified 
configuration must be selected. The test order may specify the number of 
vehicles to be selected per day and may include alternative 
configurations (primary, secondary, etc.) to be selected for testing in 
the event that vehicles of the first specified configuration are not 
available for testing because those vehicles are not being manufactured 
at the specified assembly plant, not being manufactured during the 
specified time, or not being stored at the specified assembly plant or 
associated storage facility. If total production of the specified 
vehicle configuration is less than the number specified in the test 
order, the manufacturer will select the actual number of vehicles 
produced per day. If the first specified configuration is not being 
manufactured at a rate of at least four vehicles per day over the 
expected duration of the audit, the Assistant Administrator for Air and 
Radiation or his designated representative may select vehicles of a 
primary alternate configuration for testing in lieu of the first 
specified configuration. Likewise, vehicles of a secondary alternate 
configuration may be selected in lieu of vehicles of the first specified 
configuration or primary alternate configuration. In addition, the test 
order may include other directions or information essential to the 
administration of the required testing.
    (2) The following instructions are applicable to each test order 
issued under this subpart:
    (i) The manufacturer shall make the following documents available to 
an EPA Enforcement Officer upon request:
    (A) A properly filed and current Application for Certification 
following the format prescribed by the EPA for the appropriate model 
year; and
    (B) A copy of the shop manual, dealer service bulletins, and pre-
delivery inspection procedures for the configuration being tested.
    (ii) Only one mechanic at a time per vehicle shall make authorized 
checks, adjustments, or repairs, unless a particular check, adjustment, 
or repair requires a second mechanic as indicated in the shop manual or 
dealer service bulletins.
    (iii) A mechanic shall not perform any check, adjustment, or repair 
without an Enforcement Officer present unless otherwise authorized.
    (iv) The manufacturer shall utilize only those tools and test 
equipment utilized by its dealers when performing authorized checks, 
adjustments, or repairs.
    (d) A manufacturer may indicate preferred assembly plants for the 
various engine families produced by the manufacturer for selection of 
vehicles in response to a test order. This shall be accomplished by 
submitting a list of engine families and the corresponding assembly 
plants from which the manufacturer desires to have vehicles selected to 
the Administrator. In order that a manufacturer's preferred location for 
issuance of a test order for a configuration of a particular engine 
family be considered, the list must be submitted prior to issuance of 
the test order. Notwithstanding the fact that a manufacturer has 
submitted the above list, the Administrator may, upon making the 
determination that evidence exists indicating noncompliance at other 
than the manufacturer's preferred plant, order testing at such other 
plant where vehicles of the configuration specified in the test order 
are assembled.
    (e) During a given model year, the Administrator shall not issue to 
a manufacturer more SEA test orders than an annual limit determined by 
dividing the projected sales bound for the U.S. market for that model 
year, as made by the manufacturer in its report submitted under 
paragraph (a)(2) of

[[Page 816]]

Sec.  600.207-80 of the Automobile Fuel Economy Regulations, by 300,000 
and rounding to the nearest whole number, unless the projected sales are 
less than 150,000, in which case the annual limit is one. However, the 
annual limit for SEA test orders will be recalculated if a manufacturer 
submits to EPA in writing prior to or during the model year a sales 
projection update.
    (1) Any SEA test order for which the configuration fails in 
accordance with Sec.  86.610 or for which testing is not completed does 
not count against the annual limit.
    (2) When the annual limit has been met, the Administrator may issue 
additional test orders for those configurations for which evidence 
exists indicating noncompliance. An SEA test order issued on this basis 
will include a statement as to the reason for its issuance.

[41 FR 31483, July 28, 1976, as amended at 43 FR 4552, Feb. 2, 1978; 49 
FR 48480, Dec. 12, 1984. Redesignated and amended at 54 FR 2122, Jan. 
19, 1989]



Sec.  86.603-98  Test orders.

    Section 86.603-98 includes text that specifies requirements that 
differ from Sec.  86.603-88. Where a paragraph in Sec.  86.603-88 is 
identical and applicable to Sec.  86.603-98, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.603-88.'' Where a corresponding paragraph of 
Sec.  86.603-88 is not applicable, this is indicated by the statement 
``[Reserved].''.
    (a) through (c) [Reserved]. For guidance see Sec.  86.603-88.
    (d) A manufacturer may indicate preferred assembly plants for the 
various engine families and evaporative/refueling families produced by 
the manufacturer for selection of vehicles in response to a test order. 
This shall be accomplished by submitting a list of engine families with 
the associated evaporative/refueling families, and the corresponding 
assembly plants from which the manufacturer desires to have vehicles 
selected, to the Administrator. In order that a manufacturer's preferred 
location for issuance of a test order for a configuration of a 
particular engine family and/or evaporative/refueling family be 
considered, the list must be submitted prior to issuance of the test 
order. Notwithstanding the fact that a manufacturer has submitted the 
above list, the Administrator may, upon making the determination that 
evidence exists indicating noncompliance at other than the 
manufacturer's preferred plant, order selection at such other plant 
where vehicles of the configuration specified in the test order are 
assembled.
    (e) [Reserved]. For guidance see Sec.  86.603-88.
    (f) In the event evidence exists indicating an engine family is in 
noncompliance, the Administrator may, in addition to other powers 
provided by this section, issue a test order specifying the engine 
family the manufacturer is required to test.

[59 FR 16300, Apr. 6, 1994, as amended at 62 FR 31234, June 6, 1997]



Sec.  86.604-84  Testing by the Administrator.

    (a) The Administrator may require by test order that vehicles of a 
specified configuration be selected in a manner consistent with the 
requirements of Sec.  86.607 and submitted to him at such place as he 
may designate for the purpose of conducting emission tests. These tests 
shall be conducted in accordance with Sec.  86.608 of these regulations 
to determine whether vehicles manufactured by the manufacturer conform 
with the regulations with respect to which the certificate of conformity 
was issued.
    (b)(1) Whenever the Administrator conducts a test on a test vehicle 
or the Administrator and manufacturer each conduct a test on the same 
test vehicle, the results of the Administrator's test shall comprise the 
official data for that vehicle.
    (2) Whenever the manufacturer conducts all tests on a test vehicle, 
the manufacturer's test data will be accepted as the official data: 
Provided, That if the Administrator makes a determination based on 
testing under paragraph (a) of this section that there is a substantial 
lack of agreement between the manufacturer's test results and the 
Administrator's test results, no manufacturer's test data from the 
manufacturer's test facility will be accepted for purposes of this 
subpart.

[[Page 817]]

    (c) In the event that testing conducted under paragraph (a) of this 
section demonstrates a lack of agreement under paragraph (b)(2), of this 
section, the Administrator will:
    (1) Notify the manufacturer in writing of his determination that the 
test facility is inappropriate for conducting the tests required by this 
subpart and the reasons therefor, and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under paragraph (a) of this section 
was erroneous and the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider his determination in paragraph (b)(2) of this section based 
on data or information which indicates that changes have been made to 
the test facility and such changes have resolved the reasons for 
disqualification.

[41 FR 31483, July 28, 1976, as amended at 49 FR 48481, Dec. 12, 1984. 
Redesignated at 54 FR 2123, Jan. 19, 1989]



Sec.  86.605-88  Maintenance of records; submittal of information.

    (a) The manufacturer of any new motor vehicle subject to any of the 
standards or procedures prescribed in this part shall establish, 
maintain and retain the following adequately organized and indexed 
records:
    (1) General records. (i) A description of all equipment used to test 
vehicles in accordance with Sec.  86.608 pursuant to a test order issued 
under this subpart, including the following information:
    (A) Dynamometer. (1) Inertia loading.
    (2) Road load power absorption at 50 m.p.h.
    (3) Manufacturer, model and serial number.
    (B) Constant volume sampler. (1) Pressure of the mixture of exhaust 
and dilution air entering the positive displacement pump, pressure 
increase across the pump, and the temperature set point of the 
temperature control system.
    (2) Number of revolutions of the positive displacement pump 
accumulated while test is in progress and exhaust samples are being 
collected.
    (3) Humidity of dilution air.
    (4) Manufacturer, model, type and serial number.
    (C) Instrumentation. (1) Manufacturer, model and serial number for 
each analyzer.
    (2) Pertinent information such as tuning, gain, ranges and 
calibration data.
    (3) Identification of zero, span, exhaust gas and dilution air 
sample traces.
    (4) Temperature set point of heated sample line and heated 
hydrocarbon detector temperature control system (for diesel vehicles 
only).
    (D) Test cell. (1) Barometric pressure, ambient temperature and 
humidity.
    (2) Data and time of day.
    (ii) In lieu of recording test equipment information, reference to a 
vehicle test cell number may be used, with the advance approval of the 
Administrator: Provided, the test cell records show the pertinent 
information.
    (2) Individual records. These records pertain to each audit 
conducted pursuant to this subpart.
    (i) The location where audit testing was performed, and the date and 
time for each emissions test.
    (ii) The number of miles on the test vehicle when the test began and 
ended.
    (iii) The names of supervisory personnel responsible for the conduct 
of the audit.
    (iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, giving the date and time 
of the repair, the reason for it, the person authorizing it, and the 
names of supervisory personnel responsible for the repair.
    (v) The dates when the test vehicles were shipped from the assembly 
plant or the storage facility and when they were received at the testing 
facility.
    (vi) The drive wheel tire pressure and the inertia weight class for 
each test vehicle, and the actual curb weight for each test vehicle 
required to be weighed pursuant to a test order.
    (vii) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed by EPA directly) including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof.

[[Page 818]]

    (viii) A brief description of all significant audit events, 
commencing with the test vehicle selection process, but not described by 
any other subparagraph under paragraph (a)(2) of this section, including 
such extraordinary events as vehicle accident.
    (ix) A paper copy of the driver's trace for each test.
    (3) Additional required records for diesel vehicles.
    (4) The manufacturer shall record test equipment description, 
pursuant to paragraph (a)(1) of this section, for each test cell that is 
used to perform emission testing under this subpart.
    (b) All records required to be maintained under this subpart shall 
be retained by the manufacturer for a period of one (1) year after 
completion of all testing in response to a test order. Records may be 
retained as hard copy or reduced to microfilm, punch cards, etc., 
depending upon the record retention procedures of the manufacturer: 
Provided, That in every case all the information contained in the hard 
copy shall be retained.
    (c) The manufacturer shall, pursuant to a request made by the 
Administrator, submit to the Administrator the following information 
with regard to vehicle production:
    (1) Number of vehicles, by configuration and assembly plant, 
scheduled for production for the time period designated in the request.
    (2) Number of vehicles, by configuration and assembly plant, 
produced during the time period designated in the request which are 
complete for introduction into commerce.
    (d) Nothing in this section shall limit the Administrator's 
discretion to require the manufacturer to retain additional records or 
submit information not specifically required by this section.
    (e) All reports, submissions, notifications and requests for 
approvals made under this subpart shall be addressed to:

Director, Manufacturers Operations Division EN-340), U.S. Environmental 
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[41 FR 31483, July 28, 1976, as amended at 44 FR 61962, Oct. 29, 1979; 
49 FR 48481, Dec. 12, 1984. Redesignated at 54 FR 2123, Jan. 19, 1989]



Sec.  86.605-98  Maintenance of records; submittal of information.

    Section 86.605-98 includes text that specifies requirements that 
differ from Sec.  86.605-88. Where a paragraph in Sec.  86.605-88 is 
identical and applicable to Sec.  86.605-98, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.605-88.'' Where a corresponding paragraph of 
Sec.  86.605-88 is not applicable, this is indicated by the statement 
``[Reserved].''.
    (a) through (a)(1)(i)(D) [Reserved]. For guidance see Sec.  86.605-
88.
    (E) Refueling enclosure (refueling SHED). (1) Total internal volume.
    (2) Capacity of mixing blower.
    (3) Location of refueling access ports.
    (4) Enclosure barometric pressure and ambient temperature.
    (5) Soak area temperature records.
    (F) Fuel dispenser for refueling. (1) Fuel dispensing rate.
    (2) Manufacturer and model of fuel nozzle.
    (3) Dispensed fuel temperature.
    (4) Dispensed fuel volume.
    (a)(1)(ii) through (e) [Reserved]. For guidance see Sec.  86.605-88.
    (2) [Reserved]

[59 FR 16301, Apr. 6, 1994]



Sec.  86.606-84  Entry and access.

    (a) In order to allow the Administrator to determine whether a 
manufacturer is complying with the provisions of this subpart and a test 
order issued thereunder, EPA Enforcement Officers may enter during 
normal operating hours upon presentation of credentials any of the 
following:
    (1) Any facility where any vehicle to be introduced into commerce or 
any emission-related component is or has been manufactured, assembled, 
or stored;
    (2) Any facility where any tests conducted pursuant to a test order 
or any procedures or activities connected with such tests are or were 
performed;

[[Page 819]]

    (3) Any facility where any vehicle which is being, was, or is to be 
tested is present; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA Enforcement Officers may:
    (1) Inspect and monitor any part or aspect of vehicle manufacturer, 
assembly, storage, testing and other procedures, and the facilities in 
which these procedures are conducted;
    (2) Inspect and monitor any part or aspect of vehicle test 
procedures or activities, including, but not limited to, vehicle 
selection, preparation, mileage accumulation, preconditioning, emission 
tests, and maintenance; and verify calibration of test equipment;
    (3) Inspect and make copies of any records or documents related to 
the assembly, storage, selection and testing of a vehicle in compliance 
with a test order; and
    (4) Inspect and photograph any part or aspect of any vehicle and any 
component used in its assembly that is reasonably related to the purpose 
of the entry.
    (c) EPA Enforcement Officers may obtain reasonable assistance 
without cost from those in charge of a facility to help them perform any 
function listed in this subpart and may request the recipient of a test 
order to arrange with those in charge of a facility operated for its 
benefit to furnish reasonable assistance without cost to EPA whether or 
not the recipient controls the facility.
    (d) EPA Enforcement Officers may seek a warrant or court order 
authorizing the EPA Enforcement Officers to conduct activities related 
to entry and access as authorized in this section. EPA Enforcement 
Officers may proceed ex parte to obtain a warrant whether or not the 
Enforcement Officers first sought permission from the recipient of the 
test order or the party in charge of the facilities in question to 
conduct those activities related to entry and access.
    (e) A recipient of a test order shall permit EPA Enforcement 
Officers who present a warrant or court order as described in paragraph 
(d) of this section to conduct activities related to entry and access as 
authorized in this section and as described in the warrant or court 
order. A recipient of a test order shall cause those in charge of its 
facility or a facility operated for its benefit to permit EPA 
Enforcement Officers to conduct these activities related to entry and 
access pursuant to a warrant or court order whether or not the recipient 
controls the facility. In the absence of such a warrant or court order, 
EPA Enforcement Officers may conduct those activities related to entry 
and access only upon the consent of either the recipient of the test 
order or the party in charge of the facilities in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit EPA Enforcement Officers to conduct 
activities related to entry and access as authorized in this section 
without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions in which local foreign law 
does not prohibit EPA Enforcement Officers from conducting the entry and 
access activities specified in this section. EPA will not attempt to 
make any inspections which it has been informed that local foreign law 
prohibits.
    (h) For purposes of this section:
    (1) Presentation of Credentials means display of the document 
designating a person as an EPA Enforcement Officer.
    (2) Where vehicle storage areas or facilities are concerned, 
operating hours means all times during which personnel other than 
custodial personnel are at work in the vicinity of the area or facility 
and have access to it.
    (3) Where facilities or areas other than those covered by paragraph 
(h)(2) of this section are concerned, operating hours means all times 
during which an assembly line is in operation, vehicle assembly is 
occurring, or testing, repair, mileage accumulation, production or 
compilation of records, or any other procedure or activity related to 
testing, or to vehicle manufacture or assembly, is being conducted in a 
facility.
    (4) Reasonable assistance includes, but is not limited to, providing 
clerical,

[[Page 820]]

copying, interpreting and translating services and, at the request of an 
EPA Enforcement Officer, making available personnel of the facility 
being inspected during their working hours to provide information 
relevant to the Enforcement Officer's activities authorized in this 
section. Any employee whom a manufacturer has instructed to appear at 
the request of an Enforcement Officer may be accompanied, represented, 
and advised by counsel.

[41 FR 31483, July 28, 1976, as amended at 49 FR 48481, Dec. 12, 1984. 
Redesignated at 54 FR 2123, Jan. 19, 1989]



Sec.  86.607-84  Sample selection.

    (a) Vehicles comprising a test sample which are required to be 
tested, pursuant to a test order issued in accordance with this subpart, 
will be selected at the location and in the manner specified in the test 
order. If a manufacturer determines that the test vehicles cannot be 
selected in the manner specified in the test order, an alternative 
selection procedure may be employed: Provided, That the manufacturer 
requests approval of the alternative procedure in advance of the start 
of test sample selection and that the Administrator approves the 
procedure. Special order vehicles are exempt from sample selection 
unless a test sample cannot be completed otherwise.
    (b) The manufacturer shall have assembled the test vehicles of the 
configuration selected for testing using its normal mass production 
processes for vehicles to be distributed into commerce. During the 
audit, the manufacturer shall inform the Administrator of any change(s) 
implemented in its production processes, including quality control, 
which may be reasonably expected to affect the emissions of the vehicles 
selected, between the time the manufacturer received the test order and 
the time the manufacturer finished selecting test vehicles.
    (c) No quality control, testing, or assembly procedures will be used 
on the completed test vehicles or any portion thereof, including parts 
and subassemblies, that has not been or will not be used during the 
production and assembly of all other vehicles of that configuration.
    (d) The test order may specify that EPA Enforcement Officers, rather 
than the manufacturer, will select the test vehicles according to the 
method described in paragraph (a) of this section.
    (e) The order in which test vehicles are selected determines the 
order in which test results are to be used in applying the sampling plan 
in accordance with Sec.  86.610.
    (f) The manufacturer shall keep on hand all untested vehicles, if 
any, comprising the test sample until a pass or fail decision is reached 
in accordance with paragraph (d) of Sec.  86.610. The manufacturer may 
ship any tested vehicle which has not failed in accordance with 
paragraph (a) of Sec.  86.610. However, once a manufacturer ships any 
vehicle from the test sample, it relinquishes the prerogative to conduct 
retests provided in paragraph (i) of Sec.  86.608.

[49 FR 48482, Dec. 12, 1984. Redesignated at 54 FR 2123, Jan. 19, 1989]



Sec.  86.608-98  Test procedures.

    (a) The prescribed test procedures are the Federal Test Procedure, 
as described in subpart B of this part, and the cold temperature CO test 
procedure as described in subpart C of this part. For purposes of 
Selective Enforcement Audit testing, the manufacturer shall not be 
required to perform any of the test procedures in subpart B of this part 
relating to evaporative emission testing, other than refueling emissions 
testing, except as specified in paragraph (a)(2) of this section.
    (1) The Administrator may omit any of the testing procedures 
described in paragraph (a) of this section. Further, the Administrator 
may, on the basis of a written application by a manufacturer, approve 
optional test procedures other than those in subparts B and C of this 
part for any motor vehicle which is not susceptible to satisfactory 
testing using the procedures in subparts B and C of this part.
    (2) The following exceptions to the test procedures in subpart B of 
this part are applicable to Selective Enforcement Audit testing:
    (i) For mileage accumulation, the manufacturer may use test fuel 
meeting the specifications for mileage and service accumulation fuels of 
Sec.  86.113. Otherwise, the manufacturer may use

[[Page 821]]

fuels other than those specified in this section only with the advance 
approval of the Administrator.
    (ii) The manufacturer may measure the temperature of the test fuel 
at other than the approximate mid-volume of the fuel tank, as specified 
in Sec.  86.131-96(a) with only a single temperature sensor, and may 
drain the test fuel from other than the lowest point of the tank, as 
specified in Sec. Sec.  86.131-96(b) and 86.152-98(a), provided an 
equivalent method is used. Equivalency documentation shall be maintained 
by the manufacturers and shall be made available to the Administrator 
upon request. Additionally, for any test vehicle that has remained under 
laboratory ambient temperature conditions for at least 6 hours prior to 
testing, the vehicle soak described in Sec.  86.132-96(c) may be 
eliminated upon approval of the Administrator. In such cases, the 
vehicle shall be operated through the preconditioning drive described in 
Sec.  86.132-96(c) immediately following the fuel drain and fill 
procedure described in Sec.  86.132-96(b).
    (iii) The manufacturer may perform additional preconditioning on 
Selective Enforcement Audit test vehicles other than the preconditioning 
specified in Sec.  86.132 only if the additional preconditioning was 
performed on certification test vehicles of the same configuration.
    (iv) [Reserved]
    (v) The manufacturer may substitute slave tires for the drive wheel 
tires on the vehicle as specified in Sec.  86.135-90(e): Provided, that 
the slave tires are the same size.
    (vi) [Reserved]
    (vii) In performing exhaust sample analysis under Sec.  86.140-94.
    (A) When testing diesel vehicles, or methanol-fueled Otto-cycle 
vehicles, the manufacturer shall allow a minimum of 20 minutes warm-up 
for the HC analyzer, and for diesel vehicles, a minimum of two hours 
warm-up for the CO, CO2 and NOX analyzers. (Power is normally 
left on infrared and chemiluminescent analyzers. When not in use, the 
chopper motors of the infrared analyzers are turned off and the 
phototube high voltage supply to the chemiluminescent analyzers is 
placed in the standby position.)
    (B) The manufacturer shall exercise care to prevent moisture from 
condensing in the sample collection bags.
    (viii) The manufacturer need not comply with Sec.  86.142 or Sec.  
86.155, since the records required therein are provided under other 
provisions of this subpart G.
    (ix) If a manufacturer elects to perform the background 
determination procedure described in paragraph (a)(2)(xi) of this 
section in addition to performing the refueling emissions test 
procedure, the elapsed time between the initial and final FID readings 
shall be recorded, rounded to the nearest second rather than minute as 
described in Sec.  86.154-98(e)(8). In addition, the vehicle soak 
described in Sec.  86.153-98(e) shall be conducted with the windows and 
luggage compartment of the vehicle open.
    (x) The Administrator may elect to perform a seal test, described in 
Sec.  86.153-98(b), of both integrated and non-integrated systems 
instead of the full refueling test. When testing non-integrated systems, 
a manufacturer may conduct the canister purge described in Sec.  86.153-
98(b)(1) directly following the preconditioning drive described in Sec.  
86.132-96(e) or directly following the exhaust emissions test described 
in Sec.  86.137-96.
    (xi) In addition to the refueling test, a manufacturer may elect to 
perform the following background emissions determination immediately 
prior to the refueling measurement procedure described in Sec.  86.154, 
provided EPA is notified of this decision prior to the start of testing 
in an SEA.
    (A) The SHED shall be purged for several minutes immediately prior 
to the background determination. Warning: If at any time the 
concentration of hydrocarbons, of methanol, or of methanol and 
hydrocarbons exceeds 15,000 ppm C, the enclosure should be immediately 
purged. This concentration provides a 4:1 safety factor against the lean 
flammability limit.
    (B) The FID (or HFID) hydrocarbon analyzer shall be zeroed and 
spanned immediately prior to the background determination. If not 
already on, the enclosure mixing fan and the spilled fuel mixing blower 
shall be turned on at this time.

[[Page 822]]

    (C) Place the vehicle in the SHED. The ambient temperature level 
encountered by the test vehicle during the entire background emissions 
determination shall be 80 [deg]F 3 [deg]F. The 
windows and luggage compartment of the vehicle must be open and the gas 
cap must be secured.
    (D) Seal the SHED. Immediately analyze the ambient concentration of 
hydrocarbons in the SHED and record. This is the initial background 
hydrocarbon concentration.
    (E) Soak the vehicle for ten minutes 1 minute.
    (F) The FID (or HFID) hydrocarbon analyzer shall be zeroed and 
spanned immediately prior to the end of the background determination.
    (G) Analyze the ambient concentration of hydrocarbons in the SHED 
and record. This is the final background hydrocarbon concentration.
    (H) The total hydrocarbon mass emitted during the background 
determination is calculated according to Sec.  86.156. To obtain a per-
minute background emission rate, divide the total hydrocarbon mass 
calculated in this paragraph by the duration of the soak, rounded to the 
nearest second, described in paragraph (a)(2)(xi)(G) of this section.
    (I) The background emission rate is multiplied by the duration of 
the refueling measurement obtained in paragraph (a)(2)(ix) of this 
section. This number is then subtracted from the total grams of 
emissions calculated for the refueling test according to Sec.  86.156-
98(a) to obtain the adjusted value for total refueling emissions. The 
final results for comparison with the refueling emission standard shall 
be computed by dividing the adjusted value for total refueling mass 
emissions by the total gallons of fuel dispensed in the refueling test 
as described in Sec.  86.156-98(b).
    (xii) In addition to the requirements of subpart B of this part, the 
manufacturer shall prepare gasoline-fueled and methanol-fueled vehicles 
as follows prior to emission testing:
    (A) The manufacturer shall inspect the fuel system to ensure the 
absence of any leaks of liquid or vapor to the atmosphere by applying a 
pressure of 14.50.5 inches of water (3.60.1 kPa) to the fuel system, allowing the pressure to 
stabilize, and isolating the fuel system from the pressure source. 
Following isolation of the fuel system, pressure must not drop more than 
2.0 inches of water (0.5 kPa) in five minutes. If required, the 
manufacturer shall perform corrective action in accordance with 
paragraph (d) of this section and report this action in accordance with 
Sec.  86.609-98(d).
    (B) When performing this pressure check, the manufacturer shall 
exercise care to neither purge nor load the evaporative or refueling 
emission control systems.
    (C) The manufacturer may not modify the test vehicle's evaporative 
or refueling emission control systems by component addition, deletion, 
or substitution, except to comply with paragraph (a)(2)(ii) of this 
section if approved in advance by the Administrator.
    (3) The following exceptions to the test procedures in subpart C of 
this part are applicable to Selective Enforcement Audit testing:
    (i) The manufacturer may measure the temperature of the test fuel at 
other than the approximate mid-volume of the fuel tank, as specified in 
Sec.  86.107-96(e), and may drain the test fuel from other than the 
lowest point of the fuel tank, provided an equivalent method is used. 
Equivalency documentation shall be maintained by the manufacturer and 
shall be made available to the Administrator upon request.
    (ii) In performing exhaust sample analysis under Sec.  86.140, the 
manufacturer shall exercise care to prevent moisture from condensing in 
the sample collection bags.
    (iii) The manufacturer need not comply with Sec.  86.142 since the 
records required therein are provided under other provisions of this 
subpart G.
    (iv) In addition to the requirements of subpart C of this part, the 
manufacturer shall prepare gasoline-fueled vehicles as follows prior to 
exhaust emission testing:
    (A) The manufacturer shall inspect the fuel system to ensure the 
absence of any leaks of liquid or vapor to the atmosphere by applying a 
pressure of 14.50.5 inches of water (3.60.1 kPa) to the fuel system allowing the pressure

[[Page 823]]

to stabilize and isolating the fuel system from the pressure source. 
Following isolation of the fuel system, pressure must not drop more than 
2.0 inches of water (0.5 kPa) in five minutes. If required, the 
manufacturer shall perform corrective action in accordance with 
paragraph (d) of this section and report this action in accordance with 
Sec.  86.609-98(d).
    (B) When performing this pressure check, the manufacturer shall 
exercise care to neither purge nor load the evaporative or refueling 
emission control system.
    (C) The manufacturer shall not modify the test vehicle's evaporative 
or refueling emission control system by component addition, deletion, or 
substitution, except if approved in advance by the Administrator, to 
comply with paragraph (a)(3)(i) of this section.
    (b)(1) The manufacturer shall not adjust, repair, prepare, or modify 
the vehicles selected for testing and shall not perform any emission 
tests on vehicles selected for testing pursuant to the test order unless 
this adjustment repair, preparation, modification, and/or tests are 
documented in the manufacturer's vehicle assembly and inspection 
procedures and are actually performed or unless these adjustments and/or 
tests are required or permitted under this subpart or are approved in 
advance by the Administrator.
    (2) For 1981 and later model years the Administrator may adjust or 
cause to be adjusted any engine or vehicle parameter which the 
Administrator has determined to be subject to adjustment for new vehicle 
compliance testing (e.g., for certification or Selective Enforcement 
Audit testing) in accordance with Sec.  86.081-22(c)(1), to any setting 
within the physically adjustable range of that parameter, as determined 
by the Administrator in accordance with Sec.  86.081-22(e)(3)(ii), prior 
to the performance of any tests. However, if the idle speed parameter is 
one which the Administrator has determined to be subject to adjustment, 
the Administrator shall not adjust it to a setting which causes a lower 
engine idle speed than will be possible within the physically adjustable 
range of the idle speed parameter on the vehicle when it has accumulated 
4,000 miles, all other parameters being adjusted identically for the 
purpose of comparison. The Administrator, in making or specifying such 
adjustments, will consider the effect of the deviation from the 
manufacturer's recommended setting on emissions performance 
characteristics as well as the likelihood that similar settings will 
occur on in-use light-duty vehicles or light-duty trucks. In determining 
likelihood, the Administrator will consider factors such as, but not 
limited to, the effect of the adjustment on vehicle performance 
characteristics and surveillance information from similar in-use 
vehicles.
    (c) Prior to performing emission testing pursuant to paragraph (a) 
of this section on an SEA test vehicle, the manufacturer may accumulate 
on each vehicle a number of miles equal to the greater of 4,000 miles, 
or the number of miles the manufacturer accumulated during certification 
on the emission-data vehicle corresponding to the configuration 
specified in the test order.
    (1) Mileage accumulation must be performed in any manner using good 
engineering judgment to obtain emission results representative of normal 
production vehicles. This mileage accumulation must be consistent with 
the new vehicle break-in instructions contained in the applicable 
vehicle owner's manual, if any.
    (2) The manufacturer shall accumulate mileage at a minimum rate of 
300 miles per vehicle during each 24-hour period, unless otherwise 
provided by the Administrator.
    (i) The first 24-hour period for mileage accumulation shall begin as 
soon as authorized vehicle checks, inspections and preparations are 
completed on each vehicle.
    (ii) The minimum mileage accumulation rate does not apply on 
weekends or holidays.
    (iii) If the manufacturer's mileage accumulation target is less than 
the minimum rate specified (300 miles per day), then the minimum daily 
accumulation rate shall be equal to the manufacturer's mileage 
accumulation target.
    (3) Mileage accumulation shall be completed on a sufficient number 
of test vehicles during consecutive 24-hour periods to assure that the 
number

[[Page 824]]

of vehicles tested per day fulfills the requirements of paragraph (g) of 
this section.
    (d) The manufacturer shall not perform any maintenance on test 
vehicles after selection for testing nor shall the Administrator allow 
deletion of any test vehicle from the test sequence, unless requested by 
the manufacturer and approved by the Administrator before any test 
vehicle maintenance of deletion.
    (e) The manufacturer will be allowed 24 hours to ship test vehicles 
from the assembly plant or storage facility to the test facility if the 
test facility is not located at the plant or storage facility or in 
close proximity to the plant or storage facility: Except, that the 
Administrator may approve more time based upon a request by the 
manufacturer accompanied by a satisfactory justification.
    (f) If a vehicle cannot complete the mileage accumulation or 
emission tests because of vehicle malfunction, the manufacturer may 
request the Administrator to authorize the repair of that vehicle or its 
deletion from the test sequence.
    (g) Whenever the manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer shall notify the 
Administrator within one working day of receipt of the test order, which 
test facility will be used to comply with the test order and the number 
of available test cells at that facility. If no test cells are available 
at the desired facility, the manufacturer must provide alternate testing 
capability satisfactory to the Administrator.
    (1) The manufacturer shall perform a combination of tests pursuant 
to paragraph (a) of this section so that a minimum of four tests are 
performed per 24 hour period, including voided tests, for each available 
test cell.
    (2) The Administrator may approve a longer period based upon a 
request by a manufacturer accompanied by satisfactory justification.
    (h) The manufacturer shall perform test vehicle selection, 
preparation, mileage accumulation, shipping, and testing in such a 
manner as to assure that the audit is performed in an expeditious 
manner.
    (i) The manufacturer may retest any test vehicle after a fail 
decision has been reached in accordance with Sec.  86.610-98(d) based on 
the first test on each vehicle; except that the Administrator may 
approve retests at other times during the audit based upon a request by 
the manufacturer accompanied by a satisfactory justification. The 
manufacturer may test each vehicle a total of three times. The 
manufacturer shall test each vehicle the same number of times. The 
manufacturer may accumulate additional mileage on test vehicles before 
conducting retests, subject to the provisions of paragraph (c) of this 
section.

[59 FR 16301, Apr. 6, 1994, as amended at 60 FR 43898, Aug. 23, 1995; 62 
FR 31235, June 6, 1997; 79 FR 23700, Apr. 28, 2014]



Sec.  86.609-98  Calculation and reporting of test results.

    (a) Initial test results are calculated following the test 
procedures specified in Sec.  86.608-98(a). Round the initial test 
results to the number of decimal places contained in the applicable 
emission standard expressed to one additional significant figure.
    (b) Final test results for each test vehicle are calculated by 
summing the initial test results derived in paragraph (a) of this 
section for each test vehicle, dividing by the number of times that 
specific test has been conducted on the vehicle, and rounding to the 
same number of decimal places contained in the applicable standard 
expressed to one additional significant figure.
    (c) Final deteriorated test results. (1) For each test vehicle. The 
final deteriorated test results for each light-duty vehicle tested for 
exhaust emissions and/or refueling emissions according to subpart B, 
subpart C, or subpart R of this part are calculated by first multiplying 
or adding, as appropriate, the final test results by or to the 
appropriate deterioration factor derived from the certification process 
for the engine or evaporative/refueling family and model year to which 
the selected configuration belongs, and then by multiplying by the 
appropriate reactivity adjustment factor, if applicable, and rounding to 
the same number of

[[Page 825]]

decimal places contained in the applicable emission standard. For the 
purpose of this paragraph (c), if a multiplicative deterioration factor 
as computed during the certification process is less than one, that 
deterioration factor is one. If an additive deterioration factor as 
computed during the certification process is less than zero, that 
deterioration factor will be zero.
    (2) Exceptions. There are no deterioration factors for light-duty 
vehicle emissions obtained during spitback testing in accordance with 
Sec.  86.146. Accordingly, for the fuel dispensing spitback test, the 
term ``final deteriorated test results'' means the final test results 
derived in paragraph (b) of this section for each test vehicle, rounded 
to the same number of decimal places contained in the applicable 
emission standard.
    (d) Within five working days after completion of testing of all 
vehicles pursuant to a test order, the manufacturer shall submit to the 
Administrator a report which includes the following information:
    (1) The location and description of the manufacturer's emission test 
facilities which were utilized to conduct testing reported pursuant to 
this section.
    (2) The applicable standards against which the vehicles were tested.
    (3) Deterioration factors for the selected configuration.
    (4) A description of the vehicle selection method used.
    (5) For each test conducted.
    (i) Test vehicle description including:
    (A) Configuration, engine family, and refueling family 
identification.
    (B) Year, make, build date, and model of vehicle.
    (C) Vehicle Identification Number.
    (D) Miles accumulated on vehicle.
    (ii) Location where mileage accumulation was conducted and 
description of accumulation schedule.
    (iii) Test number, date initial test results, final results and 
final deteriorated test results for all valid and invalid exhaust 
emission tests, and the reason for invalidation.
    (iv) A complete description of any modification, repair, 
preparation, maintenance and/or testing which was performed on the test 
vehicle and:
    (A) Has not been reported pursuant to any other paragraph of this 
subpart; and
    (B) Will not be performed on all other production vehicles.
    (v) Carbon dioxide emission values for all valid and invalid exhaust 
emission tests.
    (vi) Where a vehicle was deleted from the test sequence by 
authorization of the Administrator, the reason for the deletion.
    (vii) Any other information the Administrator may request relevant 
to the determination as to whether the new motor vehicles being 
manufactured by the manufacturer do in fact conform with the regulations 
with respect to which the certificate of conformity was issued.
    (6) The following statement and endorsement:

    This report is submitted pursuant to sections 206 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
86 and the conditions of the test order. No emission related change(s) 
to production processes or quality control procedures for the vehicle 
configuration tested have been made between receipt of this test order 
and conclusion of the audit. All data and information reported herein 
is, to the best of

________________________________________________________________________
(Company Name)

knowledge, true and accurate. I am aware of the penalties associated 
with violations of the Clean Air Act and the regulations thereunder.

________________________________________________________________________
(Authorized Company Representative)

[59 FR 16303, Apr. 6, 1994, as amended at 62 FR 31236, June 6, 1997; 79 
FR 23701, Apr. 28, 2014]



Sec.  86.610-98  Compliance with acceptable quality level and passing 
and failing criteria for Selective Enforcement Audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) A failed vehicle is one whose final deteriorated test results 
pursuant to Sec.  86.609-98(c) exceed at least one of the applicable 
emission standards associated with the test procedures pursuant to Sec.  
86.608-98(a).
    (c)(1) Pass/fail criteria. The manufacturer shall test vehicles 
comprising the

[[Page 826]]

test sample until a pass decision is reached for all of the pollutants 
associated with all of the test procedures pursuant to Sec.  86.608-
98(a) or a fail decision is reached for one of these pollutants. A pass 
decision is reached when the cumulative number of failed vehicles, as 
defined in paragraph (b) of this section, for each pollutant is less 
than or equal to the fail decision number appropriate to the cumulative 
number of vehicles tested. A fail decision is reached when the 
cumulative number of failed vehicles for one pollutant is greater than 
or equal to the fail decision number appropriate to the cumulative 
number of vehicles tested. The pass and fail decision numbers associated 
with the cumulative number of vehicles tested are determined by use of 
the tables in appendix XI of this part appropriate for the annual 
projected sales as made by the manufacturer in its report submitted 
under Sec.  600.207-80(a)(2) of this chapter (Automobile Fuel Economy 
Regulations). In the tables in appendix XI of this part, sampling plan 
``stage'' refers to the cumulative number of vehicles tested. Once a 
pass decision has been made for a particular pollutant associated with a 
particular test procedure pursuant to Sec.  86.608-98(a), the number of 
vehicles whose final deteriorated test results exceed the emission 
standard for that pollutant may not be considered any further for 
purposes of the audit.
    (2) [Reserved]
    (d) Passing or failing of an SEA audit occurs when the decision is 
made on the last vehicle required to make a decision under paragraph (c) 
of this section.
    (e) The Administrator may terminate testing earlier than required in 
paragraph (c) of this section.

[59 FR 16304, Apr. 6, 1994, as amended at 79 FR 23702, Apr. 28, 2014]



Sec.  86.612-97  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is immediately suspended with 
respect to any vehicle failing pursuant to Sec.  86.610-98(b) effective 
from the time that testing of that vehicle is completed.
    (b) The Administrator may suspend the certificate of conformity for 
a configuration that does not pass a selective enforcement audit 
pursuant to Sec.  86.610-98(c) based on the first test, or all tests, 
conducted on each vehicle. This suspension will not occur before ten 
days after failure to pass the audit.
    (c) If the results of vehicle testing pursuant to the requirements 
of this subpart indicate the vehicles of a particular configuration 
produced at more than one plant do not conform to the regulations with 
respect to which the certificate of conformity was issued, the 
Administrator may suspend the certificate of conformity with respect to 
that configuration for vehicles manufactured by the manufacturer in 
other plants of the manufacturer.
    (d) The Administrator will notify the manufacturer in writing of any 
suspension or revocation of a certificate of conformity in whole or in 
part: Except, that the certificate of conformity is immediately 
suspended with respect to any vehicle failing pursuant to Sec.  86.610-
98(b) and as provided for in paragraph (a) of this section.
    (e) The Administrator may revoke a certificate of conformity for a 
configuration when the certificate has been suspended pursuant to 
paragraph (b) or (c) of this section if the proposed remedy for the 
nonconformity, as reported by the manufacturer to the Administrator, is 
one requiring a design change(s) to the engine and/or emission control 
system as described in the Application for Certification of the affected 
configuration.
    (f) Once a certificate has been suspended for a failed vehicle as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions:
    (1) Before the certificate is reinstated for that failed vehicle--
    (i) Remedy the nonconformity; and
    (ii) Demonstrate that the vehicle's final deteriorated test results 
conform to the applicable emission standards or family particulate 
emission limits, as defined in this part 86 by retesting the vehicle in 
accordance with the requirements of this subpart.
    (2) Submit a written report to the Administrator within thirty days 
after successful completion of testing on the failed vehicle, which 
contains a description of the remedy and test results

[[Page 827]]

for the vehicle in addition to other information that may be required by 
this subpart.
    (g) Once a certificate has been suspended pursuant to paragraph (b) 
or (c) of this section, the manufacturer must take the following actions 
before the Administrator will consider reinstating such certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the vehicles, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
the future occurrence of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family or configuration for which 
the certificate of conformity has been suspended does in fact comply 
with the requirements of this subpart by testing vehicles selected from 
normal production runs of that engine family or configuration at the 
plant(s) or the facilities specified by the Administrator, in accordance 
with: the conditions specified in the initial test order pursuant to 
Sec.  86.603 for a configuration suspended pursuant to paragraph (b) or 
(c) of this section.
    (3) If the Administrator has not revoked the certificate pursuant to 
paragraph (e) of this section and if the manufacturer elects to continue 
testing individual vehicles after suspension of a certificate, the 
certificate is reinstated for any vehicle actually determined to have 
its final deteriorated test results in conformance with the applicable 
standards through testing in accordance with the applicable test 
procedures.
    (h) Once a certificate for a failed engine family or configuration 
has been revoked under paragraph (e) of this section and the 
manufacturer desires to introduce into commerce a modified version of 
that engine family or configuration, the following actions will be taken 
before the Administrator may issue a certificate for the new engine 
family or configuration:
    (1) If the Administrator determines that the proposed change(s) in 
vehicle design may have an effect on emission performance deterioration 
and/or fuel economy, he/she shall notify the manufacturer within five 
working days after receipt of the report in paragraph (g)(1) of this 
section whether subsequent testing under this subpart will be sufficient 
to evaluate the proposed change(s) or whether additional testing will be 
required.
    (2) After implementing the change(s) intended to remedy the 
nonconformity, the manufacturer shall demonstrate, if the certificate 
was revoked pursuant to paragraph (e) of this section, that the modified 
vehicle configuration does in fact conform with the requirements of this 
subpart by testing vehicles selected from normal production runs of that 
modified vehicle configuration in accordance with the conditions 
specified in the initial test order pursuant to Sec.  86.603. The 
Administrator shall consider this testing to satisfy the testing 
requirements of Sec.  86.079-32 or Sec.  86.079-33 if the Administrator 
had so notified the manufacturer. If the subsequent testing results in a 
pass decision pursuant to the criteria in Sec.  86.610-98(c), the 
Administrator shall reissue or amend the certificate, if necessary, to 
include that configuration: Provided, that the manufacturer has 
satisfied the testing requirements specified in paragraph (h)(1) of this 
section. If the subsequent audit results in a fail decision pursuant to 
the criteria in Sec.  86.610-98(c), the revocation remains in effect. 
Any design change approvals under this subpart are limited to the 
modification of the configuration specified by the test order.
    (i) A manufacturer may at any time subsequent to an initial 
suspension of a certificate of conformity with respect to a test vehicle 
pursuant to paragraph (a) of this section, but not later than fifteen 
(15) days or such other period as may be allowed by the Administrator 
after notification of the Administrator's decision to suspend or revoke 
a certificate of conformity in whole or in part pursuant to paragraph 
(b), (c) or (e) of this section, request that the Administrator grant 
such manufacturer a hearing as to whether the tests have been properly 
conducted or any sampling methods have been properly applied.

[[Page 828]]

    (j) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section or notifies a manufacturer of his 
intent to suspend, revoke or void a certificate of conformity under 
Sec.  86.007-30(e) or Sec.  86.1850, and prior to the commencement of a 
hearing under Sec.  86.614, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke or 
void the certificate was based on erroneous information, the 
Administrator shall reinstate the certificate.
    (k) To permit a manufacturer to avoid storing non-test vehicles when 
conducting testing of an engine family or configuration subsequent to 
suspension or revocation of the certificate of conformity for that 
engine family or configuration pursuant to paragraph (b), (c), or (e) of 
this section, the manufacturer may request that the Administrator 
conditionally reinstate the certificate for that engine family or 
configuration. The Administrator may reinstate the certificate subject 
to the condition that the manufacturer consents to recall all vehicles 
of that engine family or configuration produced from the time the 
certificate is conditionally reinstated if the engine family or 
configuration fails the subsequent testing and to remedy any 
nonconformity at no expense to the owner.

[79 FR 23702, Apr. 28, 2014]



Sec.  86.614-84  Hearings on suspension, revocation, and voiding 
of certificates of conformity.

    The provisions of 40 CFR part 1068, subpart G, apply if a 
manufacturer requests a hearing regarding suspension, revocation or 
voiding of certificates of conformity.

[81 FR 73980, Oct. 25, 2016]



Sec.  86.615-84  Treatment of confidential information.

    The provisions of 40 CFR 1068.10 apply for information you consider 
confidential.

[81 FR 73980, Oct. 25, 2016]

Subpart H [Reserved]



Subpart I_Emission Regulations for New Diesel Heavy-Duty Engines; Smoke 
                         Exhaust Test Procedure

    Authority: Secs. 202, 206, 207, 208, 301(a), Clean Air Act; as 
amended 42 U.S.C. 7521, 7524, 7541, 7542, and 7601.

    Source: 48 FR 52203, Nov. 16, 1983, unless otherwise noted.



Sec.  86.884-1  General applicability.

    The provisions of this subpart are applicable to new petroleum-
fueled diesel heavy-duty engines beginning with the 1984 model year, 
methanol-fueled diesel heavy-duty engines beginning with the 1990 model 
year and natural gas-fueled and liquefied petroleum gas-fueled diesel 
heavy-duty engines beginning with the 1997 model year. The provisions of 
this subpart are optional prior to the 1997 model year for natural gas-
fueled and liquefied petroleum gas-fueled diesel heavy-duty engines.

[59 FR 48521, Sept. 21, 1994]



Sec.  86.884-2  Definitions.

    The definitions in Sec.  86.084-2 apply to this subpart.



Sec.  86.884-3  Abbreviations.

    The abbreviations in Sec.  86.078-3 apply to this subpart.



Sec.  86.884-4  Section numbering.

    The section numbering system set forth in Sec.  86.084-4 applies to 
this subpart.

[48 FR 52203, Nov. 16, 1983, as amended at 59 FR 48521, Sept. 21, 1994]



Sec.  86.884-5  Test procedures.

    The procedures described in this and subsequent sections will be the 
test program to determine the conformity of engines with the standards 
set forth in Sec.  86.084-11(b).
    (a) The test consists of a prescribed sequence of engine operating 
conditions on an engine dynamometer with continuous examination of the 
exhaust gases. The test is applicable equally to controlled engines 
equipped with means for preventing, controlling, or eliminating smoke 
emissions and to uncontrolled engines.

[[Page 829]]

    (b) The test is designed to determine the opacity of smoke in 
exhaust emissions during those engine operating conditions which tend to 
promote smoke from diesel vehicles.
    (c) The test procedure begins with a preconditioned engine which is 
then run through preloading and preconditioning operations. After an 
idling period, the engine is operated through acceleration and lugging 
modes during which smoke emission measurements are made to compare with 
the standards. The engine is then returned to the idle condition and the 
acceleration and lugging modes are repeated. Three consecutive sequences 
of acceleration and lugging constitutes the full set of operating 
conditions for smoke emission measurement.
    (d)(1) Except in cases of component mulfunction or failure, all 
emission control systems installed on, or incorporated in, a new motor 
vehicle engine shall be functioning during all procedures in this 
subpart.
    (2) Maintenance to correct component malfunction or failure shall be 
authorized in accordance with Sec.  86.084-25.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48140, Dec. 10, 1984; 
54 FR 14559, Apr. 11, 1989]



Sec.  86.884-6  Fuel specifications.

    The requirements of this section are set forth in Sec.  86.1313.

[54 FR 14559, Apr. 11, 1989]



Sec.  86.884-7  Dynamometer operation cycle for smoke emission tests.

    (a) The following sequence of operations shall be performed during 
engine dynamometer testing of smoke emissions, starting with the 
dynamometer preloading determined and the engine preconditioned (Sec.  
86.884-12(c)).
    (1) Idle Mode. The engine is caused to idle for 5.0 to 5.5 minutes 
at the manufacturer's recommended curb idle speed. The dynamometer 
controls shall be set to provide the speed and load necessary to comply 
with the heavy-duty ``curb idle'' definition per Sec.  86.084-2, in 
accordance with predominant engine application.
    (2) Acceleration mode. (i) The engine speed shall be increased to 
200 50 rpm above the measured free idle speed 
measured at the point where the throttle begins to move from part-
throttle to the full throttle position. The speed anywhere during this 
mode should not exceed this checkpoint speed by more than 50 rpm. The 
duration of this first acceleration shall be three seconds or less 
measured from the point where the speed first begins to increase above 
idle to the point where the throttle reaches full open position.
    (ii) Immediately upon completion of the mode specified in paragraph 
(a)(2)(i) of this section, the throttle shall be moved rapidly to, and 
held in, the fully open position. The inertia of the engine and the 
dynamometer, or alternately a preselected dynamometer load, shall be 
used to control the acceleration of the engine so that the speed 
increases to 85 percent of the rated speed in 5 1.5 seconds. This acceleration shall be linear within 
100 rpm as specified in Sec.  86.884-13(c).
    (iii) After the engine reaches the speed required in paragraph 
(a)(2)(ii) of this section the throttle shall be moved rapidly to, and 
held in, the fully closed position. Immediately after the throttle is 
closed, the preselected load required to perform the acceleration in 
paragraph (a)(2)(iv) of this section shall be applied. For electric 
motoring dynamometer operation in speed mode, the deceleration shall be 
performed in 21.5 seconds.
    (iv) When the engine decelerates to the intermediate speed (within 
50 rpm), the throttle shall be moved rapidly to, and held in, the fully 
open position. The preselected dynamometer load which was applied during 
the preceding transition period shall be used to control the 
acceleration of the engine so that the speed increases to at least 95 
percent of the rated speed in 10 2 seconds.
    (v) For electric dynamometer operation in speed mode, motoring 
assist may be used to offset excessive dynamometer inertia load when 
necessary. No negative flywheel torque shall occur during any of the 
three acceleration modes in paragraph (a)(2) of this section except for 
a maximum of 10ft-lbs. for the first 0.5 second of the mode.
    (3) Lugging mode. (i) Immediately upon the completion of the 
preceding acceleration mode, the dynamometer

[[Page 830]]

controls shall be adjusted to permit the engine to develop maximum 
horsepower at rated speed. This transition period shall be 50 to 60 
seconds in duration. During the last 10 seconds of this period, the 
average engine speed shall be maintained within 50 rpm of the rated 
speed, and the average observed power (corrected, if necessary, to 
rating conditions) shall be no less than 95 percent of the maximum 
horsepower developed during the preconditioning prior to the smoke 
cycle.
    (ii) With the throttle remaining in the fully open position, the 
dynamometer controls shall be adjusted gradually so that the engine 
speed is reduced to the intermediate speed. This lugging operation shall 
be performed smoothly over a period of 355 seconds. The rate of slowing 
of the engine shall be linear, within 100 rpm, as specified in Sec.  
86.884-13(c).
    (4) Engine unloading. Within five seconds of completing the 
preceding lugging mode, the dynamometer and engine controls shall be 
returned to the idle position described in paragraph (a)(1) of this 
section. The engine must be at free idle condition within one minute 
after completion of the lugging mode.
    (b) The procedures described in paragraphs (a)(1) through (a)(4) of 
this section shall be repeated until three consecutive valid cycles have 
been completed. If three valid cycles have not been completed after a 
total of six consecutive cycles have been run, the engine shall be 
preconditioned by operation at maximum horsepower at rated speed for 10 
minutes before the test sequence is repeated.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984; 
52 FR 47870, Dec. 16, 1987; 62 FR 47122, Sept. 5, 1997]



Sec.  86.884-8  Dynamometer and engine equipment.

    The following equipment shall be used for smoke emission testing of 
engines on engine dynamometers:
    (a) An engine dynamometer with adequate characteristics to perform 
the test cycle described in Sec.  86.884-7.
    (b) An engine cooling system having sufficient capacity to maintain 
the engine at normal operating temperatures during conduct of the 
prescribed engine tests.
    (c) An exhaust system with an appropriate type of smokemeter placed 
no more than 32 feet from the exhaust manifold(s), turbocharger 
outlet(s), exhaust aftertreatment device(s), or crossover junction (on 
Vee engines), whichever is farthest downstream. The smoke exhaust system 
shall present an exhaust backpressure within 0.2 
inch Hg of the upper limit at maximum rated horsepower, as established 
by the engine manufacturer in his sales and service literature for 
vehicle application. The following options may also be used:
    (1) For engines with multiple exhaust outlets, join the exhaust 
outlets together into a single exhaust system and install the smokemeter 
10 to 32 feet downstream from the junction of the individual exhaust 
outlets, or exhaust aftertreatment device(s), whichever is farthest 
downstream.
    (2) For engines with multiple exhaust outlets, install a smokemeter 
in each of the exhaust pipes 10 to 32 feet downstream from each exhaust 
manifold, turbocharger outlet, or exhaust aftertreatment device, 
whichever is farthest downstream.
    (3) For engines with multiple exhaust outlets, install a smokemeter 
on the exhaust pipe which produces the highest smoke levels 10 to 32 
feet downstream from the exhaust manifold, turbocharger outlet, or 
exhaust aftertreatment device, whichever is farthest downstream. It may 
be required to make smoke measurements from other exhaust outlets if 
deemed appropriate by the Administrator.
    (4) When utilizing an end-of-line smokemeter, the terminal two feet 
of the exhaust pipe used for smoke measurement shall be of a circular 
cross section and be free of elbows and bends. The end of the pipe shall 
be cut off squarely. The terminal two feet of the exhaust pipe shall 
have a nominal inside diameter in accordance with the engine being 
tested, as specified below:

------------------------------------------------------------------------
                                                               Exhaust
                                                                 pipe
                  Maximum rated horsepower                     diameter
                                                               (inches)
------------------------------------------------------------------------
HP<50......................................................          1.5
50<=HP<100.................................................          2.0
100<=HP<200................................................          3.0

[[Page 831]]

 
200<=HP<300................................................          4.0
300<=HP<500................................................          5.0
HP=500..........................................          6.0
------------------------------------------------------------------------

    (5) When utilizing an in-line smokemeter, there shall be no change 
in the exhaust pipe diameter within 3 exhaust pipe diameters before or 
after the centerline of the smokemeter optics. Within 6 exhaust pipe 
diameters upstream of the centerline of the smokemeter optics, no change 
in exhaust pipe diameter may exceed a 12 degree half-angle.
    (d) An engine air inlet system presenting an air inlet restriction 
within one inch of water of the upper limit for the engine operating 
condition which results in maximum air flow, as established by the 
engine manufacturer in his sales and service literature, for the engine 
being tested.

[48 FR 52203, Nov. 16, 1983, as amended at 62 FR 47122, Sept. 5, 1997; 
63 FR 63967, Nov. 17, 1998; 70 FR 40437, July 13, 2005]



Sec.  86.884-9  Smoke measurement system.

    (a) Schematic drawing. The Figure I84-1 is a schematic drawing of 
the optical system of the light extinction meter.
[GRAPHIC] [TIFF OMITTED] TR06OC93.182

    (b) Equipment. The following equipment shall be used in the system.
    (1) Adapter--the smokemeter optical unit may be mounted on a fixed 
or movable frame. The normal unrestricted shape of the exhaust plume 
shall not be modified by the adaptor, the meter, or any ventilatory 
system used to remove the exhaust from the test site.
    (2) Smokemeter (light extinction meter)--continuous recording, full-
flow light obscuration meter.
    (i) It is positioned so that a built-in light beam traverses the 
exhaust smoke plume at right angles to the axis of the exhaust stream.
    (ii) The smokemeter light source shall be an incandescent lamp with 
a color temperature range of 2800K to 3250K, or a light source with a 
spectral peak between 550 to 570 nanometers.
    (iii) The light output is collimated to a beam with a maximum 
diameter of 1.125 inches and an included angle of divergence within a 
6[deg] included angle.
    (iv) The light detector shall be a photocell or photodiode. If the 
light source is an incandescent lamp, the detector shall have a spectral 
response similar to the photopic curve of the human eye (a maximum 
response in the range of 550 to 570 nanometers, to less than 4 percent 
of that maximum response below 430 nanometers and above 680 nanometers).
    (v) A collimating tube with apertures equal to the beam diameter is 
attached to the detector to restrict the viewing angle of the detector 
to within a 16[deg] included angle.
    (vi) An amplified signal corresponding to the amount of light

[[Page 832]]

blocked is recorded continuously on a remote recorder.
    (vii) An air curtain across the light source and detector window 
assemblies may be used to minimize deposition of smoke particles on 
those surfaces provided that it does not measurably affect the opacity 
of the plume.
    (viii) The smokemeter consists of two units; an optical unit and a 
remote control unit.
    (ix) Light extinction meters employing substantially identical 
measurement principles and producing substantially equivalent results, 
but which employ other electronic and optical techniques, may be used 
only after having been approved in advance by the Administrator.
    (3) Recorder--a continuous recorder, with variable chart speed over 
a minimal range of 0.5 to 8.0 inches per minute (or equivalent) and an 
automatic marker indicating 1-second intervals continuously records the 
exhaust gas opacity, engine rpm and throttle position.
    (i) The recorder is equipped to indicate only when the throttle is 
in the fully open or fully closed position.
    (ii) The recorder scale for opacity is linear and calibrated to read 
from 0 to 100 percent opacity full scale.
    (iii) The opacity trace has a resolution within one percent opacity.
    (iv) The recorder scale for engine rpm is linear and has a 
resolution of 30 rpm.
    (v) The throttle position trace clearly indicates when the throttle 
is in the fully open and fully closed positions.
    (vi) Any means other than a strip-chart recorder may be used 
provided it produces a permanent visual data record of quality equal to 
or better than that described above (e.g., tabulated data, traces, or 
plots).
    (4) The recorder used with the smokemeter shall be capable of full-
scale deflection in 0.5 second or less. The smokemeter-recorder 
combination may be damped so that signals with a frequency higher than 
10 cycles per second are attenuated. A separate lowpass electronic 
filter with the following performance characteristics may be installed 
between the smokemeter and the recorder to achieve the high-frequency 
attenuation:
    (i) Three decibel point--10 cycles per second.
    (ii) Insertion loss--zero 0.5 decibel.
    (iii) Selectivity--12 decibels per octave above 10 cycles per 
second.
    (iv) Attenuation--27 decibels down at 40 cycles per second minimum.
    (5) In lieu of the use of chart recorders, automatic data collection 
equipment may be used to record all required data. Automatic data 
processing equipment may then be used to perform the data analysis 
specified in Sec.  86.884-13. The automatic data collection equipment 
must be capable of sampling at least two records per second.
    (c) Assembling equipment. (1) The optical unit of the smokemeter 
shall be mounted radially to the exhaust pipe so that the measurement 
will be made at right angles to the axis of the exhaust plume. For an 
end-of-line smokemeter the distance from the optical centerline to the 
exhaust pipe outlet shall be 1 0.25 inch. The full 
flow of the exhaust stream shall be centered between the source and the 
detector apertures (or windows and lenses) and on the axis of the light 
beam.
    (2) Power shall be supplied to the control unit of the smokemeter in 
time to allow at least 15 minutes for stabilization prior to testing.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984; 
62 FR 47122, Sept. 5, 1997]



Sec.  86.884-10  Information.

    The following information, as applicable, shall be recorded for each 
test:
    (a) Engine description and specifications. A copy of the information 
specified in this paragraph must accompany each engine sent to the 
Administrator for compliance testing. If the engine is submitted to the 
Administrator for testing under subpart N of this part or 40 CFR part 
1065, only the specified information need accompany the engine. The 
manufacturer need not record the information specified in this paragraph 
for each test if the information, with the exception of paragraphs 
(a)(3), (a)(12), and (a)(13) of this section, is included in the 
manufacturer's part I.
    (1) Engine-system combination.
    (2) Engine identification numbers.

[[Page 833]]

    (3) Number of hours of operation accumulated on engine.
    (4) Rated maximum horsepower and torque.
    (5) Maximum horsepower and torque speeds.
    (6) Engine displacement.
    (7) Governed speed.
    (8) Idle rpm.
    (9) Fuel consumption at maximum power and torque.
    (10) Maximum air flow.
    (11) Maximum and test air inlet restriction.
    (12) Exhaust pipe diameter(s).
    (13) Maximum exhaust system backpressure.
    (b) Test data; general. This information may be recorded at any time 
between four hours prior to the test and four hours after the test.
    (1) Engine-system combination.
    (2) Engine identification numbers.
    (3) Instrument operator.
    (4) Engine operator.
    (5) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test.
    (6) Calibration date(s) of neutral density filters used to calibrate 
the smokemeter.
    (c) Test data; pre-test.
    (1) Date and time of day.
    (2) Test number.
    (3) Barometric pressure.
    (4) [Reserved]
    (5) Intake air humidity and temperature:
    (i) Humidity-conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity-conditioned air. For this type 
of intake air supply, the humidity measurement must be made within the 
intake air supply system, and after the humidity conditioning has taken 
place.
    (ii) Non-conditioned air supply. Humidity measurements in non-
conditioned intake air supply systems must be made in the intake air 
stream entering the supply system and within 18 inches of the inlet for 
supply system. Alternatively, the humidity measurements can be measured 
within the intake air supply stream.
    (iii) Engine intake air temperature measurement must be made within 
48 inches of the engine. The measurement location must be made either in 
the supply system or in the air stream entering the supply system.
    (d) Test data; modal. (1) Observed engine torque and speed during 
the steady-state test conditions specified in Sec.  86.884-7(a)(3)(i).
    (2) On the recorder or automatic data collection equipment: Identify 
zero traces--calibration traces--idle traces (or printout of the zero 
and calibration values)--closed-throttle trace-open throttle trace--
acceleration and lugdown test traces--start and finish of each test.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984; 
62 FR 47123, Sept. 5, 1997; 70 FR 40437, July 13, 2005]



Sec.  86.884-11  Instrument checks.

    (a) The smokemeter shall be checked according to the following 
procedure prior to each test:
    (1) [Reserved]
    (2) The zero control shall be adjusted under conditions of ``no 
smoke'' to give a recorder or data collection equipment response of 
zero;
    (3) Calibrated neutral density filters having approximately 10, 20, 
and 40 percent opacity shall be employed to check the linearity of the 
instrument. The filter(s) shall be inserted in the light path 
perpendicular to the axis of the beam and adjacent to the opening from 
which the beam of light from the light source emanates, and the recorder 
response shall be noted. Filters with exposed filtering media should be 
checked for opacity every six months; all other filters shall be checked 
every year, using NBS or equivalent reference filters. Deviations in 
excess of 1 percent of the nominal opacity shall be corrected.
    (b) The instruments for measuring and recording engine rpm, engine 
torque, air inlet restrictions, exhaust system backpressure, throttle 
position, etc., which are used in the test prescribed herein, shall be 
calibrated in accordance with good engineering practice.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984]

[[Page 834]]



Sec.  86.884-12  Test run.

    (a) The temperature of the air supplied to the engine shall be 
between 68 [deg]F and 86 [deg]F. The engine fuel inlet temperature shall 
be 100 [deg]F 10 [deg]F and shall be measured at a 
point specified by the manufacturer. The observed barometric pressure 
shall be between 28.5 inches and 31 inches Hg. Higher air temperature or 
lower barometric pressure may be used, if desired, but no allowance will 
be made for possible increased smoke emissions because of such 
conditions.
    (b) The governor and fuel system shall have been adjusted to provide 
engine performance at the levels in the application for certification 
required under Sec.  86.084-21.
    (c) The following steps shall be taken for each test:
    (1) Start cooling system;
    (2) Warm up the engine by the procedure described in 40 CFR 
1065.530.
    (3) Determine by experimentation the dynamometer inertia and 
dynamometer load required to perform the acceleration in the dynamometer 
cycle for smoke emission tests (Sec.  86.884-7(a)(2)). In a manner 
appropriate for the dynamometer and controls being used, arrange to 
conduct the acceleration mode;
    (4) Install smokemeter optical unit and connect it to the recorder/
data collection system. Connect the engine rpm and throttle position 
sensing devices to the recorder/data collection system;
    (5) Turn on purge air to the optical unit of the smokemeter, if 
purge air is used;
    (6) Check and record zero and span settings of the smokemeter. (If a 
recorder is used, a chart speed of approximately one inch per minute 
shall be used.) The optical unit shall be retracted from its position 
about the exhaust stream if the engine is left running;
    (7) Precondition the engine by operating it for 10 minutes at 
maximum rated horsepower;
    (8) Proceed with the sequence of smoke emission measurements on the 
engine dynamometer as prescribed in Sec.  86.884-7;
    (9)(i) During the test sequence of Sec.  86.884-7, continuously 
record smoke measurements, engine rpm, and throttle position.
    (ii) If a chart recorder is used for data collection, it shall be 
run at a minimum chart speed of one inch per minute during the idle mode 
and transitional periods, and eight inches per minute during the 
acceleration and lugging modes.
    (iii) Automatic data collection equipment, if used, shall sample at 
least two records per second.
    (iv) The smoke meter zero and full scale response may be rechecked 
and reset during the idle mode of each test sequence.
    (v) If either zero or full-scale drift is in excess of 2 percent 
opacity, the smokemeter controls must be readjusted and the test must be 
repeated;
    (10) Turn off engine;
    (11)(i) Check zero and reset if necessary.
    (ii) Check span response (linearity) of the smokemeter by inserting 
neutral density filters.
    (iii) If either zero drift or the linearity check is in excess of 
two percent opacity, the results shall be invalidated.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984; 
52 FR 47870, Dec. 16, 1987; 70 FR 40437, July 13, 2005]



Sec.  86.884-13  Data analysis.

    The following procedure shall be used to analyze the test data:
    (a) Locate the modes specified in Sec.  86.884-7(a)(1) through 
(a)(4) by applying the following starting and ending criteria:
    (1) The idle mode specified in Sec.  86.884-7(a)(1) starts when 
engine preconditioning or the lugging mode of a preceding cycle has been 
completed and ends when the engine speed is raised above the idle speed.
    (2) The acceleration mode specified in Sec.  86.884-7(a)(2)(i) 
starts when the preceding idle mode has been completed and ends when the 
throttle is in the fully open position, as indicated by the throttle 
position trace as specified in Sec.  86.884-7(a)(2)(ii).
    (3) The acceleration mode specified in Sec.  86.884-7(a)(2)(ii) 
starts when the preceding acceleration mode has been completed and ends 
when the engine

[[Page 835]]

speed reaches 85 percent of the rated speed.
    (4) The transition period specified in Sec.  86.884-7(a)(2)(iii) 
starts when the preceding acceleration mode has been completed and ends 
when the throttle is in the fully open position as indicated by the 
throttle position trace, as specified in Sec.  86.884-7(a)(2)(iv).
    (5) The acceleration mode specified in Sec.  86.884-7(a)(2)(iv) 
starts when the preceding transition period has been completed and ends 
when the engine speed reaches 95 percent of the rated speed.
    (6) The transition period specified in Sec.  86.884-7 (a)(3)(i) 
starts when the preceding acceleration mode has been completed and ends 
when the engine speed is 50 rpm below the rated speed and the provisions 
of Sec.  86.884-7 (a)(3)(i) are met.
    (7) The lugging mode specified in Sec.  86.884-7(a)(3)(ii) starts 
when the preceding transition period has been completed and ends when 
the engine speed is at the intermediate speed.
    (b) Determine if the test requirements of Sec.  86.884-7 are met by 
applying the following modal criteria:
    (1) Idle mode as specified in Sec.  86.884-7(a)(1):
    (i) Duration: 5 to 5.5 minutes.
    (ii) Speed: within specification during the last four minutes of the 
mode.
    (2) Acceleration mode as specified in Sec.  86.884-7(a)(2)(i).
    (i) Duration: three seconds or less.
    (ii) Speed increase: 20050 rpm.
    (3) Acceleration mode as specified in Sec.  86.884-7(a)(2)(ii);
    (i) Linearity: 100 rpm as specified in 
paragraph (c) of this section.
    (ii) Duration: 3.5 to 6.5 seconds.
    (iii) Throttle position: fully open until speed is at least 85 
percent of the rated speed.
    (4) Transition period as specified in Sec.  86.884-7(a)(2)(iii):
    (i) Throttle position: moved rapidly to, and held in, the fully 
closed position.
    (5) Acceleration mode as specified in Sec.  86.884-7(a)(2)(iv):
    (i) Duration: 8 to 12 seconds.
    (ii) Throttle position: fully open when speed is at intermediate 
speed.
    (6) Transition period as specified in Sec.  86.884-7(a)(3)(i):
    (i) Duration: 50 to 60 seconds.
    (ii) Average speed during the last 10 seconds shall be within 50 rpm of rated speed.
    (iii) Average observed power during the last 10 seconds shall be at 
least 95 percent of the horsepower developed during the preconditioning 
mode.
    (7) Lugging mode as specified in Sec.  86.884-7(a)(3)(ii):
    (i) Linearity: 100 rpm as specified in 
paragraph (c) of this section.
    (ii) Duration: 30 to 40 seconds.
    (iii) Speed at end: intermediate speed.
    (c) Determine if the linearity requirements of Sec.  86.884-7 were 
met by means of the following procedure:
    (1) For the acceleration mode specified in Sec.  86.884-7(a)(2)(ii), 
note the maximum deflection of the rpm trace from a straight line drawn 
between the starting and ending points specified in paragraph (a)(3) of 
this section.
    (2) For the lugging mode specified in Sec.  86.884-7(a)(3)(ii), note 
the maximum deflection of the rpm trace from a straight line drawn from 
the starting and ending points specified in paragraph (a)(7) of this 
section.
    (3) The test results will be invalid if any deflection is greater 
than 100 rpm.
    (4) This linearity check may be performed by direct analysis of the 
recorder traces, or by computer analysis of data collected by automatic 
data collection equipment.
    (d) Analyze the smoke trace by means of the following procedure:
    (1) Starting at the beginning of the first acceleration, as defined 
in paragraph (a)(2) of this section, and stopping at the end of the 
second acceleration, as defined in paragraph (a)(3) of this section, 
divide the smoke trace into half-second intervals. Similarly, subdivide 
into half-second intervals the third acceleration mode and the lugging 
mode as defined by paragraphs (a) (5) and (7) respectively, of this 
section.
    (2) Determine the average smoke reading during each half-second 
interval.
    (3) Locate and record the 15 highest half-second readings during the 
acceleration mode of each dynamometer cycle.
    (4) Locate and record the five highest half-second readings during 
the lugging mode of each dynamometer cycle.

[[Page 836]]

    (5) Examine the average half-second values which were determined in 
paragraphs (d)(3) and (d)(4) of this section and record the three 
highest values for each dynamometer cycle.
    (6) This smoke trace analysis may be performed by direct analysis of 
the recorder traces, or by computer analysis of data collected by 
automatic data collection equipment.

[48 FR 52203, Nov. 16, 1983, as amended at 49 FR 48141, Dec. 10, 1984; 
62 FR 47123, Sept. 5, 1997]



Sec.  86.884-14  Calculations.

    (a) If the measured half-second opacity values were obtained with a 
smokemeter with an optical path length different than shown in the table 
in Sec.  86.884-8(c), then convert the measured half-second values or 
the original instantaneous values to the appropriate equivalent optical 
path length values specified in the table. Convert the opacity values 
according to the following equations:

[GRAPHIC] [TIFF OMITTED] TR15JA04.001

Lm and Ls must use consistent units in the above 
equation

Where:

Nm = Measured half-second value for conversion, percent 
          opacity
Lm = Measuring smokemeter optical path length, meters
Ls = Standard optical path length corresponding with engine 
          power, n
Ns = Standard half-second value, percent opacity

    (b) Average the 45 readings in Sec.  86.884-13(d)(3) or the 
equivalent converted values from paragraph (a) of this section if 
appropriate, and designate the value as ``A''. This is the value for the 
engine acceleration mode.
    (c) Average the 15 readings in Sec.  86.884-13(d)(4) or the 
equivalent converted values from paragraph (a) of this section if 
appropriate, and designate the value as ``B''. This is the value for the 
engine lugging mode.
    (d) Average the 9 readings in Sec.  86.884-13(d)(5) or the 
equivalent converted values from paragraph (a) of this section if 
appropriate, and designate the value as ``C''. This is the value for the 
peaks in either mode.
    (e)(1) If multiple smokemeters were used, the half-second values for 
each mode from each smokemeter shall be combined and the calculated 
average based upon the total number of combined values.
    (2) For example, if two smokemeters were used for acceleration mode 
data, 45 half-second values in each data set from both smokemeters would 
be combined to form a data set of 90 values, which would then be 
averaged.

[62 FR 47123, Sept. 5, 1997, as amended at 69 FR 2441, Jan. 15, 2004]



   Subpart J_Fees for the Motor Vehicle and Engine Compliance Program



Sec.  86.901  Assessment of fees.

    See 40 CFR part 85, subpart Y, for the applicable fees associated 
with certifying engines and vehicles under this part.

[71 FR 51487, Aug. 30, 2006]



   Subpart K_Selective Enforcement Auditing of New Heavy-Duty Engines



Sec.  86.1001  Applicability.

    (a) The selective enforcement auditing program described in 40 CFR 
part 1068, subpart E, applies for all heavy-duty engines as described in 
this section. In addition, the provisions of 40 CFR 1068.10 and 1068.20 
apply for any selective enforcement audits of these engines.
    (b) For heavy-duty engines, the prescribed test procedure is the 
Federal Test Procedure as described in subparts I, N, and P of this part 
(including provisions of 40 CFR part 1065 as specified in this part), 
except that they shall not be subject to the test procedures specified 
in Sec. Sec.  86.1360(b)(2) and (f), 86.1370, 86.1372, and 86.1380. The 
Administrator may, on the basis of a written application by a 
manufacturer, approve optional test procedures other than those in 
subparts I, N, and P of this part for any heavy-duty vehicle which is 
not susceptible to satisfactory testing using the procedures in subparts 
I, N, and P of this part.

[75 FR 22980, Apr. 30, 2010]

[[Page 837]]



Subpart L_Nonconformance Penalties for Gasoline-Fueled and Diesel Heavy-
    Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks

    Source: 50 FR 35388, Aug. 30, 1985, unless otherwise noted.



Sec.  86.1101-87  Applicability.

    (a) The provisions of this subpart are applicable for 1987 and later 
model year gasoline-fueled and diesel heavy-duty engines and heavy-duty 
vehicles. These vehicles include light-duty trucks rated in excess of 
6,000 pounds gross vehicle weight.
    (b) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty trucks 
and Otto-cycle complete heavy-duty vehicles under the provisions of 
subpart S of this part.

[65 FR 59957, Oct. 6, 2000]



Sec.  86.1102-87  Definitions.

    (a) The definitions in this section apply to this subpart.
    (b) As used in this subpart, all terms not defined herein have the 
meaning given them in the Act.
    Compliance level means the deteriorated pollutant emissions level at 
the 60th percentile point for a population of heavy-duty engines or 
heavy-duty vehicles subject to Production Compliance Audit testing 
pursuant to the requirements of this subpart. A compliance level for a 
population can only be determined for a pollutant for which an upper 
limit has been established in this subpart.
    Configuration means a subdivision, if any, of a heavy-duty engine 
family for which a separate projected sales figure is listed in the 
manufacturer's Application for Certification and which can be described 
on the basis of emission control system, governed speed, injector size, 
engine calibration, or other parameters which may be designated by the 
Administrator, or a subclassification of light-duty truck engine family 
emission control system combination on the basis of engine code, inertia 
weight class, transmission type and gear ratios, rear axle ratio, or 
other parameters which may be designated by the Administrator.
    NCP means a nonconformance penalty as described in section 206(g) of 
the Clean Air Act and in this subpart.
    PCA means Production Compliance Audit as described in Sec.  86.1106-
87 of this subpart.
    Round has the meaning given in 40 CFR 1065.1001.
    Subclass means a classification of heavy-duty engines of heavy-duty 
vehicles based on such factors as gross vehicle weight rating, fuel 
usage (gasoline-, diesel-, and methanol-fueled), vehicle usage, engine 
horsepower or additional criteria that the Administrator shall apply. 
Subclasses include, but are not limited to:
    (i) Light-duty gasoline-fueled Otto cycle trucks (6,001-8,500 lb. 
GVW)
    (ii) Light-duty methanol-fueled Otto cycle trucks (6,001-8,500 lb. 
GVW)
    (iii) Light-duty petroleum-fueled diesel trucks (6,001-8,500 lb. 
GVW)
    (iv) Light-duty methanol-fueled diesel trucks (6,001-8,500 lb. GVW)
    (v) Light heavy-duty gasoline-fueled Otto cycle engines (for use in 
vehicles of 8,501-14,000 lb. GVW)
    (vi) Light heavy-duty methanol-fueled Otto cycle engines (for use in 
vehicles of 8,501-14,000 lb. GVW)
    (vii) Heavy heavy-duty gasoline-fueled Otto cycle engines (for use 
in vehicles of 14,001 lb and above GVW)
    (viii) Heavy heavy-duty methanol-fueled Otto cycle engines (for use 
in vehicles of 14,001 lb. and above GVW)
    (ix) Light heavy-duty petroleum-fueled diesel engines (see Sec.  
86.085-2(a)(1))
    (x) Light heavy-duty methanol-fueled diesel engines (see Sec.  
86.085-2(a)(1))
    (xi) Medium heavy-duty petroleum-fueled diesel engines (see Sec.  
86.085-2(a)(2))
    (xii) Medium heavy-duty methanol-fueled diesel engines (see Sec.  
86.085-2(a)(2))
    (xiii) Heavy heavy-duty petroleum-fueled diesel engines (see Sec.  
86.085-2(a)(3))
    (xiv) Heavy heavy-duty methanol-fueled diesel engines (see Sec.  
86.085-2(a)(3))
    (xv) Petroleum-fueled Urban Bus engines (see Sec.  86.091-2)

[[Page 838]]

    (xvi) Methanol-fueled Urban Bus engines (see Sec.  86.091-2).
    For NCP purposes, all optionally certified engines and/or vehicles 
(engines certified in accordance with Sec.  86.087-10(a)(3) and vehicles 
certified in accordance with Sec.  86.085-1(b)) shall be considered part 
of, and included in the FRAC calculation of, the subclass for which they 
are optionally certified.
    Test Sample means a group of heavy-duty engines or heavy-duty 
vehicles of the same configuration which have been selected for emission 
testing.
    Upper limit means the emission level for a specific pollutant above 
which a certificate of conformity may not be issued or may be suspended 
or revoked.

[50 FR 35388, Aug. 30, 1985, as amended at 55 FR 46628, Nov. 5, 1990; 79 
FR 23703, Apr. 28, 2014]



Sec.  86.1103-2016  Criteria for availability of nonconformance penalties.

    (a) General. This section describes the three criteria EPA will use 
to use to evaluate whether NCPs are appropriate under the Clean Air Act 
for a given pollutant and a given subclass of heavy-duty engines and 
heavy-duty vehicles. Together, these criteria evaluate the likelihood 
that a manufacturer will be technologically unable to meet a standard on 
time. Note that since the first two of these criteria are intended to 
address the question of whether a given standard creates the possibility 
for this to occur, they are evaluated before the third criterion that 
addresses the likelihood that the possibility will actually happen.
    (b) Criteria. We will establish NCPs for a given pollutant and 
subclass when we find that each of the following criteria is met:

    (1) There is a new or revised emission standard is more stringent 
than the previous standard for the pollutant, or an existing standard 
for that pollutant has become more difficult to achieve because of a new 
or revised standard. When evaluating this criterion, EPA will consider a 
new or revised standard to be ``new'' or ``revised'' until the point at 
which all manufacturers already producing U.S.-directed engines or 
vehicles within the subclass have achieved full compliance with the 
standard. For purposes of this criterion, EPA will generally not 
consider compliance using banked emission credits to be ``full 
compliance''.
    (2) Substantial work is required to meet the standard for which the 
NCP is offered, as evaluated from the point at which the standard was 
adopted or revised (or the point at which the standard became more 
difficult meet because another standard was adopted or revised). 
Substantial work, as used in this paragraph (b)(2), means the 
application of technology not previously used in an engine or vehicle 
class or subclass, or the significant modification of existing 
technology or design parameters, needed to bring the vehicle or engine 
into compliance with either the more stringent new or revised standard 
or an existing standard which becomes more difficult to achieve because 
of a new or revised standard. Note that where this criterion is 
evaluated after any of the work has been completed, the criterion would 
be interpreted as whether or not substantial work was required to meet 
the standard.
    (3) There is or is likely to be a technological laggard for the 
subclass. Note that a technological laggard is a manufacturer that is 
unable to meet the standard for one or more products within the subclass 
for technological reasons.
    (c) Evaluation. (1) We will generally evaluate these criteria in 
sequence. Where we find that the first criterion has not been met, we 
will not consider the other two criteria. Where we find that the first 
criterion has been met but not the second, we will not consider the 
third criterion. We may announce our findings separately or 
simultaneously.
    (2) We may consider any available information in making our 
findings.
    (3) Where we are uncertain whether the first and/or second criteria 
have been met, we may presume that they have been met and make our 
decision based solely on whether or not the third criterion has been 
met.
    (4) Where we find that a manufacturer will fail to meet a standard 
but are uncertain whether the failure is a technological failure, we may 
presume

[[Page 839]]

that the manufacturer is a technological laggard.

[81 FR 73980, Oct. 25, 2016]



Sec.  86.1104-2016  Determination of upper limits.

    EPA shall set a separate upper limit for each phase of NCPs and for 
each service class.
    (a) Except as provided in paragraphs (b), (c) and (d) of this 
section, the upper limit shall be set as follows:
    (1) The upper limit applicable to a pollutant emission standard for 
a subclass of heavy-duty engines or heavy-duty vehicles for which an NCP 
is established in accordance with Sec.  86.1103-87, shall be the 
previous pollutant emission standard for that subclass.
    (2) If a manufacturer participates in any of the emissions 
averaging, trading, or banking programs, and carries over certification 
of an engine family from the prior model year, the upper limit for that 
engine family shall be the family emission limit of the prior model 
year, unless the family emission limit is less than the upper limit 
determined in paragraph (a)(1) of this section.
    (b) If no previous standard existed for the pollutant under 
paragraph (a) of this section, the upper limit will be developed by EPA 
during rulemaking.
    (c) EPA may set the upper limit during rulemaking at a level below 
the level specified in paragraph (a) of this section if we determine 
that a lower level is achievable by all engines or vehicles in that 
subclass.
    (d) EPA may set the upper limit at a level above the level specified 
in paragraph (a) of this section if we determine that such level will 
not be achievable by all engines or vehicles in that subclass.

[81 FR 73981, Oct. 25, 2016]



Sec.  86.1105-87  Emission standards for which nonconformance penalties 
are available.

    (a)-(b) [Reserved]
    (c) Effective in the 1991 model year, NCPs will be available for the 
following additional emission standards:
    (1) [Reserved]
    (2) Petroleum-fueled diesel heavy-duty engine oxides of nitrogen 
standard of 5.0 grams per brake horsepower-hour.
    (i) For petroleum-fueled light heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $830.
    (2) COC90: $946.
    (3) MC50: $1,167 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.12.
    (ii) For petroleum-fueled medium heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $905.
    (2) COC90: $1,453.
    (3) MC50: $1,417 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.11.
    (iii) For petroleum-fueled heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $930.
    (2) COC90: $1,590.
    (3) MC50: $2,250 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.11.
    (3) Petroleum-fueled diesel light-duty trucks (between 6,001 and 
14,000 lbs GVW) particulate matter emission standard of 0.13 grams per 
vehicle mile.
    (i) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (A) COC50: $711.
    (B) COC90: $1,396.
    (C) MC50: $2,960 per gram per brake horsepower-hour.
    (D) F: 1.2.

[[Page 840]]

    (ii) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.01.
    (d) Effective in the 1993 model year, NCPs will be available for the 
following additional emission standard:
    (1) Petroleum-fueled diesel bus engine (as defined in Sec.  86.093-
2) particulate emission standard of 0.10 grams per brake horsepower-
hour.
    (i) The following values shall be used to calculate an NCP for the 
standard set forth in Sec.  86.093-11(a)(1)(iv)(A) in accordance with 
Sec.  86.1113-87(a):
    (A) COC50: $4,020.
    (B) COC90: $4,535.
    (C) MC50: $22,971 per gram per brake horsepower-hour.
    (D) F: 1.2.
    (E) UL: 0.25 grams per brake horsepower-hour.
    (ii) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.093-11(a)(1)(iv)(A) in accordance with Sec.  86.1113-87(h): 0.02.
    (2) [Reserved]
    (e) The values of COC50, COC90, and 
MC50 in paragraphs (a) and (b) of this section are expressed 
in December 1984 dollars. The values of COC50, 
COC90, and MC50 in paragraphs (c) and (d) of this 
section are expressed in December 1989 dollars. The values of 
COC50, COC90, and MC50 in paragraph (f) 
of this section are expressed in December 1991 dollars. The values of 
COC50, COC90, and MC50 in paragraphs 
(g) and (h) of this section are expressed in December 1994 dollars. The 
values of COC50, COC90, and MC50 in 
paragraph (i) of this section are expressed in December 2001 dollars. 
These values shall be adjusted for inflation to dollars as of January of 
the calendar year preceding the model year in which the NCP is first 
available by using the change in the overall Consumer Price Index, and 
rounded to the nearest whole dollar.
    (f) Effective in the 1994 model year, NCPs will be available for the 
following emission standards:
    (1) Petroleum-fueled urban bus engine (as defined in Sec.  86.091-2) 
particulate emission standard of 0.07 grams per brake horsepower-hour.
    (i) The following values shall be used to calculate an NCP for the 
standard set forth in Sec.  86.094-11(a)(1)(iv)(A) in accordance with 
Sec.  86.1113-87(a):
    (A) COC50: $3292.
    (B) COC90: $10,014.
    (C) MC50: $109,733.
    (D) F: 1.2.
    (ii) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-11(a)(1)(iv)(A) in accordance with Sec.  86.1113-87(h): 0.38.
    (2) Petroleum-fueled diesel heavy-duty engine particulate matter 
emission standard of 0.10 grams per brake horsepower-hour.
    (i) For petroleum-fueled light heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $772.
    (2) COC90: $1,325.
    (3) MC50: $8,178 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.081.
    (ii) For petroleum-fueled medium heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $1,276.
    (2) COC90: $3,298.
    (3) MC50: $15,370 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.098.
    (iii) For petroleum-fueled heavy heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $2,105.
    (2) COC90: $6,978.
    (3) MC50: $30,070 per gram per brake horsepower-hour.
    (4) F: 1.2.

[[Page 841]]

    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP in accordance with Sec.  86.1113-
87(h): 0.083.
    (g) Effective in the 1996 model year, NCPs will be available for the 
following emission standard:
    (1) Light-duty truck 3 diesel-fueled vehicle at full useful life (as 
defined in Sec.  86.094-2) particulate matter emission standard of 0.10 
g/mi.
    (i) The following values shall be used to calculate an NCP for the 
standard set forth in Sec.  86.094-9(a)(1)(ii) in accordance with Sec.  
86.1113-87(a):
    (A) COC50: $441.
    (B) COC90: $1,471.
    (C) MC50: $14,700 per gram per mile.
    (D) F: 1.2.
    (ii) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-9(a)(1)(ii) in accordance with Sec.  86.1113-87(h): 0.093.
    (2) Light-duty truck 3 diesel-fueled vehicle at full useful life (as 
defined in Sec.  86.094-2) oxides of nitrogen emission standard of 0.98 
g/mi.
    (i) The following values shall be used to calculate an NCP for the 
standard set forth in Sec.  86.094-9(a)(1)(ii) in accordance with Sec.  
86.1113-87(a):
    (A) COC50: $654.
    (B) COC90: $779.
    (C) MC50: $908 per gram per mile.
    (D) F: 1.2.
    (ii) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-9(a)(1)(ii) in accordance with Sec.  86.1113-87(h): 0.082.
    (3) 1996 Urban Bus (as defined in Sec.  86.094-2) particulate matter 
emission standard of 0.05 g/BHp-hr.
    (i) The following values shall be used to calculate an NCP for the 
standard set forth in Sec.  86.094-9(a)(1)(ii) in accordance with Sec.  
86.1113-87(a):
    (A) COC50: $576.
    (B) COC90: $6,569.
    (C) MC50: $28,800 per gram per brake horsepower-hour.
    (D) F: 1.2.
    (ii) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-9(a)(1)(ii) in accordance with Sec.  86.1113-87(h): 0.500.
    (h) Effective in the 1998 model year, NCPs will be available for the 
following emission standard:
    (1) Petroleum-fueled diesel heavy-duty engine oxides of nitrogen 
standard of 4.0 grams per brake horsepower-hour.
    (i) For petroleum-fueled light heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $833.
    (2) COC90: $1,513.
    (3) MC50: $833 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-9(a)(1)(ii) in accordance with Sec.  86.1113-87(h): 0.039.
    (ii) For petroleum-fueled medium heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $444.
    (2) COC90: $1,368.
    (3) MC50: $444 per gram per brake horsepower-hour.
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-9(a)(1)(ii) in accordance with Sec.  86.1113-87(h): 0.043.
    (iii) For petroleum-fueled heavy heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $1,086.
    (2) COC90: $2,540.
    (3) MC50: $1,086 per gram per brake horsepower-hour
    (4) F: 1.2.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.094-9(a)(1)(ii) in accordance with Sec.  86.1113-87(h): 0.039.
    (2) [Reserved]
    (i) Effective in the 2004 model year, NCPs will be available for the 
following emission standard:
    (1) Diesel heavy-duty engine non-methane hydrocarbon plus oxides of 
nitrogen standard of 2.4 grams per brake

[[Page 842]]

horsepower-hour (or alternatively, 2.5 grams per brake horsepower-hour 
with a limit on non-methane hydrocarbon emissions of 0.5 grams per brake 
horsepower-hour), in Sec.  86.004-11(a)(1)(i).
    (i) For light heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $1,240.
    (2) COC90: $2,710.
    (3) MC50: $2,000 per gram per brake horsepower-hour.
    (4) F: 1.3.
    (5) UL: 4.5 grams per brake horsepower-hour; notwithstanding Sec.  
86.1104-91.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.004-11(a)(1)(i) in accordance with Sec.  86.1113-87(h): 0.403.
    (ii) For medium heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $2,740.
    (2) COC90: $4,930.
    (3) MC50: $1,400 per gram per brake horsepower-hour.
    (4) F: 1.3.
    (5) UL: 4.5 grams per brake horsepower-hour; notwithstanding Sec.  
86.1104-91.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.004-11(a)(1)(i) in accordance with Sec.  86.1113-87(h): 0.197.
    (iii) For heavy heavy-duty diesel engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC50: $6,810.
    (2) COC90: $12,210.
    (3) MC50: $5,600 per gram per brake horsepower-hour.
    (4) F: 1.3.
    (5) UL: 6.0 grams per brake horsepower-hour; notwithstanding Sec.  
86.1104-91.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.004-11(a)(1)(i) in accordance with Sec.  86.1113-87(h): 0.090.
    (iv) For diesel urban bus engines:
    (A) The following values shall be used to calculate an NCP in 
accordance with Sec.  86.1113-87(a):
    (1) COC 50: $3,930.
    (2) COC90: $6,660.
    (3) MC50: $3,800 per gram per brake horsepower-hour.
    (4) F: 1.3.
    (5) UL: 4.5 grams per brake horsepower-hour; notwithstanding Sec.  
86.1104-91.
    (B) The following factor shall be used to calculate the engineering 
and development component of the NCP for the standard set forth in Sec.  
86.004-11(a)(1)(i) in accordance with Sec.  86.1113-87(h): 0.155.
    (2) [Reserved]

[50 FR 53466, Dec. 31, 1985, as amended at 52 FR 47870, Dec. 16, 1987; 
53 FR 43878, Oct. 31, 1988; 56 FR 64712, Dec. 12, 1991; 58 FR 15802, 
Mar. 24, 1993; 58 FR 68540, Dec. 28, 1993; 60 FR 33925, June 29, 1995; 
61 FR 6949, 6953, Feb. 23, 1996; 67 FR 51477, Aug. 8, 2002; 69 FR 18803, 
Apr. 9, 2004; 77 FR 4687, Jan. 31, 2012; 77 FR 54402, Sept. 5, 2012; 79 
FR 23703, Apr. 28, 2014; 81 FR 73981, Oct. 25, 2016]



Sec.  86.1106-87  Production compliance auditing.

    For a model year in which upper limits for heavy-duty engine or 
heavy-duty vehicle emission standards for one or more exhaust pollutants 
are specified in Sec.  86.1105-87, a manufacturer may elect to conduct a 
Production Compliance Audit (PCA) for each engine or vehicle 
configuration satisfying the following conditions:
    (a) Certification test results, pursuant to Sec.  86.082-23, exceed 
the emission standard for a particular pollutant but do not exceed the 
upper limit established for that pollutant. In that event, the 
manufacturer will be offered a qualified certificate of conformity 
allowing for the introduction into commerce of the specified engine 
family, Provided, That:
    (1) The manufacturer must agree to conduct a PCA of those engines or 
vehicles;
    (2) PCA testing must be conducted on the same configurations that 
exceeded the standard in certification. In lieu of that requirement, the 
Administrator may approve testing of a greater or lesser number of 
configurations provided the manufacturer agrees to pay the NCP 
determined from the CL of

[[Page 843]]

each tested configuration for that configuration and for other non-
tested configurations that have similar emission characteristics. If an 
acceptable showing of similar emission characteristics is not made, the 
highest CL of the configurations tested will apply to all non-tested 
configurations exceeding the standard.
    (3) The selection of engines or vehicles for PCA testing must be 
initiated no later than five (5) days after the start of assembly-line 
production of the specified engine or vehicle configuration, unless that 
period is extended by the Administrator;
    (4) The manufacturer must agree:
    (i) To pay the NCP amount calculated as a result of PCA testing on 
each engine or vehicle, unless the manufacturer successfully challenges 
the Administrator's determination of the compliance level or penalty 
calculation or both under Sec.  86.1115-87(c);
    (ii) To recall any engines or vehicles introduced into commerce, 
without invoking the procedural requirements of section 207(c) of the 
Clean Air Act, if the compliance level for the engine or vehicle 
configuration of (a)(2) exceeds the upper limit as determined by the 
PCA;
    (5) If the compliance level determined in the PCA is below the 
emission standard, no NCP will be offered, and all appropriate 
qualifications will be removed from the qualified certificate of 
conformity.
    (b) An engine or vehicle configuration fails a Selective Enforcement 
Audit (SEA) under subpart K of 40 CFR part 86 with respect to the 
standard for a particular pollutant but does not fail with respect to 
the upper limit established for that pollutant, and no NCP has been 
previously assessed for that configuration, Provided, That:
    (1) The manufacturer must submit a written report to the 
Administrator within five (5) days after failure to pass the audit 
containing the following:
    (i) A statement that the manufacturer does not intend, at that time, 
to make any engine and/or emission control system design changes that 
may remedy the nonconformity; and
    (ii) A request from the manufacturer to conduct the PCA, including 
the date the testing will begin;
    (2) Failure to submit the report within five (5) days after the SEA 
failure will result in the forfeiture of the NCP option, unless a 
satisfactory justification for the delay is provided to the 
Administrator;
    (3) The selection of any required engines or vehicles for PCA 
testing must be initiated no later than ten (10) days after the SEA 
failure unless extended by the Administrator; otherwise, the 
manufacturer may forfeit the option to elect an NCP;
    (4) PCA testing must be conducted on the same configuration that 
failed the SEA;
    (5) Test results from the SEA, together with any additional test 
results required during the PCA, will be used in establishing a 
compliance level for the configuration pursuant to Sec.  86.1112-87(a); 
and
    (6) The manufacturer, upon approval by the Administrator to conduct 
a PCA on a failed SEA engine or vehicle configuration, must agree:
    (i) To pay the NCP amount calculated as a result of PCA testing on 
each engine or vehicle introduced into commerce after the tenth day of 
the SEA failure, unless the manufacturer successfully challenges the 
Administrator's determination of the compliance level or penalty 
calculation or both under Sec.  86.1115-87(c);
    (ii) To recall any engines or vehicles introduced into commerce 
after the tenth day of the SEA failure, without invoking the procedural 
requirements of section 207(c) of the Clean Air Act, if the compliance 
level of the engine or vehicle configuration exceeds the upper limit as 
determined by the PCA.
    (c) An engine or vehicle configuration, for which an NCP has been 
previously assessed for a particular pollutant, either passes an SEA 
with respect to the particular pollutant standard, fails an SEA with 
respect to the particular pollutant standard but not the previous 
compliance level, or fails an SEA with respect to the previous 
compliance level but not the associated upper limit, Provided, That:
    (1) The manufacturer must submit a written statement to the 
Administrator within five (5) days of the conclusion of the SEA 
requesting a PCA, including the date the PCA testing will

[[Page 844]]

begin; otherwise, the manufacturer forfeits the option to establish a 
new compliance level;
    (2) The selection of any required engines or vehicles for PCA 
testing must be initiated no later than ten (10) days after the 
conclusion of the SEA unless the period is extended by the 
Administrator; otherwise, the manufacturer forfeits the option to 
establish a new compliance level;
    (3) PCA testing must be conducted on the same configuration tested 
during the SEA, and all conditions in the SEA test order must apply to 
the PCA;
    (4) Test results for the SEA, together with any additional test 
results required during the PCA, will be used in establishing a new 
compliance level for the configuration pursuant to Sec.  86.1112-87(a);
    (5) The manufacturer must agree:
    (i) To pay the NCP amount calculated as a result of PCA testing on 
each engine or vehicle introduced into commerce after the tenth day of 
the conclusion of the SEA, unless the manufacturer successfully 
challenges the Administrator's determination of the compliance level or 
penalty calculation or both under Sec.  86.1115-87(c);
    (ii) To recall any engines or vehicles introduced into commerce 
after the tenth day after the conclusion of the SEA, without invoking 
the procedural requirements of section 207(c) of the Clean Air Act, if 
the engine or vehicle configuration exceeds the upper limit as 
determined by the PCA;
    (6) A previously assessed NCP will be terminated and no NCP will be 
established as a result of the new PCA if the compliance level is 
determined to be below the applicable emission standards.
    (d) The implementation of a production running change that causes 
the emission level for a particular pollutant to be either above the 
emission standard but below the associated upper limit for a vehicle or 
engine configuration for which an NCP has not been previously assessed, 
or below the associated upper limit for a vehicle or engine 
configuration for which an NCP has been previously assessed, regardless 
of the previous compliance level. In that event, the manufacturer will 
be offered a qualified certificate of conformity allowing for the 
introduction into commerce of the engine or vehicle configuration 
resulting from the running change, Provided, That:
    (1) The manufacturer must submit a written report to the 
Administrator outlining the reason for the running change and the date 
the manufacturer will begin PCA testing;
    (2) The manufacturer must agree:
    (i) To pay the NCP amount calculated as a result of PCA testing on 
each engine or vehicle, unless the manufacturer successfully challenges 
the Administrator's determination of compliance level or penalty 
calculation or both under Sec.  86.1115-87(c);
    (ii) To recall any engines or vehicles introduced into commerce, 
without invoking the procedural requirements of section 207(c) of the 
Clean Air Act, if the engine or vehicle configuration exceeds the upper 
limit as determined by the PCA;
    (3) The selection of engines or vehicles for PCA testing must be 
initiated no later than five (5) days after the start of assembly line 
production of the engine or vehicle configuration resulting from the 
running change unless that period is extended by the Administrator; and
    (4) If the compliance level is determined to be below the applicable 
emission standard, a previously assessed NCP will be terminated, an NCP 
will not be established as a result of the PCA testing, and all 
qualifications will be removed from the qualified certificate of 
conformity.
    (e) The following requirements are applicable to each PCA under this 
subpart.
    (1) The manufacturer shall make the following documents available to 
EPA Enforcement Officers upon request;
    (i) A properly filed and current application for certification, 
following the format prescribed by the EPA for the appropriate model 
year; and
    (ii) A copy of the shop manual and dealer service bulletins for the 
configurations being tested.
    (2) Only one mechanic at a time per engine or vehicle shall make 
authorized checks, adjustments, or repairs, unless a particular check, 
adjustment, or repair requires a second mechanic as

[[Page 845]]

indicated in the shop manual or dealer service bulletins.
    (3) A mechanic shall not perform any check, adjustment, or repair 
without an Enforcement Officer present unless otherwise authorized.
    (4) The manufacturer shall utilize only those tools and test 
equipment utilized by its dealers or those dealers using its engines 
when performing authorized checks, adjustments, or repairs.

[50 FR 35388, Aug. 30, 1985, as amended at 58 FR 68540, Dec. 28, 1993]



Sec.  86.1107-87  Testing by the Administrator.

    (a) The Administrator may require that engines or vehicles of a 
specified configuration be selected in a manner consistent with the 
requirements of Sec.  86.1110-87 and submitted to him at such place as 
he may designate for the purpose of conducting emission tests in 
accordance with Sec.  86.1111-87 to determine whether engines or 
vehicles manufactured by the manufacturer conform with the regulations 
of this subpart.
    (b)(1) Whenever the Administrator conducts a test on a test engine 
or vehicle or the Administrator and manufacturer each conduct a test on 
the same test engine or vehicle, the results of the Administrator's test 
will comprise the official data for that engine or vehicle.
    (2) Whenever the manufacturer conducts all tests on a test engine or 
vehicle, the manufacturer's test data will be accepted as the official 
data, provided that if the Administrator makes a determination based on 
testing under paragraph (a) of this section that there is a substantial 
lack of agreement between the manufacturer's test results and the 
Administrator's test results, no manufacturer's test data from the 
manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If the Administrator determines that testing conducted under 
paragraph (a) of this section demonstrates a lack of agreement under 
paragraph (b)(2) of this section, the Administrator shall:
    (1) Notify the manufacturer in writing of his determination that the 
manufacturer's test facility is inappropriate for conducting the tests 
required by this subpart and the reasons therefore; and
    (2) Reinstate any manufacturer's data only upon a showing by the 
manufacturer that the data acquired under paragraph (a) of this section 
was erroneous and the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider his determination in paragraph (b)(2) of this section based 
on data or information which indicates that changes have been made to 
the test facility and that these changes have resolved the reasons for 
disqualification.



Sec.  86.1108-87  Maintenance of records.

    (a) The manufacturer of any new gasoline-fueled or diesel heavy-duty 
engine or heavy-duty vehicle subject to any of the provisions of this 
subpart shall establish, maintain, and retain the following adequately 
organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines or vehicles in accordance with Sec.  86.1111-87, pursuant to PCA 
testing under this subpart, specifically;
    (i) If testing heavy-duty gasoline engines, the equipment 
requirements specified in 40 CFR part 1065, subparts B and C;
    (ii) If testing heavy-duty diesel engines, the equipment 
requirements specified in 40 CFR part 1065, subparts B and C;
    (iii) If testing light-duty gasoline-fueled trucks, the equipment 
requirements specified in Sec. Sec.  86.106 (excluding all references to 
particulate emission testing) and 86.1506-84 of this part; and
    (iv) If testing light-duty diesel trucks, the equipment requirements 
specified in Sec.  86.106 (excluding all references to evaporative 
emission testing) of this part.
    (2) Individual records. These records pertain to each Production 
Compliance Audit conducted pursuant to this subpart.
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the engine or the 
number of miles on the vehicle when the test began and ended;

[[Page 846]]

    (iii) The names of all supervisory personnel involved in the conduct 
of the Production Compliance Audit;
    (iv) A record and description of any repair performed, giving the 
date and time of the repair, the reason for it, the person authorizing 
it, and the names of all personnel involved in the supervision and 
performance of the repair;
    (v) The date when the engine or vehicle was shipped from the 
assembly plant or associated storage facility and when it was received 
at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed by EPA directly), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, specifically--
    (A) If testing heavy-duty gasoline engines, the record requirements 
specified in 40 CFR 1065.695;
    (B) If testing heavy-duty diesel engines, the record requirements 
specified in 40 CFR 1065.695;
    (C) If testing light-duty gasoline fueled trucks, the record 
requirements specified in Sec. Sec.  86.142 (excluding all references to 
diesel vehicles) and 86.1542-84; and
    (D) If the testing light-duty diesel trucks, the record requirements 
specified in Sec.  86.142; and
    (vii) A brief description of any significant Production Compliance 
Audit events commencing with the test engine or vehicle selection 
process, but not described by any subparagraph under paragraph (a)(2) of 
this section, including such extraordinary events as engine damage 
during shipment or vehicle accident.
    (3) The manufacturer shall record the test equipment description, 
pursuant to paragraph (a)(1) of this section, for each test cell that 
was used to perform emission testing under this subpart.
    (b) The manufacturer shall retain all records required to be 
maintained under this subpart for a period of six (6) years after 
completion of all testing. Records may be retained as hard copy or 
reduced to microfilm, punch cards, etc., depending upon the 
manufacturer's record retention procedure, provided that in every case 
all the information contained in the hard copy is retained.

[50 FR 35388, Aug. 30, 1985, as amended at 70 FR 40437, July 13, 2005]



Sec.  86.1109-87  Entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart, EPA Enforcement 
Officers are authorized to enter any of the following (during operating 
hours and upon presentation of credentials):
    (1) Any facility where any engine or vehicle to be introduced into 
commerce or any emission related component is manufactured, assembled, 
or stored;
    (2) Any facility where any tests conducted pursuant to a PCA request 
or any procedures or activities connected with these tests are or were 
performed;
    (3) Any facility where any engine or vehicle which is being tested, 
was tested, or will be tested is present; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA Enforcement Officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspects of engine or vehicle 
manufacture, assembly, storage, testing and other procedures, and the 
facilities in which these procedures are conducted.
    (2) To inspect and monitor any aspect of engine or vehicle test 
procedures or activities, including, but not limited to, monitoring 
engine or vehicle selection, preparation, service or mileage 
accumulation, preconditioning, repairs, emission test cycles, and 
maintenance; and to verify calibration of test equipment;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection and testing of an engine or vehicle; 
and
    (4) To inspect and photograph any part or aspect of any engine or 
vehicle and any component used in the assembly thereof that is 
reasonably related to the purpose of the entry.
    (c) EPA Enforcement Officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help them 
perform any

[[Page 847]]

function listed in this subpart and are authorized to request the 
manufacturer conducting the PCA to make arrangement with those in charge 
of a facility operated for its benefit to furnish reasonable assistance 
without cost to EPA, whether or not the manufacturer controls the 
facility.
    (d) EPA Enforcement Officers are authorized to seek a warrant or 
court order authorizing the EPA Enforcement Officers to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
Enforcement Officers may proceed ex parte to obtain a warrant whether or 
not the Enforcement Officers first attempted to seek permission of the 
manufacturer conducting the PCA or the party in charge of the facilities 
in question to conduct activities related to entry and access as 
authorized in this section.
    (e) A manufacturer that conducts a PCA shall permit EPA Enforcement 
Officers who present a warrant or court order as described in paragraph 
(d) of this section to conduct activities related to entry and access as 
authorized in this section and as described in the warrant or court 
order. The manufacturer shall cause those in charge of its facility or a 
facility operated for its benefit to permit EPA Enforcement Officers to 
conduct activities related to entry and access as authorized in this 
section pursuant to a warrant or court order whether or not the 
manufacturer controls the facility. In the absence of such a warrant or 
court order, EPA Enforcement Officers may conduct activities related to 
entry and access as authorized in this section only upon the consent of 
the manufacturer or the party in charge of the facilities in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit EPA Enforcement Officers to conduct 
activities related to entry and access as authorized in this section 
without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions in which local foreign law 
does not prohibit EPA Enforcement Officers from conducting the entry and 
access activities specified in this section. EPA will not attempt to 
make any inspections which it has been informed that local foreign law 
prohibits.
    (h) For purposes of this section, the following definitions are 
applicable:
    (1) Presentation of Credentials means display of the document 
designating a person as an EPA Enforcement Officer.
    (2) Where engine or vehicle storage areas or facilities are 
concerned, operating hours means all times during which personnel other 
than custodial personnel are at work in the vicinity of the area or 
facility and have access to it.
    (3) Where facilities or areas other than those covered by paragraph 
(h)(2) of this section are concerned, operating hours means all times 
during which an assembly line is in operation, engine or vehicle 
assembly is taking place, testing repair, service accumulation, 
preparation or compilation of records is taking place, or any other 
procedure or activity related to engine or vehicle manufacture, assembly 
or testing is being carried out in a facility.
    (4) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpreting and translating services, and making personnel of 
the facility being inspected available during their working hours on an 
EPA Enforcement Officer's request to inform the EPA Enforcement Officer 
of how the facility operates and to answer his or her questions. Any 
employee whom an EPA Enforcement Officer requests the manufacturer to 
cause to appear for questioning will be entitled to be accompanied, 
represented and advised by counsel.



Sec.  86.1110-87  Sample selection.

    (a) Engines or vehicles comprising a test sample which are required 
to be tested pursuant to a PCA in accordance with this subpart will be 
selected at the location and in the manner specified by EPA. If a 
manufacturer determines that the test engines or vehicles cannot be 
selected in the manner specified by EPA, an alternative selection 
procedure may be employed, provided that the manufacturer requests 
approval of the alternative procedure in

[[Page 848]]

advance of the start of test sample selection and that the Administrator 
approves the procedure.
    (b) The manufacturer shall have assembled the test engines or 
vehicles of the configuration selected for testing using its normal mass 
production processes for engines or vehicles to be distributed into 
commerce. In the case of heavy-duty engines, if the test engines are 
selected at a location where they do not have their operational and 
emission control systems installed, EPA will specify the manner and 
location for selection of components to complete assembly of the 
engines. The manufacturer shall assemble these components onto the test 
engines using normal assembly and quality control procedures as 
documented by the manufacturer.
    (c) No quality control, testing, or assembly procedures will be used 
on the completed test engine or vehicle or any portion thereof, 
including parts and subassemblies, that will not be used during the 
production and assembly of all other engines or vehicles of that 
configuration.
    (d) The EPA Enforcement Officers may specify that they, rather than 
the manufacturer, will select the test engines or vehicles.
    (e) The order in which test engines or vehicles are selected 
determines the order in which test results are to be used in applying 
the PCA testing plan in accordance with Sec.  86.1112-87.
    (f) The manufacturer shall keep on hand all engines or vehicles 
comprising the test sample until such time as a compliance level is 
determined in accordance with Sec.  86.1112-87(a) except that the 
manufacturer may ship any tested engine or vehicle which has not failed 
in accordance with Sec.  86.1112-87(f)(1). However, once the 
manufacturer ships any test engine or vehicle, it relinquishes the 
prerogative to conduct retests as provided in Sec.  86.1111-87(i).



Sec.  86.1111-87  Test procedures for PCA testing.

    (a)(1) For heavy-duty engines, the prescribed test procedure for PCA 
testing is the Federal Test Procedure as described in subparts N, I, and 
P of this part.
    (2) For heavy-duty vehicles, the prescribed test procedure for PCA 
testing is described in subpart M of this part.
    (3) For light-duty trucks, the prescribed test procedure for PCA 
testing is the Federal Test Procedure as described in subparts B and P 
of this part.
    (4) During the testing of heavy-duty diesel engines, the 
manufacturer shall decide for each engine, prior to the start of the 
initial cold cycle, whether the measurement of background particulate is 
required for the cold and hot cycles to be valid. The manufacturer may 
choose to have different requirements for the cold and hot cycles. If a 
manufacturer chooses to require the measurement of background 
particulate, failure to measure background particulate shall void the 
test cycle regardless of the test results. If a test cycle is void, the 
manufacturer shall retest using the same validity requirements of the 
initial test.
    (5) When testing light-duty trucks, the following exceptions to the 
test procedures in subpart B are applicable:
    (i) The manufacturer may use gasoline test fuel meeting the 
specifications of paragraph (a) of Sec.  86.113 for mileage 
accumulation. Otherwise, the manufacturer may use fuels other than those 
specified in this section only with advance approval of the 
Administrator.
    (ii) The manufacturer may measure the temperature of the test fuel 
at other than the approximate midvolume of the fuel tank, as specified 
in paragraph (a) of Sec.  86.131, and may drain the test fuel from other 
than the lowest point of the fuel tank, as specified in paragraph (b) of 
Sec.  86.131, with the advance approval of the Administrator.
    (iii) The manufacturer may perform additional preconditioning on PCA 
test vehicles other than the preconditioning specified in Sec.  86.132 
only if the additional preconditioning has been performed on 
certification test vehicles of the same configuration.
    (iv) The manufacturer shall perform the heat build procedure 11 to 
34 hours following vehicle preconditioning rather than according to the 
time period specified in paragraph (a) of Sec.  86.133.
    (v) The manufacturer may substitute slave tires for the drive wheel 
tires on

[[Page 849]]

the vehicle as specified in paragraph (e) of Sec.  86.135, provided that 
the slave tires are the same size as the drive wheel tires.
    (vi) The cold start exhaust emission test described in Sec.  86.137 
shall follow the heat build procedure described in Sec.  86.133 by not 
more than one hour.
    (vii) In performing exhaust sample analysis under Sec.  86.140:
    (A) When testing diesel vehicles, the manufacturer shall allow a 
minimum of 20 minutes warm-up for the HC analyzer, and a minimum of 2 
hours warm-up for the CO, CO2 and NOX analyzers. 
[Power is normally left on for infrared and chemiluminescent analyzers. 
When not in use, the chopper motors of the infrared analyzers are turned 
off and the phototube high voltage supply to the chemiluminescent 
analyzers is placed in the standby position.]
    (B) The manufacturer shall exercise care to prevent moisture from 
condensing in the sample collection bags.
    (viii) The manufacturer need not comply with Sec.  86.142, since the 
records required therein are provided under other provisions of this 
subpart.
    (ix) In addition to the requirements of subpart B of this part, the 
manufacturer shall prepare gasoline-fueled vehicles as follows prior to 
exhaust emission testing:
    (A) The manufacturer shall inspect the fuel system to insure the 
absence of any leaks of liquid or vapor to the atmosphere by applying a 
pressure of 14.5 0.5 inches of water to the fuel 
system, allowing the pressure to stabilize, and isolating the fuel 
system from the pressure source. Following isolation of the fuel system, 
pressure must not drop more than 2.0 inches of water in 5 minutes. If 
required, the manufacturer shall perform corrective action in accordance 
with paragraph (d) of this section.
    (B) When performing this pressure check, the manufacturer shall 
exercise care to neither purge nor load the evaporative emission control 
system.
    (C) The manufacturer shall not modify the test vehicle's evaporative 
emission control system by component addition, deletion, or 
substitution, except to comply with paragraph (a)(4)(ii) of this section 
if approved in advance by the Administrator.
    (b)(1) The manufacturer shall not adjust, repair, prepare, or modify 
the engines or vehicles selected for testing and shall not perform any 
emission tests on engines or vehicles selected for testing pursuant to a 
PCA request unless the adjustment, repair, preparation, modification, or 
tests are documented in the manufacturer's engine or vehicle assembly 
and inspection procedures and are actually performed on all engines or 
vehicles produced or unless these adjustments or tests are required or 
permitted under this subpart or are approved in advance by the 
Administrator.
    (2) For 1984 and later model years the Administrator may adjust or 
cause to be adjusted any engine parameter which the Administrator has 
determined to be subject to adjustment for certification, Selective 
Enforcement Audit and Production. Compliance Audit testing in accordance 
with Sec.  86.084-22(e)(1), to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec.  86.084-2(e)(3)(ii), prior to the performance of 
any tests. However, if the idle speed parameter is one which the 
Administrator has determined to be subject to adjustment, the 
Administrator shall not adjust it to any setting which causes a lower 
engine idle speed than would have been possible within the physically 
adjustable range of the idle speed parameter if the manufacturer had 
accumulated 125 hours of service on the engine or 4,000 miles on the 
vehicle under paragraph (c) of this section, all other parameters being 
identically adjusted for the purpose of the comparison. The manufacturer 
may be requested to supply information to establish such an alternative 
minimum idle speed. The Administrator, in making or specifying these 
adjustments, may consider the effect of the deviation from the 
manufacturer's recommended setting on emissions performance 
characteristics as well as the likelihood that similar settings will 
occur on in-use heavy-duty engines or light-duty trucks. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited

[[Page 850]]

to, the effect of the adjustment on engine or vehicle performance 
characteristics and surveillance information from similar in-use engines 
or vehicles.
    (c) Prior to performing emission testing on a PCA test engine, the 
manufacturer may accumulate on each engine a number of hours of service 
equal to the greater of 125 hours or the number of hours the 
manufacturer accumulated during certification on the emission-data 
engine corresponding to the configuration tested during PCA. Prior to 
performing emission testing on a PCA test vehicle, the manufacturer may 
accumulate a number of miles equal to the greater of 4,000 miles or the 
number of miles the manufacturer accumulated during certification on the 
emission-data vehicle corresponding to the configuration tested during 
PCA. Service or mileage accumulation may be performed in any manner the 
manufacturer desires.
    (d) No maintenance shall be performed on test engines or vehicles 
after selection for testing nor will any test engine or vehicle 
substitution or replacement be allowed, unless requested of and approved 
by the Administrator in advance of the performance of any maintenance or 
engine or vehicle substitution.
    (e) The manufacturer shall expeditiously ship test engines or 
vehicles from the point of selection to the test facility or other 
location to meet any other requirements of this subpart. If the test 
facility is not located at or in close proximity to the point of 
selection, the manufacturer shall assure that test engines or vehicles 
arrive at the test facility within 24 hours of selection, except that 
the Administrator may approve more time based upon a request by the 
manufacturer accompanied by a satisfactory justification.
    (f) If an engine or vehicle cannot complete the service or mileage 
accumulation or emission tests because of engine or vehicle malfunction, 
the manufacturer may request that the Administrator authorize the repair 
of the engine or vehicle. If the engine or vehicle cannot be repaired 
expeditiously, EPA may delete it from the test sequence.
    (g)(1) Heavy-duty engine manufacturers with projected sales bound 
for the United States market for that year of 30,000 or greater, as made 
in their respective Applications for Certification, shall complete 
emission testing at their testing facility on a minimum of two engines 
per 24 hour period, including voided tests.
    (2) Heavy-duty engine manufacturers with projected sales bound for 
the United States market for that year of less than 30,000, as made in 
their respective Applications for Certification, Shall complete emission 
testing at one engine per 24 hour period, including voided tests.
    (3) Light-duty truck manufacturers shall complete emission testing 
on a minimum of four vehicles per 24 hour period, including voided 
tests.
    (4) The Administrator may approve a longer period of time for 
conducting emission tests based upon a request by a manufacturer 
accompanied by a satisfactory justification.
    (h) The manufacturer shall perform test engine or vehicle selection, 
shipping, preparation, service or mileage accumulation, and testing in 
such a manner as to insure that the audit is performed in an expeditious 
manner.
    (i) The manufacturer may retest any engines or vehicles tested 
during a Production Compliance Audit once a compliance level has been 
established in accordance with Sec.  86.1112-87 based on the first test 
on each engine or vehicle. The Administrator may approve retesting at 
other times based upon a request by the manufacturer accompanied by a 
satisfactory justification. The manufacturer may test each engine or 
vehicle a total of three times. The manufacturer shall test each engine 
or vehicle the same number of times. The manufacturer may accumulate 
additional service or mileage before conducting a retest, subject to the 
provisions of paragraph (c) of this section.

[50 FR 35388, Aug. 30, 1985, as amended at 62 FR 47123, Sept. 5, 1997]



Sec.  86.1112-87  Determining the compliance level and reporting 
of test results.

    (a) A manufacturer that has elected to conduct a PCA in accordance 
with

[[Page 851]]

Sec.  86.1106-87 may establish the compliance level for a pollutant for 
any engine or vehicle configuration by using the primary PCA sampling 
plan or either of two optional reduced PCA sampling plans (the fixed 
reduced sampling plan or the sequential reduced sampling plan) described 
below. A manufacturer that uses either of the two optional reduced PCA 
sampling plans may elect to continue testing and establish a compliance 
level under the primary PCA sampling plan.
    (1) A manufacturer that elects to conduct a PCA for a pollutant 
using the primary PCA sampling plan shall:
    (i) Conduct emission tests on 24 engines or vehicles in accordance 
with Sec.  86.1111-87 for the pollutants for which the PCA was 
initiated. If the PCA follows an SEA failure, the number of additional 
tests conducted shall be the difference between 24 and the number of 
engines or vehicles tested in the SEA. If 24 or more engines or vehicles 
were tested in the SEA, no additional tests shall be conducted; and
    (ii) Rank the final deteriorated test results, as defined by 
paragraph (e) of this section, obtained for that pollutant in order from 
the lowest to the highest value. If the PCA follows an SEA failure, all 
SEA test results for that pollutant shall be included in this ranking.
    (iii) The compliance level for that pollutant is the final 
deteriorated test result in the sequence determined from table 1 of 
appendix XII of these regulations.
    (2) A manufacturer that elects to conduct a PCA for a pollutant 
using the fixed reduced PCA sampling plan shall:
    (i) Select a sample size between 3 and 23 engines or vehicles. If 
the PCA follows an SEA failure, the sample size selected cannot be less 
than the number of engines or vehicles tested during the SEA; and
    (ii) Conduct emission tests on the selected sample in accordance 
with Sec.  86.1111-87 for the pollutants for which the PCA was 
initiated.
    (iii) The compliance level for the pollutant is the result of the 
following equation, using the test results obtained in paragraph 
(a)(2)(ii) of this section and all SEA test results for that pollutant 
if the PCA follows an SEA failure:

CL = X + Ks

Where:

CL = The compliance level.
X= The mean of the final deteriorated test results, as defined by 
          paragraph (e) of this section.
K = A value that depends on the size of the test sample. See table 2 of 
          appendix XII of this part for the value of K that corresponds 
          to the size of the test sample.
s = The sample standard deviation.
Round the compliance level to the same number of significant figures 
          contained in the applicable standard.

    (3) A manufacturer that elects to conduct a PCA for a pollutant 
using the sequential reduced PCA sampling plan shall perform the 
following:
    (i) Select a sample size of 4, 8, 12, 16 or 20 engines or vehicles. 
If the PCA follows an SEA failure, the sample size selected cannot be 
less than the number of engines or vehicles tested during the SEA.
    (ii) Conduct emission tests on the selected sample in accordance 
with Sec.  86.1111-87 for the pollutants for which the PCA was 
initiated.
    (iii) The compliance level for the pollutant is the result of the 
following equation, using the test results obtained in (a)(3)(ii) and 
all SEA test results for that pollutant if the PCA follows an SEA 
failure:

CL = X + Ks

Where:

CL = The compliance level.
X = The mean of the final deteriorated test results, as defined by 
          paragraph (e) of this section.
K = A value that depends on the size of the test sample. See table 3 of 
          appendix XII of this part for the value of K that corresponds 
          to the size of the test sample.
s = The sample standard deviation.
    Round the compliance level to the same number of significant figures 
contained in the applicable standard.

    (iv) After calculating a compliance level in accordance with 
paragraph (a)(3)(iii) of this section, a manufacturer may elect to 
increase the sample size by 4 engines or vehicles, or a multiple 
thereof, up to the maximum, including SEA engines or vehicles if any, of 
20. Upon that election, the manufacturer shall add the additional 
engines

[[Page 852]]

or vehicles to the sample and perform paragraphs (a)(3)(ii) and 
(a)(3)(iii) of this section. This election may be repeated if 
appropriate. A compliance level determined under this election shall 
replace a previously determined compliance level.
    (b) A fail decision is reached with respect to the upper limit when 
the compliance level determined in paragraph (a) of this section exceeds 
the applicable upper limit.
    (c) Initial test results are calculated following the Federal Test 
Procedure specified in Sec.  86.1111-87(a).
    (d) Final test results are calculated by summing the initial test 
results derived in paragraph (c) of this section for each test engine or 
vehicle, dividing by the number of tests conducted on the engine or 
vehicle, and rounding to the same number of decimal places contained in 
the applicable standard expressed to one additional significant figure.
    (e) Final deteriorated test results. (1) The final deteriorated test 
results for each heavy-duty engine or light-duty truck tested according 
to subpart B, I, N, or P of this part are calculated by applying the 
final test results by the appropriate deterioration factor, derived from 
the certification process for the engine family control system 
combination and model year for the selected configuration to which the 
test engine or vehicle belongs. If the deterioration factor computed 
during the certification process is multiplicative and it is less than 
one, that deterioration factor will be one. If the deterioration factor 
computed during the certification process is additive and it is less 
than zero, that deterioration factor will be zero.
    (2) Round the final deteriorated test results to the same number of 
significant figures contained in the applicable standard.
    (f) A failed engine or vehicle is one whose final deteriorated test 
results, for one or more of the applicable exhaust pollutants, exceed:
    (1) The applicable emission standard, or
    (2) The compliance level established in paragraph (b) of this 
section.
    (g) Within five working days after completion of PCA testing of all 
engines or vehicles, the manufacturer shall submit to the Administrator 
a report which includes the following information:
    (1) The location and description of the manufacturer's emission test 
facilities which were utilized to conduct testing reported pursuant to 
this section;
    (2) The applicable standards against which the engines or vehicles 
were tested;
    (3) Deterioration factors for the engine family to which the 
selected configuration belongs;
    (4) A description of the engine or vehicle and any emission-related 
component selection method used;
    (5) For each test conducted:
    (i) Test engine or vehicle description, including;
    (A) Configuration and engine family identification,
    (B) Year, make and build date,
    (C) Engine or vehicle identification number, and
    (D) Number of hours of service accumulated on engine or number of 
miles on vehicle prior to testing;
    (ii) Location where service or mileage accumulation was conducted 
and description of accumulation procedure and schedule;
    (iii) Test number, date, initial test results before and after 
rounding, final test results and final deteriorated test results for all 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine or vehicle and has not been reported pursuant to any other 
paragraph of this subpart and will not be performed on all other 
production engines or vehicles; and
    (v) Any other information the Administrator may request relevant to 
the determination as to whether the new heavy-duty engines or heavy-duty 
vehicles being manufactured by the manufacturer do in fact conform with 
the regulations of this subpart; and
    (6) The following statement and endorsement:

    This report is submitted pursuant to section 206 of the Clean Air 
Act. This Production Compliance Audit was conducted in

[[Page 853]]

complete conformance with all applicable regulations under 40 CFR part 
86 et seq. All data and information reported herein is, to the best of

(Company Name)__________'s
knowledge, true and accurate. I am aware of the penalties associated 
with violations of the Clean Air Act and the regulations thereunder.

________________________________________________________________________
(Authorized Company Representative)

[50 FR 35388, Aug. 30, 1985, as amended at 81 FR 73981, Oct. 25, 2016]



Sec.  86.1113-87  Calculation and payment of penalty.

    (a) The NCP for each engine or vehicle for which a compliance level 
has been determined under Sec.  86.1112-87 is calculated according to 
the formula in paragraph (a)(1) or (a)(2) of this section depending on 
the value of the compliance level. Each formula contains an annual 
adjustment factor (AAFi) which is defined in paragraph (a)(3) 
of this section. Other terms in the formulas are defined in paragraph 
(a)(4) of this section.
    (1) If the compliance level (CL) is greater than the standard and 
less than or equal to X (e.g., point CL1 in figure 1), then:
[GRAPHIC] [TIFF OMITTED] TR06OC93.111

where:

PR1 = (F) (MC50)

    (2) If the compliance level is greater than X and less than or equal 
to the upper limit as determined by Sec.  86.1104-87 (e.g., point 
CL2 in figure 1), then:
[GRAPHIC] [TIFF OMITTED] TR06OC93.112

where:
[GRAPHIC] [TIFF OMITTED] TR06OC93.113

    (3) AAFi has the following values:
    (i) If fraci-1 = 0, then AAFi = 1 + 
Ii-1
    (ii) If fraci-1 0, then:
    [GRAPHIC] [TIFF OMITTED] TR06OC93.114
    

[[Page 854]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.183


If fraci-1 0.50, then fraci-1 will be 
set equal to 0.50.
    (iii) AAF1 = 1
    (iv) In calculating the NCP for year n, the value fraci-1 
for i = n will include actual NCP usage through March 31 of model year 
n-1 and EPA's estimate of additional usage for the remainder of model 
year n-1 using manufacturer input. All manufacturers using NCPs must 
report by subclass actual NCP and non-NCP production numbers through 
March 31, an estimate of NCP and non-NCP production for the remainder of 
the model year, and the previous year's actual NCP and non-NCP 
production to EPA no later than April 30 of the model year. If EPA is 
unable to obtain similar information from manufacturers not using NCPs, 
EPA will use projected sales data from the manufacturers' application 
for certification in computing the total production of the subclass and 
the fraci-1. The value of fraci-1 will be 
corrected to reflect actual year-end usage of NCPs and a corrected AAF 
will be used to establish NCPs in future years. The correction of 
previous year's AAF will not affect the previous year's penalty.
    (4) The terms in the above formulas have the following meanings and 
values, which may be determined separately for each subclass and 
pollutant for which an NCP is offered. The production of Federal and 
California designated engines or vehicles shall be combined for the 
purpose of this section in calculating the NCP for each engine or 
vehicle.

NCPn = NCP for year n for each applicable engine or vehicle
CL = Compliance level for year n for applicable engines or vehicles
S = Emission standard
UL = Upper limit as determined by section 86.1104-87, except that, if 
          the upper limit is determined by section 86.1104-87(c), the 
          value of UL in paragraph (a)(2) of this section shall be the 
          prior emission standard for that pollutant.
UL' = Upper limit as determined by section 86.1104-87(c). This value is 
          not used in the above formulas.
X = Compliance level above the standard at which NCP1 equals 
          COC50

[[Page 855]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.115

PR1 = Penalty rate when CL <=X
PR2 = Penalty rate when X 50 = Estimate of the average total incremental cost to 
          comply with the standard relative to complying with the upper 
          limit.
COC90 = Estimate of the 90th percentile total incremental 
          cost to comply with the standard relative to complying with 
          the upper limit.
MC50 = Estimate of the average marginal cost of compliance 
          (dollars per emission unit) with the standard.
F = Factor used to estimate the 90th percentile marginal cost based on 
          the average marginal cost (the minimum value of F is 1.1, the 
          maximum value of F is 1.3).
AAFi = Annual adjustment factor for year i, 
          fraci-1 = Fraction of engines or vehicles of a 
          subclass using NCPs in previous year (year i-1).
Ai = Usage adjustment factor in year i: Ai = 0.10 
          for i = 2; Ai = 0.08 for i<2.
Ii = Percentage increase in overall consumer price index in 
          year i.

    (5) The values of COC50, COC90, 
MC50 and F will be determined for each applicable subclass by 
EPA based on the cost data used by EPA in setting the applicable 
emission standard. However, where the rulemaking to establish a specific 
NCP occurs after the rulemaking to establish the standard, EPA may 
augment the data base used to establish the standard by including the 
best cost and emission performance data available to EPA during the 
specific NCP rulemaking.
    (6) In calculating the NCP, appropriate values of the following 
predefined terms should be used: CL, S, UL, F, and Ai. For 
all other terms, unrounded values of at least five figures beyond the 
decimal point should be used in calculations leading up to the penalty 
amount. Any NCP calculated under paragraph (a) of this section will be 
rounded to the nearest dollar.
    (b) The NCP determined in paragraph (a) of this section is assessed 
against all those engines or vehicles of the nonconforming configuration 
or engine family produced at all assembly plants and distributed into 
commerce--
    (1) Since the beginning of the model year in the case of a 
certification failure described by Sec.  86.1106-87(a).
    (2) Beginning ten days after an SEA failure described by Sec.  
86.1106-87 (b) or (c).
    (3) Following implementation of a production running change 
described by Sec.  86.1106-87(d).
    (c) The NCP will continue to be assessed during the model year, 
until such time, if any, that the configuration or engine family is 
brought into conformance with applicable emission standards.
    (d) A manufacturer may carry over an NCP from a model year to the 
next model year. There is no limit to the number of years that carryover 
can continue. The amount of the penalty will increase each year 
according to paragraph (a) of this section.
    (e) The Administrator shall notify the manufacturer in writing of 
the nonconformance penalty established under paragraph (a) of this 
section after the completion of the PCA under Sec.  86.1112-87.

[[Page 856]]

    (f) A manufacturer may request a hearing under 40 CFR part 1068, 
subpart G, as to whether the compliance level (including a compliance 
level in excess of the upper limit) was determined properly.
    (g)(1) Except as provided in paragraph (g)(2) of this section, the 
nonconformance penalty or penalties assessed under this subpart must be 
paid as follows:
    (i) By the quarterly due dates, i.e., within 30 days of the end of 
each calendar quarter (March 31, June 30, September 30 and December 31), 
or according to such other payment schedule as the Administrator may 
approve pursuant to a manufacturer's request, for all nonconforming 
engines or vehicles produced by a manufacturer in accordance with 
paragraph (b) of this section and distributed into commerce for that 
quarter.
    (ii) The penalty shall be payable to U.S. Environmental Protection 
Agency, NCP Fund, Motor Vehicle and Engine Compliance Program, P.O. Box 
979032 St. Louis, MO 63197-9000. Note on the check and supporting 
information that this is an NCP payment.
    (2) When a manufacturer has requested a hearing under Sec.  86.1115-
87, it must pay the nonconformance penalty, and any interest, within ten 
days after the Presiding Officer renders his decision, unless the 
manufacturer first files a notice of intention to appeal to the 
Administrator pursuant to Sec.  86.1115-87(t)(1), or, if an appeal of 
the Presiding Officer's decision is taken, within ten days after the 
Administrator renders his decision, unless the manufacturer first files 
a petition for judicial review.
    (3) A manufacturer making payment under paragraph (g)(1) or (2) of 
this section shall submit the following information by each quarterly 
due date to the Designated Compliance Officer (see 40 CFR 1036.801). 
This information shall be submitted even if a manufacturer has no NCP 
production in a given quarter.
    (i) Corporate identification, identification and quantity of engines 
or vehicles subject to the NCP, certificate identification (number and 
date), NCP payment calculations and interest payment calculations, if 
applicable.
    (ii) The following statement and endorsement:

    This information is submitted pursuant to section 206 of the Clean 
Air Act. All information reported herein is, to the best of
_____________________'s
(Company name)

knowledge, true and accurate. I am aware of the penalties associated 
with violations of the Clean Air Act and the regulations thereunder.

________________________________________________________________________
(Authorized Company Representative)

    (4) The Administrator may verify the production figures or other 
documentation submitted under paragraph (g)(3) of this section.
    (5)(i) Interest shall be assessed on any nonconformance penalty for 
which payment has been withheld under Sec.  86.113-87(g) (1) or (2). 
Interest shall be calculated from the due date for the first quarterly 
NCP payment, as determined under Sec.  86.1113-87(g)(1), until either 
the date on which the Presiding Officer or the Administrator renders the 
final decision of the Agency under Sec.  86.1115-87 or the date when an 
alternate payment schedule (approved pursuant to Sec.  86.1113-87(g)(1)) 
ends.
    (ii) The combined principal plus interest on each quarterly NCP 
payment withheld pursuant to Sec.  86.1113-87(g) (1) or (2) shall be 
calculated according to the formula:

QNCP(1 + R).25n

where:
QNCP = the quarterly NCP payment
R = the interest rate applicable to that quarter
n = the number of quarters for which the quarterly NCP payment is 
          outstanding.

    (iii) The number of quarters for which payment is outstanding for 
purposes of this paragraph shall be the number of quarterly NCP payment 
due dates, as determined under Sec.  86.1113-87(g)(1), which have 
elapsed throughout the duration of a hearing request, or alternate 
payment schedule.
    (iv) The interest rate applicable to a quarter for purposes of this 
paragraph shall be the rate published by the Secretary of the Treasury 
pursuant to the Debt Collection Act of 1982 and effective on the date on 
which the NCP payment was originally due.

[[Page 857]]

    (6) A manufacturer will be refunded an overpayment, or be permitted 
to offset an overpayment by withholding a future payment, if approved in 
advance by the Administrator. The government shall pay no interest on 
overpayments.
    (h) A manufacturer that certifies as a replacement for the 
nonconforming configuration, a configuration that is in conformance with 
applicable standards, and that performs a production compliance audit 
(PCA) in accordance with Sec.  86.1112-87(a) that results in a 
compliance level below the applicable standard, will be eligible to 
receive a refund of a portion of the engineering and development 
component of the penalty. The engineering and development component will 
be determined by multiplying the base penalty amount by the engineering 
and development factor for the appropriate subclass and pollutant in 
Sec.  86.1105-87. The amount refunded will depend on the model year in 
which the certification and PCA take place. In cases where payment of 
penalties have been waived by EPA in accordance with paragraph 
(g)(1)(iii) of this section, EPA will refund a portion of the 
engineering and development component. The proportionate refund to be 
paid by EPA will be based on the proportion of vehicles or engines of 
the nonconforming configuration for which NCPs were paid to EPA. The 
refund is calculated as follows:

Rtot = Dn x FE&D x NCP1 x 
Prodtot

RCal = (ProdCal/Prodtot) x 
(Rtot)

REPA = Rtot-RCal

Where:

n = index representing the number of model years for which the NCP has 
          been available for an engine or vehicle subclass (i.e., n = 1 
          for the first year that NCPs are available, . . . , n = n for 
          the n\th\ year the NCPs are available; same as ``n'' in 
          paragraph (a)(4)).
Dn = discount factor depending on the number of model years 
          (n) for which NCPs were available at the time of certification 
          and PCA of the replacement configuration, and its value is as 
          follows:
    D1 = 0.90
    D2 = 0.79
    D3 = 0.67
    D4 = 0.54
    D5 = 0.39
    D6 = 0.23
    D7 = 0.05
    Dn = 0.00 for n = 8 or larger
FE&D = the engineering and development factor specified in 
          section 86.1105-87 for the appropriate subclass and pollutant
NCP1 = the penalty for each engine or vehicle during the 
          first (base) year the NCP is available as calculated in 
          paragraph (a)
Prodtot = total number of engines or vehicles produced in the 
          subclass for which NCPs were paid to EPA or to the State of 
          California
ProdCal = number of engines or vehicles in the subclass 
          demonstrated to have been titled, registered or principally 
          used in the State of California and for which NCPs were paid 
          to the State of California under paragraph (g)(1)
Rtot = Total refund due to the manufacturer for the 
          engineering and development component of the NCP
RCal = Refund due to the manufacturer from the State of 
          California for the engineering and development component of 
          the NCP
REPA = Refund due to the manufacturer from EPA for the 
          engineering and development component of the NCP.

[50 FR 35388, Aug. 30, 1985, as amended at 50 FR 53467, Dec. 31, 1985; 
53 FR 19134, May 26, 1988; 55 FR 46629, Nov. 5, 1990; 61 FR 51366, Oct. 
2, 1996; 77 FR 54402, Sept. 5, 2012; 81 FR 73981, Oct. 25, 2016]



Sec.  86.1114-87  Suspension and voiding of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine or vehicle failing pursuant to paragraph (f) of Sec.  86.1112-87 
effective from the time that a fail decision is made for that engine or 
vehicle.
    (b) Once a certificate has been suspended for a failed engine or 
vehicle as provided for in paragraph (a) of this section, the 
manufacturer shall take the following actions:
    (1) Before the certificate is reinstated for that failed engine or 
vehicle,
    (i) Remedy the nonconformity, and
    (ii) Demonstrate that the engine or vehicle conforms to the 
applicable standards or compliance levels by retesting the engine or 
vehicle in accordance with these regulations; and
    (2) Submit a written report to the Administrator within five working 
days after successful completion of testing on the failed engine or 
vehicle, which contains a description of the remedy and test results for 
each engine

[[Page 858]]

or vehicle in addition to other information that may be required by this 
regulation.
    (c) The Administrator may suspend the certificate of conformity if 
the manufacturer, after electing to conduct a PCA, fails to adhere to 
the requirements stated in Sec.  86.1106-87(b)(3), (b)(6)(iii), (c)(2), 
or (c)(5)(iii).
    (d) The Administrator may suspend the qualified certificate of 
conformity issued under the conditions specified in Sec.  86.1106-87 if 
the manufacturer fails to adhere to the requirements stated in Sec.  
86.1106-87(a)(3), (a)(4)(iii), (d)(2)(iii), or (d)(3).
    (e) The Administrator may suspend the certificate of conformity or 
the qualified certificate of conformity if the compliance level as 
determined in Sec.  86.1112-87(a) is in excess of the upper limit.
    (f) The Administrator may void the certificate of conformity if the 
compliance level as determined in Sec.  86.1112-87(a) is in excess of 
the upper limit and the manufacturer fails to recall any engines or 
vehicles introduced into commerce pursuant to Sec.  86.1106-
87(a)(4)(ii), (b)(6)(ii), (c)(5)(ii) or (d)(2)(ii).
    (g) The Administrator may void the certificate of conformity for 
those engines or vehicles for which the manufacturer fails to meet the 
requirements of Sec.  86.1106-87(a)(4)(i), (b)(6)(i), (c)(5)(i), or 
(d)(2)(i).
    (h) The Administrator shall notify the manufacturer in writing of 
any suspension or voiding of a certificate of conformity in whole or in 
part, except as provided for in paragraph (a) of this section.
    (i) A certificate of conformity suspended or voided under paragraph 
(c), (d), (e), (f) or (g) of this section may be reinstated after a 
written request by the manufacturer and under such terms and conditions 
as the Administrator may require and after the manufacturer demonstrates 
compliance with applicable requirements.
    (j) After the Administrator suspends or voids a certificate of 
conformity pursuant to this section or notifies a manufacturer of his 
intent to suspend or void a certificate of conformity under Sec.  
86.087-30(e), and prior to the commencement of a hearing, if any, under 
Sec.  86.1115-87, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend or void the 
certificate was based on erroneous information, the Administrator shall 
reinstate the certificate.



Sec.  86.1115-87  Hearing procedures for nonconformance determinations 
and penalties.

    The provisions of 40 CFR part 1068, subpart G, apply if a 
manufacturer requests a hearing regarding penalties under this subpart.

[81 FR 73981, Oct. 25, 2016]



Sec.  86.1116-87  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this subpart is entitled to confidential treatment 
as provided by 40 CFR part 2, subpart B.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Environmental Appeals Board only to the extent and by means of the 
procedures set forth in part 2, subpart B, of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with 40 CFR 
2.204(c)(2)(i)(A).

[50 FR 34798, Aug. 27, 1985, as amended at 57 FR 5334, Feb. 13, 1992]

[[Page 859]]

Subpart M [Reserved]



        Subpart N_Exhaust Test Procedures for Heavy-duty Engines

    Authority: Secs. 202, 206, 207, 208, 301(a), Clean Air Act as 
amended 42 U.S.C. 7521, 7524, 7541, 7542, and 7601.

    Source: 48 FR 52210, Nov. 16, 1983, unless otherwise noted.



Sec.  86.1301  Scope; applicability.

    This subpart specifies gaseous emission test procedures for Otto-
cycle and diesel heavy-duty engines, and particulate emission test 
procedures for diesel heavy-duty engines.

[81 FR 73981, Oct. 25, 2016]



Sec.  86.1302-84  Definitions.

    The definitions in Sec.  86.084-2 apply to this subpart.



Sec.  86.1303-84  Abbreviations.

    The abbreviations in Sec.  86.084-3 apply to this subpart.



Sec.  86.1304  Section numbering; construction.

    (a) Section numbering. The model year of initial applicability is 
indicated by the section number. The digits following the hyphen 
designate the first model year for which a section is applicable. The 
section continues to apply to subsequent model years unless a later 
model year section is adopted. (Example: Sec.  86.13xx-2004 applies to 
the 2004 and subsequent model years. If a Sec.  86.13xx-2007 is 
promulgated it would apply beginning with the 2007 model year; Sec.  
86.13xx-2004 would apply to model years 2004 through 2006.)
    (b) A section reference without a model year suffix refers to the 
section applicable for the appropriate model year.

[65 FR 59958, Oct. 6, 2000. Redesignated and amended at 70 FR 40438, 
July 13, 2005]



Sec.  86.1305  Introduction; structure of subpart.

    (a) This subpart specifies the equipment and procedures for 
performing exhaust-emission tests on Otto-cycle and diesel-cycle heavy-
duty engines. Subpart A of this part sets forth the emission standards 
and general testing requirements to comply with EPA certification 
procedures.
    (b) Use the applicable equipment and procedures for spark-ignition 
or compression-ignition engines in 40 CFR part 1065 to determine whether 
engines meet the duty-cycle emission standards in subpart A of this 
part. Measure the emissions of all regulated pollutants as specified in 
40 CFR part 1065. Use the duty cycles and procedures specified in 
Sec. Sec.  86.1333, 86.1360, and 86.1362. Adjust emission results from 
engines using aftertreatment technology with infrequent regeneration 
events as described in Sec.  86.004-28.
    (c) The provisions in Sec. Sec.  86.1370 and 86.1372 apply for 
determining whether an engine meets the applicable not-to-exceed 
emission standards.
    (d) Measure smoke using the procedures in subpart I of this part for 
evaluating whether engines meet the smoke standards in subpart A of this 
part.
    (e) Use the fuels specified in 40 CFR part 1065 to perform valid 
tests, as follows:
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) For diesel-fueled engines, use the ultra low-sulfur diesel fuel 
specified in 40 CFR part 1065 for emission testing.
    (3) For gasoline-fueled engines, use the appropriate E10 fuel 
specified in 40 CFR part 1065; however, through model year 2021 you may 
instead use the appropriate E0 fuel specified in 40 CFR part 1065, with 
the exception that the E0 fuel must have sulfur concentration between 
0.0015 and 0.008 weight percent and research octane of at least 93. 
Starting in model year 2022, you may certify up to 5 percent of your 
nationwide sales volume of engines certified under subpart A of this 
part in a given model year based on this E0 test fuel if those engines 
are certified with carryover data.
    (f) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10. In addition, for 2010 and earlier model 
year engines, you may use modified test procedures as needed to conform 
to the procedures

[[Page 860]]

that were specified at the time of emission testing for the model year 
in question.
    (g) This subpart applies to you as a manufacturer, and to anyone who 
does testing for you.
    (h) For testing conducted with engines installed in vehicles, 
including field testing conducted to measure emissions under Not-To-
Exceed test procedures, use the test procedures and equipment specified 
in 40 CFR part 1065, subpart J.
    (i) You may disable any AECDs that have been approved solely for 
emergency vehicle applications under paragraph (4) of the definition of 
``Defeat device'' in Sec.  86.004-2. The emission standards do not apply 
when any of these AECDs are active.

[79 FR 23703, Apr. 28, 2014, as amended at 79 FR 46371, Aug. 8, 2014]



Sec.  86.1333  Transient test cycle generation.

    (a) Generating transient test cycles. The heavy-duty transient 
engine cycles for Otto-cycle and diesel engines are listed in appendix 
I((f) (1), (2) and (3)) to this part. These second-by-second listings 
represent torque and rpm maneuvers characteristic of heavy-duty engines. 
Both rpm and torque are normalized (expressed as a percentage of 
maximum) in these listings.
    (1) To unnormalize rpm, use the following equations:
    (i) For diesel engines:
    [GRAPHIC] [TIFF OMITTED] TR28AP14.006
    
Where:

Max Test Speed = the maximum test speed as calculated in 40 CFR part 
          1065.

    (ii) For Otto-cycle engines:
    [GRAPHIC] [TIFF OMITTED] TR28AP14.007
    
Where:

Max Test Speed = the maximum test speed as calculated in 40 CFR part 
          1065.

    (2) Torque is normalized to the maximum torque at the rpm listed 
with it. Therefore, to unnormalize the torque values in the cycle, the 
maximum torque curve for the engine in question must be used. The 
generation of the maximum torque curve is described in 40 CFR part 1065.
    (b) Example of the unnormalization procedure. Unnormalize the 
following test point, given Maximum Test speed = 3800 rpm and Curb Idle 
Speed = 600 rpm.
[GRAPHIC] [TIFF OMITTED] TR13JY05.003

    (1) Calculate actual rpm:
    [GRAPHIC] [TIFF OMITTED] TR13JY05.004
    
    (2) Determine actual torque: Determine the maximum observed torque 
at 1829 rpm from the maximum torque curve. Then multiply this value 
(e.g., 358 ft-lbs) by 0.82. This results in an actual torque of 294 ft-
lbs.
    (c) Clutch operation. Manual transmission engines may be tested with 
a

[[Page 861]]

clutch. If used, the clutch shall be disengaged at all zero percent 
speeds, zero percent torque points, but may be engaged up to two points 
preceding a non-zero point, and may be engaged for time segments with 
zero percent speed and torque points of durations less than four 
seconds.
    (d) Determine idle speeds as specified in 40 CFR 1065.510.

[70 FR 40438, July 13, 2005, as amended at 73 FR 37192, June 30, 2008; 
79 FR 23704, Apr. 28, 2014]



Sec.  86.1360  Supplemental emission test; test cycle and procedures.

    The test procedures of this subpart N apply for supplemental 
emission testing, except as specified otherwise in this section.
    (a) Applicability. This section applies to 2007 and later diesel 
heavy duty engines.
    (b) Test cycle. (1) Perform testing as described in Sec.  86.1362 
for determining whether an engine meets the applicable standards when 
measured over the supplemental emission test.
    (2) For engines not certified to a NOX standard or FEL 
less than 1.5 g/bhp-hr, EPA may select, and require the manufacturer to 
conduct the test using, up to three discrete test points within the 
control area defined in paragraph (d) of this section. EPA will notify 
the manufacturer of these supplemental test points in writing in a 
timely manner before the test. Emission sampling for these discrete test 
modes must include all regulated pollutants except particulate matter.
    (3) For engines certified using the ramped-modal cycle specified in 
Sec.  86.1362, perform the three discrete test points described in 
paragraph (b)(2) of this section as follows:
    (i) Allow the engine to idle as needed to complete equipment checks 
following the supplemental emission test described in this section, then 
operate the engine over the three additional discrete test points.
    (ii) Validate the additional discrete test points as a composite 
test separate from the supplemental emission test, but in the same 
manner.
    (iii) Use the emission data collected during the time interval from 
35 to 5 seconds before the end of each mode (excluding transitions) to 
perform the MAEL calculations in paragraph (f) of this section.
    (c) The engine speeds A, B and C, referenced in the table in 
paragraph (b)(1) of this section, must be determined as follows:

Speed A = nlo + 0.25 x (nhi - nlo)
Speed B = nlo + 0.50 x (nhi - nlo)
Speed C = nlo + 0.75 x (nhi - nlo)

Where: nhi = High speed as determined by calculating 70% of 
          the maximum power. The highest engine speed where this power 
          value occurs on the power curve is defined as nhi.
nlo = Low speed as determined by calculating 50% of the 
          maximum power. The lowest engine speed where this power value 
          occurs on the power curve is defined as nlo.
Maximum power = the maximum observed power calculated according to the 
          engine mapping procedures defined in 40 CFR 1065.510.

    (d) Determining the control area. The control area extends from the 
engine speed A to C, as defined in paragraph (c) of this section, and 
extends from 25 to 100 percent load.
    (e) [Reserved]
    (f) Maximum allowable emission limits. (1) For gaseous emissions, 
the 12 non-idle test point results and the four-point linear 
interpolation procedure specified in paragraph (g) of this section for 
intermediate conditions, shall define Maximum Allowable Emission Limits 
for purposes of Sec.  86.007-11(a)(3) except as modified under paragraph 
(f)(3) of this section. Each engine shall have it's own Maximum 
Allowable Emission Limits generated from the 12 non-idle supplemental 
steady state test points from that engine. The control area extends from 
the 25% to the 75% engine speeds, at engine loads of 25% to 100%, as 
defined in paragraph (d) of this section. Figure 1 of this paragraph 
(f)(1) depicts a sample Maximum Allowable Emission Limit curve, for 
illustration purposes only, as follows:

[[Page 862]]

[GRAPHIC] [TIFF OMITTED] TR06OC00.006

    (2) If the weighted average emissions, calculated according to 
paragraph (e)(6) of this section, for any gaseous pollutant is equal to 
or lower than required by Sec.  86.007-11(a)(3), each of the 13 test 
values for that pollutant shall first be multiplied by the ratio of the 
applicable emission standard (under Sec.  86.007-11(a)(3)) to the 
weighted average emissions value, and then by 1.10 for interpolation 
allowance, before determining the Maximum Allowable Emission Limits 
under paragraph (f)(1) of this section.
    (3) If the Maximum Allowable Emission Limit for any point, as 
calculated under paragraphs (f)(1) and (2) of this section, is greater 
than the applicable Not-to-Exceed limit (if within the Not-to-Exceed 
control area defined in Sec.  86.1370(b)), then the Maximum Allowable 
Emission Limit for that point shall be defined as the applicable Not-to-
Exceed limit.
    (g) Calculating intermediate test points. (1) For the three test 
points selected by EPA under paragraph (b)(2) of this section, the 
emissions must be measured and calculated as described in paragraph 
(e)(6)(i) of this section (except that n = 1 and WF = 1). The measured 
values then must be compared to the interpolated values according to 
paragraph (g)(3) of this section. The interpolated values are determined 
from the modes of the test cycle closest to the respective test point 
according to paragraph (g)(2) of this section.
    (2) Interpolating emission values from the test cycle. The gaseous 
emissions for each regulated pollutant for each of the control points 
(Z) must be interpolated from the four closest modes of the test cycle 
that envelop

[[Page 863]]

the selected control point Z as shown in Figure 2 of this paragraph 
(g)(2).
    (i) For these modes (R, S, T, U), the following definitions apply:
    (A) Speed (R) = Speed(T) = nRT.
    (B) Speed (S) = Speed(U) = nSU.
    (C) Per cent load (R) = Per cent load (S).
    (D) Per cent load (T) = Per cent load (U).
    (ii) The interpolated value of the brake specific gaseous emissions 
of the selected control point Z(EZ) must be calculated as follows:

EZ = ERS + (ETU-ERS) * 
(MZ-MRS) / (MTU-MRS)

ETU = ET + (EU-ET) * 
(nZ-nRT) / (nSU-nRT)

ERS = ER + (ES-ER) * 
(nZ-nRT) / (nSU-nRT)

MTU = MT + (MU-MT) * 
(nZ-nRT) / (nSU-nRT)

MRS = MR + (MS-MR) * 
(nZ-nRT) / (nSU-nRT)

Where:

ER, ES, ET, EU = for each 
          regulated pollutant, brake specific gaseous emissions of the 
          enveloping modes adjusted according to the factors in(f)(2).
MR, MS, MT, MU = engine 
          torque of the enveloping modes.
MZ = engine torque of the selected control point Z.
nZ = engine speed of the selected control point Z.

    (iii) Figure 2 follows:
    [GRAPHIC] [TIFF OMITTED] TR06OC00.007
    
    (3) Comparing calculated and interpolated emission values. The 
measured brake specific gaseous emissions of the control point Z 
(XZ) must be less than or equal to the interpolated value 
(EZ).

[65 FR 59958, Oct. 6, 2000, as amended at 66 FR 5188, Jan. 18, 2001; 70 
FR 40439, July 13, 2005; 71 FR 51487, Aug. 30, 2006; 73 FR 37192, June 
30, 2008. Redesignated and amended at 79 FR 23704, Apr. 28, 2014]

[[Page 864]]



Sec.  86.1362  Steady-state testing with a ramped-modal cycle.

    This section describes how to test engines under steady-state 
conditions.
    (a) Measure emissions by testing the engine on a dynamometer with 
the following ramped-modal duty cycle to determine whether it meets the 
applicable steady-state emission standards:

----------------------------------------------------------------------------------------------------------------
                                     Time in mode                           Torque (percent) \2    CO2 weighting
             RMC mode                  (seconds)     Engine speed \1\ \2\            3\            (percent) \4\
----------------------------------------------------------------------------------------------------------------
1a Steady-state...................             170  Warm Idle............  0....................               6
1b Transition.....................              20  Linear Transition....  Linear Transition....
2a Steady-state...................             173  A....................  100..................               9
2b Transition.....................              20  Linear Transition....  Linear Transition....
3a Steady-state...................             219  B....................  50...................              10
3b Transition.....................              20  B....................  Linear Transition....
4a Steady-state...................             217  B....................  75...................              10
4b Transition.....................              20  Linear Transition....  Linear Transition....
5a Steady-state...................             103  A....................  50...................              12
5b Transition.....................              20  A....................  Linear Transition....
6a Steady-state...................             100  A....................  75...................              12
6b Transition.....................              20  A....................  Linear Transition....
7a Steady-state...................             103  A....................  25...................              12
7b Transition.....................              20  Linear Transition....  Linear Transition....
8a Steady-state...................             194  B....................  100..................               9
8b Transition.....................              20  B....................  Linear Transition....
9a Steady-state...................             218  B....................  25...................               9
9b Transition.....................              20  Linear Transition....  Linear Transition....
10a Steady-state..................             171  C....................  100..................               2
10b Transition....................              20  C....................  Linear Transition....
11a Steady-state..................             102  C....................  25...................               1
11b Transition....................              20  C....................  Linear Transition....
12a Steady-state..................             100  C....................  75...................               1
12b Transition....................              20  C....................  Linear Transition....
13a Steady-state..................             102  C....................  50...................               1
13b Transition....................              20  Linear Transition....  Linear Transition....
14 Steady-state...................             168  Warm Idle............  0....................               6
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
  the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.
\4\ Use the specified weighting factors to calculate composite emission results for CO2 as specified in 40 CFR
  1036.501.

    (b) Perform the ramped-modal test as described in 40 CFR part 1065.
    (c) For 2007 through 2010 model years, manufacturers may follow the 
mode order described in this paragraph (c) instead of the mode order 
specified in paragraph (a) of this section. Any EPA testing with these 
engines will rely on the same procedure used by the manufacturer for 
certification.

----------------------------------------------------------------------------------------------------------------
                                       Time in mode
              RMC Mode                   (seconds)      Engine speed \1\ \2\        Torque (percent) \2\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................               170  Warm Idle.............  0.
1b Transition......................                20  Linear Transition.....  Linear Transition.
2a Steady-state....................               170  A.....................  100.
2b Transition......................                20  A.....................  Linear Transition.
3a Steady-state....................               102  A.....................  25.
3b Transition......................                20  A.....................  Linear Transition.
4a Steady-state....................               100  A.....................  75.
4b Transition......................                20  A.....................  Linear Transition.
5a Steady-state....................               103  A.....................  50.
5b Transition......................                20  Linear Transition.....  Linear Transition.
6a Steady-state....................               194  B.....................  100.
6b Transition......................                20  B.....................  Linear Transition.
7a Steady-state....................               219  B.....................  25.
7b Transition......................                20  B.....................  Linear Transition.
8a Steady-state....................               220  B.....................  75.
8b Transition......................                20  B.....................  Linear Transition.
9a Steady-state....................               219  B.....................  50.
9b Transition......................                20  Linear Transition.....  Linear Transition.
10a Steady-state...................               171  C.....................  100.
10b Transition.....................                20  C.....................  Linear Transition.

[[Page 865]]

 
11a Steady-state...................               102  C.....................  25.
11b Transition.....................                20  C.....................  Linear Transition.
12a Steady-state...................               100  C.....................  75.
12b Transition.....................                20  C.....................  Linear Transition.
13a Steady-state...................               102  C.....................  50.
13b Transition.....................                20  Linear Transition.....  Linear Transition.
14 Steady-state....................               168  Warm Idle.............  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
  the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.


[79 FR 23704, Apr. 28, 2014, as amended at 81 FR 73981, Oct. 25, 2016]



Sec.  86.1370  Not-To-Exceed test procedures.

    (a) General. The purpose of this test procedure is to measure in-use 
emissions of heavy-duty diesel engines while operating within a broad 
range of speed and load points (the Not-To-Exceed Control Area) and 
under conditions which can reasonably be expected to be encountered in 
normal vehicle operation and use. Emission results from this test 
procedure are to be compared to the Not-To-Exceed Limits specified in 
Sec.  86.007-11(a)(4), or to later Not-To-Exceed Limits. The Not-To-
Exceed Limits do not apply for engine-starting conditions. Tests 
conducted using the procedures specified in this subpart are considered 
valid Not-To-Exceed tests (Note: duty cycles and limits on ambient 
conditions do not apply for Not-To-Exceed tests).
    (b) Not-to-exceed control area for diesel heavy-duty engines. The 
Not-To-Exceed Control Area for diesel heavy-duty engines consists of the 
following engine speed and load points:
    (1) All operating speeds greater than the speed calculated using the 
following formula, where nhi and nlo are 
determined according to the provisions in Sec.  86.1360(c):

nlo + 0.15 x (nhi-nlo)

    (2) All engine load points greater than or equal to 30% or more of 
the maximum torque value produced by the engine.
    (3) Notwithstanding the provisions of paragraphs (b)(1) and (2) of 
this section, all operating speed and load points with brake specific 
fuel consumption (BSFC) values within 5% of the minimum BSFC value of 
the engine. For the purposes of this requirement, BFSC must be 
calculated under the general test cell conditions specified in 40 CFR 
part 1065. The manufacturer may petition the Administrator at 
certification to exclude such points if the manufacturer can demonstrate 
that the engine is not expected to operate at such points in normal 
vehicle operation and use. Engines equipped with drivelines with multi-
speed manual transmissions or automatic transmissions with a finite 
number of gears are not subject to the requirements of this paragraph 
(b)(3).
    (4) Notwithstanding the provisions of paragraphs (b)(1) through 
(b)(3) of this section, speed and load points below 30% of the maximum 
power value produced by the engine shall be excluded from the Not-To-
Exceed Control Area for all emissions.
    (5) [Reserved]
    (6)(i) For petroleum-fueled diesel cycle engines, the manufacturer 
may identify particular engine-vehicle combinations and may petition the 
Administrator at certification to exclude operating points from the Not-
to-Exceed Control Area defined in paragraphs (b)(1) through (5) of this 
section if the manufacturer can demonstrate that the engine is not 
capable of operating at such points when used in the specified engine-
vehicle combination(s).
    (ii) For diesel cycle engines that are not petroleum-fueled, the 
manufacturer may petition the Administrator at certification to exclude 
operating points from the Not-to-Exceed Control Area defined in 
paragraphs (b)(1) through (5) of this section if the manufacturer can 
demonstrate that the engine is not expected to operate at such

[[Page 866]]

points in normal vehicle operation and use.
    (7) Manufacturers may petition the Administrator to limit NTE 
testing in a single defined region of speeds and loads. Such a defined 
region must generally be of elliptical or rectangular shape, and must 
share some portion of its boundary with the outside limits of the NTE 
zone. Under this provision testing would not be allowed with sampling 
periods in which operation within that region constitutes more than 5.0 
percent of the time-weighted operation within the sampling period. 
Approval of this limit by the Administrator is contingent on the 
manufacturer satisfactorily demonstrating that operation at the speeds 
and loads within that region accounts for less than 5.0 percent of all 
in-use operation (weighted by vehicle-miles-traveled or other EPA-
approved weightings) for the in-use engines of that configuration (or 
sufficiently similar engines). At a minimum, this demonstration must 
include operational data from representative in-use vehicles.
    (c) [Reserved]
    (d) Not-to-exceed control area limits. (1) When operated within the 
Not-To-Exceed Control Area defined in paragraph (b) of this section, 
diesel engine emissions shall not exceed the applicable Not-To-Exceed 
Limits specified in Sec.  86.007-11(a)(4) when averaged over any time 
period greater than or equal to 30 seconds, except where a longer 
minimum averaging period is required by paragraph (d)(2) of this 
section.
    (2) For engines equipped with emission controls that include 
discrete regeneration events and that send a recordable electronic 
signal indicating the start and end of the regeneration event, determine 
the minimum averaging period for each NTE event that includes 
regeneration active operation as described in paragraph (d)(2)(i) of 
this section. This minimum averaging period is used to determine whether 
the individual NTE event is a valid NTE event. For engines equipped with 
emission controls that include multiple discrete regeneration events 
(e.g., de-soot, de-NOX, de-SOX, etc.) and 
associated electronic signals, if an NTE event includes regeneration 
active operation on multiple regeneration signals, determine the minimum 
averaging period for each regeneration signal according to paragraph 
(d)(2)(i) of this section and use the longest period. This minimum 
averaging period applies if it is longer than 30 seconds. The electronic 
signal from the engine's ECU must indicate non-regeneration and 
regeneration operation. Regeneration operation may be further divided 
into regeneration pending and regeneration active operation. These are 
referred to as states 0, 1, and 2 for non-regeneration, regeneration 
pending, and regeneration active operation, respectively. No further 
subdivision of these states are allowed for use in this paragraph 
(d)(2). Where the electronic signal does not differentiate between 
regeneration pending and active operation, take the regeneration signal 
to mean regeneration active operation (state 2). A complete non-
regeneration event is a time period that occurs during the course of the 
shift-day that is bracketed by regeneration operation, which is either 
regeneration active operation (state 2) or regeneration pending 
operation (state 1). A complete regeneration event is a time period that 
occurs during the course of the shift-day that is bracketed before and 
after by non-regeneration operation (state 0); a complete regeneration 
event includes any time in the event where regeneration is pending 
(state 1). The following figure provides an example of regeneration 
events during a shift-day:

[[Page 867]]

[GRAPHIC] [TIFF OMITTED] TR08NO10.021

    (i) Calculate the minimum averaging period, tNTE,min, for 
each candidate NTE event as follows:

[[Page 868]]

[GRAPHIC] [TIFF OMITTED] TR08NO10.023

Where:
i = an indexing variable that represents periods of time within the 
          candidate NTE event where the electronic signal indicates 
          regeneration active operation (state 2).
N = the number of periods of time within the candidate NTE event where 
          the electronic signal indicates regeneration active operation 
          (state 2).
t2,NTE,i = the duration of the i-th time period within the 
          candidate NTE event where the electronic signal indicates 
          regeneration active operation (state 2), in seconds.
RF = regeneration fraction over the course of the shift-day, as 
          determined in paragraph (d)(2)(ii) of this section.

    (ii) Calculate the regeneration fraction, RF, over the course of a 
shift-day as follows:
[GRAPHIC] [TIFF OMITTED] TR08NO10.024

Where:
i = an indexing variable that represents complete regeneration events 
          within the shift-day.
j = an indexing variable that represents periods of time within the i-th 
          complete regeneration event where the electronic signal 
          indicates regeneration active operation (state 2).
k = an indexing variable that represents complete non-regeneration 
          events within the shift-day.
N0 = the number of complete non-regeneration events within 
          the shift-day.
N12 = the number of complete regeneration events within the 
          shift-day.
N2,i = the number of periods of within the i-th complete 
          regeneration event where the electronic signal indicates 
          regeneration active operation (state 2).
t0,k = the duration of the k-th complete non-regeneration 
          event within the shift-day, in seconds.
t12,i = the duration of the i-th complete regeneration event 
          within the shift-day, in seconds, including time in those 
          events where regeneration is pending (state 1).
t2,i,j = the duration of the j-th time period within the i-th 
          complete regeneration event where the electronic signal 
          indicates regeneration active operation (state 2), in seconds. 
          Note that this excludes time in each complete regeneration 
          event where regeneration is pending (state 1).

    (iii) If either N0 or N12 are zero, then RF 
cannot be calculated and all candidate NTE events that include 
regeneration active operation are void.
    (iv) Compare the minimum averaging period for the candidate NTE 
event, tNTE,min, to the actual NTE duration, tNTE. 
If tNTE NTE,min the candidate NTE event is void. 
If tNTE =tNTE,min the candidate NTE 
event is valid. It can also therefore be included in the overall 
determination of vehicle-pass ratio according to Sec.  86.1912.
    (v) You may choose to not void emission results for a candidate NTE 
event even though we allow you to void the NTE event under paragraph 
(d)(2)(iii) or (iv) of this section. If you choose this option, you must 
include the results for all regulated pollutants that

[[Page 869]]

were measured and validated during the NTE event for a given NTE 
monitoring system.
    (vi)(A) The following is an example of calculating the minimum 
averaging period, tNTE,min, for a candidate NTE event. See 
Figure 1 of this section for an illustration of the terms to calculate 
the regeneration fraction, RF. For this example there are three complete 
non-regeneration events and two complete regeneration events in the 
shift-day.

N0 = 3
N12 = 2

    (B) The duration of the three complete non-regeneration events 
within the shift-day are:

t0,1 = 5424 s
t0,2 = 6676 s
t0,3 = 3079 s

    (C) The sums of all the regeneration active periods in the two 
complete regeneration events are:
[GRAPHIC] [TIFF OMITTED] TR08NO10.025

    (D) The duration of each of the two complete regeneration events 
within the shift-day are:

t12,1 = 8440 s
t12,2 = 3920 s


    (E) The RF for this shift-day is:
    [GRAPHIC] [TIFF OMITTED] TR08NO10.026
    
    (F) For this example, consider a candidate NTE event where there are 
two periods of regeneration active operation (state 2).

t2,NTE,1 = 37 s
t2,NTE,2 = 40 s

    (G) The minimum averaging period for this candidate NTE event is:
    [GRAPHIC] [TIFF OMITTED] TR08NO10.027
    
tNTE,min = 320.0 s
    (e) Ambient corrections. The measured data shall be corrected based 
on the ambient conditions under which it was taken, as specified in this 
section.
    (1) For engines operating within the ambient conditions specified in 
Sec.  86.007-11(a)(4)(ii)(a):
    (i) NOX emissions shall be corrected for ambient air 
humidity to a standard humidity level of 50 grains (7.14 g/kg) if the 
humidity of the intake air was

[[Page 870]]

below 50 grains, or to 75 grains (10.71 g/kg) if above 75 grains.
    (ii) NOX and PM emissions shall be corrected for ambient 
air temperature to a temperature of 55 degrees F (12.8 degrees C) for 
ambient air temperatures below 55 degrees F or to 95 degrees F (35.0 
degrees C) if the ambient air temperature is above 95 degrees F.
    (iii) No ambient air temperature or humidity correction factors 
shall be used within the ranges of 50-75 grains or 55-95 degrees F.
    (iv) Where test conditions require such correction factors, the 
manufacturer must use good engineering judgement and generally accepted 
engineering practice to determine the appropriate correction factors, 
subject to EPA review.
    (2) For engines operating within the ambient conditions specified in 
Sec.  86.007-11(a)(4)(ii)(b):
    (i) NOX emissions shall be corrected for ambient air 
humidity to a standard humidity level of 50 grains (7.14 g/kg) if the 
humidity of the intake air was below 50 grains, or to 75 grains (10.71 
g/kg) if above 75 grains.
    (ii) NOX and PM emissions shall be corrected for ambient 
air temperature to a temperature of 55 degrees F (12.8 degrees C) for 
ambient air temperatures below 55 degrees F.
    (iii) No ambient air temperature or humidity correction factors 
shall be used within the ranges of 50-75 grains or for temperatures 
greater than or equal to 55 degrees F.
    (iv) Where test conditions require such correction factors, the 
manufacturer must use good engineering judgement and generally accepted 
engineering practice to determine the appropriate correction factors, 
subject to EPA review.
    (f) NTE cold temperature operating exclusion. Engines equipped with 
exhaust gas recirculation (EGR) whose operation within the NTE control 
area specified in paragraph (b) of this section when operating during 
cold temperature conditions as specified in paragraph (f)(1) of this 
section are not subject to the NTE emission limits during the specified 
cold temperature conditions.
    (1) Cold temperature operation is defined as engine operating 
conditions meeting either of the following two criteria:
    (i) Intake manifold temperature (IMT) less than or equal to the 
temperature defined by the following relationship between IMT and 
absolute intake manifold pressure (IMP) for the corresponding IMP:
[GRAPHIC] [TIFF OMITTED] TR06OC00.009

Where:

P = absolute intake manifold pressure in bars.
IMT = intake manifold temperature in degrees Fahrenheit.

    (ii) Engine coolant temperature (ECT) less than or equal to the 
temperature defined by the following relationship between ECT and 
absolute intake manifold pressure (IMP) for the corresponding IMP:
[GRAPHIC] [TIFF OMITTED] TR06OC00.010

Where:

P = absolute intake manifold pressure in bars.
ECT = engine coolant temperature in degrees Fahrenheit.

    (2) [Reserved]
    (g) You may exclude emission data based on catalytic aftertreatment 
temperatures as follows:
    (1) For an engine equipped with a catalytic NOX 
aftertreatment system, exclude NOX emission data that is 
collected when the exhaust temperature at any time during the NTE event 
is less than 250 [deg]C.
    (2) For an engine equipped with an oxidizing catalytic 
aftertreatment system, exclude NMHC and CO emission data that is 
collected if the exhaust temperature is less than 250 [deg]C at any time 
during the NTE event.
    (3) Using good engineering judgment, measure exhaust temperature 
within 30 cm downstream of the last applicable catalytic aftertreatment 
device. Where there are parallel paths, use good engineering judgment to 
measure the temperature within 30 cm downstream of the last applicable 
catalytic aftertreatment device in the path with the greatest exhaust 
flow.
    (h) Any emission measurements corresponding to engine operating 
conditions that do not qualify as a valid NTE sampling event may be 
excluded

[[Page 871]]

from the determination of the vehicle-pass ratio specified in Sec.  
86.1912 for the specific pollutant.
    (i) Start emission sampling at the beginning of each valid NTE 
sampling event, except as needed to allow for zeroing or conditioning 
the PEMS. For gaseous emissions, PEMS preparation must be complete for 
all analyzers before starting emission sampling.
    (j) Emergency vehicle AECDs. If your engine family includes engines 
with one or more approved AECDs for emergency vehicle applications under 
paragraph (4) of the definition of ``defeat device'' in Sec.  86.1803, 
the NTE emission limits do not apply when any of these AECDs are 
active.apply when any of these AECDs are active.

[65 FR 59961, Oct. 6, 2000, as amended at 66 FR 5188, Jan. 18, 2001; 70 
FR 40441, July 13, 2005; 75 FR 68457, Nov. 8, 2010; 77 FR 34146, June 8, 
2012. Redesignated and amended at 79 FR 23705, Apr. 28, 2014; 81 FR 
73982, Oct. 25, 2016]



Sec.  86.1372  Measuring smoke emissions within the NTE zone.

    This section contains the measurement techniques to be used for 
determining compliance with the filter smoke limit or opacity limits in 
Sec.  86.007-11(b)(1)(iv).
    (a) For steady-state or transient smoke testing using full-flow 
opacimeters, equipment meeting the requirements of subpart I of this 
part or ISO/DIS-11614 ``Reciprocating internal combustion compression-
ignition engines--Apparatus for measurement of the opacity and for 
determination of the light absorption coefficient of exhaust gas'' is 
required. This document is incorporated by reference (see Sec.  86.1).
    (1) All full-flow opacimeter measurements shall be reported as the 
equivalent percent opacity for a five inch effective optical path length 
using the Beer-Lambert relationship.
    (2) Zero and full-scale (100 percent opacity) span shall be adjusted 
prior to testing.
    (3) Post test zero and full scale span checks shall be performed. 
For valid tests, zero and span drift between the pre-test and post-test 
checks shall be less than two percent of full-scale.
    (4) Opacimeter calibration and linearity checks shall be performed 
using manufacturer's recommendations or good engineering practice.
    (b) For steady-state testing using a filter-type smokemeter, 
equipment meeting the requirements of ISO/FDIS-10054 ``Internal 
combustion compression-ignition engines--Measurement apparatus for smoke 
from engines operating under steady-state conditions--Filter-type 
smokemeter'' is recommended. Other equipment may be used provided it is 
approved in advance by the Administrator.
    (1) All filter-type smokemeter results shall be reported as a filter 
smoke number (FSN) that is similar to the Bosch smoke number (BSN) 
scale.
    (2) Filter-type smokemeters shall be calibrated every 90 days using 
manufacturer's recommended practices or good engineering practice.
    (c) For steady-state testing using a partial-flow opacimeter, 
equipment meeting the requirements of ISO-8178-3 and ISO/DIS-11614 is 
recommended. Other equipment may be used provided it is approved in 
advance by the Administrator.
    (1) All partial-flow opacimeter measurements shall be reported as 
the equivalent percent opacity for a five inch effective optical path 
length using the Beer-Lambert relationship.
    (2) Zero and full scale (100 percent opacity) span shall be adjusted 
prior to testing.
    (3) Post-test zero and full scale span checks shall be performed. 
For valid tests, zero and span drift between the pre-test and post-test 
checks shall be less than two percent of full scale.
    (4) Opacimeter calibration and linearity checks shall be performed 
using manufacturer's recommendations or good engineering practice.
    (d) Replicate smoke tests may be run to improve confidence in a 
single test or stabilization. If replicate tests are run, three 
additional tests which confirm to this section shall be run, and the 
final reported test results must be the average of all the valid tests.
    (e) A minimum of thirty seconds sampling time shall be used for 
average transient smoke measurements. The opacity values used for this 
averaging must be collected at a minimum rate of 1 data point per 
second, and all data

[[Page 872]]

points used in the averaging must be equally spaced in time.

[65 FR 59962, Oct. 6, 2000. Redesignated at 79 FR 23706, Apr. 28, 2014]

Subpart O [Reserved]



 Subpart P_Emission Regulations for Otto-Cycle Heavy-Duty Engines, New 
 Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-Fueled 
 Diesel-Cycle Heavy-Duty Engines, New Otto-Cycle Light-Duty Trucks, and 
  New Methanol-Fueled Natural Gas-Fueled, and Liquefied Petroleum Gas-
       Fueled Diesel-Cycle Light-Duty Trucks; Idle Test Procedures

    Authority: Secs. 202, 206, 207, 208, 301(a), Clean Air Act, as 
amended 42 U.S.C. 7521, 7525, 7541, 7542, and 7601.

    Source: 48 FR 52252, Nov. 16, 1983, unless otherwise noted.



Sec.  86.1501  Scope; applicability.

    (a) This subpart contains gaseous emission idle test procedures for 
light-duty trucks and heavy-duty engines for which idle CO standards 
apply. It applies to 1994 and later model years. The idle test 
procedures are optionally applicable to 1994 through 1996 model year 
natural gas-fueled and liquified petroleum gas-fueled light-duty trucks 
and heavy-duty engines.
    (b) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty trucks 
and Otto-cycle complete heavy-duty vehicles under the provisions of 
subpart S of this part.

[65 FR 59963, Oct. 6, 2000. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1502  Definitions.

    The definitions in Sec.  86.084-2 or Sec.  86.1803-01, as 
applicable, apply to this subpart.

[64 FR 23923, May 4, 1999. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1503  Abbreviations.

    The abbreviations in Sec.  86.084-3 or in Sec.  86.1804-01, as 
applicable, apply to this subpart.

[64 FR 23923, May 4, 1999. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1505  Introduction; structure of subpart.

    (a) This subpart describes the equipment and the procedures required 
to perform idle exhaust emission tests on heavy-duty engines and light-
duty trucks. Subpart A of this part sets forth the testing requirements, 
reporting requirements and test intervals necessary to comply with EPA 
certification procedures.
    (b) Four topics are addressed in this subpart. Sections 86.1505 
through 86.1515 set forth specifications and equipment requirements; 
Sec. Sec.  86.1516 through 86.1526 discuss calibration methods and 
frequency; test procedures and data requirements are listed in 
Sec. Sec.  86.1527 through 86.1542 and calculation formulas are found in 
Sec.  86.1544.

[59 FR 48536, Sept. 21, 1994, as amended at 60 FR 34376, June 30, 1995. 
Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1506  Equipment required and specifications; overview.

    (a) This subpart contains procedures for performing idle exhaust 
emission tests on Otto-cycle heavy-duty engines and Otto-cycle light-
duty trucks. Equipment required and specifications are as follows:
    (1) Exhaust emission tests. All engines and vehicles subject to this 
subpart are tested for exhaust emissions. Necessary equipment and 
specifications appear in Sec. Sec.  86.1509 through 86.1511.
    (2) Fuel and analytical tests. Fuel requirements for idle exhaust 
emission testing are specified in Sec.  86.1513. Analytical gases are 
specified in Sec.  86.1514.
    (b) Through the 2009 model year, manufacturers may elect to use the 
appropriate test procedures in this part 86 instead of the procedures 
referenced in 40 CFR part 1065 without getting advance approval by the 
Administrator.

[59 FR 48536, Sept. 21, 1994. Redesignated and amended at 73 FR 37194, 
June 30, 2008]

[[Page 873]]



Sec.  86.1509  Exhaust gas sampling system.

    (a) The exhaust gas sampling system shall transport the exhaust 
sample from the engine or vehicle to the analysis system in such a 
manner as to maintain the integrity of the sample constituents that are 
to be analyzed.
    (b) The sample system shall supply a dry sample (i.e., water 
removed) to the analysis system.
    (c) A CVS sampling system with bag or continuous analysis as 
specified in 40 CFR part 1065 is permitted as applicable. The inclusion 
of an additional raw carbon dioxide (CO2) analyzer as 
specified in 40 CFR part 1065 is required if the CVS system is used, in 
order to accurately determine the CVS dilution factor. The heated sample 
line specified in 40 CFR part 1065 for raw emission requirements is not 
required for the raw (CO2) measurement.
    (d) A raw exhaust sampling system as specified in 40 CFR part 1065 
is permitted.

[48 FR 52252, Nov. 16, 1983, as amended at 60 FR 34376, June 30, 1995; 
70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1511  Exhaust gas analysis system.

    (a) Analyzers used for this subpart shall meet the following 
specifications:
    (1) The analyzer used shall conform to the accuracy provisions of 40 
CFR part 1065, subparts C, D, and F.
    (2) The resolution of the readout device(s) for the range specified 
in paragraph (a)(1) of this section shall be equal to or less than 0.05 
percent for the CO analyzer.
    (3) For the range specified in paragraph (a)(1) of this section, the 
precision shall be less than 3 percent of full-
scale deflection. The precision is defined as two times the standard 
deviation of five repetitive responses to a given calibration gas.
    (4) For the range specified in paragraph (a)(1) of this section, the 
mean response to a zero calibration gas shall not exceed 3 percent of full-scale deflection during a 1-hour 
period.
    (5) For the range specified in paragraph (a)(1) of this section the 
drift of the mean calibration response shall be less than 3 percent of full scale during a 1-hour period. The 
calibration response is defined as the analyzer response to a 
calibration gas after the analyzer has been spanned by the electrical 
spanning network at the beginning of the 1-hour period.
    (6) The analyzer must respond to an instantaneous step change at the 
entrance to the sampling system with a response equal to 90 percent of 
that step change within 15 seconds or less on the range specified in 
paragraph (a)(1) of this section. The step change shall be at least 60 
percent of full-scale deflection.
    (7) The interference gases listed shall individually or collectively 
produce an analyzer reading less than 2 percent of 
full scale on the range specified in paragraph (a)(1) of this section.

------------------------------------------------------------------------
                                                           Applicable
         Interference gas             Concentration         analyzer
------------------------------------------------------------------------
CO2..............................  14 percent.........  CO
C3H8.............................  1 percent..........  CO
H2O..............................  Saturated vapor at   CO
                                    100 [deg]F.
NOX..............................  1,000 ppm..........  CO
O2...............................  5 percent..........  CO
------------------------------------------------------------------------

    (8) The analyzer shall be able to meet the specifications in 
paragraph (a) of this section under the following conditions:
    (i) After a 30 minute warm-up from the prevailing ambient 
conditions;
    (ii) Between 0 to 85 percent relative humidity; and
    (iii) During variations of 50 percent of 
nominal sample flow.
    (b) The inclusion of a raw CO2 analyzer as specified in 
40 CFR part 1065 is required in order to accurately determine the CVS 
dilution factor.

[48 FR 52252, Nov. 16, 1983, as amended at 60 FR 34377, June 30, 1995; 
70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1513  Fuel specifications.

    The requirements of this section are set forth in 40 CFR part 1065, 
subpart H, for heavy-duty engines and in Sec.  86.113-94 for light-duty 
trucks.

[70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1514  Analytical gases.

    (a) The final idle emission test results shall be reported as 
percent for carbon monoxide on a dry basis.

[[Page 874]]

    (b) If the raw CO sampling system specified in 40 CFR part 1065 is 
used, the analytical gases specified in 40 CFR part 1065, subpart H, 
shall be used.
    (c) If a CVS sampling system is used, the analytical gases specified 
in 40 CFR part 1065, subpart H, shall be used.

[48 FR 52252, Nov. 16, 1983, as amended at 51 FR 24613, July 7, 1986; 60 
FR 34377, June 30, 1995; 70 FR 40441, July 13, 2005. Redesignated at 73 
FR 37194, June 30, 2008]



Sec.  86.1516  Calibration; frequency and overview.

    (a) Calibrations shall be performed as specified in Sec. Sec.  
86.1518-84 through 86.1526-84.
    (b) At least monthly or after any maintenance which could alter 
calibration, check the calibration of the CO analyzer. Adjust or repair 
the analyzer as necessary.
    (c) Water traps, filters, or conditioning columns should be checked 
before each test.

[48 FR 52252, Nov. 16, 1983. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1519  CVS calibration.

    If the CVS system is used for sampling during the idle emission 
test, the calibration instructions are specified in 40 CFR part 1065, 
subpart D, for heavy-duty engines, and Sec.  86.119-78 for light-duty 
trucks.

[70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1522  Carbon monoxide analyzer calibration.

    (a) Initial check. (1) Follow good engineering practice for 
instrument start-up and operation. Adjust the analyzer to optimize 
performance on the range specified in Sec.  86.1511-84(a)(1).
    (2) Calibrate the analyzer with the calibration gas specified in 
Sec.  86.1514-84.
    (3) Adjust the electrical span network such that the electrical span 
point is correct when the analyzer reads the calibration gas correctly.
    (4) Determine that the analyzer complies with the specifications in 
Sec.  86.1511-84.
    (b) Periodic check. Follow paragraphs (a) (1), (2), and (3) of this 
section as specified by Sec.  86.1516-84(b). Adjust or repair the 
analyzer as necessary.

[48 FR 52252, Nov. 16, 1983. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1524  Carbon dioxide analyzer calibration.

    (a) The calibration requirements for the dilute-sample 
CO2 analyzer are specified in 40 CFR part 1065, subpart D, 
for heavy-duty engines and Sec.  86.124-78 for light-duty trucks.
    (b) The calibration requirements for the raw CO2 analyzer 
are specified in 40 CFR part 1065, subpart D.

[70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1526  Calibration of other equipment.

    Other test equipment used for testing shall be calibrated as often 
as necessary according to good engineering practice.

[48 FR 52252, Nov. 16, 1983. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1527  Idle test procedure; overview.

    (a) The idle emission test procedure is designed to determine the 
raw concentration (in percent) of CO in the exhaust flow at idle. The 
test procedure begins with the engine at normal operating temperature. 
(For example, the warm-up for an engine may be the transient engine or 
chassis dynamometer test.)
    (b) Raw emission sampling must be made before dilution occurs from a 
single exhaust pipe in which exhaust products are homogeneously mixed. 
The configuration for dual-exhaust systems must also allow for raw 
emission measurements, which will require that an additional ``Y'' pipe 
be placed in the exhaust system before dilution.

[48 FR 52252, Nov. 16, 1983. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1530  Test sequence; general requirements.

    (a) The following test sequence lists the major steps encountered 
during the idle test:

Preparation
Warm-up (or Emission Test)

[[Page 875]]

Preconditioning, 30 seconds minimum, six minutes maximum
Idle Stabilization, 305 seconds
Idle Emission Sampling, one minute minimum, six minutes maximum


These steps are described by subsequent procedures.
    (b) Ambient test cell conditions during the test shall be those 
specified in Sec.  86.130-78 or 40 CFR part 1065, subpart F.

[48 FR 52252, Nov. 16, 1983, as amended at 70 FR 40441, July 13, 2005. 
Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1537  Idle test run.

    The following steps shall be taken for each test:
    (a) Check the device(s) for removing water from the exhaust sample 
and the sample filter(s). Remove any water from the water trap(s). Clean 
and replace the filter(s) as necessary.
    (b) Set the zero and span points of the CO analyzer with the 
electrical spanning network or with analytical gases.
    (c) Achieve normal engine operating condition. The transient engine 
or chassis dynamometer test is an acceptable technique for warm-up to 
normal operating condition for the idle test. If the emission test is 
not performed prior to the idle emission test, a heavy-duty engine may 
be warmed up according to 40 CFR part 1065, subpart F. A light-duty 
truck may be warmed up by operation through one Urban Dynamometer 
Driving Schedule test procedure (see Sec.  86.115-78 and appendix I to 
this part).
    (d) Operate the warm engine at 2500 50 rpm, or 
rated torque speed for diesel-cycle engines, and zero load for a minimum 
of 30 seconds and a maximum of 6 minutes.
    (e) If the CVS sampling system is used, the following procedures 
apply:
    (1) If bag samples are drawn, with the sample selector valves in the 
standby position connect evacuated sample collection bags to the dilute 
exhaust and dilution air sample collection systems.
    (2) Start the CVS (if not already on), the sample pumps, 
integrators, and the raw CO2 analyzer, as applicable. (The 
heat exchanger of the constant volume sampler, if used, shall be running 
at operating temperature before sampling begins.)
    (3) Adjust the sample flow rates to the desired flow rate and set 
the gas flow measuring devices to zero.
    (4) Operate the engine or vehicle at curb idle for 305 seconds with the clutch disengaged or in neutral gear. 
A heavy-duty engine may also be disconnected from the dynamometer, or 
the dynamometer may be shut off.
    (5) Begin raw and dilute sampling.
    (6) For bag sampling, sample idle emissions long enough to obtain a 
sufficient bag sample, but in no case shorter than 60 seconds nor longer 
than 6 minutes. Follow the sampling and exhaust measurements 
requirements of 40 CFR part 1065, subpart F, for conducting the raw 
CO2 measurement.
    (7) As soon as possible, transfer the idle test exhaust and dilution 
air samples to the analytical system and process the samples according 
to Sec.  86.1540-84. Obtain a stabilized reading of the exhaust sample 
on all analyzers within 20 minutes of the end of the sample collection 
phase of the test.
    (f) If the raw exhaust sampling and analysis technique specified in 
40 CFR part 1065 is used, the following procedures apply:
    (1) Warm up the engine or vehicle per paragraphs (c) and (d) of this 
section. Operate the engine or vehicle at the conditions specified in 
paragraph (e)(4) of this section.
    (2) Follow the sampling and exhaust measurement requirements of 40 
CFR part 1065, subpart F. The idle sample shall be taken for 60 seconds 
minimum, and no more than 64 seconds. The chart reading procedures of 40 
CFR part 1065, subpart F, shall be used to determine the analyzer 
response.
    (g) If the engine or vehicle stalls at any time during the test run, 
the test is void.

[48 FR 52252, Nov. 16, 1983, as amended at 60 FR 34377, June 30, 1995; 
70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1540  Idle exhaust sample analysis.

    (a) Record the CO idle concentrations in percent.
    (b) If the CVS sampling system is used, the analysis procedures for 
dilute CO and CO2 specified in 40 CFR part

[[Page 876]]

1065 apply. Follow the raw CO2 analysis procedure specified 
in 40 CFR part 1065, subpart F, for the raw CO2 analyzer.
    (c) If the continuous raw exhaust sampling technique specified in 40 
CFR part 1065 is used, the analysis procedures for CO specified in 40 
CFR part 1065, subpart F, apply.

[48 FR 52252, Nov. 16, 1983, as amended at 70 FR 40441, July 13, 2005. 
Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1542  Information required.

    (a) General data--heavy-duty engines. Information shall be recorded 
for each idle emission test as specified in 40 CFR part 1065, subpart G. 
The following test data are required:
    (1) Date and time of day.
    (2) Test number.
    (3) Engine intake air or test cell temperature.
    (4) Barometric pressure.

    Note: A central laboratory barometer may be used: Provided, That 
individual test cell barometric pressures are shown to be within 0.1 percent of the barometric pressure at the central 
barometer location.

    (5) Engine intake or test cell and CVS dilution air humidity.
    (6) Curb idle speed during the test.
    (7) Idle exhaust CO concentration (dry basis).
    (8) Idle exhaust raw CO2 concentration (if applicable).
    (9) Dilute bag sample CO and CO2 concentrations (if 
applicable).
    (10) Total CVS flow rate with calculated dilution factor for the 
idle mode (if applicable).
    (b) General data--light-duty trucks. The following information shall 
be recorded with respect to each test:
    (1) Test number.
    (2) System or device tested (brief description).
    (3) Date and time of day for the test.
    (4) Instrument operated.
    (5) Vehicle: ID number, manufacturer, model year, standards, engine 
family, evaporative emissions family, basic engine description 
(including displacement, number of cylinders, turbocharger used and 
catalyst usage), fuel system (including number of carburetors, number of 
carburetor barrels, fuel injection type and fuel tank(s) capacity and 
location), engine code, gross vehicle weight rating, inertia weight 
class and transmission configuration, as applicable.
    (6) All pertinent instrument information such as tuning, gain, 
serial number, detector number and range. As an alternative a reference 
to a vehicle test cell number may be used, with the advance approval of 
the Administrator, provided test cell calibration records show the 
pertinent instrument information.
    (7) Recorder charts or computer printouts: Identify zero, span, 
exhaust gas and dilution air sample traces or computer readings (if 
applicable).
    (8) Test cell ambient temperature and, if applicable, barometric 
pressure and humidity.

    Note: A central laboratory barometer may be used: Provided, That 
individual test cell barometric pressures are shown to be within + 0.1 
percent of the barometric pressure at the central barometer location.

    (9) Pressure of the mixture of exhaust and dilution air entering the 
CVS metering device (or pressure drop across the CFV), the pressure 
increase across the device, and the temperature at the inlet (if 
applicable). The temperature may be recorded continuously or digitally 
to determine temperature variations (if applicable).
    (10) The number of revolutions of the positive displacement pump 
accumulated while exhaust samples are being collected (if applicable). 
The number of standard cubic feet metered by a critical flow venturi 
would be the equivalent record for a CFV (if applicable).
    (11) The humidity of the dilution air.

    Note: If conditioning columns are not used (see Sec. Sec.  86.122 
and 86.144) this measurement can be deleted. If the conditioning columns 
are used and the dilution air is taken from the test cell, the ambient 
humidity can be used for this measurement.

    (12) Curb idle engine speed during the test.
    (13) Idle exhaust CO concentration (dry basis).
    (14) Idle exhaust raw CO2 concentration (if applicable).
    (15) Dilute bag sample CO and CO2 concentrations (if 
applicable).

[[Page 877]]

    (16) Total CVS flow rate with calculated dilution factor for the 
idle mode (if applicable).

[48 FR 52252, Nov. 16, 1983, as amended at 49 FR 48149, Dec. 10, 1984; 
70 FR 40441, July 13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



Sec.  86.1544  Calculation; idle exhaust emissions.

    (a) The final idle emission test results shall be reported as 
percent for carbon monoxide on a dry basis.
    (b) If a CVS sampling system is used, the following procedure shall 
apply:
    (1) Use the procedures, as applicable, in 40 CFR 1065.650 to 
determine the dilute wet-basis CO and CO2 in percent.
    (2) Use the procedure, as applicable, in 40 CFR 1065.650 to 
determine the raw dry-basis CO2 in percent.
    (3) Convert the raw dry-basis CO2 to raw wet-basis. An 
assumption that the percent of water by volume in the raw sample is 
equal to the percent of raw dry-basis CO2 minus 0.5 percent 
is acceptable. For example:

10.0% dry CO2-0.5% = 9.5% water

(1.00-0.095) (10.0% dry CO2) = 9.05% wet CO2

    (4) Calculate the CVS dilution factor (DF) by:
    [GRAPHIC] [TIFF OMITTED] TR06OC93.138
    
    (5) Convert the dilute wet-basis CO to dilute dry-basis values. An 
assumption that the percent of water by volume in the sample bag is 2 
percent is acceptable. For example:

Dilute dry CO = (dilute wet CO)/(1.00-0.02)

    (6) Calculate the raw dry-basis CO values by:

Raw dry CO = (DF) (dilute dry CO)

    (c) If the raw exhaust sampling and analysis system specified in 40 
CFR part 1065 is used, the percent for carbon monoxide on a dry basis 
shall be calculated using the procedure, as applicable, in 40 CFR 
1065.650.

(Secs. 202, 203, 206, 207, 208, 301a, Clean Air Act, as amended; 42 
U.S.C. 7521, 7522, 7525, 7541, 7542, 7601a)

[48 FR 52252, Nov. 16, 1983, as amended at 49 FR 48149, Dec. 10, 1984; 
50 FR 10708, Mar. 15, 1985; 51 FR 24613, July 7, 1986; 70 FR 40441, July 
13, 2005. Redesignated at 73 FR 37194, June 30, 2008]



 Subpart Q_Regulations for Altitude Performance Adjustments for New and 
                    In-Use Motor Vehicles and Engines

    Authority: Secs. 215 and 301, Clean Air Act, as amended (42 U.S.C. 
7550 and 7601).

    Source: 45 FR 66956, Oct. 8, 1980, unless otherwise noted.



Sec.  86.1601  General applicability.

    This subpart applies to manufacturers of motor vehicles and motor 
vehicle engines (hereafter referred to as vehicles) which are subject to 
the requirements of title II of the Clean Air Act. This subpart applies 
to the following vehicles:
    (a) 1968 and later model year light-duty vehicles and light-duty 
trucks.
    (b) 1970 and later model year heavy-duty engines built after 
December 31, 1969.
    (c) 1978 and later model year motorcycles built after December 31, 
1977.
    (d) References in this subpart to engine families and emission 
control systems shall be deemed to apply to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles, light-duty trucks, and Otto-cycle complete heavy-duty vehicles 
under the provisions of subpart S of this part.

[45 FR 66956, Oct. 8, 1980, as amended at 64 FR 23923, May 4, 1999; 65 
FR 59963, Oct. 6, 2000]



Sec.  86.1602  Definitions.

    The definitions provided in subpart A also apply in this subpart. 
Additional definitions that apply in this subpart are as follow:
    Altitude performance adjustments are adjustments or modifications 
made to vehicle, engine, or emission control functions in order to 
improve emission control performance at altitudes other

[[Page 878]]

than those for which the vehicles were designed.
    Low altitude means any elevation less than or equal to 1,219 meters 
(4,000 feet).
    Manufacturer parts are parts produced or sold by the manufacturer of 
the motor vehicle or motor vehicle engine.



Sec.  86.1603  General requirements.

    (a) Manufacturers of vehicles specified in Sec.  86.1601 shall 
submit to the Administrator for approval the following altitude 
performance adjustment instructions.
    (1) Low-altitude adjustment instructions for vehicles certified to 
meet the appropriate high-altitude emission standards.
    (2) High-altitude adjustment instructions for vehicles certified to 
meet the appropriate low-altitude emission standards.
    (b) Manufacturers are not required to submit altitude adjustment 
instructions for vehicles equipped with systems or devices that 
compensate (in full or in part) the engine fuel metering system for air 
density changes. Manufacturers claiming this exemption must submit to 
the Administrator for approval a notification of the claim specifying 
the affected vehicles. The notification must also describe the 
compensating system used.
    (c) Manufacturers may request the Administrator to waive the 
application of this regulation for vehicles which potentially may never 
be operated at an altitude other than that for which they were designed 
(such as vehicles which are not offered for sale within the continental 
United States).
    (d) Manufacturers shall meet the requirements of paragraph (a), 
according to the following schedule:
    (1) Altitude adjustment instructions for all 1980 and earlier model 
year vehicles or engines shall be submitted to the Administrator within 
one (1) year of the effective date of this regulation.
    (2) Altitude adjustment instructions for 1982 and later model year 
vehicles or engines shall be submitted to the Administrator within 30 
days of the issuance of the certificate of conformity for those vehicles 
or engines. For vehicles or engines certified for the 1981 model year 
before the publication of this regulation, altitude adjustment 
instructions shall be submitted within 90 days of the publication of 
this regulation.
    (e) Failure to submit altitude performance adjustment instructions 
in accordance with this section is a violation of section 203(a)(3) of 
the Clean Air Act and may result in penalties as specified in section 
205 of the Clean Air Act. The Administrator may grant extensions of the 
schedule in paragraph (c) if the manufacturer submits a written request 
to the Administrator specifying the reasons for the need for the 
extension. Requests for an extension must be received by EPA at least 5 
working days prior to the submittal date contained in paragraph (d).
    (f) The adjustment instructions (including labels) that the 
Administrator approves under this subpart shall be made available by the 
manufacturer at no cost to service outlets and the general public. EPA 
encourages manufacturers to notify vehicle owners in high-altitude areas 
of the availability of high-altitude adjustments.
    (g) If altitude adjustments are performed according to the 
instructions approved by the Administrator, they will not be treated as 
violations of the tampering provisions of section 203(a) of the Act 
except as described below:



Sec.  86.1604  Conditions for disapproval.

    (a) The Administrator shall not approve altitude performance 
adjustments that will:
    (1) Cause any regulated pollutant emission level to increase if the 
emission level exceeded the appropriate emission standard before 
adjustment was made.
    (2) Cause any regulated pollutant emission level to exceed the 
appropriate emission standard if the emission level did not exceed the 
emission standard before the adjustment was made.
    (3) For light-duty vehicles, light-duty trucks, motorcycles, heavy-
duty gasoline-fueled engines, cause any reduction of vehicle performance 
(as evaluated by the manufacturer) such that vehicle drivers will likely 
complain.
    (4) Be of such technical complexity or require such complex, 
expensive, or exclusive equipment that a competent

[[Page 879]]

mechanic in an average service establishment cannot perform the 
adjustments correctly. Adjustment procedures should not require 
knowledge or training beyond that required to perform normal engine 
maintenance. All required equipment must be available to any service 
establishment at competitive cost.
    (5) Require the use of manufacturer parts, unless they are necessary 
to ensure emission control performance and unless the Administrator 
grants a waiver under section 207(c)(3)(B) of the Act.
    (6) Removes or defeats the parameter adjustment controls for the 
parameters listed in Sec. Sec.  86.081-22(e)(1)(i) and 86.082-
22(e)(1)(i) for light-duty vehicles and light-duty trucks, and Sec.  
86.428-80(d) for motorcycles unless:
    (i) The manufacturer determines that it is reasonable to restore the 
parameter adjustment control in use and provides appropriate instruction 
as part of the high-altitude performance adjustment instructions, or
    (ii) The manufacturer determines that is is not reasonable to 
restore the parameter adjustment control in use and alternatively 
includes on the label required in Sec.  86.1606 a statement to the 
effect that the labeled vehicle can be adjusted but that adjustment to 
other than manufacturer specification may be considered violation of 
Federal law.
    (b) If the Administrator determines that the altitude performance 
adjustment instructions cannot be approved, the Administrator shall 
notify the manufacturer in writing of the disapproval. This notification 
shall explain the reasons for the disapproval.
    (1) Within 20 working days of the date of a notification of 
disapproval, the manufacturer may file a written appeal to the 
Administrator. The Administrator may allow additional oral or written 
testimony prior to rendering a final decision.
    (2) If the manufacturer files no appeal with the Administrator, the 
disapproval becomes final.
    (3) Within 30 days following the Administrator's final decision of 
disapproval, the manufacturer must submit new altitude performance 
adjustment instructions applying to all of the vehicles for which the 
disapproved instructions applied. If these new instructions are not 
submitted within 30 days, EPA may take action under sections 203(a)(3) 
and 205 of the Act. If the new altitude performance adjustment 
instructions are disapproved by the Administrator, the manufacturer may 
follow the appeal procedures under paragraphs (b)(1) and (b)(2) of this 
section.
    (c) If the Administrator makes a final decision to disapprove the 
new instructions, EPA may take action under sections 203(a)(3) and 205 
of the Act.



Sec.  86.1605  Information to be submitted.

    (a) Manufacturers shall submit to the Administrator the text of the 
altitude performance adjustment instructions to be provided to vehicle 
owners and service establishments. Each set of altitude performance 
adjustment instructions must set forth the adjustment procedure 
(including the installation of the label required by Sec.  86.1606) to 
be followed and identify the vehicles for which the instructions are 
applicable. At a minimum, each set of instructions shall identify the 
vehicle applicability by manufacturer, car line, model year, engine 
displacement, engine family, and exhaust emission control systems. 
Manufacturers may specify vehicle applicability in greater detail if 
necessary, but such specifications must be identifiable to the public 
and the service industry through vehicle marking or codes.
    (b) The manufacturer shall submit to the Administrator the following 
information about the adjustments:
    (1) Specifications of changes in calibrations of any component, 
including the original and new calibration values or curves;
    (2) Descriptions of component additions, including a full 
description of the new components along with the configurations (sketch 
or drawing), calibration values, and part numbers;
    (3) Descriptions of component replacements, including all items in 
paragraph (b)(2) of this section, for the new parts. Also, a description 
of the differences between the original component and the new component 
with respect to design, calibration, and function;
    (4) Descriptions of any special tools necessary to perform the 
adjustments.

[[Page 880]]

    (c) The manufacturer shall submit to the Administrator the following 
evaluations of the adjustments:
    (1) A statement that the conditions of Sec.  86.1604 (a) (1) and (2) 
are not caused by the adjustment, and supporting information for this 
statement consisting of technical evaluations (consistent with good 
engineering practice) or emission test data.
    (2) A statement that vehicle performance is generally unchanged or 
improved as result of the adjustments, and supporting information for 
this statement consisting of technical evaluations or driver 
evaluations.
    (3) Information that shows compliance with section 202(a)(4)(A) of 
the Act (which prohibits vehicles from causing unreasonable risks to 
public health, welfare, and safety).
    (d) The manufacturer shall submit to the Administrator for approval 
a copy or sample of the label required by Sec.  86.1606 and a copy of 
the instructions for installation of the label.



Sec.  86.1606  Labeling.

    (a) The manufacturer shall make available to the public as part of 
the altitude performance adjustment instructions the labels described in 
this section. Instructions for installing the labels according to the 
requirements of this section shall be provided with each label.
    (b) The label installation instructions shall indicate the following 
information.
    (1) For light-duty vehicles, light-duty trucks, and heavy-duty 
engines, the label should be affixed in a readily visible position in 
the engine compartment and beside (to the extent possible) the existing 
label which is required under Sec.  86.079-35.
    (2) For motorcycles, the label should be affixed in a readily 
accessible position and beside (to the extent possible) the existing 
label which is required under Sec.  86.413-78(a)(1).
    (3) The instructions shall also indicate that the label should not 
be affixed to any equipment that can be easily detached from the 
vehicle.
    (c) The label must be constructed such that if installed properly, 
it cannot be removed without destroying or defacing the label.
    (d) The label shall contain the following information lettered in 
the English language in block letters and numerals, which must be of a 
color that contrasts with the background of the label:
    (1) The label heading: Vehicle Emission Control Information Update;
    (2) Full corporate name and trademark of the vehicle manufactuer;
    (3) The statement: ``This vehicle has been (adjusted) (modified) to 
improve emission control performance when operated at (high) (low) 
altitude'';
    (4) Information on where altitude performance adjustment 
instructions may be obtained or include the actual altitude performance 
adjustment instructions;
    (5) The new tuneup specifications (if changed from the original 
label specifications) at the applicable altitude.

Subpart R [Reserved]



  Subpart S_General Compliance Provisions for Control of Air Pollution 
 From New and In-Use Light-Duty Vehicles, Light-Duty Trucks, and Heavy-
                              Duty Vehicles

    Source: 64 FR 23925, May 4, 1999, unless otherwise noted.



Sec.  86.1801-01  Applicability.

    (a) Applicability. Except as otherwise indicated, the provisions of 
this subpart apply to new 2001 and later model year Otto-cycle and 
diesel cycle light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, and 2005 and later model year Otto-cycle complete 
heavy-duty vehicles (2003 or 2004 model year for manufacturers choosing 
Otto-cycle HDE option 1 or 2, respectively, in Sec.  86.005-1(c)) 
including multi-fueled, alternative fueled, hybrid electric, and zero 
emission vehicles. These provisions also apply to 2001 model year and 
later new incomplete light-duty trucks below 8,500 Gross Vehicle Weight 
Rating, and to 2001 and later model year Otto-cycle complete heavy-duty 
vehicles participating in the provisions of the averaging, trading, and 
banking program under the provisions

[[Page 881]]

of Sec.  86.1817-05(n). In cases where a provision applies only to a 
certain vehicle group based on its model year, vehicle class, motor 
fuel, engine type, or other distinguishing characteristics, the limited 
applicability is cited in the appropriate section of this subpart.
    (b) Clean alternative fuel conversions. The provisions of the 
subpart apply to clean alternative fuel conversions as defined in 40 CFR 
85.502, of all model year light-duty vehicles, light-duty trucks, medium 
duty passenger vehicles, and complete Otto-cycle heavy-duty vehicles.
    (c) Optional applicability. (1) A manufacturer may request to 
certify any Otto-cycle heavy-duty vehicle of 14,000 pounds Gross Vehicle 
Weight Rating or less in accordance with the light-duty truck provisions 
through the 2004 model year (2002 model year for manufacturers choosing 
Otto-cycle HDE option 1 in Sec.  86.005-1(c) or 2003 model year for 
manufacturers choosing Otto-cycle HDE option 2 in Sec.  86.005-1(c)). 
Heavy-duty engine or heavy-duty vehicle provisions of subpart A of this 
part do not apply to such a vehicle. A 2004 model year heavy-duty 
vehicle optionally certified as a light-duty truck under this provision 
must comply with all provisions applicable to MDPVs including exhaust 
and evaporative emission standards, test procedures, on-board 
diagnostics, refueling standards, phase-in requirements and fleet 
average standards under 40 CFR part 85 and this part.
    (2) Beginning with the 2001 model year, a manufacturer may request 
to certify any incomplete Otto-cycle heavy-duty vehicle of 14,000 pounds 
Gross Vehicle Weight Rating or less in accordance with the provisions 
for complete heavy-duty vehicles. Heavy-duty engine or heavy-duty 
vehicle provisions of subpart A of this part do not apply to such a 
vehicle.
    (3) A manufacturer may optionally use the provisions of this subpart 
in lieu of the provisions of subpart A beginning with the 2000 model 
year for light-duty vehicles and light-duty trucks. Manufacturers 
choosing this option must comply with all provisions of this subpart. 
Manufacturers may elect this provision for either all or a portion of 
their product line.
    (4) Upon preapproval by the Administrator, a manufacturer may 
optionally certify a clean alternative fuel conversion of a complete 
heavy-duty vehicle greater than 10,000 pounds Gross Vehicle Weight 
Rating and of 14,000 pounds Gross Vehicle Weight Rating or less under 
the heavy-duty engine or heavy-duty vehicle provisions of subpart A of 
this part. Such preapproval will be granted only upon demonstration that 
chassis-based certification would be infeasible or unreasonable for the 
manufacturer to perform.
    (5) A manufacturer may optionally certify a clean alternative fuel 
conversion of a complete heavy-duty vehicle greater than 10,000 pounds 
Gross Vehicle Weight Rating and of 14,000 pounds Gross Vehicle Weight 
Rating or less under the heavy-duty engine or heavy-duty vehicle 
provisions of subpart A of this part without advance approval from the 
Administrator if the vehicle was originally certified to the heavy-duty 
engine or heavy-duty vehicle provisions of subpart A of this part.
    (d) Small volume manufacturers. Special certification procedures are 
available for any manufacturer whose projected or actual combined sales 
in all states and territories of the United States of light-duty 
vehicles, light-duty trucks, heavy-duty vehicles, and heavy-duty engines 
in its product line (including all vehicles and engines imported under 
the provisions of 40 CFR 85.1505 and 85.1509) are fewer than 15,000 
units for the model year in which the manufacturer seeks certification. 
The small volume manufacturer's light-duty vehicle and light-duty truck 
certification procedures and described in Sec.  86.1838-01.
    (e) National Low Emission Vehicle Program for light-duty vehicles 
and light light-duty trucks. A manufacturer may elect to certify 2001-
2003 model year light-duty vehicles and light light-duty trucks (LDV/
LLDTs) to the provisions of the National Low Emission Vehicle Program 
contained in subpart R of this part. Subpart R of this part is 
applicable only to those covered manufacturers as defined under the 
provisions of subpart R of this part. All provisions of this subpart S 
are applicable to vehicles certified pursuant to subpart R of

[[Page 882]]

this part, except as specifically noted in subpart R of this part.
    (f) ``Early'' Tier 2 LDVs, LDTs and MDPVs. Any LDV/LLDT which is 
certified to Tier 2 FTP exhaust standards prior to the 2004 model year, 
or any HLDT or MDPV which is certified to the Tier 2 FTP exhaust 
standards prior to the 2008 model year, to utilize alternate phase-in 
schedules and/or for purposes of generating and banking Tier 2 
NOX credits, must comply with all the exhaust emission 
requirements applicable to Tier 2 LDV/LLDTs or HLDT/ MDPVs, as 
applicable, under this subpart.
    (g) Interim non-Tier 2 LDVs, LDTs and MDPVs. Model year 2004-2008 
LDVs, LDTs and MDPVs, that do not comply with the Tier 2 FTP exhaust 
emission requirements (interim non-Tier 2 LDV/LLDTs and interim non-Tier 
2 HLDT/MDPVs) as permitted under the phase-in requirements of Sec.  
86.1811-04(k) must comply with all applicable interim non-Tier 2 exhaust 
emission requirements contained in this subpart, including FTP exhaust 
emission requirements for all interim non-Tier 2 LDV/LLDTs and HLDT/
MDPVs found at Sec.  86.1811-04(l). Additional emission bins and 
separate fleet average NOX emission standards and other 
provisions are provided for interim non-Tier 2 LDV/LLDTs, and interim 
non-Tier 2 HLDT/MDPVs.
    (h) Applicability of provisions of this subpart to LDVs, LDTs, MDPVs 
and HDVs. Numerous sections in this subpart provide requirements or 
procedures applicable to a ``vehicle'' or ``vehicles.'' Unless otherwise 
specified or otherwise determined by the Administrator, the term 
``vehicle'' or ``vehicles'' in those provisions apply equally to LDVs, 
LDTs, MDPVs and HDVs.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6851, Feb. 10, 2000; 65 
FR 59963, Oct. 6, 2000; 67 FR 72825, Dec. 6, 2002; 76 FR 19873, Apr. 8, 
2011]



Sec.  86.1801-12  Applicability.

    (a) Applicability. The provisions of this subpart apply to certain 
types of new vehicles as described in this paragraph (a). Where the 
provisions apply for a type of vehicle, they apply for vehicles powered 
by any fuel, unless otherwise specified. In some cases, manufacturers of 
heavy-duty engines and vehicles can choose whether to meet the 
requirements of this subpart or the requirements of subpart A of this 
part; those provisions are therefore considered optional, but only to 
the extent that manufacturers comply with the other set of requirements. 
In cases where a provision applies only to a certain vehicle group based 
on its model year, vehicle class, motor fuel, engine type, or other 
distinguishing characteristics, the limited applicability is cited in 
the appropriate section. References in this subpart to 40 CFR part 86 
generally apply to Tier 2 and older vehicles, while references to 40 CFR 
part 1066 generally apply to Tier 3 and newer vehicles; see 40 CFR 
86.101 for detailed provisions related to this transition. The 
provisions of this subpart apply to certain vehicles as follows:
    (1) The provisions of this subpart apply for light-duty vehicles and 
light-duty trucks.
    (2) The provisions of this subpart apply for medium-duty passenger 
vehicles. The provisions of this subpart also apply for other complete 
heavy-duty vehicles at or below 14,000 pounds GVWR, except as follows:
    (i) The provisions of this subpart are optional for diesel-cycle 
vehicles through model year 2017; however, if you are using the 
provisions of Sec.  86.1811-17(b)(9) or Sec.  86.1816-18(b)(8) to 
transition to the Tier 3 exhaust emission standards, the provisions of 
this subpart are optional for those diesel-cycle vehicles until the 
start of the Tier 3 phase-in for those vehicles.
    (ii) [Reserved]
    (iii) The provisions of this subpart are optional for diesel-fueled 
Class 3 heavy-duty vehicles in a given model year if those vehicles are 
equipped with engines certified to the appropriate standards in Sec.  
86.007-11 for which less than half of the engine family's sales for the 
model year in the United States are for complete Class 3 heavy-duty 
vehicles. This includes engines sold to all vehicle manufacturers. If 
you are the original manufacturer of the engine and the vehicle, base 
this showing on your sales information. If you manufacture the vehicle 
but are not the original manufacturer of the engine, you must use your 
best estimate of the

[[Page 883]]

original manufacturer's sales information.
    (3) The provisions of this subpart generally do not apply to 
incomplete heavy-duty vehicles or to complete vehicles above 14,000 
pounds GVWR (see subpart A of this part and 40 CFR parts 1036 and 1037). 
However, this subpart applies to such vehicles in the following cases:
    (i) Heavy duty vehicles above 14,000 pounds GVWR may be optionally 
certified to the exhaust emission standards in this subpart, including 
the greenhouse gas emission standards, if they are properly included in 
test group with similar vehicles at or below 14,000 pounds GVWR. 
Emission standards apply to these vehicles as if they were Class 3 
heavy-duty vehicles. The work factor for these vehicles may not be 
greater than the largest work factor that applies for vehicles in the 
test group that are at or below 14,000 pounds GVWR (see Sec.  86.1819-
14).
    (ii) Incomplete heavy-duty vehicles at or below 14,000 pounds GVWR 
may be optionally certified to the exhaust emission standards in this 
subpart that apply for heavy-duty vehicles.
    (iii) The evaporative emission standards apply for incomplete heavy-
duty vehicles at or below 14,000 pounds GVWR. Evaporative emission 
standards also apply for complete and incomplete heavy-duty vehicles 
above 14,000 pounds GVWR as specified in 40 CFR 1037.103.
    (iv) Refueling emission standards apply for complete heavy-duty 
vehicles above 14,000 pounds GVWR as specified in 40 CFR 1037.103. All 
sizes of incomplete heavy-duty vehicles may be optionally certified to 
the refueling emission standards in this subpart.
    (v) The onboard diagnostic requirements in this subpart apply for 
incomplete vehicles at or below 14,000 pounds GVWR, but not for any 
vehicles above 14,000 pounds GVWR.
    (4) If you optionally certify vehicles to standards under this 
subpart, those vehicles are subject to all the regulatory requirements 
as if the standards were mandatory.
    (b) Relationship to subpart A of this part. Unless specified 
otherwise, if heavy-duty vehicles are not subject to provisions of this 
subpart or if manufacturers choose not to meet optional provisions of 
this subpart as described in paragraph (a) of this section, the engines 
installed in those vehicles must meet the corresponding requirements 
under subpart A of this part. If a vehicle and its installed engine 
comply with a mix of provisions from this subpart and from subpart A of 
this part, the vehicle must be certified under this subpart, and the 
engine does not need to be certified separately.
    (c) Clean alternative fuel conversions. The provisions of this 
subpart also apply to clean alternative fuel conversions as defined in 
40 CFR 85.502 of all vehicles described in paragraph (a) of this 
section.
    (d) Small-volume manufacturers. Special certification procedures are 
available for small-volume manufacturers as described in Sec.  86.1838.
    (e) You. The term ``you'' in this subpart refers to manufacturers 
subject to the emission standards and other requirements of this 
subpart.
    (f) Vehicle. The term ``vehicle'', when used generically, does not 
exclude any type of vehicle for which the regulations apply (such as 
light-duty trucks).
    (g) Complete and incomplete vehicles. Several provisions in this 
subpart, including the applicability provisions described in this 
section, are different for complete and incomplete vehicles. We 
differentiate these vehicle types as described in Sec.  86.085-20.
    (h) Applicability of provisions of this subpart to light-duty 
vehicles, light-duty trucks, medium-duty passenger vehicles, and heavy-
duty vehicles. Numerous sections in this subpart provide requirements or 
procedures applicable to a ``vehicle'' or ``vehicles.'' Unless otherwise 
specified or otherwise determined by the Administrator, the term 
``vehicle'' or ``vehicles'' in those provisions apply equally to light-
duty vehicles (LDVs), light-duty trucks (LDTs), medium-duty passenger 
vehicles (MDPVs), and heavy-duty vehicles (HDVs), as those terms are 
defined in Sec.  86.1803-01.
    (i) Applicability of provisions of this subpart to exhaust 
greenhouse gas emissions. Numerous sections in this subpart refer to 
requirements relating to ``exhaust emissions.'' Unless otherwise 
specified or otherwise determined by the Administrator, the term 
``exhaust

[[Page 884]]

emissions'' refers at a minimum to emissions of all pollutants described 
by emission standards in this subpart, including carbon dioxide 
(CO2), nitrous oxide (N2O), and methane 
(CH4).
    (j) Exemption from greenhouse gas emission standards for small 
businesses. (1) Manufacturers that qualify as a small business under the 
Small Business Administration regulations in 13 CFR part 121 are exempt 
from the greenhouse gas emission standards specified in Sec.  86.1818-12 
and in associated provisions in this part and in part 600 of this 
chapter. This exemption applies to both U.S.-based and non-U.S.-based 
businesses. The following categories of businesses (with their 
associated NAICS codes) may be eligible for exemption based on the Small 
Business Administration size standards in 13 CFR 121.201.
    (i) Vehicle manufacturers (NAICS code 336111).
    (ii) Independent commercial importers (NAICS codes 811111, 811112, 
811198, 423110, 424990, and 441120).
    (iii) Alternate fuel vehicle converters (NAICS codes 335312, 336312, 
336322, 336399, 454312, 485310, and 811198).
    (2)(i) Effective for the 2013 and later model years, a manufacturer 
that would otherwise be exempt under the provisions of paragraph (j)(1) 
of this section may optionally comply with the greenhouse gas emission 
standards specified in Sec.  86.1818. A manufacturer making this choice 
is required to comply with all the applicable standards and provisions 
in Sec.  86.1818 and with all associated and applicable provisions in 
this part and in part 600 of this chapter.
    (ii) Such a manufacturer may optionally earn credits in the 2012 
model year by demonstrating fleet average CO2 emission levels 
below the fleet average CO2 standard that would have been 
applicable in model year 2012 if the manufacturer had not been exempt. 
Once the small business manufacturer opting into the greenhouse gas 
emission standards completes certification for the 2013 model year, that 
manufacturer will be eligible to generate greenhouse gas emission 
credits for their 2012 model year production, after the conclusion of 
the 2012 model year for that manufacturer. Manufacturers electing to 
earn these 2012 credits must comply with the model year reporting 
requirements in Sec.  600.512-12 for that model year. The 2012 fleet 
average must be calculated according to Sec.  600.510 and other 
applicable requirements in part 600 of this chapter, and 2012 credits 
must be calculated according to Sec.  86.1865 and other applicable 
requirements in this part.
    (k) Conditional exemption from greenhouse gas emission standards. 
Manufacturers meeting the eligibility requirements described in 
paragraphs (k)(1) and (2) of this section may request a conditional 
exemption from compliance with the emission standards described in Sec.  
86.1818-12(c) through (e) and associated provisions in this part and in 
part 600 of this chapter. A conditional exemption under this paragraph 
(k) may be requested for the 2012 through 2016 model years. The terms 
``sales'' and ``sold'' as used in this paragraph (k) shall mean vehicles 
produced for U.S. sale, where ``U.S.'' means the states and territories 
of the United States. For the purpose of determining eligibility the 
sales of related companies shall be aggregated according to the 
provisions of Sec.  86.1838-01(b)(3) or, if a manufacturer has been 
granted operational independence status under Sec.  86.1838(d), 
eligibility shall be based on vehicle production of that manufacturer.
    (1) Eligibility requirements. Eligibility as determined in this 
paragraph (k) shall be based on the total sales of combined passenger 
automobiles and light trucks. Manufacturers must meet one of the 
requirements in paragraph (k)(1)(i) or (ii) of this section to initially 
qualify for this exemption.
    (i) A manufacturer with 2008 or 2009 model year sales of more than 
zero and fewer than 5,000 is eligible for a conditional exemption from 
the greenhouse gas emission standards described in Sec.  86.1818-12 
paragraphs (c) through (e).
    (ii) A manufacturer with 2008 or 2009 model year sales of more than 
zero and fewer than 5,000 while under the control of another 
manufacturer, where those 2008 or 2009 model year vehicles bore the 
brand of the producing manufacturer but were sold by or otherwise

[[Page 885]]

under the control of another manufacturer, and where the manufacturer 
producing the vehicles became independent no later than December 31, 
2010, is eligible for a conditional exemption from the greenhouse gas 
emission standards described in Sec.  86.1818-12 paragraphs (c) through 
(e).
    (2) Maintaining eligibility for exemption from greenhouse gas 
emission standards. To remain eligible for exemption under this 
paragraph (k) the manufacturer's average sales for the three most recent 
consecutive model years must remain below 5,000. If a manufacturer's 
average sales for the three most recent consecutive model years exceeds 
4999, the manufacturer will no longer be eligible for exemption and must 
meet applicable emission standards according to the provisions in this 
paragraph (k)(2).
    (i) If a manufacturer's average sales for three consecutive model 
years exceeds 4999, and if the increase in sales is the result of 
corporate acquisitions, mergers, or purchase by another manufacturer, 
the manufacturer shall comply with the emission standards described in 
Sec.  86.1818-12 paragraphs (c) through (e), as applicable, beginning 
with the first model year after the last year of the three consecutive 
model years.
    (ii) If a manufacturer's average sales for three consecutive model 
years exceeds 4999 and is less than 50,000, and if the increase in sales 
is solely the result of the manufacturer's expansion in vehicle 
production, the manufacturer shall comply with the emission standards 
described in Sec.  86.1818-12 paragraphs (c) through (e), as applicable, 
beginning with the second model year after the last year of the three 
consecutive model years.
    (iii) If a manufacturer's average sales for three consecutive model 
years exceeds 49,999, the manufacturer shall comply with the emission 
standards described in Sec.  86.1818-12 paragraphs (c) through (e), as 
applicable, beginning with the first model year after the last year of 
the three consecutive model years.
    (3) Requesting the conditional exemption from standards. To be 
exempted from the standards described in Sec.  86.1818-12(c) through 
(e), the manufacturer must submit a declaration to EPA containing a 
detailed written description of how the manufacturer qualifies under the 
provisions of this paragraph (k). The declaration must describe 
eligibility information that includes the following: model year 2008 and 
2009 sales, sales volumes for each of the most recent three model years, 
detailed information regarding ownership relationships with other 
manufacturers, details regarding the application of the provisions of 
Sec.  86.1838-01(b)(3) regarding the aggregation of sales of related 
companies, and documentation of good-faith efforts made by the 
manufacturer to purchase credits from other manufacturers. This 
declaration must be signed by a chief officer of the company, and must 
be made prior to each model year for which the exemption is requested. 
The declaration must be submitted to EPA at least 30 days prior to the 
introduction into commerce of any vehicles for each model year for which 
the exemption is requested, but not later than December of the calendar 
year prior to the model year for which exemption is requested. A 
conditional exemption will be granted when EPA approves the exemption 
declaration. The declaration must be sent to the Environmental 
Protection Agency at the following address: Director, Compliance and 
Innovative Strategies Division, U.S. Environmental Protection Agency, 
2000 Traverwood Drive, Ann Arbor, Michigan 48105.

[75 FR 25682, May 7, 2010, as amended at 76 FR 19873, Apr. 8, 2011; 77 
FR 63155, Oct. 15, 2012; 79 FR 23706, Apr. 28, 2014; 80 FR 9104, Feb. 
19, 2015; 81 FR 73982, Oct. 25, 2016]



Sec.  86.1802-01  Section numbering; construction.

    (a) Section numbering. The model year of initial applicability is 
indicated by the section number. The two digits following the hyphen 
designate the first model year for which a section is applicable. The 
section continues to apply to subsequent model years unless a later 
model year section is adopted. Example: Section 86.18xx-10 applies to 
model year 2010 and later vehicles. If a Sec.  86.18xx-17 is 
promulgated, it would apply beginning with the 2017 model year; Sec.  
86.18xx-10 would apply only to model years 2010 through 2016, except as 
specified in Sec.  86.18xx-17.

[[Page 886]]

    (b) A section reference without a model year suffix refers to the 
section applicable for the appropriate model year.
    (c) If a regulation in this subpart references a section that has 
been superseded or no longer exists, this should be understood as a 
reference to the same section for the appropriate model year. For 
example, if a regulation in this subpart refers to Sec.  86.1845-01, it 
should be taken as a reference to Sec.  86.1845-04 or any later version 
of Sec.  86.1845 that applies for the appropriate model year. However, 
this does not apply if the reference to a superseded section 
specifically states that the older provision applies instead of any 
updated provisions from the section in effect for the current model 
year; this occurs most often as part of the transition to new emission 
standards.

[81 FR 73982, Oct. 25, 2016]



Sec.  86.1803-01  Definitions.

    The following definitions apply to this subpart:
    505 Cycle means the test cycle that consists of the first 505 
seconds (seconds 1 to 505) of the EPA Urban Dynamometer Driving 
Schedule, described in Sec.  86.115-00 and listed in appendix I, 
paragraph (a), of this part.
    866 Cycle means the test cycle that consists of the last 866 seconds 
(seconds 506 to 1372) of the EPA Urban Dynamometer Driving Schedule, 
described in Sec.  86.115-00 and listed in appendix I, paragraph (a), of 
this part.
    Abnormally treated vehicle means any diesel light-duty vehicle or 
diesel light-duty truck that is operated for less than five miles in a 
30 day period immediately prior to conducting a particulate emissions 
test.
    AC1 means a test procedure as described in Sec.  86.162-00 which 
simulates testing with air conditioning operating in an environmental 
test cell by adding the air conditioning compressor load to the normal 
dynamometer forces.
    AC2 means a test procedure as described in Sec.  86.162-00 which 
simulates testing with air conditioning operating in an environmental 
test cell by adding a heat load to the passenger compartment.
    Accuracy means the difference between a measurement and true value.
    Act means Part A of Title II of the Clean Air Act as amended, 42 
U.S.C., 7401, et seq.
    Adjusted Loaded Vehicle Weight means the numerical average of 
vehicle curb weight and gross vehicle weight rating (GVWR).
    Administrator means the Administrator of the Environmental 
Protection Agency or his/her authorized representative.
    Air Conditioning Idle Test means the test procedure specified in 
Sec.  86.165-12.
    Air conditioning system means a unique combination of air 
conditioning and climate control components, including: compressor type 
(e.g., belt, gear, or electric-driven, or a combination of compressor 
drive mechanisms); compressor refrigerant capacity; the number and type 
of rigid pipe and flexible hose connections; the number of high side 
service ports; the number of low side service ports; the number of 
switches, transducers, and expansion valves; the number of TXV 
refrigerant control devices; the number and type of heat exchangers, 
mufflers, receiver/dryers, and accumulators; and the length and type of 
flexible hose (e.g., rubber, standard barrier or veneer, ultra-low 
permeation).
    Alternative fuels means any fuel other than gasoline and diesel 
fuels, such as methanol, ethanol, and gaseous fuels.
    Ambulance means a vehicle used for emergency medical care that 
provides all of the following:
    (1) A driver's compartment.
    (2) A patient compartment to accommodate an emergency medical 
services provider and one patient located on the primary cot so 
positioned that the primary patient can be given intensive life-support 
during transit.
    (3) Equipment and supplies for emergency care at the scene as well 
as during transport.
    (4) Safety, comfort, and avoidance of aggravation of the patient's 
injury or illness.
    (5) Two-way radio communication.
    (6) Audible and visual traffic warning devices.
    Approach angle means the smallest angle in a plan side view of an 
automobile, formed by the level surface on which the automobile is 
standing and a line tangent to the front tire static

[[Page 887]]

loaded radius arc and touching the underside of the automobile forward 
of the front tire.
    As-received condition means the condition of an in-use vehicle 
procured for emission testing required by this subpart upon which no 
adjustments, maintenance, or component replacement has occurred 
subsequent to the vehicle's last routine operation by the vehicle's 
owner, lessee, or operator prior to procurement.
    Auxiliary Emission Control Device (AECD) means any element of design 
which senses temperature, vehicle speed, engine RPM, transmission gear, 
manifold vacuum, or any other parameter for the purpose of activating, 
modulating, delaying, or deactivating the operation of any part of the 
emission control system.
    Averaging for chassis-bases heavy-duty vehicles means the exchange 
of NOX emission credits among test groups within a given 
manufacturer's product line.
    Averaging set means a category or subcategory of vehicles within 
which test groups can average and trade emission credits with one 
another.
    Axle clearance means the vertical distance from the level surface on 
which an automobile is standing to the lowest point on the axle 
differential of the automobile.
    Banking means one of the following:
    (1) The retention of NOX emission credits for complete 
heavy-duty vehicles by the manufacturer generating the emission credits, 
for use in future model year certification programs as permitted by 
regulation.
    (2) The retention of cold temperature non-methane hydrocarbon (NMHC) 
emission credits for light-duty vehicles, light-duty trucks, and medium-
duty passenger vehicles by the manufacturer generating the emission 
credits, for use in future model year certification programs as 
permitted by regulation.
    (3) The retention of NOX emission credits for light-duty 
vehicles, light-duty trucks, and medium-duty passenger vehicles for use 
in future model year certification programs as permitted by regulation.
    (4) The retention of CO2 emission credits for light-duty 
vehicles, light-duty trucks, and medium-duty passenger vehicles for use 
in future model year certification programs as permitted by regulation.
    Base level has the meaning given in 40 CFR 600.002 for LDV, LDT, and 
MDPV. See Sec.  86.1819-14 for heavy-duty vehicles.
    Base tire has the meaning given in 40 CFR 600.002 for LDV, LDT, and 
MDPV.
    Base vehicle has the meaning given in 40 CFR 600.002 for LDV, LDT, 
and MDPV.
    Basic engine has the meaning given in 40 CFR 600.002.
    Basic vehicle frontal area means the area enclosed by the geometric 
projection of the basic vehicle along the longitudinal axis, which 
includes tires but excludes mirrors and air deflectors, onto a plane 
perpendicular to the longitudinal axis of the vehicle.
    Bi-directional control means the capability of a diagnostic tool to 
send messages on the data bus that temporarily overrides the module's 
control over a sensor or actuator and gives control to the diagnostic 
tool operator. Bi-directional controls do not create permanent changes 
to engine or component calibrations.
    Bin or emission bin means a set of emission standards applicable to 
exhaust pollutants measured on the Federal Test Procedure (FTP). A bin 
is equivalent to a horizontal row of FTP standards in Tables S04-1 and 
S04-2 shown in this subpart. Manufacturers are generally free to choose 
the bin of standards that will apply to a certain test group of 
vehicles, provided that on a sales weighted average of those bins, all 
of their vehicles meet a specified fleet average standard for a 
particular pollutant.
    Body style means a level of commonality in vehicle construction as 
defined by number of doors and roof treatment (e.g., sedan, convertible, 
fastback, hatchback).
    Body type means a name denoting a group of vehicles that are either 
in the same car line or in different car lines provided the only reason 
the vehicles qualify to be considered in different car lines is that 
they are produced by a separate division of a single manufacturer.
    Breakover angle means the supplement of the largest angle, in the 
plan

[[Page 888]]

side view of an automobile, that can be formed by two lines tangent to 
the front and rear static loaded radii arcs and intersecting at a point 
on the underside of the automobile.
    Cab-complete vehicle means a heavy-duty vehicle that is first sold 
as an incomplete vehicle that substantially includes its cab. Vehicles 
known commercially as chassis-cabs, cab-chassis, box-deletes, bed-
deletes, cut-away vans are considered cab-complete vehicles. For 
purposes of this definition, a cab includes a steering column and 
passenger compartment. Note that a vehicle lacking some components of 
the cab is a cab-complete vehicle if it substantially includes the cab.
    Calibration means the set of specifications, including tolerances, 
unique to a particular design, version, or application of a component or 
components assembly capable of functionally describing its operation 
over its working range.
    Calibration gas means a gas of known concentration which is used to 
establish the response curve of an analyzer.
    CalLEV II or California LEV II refers to California's second phase 
of its low emission vehicle (LEV) program. This program was adopted at 
the hearing of the California Air Resources Board held on November 5, 
1998 and became effective on November 27, 1999.
    Candidate in-use vehicle means an in-use vehicle which would be 
eligible to participate in the in-use verification program in accordance 
with Sec.  86.1845-01.
    Carbon-related exhaust emissions (CREE) has the meaning given in 40 
CFR 600.002 for LDV, LDT, and MDPV.
    Car line means a name denoting a group of vehicles within a make or 
car division which has a degree of commonality in construction (e.g., 
body, chassis). Car line does not consider any level of decor or 
opulence and is not generally distinguished by characteristics as 
roofline, number of doors, seats, or windows except for station wagons 
or light-duty trucks. Station wagons, light-duty trucks, and complete 
heavy-duty vehicles are considered to be different car lines than 
passenger cars.
    Class 2b means relating to heavy-duty vehicles at or below 10,000 
pounds GVWR.
    Class 3 means relating to heavy-duty vehicles above 10,000 pounds 
GVWR and at or below 14,000 pounds GVWR.
    Combined CO2 means the CO2 value determined for a vehicle 
(or vehicles) by averaging the city and highway CO2 values, 
weighted 0.55 and 0.45 respectively.
    Combined CREE means the CREE value determined for a vehicle (or 
vehicles) by averaging the city and highway fuel CREE values, weighted 
0.55 and 0.45 respectively.
    Configuration means one of the following:
    (1) For LDV, LDT, and MDPV, configuration means a subclassification 
within a test group which is based on engine code, inertia weight class, 
transmission type and gear ratios, final drive ratio, and other 
parameters which may be designated by the Administrator.
    (2) For HDV, configuration has the meaning given in Sec.  86.1819-
14(d)(12).
    Conveniently available service facility and spare parts for small-
volume manufacturers means that the vehicle manufacturer has a qualified 
service facility at or near the authorized point of sale or delivery of 
its vehicles and maintains an inventory of all emission-related spare 
parts or has made arrangements for the part manufacturers to supply the 
parts by expedited shipment (e.g., utilizing overnight express delivery 
service, UPS, etc.).
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any portion of the engine crankcase ventilation or 
lubrication systems.
    Critical emission-related components are those components which are 
designed primarily for emission control, or whose failure may result in 
a significant increase in emissions accompanied by no significant 
impairment (or perhaps even an improvement) in performance, 
driveability, and/or fuel economy as determined by the Administrator.
    Critical emission-related maintenance means that maintenance to be 
performed on critical emission-related components.
    Curb weight means the actual or the manufacturer's estimated weight 
of the vehicle in operational status with all

[[Page 889]]

standard equipment, and weight of fuel at nominal tank capacity, and the 
weight of optional equipment computed in accordance with Sec.  86.1832-
01; incomplete light-duty trucks shall have the curb weight specified by 
the manufacturer.
    Curb-idle means, for manual transmission code motor vehicles, the 
engine speed with the transmission in neutral or with the clutch 
disengaged and with the air conditioning system, if present, turned off. 
For automatic transmission code motor vehicles, curb-idle means the 
engine speed with the automatic transmission in the park position (or 
neutral position if there is no park position), and with the air 
conditioning system, if present, turned off.
    Data stream information means information (i.e., messages and 
parameters) originated within the vehicle by a module or intelligent 
sensors (i.e., a sensor that contains and is controlled by its own 
module) and transmitted between a network of modules and/or intelligent 
sensors connected in parallel with either one or two communication 
wires. The information is broadcast over the communication wires for use 
by other modules (e.g., chassis, transmission, etc.) to conduct normal 
vehicle operation or for use by diagnostic tools. Data stream 
information does not include engine calibration related information.
    Dedicated vehicle means any motor vehicle engineered and designed to 
be operated using a single fuel. Flexible fuel vehicles and multi-fuel 
vehicles are not dedicated vehicles.
    Defeat device means an auxiliary emission control device (AECD) that 
reduces the effectiveness of the emission control system under 
conditions which may reasonably be expected to be encountered in normal 
vehicle operation and use, unless:
    (1) Such conditions are substantially included in the Federal 
emission test procedure;
    (2) The need for the AECD is justified in terms of protecting the 
vehicle against damage or accident;
    (3) The AECD does not go beyond the requirements of engine starting; 
or
    (4) The AECD applies only for emergency vehicles and the need is 
justified in terms of preventing the vehicle from losing speed, torque, 
or power due to abnormal conditions of the emission control system, or 
in terms of preventing such abnormal conditions from occurring, during 
operation related to emergency response. Examples of such abnormal 
conditions may include excessive exhaust backpressure from an overloaded 
particulate trap, and running out of diesel exhaust fluid for engines 
that rely on urea-based selective catalytic reduction.
    Departure angle means the smallest angle, in a plan side view of a 
motor vehicle, formed by the level surface on which the motor vehicle is 
standing and a line tangent to the rear tire static loaded radius arc 
and touching the underside of the motor vehicle rearward of the rear 
tire.
    Diesel means a type of engine with operating characteristics 
significantly similar to the theoretical Diesel combustion cycle. The 
non-use of a throttle during normal operation is indicative of a diesel 
engine.
    Diesel exhaust fluid (DEF) means a liquid reducing agent (other than 
the engine fuel) used in conjunction with selective catalytic reduction 
to reduce NOX emissions. Diesel exhaust fluid is generally 
understood to be an aqueous solution of urea conforming to the 
specifications of ISO 22241.
    Dispensed fuel temperature means the temperature (deg. F or deg. C 
may be used) of the fuel being dispensed into the tank of the test 
vehicle during a refueling test.
    Diurnal breathing losses means diurnal emissions.
    Diurnal emissions means evaporative emissions resulting from the 
daily cycling of ambient temperatures.
    Drive train configuration means a unique combination of engine code, 
transmission configuration, and axle ratio.
    Dual fuel vehicle means any motor vehicle engineered and designed to 
be operated on two different fuels, but not on a mixture of the fuels.
    Durability data vehicle means a vehicle used to generate durability 
data as required in this subpart.
    Durability group means the basic classification unit of a 
manufacturer's

[[Page 890]]

product line used for the purpose of selecting a vehicle configuration 
to demonstrate durability and predict deterioration in accordance with 
Sec.  86.1822-01.
    Durability useful life means the highest useful life mileage out of 
the set of all useful life mileages that apply to a given vehicle. The 
durability useful life determines the duration of service accumulation 
on a durability data vehicle. The determination of durability useful 
life shall reflect any light-duty truck or complete heavy-duty vehicle 
alternative useful life periods approved by the Administrator under 
Sec.  86.1805-01(c). The determination of durability useful life shall 
exclude any standard and related useful life mileage for which the 
manufacturer has obtained a waiver of emission data submission 
requirements under Sec.  86.1829-01.
    Electric vehicle means a motor vehicle that is powered solely by an 
electric motor drawing current from a rechargeable energy storage 
system, such as from storage batteries or other portable electrical 
energy storage devices, including hydrogen fuel cells, provided that:
    (1) The vehicle is capable of drawing recharge energy from a source 
off the vehicle, such as residential electric service; and
    (2) The vehicle must be certified to the emission standards of Bin 
1 of Table S04-1 in Sec.  86.1811-09(c)(6).
    (3) The vehicle does not have an onboard combustion engine/generator 
system as a means of providing electrical energy.
    Element of design means any control system (i.e., computer software, 
electronic control system, emission control system, computer logic), 
and/or control system calibrations, and/or the results of systems 
interaction, and/ or hardware items on a motor vehicle or motor vehicle 
engine.
    Emergency vehicle means one of the following:
    (1) For the greenhouse gas emission standards in Sec.  86.1818, 
emergency vehicle means a motor vehicle manufactured primarily for use 
as an ambulance or combination ambulance-hearse or for use by the United 
States Government or a State or local government for law enforcement.
    (2) For the OBD requirements in Sec.  86.1806, emergency vehicle 
means a motor vehicle manufactured primarily for use in medical response 
or for use by the U.S. Government or a State or local government for law 
enforcement or fire protection.
    (3) For other provisions under this subpart, emergency vehicle means 
a motor vehicle that is either--
    (i) An ambulance or a fire truck; or
    (ii) A vehicle that we have determined will likely be used in 
emergency situations where emission control function or malfunction may 
cause a significant risk to human life. For example, we would consider a 
pickup truck that is certain to be retrofitted with a slip-on 
firefighting module to be an emergency vehicle, even though it was not 
initially designed to be a fire truck. Also, a mobile command center 
that is unable to manually regenerate its DPF while on duty could be an 
emergency vehicle. In making this determination, we may consider any 
factor that has an effect on the totality of the actual risk to human 
life. For example, we may consider how frequently a vehicle will be used 
in emergency situations or how likely it is that the emission controls 
will cause a significant risk to human life when the vehicle is used in 
emergency situations. We would not consider the pickup truck in the 
example above to be an emergency vehicle if there is merely a 
possibility (rather than a certainty) that the vehicle will be 
retrofitted with a slip-on firefighting module.
    Emission control system is a unique group of emission control 
devices, auxiliary emission control devices, engine modifications and 
strategies, and other elements of design designated by the Administrator 
used to control exhaust emissions of a vehicle.
    Emission credits mean the amount of emission reductions or 
exceedances, by a complete heavy-duty vehicle test group, below or above 
the emission standard, respectively. Emission credits below the standard 
are considered as ``positive credits,'' while emission credits above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission

[[Page 891]]

credits based on the projected U.S. production volume of the test group. 
``Reserved credits'' are emission credits generated within a model year 
waiting to be reported to EPA at the end of the model year. ``Actual 
credits'' refer to emission credits based on actual U.S. production 
volumes as contained in the end-of-year reports submitted to EPA. Some 
or all of these credits may be revoked if EPA review of the end of year 
reports or any subsequent audit actions uncover problems or errors.
    Emission-related component means any component which can affect 
emissions.
    Emission-related maintenance means that maintenance which does 
substantially affect emissions or which is likely to affect the 
emissions deterioration of the vehicle during normal in-use operation, 
even if the maintenance is performed at some time other than that which 
is recommended.
    Engine code means one of the following:
    (1) For LDV, LDT, and MDPV, engine code means a unique combination 
within a test group of displacement, fuel injection (or carburetor) 
calibration, choke calibration, distributor calibration, auxiliary 
emission control devices, and other engine and emission control system 
components specified by the Administrator. For electric vehicles, engine 
code means a unique combination of manufacturer, electric traction 
motor, motor configuration, motor controller, and energy storage device.
    (2) For HDV, engine code has the meaning given in Sec.  86.1819-
14(d)(12).
    Engine warm-up cycle means sufficient vehicle operation such that 
the coolant temperature has risen by at least 40 deg. F from engine 
starting and reaches a minimum temperature of 160 deg. F.
    Environmental test cell means a test cell capable of wind-speed, 
solar thermal load, ambient temperature, and humidity control or 
simulation which meets the requirements of Sec.  86.161-00 for running 
emission tests with the air conditioning operating.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator (or by his/her designee).
    Equivalent test weight means the weight, within an inertia weight 
class, which is used in the dynamometer testing of a vehicle and which 
is based on its loaded vehicle weight or adjusted loaded vehicle weight 
in accordance with the provisions of this part.
    Ethanol-fueled vehicle means any motor vehicle or motor vehicle 
engine that is engineered and designed to be operated using ethanol fuel 
(i.e., a fuel that contains at least 50 percent ethanol 
(C2H5OH) by volume) as fuel.
    Evaporative emissions means hydrocarbons emitted into the atmosphere 
from a motor vehicle, other than exhaust and crankcase emissions.
    Evaporative/refueling control system means a unique combination 
within an evaporative/refueling family of canister adsorptive material, 
purge system configuration, purge strategy, and other parameters 
determined by the Administrator to affect evaporative and refueling 
emission control system durability or deterioration factors.
    Evaporative/refueling emission code means a unique combination, in 
an evaporative/refueling family-evaporative emission control system 
combination, of purge system calibrations, fuel tank and carburetor bowl 
vent calibrations and other fuel system and evaporative emission control 
system components and calibrations specified by the Administrator.
    Evaporative/refueling family means the basic classification unit of 
a manufacturers' product line used for the purpose of evaporative and 
refueling emissions test fleet selection and determined in accordance 
with Sec.  86.1821-01.
    Evaporative/refueling vehicle configuration means a unique 
combination of basic engine, engine code, body type, and evaporative 
emission code.
    Exhaust emissions means substances emitted to the atmosphere from 
any opening downstream from the exhaust port of a motor vehicle engine.
    Exhaust gas recirculation valve means a device which directs a 
portion of the exhaust gas into the intake air stream for the purpose of 
controlling emissions.
    Family emission limit (FEL) means a bin standard or emission level 
selected by the manufacturer that serves as the applicable emission 
standard for the

[[Page 892]]

vehicles in the family or test group in the context of fleet-average 
standards or emission credits.
    Federal Test Procedure has the meaning given in 40 CFR 
1066.801(c)(1)(i).
    Fire truck means a vehicle designed to be used under emergency 
conditions to transport personnel and equipment and to support the 
suppression of fires and mitigation of other hazardous situations.
    Fixed liquid level gauge means a type of liquid level gauge used on 
liquefied petroleum gas-fueled vehicles which uses a relatively small 
positive shutoff valve and is designed to indicate when the liquid level 
in the fuel tank being filled reaches the proper fill level. The venting 
of fuel vapor and/or liquid fuel to the atmosphere during the refueling 
event is generally associated with the use of the fixed liquid level 
gauge.
    Fleet average cold temperature NMHC standard means, for light-duty 
vehicles, light-duty trucks and medium-duty passenger vehicles, an NMHC 
cold temperature standard imposed over an individual manufacturer's 
total 50-State U.S. sales (or a fraction of total U.S. sales during 
phase-in years), as ``U.S. sales'' is defined to include all national 
sales, including points-of-first sale in California, of a given model 
year. Manufacturers determine their compliance with such a standard by 
averaging, on a sales-weighted basis, the individual NMHC ``Family 
Emission Limits'' (FEL--as defined in this subpart) to which light-duty 
vehicles, light-duty trucks and medium-duty passenger vehicles were 
certified and sold for that model year.
    Fleet average NOX standard means, for light-duty vehicles, light-
duty trucks and medium-duty passenger vehicles, a NOX 
standard imposed over an individual manufacturer's total U.S. sales (or 
a fraction of total U.S. sales during phase-in years), as `U.S. sales' 
is defined in this subpart, of a given model year. Manufacturers 
determine their compliance with such a standard by averaging, on a sales 
weighted basis, the individual NOX standards they choose for 
the fleet of light-duty vehicles, light-duty trucks and medium-duty 
passenger vehicles they sell of that model year.
    Flexible fuel vehicle means any motor vehicle engineered and 
designed to be operated on a petroleum fuel and on a methanol or ethanol 
fuel, or any mixture of the petroleum fuel and methanol or ethanol. 
Methanol-fueled and ethanol-fueled vehicles that are only marginally 
functional when using gasoline (e.g., the engine has a drop in rated 
horsepower of more than 80 percent) are not flexible fuel vehicles.
    Footprint is the product of average track width (rounded to the 
nearest tenth of an inch) and wheelbase (measured in inches and rounded 
to the nearest tenth of an inch), divided by 144 and then rounded to the 
nearest tenth of a square foot, where the average track width is the 
average of the front and rear track widths, where each is measured in 
inches and rounded to the nearest tenth of an inch.
    Fuel cell vehicle means an electric vehicle propelled solely by an 
electric motor where energy for the motor is supplied by an 
electrochemical cell that produces electricity via the non-combustion 
reaction of a consumable fuel, typically hydrogen.
    Fuel system means the combination of fuel tank(s), fuel pump, fuel 
lines, and carburetor or fuel injection components, and includes all 
fuel system vents and fuel evaporative emission control system 
components.
    Full size pickup truck means a light truck which has a passenger 
compartment and an open cargo box and which meets the following 
specifications:
    (1) A minimum cargo bed width between the wheelhouses of 48 inches, 
measured as the minimum lateral distance between the limiting 
interferences (pass-through) of the wheelhouses. The measurement shall 
exclude the transitional arc, local protrusions, and depressions or 
pockets, if present. An open cargo box means a vehicle where the cargo 
box does not have a permanent roof or cover. Vehicles produced with 
detachable covers are considered ``open'' for the purposes of these 
criteria.
    (2) A minimum open cargo box length of 60 inches, where the length 
is defined by the lesser of the pickup bed length at the top of the body 
or the pickup bed length at the floor, where the length at the top of 
the body is defined

[[Page 893]]

as the longitudinal distance from the inside front of the pickup bed to 
the inside of the closed endgate as measured at the height of the top of 
the open pickup bed along vehicle centerline, and the length at the 
floor is defined as the longitudinal distance from the inside front of 
the pickup bed to the inside of the closed endgate as measured at the 
cargo floor surface along vehicle centerline.
    (3)(i) A minimum towing capability of 5,000 pounds, where minimum 
towing capability is determined by subtracting the gross vehicle weight 
rating from the gross combined weight rating; or
    (ii) A minimum payload capability of 1,700 pounds, where minimum 
payload capability is determined by subtracting the curb weight from the 
gross vehicle weight rating.
    Gaseous fuel means natural gas or liquefied petroleum gas.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    Gross combination weight rating (GCWR) means the value specified by 
the vehicle manufacturer as the maximum weight of a loaded vehicle and 
trailer, consistent with good engineering judgment.
    Gross vehicle weight means the manufacturer's gross weight rating 
for the individual vehicle.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the maximum design loaded weight of a single vehicle, 
consistent with good engineering judgment.
    Hang-up refers to the process of hydrocarbon molecules being 
adsorbed, condensed, or by any other method removed from the sample flow 
prior to reaching the instrument detector. It also refers to any 
subsequent desorption of the molecules into the sample flow when they 
are assumed to be absent.
    Heating degree day means the number of degrees per day the daily 
average temperature is below 65 degrees Fahrenheit. The daily average 
temperature is the mean of the maximum and minimum temperature for a 24-
hour period. The annual heating degree day value is derived by summing 
the daily heating degree days over a calendar year period.
    Heavy light-duty truck means any light-duty truck rated greater than 
6000 lbs GVWR. The LDT3 and LDT4 classifications comprise the heavy 
light-duty truck category.
    Heavy-duty engine means any engine which the engine manufacturer 
could reasonably expect to be used for motive power in a heavy-duty 
vehicle.
    Heavy-duty vehicle means any motor vehicle rated at more than 8,500 
pounds GVWR or that has a vehicle curb weight of more than 6,000 pounds 
or that has a basic vehicle frontal area in excess of 45 square feet. 
Note that MDPVs are heavy-duty vehicles that are in many cases subject 
to requirements that apply for light-duty trucks.
    High altitude means any elevation over 1,219 meters (4,000 feet).
    High-altitude conditions means a test altitude of 1,620 meters 
(5,315 feet), plus or minus 100 meters (328 feet), or equivalent 
observed barometric test conditions of 83.3 kPa (24.2 inches Hg) plus or 
minus 1 kPa (0.30 Hg).
    Highway Fuel Economy Test Procedure (HFET) has the meaning given in 
40 CFR 1066.801(c)(3).
    Hot-soak emissions and Hot-soak losses means evaporative emissions 
after termination of engine operation.
    Hybrid electric vehicle (HEV) means a motor vehicle which draws 
propulsion energy from onboard sources of stored energy that are both an 
internal combustion engine or heat engine using consumable fuel, and a 
rechargeable energy storage system such as a battery, capacitor, 
hydraulic accumulator, or flywheel. This includes plug-in hybrid 
electric vehicles.
    Indirect information means any information that is not specifically 
contained in the service literature, but is contained in items such as 
tools or equipment provided to franchised dealers (or others).
    Inertia weight class means the class, which is a group of equivalent 
test weights, into which a vehicle is grouped based on its test weight 
basis in accordance with the provisions of this part 86.
    Integrated refueling emission control system means a system where 
vapors resulting from refueling are stored in a

[[Page 894]]

common vapor storage unit(s) with other evaporative emissions of the 
vehicle and are purged through a common purge system.
    Interim non-Tier 2 vehicle, interim non-Tier 2 LDV/LLDT, interim 
non-Tier 2 HLDT/MDPV, or interim vehicle refer to 2004 or later model 
year light-duty vehicles, light-duty trucks or MDPVs, or a specific 
combination thereof, not certified to Tier 2 FTP exhaust emission 
standards during the Tier 2 phase-in period. Model year 2004 HLDTs 
belonging to test groups whose model year commences before December 21, 
2003, are not interim non-Tier 2 HLDTs unless their manufacturer chooses 
to comply with the interim requirements applicable to HLDTs for all of 
its 2004 model year HLDTs as permitted in this subpart. Similarly 2004 
model year heavy-duty vehicles whose model year commences before 
December 21, 2003, are not interim non-Tier 2 MDPVs unless their 
manufacturer chooses to comply with the interim requirements applicable 
to MDPVs for all of its 2004 model year MDPVs as permitted in this 
subpart. The terms interim non-Tier 2 vehicle, interim non-Tier 2 LDV, 
interim non-Tier 2 LDT, interim non-Tier 2 HLDT, interim non-Tier 2 
MDPV, etc. have the same meaning without the words ``non-Tier 2''.
    Interior volume index has the meaning given in Sec.  600.315-08 of 
this chapter.
    Intermediary means any individual or entity, other than a 
manufacturer, which provides service or equipment to automotive 
technicians.
    Intermediate temperature cold testing means testing done pursuant to 
the driving cycle and testing conditions contained in subpart C of this 
part, at temperatures between 25 deg.F (-4 deg. C) and 68 deg. F (20 
deg. C).
    In-use vehicle means a customer owned and operated vehicle which is 
not under the control of the manufacturer, dealerships or their agents. 
Leased vehicles will be considered in-use vehicles for the purpose of 
this subpart if the vehicles meet the criteria specified in Sec.  
86.1845-01.
    In-use verification program (IUVP) means the testing program 
conducted by manufacturers which gathers in-use emission data in 
accordance with Sec.  86.1848-01.
    LDV/T means light-duty vehicles and light-duty trucks collectively, 
without regard to category.
    LEV III means relating to the LEV III emission standards in Title 
13, Sec. Sec.  1961.2 and 1976 of the California Code of Regulations, as 
adopted by the California Air Resources Board (incorporated by reference 
in Sec.  86.1).
    Light light-duty truck means any light-duty truck rated up through 
6000 lbs GVWR. The LDT1 and LDT2 classifications compose the light 
light-duty truck category.
    Light-duty truck means any motor vehicle rated at 8,500 pounds GVWR 
or less which has a curb weight of 6,000 pounds or less and which has a 
basic vehicle frontal area of 45 square feet or less, which is:
    (1) Designed primarily for purposes of transportation of property or 
is a derivation of such a vehicle; or
    (2) Designed primarily for transportation of persons and has a 
capacity of more than 12 persons; or
    (3) Available with special features enabling off-street or off-
highway operation and use.
    Light-duty truck 1 (LDT1) means any light light-duty truck up 
through 3750 lbs loaded vehicle weight.
    Light-duty truck 2 (LDT2) means any light light-duty truck greater 
than 3750 lbs loaded vehicle weight.
    Light-duty truck 3 (LDT3) means any heavy light-duty truck up 
through 5750 lbs adjusted loaded vehicle weight.
    Light-duty truck 4 (LDT4) means any heavy light-duty truck greater 
than 5750 lbs adjusted loaded vehicle weight.
    Light-duty vehicle means a passenger car or passenger car derivative 
capable of seating 12 passengers or less.
    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.
    Loaded vehicle weight means the vehicle's curb weight plus 300 
pounds.
    Low altitude means any elevation equal to or less than 1,219 meters 
(4,000 feet).
    Low-altitude conditions means a test altitude less than 549 meters 
(1,800 feet).

[[Page 895]]

    Malfunction means not operating according to specifications (e.g., 
those specifications listed in the certification application).
    Medium-duty passenger vehicle (MDPV) means any heavy-duty vehicle 
(as defined in this subpart) with a gross vehicle weight rating (GVWR) 
of less than 10,000 pounds that is designed primarily for the 
transportation of persons. The MDPV definition does not include any 
vehicle which:
    (1) Is an ``incomplete truck'' as defined in this subpart; or
    (2) Has a seating capacity of more than 12 persons; or
    (3) Is designed for more than 9 persons in seating rearward of the 
driver's seat; or
    (4) Is equipped with an open cargo area (for example, a pick-up 
truck box or bed) of 72.0 inches in interior length or more. A covered 
box not readily accessible from the passenger compartment will be 
considered an open cargo area for purposes of this definition.
    Methanol-fueled vehicle means any motor vehicle or motor vehicle 
engine that is engineered and designed to be operated using methanol 
fuel (i.e., a fuel that contains at least 50 percent methanol (CH3OH) by 
volume) as fuel. Model means a specific combination of car line, body 
style, and drivetrain configuration.
    Mild hybrid electric vehicle means a hybrid electric vehicle that 
has start/stop capability and regenerative braking capability, where the 
recovered energy over the Federal Test Procedure is at least 15 percent 
but less than 65 percent of the total braking energy, as measured and 
calculated according to 40 CFR 600.116-12(d).
    Model type has the meaning given in 40 CFR 600.002 for LDV, LDT, and 
MDPV.
    Model year means the manufacturer's annual production period (as 
determined by the Administrator) which includes January 1 of such 
calendar year: Provided that if the manufacturer has no annual 
production period, the term ``model year'' shall mean the calendar year.
    Motor vehicle has the meaning given in Sec.  85.1703 of this 
chapter.
    Multi-fuel means capable of operating on two or more different fuel 
types, either separately or simultaneously.
    Multi-fuel vehicle means any motor vehicle capable of operating on 
two or more different fuel types, either separately or simultaneously.
    Natural gas means a fuel whose primary constituent is methane.
    Nominal fuel tank capacity means the volume of the fuel tank(s), 
specified by the manufacturer to the nearest tenth of a U.S. gallon, 
which may be filled with fuel from the fuel tank filler inlet.
    Non-emission-related maintenance means that maintenance which does 
not substantially affect emissions and which does not have a lasting 
effect on the emissions deterioration of the vehicle or engine during 
normal in-use operation once the maintenance is performed.
    Non-integrated refueling emission control system means a system 
where fuel vapors from refueling are stored in a vapor storage unit 
assigned solely to the function of storing refueling vapors.
    Non-Methane Hydrocarbon Equivalent means the sum of the carbon mass 
emissions of non-oxygenated non-methane hydrocarbons, methanol, 
formaldehyde, or other organic compounds that are separately measured, 
expressed as gasoline-fueled vehicle hydrocarbons. In the case of 
exhaust emissions, the hydrogen-to-carbon ratio of the equivalent 
hydrocarbon is 1.85:1. In the case of diurnal and hot soak emissions, 
the hydrogen-to-carbon ratios of the equivalent hydrocarbons are 2.33:1 
and 2.2:1, respectively.
    Non-methane organic gases (NMOG) means the sum of oxygenated and 
non-oxygenated hydrocarbons contained in a gas sample as measured using 
the procedures described in 40 CFR 1066.635.
    Non-oxygenated hydrocarbon means organic emissions measured by a 
flame ionization detector, excluding methanol.
    N/V means the ratio of engine speed in revolutions per minute (rpm) 
to vehicle speed in miles per hour in the top transmission gear. At the 
manufacturer's option, either the 1:1 transmission gear ratio or the 
lowest numerical gear

[[Page 896]]

ratio available in the transmission will be used to determine N/V.
    Option, in the context of a vehicle design feature, means any 
available equipment or feature not standard equipment on a model.
    Original Equipment Manufacturer (OEM) means the manufacturer 
responsible for the design and production of a vehicle or component. 
This manufacturer will be fully knowledgeable of any production changes 
made to the design of the vehicle or component and shall be able to 
track the individual vehicles or component with regard to such 
production changes.
    Otto-cycle means type of engine with operating characteristics 
significantly similar to the theoretical Otto combustion cycle. The use 
of a throttle during normal operation is indicative of an Otto-cycle 
engine.
    Oxides of nitrogen means the sum of the nitric oxide and nitrogen 
dioxide contained in a gas sample as if the nitric oxide were in the 
form of nitrogen dioxide.
    Periodically regenerating trap oxidizer system means a trap oxidizer 
that utilizes, during normal driving conditions, an automated 
regeneration mode for cleaning the trap, the operation of which can be 
easily detected.
    Petroleum equivalency factor means the value specified in 10 CFR 
474.3(b), which incorporates the parameters listed in 49 U.S.C. 
32904(a)(2)(B) and is used to calculate petroleum-equivalent fuel 
economy.
    Petroleum-equivalent fuel economy means the value, expressed in 
miles per gallon, that is calculated for an electric vehicle in 
accordance with 10 CFR 474.3(a), and reported to the Administrator of 
the Environmental Protection Agency for use in determining the vehicle 
manufacturer's corporate average fuel economy.
    Petroleum fuel means liquid fuels normally derived from crude oil, 
excluding liquefied petroleum gas. Gasoline and diesel fuel are 
petroleum fuels.
    Petroleum-powered accessory means a vehicle accessory (e.g., a cabin 
heater, defroster, and/or air conditioner) that:
    (1) Uses gasoline or diesel fuel as its primary energy source; and
    (2) Meets the requirements for fuel, operation, and emissions in 
Sec.  88.104-94(g) of this chapter.
    Platform means a segment of an automobile manufacturer's vehicle 
fleet in which the vehicles have a degree of commonality in construction 
(primarily in terms of body and chassis design). Platform does not 
consider the model name, brand, marketing division, or level of decor or 
opulence, and is not generally distinguished by such characteristics as 
powertrain, roof line, number of doors, seats, or windows. A platform 
may include vehicles from various fuel economy classes, and may include 
light-duty vehicles, light-duty trucks, and medium-duty passenger 
vehicles.
    Plug-in hybrid electric vehicle (PHEV) means a hybrid electric 
vehicle that has the capability to charge the battery from an off-
vehicle electric source, such that the off-vehicle source cannot be 
connected to the vehicle while the vehicle is in motion.
    Point of first sale means the location where the completed vehicle 
is first purchased. This term is synonymous with final product purchase 
location. The point of first sale may be a retail customer, dealer, 
distributor, fleet operator, broker, secondary manufacturer, or any 
other entity which purchases a vehicle from a manufacturer. In cases 
where the end user purchases the completed vehicle directly from the 
manufacturer, the end user is the point of first sale.
    Precision means the standard deviation of replicated measurements.
    Production volume has the meaning given in 40 CFR 600.002.
    Proven emission control systems are emission control components or 
systems (and fuel metering systems) that have completed full durability 
testing evaluation over a vehicle's useful life in some other certified 
test group, or have completed bench or road testing demonstrated to be 
equal or more severe than certification mileage accumulation 
requirements. Alternatively, proven components or systems are those that 
are determined by EPA to be of comparable functional quality and 
manufactured using comparable materials and production techniques as 
components or systems which have

[[Page 897]]

been durability demonstrated in some other certified test group. In 
addition, the components or systems must be employed in an operating 
environment (e.g., temperature, exhaust flow, etc.,) similar to that 
experienced by the original or comparable components or systems in the 
original certified test group.
    Rated power means an engine's maximum power output in an installed 
configuration, as determined by using SAE J1349 (incorporated by 
reference in Sec.  86.1).
    Recall program means the program administered by the Agency under 
the authority of CAA section 207, and regulations in 40 CFR part 85.
    Reconfigured emission-data vehicle means an emission-data vehicle 
obtained by modifying a previously used emission-data vehicle to 
represent another emission-data vehicle.
    Refueling emissions means evaporative emissions that emanate from a 
motor vehicle fuel tank(s) during a refueling operation.
    Refueling emissions canister(s) means any vapor storage unit(s) that 
is exposed to the vapors generated during refueling.
    Resting losses means evaporative emissions that may occur 
continuously, that are not diurnal emissions, hot soak emissions, 
refueling emissions, running losses, or spitback emissions.
    Round (rounded, rounding) has the meaning given in 40 CFR 1065.1001, 
unless otherwise specified.
    Running change means a change to a vehicle or addition of a model 
which occurs after certification but during vehicle production.
    Running losses means evaporative emissions that occur during vehicle 
operation.
    SC03 means the test cycle, described in Sec.  86.160-00 and listed 
in appendix I, paragraph (h), of this part, which is designed to 
represent driving immediately following startup.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed on a periodic basis to prevent part failure or 
vehicle (if the engine were installed in a vehicle) malfunction, or 
anticipated as necessary from inspection to correct an overt indication 
of vehicle malfunction or failure for which periodic maintenance is not 
appropriate.
    Secondary air injection means a system whereby air (not ingested by 
the engine) is introduced into the exhaust system in front of a 
catalyst.
    Section 177 states means the states that have adopted California's 
motor vehicle standards for a particular model year under section 177 of 
the Clean Air Act (42 U.S.C. 7507).
    Similar emission control systems are engine, fuel metering and 
emission control system combinations which use the same fuel (e.g., 
gasoline, diesel, etc.), combustion cycle (e.g., two or four stroke), 
general type of fuel system (e.g., carburetor or fuel injection), 
catalyst system (e.g., none, oxidization, three-way plus oxidization, 
three-way only, etc.), fuel control system (e.g., feedback or non-
feedback), secondary air system (e.g., equipped or not equipped) and 
exhaust gas recirculation (EGR) (e.g., equipped or not equipped).
    Span gas means a gas of known concentration which is used routinely 
to set the output level of an analyzer.
    Special features enabling off-street or off-highway operation and 
use means a vehicle that has:
    (1) Four-wheel drive; and
    (2) At least four of the following characteristics calculated when 
the automobile is at curb weight, on a level surface, with the front 
wheels parallel to the vehicle's longitudinal centerline, and the tires 
inflated to the manufacturer's recommended pressure; approach angle of 
not less than 28 degrees, breakover angle of not less than 14 degrees, 
departure angle of not less than 20 degrees, running clearance of not 
less than 8 inches, and front and rear axle clearances of not less than 
7 inches each.
    Spitback emissions means evaporative emissions resulting from the 
loss of liquid fuel that is emitted from a vehicle during a fueling 
operation.
    Standard equipment means those features or equipment which are 
marketed on a vehicle over which the purchaser can exercise no choice.

[[Page 898]]

    Static loaded radius arc means a portion of a circle whose center is 
the center of a standard tire-rim combination of an automobile and whose 
radius is the distance from that center to the level surface on which 
the automobile is standing, measured with the automobile at curb weight, 
the wheel parallel to the vehicle's longitudinal centerline, and the 
tire inflated to the manufacturer's recommended pressure.
    Strong hybrid electric vehicle means a hybrid electric vehicle that 
has start/stop capability and regenerative braking capability, where the 
recovered energy over the Federal Test Procedure is at least 65 percent 
of the total braking energy, as measured and calculated according to 40 
CFR 600.116-12(d).
    Subconfiguration means one of the following:
    (1) For LDV, LDT, and MDPV, subconfiguration has the meaning given 
in 40 CFR 600.002.
    (2) For HDV, subconfiguration has the meaning given in Sec.  
86.1819-14(d)(12).
    Supplemental FTP (SFTP) means the additional test procedures 
designed to measure emissions during aggressive and microtransient 
driving, as described in Sec.  86.159-00 over the US06 cycle, and also 
the test procedure designed to measure urban driving emissions while the 
vehicle's air conditioning system is operating, as described in Sec.  
86.160-00 over the SC03 cycle.
    Tank fuel volume means the volume of fuel in the fuel tank(s), which 
is determined by taking the manufacturer's nominal fuel tank(s) capacity 
and multiplying by 0.40. The result is rounded to the nearest tenth of a 
U.S. gallon in accordance with the Rounding-Off Method specified in ASTM 
E29-93a, Standard Practice for Using Significant Digits in Test Data to 
Determine Conformance with Specifications (incorporated by reference; 
see Sec.  86.1)
    Test group means the basic classification unit within a durability 
group used for the purpose of demonstrating compliance with exhaust 
emission standards in accordance with Sec.  86.1841-01. The test group 
is also used as a classification unit for gathering in-use data for the 
In-Use Verification Program (IUVP) in accordance with Sec.  86.1848-01.
    Test weight basis means the basis on which equivalent test weight is 
determined in accordance with Sec.  86.129-00 of subpart B of this part.
    Throttle means a device used to control an engine's power output by 
limiting the amount of air entering the combustion chamber.
    Tier 2 HLDT/MDPV means any heavy light-duty truck or medium-duty 
passenger vehicle, including HEVs and ZEVs, of the 2008 or later model 
year certified to comply with the Tier 2 FTP exhaust standards contained 
in Sec.  86.1811-04 including the 0.07 g/mi fleet average NOX 
standard. The term Tier 2 HLDT/MDPV also includes any heavy light-duty 
truck or medium-duty passenger vehicle, of any model year, which is 
certified to Tier 2 FTP exhaust standards for purposes of generating or 
banking early NOX credits for averaging under Tier 2 
requirements, or utilizing alternate phase-in schedules, as allowed in 
this subpart.
    Tier 2 LDV/LLDT means any light-duty vehicle or light light-duty 
truck, including HEVs and ZEVs, of the 2004 or later model year 
certified to comply with the Tier 2 FTP exhaust standards contained in 
Sec.  86.1811-04 including the 0.07 g/mi fleet average NOX 
standard. The term Tier 2 LDV/LLDT also includes any light-duty vehicle 
or light light-duty truck, of any model year, which is certified to Tier 
2 FTP exhaust standards for purposes of generating or banking early 
NOX credits for averaging under Tier 2 requirements, or 
utilizing alternate phase-in schedules as allowed in this subpart.
    Tier 2 standards means those FTP exhaust emission standards 
including the 0.07 g/mi full useful life fleet average NOX standard, 
applicable to new light-duty vehicles and light light-duty trucks that 
begin a phase-in in the 2004 model year, and those exhaust emission 
standards including the 0.07 g/mi full useful life fleet average NOX 
standard, applicable to heavy light-duty trucks and medium-duty 
passenger vehicles that begin a phase-in in the 2008 model year. These 
standards are found in Sec.  86.1811-04 of this subpart.
    Tier 2 vehicle means any vehicle certified to comply with the Tier 2 
FTP exhaust standards contained in

[[Page 899]]

Sec.  86.1811-04 including the 0.07 g/mi fleet average NOX 
standard.
    Tier 3 means relating to the Tier 3 emission standards described in 
Sec. Sec.  86.1811-17, 86.1813-17, and 86.1816-18.
    Total hydrocarbon equivalent means the sum of the carbon mass 
emissions of non-oxygenated hydrocarbons, methanol, formaldehyde or 
other organic compounds that are separately measured, expressed as 
gasoline-fueled vehicle hydrocarbons. In the case of exhaust emissions, 
the hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. In 
the case of diurnal and hot soak emissions, the hydrogen-to-carbon 
ratios of the equivalent hydrocarbons are 2.33:1 and 2.2:1, 
respectively.
    Track width is the lateral distance between the centerlines of the 
base tires at ground, including the camber angle.
    Trading means the exchange of complete heavy-duty vehicle 
NOX emission credits between manufacturers.
    Transmission class has the meaning given in 40 CFR 600.002 for LDV, 
LDT, and MDPV.
    Transmission configuration has the meaning given in 40 CFR 600.002.
    Transmission type means the basic type of the transmission (e.g., 
automatic, manual, automated manual, semi-automatic, or continuously 
variable) and does not include the drive system of the vehicle (e.g., 
front-wheel drive, rear-wheel drive, or four-wheel drive).
    U.S. heavy-duty vehicle sales means sales of heavy-duty vehicles 
subject to the standards of this subpart, where the sale takes place in 
any state of the United States except for California (or a state that 
has adopted California motor vehicle standards for that model year 
pursuant to section 177 of the Clean Air Act).
    U.S. sales means, unless otherwise specified, sales in any state or 
territory of the United States except for California or the section 177 
states. Sale location is based on the point of first sale to a dealer, 
distributor, fleet operator, broker, or other entity.
    Unproven emission control systems are emission control components or 
systems (and fuel metering systems) that do not qualify as proven 
emission control systems.
    Unscheduled maintenance means any adjustment, repair, removal 
disassembly, cleaning, or replacement of vehicle components or systems 
which is performed to correct a part failure or vehicle (if the engine 
were installed in a vehicle) malfunction which was not anticipated.
    US06 means the test cycle, described in Sec.  86.159-00 and listed 
in appendix I, paragraph (g), of this part, which is designed to 
evaluate emissions during aggressive and microtransient driving.
    Useful life means the period of use or time during which an emission 
standard applies to light-duty vehicles and light-duty trucks, as 
described in Sec.  86.1805-01.
    Van means a light-duty truck or complete heavy-duty vehicle having 
an integral enclosure, fully enclosing the driver compartment and load 
carrying device, and having no body sections protruding more than 30 
inches ahead of the leading edge of the windshield.
    Vehicle configuration means a unique combination of basic engine, 
engine code, inertia weight class, transmission configuration, and axle 
ratio.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.
    Wheelbase is the longitudinal distance between front and rear wheel 
centerlines.
    Zero (0) miles means that point after initial engine starting (not 
to exceed 100 miles of vehicle operation, or three hours of engine 
operation) at which normal assembly line operations and adjustments are 
completed, and including emission testing, if performed.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6851, Feb. 10, 2000; 65 
FR 59964, Oct. 6, 2000; 66 FR 5189, Jan. 18, 2001; 71 FR 2829, Jan. 17, 
2006; 72 FR 8561, Feb. 26, 2007; 75 FR 25683, May 7, 2010; 77 FR 34146, 
June 8, 2012; 77 FR 63155, Oct. 15, 2012; 79 FR 23707, Apr. 28, 2014; 79 
FR 46372, Aug. 8, 2014; 80 FR 9104, Feb. 19, 2015; 81 FR 73983, Oct. 25, 
2016]



Sec.  86.1804-01  Acronyms and abbreviations.

    The following abbreviations apply to this subpart:


[[Page 900]]


A/C--Air conditioning.
AECD--Auxiliary emission control device.
A/F--Air/Fuel
ALVW--Adjusted Loaded Vehicle Weight.
API--American Petroleum Institute.
ASTM--American Society for Testing and Materials.
BAT--Bench-Aging Time
C--Celsius.
cfm--Cubic feet per minute.
CFV--Critical flow venturi.
CFV-CVS--Critical flow venturi--constant volume sampler.
CH3OH--Methanol.
CID--Cubic inch displacement.
Cl--Chemiluminescence.
CO--Carbon monoxide.
CO2--Carbon dioxide.
conc.--Concentration.
CST--Certification Short Test.
cu. in.--Cubic inch(es).
CVS--Constant volume sampler.
DDV--Durability Data Vehicle.
deg.--Degree(s).
DNPH--2,4-dinitrophenylhydrazine.
EDV--Emission Data Vehicle.
EP--End point.
ETW--Equivalent test weight.
F--Fahrenheit.
FEL--Family Emission Limit.
FID--Flame ionization detector.
ft.--Feet.
FTP--Federal Test Procedure.
g--gram(s).
gal.--U.S. gallon(s).
GC--Gas chromatograph.
GVW--Gross vehicle weight.
GVWR--Gross vehicle weight rating.
H2O--Water.
HC--Hydrocarbon(s).
HCHO--Formaldehyde.
HDV--Heavy-duty vehicle.
HEV--Hybrid electric vehicle.
HFID--Heated flame ionization detector.
Hg--Mercury.
HLDT--Heavy light-duty truck. Includes only those trucks over 6000 
pounds GVWR (LDT3s and LDT4s).
HLDT/MDPV--Heavy light-duty trucks and medium-duty passenger vehicles.
hp--Horsepower.
HPLC--High-pressure liquid chromatography.
IBP--Initial boiling point.
in.--Inch(es).
IUVP--In-Use Verification Program.
K--Kelvin.
kg--Kilogram(s).
km--Kilometer(s).
kPa--Kilopascal(s).
lb.--Pound(s).
LDT1--Light-duty truck 1.
LDT2--Light-duty truck 2.
LDT3--Light-duty truck 3.
LDT4--Light-duty truck 4.
LDV/LLDT--Light-duty vehicles and light light-duty trucks. Includes only 
those trucks rated at 6000 pounds GVWR or less (LDT1s and LDT2s).
LDV/T--Light-duty vehicles and light-duty trucks. This term is used 
collectively to include, or to show that a provision applies to, all 
light-duty vehicles and all categories of light-duty trucks, i.e.
LDT1, LDT2, LDT3 and LDT4.
LEV--Low Emission Vehicle.
LPG--Liquefied Petroleum Gas.
m--Meter(s).
max.--Maximum.
MDPV--Medium-duty passenger vehicle.
mg--Milligram(s).
mi.--Mile(s).
min.--Minimum.
ml--Milliliter(s).
mm--Millimeter(s).
mph--Miles per hour.
mV--Millivolt
N2--Nitrogen.
NDIR--Nondispersive infrared.
NLEV--Refers to the National Low Emission Vehicle Program. Regulations 
governing this program are found at subpart R of this part.
NMHC--Nonmethane Hydrocarbons.
NMHCE--Non-Methane Hydrocarbon Equivalent.
NMOG--Non-methane organic gases.
NO--nitric oxide.
No.--Number.
O2--Oxygen.
OEM--Original equipment manufacturer.
NO2--Nitrogen dioxide.
NOX--Oxides of nitrogen.
Pb--Lead.
pct.--Percent.
PDP-CVS--Positive displacement pump--constant volume sampler.
ppm--Parts per million by volume.
PM--Particulate Matter.
ppm C--Parts per million, carbon.
psi--Pounds per square inch.
R--Rankin.
RAF--Reactivity adjustment factor.
rpm--Revolutions per minute.
RVP--Reid vapor pressure.
s--Second(s).
SAE--Society of Automotive Engineers.
SBC--Standard Bench Cycle
SFTP--Supplemental Federal Test Procedure.
SI--International system of units.
SRC--Standard Road Cycle
SULEV--Super Ultra Low Emission Vehicle.
TD--dispensed fuel temperature.
THC--Total Hydrocarbons.
THCE--Total Hydrocarbon Equivalent.
TLEV--Transitional Low Emission Vehicle.
UDDS--Urban dynamometer driving schedule.
ULEV--Ultra Low Emission Vehicle.
UV--Ultraviolet.
vs--Versus.
W--Watt(s).
WOT--Wide open throttle.

[[Page 901]]

Wt.--Weight.
ZEV--Zero Emission Vehicle.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6852, Feb. 10, 2000; 65 
FR 59965, Oct. 6, 2000; 71 FR 2829, Jan. 17, 2006]



Sec.  86.1805-04  Useful life.

    (a) Except as required under paragraph (b) of this section or 
permitted under paragraphs (d), (e) and (f) of this section, the full 
useful life for all LDVs, LDT1s and LDT2s is a period of use of 10 years 
or 120,000 miles, whichever occurs first. For all HLDTs, MDPVs, and 
complete heavy-duty vehicles full useful life is a period of 11 years or 
120,000 miles, whichever occurs first. This full useful life applies to 
all exhaust, evaporative and refueling emission requirements except for 
standards which are specified to only be applicable at the time of 
certification.
    (b) Manufacturers may elect to optionally certify a test group to 
the Tier 2 exhaust emission standards for 150,000 miles to gain 
additional NOX credits, as permitted in Sec.  86.1860-04(g), 
or to opt out of intermediate life standards as permitted in Sec.  
86.1811-04(c). In such cases, useful life is a period of use of 15 years 
or 150,000 miles, whichever occurs first, for all exhaust, evaporative 
and refueling emission requirements except for cold CO standards and 
standards which are applicable only at the time of certification.
    (c) Where intermediate useful life exhaust emission standards are 
applicable, such standards are applicable for five years or 50,000 
miles, whichever occurs first.
    (d) Where cold CO standards are applicable, the useful life 
requirement for compliance with the cold CO standard only, is 5 years or 
50,000 miles, whichever occurs first.
    (e) Where LDVs, LDT1s and LDT2s of the 2003 or earlier model years 
are certified to Tier 2 exhaust emission standards for purposes of 
generating early Tier 2 NOX credits, manufacturers may 
certify those vehicles to full useful lives of 100,000 miles in lieu of 
the otherwise required 120,000 mile full useful lives, as provided under 
Sec.  86.1861-04(c)(4).
    (f) For interim non-Tier 2 LDV/LLDTs, the useful life requirement 
for exhaust, evaporative and refueling emissions is 10 years or 100,000 
miles, whichever occurs first.
    (g) Where cold temperature NMHC standards are applicable, the useful 
life requirement for compliance with the cold temperature NMHC standard 
only is as follows:
    (1) For LDV/LLDTs, 10 years or 120,000 miles, whichever occurs 
first.
    (2) For HLDT/MDPVs, 11 years or 120,000 miles, whichever occurs 
first.

[65 FR 6852, Feb. 10, 2000, as amended at 65 FR 59965, Oct. 6, 2000; 72 
FR 8561, Feb. 26, 2007]



Sec.  86.1805-12  Useful life.

    (a) Except as permitted under paragraph (b) of this section or 
required under paragraphs (c) and (d) of this section, the full useful 
life for all LDVs and LLDTs is a period of use of 10 years or 120,000 
miles, whichever occurs first. The full useful life for all HLDTs, 
MDPVs, and complete heavy-duty vehicles is a period of 11 years or 
120,000 miles, whichever occurs first. These full useful life values 
apply to all exhaust, evaporative and refueling emission requirements 
except for standards which are specified to only be applicable at the 
time of certification. These full useful life requirements also apply to 
all air conditioning leakage credits, air conditioning efficiency 
credits, and other credit programs used by the manufacturer to comply 
with the fleet average CO2 emission standards in Sec.  
86.1818-12.
    (b) Manufacturers may elect to optionally certify a test group to 
the Tier 2 exhaust emission standards for 150,000 miles to gain 
additional NOX credits, as permitted in Sec.  86.1860-04(g), 
or to opt out of intermediate life standards as permitted in Sec.  
86.1811-04(c). In such cases, useful life is a period of use of 15 years 
or 150,000 miles, whichever occurs first, for all exhaust, evaporative 
and refueling emission requirements except for cold CO standards and 
standards which are applicable only at the time of certification.
    (c) Where intermediate useful life exhaust emission standards are 
applicable, such standards are applicable for five years or 50,000 
miles, whichever occurs first.

[[Page 902]]

    (d) Where cold CO standards are applicable, the useful life 
requirement for compliance with the cold CO standard only, is 5 years or 
50,000 miles, whichever occurs first.

[75 FR 25685, May 7, 2010]



Sec.  86.1805-17  Useful life.

    (a) General provisions. The useful life values specified in this 
section apply for all exhaust, evaporative, refueling, and OBD emission 
requirements described in this subpart, except for standards that are 
specified to apply only at certification. These useful life requirements 
also apply to all air conditioning leakage credits, air conditioning 
efficiency credits, and other credit programs used by the manufacturer 
to comply with the fleet-average CO2 emission standards in 
Sec.  86.1818. Useful life values are specified as a given number of 
calendar years or miles of driving, whichever comes first.
    (b) Greenhouse gas pollutants. The emission standards in Sec.  
86.1818 apply for a useful life of 10 years or 120,000 miles for LDV and 
LLDT and 11 years or 120,000 miles for HLDT and MDPV. For non-MDPV 
heavy-duty vehicles, the emission standards in Sec.  86.1819 apply for a 
useful life of 11 years or 120,000 miles through model year 2020, and 
for a useful life of 15 years or 150,000 miles in model year 2021 and 
later. Manufacturers may certify based on the useful life as specified 
in paragraph (d) of this section if it is different than the useful life 
specified in this paragraph (b).
    (c) Cold temperature emission standards. The cold temperature NMHC 
emission standards in Sec.  86.1811 apply for a useful life of 10 years 
or 120,000 miles for LDV and LLDT, and 11 years or 120,000 miles for 
HLDT and HDV. The cold temperature CO emission standards in Sec.  
86.1811 apply for a useful life of 5 years or 50,000 miles.
    (d) Criteria pollutants. The useful life provisions of this 
paragraph (d) apply for all emission standards not covered by paragraph 
(b) or (c) of this section. Except as specified in paragraph (f) of this 
section and in Sec. Sec.  86.1811, 86.1813, and 86.1816, the useful life 
for LDT2, HLDT, MDPV, and HDV is 15 years or 150,000 miles. The useful 
life for LDV and LDT1 is 10 years or 120,000 miles. Manufacturers may 
optionally certify LDV and LDT1 to a useful life of 15 years or 150,000 
miles, in which case the longer useful life would apply for all the 
standards and requirements covered by this paragraph (d).
    (e) Intermediate useful life. Where exhaust emission standards are 
specified for an intermediate useful life, these standards apply for 
five years or 50,000 miles.
    (f) Interim provisions. The useful life provisions of Sec.  86.1805-
12 apply for vehicles not yet subject to Tier 3 requirements. For 
example, vehicles above 6,000 pounds GVWR are not subject to the useful 
life provisions in this section until model year 2019 unless 
manufacturers voluntarily certify to the Tier 3 requirements earlier 
than the regulations require. Also, where the transition to Tier 3 
standards involves a phase-in percentage for a given standard, vehicles 
not included as part of the phase-in portion of the fleet continue to be 
subject to the useful life provisions of Sec.  86.1805-12 with respect 
to that standard. The useful life values for a set of vehicles may be 
different for exhaust and evaporative emission standards in 2021 and 
earlier model years; if vehicles have different useful life values for 
evaporative and exhaust emission standards, the evaporative useful life 
applies for the OBD requirements related to the leak standard and the 
exhaust useful life applies for all other OBD requirements.

[79 FR 23708, Apr. 28, 2014, as amended at 80 FR 9104, Feb. 19, 2015; 81 
FR 73983, Oct. 25, 2016]



Sec.  86.1806-05  Onboard diagnostics.

    (a) General. (1) Except as provided by paragraph (a)(2) of this 
section, all light-duty vehicles, light-duty trucks and complete heavy-
duty vehicles weighing 14,000 pounds GVWR or less (including MDPVs) must 
be equipped with an onboard diagnostic (OBD) system capable of 
monitoring all emission-related powertrain systems or components during 
the applicable useful life of the vehicle. All systems and components 
required to be monitored by these regulations must be evaluated 
periodically, but no less frequently than once per applicable 
certification test cycle as defined in paragraphs (a) and (d) of 
Appendix I of this part, or

[[Page 903]]

similar trip as approved by the Administrator. Emissions of 
CO2, CH4, and N2O are not required to 
be monitored by the OBD system.
    (2) Diesel fueled MDPVs and heavy-duty vehicles weighing 14,000 
pounds GVWR or less that are not MDPVs must meet the OBD requirements of 
this section according to the phase-in schedule in paragraph (l) of this 
section. Paragraph (l) of this section does not apply to Otto-cycle 
MDPVs.
    (3) An OBD system demonstrated to fully meet the requirements in, 
through model year 2006, Sec.  86.004-17 and, for model years 2007 and 
later, Sec.  86.007-17 may be used to meet the requirements of this 
section, provided that such an OBD system also incorporates appropriate 
transmission diagnostics as may be required under this section, and 
provided that the Administrator finds that a manufacturer's decision to 
use the flexibility in this paragraph (a)(3) is based on good 
engineering judgement.
    (b) Malfunction descriptions. The OBD system must detect and 
identify malfunctions in all monitored emission-related powertrain 
systems or components according to the following malfunction definitions 
as measured and calculated in accordance with test procedures set forth 
in subpart B of this part (chassis-based test procedures), excluding 
those test procedures defined as ``Supplemental'' test procedures in 
Sec.  86.004-2 and codified in Sec. Sec.  86.158, 86.159, and 86.160. 
For clean alternative fuel conversion manufacturers, your OBD system is 
expected to detect and identify malfunctions in all monitored emission-
related powertrain systems or components according to the malfunction 
definitions described in this paragraph (b) as measured and calculated 
in accordance with the chassis-based test procedures set forth in 
subpart B of this part to the extent feasible, excluding the elements of 
the Supplemental FTP (see Sec.  86.1803). However, at a minimum, systems 
must detect and identify malfunctions as described in paragraph (k)(7) 
of this section.
    (1) Catalysts and particulate traps--(i) Otto-cycle. Catalyst 
deterioration or malfunction before it results in an increase in NMHC 
emissions 1.5 times the NMHC standard or FEL, as compared to the NMHC 
emission level measured using a representative 4000 mile catalyst 
system.
    (ii) Diesel. (A) If equipped, catalyst deterioration or malfunction 
before it results in exhaust emissions exceeding 1.5 times the 
applicable standard or FEL for NOX or PM. This requirement 
applies only to reduction catalysts; monitoring of oxidation catalysts 
is not required. This monitoring need not be done if the manufacturer 
can demonstrate that deterioration or malfunction of the system will not 
result in exceedance of the threshold.
    (B) If equipped with a particulate trap, catastrophic failure of the 
device must be detected. Any particulate trap whose complete failure 
results in exhaust emissions exceeding 1.5 times the applicable standard 
or FEL for NOX or PM must be monitored for such catastrophic 
failure. This monitoring need not be done if the manufacturer can 
demonstrate that a catastrophic failure of the system will not result in 
exceedance of the threshold.
    (2) Engine misfire--(i) Otto-cycle. Engine misfire resulting in 
exhaust emissions exceeding 1.5 times the applicable standard or FEL for 
NMHC, CO or NOX; and any misfire capable of damaging the 
catalytic converter.
    (ii) Diesel. Lack of cylinder combustion must be detected.
    (3) Oxygen sensors. If equipped, oxygen sensor deterioration or 
malfunction resulting in exhaust emissions exceeding 1.5 times the 
applicable standard or FEL for NMHC, CO or NOX.
    (4) Evaporative leaks. If equipped, any vapor leak in the 
evaporative and/or refueling system (excluding the tubing and 
connections between the purge valve and the intake manifold) greater 
than or equal in magnitude to a leak caused by a 0.040 inch diameter 
orifice; an absence of evaporative purge air flow from the complete 
evaporative emission control system. On vehicles with fuel tank capacity 
greater than 25 gallons, the Administrator may, following a request from 
the manufacturer, revise the size of the orifice to the smallest orifice 
feasible, based on test data, if the most reliable monitoring method 
available cannot reliably detect a system leak equal to a 0.040 inch 
diameter orifice.

[[Page 904]]

    (5) Other emission control systems. Any deterioration or malfunction 
occurring in a powertrain system or component directly intended to 
control emissions, including but not necessarily limited to, the exhaust 
gas recirculation (EGR) system, if equipped, the secondary air system, 
if equipped, and the fuel control system, singularly resulting in 
exhaust emissions exceeding 1.5 times the applicable emission standard 
or FEL for NMHC, CO, NOX, or diesel PM. For vehicles equipped 
with a secondary air system, a functional check, as described in 
paragraph (b)(6) of this section, may satisfy the requirements of this 
paragraph provided the manufacturer can demonstrate that deterioration 
of the flow distribution system is unlikely. This demonstration is 
subject to Administrator approval and, if the demonstration and 
associated functional check are approved, the diagnostic system must 
indicate a malfunction when some degree of secondary airflow is not 
detectable in the exhaust system during the check. For vehicles equipped 
with positive crankcase ventilation (PCV), monitoring of the PCV system 
is not necessary provided the manufacturer can demonstrate to the 
Administrator's satisfaction that the PCV system is unlikely to fail.
    (6) Other emission-related powertrain components. Any other 
deterioration or malfunction occurring in an electronic emission-related 
powertrain system or component not otherwise described in paragraphs 
(b)(1) through (b)(5) of this section that either provides input to or 
receives commands from the on-board computer and has a measurable impact 
on emissions; monitoring of components required by this paragraph (b)(6) 
must be satisfied by employing electrical circuit continuity checks and 
rationality checks for computer input components (input values within 
manufacturer specified ranges based on other available operating 
parameters), and functionality checks for computer output components 
(proper functional response to computer commands) except that the 
Administrator may waive such a rationality or functionality check where 
the manufacturer has demonstrated infeasibility. Malfunctions are 
defined as a failure of the system or component to meet the electrical 
circuit continuity checks or the rationality or functionality checks.
    (7) Performance of OBD functions. Oxygen sensor or any other 
component deterioration or malfunction which renders that sensor or 
component incapable of performing its function as part of the OBD system 
must be detected and identified on vehicles so equipped.
    (8) Hybrid electric vehicles. For Tier 2 and interim non-Tier 2 
hybrid electric vehicles (HEVs) only. Unless added to HEVs in compliance 
with other requirements of this section, or unless otherwise approved by 
the Administrator:
    (i) The manufacturer must equip each HEV with a maintenance 
indicator consisting of a light that must activate automatically by 
illuminating the first time the minimum performance level is observed 
for each battery system component. Possible battery system components 
requiring monitoring are: battery water level, temperature control, 
pressure control, and other parameters critical for determining battery 
condition.
    (ii) [Reserved]
    (iii) The manufacturer must equip each HEV with a separate odometer 
or other device subject to the approval of the Administrator that can 
accurately measure the mileage accumulation on the engines used in these 
vehicles.
    (c) Malfunction indicator light (MIL). The OBD system must 
incorporate a malfunction indicator light (MIL) readily visible to the 
vehicle operator. When illuminated, the MIL must display ``Check 
Engine,'' ``Service Engine Soon,'' a universally recognizable engine 
symbol, or a similar phrase or symbol approved by the Administrator. A 
vehicle should not be equipped with more than one general purpose 
malfunction indicator light for emission-related problems; separate 
specific purpose warning lights (e.g. brake system, fasten seat belt, 
oil pressure, etc.) are permitted. The use of red for the OBD-related 
malfunction indicator light is prohibited.
    (d) MIL illumination. (1) The MIL must illuminate and remain 
illuminated when any of the conditions specified in paragraph (b) of 
this section are detected and verified, or whenever the

[[Page 905]]

engine control enters a default or secondary mode of operation 
considered abnormal for the given engine operating conditions. The MIL 
must blink once per second under any period of operation during which 
engine misfire is occurring and catalyst damage is imminent. If such 
misfire is detected again during the following driving cycle (i.e., 
operation consisting of, at a minimum, engine start-up and engine shut-
off) or the next driving cycle in which similar conditions are 
encountered, the MIL must maintain a steady illumination when the 
misfire is not occurring and then remain illuminated until the MIL 
extinguishing criteria of this section are satisfied. The MIL must also 
illuminate when the vehicle's ignition is in the ``key-on'' position 
before engine starting or cranking and extinguish after engine starting 
if no malfunction has previously been detected. If a fuel system or 
engine misfire malfunction has previously been detected, the MIL may be 
extinguished if the malfunction does not reoccur during three subsequent 
sequential trips during which similar conditions are encountered and no 
new malfunctions have been detected. Similar conditions are defined as 
engine speed within 375 rpm, engine load within 20 percent, and engine 
warm-up status equivalent to that under which the malfunction was first 
detected. If any malfunction other than a fuel system or engine misfire 
malfunction has been detected, the MIL may be extinguished if the 
malfunction does not reoccur during three subsequent sequential trips 
during which the monitoring system responsible for illuminating the MIL 
functions without detecting the malfunction, and no new malfunctions 
have been detected. Upon Administrator approval, statistical MIL 
illumination protocols may be employed, provided they result in 
comparable timeliness in detecting a malfunction and evaluating system 
performance, i.e., three to six driving cycles would be considered 
acceptable.
    (2)(i) For interim non-Tier 2 and Tier 2 LDV/LLDTs and HLDT/MDPVs 
produced through the 2007 model year, upon a manufacturer's written 
request, EPA will consider allowing the use of an on-board diagnostic 
system during the certification process that functions properly on low-
sulfur gasoline but indicates sulfur-induced passes when exposed to high 
sulfur gasoline. After the 2007 model year, this provision can be used 
only for interim non-Tier 2 and Tier 2 LDV/LLDTs and HLDT/MDPVs 
introduced into commerce in American Samoa, Guam, and the Commonwealth 
of the Northern Mariana Islands, but this provision only can be used for 
such vehicles in any of those locations if low sulfur gasoline is 
determined by the Administrator to be unavailable in that specific 
location.
    (ii) For interim non-Tier 2 and Tier 2 LDV/LLDTs and HLDT/MDPVs, if 
vehicles produced through the 2007 model year exhibit illuminations of 
the emission control diagnostic system malfunction indicator light due 
to high sulfur gasoline, EPA will consider, upon a manufacturer's 
written request, allowing modifications to such vehicles on a case-by-
case basis so as to eliminate the sulfur induced illumination. After the 
2007 model year, this provision can be used only for interim non-Tier 2 
and Tier 2 LDV/LLDTs and HLDT/MDPVs introduced into commerce in American 
Samoa, Guam, and the Commonwealth of the Northern Mariana Islands, but 
this provision only can be used for such vehicles in any of those 
locations if low sulfur gasoline is determined by the Administrator to 
be unavailable in that specific location.
    (e) Storing of computer codes. The OBD system shall record and store 
in computer memory diagnostic trouble codes and diagnostic readiness 
codes indicating the status of the emission control system. These codes 
shall be available through the standardized data link connector per 
specifications as referenced in paragraph (h) of this section.
    (1) A diagnostic trouble code must be stored for any detected and 
verified malfunction causing MIL illumination. The stored diagnostic 
trouble code must identify the malfunctioning system or component as 
uniquely as possible. At the manufacturer's discretion, a diagnostic 
trouble code may be stored for conditions not causing MIL illumination. 
Regardless, a separate

[[Page 906]]

code should be stored indicating the expected MIL illumination status 
(i.e., MIL commanded ``ON,'' MIL commanded ``OFF'').
    (2) For a single misfiring cylinder, the diagnostic trouble code(s) 
must uniquely identify the cylinder, unless the manufacturer submits 
data and/or engineering evaluations which adequately demonstrate that 
the misfiring cylinder cannot be reliably identified under certain 
operating conditions. For diesel vehicles only, the specific cylinder 
for which combustion cannot be detected need not be identified if new 
hardware would be required to do so. The diagnostic trouble code must 
identify multiple misfiring cylinder conditions; under multiple misfire 
conditions, the misfiring cylinders need not be uniquely identified if a 
distinct multiple misfire diagnostic trouble code is stored.
    (3) The diagnostic system may erase a diagnostic trouble code if the 
same code is not re-registered in at least 40 engine warm-up cycles, and 
the malfunction indicator light is not illuminated for that code.
    (4) Separate status codes, or readiness codes, must be stored in 
computer memory to identify correctly functioning emission control 
systems and those emission control systems which require further vehicle 
operation to complete proper diagnostic evaluation. A readiness code 
need not be stored for those monitors that can be considered 
continuously operating monitors (e.g., misfire monitor, fuel system 
monitor, etc.). Readiness codes should never be set to ``not ready'' 
status upon key-on or key-off; intentional setting of readiness codes to 
``not ready'' status via service procedures must apply to all such 
codes, rather than applying to individual codes. Subject to 
Administrator approval, if monitoring is disabled for a multiple number 
of driving cycles (i.e., more than one) due to the continued presence of 
extreme operating conditions (e.g., ambient temperatures below 40 
[deg]F, or altitudes above 8000 feet), readiness for the subject 
monitoring system may be set to ``ready'' status without monitoring 
having been completed. Administrator approval shall be based on the 
conditions for monitoring system disablement, and the number of driving 
cycles specified without completion of monitoring before readiness is 
indicated.
    (f) Available diagnostic data. (1) Upon determination of the first 
malfunction of any component or system, ``freeze frame'' engine 
conditions present at the time must be stored in computer memory. Should 
a subsequent fuel system or misfire malfunction occur, any previously 
stored freeze frame conditions must be replaced by the fuel system or 
misfire conditions (whichever occurs first). Stored engine conditions 
must include, but are not limited to: engine speed, open or closed loop 
operation, fuel system commands, coolant temperature, calculated load 
value, fuel pressure, vehicle speed, air flow rate, and intake manifold 
pressure if the information needed to determine these conditions is 
available to the computer. For freeze frame storage, the manufacturer 
must include the most appropriate set of conditions to facilitate 
effective repairs. If the diagnostic trouble code causing the conditions 
to be stored is erased in accordance with paragraph (d) of this section, 
the stored engine conditions may also be erased.
    (2) The following data in addition to the required freeze frame 
information must be made available on demand through the serial port on 
the standardized data link connector, if the information is available to 
the on-board computer or can be determined using information available 
to the on-board computer: Diagnostic trouble codes, engine coolant 
temperature, fuel control system status (closed loop, open loop, other), 
fuel trim, ignition timing advance, intake air temperature, manifold air 
pressure, air flow rate, engine RPM, throttle position sensor output 
value, secondary air status (upstream, downstream, or atmosphere), 
calculated load value, vehicle speed, and fuel pressure. The signals 
must be provided in standard units based on SAE specifications 
incorporated by reference in paragraph (h) of this section. Actual 
signals must be clearly identified separately from default value or limp 
home signals.
    (3) For all OBD systems for which specific on-board evaluation tests 
are conducted (catalyst, oxygen sensor,

[[Page 907]]

etc.), the results of the most recent test performed by the vehicle, and 
the limits to which the system is compared must be available through the 
standardized data link connector per the appropriate standardized 
specifications as referenced in paragraph (h) of this section.
    (4) Access to the data required to be made available under this 
section shall be unrestricted and shall not require any access codes or 
devices that are only available from the manufacturer.
    (g) Exceptions. The OBD system is not required to evaluate systems 
or components during malfunction conditions if such evaluation would 
result in a risk to safety or failure of systems or components. 
Additionally, the OBD system is not required to evaluate systems or 
components during operation of a power take-off unit such as a dump bed, 
snow plow blade, or aerial bucket, etc.
    (h) Incorporation by reference. The following additional 
requirements apply based on industry standard specifications, which are 
incorporated by reference in Sec.  86.1:
    (1) The following requirements apply for standardized on-board to 
off-board communications:
    (i) Starting in model year 2008, light-duty vehicles and light-duty 
trucks must comply with ISO 15765-4:2005(E), ``Road Vehicles-Diagnostics 
on Controller Area Network (CAN)--Part 4: Requirements for emission-
related systems'', January 15, 2005.
    (ii) Starting in model year 2008, heavy-duty vehicles must comply 
with the protocol described in paragraph (h)(1)(i) of this section, or 
the following set of SAE standards: SAE J1939-11, Revised October 1999; 
SAE J1939-13, July 1999; SAE J1939-21, Revised April 2001; SAE J1939-31, 
Revised December 1997; SAE J1939-71, Revised January 2008; SAE J1939-73, 
Revised September 2006; SAE J1939-81, May 2003.
    (iii) Note that for model years 1996 through 2007 manufacturers 
could instead comply with the protocols specified in SAE J1850, ISO 
9141-2, or ISO 14230-4.
    (2) Light-duty vehicles and light-duty trucks must meet the 
following additional specifications:
    (i) Basic diagnostic data (as specified in Sec. Sec.  86.094-17(e) 
and (f)) shall be provided in the format and units in SAE J1979 ``E/E 
Diagnostic Test Modes--Equivalent to ISO/DIS 15031-5: Revised, May 2007.
    (ii) Diagnostic trouble codes shall be consistent with SAE J2012 
``Diagnostic Trouble Code Definitions--Equivalent to ISO/DIS 15031-6: 
April 30, 2002'', (Revised, April 2002).
    (iii) The connection interface between the OBD system and test 
equipment and diagnostic tools shall meet the functional requirements of 
SAE J1962 ``Diagnostic Connector--Equivalent to ISO/DIS 15031-3: 
December 14, 2001'' (Revised, April 2002).
    (iv) SAE J1930, Revised April 2002. All acronyms, definitions and 
abbreviations shall be formatted according to this industry standard. 
Alternatively, manufacturers may use SAE J2403, Revised August 2007.
    (v) All equipment used to interface, extract, and display OBD-
related information shall meet SAE J1978 ``OBD II Scan Tool'' Equivalent 
to ISO 15031-4: December 14, 2001'', (Revised, April 2002).
    (i) Deficiencies and alternative fueled vehicles. Upon application 
by the manufacturer, the Administrator may accept an OBD system as 
compliant even though specific requirements are not fully met. Such 
compliances without meeting specific requirements, or deficiencies, will 
be granted only if compliance would be infeasible or unreasonable 
considering such factors as, but not limited to: Technical feasibility 
of the given monitor and lead time and production cycles including 
phase-in or phase-out of vehicle designs and programmed upgrades of 
computers. Unmet requirements should not be carried over from the 
previous model year except where unreasonable hardware or software 
modifications would be necessary to correct the deficiency, and the 
manufacturer has demonstrated an acceptable level of effort toward 
compliance as determined by the Administrator. Furthermore, EPA will not 
accept any deficiency requests that include the complete lack of a major 
diagnostic monitor (``major'' diagnostic monitors being those for 
exhaust aftertreatment devices, oxygen sensor,

[[Page 908]]

air-fuel ratio sensor, NOX sensor, engine misfire, 
evaporative leaks, and diesel EGR, if equipped), with the possible 
exception of the special provisions for alternative fueled engines. For 
alternative fueled vehicles (e.g., natural gas, liquefied petroleum gas, 
methanol, ethanol), manufacturers may request the Administrator to waive 
specific monitoring requirements of this section for which monitoring 
may not be reliable with respect to the use of the alternative fuel. At 
a minimum, alternative fuel engines must be equipped with an OBD system 
meeting OBD requirements to the extent feasible as approved by the 
Administrator.
    (j) California OBDII compliance option. Manufacturers may comply 
with California's OBD requirements instead of meeting the requirements 
of this section as follows:
    (1) Through the 2006 model year, demonstration of compliance with 
California OBDII requirements (Title 13 California Code of Regulations 
Sec.  1968.2 (13 CCR 1968.2)), as modified, approved and filed on April 
21, 2003 (incorporated by reference, see Sec.  86.1), shall satisfy the 
requirements of this section, except that compliance with 13 CCR 
1968.2(e)(4.2.2)(C), pertaining to 0.02 inch evaporative leak detection, 
and 13 CCR 1968.2(d)(1.4), pertaining to tampering protection, are not 
required to satisfy the requirements of this section. Also, the 
deficiency provisions of 13 CCR 1968.2(i) do not apply. In addition, 
demonstration of compliance with 13 CCR 1968.2(e)(16.2.1)(C), to the 
extent it applies to the verification of proper alignment between the 
camshaft and crankshaft, applies only to vehicles equipped with variable 
valve timing.
    (2) For 2007 through 2012 model year vehicles, demonstration of 
compliance with California OBD II requirements (Title 13 California Code 
of Regulations Sec.  1968.2 (13 CCR 1968.2)), approved on November 9, 
2007 (incorporated by reference, see Sec.  86.1), shall satisfy the 
requirements of this section, except that compliance with 13 CCR 
1968.2(e)(4.2.2)(C), pertaining to 0.02 inch evaporative leak detection, 
and 13 CCR 1968.2(d)(1.4), pertaining to tampering protection, are not 
required to satisfy the requirements of this section. Also, the 
deficiency provisions of 13 CCR 1968.2(k) do not apply. In addition, 
demonstration of compliance with 13 CCR 1968.2(e)(15.2.1)(C), to the 
extent it applies to the verification of proper alignment between the 
camshaft and crankshaft, applies only to vehicles equipped with variable 
valve timing.
    (3) Beginning with the 2013 model year, manufacturers may 
demonstrate compliance with California's 2013 OBD requirements as 
described in Sec.  86.1806-17(a).
    (4) For all model years, the deficiency provisions of paragraph (i) 
of this section and the evaporative leak detection requirement of 
paragraph (b)(4) of this section, if applicable, apply to manufacturers 
selecting this paragraph for demonstrating compliance.
    (k) Certification. For test groups required to have an OBD system, 
certification will not be granted if, for any test vehicle approved by 
the Administrator in consultation with the manufacturer, the malfunction 
indicator light does not illuminate under any of the following 
circumstances, unless the manufacturer can demonstrate that any 
identified OBD problems discovered during the Administrator's evaluation 
will be corrected on production vehicles.
    (1)(i) Otto-cycle. A catalyst is replaced with a deteriorated or 
defective catalyst, or an electronic simulation of such, resulting in an 
increase of 1.5 times the NMHC standard or FEL above the NMHC emission 
level measured using a representative 4000 mile catalyst system.
    (ii) Diesel. (A) If monitored for emissions performance--a catalyst 
is replaced with a deteriorated or defective catalyst, or an electronic 
simulation of such, resulting in exhaust emissions exceeding 1.5 times 
the applicable standard or FEL for NOX or PM.
    (B) If monitored for performance--a particulate trap is replaced 
with a trap that has catastrophically failed, or an electronic 
simulation of such.
    (2)(i) Otto-cycle. An engine misfire condition is induced resulting 
in exhaust emissions exceeding 1.5 times the applicable standards or FEL 
for NMHC, CO or NOX.

[[Page 909]]

    (ii) Diesel. An engine misfire condition is induced and is not 
detected.
    (3) If so equipped, any oxygen sensor is replaced with a 
deteriorated or defective oxygen sensor, or an electronic simulation of 
such, resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NMHC, CO or NOX.
    (4) If so equipped, a vapor leak is introduced in the evaporative 
and/or refueling system (excluding the tubing and connections between 
the purge valve and the intake manifold) greater than or equal in 
magnitude to a leak caused by a 0.040 inch diameter orifice, or the 
evaporative purge air flow is blocked or otherwise eliminated from the 
complete evaporative emission control system.
    (5) A malfunction condition is induced in any emission-related 
powertrain system or component, including but not necessarily limited 
to, the exhaust gas recirculation (EGR) system, if equipped, the 
secondary air system, if equipped, and the fuel control system, 
singularly resulting in exhaust emissions exceeding 1.5 times the 
applicable emission standard or FEL for NMHC, CO, NOX or PM.
    (6) A malfunction condition is induced in an electronic emission-
related powertrain system or component not otherwise described in this 
paragraph (k) that either provides input to or receives commands from 
the on-board computer resulting in a measurable impact on emissions.
    (7) For clean alternative fuel conversion manufacturers (e.g., 
natural gas, liquefied petroleum gas, methanol, ethanol), in lieu of the 
requirements specified for other manufacturers in this paragraph (k), 
you may demonstrate that the malfunction indicator light will 
illuminate, at a minimum, under any of the following circumstances when 
the vehicle is operated on the applicable alternative fuel:
    (i) Otto-cycle. A catalyst is replaced with a defective catalyst 
system where the catalyst brick for the monitored volume has been 
removed (i.e., empty catalyst system) resulting in an increase of 1.5 
times the NMOG (or NMOG + NOX) standard or FEL above the NMOG 
(or NMOG + NOX) emission level measured using a 
representative 4000 mile catalyst system.
    (ii) Diesel. (A) If monitored for emissions performance--a catalyst 
is replaced with a defective catalyst system where the catalyst brick 
for the monitored volume has been removed (i.e., empty catalyst can) 
resulting in exhaust emissions exceeding 1.5 times the applicable 
standard or FEL for NOX (or NMOG + NOX) or PM.
    (B) If monitored for performance--a particulate trap is replaced 
with a trap that has catastrophically failed.
    (iii) Misfire. (A) Otto-cycle. An engine misfire condition is 
induced that completely disables one or more cylinders, either through 
mechanical or electrical means, resulting in exhaust emissions exceeding 
1.5 times the applicable standards or FEL for CO, NMOG, or 
NOX (or NMOG + NOX).
    (B) Diesel. An engine misfire condition resulting in complete lack 
of cylinder firing is induced and is not detected.
    (iv) If so equipped, any oxygen sensor is replaced with a completely 
defective oxygen sensor, or an electronic simulation of such, resulting 
in exhaust emissions exceeding 1.5 times the applicable standard or FEL 
for CO, NMOG, or NOX (or NMOG + NOX).
    (v) If so equipped and applicable, a vapor leak is introduced in the 
evaporative and/or refueling system (excluding the tubing and 
connections between the purge valve and the intake manifold) greater 
than or equal in magnitude to a leak caused by a 0.040 inch diameter 
orifice, or the evaporative purge air flow is blocked or otherwise 
eliminated from the complete evaporative emission control system. At a 
minimum, gas cap removal or complete venting of the evaporative and/or 
refueling system may be introduced resulting in a gross leak of the 
complete evaporative emission control system.
    (vi) A malfunction condition is induced resulting in complete 
disablement in any emission-related powertrain system or component, 
including but not necessarily limited to, the exhaust gas recirculation 
(EGR) system, if equipped, the secondary air

[[Page 910]]

system, if equipped, and the fuel control system, singularly resulting 
in exhaust emissions exceeding 1.5 times the applicable emission 
standard or FEL for PM, CO, NMOG, or NOX (or NMOG + 
NOX).
    (vii) A malfunction condition is induced that completely disables an 
electronic emission-related powertrain system or component not otherwise 
described in this paragraph (k) that either provides input to or 
receives commands from the onboard computer resulting in a measurable 
impact on emissions. At a minimum, manufacturers may be required to 
perform this disablement on critical inputs and outputs where lack of 
the input and output disables an entire monitor as described in this 
paragraph (k)(7)(vii), disables multiple monitors (e.g., two or more) 
used by the onboard computer, or renders the entire onboard computer and 
its functions inoperative.
    (viii) Clean alternative fuel conversion manufacturers must use good 
engineering judgment to induce malfunctions and may perform more 
stringent malfunction demonstrations than described in this paragraph 
(k)(7). In addition, the Administrator reserves the right to request a 
clean alternative fuel conversion manufacturer to perform stricter 
demonstration requirements, to the extent feasible, on clean alternative 
fuel conversions.
    (l) Phase-in for complete heavy-duty vehicles. Complete heavy-duty 
vehicles weighing 14,000 pounds GVWR or less that are not Otto-cycle 
MDPVs must meet the OBD requirements of this section according to the 
following phase-in schedule, based on the percentage of projected 
vehicle sales. The 2004 model year requirements in the following phase-
in schedule are applicable only to heavy-duty Otto-cycle vehicles where 
the manufacturer has selected Otto-cycle Option 1 or 2 for alternative 
2003 or 2004 compliance according to Sec.  86.004-01(c)(1) or (2). The 
2005 through 2007 requirements in the following phase-in schedule apply 
to all heavy-duty vehicles weighing 14,000 pounds GVWR or less, 
excluding MDPVs. If the manufacturer has selected Otto-cycle Option 3 it 
may exempt 2005 model year complete heavy-duty engines and vehicles 
whose model year commences before July 31, 2004 from the requirements of 
this section. For the purposes of calculating compliance with the phase-
in provisions of this paragraph (l), heavy-duty vehicles subject to the 
phase-in requirements of this section may be combined with heavy-duty 
vehicles subject to the phase-in requirements of paragraph Sec.  86.005-
17 (k). The phase-in schedule follows:

OBD Compliance Phase-in for Complete Heavy-Duty Vehicles Weighing 14,000
                           Pounds GVWR or Less
------------------------------------------------------------------------
          Model year                Phase-in based on projected sales
------------------------------------------------------------------------
2004 MY                         Applicable only to Otto-cycle engines
                                 complying with Options 1 or 2; 40%
                                 compliance; alternative fuel waivers
                                 available.
2005 MY                         60% compliance; alternative fuel waivers
                                 available.
2006 MY                         80% compliance; alternative fuel waivers
                                 available.
2007 MY                         80% compliance; alternative fuel waivers
                                 available.
2008 + MY                       100% compliance.
------------------------------------------------------------------------

    (m) Thresholds for California OBD II Compliance Option. For the 
purposes of complying with the provisions set forth above in paragraph 
(j), vehicles certified to Tier 2 standards shall utilize multiplicative 
factors from the California vehicle type (i.e. LEV II, ULEV II) 
corresponding to the Tier 2 to which the vehicles are certified. 
Vehicles certified to Tier 2, Bin 4 emissions standards shall utilize 
the Tier 2 Bin 4 emission standards and the CARB ULEV II multiplicative 
factors to determine the appropriate OBD malfunction threshold for all 
pollutants except NOX, for which they shall utilize that CARB 
SULEV II multiplicative factors. Vehicles certified to Tier 2, Bin 3 
emissions standards shall utilize the Tier 2 Bin 3 emission standards 
and the CARB ULEV II multiplicative factors to determine the appropriate 
OBD malfunction threshold for all pollutants except NOX, for 
which they shall utilize that CARB SULEV II multiplicative factors. 
Vehicles certified to Tier 2, Bin 2 emissions standards shall utilize 
the Tier 2 Bin 2 emission standards and the CARB SULEV II multiplicative 
factors to determine the appropriate OBD malfunction threshold. Vehicles 
certified to Tier 2 Bin 7 or higher shall utilize the CARB LEV II 
multiplicative factors to

[[Page 911]]

determine the appropriate OBD malfunction threshold.
    (n) For 2007 and later model year diesel complete heavy-duty 
vehicles, in lieu of the malfunction descriptions of paragraph (b) of 
this section, the malfunction descriptions of this paragraph (n) shall 
apply. The OBD system must detect and identify malfunctions in all 
monitored emission-related powertrain systems or components according to 
the following malfunction definitions as measured and calculated in 
accordance with test procedures set forth in subpart B of this part 
(chassis-based test procedures), excluding those test procedures defined 
as ``Supplemental'' test procedures in Sec.  86.004-2 and codified in 
Sec. Sec.  86.158, 86.159, and 86.160.
    (1) Catalysts and diesel particulate filters (DPF). (i) If equipped, 
reduction catalyst deterioration or malfunction before it results in 
exhaust emissions exceeding, for model years 2007 through 2009, 4 times 
the applicable NOX standard and, for model years 2010 through 
2012, the applicable NOX standard + 0.6 g/mi and, for model 
years 2013 and later, the applicable NOX standard + 0.3 g/mi. 
Further, if equipped, oxidation catalyst (not to include the DPF), 
deterioration or malfunction before it results in exhaust NMHC emissions 
exceeding, for 2010 through 2012 model years, 2.5 times the applicable 
NMHC standard and, for 2013 and later model years, 2 times the 
applicable NMHC standard. Monitoring of oxidation catalysts is not 
required through the 2009 model year. These catalyst monitoring need not 
be done if the manufacturer can demonstrate that deterioration or 
malfunction of the system will not result in exceedance of the 
threshold. As an alternative to the oxidation catalyst monitoring 
requirement, the monitor can be designed to detect oxidation catalyst 
deterioration or malfunction before it results in an inability to 
achieve a temperature rise of 100 degrees C, or to reach the necessary 
DPF regeneration temperature, within 60 seconds of initiating an active 
DPF regeneration. Further, oxidation catalyst deterioration or 
malfunction when the DOC is unable to sustain the necessary regeneration 
temperature for the duration of the regeneration event. The OBD or 
control system must abort the regeneration if the regeneration 
temperature has not been reached within five minutes of initiating an 
active regeneration event, and if the regeneration temperature cannot be 
sustained for the duration of the regeneration event.
    (ii) If equipped with a DPF, for all model years, catastrophic 
failure of the device must be detected. Any DPF whose complete failure 
results in exhaust emissions exceeding 1.5 times the applicable PM 
standard or family emissions limit (FEL) must be monitored for such 
catastrophic failure. This monitoring need not be done if the 
manufacturer can demonstrate that a catastrophic failure of the system 
will not result in exceedance of the threshold. Further, if equipped 
with a DPF, the OBD system shall detect DPF deterioration or malfunction 
before it results in exhaust emissions exceeding, for 2010 through 2012 
model years, 4 times the applicable PM standard and, for 2013 and later 
model years, the applicable PM standard + 0.04 g/mi.
    (2) Engine misfire. Lack of cylinder combustion must be detected.
    (3) Exhaust gas sensors--(i) Oxygen sensors and air-fuel ratio 
sensors downstream of aftertreatment devices. If equipped, sensor 
deterioration or malfunction resulting in exhaust emissions exceeding 
any of the following levels: for 2007 through 2009 model years, 4 times 
the applicable PM standard, or 3 times the applicable NOX 
standard, or 2.5 times the applicable NMHC standard and, for 2010 
through 2012 model years, 4 times the applicable PM standard, or the 
applicable NOX standard + 0.3 g/mi, or 2.5 times the 
applicable NMHC standard and, for 2013 and later model years, the 
applicable PM standard + 0.04 g/mi, or the applicable NOX 
standard + 0.3 g/mi, or 2 times the applicable NMHC standard.
    (ii) Oxygen sensors and air-fuel ratio sensors upstream of 
aftertreatment devices. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 4 times the applicable PM standard, 
or 3 times the applicable NOX standard, or 2.5 times the 
applicable NMHC standard, or 2.5 times the applicable CO standard and, 
for 2010 through

[[Page 912]]

2012 model years, the applicable PM standard + 0.02 g/mi, or the 
applicable NOX standard + 0.3 g/mi, or 2.5 times the 
applicable NMHC standard, or 2.5 times the applicable CO standard and, 
for 2013 and later model years, the applicable PM standard + 0.02 g/mi, 
or the applicable NOX standard + 0.3 g/mi, or 2 times the 
applicable NMHC standard, or 2 times the applicable CO standard.
    (iii) NOX sensors. If equipped, sensor deterioration or malfunction 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 5 times the applicable PM standard, 
or 4 times the applicable NOX standard and, for 2010 through 
2012 model years, 4 times the applicable PM standard, or the applicable 
NOX standard + 0.6 g/mi and, for 2013 and later model years, 
the applicable PM standard + 0.04 g/mi, or the applicable NOX 
standard + 0.3 g/mi.
    (4) [Reserved]
    (5) Other emission control systems and components. Any deterioration 
or malfunction occurring in an engine system or component directly 
intended to control emissions, including but not necessarily limited to, 
the exhaust gas recirculation (EGR) system, if equipped, and the fuel 
control system, singularly resulting in exhaust emissions exceeding any 
of the following levels: For 2007 through 2009 model years, 4 times the 
applicable PM standard, or 3 times the applicable NOX 
standard, or 2.5 times the applicable NMHC standard, or 2.5 times the 
applicable CO standard and, for 2010 through 2012 model years, 4 times 
the applicable PM standard, or the applicable NOX standard + 
0.3 g/mi, or 2.5 times the applicable NMHC standard, or 2.5 times the 
applicable CO standard and, for 2013 and later model years, the 
applicable PM standard + 0.02 g/mi, or the applicable NOX 
standard + 0.3 g/mi, or 2 times the applicable NMHC standard, or 2 times 
the applicable CO standard. A functional check, as described in 
paragraph (n)(6) of this section, may satisfy the requirements of this 
paragraph (n)(5) provided the manufacturer can demonstrate that a 
malfunction would not cause emissions to exceed the applicable levels. 
This demonstration is subject to Administrator approval. For engines 
equipped with crankcase ventilation (CV), monitoring of the CV system is 
not necessary provided the manufacturer can demonstrate to the 
Administrator's satisfaction that the CV system is unlikely to fail.
    (6) Other emission-related powertrain components. Any other 
deterioration or malfunction occurring in an electronic emission-related 
powertrain system or component not otherwise described in paragraphs 
(n)(1) through (n)(5) of this section that either provides input to or 
receives commands from the on-board computer and has a measurable impact 
on emissions; monitoring of components required by this paragraph (n)(6) 
must be satisfied by employing electrical circuit continuity checks and 
rationality checks for computer input components (input values within 
manufacturer specified ranges based on other available operating 
parameters), and functionality checks for computer output components 
(proper functional response to computer commands) except that the 
Administrator may waive such a rationality or functionality check where 
the manufacturer has demonstrated infeasibility. Malfunctions are 
defined as a failure of the system or component to meet the electrical 
circuit continuity checks or the rationality or functionality checks.
    (7) Performance of OBD functions. Any sensor or other component 
deterioration or malfunction which renders that sensor or component 
incapable of performing its function as part of the OBD system must be 
detected and identified on engines so equipped.
    (o) For 2007 and later model year diesel complete heavy-duty 
vehicles, in lieu of the certification provisions of paragraph (k) of 
this section, the certification provisions of this paragraph (o) shall 
apply. For test groups required to have an OBD system, certification 
will not be granted if, for any test vehicle approved by the 
Administrator in consultation with the manufacturer, the malfunction 
indicator light does not illuminate under any of the following 
circumstances, unless the manufacturer can demonstrate that any 
identified OBD problems discovered during the Administrator's evaluation 
will be corrected on production vehicles.

[[Page 913]]

    (1)(i) If monitored for emissions performance--a reduction catalyst 
is replaced with a deteriorated or defective catalyst, or an electronic 
simulation of such, resulting in exhaust emissions exceeding, for 2007 
through 2009 model years, 4 times the applicable NOX standard 
and, for 2010 through 2012 model years, the applicable NOX 
standard + 0.6 g/mi and, for 2013 and later model years, the applicable 
NOX standard + 0.3 g/mi. Also if monitored for emissions 
performance-an oxidation catalyst (not to include the DPF) is replaced 
with a deteriorated or defective catalyst, or an electronic simulation 
of such, resulting in exhaust NMHC emissions exceeding, for 2010 through 
2012 model years, 2.5 times the applicable NMHC standard and, for 2013 
and later model years, 2 times the applicable NMHC standard. If 
monitored for exotherm performance for 2010 and later model years, an 
oxidation catalsyt is replaced with a deteriorated or defective 
catalyst, or an electronic simulation of such, resulting in an inability 
to achieve a 100 degree C temperature rise, or the necessary 
regeneration temperature, within 60 seconds of initiating a DPF 
regeneration.
    (ii) If monitored for performance--a DPF is replaced with a DPF that 
has catastrophically failed, or an electronic simulation of such. 
Further, a DPF is replaced with a deteriorated or defective DPF, or an 
electronic simulation of such, resulting in exhaust PM emissions 
exceeding, for 2010 through 2012 model years, 4 times the applicable PM 
standard and, for 2013 and later model years, the applicable PM standard 
+ 0.04 g/mi.
    (2) An engine misfire condition is induced and is not detected.
    (3)(i) If so equipped, any oxygen sensor or air-fuel ratio sensor 
located downstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 4 times the applicable PM standard, 
or 3 times the applicable NOX standard, or 2.5 times the 
applicable NMHC standard and, for 2010 through 2012 model years, 4 times 
the applicable PM standard, or the applicable NOX standard + 
0.3 g/mi, or 2.5 times the applicable NMHC standard and, for 2013 and 
later model years, the applicable PM standard + 0.04 g/mi, or the 
applicable NOX standard + 0.3 g/mi, or 2 times the applicable 
NMHC standard.
    (ii) If so equipped, any oxygen sensor or air-fuel ratio sensor 
located upstream of aftertreatment devices is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 4 times the applicable PM standard, 
or 3 times the applicable NOX standard, or 2.5 times the 
applicable NMHC standard, or 2.5 times the applicable CO standard and, 
for 2010 through 2012 model years, the applicable PM standard + 0.02 g/
mi, or the applicable NOX standard + 0.3 g/mi, or 2.5 times 
the applicable NMHC standard, or 2.5 times the applicable CO standard 
and, for 2013 and later model years, the applicable PM standard + 0.02 
g/mi, or the applicable NOX standard + 0.3 g/mi, or 2 times 
the applicable NMHC standard, or 2 times the applicable CO standard.
    (iii) If so equipped, any NOX sensor is replaced with a 
deteriorated or defective sensor, or an electronic simulation of such, 
resulting in exhaust emissions exceeding any of the following levels: 
for 2007 through 2009 model years, 5 times the applicable PM standard, 
or 4 times the applicable NOX standard and, for 2010 through 
2012 model years, 4 times the applicable PM standard, or the applicable 
NOX standard + 0.6 g/mi and, for 2013 and later model years, 
the applicable PM standard + 0.04 g/mi, or the applicable NOX 
standard + 0.3 g/mi.
    (4) [Reserved]
    (5) A malfunction condition is induced in any emission-related 
engine system or component, including but not necessarily limited to, 
the exhaust gas recirculation (EGR) system, if equipped, and the fuel 
control system, singularly resulting in exhaust emissions exceeding any 
of the following levels: for 2007 through 2009 model years, 4 times the 
applicable PM standard or 3 times the applicable NOX 
standard, or 2.5 times the applicable NMHC standard, or 2.5 times the 
applicable CO standard and, for 2010 through 2012 model years, 4 times 
the applicable

[[Page 914]]

PM standard, or the applicable NOX standard + 0.3 g/mi, or 
2.5 times the applicable NMHC standard, or 2.5 times the applicable CO 
standard and, for 2013 and later model years, the applicable PM standard 
+ 0.02 g/mi, or the applicable NOX standard + 0.3 g/mi, or 2 
times the applicable NMHC standard, or 2 times the applicable CO 
standard.
    (6) A malfunction condition is induced in an electronic emission-
related powertrain system or component not otherwise described in this 
paragraph (o) that either provides input to or receives commands from 
the on-board computer resulting in a measurable impact on emissions.

[65 FR 59965, Oct. 6, 2000, as amended at 66 FR 5189, Jan. 18, 2001; 68 
FR 35799, June 17, 2003; 70 FR 75410, Dec. 20, 2005; 71 FR 51488, Aug. 
30, 2006; 71 FR 78094, Dec. 28, 2006; 74 FR 8420, Feb. 24, 2009; 75 FR 
25685, May 7, 2010; 76 FR 57377, Sept. 15, 2011; 79 FR 23708, Apr. 28, 
2014]



Sec.  86.1806-17  Onboard diagnostics.

    Model year 2017 and later vehicles must have onboard diagnostic 
(OBD) systems as described in this section. OBD systems must generally 
detect malfunctions in the emission control system, store trouble codes 
corresponding to detected malfunctions, and alert operators 
appropriately.
    (a) Vehicles must comply with the 2013 OBD requirements adopted for 
California as described in this paragraph (a). California's 2013 OBD-II 
requirements are part of Title 13, Sec.  1968.2 of the California Code 
of Regulations, approved on July 31, 2013 (incorporated by reference in 
Sec.  86.1). The following clarifications and exceptions apply for 
vehicles certified under this subpart:
    (1) For vehicles not certified in California, references to vehicles 
meeting certain California Air Resources Board emission standards are 
understood to refer to the corresponding EPA emission standards for a 
given family, where applicable. Use good engineering judgment to 
correlate the specified standards with the bin standards that apply 
under this subpart.
    (2) Vehicles must comply with OBD requirements throughout the useful 
life as specified in Sec.  86.1805. If the specified useful life is 
different for evaporative and exhaust emissions, the useful life 
specified for evaporative emissions applies for monitoring related to 
fuel-system leaks and the useful life specified for exhaust emissions 
applies for all other parameters.
    (3) The purpose and applicability statements in 13 CCR 1968.2(a) and 
(b) do not apply.
    (4) The anti-tampering provisions in 13 CCR 1968.2(d)(1.4) do not 
apply.
    (5) The requirement to verify proper alignment between the camshaft 
and crankshaft described in 13 CCR 1968.2(e)(15.2.1)(C) applies only for 
vehicles equipped with variable valve timing.
    (6) The deficiency provisions described in paragraph (c) of this 
section apply instead of 13 CCR 1968.2(k).
    (7) For emergency vehicles only, the provisions of 13 CCR 
1968.2(e)(6.2.1) related to monitoring and identification of air-fuel 
ratio cylinder imbalance, as part of the fuel system monitoring, do not 
apply until model year 2020, unless the vehicle met the requirements in 
2016 or earlier model years.
    (8) Apply thresholds for exhaust emission malfunctions from Tier 3 
vehicles based on the thresholds calculated for the corresponding bin 
standards in the California LEV II program as prescribed for the latest 
model year in 13 CCR 1968.2(e) and (f). For example, for Tier 3 Bin 160 
standards, apply the threshold that applies for the LEV standards. For 
cases involving Tier 3 standards that have no corresponding bin 
standards from the California LEV II program, use the next highest LEV 
II bin. For example, for Tier 3 Bin 50 standards, apply the threshold 
that applies for the ULEV standards. You may apply thresholds that are 
more stringent than we require under this paragraph (a)(8).
    (b) The following additional provisions apply:
    (1) Model year 2017 and later vehicles must meet the OBD system 
requirements described in this paragraph (b)(1). When monitoring 
conditions are satisfied, test vehicles must detect the presence of a 
leak with an effective leak diameter at or above 0.020 inches, 
illuminate the MIL, and store the appropriate confirmed diagnostic 
trouble codes (DTCs) (13 CCR 1968.2 refers to these as fault codes). For 
a 0.020 inch leak, the DTC(s) shall be a generic SAE

[[Page 915]]

J2012 DTC that is specific to an EVAP system very small leak (e.g., 
P0456, P04EE, or P04EF) or an equivalent manufacturer-specific DTC that 
we approve. Conduct testing using an O'Keefe Controls Co. metal ``Type 
B'' orifice with a diameter of 0.020 inches or an alternate orifice 
diameter approved under 13 CCR 1968.2(e)(4.2.3) or (e)(4.2.4).
    (i) Use the methodology specified in 13 CCR 1968.2(h)(2.2) to select 
test vehicles to demonstrate that the OBD system is capable of detecting 
a 0.020 inch leak installed in the evaporative system, except that the 
manufacturer may use production-representative vehicles instead of the 
vehicle options specified in 13 CCR 1968.2(h)(2.3).
    (ii) Perform tests in the laboratory, with or without a dynamometer, 
or on an outdoor road surface, as necessary to exercise the vehicle's 
ability to detect leaks in the evaporative system.
    (iii) Perform at least two tests to evaluate the OBD system for 
leaks that are installed near the fuel fill pipe and near the canister. 
The implanted leak near the fuel fill pipe must be at the fuel cap or 
between the fuel cap and the fuel tank. The implanted leak near the 
canister must be in the vapor line between the canister and the fuel 
tank, or between the canister and the purge valve). If a vehicle has 
multiple canisters or fuel fill pipes, repeat the testing to evaluate 
the system for implanted leaks corresponding to each canister and fuel 
fill pipe. You may propose to implant leaks in different locations 
(e.g., near the purge valve); we will approve your alternate leak 
location if it more effectively demonstrates leak detection for your 
particular fuel system design.
    (iv) If vehicle operation is needed to fulfill preconditioning 
(i.e., when engine-off tests require driving before vehicle shutdown to 
enable the engine-off monitor) or monitoring conditions for leak 
detection under this paragraph (b)(1) utilize an FTP cycle, Unified 
cycle, or some other specified operating cycle that will satisfy the 
approved monitoring or preconditioning conditions without the 
interference of approved deficiencies. Continue vehicle operation as 
needed to illuminate the MIL and store the appropriate DTCs.
    (v) Emission measurements are not required during this OBD 
evaporative system leak monitoring demonstration testing.
    (vi) For test groups not selected for testing in a given model year, 
you may instead provide a statement in the application for 
certification, consistent with good engineering judgment, that vehicles 
meet leak-detection requirements based on previous OBD tests, 
development tests, or other appropriate information. For any untested 
test groups, the statement specified in Sec.  86.1844-01(d)(8) applies 
with regard to the leak monitoring requirement. We may ask you to 
provide the data and other information that formed the basis for your 
statement. Select test groups in later model years such that testing 
will rotate to cover your whole product line over time.
    (vii) Submit the following information in the application for 
certification:
    (A) Describe the test sequence.
    (B) Identify the driving cycle used and the time expired and 
distance driven before the MIL illuminated.
    (C) Identify the ranges of in-use environmental and vehicle 
operating conditions for which the vehicle will not meet the leak-
detection specifications described in this paragraph (b)(1). To meet 
this requirement, you may give us the same information you gave the 
California Air Resources Board regarding enable conditions for the 
evaporative system leak monitor.
    (D) Identify the confirmed and permanent DTCs set by the OBD system 
during testing.
    (E) Include the freeze frame information stored at the point the 
fault is detected.
    (F) Include the SAE J1979 test results (e.g., Mode/Service $06) 
corresponding to the DTCs that were stored during the test.
    (viii) If you have one or more vehicle models in model year 2016 
that do not comply with the leak requirements in 13 CCR 1968.2(e)(4), 
you may comply with the requirements of this paragraph (b)(1) in model 
year 2017 by substituting model year 2016 vehicles on

[[Page 916]]

an equal-percentage basis. Demonstrate this by calculating the 
percentage of vehicles subject to OBD requirements under this subpart 
that meet the requirements of this paragraph (b)(1) in model years 2016 
and 2017; the sum of these two percentage values must be at or above 100 
percent. Any model year 2017 vehicles not meeting the requirements of 
this paragraph (b)(1), as allowed by this paragraph (b)(1)(viii), may 
not be counted as compliant Tier 3 vehicles under the alternative phase-
in specified in Sec.  86.1813-17(g)(2)(ii).
    (2) For vehicles subject to the leak standard in Sec.  86.1813, OBD 
systems must record in computer memory the result of the most recent 
successfully completed diagnostic check for a 0.020 inch leak. Someone 
must be able to use the data to determine the miles driven since the 
last check occurred, the pass/fail result, and whether there has been a 
check since the computer memory was last cleared (e.g., from a scan tool 
command or battery disconnect). The system may be designed to keep data 
only from the previous 750 miles of driving. (Note: This 750 mile 
requirement is related to the use of the OBD evaporative leak monitor in 
the leak test and should not be confused with either the minimum or 
maximum distance values specified in Table G-19 of SAE J1979.) The data 
must be reported in a standardized format consistent with other data 
required for the OBD system. The results must be scan-readable.
    (3) For vehicles with fuel tanks exceeding 25 gallons nominal fuel 
tank capacity, you may request our approval for a leak threshold greater 
than 0.020 inches, up to a maximum value of 0.040 inches. We will 
generally approve a leak threshold equal to the standard that applies 
under Sec.  86.1813.
    (c) You may ask us to accept as compliant a vehicle that does not 
fully meet specific requirements under this section. Such deficiencies 
are intended to allow for minor deviations from OBD standards under 
limited conditions. We expect vehicles to have functioning OBD systems 
that meet the objectives stated in this section. The following 
provisions apply regarding OBD system deficiencies:
    (1) Except as specified in paragraph (d) of this section, we will 
not approve a deficiency that involves the complete lack of a major 
diagnostic monitor, such as monitors related to exhaust aftertreatment 
devices, oxygen sensors, air-fuel ratio sensors, NOX sensors, 
engine misfire, evaporative leaks, and diesel EGR (if applicable).
    (2) We will approve a deficiency only if you show us that full 
compliance is infeasible or unreasonable considering any relevant 
factors, such as the technical feasibility of a given monitor, or the 
lead time and production cycles of vehicle designs and programmed 
computing upgrades.
    (3) Our approval for a given deficiency applies only for a single 
model year, though you may continue to ask us to extend a deficiency 
approval in renewable one-year increments. We may approve an extension 
if you demonstrate an acceptable level of effort toward compliance and 
show that the necessary hardware or software modifications would pose an 
unreasonable burden.
    (d) For alternative-fuel vehicles, manufacturers may request a 
waiver from specific requirements for which monitoring may not be 
reliable for operation with the alternative fuel. However, we will not 
waive requirements that we judge to be feasible for a particular 
manufacturer or vehicle model.
    (e) For alternative-fuel conversions, manufacturers may meet the 
requirements of Sec.  86.1806-05 instead of the requirements of this 
section.
    (f) You may ask us to waive certain requirements in this section for 
emergency vehicles. We will approve your request for an appropriate 
duration if we determine that the OBD requirement in question could harm 
system performance in a way that would impair a vehicle's ability to 
perform its emergency functions.
    (g) The following interim provisions describe an alternate 
implementation schedule for the requirements of this section in certain 
circumstances:
    (1) Manufacturers may delay complying with all the requirements of 
this section, and instead meet all the requirements that apply under 
Sec.  86.1806-05, for any heavy-duty vehicles that are

[[Page 917]]

not yet subject to the Tier 3 standards in Sec.  86.1816.
    (2) Except as specified in this paragraph (g)(2), small-volume 
manufacturers may delay complying with all the requirements of this 
section until model year 2022, and instead meet all the requirements 
that apply under Sec.  86.1806-05 during those years. This provision 
does not apply for a vehicle model if it is identical to a 2016 vehicle 
model that was certified to meet California's OBD requirements under 
Sec.  86.1806-05(j)(3). A vehicle model is considered identical to one 
from model year 2016 if it is certified in the current year based on the 
same test data for exhaust or evaporative emissions under the carryover 
data provisions of this subpart.
    (3) Manufacturers may disregard the requirements of this section 
that apply above 8,500 pounds GVWR before model year 2019 and instead 
meet all the requirements that apply under Sec.  86.1806-05. This also 
applies for model year 2019 vehicles from a test group with vehicles 
that have a Job 1 date on or before March 3, 2018 (see 40 CFR 85.2304).

[79 FR 23709, Apr. 28, 2014, as amended at 80 FR 9104, Feb. 19, 2015]



Sec.  86.1807-01  Vehicle labeling.

    (a) The manufacturer of any motor vehicle subject to the applicable 
emission standards of this subpart, shall, at the time of manufacture, 
affix a permanent legible label, of the type and in the manner described 
in this section, containing the information prescribed in this section, 
to all production models of such vehicles available for sale to the 
public and covered by a Certificate of Conformity under Sec.  86.1848-
01.
    (1) A permanent, legible label shall be affixed in a readily visible 
position in the engine compartment.
    (2) The label shall be affixed by the vehicle manufacturer who has 
been issued the Certificate of Conformity for such vehicle, in such 
manner that it cannot be removed without destroying or defacing the 
label. The label shall not be affixed to any equipment which is easily 
detached from such vehicle.
    (3) The label shall contain the following information lettered in 
the English language in block letters and numerals, which shall be of a 
color that contrasts with the background of the label:
    (i) The label heading: Vehicle Emission Control Information;
    (ii) Full corporate name and trademark of manufacturer;
    (iii) Engine displacement (in cubic inches or liters), test group 
identification and evaporative/refueling family identification;
    (iv) [Reserved]
    (v) An unconditional statement of compliance with the appropriate 
model year U.S. EPA regulations which apply to light-duty vehicles, 
light-duty trucks, medium-duty passenger vehicles, or complete heavy-
duty vehicles;
    (vi) The exhaust emission standards (or FEL, as applicable) to which 
the test group is certified, and for test groups having different in-use 
standards, the corresponding exhaust emission standards that the test 
group must meet in use. In lieu of this requirement, manufacturers may 
use the standardized test group name designated by EPA;
    (vii) [Reserved]
    (viii) Vehicles granted final admission under 40 CFR 85.1505 must 
comply with the labeling requirements contained in 40 CFR 85.1510;
    (ix) [Reserved]
    (x) For vehicles designed to be capable of operating on fuels other 
than gasoline or diesel, the statement ``This vehicle is certified to 
operate on [specify fuel(s)]''.
    (b) The provisions of this section shall not prevent a manufacturer 
from also reciting on the label that such vehicle (or engine) conforms 
to any applicable state emission standards for new motor vehicles (or 
new motor vehicle engines) or any other information that such 
manufacturer deems necessary for, or useful to, the proper operation and 
satisfactory maintenance of the vehicle (or engine).
    (c)(1) The manufacturer of any light-duty vehicle, light-duty truck, 
medium-duty passenger vehicle, or heavy-duty vehicle subject to the 
emission standards of this subpart shall, in addition and subsequent to 
setting forth those statements on the label required by the Department 
of Transportation (DOT) pursuant to 49 CFR 567.4 set

[[Page 918]]

forth on the DOT label or on an additional label located in proximity to 
the DOT label and affixed as described in 49 CFR 567.4(b), the following 
information in the English language, lettered in block letters and 
numbers not less than three thirty-seconds of an inch high, of a color 
that contrasts with the background of the label:
    (i) The heading: ``Vehicle Emission Control Information.''
    (ii)(A) For light-duty vehicles, the statement: ``This Vehicle 
Conforms to U.S. EPA Regulations Applicable to XXX-Fueled 20XX Model 
Year New Motor Vehicles.''
    (B) For light-duty trucks, the statement: ``This Vehicle Conforms to 
U.S. EPA Regulations Applicable to XXX-Fueled 20XX Model Year New Light-
Duty Trucks.''
    (C) For medium-duty passenger vehicles, the statement: ``This 
Vehicle Conforms to U.S. EPA Regulations Applicable to XXX-fueled 20XX 
Model Year New Medium-Duty Passenger Vehicles.''
    (D) For heavy-duty vehicles, the statement: ``This Vehicle Conforms 
to U.S. EPA Regulations Applicable to XXX-fueled 20XX Model Year 
Chassis-Certified New Heavy-Duty Vehicles.''
    (iii) [Reserved]
    (2)-(3) [Reserved]
    (d)(1) Incomplete light-duty trucks shall have the following 
prominent statement printed on the label required by paragraph (a)(3)(v) 
of this section: ``This vehicle conforms to U.S. EPA regulations 
applicable to 20xx Model year Light-Duty Trucks under the special 
provisions of 40 CFR 86.1801-01(c)(1) when it does not exceed XXX pounds 
in curb weight, XXX pounds in gross vehicle weight rating, and XXX 
square feet in frontal area.''
    (2) Incomplete heavy-duty vehicles optionally certified in 
accordance with the provisions for complete heavy-duty vehicles under 
the special provisions of Sec.  86.1801-01(c)(2) shall have the 
following prominent statement printed on the label required by paragraph 
(a)(3)(v) of this section: ``This vehicle conforms to U.S. EPA 
regulations applicable to 20xx Model year Complete Heavy-Duty Vehicles 
under the special provisions of 40 CFR 86.1801-01(c)(2) when it does not 
exceed XXX pounds in curb weight, XXX pounds in gross vehicle weight 
rating, and XXX square feet in frontal area.''
    (e) The manufacturer of any incomplete light-duty vehicle, light-
duty truck, or heavy-duty vehicle shall notify the purchaser of such 
vehicle of any curb weight, frontal area, or gross vehicle weight rating 
limitations affecting the emission certificate applicable to that 
vehicle. This notification shall be transmitted in a manner consistent 
with National Highway Traffic Safety Administration safety notification 
requirements published in 49 CFR part 568.
    (f) All light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, and complete heavy-duty vehicles shall comply with 
SAE Recommended Practices J1877 ``Recommended Practice for Bar-Coded 
Vehicle Identification Number Label,'' (July 1994). SAE J1877 is 
incorporated by reference (see Sec.  86.1).
    (g) The Administrator may approve in advance other label content and 
formats provided the alternative label contains information consistent 
with this section.
    (h) Vehicles powered by model year 2007 through 2013 diesel-fueled 
engines must include permanent readily visible labels on the dashboard 
(or instrument panel) and near all fuel inlets that state ``Use Ultra 
Low Sulfur Diesel Fuel Only'' or ``Ultra Low Sulfur Diesel Fuel Only''.
    (i) For vehicles with one or more approved AECDs for emergency 
vehicles under paragraph (4) of the definition of ``defeat device'' in 
Sec.  86.1803, include the following statement on the emission control 
information label: ``THIS VEHICLE HAS A LIMITED EXEMPTION AS AN 
EMERGENCY VEHICLE.''

[64 FR 23925, May 4, 1999, as amended at 65 FR 6853, Feb. 10, 2000; 65 
FR 59969, Oct. 6, 2000; 70 FR 72928, Dec. 8, 2005; 77 FR 34146, June 8, 
2012; 79 FR 23711, Apr. 28, 2014]



Sec.  86.1808-01  Maintenance instructions.

    (a) The manufacturer shall furnish or cause to be furnished to the 
purchaser of each new motor vehicle subject to the standards prescribed 
in this subpart, as applicable, written instructions for the proper 
maintenance and use of the vehicle, by the purchaser

[[Page 919]]

consistent with the provisions of Sec.  86.1834-01, which establishes 
what scheduled maintenance the Administrator approves as being 
reasonable and necessary.
    (1) The maintenance instructions required by this section shall be 
in clear, and to the extent practicable, nontechnical language.
    (2) The maintenance instructions required by this section shall 
contain a general description of the documentation which the 
manufacturer will require from the ultimate purchaser or any subsequent 
purchaser as evidence of compliance with the instructions.
    (b) Instructions provided to purchasers under paragraph (a) of this 
section shall specify the performance of all scheduled maintenance 
performed by the manufacturer on certification durability vehicles and, 
in cases where the manufacturer performs less maintenance on 
certification durability data vehicles than the allowed limit, may 
specify the performance of any scheduled maintenance allowed under Sec.  
86.1834-01.
    (c) Scheduled emission-related maintenance in addition to that 
performed under Sec.  86.1834-01 may only be recommended to offset the 
effects of abnormal in-use operating conditions, except as provided in 
paragraph (d) of this section. The manufacturer shall be required to 
demonstrate, subject to the approval of the Administrator, that such 
maintenance is reasonable and technologically necessary to assure the 
proper functioning of the emission control system. Such additional 
recommended maintenance shall be clearly differentiated, in a form 
approved by the Administrator, from that approved under Sec.  86.1834-
01.
    (d) Inspections of emission-related parts or systems with 
instructions to replace, repair, clean, or adjust the parts or systems 
if necessary, are not considered to be items of scheduled maintenance 
which insure the proper functioning of the emission control system. Such 
inspections, and any recommended maintenance beyond that approved by the 
Administrator as reasonable and necessary under paragraphs (a), (b), and 
(c) of this section, may be included in the written instructions 
furnished to vehicle owners under paragraph (a) of this section, 
provided that such instructions clearly state, in a form approved by the 
Administrator, that the owner need not perform such inspections or 
recommended maintenance in order to maintain the emission warranty or 
manufacturer recall liability.
    (e) If the vehicle has been granted an alternative useful life 
period under the provisions of Sec.  86.1805-01(c), the manufacturer may 
choose to include in such instructions an explanation of the distinction 
between the alternative useful life specified on the label, and the 
emissions defect and emissions performance warranty period. The 
explanation must clearly state that the useful life period specified on 
the label represents the average period of use up to retirement or 
rebuild for the test group represented by the engine used in the 
vehicle. An explanation of how the actual useful lives of engines used 
in various applications are expected to differ from the average useful 
life may be included. The explanation(s) shall be in clear, non-
technical language that is understandable to the ultimate purchaser.
    (f) Emission control diagnostic service information:
    (1) Applicability. Manufacturers are subject to the provisions of 
this paragraph (f) for 1996 model year for and later light-duty vehicles 
and light-duty trucks. Manufacturers are subject to the provisions of 
this paragraph (f) for 2005 model year and later heavy-duty vehicles at 
or below 14,000 pounds GVWR and the corresponding engines that are 
subject to the OBD requirements of this part.
    (2) General requirements. (i) Manufacturers shall furnish or cause 
to be furnished to any person engaged in the repairing or servicing of 
motor vehicles or motor vehicle engines, or the Administrator upon 
request, any and all information needed to make use of the on-board 
diagnostic system and such other information, including instructions for 
making emission-related diagnoses and repairs, including but not limited 
to service manuals, technical service bulletins, recall service 
information, bi-directional control information, and training 
information, unless

[[Page 920]]

such information is protected by section 208(c) of the Act as a trade 
secret. No such information may be withheld under section 208(c) of the 
Act if that information is provided (directly or indirectly) by the 
manufacturer to franchised dealers or other persons engaged in the 
repair, diagnosing, or servicing of motor vehicles or motor vehicle 
engines.
    (ii) Definitions. The following definitions apply for this paragraph 
(f):
    (A) Aftermarket service provider means any individual or business 
engaged in the diagnosis, service, and repair of a motor vehicle or 
engine, who is not directly affiliated with a manufacturer or 
manufacturer-franchised dealership.
    (B) Bi-directional control means the capability of a diagnostic tool 
to send messages on the data bus that temporarily overrides the module's 
control over a sensor or actuator and gives control to the diagnostic 
tool operator. Bi-directional controls do not create permanent changes 
to engine or component calibrations.
    (C) Data stream information means information (i.e., messages and 
parameters) originated within the vehicle by a module or intelligent 
sensors (i.e., a sensor that contains and is controlled by its own 
module) and transmitted between a network of modules and/or intelligent 
sensors connected in parallel with either one or more communication 
wires. The information is broadcast over the communication wires for use 
by the OBD system to gather information on emissions-related components 
or systems and from other vehicle modules that may impact emissions, 
including but not limited to systems such as chassis or transmission. 
For the purposes of this section, data stream information does not 
include engine calibration related information, or any data stream 
information from systems or modules that do not impact emissions.
    (D) Emissions-related information means any information related to 
the diagnosis, service, and repair of emissions-related components. 
Emissions-related information includes, but is not limited to, 
information regarding any system, component or part of a vehicle that 
controls emissions and any system, component and/or part associated with 
the powertrain system, including, but not limited to:
    (1) The engine, the fuel system and ignition system;
    (2) Information for any system, component or part that is likely to 
impact emissions, such as transmission systems, and any other 
information specified by the Administrator to be relevant to the 
diagnosis and repair of an emissions-related problem; and
    (3) Any other information specified by the Administrator to be 
relevant for the diagnosis and repair of an emissions-related failure 
found through the inspection and maintenance program after such finding 
has been communicated to the affected manufacturer(s).
    (E) Emissions-related training information means any information 
related to training or instruction for the purpose of the diagnosis, 
service, and repair of emissions-related components.
    (F) Enhanced service and repair information means information which 
is specific for an original equipment manufacturer's brand of tools and 
equipment. This includes computer or anti-theft system initialization 
information necessary for the completion of any emissions-related repair 
on motor vehicles that employ integral vehicle security systems.
    (G) Equipment and tool company means a registered automotive 
equipment or software company either public or private that is engaged 
in, or plans to engage in, the manufacture of automotive scan tool 
reprogramming equipment or software.
    (H) Generic service and repair information means information which 
is not specific for an original equipment manufacturer's brand of tools 
and equipment.
    (I) Indirect information means any information that is not 
specifically contained in the service literature, but is contained in 
items such as tools or equipment provided to franchised dealers (or 
others). This includes computer or anti-theft system initialization 
information necessary for the completion of any emissions-related repair 
on motor vehicles that employ integral vehicle security systems.

[[Page 921]]

    (J) Intermediary means any individual or entity, other than an 
original equipment manufacturer, which provides service or equipment to 
aftermarket service providers.
    (K) Manufacturer-franchised dealership means any service provider 
with which a manufacturer has a direct business relationship.
    (L) Third-party information provider means any individual or entity, 
other than an original equipment manufacturer, who consolidates 
manufacturer service information and makes this information available to 
aftermarket service providers.
    (M) Third-party training provider means any individual or entity, 
other than an original equipment manufacturer who develops and/or 
delivers instructional and educational material for automotive training 
courses.
    (3) Information dissemination. Each manufacturer shall provide or 
cause to be provided to the persons specified in paragraph (f)(2)(i) of 
this section and to any other interested parties a manufacturer-specific 
Web site containing the information specified in paragraph (f)(2)(i) of 
this section for vehicles identified in paragraph (f)(1) of this section 
that have been offered for sale; this requirement does not apply to 
indirect information, including the information specified in paragraphs 
(f)(12) through (f)(16) of this section. Each manufacturer Web site 
shall--
    (i) Provide access in full-text to all of the information specified 
in paragraph (f)(5) of this section.
    (ii) Be updated at the same time as manufacturer-franchised 
dealership World Wide Web sites;
    (iii) Provide users with a description of the minimum computer 
hardware and software needed by the user to access that manufacturer's 
information (e.g., computer processor speed and operating system 
software). This description shall appear when users first log-on to the 
home page of the manufacturer's Web site.
    (iv) Provide Short-Term (24 to 72 hours), Mid-Term (30-day period), 
and Long-Term (365-day period) Web site subscription options to any 
person specified in paragraph (f)(2)(i) of this section whereby the user 
will be able to access the site, search for the information, and 
purchase, view and print the information at a fair and reasonable cost 
as specified in paragraph (f)(7) of this section for each of the 
options. In addition, for each of the subscription options, 
manufacturers are required to make their entire site accessible for the 
respective period of time and price. In other words, a manufacturer may 
not limit any or all of the subscription options to just one make or one 
model.
    (v) Allow the user to search the manufacturer Web site by various 
topics including but not limited to model, model year, key words or 
phrases, etc., while allowing ready identification of the latest vehicle 
calibration. Manufacturers who do not use model year to classify their 
vehicles in their service information may use an alternate vehicle 
delineation such as body series. Any manufacturer utilizing this 
flexibility shall create a cross-reference to the corresponding model 
year and provide this cross-reference on the manufacturer Web site home 
page.
    (vi) Provide accessibility using common, readily available software 
and shall not require the use of software, hardware, viewers, or 
browsers that are not readily available to the general public. 
Manufacturers shall also provide hyperlinks to any plug-ins, viewers or 
browsers (e.g. Adobe Acrobat or Netscape) needed to access the 
manufacturer Web site.
    (vii) Allow simple hyper-linking to the manufacturer Web site from 
government Web sites and automotive-related Web sites.
    (viii) Allow access to the manufacturer Web sites with no limits on 
the modem speed by which aftermarket service providers or other 
interested parties can connect to the manufacturer Web site.
    (ix) Possess sufficient server capacity to allow ready access by all 
users and have sufficient capacity to assure that all users may obtain 
needed information without undue delay.
    (x) Correct or delete broken Web links on a weekly basis.
    (xi) Allow for Web site navigation that does not require a user to 
return to the manufacturer home page or a search engine in order to 
access a different portion of the site.

[[Page 922]]

    (xii) Allow all users to print out any and all of the materials 
required to be made available on the manufacturers Web site, including 
the ability to print it at the users location.
    (4) Small volume provisions for information dissemination. (i) 
Manufacturers with annual sales of less than 5,000 vehicles shall have 
until June 28, 2004 to launch their individual Web sites as required by 
paragraph (f)(3) of this section.
    (ii) Manufacturers with annual sales of less than 1,000 vehicles 
may, in lieu of meeting the requirement of paragraph (f)(3) of this 
section, request the Administrator to approve an alternative method by 
which the required emissions-related information can be obtained by the 
persons specified in paragraph (f)(2)(i) of this section.
    (5) Required information. All information relevant to the diagnosis 
and completion of emissions-related repairs shall be posted on 
manufacturer Web sites. This excludes indirect information specified in 
paragraphs (f)(6) and (f)(12) through (f)(16) of this section. To the 
extent that this information does not already exist in some form for 
their manufacturer-franchised dealerships, manufacturers are required to 
develop and make available the information required by this section to 
both their manufacturer-franchised dealerships and the aftermarket. The 
required information includes, but is not limited to:
    (i) Manuals, including subsystem and component manuals developed by 
a manufacturer's third party supplier that are made available to 
manufacturer-franchised dealerships, technical service bulletins (TSBs), 
recall service information, diagrams, charts, and training materials. 
Manuals and other such service information from third party suppliers 
are not required to be made available in full-text on manufacturer Web 
sites as described in paragraph (f)(3) of this section. Rather, 
manufacturers must make available on the manufacturer Web site as 
required by paragraph (f)(3) of this section an index of the relevant 
information and instructions on how to order such third party 
information. In the alternative, a manufacturer can create a link from 
its Web site to the Web site(s) of the third party supplier.
    (ii) OBD system information which includes, but is not limited to, 
the following:
    (A) A general description of the operation of each monitor, 
including a description of the parameter that is being monitored;
    (B) A listing of all typical OBD diagnostic trouble codes associated 
with each monitor;
    (C) A description of the typical enabling conditions (either generic 
or monitor-specific) for each monitor (if equipped) to execute during 
vehicle operation, including, but not limited to, minimum and maximum 
intake air and engine coolant temperature, vehicle speed range, and time 
after engine startup. In addition, manufacturers shall list all monitor-
specific OBD drive cycle information for all major OBD monitors as 
equipped including, but not limited to, catalyst, catalyst heater, 
oxygen sensor, oxygen sensor heater, evaporative system, exhaust gas re-
circulation (EGR), secondary air, and air conditioning system. 
Additionally, for diesel vehicles under 14,000 pounds GVWR which also 
perform misfire, fuel system and comprehensive component monitoring 
under specific driving conditions (i.e., non-continuous monitoring; as 
opposed to spark ignition engines that monitor these systems under all 
conditions or continuous monitoring), the manufacturer shall make 
available monitor-specific drive cycles. Any manufacturer who develops 
generic drive cycles, either in addition to, or instead of, monitor-
specific drive cycles shall also make these available in full-text on 
manufacturer Web sites;
    (D) A listing of each monitor sequence, execution frequency and 
typical duration;
    (E) A listing of typical malfunction thresholds for each monitor;
    (F) For OBD parameters for specific vehicles that deviate from the 
typical parameters, the OBD description shall indicate the deviation and 
provide a separate listing of the typical values for those vehicles;
    (G) Identification and scaling information necessary to interpret 
and understand data available to a generic

[[Page 923]]

scan tool through ``mode 6'', pursuant to Society of Automotive 
Engineers SAE J1979, ``EE Diagnostic Test Modes''(Incorporated by 
reference, see Sec.  86.1).
    (H) Algorithms, look-up tables, or any values associated with look-
up tables are not required to be made available.
    (iii) Any information regarding any system, component, or part of a 
vehicle monitored by the OBD system that could in a failure mode cause 
the OBD system to illuminate the malfunction indicator light (MIL);
    (iv) Any information on other systems that can effect the emission 
system within a multiplexed system (including how information is sent 
between emission-related system modules and other modules on a 
multiplexed bus);
    (v) Manufacturer-specific emissions-related diagnostic trouble codes 
(DTCs) and any related service bulletins, trouble shooting guides, and/
or repair procedures associated with these manufacturer-specific DTCs; 
and
    (vi) Information regarding how to obtain the information needed to 
perform reinitialization of any vehicle computer or anti-theft system 
following an emissions-related repair.
    (6) Anti-theft system initialization information. Computer or anti-
theft system initialization information and/or related tools necessary 
for the proper installation of on-board computers or necessary for the 
completion of any emissions-related repair on motor vehicles that employ 
integral vehicle security systems or the repair or replacement of any 
other emission-related part shall be made available at a fair and 
reasonable cost to the persons specified in paragraph (f)(2)(i) of this 
section.
    (i) Except as provided under paragraph (f)(6)(ii) of this section, 
manufacturers must make this information available to persons specified 
in paragraph (f)(2)(i) of this section, such that such persons will not 
need any special tools or manufacturer-specific scan tools to perform 
the initialization. Manufacturers may make such information available 
through, for example, generic aftermarket tools, a pass-through device, 
or inexpensive manufacturer specific cables.
    (ii) A manufacturer may request Administrator approval for an 
alternative means to re-initialize vehicles for some or all model year 
vehicles through the 2007 model year by 1 month following the effective 
date of the final rule. The Administrator shall approve the request only 
after the following conditions have been met:
    (A) The manufacturer must demonstrate that the availability of such 
information to aftermarket service providers would significantly 
increase the risk of vehicle theft.
    (B) The manufacturer must make available a reasonable alternative 
means to install or repair computers, or to otherwise repair or replace 
an emission-related part.
    (C) Any alternative means proposed by a manufacturer cannot require 
aftermarket technicians to use a manufacturer-franchised dealership to 
obtain information or special tools to re-initialize the anti-theft 
system. All information must come directly from the manufacturer or a 
single manufacturer-specified designee.
    (D) Any alternative means proposed by a manufacturer must be 
available to aftermarket technicians at a fair and reasonable price.
    (E) Any alternative must be available to aftermarket technicians 
within twenty-four hours of the initial request.
    (F) Any alternative must not require the purchase of a special tool 
or tools, including manufacturer-specific tools, to complete this 
repair. Alternatives may include lease of such tools, but only for 
appropriately minimal cost.
    (G) In lieu of leasing their manufacturer-specific tool to meet this 
requirement, a manufacturer may also release the necessary information 
to equipment and tool manufacturers for incorporation into aftermarket 
scan tools. Any manufacturer choosing this option must release the 
information to equipment and tool manufacturers within 60 days of 
Administrator approval. Manufacturers may also comply with this 
requirement using SAE J2534 for some or all model years through model 
year 2007.

[[Page 924]]

    (7) Cost of required information. (i) All information required to be 
made available by this section shall be made available at a fair and 
reasonable price. In determining whether a price is fair and reasonable, 
consideration may be given to relevant factors, including, but not 
limited to, the following:
    (A) The net cost to the manufacturer-franchised dealerships for 
similar information obtained from manufacturers, less any discounts, 
rebates, or other incentive programs.
    (B) The cost to the manufacturer for preparing and distributing the 
information, excluding any research and development costs incurred in 
designing and implementing, upgrading or altering the onboard computer 
and its software or any other vehicle part or component. Amortized 
capital costs for the preparation and distribution of the information 
may be included.
    (C) The price charged by other manufacturers for similar 
information.
    (D) The price charged by manufacturers for similar information prior 
to the launch of manufacturer Web sites.
    (E) The ability of aftermarket technicians or shops to afford the 
information.
    (F) The means by which the information is distributed.
    (G) The extent to which the information is used, which includes the 
number of users, and frequency, duration, and volume of use.
    (H) Inflation.
    (ii) By August 26, 2003, each manufacturer shall submit to the 
Administrator a request for approval of their pricing structure for 
their Web sites and amounts to be charged for the information required 
to be made available under paragraphs (f)(3) and (f)(5) of this section. 
Subsequent to the approval of the manufacturer Web site pricing 
structure, each manufacturer shall notify the Administrator upon the 
increase in price of any one or all of the subscription options of 20 
percent or more above the previously approved price, taking inflation 
into account.
    (A) The manufacturer shall submit a request to the Administrator 
that sets forth a detailed description of the pricing structure and 
amounts, and support for the position that the pricing structure and 
amounts are fair and reasonable by addressing, at a minimum, each of the 
factors specified in paragraph (f)(7)(i) of this section.
    (B) The Administrator will act on the request within 180 days 
following receipt of a complete request or following receipt of any 
additional information requested by the Administrator.
    (C) The Administrator may decide not to approve, or to withdraw 
approval for a manufacturer's pricing structure and amounts based on a 
conclusion that this pricing structure and/or amounts are not, or are no 
longer, fair and reasonable, by sending written notice to the 
manufacturer explaining the basis for this decision.
    (D) In the case of a decision by the Administrator not to approve or 
to withdraw approval, the manufacturer shall within three months 
following notice of this decision, obtain Administrator approval for a 
revised pricing structure and amounts by following the approval process 
described in this paragraph (f)(7)(ii).
    (8) Unavailable information. Any information which is not provided 
at a fair and reasonable price shall be considered unavailable, in 
violation of these regulations and section 202(m)(5) of the Clean Air 
Act.
    (9) Third-party information providers. By December 24, 2003, 
manufacturers shall, for model year 2004 and later vehicles and engines, 
make available to third-party information providers as defined in 
paragraph (f)(2)(ii) of this section with whom they engage in licensing 
or business arrangements;
    (i) The required emissions-related information as specified in 
paragraph (f)(5) of this section either:
    (A) Directly in electronic format such as diskette or CD-ROM using 
non-proprietary software, in English; or
    (B) Indirectly via a Web site other than that required by paragraph 
(f)(3) of this section;
    (ii) For any manufacturer who utilizes an automated process in their 
manufacturer-specific scan tool for diagnostic fault trees, the data 
schema, detail specifications, including category types/codes and 
vehicle codes, and data format/content structure of the diagnostic 
trouble trees.

[[Page 925]]

    (iii) Manufacturers can satisfy the requirement of paragraph 
(f)(9)(ii) of this section by making available diagnostic trouble trees 
on their manufacturer Web sites in full-text.
    (iv) Manufacturers are not responsible for the accuracy of the 
information distributed by third parties. However, where manufacturers 
charge information intermediaries for information, whether through 
licensing agreements or other arrangements, manufacturers are 
responsible for inaccuracies contained in the information they provide 
to third-party information providers.
    (10) Required emissions-related training information. By December 
24, 2003, for emissions-related training information, manufacturers 
shall:
    (i) Video tape or otherwise duplicate and make available for sale on 
manufacturer Web sites within 30 days after transmission any emissions-
related training courses provided to manufacturer-franchised dealerships 
via the Internet or satellite transmission;
    (ii) Provide on the manufacturer's Web site an index of all 
emissions-related training information available for purchase by 
aftermarket service providers for 1994 and newer vehicles. The required 
information must be made available for purchase within 3 months of model 
introduction and then must be made available at the same time it is made 
available to manufacturer-franchised dealerships, whichever is earlier. 
The index shall describe the title of the course or instructional 
session, the cost of the video tape or duplicate, and information on how 
to order the item(s) from the manufacturer Web site. All of the items 
available must be shipped within 24 hours of the order being placed and 
are to be made available at a fair and reasonable price as described in 
paragraph (f)(7) of this section. Manufacturers unable to meet the 24 
hour shipping requirement under circumstances where orders exceed supply 
and additional time is needed by the distributor to reproduce the item 
being ordered may exceed the 24 hour shipping requirement, but in no 
instance can take longer than 14 days to ship the item.
    (iii) Provide access to third-party training providers as defined in 
paragraph (f)(2)(ii) of this section all emission-related training 
courses transmitted via satellite or Internet offered to their 
manufacturer-franchised dealerships. Manufacturers may not charge 
unreasonable up-front fees to third-party training providers for this 
access, but may require a royalty, percentage, or other arranged fee 
based on per-use enrollment/subscription basis. Manufacturers may take 
reasonable steps to protect any copyrighted information and are not 
required to provide this information to parties that do not agree to 
such steps.
    (11) Timeliness and maintenance of information dissemination. (i) 
General requirements. Subsequent to the initial launch of the 
manufacturer's Web site, manufacturers must make the information 
required under paragraph (f)(5) of this section available on their Web 
site within six months of model introduction, or at the same time it is 
made available to manufacturer-franchised dealerships, whichever is 
earlier. After this six-month period, the information must be available 
and updated on the manufacturer Web site at the same time that the 
updated information is made available to manufacturer-franchised 
dealerships, except as otherwise specified in this section.
    (ii) Archived information. Manufacturers must maintain the required 
information on their Web sites in full-text as defined in paragraph 
(f)(5) of this section for a minimum of 15 years after model 
introduction. Subsequent to this fifteen year period, manufacturers may 
archive the information in the manufacturer's format of choice and 
provide an index of the archived information on the manufacturer Web 
site and how it can be obtained by interested parties. Manufacturers 
shall index their available information with a title that adequately 
describes the contents of the document to which it refers. Manufacturers 
may allow for the ordering of information directly from their Web site, 
or from a Web site hyperlinked to the manufacturer Web site. In the 
alternative, manufacturers shall list a phone number and address where 
aftermarket service providers can call or write to obtain the desired 
information. Manufacturers must also provide the price of each item 
listed, as well as

[[Page 926]]

the price of items ordered on a subscription basis. To the extent that 
any additional information is added or changed for these model years, 
manufacturers shall update the index as appropriate. Manufacturers will 
be responsible for ensuring that all information, including information 
that is distributed through information distributors, is provided within 
one regular business day of receiving the order. Items that are less 
than 20 pages (e.g. technical service bulletins) shall be faxed, if 
requested, to the requestor and distributors are required to deliver the 
information overnight if requested and paid for by the ordering party. 
Archived information must be made available on demand and at a fair and 
reasonable price.
    (12) Reprogramming information. (i) Manufacturers shall make 
available to the persons specified in paragraph (f)(2)(i) of this 
section all emissions-related recalibration or reprogramming events 
(including driveability reprogramming events that may affect emissions) 
in the format of its choice at the same time they are made available to 
manufacturer-franchised dealerships. This requirement takes effect on 
September 25, 2003, and within 3 months of model introduction for all 
new model years.
    (ii) Manufacturers shall provide persons specified in paragraph 
(f)(2)(i) of this section with an efficient and cost-effective method 
for identifying whether the calibrations on vehicles are the latest to 
be issued. This requirement takes effect on September 25, 2003, and 
within 3 months of model introduction for all new model years.
    (iii) For all 2004 and later OBD vehicles equipped with 
reprogramming capability, manufacturers shall comply with SAE J2534 
(Incorporated by reference, see Sec.  86.1). Any manufacturer who cannot 
comply with SAE J2534 in model year 2004 may request one year additional 
lead time from the Administrator.
    (iv) For model years 2004 and later, manufacturers shall make 
available to aftermarket service providers the necessary manufacturer-
specific software applications and calibrations needed to initiate pass-
through reprogramming. This software shall be able to run on a standard 
personal computer that utilizes standard operating systems as specified 
in SAE J2534 (Incorporated by reference, see Sec.  86.1).
    (v) For model years prior to 2004, manufacturers may use SAE J2534 
as described above, provided they make available to the aftermarket any 
additional required hardware (i.e., cables). Manufacturers may not 
require the purchase or use of a manufacturer-specific scan tool to 
receive or use this additional hardware. Manufacturers must also make 
available the necessary manufacturer-specific software applications and 
calibrations needed to initiate pass-through reprogramming. 
Manufacturers must also make available to equipment and tool companies 
any information needed to develop aftermarket equivalents of the 
manufacturer-specific hardware.
    (vi) Manufacturers may take any reasonable business precautions 
necessary to protect proprietary business information and are not 
required to provide this information to any party that does not agree to 
these reasonable business precautions. The requirement to make hardware 
available and to release the information to equipment and tool companies 
takes effect on September 25, 2003, and within 3 months of model 
introduction for all new model years.
    (vii) Manufacturers who cannot comply with paragraphs (f)(12)(v) and 
(f)(12)(vi) of this section shall make available to equipment and tool 
companies by September 25, 2003 the following information necessary for 
reprogramming the ECU:
    (A) The physical hardware requirements for reprogramming events or 
tools (e.g. system voltage requirements, cable terminals/pins, 
connections such as RS232 or USB, wires, etc.).
    (B) ECU data communication (e.g. serial data protocols, transmission 
speed or baud rate, bit timing requirements, etc.).
    (C) Information on the application physical interface (API) or 
layers (descriptions for procedures such as connection, initialization, 
performing and verifying programming/download, and termination).

[[Page 927]]

    (D) Vehicle application information or any other related service 
information such as special pins and voltages for reprogramming events 
or additional vehicle connectors that require enablement and 
specifications for the enablement.
    (E) Information that describes what interfaces or combinations of 
interfaces are used to deliver calibrations from database media (e.g. PC 
using CDROM to the reprogramming device e.g. scan tool or black box).
    (viii) A manufacturer can propose an alternative to the requirements 
of paragraph (f)(12)(vii) of this section for how aftermarket service 
providers can reprogram an ECU. The Administrator will approve this 
alternative if the manufacturer demonstrates all of the following:
    (A) That it cannot comply with paragraph (f)(12)(v) of this section 
for the vehicles subject to the alternative plan;
    (B) That a very small percentage of its vehicles in model years 
prior to 2004 cannot be reprogrammed with the provisions described in 
paragraph (f)(12)(v) of this section, or that releasing the information 
to tool companies would likely not result in this information being 
incorporated into aftermarket tools; and
    (C) That aftermarket service providers will be able to reprogram 
promptly at a reasonable cost.
    (ix) In meeting the requirements of paragraphs (f)(12)(v) through 
(f)(12)(vii) of this section, manufacturers may take any reasonable 
business precautions necessary to protect proprietary business 
information and are not required to provide this information to any 
party that does not agree to these reasonable business precautions.
    (13) Generic and enhanced information for scan tools. Manufacturers 
shall make available to equipment and tool companies all generic and 
enhanced service information including bi-directional control and data 
stream information as defined in paragraph (f)(2)(ii) of this section. 
This requirement applies for 1996 and later model year vehicles.
    (i) The information required by this paragraph (f)(13) of this 
section shall be provided electronically using common document formats 
to equipment and tool companies with whom they have appropriate 
licensing, contractual, and/or confidentiality arrangements. To the 
extent that a central repository for this information (e.g. the TEK-NET 
library developed by the Equipment and Tool Institute) is used to 
warehouse this information, the Administrator shall have free 
unrestricted access. In addition, information required by paragraph 
(f)(13) of this section shall be made available to equipment and tool 
companies who are not otherwise members of any central repository and 
shall have access if the non-members have arranged for the appropriate 
licensing, contractual and/or confidentiality arrangements with the 
manufacturer and/or a central repository.
    (ii) In addition to the generic and enhanced information defined in 
paragraph (f)(2)(ii) of this section, manufacturers shall also make 
available the following information necessary for developing generic 
diagnostic scan tools:
    (A) The physical hardware requirements for data communication (e.g. 
system voltage requirements, cable terminals/pins, connections such as 
RS232 or USB, wires, etc.)
    (B) ECU data communication (e.g. serial data protocols, transmission 
speed or baud rate, bit timing requirements, etc.),
    (C) Information on the application physical interface (API) or 
layers. (i.e., processing algorithms or software design descriptions for 
procedures such as connection, initialization, and termination),
    (D) Vehicle application information or any other related service 
information such as special pins and voltages or additional vehicle 
connectors that require enablement and specifications for the 
enablement.
    (iii) Any manufacturer who utilizes an automated process in its 
manufacturer-specific scan tool for diagnostic fault trees shall make 
available to equipment and tool companies the data schema, detail 
specifications, including category types/codes and vehicle codes, and 
data format/content structure of the diagnostic trouble trees.
    (iv) Manufacturers can satisfy the requirement of paragraph 
(f)(13)(iii) of

[[Page 928]]

this section by making available diagnostic trouble trees on their Web 
sites in full text.
    (14) Availability of manufacturer-specific scan tools. Manufacturers 
shall make available for sale to the persons specified in paragraph 
(f)(2)(i) of this section their own manufacturer-specific diagnostic 
tools at a fair and reasonable cost. These tools shall also be made 
available in a timely fashion either through the manufacturer Web site 
or through a manufacturer-designated intermediary. Manufacturers who 
develop different versions of one or more of their diagnostic tools that 
are used in whole or in part for emission-related diagnosis and repair 
shall insure that all emission-related diagnosis and repair information 
is available for sale to the aftermarket at a fair and reasonable cost. 
Manufacturers shall provide technical support to aftermarket service 
providers for the tools described in this section, either themselves or 
through a third party of its choice. Factors for determining fair and 
reasonable cost include, but are not limited to:
    (i) The net cost to the manufacturer's franchised dealerships for 
similar tools obtained from manufacturers, less any discounts, rebates, 
or other incentive programs;
    (ii) The cost to the manufacturer for preparing and distributing the 
tools, excluding any research and development costs;
    (iii) The price charged by other manufacturers of similar sizes for 
similar tools;
    (iv) The capabilities and functionality of the manufacturer tool;
    (v) The means by which the tools are distributed;
    (vi) Inflation;
    (vii) The ability of aftermarket technicians and shops to afford the 
tools.
    (15) Changing content of manufacturer-specific scan tools. 
Manufacturers who opt to remove non-emissions related content from their 
manufacturer-specific scan tools and sell them to the persons specified 
in paragraph (f)(2)(i) of this section shall adjust the cost of the tool 
accordingly lower to reflect the decreased value of the scan tool. All 
emissions-related content that remains in the manufacturer-specific tool 
shall be identical to the information that is contained in the complete 
version of the manufacturer specific tool. Any manufacturer who wishes 
to implement this option must request approval from the Administrator 
prior to the introduction of the tool into commerce.
    (16) Special tools. (i) Manufacturers who have developed special 
tools to extinguish the malfunction indicator light (MIL) for Model 
Years 1994 through 2003 shall make available the necessary information 
to equipment and tool companies to design a comparable generic tool.
    (ii) Manufacturers are prohibited from requiring special tools to 
extinguish the malfunction indicator light (MIL) beginning with Model 
Year 2004.
    (17) Reference materials. Manufacturers shall conform with the 
following Society of Automotive Engineers (SAE) standards.
    (i) For Web-based delivery of service information, manufacturers 
shall comply with SAE Recommended Practice J1930 (Revised, May 1998), 
``Electrical/Electronic Systems Diagnostic Terms, Definitions, 
Abbreviations, and Acronyms'' (Incorporated by reference, see Sec.  
86.1). This recommended practice standardizes various terms, 
abbreviations, and acronyms associated with on-board diagnostics. 
Manufacturers shall comply with SAE J1930 (Incorporated by reference, 
see Sec.  86.1) beginning with Model Year 2004.
    (ii) For identification and scaling information necessary to 
interpret and understand data available to a generic scan tool through 
``mode 6'', manufacturers shall comply with SAE Recommended Practice 
J1979 (Revised, September, 1997), ``EE Diagnostic Test Modes'' 
(Incorporated by reference, see Sec.  86.1). This recommended practice 
describes the implementation of the diagnostic test modes for emissions-
related test data. Manufacturers shall comply with SAE J1979 beginning 
with Model Year 2004.
    (iii) For allowing ECU and equipment and tool manufacturers to 
satisfy the needs of multiple end users with minimum modification to a 
basic ECU design, manufacturers shall comply with SAE Recommended 
Practice J2284-3 (May, 2001), ``High Speed CAN (HSC) for

[[Page 929]]

Vehicle Applications at 500 KBPS'' (Incorporated by reference, see Sec.  
86.1). SAE J2284-3 establishes standard ECU physical layer, data link 
layer, and media design criteria. Manufacturers may comply with SAE 
J2284-3 beginning with model year 2003 and shall comply with SAE J2284-3 
beginning with model year 2008.
    (iv) For pass-through reprogramming capabilities, manufacturers 
shall comply with SAE Recommended Practice J2534 (February, 2002), 
``Recommended Practice for Pass-Thru Vehicle Programming'' (Incorporated 
by reference, see Sec.  86.1). This recommended practice provides 
technical specifications and information that manufacturers must supply 
to equipment and tool companies to develop aftermarket pass-through 
reprogramming tools. Manufacturers shall comply with SAE J2534 beginning 
with model year 2004.
    (18) Reporting requirements. Manufacturers shall provide to the 
Administrator reports on an annual basis within 30 days of the end of 
the calendar year and upon request of the Administrator, that describe 
the performance of their individual Web sites. These annual reports 
shall be submitted to the Administrator electronically utilizing non-
proprietary software in the format as agreed to by the Administrator and 
the manufacturers. Manufacturers may request Administrator approval to 
report on parameters other than those described below if the 
manufacturer can demonstrate that those alternate parameters will 
provide sufficient and similar information for the Administrator to 
effectively evaluate the manufacturer Web site. These annual reports 
shall include, at a minimum, monthly measurements of the following 
parameters:
    (i) Total successful requests (measured in number of files including 
graphic interchange formats (GIFs) and joint photographic expert group 
(JPEG) images, i.e. electronic images such as wiring or other diagrams 
or pictures). This is defined as the total successful request counts of 
all the files which have been requested, including pages, graphics, etc.
    (ii) Total failed requests (measured in number of files). This is 
defined as the total failed request counts of all the files which were 
requested but failed because they could not be found or were read-
protected. This includes pages, graphics, etc.
    (iii) Average data transferred per day (measured by bytes). This is 
defined as average amount of data transferred per day from one place to 
another.
    (iv) Daily Summary (measured in number of files/pages by day of 
week). This is defined as the total number of requests each day of the 
week, over the time period given at the beginning of the report.
    (v) Daily report (measured in number of files/pages by the day of 
the month). This is defined as how many requests there were in each day 
of a specific month.
    (vi) Browser Summary (measured in number of files/pages by browser 
type, i.e., Netscape, Internet Explorer). This is defined as the 
versions of a browser by vendor.
    (vii) Any other information deemed necessary by the Administrator to 
determine the adequacy of a manufacturer Web site.
    (19) Prohibited Acts, Liability and Remedies. (i) It is a prohibited 
act for any person to fail to promptly provide or cause a failure to 
promptly provide information as required by this paragraph (f), or to 
otherwise fail to comply or cause a failure to comply with any provision 
of this paragraph (f).
    (ii) Any person who fails or causes the failure to comply with any 
provision of this paragraph (f) is liable for a violation of that 
provision. A corporation is presumed liable for any violations of this 
subpart that are committed by any of its subsidiaries, affiliates or 
parents that are substantially owned by it or substantially under its 
control.
    (iii) Any person who violates a provision of this paragraph (f) 
shall be subject to a civil penalty of not more than $32,500 per day for 
each violation. This maximum penalty is shown for calendar year 2004. 
Maximum penalty limits for later years may be set higher based on the 
Consumer Price Index, as specified in 40 CFR part 19. In addition, such 
person shall be liable for all other remedies set forth in Title II of 
the Clean Air Act, remedies pertaining to provisions of Title II of the 
Clean Air

[[Page 930]]

Act, or other applicable provisions of law.
    (g) Through model year 2013, the manufacturer shall furnish or cause 
to be furnished to the purchaser the following statement for each new 
diesel-fueled Tier 2 vehicle (certified using a test fuel with 15 ppm 
sulfur or less): ``This vehicle must be operated only with ultra low 
sulfur diesel fuel (that is, diesel fuel meeting EPA specifications for 
highway diesel fuel, including a 15 ppm sulfur cap).''

[64 FR 23925, May 4, 1999, as amended at 68 FR 38455, June 27, 2003; 70 
FR 40442, July 13, 2005; 79 FR 23711, Apr. 28, 2014]



Sec.  86.1809-01  Prohibition of defeat devices.

    (a) No new light-duty vehicle, light-duty truck, or complete heavy-
duty vehicle shall be equipped with a defeat device.
    (b) The Administrator may test or require testing on any vehicle at 
a designated location, using driving cycles and conditions which may 
reasonably be expected to be encountered in normal operation and use, 
for the purposes of investigating a potential defeat device.
    (c) For cold temperature CO emission control, the Administrator will 
use a guideline to determine the appropriateness of the CO emission 
control at ambient temperatures between 25 deg. F (-4 deg. C) and 68 
deg. F (20 deg. C). The guideline for CO emission congruity across the 
intermediate temperature range is the linear interpolation between the 
CO standard applicable at 25 deg. F (-4 deg. C) and the CO standard 
applicable at 68 deg. F (20 deg. C). For vehicles that exceed this CO 
emissions guideline upon intermediate temperature cold testing:
    (1) If the CO emission level is greater than the 20 deg. F (-7 deg. 
C) emission standard, the vehicle will automatically be considered to be 
equipped with a defeat device without further investigation.
    (2) If the CO emission level does not exceed the 20 deg. F emission 
standard, the Administrator may investigate the vehicle design for the 
presence of a defeat device under paragraph (d) of this section.
    (d) For vehicle designs designated by the Administrator to be 
investigated for possible defeat devices:
    (1) The manufacturer must show to the satisfaction of the 
Administrator that the vehicle design does not incorporate strategies 
that unnecessarily reduce emission control effectiveness exhibited 
during the Federal or Supplemental Federal emissions test procedures 
(FTP or SFTP) when the vehicle is operated under conditions which may 
reasonably be expected to be encountered in normal operation and use.
    (2) Information requirements:
    (i) Upon request by the Administrator, the manufacturer will provide 
an explanation containing detailed information regarding test programs, 
engineering evaluations, design specifications, calibrations, on-board 
computer algorithms, and design strategies incorporated for operation 
both during and outside of the Federal emission test procedure.
    (ii) For purposes of investigations of possible cold temperature CO 
defeat devices under this paragraph (d), the manufacturer shall provide 
an explanation which must show, to the satisfaction of the 
Administrator, that CO emissions are reasonably controlled in reference 
to the linear guideline, across the intermediate temperature range.
    (e) For each test group of Tier 2 LDV/LLDTs and HLDT/MDPVs and 
interim non-Tier 2 LDV/LLDTs and HLDT/MDPVs the manufacturer must 
submit, with the Part II certification application, an engineering 
evaluation demonstrating to the satisfaction of the Administrator that a 
discontinuity in emissions of non-methane organic gases, carbon 
monoxide, oxides of nitrogen and formaldehyde measured on the Federal 
Test Procedure (subpart B of this part) does not occur in the 
temperature range of 20 to 86 degrees F. For diesel vehicles, the 
engineering evaluation must also include particulate emissions.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6853, Feb. 10, 2000; 65 
FR 59969, Oct. 6, 2000]

[[Page 931]]



Sec.  86.1809-10  Prohibition of defeat devices.

    (a) No new light-duty vehicle, light-duty truck, medium-duty 
passenger vehicle, or complete heavy-duty vehicle shall be equipped with 
a defeat device.
    (b) The Administrator may test or require testing on any vehicle at 
a designated location, using driving cycles and conditions that may 
reasonably be expected to be encountered in normal operation and use, 
for the purposes of investigating a potential defeat device.
    (c) For cold temperature CO and cold temperature NMHC emission 
control, the Administrator will use a guideline to determine the 
appropriateness of the CO and NMHC emission control at ambient 
temperatures between 25 [deg]F (the upper bound of the temperatue test 
range) and 68 [deg]F (the lower bound of the FTP range). The guideline 
for CO emission congruity across the intermediate temperature range is 
the linear interpolation between the CO standard applicable at 25 [deg]F 
and the CO standard applicable at 68 [deg]F. The guideline for NMHC 
emission congruity across the intermediate temperature range is the 
linear interpolation between the NMHC FEL pass limit (e.g. 0.3499 g/mi 
for a 0.3 g/mi FEL) applicable at 20 [deg]F and the Tier 2 NMOG standard 
to which the vehicle was certified at 68 [deg]F, where the intermediate 
temperature NMHC level is rounded to the nearest hundredth for 
comparison to the interpolated line. For vehicles that exceed this CO 
emissions guideline or this NMHC emissions guideline upon intermediate 
temperature cold testing:
    (1) If the CO emission level is greater than the 20 [deg]F emission 
standard, the vehicle will automatically be considered to be equipped 
with a defeat device without further investigation. If the intermediate 
temperature NMHC emission level, rounded to the nearest hundredth, is 
greater than the 20 [deg]F FEL pass limit, the vehicle will be presumed 
to have a defeat device unless the manufacturer provides evidence to 
EPA's satisfaction that the cause of the test result in question is not 
due to a defeat device.
    (2) If the CO emission level does not exceed the 20 [deg]F emission 
standard, the Administrator may investigate the vehicle design for the 
presence of a defeat device under paragraph (d) of this section. If the 
intermediate temperature NMHC emission level, rounded to the nearest 
hundredth, does not exceed the 20 [deg]F FEL pass limit the 
Administrator may investigate the vehicle design for the presence of a 
defeat device under paragraph (d) of this section.
    (d) The following provisions apply for vehicle designs designated by 
the Administrator to be investigated for possible defeat devices:
    (1) The manufacturer must show to the satisfaction of the 
Administrator that the vehicle design does not incorporate strategies 
that unnecessarily reduce emission control effectiveness exhibited 
during the Federal Test Procedure or Supplemental Federal Test Procedure 
(FTP or SFTP) when the vehicle is operated under conditions that may 
reasonably be expected to be encountered in normal operation and use.
    (2) The following information requirements apply:
    (i) Upon request by the Administrator, the manufacturer must provide 
an explanation containing detailed information regarding test programs, 
engineering evaluations, design specifications, calibrations, on-board 
computer algorithms, and design strategies incorporated for operation 
both during and outside of the Federal emission test procedure.
    (ii) For purposes of investigations of possible cold temperature CO 
or cold temperature NMHC defeat devices under this paragraph (d), the 
manufacturer must provide an explanation to show, to the satisfaction of 
the Administrator, that CO emissions and NMHC emissions are reasonably 
controlled in reference to the linear guideline across the intermediate 
temperature range.
    (e) For each test group of Tier 2 LDV/LLDTs and HLDT/MDPVs and 
interim non-Tier 2 LDV/LLDTs and HLDT/MDPVs the manufacturer must 
submit, with the Part II certification application, an engineering 
evaluation demonstrating to the satisfaction of the Administrator that a 
discontinuity in emissions of non-methane organic gases, carbon 
monoxide, oxides of nitrogen and formaldehyde measured on the Federal 
Test Procedure (subpart B of this part) does not occur in the 
temperature range of 20 to 86 [deg]F. For diesel

[[Page 932]]

vehicles, the engineering evaluation must also include particulate 
emissions.

[72 FR 8561, Feb. 26, 2007]



Sec.  86.1809-12  Prohibition of defeat devices.

    (a) No new light-duty vehicle, light-duty truck, medium-duty 
passenger vehicle, or complete heavy-duty vehicle shall be equipped with 
a defeat device.
    (b) The Administrator may test or require testing on any vehicle at 
a designated location, using driving cycles and conditions that may 
reasonably be expected to be encountered in normal operation and use, 
for the purposes of investigating a potential defeat device.
    (c) For cold temperature CO and cold temperature NMHC emission 
control, the Administrator will use a guideline to determine the 
appropriateness of the CO and NMHC emission control at ambient 
temperatures between 25 [deg]F (the upper bound of the FTP test 
temperature range) and 68 [deg]F (the lower bound of the FTP test 
temperature range). The guideline for CO emission congruity across the 
intermediate temperature range is the linear interpolation between the 
CO standard applicable at 25 [deg]F and the CO standard applicable at 68 
[deg]F. The guideline for NMHC emission congruity across the 
intermediate temperature range is the linear interpolation between the 
NMHC FEL pass limit (e.g., 0.3499 g/mi for a 0.3 g/mi FEL) applicable at 
20 [deg]F and the Tier 2 NMOG standard or the Tier 3 NMOG + 
NOX bin standard to which the vehicle was certified at 68 
[deg]F, where the intermediate temperature NMHC level is rounded to the 
nearest hundredth for comparison to the interpolated line. For vehicles 
that exceed this CO emissions guideline or this NMHC emissions guideline 
upon intermediate temperature testing:
    (1) If the CO emission level is greater than the 20 [deg]F emission 
standard, the vehicle will automatically be considered to be equipped 
with a defeat device without further investigation. If the intermediate 
temperature NMHC emission level, rounded to the nearest hundredth, is 
greater than the 20 [deg]F FEL pass limit, the vehicle will be presumed 
to have a defeat device unless the manufacturer provides evidence to 
EPA's satisfaction that the cause of the test result in question is not 
due to a defeat device.
    (2) If the CO emission level does not exceed the 20 [deg]F emission 
standard, the Administrator may investigate the vehicle design for the 
presence of a defeat device under paragraph (d) of this section. If the 
intermediate temperature NMHC emission level, rounded to the nearest 
hundredth, does not exceed the 20 [deg]F FEL pass limit the 
Administrator may investigate the vehicle design for the presence of a 
defeat device under paragraph (d) of this section.
    (d) The following provisions apply for vehicle designs designated by 
the Administrator to be investigated for possible defeat devices:
    (1) The manufacturer must show to the satisfaction of the 
Administrator that the vehicle design does not incorporate strategies 
that unnecessarily reduce emission control effectiveness exhibited 
during the Federal Test Procedure or Supplemental Federal Test Procedure 
(FTP or SFTP) or the Highway Fuel Economy Test Procedure (described in 
subpart B of 40 CFR part 600), or the Air Conditioning Idle Test 
(described in Sec.  86.165-12), when the vehicle is operated under 
conditions that may reasonably be expected to be encountered in normal 
operation and use.
    (2) The following information requirements apply:
    (i) Upon request by the Administrator, the manufacturer must provide 
an explanation containing detailed information regarding test programs, 
engineering evaluations, design specifications, calibrations, on-board 
computer algorithms, and design strategies incorporated for operation 
both during and outside of the Federal emission test procedures.
    (ii) For purposes of investigations of possible cold temperature CO 
or cold temperature NMHC defeat devices under this paragraph (d), the 
manufacturer must provide an explanation to show, to the satisfaction of 
the Administrator, that CO emissions and NMHC emissions are reasonably 
controlled in reference to the linear guideline across the intermediate 
temperature range.
    (e) For each test group the manufacturer must submit, with the Part 
II

[[Page 933]]

certification application, an engineering evaluation demonstrating to 
the satisfaction of the Administrator that a discontinuity in emissions 
of non-methane organic gases, carbon monoxide, carbon dioxide, oxides of 
nitrogen, nitrous oxide, methane, and formaldehyde measured on the 
Federal Test Procedure (subpart B of this part) and on the Highway Fuel 
Economy Test Procedure (subpart B of 40 CFR part 600) does not occur in 
the temperature range of 20 to 86 [deg]F. For diesel vehicles, the 
engineering evaluation must also include particulate emissions.

[75 FR 25685, May 7, 2010, as amended at 79 FR 23712, Apr. 28, 2014]



Sec.  86.1810-01  General standards; increase in emissions; 
unsafe conditions; waivers.

    This section applies to model year 2001 and later light-duty 
vehicles and light-duty trucks fueled by gasoline, diesel, methanol, 
natural gas and liquefied petroleum gas fuels. This section also applies 
to MDPVs and complete heavy-duty vehicles certified according to the 
provisions of this subpart. Multi-fueled vehicles (including dual-fueled 
and flexible-fueled vehicles) shall comply with all requirements 
established for each consumed fuel (or blend of fuels in the case of 
flexible fueled vehicles). The standards of this subpart apply to both 
certification and in-use vehicles unless otherwise indicated. For Tier 2 
and interim non-Tier 2 vehicles, this section also applies to hybrid 
electric vehicles and zero emission vehicles. Unless otherwise 
specified, requirements and provisions of this subpart applicable to 
methanol fueled vehicles are also applicable to Tier 2 and interim non-
Tier 2 ethanol fueled vehicles.
    (a) Any device, system or element of design installed on or 
incorporated in a new motor vehicle to enable such vehicle to conform to 
the standards imposed by this subpart:
    (1) Shall not in its operation or function cause the emission into 
the ambient air of any noxious or toxic substance that would not be 
emitted in the operation of such vehicle without such system, except as 
specifically permitted by regulation; and
    (2) Shall not in its operation, function or malfunction result in 
any unsafe condition endangering the vehicle, its occupants, or persons 
or property in close proximity to the vehicle.
    (b) In establishing the physically adjustable range of each 
adjustable parameter on a new motor vehicle, the manufacturer shall 
ensure that, taking into consideration the production tolerances, safe 
vehicle drive ability characteristics are available within that range, 
as required by section 202(a)(4) of the Clean Air Act.
    (c) Every manufacturer of new motor vehicles subject to any of the 
standards imposed by this subpart shall, prior to taking any of the 
actions specified in section 203(a)(1) of the Act, test or cause to be 
tested motor vehicles (or motor vehicle engines) in accordance with good 
engineering judgment to ascertain that such test vehicles will meet the 
requirements of this section for the useful life of the vehicle.
    (d) Crankcase emissions prohibited. No crankcase emissions shall be 
discharged into the ambient atmosphere from any 2001 and later model 
year light-duty vehicle, light-duty truck, or complete heavy-duty 
vehicle certified according to the provisions of this subpart.
    (e) On-board diagnostics. All light-duty vehicles, light-duty trucks 
and complete heavy-duty vehicles must have an on-board diagnostic system 
as described in Sec.  86.1806-01 or Sec.  86.1806-04, as applicable.
    (f) Altitude requirements. Unless otherwise specified, emission 
standards apply at low-altitude conditions and at high-altitude 
conditions. The following exceptions apply:
    (1) The supplemental exhaust emission standards as described in 
Sec.  86.1811-04(f) apply only at low-altitude conditions;
    (2) The cold temperature NMHC emission standards as described in 
Sec.  86.1811-10(g) apply only at low-altitude conditions;
    (3) The evaporative emission standards specified in Sec.  86.1811-
09(e) apply at low-altitude conditions. The evaporative emission 
standards specified in Sec.  86.1811-04(e) continue to apply at high-
altitude conditions for 2009 and later model year vehicles.

[[Page 934]]

    (g) The standards set forth in this part refer to test procedures 
set forth in subparts B, C, O and P of this part.
    (h) For methanol-fueled and natural gas-fueled vehicles, hydrocarbon 
standards refer to hydrocarbon equivalents and nonmethane hydrocarbon 
standards refer to nonmethane hydrocarbon equivalents.
    (i) Supplemental FTP general provisions. (1) Implementation 
schedules. A minimum of the percentage of a manufacturer's model year 
sales of light-duty vehicles or light light-duty trucks (considered 
independently) shown in Table S01-1 and heavy light-duty trucks shown in 
Table S01-2 shall not exceed the applicable SFTP standards found in 
paragraph (b) of Sec. Sec.  86.1811-01, 1812-01, 1813-01, 1814-02, and 
1815-02 when tested under the applicable procedures in subpart B of this 
part. Tables S01-1 and S01-2 follow:

  Table S01-1--SFTP Implementation Schedule for Light-Duty Vehicles and
                         Light Light-Duty Trucks
------------------------------------------------------------------------
                        Model year                           Percentage
------------------------------------------------------------------------
2000......................................................            40
2001......................................................            80
2002......................................................           100
------------------------------------------------------------------------


  Table S01-2--SFTP Implementation Schedule for Heavy Light-Duty Trucks
------------------------------------------------------------------------
                        Model year                           Percentage
------------------------------------------------------------------------
2002......................................................            40
2003......................................................            80
2004......................................................           100
------------------------------------------------------------------------

    (2) Optionally, a minimum of the percentage shown in Table S01-1 of 
a manufacturer's combined sales of the applicable model year's light-
duty vehicles and light light-duty trucks shall not exceed the 
applicable SFTP standards. Under this option, the light-duty vehicles 
shall not exceed the applicable SFTP standards in Sec.  86.1811-01(b), 
and the light light-duty trucks shall not exceed the applicable SFTP 
standards in Sec.  86.1812-01(b) or Sec.  86.1813-01(b) as applicable.
    (3) Sales percentages for the purposes of determining compliance 
with the applicable SFTP emission standards shall be based on total 
actual U.S. sales of light-duty vehicles of the applicable model year by 
a manufacturer to a dealer, distributor, fleet operator, broker, or any 
other entity which comprises the point of first sale. If the option of 
paragraph (i)(2) of this section is taken, such sales percentages shall 
be based on the total actual combined U.S. sales of light-duty vehicles 
and light light-duty trucks of the applicable model year by a 
manufacturer to a dealer, distributor, fleet operator, broker, or any 
other entity which comprises the point of first sale.
    (4) The SFTP standards do not apply to vehicles or trucks certified 
on alternative fuels, but the standards do apply to the gasoline and 
diesel fuel operation of flexible fuel vehicles and trucks and dual fuel 
vehicles and trucks.
    (5) The SFTP standards do not apply to vehicles or trucks tested at 
high altitude.
    (6) The air to fuel ratio shall not be richer at any time than the 
leanest air to fuel mixture required to obtain maximum torque (lean best 
torque), plus a tolerance of six percent. The Administrator may approve 
a manufacturer's request for additional enrichment if it can be shown 
that additional enrichment is needed to protect the engine or emissions 
control hardware. For Tier 2 and interim non-Tier 2 vehicles, this 
provision does not apply to enrichment that occurs upon cold start, 
warm-up conditions and rapid-throttle motion conditions (``tip-in'' or 
``tip-out'' conditions).
    (7) The requirement to use a single roll dynamometer (or a 
dynamometer which produces equivalent results), discussed in Sec. Sec.  
86.108-00, 86.118-00, and 86.129-00 of subpart B of this part, applies 
to all SFTP and FTP test elements as set forth in subpart B of this part 
for test groups which are designated as SFTP compliant under the 
implementation schedules in Tables S01-1 and S01-2 in paragraph (i)(1) 
of this section.
    (8) Small volume provisions. (i) Light-duty vehicles and light 
light-duty trucks manufactured by small volume manufacturers, as 
described in Sec.  86.1801-01(d), are exempt from the requirements of 
this paragraph until model year 2002, when 100 percent compliance with 
the provisions of this paragraph (i) and the SFTP standards

[[Page 935]]

in Sec. Sec.  86.1811-01(b) and 86.1812-01(b) is required. This 
exemption does not apply to small volume test groups as defined in Sec.  
86.1838-01(b)(2).
    (ii) Heavy light-duty trucks manufactured by small volume 
manufacturers, as defined in Sec.  86.1801-01, are exempt from the 
requirements of this paragraph (i) until model year 2004 when 100 
percent compliance with the provisions of this paragraph and the SFTP 
standards in Sec. Sec.  86.1814-02(b) and 86.1815-02(b) is required. 
This exemption does not apply to small volume test groups as defined in 
Sec.  86.1838-01(b)(2).
    (9) [Reserved]
    (10) The manufacturer must state at the time of Application for 
Certification, based on projected U.S. sales or projected production for 
U.S. sale, which test groups will be used to attain the required 
implementation schedule sales percentages for certification purposes.
    (11) A manufacturer cannot use one set of test groups to meet its 
intermediate useful life standards and another to meet its full useful 
life standards. The same test groups which are used to meet the 
intermediate useful life standards will be required to meet the 
corresponding full useful life standards.
    (12) Compliance with composite standards shall be demonstrated using 
the calculations set forth in Sec.  86.164-00.
    (13) A/C-on specific calibrations. (i) For Tier 2 and interim non-
Tier 2 vehicles, A/C-on specific calibrations (e.g. air to fuel ratio, 
spark timing, and exhaust gas recirculation), may be used which differ 
from A/C-off calibrations for given engine operating conditions (e.g., 
engine speed, manifold pressure, coolant temperature, air charge 
temperature, and any other parameters).
    (ii) Such calibrations must not unnecessarily reduce the NMHC + 
NOX emission control effectiveness during A/C-on operation 
when the vehicle is operated under conditions which may reasonably be 
expected to be encountered during normal operation and use.
    (iii) If reductions in control system NMHC + NOX 
effectiveness do occur as a result of such calibrations, the 
manufacturer must, in the Application for Certification, specify the 
circumstances under which such reductions do occur, and the reason for 
the use of such calibrations resulting in such reductions in control 
system effectiveness.
    (iv) A/C-on specific ``open-loop'' or ``commanded enrichment'' air-
fuel enrichment strategies (as defined below), which differ from A/C-off 
``open-loop'' or ``commanded enrichment'' air-fuel enrichment 
strategies, may not be used, with the following exceptions: Cold-start 
and warm-up conditions, or, subject to Administrator approval, 
conditions requiring the protection of the vehicle, occupants, engine, 
or emission control hardware. Other than these exceptions, such 
strategies which are invoked based on manifold pressure, engine speed, 
throttle position, or other engine parameters must use the same engine 
parameter criteria for the invoking of this air-fuel enrichment strategy 
and the same degree of enrichment regardless of whether the A/C is on or 
off. ``Open-loop'' or ``commanded'' air-fuel enrichment strategy is 
defined as enrichment of the air to fuel ratio beyond stoichiometry for 
the purposes of increasing engine power output and the protection of 
engine or emissions control hardware. However, ``closed-loop biasing,'' 
defined as small changes in the air-fuel ratio for the purposes of 
optimizing vehicle emissions or driveability, must not be considered an 
``open-loop'' or ``commanded'' air-fuel enrichment strategy. In 
addition, ``transient'' air-fuel enrichment strategy (or ``tip-in'' and 
``tip-out'' enrichment), defined as the temporary use of an air-fuel 
ratio rich of stoichiometry at the beginning or duration of rapid 
throttle motion, must not be considered an ``open-loop'' or 
``commanded'' air-fuel enrichment strategy.
    (14) ``Lean-on-cruise'' calibration strategies. (i) For Tier 2 and 
interim non-Tier 2 vehicles, the manufacturer must state in the 
Application for Certification whether any ``lean-on-cruise'' strategies 
are incorporated into the vehicle design. A ``lean-on-cruise'' air-fuel 
calibration strategy is defined as the use of an air-fuel ratio 
significantly greater than stoichiometry, during non-deceleration 
conditions at speeds above 40 mph. ``Lean-on-cruise'' air-fuel 
calibration strategies must not

[[Page 936]]

be employed during vehicle operation in normal driving conditions, 
including A/C usage, unless at least one of the following conditions is 
met:
    (A) Such strategies are substantially employed during the FTP or 
SFTP;
    (B) Such strategies are demonstrated not to significantly reduce 
vehicle NMHC + NOX emission control effectiveness over the 
operating conditions in which they are employed; or
    (C) Such strategies are demonstrated to be necessary to protect the 
vehicle occupants, engine, or emission control hardware.
    (ii) If the manufacturer proposes to use a ``lean-on-cruise'' 
calibration strategy, the manufacturer must specify the circumstances 
under which such a calibration would be used, and the reason or reasons 
for the proposed use of such a calibration.
    (j) Evaporative emissions general provisions. (1) The evaporative 
standards in Sec. Sec.  86.1811-01(d), 86.1811-04(e), 86.1812-01(d), 
86.1813-01(d), 86.1814-01(d), 86.1814-02(d), 86.1815-01(d), 1815-02(d) 
and 86.1816-04(d) apply equally to certification and in-use vehicles and 
trucks. The spitback standard also applies to newly assembled vehicles.
    (2) For certification testing only, manufacturers may conduct 
testing to quantify a level of non-fuel background emissions for an 
individual test vehicle. Such a demonstration must include a description 
of the source(s) of emissions and an estimated decay rate. The 
demonstrated level of non-fuel background emissions may be subtracted 
from evaporative emission test results from certification vehicles if 
approved in advance by the Administrator.
    (3) All fuel vapor generated in a gasoline- or methanol-fueled 
light-duty vehicle, light-duty truck, or complete heavy-duty vehicle 
during in-use operation shall be routed exclusively to the evaporative 
control system (e.g., either canister or engine purge.) The only 
exception to this requirement shall be for emergencies.
    (4) For certification purposes, where the applicable California 
evaporative emission standard is as stringent or more stringent than the 
applicable federal evaporative emission standard, the Administrator may 
accept California certification test data indicating compliance with the 
California standard to demonstrate compliance with the appropriate 
federal certification evaporative emission standard. The Administrator 
may require the manufacturer to provide comparative test data which 
clearly demonstrates that a vehicle meeting the California evaporative 
standard (when tested under California test conditions/test procedures) 
will also meet the appropriate federal evaporative emission standard 
when tested under federal test conditions/test procedures described in 
this part 86.
    (k) Refueling emissions general provisions--(1) Implementation 
schedules. (i) Tables S01-3, S01-4, and S01-5 in this paragraph 
(k)(1)(i) give the minimum percentage of a manufacturer's sales of the 
applicable model year's gasoline- and methanol-fueled Otto-cycle and 
petroleum-fueled and methanol-fueled diesel-cycle light-duty vehicles, 
light-duty trucks and complete heavy-duty vehicles which shall be tested 
under the applicable procedures in subpart B of this part, and shall not 
exceed the standards described in Sec. Sec.  86.1811-01(e), 86.1811-
04(e)(3), 86.1812-01(e), 86.1813-01(e), and 86.1816-04(e). Vehicles 
waived from the emission standards under the provisions of paragraphs 
(m) and (n) of this section shall not be counted in the calculation of 
the percentage of compliance. Either manufacturer sales or actual 
production intended for sale in the United States may be used to 
determine combined volume, at the manufacturers option. Tables S01-3, 
S01-4, and S01-5 follow:

                    Table S01-3--Light-Duty Vehicles
------------------------------------------------------------------------
                        Model year                           Percentage
------------------------------------------------------------------------
1998 \a\..................................................            40
1999 \a\..................................................            80
2000 \a\..................................................           100
------------------------------------------------------------------------
\a\ Note: This subpart prescribes standards for 2001 and later MY
  vehicles. However, the implementation phase-in periods prior to this
  date are included for ease of reference.


                  Table S01-4--Light Light-Duty Trucks
------------------------------------------------------------------------
                        Model year                           Percentage
------------------------------------------------------------------------
2001......................................................            40
2002......................................................            80
2003......................................................           100
------------------------------------------------------------------------


[[Page 937]]


                  Table S01-5--Heavy Light-Duty Trucks
------------------------------------------------------------------------
                        Model year                           Percentage
------------------------------------------------------------------------
2004......................................................            40
2005......................................................            80
2006......................................................           100
------------------------------------------------------------------------

    (ii) Either manufacturer sales or actual production intended for 
sale in the United States may be used to determine combined volume, at 
the manufacturers option.
    (2) Determining sales percentages. Sales percentages for the 
purposes of determining compliance with the applicable refueling 
emission standards light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, and complete heavy-duty vehicles shall be based on 
total actual U.S. sales of heavy light-duty trucks and complete heavy-
duty vehicles of the applicable model year by a manufacturer to a 
dealer, distributor, fleet operator, broker, or any other entity which 
comprises the point of first sale.
    (3) Refueling receptacle requirements. Compressed natural gas 
vehicles must meet the requirements for fueling connection devices as 
specified in Sec.  86.1813-17(f)(1).
    (l) Fuel dispensing spitback testing waiver. (1) Vehicles certified 
to the refueling emission standards set forth in Sec. Sec.  86.1811-
04(e), 86.1812-01(e), 86.1813-01(e), 86.1816-05(e) are not required to 
demonstrate compliance with the fuel dispensing spitback standard 
contained in that section provided that:
    (i) The manufacturer certifies that the vehicle inherently meets the 
fuel dispensing spitback standard as part of compliance with the 
refueling emission standard; and
    (ii) This certification is provided in writing and applies to the 
full useful life of the vehicle.
    (2) EPA retains the authority to require testing to enforce 
compliance and to prevent noncompliance with the fuel dispensing 
spitback standard.
    (m) [Reserved]
    (n) Fixed liquid level gauge waiver. Liquefied petroleum gas-fueled 
vehicles which contain fixed liquid level gauges or other gauges or 
valves which can be opened to release fuel or fuel vapor during 
refueling, and which are being tested for refueling emissions, are not 
required to be tested with such gauges or valves open, as outlined in 
Sec.  86.157-98(d)(2), provided the manufacturer can demonstrate, to the 
satisfaction of the Administrator, that such gauges or valves would not 
be opened during refueling in-use due to inaccessibility or other design 
features that would prevent or make it very unlikely that such gauges or 
valves could be opened.
    (o) NMOG determination procedures. Measure NMOG emissions or 
determine NMOG emissions based on NMHC measurements using the procedures 
described in 40 CFR 1066.635. For Tier 2 and interim non-Tier 2 vehicles 
fueled by gasoline, manufacturers may instead measure NMHC and multiply 
the result by an adjustment factor of 1.04 before comparing with the 
NMOG standard to determine compliance with that standard.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6853, Feb. 10, 2000; 65 
FR 59969, Oct. 6, 2000; 66 FR 5190, Jan. 18, 2001; 66 FR 19309, Apr. 13, 
2001; 70 FR 72928, Dec. 8, 2005; 76 FR 19874, Apr. 8, 2011; 79 FR 23712, 
Apr. 28, 2014; 80 FR 9104, Feb. 19, 2015]



Sec.  86.1810-09  General standards; increase in emissions; 
unsafe condition; waivers.

    Section 86.1810-09 includes text that specifies requirements that 
differ from Sec.  86.1810-01. Where a paragraph in Sec.  86.1810-01 is 
identical and applicable to Sec.  86.1810-09, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.1810-01.'' Where a corresponding paragraph of 
Sec.  86.1810-01 is not applicable, this is indicated by the statement 
``[Reserved]'' This section applies to model year 2009 and later light-
duty vehicles and light-duty trucks fueled by gasoline, diesel, 
methanol, ethanol, natural gas and liquefied petroleum gas fuels. This 
section also applies to MDPVs and complete heavy-duty vehicles certified 
according to the provisions of this subpart. Multi-fueled vehicles 
(including dual-fueled and flexible-fueled vehicles) must comply with 
all requirements established for each consumed fuel (or blend of fuels 
in the case of flexible fueled vehicles). The standards of this subpart 
apply to both certification and in-use vehicles

[[Page 938]]

unless otherwise indicated. This section also applies to hybrid electric 
vehicles and zero emission vehicles. Unless otherwise specified, 
requirements and provisions of this subpart applicable to methanol 
fueled vehicles are also applicable to Tier 2 and interim non-Tier 2 
ethanol fueled vehicles.
    (a) through (e) [Reserved] For guidance see Sec.  86.1810-01.
    (f) Altitude requirements. (1) All emission standards apply at low 
altitude conditions and at high altitude conditions, with the following 
exceptions:
    (i) The supplemental exhaust emission standards as described in 
Sec.  86.1811-04(f) apply only at low altitude conditions;
    (ii) The cold temperature NMHC emission standards as described in 
Sec.  86.1811-10(g) apply only at low altitude conditions;
    (iii) The evaporative emission standards specified in Sec.  86.1811-
09(e) apply at low altitude conditions. The evaporative emission 
standards specified in Sec.  86.1811-04(e) continue to apply at high 
altitude conditions for 2009 and later model year vehicles.
    (2) For vehicles that comply with the cold temperature NMHC 
standards described in Sec.  86.1811-10(g) and the CO2, 
N2O, and CH4 exhaust emission standards described 
in Sec.  86.1818-12, manufacturers must submit an engineering evaluation 
indicating that common calibration approaches are utilized at high 
altitudes (except when there are specific high altitude calibration 
needs to deviate from low altitude emission control practices). Any 
deviation from low altitude emission control practices must be included 
in the auxiliary emission control device (AECD) descriptions submitted 
at certification. Any AECD specific to high altitude must require 
engineering emission data for EPA evaluation to quantify any emission 
impact and validity of the AECD.
    (g) through (p) [Reserved] For guidance see Sec.  86.1810-01.

[72 FR 8562, Feb. 26, 2007, as amended at 75 FR 25686, May 7, 2010; 76 
FR 39521, July 6, 2011; 77 FR 63156, Oct. 15, 2012]



Sec.  86.1810-17  General requirements.

    The following provisions apply to all vehicles certified under this 
subpart:
    (a) Any device, system or element of design installed on or 
incorporated in a new motor vehicle to enable such vehicle to conform to 
the standards imposed by this subpart:
    (1) Shall not in its operation or function cause the emission into 
the ambient air of any noxious or toxic substance that would not be 
emitted in the operation of such vehicle without such system, except as 
specifically permitted by regulation; and
    (2) Shall not in its operation, function or malfunction result in 
any unsafe condition endangering the vehicle, its occupants, or persons 
or property in close proximity to the vehicle.
    (b) In establishing the physically adjustable range of each 
adjustable parameter on a new motor vehicle, the manufacturer shall 
ensure that, taking into consideration the production tolerances, safe 
vehicle drivability characteristics are available within that range.
    (c) Unless otherwise specified, the emission standards of this 
subpart apply equally for certification and for in-use vehicles 
throughout the specified useful-life period. Also, manufacturers must 
use good engineering judgment to determine that all of a vehicle's 
emission-related components are designed to operate properly throughout 
the specified useful-life period.
    (d) Vehicles may not discharge crankcase emissions into the ambient 
atmosphere.
    (e) All vehicles must have an onboard diagnostic system as described 
in Sec.  86.1806.
    (f) Emission standards apply at low-altitude conditions and at high-
altitude conditions, except as noted in this subpart.
    (g) The cold temperature CO and NMHC standards in this subpart refer 
to test procedures set forth in subpart C of this part and 40 CFR part 
1066, subpart H. All other emission standards in this subpart rely on 
test procedures set forth in subpart B of this part. These procedures 
rely on the test specifications in 40 CFR parts 1065 and 1066 as 
described in subparts B and C of this part.
    (h) Multi-fueled vehicles (including dual-fueled and flexible-fueled 
vehicles) must comply with all the requirements

[[Page 939]]

established for each consumed fuel (and blend of fuels for flexible-
fueled vehicles). The following specific provisions apply for flexible-
fueled vehicles that operate on ethanol and gasoline:
    (1) For criteria exhaust emissions, we may identify the worst-case 
fuel blend for testing in addition to what is required for gasoline-
fueled vehicles. The worst-case fuel blend may be the fuel specified in 
40 CFR 1065.725, or it may consist of a combination of the fuels 
specified in 40 CFR 1065.710(b) and 1065.725. We may waive testing with 
the worst-case blended fuel for US06 and/or SC03 duty cycles; if we 
waive only SC03 testing, substitute the SC03 emission result using the 
standard test fuel for gasoline-fueled vehicles to calculate composite 
SFTP emissions.
    (2) For refueling emissions, we may identify the worst-case fuel 
blend for testing in addition to what is required for gasoline-fueled 
vehicles. The worst-case fuel blend may consist of a combination of the 
fuels specified in 40 CFR 1065.710(c) and 1065.725. This is generally 
expected to be a fuel blend with 10 percent ethanol and a nominal Dry 
Vapor Pressure Equivalent of 10 psi. You may prepare such a worst-case 
fuel blend by mixing it before dispensing into the vehicle's fuel tank, 
or by consecutively dispensing appropriate amounts of the two specified 
fuels into a fuel tank.
    (3) No additional spitback or evaporative emission testing is 
required beyond the emission measurements with the gasoline test fuel 
specified in 40 CFR 1065.710.
    (i) Where we specify requirements based on a percentage of total 
sales volume in a given model year, you may instead ask us to calculate 
the percentage based on production volumes instead of sales volumes.

[79 FR 23712, Apr. 28, 2014, as amended at 80 FR 9105, Feb. 19, 2015]



Sec.  86.1811-04  Emission standards for light-duty vehicles, 
light-duty trucks and medium-duty passenger vehicles.

    (a) Applicability. (1) This section contains regulations 
implementing emission standards for all LDVs, LDTs and MDPVs. This 
section applies to 2004 and later model year LDVs, LDTs and MDPVs fueled 
by gasoline, diesel, methanol, ethanol, natural gas and liquefied 
petroleum gas fuels, except as noted. Additionally, this section 
contains provisions applicable to hybrid electric vehicles (HEVs) and 
zero emission vehicles (ZEVs). Multi-fueled vehicles must comply with 
all requirements established for each consumed fuel.
    (2) This section also applies to LDVs, LDTs and MDPVs of model years 
prior to 2004, when manufacturers certify such vehicles to Tier 2 
exhaust emission requirements to utilize alternate phase-in schedules, 
as allowed under paragraph (k)(6) of this section, and/or to earn early 
NOX credits for use in complying with the Tier 2 fleet 
average NOX standard which takes effect in the 2004 model 
year for LDV/LLDTs and 2008 for HLDT/MDPVs.
    (3) Except where otherwise specified, this section applies instead 
of Sec. Sec.  86.1811-01, 86.1812-01, 86.1813-01, 86.1814-01, 86.1814-
02, 86.1815-01, and 86.1815-02.
    (4) Except where otherwise specified, the provisions of this section 
apply equally to LDVs and all categories of LDTs, and to all MDPVs. 
Numerous provisions are applicable equally to HLDTs and MDPVs, as 
reflected by the term HLDT/MDPV. Numerous provisions apply equally to 
LDVs and LLDTs as reflected by the term LDV/LLDT.
    (5) The exhaust emission standards and evaporative emission 
standards of this section apply equally to certification and in-use 
LDVs, LDTs and MDPVs, unless otherwise specified.
    (b) Test weight. (1) Except as required in paragraphs (b)(2) and 
(b)(4) of this section, or permitted under paragraph (b)(3) of this 
section, emission testing of all LDVs, LDTs and MDPVs to determine 
compliance with any exhaust or evaporative emission standard set forth 
in this part must be on a loaded vehicle weight (LVW) basis, as that 
term is defined in this subpart.
    (2) Interim non-Tier 2 HLDTs tested to Tier 1 SFTP standards, must 
be tested on an adjusted loaded vehicle weight (ALVW) basis, as that 
term is defined in this subpart, during the SC03 element of the SFTP.
    (3) Except as required in paragraphs (b)(2) and (b)(4) of this 
section, interim

[[Page 940]]

non-Tier 2 HLDT/MDPVs may be tested on an ALVW basis or an LVW basis to 
demonstrate compliance with any exhaust or evaporative emission standard 
set forth in this part.
    (4) MDPVs certified to bin 11 standards from Tables S04-1 and -2 
must be tested on an ALVW basis to demonstrate compliance with any 
exhaust emission standard set forth in this part.
    (c) Tier 2 FTP exhaust emission standards. Exhaust emissions from 
Tier 2 vehicles must not exceed the standards in Table S04-1 of this 
section at full useful life when tested over the Federal Test Procedure 
(FTP) described in subpart B of this part. Exhaust emissions from Tier 2 
vehicles must not exceed the standards in Table S04-2 of this section at 
intermediate useful life, if applicable, when tested over the FTP.
    (1) For a given test group a manufacturer desires to certify to 
operate only on one fuel, the manufacturer must select a set of 
standards from the same bin (line or row) in Table S04-1 of this section 
for non-methane organic gases (NMOG), carbon monoxide (CO), oxides of 
nitrogen (NOX), formaldehyde (HCHO) and particulate matter 
(PM). The manufacturer must certify the test group to meet those 
standards, subject to all the applicable provisions of this subpart. The 
manufacturer must also certify the test group to meet the intermediate 
useful life standards (if any) in Table S04-2 of this section having the 
same EPA bin reference number as the chosen full useful life standards.
    (2) For a given test group of flexible-fueled, bi-fuel or dual fuel 
vehicles when operated on the alcohol or gaseous fuel they are designed 
to use, manufacturers must select a bin of standards from Table S04-1 of 
this section and the corresponding bin in Table S04-2, if any. When 
these flexible-fueled, bi-fuel or dual fuel vehicles are certified to 
operate on gasoline or diesel fuel, the manufacturer may choose to 
comply with the next numerically higher applicable NMOG standard, if 
any, above the bin which contains the standards selected for 
certification on the gaseous or alcohol fuel.
    (3)(i) For a given test group of flexible-fueled, bi-fuel or dual 
fuel vehicles certified to bin 10 in Table S04-1, when operated on the 
alcohol or gaseous fuel they are designed to use, manufacturers may 
choose to comply with an NMOG standard of 0.230 for LDV/LLDTs or 0.280 
g/mi for HLDT/MDPVs at full useful life and corresponding intermediate 
life standards of 0.160 g/mi and 0.195 g/mi, respectively, when these 
flexible-fueled, bi-fuel or dual fuel vehicles are certified to operate 
on gasoline or diesel fuel.
    (ii) For a given test group of flexible-fueled, bi-fuel or dual fuel 
vehicles certified to bin 8 in Table S04-1, when operated on the alcohol 
or gaseous fuel they are designed to use, manufacturers may choose to 
comply with a NMOG standard of 0.156 g/mi for LDV/LLDTs and 0.180 for 
HLDT/MDPVs at full useful life and corresponding intermediate life 
standards of 0.125 g/mi and 0.140 g/mi, respectively, when these 
flexible-fueled, bi-fuel or dual fuel vehicles are certified to operate 
on gasoline or diesel fuel.
    (4)(i) For bins where intermediate life standards are applicable, a 
manufacturer may elect not to comply with such standards. Except as 
permitted in paragraph (c)(4)(iv) of this section, the manufacturer must 
certify such vehicles to a useful life of 15 years or 150,000 miles, 
whichever occurs first, for LDV/LLDTs and HLDT/MDPVs.
    (ii) A manufacturer electing not to comply with intermediate life 
standards, as permitted in paragraph (c)(4)(i) of this section, may not 
generate additional NOX credits as described under Sec.  
86.1860-04 (g), except as permitted in paragraph (c)(4)(iii) of this 
section.
    (iii) For bins where intermediate life standards are not applicable, 
or are specified to be optional by paragraph (c)(4)(iv) of this section, 
a manufacturer may generate additional NOX credits subject to 
the provisions in Sec.  86.1860-04 (g).
    (iv) For diesel vehicles certified to bin 9 or bin 10, intermediate 
life standards are optional regardless of whether the manufacturer 
certifies the test group to a full useful life of 120,000 miles or 
150,000 miles.
    (5) In a given model year, an individual vehicle may not be included 
in both the Tier 2 program and an interim program.

[[Page 941]]

    (6) Tables S04-1 and S04-2 follow:

           Table S04-1--Tier 2 and Interim Non-Tier 2 Full Useful Life Exhaust Mass Emission Standards
                                                [Grams per mile]
----------------------------------------------------------------------------------------------------------------
             Bin No.                  NOX          NMOG           CO          HCHO           PM         Notes
----------------------------------------------------------------------------------------------------------------
11..............................          0.9         0.280          7.3         0.032         0.12         a, c
10..............................          0.6   0.156/0.230      4.2/6.4   0.018/0.027         0.08      a, b, d
9...............................          0.3   0.090/0.180          4.2         0.018         0.06      a, b, e
8...............................         0.20   0.125/0.156          4.2         0.018         0.02         b, f
7...............................         0.15         0.090          4.2         0.018         0.02
6...............................         0.10         0.090          4.2         0.018         0.01
5...............................         0.07         0.090          4.2         0.018         0.01
4...............................         0.04         0.070          2.1         0.011         0.01
3...............................         0.03         0.055          2.1         0.011         0.01
2...............................         0.02         0.010          2.1         0.004         0.01
1...............................         0.00         0.000          0.0         0.000        0.00
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ This bin and its corresponding intermediate life bin are deleted at end of 2006 model year (end of 2008
  model year for HLDTs and MDPVs).
\b\ Higher NMOG, CO and HCHO values apply for HLDTs and MDPVs only.
\c\ This bin is only for MDPVs.
\d\ Optional NMOG standard of 0.280 g/mi applies for qualifying LDT4s and qualifying MDPVs only.
\e\ Optional NMOG standard of 0.130 g/mi applies for qualifying LDT2s only.
\f\ Higher NMOG standard deleted at end of 2008 model year.


           Table S04-2--Tier 2 and Interim Non-Tier 2 Intermediate Useful Life (50,000 mile) Exhaust Mass Emission Standards (grams per mile)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                  Bin No.                         NOX            NMOG             CO             HCHO             PM                    Notes
--------------------------------------------------------------------------------------------------------------------------------------------------------
11........................................            0.6            0.195             5.0           0.022  ..............  \a c f h\
10........................................            0.4      0.125/0.160         3.4/4.4     0.015/0.018  ..............  \a b d f g h\
9.........................................            0.2      0.075/0.140             3.4           0.015  ..............  \a b e f g h\
8.........................................            0.14     0.100/0.125             3.4           0.015  ..............  \b f h i\
7.........................................            0.11           0.075             3.4           0.015  ..............  \f h\
6.........................................            0.08           0.075             3.4           0.015  ..............  \f h\
5.........................................            0.05           0.075             3.4           0.015  ..............  \f h\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ This bin deleted at end of 2006 model year (end of 2008 model year for HLDTs and MDPVs).
\b\ Higher NMOG, CO and HCHO values apply for HLDTs and MDPVs only.
\c\ This bin is only for MDPVs.
\d\ Optional NMOG standard of 0.195 g/mi applies for qualifying LDT4s and qualifying MDPVs only.
\e\ Optional NMOG standard of 0.100 g/mi applies for qualifying LDT2s only.
\f\ The full useful life PM standards from Table S04-1 also apply at intermediate useful life.
\g\ Intermediate life standards of this bin are optional for diesels.
\h\ Intermediate life standards are optional for vehicles certified to a useful life of 150,000 miles.
\i\ Higher NMOG standard deleted at end of 2008 model year.

    (d) Fleet average NOX Standards. (1)(i) For a given 
individual model year's sales of Tier 2 vehicles, including model years 
during the phase-in years of the Tier 2 standards, manufacturers must 
comply with a fleet average oxides of nitrogen (NOX) standard 
of 0.07 grams per mile. The manufacturer must calculate its fleet 
average NOX emission level(s) as described in Sec.  86.1860-
04. Up through and including model year 2008, manufacturers must 
calculate separate fleet average NOX emission levels for LDV/
LLDTs and for HLDT/MDPVs as described in Sec.  86.1860-04.
    (ii) During a phase-in year, the manufacturer must comply with the 
0.07 g/mi fleet average standard for the required phase-in percentage 
for that year as specified in paragraph (k)(1) of this section, or for 
the alternate phase-in percentage as permitted under paragraph (k)(6) of 
this section.
    (2) For Early Tier 2 LDV/LLDTs. For model years prior to 2004, where 
the manufacturer desires to bank early Tier 2 NOX credits as 
permitted under Sec.  86.1861(c), the manufacturer must comply with a 
fleet average standard of 0.07 grams per mile for its Tier 2 LDV/LLDTs. 
Manufacturers must determine compliance with the NOX fleet 
average standard according to regulations in Sec.  86.1860-04 of this 
subpart.

[[Page 942]]

    (3) For Early Tier 2 HLDT/MDPVs. For model years prior to 2008, 
where the manufacturer desires to bank early Tier 2 NOX 
credits as permitted under Sec.  86.1861(c), the manufacturer must 
comply with a fleet average standard of 0.07 grams per mile for its Tier 
2 HLDT/MDPVs. Manufacturers must determine compliance with the 
NOX fleet average standard according to regulations in Sec.  
86.1860-04.
    (e) Evaporative emission standards. Consistent with the phase-in 
requirements in paragraph (k) of this section, evaporative emissions 
from gasoline-fueled, natural gas-fueled, liquefied petroleum gas-
fueled, ethanol-fueled and methanol-fueled vehicles must not exceed the 
standards in this paragraph (e). The standards apply equally to 
certification and in-use vehicles.
    (1) Diurnal-plus-hot soak evaporative hydrocarbon standards. 
Hydrocarbons for LDV/LLDTs, HLDTs and MDPVs must not exceed the diurnal 
plus hot soak standards shown in Table S04-3 for the full three diurnal 
test sequence and for the supplemental two diurnal test sequence. Table 
S04-3 follows:

   Table S04-3--Light-Duty Diurnal Plus Hot Soak Evaporative Emission
                                Standards
                            [grams per test]
------------------------------------------------------------------------
                                                            Supplemental
                                                   3 day        2 day
                Vehicle category                 diurnal +    diurnal +
                                                  hot soak    hot soak
------------------------------------------------------------------------
LDV/LLDTs......................................       0.95          1.2
HLDTs..........................................        1.2          1.5
MDPVs..........................................        1.4         1.75
------------------------------------------------------------------------

    (2) Running loss standard. Hydrocarbons for LDVs, LDTs and MDPVs 
measured on the running loss test must not exceed 0.05 grams per mile.
    (3) Refueling emission standards. Refueling emissions must not 
exceed the following standards:
    (i) For gasoline-fueled and methanol-fueled LDV, LDT and MDPV: 0.20 
grams hydrocarbon per gallon (0.053 grams per liter) of fuel dispensed. 
This standard also applies for diesel-fueled LDV.
    (ii) For liquefied petroleum gas-fueled LDV, LDTs and MDPVs: 0.15 
grams hydrocarbon per gallon (0.04 grams per liter) of fuel dispensed.
    (iii) Refueling standards for HLDTs are subject to the phase-in 
requirements found in Sec.  86.1810-01(k). MDPVs must also comply with 
the phase-in requirement in Sec.  86.1810-01(k) and must be grouped with 
HLDTs to determine phase-in compliance.
    (4) Spitback standards. For gasoline and methanol fueled LDV/Ts and 
MDPVs, hydrocarbons measured on the fuel dispensing spitback test must 
not exceed 1.0 grams hydrocarbon (carbon if methanol-fueled) per test.
    (5) Evaporative emission requirements for interim vehicles. (i) LDV/
Ts not certified to meet the evaporative emission standards in this 
paragraph (e) as permitted under the phase-in schedule of paragraph (k) 
of this section, must meet applicable evaporative emission standards in 
Sec.  86.1811-01, Sec.  86.1812-01, Sec.  86.1813-01, Sec.  86.1814-02 
or Sec.  86.1815-02 except that all LDV/Ts must meet the refueling 
emission standards in paragraph (e)(3) of this section.
    (ii) MDPVs not certified to meet the evaporative emission standards 
in this paragraph (e) as permitted under the phase-in schedule of 
paragraph (k) of this section, must meet applicable evaporative emission 
standards for heavy-duty vehicles in Sec.  86.099-10.
    (6) In cases where applicable California emission standards are as 
stringent or more stringent than applicable standards specified under 
this paragraph (e), the Administrator may accept data indicating 
compliance with California standards to demonstrate compliance for 
certification purposes with the standards required under this paragraph 
(e). The Administrator may require manufacturers to provide comparative 
test data to show that a vehicle meeting California standards under 
California test conditions and procedures will also meet the standards 
under this paragraph (e) when tested under test conditions and 
procedures in this part 86.
    (f) Supplemental exhaust emission standards for LDV/Ts. (1) 
Supplemental exhaust emission standards are applicable to gasoline and 
diesel-fueled LDV/Ts but are not applicable to MDPVs, alternative fueled 
LDV/Ts, or flexible fueled LDV/Ts when operated on a fuel other than 
gasoline or diesel. Except as otherwise specified in this

[[Page 943]]

paragraph (f), manufacturers must comply with 4000 mile and full useful 
life SFTP standards as determined in this paragraph (f). The 4000 mile 
SFTP standards must be taken from Table S04-4 and the full life SFTP 
standards must be calculated using the formula in paragraph (f)(2) of 
this section. Table S04-4 follows:

              Table S04-4--4000 Mile SFTP Standards for Tier 2 and Interim Non-Tier 2 LDVs and LDTs
----------------------------------------------------------------------------------------------------------------
                                                                        US06                      SC03
                                                             ---------------------------------------------------
                                                               NMHC + NOX                NMHC + NOX
                                                                 (g/mi)     CO (g/mi)      (g/mi)     CO (g/mi)
----------------------------------------------------------------------------------------------------------------
LDV/LDT1....................................................         0.14          8.0         0.20          2.7
LDT2........................................................         0.25         10.5         0.27          3.5
LDT3........................................................          0.4         10.5         0.31          3.5
LDT4........................................................          0.6         11.8         0.44          4.0
----------------------------------------------------------------------------------------------------------------

    (2)(i) Manufacturers must calculate their applicable full useful 
life SFTP standards for NMHC + NOX, PM and for CO, if using 
the weighted CO standard. If not using the weighted CO standard, 
manufacturers may use the full useful life standalone Tier 1 standards 
for US06 and SC03. To calculate the applicable full useful life weighted 
NMHC + NOX, PM and CO standards, manufacturers must use the 
following formula:

SFTP Standard = SFTP Standard1-[0.35 x (FTP 
Standard1-Current FTP Standard)]

Where:

SFTP Standard = Applicable full life weighted SFTP standard for NMHC + 
          NOX, PM or CO. The NMHC + NOX and PM 
          standards must be rounded to two decimal places and the CO 
          standard must be rounded to one decimal place.
SFTP Standard1 = Applicable full life Tier 1 SFTP standard 
          for NMHC + NOX or CO from Table S04-5. For PM only, 
          use FTP Standard1 for SFTP Standard1.
FTP Standard1 = Applicable full life Tier 1 FTP standard from 
          Table S04-6 in this paragraph (f). For the Tier 1 NMHC + 
          NOX standard, add the applicable NMHC and NOx 
          standards.
Current FTP Standard = Applicable full life FTP standard from Table S04-
          1 in paragraph (c) of this section. For the current NMHC + 
          NOX standard, add the NMOG and NOX 
          standards from the applicable bin.

                               Table S04-5--Tier 1 Full Useful Life SFTP Standards
----------------------------------------------------------------------------------------------------------------
                                                    NMHC + NOX                    CO (g/mi) \b c\
                Vehicle category                   (weighted g/  -----------------------------------------------
                                                     mi) \a c\         US06            SC03          Weighted
----------------------------------------------------------------------------------------------------------------
LDV/LDT1........................................     0.91 (0.65)      11.1 (9.0)       3.7 (3.0)       4.2 (3.4)
LDT2............................................     1.37 (1.02)     14.6 (11.6)       4.9 (3.9)       5.5 (4.4)
LDT3............................................            1.44            16.9             5.6             6.4
LDT4............................................            2.09            19.3             6.4            7.3
----------------------------------------------------------------------------------------------------------------
\a\ Weighting for NMHC + NOX and optional weighting for CO is 0.35x(FTP) + 0.28x(US06) + 0.37x(SC03).
\b\ CO standards are stand alone for US06 and SC03 with option for a weighted standard.
\c\ Intermediate life standards are shown in parentheses for diesel LDV/LLDTs opting to calculate intermediate
  life SFTP standards in lieu of 4,000 mile SFTP standards as permitted under paragraph (f)(6) of this section.


                            Table S04-6--Tier 1 Full Useful Life FTP Standards (g/mi)
----------------------------------------------------------------------------------------------------------------
                Vehicle category                     NMHC \a\         NOX\a\          CO \a\            PM
----------------------------------------------------------------------------------------------------------------
LDV/LDT1........................................     0.31 (0.25)       0.6 (0.4)       4.2 (3.4)            0.10
LDT2............................................     0.40 (0.32)       0.97(0.7)       5.5 (4.4)            0.10
LDT3............................................            0.46            0.98             6.4            0.10
LDT4............................................            0.56            1.53             7.3           0.12
----------------------------------------------------------------------------------------------------------------
\a\ Intermediate life standards are shown in parentheses for diesel LDV/LLDTs opting to calculate intermediate
  life SFTP standards in lieu of 4,000 mile SFTP standards as permitted under paragraph (f)(6)of this section.


[[Page 944]]

    (ii)(A) Manufacturers must determine compliance with NMHC + 
NOX, CO and PM weighted SFTP standards calculated in 
paragraph (f)(2)(i) of this section by weighting their emission results 
as follows:

0.35 x (FTP) + 0.28 x (US06) + 0.37 x (SC03).

    (B) The results of the calculation in paragraph (f)(2)(ii)(A) of 
this section must be rounded to one more decimal place than the 
applicable standard calculated in paragraph (f)(2)(i) of this section 
and then compared with that standard.
    (3) For interim non-Tier 2 gasoline, diesel and flexible-fueled 
LDT3s and LDT4s, manufacturers may, alternatively, meet the gasoline-
fueled vehicle SFTP standards found in Sec. Sec.  86.1814-02 and 
86.1815-02, respectively.
    (4) Interim non-Tier 2 gasoline, diesel and flexible-fueled LDV/
LLDTs certified to bin 10 FTP exhaust emission standards from Table S04-
1 in paragraph (c) of this section may meet the gasoline Tier 1 SFTP 
requirements found at Sec. Sec.  86.1811-01(b), 86.1812-01(b), 86.1813-
01(b), for LDVs, LDT1s, and LDT2s, respectively.
    (5) SFTP standards for PM are not applicable to interim non-Tier 2 
LDV/Ts. For Tier 2 LDV/Ts, the 4000 mile PM standard is equal to the 
full life PM standard calculated under paragraph (f)(2) of this section. 
The requirements of this paragraph (f)(5) also apply to Tier 2 flexible 
fuel vehicles when operated on gasoline or diesel fuel. (See regulations 
in Sec.  86.1829-01(b)(1)(iii)(B) regarding data submittal for PM 
results for gasoline vehicles.)
    (6)(i) In lieu of complying with 4000 mile SFTP standards described 
in this paragraph, diesel LDV/LLDTs through model year 2006, may comply 
instead with intermediate life SFTP standards derived from Tier 1 
intermediate life SFTP standards for gasoline vehicles.
    (ii) To calculate intermediate life SFTP standards, substitute 
intermediate life Tier 1 FTP and SFTP values from Tables S04-5 and S04-6 
in this paragraph (f), as appropriate, for the full life values in the 
equation in paragraph (f)(2)(i) of this section. Substitute the 
applicable intermediate life standards for the full life current FTP 
standard. If there is no applicable intermediate life standard use the 
full life current FTP standard.
    (iii) A manufacturer of diesel LDV/LLDTs must declare which option 
it will use (4,000 mile or intermediate life standards) in Part I of its 
certification application.
    (7) For diesel vehicles certified to the bin 9 or bin 10 standards 
of paragraph (c) of this section, 4000 mile SFTP and intermediate life 
SFTP standards are optional regardless of whether the manufacturer 
certifies the test group to a full useful life of 120,000 miles or 
150,000 miles.
    (8)(i) For model year 2007 through 2009 diesel LDVs and diesel LDT1s 
only, a manufacturer may optionally comply with the 4000 mile US06 NMHC 
+ NOX standard shown in Table S04-4 for LDT2s (0.25 g/mile), 
instead of the standards for LDV/LDT1s (0.14 g/mile). A manufacturer 
choosing this option also must comply with intermediate life SFTP NMHC + 
NOX standards determined using the calculation described 
under paragraph (f)(6)(ii) of this section. A manufacturer choosing this 
option must comply with the SFTP NMHC + NOX standard 
determined under paragraph (f)(6)(ii) not only at intermediate life but 
also at full useful life and must certify such vehicles to this SFTP 
NMHC + NOX standard for a full useful life of 150,000 miles 
or 15 years, whichever occurs first.
    (ii) In Part I of its certification application for model years 2007 
through 2009, a manufacturer of diesel LDV/LDT1s must declare which 
provision it will use (the base Tier 2 provision of paragraphs (f)(1) 
and (f)(2) of this section or the option described in paragraph 
(f)(8)(i) of this section).
    (g) Cold temperature exhaust emission standards. These standards are 
applicable only to gasoline fueled LDV/Ts and MDPVs. For cold 
temperature exhaust emission standards, a useful life of 50,000 miles 
applies.
    (1) For LDVs and LDT1s, the standard is 10.0 grams per mile CO.
    (2) For LDT2s, LDT3s and LDT4s, and MDPVs the standard is 12.5 grams 
per mile CO.
    (3) These standards do not apply to interim non-Tier 2 MDPVs.
    (h) [Reserved]

[[Page 945]]

    (i) Idle CO standards and references to such standards in this 
subpart, do not apply to any 2004 or later model year LDV, LDT, or MDPV 
or to any LDV, LDT or MDPV certified to Tier 2 standards before model 
year 2004 for purposes of generating early NOX credits or 
meeting the requirements of an alternative phase-in schedule that begins 
prior to the 2004 model year.
    (j) Highway NOX exhaust emission standard. The NOX 
emissions measured on the federal Highway Fuel Economy Test in 40 CFR 
1066.840 must not be greater than 1.33 times the applicable FTP 
NOX standard to which the manufacturer certifies the test 
group. Both the measured emissions and the product of the NOX 
standard and 1.33 must be rounded to the nearest 0.01 g/mi before being 
compared.
    (k) Phase-in of the Tier 2 FTP exhaust and evaporative requirements; 
small volume manufacturer flexibilities. (1) Manufacturers must comply 
with the phase-in requirements in Tables S04-7 and S04-8 of this 
paragraph (k) for the Tier 2 FTP exhaust emission requirements specified 
in paragraph (c) of this section. Separate phase-in schedules are 
provided for LDV/LLDTs and for HLDT/MDPVs. These requirements specify 
the minimum percentage of the manufacturer's LDV/LLDT and HLDT/MDPV U.S. 
sales, by model year, that must meet the Tier 2 requirements, including 
the applicable fleet average standard, for their full useful lives. As 
the terms LDV/LLDT and HLDT/MDVP imply, LDVs and LLDTs must be grouped 
together to determine compliance with these phase-in requirements and 
HLDTs and MDPVs must also be grouped together to determine compliance 
with these phase-in requirements. Tables S04-7 and S04-8 follow:

   Table S04-7--Phase-in Percentages for LDV/LLDT Tier 2 Requirements
------------------------------------------------------------------------
                                                             Percentage
                                                            of LDV/LLDTs
                        Model year                            that must
                                                             meet tier 2
                                                            requirements
------------------------------------------------------------------------
2004......................................................            25
2005......................................................            50
2006......................................................            75
2007 and subsequent.......................................           100
------------------------------------------------------------------------


   Table S04-8--Phase-in Percentages for HLDT/MDPV Tier 2 Requirements
------------------------------------------------------------------------
                                                           Percentage of
                                                            HLDT/MDPVs
                       ModeL year                         that must meet
                                                              tier 2
                                                           requirements
------------------------------------------------------------------------
2008....................................................              50
2009 and subsequent.....................................             100
------------------------------------------------------------------------

    (2) Manufacturers must also comply with the phase-in requirements in 
Tables S04-7 and S04-8 of this paragraph (k) for the evaporative 
emission requirements contained in paragraph (e) of this section.
    (3) Manufacturers may opt to use different LDV/LLDTs and HLDT/MDPVs 
to meet the phase-in requirements for evaporative emissions and FTP 
exhaust emissions, provided that the manufacturer meets the minimum 
applicable phase-in requirements in Table S04-7 and Table S04-8 of this 
paragraph (k) for both FTP exhaust and evaporative emissions. A LDV, LDT 
or MDPV counted toward compliance with any phase-in requirement for FTP 
exhaust or evaporative standards, must comply with all applicable Tier 2 
exhaust requirements or all applicable evaporative requirements, 
respectively, described in this section.
    (4) LDVs, LDTs and MDPVs not certified to meet the Tier 2 FTP 
exhaust requirements during model years 2004-2008, as allowed under this 
subpart, are subject to the provisions of paragraph (l) of this section.
    (5) Provisions for small volume manufacturers. (i) Small volume 
manufacturers, as defined in this part, are exempt from the Tier 2 LDV/
LLDT exhaust and evaporative emissions phase-in requirements for model 
years 2004, 2005 and 2006 in Table S04-7 of this paragraph (k), but must 
comply with the 100% requirement for the 2007 and later model years for 
exhaust and evaporative emissions. If not complying with Tier 2 
requirements during 2004, 2005 and 2006, small volume manufacturers must 
comply with the requirements for interim non-Tier 2 LDV/LLDTs.
    (ii) Small volume manufacturers, as defined in this part, are exempt 
from the HLDT/MDPV exhaust and evaporative phase-in requirement for 
model year 2008 in Table S04-8 of this section

[[Page 946]]

but must comply with the 100% requirement for the 2009 model year. Small 
volume manufacturers are also exempt from the HLDT/MDPV interim fleet 
average NOX standard (0.20 g/mi) and its phase-in for the 
2004, 2005 and 2006 model years.
    (iii) Small volume manufacturers must comply with the FTP exhaust 
emission standards from Tables S04-1 and 2 of paragraph (c) of this 
section for all HLDT/MDPVs of model years 2004 and later, except that 
2004 model year HLDTs may comply with Tier 1 exhaust emission standards 
subject to the provisions of paragraph (l)(2)(vii) of this section, and 
2004 model year MDPVs may comply with heavy-duty vehicle standards 
subject to the provisions of paragraph (l)(2)(viii) of this section. 
Small volume manufacturers must also comply with the 0.20 g/mi fleet 
average NOX standard for 2007 and 2008 model year HLDT/MDPVs; 
the Tier 2 0.07 g/mi fleet average NOX standard for the 2009 
and later model year HLDT/MDPVs; and the evaporative emission standards 
in Table S04-3 of this section for the 2009 and later model years.
    (iv) Vehicles produced by small volume manufacturers, as defined in 
Sec.  86.1838-01, are exempt from the LDV/LLDT evaporative emissions 
standards in Table S09-1 of Sec.  86.1811-09(e) for model years 2009 and 
2010, but must comply with the Tier 2 evaporative emission standards in 
Table S04-3 in paragraph (e)(1) of this section for model years 2009 and 
2010.
    (v) Vehicles produced by small volume manufacturers, as defined in 
Sec.  86.1838-01, are exempt from the HLDT/MDPV evaporative emissions 
standards in Table S09-1 of Sec.  86.1811-09(e) for model years 2010 and 
2011, but must comply with the Tier 2 evaporative emission standards in 
Table S04-3 in paragraph (e)(1) of this section for model years 2010 and 
2011.
    (vi) Small volume manufacturers, as defined in Sec.  86.1838-01, are 
exempt from the LDV/LLDT cold temperature NMHC phase-in requirements in 
Table S10-1 of Sec.  86.1811-10(g) for model years 2010, 2011, and 2012, 
but must comply with the 100% requirement for 2013 and later model years 
for cold temperature NMHC standards.
    (vii) Small volume manufacturers, as defined in Sec.  86.1838-01, 
are exempt from the HLDT/MDPV cold temperature NMHC phase-in 
requirements in Table S10-1 of Sec.  86.1811-10(g) for model years 2012, 
2013, and 2014, but must comply with the 100% requirement for 2015 and 
later model years for cold temperature NMHC standards.
    (6)(i) A manufacturer may elect an alternate phase-in schedule that 
results in 100% phase-in for LDV/LLDTs by 2007. Alternate phase-in 
schedules must produce a sum of at least 250% when the percentages of 
LDV/LLDTs certified to Tier 2 requirements for each model year from 2001 
through 2007 are summed. As an example, a 10/25/50/65/100 percent phase-
in that began in 2003 would have a sum of 250 percent and would be 
acceptable. However, a 10/25/40/70/100 percent phase-in that began the 
same year would have a sum of 245 percent and would not be acceptable.
    (ii) A manufacturer electing this option for LDV/LLDTs may calculate 
its compliance with the evaporative standards in paragraph (e)(1) of 
this section separately from its compliance with Tier 2 exhaust 
standards, provided that the phase-in schedules for each separately 
produce a sum of at least 250 percent when calculated as described in 
paragraph (k)(6)(i) of this section. A vehicle counted towards 
compliance with any phase-in requirement for the Tier 2 exhaust 
standards or the evaporative standards in paragraph (e)(1) of this 
section, must comply with all applicable Tier 2 exhaust standards or all 
evaporative standards, as applicable, described in this section.
    (iii) In addition to the requirements of paragraphs (k)(6)(i) and 
(ii) of this section, except as permitted in paragraph (k)(6)(vii) of 
this section, a manufacturer of LDV/LLDTs electing to use an alternate 
phase-in schedule for compliance with the Tier 2 exhaust standards or 
the evaporative standards in paragraph (e)(1) of this section must 
ensure that the sum of the percentages of vehicles from model years 2001 
through 2004, meeting such exhaust or evaporative standards, as 
applicable, is at least 25%.
    (iv) A manufacturer may elect an alternate phase-in schedule that 
results in 100% phase-in for HLDT/MDPVs by

[[Page 947]]

2009. The requirements of paragraphs (k)(6)(i) through (k)(6)(ii) of 
this section apply, except that for HLDT/MDPVs, the calculation 
described in paragraphs (k)(6)(i) and (k)(6)(ii) of this section may 
cover model years 2001 through 2009 and must produce a sum of at least 
150%.
    (v) A manufacturer electing to use any alternate phase-in schedule 
permitted under this section must provide in its Application for 
Certification for the first year in which it intends to use such a 
schedule, and in each succeeding year during the phase-in, the intended 
phase-in percentages for that model year and the remaining phase-in 
years along with the intended final sum of those percentages as 
described in this paragraph (k)(6). This information may be included 
with the information required under Sec.  86.1844-01(d)(13). In its year 
end annual reports, as required under Sec.  86.1844-01(e)(4) the 
manufacturer must include sufficient information so that the 
Administrator can verify compliance with the alternative phase-in 
schedule established under paragraph (k)(6) of this section.
    (vi) Under an alternate phase-in schedule, the projected phase-in 
percentage is not binding for a given model year, provided the sums of 
the actual phase-in percentages that occur meet the appropriate total 
sums as required in paragraph (k)(6) of this section, and provided that 
100% actual compliance is reached for the appropriate model year, either 
2007 or 2009, as described in paragraph (k)(6) of this section.
    (vii) A manufacturer unable to meet the 25% requirement in paragraph 
(k)(6)(iii) of this section, must:
    (A) Ensure that the sum of the percentages of vehicles for model 
years 2001 through 2004, meeting such exhaust or evaporative standards, 
as applicable, is at least 20%.
    (B) Subtract that sum of percentages for model years 2001 through 
2004 from 25%, and multiply the unrounded result by 2.
    (C) Round the product from paragraph (k)(6)(vii)(B) of this section 
to the nearest 0.1% and add that to 50%. That sum becomes the required 
phase-in percentage for the 2005 model year.
    (D) Comply with the phase-in percentage for the 2005 model year 
determined in paragraph (k)(6)(vii)(C) of this section.
    (E) Comply with a minimum phase-in percentage for the 2006 model 
year determined by the following equation:

minimum phase-in percentage for 2006 = [75% - (2005api - 
2005rpi)]

Where:

2005rpi = the required phase-in for the 2005 model year as 
          determined in paragraph (k)(6)(vii)(C) of this section; and
2005api = the manufacturer's actual phase-in quantity for the 
          2005 model year.

    (7)(i) Sales percentages for the purpose of determining compliance 
with the phase-in of the Tier 2 requirements and the phase-in of the 
evaporative standards in paragraph (e)(1) of this section, must be based 
upon projected U.S. sales of LDV/LLDTs and HLDT/MDPVs of the applicable 
model year by the manufacturer to the point of first sale. Such sales 
percentages must be rounded to the nearest one tenth of a percent, and 
must not include vehicles and trucks projected to be sold to points of 
first sale in California or a state that has adopted California 
requirements for that model year as permitted under section 177 of the 
Act.
    (ii) Alternatively, the manufacturer may petition the Administrator 
to allow actual volume produced for U.S. sales to be used in lieu of 
projected U.S. sales for purposes of determining compliance with the 
phase-in percentage requirements under this section. The manufacturer 
must submit its petition within 30 days of the end of the model year to 
the Vehicle Programs and Compliance Division. For EPA to approve the use 
of actual volume produced for U.S. sales, the manufacturer must 
establish to the satisfaction of the Administrator, that actual 
production volume is functionally equivalent to actual sales volume of 
LDV/LLDTs and HLDT/MDPVs sold in states other than California and states 
that have adopted California standards.
    (iii) Manufacturers must submit information showing compliance with 
all phase-in requirements of this section with its Part I application as 
required by Sec.  86.1844(d)(13).

[[Page 948]]

    (l) FTP exhaust standards for interim non-Tier 2 vehicles--(1) FTP 
exhaust emission standards for interim non-Tier 2 LDV/LLDTs. (i) LDV/
LLDTs that are not used to meet the Tier 2 phase-in requirements 
including the Tier 2 fleet average NOX requirement during the 
Tier 2 phase-in period (model years 2004-2006) must comply with the full 
useful life FTP exhaust emission standards listed in Table S04-1 of 
paragraph (c) of this section and the corresponding intermediate useful 
life standards, if any, in Table S04-2 of paragraph (c) of this section. 
Manufacturers may choose the bin of full useful life standards to which 
they certify a test group of vehicles, subject to the requirements in 
paragraph (l)(3)(i) of this section. In a given model year, an 
individual vehicle may not be used to comply with both the Tier 2 fleet 
average NOX standard and the applicable interim fleet average 
NOX standard although vehicles from the same test group may 
be separated and the vehicles counted toward compliance with either 
program.
    (ii) The provisions of paragraphs (c) (1), (2) and (3) of this 
section apply to flexible-fueled, dual fuel and multi-fuel interim non-
Tier 2 LDV/LLDTs.
    (iii) Only manufacturers that comply with the applicable FTP 
standards in Tables S04-1 and 2 of paragraph (c) of this section for all 
of their 2004 model year HLDTs and declare their intention to comply 
with the 2004 model year 25% phase-in requirement to the 0.20 g/mi 
interim fleet average NOX standard for HLDTs (or HLDT/MDPVs) 
described in this paragraph (l) may use the optional higher NMOG values 
for interim LDT2s certified to bin 9 standards that are shown in Tables 
S04-1 and 2. Manufacturers must declare their intention to comply with 
the full 2004 model year 25% phase-in requirement in Part I of their 
HLDT or their HLDT/MDPV, as applicable, certification applications.
    (iv) The provisions of paragraph (c)(4) of this section apply to 
interim non-Tier 2 vehicles.
    (2) FTP exhaust emission standards for interim non-Tier 2 HLDTs and 
interim non-Tier 2 MDPVs. (i) Except as permitted under paragraphs 
(l)(2) (vii) and (viii) of this section, HLDTs and MDPVs of model years 
2004-2008 that are not used to meet the Tier 2 FTP phase-in requirements 
including the Tier 2 fleet average NOX requirement must 
comply with the full useful life FTP exhaust emission standards listed 
in Table S04-1 of paragraph (c) of this section and, the corresponding 
intermediate useful life standards, if any, in Table S04-2 of paragraph 
(c) of this section. Manufacturers may choose the bin of full useful 
life standards to which they certify a test group of vehicles, subject 
to the requirements in paragraph (l)(3)(ii) of this section.
    (ii) Except as permitted under paragraphs (l)(2) (vii) and (viii) of 
this section, HLDTs and MDPVs of model years 2004-2008 that are not used 
to meet the Tier 2 FTP phase-in requirements including the Tier 2 fleet 
average NOX requirement must comply with the fleet average 
NOX standard described in paragraph (l)(3)(ii) of this 
section subject to the phase-in schedule in paragraph (l)(2)(iv) of this 
section, i.e. 25 percent of the HLDT and MDPVs must meet the fleet 
average standard of 0.20 g/mi in 2004, 50 percent in 2005, and so on.
    (iii) Manufacturers may choose the bin of full useful life standards 
and corresponding intermediate life standards to which they certify test 
groups of HLDTs and MDPVs, subject to the requirements in paragraph 
(l)(3)(ii) of this section. Manufacturers may include HLDT/MDPVs in the 
interim program that are not used to meet the Tier 2 fleet average 
NOX standard or the phase-in percentage requirements in the 
Tier 2 program or to generate Tier 2 NOX credits. In a given 
model year, an individual vehicle may not be used to comply with both 
the Tier 2 fleet average NOX standard and the applicable 
interim fleet average NOX standard although vehicles from the 
same test group may be separated and the vehicles counted toward 
compliance with either program.
    (iv) Phase-in schedule for interim non-Tier 2 HLDT/MDPVs. Table S04-
9 of this paragraph (l) specifies the minimum percentage of the 
manufacturer's interim non-Tier 2 HLDT/MDPV U.S. sales, by model year, 
that must comply

[[Page 949]]

with the fleet average NOX standard described in paragraph 
(l)(3)(ii) of this section. Table S04-9 follows:

Table S04-9--Phase-in Percentages for Compliance With Interim Non-Tier 2
                Fleet Average NOX Standard for HLDT/MDPVs
------------------------------------------------------------------------
                                                           Percentage of
                                                            non-tier 2
                                                            HLDT/MDPVs
                                                          that must meet
                       Model year                          interim non-
                                                           tier 2 fleet
                                                            average NOX
                                                             standard
------------------------------------------------------------------------
2004....................................................              25
2005....................................................              50
2006....................................................              75
2007 and 2008...........................................             100
------------------------------------------------------------------------

    (v)(A) A manufacturer may elect an alternate phase-in schedule, 
beginning as early as the 2001 model year, that results in 100% 
compliance by 2007 with the fleet average NOX standard for 
interim non-Tier 2 HLDT/MDPVs described in paragraph (l)(3)(ii) of this 
section. The requirements of paragraph (k)(6) of this section apply to 
the selection of an alternate phase-in schedule.
    (B) If a manufacturer elects not to bring all of its HLDT/MDPVs into 
compliance with the interim requirements in 2004 as permitted under 
paragraphs (l)(2)(vii) and
    (viii) of this section, it may still use an alternate phase-in 
schedule to attain 100% compliance with the interim fleet average 
NOX standard for HLDT/MDPVs, but the sum of phase-in 
percentages it must meet will be 225% rather than 250%. If the 
manufacturer commences its 2004 model year on or after December 21, 
2003, for any HLDT/MDPVs, the manufacturer must increase the 225% by the 
fraction of its 2004 model year HLDT/MDPVs whose model year commenced on 
or after that date and which were brought into compliance with the 0.20 
g/mi corporate average NOX standard as required under 
paragraph (l)(2)(ix) of this section. The manufacturer must ensure that 
the sum of the percentages of vehicles up through model year 2005 
complying with the interim fleet average NOX standard is at 
least 50%.
    (vi) The provisions of paragraphs (c) (1), (2) and (3) of this 
section apply to flexible-fueled, dual fuel and multi-fuel interim non-
Tier 2 HLDT/MDPVs.
    (vii) For 2004 model year HLDT test groups whose model year 
commences before December 21, 2003, the manufacturer may exempt such 
HLDTs from compliance with any requirements applicable to interim non-
Tier 2 HLDTs, and such HLDTs must be produced in accordance with 
standards and requirements in Sec. Sec.  86.1814-02 and 86.1815-02. Such 
HLDTs must also meet the refueling emission standards contained in 
paragraph (e)(3) of this section.
    (viii) For 2004 model year heavy-duty vehicles whose model year 
commences before December 21, 2003, the manufacturer may exempt such 
vehicles from compliance with any requirements applicable to interim 
non-Tier 2 MDPVs. Exempted vehicles will not be considered MDPVs and 
must be produced in accordance with standards and requirements in Sec.  
86.099-10. Exempted vehicles are also exempted from refueling emission 
standards.
    (ix) For 2004 model year HLDT and MDPV test groups whose model year 
commences on or after December 21, 2003, the manufacturer must comply 
with all interim non-Tier 2 requirements in this section.
    (A) All such vehicles, but not more than 25% of the manufacturer's 
total sales of 2004 model year HLDT/MDPVs must meet the interim non-Tier 
2 fleet average NOX standard as described in paragraph 
(l)(3)(ii) of this section.
    (B) All such vehicles but not more than 40% of the manufacturer's 
2004 model year HLDT/MDPVs must comply with the refueling requirements 
in paragraph (e)(3) of this section.
    (x) Only those manufacturers that comply with the interim non-Tier 2 
FTP standards for all of their 2004 model year HLDTs and declare their 
intention to comply with the 2004 model year 25% phase-in requirement to 
the fleet average interim NOX standard for HLDTs or HLDT/
MDPVs of 0.20 g/mi described in paragraph (l) of this section may use 
the optional higher NMOG values for interim LDT4s certified to bin 10 
standards that are shown in Tables S04-1 and 2 of paragraph (c) of this 
section. Manufacturers must declare their intention to comply with the 
2004 model year 25% phase-in requirement in Part I of their HLDT 
certification applications.

[[Page 950]]

    (xi) Only those manufacturers that comply with the interim non-Tier 
2 FTP standards for all of their 2004 model year MDPVs, and declare 
their intention to comply with the 2004 model year 25% phase-in 
requirement to the fleet average interim NOX standard for 
MDPVs or HLDT/MDPVs of 0.20 g/mi described in paragraph (l) of this 
section may:
    (A) Use the exhaust emission standards of bin 11 in Tables S04-1 and 
S04-2 of paragraph (c) in this section for MDPVs through model year 
2008;
    (B) For diesel-fueled vehicles, certify the engines in such 
vehicles, through model year 2007, to provisions in this part 86 
applicable to diesel-fueled heavy-duty engines of the appropriate model 
year. Such diesel fueled vehicles must not be included in any count or 
determination of compliance with the phase-in requirements applicable to 
interim non-Tier 2 MDPVs; and
    (C) Use the optional higher NMOG values for interim LDT4s certified 
to bin 10 standards that are shown in Tables S04-1 and 2.
    (xii) Manufacturers electing to comply with the provisions of 
paragraph (l)(2)(xi) of this section must declare their intention to 
comply with the 2004 model year 25% phase-in requirement to the fleet 
average interim NOX standard for MDPVs or HLDT/MDPVs of 0.20 
g/mi in Part I of their MDPV certification applications.
    (xiii) Where diesel-fueled heavy-duty engines are used as permitted 
under paragraph (l)(2)(xi)(B) of this section, such engines must be 
treated as a separate averaging set--MDPV HDDEs--under the averaging, 
banking and trading provisions applicable to heavy-duty diesel engines. 
Only NOX credits generated by engine-certified diesel engines 
that are used in other MDPVs can be applied to these engines. 
Manufacturers wishing to average, bank or trade credits for MDPV HDDEs 
must comply with the requirements in this paragraph and with all 
requirements applicable to heavy-duty engine averaging, banking and 
trading in this part.
    (3) Fleet average NOX standards for interim non-Tier 2 
LDV/Ts and MDPVs. (i) Manufacturers must comply with a fleet average 
full useful life NOX standard for their interim non-Tier 2 
LDV/LLDTs, on an annual basis, of 0.30 grams per mile.
    (ii) Manufacturers must comply with a fleet average full useful life 
NOX standard for their interim non-Tier 2 HLDT/MDPVs, 
excluding those HLDTs and MDPVs not yet covered by the phase-in 
requirement described in paragraph (l)(2)(ii) of this section, on an 
annual basis, of 0.20 grams per mile.
    (iii) Manufacturers must determine their compliance with these 
interim fleet average NOX standards for each model year by 
separately computing the sales weighted average NOX level of 
all interim non-Tier 2 LDV/LLDTs and all interim non-Tier 2 HLDT/MDPVs 
(excluding those not yet phased in as described in paragraph (l)(2)(ii) 
of this section), using the methodology in Sec.  86.1860.
    (iv) Manufacturers may generate, bank, average, trade and use 
interim non-Tier 2 NOX credits based on their NOX 
fleet average as determined under paragraph (l)(3)(iii) of this section. 
Unless waived or modified by the Administrator, the provisions of Sec.  
86.1861 of this part apply to the generation, banking, averaging, 
trading and use of credits generated by interim non-Tier 2 vehicles. 
NOX credits generated by interim non-Tier 2 vehicles are not 
subject to any discount except as required by Sec.  86.1861-04(e).
    (m) NMOG standards for diesel, flexible fueled and dual-fueled LDV/
Ts and MDPVs. (1) For diesel fueled LDV/Ts and MDPVs, the term ``NMOG'' 
in both the Tier 2 and interim non-Tier 2 standards means non-methane 
hydrocarbons.
    (2) Flexible-fueled and dual-fuel Tier 2 and interim non-Tier 2 
vehicles must be certified to NMOG exhaust emission standards both for 
operation on gasoline and on any alternate fuel they are designed to 
use. Manufacturers may measure NMHC in lieu of NMOG when flexible-fueled 
and dual-fuel vehicles are operated on gasoline, subject to the 
requirements of Sec.  86.1810(p).
    (n) Requirements for vehicles with rechargeable energy storage 
systems. Manufacturers must measure emissions from hybrid electric 
vehicles (including plug-in hybrid electric vehicles) as described in 40 
CFR part 1066, subpart F,

[[Page 951]]

except that these procedures do not apply for plug-in hybrid electric 
vehicles during charge-depleting operation.
    (o) NMOG measurement. (1) Manufacturers must measure NMOG emissions 
using the procedures described in 40 CFR 1066.635.
    (2) Manufacturers must not apply reactivity adjustment factors 
(RAFs) to NMOG measurements. See Sec.  86.1841.
    (p) In-use standards. (1) Table S04-10 of this paragraph (p) 
contains in-use emission standards applicable only to vehicles certified 
to the bins shown in the table. These standards apply to in-use testing 
performed by the manufacturer pursuant to regulations at Sec. Sec.  
86.1845-01, 86.1845-04 and 86.1846-01 and to in-use testing performed by 
EPA. These standards do not apply to certification or Selective 
Enforcement Auditing.
    (2) These standards apply only to LDV/LLDTs produced up through the 
2008 model year, and HLDT/MDPVs produced up through the 2010 model year. 
These standards are subject to other limitations described in paragraph 
(p)(3) of this section.
    (3) For the first model year and also for the next model year after 
that, in which a test group of vehicles is certified to a bin of 
standards to which it has not previously been certified, the standards 
in Table S04-10 of this paragraph (p) apply for purposes of in-use 
testing only. The standards apply equally to all LDV/Ts and MDPVs 
subject to the model year limitation in paragraph (p)(2) of this 
section. Table S04-10 follows:

                                                    Table S04-10--In-use Compliance Standards (g/mi)
                                                 [Certification standards shown for reference purposes]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                          NOX
             Bin number                 Durability period (miles)     NOX In-use     certification        NMOG In-use            NMOG certification
--------------------------------------------------------------------------------------------------------------------------------------------------------
5...................................                        50,000            0.07            0.05  n/a...................                         0.075
5...................................                       120,000            0.10            0.07  n/a...................                         0.090
4...................................                       120,000            0.06            0.04  n/a...................                         0.070
3...................................                       120,000            0.05            0.03  0.09..................                         0.055
2...................................                       120,000            0.03            0.02  0.02..................                         0.010
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (4) For diesel vehicles certified to bin 10, separate in-use 
standards apply for NOX and PM emissions. These standards are 
determined by multiplying the applicable NOX and PM 
certification standards by factors of 1.2 and 1.35, respectively, and 
then rounding the result to one more decimal place than contained in the 
certification standard. The resultant standards do not apply for 
certification or selective enforcement auditing.
    (5) For diesel vehicles certified to bin 7 and bin 8 only in model 
years 2007 through 2009, a manufacturer may optionally comply with the 
bin 5 FTP PM standard shown in Table S04-1. For diesel vehicles choosing 
this option, separate in-use NOX standards apply at high 
altitude conditions as defined in Sec.  86.1803-01. These standards are 
determined by multiplying the applicable NOX certification 
standards by a factor of 1.2. The resultant standards apply only in-use 
at high altitude conditions and do not apply for certification or 
selective enforcement auditing. A manufacturer choosing this option must 
certify such vehicles to the applicable FTP NOX and PM 
standards for a full useful life of 150,000 miles or 15 years, whichever 
occurs first. A manufacturer choosing this option would not be allowed 
to generate additional credits as described under Sec.  86.1860-04 (g).
    (q) Hardship provision for small volume manufacturers. (1) A small 
volume manufacturer may apply for relief from any applicable final 
phase-in model year contained in this section. Relief will only be 
available to defer required compliance with a completely new set of 
standards, a fleet average NOX standard, and/or evaporative 
emission standard for 100% of affected vehicles for one model year. 
Thus, a small volume manufacturer that obtains relief may:
    (i) Defer 100% compliance with the fleet average NOX 
standard for interim LDV/LLDTs (0.30 g/mi) until 2005;

[[Page 952]]

    (ii) Defer 100% compliance with the evaporative emission standards 
and/or fleet average NOX standard for Tier 2 LDV/LLDTs (0.07 
g/mi) until 2008;
    (iii) Defer 100% compliance with the requirements that interim HLDTs 
and MDPVs comply with applicable emission standards shown in Tables S04-
1 and S04-2, until 2005;
    (iv) Defer 100% compliance with the fleet average NOX 
standard for interim HLDT/MDPVs (0.20 g/mi) until 2008; and
    (v) Defer 100% compliance with the evaporative emission standards 
and/or fleet average NOX standard for Tier 2 HLDT/MDPVs (0.07 
g/mi) until 2010.
    (vi) Defer compliance with the LDV/LLDT evaporative emissions 
standards in Table S09-1 of Sec.  86.1811-09(e) until 2013, and defer 
100% compliance with the LDV/LLDT evaporative emissions standards in 
Table S09-2 of Sec.  86.1811-09(e) until 2016. (The hardship relief may 
be extended one additional model year--two model years total.)
    (vii) Defer compliance with the HLDT/MDPV evaporative emissions 
standards in Table S09-1 of Sec.  86.1811-09(e) until 2014, and defer 
100% compliance with the HLDT/MDPV evaporative emissions standards in 
Table S09-2 of Sec.  86.1811-09(e) until 2016. (The hardship relief may 
be extended one additional model year--two model years total.)
    (viii) Defer 100% compliance with the LDV/LLDT cold temperature NMHC 
standards in Table S10-X of Sec.  86.1811-10(g) until 2015. (The 
hardship relief may be extended one additional model year--two model 
years total.)
    (ix) Defer 100% compliance with the HLDT/MDPV cold temperature NMHC 
standards in Table S10-X of Sec.  86.1811-10(g) until 2017. (The 
hardship relief may be extended one additional model year--two model 
years total.)
    (2) Applications for relief must be in writing and must:
    (i) Be submitted before the earliest date of noncompliance;
    (ii) Include evidence that the manufacturer will incur severe 
economic hardship if relief is not granted;
    (iii) Include evidence that the noncompliance will occur despite the 
best efforts of the manufacturer to comply; and
    (iv) Include evidence that the manufacturer has made every 
reasonable effort to purchase credits to address the noncompliance, 
where applicable.
    (r) NMOG standard adjustment for direct ozone reducing devices. (1) 
A manufacturer may obtain NMOG credit for use in certifying to the 
exhaust NMOG standards listed in paragraph (c) of this section and for 
use in complying with the in-use standards of paragraph (p) of this 
section, where applicable. This credit effectively allows the 
manufacturer to increase the exhaust NMOG emission standards listed in 
these paragraphs by the amount of the applicable credit. For example, if 
the applicable NMOG credit was 0.01 g/mi, and the vehicle was being 
certified in Bin 5, as described in Table S04-1 of paragraph (c) of this 
section, exhaust NMOG emissions must be no greater than 0.10 g/mi, as 
opposed to the normal NMOG certification standard of 0.09 g/mi in Bin 5.
    (2) The NMOG credit must be determined through a two-step process.
    (i) The first step must determine the ozone reduction potential of 
the direct ozone reducing device, the ozone reduction potential of 
exhaust NMOG reductions beyond Bin 5 of the Tier 2 standards, and the 
ratio of the two methods of reducing ambient ozone levels. The 
requirements for this step are described in paragraph (r)(3) of this 
section.
    (ii) The second step must demonstrate and certify the relevant 
performance characteristics of the specific ozone reducing device. The 
requirements for this step are described in paragraph (r)(4) of this 
section.
    (3) The ozone reduction potential of the direct ozone reducing 
device and the ozone reduction potential of exhaust NMOG reductions 
beyond Bin 5 of the Tier 2 standards must be estimated using procedures 
which are approved by the Administrator in advance. At a minimum:
    (i) The modeling must utilize an urban airshed model using up-to-
date chemical and meteorological simulation techniques;
    (ii) Four local areas must be modeled: New York City, Chicago, 
Atlanta and Houston;

[[Page 953]]

    (iii) The ozone episodes to be modeled must meet the selection 
criteria established by EPA for State ozone SIPs;
    (iv) Photochemical and dispersion modeling must follow that used by 
EPA to project the ozone impacts of this rule, or its equivalent;
    (v) Emission projections must be made for calendar year 2007 and be 
consistent with those used by EPA in support of this final rule, or 
reflect updates approved by EPA;
    (vi) Baseline emissions (emissions prior to use of the direct ozone 
reducing device or the VOC emission reductions) must include the 
benefits of the Tier 2 emission and sulfur standards; as well as all 
other emission controls assumed in EPA's ozone modeling of the benefits 
of the Tier 2 and sulfur standards, as described in the Final Regulatory 
Impact Analysis to the Tier 2 and Sulfur Rule;
    (vii) The ozone benefit of the direct ozone reducing device must 
assume a radiator area of 0.29 square meters, an air flow velocity 
through the radiator of 40% of vehicle speed, and an ozone reduction 
efficiency of 80%, or other values as approved by the Administrator;
    (viii) The ozone level of the air entering the direct ozone reducing 
device must be assumed to be 40% less than that existing in the grid 
cell where the vehicle is located;
    (ix) The ozone benefit of VOC emission reductions must be modeled by 
assuming that all Tier 2 LDVs, LDTs and MDPVs meet an exhaust NMOG 
standard of 0.055 g/mi or lower instead of a 0.09 g/mi NMOG standard;
    (x) The ozone reducing device must be assumed to be present on all 
of the Tier 2 LDVs, LDTs and MDPVs modeled as meeting the more stringent 
NMOG standard described in paragraph (r)(3)(ix) of this section;
    (xi) The relationship between changes in exhaust NMOG emission 
standards and in-use VOC emissions must be determined sufficiently far 
in the future to ensure that the change in ozone being modeled is 
sufficiently large to allow comparison with the impact of the ozone 
reducing device;
    (xii) LDV, LDT and MDPV emissions must be modeled using the updated 
Tier 2 emission model developed by EPA as part of the Tier 2 rulemaking 
(available from EPA upon request) or MOBILE6, once this model is 
available;
    (xiii) The ozone benefit of the direct ozone reducing device must be 
the reduction in the peak one-hour ozone level anywhere in the modeled 
region on the day when ozone is at its highest;
    (xiv) The NMOG credit in each local area must be the reduction in 
peak one hour ozone associated with use of the direct ozone reducing 
device divided by the reduction in peak one hour ozone associated with 
the more stringent exhaust NMOG emission standard multiplied by the 
reduction the exhaust NMOG standard (in g/mi) modeled in paragraph 
(r)(3)(ix) of this section; and
    (xv) The NMOG credit applicable to the generic direct ozone reducing 
device modeled in paragraph (r)(3)(vii) of this section must be 
determined by arithmetically averaging the NMOG credit determined in 
paragraph (r)(3)(xiv) of this section for each of the four local areas.
    (4) The manufacturer must submit data, using procedures which have 
been approved by the Administrator in advance, that demonstrate the 
following aspects of the device being certified:
    (i) The air flowrate through the device as a function of vehicle 
speed;
    (ii) The ozone reduction efficiency of the device over the useful 
life of the vehicle for a range of vehicle speeds and ozone levels;
    (iii) The method through which the onboard diagnostic system will 
detect improper performance.
    (5) The NMOG credit for the specific application of this technology 
tested under the provisions of paragraph (r)(4) of this section is the 
four-area NMOG credit determined in paragraph (r)(3)(xv) of this section 
scaled based on the performance of the specific application tested under 
the provisions of paragraph (r)(4) of this section relative to those 
assumed in paragraph (r)(3)(vii) of this section. This scaling must 
assume a linear relationship between the NMOG credit and three aspects 
of the direct ozone reducing device: radiator area, average air flow 
through the radiator relative to vehicle speed, and ozone reduction 
efficiency and the NMOG credit. The NMOG credit must be rounded to the 
nearest 0.001

[[Page 954]]

g/mi. For example, if the NMOG credit determined in paragraph (r)(3)(xv) 
of this section was 0.01 g/mi and the specific direct ozone reducing 
device being certified had an area of 0.20 square meters, an air flow 
velocity of 30% of vehicle speed and an ozone reducing efficiency of 
70%, and the generic ozone reducing device simulated in the ozone model 
under paragraph (r)(3)(vii) of this section had an area of 0.29 square 
meters, an air flow velocity of 40% of vehicle speed and an ozone 
reducing efficiency of 80%, the NMOG credit applicable to the specific 
device being certified would be:

0.01 g/mi * (0.20/0.29) * (30%/40%) * 70%/80%) = 0.005
    (s) Manufacturers may request to group heavy-duty vehicles into the 
same test group as other vehicles subject to more stringent standards, 
so long as all vehicles in the test group meet the most stringent 
standards applicable to any vehicle within that test group, as provided 
at Sec.  86.1827-1(a)(5) and (d)(4).

[65 FR 6854, Feb. 10, 2000; 65 FR 10598, Feb. 28, 2000, as amended at 65 
FR 59970, Oct. 6, 2000; 66 FR 19309, Apr. 13, 2001; 67 FR 72825, Dec. 6, 
2002; 70 FR 40443, July 13, 2005; 71 FR 16060, Mar. 30, 2006; 72 FR 
8562, Feb. 26, 2007; 76 FR 57377, Sept. 15, 2011; 79 FR 23713, Apr. 28, 
2014; 80 FR 9105, Feb. 19, 2015]



Sec.  86.1811-09  Emission standards for light-duty vehicles, 
light-duty trucks and medium-duty passenger vehicles.

    Section 86.1811-09 includes text that specifies requirements that 
differ from Sec.  86.1811-04. Where a paragraph in Sec.  86.1811-04 is 
identical and applicable to Sec.  86.1811-09, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.1811-04.'' Where a corresponding paragraph of 
Sec.  86.1811-04 is not applicable, this is indicated by the statement 
``[Reserved]''
    (a) Applicability. (1) This section contains regulations 
implementing emission standards for all LDVs, LDTs and MDPVs. This 
section applies to 2009 and later model year LDVs, LDTs and MDPVs fueled 
by gasoline, diesel, methanol, ethanol, natural gas and liquefied 
petroleum gas fuels, except as noted. Additionally, this section applies 
to hybrid electric vehicles (HEVs) and zero emission vehicles (ZEVs). 
Unless otherwise specified, multi-fueled vehicles must comply with all 
requirements established for each consumed fuel.
    (2) through (4) [Reserved]. For guidance see Sec.  86.1811-04.
    (5) The exhaust emission standards and evaporative emission 
standards of this section apply equally to certification and in-use 
LDVs, LDTs and MDPVs, unless otherwise specified. See paragraph (t) of 
this section for interim evaporative emission in-use standards that are 
different than the certification evaporative emission standards 
specified in paragraph (e) of this section.
    (b) through (d) [Reserved]. For guidance see Sec.  86.1811-04.
    (e) Evaporative emission standards. Evaporative emissions from 
gasoline-fueled, natural gas-fueled, liquefied petroleum gas-fueled, 
ethanol-fueled and methanol-fueled vehicles must not exceed the 
standards in this paragraph (e) at low altitude conditions. The 
evaporative emission standards specified in Sec.  86.1811-04(e)(1) 
continue to apply at high altitude conditions. The standards apply 
equally to certification and in-use vehicles.
    (1) Diurnal-plus-hot soak evaporative hydrocarbon standards. (i) 
Hydrocarbons for LDV/LLDTs, HLDTs and MDPVs that are gasoline-fueled, 
dedicated natural gas-fueled, dedicated liquefied petroleum gas-fueled, 
dedicated ethanol-fueled, dedicated methanol-fueled and multi-fueled 
vehicles when operating on gasoline must not exceed the diurnal plus hot 
soak standards shown in Table S09-1 for the full three diurnal test 
sequence and for the supplemental two diurnal test sequence. The 
standards apply equally to certification and in-use vehicles, except as 
otherwise specified in paragraph (t) of this section. Table S09-1 
follows:

[[Page 955]]



                  Table S09-1--Light-Duty Diurnal Plus Hot Soak Evaporative Emission Standards
                                                [grams per test]
----------------------------------------------------------------------------------------------------------------
                                                                                                  Supplemental 2
                        Vehicle category                            Model year     3 day diurnal   day diurnal +
                                                                                    + hot soak       hot soak
----------------------------------------------------------------------------------------------------------------
LDVs............................................................            2009            0.50            0.65
LLDTs...........................................................            2009            0.65            0.85
HLDTs...........................................................            2010            0.90            1.15
MDPVs...........................................................            2010            1.00            1.25
----------------------------------------------------------------------------------------------------------------

    (ii) Hydrocarbons for LDV/LLDTs, HLDTs and MDPVs that are multi-
fueled vehicles operating on non-gasoline fuel must not exceed the 
diurnal plus hot soak standards shown in Table S09-2 for the full three 
diurnal test sequence and for the supplemental two diurnal test 
sequence. The standards apply equally to certification and in-use 
vehicles except as otherwise specified in paragraph (t) of this section. 
Table S09-2 follows:

   Table S09-2--Light-Duty Diurnal Plus Hot Soak Evaporative Emission
        Standards: Non-Gasoline Portion of Multi-Fueled Vehicles
                            [grams per test]
------------------------------------------------------------------------
                                                          Supplemental 2
            Vehicle category               3 day diurnal   day diurnal +
                                            + hot soak       hot soak
------------------------------------------------------------------------
LDVs....................................            0.50            0.65
LLDTs...................................            0.65            0.85
HLDTs...................................            0.90            1.15
MDPVs...................................            1.00            1.25
------------------------------------------------------------------------

    (iii) For multi-fueled vehicles operating on non-gasoline fuel, 
manufacturers must comply with the phase-in requirements in Table S09-3 
of this paragraph for the evaporative emission requirements specified in 
Table S09-2 of this section. Phase-in schedules are grouped together for 
LDV/LLDTs and HLDT/MDPVs. These requirements specify the minimum 
percentage of the manufacturer's LDV/LLDT/HLDT/MDPV 50-State sales, by 
model year, that must meet the requirements for their full useful lives. 
Table S09-3 follows:

 Table S09-3--Phase-In Percentages for Light-Duty Diurnal Plus Hot Soak
  Evaporative Emission Standards: Non-Gasoline Portion of Multi-Fueled
                                Vehicles
------------------------------------------------------------------------
                                                          Percentage of
                                                          vehicles that
                                                            must meet
                      Model year                           evaporative
                                                            emission
                                                          requirements
------------------------------------------------------------------------
2012..................................................                30
2013..................................................                60
2014 and subsequent...................................               100
------------------------------------------------------------------------

    (2) through (6) [Reserved]. For guidance see Sec.  86.1811-04.
    (7) In cases where vehicles are certified to evaporative emission 
standards in Tables S09-1 and S09-2 of this section, the Administrator 
may accept evaporative emissions data for low altitude testing in 
accordance with California test conditions and test procedures (in lieu 
of the evaporative emission test condition and test procedure 
requirements of subpart B of this part).
    (f) through (s) [Reserved]. For guidance see Sec.  86.1811-04.
    (t) Evaporative emission in-use standards. (1) For LDVs and LLDTs 
certified prior to the 2012 model year, the Tier 2 LDV/LLDT evaporative 
emissions standards in Table S04-3 of Sec.  86.1811-04(e) shall apply to 
in-use vehicles for only the first three model years after an 
evaporative family is first certified to the LDV/LLDT evaporative 
emission standards in Table S09-1 of paragraph (e) of this section, as 
shown in Table S09-4. For example, evaporative families first certified 
to the LDV/LLDT standards in Table S09-1 in the 2011 model year must 
meet the Tier 2 LDV/LLDT evaporative emission standards (Table S04-3) 
in-use for 2011, 2012, and 2013 model year vehicles (applying Tier 2 
standards in-use is limited to the first three years after introduction 
of a vehicle).

[[Page 956]]

    (2) For HLDTs and MDPVs certified prior to the 2013 model year, the 
Tier 2 HLDT/MDPV evaporative emissions standards in Table S04-3 of Sec.  
86.1811-04(e) shall apply to in-use vehicles for only the first three 
model years after an evaporative family is first certified to the HLDT/
MDPV evaporative emission standards in Table S09-1 of paragraph (e) of 
this section, as shown in Table S09-5. For example, evaporative families 
first certified to the HLDT/MDPV standards in Table S09-1 in the 2012 
model year must meet the Tier 2 HLDT/MDPV evaporative emission standards 
(Table S04-3) in-use for 2012, 2013, and 2014 model year vehicles 
(applying Tier 2 standards in-use is limited to the first three years 
after introduction of a vehicle).

     Table S09-4--Schedule for In-Use LDV/LLDT Diurnal Plus Hot Soak
                     Evaporative Emission Standards
------------------------------------------------------------------------
           Model Year of Introduction              2009    2010    2011
------------------------------------------------------------------------
Models Years That Tier 2 Standards Apply to In-     2009    2010    2011
 use Vehicles...................................
                                                    2010    2011    2012
                                                    2011    2012    2013
------------------------------------------------------------------------


    Table S09-5--Schedule For In-Use HLDT/MDPV Diurnal Plus Hot Soak
                     Evaporative Emission Standards
------------------------------------------------------------------------
           Model Year of Introduction              2010    2011    2012
------------------------------------------------------------------------
Models Years That Tier 2 Standards Apply to In-     2010    2011    2012
 use Vehicles...................................
                                                    2011    2012    2013
                                                    2012    2013    2014
------------------------------------------------------------------------


[72 FR 8562, Feb. 26, 2007; 72 FR 13352, Mar. 21, 2007, as amended at 76 
FR 39521, July 6, 2011]



Sec.  86.1811-10  Emission standards for light-duty vehicles, 
light-duty trucks and medium-duty passenger vehicles.

    Section 86.1811-10 includes text that specifies requirements that 
differ from Sec. Sec.  86.1811-04 and 86.1811-09. Where a paragraph in 
Sec.  86.1811-04 or Sec.  86.1811-09 is identical and applicable to 
Sec.  86.1811-10, this may be indicated by specifying the corresponding 
paragraph and the statement ``[Reserved]. For guidance see Sec.  
86.1811-04'' or ``[Reserved]. For guidance see Sec.  86.1811-09.'' Where 
a corresponding paragraph of Sec.  86.1811-04 or Sec.  86.1811-09 is not 
applicable, this is indicated by the statement ``[Reserved]''
    (a) [Reserved]. For guidance see Sec.  86.1811-09.
    (b) through (d) [Reserved]. For guidance see Sec.  86.1811-04.
    (e) [Reserved]. For guidance see Sec.  86.1811-09.
    (f) [Reserved]. For guidance see Sec.  86.1811-04.
    (g) Cold temperature exhaust emission standards. (1) Cold 
temperature CO standards. These cold temperature CO standards are 
applicable only to gasoline fueled LDV/Ts and MDPVs. Cold temperature CO 
exhaust emission standards apply over a useful life of 50,000 miles or 5 
years (whichever occurs first) as follows:
    (i) For LDVs and LDT1s, the standard is 10.0 grams per mile CO.
    (ii) For LDT2s, LDT3s and LDT4s, and MDPVs, the standard is 12.5 
grams per mile CO.
    (iii) These standards do not apply to interim non-Tier 2 MDPVs.
    (2) Cold temperature NMHC standards. Full useful life fleet average 
cold temperature NMHC standards are applicable only to gasoline fueled 
LDV/LLDTs and HLDT/MDPVs, and apply equally to certification and in-use 
except as otherwise specified in paragraph (u) of this section for in-
use standards for applicable phase-in models. Testing with other fuels 
such as E85, or testing on diesel vehicles, is not required. Multi-fuel, 
bi-fuel or dual-fuel vehicles must comply with requirements using 
gasoline only. For LDV/LLDTs, the useful life is 120,000 miles or 10 
years, whichever comes first. For HLDT/MDPVs, the useful life is 120,000 
miles or 11 years, whichever comes first. There is not an intermediate 
useful life standard for cold temperature NMHC standards.
    (i) The standards are shown in the following table:

    Table S10-1--Fleet Average Cold Temperature NMHC Full Useful Life
                       Exhaust Emission Standards
------------------------------------------------------------------------
                                                               Cold
                                                            temperature
                                                            NMHC sales-
                 Vehicle weight category                  weighted fleet
                                                              average
                                                             standard
                                                           (grams/mile)
------------------------------------------------------------------------
LDVs & LLDTs (<=6,000 lbs GVWR).........................             0.3

[[Page 957]]

 
HLDTs (6,000-8,500 lbs GVWR) & MDPVs (8,500-10,000 lbs GVWR)..............................
------------------------------------------------------------------------

    (ii) The manufacturer must calculate its fleet average cold 
temperature NMHC emission level(s) as described in Sec.  86.1864-10(m).
    (iii) During a phase-in year, the manufacturer must comply with the 
fleet average standards for the required phase-in percentage for that 
year as specified in paragraph (g)(3) of this section, or for the 
alternate phase-in percentage as permitted under paragraph (g)(4) of 
this section.
    (iv) For model years prior to 2010 (LDV/LLDTs) and 2012 (HLDT/
MDPVs), where the manufacturer desires to bank early NMHC credits as 
permitted under Sec.  86.1864-10(o)(5), the manufacturer must achieve a 
fleet average standard below the applicable standard. Manufacturers must 
determine compliance with the cold temperature NMHC fleet average 
standard according to Sec.  86.1864-10(o).
    (3) Phase-in of the cold temperature NMHC standards. Except as 
permitted in Sec.  86.1811-04(k)(5)(vi) and (vii) regarding small volume 
manufacturers, manufacturers must comply with the phase-in requirements 
in Tables S10-2 and S10-3. Separate phase-in schedules are provided for 
LDV/LLDTs and for HLDT/MDPVs. These requirements specify the minimum 
percentage of the manufacturer's LDV/LLDT and HLDT/MDPV 50-State sales, 
by model year, that must meet the fleet average cold temperature NMHC 
standard for their full useful lives. LDVs and LLDTs must be grouped 
together to determine compliance with these phase-in requirements, and 
HLDTs and MDPVs must also be grouped together to determine compliance 
with these phase-in requirements. Tables S10-2 and S10-3 follow:

  Table S10-2--Phase-in Percentages for LDV/LLDT Cold Temperature NMHC
                              Requirements
------------------------------------------------------------------------
                                                           Percentage of
                                                          LDV/LLDTs that
                       Model year                            must meet
                                                            requirement
------------------------------------------------------------------------
2010....................................................              25
2011....................................................              50
2012....................................................              75
2013 and subsequent.....................................             100
------------------------------------------------------------------------


  Table S10-3--Phase-in Percentages for HLDT/MDPV Cold Temperature NMHC
                              Requirements
------------------------------------------------------------------------
                                                           Percentage of
                                                            HLDT/MDPVs
                       Model year                         that must meet
                                                            requirement
------------------------------------------------------------------------
2012....................................................              25
2013....................................................              50
2014....................................................              75
2015 and subsequent.....................................             100
------------------------------------------------------------------------

    (4) Alternate phase-in schedules for cold temperature NMHC 
standards. (i) Manufacturers may apply for alternate phase-in schedules 
that would still result in 100% phase-in by 2013 and 2015, respectively, 
for LDV/LLDTs and HLDT/MDPVs. An alternate phase-in schedule submitted 
by a manufacturer is subject to EPA approval. The alternate phase-in 
will not be used to delay full implementation past the last year of the 
primary phase-in schedule (2013 for LDV/LLDTs, 2015 for HLDT/MDPVs). An 
alternate phase-in schedule will be acceptable if it satisfies the 
following conditions (where API = Anticipated Phase-In percentage for 
the referenced model year):
    LDV/LLDTs:

(6 x API2008) + (5 x API2009) + (4 x 
API2010) + (3 x API2011) + (2 x 
API2012) + (1 x API2013) = 500%, and (6 
x API2008) + (5 x API2009) + (4 x 
API2010) = 100%

    HLDT/MDPVs:

(6 x API2010) + (5 x API2011) + (4 x 
API2012) + (3 x API2013) + (2 x 
API2014) + (1 x API2015) = 500%, and (6 
x API2010) + (5 x API2011) + (4 x 
API2012) = 100%,
     or

(6 x API2010) + (5 x API2011) + (4 x 
API2012) + (3 x API2013) + (2 x 
API2014) + (1 x API2015) = 600%

    (ii)(A) For LDV/LLDTs, if the sum of products in paragraph (g)(4)(i) 
of this section is greater than or equal to

[[Page 958]]

500%, which is the sum of products from the primary phase-in schedule (4 
x 25% + 3 x 50% + 2 x 75% + 1 x 100% = 500%), then the alternate phase-
in schedule is acceptable, except as prohibited in paragraphs (g)(4)(i) 
and (iii) of this section. In addition, manufacturers electing to use an 
alternate phase-in schedule for compliance with the cold temperature 
NMHC exhaust emission standards must ensure that the sum of products is 
at least 100% for model years 2010 and earlier for LDV/LLDTs. For 
example, a phase-in schedule for LDV/LLDTs of 5/10/10/45/80/100 that 
begins in 2008 would calculate as (6 x 5%) + (5 x 10%) + (4 x 10%) = 
120% and would be acceptable for 2008-2010. The full phase-in would 
calculate as (6 x 5%) + (5 x 10%) + (4 x 10%) + (3 x 45%) + (2 x 80%) + 
(1 x 100%) = 515% and would be acceptable for 2008-2013.
    (B) For HLDT/MDPVs, if the sum of products in paragraph (g)(4)(i) of 
this section is greater than or equal to 500%, which is the sum of 
products from the primary phase-in schedule (4 x 25% + 3 x 50% + 2 x 75% 
+ 1 x 100% = 500%), then the alternate phase-in schedule is acceptable, 
except as prohibited in paragraphs (g)(4)(i) and (iii) of this section. 
In addition, manufacturers electing to use an alternate phase-in 
schedule for compliance with the cold temperature NMHC exhaust emission 
standards must ensure that the sum of products is at least 100% for 
model years 2012 and earlier for HLDT/MDPVs. Alternately, if the sum of 
products is greater than or equal to 600%, then the alternate phase-in 
schedule is acceptable, except as prohibited in paragraphs (g)(4)(i) and 
(iii) of this section. If the sum of products is greater than or equal 
to 600%, then there are no requirements on the sum of products for model 
years 2012 and earlier.
    (iii) Under an alternate phase-in schedule, the projected phase-in 
percentage is not binding for a given model year, provided the sums of 
the actual phase-in percentages that occur meet the appropriate total 
sums as required in the equations of paragraph (g)(4)(i) of this 
section, and provided that 100% actual compliance is reached for the 
appropriate model year, either 2013 for LDV/LLDTs or 2015 for HLDT/
MDPVs.
    (5) Manufacturers must determine compliance with required phase-in 
schedules as follows:
    (i) Manufacturers must submit information showing compliance with 
all phase-in requirements of this section with their Part I applications 
as required by Sec.  86.1844(d)(13).
    (ii) A manufacturer electing to use any alternate phase-in schedule 
permitted under this section must provide in its Application for 
Certification for the first year in which it intends to use such a 
schedule, and in each succeeding year during the phase-in, the intended 
phase-in percentages for that model year and the remaining phase-in 
years along with the intended final sum of those percentages as 
described in paragraph (g)(4)(i) of this section. This information may 
be included with the information required under Sec.  86.1844-01(d)(13). 
In its year end annual reports, as required under Sec.  86.1844-
01(e)(4), the manufacturer must include sufficient information so that 
the Administrator can verify compliance with the alternate phase-in 
schedule established under paragraph (g)(4)(i) of this section.
    (6)(i) Sales percentages for the purpose of determining compliance 
with the phase-in of the cold temperature NMHC requirements must be 
based upon projected 50-State sales of LDV/LLDTs and HLDT/MDPVs of the 
applicable model year by the manufacturer to the point of first sale. 
Such sales percentages must be rounded to the nearest 0.1 percent.
    (ii) Alternatively, the manufacturer may petition the Administrator 
to allow actual volume produced for U.S. sales to be used in lieu of 
projected U.S. sales for purposes of determining compliance with the 
phase-in percentage requirements under this section. The manufacturer 
must submit its petition within 30 days of the end of the model year. 
For EPA to approve the use of actual volume produced for U.S. sales, the 
manufacturer must establish to the satisfaction of the Administrator, 
that actual production volume is functionally equivalent to actual sales 
volume of LDV/LLDTs and HLDT/MDPVs sold in all 50 U.S. States.

[[Page 959]]

    (h) through (s) [Reserved]. For guidance see Sec.  86.1811-04.
    (t) [Reserved]. For guidance see Sec.  86.1811-09.
    (u) Cold temperature NMHC exhaust emission in-use standards for 
applicable phase-in models. An interim full useful life in-use 
compliance standard is calculated by adding 0.1 g/mi to the FEL to which 
each test group is newly certified, and applies to that test group only 
for the model years shown in Tables S10-4 and S10-5. Otherwise, the in-
use standard is the certification standard from paragraph (g)(2) of this 
section. The standards apply for purposes of in-use testing only and 
does not apply to certification or Selective Enforcement Auditing. 
Tables S10-4 and S10-5 follow:

                         Table S10-4--In-Use Standards for Applicable Phase-In LDV/LLDTs
----------------------------------------------------------------------------------------------------------------
                   Model Year of Introduction                      2008    2009    2010    2011    2012    2013
----------------------------------------------------------------------------------------------------------------
Models years that the interim in-use standard is available......    2008    2009    2010    2011    2012    2013
                                                                    2009    2010    2011    2012    2013    2014
                                                                    2010    2011    2012    2013    2014
                                                                    2011    2012    2013
----------------------------------------------------------------------------------------------------------------


                        Table S10-5--In-Use Standards for Applicable Phase-In HLDT/MDPVs
----------------------------------------------------------------------------------------------------------------
                   Model Year of Introduction                      2010    2011    2012    2013    2014    2015
----------------------------------------------------------------------------------------------------------------
Models years that the interim in-use standard is available......    2010    2011    2012    2013    2014    2015
                                                                    2011    2012    2013    2014    2015    2016
                                                                    2012    2013    2014    2015    2016
                                                                    2013    2014    2015
----------------------------------------------------------------------------------------------------------------


[72 FR 8564, Feb. 26, 2007]



Sec.  86.1811-17  Exhaust emission standards for light-duty vehicles, 
light-duty trucks and medium-duty passenger vehicles.

    (a) Applicability and general provisions. This section describes 
exhaust emission standards that apply for model year 2017 and later 
light-duty vehicles, light-duty trucks, and medium-duty passenger 
vehicles. MDPVs are subject to all the same emission standards and 
certification provisions that apply to LDT4. Some of the provisions of 
this section also apply to heavy-duty vehicles as specified in Sec.  
86.1816. See Sec.  86.1818 for greenhouse gas emission standards. See 
Sec.  86.1813 for evaporative and refueling emission standards. This 
section may apply to vehicles from model years earlier than 2017 as 
specified in paragraph (b)(11) of this section.
    (b) Tier 3 exhaust emission standards. Exhaust emissions may not 
exceed the Tier 3 exhaust emission standards, as follows:
    (1) Measure emissions using the chassis dynamometer procedures of 40 
CFR part 1066, as follows:
    (i) Establish appropriate load settings based on loaded vehicle 
weight (see Sec.  86.1803).
    (ii) Use appropriate driving schedules. Measurements involve testing 
over multiple driving schedules. The Federal Test Procedure (FTP) is 
based on testing with the Urban Dynamometer Driving Schedule (UDDS). The 
Supplemental Federal Test Procedure (SFTP) involves testing with the 
UDDS, the US06 driving schedule, and the SC03 driving schedule. See 40 
CFR 1066.801 for further information on these test cycles.
    (iii) Calculate SFTP emissions as a composite of test results over 
the driving schedules identified in paragraph (b)(1)(ii) of this section 
based on the following calculation:

SFTP (g/mi) = 0.35 x FTP + 0.28 x US06 + 0.37 x SC03

    (A) For test vehicles that do not have air conditioning, you may 
omit SC03 testing. To calculate composite SFTP emissions for such 
vehicles, use FTP emission results to substitute for the SC03 value in 
the equation.
    (B) You may also use FTP emission results to substitute for the SC03 
value

[[Page 960]]

in the equation for the types of vehicles identified in 40 CFR 600.115 
that automatically qualify for the derived 5-cycle method for 
determining fuel economy label values. Such vehicles remain subject to 
the SFTP standard when tested over the SC03 driving schedule. Other 
vehicles remain subject to the litmus-test provisions in 40 CFR 600.115.
    (iv) Use E10 test fuel as required in Sec.  86.113, except as 
specified in this section.
    (v) Hydrocarbon emission standards are expressed as NMOG; however, 
for certain vehicles you may measure exhaust emissions based on 
nonmethane hydrocarbon instead of NMOG as described in 40 CFR 1066.635.
    (vi) Measure emissions from hybrid electric vehicles (including 
plug-in hybrid electric vehicles) as described in 40 CFR part 1066, 
subpart F, except that these procedures do not apply for plug-in hybrid 
electric vehicles during charge-depleting operation.
    (2) Table 1 of this section describes fully phased-in Tier 3 
standards that apply as specified in this paragraph (b) for the 
identified driving schedules. The FTP standards for NMOG + 
NOX apply on a fleet-average basis using discrete bin 
standards as described in paragraph (b)(4) of this section. The bin 
standards include additional emission standards for high-altitude 
testing and for CO emissions when testing over the FTP driving schedule. 
The SFTP standards for NMOG + NOX apply on a fleet-average 
basis as described in paragraph (b)(5) of this section. Table 1 follows:

            Table 1 of Sec.   86.1811-17--Fully Phased-in Tier 3 Exhaust Emission Standards (g/mile)
----------------------------------------------------------------------------------------------------------------
             NMOG + NOX                                PM                           CO            Formaldehyde
----------------------------------------------------------------------------------------------------------------
     FTP \1\              SFTP               FTP                US06               SFTP               FTP
----------------------------------------------------------------------------------------------------------------
          0.030              0.050              0.003              0.006                4.2              0.004
----------------------------------------------------------------------------------------------------------------
\1\ The fleet-average FTP emission standard for NMOG + NOX is 0.026 g/mile for LDV and LDT1 test groups
  certified to standards based on a useful life of 120,000 miles or 10 years in a given model year.

    (3) The FTP standards specified in this section apply for testing at 
low-altitude conditions and high-altitude conditions as specified in 
paragraph (b)(4) of this section. The SFTP standards specified in 
paragraph (b)(2) of this section apply only for testing at low-altitude 
conditions.
    (4) The FTP emission standard for NMOG + NOX is based on 
a fleet average for a given model year. You must specify a family 
emission limit (FEL) for each test group. The FEL serves as the emission 
standard for the test group with respect to all required FTP testing. 
Calculate your fleet-average emission level as described in Sec.  
86.1860 based on the FEL that applies for low-altitude testing to show 
that you meet the specified standard. For multi-fueled vehicles, 
calculate fleet-average emission levels based only on emission levels 
for testing with gasoline or diesel fuel. You may generate emission 
credits for banking and trading and you may use banked or traded credits 
as described in Sec.  86.1861 for demonstrating compliance with the FTP 
emission standard for NMOG + NOX. You comply with the 
emission standard for a given model year if you have enough credits to 
show that your fleet-average emission level is at or below the 
applicable standard. You may exchange FTP credits between or among any 
test groups subject to standards under this section. You may not 
exchange FTP and SFTP credits.
    (i) Specify one of the identified values from Table 2 of this 
section as the FEL for demonstrating that your fleet-average emission 
level complies with the FTP emission standard for NMOG + NOX 
under low-altitude conditions. These FEL values define emission bins 
that also determine corresponding emission standards for NMOG + 
NOX emissions under high-altitude conditions, and for CO 
emissions, as follows:

[[Page 961]]



                             Table 2 of Sec.   86.1811-17--Tier 3 FTP Bin Standards
                                                    [g/mile]
----------------------------------------------------------------------------------------------------------------
                                                                    NMOG + NOX
                            FEL Name                               FELs for low   NMOG + NOX for  CO for low and
                                                                     altitude      high altitude   high altitude
----------------------------------------------------------------------------------------------------------------
Bin 160.........................................................           0.160           0.160             4.2
Bin 125.........................................................           0.125           0.160             2.1
Bin 70..........................................................           0.070           0.105             1.7
Bin 50..........................................................           0.050           0.070             1.7
Bin 30..........................................................           0.030           0.050             1.0
Bin 20..........................................................           0.020           0.030             1.0
Bin 0...........................................................           0.000           0.000             0.0
----------------------------------------------------------------------------------------------------------------

    (ii) Manufacturers earn a compliance credit of 0.005 g/mile NMOG + 
NOX for vehicles that are certified for a useful life of 
150,000 miles or 15 years and that are covered by an extended warranty 
over the same period for all components whose failure triggers MIL 
illumination. Manufacturers may apply the compliance credit as follows:
    (A) You may reduce your official FTP emission result for 
certification by the amount of the compliance credit if that allows you 
to certify to a more stringent bin. In that case, you may use the more 
stringent bin standard for calculating the fleet-average NMOG + 
NOX emission level. For any compliance testing with these 
vehicles, the applicable FTP bin standard for NMOG + NOX is 
higher than the specified bin standard by the amount of the compliance 
credit. For example, if the official FTP emission result for NMOG + 
NOX is 0.052 g/mile, this qualifies for an FEL of 0.050 g/
mile for calculating the fleet average and the vehicle is subject to an 
FTP bin standard of 0.055 g/mile.
    (B) If the amount of the compliance credit does not allow you to 
certify to a more stringent bin, calculate the fleet-average NMOG + 
NOX emission level using an FEL for these vehicles that is 
smaller than the bin standard by the amount of the compliance credit. 
For any compliance testing with these vehicles, the specified bin 
standard applies. For example, if the official FTP emission result for 
NMOG + NOX is 0.038 g/mile, calculate the fleet-average NMOG 
+ NOX emission level by specifying an FEL of 0.045 g/mile; 
these vehicles are subject to the specified FTP bin standard of 0.050 g/
mile.
    (iii) If you qualify for a compliance credit for direct ozone 
reduction under the LEV III program, you may apply the compliance credit 
approved for California vehicles as described in paragraphs 
(b)(4)(ii)(A) and (B) of this section.
    (iv) You may combine the adjustments in paragraphs (b)(4)(ii) and 
(iii) of this section if you qualify for them separately.
    (5) The SFTP emission standard for NMOG + NOX is also 
based on a fleet average in a given model year. You must specify FELs as 
described in paragraph (b)(4) of this section and calculate a fleet-
average emission level to show that you meet the SFTP emission standard 
for NMOG + NOX, except that you may specify FELs in any even 
increment of 0.010 g/mile up to a maximum value of 0.180 g/mile. You may 
generate emission credits for banking and trading and you may use banked 
or traded credits as described in Sec.  86.1861 for demonstrating 
compliance with the SFTP emission standard for NMOG + NOX. 
You comply with the emission standard for a given model year if you have 
enough credits to show that your fleet-average emission level is at or 
below the applicable standard. You may exchange SFTP credits between or 
among any test groups subject to standards under this section. You may 
not exchange FTP and SFTP credits. The SFTP standards described in this 
section apply only for testing at low-altitude conditions.
    (6) The full Tier 3 program includes new emission standards for NMOG 
+ NOX, PM, CO, and formaldehyde; it also includes measurement 
with a new test fuel and a longer useful life (for some vehicles). 
Vehicles meeting all these requirements are considered Final Tier 3 
vehicles. Vehicles that do not meet

[[Page 962]]

all the Tier 3 requirements are considered Interim Tier 3 vehicles. 
Paragraphs (b)(7) through (13) of this section describe how to comply 
with standards during a phase-in period.
    (7) The Tier 3 PM standards phase in over several years. The 
following provisions describe the primary approach for phasing in the 
Tier 3 PM standards:
    (i) You must meet the FTP and the US06 PM standards with 20, 20, 40, 
70, and 100 percent of your projected nationwide sales of all vehicles 
subject to this section in model years 2017 through 2021, respectively. 
In model years 2017 and 2018, an interim US06 PM standard of 0.010 g/
mile applies. Each vehicle meeting the Tier 3 FTP standard for PM must 
also meet the Tier 3 US06 standard for PM. In model year 2017, the 
phase-in requirement applies only for vehicles at or below 6,000 pounds 
GVWR; however, you may meet an alternative phase-in requirement of 10 
percent in model year 2017 based on your full production of vehicles 
subject to standards under this section.
    (ii) You may disregard the phase-in percentages specified in 
paragraph (b)(7)(i) of this section if you instead comply with an 
indexed PM phase-in schedule as described in this paragraph (b)(7)(ii). 
To do this, you must notify us of your intent before January 1, 2017, 
and include a detailed plan for complying with the indexed phase-in 
schedule. You comply with the indexed phase-in schedule by calculating a 
PM phase-in index at or above 540 using the following equation for model 
years 2017 through 2021:

PM phase-in index = 5 [middot] APP2017 + 4 [middot] 
APP2018 + 3 [middot] APP2019 + 2 [middot] 
APP2020 + APP2021

Where:

APP = The phase-in percentage of vehicles meeting the Tier 3 PM 
          standards for the indicated model year, based on actual sales, 
          as described in paragraph (b)(7)(i) of this section.

    (iii) Vehicles meeting the Tier 3 PM standards must meet those 
standards over the useful life as specified in Sec.  86.1805. Note that 
Interim Tier 3 vehicles may have different useful life values for PM 
emission standards than for other emission standards.
    (iv) Any vehicles not included for demonstrating compliance with the 
Tier 3 PM phase-in requirement must instead comply with an FTP emission 
standard for PM of 0.010 g/mile, and a composite SFTP emission standard 
for PM of 0.070 g/mile.
    (v) Measure PM emissions from all vehicles using the same test fuel 
specified in paragraph (b)(8) of this section for measuring NMOG + 
NOX emissions.
    (vi) You may certify Interim Tier 3 vehicles based on carryover 
data.
    (vii) You may use the alternative phase-in provisions described in 
paragraph (b)(9) of this section to transition to the Tier 3 exhaust 
emission standards on a different schedule.
    (8) The following provisions describe the primary approach for 
phasing in the Tier 3 standards other than PM in 2025 and earlier model 
years:
    (i) FTP phase-in. The fleet-average FTP emission standard for NMOG + 
NOX phases in over several years as described in this 
paragraph (b)(8)(i). You must identify FELs as described in paragraph 
(b)(4) of this section and calculate a fleet-average emission level to 
show that you meet the FTP emission standard for NMOG + NOX 
that applies for each model year. For model year 2017, do not include 
vehicles above 6,000 pounds GVWR. Through model year 2019, you may also 
certify to transitional Bin 85 or Bin 110 standards, which consist of 
all-altitude FTP emission standards for NMOG + NOX of 0.085 
or 0.110 g/mile, respectively; additional FTP standards for PM, CO, and 
formaldehyde apply as specified in this section for vehicles certified 
to Bin 125 standards. Fleet-average FTP emission standards decrease 
through the phase-in period as shown in the following table:

[[Page 963]]



   Table 3 of Sec.   86.1811-17--Declining Fleet-Average Tier 3 FTP Emission Standards for NMOG + NOX (g/mile)
----------------------------------------------------------------------------------------------------------------
                                                                    LDV, LDT1--     LDV, LDT1--
                                                                   150,000 mile    120,000 mile
                           Model year                               useful life     useful life     LDT2, HLDT
                                                                        \1\             \1\
----------------------------------------------------------------------------------------------------------------
2017 \2\........................................................           0.086           0.073           0.101
2018............................................................           0.079           0.067           0.092
2019............................................................           0.072           0.061           0.083
2020............................................................           0.065           0.055           0.074
2021............................................................           0.058           0.049           0.065
2022............................................................           0.051           0.043           0.056
2023............................................................           0.044           0.037           0.047
2024............................................................           0.037           0.031           0.038
2025............................................................           0.030           0.026           0.030
----------------------------------------------------------------------------------------------------------------
\1\ Vehicles certified to standards based on a useful life of 120,000 miles may comply based on the fleet-
  average standard specified for 150,000 mile useful life in certain circumstances as specified in paragraph
  (b)(8)(iii)(A) of this section.
\2\ HLDT and MDPV must meet the Tier 3 standards starting with model year 2018.

    (ii) SFTP phase-in. The fleet-average SFTP emission standard for 
NMOG + NOX phases in over several years as described in this 
paragraph (b)(8)(ii). You must identify FELs as described in paragraph 
(b)(5) of this section and calculate a fleet-average emission level to 
show that you meet the SFTP emission standard for NMOG + NOX 
that applies for each model year.
    (A) Calculate the fleet-average emission level together for all your 
light-duty vehicles and light-duty trucks, except for those certified 
using the provisions of paragraph (b)(8)(ii)(C) of this section. For 
model year 2017, do not include vehicles above 6,000 pounds GVWR (in the 
numerator or denominator).
    (B) Fleet-average SFTP emission standards decrease through the 
phase-in period as shown in the following table:

    Table 4 of Sec.   86.1811-17--Declining Fleet-Average Tier 3 SFTP
                           Emission Standards
------------------------------------------------------------------------
                                                          NMOG + NOX (g/
                       Model year                              mile)
------------------------------------------------------------------------
2017 \1\................................................           0.103
2018....................................................           0.097
2019....................................................           0.090
2020....................................................           0.083
2021....................................................           0.077
2022....................................................           0.070
2023....................................................           0.063
2024....................................................           0.057
2025....................................................           0.050
------------------------------------------------------------------------
\1\ HLDT and MDPV must meet the Tier 3 standards starting with model
  year 2018.

    (C) You may use the SFTP stand-alone option specified in 13 CCR 
1961.2 (a)(7)(A)1 of the LEV III program to demonstrate compliance with 
EPA's SFTP standards. Do not include any such test groups when 
demonstrating compliance with the phased-in fleet-average SFTP standards 
specified in this paragraph (b)(8)(ii). Note that this option is not 
available for vehicles certified to the transitional bins described in 
paragraph (b)(8)(i) of this section.
    (iii) Interim provisions. (A) For vehicles certified to bins higher 
than Bin 70 under this section through model year 2019, the Tier 2 
useful life period applies as specified in Sec.  86.1805-12 for all 
criteria pollutants other than PM. However, LDV and LDT1 test groups 
certified to bin standards above Bin 70 through model year 2019 may be 
included in the same averaging set with vehicles meeting standards over 
a 150,000 mile useful life, notwithstanding the provisions of Sec.  
86.1861-17(b)(1)(iii). Any such vehicles you include in the averaging 
set for 150,000 mile useful life are also subject to the fleet-average 
NMOG + NOX standard specified for 150,000 mile useful life; 
similarly, any such vehicles you include in the averaging set for 
120,000 mile useful life are also subject to the fleet-average NMOG + 
NOX standard specified for 120,000 mile useful life.
    (B) You may use the E0 test fuel specified in Sec.  86.113 through 
model year 2019 for gasoline-fueled vehicles certified to bins higher 
than Bin 70. You may not certify these vehicles using carryover data 
after model year 2019.
    (C) Vehicles must comply with the Tier 2 SFTP emission standards for 
NMHC + NOX and CO for 4,000-mile

[[Page 964]]

testing that are specified in Sec.  86.1811-04(f)(1) if they are 
certified to transitional Bin 85 or Bin 110 standards, or if they are 
certified based on a fuel without ethanol, or if they are not certified 
to the Tier 3 p.m. standard. Note that these standards apply under this 
section for alternative fueled vehicles, for flexible fueled vehicles 
when operated on a fuel other than gasoline or diesel fuel, and for 
MDPVs, even though these vehicles were not subject to the SFTP standards 
in the Tier 2 program.
    (iv) You may use the alternative phase-in provisions described in 
paragraph (b)(9) of this section to transition to the Tier 3 exhaust 
emission standards on a different schedule.
    (9) This paragraph (b)(9) describes an alternative approach to 
phasing in the Tier 3 emission standards for vehicles above 6,000 pounds 
GVWR. If you choose this approach, you must phase in the Tier 3 
standards for all your vehicles above 6,000 pounds GVWR that are subject 
to this section according to this schedule. Under this alternative 
phase-in, you must meet the fully phased-in standards specified in this 
paragraph (b) with 40, 70, and 100 percent of your projected nationwide 
sales of all vehicles above 6,000 pounds GVWR that are subject to this 
section in model years 2019 through 2021, respectively. Any vehicles not 
subject to Tier 3 standards during the phase-in period must continue to 
comply with the Tier 2 standards in Sec.  86.1811-04(c) and (f), 
including the Tier 2 SFTP emission standards for NMHC + NOX 
and CO for 4,000-mile testing as specified in Sec.  86.1811-04(f)(1). 
Vehicles subject to Tier 2 standards under this paragraph (b)(9) are 
subject to the useful life provisions in Sec.  86.1805-12 relative to 
exhaust emission standards. Each vehicle counting toward the phase-in 
percentage under this paragraph (b)(9) must meet all the standards that 
apply throughout the useful life as specified in Sec.  86.1805-17, and 
must use the Tier 3 test fuel specified in Sec.  86.113-15. The 
following exceptions and special provisions apply under this paragraph 
(b)(9):
    (i) For model year 2019, you may exclude from the phase-in 
calculation any test groups with vehicles above 6,000 pounds GVWR that 
have a Job 1 date on or before March 3, 2018 (see 40 CFR 85.2304).
    (ii) The FTP and SFTP emission standards for NMOG + NOX 
are fleet-average standards. Calculate your fleet-average values based 
on all the vehicles that are subject to the standard in a given year. 
You may not generate credits for banking or trading in model years 2019 
or 2020, and you may not use banked or traded credits to demonstrate 
compliance with the standards in those years.
    (iii) The US06 emission standard for PM is 0.010 g/mile in model 
years 2019 through 2021, and 0.006 g/mile starting in model year 2022. 
The other standards described in this paragraph (b)(9) apply to all your 
vehicles above 6,000 pounds GVWR in model years 2022 through 2024.
    (10) You may not use credits generated from Tier 2 vehicles for 
demonstrating compliance with the Tier 3 standards except as specified 
in this paragraph (b)(10). You may generate early credits with U.S. 
sales of Tier 2 vehicles in the two model years before the Tier 3 
standards start to apply for a given vehicle model. Vehicles certified 
to the Tier 2 standards must meet all the Tier 2 requirements in Sec.  
86.1811-10, including the fleet-average Tier 2 standards. Calculate 
early Tier 3 emission credits as described in Sec.  86.1861 by 
subtracting the appropriate Tier 2 fleet-average value for FTP emissions 
of NMOG + NOX from 0.160 g/mile. Calculate your fleet-average 
value for the model year based on vehicles at or below 6,000 pounds GVWR 
in 2015, on all sizes of vehicles in 2016, and on vehicles above 6,000 
pounds GVWR in 2017. You may use these early credits as described in 
Sec.  86.1861 for demonstrating compliance with the FTP emission 
standard for NMOG + NOX starting in model year 2017. You may 
use these early credits interchangeably for vehicles certified based on 
a useful life of either 120,000 or 150,000 miles. For model years 2018 
and later, you may use any remaining early credits for banking or 
trading subject to a limitation based on credits generated in 
California, as follows:
    (i) For the applicable model years in which you generate emission 
credits relative to California's LEV III fleet-

[[Page 965]]

average NMOG + NOX standard, determine the actual California 
sales of light-duty vehicles and light-duty trucks and the actual 
nationwide sales of those same vehicles. (Note: If you have a credit 
deficit in a given model year for your LEV III vehicles, apply the 
provisions of this paragraph (b)(10)(i) based on the appropriate 
negative credit quantity.) In 2015, count sales only from vehicle models 
at or below 6,000 pounds GVWR. For each model year, multiply the credits 
generated under the California program by the ratio of nationwide 
vehicle sales to LEV III vehicle sales to calculate an effective 
nationwide quantity. Sum these results for model years 2015 through 
2017. Note that this calculation results in a maximum credit quantity 
based on vehicle sales in all states, even though the initial credit 
calculation does not include vehicle sales in California or the section 
177 states. If you comply with the LEV III standards based on pooled 
emission credits for California and the section 177 states, use those 
pooled emission credits and corresponding sales for calculating the 
maximum credit quantity under this paragraph (b)(10)(i).
    (ii) You may not use more early credits generated under this 
paragraph (b)(10) for banking or trading to demonstrate compliance with 
Tier 3 emission standards than the calculated value of the effective 
nationwide credit quantity summed in paragraph (b)(10)(i) of this 
section. If your generated credits are greater than this threshold, 
determine the ratio by which your generated early credits exceed the 
threshold. Calculate an adjusted quantity of early credits generated 
under this paragraph (b)(10) by dividing the generated credit quantity 
from each model year by this ratio of generated credits relative to the 
applicable threshold. This adjusted quantity of credits may be used for 
banking or trading relative to the Tier 3 standards, subject to the 
five-year credit life described in Sec.  86.1861.
    (11) You may certify vehicles to the Tier 3 standards starting in 
model year 2015. To do this, you may either sell all your LEV III 
vehicle models nationwide, or you may certify a subset of your fleet to 
alternate fleet-average emission standards as follows:
    (i) The alternate fleet-average FTP emission standards for NMOG + 
NOX are 0.100 g/mile in 2015 and 0.093 g/mile in 2016 for LDV 
and LDT1.
    (ii) The alternate fleet-average FTP emission standards for NMOG + 
NOX are 0.119 g/mile in 2015, 0.110 g/mile in 2016, and 0.101 
g/mile in 2017 for LDT2 and HLDT.
    (iii) The alternate fleet-average SFTP emission standards for NMOG + 
NOX are 0.140 in 2015 for all vehicles, 0.110 in 2016 for all 
vehicles, and 0.103 in 2017 for LDT2 and HLDT.
    (iv) The vehicles must meet FTP and SFTP standards for PM as 
specified in Sec.  86.1811-04. The PM testing provisions of Sec.  
86.1829-01(b)(1)(iii)(B) apply for these vehicles.
    (v) Vehicles not certified to the Tier 3 standards in a given model 
year must meet all the requirements that apply for Tier 2 vehicles in 
that model year.
    (vi) For cold temperature testing and for high-altitude testing, you 
may use the E0 fuel specified in Sec.  86.113-04(a) or Sec.  86.213 
instead of the E10 test fuel specified in Sec.  86.113-15.
    (vii) Vehicles certified under this paragraph (b)(11) to a bin 
standard at or below Bin 70 must be certified to a useful life of 
150,000 miles.
    (viii) The interim provisions described in paragraph (b)(8)(iii) of 
this section apply for vehicles certified under this paragraph (b)(11), 
except that credits generated under this paragraph (b)(11) may be used 
interchangeably for vehicles certified based on a useful life of either 
120,000 or 150,000 miles.
    (ix) For vehicles certified under this paragraph (b)(11), you may 
generate emission credits and use those credits for demonstrating 
compliance with Tier 3 standards as described in paragraph (b)(10) of 
this section or as described in Sec.  86.1861.
    (12) The following alternate standards apply for in-use testing:
    (i) Alternate in-use FTP standards for NMOG + NOX apply 
for 2021 and earlier model year vehicles certified to Bin 70 and lower. 
Calculate these alternate standards by multiplying the applicable FEL by 
1.4. These alternate

[[Page 966]]

standards apply only for testing at low-altitude conditions.
    (ii) The alternate in-use FTP standard for PM is 0.006 g/mile for 
2021 and earlier model year vehicles.
    (iii) The in-use US06 standard for PM is 0.010 g/mile for 2023 and 
earlier model year vehicles.
    (13) Keep records as needed to show that you meet the requirements 
specified in this paragraph (b) for phasing in standards and for 
complying with declining fleet-average average standards.
    (14) This subpart describes several ways that the transition to 
Final Tier 3 standards applies differently for vehicles above and below 
6,000 pounds GVWR. All these distinctions apply only for LDT. LDV as a 
category is defined independent of GVWR, so any LDV above 6,000 pounds 
GVWR are subject to the same provisions that apply for LDV at or below 
6,000 pounds GVWR. Where this section refers to ``vehicles above 6,000 
pounds GVWR,'' this should be understood to include LDT above 6,000 
pounds GVWR and MDPV (or HLDT and MDPV), and to exclude all LDV.
    (c) Highway NMOG + NOX exhaust emission standard. NMOG + 
NOX emissions measured on the federal Highway Fuel Economy 
Test in 40 CFR 1066.840 may not exceed the applicable FTP bin standard 
for NMOG + NOX. Demonstrate compliance with this standard for 
low-mileage vehicles by applying the appropriate deterioration factor. 
For vehicles not certified to any Tier 3 emission standards specified in 
paragraph (b) of this section, the provisions of Sec.  86.1811-04(j) 
apply instead of this paragraph (c).
    (d) Special provisions for Otto-cycle engines. The special 
provisions described in this paragraph (d) apply for vehicles with Otto-
cycle engines. For vehicles not certified to any Tier 3 emission 
standards, the provisions of Sec.  86.1810-01(i)(6), (i)(13), and 
(i)(14) apply instead of this paragraph (d).
    (1) Enrichment limits. The nominal air-fuel ratio throughout the 
US06 cycle may not be richer than the leanest air-fuel mixture required 
for lean best torque, except as allowed under paragraph (d)(2) of this 
section. Unless we approve otherwise in advance, lean best torque is the 
leanest air-fuel ratio required at any speed and load point with a fixed 
spark advance to make peak torque. The allowable tolerance around the 
nominal value for any given speed and load point over the US06 cycle for 
a particular vehicle is 4 percent, which is calculated as the nominal 
mass-based air-fuel ratio for lean best torque divided by 1.04.
    (2) Engine protection. AECDs that use commanded enrichment to 
protect the engine or emission control hardware must not use enrichment 
more frequently or to a greater degree than is needed for this purpose. 
For purposes of this section, commanded enrichment includes intended 
engine operation at air-fuel ratios rich of stoichiometry, except the 
following:
    (i) Cycling back and forth in a narrow window between rich and lean 
operation as a result of feedback controls targeted to maintain overall 
engine operation at stoichiometry.
    (ii) Small changes in the target air-fuel ratio to optimize vehicle 
emissions or drivability. This may be called ``closed-loop biasing.''
    (iii) Temporary enrichment in response to rapid throttle motion.
    (iv) Enrichment during cold-start and warm-up conditions.
    (v) Temporary enrichment for running OBD checks to comply with Sec.  
86.1806.
    (3) A/C-on specific calibrations. (i) A/C-on specific calibrations 
(e.g., air-fuel ratio, spark timing, and exhaust gas recirculation) that 
differ from A/C-off calibrations may be used for a given set of engine 
operating conditions (e.g., engine speed, manifold pressure, coolant 
temperature, air charge temperature, and any other parameters). Such 
calibrations must not unnecessarily reduce emission control 
effectiveness during A/C-on operation when the vehicle is operated under 
conditions that may reasonably be expected during normal operation and 
use. If emission control effectiveness decreases as a result of such 
calibrations, the manufacturer must describe in the Application for 
Certification the circumstances under which this occurs and the reason 
for using these calibrations.

[[Page 967]]

    (ii) For AECDs involving commanded enrichment, these AECDs must not 
operate differently for A/C-on operation than for A/C-off operation, 
except as provided under paragraph (d)(2) of this section. This includes 
both the sensor inputs for triggering enrichment and the degree of 
enrichment employed.
    (4) ``Lean-on-cruise'' calibration strategies. Manufacturers may use 
``lean-on-cruise'' strategies subject to the following specifications:
    (i) A ``lean-on-cruise'' strategy is defined as the use of an air-
fuel ratio significantly leaner than stoichiometry during non-
deceleration conditions at speeds above 40 mph.
    (ii) You must not employ ``lean-on-cruise'' strategies during 
vehicle operation in normal driving conditions, including A/C usage, 
unless at least one of the following conditions is met:
    (A) Such strategies are substantially employed during the FTP, US06, 
or SC03 duty cycle.
    (B) Such strategies are demonstrated not to significantly reduce 
vehicle emission control effectiveness over the operating conditions in 
which they are employed.
    (C) Such strategies are demonstrated to be necessary to protect the 
vehicle occupants, engine, or emission control hardware.
    (iii) If you propose to use a ``lean-on-cruise'' strategy, you must 
describe in the application for certification the circumstances under 
which such a calibration would be used and the reasons for using it.
    (e) through (f) [Reserved]
    (g) Cold temperature exhaust emission standards. The standards in 
this paragraph (g) apply for certification and in-use vehicles tested 
over the test procedures specified in subpart C of this part. These 
standards apply only to gasoline-fueled vehicles. Multi-fuel, bi-fuel or 
dual-fuel vehicles must comply with requirements using gasoline only. 
Testing with other fuels such as a high-level ethanol-gasoline blend, or 
testing on diesel vehicles, is not required.
    (1) Cold temperature CO standards. Cold temperature CO exhaust 
emission standards apply for testing at both low-altitude conditions and 
high-altitude conditions as follows:
    (i) For LDV and LDT1, the standard is 10.0 g/mile CO.
    (ii) For LDT2, LDT3 and LDT4, the standard is 12.5 grams per mile 
CO.
    (2) Cold temperature NMHC standards. The following fleet average 
cold temperature NMHC standards apply as follows:
    (i) The standards are shown in the following table:

    Table 5 of Sec.   86.1811-17--Fleet Average Cold Temperature NMHC
                       Exhaust Emission Standards
------------------------------------------------------------------------
                                                               Cold
                                                            temperature
                                                            NMHC sales-
                 Vehicle weight category                  weighted fleet
                                                              average
                                                           standard (g/
                                                               mile)
------------------------------------------------------------------------
LDV and LLDT............................................             0.3
HLDT....................................................             0.5
------------------------------------------------------------------------

    (ii) The manufacturer must calculate its fleet average cold 
temperature NMHC emission level(s) as described in Sec.  86.1864-10(m).
    (iii) The standards specified in this paragraph (g)(2) apply only 
for testing at low-altitude conditions. However, manufacturers must 
submit an engineering evaluation indicating that common calibration 
approaches are utilized at high altitudes. Any deviation from low 
altitude emission control practices must be included in the auxiliary 
emission control device (AECD) descriptions submitted at certification. 
Any AECD specific to high altitude must require engineering emission 
data for EPA evaluation to quantify any emission impact and validity of 
the AECD.
    (h) Small-volume manufacturers. Small-volume manufacturers may use 
the following Tier 3 phase-in provisions:
    (1) Instead of the fleet-average FTP standards for NMOG + 
NOX specified in this section, small-volume manufacturers may 
meet alternate fleet-average standards of 0.125 g/mile through model 
year 2021, and 0.051 g/mile for model years 2022 through 2027. The 
following additional provisions apply for vehicles certified under this 
paragraph (h)(1):
    (i) Vehicles are subject to exhaust emission standards over the 
useful life as specified in Sec.  86.1805-12 through

[[Page 968]]

model year 2021, and as specified in this section starting in model year 
2022.
    (ii) Gasoline-fueled vehicles may use the E0 test fuel specified in 
Sec.  86.113-04 for vehicles certified to bins higher than Bin 70 
through model year 2021.
    (iii) Vehicles certified under this paragraph (h)(1) may generate 
emission credits and they may use banked or traded emission credits 
relative to the alternate fleet-average FTP standard for NMOG + 
NOX only in model years 2022 through 2027.
    (iv) Vehicles are subject to all the other requirements specified in 
this section.
    (2) Small-volume manufacturers may delay complying with all the 
requirements of this section until model year 2022, and instead meet all 
the requirements that apply to Tier 2 vehicles under Sec.  86.1811-10 
for 2021 and earlier model years.
    (3) If meeting the Tier 3 standards would cause severe economic 
hardship, small-volume manufacturers may ask us to approve an extended 
compliance deadline under the provisions of 40 CFR 1068.250, except that 
the solvency criterion does not apply and there is no maximum duration 
of the hardship relief.

[79 FR 23713, Apr. 28, 2014, as amended at 80 FR 9105, Feb. 19, 2015; 81 
FR 73984, Oct. 25, 2016]



Sec.  86.1813-17  Evaporative and refueling emission standards.

    Vehicles must meet evaporative and refueling emission standards as 
specified in this section. These standards apply for heavy duty vehicles 
above 14,000 pounds GVWR as specified in Sec.  86.1801. The emission 
standards apply for total hydrocarbon equivalent (THCE) measurements 
using the test procedures specified in subpart B of this part, as 
appropriate. Note that Sec.  86.1829 allows you to certify without 
testing in certain circumstances. Except as specified in paragraph (b) 
of this section, evaporative and refueling emission standards do not 
apply for diesel-fueled vehicles. Unless otherwise specified, MDPVs are 
subject to all the same provisions of this section that apply to LDT4.
    (a) Tier 3 evaporative emission standards. Vehicles may not exceed 
the Tier 3 evaporative emission standards, as follows:
    (1) Measure emissions using the test procedures of subpart B of this 
part, as follows:
    (i) Follow the vehicle preconditioning and exhaust testing 
procedures as described in subpart B of this part.
    (ii) Measure diurnal, running loss, and hot soak emissions as shown 
in Sec.  86.130. This includes separate measurements for the two-diurnal 
test sequence and the three-diurnal test sequence; however, gaseous-
fueled vehicles are not subject to any evaporative emission standards 
using the two-diurnal test sequence.
    (iii) For gasoline-fueled vehicles, use E10 test fuel as required in 
Sec.  86.113, except as specified in this section.
    (iv) Emissions are generally measured with a flame ionization 
detector (FID). In the case of rig, diurnal, hot soak, and running loss 
testing with E10 test fuel, multiply measured (unspeciated) FID values 
by 1.08 to account for the FID's reduced response to ethanol. However, 
you may instead determine total hydrocarbon equivalent for E10 testing 
based on speciated measurements as described in Sec.  86.143-96(c). You 
may use different methods (with or without speciation) for different 
test elements for a given test vehicle; however, you must always use the 
same method for diurnal and hot soak testing. In addition, any later 
testing with vehicles from that evaporative/refueling family must use 
the same method that was used for the original testing. Similarly, any 
evaporative/refueling families certified in later model years using 
carryover data must use the same method that was used for the original 
testing. We may do testing with or without speciation, but we will apply 
the 1.08 correction factor to unspeciated measurements for any of these 
four categories of evaporative emissions only if you also use it to 
determine your final test results.
    (2) Diurnal and hot soak emissions may not exceed the Tier 3 
emission standards, as follows:
    (i) The emission standard for the sum of diurnal and hot soak 
measurements from the two-diurnal test sequence and the three-diurnal 
test sequence is based on a fleet average in a given model

[[Page 969]]

year. You must specify a family emission limit (FEL) for each 
evaporative family. The FEL serves as the emission standard for the 
evaporative family with respect to all required diurnal and hot soak 
testing. Calculate your fleet-average emission level as described in 
Sec.  86.1860 based on the FEL that applies for low-altitude testing to 
show that you meet the specified standard. For multi-fueled vehicles, 
calculate fleet-average emission levels based only on emission levels 
for testing with gasoline. You may generate emission credits for banking 
and trading and you may use banked or traded credits for demonstrating 
compliance with the diurnal plus hot soak emission standard for vehicles 
required to meet the Tier 3 standards, other than electric vehicles and 
gaseous-fueled vehicles, as described in Sec.  86.1861 starting in model 
year 2017. You comply with the emission standard for a given model year 
if you have enough credits to show that your fleet-average emission 
level is at or below the applicable standard. You may exchange credits 
between or among evaporative families within an averaging set as 
described in Sec.  86.1861. Separate diurnal plus hot soak emission 
standards apply for each evaporative/refueling emission family as shown 
for high-altitude conditions. The sum of diurnal and hot soak 
measurements may not exceed the following Tier 3 standards:

   Table 1 of Sec.   86.1813-17--Tier 3 Diurnal Plus Hot Soak Emission
                                Standards
                            [grams per test]
------------------------------------------------------------------------
                                         Low-altitude
          Vehicle category            conditions--fleet-   High-altitude
                                            average         conditions
------------------------------------------------------------------------
LDV, LDT1...........................             0.300              0.65
LDT2................................             0.400              0.85
HLDT................................             0.500          \1\ 1.15
HDV.................................             0.600              1.75
------------------------------------------------------------------------
\1\ 1.25 g/test for MDPVs.

    (ii) Specify FELs as follows:
    (A) You may specify the low-altitude FEL in increments of 0.025 g 
above or below the otherwise applicable Tier 3 diurnal plus hot soak 
standard, up to the maximum values specified in the following table:

 Table 2 of Sec.   86.1813-17--Tier 3 FEL Caps for Low-Altitude Testing
------------------------------------------------------------------------
                    Vehicle category                         FEL Caps
------------------------------------------------------------------------
LDV.....................................................           0.500
LLDT....................................................           0.650
HLDT....................................................           0.900
MDPV....................................................           1.000
HDV.....................................................             1.4
------------------------------------------------------------------------

    (B) Calculate the FEL for testing at high-altitude conditions based 
on the difference between the low-altitude FEL and the standard. For 
example, if a light-duty vehicle was certified with an FEL of 0.400 g 
instead of the 0.300 g standard, the FEL for testing under high-altitude 
conditions would be 0.75 g (0.65 + 0.10).
    (iii) Hydrocarbon emissions must not exceed 0.020 g for LDV and LDT 
and 0.030 g for HDV when tested using the Bleed Emission Test Procedure 
adopted by the California Air Resources Board as part of the LEV III 
program. This procedure quantifies diurnal emissions using the two-
diurnal test sequence without measuring hot soak emissions. The 
standards in this paragraph (a)(2)(iii) do not apply for testing at 
high-altitude conditions. For vehicles with non-integrated refueling 
canisters, the bleed emission test and standard do not apply to the 
refueling canister. You may perform the Bleed Emission Test Procedure 
using the analogous test temperatures and the E10 test fuel specified in 
subpart B of this part.
    (3) Running losses may not exceed 0.05 g per mile when measured 
using the test procedures specified in Sec.  86.134. This standard does 
not apply for gaseous-fueled vehicles.
    (4) Fuel systems for vehicles operating on one or more volatile 
liquid fuels may not exceed an effective leak diameter of 0.02 inches 
when measured using the procedure specified in 40 CFR 1066.985. For 
vehicles with fuel tanks exceeding 25 gallons nominal fuel tank 
capacity, you may request our approval for a leak standard greater than 
0.020 inches, up to a maximum value of 0.040 inches.
    (5) The Tier 3 evaporative emission standards start to phase in with 
model year 2017 for vehicles at or below 6,000 pounds GVWR and with 
model year 2018 for vehicles above 6,000 pounds GVWR.

[[Page 970]]

Table 3 of this section specifies the minimum percentage of each 
manufacturer's sales in each model year that must be certified to the 
Tier 3 evaporative emission standards. Calculate annual percentages 
based on actual nationwide sales of all vehicles subject to standards 
under this paragraph (a) for the applicable model year; however, if all 
your FELs for Tier 3 evaporative families are at the applicable standard 
(neither generating nor using emission credits), the phase-in 
requirements are based on projected sales. Also, if you certify vehicles 
above 6,000 pounds GVWR to the Tier 3 evaporative emission standards in 
model year 2017, you may count projected U.S. sales of those vehicles 
toward your calculation for meeting the 40 percent requirement in 2017 
(numerator only). Manufacturers may meet this requirement using the 
additional alternative phase-in provisions in paragraph (g) of this 
section. Vehicles from the identified model years not certified to the 
Tier 3 evaporative emission standards continue to be subject to the 
evaporative emission standards specified in Sec.  86.1811-09(e) or Sec.  
86.1816-08(d), including the useful life provisions of Sec.  86.1805-12. 
Note that this subjects LDV and LDT1 to a 150,000 mile useful life for 
evaporative emissions if the vehicles are subject to a 150,000 mile 
useful life for exhaust emissions. Keep records as needed to show that 
you meet the phase-in requirements specified in this section. See 
paragraph (g) of this section for additional provisions that apply for 
model year 2017 and the rest of the phase-in.

   Table 3 of Sec.   86.1813-17--Default Phase-In Schedule for Tier 3
                     Evaporative Emission Standards
------------------------------------------------------------------------
                                                      Minimum percentage
                                                          of vehicles
                     Model year                         subject to the
                                                       Tier 3 standards
------------------------------------------------------------------------
2017................................................            40 \1 2\
2018................................................                  60
2019................................................                  60
2020................................................                  80
2021................................................                  80
2022................................................                 100
------------------------------------------------------------------------
\1\ The phase-in percentage for model year 2017 applies only for
  vehicles at or below 6,000 pounds GVWR.
\2\ The leak standard specified in paragraph (a)(4) of this section does
  not apply for model year 2017.

    (6) For model year 2017, exclude vehicle sales from California and 
section 177 states from the calculation to demonstrate compliance with 
the phase-in schedule in paragraph (a)(5) or (g) of this section, and 
from the credit calculation in Sec.  86.1860.
    (b) Refueling emissions. Light-duty vehicles, light-duty trucks, and 
complete heavy-duty vehicles must meet the refueling emission standards 
in this paragraph (b) when measured over the procedure specified in 
Sec.  86.150. These standards apply starting with model year 2018 for 
vehicles above 10,000 pounds GVWR. The following refueling standards 
apply:
    (1) 0.20 g THCE per gallon of fuel dispensed for vehicles using 
volatile liquid fuels. This standard also applies for diesel-fueled LDV.
    (2) 0.15 g THC per gallon of fuel dispensed for liquefied petroleum 
gas-fueled vehicles and natural gas-fueled vehicles.
    (c) Fuel spitback. For vehicles fueled by volatile liquid fuels, 
fuel spitback emissions may not exceed 1.0 g THCE when measured using 
the test procedures specified in Sec.  86.146. The fuel spitback 
standard applies only to newly assembled vehicles.
    (d) [Reserved]
    (e) Auxiliary engines and separate fuel systems. The provisions of 
40 CFR 1037.103(g) apply for vehicles with auxiliary engines. This 
includes any engines installed in the final vehicle configuration that 
contribute no motive power through the vehicle's transmission.
    (f) Refueling provisions for gaseous-fueled vehicles. The following 
provisions apply specifically for gaseous-fueled vehicles:
    (1) Compressed natural gas vehicles must meet the requirements for 
fueling connection devices as specified in ANSI NGV1-2006 or CSA IR-1-15 
(incorporated by reference in Sec.  86.1).
    (2) [Reserved]
    (3) With our advance approval, liquefied petroleum gas-fueled 
vehicles with gauges or valves that can be opened to release fuel or 
fuel vapor during refueling (such as fixed liquid level gauges) may be 
tested for refueling emissions without opening such gauges or valves, as 
outlined in Sec.  86.157-98(d)(2). We will

[[Page 971]]

approve your request if you can show that such gauges or valves will not 
be open during in-use refueling due to inaccessibility or other design 
features that would prevent them from opening or make this very 
unlikely.
    (g) Alternative phase-in options for Tier 3 evaporative emission 
standards. You may use any of the following alternative methods to 
transition to the Tier 3 evaporative emission standards:
    (1) Starting in model year 2015, you may earn an ``allowance'' for 
each vehicle that you certify early under this paragraph (g)(1). For 
each allowance you earn, you may count it as one compliant vehicle in a 
later model year during the phase-in period. Calculate the total phase-
in percentage in each model year by adding the allowances to the number 
of compliant vehicles (in the numerator), without increasing total sales 
(in the denominator). For each allowance you earn, you may alternatively 
count it as one compliant vehicle under the phase-in schedule described 
in paragraph (g)(5) of this section, except that you may not use those 
allowances to increase the value of the phase-in index from any model 
year by more than 10 percentage points. Vehicles earning allowances 
under this paragraph (g)(1) may not have an FEL above the applicable 
Tier 3 standard, and may not generate emission credits for banking or 
trading. Allowances may not be traded to another company. You may earn 
allowances under this paragraph (g)(1) for early-compliant vehicles as 
follows:
    (i) Model year 2015 and 2016 vehicles at or below 6,000 pounds GVWR 
meeting the Tier 3 standards in paragraph (a) of this section or the 
equivalent California standards as specified in paragraph (g)(4) of this 
section earn allowances, as long as the vehicles are not sold in 
California or any of the section 177 states.
    (ii) Model year 2015 through 2017 LDV and LDT above 6,000 pounds 
GVWR meeting the Tier 3 standards in paragraph (a) of this section or 
the equivalent California standards as specified in paragraph (g)(4) of 
this section earn allowances, as long as the vehicles are not sold in 
California or any of the section 177 states.
    (iii) Model year 2015 through 2017 MDPV and HDV meeting the Tier 3 
standards in paragraph (a) of this section or the equivalent California 
standards as specified in paragraph (g)(4) of this section earn 
allowances for vehicles sold in any state.
    (iv) To the extent that you over-comply with the 40-percent phase-in 
requirement in model year 2017, you may count your actual U.S. sales 
exceeding the required number of Tier 3 vehicles as allowances toward 
meeting the phase-in requirement in 2018 and later model years.
    (v) For HDV above 10,000 pounds GVWR and at or below 14,000 pounds 
GVWR that you certify to the refueling emission standards in paragraph 
(b) of this section in model years 2015 through 2017 and sell outside of 
California and the section 177 states, a single vehicle may produce two 
allowances if it is certified to the Tier 3 diurnal plus hot soak 
standard. Allowances earned under this paragraph (g)(1)(v) may 
alternatively be used in model years 2018 through 2022 to phase in the 
refueling standard, except that a single early-compliant vehicle 
produces only a single allowance.
    (vi) Complete HDV above 14,000 pounds GVWR and all sizes of 
incomplete HDV earn allowances as described in paragraph (g)(1)(v) of 
this section if they are certified to the refueling emission standards 
in paragraph (b) of this section in model years 2015 through 2021.
    (2) The following alternative phase-in options apply for model year 
2017:
    (i) You may disregard the percentage phase-in specified in paragraph 
(a)(5) of this section for 2017 if you choose 50-state certification for 
all your vehicles meeting the LEV III PZEV evaporative standards in 
2017. Under this option, you may not produce a higher-emitting version 
of those vehicle models for sale outside of California or the section 
177 states. Such vehicles may be certified using carryover data under 
the California program, but they may not generate or use emission 
credits. LDV and LDT1 that comply under this paragraph (g)(2)(i) may not 
generate allowances under paragraph (g)(1) of this section, regardless 
of the calculated

[[Page 972]]

percentage of compliant vehicles in model year 2017.
    (ii) You may comply with the phase-in requirement for model year 
2017 by meeting the Tier 3 emission standards for diurnal plus hot soak, 
running loss, and bleed emissions (or the equivalent set of California 
standards as allowed in this section) with 20 percent of vehicles at or 
below 6,000 pounds GVWR, and by meeting the leak standard in paragraph 
(a)(2)(iii) of this section with 20 percent of vehicles at or below 
6,000 pounds GVWR. You may optionally include vehicles above 6,000 
pounds GVWR under this paragraph (g)(2)(ii) to calculate the percentage 
(numerator only) if they meet the leak and/or evaporative emission 
standards in model year 2017. Vehicles complying with Tier 3 evaporative 
emission standards may generate or use emission credits relative to the 
diurnal plus hot soak standard as specified in this section, but they 
may not generate allowances. You may apply this option and use the 
alternative phase-in calculation in paragraph (g)(4) of this section, 
subject to the following conditions:
    (A) You must meet or exceed the 20 percent threshold for both 
evaporative emissions and the leak standard.
    (B) All the vehicles meeting the leak standard must also meet the 
Tier 3 evaporative emission standards and the OBD requirements in Sec.  
86.1806-17(b)(1).
    (C) Determine the appropriate percentage for calculating compliance 
under paragraph (g)(4) of this section by adding 20 to the percentage of 
vehicles meeting the Tier 3 evaporative emission standards to account 
for vehicles meeting the leak standard. Do not increase the percentage 
based on meeting the leak standard with more than 20 percent of your 
vehicles in model year 2017.
    (3) If you certify model year 2021 or earlier vehicles to the LEV 
III evaporative emission standards in California, you may certify those 
as Tier 3 vehicles that count toward meeting the phase-in requirements 
of this section. Such vehicles must still be certified to the high-
altitude standards in paragraph (a)(2) of this section and the leak 
standard specified in paragraph (a)(4) of this section. You may not 
certify vehicles under this paragraph (g)(3) after model year 2021. 
Vehicles meeting the LEV III standards may also generate allowances 
under paragraph (g)(1) of this section; however, these vehicles may 
generate or use emission credits under this subpart only if they are not 
used to generate allowances and if they are certified using the Option 2 
procedures under the LEV III program (including the bleed emission 
test). Vehicles may be certified under this paragraph (g)(3) based on 
the rig test (``Option 1'') if they are certified to LEV III standards 
based on the rig test before model year 2017; this certification option 
applies through model year 2021. Include these Option 1 vehicles in the 
calculation of fleet average emissions by using the appropriate Tier 3 
emission standard as the FEL. Note that the rig test is considered a 
diurnal test with respect to the provisions to account for ethanol 
emissions as described in paragraph (a)(1)(iv) of this section.
    (4) If you fall short of the phase-in percentage specifications in 
paragraph (a)(5) of this section, you may designate the requisite number 
of Tier 2 vehicles as Tier 3 vehicles for purposes of demonstrating 
compliance with the Tier 3 standards in this section. To do this, factor 
those Tier 2 vehicles into the Tier 3 fleet-average emission calculation 
using an FEL that is equal to the applicable diurnal plus hot soak 
standard from the two-day test sequence. The Tier 3 emission standards 
do not apply to these Tier 2 vehicles. In addition, you may disregard 
the phase-in percentages specified in paragraph (a)(5) of this section 
if you instead comply based on one of the following alternative 
measures:
    (i) You may comply with an alternate phase-in schedule described in 
this paragraph (g)(4)(i). To do this, you must give us a detailed plan 
for describing how you will meet the alternate phase-in schedule. You 
comply with the alternate phase-in schedule by calculating an 
evaporative phase-in index using the following equation that is at or 
above 1,280 for model years 2017 through 2022 (or 1,040 for model years 
2018 through 2022 if you use the provisions of paragraph (g)(2)(i) of 
this section):


[[Page 973]]


Evaporative phase-in index = 6[middot]APP2017 + 
5[middot]APP2018 + 4[middot]APP2019 + 
3[middot]APP2020 + 2[middot]APP2021 + 
APP2022

Where:

APP = The phase-in percentage of vehicles meeting the Tier 3 evaporative 
          emission standards for the indicated model year, based on 
          actual sales, as described in paragraph (a)(5) of this 
          section.

    (ii) You may comply with an alternate phase-in schedule described in 
this paragraph (g)(4)(ii). To do this, you must give us a detailed plan 
for describing how you will meet the alternate phase-in schedule. You 
comply with the alternate phase-in schedule by calculating an 
evaporative phase-in index using the following equation that is at or 
above 420 for model years 2017 through 2022 (or 380 for model years 2018 
through 2022 if you use the provisions of paragraph (g)(2)(i) of this 
section):

Evaporative phase-in index = APP2017 + APP2018 + 
APP2019 + APP2020 + APP2021 + 
APP2022

Where:

APP = The phase-in percentage of vehicles meeting the Tier 3 evaporative 
          emission standards for the indicated model year, based on 
          actual sales, as described in paragraph (a)(5) of this 
          section.

    (5) This paragraph (g)(5) describes an alternative approach to 
phasing in the evaporative and refueling emission standards for gaseous-
fueled vehicles above 8,500 pounds GVWR. Under this alternative phase-
in, you may disregard the requirements of this section related to 
evaporative emission standards that apply for these vehicles before 
model year 2019. Similarly, you may disregard the refueling emission 
standards of this section before model year 2019 for vehicles above 
10,000 pounds GVWR. For model year 2019, you may exclude from the phase-
in calculation any evaporative families with vehicles that have a Job 1 
date on or before March 3, 2018 (see 40 CFR 85.2304). Any vehicles not 
subject to Tier 3 evaporative emission standards during this phase-in 
period must continue to comply with the evaporative emission standards 
in Sec.  86.1816-08(d); such vehicles are subject to the useful life 
provisions in Sec.  86.1805-12 relative to evaporative emission 
standards. Each vehicle counting toward the phase-in percentage under 
this paragraph (g)(5) must meet all the standards that apply throughout 
the useful life as specified in Sec.  86.1805-17.
    (h) Small-volume manufacturers. Small-volume manufacturers meeting 
the eligibility requirements in Sec.  86.1838 may delay complying with 
the requirements in this section until model year 2022. If meeting the 
Tier 3 standards would cause severe economic hardship, such 
manufacturers may ask us to approve an extended compliance deadline 
under the provisions of 40 CFR 1068.250, except that the solvency 
criterion does not apply and there is no maximum duration of the 
hardship relief.

[79 FR 23718, Apr. 28, 2014, as amended at 80 FR 9107, Feb. 19, 2015; 81 
FR 73984, Oct. 25, 2016]



Sec.  86.1816-05  Emission standards for complete heavy-duty vehicles.

    This section applies to 2005 and later model year complete heavy-
duty vehicles (2003 model year for manufacturers choosing Otto-cycle HDE 
option 1 in Sec.  86.005-1(c)(1), or 2004 model year for manufacturers 
choosing Otto-cycle HDE option 2 in Sec.  86.005-1(c)(2)) fueled by 
gasoline, methanol, natural gas and liquefied petroleum gas fuels except 
as noted. This section does not apply to Medium-duty Passenger Vehicles, 
which are covered under Sec.  86.1811. This section also applies to 2000 
and later model year complete heavy duty vehicles participating in the 
early banking provisions of the averaging, trading and banking program 
as specified in Sec.  86.1817-05(n). Multi-fueled vehicles shall comply 
with all requirements established for each consumed fuel. For methanol 
fueled vehicles, references in this section to hydrocarbons or total 
hydrocarbons shall mean total hydrocarbon equivalents and references to 
non-methane hydrocarbons shall mean non-methane hydrocarbon equivalents.
    (a) Exhaust emission standards. (1) Exhaust emissions from 2005 and 
later model year complete heavy-duty vehicles at and above 8,500 pounds 
Gross Vehicle Weight Rating but equal to or less than 10,000 Gross 
Vehicle Weight Rating pounds shall not exceed the following standards at 
full useful life:
    (i) [Reserved]

[[Page 974]]

    (ii) Non-methane organic gas. 0.280 grams per mile; this requirement 
may be satisfied by measurement of non-methane hydrocarbons or total 
hydrocarbons, at the manufacturer's option.
    (iii) Carbon monoxide. 7.3 grams per mile.
    (iv) Oxides of nitrogen. 0.9 grams per mile.
    (v) [Reserved]
    (2) Exhaust emissions from 2005 and later model year complete heavy-
duty vehicles above 10,000 pounds Gross Vehicle Weight Rating but less 
than 14,000 pounds Gross Vehicle Weight Rating shall not exceed the 
following standards at full useful life:
    (i) [Reserved]
    (ii) Non-methane organic gas. 0.330 grams per mile; this requirement 
may be satisfied by measurement of non-methane hydrocarbons or total 
hydrocarbons, at the manufacturer's option.
    (iii) Carbon monoxide. 8.1 grams per mile.
    (iv) Oxides of nitrogen. 1.0 grams per mile.
    (v) [Reserved]
    (b)-(c) [Reserved]
    (d) Evaporative emissions. Evaporative hydrocarbon emissions from 
gasoline-fueled, natural gas-fueled, liquefied petroleum gas-fueled, and 
methanol-fueled complete heavy-duty vehicles shall not exceed the 
following standards. The standards apply equally to certification and 
in-use vehicles. The spitback standard also applies to newly assembled 
vehicles.
    (1) Gasoline, natural gas, liquefied petroleum gas, and methanol 
fuel. For the full three-diurnal test sequence, diurnal plus hot soak 
measurements: 3.0 grams per test.
    (2) Gasoline and methanol fuel only. For the supplemental two-
diurnal test sequence, diurnal plus hot soak measurements: 3.5 grams per 
test.
    (3) Gasoline and methanol fuel only. Running loss test: 0.05 grams 
per mile.
    (4) Gasoline and methanol fuel only. Fuel dispensing spitback test: 
1.0 grams per test.
    (e) Refueling emissions--(1) Standards. Refueling emissions from 
Otto-cycle complete heavy-duty vehicles equal to or less than 10,000 
pounds Gross Vehicle Weight Rating shall be phased in, in accordance 
with the schedule in Table S01-5 in Sec.  86.1810-01 not to exceed the 
following emission standards:
    (i) For gasoline-fueled and methanol-fueled vehicles: 0.20 grams 
hydrocarbon per gallon (0.053 gram per liter) of fuel dispensed.
    (ii) For liquefied petroleum gas-fueled vehicles: 0.15 grams 
hydrocarbon per gallon (0.04 gram per liter) of fuel dispensed.
    (2) Phase-in. Complete heavy-duty vehicles subject to refueling 
standards must comply with the phase-in requirements found in Table S01-
5 in Sec.  86.1810-01, and must be grouped with HLDTs and MDPVs to 
determine phase-in compliance.
    (3) Alternate timing. (i) For manufacturers choosing Otto-cycle HDE 
option 3 under Sec.  86.005-1(c)(3), the refueling emissions standards 
are optional for 2004 model year complete heavy-duty vehicles.
    (ii) For manufacturers choosing Otto-cycle HDE option 3 under Sec.  
86.005-1(c)(3), the manufacturer may exempt 2005 model year HDE test 
groups whose model year begins before July 31, 2004. Only 2005 model 
year HDE test groups whose model year begins on or after July 31, 2004 
shall be considered (together with all 2005 model year HLDTs and MDPVs) 
for purposes of calculating the sales percentage for phase-in as 
outlined in Sec.  86.1810-01(k).
    (iii) For complete heavy-duty vehicles which have total fuel tank 
capacity of greater than 35 gallons, or which do not share a common fuel 
system with a light-duty truck or medium-duty passenger vehicle 
configuration, the refueling emissions standards are optional for the 
2004 and 2005 model years.
    (4) Exceptions. The provisions of this Sec.  86.1816-05(e) do not 
apply to incomplete heavy-duty vehicles optionally certified to complete 
heavy duty vehicle standards under the provisions of Sec.  86.1801-
01(c)(2).
    (f) [Reserved]
    (g) Idle exhaust emission standards, complete heavy-duty vehicles. 
Exhaust emissions of carbon monoxide from 2005 and later model year 
gasoline, methanol, natural gas-and liquefied petroleum gas-fueled 
complete heavy-duty vehicles shall not exceed 0.50 percent of

[[Page 975]]

exhaust gas flow at curb idle for a useful life of 11 years or 120,000 
miles, whichever occurs first. This does not apply for vehicles 
certified to the requirements of Sec.  86.1806-05
    (h) Alternate test groups. Manufacturers may request to group 
complete heavy-duty vehicles into the same test group as vehicles 
subject to more stringent standards, so long as those complete heavy-
duty vehicles meet the most stringent standards applicable to any 
vehicle within that test group, as provided at Sec.  86.1827-(a)(5) and 
(d)(4).

[65 FR 59970, Oct. 6, 2000, as amended at 66 FR 5190, Jan. 18, 2001]



Sec.  86.1816-08  Emission standards for complete heavy-duty vehicles.

    Section 86.1816-08 includes text that specifies requirements that 
differ from those specified in Sec.  86.1816-05. Where a paragraph in 
Sec.  86.1816-05 is identical and applicable to Sec.  86.1816-08, this 
may be indicated by specifying the corresponding paragraph and the 
statement ``[Reserved]. For guidance see Sec.  86.1816-05.''. This 
section applies to 2008 and later model year complete heavy-duty 
vehicles (excluding MDPVs) fueled by gasoline, methanol, natural gas and 
liquefied petroleum gas fuels except as noted. Multi-fueled vehicles 
shall comply with all requirements established for each consumed fuel. 
For methanol fueled vehicles, references in this section to hydrocarbons 
or total hydrocarbons shall mean total hydrocarbon equivalents and 
references to non-methane hydrocarbons shall mean non-methane 
hydrocarbon equivalents.
    (a) Exhaust emission standards. (1) Exhaust emissions from 2008 and 
later model year complete heavy-duty vehicles at and above 8,500 pounds 
Gross Vehicle Weight Rating but equal to or less than 10,000 Gross 
Vehicle Weight Rating pounds shall not exceed the following standards at 
full useful life:
    (i) [Reserved]
    (ii) Non-methane hydrocarbons. (A) 0.195 grams per mile; this 
requirement may be satisfied by measurement of non-methane organic gas 
or total hydrocarbons, at the manufacturer's option. For alcohol-fueled 
vehicles, this standard is 0.195 grams per mile NMHCE.
    (B) A manufacturer may elect to include any or all of its test 
groups in the NMHC emissions ABT programs for heavy-duty vehicles, 
within the restrictions described in Sec.  86.1817-05. or Sec.  86.1817-
08. If the manufacturer elects to include test groups in any of these 
programs, the NMHC FEL may not exceed 0.28 grams per mile. This ceiling 
value applies whether credits for the family are derived from averaging, 
banking, or trading.
    (iii) Carbon monoxide. 7.3 grams per mile.
    (iv) Oxides of nitrogen. (A)0.2 grams per mile.
    (B) A manufacturer may elect to include any or all of its test 
groups in the NOX emissions ABT programs for heavy-duty 
vehicles, within the restrictions described in Sec.  86.1817-05 or Sec.  
86.1817-08. If the manufacturer elects to include test groups in any of 
these programs, the NOX FEL may not exceed 0.9 grams per 
mile. This ceiling value applies whether credits for the family are 
derived from averaging, banking, or trading.
    (v) Particulate. 0.02 grams per mile.
    (vi) Formaldehyde. 0.032 grams per mile.
    (2) Exhaust emissions from 2008 and later model year complete heavy-
duty vehicles above 10,000 pounds Gross Vehicle Weight Rating but less 
than 14,000 pounds Gross Vehicle Weight Rating shall not exceed the 
following standards at full useful life:
    (i) [Reserved]
    (ii) Non-methane hydrocarbons. (A) 0.230 grams per mile; this 
requirement may be satisfied by measurement of non-methane organic gas 
or total hydrocarbons, at the manufacturer's option. For alcohol-fueled 
vehicles, this standard is 0.230 grams per mile NMHCE.
    (B) A manufacturer may elect to include any or all of its test 
groups in the NMHC emissions ABT programs for heavy-duty vehicles, 
within the restrictions described in Sec.  86.1817-05. or Sec.  86.1817-
08. If the manufacturer elects to include test groups in any of these 
programs, the NMHC FEL may not exceed 0.33 grams per mile. This ceiling 
value applies whether credits for the family are derived from averaging, 
banking, or trading.

[[Page 976]]

    (iii) Carbon monoxide. 8.1 grams per mile.
    (iv) Oxides of nitrogen. (A)0.4 grams per mile.
    (B) A manufacturer may elect to include any or all of its test 
groups in the NOX emissions ABT programs for heavy-duty 
vehicles, within the restrictions described in Sec.  86.1817-05. or 
Sec.  86.1817-08. If the manufacturer elects to include test groups in 
any of these programs, the NOX FEL may not exceed 1.0 grams 
per mile. This ceiling value applies whether credits for the family are 
derived from averaging, banking, or trading.
    (v) Particulate. 0.02 grams per mile.
    (vi) Formaldehyde. 0.040 grams per mile.
    (b)-(c) [Reserved]
    (d) Evaporative emissions. Evaporative hydrocarbon emissions from 
gasoline-fueled, natural gas-fueled, liquefied petroleum gas-fueled, and 
methanol-fueled complete heavy-duty vehicles shall not exceed the 
following standards. The standards apply equally to certification and 
in-use vehicles. The spitback standard also applies to newly assembled 
vehicles.
    (1) For the full three-diurnal test sequence, diurnal plus hot soak 
measurements: 1.4 grams per test.
    (2) Gasoline and methanol fuel only. For the supplemental two-
diurnal test sequence, diurnal plus hot soak measurements: 1.75 grams 
per test.
    (3) Gasoline and methanol fuel only. Running loss test: 0.05 grams 
per mile.
    (4) Gasoline and methanol fuel only. Fuel dispensing spitback test: 
1.0 grams per test.
    (e) through (h) [Reserved]. For guidance see Sec.  86.1816-05.
    (i) Phase-in options. (1)(i) For model year 2008, manufacturers may 
certify some of their test groups to the standards applicable to model 
year 2008 vehicles under Sec.  86.1816-05, in lieu of the exhaust 
standards specified in this section. These vehicles must comply with all 
other requirements applicable to model year 2007 vehicles. The combined 
number of vehicles in the test groups certified to the 2008 standards 
may not exceed 50 percent of the manufacturer's U.S. heavy-duty vehicle 
sales of complete heavy-duty Otto-cycle motor vehicles for model year 
2008, except as explicitly allowed by paragraph (i)(2) of this section.
    (ii) For model year 2008, manufacturers may certify some of their 
test groups to the evaporative standards applicable to model year 2007 
engines under Sec.  86.1816-05, in lieu of the evaporative standards 
specified in this section. These vehicles must comply with all other 
requirements applicable to model year 2008 vehicles, except as allowed 
by paragraph (i)(1)(i) of this section. The combined number of vehicles 
in the test groups certified to the 2007 standards may not exceed 50 
percent of the manufacturer's U.S. heavy-duty vehicle sales of complete 
heavy-duty Otto-cycle motor vehicles for model year 2008.
    (2)(i) Manufacturers certifying vehicles to all of the applicable 
standards listed in paragraph (a) of this section prior to model year 
2008 (without using credits) may reduce the number of vehicles that are 
required to meet the standards listed in paragraph (a) of this section 
in model year 2008 and/or 2009, taking into account the phase-in option 
provided in paragraph (i)(1) of this section. For every vehicle that is 
certified early, the manufacturer may reduce the number of vehicles that 
are required by paragraph (i)(1) of this section to meet the standards 
listed in paragraph (a) of this section by one vehicle. For example, if 
a manufacturer produces 100 heavy-duty Otto-cycle vehicles in 2007 that 
meet all of the applicable the standards listed in paragraph (a) of this 
section, and it produced 10,000 heavy-duty Otto-cycle vehicles in 2009, 
then only 9,900 of the vehicles would need to comply with the standards 
listed in paragraph (a) of this section.
    (ii) Manufacturers certifying vehicles to all of the applicable 
evaporative standards listed in paragraph (d) of this section prior to 
model year 2008 may reduce the number of vehicles that are required to 
meet the standards listed in paragraph (d) of this section in model year 
2008 and/or 2009, taking into account the phase-in option provided in 
paragraph (i)(1) of this section. For every vehicle that is certified 
early, the manufacturer may reduce the number of vehicles that are 
required by paragraph (i)(1) of this section to meet

[[Page 977]]

the evaporative standards listed in paragraph (d) of this section by one 
vehicle.
    (3) Manufacturers certifying vehicles to all of the applicable 
standards listed in paragraph (i)(3)(i) or (ii) of this section (without 
using credits) and the evaporative standards listed in paragraph (d) of 
this section prior to model year 2008 may reduce the number of vehicles 
that are required to meet the standards listed in paragraph (a) of this 
section in model year 2008 and/or 2009, taking into account the phase-in 
option provided in paragraph (i)(1)(i) of this section. For every such 
vehicle that is certified early with sufficiently low emissions, the 
manufacturer may reduce the number of vehicles that are required by 
paragraph (i)(1)(i) of this section to meet the standards listed in 
paragraph (a) of this section by two vehicles. The applicable standards 
are:
    (i) For complete heavy-duty vehicles at and above 8,500 pounds Gross 
Vehicle Weight Rating but equal to or less than 10,000 Gross Vehicle 
Weight Rating: 0.100 g/mile NMHC, 0.10 g/mile NOX, 3.2 g/mile 
CO, 0.008 g/mile formaldehyde, and 0.02 g/mile PM.
    (ii) For complete heavy-duty vehicles at or above 10,000 pounds 
Gross Vehicle Weight Rating but equal to or less than 14,000 Gross 
Vehicle Weight Rating: 0.117 g/mile NMHC, 0.20 g/mile NOX, 
3.7 g/mile CO, 0.010 g/mile formaldehyde, and 0.02 g/mile PM.
    (j) (1) For model years prior to 2012, for purposes of determining 
compliance after title or custody has transferred to the ultimate 
purchaser, for vehicles meeting the applicable emission standards of 
this section, the applicable compliance limits shall be determined by 
adding the applicable adjustment from paragraph (j)(2) of this section 
to the otherwise applicable standard or FEL.
    (2) The in-use adjustments are:
    (i) 0.1 g/mi for NOX.
    (ii) 0.100 g/mi NMHC.
    (iii) 0.01 g/mi for PM.

[66 FR 5190, Jan. 18, 2001, as amended at 70 FR 40443, July 13, 2005]



Sec.  86.1816-18  Emission standards for heavy-duty vehicles.

    (a) Applicability and general provisions. This section describes 
exhaust emission standards that apply for model year 2018 and later 
complete heavy-duty vehicles. These standards are optional for 
incomplete heavy-duty vehicles and for heavy duty vehicles above 14,000 
pounds GVWR as described in Sec.  86.1801. Greenhouse gas emission 
standards are specified in Sec.  86.1818 for MDPV and in Sec.  86.1819 
for other HDV. See Sec.  86.1813 for evaporative and refueling emission 
standards. This section may apply to vehicles before model year 2018 as 
specified in paragraph (b)(11) of this section. Separate requirements 
apply for MDPV as specified in Sec.  86.1811. See subpart A of this part 
for requirements that apply for incomplete heavy-duty vehicles and for 
heavy-duty engines certified independent of the chassis. The following 
general provisions apply:
    (1) Test all vehicles as described in this section using a chassis 
dynamometer; establish appropriate load settings based on adjusted 
loaded vehicle weight (see Sec.  86.1803).
    (2) Some provisions apply differently depending on the vehicle's 
power-to-weight ratio. Determine a vehicle's power-to-weight ratio by 
dividing the engine's rated power by the vehicle's GVWR (in hp/pound). 
For purposes of this section, if a test group includes multiple 
configurations, use the vehicle with the highest power-to-weight ratio 
to characterize the test group.
    (3) Use E10 test fuel as required in Sec.  86.113, except as 
specified in this section.
    (4) Measure emissions from hybrid electric vehicles (including plug-
in hybrid electric vehicles) as described in 40 CFR part 1066, subpart 
F, except that these procedures do not apply for plug-in hybrid electric 
vehicles during charge-depleting operation.
    (b) Tier 3 exhaust emission standards. Exhaust emissions may not 
exceed the Tier 3 exhaust emission standards, as follows:
    (1) Measure emissions using the procedures of subpart B of this 
part, using specific driving schedules and additional procedures as 
follows:
    (i) The Federal Test Procedure (FTP) is based on testing with the 
Urban Dynamometer Driving Schedule (UDDS) specified in paragraph (a) of 
Appendix I of this part.

[[Page 978]]

    (ii) The Heavy-Duty Supplemental Federal Test Procedure (HD-SFTP) 
involves testing with the UDDS, the SC03 driving schedule specified in 
paragraph (h) of Appendix I of this part, and one of the following 
additional driving schedules:
    (A) For Class 2b vehicles, the US06 driving schedule specified in 
paragraph (g) of Appendix I of this part.
    (B) For Class 2b vehicles with a power-to-weight ratio at or below 
0.024 hp/pound that are certified to optional standards under paragraphs 
(b)(2) and (4) of this section, the highway portion of the US06 driving 
schedule characterized as the ``second bag'' in Sec.  86.159-08(a).
    (C) For Class 3 vehicles, the Hot LA-92 driving schedule as 
specified in paragraph (c) of Appendix I of this part.
    (iii) HD-SFTP emissions are calculated as a composite of test 
results over these driving schedules based on the following calculation:

HD-SFTP (g/mi) = 0.35[middot]FTP + 0.28[middot]HDSIM + 0.37[middot]SC03

Where:

HDSIM = the appropriate driving schedule specified in paragraph 
          (b)(1)(ii)(A) through (C) of this section.

    (iv) You may alternatively use FTP emission results to substitute 
for the SC03 value in the calculation under paragraph (b)(1)(iii) of 
this section for a given vehicle for any testing under this section. 
Such vehicles remain subject to the SFTP standard when tested over the 
SC03 driving schedule.
    (v) Hydrocarbon emission standards are expressed as NMOG; however, 
you may measure exhaust emissions based on nonmethane hydrocarbon 
instead of NMOG as described in 40 CFR 1066.635.
    (2) Table 1 of this section describes fully phased-in Tier 3 
standards that apply as specified in this paragraph (b) for the 
identified driving schedules. The FTP standards for NMOG + 
NOX apply on a fleet-average basis using discrete bin 
standards as described in paragraph (b)(4) of this section. The bin 
standards include additional emission standards for CO emissions, and 
for NMOG + NOX standards when testing over the HD-SFTP 
driving schedule. Table 1 follows:

               Table 1 of Sec.   86.1816-18--Fully Phased-in Tier 3 HDV Exhaust Emission Standards
                                                    [Tg/mile]
----------------------------------------------------------------------------------------------------------------
                                                   Fleet-average                PM                 Formaldehyde
                                                    NMOG + NOX   -----------------------------------------------
                    HDV class                    ----------------
                                                        FTP             FTP           HD-SFTP           FTP
----------------------------------------------------------------------------------------------------------------
2b..............................................           0.178           0.008       0.010 \1\           0.006
3...............................................           0.247           0.010           0.007           0.006
----------------------------------------------------------------------------------------------------------------
\1\ For vehicles with a power-to-weight ratio at or below 0.024 hp/pound that are certified using the driving
  schedule described in paragraph (b)(1)(ii)(B) of this section, the HD-SFTP standard for PM is 0.007 g/mile
  instead of the value specified in the table.

    (3) The FTP standards specified in this section apply equally for 
testing at low-altitude conditions and high-altitude conditions. The HD-
SFTP standards described in this section apply only for testing at low-
altitude conditions.
    (4) The FTP emission standard for NMOG + NOX is based on 
a fleet average in a given model year. You must specify a family 
emission limit (FEL) for each test group. The FEL serves as the emission 
standard for the test group with respect to all required FTP testing. 
Calculate your fleet-average emission level as described in Sec.  
86.1860 to show that you meet the specified standard. For multi-fueled 
vehicles, calculate fleet-average emission levels based only on emission 
levels for testing with gasoline or diesel fuel. You may generate or use 
emission credits for banking and trading and you may use banked or 
traded credits for demonstrating compliance with the FTP emission 
standard for NMOG + NOX as described in Sec.  86.1861. You 
comply with the emission standard for a given model year if you have 
enough credits to show that your fleet-average emission level is at or 
below the applicable standard. You may exchange credits between or among 
any test groups subject to standards under this section.

[[Page 979]]

Specify one of the identified values from Table 2 or Table 3 of this 
section as the FEL for demonstrating that your fleet-average emission 
level complies with the FTP emission standard for NMOG + NOX. 
These FEL values define emission bins that also determine corresponding 
emission standards for NMOG + NOX emissions over the HD-SFTP 
driving schedule and for CO emissions, as follows:

                          Table 2 of Sec.   86.1816-18--Tier 3 Bin Standards--Class 2b
                                                    [g/mile]
----------------------------------------------------------------------------------------------------------------
                                                            NMOG + NOX                          CO
                    FEL Name                     ---------------------------------------------------------------
                                                     FTP (FEL)      HD-SFTP \1\         FTP           HD-SFTP
----------------------------------------------------------------------------------------------------------------
Bin 250.........................................           0.250           0.800             6.4            22.0
Bin 200.........................................           0.200           0.800             4.2            22.0
Bin 170.........................................           0.170           0.450             4.2            12.0
Bin 150.........................................           0.150           0.450             3.2            12.0
Bin 0 \2\.......................................           0.000           0.000             0.0             0.0
----------------------------------------------------------------------------------------------------------------
\1\ Vehicles with a power-to-weight ratio at or below 0.024 hp/pound that are certified using the driving
  schedule described in paragraph (b)(1)(ii)(B) of this section, the following HD-SFTP bin standards for NMOG +
  NOX apply instead of those identified in the table: 0.350 g/mile for Bin 150 and Bin 170; and 0.550 g/mile for
  Bin 200 and Bin 250.
\2\ Vehicles certified to Bin 0 must also meet PM and formaldehyde standards of 0.000 g/mile instead of the
  standards specified in paragraph (b)(2) of this section.


                           Table 3 of Sec.   86.1816-18--Tier 3 Bin Standards--Class 3
                                                    [g/mile]
----------------------------------------------------------------------------------------------------------------
                                                            NMOG + NOX                          CO
                    FEL Name                     ---------------------------------------------------------------
                                                     FTP (FEL)        HD-SFTP           FTP           HD-SFTP
----------------------------------------------------------------------------------------------------------------
Bin 400.........................................           0.400           0.550             7.3             6.0
Bin 270.........................................           0.270           0.550             4.2             6.0
Bin 230.........................................           0.230           0.350             4.2             4.0
Bin 200.........................................           0.200           0.350             3.7             4.0
Bin 0\1\........................................           0.000           0.000             0.0             0.0
----------------------------------------------------------------------------------------------------------------
\1\ Vehicles certified to Bin 0 must also meet PM and formaldehyde standards of 0.000 g/mile instead of the
  standards specified in paragraph (b)(2) of this section.

    (5) [Reserved]
    (6) The full Tier 3 program includes new emission standards for NMOG 
+ NOX, PM, CO, and formaldehyde; it also includes measurement 
with a new test fuel and a longer useful life. Vehicles meeting all 
these requirements are considered Final Tier 3 vehicles. Vehicles that 
do not meet all the Tier 3 requirements are considered Interim Tier 3 
vehicles. The Tier 3 PM standards phase in over several years. Any 
vehicles not subject to Tier 3 PM standards during the phase-in period 
must continue to comply with the PM standards in Sec.  86.1816-08. 
Paragraph (b)(7) of this section describes how to transition to Tier 3 
standards for emissions other than PM. The following provisions describe 
the primary approach for phasing in the Tier 3 PM standards:
    (i) You must meet the FTP emission standard for PM with 20, 40, 70, 
and 100 percent of your projected nationwide sales of all vehicles 
subject to this section in model years 2018 through 2021, respectively. 
Each vehicle meeting the Tier 3 FTP standard for PM must also meet the 
Tier 3 HD-SFTP standard for PM.
    (ii) You may disregard the phase-in percentages specified in 
paragraph (b)(6)(i) of this section if you instead comply with an 
indexed PM phase-in schedule as described in this paragraph (b)(6)(ii). 
To do this, you must notify us of your intent before January 1, 2018, 
and include a detailed plan for complying with the indexed phase-in 
schedule. You comply with the indexed phase-in schedule by calculating a 
PM phase-in index at or above 440 using the following equation for model 
years 2018 through 2021:

PM phase-in index = 4[middot]APP2018 + 
3[middot]APP2019 + 2[middot]APP2020 + 
APP2021

Where:

APP = The phase-in percentage of vehicles meeting the Tier 3 PM 
          standards for the

[[Page 980]]

          indicated model year, based on actual sales.

    (iii) Vehicles meeting the Tier 3 PM standards must meet those 
standards over the useful life as specified in Sec.  86.1805. Note that 
Interim Tier 3 vehicles may have different useful life values for PM 
emission standards than for other emission standards.
    (iv) Measure PM emissions from all vehicles using the same test fuel 
used for measuring NMOG + NOX emissions.
    (v) You may certify Interim Tier 3 vehicles based on carryover data.
    (vi) You may use the alternative phase-in provisions described in 
paragraph (b)(8) of this section to transition to the Tier 3 exhaust 
emission standards on a different schedule.
    (7) The following provisions describe the primary approach for 
phasing in the Tier 3 standards other than PM in 2022 and earlier model 
years:
    (i) The fleet-average FTP emission standard for NMOG + 
NOX phases in over several years as described in this 
paragraph (b)(7)(i). You must identify FELs as described in paragraph 
(b)(4) of this section and calculate a fleet-average emission level to 
show that you meet the FTP emission standard for NMOG+NOX 
that applies for each model year. You may certify using transitional bin 
standards specified in Table 5 of this section through model year 2021; 
these vehicles are subject to the FTP emission standard for formaldehyde 
as described in Sec.  86.1816-08. You may use the E0 test fuel specified 
in Sec.  86.113 for gasoline-fueled vehicles certified to the 
transitional bins; the useful life period for these vehicles is 120,000 
miles or 11 years. Fleet-average FTP emission standards decrease as 
shown in the following table:

   Table 4 of Sec.   86.1816-18--Declining Fleet-Average FTP Emission
                        Standards for NMOG + NOX
                                [g/mile]
------------------------------------------------------------------------
               Model Year                    Class 2b         Class 3
------------------------------------------------------------------------
2016 \1\................................           0.333           0.548
2017 \1\................................           0.310           0.508
2018....................................           0.278           0.451
2019....................................           0.253           0.400
2020....................................           0.228           0.349
2021....................................           0.203           0.298
2022....................................           0.178           0.247
------------------------------------------------------------------------
\1\ Fleet-average standards are shown for 2016 and 2017 for purposes of
  voluntary early compliance as described in paragraph (b)(11) of this
  section.


                       Table 5 of Sec.   86.1816-18--Transitional Tier 3 FTP Bin Standards
                                                  [g/mile] \1\
----------------------------------------------------------------------------------------------------------------
              Class                       FEL Name             NMOG + NOX          NOX \2\             CO
----------------------------------------------------------------------------------------------------------------
2b..............................  Bin 395                              0.395               0.2               6.4
                                  Bin 340                              0.340               0.2               6.4
3...............................  Bin 630                              0.630               0.4               7.3
                                  Bin 570                              0.570               0.4               7.3
----------------------------------------------------------------------------------------------------------------
\1\ Vehicles certified to Transitional Tier 3 FTP bins are not subject to HD-SFTP standards.
\2\ The NOX standard applies only for certification testing with emission-data vehicles.

    (ii) You may use the alternative phase-in provisions described in 
paragraph (b)(8) of this section to transition to the Tier 3 exhaust 
emission standards on a different schedule.
    (8) This paragraph (b)(8) describes an alternative approach to 
phasing in the Tier 3 emission standards. If you choose this approach, 
you must phase in the Tier 3 standards for all your vehicles subject to 
this section according to this schedule. Under this alternative phase 
in, you must meet all the standards specified in paragraph (b)(2) of 
this section according to the phase-in schedule specified in Table 6 of 
this section based on the indicated percentage of your projected 
nationwide sales in each model year. These vehicles must meet the 
applicable FTP emission standard for CO and the HD-SFTP emission 
standards for NMOG + NOX and CO that apply for Class 2b Bin 
170 and Class 3 Bin 230 as described in paragraph (b)(4) of this 
section. Any vehicles not subject to Tier 3 standards

[[Page 981]]

during the phase-in period must continue to comply with the gaseous 
exhaust emission standards in Sec.  86.1816-08. Each vehicle counting 
toward the PM phase-in percentage under this paragraph (b)(8) in model 
years 2019 and 2020 must also be included in the portion of the fleet 
meeting the Tier 3 standards for pollutants other than PM. Each vehicle 
counting toward the phase-in percentage for any pollutant must use the 
Tier 3 test fuel specified in Sec.  86.113-15. The following exceptions 
and special provisions apply under this paragraph (b)(8):
    (i) For model year 2019, you may exclude from the phase-in 
calculation any test groups that have a Job 1 date on or before March 3, 
2018 (see 40 CFR 85.2304).
    (ii) You may generate Tier 3 emission credits during the phase-in 
period if all your pre-Tier 3 vehicles in a given model year have FELs 
at or below the NOX and NMHC standards in Sec.  86.1816-08. 
Determine emission credits by calculating fleet-average emission levels 
for Tier 3 and pre-Tier 3 vehicles together; for pre-Tier 3 vehicles use 
an NMOG + NOX equivalent FEL of 0.395 g/mile for Class 2b 
vehicles and 0.630 g/mile for Class 3 vehicles.

                           Table 6 of Sec.   86.1816-18--Alternative Phase-In Schedule
----------------------------------------------------------------------------------------------------------------
                                                    Class 2b                               Class 3
                                     ---------------------------------------------------------------------------
             Model Year                                    Other than PM                         Other than PM
                                         PM (percent)        (percent)         PM (percent)        (percent)
----------------------------------------------------------------------------------------------------------------
2019................................                 40                 65                 40                 60
2020................................                 70                 77                 70                 73
2021................................                100                 88                100                 87
2022................................                100                100                100                100
----------------------------------------------------------------------------------------------------------------

    (9) Except as specified in paragraph (b)(8) of this section, you may 
not use credits generated from vehicles certified under Sec.  86.1816-08 
for demonstrating compliance with the Tier 3 standards.
    (10) [Reserved]
    (11) You may voluntarily certify your vehicles under this section in 
model years 2016 and 2017. If you do this, the fleet-average FTP 
emission standards for NMOG + NOX apply to all your heavy-
duty vehicles under this section as specified in paragraph (b)(7)(i) of 
this section. Use any of the available bin standards as described in 
this section. Vehicles certified under this paragraph (b)(11) must 
comply with the PM standards specified in Sec.  86.1816-08 instead of 
the Tier 3 PM standards specified in this section.
    (12) Alternate standards apply for in-use testing with 2022 and 
earlier model year vehicles as described in this paragraph (b)(12). 
These alternate standards apply in the first model year that a test 
group is certified to Tier 3 FTP or HD-SFTP standards for NMOG + 
NOX or PM under this section. The alternate in-use standards 
also apply in the following model year (but not beyond 2022) for 
carryover test groups certified to the same bin standards. If you 
certify a test group to more stringent bin standards under this section 
in a given model year, the alternate in-use standards apply as if that 
were the first model year of certifying to the Tier 3 standards. The 
provisions of this section apply separately for NMOG + NOX 
and PM. This paragraph (b)(12) does not apply for Bin 0 vehicles.
    (i) The alternate in-use FTP standards for PM are 0.016 g/mile for 
Class 2b vehicles and 0.020 g/mile for Class 3 vehicles.
    (ii) The alternate in-use HD-SFTP standards for PM are 0.012 g/mile 
for Class 2b vehicles with a power-to-weight ratio at or below 0.024 hp/
pound that are certified to optional standards under paragraphs (b)(2) 
and (4) of this section, and 0.015 g/mile for other Class 2b vehicles. 
The alternate in-use HD-SFTP standard for PM is 0.012 g/mile for Class 3 
vehicles. Alternate in-use HD-SFTP standards do not apply for vehicles 
certified to the transitional bins described in paragraph (b)(7) of this 
section.

[[Page 982]]

    (iii) Alternate in-use FTP and HD-SFTP standards for NMOG + 
NOX apply as specified in the following table:

   Table 7 of Sec.   86.1816-18--Alternate In-use NMOG + NOX Standards
                                [g/mile]
------------------------------------------------------------------------
                                                                HD-SFTP
             Class                    FEL name         FTP        \1\
------------------------------------------------------------------------
 
2b.............................  Bin 250..........      0.370      1.120
 
Bin 200........................  0.300............      1.120
 
Bin 170........................  0.250............      0.630
 
Bin 150........................  0.220............      0.630
3..............................  Bin 400..........      0.600      0.770
 
Bin 270........................  0.400............      0.770
 
Bin 230........................  0.340............      0.490
 
Bin 200........................  0.300............      0.490
------------------------------------------------------------------------
\1\ For Class 2b vehicles with a power-to-weight ratio at or below 0.024
  hp/pound that are certified to optional standards under paragraphs
  (b)(2) and (4) of this section, the following alternate in-use HD-SFTP
  standards for NMOG + NOX apply instead of those identified in the
  table: 0.490 g/mile for Bin 150 and Bin 170; and 0.770 g/mile for Bin
  200 and Bin 250. Note that vehicles certified to transitional Tier 3
  FTP bins are not subject to HD-SFTP standards.

    (13) Keep records as needed to show that you meet the requirements 
specified in this paragraph (b) for phasing in standards and for 
complying with declining fleet-average average standards.
    (c) Highway NMOG + NOX exhaust emission standard. For vehicles 
certified to any of the Tier 3 standards specified in paragraph (b) of 
this section, NMOG + NOX emissions measured on the highway 
test cycle in 40 CFR 1066.840 may not exceed the applicable NMOG + 
NOX bin standard for FTP testing. Demonstrate compliance with 
this standard for low-mileage vehicles by applying the appropriate 
deterioration factor.
    (d) Provisions for Otto-cycle engines. The special provisions 
described in Sec.  86.1811-17(d) apply to vehicles with Otto-cycle 
engines that are certified under this section.
    (e) Small-volume manufacturers. Small-volume manufacturers meeting 
the eligibility requirements in Sec.  86.1838 may delay complying with 
the requirements in this section until model year 2022. This also 
applies for continuing to use the E0 test fuel specified in Sec.  86.113 
through model year 2021. If meeting the Tier 3 standards would cause 
severe economic hardship, such manufacturers may ask us to approve an 
extended compliance deadline under the provisions of 40 CFR 1068.250, 
except that the solvency criterion does not apply and there is no 
maximum duration of the hardship relief.

[79 FR 23721, Apr. 28, 2014, as amended at 80 FR 9108, Feb. 19, 2015; 81 
FR 73984, Oct. 25, 2016]



Sec.  86.1817-05  Complete heavy-duty vehicle averaging, trading, 
and banking program.

    (a) General. (1) Complete heavy-duty vehicles eligible for the 
NOX averaging, trading and banking program are described in 
the applicable emission standards section of this subpart. All heavy-
duty vehicles which include an engine labeled for use in clean-fuel 
vehicles as specified in 40 CFR part 88 are not eligible for this 
program. Participation in this averaging, trading, and banking program 
is voluntary.
    (2)(i) Test groups with a family emission limit (FEL) as defined in 
Sec.  86.1803-01 exceeding the applicable standard shall obtain emission 
credits as defined in Sec.  86.1803-01 in a mass amount sufficient to 
address the shortfall. Credits may be obtained from averaging, trading, 
or banking, as defined in Sec.  86.1803-01 within the averaging set 
restrictions described in paragraph (d) of this section.
    (ii) Test groups with an FEL below the applicable standard will have 
emission credits available to average, trade, bank or a combination 
thereof. Credits may not be used for averaging or trading to offset 
emissions that exceed an FEL. Credits may not be used to remedy an in-
use nonconformity determined by a Selective Enforcement Audit or by 
recall testing. However, credits may be used to allow subsequent 
production of vehicles for the test group in question if the 
manufacturer elects to recertify to a higher FEL.
    (b) Participation. Participation in the NOX averaging, 
trading, and banking program shall be done as follows:
    (1) During certification, the manufacturer shall:
    (i) Declare its intent to include specific test groups in the 
averaging, trading and banking program.

[[Page 983]]

    (ii) Declare an FEL for each test group participating in the 
program.
    (A) The FEL must be to the same level of significant digits as the 
emission standard (one-hundredth of a gram per mile for NOX 
emissions).
    (B) In no case may the FEL exceed the upper limit prescribed in the 
section concerning the applicable complete heavy-duty vehicle chassis-
based NOX emission standard.
    (iii) Calculate the projected NOX emission credits 
(positive or negative) as defined in Sec.  86.1803-01 based on quarterly 
production projections for each participating test group, using the 
applicable equation in paragraph (c) of this section and the applicable 
factors for the specific test group.
    (iv)(A) Determine and state the source of the needed credits 
according to quarterly projected production for test groups requiring 
credits for certification.
    (B) State where the quarterly projected credits will be applied for 
test groups generating credits.
    (C) Emission credits as defined in Sec.  86.1803-01 may be obtained 
from or applied to only test groups within the same averaging set as 
defined in Sec.  86.1803-01. Emission credits available for averaging, 
trading, or banking, may be applied exclusively to a given test group, 
or designated as reserved credits as defined in Sec.  86.1803-01.
    (2) Based on this information, each manufacturer's certification 
application must demonstrate:
    (i) That at the end of model year production, each test group has a 
net emissions credit balance of zero or more using the methodology in 
paragraph (c) of this section with any credits obtained from averaging, 
trading or banking.
    (ii) The source of the credits to be used to comply with the 
emission standard if the FEL exceeds the standard, or where credits will 
be applied if the FEL is less than the emission standard. In cases where 
credits are being obtained, each test group involved must state 
specifically the source (manufacturer/test group) of the credits being 
used. In cases where credits are being generated/supplied, each test 
group involved must state specifically the designated use (manufacturer/
test group or reserved) of the credits involved. All such reports shall 
include all credits involved in averaging, trading or banking.
    (3) During the model year, manufacturers must:
    (i) Monitor projected versus actual production to be certain that 
compliance with the emission standards is achieved at the end of the 
model year.
    (ii) Provide the end-of-year reports required under paragraph (i) of 
this section.
    (iii) For manufacturers participating in emission credit trading, 
maintain the quarterly records required under paragraph (l) of this 
section.
    (4) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-model year reports, follow-up audits, and any other compliance 
measures deemed appropriate by the Administrator.
    (5) Compliance under averaging, banking, and trading will be 
determined at the end of the model year. Test groups without an adequate 
amount of NOX emission credits will violate the conditions of 
the certificate of conformity. The certificates of conformity may be 
voided ab initio for test groups exceeding the emission standard.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated. Erroneous positive credits will be void. Erroneous 
negative balances may be adjusted by EPA for retroactive use.
    (i) If EPA review of a manufacturer's end-of-year report indicates a 
credit shortfall, the manufacturer will be permitted to purchase the 
necessary credits to bring the credit balance for that test group to 
zero, at the ratio of 1.2 credits purchased for every credit needed to 
bring the balance to zero. If sufficient credits are not available to 
bring the credit balance for the test group in question to zero, EPA may 
void the certificate for that test group ab initio.
    (ii) If within 180 days of receipt of the manufacturer's end-of-year 
report,

[[Page 984]]

EPA review determines a reporting error in the manufacturer's favor 
(i.e. resulting in a positive credit balance) or if the manufacturer 
discovers such an error within 180 days of EPA receipt of the end-of-
year report, the credits will be restored for use by the manufacturer.
    (c) Calculations. For each participating test group, NOX 
emission credits (positive or negative) are to be calculated according 
to one of the following equations and rounded to the nearest one-tenth 
of a Megagram (Mg). Consistent units are to be used throughout the 
equation.
    (1) For determining credit need for all test groups and credit 
availability for test groups generating credits for averaging only:

Emission credits = (Std-FEL) x (UL) x (Production) x (10-6)

    (2) For determining credit availability for test groups generating 
credits for trading or banking:

Emission credits = (Std-FEL) x (UL) x (Production) x (10-6) 
(Discount)

    (3) For purposes of the equations in paragraphs (c)(1) and (c)(2) of 
this section:

Std = the current and applicable complete heavy-duty vehicle 
          NOX emission standard in grams per mile or grams 
          per kilometer.
Std = 0.9 grams per mile for heavy-duty vehicles at and above 8,500 
          pounds Gross Vehicle Weight Rating but equal to or less than 
          10,000 Gross Vehicle Weight Rating pounds and 1.0 grams per 
          mile for heavy-duty vehicles above 10,000 pounds Gross Vehicle 
          Weight Rating but less than 14,000 pounds Gross Vehicle Weight 
          Rating for cases where certification to chassis-based 
          standards is optional for purposes of early credit banking.
FEL = the NOX family emission limit for the test group in 
          grams per mile or grams per kilometer.
UL = the useful life, or alternative life as described in paragraph (c) 
          of Sec.  86.1805-01, for the given test group in miles or 
          kilometers.
Production = the number of vehicles produced for U.S. sales within the 
          given test group during the model year. Quarterly production 
          projections are used for initial certification. Actual 
          production is used for end-of-year compliance determination.
Discount = a one-time discount applied to all credits to be banked or 
          traded within the model year generated. Except as otherwise 
          allowed in paragraph (m) of this section, the discount applied 
          here is 0.9. Banked credits traded in a subsequent model year 
          will not be subject to an additional discount. Banked credits 
          used in a subsequent model year's averaging program will not 
          have the discount restored.

    (d) Averaging sets. The averaging and trading of NOX 
emission credits will be allowed between all test groups of heavy-duty 
vehicles subject to chassis-based standards excluding those vehicles 
produced for sale in California. Averaging, banking, and trading are not 
applicable to vehicles sold in California.
    (e) Banking of NOX emission credits--(1) Credit deposits. 
(i) NOX emission credits may be banked from test groups 
produced in 2000 and later model years. Early banking is described in 
paragraph (n) of this section.
    (ii) Manufacturers may bank credits only after the end of the model 
year and after actual credits have been reported to EPA in the end-of-
year report. During the model year and before submittal of the end-of-
year report, credits originally designated in the certification process 
for banking will be considered reserved and may be redesignated for 
trading or averaging.
    (2) Credit withdrawals. (i) NOX credits do not expire, 
except as provided in paragraph (o)(2) of this section.
    (ii) Manufacturers withdrawing banked emission credits shall 
indicate so during certification and in their credit reports, as 
described in paragraph (i) of this section.
    (3) Use of banked emission credits. The use of banked credits shall 
be within the averaging set and geographic restrictions described in 
paragraph (d) of this section, and only for the following purposes:
    (i) Banked credits may be used in averaging, or in trading, or in 
any combination thereof, during the certification period. Credits 
declared for banking from the previous model year but not reported to 
EPA may also be used. However, if EPA finds that the reported credits 
cannot be proven, they will be revoked and unavailable for use.

[[Page 985]]

    (ii) Banked credits may not be used for averaging and trading to 
offset emissions that exceed an FEL. Banked credits may not be used to 
remedy an in-use nonconformity determined by a Selective Enforcement 
Audit or by recall testing. However, banked credits may be used for 
subsequent production of the test group if the manufacturer elects to 
recertify to a higher FEL.
    (f) Negative credit balance. In the event of a negative credit 
balance in a trading situation, both the buyer and the seller would be 
liable.
    (g) Fuel. Certification fuel used for credit generation must be of a 
type that is both available in use and expected to be used by the 
vehicle purchaser. Therefore, upon request by the Administrator, the 
vehicle manufacturer must provide information acceptable to the 
Administrator that the designated fuel is readily available commercially 
and would be used in customer service.
    (h) Credit apportionment. At the manufacturers option, credits 
generated from complete heavy-duty vehicles under the provisions 
described in this section may be sold to or otherwise provided to 
another party for use in programs other than the averaging, trading and 
banking program described in this section.
    (1) The manufacturer shall pre-identify two emission levels per test 
group for the purposes of credit apportionment. One emission level shall 
be the FEL and the other shall be the level of the standard that the 
test group is required to certify under Sec.  86.1816-04. For each test 
group, the manufacturer may report vehicle sales in two categories, 
``ABT-only credits'' and ``nonmanufacturer-owned credits''.
    (i) For vehicle sales reported as ``ABT-only credits'', the credits 
generated must be used solely in the averaging, trading and banking 
program described in this section.
    (ii) The vehicle manufacturer may declare a portion of vehicle sales 
``nonmanufacturer-owned credits'' and this portion of the credits 
generated between the standard and the FEL, based on the calculation in 
paragraph (c)(1) of this section, would belong to the vehicle purchaser. 
The manufacturer may not generate any credits for the vehicle sales 
reported as ``nonmanufacturer-owned credits'' for this averaging, 
trading and banking program. Vehicles reported as ``nonmanufacturer-
owned credits'' shall comply with the FEL and the requirements of this 
averaging, trading and banking program in all other respects.
    (2) Only manufacturer-owned credits reported as ``ABT-only credits'' 
shall be used in the averaging, trading, and banking provisions 
described in this section.
    (3) Credits shall not be double-counted. Credits used in this 
averaging, trading and banking program may not be provided to a vehicle 
purchaser for use in another program.
    (4) Manufacturers shall determine and state the number of vehicles 
sold as ``ABT-only credits'' and ``nonmanufacturer-owned credits'' in 
the end-of-model year reports required under paragraph (i) of this 
section.
    (i) Application for certification and end-of-year reports. 
Manufacturers participating in the emissions averaging, trading and 
banking program, shall submit for each participating test group the 
items listed in paragraphs (i)(1) through (3) of this section.
    (1) Application for certification. (i) The application for 
certification will include a statement that the vehicles for which 
certification is requested will not, to the best of the manufacturer's 
belief, when included in the averaging, trading and banking program, 
cause the applicable NOX emissions standard to be exceeded.
    (ii) The application for certification will also include 
identification of the section of this subpart under which the test group 
is participating in the averaging, trading and banking program (e.g., 
Sec.  86.1817-05), the type (NOX), and the projected number 
of credits generated/needed for this test group, the applicable 
averaging set, the projected U.S. production volumes (excluding vehicles 
produced for sale in California), by quarter, and the values required to 
calculate credits as given in the applicable averaging, trading and 
banking section. Manufacturers shall also submit how and where credit 
surpluses are to be dispersed and how and through what means credit 
deficits are to be met, as explained in the applicable

[[Page 986]]

averaging, trading and banking section. The application must project 
that each test group will be in compliance with the applicable emission 
standards based on the vehicle mass emissions and credits from 
averaging, trading and banking.
    (2) [Reserved]
    (3) End-of-year report. The manufacturer shall submit end-of-year 
reports for each test group participating in the averaging, trading and 
banking program, as described in paragraphs (i)(3)(i) through (iv) of 
this section.
    (i) These reports shall be submitted within 90 days of the end of 
the model year to: Director, Certification and Compliance Division, U.S. 
Environmental Protection Agency, Mail Code 6405J, 1200 Pennsylvania 
Ave., NW., 20460.
    (ii) These reports shall indicate the test group, the averaging set, 
the actual U.S. production volume (excluding vehicles produced for sale 
in California), the values required to calculate credits as given in the 
applicable averaging, trading and banking section, and the resulting 
type and number of credits generated/required. Manufacturers shall also 
submit how and where credit surpluses were dispersed (or are to be 
banked) and how and through what means credit deficits were met. Copies 
of contracts related to credit trading must also be included or supplied 
by the broker if applicable. The report shall also include a calculation 
of credit balances to show that net mass emissions balances are within 
those allowed by the emission standards (equal to or greater than a zero 
credit balance). Any credit discount factor described in the applicable 
averaging, trading and banking section must be included as required.
    (iii) The production counts for end-of-year reports shall be based 
on the location of the first point of retail sale (e.g., customer, 
dealer, secondary manufacturer) by the manufacturer.
    (iv) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including changes in the production counts, may be corrected up 
to 180 days subsequent to submission of the end-of-year report. Errors 
discovered by EPA after 180 days shall be corrected if credits are 
reduced. Errors in the manufacturer's favor will not be corrected if 
discovered after the 180 day correction period allowed.
    (j) Failure to submit quarterly or end-of-year reports. Failure by a 
manufacturer participating in the averaging, trading and banking program 
to submit any quarterly or end-of-year report (as applicable) in the 
specified time for all vehicles that are part of an averaging set is a 
violation of section 203(a)(1) of the Clean Air Act (42 U.S.C. 
7522(a)(1)) for such vehicles.
    (k) Failure to submit end-of-year reports for banked credits. 
Failure by a manufacturer generating credits for deposit only in the 
complete heavy-duty vehicle banking program to submit their end-of-year 
reports in the applicable specified time period (i.e., 90 days after the 
end of the model year) shall result in the credits not being available 
for use until such reports are received and reviewed by EPA. Use of 
projected credits pending EPA review will not be permitted in these 
circumstances.
    (l) Quarterly records. Any manufacturer producing a test group 
participating in trading using reserved credits, shall maintain the 
following records on a quarterly basis for each test group in the 
trading subclass:
    (1) The test group;
    (2) The averaging set;
    (3) The actual quarterly and cumulative U.S. production volumes 
excluding vehicles produced for sale in California;
    (4) The values required to calculate credits as given in paragraph 
(c) of this section;
    (5) The resulting type and number of credits generated/required;
    (6) How and where credit surpluses are dispersed; and
    (7) How and through what means credit deficits are met.
    (m) Additional flexibility for complete heavy-duty vehicles. If a 
complete heavy-duty vehicle has a NOX FEL of 0.6 grams per 
mile or lower, a discount of 1.0 may be used in the trading and banking 
credits calculation for NOX described in paragraph (c)(2) of 
this section.
    (n) Early banking for complete heavy-duty vehicles. Provisions set 
forth in

[[Page 987]]

paragraphs (a) through (m) of this section apply except as specifically 
stated otherwise in this paragraph (n).
    (1) Early banking eligibility. To be eligible for the early banking 
program described in this paragraph, the following must apply:
    (i) Credits are generated from complete heavy-duty vehicles.
    (ii) During certification, the manufacturer shall declare its intent 
to include specific test groups in the early banking program described 
in this paragraph (n).
    (2) Credit generation and use. (i) Early credits may be generated by 
test groups starting in model year 2000.
    (ii) Credits may only be used for complete heavy-duty vehicles 
subject to chassis-based standards, except as provided by paragraph (o) 
in this section, and all credits shall be subject to discounting and all 
other provisions contained in paragraphs (a) through (m) of this 
section.
    (o) Credit transfers. A manufacturer that elects to comply with 
Option 1 or 2 contained in Sec.  86.005-10(f) may transfer credits 
between its complete vehicle averaging set and its heavy-duty Otto-cycle 
engine averaging set as follows:
    (1) Credits earned in model years 2004 (2003 for Option 1) through 
2007 are eligible to be transferred.
    (2) Transferred credits may not be banked for use in model years 
2008 and later. Credits that are transferred but not used prior to model 
year 2008 must be forfeited.
    (3) Prior to transferring credits, a manufacturer must develop a 
methodology to transfer the credits including a conversion factor that 
may be used to convert between chassis-based credits (derived on a grams 
per mile basis) and equivalent engine-based credits (derived on a grams 
per brake horsepower-hour basis). The methodology must be approved by 
EPA prior to the start of the model year in which the credits are to be 
transferred. The conversion factor must provide reasonable certainty 
that the credits are equivalent for the specific vehicle test group(s) 
and engine family(s) involved in the generation and use of the credits.

[65 FR 59971, Oct. 6, 2000, as amended at 71 FR 2830, Jan. 17, 2006; 81 
FR 73985, Oct. 25, 2016]



Sec.  86.1817-08  Complete heavy-duty vehicle averaging, trading, 
and banking program.

    Section 86.1817-08 includes text that specifies requirements that 
differ from Sec.  86.1817-05. Where a paragraph in Sec.  86.1817-05 is 
identical and applicable to Sec.  86.1817-08, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.1817-05.'' This section does not apply for 
NOX or NMOG + NOX emissions for vehicles certified 
to the Tier 3 standards in Sec.  86.1816-18, including those vehicles 
that certify to the Tier 3 standards before model year 2018. See 
Sec. Sec.  86.1860 and 86.1861 for provisions that apply for vehicles 
certified to the Tier3 standards.
    (a) through (o) [Reserved]. For guidance see Sec.  86.1817-05.
    (p) The following provisions apply for model year 2008 and later 
engines. These provisions apply instead of the provisions of paragraphs 
Sec.  86.1817-05 (a) through (o) to the extent that they are in 
conflict.
    (1) Manufacturers of Otto-cycle vehicles may participate in an NMHC 
averaging, banking and trading program to show compliance with the 
standards specified in Sec.  86.1806-08. The generation and use of NMHC 
credits are subject to the same provisions in paragraphs Sec.  86.1817-
05 (a) through (o) that apply for NOX credits, except as 
otherwise specified in this section.
    (2) NOX or NMHC (or NOX plus NMHC) credits may 
be exchanged between heavy-duty Otto-cycle test groups certified to the 
engine standards of subpart A of this part and heavy-duty Otto-cycle 
test groups certified to the chassis standards of this subpart, subject 
to an 0.8 discount factor (e.g., 100 grams of NOX credits 
generated from vehicles would be equivalent to 80 grams of 
NOX credits if they are used in the engine program of subpart 
A of this part, and vice versa). Credits that were previously discounted 
when they were banked according to Sec.  86.1817-05(c), are subject to 
an additional discount factor

[[Page 988]]

of 0.888 instead of the 0.8 discount factor otherwise required by this 
paragraph (p)(2). This results in a total discount of 0.8 (0.9 x 0.888 = 
0.8).
    (3) Credits are to be rounded to the nearest one-hundredth of a 
Megagram.
    (4) To calculate credits relative to the NOX standards 
listed in Sec.  86.1816-08 (a)(1)(iv)(A) or (a)(2)(iv)(A) (0.2 or 0.4 
grams per mile, respectively) express the standard and FEL to the 
nearest one-hundredth of a gram per mile prior to calculating the 
credits. Thus, either 0.20 or 0.40 should be used as the value for 
``Std''.
    (5) Credits generated for 2008 and later model year test groups are 
not discounted (except as specified in Sec.  86.1817-05(c) and paragraph 
(p)(2) of this section), and do not expire.
    (6) For the purpose of using or generating credits during a phase-in 
of new standards, a manufacturer may elect to split a test group into 
two subgroups: one which uses credits and one which generates credits. 
The manufacturer must indicate in the application for certification that 
the test group is to be split, and may assign the numbers and 
configurations of vehicles within the respective subfamilies at any time 
prior to the submission of the end-of-year report described in Sec.  
86.1817-05 (i)(3). Manufacturers certifying a split test group may label 
all of the vehicles within that test group with the same FELs: either 
with a NOX FEL and an NMHC FEL, or with a single 
NOX + NMHC FEL. The FEL(s) on the label will apply for all 
SEA or other compliance testing.
    (7) Vehicles meeting all of the applicable standards of Sec.  
86.1816-08 prior to model year 2008 may generate NMHC credits for use by 
2008 or later test groups. Credits are calculated according to Sec.  
86.1817-05(c), except that the applicable FEL cap listed in Sec.  
86.1816-08(a)(1)(ii)(B) or (2)(ii)(B) applies instead of ``Std'' (the 
applicable standard).

[66 FR 5192, Jan. 18, 2001, as amended at 79 FR 23725, Apr. 28, 2014]



Sec.  86.1818-12  Greenhouse gas emission standards for light-duty vehicles, 
light-duty trucks, and medium-duty passenger vehicles.

    (a) Applicability. (1) This section contains standards and other 
regulations applicable to the emission of the air pollutant defined as 
the aggregate group of six greenhouse gases: Carbon dioxide, nitrous 
oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur 
hexafluoride. This section applies to 2012 and later model year LDV, LDT 
and MDPV, including multi-fuel vehicles, vehicles fueled with 
alternative fuels, hybrid electric vehicles, plug-in hybrid electric 
vehicles, electric vehicles, and fuel cell vehicles. Unless otherwise 
specified, multi-fuel vehicles must comply with all requirements 
established for each consumed fuel. The provisions of this section, 
except paragraph (c), also apply to clean alternative fuel conversions 
as defined in 40 CFR 85.502, of all model year light-duty vehicles, 
light-duty trucks, and medium-duty passenger vehicles. Manufacturers 
that qualify as a small business according to the requirements of Sec.  
86.1801-12(j) are exempt from the emission standards in this section. 
Manufacturers that have submitted a declaration for a model year 
according to the requirements of Sec.  86.1801-12(k) for which approval 
has been granted by the Administrator are conditionally exempt from the 
emission standards in paragraphs (c) through (e) of this section for the 
approved model year.
    (2) The standards specified in this section apply for testing at 
both low-altitude conditions and high-altitude conditions. However, 
manufacturers must submit an engineering evaluation indicating that 
common calibration approaches are utilized at high altitude instead of 
performing testing for certification, consistent with Sec.  86.1829. Any 
deviation from low altitude emission control practices must be included 
in the auxiliary emission control device (AECD) descriptions submitted 
at certification. Any AECD specific to high altitude requires 
engineering emission data for EPA evaluation to quantify any emission 
impact and determine the validity of the AECD.

[[Page 989]]

    (b) Definitions. For the purposes of this section, the following 
definitions shall apply:
    (1) Passenger automobile means a motor vehicle that is a passenger 
automobile as that term is defined in 49 CFR 523.4.
    (2) Light truck means a motor vehicle that is a non-passenger 
automobile as that term is defined in 49 CFR 523.5.
    (3) Manufacturer has the meaning given by the Department of 
Transportation at 49 CFR 531.4.
    (c) Fleet average CO2 standards for passenger automobiles and light 
trucks. (1) For a given individual model year's production of passenger 
automobiles and light trucks, manufacturers must comply with a full 
useful life fleet average CO2 standard calculated according 
to the provisions of this paragraph (c). Manufacturers must calculate 
separate full useful life fleet average CO2 standards for 
their passenger automobile and light truck fleets, as those terms are 
defined in this section. Each manufacturer's fleet average 
CO2 standards determined in this paragraph (c) shall be 
expressed in whole grams per mile, in the model year specified as 
applicable. Manufacturers eligible for and choosing to participate in 
the Temporary Leadtime Allowance Alternative Standards for qualifying 
manufacturers specified in paragraph (e) of this section shall not 
include vehicles subject to the Temporary Leadtime Allowance Alternative 
Standards in the calculations of their primary passenger automobile or 
light truck standards determined in this paragraph (c). Manufacturers 
shall demonstrate compliance with the applicable standards according to 
the provisions of Sec.  86.1865.
    (2) Passenger automobiles--(i) Calculation of CO2 target values for 
passenger automobiles. A CO2 target value shall be determined 
for each passenger automobile as follows:
    (A) For passenger automobiles with a footprint of less than or equal 
to 41 square feet, the gram/mile CO2 target value shall be 
selected for the appropriate model year from the following table:

------------------------------------------------------------------------
                                                            CO2 target
                       Model year                          value (grams/
                                                               mile)
------------------------------------------------------------------------
2012....................................................           244.0
2013....................................................           237.0
2014....................................................           228.0
2015....................................................           217.0
2016....................................................           206.0
2017....................................................           195.0
2018....................................................           185.0
2019....................................................           175.0
2020....................................................           166.0
2021....................................................           161.8
2022....................................................           159.0
2023....................................................           156.4
2024....................................................           153.7
2025....................................................           151.2
2026 and later..........................................           148.6
------------------------------------------------------------------------

    (B) For passenger automobiles with a footprint of greater than 56 
square feet, the gram/mile CO2 target value shall be selected 
for the appropriate model year from the following table:

------------------------------------------------------------------------
                                                            CO2 target
                       Model year                          value (grams/
                                                               mile)
------------------------------------------------------------------------
2012....................................................           315.0
2013....................................................           307.0
2014....................................................           299.0
2015....................................................           288.0
2016....................................................           277.0
2017....................................................           263.0
2018....................................................           250.0
2019....................................................           238.0
2020....................................................           226.0
2021....................................................           220.9
2022....................................................           217.3
2023....................................................           213.7
2024....................................................           210.2
2025....................................................           206.8
2026 and later..........................................           203.4
------------------------------------------------------------------------

    (C) For passenger automobiles with a footprint that is greater than 
41 square feet and less than or equal to 56 square feet, the gram/mile 
CO2 target value shall be calculated using the following 
equation and rounded to the nearest 0.1 grams/mile, except that for any 
vehicle footprint the maximum CO2 target value shall be the 
value specified for the same model year in paragraph (c)(2)(i)(B) of 
this section:
Target CO2 = [a x f] + b

Where: f is the vehicle footprint, as defined in Sec.  86.1803; and a 
          and b are selected from the following table for the 
          appropriate model year:

------------------------------------------------------------------------
               Model year                        a               b
------------------------------------------------------------------------
2012....................................            4.72            50.5
2013....................................            4.72            43.3
2014....................................            4.72            34.8
2015....................................            4.72            23.4
2016....................................            4.72            12.7
2017....................................            4.53             8.9

[[Page 990]]

 
2018....................................            4.35             6.5
2019....................................            4.17             4.2
2020....................................            4.01             1.9
2021....................................            3.94             0.2
2022....................................            3.88            -0.1
2023....................................            3.82            -0.4
2024....................................            3.77            -0.6
2025....................................            3.71            -0.9
2026 and later..........................            3.65            -1.2
------------------------------------------------------------------------

    (ii) Calculation of the fleet average CO2 standard for passenger 
automobiles. In each model year manufacturers must comply with the 
CO2 exhaust emission standard for their passenger automobile 
fleet, calculated for that model year as follows:
    (A) A CO2 target value shall be determined according to 
paragraph (c)(2)(i) of this section for each unique combination of model 
type and footprint value.
    (B) Each CO2 target value, determined for each unique 
combination of model type and footprint value, shall be multiplied by 
the total production of that model type/footprint combination for the 
appropriate model year.
    (C) The resulting products shall be summed, and that sum shall be 
divided by the total production of passenger automobiles in that model 
year. The result shall be rounded to the nearest whole gram per mile. 
This result shall be the applicable fleet average CO2 
standard for the manufacturer's passenger automobile fleet.
    (3) Light trucks--(i) Calculation of CO2 target values for light 
trucks. A CO2 target value shall be determined for each light 
truck as follows:
    (A) For light trucks with a footprint of less than or equal to 41 
square feet, the gram/mile CO2 target value shall be selected 
for the appropriate model year from the following table:

------------------------------------------------------------------------
                                                            CO2 target
                       Model year                          value (grams/
                                                               mile)
------------------------------------------------------------------------
2012....................................................           294.0
2013....................................................           284.0
2014....................................................           275.0
2015....................................................           261.0
2016....................................................           247.0
2017....................................................           238.0
2018....................................................           227.0
2019....................................................           220.0
2020....................................................           212.0
2021....................................................           206.5
2022....................................................           203.0
2023....................................................           199.6
2024....................................................           196.2
2025....................................................           193.2
2026 and later..........................................           189.9
------------------------------------------------------------------------

    (B) For light trucks with a footprint that is greater than 41 square 
feet and less than or equal to the maximum footprint value specified in 
the table below for each model year, the gram/mile CO2 target 
value shall be calculated using the following equation and rounded to 
the nearest 0.1 grams/mile, except that for any vehicle footprint the 
maximum CO2 target value shall be the value specified for the 
same model year in paragraph (c)(3)(i)(D) of this section:

Target CO2 = (a x f) + b

Where:
    f is the footprint, as defined in Sec.  86.1803; and a and b are 
selected from the following table for the appropriate model year:

----------------------------------------------------------------------------------------------------------------
                                                                      Maximum
                           Model year                                footprint           a               b
----------------------------------------------------------------------------------------------------------------
2012............................................................            66.0            4.04           128.6
2013............................................................            66.0            4.04           118.7
2014............................................................            66.0            4.04           109.4
2015............................................................            66.0            4.04            95.1
2016............................................................            66.0            4.04            81.1
2017............................................................            50.7            4.87            38.3
2018............................................................            60.2            4.76            31.6
2019............................................................            66.4            4.68            27.7
2020............................................................            68.3            4.57            24.6
2021............................................................            68.3            4.51            21.5
2022............................................................            68.3            4.44            20.6
2023............................................................            68.3            4.37            20.2
2024............................................................            68.3            4.31            19.6
2025............................................................            68.3            4.23            19.6
2026 and later..................................................            68.3            4.17            19.0
----------------------------------------------------------------------------------------------------------------


[[Page 991]]

    (C) For light trucks with a footprint that is greater than the 
minimum footprint value specified in the table below and less than or 
equal to the maximum footprint value specified in the table below for 
each model year, the gram/mile CO2 target value shall be 
calculated using the following equation and rounded to the nearest 0.1 
grams/mile, except that for any vehicle footprint the maximum 
CO2 target value shall be the value specified for the same 
model year in paragraph (c)(3)(i)(D) of this section:

Target CO2 = (a x f) + b

Where:

f is the footprint, as defined in Sec.  86.1803; and a and b are 
          selected from the following table for the appropriate model 
          year:

----------------------------------------------------------------------------------------------------------------
                                                                Minimum      Maximum
                         Model year                            footprint    footprint        a            b
----------------------------------------------------------------------------------------------------------------
2017........................................................         50.7         66.0         4.04         80.5
2018........................................................         60.2         66.0         4.04         75.0
----------------------------------------------------------------------------------------------------------------

    (D) For light trucks with a footprint greater than the minimum value 
specified in the table below for each model year, the gram/mile 
CO2 target value shall be selected for the appropriate model 
year from the following table:

------------------------------------------------------------------------
                                                            CO2 target
               Model year                     Minimum      value (grams/
                                             footprint         mile)
------------------------------------------------------------------------
2012....................................            66.0           395.0
2013....................................            66.0           385.0
2014....................................            66.0           376.0
2015....................................            66.0           362.0
2016....................................            66.0           348.0
2017....................................            66.0           347.0
2018....................................            66.0           342.0
2019....................................            66.4           339.0
2020....................................            68.3           337.0
2021....................................            68.3           329.4
2022....................................            68.3           324.1
2023....................................            68.3           318.9
2024....................................            68.3           313.7
2025....................................            68.3           308.7
2026 and later..........................            68.3           303.7
------------------------------------------------------------------------

    (ii) Calculation of fleet average CO2 standards for light trucks. In 
each model year manufacturers must comply with the CO2 
exhaust emission standard for their light truck fleet, calculated for 
that model year as follows:
    (A) A CO2 target value shall be determined according to 
paragraph (c)(3)(i) of this section for each unique combination of model 
type and footprint value.
    (B) Each CO2 target value, which represents a unique 
combination of model type and footprint value, shall be multiplied by 
the total production of that model type/footprint combination for the 
appropriate model year.
    (C) The resulting products shall be summed, and that sum shall be 
divided by the total production of light trucks in that model year. The 
result shall be rounded to the nearest whole gram per mile. This result 
shall be the applicable fleet average CO2 standard for the 
manufacturer's light truck fleet.
    (4) Emergency vehicles. Emergency vehicles may be excluded from the 
emission standards described in this section. The manufacturer must 
notify the Administrator that they are making such an election in the 
model year reports required under Sec.  600.512 of this chapter. Such 
vehicles should be excluded from both the calculation of the fleet 
average standard for a manufacturer under this paragraph (c) and from 
the calculation of the fleet average carbon-related exhaust emissions in 
Sec.  600.510-12.
    (d) In-use CO2 exhaust emission standards. The in-use CO2 
exhaust emission standard shall be the combined city/highway carbon-
related exhaust emission value calculated for the appropriate vehicle 
carline/subconfiguration according to the provisions of Sec.  600.113-
12(g)(4) of this chapter multiplied by 1.1 and rounded to the nearest 
whole gram per mile. For in-use vehicle carlines/subconfigurations for 
which a combined city/highway carbon-related exhaust emission value was 
not determined under Sec.  600.113-12(g)(4) of this chapter, the in-use 
CO2 exhaust emission standard shall be the combined city/
highway carbon-related exhaust emission value calculated according to 
the provisions of Sec.  600.208 of this chapter for the vehicle model 
type (except that total model year production data shall be used instead 
of sales projections) multiplied by 1.1 and rounded to

[[Page 992]]

the nearest whole gram per mile. For vehicles that are capable of 
operating on multiple fuels, except plug-in hybrid electric vehicles, a 
separate in-use standard shall be determined for each fuel that the 
vehicle is capable of operating on. These standards apply to in-use 
testing performed by the manufacturer pursuant to regulations at 
Sec. Sec.  86.1845 and 86.1846 and to in-use testing performed by EPA.
    (e) Temporary Lead Time Allowance Alternative Standards. (1) The 
interim fleet average CO2 standards in this paragraph (e) are 
optionally applicable to each qualifying manufacturer, where the terms 
``sales'' or ``sold'' as used in this paragraph (e) means vehicles 
produced for U.S. sale, where ``U.S.'' means the states and territories 
of the United States.
    (i) A qualifying manufacturer is a manufacturer with sales of 2009 
model year combined passenger automobiles and light trucks of greater 
than zero and less than 400,000 vehicles that elects to participate in 
the Temporary Leadtime Allowance Alternative Standards described in this 
paragraph (e).
    (A) If a manufacturer sold less than 400,000 but more than zero 2009 
model year combined passenger automobiles and light trucks while under 
the control of another manufacturer, where those 2009 model year 
passenger automobiles and light trucks bore the brand of the producing 
manufacturer, and where the producing manufacturer became independent no 
later than December 31, 2010, the producing manufacturer is a qualifying 
manufacturer.
    (B) In the case where two or more qualifying manufacturers combine 
as the result of merger or the purchase of 50 percent or more of one or 
more companies by another company, and if the combined 2009 model year 
sales of the merged or combined companies is less than 400,000 but more 
than zero (combined passenger automobiles and light trucks), the 
corporate entity formed by the combination of two or more qualifying 
manufacturers shall continue to be a qualifying manufacturer, except the 
provisions of paragraph (e)(1)(i)(D) shall apply in the case where one 
of the merging companies elects to voluntarily opt out of the Temporary 
Leadtime Allowance Alternative Standards as allowed under paragraph 
(e)(1)(iv) of this section. The total number of vehicles that the 
corporate entity is allowed to include under the Temporary Leadtime 
Allowance Alternative Standards shall be determined by paragraph (e)(2) 
or (e)(3) of this section, where sales is the total combined 2009 model 
year sales of all of the merged or combined companies. Vehicles sold by 
the companies that combined by merger/acquisition to form the corporate 
entity that were subject to the Temporary Leadtime Allowance Alternative 
Standards in paragraph (e)(4) of this section prior to the merger/
acquisition shall be combined to determine the remaining number of 
vehicles that the corporate entity may include under the Temporary 
Leadtime Allowance Alternative Standards in this paragraph (e).
    (C) In the case where two or more manufacturers combine as the 
result of merger or the purchase of 50 percent or more of one or more 
companies by another company, and if the combined 2009 model year sales 
of the merged or combined companies is equal to or greater than 400,000 
(combined passenger automobiles and light trucks), the new corporate 
entity formed by the combination of two or more manufacturers is not a 
qualifying manufacturer. Such a manufacturer shall meet the emission 
standards in paragraph (c) of this section beginning with the model year 
that is numerically two years greater than the calendar year in which 
the merger/acquisition(s) took place.
    (D) In the case where two or more manufacturers combine as the 
result of merger or the purchase of 50 percent or more of one or more 
companies by another company, where one of the manufacturers chooses to 
voluntarily opt out of the Temporary Leadtime Allowance Alternative 
Standards under the provisions of paragraph (e)(1)(iv) of this section, 
the new corporate entity formed by the combination of two or more 
manufacturers is not a qualifying manufacturer. Such a manufacturer 
shall meet the emission standards in paragraph (c) of this section 
beginning

[[Page 993]]

with the model year that is numerically two years greater than the 
calendar year in which the merger/acquisition(s) took place. If one or 
more of the merged or combined manufacturers was complying with the 
Temporary Leadtime Allowance Alternative Standards prior to the merger/
combination, that manufacturer is no longer eligible for the Temporary 
Leadtime Allowance Alternative Standards beginning with the model year 
that is numerically two years greater than the calendar year in which 
the merger/acquisition(s) took place. The cumulative number of vehicles 
that such a manufacturer may include in the Temporary Leadtime Allowance 
Alternative Standards, including those that were included by all merged 
manufacturers prior to the merger/acquisition, is limited to 100,000.
    (ii) For the purposes of making the determination in paragraph 
(e)(1)(i) of this section, ``manufacturer'' shall mean that term as 
defined at 49 CFR 531.4 and as that definition was applied to the 2009 
model year for the purpose of determining compliance with the 2009 
corporate average fuel economy standards at 49 CFR parts 531 and 533.
    (iii) A qualifying manufacturer may not use these Temporary Leadtime 
Allowance Alternative Standards until they have used all available 
banked credits and/or credits available for transfer accrued under Sec.  
86.1865-12(k). A qualifying manufacturer with a net positive credit 
balance calculated under Sec.  86.1865-12(k) in any model year after 
considering all available credits either generated, carried forward from 
a prior model year, transferred from other averaging sets, or obtained 
from other manufacturers, may not use these Temporary Leadtime Allowance 
Alternative Standards in such model year.
    (iv) In the event of a merger, acquisition, or combination with 
another manufacturer, a qualifying manufacturer that has not certified 
any vehicles to the Temporary Leadtime Allowance Alternative Standards 
in any model year may voluntarily opt out of the Temporary Leadtime 
Allowance Alternative Standards. A manufacturer making this election 
must notify EPA in writing of their intent prior to the end of the model 
year in which a merger or combination with another manufacturer becomes 
effective. The notification must indicate that the manufacturer is 
electing to not use the Temporary Leadtime Allowance Alternative 
Standards in any model year, and that any manufacturers that are either 
purchased by or merged with the manufacturer making this election must 
also meet the emission standards in paragraph (c) of this section 
beginning with the model year that is numerically two years greater than 
the calendar year in which the merger/acquisition(s) took place.
    (2) Qualifying manufacturers may select any combination of 2012 
through 2015 model year passenger automobiles and/or light trucks to 
include under the Temporary Leadtime Allowance Alternative Standards 
determined in this paragraph (e) up to a cumulative total of 100,000 
vehicles. Vehicles selected to comply with these standards shall not be 
included in the calculations of the manufacturer's fleet average 
standards under paragraph (c) of this section.
    (3)(i) Qualifying manufacturers with sales of 2009 model year 
combined passenger automobiles and light trucks in the United States of 
greater than zero and less than 50,000 vehicles may select any 
combination of 2012 through 2015 model year passenger automobiles and/or 
light trucks to include under the Temporary Leadtime Allowance 
Alternative Standards determined in this paragraph (e) up to a 
cumulative total of 200,000 vehicles, and additionally may select up to 
50,000 2016 model year vehicles to include under the Temporary Leadtime 
Allowance Alternative Standards determined in this paragraph (e). To be 
eligible for the provisions of this paragraph (e)(3) qualifying 
manufacturers must provide annual documentation of good-faith efforts 
made by the manufacturer to purchase credits from other manufacturers. 
Without such documentation, the manufacturer may use the Temporary 
Leadtime Allowance Alternative Standards according to the provisions of 
paragraph (e)(2) of this section, and the provisions of this paragraph 
(e)(3) shall not apply. Vehicles selected to

[[Page 994]]

comply with these standards shall not be included in the calculations of 
the manufacturer's fleet average standards under paragraph (c) of this 
section.
    (ii) Manufacturers that qualify in the 2016 model year for the 
expanded Temporary Leadtime Allowance Alternative Standards described in 
paragraph (e)(3)(i) of this section, may, subject to certain 
restrictions, use an alternative compliance schedule that provides 
additional lead time to meet the standards in paragraph (c) of this 
section for the 2017 through 2020 model years.
    (A) The alternative compliance schedule is as follows. In lieu of 
the standards in paragraph (c) of this section that would otherwise be 
applicable to the model year shown in the first column of the table 
below, a qualifying manufacturer may comply with the standards in 
paragraph (c) of this section determined for the model year shown in the 
second column of the table. In the 2021 and later model years the 
manufacturer must meet the standards designated for each model year in 
paragraph (c) of this section.

------------------------------------------------------------------------
             Model year                      Applicable standards
------------------------------------------------------------------------
                   2017                                 2016
                   2018                                 2016
                   2019                                 2018
                   2020                                 2019
------------------------------------------------------------------------

    (B) A manufacturer using the alternative compliance schedule in 
paragraph (e)(3)(ii) of this section may not sell or otherwise transfer 
credits generated in years when the alternative phase-in is used to 
other manufacturers. Other provisions in Sec.  86.1865 regarding credit 
banking, deficit carry-forward, and within-manufacturer transfers across 
fleets apply.
    (4) To calculate the applicable Temporary Leadtime Allowance 
Alternative Standards, qualifying manufacturers shall determine the 
fleet average standard separately for the passenger automobiles and 
light trucks selected by the manufacturer to be subject to the Temporary 
Leadtime Allowance Alternative Standards, subject to the limitations 
expressed in paragraphs (e)(1) through (3) of this section.
    (i) The Temporary Leadtime Allowance Alternative Standard applicable 
to qualified passenger automobiles as defined in Sec.  600.002-08 of 
this chapter shall be the standard calculated using the provisions of 
paragraph (c)(2)(ii) of this section for the appropriate model year 
multiplied by 1.25 and rounded to the nearest whole gram per mile. For 
the purposes of applying paragraph (c)(2)(ii) of this section to 
determine the standard, the passenger automobile fleet shall be limited 
to those passenger automobiles subject to the Temporary Leadtime 
Allowance Alternative Standard.
    (ii) The Temporary Leadtime Allowance Alternative Standard 
applicable to qualified light trucks (i.e. non-passenger automobiles as 
defined in Sec.  600.002-08 of this chapter) shall be the standard 
calculated using the provisions of paragraph (c)(3)(ii) of this section 
for the appropriate model year multiplied by 1.25 and rounded to the 
nearest whole gram per mile. For the purposes of applying paragraph 
(c)(3)(ii) of this section to determine the standard, the light truck 
fleet shall be limited to those light trucks subject to the Temporary 
Leadtime Allowance Alternative Standard.
    (5) Manufacturers choosing to optionally apply these standards are 
subject to the restrictions on credit banking and trading specified in 
Sec.  86.1865-12.
    (f) Nitrous oxide (N2O) and methane (CH4) 
exhaust emission standards for passenger automobiles and light trucks. 
Each manufacturer's fleet of combined passenger automobiles and light 
trucks must comply with N2O and CH4 standards 
using either the provisions of paragraph (f)(1), (2), or (3) of this 
section. Except with prior EPA approval, a manufacturer may not use the 
provisions of both paragraphs (f)(1) and (2) of this section in a model 
year. For example, a manufacturer may not use the provisions of 
paragraph (f)(1) of this section for their passenger automobile fleet 
and the provisions of paragraph (f)(2) for their light truck fleet in 
the same model year. The manufacturer may use the provisions of both 
paragraphs (f)(1) and (3) of this section in a model year. For example, 
a manufacturer may meet the N2O standard in paragraph 
(f)(1)(i) of this section and an alternative CH4 standard 
determined under paragraph (f)(3) of this section. Vehicles certified 
using the

[[Page 995]]

N2O data submittal waiver provisions of Sec.  
86.1829(b)(1)(iii)(G) are not required to be tested for N2O 
under the in-use testing programs required by Sec.  86.1845 and Sec.  
86.1846.
    (1) Standards applicable to each test group. (i) Exhaust emissions 
of nitrous oxide (N2O) shall not exceed 0.010 grams per mile 
at full useful life, as measured according to the Federal Test Procedure 
(FTP) described in subpart B of this part. Manufacturers may optionally 
determine an alternative N2O standard under paragraph (f)(3) 
of this section. (ii) Exhaust emissions of methane (CH4) 
shall not exceed 0.030 grams per mile at full useful life, as measured 
according to the Federal Test Procedure (FTP) described in subpart B of 
this part. Manufacturers may optionally determine an alternative 
CH4 standard under paragraph (f)(3) of this section.
    (2) Include N 2O and CH4 in fleet averaging 
program. Manufacturers may elect to not meet the emission standards in 
paragraph (f)(1) of this section. Manufacturers making this election 
shall include N2O and CH4 emissions in the 
determination of their fleet average carbon-related exhaust emissions, 
as calculated in 40 CFR part 600, subpart F. Manufacturers using this 
option must include both N2O and CH4 full useful 
life values in the fleet average calculations for passenger automobiles 
and light trucks. Use of this option will account for N2O and 
CH4 emissions within the carbon-related exhaust emission 
value determined for each model type according to the provisions of 40 
CFR part 600. This option requires the determination of full useful life 
emission values for both the Federal Test Procedure and the Highway Fuel 
Economy Test. Manufacturers selecting this option are not required to 
demonstrate compliance with the standards in paragraph (f)(1) of this 
section.
    (3) Optional use of alternative N2O and/or CH4 
standards. Manufacturers may select an alternative standard applicable 
to a test group, for either N2O or CH4, or both. 
For example, a manufacturer may choose to meet the N2O 
standard in paragraph (f)(1)(i) of this section and an alternative 
CH4 standard in lieu of the standard in paragraph (f)(1)(ii) 
of this section. The alternative standard for each pollutant must be 
greater than the applicable exhaust emission standard specified in 
paragraph (f)(1) of this section. Alternative N2O and 
CH4 standards apply to emissions measured according to the 
Federal Test Procedure (FTP) described in Subpart B of this part for the 
full useful life, and become the applicable certification and in-use 
emission standard(s) for the test group. Manufacturers using an 
alternative standard for N2O and/or CH4 must 
calculate emission debits according to the provisions of paragraph 
(f)(4) of this section for each test group/alternative standard 
combination. Debits must be included in the calculation of total credits 
or debits generated in a model year as required under Sec.  86.1865-
12(k)(5). For flexible fuel vehicles (or other vehicles certified for 
multiple fuels) you must meet these alternative standards when tested on 
any applicable test fuel type.
    (4) CO2-equivalent debits. CO2-equivalent 
debits for test groups using an alternative N2O and/or 
CH4 standard as determined under paragraph (f)(3) of this 
section shall be calculated according to the following equation and 
rounded to the nearest whole megagram:

Debits = [GWP x (Production) x (AltStd--Std) x VLM] / 1,000,000

Where:

Debits = CO2-equivalent debits for N2O or 
          CH4, in Megagrams, for a test group using an 
          alternative N2O or CH4 standard, rounded 
          to the nearest whole Megagram;
GWP = 25 if calculating CH4 debits and 298 if calculating 
          N2O debits;
Production = The number of vehicles of that test group domestically 
          produced plus those imported as defined in Sec.  600.511 of 
          this chapter;
AltStd = The alternative standard (N2O or CH4) 
          selected by the manufacturer under paragraph (f)(3) of this 
          section;
Std = The exhaust emission standard for N2O or CH4 
          specified in paragraph (f)(1) of this section; and
VLM = 195,264 for passenger automobiles and 225,865 for light trucks.

    (g) Alternative fleet average standards for manufacturers with 
limited U.S. sales. Manufacturers meeting the criteria in this paragraph 
(g) may request that

[[Page 996]]

the Administrator establish alternative fleet average CO2 
standards that would apply instead of the standards in paragraph (c) of 
this section. The provisions of this paragraph (g) are applicable only 
to the 2017 and later model years. A manufacturer that has sought and 
received EPA approval for alternative standards for the 2017 model year 
may, at their option, choose to comply with those standards in the 2015 
and 2016 model years in lieu of requesting a conditional exemption under 
Sec.  86.1801(k).
    (1) Eligibility for alternative standards. Eligibility as determined 
in this paragraph (g) shall be based on the total sales of combined 
passenger automobiles and light trucks. The terms ``sales'' and ``sold'' 
as used in this paragraph (g) shall mean vehicles produced for U.S. 
sale, where ``U.S.'' means the states and territories of the United 
States. For the purpose of determining eligibility the sales of related 
companies shall be aggregated according to the provisions of Sec.  
86.1838-01(b)(3), or, if a manufacturer has been granted operational 
independence status under Sec.  86.1838(d), eligibility shall be based 
on vehicle production of that manufacturer. To be eligible for 
alternative standards established under this paragraph (g), the 
manufacturer's average sales for the three most recent consecutive model 
years must remain below 5,000. If a manufacturer's average sales for the 
three most recent consecutive model years exceeds 4999, the manufacturer 
will no longer be eligible for exemption and must meet applicable 
emission standards starting with the model year according to the 
provisions in this paragraph (g)(1).
    (i) If a manufacturer's average sales for three consecutive model 
years exceeds 4999, and if the increase in sales is the result of 
corporate acquisitions, mergers, or purchase by another manufacturer, 
the manufacturer shall comply with the emission standards described in 
paragraph (c) of this section, as applicable, beginning with the first 
model year after the last year of the three consecutive model years.
    (ii) If a manufacturer's average sales for three consecutive model 
years exceeds 4999 and is less than 50,000, and if the increase in sales 
is solely the result of the manufacturer's expansion in vehicle 
production (not the result of corporate acquisitions, mergers, or 
purchase by another manufacturer), the manufacturer shall comply with 
the emission standards described in paragraph (c), of this section, as 
applicable, beginning with the second model year after the last year of 
the three consecutive model years.
    (2) Requirements for new entrants into the U.S. market. New entrants 
are those manufacturers without a prior record of automobile sales in 
the United States and without prior certification to (or exemption from, 
under Sec.  86.1801-12(k)) greenhouse gas emission standards in Sec.  
86.1818-12. In addition to the eligibility requirements stated in 
paragraph (g)(1) of this section, new entrants must meet the following 
requirements:
    (i) In addition to the information required under paragraph (g)(4) 
of this section, new entrants must provide documentation that shows a 
clear intent by the company to actually enter the U.S. market in the 
years for which alternative standards are requested. Demonstrating such 
intent could include providing documentation that shows the 
establishment of a U.S. dealer network, documentation of work underway 
to meet other U.S. requirements (e.g., safety standards), or other 
information that reasonably establishes intent to the satisfaction of 
the Administrator.
    (ii) Sales of vehicles in the U.S. by new entrants must remain below 
5,000 vehicles for the first three model years in the U.S. market, and 
in subsequent years the average sales for any three consecutive years 
must remain below 5,000 vehicles. Vehicles sold in violation of these 
limits within the first five model years will be considered not covered 
by the certificate of conformity and the manufacturer will be subject to 
penalties on an individual-vehicle basis for sale of vehicles not 
covered by a certificate. In addition, violation of these limits will 
result in loss of eligibility for alternative standards until such point 
as the manufacturer demonstrates two consecutive model years of sales 
below 5,000 automobiles. After the first five model years, the 
eligibility provisions in paragraph (g)(1) of

[[Page 997]]

this section apply, where violating the sales thresholds is no longer a 
violation of the condition on the certificate, but is instead grounds 
for losing eligibility for alternative standards.
    (iii) A manufacturer with sales in the most recent model year of 
less than 5,000 automobiles, but where prior model year sales were not 
less than 5,000 automobiles, is eligible to request alternative 
standards under this paragraph (g). However, such a manufacturer will be 
considered a new entrant and subject to the provisions regarding new 
entrants in this paragraph (g), except that the requirement to 
demonstrate an intent to enter the U.S. market in paragraph (g)(2)(i) of 
this section shall not apply.
    (3) How to request alternative fleet average standards. Eligible 
manufacturers may petition for alternative standards for up to five 
consecutive model years if sufficient information is available on which 
to base such standards.
    (i) To request alternative standards starting with the 2017 model 
year, eligible manufacturers must submit a completed application no 
later than July 30, 2013.
    (ii) To request alternative standards starting with a model year 
after 2017, eligible manufacturers must submit a completed request no 
later than 36 months prior to the start of the first model year to which 
the alternative standards would apply.
    (iii) The request must contain all the information required in 
paragraph (g)(4) of this section, and must be signed by a chief officer 
of the company. If the Administrator determines that the content of the 
request is incomplete or insufficient, the manufacturer will be notified 
and given an additional 30 days to amend the request.
    (4) Data and information submittal requirements. Eligible 
manufacturers requesting alternative standards under this paragraph (g) 
must submit the following information to the Environmental Protection 
Agency. The Administrator may request additional information as she 
deems appropriate. The completed request must be sent to the 
Environmental Protection Agency at the following address: Director, 
Compliance and Innovative Strategies Division, U.S. Environmental 
Protection Agency, 2000 Traverwood Drive, Ann Arbor, Michigan 48105.
    (i) Vehicle model and fleet information. (A) The model years to 
which the requested alternative standards would apply, limited to five 
consecutive model years.
    (B) Vehicle models and projections of production volumes for each 
model year.
    (C) Detailed description of each model, including the vehicle type, 
vehicle mass, power, footprint, powertrain, and expected pricing.
    (D) The expected production cycle for each model, including new 
model introductions and redesign or refresh cycles.
    (ii) Technology evaluation information. (A) The CO2 
reduction technologies employed by the manufacturer on each vehicle 
model, or projected to be employed, including information regarding the 
cost and CO2 -reducing effectiveness. Include technologies 
that improve air conditioning efficiency and reduce air conditioning 
system leakage, and any ``off-cycle'' technologies that potentially 
provide benefits outside the operation represented by the Federal Test 
Procedure and the Highway Fuel Economy Test.
    (B) An evaluation of comparable models from other manufacturers, 
including CO2 results and air conditioning credits generated 
by the models. Comparable vehicles should be similar, but not 
necessarily identical, in the following respects: vehicle type, 
horsepower, mass, power-to-weight ratio, footprint, retail price, and 
any other relevant factors. For manufacturers requesting alternative 
standards starting with the 2017 model year, the analysis of comparable 
vehicles should include vehicles from the 2012 and 2013 model years, 
otherwise the analysis should at a minimum include vehicles from the 
most recent two model years.
    (C) A discussion of the CO2-reducing technologies 
employed on vehicles offered outside of the U.S. market but not 
available in the U.S., including a discussion as to why those vehicles 
and/or technologies are not being used to achieve CO2 
reductions for vehicles in the U.S. market.
    (D) An evaluation, at a minimum, of the technologies projected by 
the Environmental Protection Agency in a final

[[Page 998]]

rulemaking as those technologies likely to be used to meet greenhouse 
gas emission standards and the extent to which those technologies are 
employed or projected to be employed by the manufacturer. For any 
technology that is not projected to be fully employed, explain why this 
is the case.
    (iii) Alternative fleet average CO2 standards. (A) The 
most stringent CO2 level estimated to be feasible for each 
model, in each model year, and the technological basis for this 
estimate.
    (B) For each model year, a projection of the lowest feasible sales-
weighted fleet average CO2 value, separately for passenger 
automobiles and light trucks, and an explanation demonstrating that 
these projections are reasonable.
    (C) A copy of any application, data, and related information 
submitted to NHTSA in support of a request for alternative Corporate 
Average Fuel Economy standards filed under 49 CFR Part 525.
    (iv) Information supporting eligibility. (A) U.S. sales for the 
three previous model years and projected sales for the model years for 
which the manufacturer is seeking alternative standards.
    (B) Information regarding ownership relationships with other 
manufacturers, including details regarding the application of the 
provisions of Sec.  86.1838-01(b)(3) regarding the aggregation of sales 
of related companies,
    (5) Alternative standards. Upon receiving a complete application, 
the Administrator will review the application and determine whether an 
alternative standard is warranted. If the Administrator judges that an 
alternative standard is warranted, the Administrator will publish a 
proposed determination in the Federal Register to establish alternative 
standards for the manufacturer that the Administrator judges are 
appropriate. Following a 30 day public comment period, the Administrator 
will issue a final determination establishing alternative standards for 
the manufacturer. If the Administrator does not establish alternative 
standards for an eligible manufacturer prior to 12 months before the 
first model year to which the alternative standards would apply, the 
manufacturer may request an extension of the exemption under Sec.  
86.1801-12(k) or an extension of previously approved alternative 
standards, whichever may apply.
    (6) Restrictions on credit trading. Manufacturers subject to 
alternative standards approved by the Administrator under this paragraph 
(g) may not trade credits to another manufacturer. Transfers between car 
and truck fleets within the manufacturer are allowed, and the carry-
forward provisions for credits and deficits apply.
    (h) Mid-term evaluation of standards. No later than April 1, 2018, 
the Administrator shall determine whether the standards established in 
paragraph (c) of this section for the 2022 through 2025 model years are 
appropriate under section 202(a) of the Clean Air Act, in light of the 
record then before the Administrator. An opportunity for public comment 
shall be provided before making such determination. If the Administrator 
determines they are not appropriate, the Administrator shall initiate a 
rulemaking to revise the standards, to be either more or less stringent 
as appropriate.
    (1) In making the determination required by this paragraph (h), the 
Administrator shall consider the information available on the factors 
relevant to setting greenhouse gas emission standards under section 
202(a) of the Clean Air Act for model years 2022 through 2025, including 
but not limited to:
    (i) The availability and effectiveness of technology, and the 
appropriate lead time for introduction of technology;
    (ii) The cost on the producers or purchasers of new motor vehicles 
or new motor vehicle engines;
    (iii) The feasibility and practicability of the standards;
    (iv) The impact of the standards on reduction of emissions, oil 
conservation, energy security, and fuel savings by consumers;
    (v) The impact of the standards on the automobile industry;
    (vi) The impacts of the standards on automobile safety;
    (vii) The impact of the greenhouse gas emission standards on the 
Corporate Average Fuel Economy standards and a national harmonized 
program; and

[[Page 999]]

    (viii) The impact of the standards on other relevant factors.
    (2) The Administrator shall make the determination required by this 
paragraph (h) based upon a record that includes the following:
    (i) A draft Technical Assessment Report addressing issues relevant 
to the standard for the 2022 through 2025 model years;
    (ii) Public comment on the draft Technical Assessment Report;
    (iii) Public comment on whether the standards established for the 
2022 through 2025 model years are appropriate under section 202(a) of 
the Clean Air Act; and
    (iv) Such other materials the Administrator deems appropriate.
    (3) No later than November 15, 2017, the Administrator shall issue a 
draft Technical Assessment Report addressing issues relevant to the 
standards for the 2022 through 2025 model years.
    (4) The Administrator will set forth in detail the bases for the 
determination required by this paragraph (h), including the 
Administrator's assessment of each of the factors listed in paragraph 
(h)(1) of this section.

[75 FR 25686, May 7, 2010, as amended at 76 FR 19874, Apr. 8, 2011; 76 
FR 39521, July 6, 2011; 76 FR 57377, Sept. 15, 2011; 77 FR 63156, Oct. 
15, 2012; 79 FR 23725, Apr. 28, 2014; 81 FR 73985, Oct. 25, 2016; 85 FR 
25268, Apr. 30, 2020]



Sec.  86.1819  [Reserved]



Sec.  86.1819-14  Greenhouse gas emission standards for heavy-duty vehicles.

    This section describes exhaust emission standards for 
CO2, CH4, and N2O for heavy-duty 
vehicles. The standards of this section apply for model year 2014 and 
later vehicles that are chassis-certified with respect to criteria 
pollutants under this subpart S. Additional heavy-duty vehicles may be 
optionally subject to the standards of this section as allowed under 
paragraph (j) of this section. Any heavy-duty vehicles not subject to 
standards under this section are instead subject to greenhouse gas 
standards under 40 CFR part 1037, and engines installed in these 
vehicles are subject to standards under 40 CFR part 1036. If you are not 
the engine manufacturer, you must notify the engine manufacturer that 
its engines are subject to 40 CFR part 1036 if you intend to use their 
engines in vehicles that are not subject to standards under this 
section. Vehicles produced by small businesses may be excluded from the 
standards of this section as described in paragraph (k)(5) of this 
section.
    (a) Fleet-average CO2 emission standards. Fleet-average 
CO2 emission standards apply for the full useful life for 
each manufacturer as follows:
    (1) Calculate a work factor, WF, for each vehicle subconfiguration 
(or group of subconfigurations as allowed under paragraph (a)(4) of this 
section), rounded to the nearest pound, using the following equation:

    WF = 0.75 x (GVWR - Curb Weight + xwd) + 0.25 x (GCWR - GVWR)

Where:

xwd = 500 pounds if the vehicle has four-wheel drive or all-wheel drive; 
          xwd = 0 pounds for all other vehicles.

    (2) Using the appropriate work factor, calculate a target value for 
each vehicle subconfiguration (or group of subconfigurations as allowed 
under paragraph (a)(4) of this section) you produce using one of the 
following equations, or the phase-in provisions in paragraph (k)(4) of 
this section, rounding to the nearest whole g/mile:
    (i) For model year 2027 and later vehicles with spark-ignition 
engines: CO2 Target (g/mile) = 0.0369 x WF + 284
    (ii) For model year 2027 and later vehicles with compression-
ignition engines or with no engines (such as electric vehicles and fuel 
cell vehicles): CO2 Target (g/mile) = 0.0348 x WF + 268
    (3) Calculate a production-weighted average of the target values and 
round it to the nearest whole g/mile. This is your fleet-average 
standard. All vehicles subject to the standards of this section form a 
single averaging set. Use the following equation to calculate your 
fleet-average standard from the target value for each vehicle 
subconfiguration (Targeti) and U.S.-directed production 
volume of each vehicle subconfiguration for the given model year 
(Volumei):

[[Page 1000]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.040

    (4) You may group subconfigurations within a configuration together 
for purposes of calculating your fleet-average standard as follows:
    (i) You may group together subconfigurations that have the same 
equivalent test weight (ETW), GVWR, and GCWR. Calculate your work factor 
and target value assuming a curb weight equal to two times ETW minus 
GVWR.
    (ii) You may group together other subconfigurations if you use the 
lowest target value calculated for any of the subconfigurations.
    (5) The standards specified in this section apply for testing at 
both low-altitude conditions and high-altitude conditions. However, 
manufacturers must submit an engineering evaluation indicating that 
common calibration approaches are utilized at high altitude instead of 
performing testing for certification, consistent with Sec.  86.1829. Any 
deviation from low altitude emission control practices must be included 
in the auxiliary emission control device (AECD) descriptions submitted 
at certification. Any AECD specific to high altitude requires 
engineering emission data for EPA evaluation to quantify any emission 
impact and determine the validity of the AECD.
    (b) Production and in-use CO2 standards. Each vehicle you 
produce that is subject to the standards of this section has an ``in-
use'' CO2 standard that is calculated from your test result 
and that applies for selective enforcement audits and in-use testing. 
This in-use CO2 standard for each vehicle is equal to the 
applicable deteriorated emission level multiplied by 1.10 and rounded to 
the nearest whole g/mile.
    (c) N2O and CH4 standards. Except as allowed under this paragraph 
(c), all vehicles subject to the standards of this section must comply 
with an N2O standard of 0.05 g/mile and a CH4 
standard of 0.05 g/mile when calculated according to the provisions of 
paragraph (d)(4) of this section. You may specify CH4 and/or 
N2O alternative standards using CO2 emission 
credits instead of these otherwise applicable emission standards for one 
or more test groups. To do this, calculate the CH4 and/or 
N2O emission credits needed (negative credits) using the 
equation in this paragraph (c) based on the FEL(s) you specify for your 
vehicles during certification. You must adjust the calculated emissions 
by the global warming potential (GWP): GWP equals 34 for CH4 
from model year 2021 and later vehicles, 25 for CH4 from 
earlier vehicles, and 298 for N2O. This means, for example, 
that you must use 298 Mg of positive CO2 credits to offset 1 
Mg of negative N2O credits. Note that Sec.  86.1818-12(f) 
does not apply for vehicles subject to the standards of this section. 
Calculate credits using the following equation, rounded to the nearest 
whole number:

CO2 Credits Needed (Mg) = [(FEL - Std) x (U.S.-directed 
production volume) x (Useful Life)] x (GWP) / 1,000,000

    (d) Compliance provisions. The following compliance provisions apply 
instead of other provisions described in this subpart S:
    (1) The CO2 standards of this section apply with respect 
to CO2 emissions, not with respect to carbon-related exhaust 
emissions (CREE).
    (2) The following general credit provisions apply:
    (i) Credits you generate under this section may be used only to 
offset credit deficits under this section. You may bank credits for use 
in a future model year in which your average CO2 level 
exceeds the standard. You may trade credits to another manufacturer 
according to Sec.  86.1865-12(k)(8). Before you bank or trade credits, 
you must apply any available credits to offset a deficit if the deadline 
to offset that credit deficit has not yet passed.
    (ii) Vehicles subject to the standards of this section are included 
in a single greenhouse gas averaging set separate from any averaging set 
otherwise included in this subpart S.

[[Page 1001]]

    (iii) Banked CO2 credits keep their full value for five 
model years after the year in which they were generated. Unused credits 
may not be used for more than five model years after the model year in 
which the credits are generated.
    (3) Special credit and incentive provisions related to air 
conditioning in Sec. Sec.  86.1867 and 86.1868 do not apply for vehicles 
subject to the standards of this section.
    (4) Measure emissions using the procedures of subpart B of this part 
and 40 CFR part 1066. Determine separate emission results for the 
Federal Test Procedure (FTP) described in 40 CFR 1066.801(c)(1) and the 
Highway Fuel Economy Test (HFET) described in 40 CFR 1066.801(c)(3). 
Calculate composite emission results from these two test cycles for 
demonstrating compliance with the CO2, N2O, and 
CH4 standards based on a weighted average of the FTP (55%) 
and HFET (45%) emission results. Note that this differs from the way the 
criteria pollutant standards apply.
    (5) Apply an additive deterioration factor of zero to measured 
CO2 emissions unless good engineering judgment indicates that 
emissions are likely to deteriorate in use. Use good engineering 
judgment to develop separate deterioration factors for N2O 
and CH4.
    (6) Credits are calculated using the useful life value (in miles) in 
place of ``vehicle lifetime miles'' as specified in Sec.  86.1865. 
Calculate a total credit or debit balance in a model year by adding 
credits and debits from Sec.  86.1865-12(k)(4), subtracting any 
CO2-equivalent debits for N2O or CH4 
calculated according to paragraph (c) of this section, and adding any of 
the following credits:
    (i) Off-cycle technology credits according to paragraph (d)(13) of 
this section.
    (ii) Early credits from vehicles certified under paragraph (k)(2) of 
this section.
    (iii) Advanced-technology credits according to paragraph (k)(7) of 
this section.
    (7) [Reserved]
    (8) The provisions of Sec.  86.1818 do not apply.
    (9) Calculate your fleet-average emission rate consistent with good 
engineering judgment and the provisions of Sec.  86.1865. The following 
additional provisions apply:
    (i) Unless we approve a lower number, you must test at least ten 
subconfigurations. If you produce more than 100 subconfigurations in a 
given model year, you must test at least ten percent of your 
subconfigurations. For purposes of this paragraph (d)(9)(i), count 
carryover tests, but do not include analytically derived CO2 
emission rates, data substitutions, or other untested allowances. We may 
approve a lower number of tests for manufacturers that have limited 
product offerings, or low sales volumes. Note that good engineering 
judgment and other provisions of this part may require you to test more 
subconfigurations than these minimum values.
    (ii) The provisions of paragraph (g) of this section specify how you 
may use analytically derived CO2 emission rates.
    (iii) At least 90 percent of final production volume at the 
configuration level must be represented by test data (real, data 
substituted, or analytical).
    (iv) Perform fleet-average CO2 calculations as described 
in Sec.  86.1865 and 40 CFR part 600, with the following exceptions:
    (A) Use CO2 emissions values for all test results, 
intermediate calculations, and fleet average calculations instead of the 
carbon-related exhaust emission (CREE) values specified in this subpart 
S and 40 CFR part 600.
    (B) Perform intermediate CO2 calculations for 
subconfigurations within each configuration using the subconfiguration 
and configuration definitions in paragraph (d)(12) of this section.
    (C) Perform intermediate CO2 calculations for 
configurations within each test group and transmission type (instead of 
configurations within each base level and base levels within each model 
type). Use the configuration definition in paragraph (d)(12)(i) of this 
section.
    (D) Do not perform intermediate CO2 calculations for each 
base level or for each model type. Base level and model

[[Page 1002]]

type CO2 calculations are not applicable to heavy-duty 
vehicles subject to standards in this section.
    (E) Determine fleet average CO2 emissions for heavy-duty 
vehicles subject to standards in this section as described in 40 CFR 
600.510-12(j), except that the calculations must be performed on the 
basis of test group and transmission type (instead of the model-type 
basis specified in the light-duty vehicle regulations), and the 
calculations for dual-fuel, multi-fuel, and flexible-fuel vehicles must 
be consistent with the provisions of paragraph (d)(10)(i) of this 
section.
    (10) For dual-fuel, multi-fuel, and flexible-fuel vehicles, perform 
exhaust testing on each fuel type (for example, gasoline and E85).
    (i) For your fleet-average calculations in model year 2016 and 
later, use either the conventional-fueled CO2 emission rate 
or a weighted average of your emission results as specified in 40 CFR 
600.510-12(k) for light-duty trucks. For your fleet-average calculations 
before model year 2016, apply an equal weighting of CO2 
emission results from alternative and conventional fuels.
    (ii) If you certify to an alternate standard for N2O or 
CH4 emissions, you may not exceed the alternate standard when 
tested on either fuel.
    (11) Test your vehicles with an equivalent test weight based on its 
Adjusted Loaded Vehicle Weight (ALVW). Determine equivalent test weight 
from the ALVW as specified in 40 CFR 1066.805; round ALVW values above 
14,000 pounds to the nearest 500 pound increment.
    (12) The following definitions apply for the purposes of this 
section:
    (i) Configuration means a subclassification within a test group 
based on engine code, transmission type and gear ratios, final drive 
ratio, and other parameters we designate. Engine code means the 
combination of both ``engine code'' and ``basic engine'' as defined in 
40 CFR 600.002.
    (ii) Subconfiguration means a unique combination within a vehicle 
configuration (as defined in this paragraph (d)(12)) of equivalent test 
weight, road-load horsepower, and any other operational characteristics 
or parameters that we determine may significantly affect CO2 
emissions within a vehicle configuration. Note that for vehicles subject 
to standards of this section, equivalent test weight (ETW) is based on 
the ALVW of the vehicle as outlined in paragraph (d)(11) of this 
section.
    (13) This paragraph (d)(13) applies for CO2 reductions 
resulting from technologies that were not in common use before 2010 that 
are not reflected in the specified test procedures. While you are not 
required to prove that such technologies were not in common use with 
heavy-duty vehicles before model year 2010, we will not approve your 
request if we determine they do not qualify. These may be described as 
off-cycle or innovative technologies. We may allow you to generate 
emission credits consistent with the provisions of Sec.  86.1869-12(c) 
and (d). The 5-cycle methodology is not presumed to be preferred over 
alternative methodologies described in Sec.  86.1869-12(d).
    (14) You must submit pre-model year reports before you submit your 
applications for certification for a given model year. Unless we specify 
otherwise, include the information specified for pre-model year reports 
in 49 CFR 535.8.
    (15) You must submit a final report within 90 days after the end of 
the model year. Unless we specify otherwise, include applicable 
information identified in Sec.  86.1865-12(l), 40 CFR 600.512, and 49 
CFR 535.8(e). The final report must include at least the following 
information:
    (i) Model year.
    (ii) Applicable fleet-average CO2 standard.
    (iii) Calculated fleet-average CO2 value and all the 
values required to calculate the CO2 value.
    (iv) Number of credits or debits incurred and all values required to 
calculate those values.
    (v) Resulting balance of credits or debits.
    (vi) N2O emissions.
    (vii) CH4 emissions.
    (viii) Total and percent leakage rates under paragraph (h) of this 
section.
    (16) You may apply the provisions for delegated assembly as 
described in 40 CFR 1037.621.
    (17) You may calculate emission rates for weight increments less 
than

[[Page 1003]]

the 500 pound increment specified for test weight. This does not change 
the applicable test weights.
    (i) Use the ADC equation in paragraph (g) of this section to adjust 
your emission rates for vehicles in increments of 50, 100, or 250 pounds 
instead of the 500 test-weight increments. Adjust emissions to the 
midpoint of each increment. This is the equivalent emission weight. For 
example, vehicles with a test weight basis of 11,751 to 12,250 pounds 
(which have an equivalent test weight of 12,000 pounds) could be 
regrouped into 100 pound increments as follows:

------------------------------------------------------------------------
                                            Equivalent
            Test weight basis                emission       Equivalent
                                              weight        test weight
------------------------------------------------------------------------
11,751-11,850...........................          11,800          12,000
11,851-11,950...........................          11,900          12,000
11,951-12,050...........................          12,000          12,000
12,051-12,150...........................          12,100          12,000
12,151-12,250...........................          12,200          12,000
------------------------------------------------------------------------

    (ii) You must use the same increment for all equivalent test weight 
classes across your whole product line in a given model year. You must 
also specify curb weight for calculating the work factor in a way that 
is consistent with your approach for determining test weight for 
calculating ADCs under this paragraph (d)(17).
    (e) Useful life. The exhaust emission standards of this section 
apply for the full useful life, as described in Sec.  86.1805.
    (f) [Reserved]
    (g) Analytically derived CO2 emission rates (ADCs). This 
paragraph (g) describes an allowance to use estimated (i.e., 
analytically derived) CO2 emission rates based on baseline 
test data instead of measured emission rates for calculating fleet-
average emissions. Note that these ADCs are similar to ADFEs used for 
light-duty vehicles. Note also that F terms used in this paragraph (g) 
represent coefficients from the following road load equation:

Force = F0 + F1 [middot] (velocity) + 
F2 [middot] (velocity)\2\

    (1) Except as specified in paragraph (g)(2) of this section, use the 
following equation to calculate the ADC of a new vehicle from road load 
force coefficients (F0, F1, F2), axle ratio, and test weight:

ADC = CO2base + 2.18 [middot] [Delta]F0 + 37.4 [middot] 
[Delta]F1 + 2257 [middot] [Delta]F2 + 189 [middot] [Delta]AR + 
0.0222[middot] [Delta]ETW

Where:

ADC = Analytically derived combined city/highway CO2 emission 
          rate (g/mile) for a new vehicle.
CO2base = Combined city/highway CO2 emission rate 
          (g/mile) of a baseline vehicle.
[Delta]F0 = F0 of the new vehicle-F0 of the baseline vehicle.
[Delta]F1 = F1 of the new vehicle-F1 of the baseline vehicle.
[Delta]F2 = F2 of the new vehicle-F2 of the baseline vehicle.
[Delta]AR = Axle ratio of the new vehicle-axle ratio of the baseline 
          vehicle.
[Delta]ETW = ETW of the new vehicle-ETW of the baseline vehicle.

    (2) The purpose of this section is to accurately estimate 
CO2 emission rates.
    (i) You must apply the provisions of this section consistent with 
good engineering judgment. For example, do not use the equation in 
paragraph (g)(1) of this section where good engineering judgment 
indicates that it will not accurately estimate emissions. You may ask us 
to approve alternate equations that allow you to estimate emissions more 
accurately.
    (ii) The analytically derived CO2 equation in paragraph 
(g)(1) of this section may be periodically updated through publication 
of an EPA guidance document to more accurately characterize 
CO2 emission levels for example, changes may be appropriate 
based on new test data, future technology changes, or to changes in 
future CO2 emission levels. Any EPA guidance document will 
determine the model year that the updated equation takes effect. We will 
issue guidance no later than eight months before the effective model 
year. For example, model year

[[Page 1004]]

2014 may start January 2, 2013, so guidance for model year 2014 would be 
issued by May 1, 2012.
    (3) You may select baseline test data without our advance approval 
if they meet all the following criteria:
    (i) Vehicles considered for the baseline test must comply with all 
applicable emission standards in the model year associated with the ADC.
    (ii) You must include in the pool of tests considered for baseline 
selection all official tests of the same or equivalent basic engine, 
transmission class, engine code, transmission code, engine horsepower, 
dynamometer drive wheels, and compression ratio as the ADC 
subconfiguration. Do not include tests in which emissions exceed any 
applicable standard.
    (iii) Where necessary to minimize the CO2 adjustment, you 
may supplement the pool with tests associated with worst-case engine or 
transmission codes and carryover or carry-across test groups. If you do, 
all the data that qualify for inclusion using the elected worst-case 
substitution (or carryover or carry-across) must be included in the pool 
as supplemental data (i.e., individual test vehicles may not be selected 
for inclusion). You must also include the supplemental data in all 
subsequent pools, where applicable.
    (iv) Tests previously used during the subject model year as baseline 
tests in ten other ADC subconfigurations must be eliminated from the 
pool.
    (v) Select the tested subconfiguration with the smallest absolute 
difference between the ADC and the test CO2 emission rate for 
combined emissions. Use this as the baseline test for the target ADC 
subconfiguration.
    (4) You may ask us to allow you to use baseline test data not fully 
meeting the provisions of paragraph (g)(3) of this section.
    (5) Calculate the ADC rounded to the nearest whole g/mile. Except 
with our advance approval, the downward adjustment of ADC from the 
baseline is limited to ADC values 20 percent below the baseline emission 
rate. The upward adjustment is not limited.
    (6) You may not submit an ADC if an actual test has been run on the 
target subconfiguration during the certification process or on a 
development vehicle that is eligible to be declared as an emission-data 
vehicle.
    (7) No more than 40 percent of the subconfigurations tested in your 
final CO2 submission may be represented by ADCs.
    (8) Keep the following records for at least five years, and show 
them to us if we ask to see them:
    (i) The pool of tests.
    (ii) The vehicle description and tests chosen as the baseline and 
the basis for the selection.
    (iii) The target ADC subconfiguration.
    (iv) The calculated emission rates.
    (9) We may perform or order a confirmatory test of any 
subconfiguration covered by an ADC.
    (10) Where we determine that you did not fully comply with the 
provisions of this paragraph (g), we may require that you comply based 
on actual test data and that you recalculate your fleet-average emission 
rate.
    (h) Air conditioning leakage. Loss of refrigerant from your air 
conditioning systems may not exceed a total leakage rate of 11.0 grams 
per year or a percent leakage rate of 1.50 percent per year, whichever 
is greater. This applies for all refrigerants. Calculate the total 
leakage rate in g/year as specified in Sec.  86.1867-12(a). Calculate 
the percent leakage rate as: [total leakage rate (g/yr)] / [total 
refrigerant capacity (g)] x 100. Round your percent leakage rate to the 
nearest one-hundredth of a percent. For purpose of this requirement, 
``refrigerant capacity'' is the total mass of refrigerant recommended by 
the vehicle manufacturer as representing a full charge. Where full 
charge is specified as a pressure, use good engineering judgment to 
convert the pressure and system volume to a mass.
    (i) [Reserved]
    (j) Optional GHG certification under this subpart. You may certify 
certain complete or cab-complete vehicles to the GHG standards of this 
section. All vehicles optionally certified under this paragraph (j) are 
deemed to be subject to the GHG standards of this section. Note that for 
vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR, 
GHG certification under this paragraph (j) does not affect

[[Page 1005]]

how you may or may not certify with respect to criteria pollutants.
    (1) For GHG compliance, you may certify any complete or cab-complete 
spark-ignition vehicles above 14,000 pounds GVWR and at or below 26,000 
pounds GVWR to the GHG standards of this section even though this 
section otherwise specifies that you may certify vehicles to the GHG 
standards of this section only if they are chassis-certified for 
criteria pollutants.
    (2) You may apply the provisions of this section to cab-complete 
vehicles based on a complete sister vehicle. In unusual circumstances, 
you may ask us to apply these provisions to Class 2b or Class 3 
incomplete vehicles that do not meet the definition of cab-complete.
    (i) Except as specified in paragraph (j)(3) of this section, for 
purposes of this section, a complete sister vehicle is a complete 
vehicle of the same vehicle configuration as the cab-complete vehicle. 
You may not apply the provisions of this paragraph (j) to any vehicle 
configuration that has a four-wheel rear axle if the complete sister 
vehicle has a two-wheel rear axle.
    (ii) Calculate the target value for fleet-average CO2 
emissions under paragraph (a) or (k)(4) of this section based on the 
work factor value that applies for the complete sister vehicle.
    (iii) Test these cab-complete vehicles using the same equivalent 
test weight and other dynamometer settings that apply for the complete 
vehicle from which you used the work factor value (the complete sister 
vehicle). For GHG certification, you may submit the test data from that 
complete sister vehicle instead of performing the test on the cab-
complete vehicle.
    (iv) You are not required to produce the complete sister vehicle for 
sale to use the provisions of this paragraph (j)(2). This means the 
complete sister vehicle may be a carryover vehicle from a prior model 
year or a vehicle created solely for the purpose of testing.
    (3) For GHG purposes, if a cab-complete vehicle is not of the same 
vehicle configuration as a complete sister vehicle due only to certain 
factors unrelated to coastdown performance, you may use the road-load 
coefficients from the complete sister vehicle for certification testing 
of the cab-complete vehicle, but you may not use emission data from the 
complete sister vehicle for certifying the cab-complete vehicle.
    (k) Interim provisions. The following provisions apply instead of 
other provisions in this subpart:
    (1) Incentives for early introduction. Manufacturers may voluntarily 
certify in model year 2013 (or earlier model years for electric 
vehicles) to the greenhouse gas standards that apply starting in model 
year 2014 as specified in 40 CFR 1037.150(a).
    (2) Early credits. To generate early credits under this paragraph 
(k)(2) for any vehicles other than electric vehicles, you must certify 
your entire U.S.-directed fleet to these standards. If you calculate a 
separate fleet average for advanced-technology vehicles under paragraph 
(k)(7) of this section, you must certify your entire U.S.-directed 
production volume of both advanced and conventional vehicles within the 
fleet. If some test groups are certified after the start of the model 
year, you may generate credits only for production that occurs after all 
test groups are certified. For example, if you produce three test groups 
in an averaging set and you receive your certificates for those test 
groups on January 4, 2013, March 15, 2013, and April 24, 2013, you may 
not generate credits for model year 2013 for vehicles from any of the 
test groups produced before April 24, 2013. Calculate credits relative 
to the standard that would apply in model year 2014 using the applicable 
equations in this subpart and your model year 2013 U.S.-directed 
production volumes. These credits may be used to show compliance with 
the standards of this subpart for 2014 and later model years. We 
recommend that you notify us of your intent to use this provision before 
submitting your applications.
    (3) Compliance date. Compliance with the standards of this section 
was optional before January 1, 2014 as specified in 40 CFR 1037.150(g).
    (4) Phase-in provisions. Each manufacturer must choose one of the 
options specified in paragraphs (k)(4)(i) and (ii) of this section for 
phasing in the Phase

[[Page 1006]]

1 standards. Manufacturers must follow the schedule described in 
paragraph (k)(4)(iii) of this section for phasing in the Phase 2 
standards.
    (i) Phase 1--Option 1. You may implement the Phase 1 standards by 
applying CO2 target values as specified in the following 
table for model year 2014 through 2020 vehicles:

                      Table 1 of Sec.   86.1819-14
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2014 Spark-Ignition...............  0.0482 x (WF) + 371
2015 Spark-Ignition...............  0.0479 x (WF) + 369
2016 Spark-Ignition...............  0.0469 x (WF) + 362
2017 Spark-Ignition...............  0.0460 x (WF) + 354
2018-2020 Spark-Ignition..........  0.0440 x (WF) + 339
2014 Compression-Ignition.........  0.0478 x (WF) + 368
2015 Compression-Ignition.........  0.0474 x (WF) + 366
2016 Compression-Ignition.........  0.0460 x (WF) + 354
2017 Compression-Ignition.........  0.0445 x (WF) + 343
2018-2020 Compression-Ignition....  0.0416 x (WF) + 320
------------------------------------------------------------------------

    (ii) Phase 1--Option 2. You may implement the Phase 1 standards by 
applying CO2 target values specified in the following table 
for model year 2014 through 2020 vehicles:

                      Table 2 of Sec.   86.1819-14
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2014 Spark-Ignition...............  0.0482 x (WF) + 371
2015 Spark-Ignition...............  0.0479 x (WF) + 369
2016-2018 Spark-Ignition..........  0.0456 x (WF) + 352
2019-2020 Spark-Ignition..........  0.0440 x (WF) + 339
2014 Compression-Ignition.........  0.0478 x (WF) + 368
2015 Compression-Ignition.........  0.0474 x (WF) + 366
2016-2018 Compression-Ignition....  0.0440 x (WF) + 339
2019-2020 Compression-Ignition....  0.0416 x (WF) + 320
------------------------------------------------------------------------

    (iii) Phase 2. Apply Phase 2 CO2 target values as 
specified in the following table for model year 2021 through 2026 
vehicles:

                      Table 3 of Sec.   86.1819-14
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2021 Spark-Ignition...............  0.0429 x (WF) + 331
2022 Spark-Ignition...............  0.0418 x (WF) + 322
2023 Spark-Ignition...............  0.0408 x (WF) + 314
2024 Spark-Ignition...............  0.0398 x (WF) + 306
2025 Spark-Ignition...............  0.0388 x (WF) + 299
2026 Spark-Ignition...............  0.0378 x (WF) + 291
2021 Compression-Ignition.........  0.0406 x (WF) + 312
2022 Compression-Ignition.........  0.0395 x (WF) + 304
2023 Compression-Ignition.........  0.0386 x (WF) + 297
2024 Compression-Ignition.........  0.0376 x (WF) + 289
2025 Compression-Ignition.........  0.0367 x (WF) + 282
2026 Compression-Ignition.........  0.0357 x (WF) + 275
------------------------------------------------------------------------

    (5) Provisions for small manufacturers. Standards apply on a delayed 
schedule for manufacturers meeting the small business criteria specified 
in 13 CFR 121.201 (NAICS code 336111); the employee and revenue limits 
apply to the total number employees and total revenue together for 
affiliated companies. Qualifying small manufacturers are not subject to 
the greenhouse gas

[[Page 1007]]

standards of this section for vehicles with a date of manufacture before 
January 1, 2022, as specified in 40 CFR 1037.150(c). In addition, small 
manufacturers producing vehicles that run on any fuel other than 
gasoline, E85, or diesel fuel may delay complying with every later 
standard under this part by one model year.
    (6) Alternate N2O standards. Manufacturers may show compliance with 
the N2O standards using an engineering analysis. This 
allowance also applies for model year 2015 and later test groups carried 
over from model 2014 consistent with the provisions of Sec.  86.1839. 
You may not certify to an N2O FEL different than the standard 
without measuring N2O emissions.
    (7) Advanced-technology credits. Provisions for advanced-technology 
credits apply as described in 40 CFR 1037.615. If you generate credits 
from Phase 1 vehicles certified with advanced technology, you may 
multiply these credits by 1.50. If you generate credits from Phase 2 
vehicles certified with advanced technology, you may multiply these 
credits by 3.5 for plug-in hybrid electric vehicles, 4.5 for electric 
vehicles, and 5.5 for fuel cell vehicles. Advanced-technology credits 
from Phase 1 vehicles may be used to show compliance with any standards 
of this part or 40 CFR part 1036 or part 1037, subject to the 
restrictions in 40 CFR 1037.740. Similarly, you may use up to 60,000 Mg 
per year of advanced-technology credits generated under 40 CFR 1036.615 
or 1037.615 (from Phase 1 vehicles) to demonstrate compliance with the 
CO2 standards in this section. Include vehicles generating 
credits in separate fleet-average calculations (and exclude them from 
your conventional fleet-average calculation). You must first apply these 
advanced-technology vehicle credits to any deficits for other vehicles 
in the averaging set before applying them to other averaging sets.
    (8) Loose engine sales. This paragraph (k)(8) applies for model year 
2023 and earlier spark-ignition engines with identical hardware compared 
with engines used in vehicles certified to the standards of this 
section, where you sell such engines as loose engines or as engines 
installed in incomplete vehicles that are not cab-complete vehicles. You 
may include such engines in a test group certified to the standards of 
this section, subject to the following provisions:
    (i) Engines certified under this paragraph (k)(8) are deemed to be 
certified to the standards of 40 CFR 1036.108 as specified in 40 CFR 
1036.150(j).
    (ii) For 2020 and earlier model years, the maximum allowable U.S.-
directed production volume of engines you sell under this paragraph 
(k)(8) in any given model year is ten percent of the total U.S-directed 
production volume of engines of that design that you produce for heavy-
duty applications for that model year, including engines you produce for 
complete vehicles, cab-complete vehicles, and other incomplete vehicles. 
The total number of engines you may certify under this paragraph (k)(8), 
of all engine designs, may not exceed 15,000 in any model year. Engines 
produced in excess of either of these limits are not covered by your 
certificate. For example, if you produce 80,000 complete model year 2017 
Class 2b pickup trucks with a certain engine and 10,000 incomplete model 
year 2017 Class 3 vehicles with that same engine, and you do not apply 
the provisions of this paragraph (k)(8) to any other engine designs, you 
may produce up to 10,000 engines of that design for sale as loose 
engines under this paragraph (k)(8). If you produced 11,000 engines of 
that design for sale as loose engines, the last 1,000 of them that you 
produced in that model year 2017 would be considered uncertified.
    (iii) For model years 2021 through 2023, the U.S.-directed 
production volume of engines you sell under this paragraph (k)(8) in any 
given model year may not exceed 10,000 units.
    (iv) This paragraph (k)(8) does not apply for engines certified to 
the standards of 40 CFR 1036.108.
    (v) Label the engines as specified in 40 CFR 1036.135 including the 
following compliance statement: ``THIS ENGINE WAS CERTIFIED TO THE 
ALTERNATE GREENHOUSE GAS EMISSION STANDARDS OF 40 CFR 1036.150(j).'' 
List the test group name instead of an engine family name.
    (vi) Vehicles using engines certified under this paragraph (k)(8) 
are subject

[[Page 1008]]

to the emission standards of 40 CFR 1037.105.
    (vii) For certification purposes, your engines are deemed to have a 
CO2 target value and test result equal to the CO2 
target value and test result for the complete vehicle in the applicable 
test group with the highest equivalent test weight, except as specified 
in paragraph (k)(8)(vii)(B) of this section. Use these values to 
calculate your target value, fleet-average emission rate, and in-use 
emission standard. Where there are multiple complete vehicles with the 
same highest equivalent test weight, select the CO2 target 
value and test result as follows:
    (A) If one or more of the CO2 test results exceed the 
applicable target value, use the CO2 target value and test 
result of the vehicle that exceeds its target value by the greatest 
amount.
    (B) If none of the CO2 test results exceed the applicable 
target value, select the highest target value and set the test result 
equal to it. This means that you may not generate emission credits from 
vehicles certified under this paragraph (k)(8).
    (viii) Production and in-use CO2 standards apply as 
described in paragraph (b) of this section.
    (ix) N2O and CH4 standards apply as described 
in paragraph (c) of this section.
    (x) State in your applications for certification that your test 
group and engine family will include engines certified under this 
paragraph (k)(8). This applies for your greenhouse gas vehicle test 
group and your criteria pollutant engine family. List in each 
application the name of the corresponding test group/engine family.
    (9) Credit adjustment for useful life. For credits that you 
calculate based on a useful life of 120,000 miles, multiply any banked 
credits that you carry forward for use in model year 2021 and later by 
1.25.
    (10) CO2 rounding. For model year 2014 and earlier vehicles, you may 
round measured and calculated CO2 emission levels to the 
nearest 0.1 g/mile, instead of the nearest whole g/mile as specified in 
paragraphs (a), (b), and (g) of this section.

[81 FR 73895, Oct. 25, 2016]



Sec.  86.1820-01  Durability group determination.

    This section applies to the grouping of vehicles into durability 
groups. Manufacturers shall divide their product line into durability 
groups based on the following criteria:
    (a) The vehicles covered by a certification application shall be 
divided into groups of vehicles which are expected to have similar 
emission deterioration and emission component durability characteristics 
throughout their useful life. Manufacturers shall use good engineering 
judgment in dividing their vehicles into durability groups. Such groups 
of vehicles are defined as durability groups.
    (b) To be included in the same durability group, vehicles must be 
identical in all the respects listed in paragraphs (b) (1) through (7) 
of this section:
    (1) Combustion cycle (e.g., two stroke, four stroke, Otto cycle, 
diesel cycle).
    (2) Engine type (e.g., piston, rotary, turbine, air cooled versus 
water cooled).
    (3) Fuel used (e.g., gasoline, diesel, methanol, ethanol, CNG, LPG, 
flexible fuels).
    (4) Basic fuel metering system (e.g., throttle body injection, port 
injection (including central port injection), carburetor, CNG mixer 
unit).
    (5) Catalyst construction (for example, beads or monolith).
    (6) Precious metal composition of the catalyst by the type of 
principal active material(s) used (e.g., platinum based oxidation 
catalyst, palladium based oxidation catalyst, platinum and rhodium 
three-way catalyst, palladium and rhodium three way catalyst, platinum 
and palladium and rhodium three way catalyst).
    (7) The manufacturer must choose one of the following two criteria:
    (i) Grouping statistic:
    (A) Vehicles are grouped based upon the value of the grouping 
statistic determined using the following equation:

GS = [(Cat Vol)/(Disp)] x Loading Rate


Where:

GS = Grouping Statistic used to evaluate the range of precious metal 
          loading rates and relative sizing of the catalysts compared

[[Page 1009]]

          to the engine displacement that are allowable within a 
          durability group. The grouping statistic shall be rounded to a 
          tenth of a gram/liter.
Cat Vol = Total volume of the catalyst(s) in liters.
Disp = Displacement of the engine in liters.
Loading rate = The mass of total precious metal(s) in the catalyst (or 
          the total mass of all precious metal(s) of all the catalysts 
          if the vehicle is equipped with multiple catalysts) in grams 
          divided by the total volume of the catalyst(s) in liters.

    (B) Engine-emission control system combinations which have a 
grouping statistic which is either less than 25 percent of the largest 
grouping statistic value, or less than 0.2 g/liter (whichever allows the 
greater coverage of the durability group) shall be grouped into the same 
durability group.
    (ii) The manufacturer may elect to use another procedure which 
results in at least as many durability groups as required using criteria 
in paragraph (b)(7)(i) of this section providing that only vehicles with 
similar emission deterioration or durability are combined into a single 
durability group.
    (c) Where vehicles are of a type which cannot be divided into 
durability groups based on the criteria listed above (such as non-
catalyst control system approaches), the Administrator will establish 
durability groups for those vehicles based upon the features most 
related to their exhaust emission deterioration characteristics.
    (d) Manufacturers may further divide groups determined under 
paragraph (b) of this section provided the Administrator is notified of 
any such changes prior to or concurrently with the submission of the 
application for certification (preferably at an annual preview meeting 
scheduled before the manufacturer begins certification activities for 
the model year).
    (e) Manufacturers may request the Administrator's approval to 
combine vehicles into a single durability group which would normally not 
be eligible to be in a single durability group. The petition should 
provide:
    (1) Substantial evidence that all the vehicles in the larger 
grouping will have the same degree of emission deterioration;
    (2) Evidence of equivalent component durability over the vehicle's 
useful life; and
    (3) Evidence that the groups will result in sufficient In-Use 
Verification Program data, appropriate tracking in use, and clear 
liability for the Agency's recall program.

[64 FR 23925, May 4, 1999, as amended at 81 FR 73991, Oct. 25, 2016]



Sec.  86.1821-01  Evaporative/refueling family determination.

    (a) The gasoline-, ethanol-, methanol-, liquefied petroleum gas-, 
and natural gas-fueled vehicles described in a certification application 
will be divided into groupings expected to have similar evaporative and/
or refueling emission characteristics (as applicable) throughout their 
useful life. Each group of vehicles with similar evaporative and/or 
refueling emission characteristics shall be defined as a separate 
evaporative/refueling family. Manufacturers shall use good engineering 
judgment to determine evaporative/refueling families.
    (b) For vehicles that operate on volatile liquid fuels to be classed 
in the same evaporative/refueling family, they must be similar with 
respect to all the following items:
    (1) Type of vapor storage device (e.g., canister, air cleaner, 
crankcase).
    (2) Basic canister design.
    (i) Working capacity--grams adsorption within a 10 g. range.
    (ii) System configuration--number of canisters and method of 
connection (i.e., series, parallel).
    (iii) Canister geometry, construction and materials.
    (3) Fuel system.
    (4) Type of refueling emission control system--non-integrated or 
integrated with the evaporative control system. Further, if the system 
is non-integrated, whether or not any other evaporative emissions, e.g. 
diurnal or hot soak emissions, are captured in the same storage device 
as the refueling emissions.
    (5) Fillpipe seal mechanism--mechanical, liquid trap, other.
    (6) Vapor control system or method of controlling vapor flow through 
the vapor line to the canister (for example, type of valve, vapor 
control strategy).

[[Page 1010]]

    (7) Purge control system (for example, type of valve, purge control 
strategy).
    (8) Vapor hose material.
    (9) Fuel tank material.
    (10) Evaporative emission standard or family emission limit (FEL).
    (c) Where vehicles are of a type which cannot be divided into 
evaporative/refueling families based on the criteria listed above (such 
as non-canister control system approaches), the Administrator will 
establish families for those vehicles based upon the features most 
related to their evaporative and/or refueling emission characteristics.
    (d) Manufacturers may further divide families determined under 
paragraph (b) of this section provided the Administrator is notified of 
any such changes prior to or concurrently with the submission of the 
application for certification (preferably at an annual preview meeting 
scheduled before the manufacturer begins certification activities for 
the model year).
    (e) Manufacturers may petition the Administrator to combine vehicles 
into a single evaporative/refueling family which would normally not be 
eligible to be in a single evaporative/refueling family. The petition 
should provide:
    (1) Substantial evidence that all the vehicles in the larger 
grouping will have the same degree of evaporative emission 
deterioration;
    (2) Evidence of equivalent component durability over the vehicle's 
useful life; and
    (3) Evidence that the groups will result in sufficient In-Use 
Verification Program data, appropriate tracking in use, and clear 
liability for the Agency's recall program.
    (f) For vehicles to be classed in the same leak family, they must be 
similar with respect to the items listed in paragraph (b) of this 
section and use the same OBD method for detecting leaks.

[64 FR 23925, May 4, 1999, as amended at 79 FR 23725, Apr. 28, 2014



Sec.  86.1822-01  Durability data vehicle selection.

    (a) Within each durability group, the vehicle configuration which is 
expected to generate the highest level of exhaust emission deterioration 
on candidate vehicles in use, considering all constituents, shall be 
selected as the durability data vehicle configuration. The manufacturer 
will use good engineering judgment in making this selection.
    (b) The manufacturer may select, using good engineering judgment, an 
equivalent or worst-case configuration in lieu of testing the vehicle 
selected in paragraph (a) of this section. Carryover data satisfying the 
provisions of Sec.  86.1839-01 may also be used in lieu of testing the 
configuration selected in paragraph (a) of this section.



Sec.  86.1823-01  Durability demonstration procedures for exhaust emissions.

    This section applies to light-duty vehicles, light-duty trucks, 
complete heavy-duty vehicles, and heavy-duty vehicles certified under 
the provisions of Sec.  86.1801-01(c). Eligible small volume 
manufacturers or small volume test groups may optionally meet the 
requirements of Sec. Sec.  86.1838-01 and 86.1826-01 in lieu of the 
requirements of this section. For model years 2001, 2002, and 2003 all 
manufacturers may elect to meet the provisions of paragraph (c)(2) of 
this section in lieu of these requirements for light-duty vehicles or 
light-duty trucks.
    (a) The manufacturer shall propose a durability program consisting 
of the elements discussed in paragraphs (a)(1) through (a)(3) of this 
section for advance approval by the Administrator. The durability 
process shall be designed to effectively predict the expected 
deterioration of candidate in-use vehicles over their full and 
intermediate useful life and shall be consistent with good engineering 
judgment. The Administrator will approve the program if he/she 
determines that it is reasonably expected to meet these design 
requirements.
    (1) Service accumulation method. (i) Each durability program shall 
include a service accumulation method designed to effectively predict 
the deterioration of emissions in actual use over the full and 
intermediate useful life of candidate in-use vehicles.
    (ii) Manufacturers may propose service accumulation methods based 
upon whole-vehicle full-mileage accumulation, whole vehicle accelerated 
mileage

[[Page 1011]]

accumulation (e.g., where 40,000 miles on a severe mileage accumulation 
cycle is equivalent to 100,000 miles of normal in-use driving), bench 
aging of individual components or systems, or other approaches approved 
by the Administrator.
    (A) For whole vehicle mileage accumulation programs, all emission 
control components and systems (including both hardware and software) 
must be installed and operating for the entire mileage accumulation 
period.
    (B) Bench procedures shall simulate the aging of components or 
systems over the applicable useful life and shall simulate driving 
patterns and vehicle operational environments found in actual use. For 
this purpose, manufacturers may remove the emission-related components 
(and other components), in whole or in part, from the durability vehicle 
itself and deteriorate them independently. Vehicle testing for the 
purpose of determining deterioration factors may include the testing of 
durability vehicles that incorporate such bench-aged components.
    (2) Vehicle/component selection method. The manufacturer shall 
propose a vehicle/component selection method for advance approval by the 
Administrator. The procedure for selecting durability data vehicles and 
components shall meet the requirements of Sec.  86.1822-01.
    (3) Use of deterioration program to determine compliance with the 
standard. The manufacturer shall propose procedures for the 
determination of compliance with the standards for advance approval by 
the Administrator. The calculation of deterioration factors and/or the 
determination of vehicle compliance shall be according to the procedures 
approved in advance by the Administrator. The Administrator will allow 
two methods for using the results of the deterioration program to 
determine compliance with the standards. Either a deterioration factor 
(DF) is calculated and applied to the emission data vehicle (EDV) 
emission results or aged components are installed on the EDV prior to 
emission testing. Other methods may be approved by the Administrator if 
they result in an effective prediction of intermediate and full useful 
life emission levels on candidate in-use vehicles.
    (i) Use of deterioration factors. (A) Deterioration factors are 
calculated using all FTP emission test data generated during the 
durability testing program except as noted:
    (1) Multiple tests at a given mileage point are averaged together 
unless the same number of tests are conducted at each mileage point.
    (2) Before and after maintenance test results are averaged together.
    (3) Zero-mile test results are excluded from the calculation.
    (4) When calculating intermediate and full useful life deterioration 
factors all data points should be included in the calculations, except 
that total hydrocarbon (THC) test points beyond the 50,000-mile (useful 
life) test point shall not be included in the calculations.
    (5) A procedure may be employed to identify and remove from the DF 
calculation those test results determined to be statistical outliers 
providing that the outlier procedure is consistently applied to all 
vehicles and data points and is approved in advance by the 
Administrator.
    (B) The deterioration factor shall be based on a linear regression, 
or an other regression technique approved in advance by the 
Administrator. The deterioration may be a multiplicative or additive 
factor. Separate factors will be calculated for each regulated emission 
constituent and for the full and intermediate useful life periods as 
applicable. Separate DF's are calculated for each durability group 
except as provided in paragraph (c) of this section.
    (1) A multiplicative DF will be calculated by taking the ratio of 
the full or intermediate useful life mileage level, as appropriate 
(rounded to four decimal places), divided by the stabilized mileage 
(reference Sec.  86.1831-01(c), e.g., 4000-mile) level (rounded to four 
decimal places) from the regression analysis; the result shall be 
rounded to three-decimal places of accuracy. The rounding required in 
this paragraph shall be conducted in accordance with the Rounding-Off 
Method specified in ASTM E29-93a, Standard Practice for Using 
Significant Digits in Test Data to Determine Conformance with 
Specifications (incorporated by

[[Page 1012]]

reference, see Sec.  86.1). Calculated DF values of less than one shall 
be changed to one for the purposes of this paragraph.
    (2) An additive DF will be calculated to be the difference between 
the full or intermediate useful life mileage level (as appropriate) 
minus the stabilized mileage (reference Sec.  86.1831-01(c), e.g. 4000-
mile) level from the regression analysis. The full useful life regressed 
emission value, the stabilized mileage regressed emission value, and the 
DF result shall be rounded to the same precision and using the same 
procedures as the raw emission results according to the provisions of 
Sec.  86.1837-01. Calculated DF values of less than zero shall be 
changed to zero for the purposes of this paragraph.
    (C) The DF calculated by these procedures will be used for 
determining compliance with FTP exhaust emission standards, SFTP exhaust 
emission standards, cold temperature NMHC emission standards, and cold 
temperature CO emission standards. At the manufacturer's option and 
using procedures approved by the Administrator, a separate DF may be 
calculated exclusively using cold temperature CO test data to determine 
compliance with cold temperature CO emission standards. Similarly, at 
the manufacturer's option and using procedures approved by the 
Administrator, a separate DF may be calculated exclusively using cold 
temperature NMHC test data to determine compliance with cold temperature 
NMHC emission standards. For determining compliance with full useful 
life cold temperature NMHC emission standards, the 68-86 [deg]F 120,000 
mile full useful life NMOG DF may be used. Also at the manufacturer's 
option and using procedures approved by the Administrator, a separate DF 
may be calculated exclusively using US06 and/or air conditioning (SC03) 
test data to determine compliance with the SFTP emission standards.
    (ii) Installation of aged components on emission data vehicles. For 
full and intermediate useful life compliance determination, the 
manufacturer may elect to install aged components on an EDV rather than 
applying a deterioration factor. Different sets of components may be 
aged for full and intermediate useful life periods. The list of 
components to be installed, the techniques used to select physical parts 
to be aged, and the aging techniques employed to age the components must 
be approved in advance by the Administrator.
    (b) In addition to the provisions of paragraph (a) of this section, 
manufacturers shall submit the following information when applying for 
the Administrator's approval of a durability program:
    (1) Analysis and/or data demonstrating the adequacy of the 
manufacturer's durability processes to effectively predict emission 
compliance for candidate in-use vehicles. All regulated emission 
constituents and all test procedures shall be considered in this 
analysis. This data and discussion shall cover the breadth of the 
manufacturer's product line that will be covered by this durability 
procedure.
    (2) Discussion of the manufacturer's in-use verification procedures 
including testing performed, vehicle procurement procedures used, and 
vehicles rejection criteria used. Any questionnaires used or inspections 
performed should also be documented in the manufacturer's submission. 
The in-use verification program shall meet the requirements of 
Sec. Sec.  86.1845-01, 86.1846-01 and 86.1847-01.
    (c) Carryover and carryacross. (1) Manufacturers may carry over or 
carry across mileage accumulation data, aged hardware, or deterioration 
factors according to the provisions of Sec.  86.1839-01 using good 
engineering judgment.
    (2) For the 2001, 2002, and 2003 model years, for light-duty 
vehicles and light-duty trucks the manufacturer may carry over exhaust 
emission DF's previously generated under the Standard AMA Durability 
Program described in Sec.  86.094-13(c), the Alternate Service 
Accumulation Durability Program described in Sec.  86.094-13(e) or the 
Standard Self-Approval Durability Program for light-duty trucks 
described in Sec.  86.094-13(f) in lieu of complying with the durability 
provisions of paragraph (a)(1) of this section.
    (i) This provision is limited to the use of existing data used for a 
2000 model year or earlier certification. All new exhaust durability 
data must be

[[Page 1013]]

generated according to the provisions of paragraph (a)(1) of this 
section.
    (ii) The manufacturer shall exercise good engineering judgment when 
determining the eligibility to use carryover exhaust emission DF's and 
the selection of the vehicle used as the source of carryover.
    (iii) Starting with the 2004 model year, manufacturers must meet the 
provisions of paragraphs (a) and (b) of this section.
    (d) Data reporting requirements. Data reporting requirements are 
contained in Sec.  86.1844-01.
    (e) Emission component durability. The manufacturer shall use good 
engineering judgment to determine that all emission-related components 
are designed to operate properly for the full useful life of the 
vehicles in actual use.
    (f) In-use verification. The durability program must meet the 
requirements of Sec.  86.1845-01.
    (g) The manufacturer shall apply the approved durability process to 
a durability group, including durability groups in future model years, 
if the durability process will effectively predict (or alternatively, 
overstate) the deterioration of emissions in actual use over the full 
and intermediate useful life of candidate in-use vehicles. The 
manufacturer shall use good engineering judgment in determining the 
applicability of the durability program to a durability group.
    (1) The manufacturer may make modifications to an approved 
durability process using good engineering judgment for the purpose of 
ensuring that the modified process will effectively predict, (or 
alternatively, overstate) the deterioration of emissions in actual use 
over the full and intermediate useful life of candidate in-use vehicles.
    (2) The manufacturer shall notify the Administrator of its 
determination to use an approved (or modified) durability program on 
particular test groups and durability groups prior to emission data 
vehicle testing for the affected test groups (preferably at an annual 
preview meeting scheduled before the manufacturer begins certification 
activities for the model year).
    (3) Prior to certification, the Administrator may reject the 
manufacturer's determination in paragraph (g) of this section if it is 
not made using good engineering judgment or it fails to properly 
consider data collected under the provisions of Sec. Sec.  86.1845-01, 
86.1846-01, and 86.1847-01 or other information if the Administrator 
determines that the durability process has not been shown to effectively 
predict emission levels or compliance with the standards in use on 
candidate vehicles for particular test groups which the manufacturers 
plan to cover with the durability process.
    (h) The Administrator may withdraw approval to use a durability 
process or require modifications to a durability process based on the 
data collected under Sec. Sec.  86.1845-01, 86.1846-01, and 86.1847-01 
or other information if the Administrator determines that the durability 
processes have not been shown to accurately predict emission levels or 
compliance with the standards (or FEL, as applicable) in use on 
candidate vehicles (provided the inaccuracy could result in a lack of 
compliance with the standards for a test group covered by this 
durability process). Such withdrawals shall apply to future applications 
for certification and to the portion of the manufacturer's product line 
(or the entire product line) that the Administrator determines to be 
affected. Prior to such a withdrawal the Administrator shall give the 
manufacturer a preliminary notice at least 60 days prior to the final 
decision. During this period, the manufacturer may submit technical 
discussion, statistical analyses, additional data, or other information 
which is relevant to the decision. The Administrator will consider all 
information submitted by the deadline before reaching a final decision.
    (i) Any manufacturer may request a hearing on the Administrator's 
withdrawal of approval in paragraph (h) of this section. The request 
shall be in writing and shall include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data in support of such objection. If, after review of the request and 
supporting data, the Administrator finds that the request raises a 
substantial factual issue, she/he shall provide the manufacturer a 
hearing in

[[Page 1014]]

accordance with Sec.  86.1853-01 with respect to such issue.

[64 FR 23925, May 4, 1999, as amended at 65 FR 59974, Oct. 6, 2000; 72 
FR 8566, Feb. 26, 2007]



Sec.  86.1823-08  Durability demonstration procedures for exhaust emissions.

    This section describes durability demonstration procedures for 
exhaust emissions. Eligible small-volume manufacturers or small-volume 
test groups may optionally meet the requirements of Sec. Sec.  86.1826 
and 86.1838 instead of the requirements of paragraphs (a) through (m) of 
this section. A separate durability demonstration is required for each 
durability group.
    (a) Durability program objective. The durability program must 
predict an expected in-use emission deterioration rate and emission 
level that effectively represents a significant majority of the 
distribution of emission levels and deterioration in actual use over the 
full and intermediate useful life of candidate in-use vehicles of each 
vehicle design which uses the durability program.
    (b) Required durability demonstration. Manufacturers must conduct a 
durability demonstration for each durability group using a procedure 
specified in either paragraph (c), (d), or (e) of this section.
    (c) Standard whole-vehicle durability procedure. This procedure 
consists of conducting mileage accumulation and periodic testing on the 
durability data vehicle, selected under the provisions of Sec.  86.1822 
described as follows:
    (1) Mileage accumulation must be conducted using the standard road 
cycle (SRC). The SRC is described in appendix V of this part.
    (i) Mileage accumulation on the SRC may be conducted on a track or 
on a chassis mileage accumulation dynamometer. Alternatively, the entire 
engine and emission control system may be aged on an engine dynamometer 
using methods that will replicate the aging that occurs on the road for 
that vehicle following the SRC.
    (ii) The fuel used for mileage accumulation must comply with the 
mileage accumulation fuel provisions of Sec.  86.113 for the applicable 
fuel type (e.g., gasoline or diesel fuel).
    (iii) The DDV must be ballasted to a minimum of the loaded vehicle 
weight for light-duty vehicles and light light-duty trucks and a minimum 
of the ALVW for all other vehicles.
    (iv) The mileage accumulation dynamometer must be setup as follows:
    (A) The simulated test weight will be the equivalent test weight 
specified in Sec.  86.129 using a weight basis of the loaded vehicle 
weight for light-duty vehicles and ALVW for all other vehicles.
    (B) The road force simulation will be determined according to the 
provisions of Sec.  86.129.
    (C) The manufacturer will control the vehicle, engine, and/or 
dynamometer as appropriate to follow the SRC using good engineering 
judgement.
    (2) Mileage accumulation must be conducted for at least 75% of the 
applicable full useful life mileage period specified in Sec.  86.1805. 
If the mileage accumulation is less than 100% of the full useful life 
mileage, then the DF calculated according to the procedures of paragraph 
(f)(1)(ii) of this section must be based upon a line projected to the 
full-useful life mileage using the upper 80 percent statistical 
confidence limit calculated from the emission data.
    (3) If a manufacturer elects to calculate a DF pursuant to paragraph 
(f)(1) of this section, then it must conduct at least one FTP emission 
test at each of five different mileage points selected using good 
engineering judgement. Additional testing may be conducted by the 
manufacturer using good engineering judgement. The required testing must 
include testing at 5,000 miles and at the highest mileage point run 
during mileage accumulation (e.g. the full useful life mileage). 
Different testing plans may be used providing that the manufacturer 
determines, using good engineering judgement, that the alternative plan 
would result in an equivalent or superior level of confidence in the 
accuracy of the DF calculation compared to the testing plan specified in 
this paragraph.
    (d) Standard bench-aging durability procedure. This procedure is not 
applicable to diesel fueled vehicles or vehicles which do not use a 
catalyst as the principle after-treatment emission control device. This 
procedure requires installation of the catalyst-plus-oxygen-

[[Page 1015]]

sensor system on a catalyst aging bench. Aging on the bench is conducted 
by following the standard bench cycle (SBC) for the period of time 
calculated from the bench aging time (BAT) equation. The BAT equation 
requires, as input, catalyst time-at-temperature data measured on the 
SRC.
    (1) Standard bench cycle (SBC). Standard catalyst bench aging is 
conducted following the SBC
    (i) The SBC must be run for the period of time calculated from the 
BAT equation.
    (ii) The SBC is described in appendix VII to part 86.
    (2) Catalyst time-at-temperature data (i) Catalyst temperature must 
be measured during at least two full cycles of the SRC.
    (ii) Catalyst temperature must be measured at the highest 
temperature location in the hottest catalyst on the DDV. Alternatively, 
the temperature may be measured at another location providing that it is 
adjusted to represent the temperature measured at the hottest location 
using good engineering judgement.
    (iii) Catalyst temperature must be measured at a minimum rate of one 
hertz (one measurement per second).
    (iv) The measured catalyst temperature results must be tabulated 
into a histogram with temperature bins of no larger than 25 [deg]C.
    (3) Bench-aging time. Bench aging time is calculated using the bench 
aging time (BAT) equation as follows:

te for a temperature bin = th 
e((R/Tr)-(R/Tv))
Total te = Sum of te over all the temperature bins
Bench-Aging Time = A (Total te)


Where:

A = 1.1 This value adjusts the catalyst aging time to account for 
deterioration from sources other than thermal aging of the catalyst.
R = Catalyst thermal reactivity coefficient. You may use a default value 
of 17,500 for the SBC.
th = The time (in hours) measured within the prescribed 
temperature bin of the vehicle's catalyst temperature histogram adjusted 
to a full useful life basis e.g., if the histogram represented 400 
miles, and full useful life was 100,000 miles; all histogram time 
entries would be multiplied by 250 (100000/400).
Total te = The equivalent time (in hours) to age the catalyst 
at the temperature of Tr on the catalyst aging bench using 
the catalyst aging cycle to produce the same amount of deterioration 
experienced by the catalyst due to thermal deactivation over the 
vehicle's full useful life.
te for a bin = The equivalent time (in hours) to age the 
catalyst at the temperature of Tr on the catalyst aging bench 
using the catalyst aging cycle to produce the same amount of 
deterioration experienced by the catalyst due to thermal deactivation at 
the temperature bin of Tv over the vehicle's full useful 
life.
Tr = The effective reference temperature (in [deg]K) of the 
catalyst on the catalyst bench run on the bench aging cycle. The 
effective temperature is the constant temperature that would result in 
the same amount of aging as the various temperatures experienced during 
the bench aging cycle.
Tv = The mid-point temperature (in [deg]K) of the temperature 
bin of the vehicle on-road catalyst temperature histogram.

    (4) Effective reference temperature on the SBC. The effective 
reference temperature of the standard bench cycle (SBC) is determined 
for the actual catalyst system design and actual aging bench which will 
be used using the following procedures:
    (i) Measure time-at-temperature data in the catalyst system on the 
catalyst aging bench following the SBC.
    (A) Catalyst temperature must be measured at the highest temperature 
location of the hottest catalyst in the system. Alternatively, the 
temperature may be measured at another location providing that it is 
adjusted to represent the temperature measured at the hottest location 
using good engineering judgement.
    (B) Catalyst temperature must be measured at a minimum rate of one 
hertz (one measurement per second) during at least 20 minutes of bench 
aging.

[[Page 1016]]

    (C) The measured catalyst temperature results must be tabulated into 
a histogram with temperature bins of no larger than 10 [deg]C.
    (ii) The BAT equation must be used to calculate the effective 
reference temperature by iterative changes to the reference temperature 
(Tr) until the calculated aging time equals the actual time 
represented in the catalyst temperature histogram. The resulting 
temperature is the effective reference temperature on the SBC for that 
catalyst system and aging bench.
    (5) Catalyst Aging Bench. The manufacturer must design, using good 
engineering judgement, a catalyst aging bench that follows the SBC and 
delivers the appropriate exhaust flow, exhaust constituents, and exhaust 
temperature to the face of the catalyst.
    (i) A manufacturer may use the criteria and equipment discussed in 
appendix VIII to part 86 to develop its catalyst aging bench without 
prior Agency approval. The manufacturer may use another design that 
results in equivalent or superior results with advance Agency approval.
    (ii) All bench aging equipment and procedures must record 
appropriate information (such as measured A/F ratios and time-at-
temperature in the catalyst) to assure that sufficient aging has 
actually occurred.
    (6) Required Testing. If a manufacturer is electing to calculate a 
DF (as discussed in paragraph (f)(1) of this section), then it must 
conduct at least two FTP emissions tests on the DDV before bench aging 
of emission control hardware and at least two FTP emission tests on the 
DDV after the bench-aged emission hardware is re-installed. Additional 
testing may be conducted by the manufacturer using good engineering 
judgement.
    (e) Additional durability procedures--(1) Whole vehicle durability 
procedures. A manufacturer may use either a customized SRC or an 
alternative road cycle for the required durability demonstration, with 
prior EPA approval.
    (i) Customized SRC. A customized SRC is the SRC run for a different 
number of miles and/or using a different mileage accumulation fuel with 
higher levels of certain compounds that may lead to catalyst poisoning, 
such as phosphorus, sulfur and lead, than specified in paragraph 
(c)(1)(ii) of this section.
    (ii) Alternative road cycle. An alternative cycle is a whole vehicle 
mileage accumulation cycle that uses a different speed-versus-time trace 
than the SRC, conducted for either the full useful life mileage or for 
less than full useful life mileage. An alternative road cycle may also 
include the use of fuel with higher levels of certain compounds that may 
lead to catalyst poisoning, such as phosphorus, sulfur and lead, than 
specified in paragraph (c)(1)(ii) of this section.
    (iii) Approval criteria. The manufacturer must obtain approval from 
EPA prior to using a customized/alternative road cycle. EPA may approve 
a customized/alternative cycle when the manufacturer demonstrates that 
the cycle is expected to achieve the durability program objective of 
paragraph (a) of this section for the breadth of vehicles using the 
customized/alternative cycle. To obtain approval the manufacturer must 
submit all the following information and perform all the following 
analyses:
    (A) The manufacturer must supply in-use FTP emission data on past 
model year vehicles which are applicable to the vehicle designs it 
intends to cover with the customized/alternative cycle.
    (1) The amount of in-use emission data required to demonstrate the 
effectiveness of a customized/alternative cycle in meeting the 
durability objective is based on whether the customized/alternative 
cycle is more or less severe than the SRC. In most cases, EPA will 
accept a minimum of 20 candidate in-use vehicles tested as-received on 
the FTP cycle. If the customized/alternative cycle is significantly more 
severe than the SRC, EPA may accept less data. Conversely, if the 
customized/alternative cycle is significantly less severe than the SRC, 
EPA may require more data, up to a maximum of 30 vehicles.
    (2) This data set must consist of randomly procured vehicles from 
actual customer use. The vehicles selected for procurement must cover 
the breadth of the vehicles that the manufacturer intends to certify 
using the customized/alternative cycle. Vehicles should be

[[Page 1017]]

procured and FTP tested in as-received condition under the guidelines of 
the high mileage IUVP program (ref: 40 CFR 86.1845-04).
    (3) Manufacturers may use previously generated in-use data from the 
CAP 2000 IUVP or the RDP ``reality check'' in-use program as well as 
other sources of in-use emissions data for approval under this section.
    (4) Manufacturers must remove unrepresentative data from the data 
set using good engineering judgement. The manufacturer must provide EPA 
with the data removed from the analysis and a justification for the 
removal of that data.
    (5) Manufacturers may supply additional in-use data.
    (B) The manufacturer must submit an analysis which includes a 
comparison of the relative stringency of the customized/alternative 
cycle to the SRC and a calculated equivalency factor for the cycle.
    (1) The equivalency factor may be determined by an evaluation of the 
SRC and the customized/alternative cycle using catalyst time-at-
temperature data from both cycles with the BAT equation to calculate the 
required bench aging time of each cycle. Once the bench aging time is 
calculated for each cycle, the equivalency factor is the ratio described 
by dividing the bench aging time on the customized/alternative cycle by 
the bench aging time on the SRC.
    (2) If emissions data is available from the SRC, as well as time-at-
temperature data, then that emissions information may be included in the 
evaluation of the relative stringency of the two cycles and the 
development of the equivalency factor.
    (3) A separate equivalency factor may be determined for each test 
group, or test groups may be combined together (using good engineering 
judgement) to calculate a single equivalency factor.
    (C) The manufacturer must submit an analysis which evaluates whether 
the durability objective will be achieved for the vehicle designs which 
will be certified using the customized/alternative cycle. The analysis 
must address of the following elements:
    (1) How the durability objective has been achieved using the data 
submitted in paragraph (e)(1)(iii)(A) of this section.
    (2) How the durability objective will be achieved for the vehicle 
designs which will be covered by the customized/alternative cycle. This 
analysis should consider the emissions deterioration impact of the 
design differences between the vehicles included in the data set 
required in (e)(1)(iii)(A) of this section and the vehicle designs that 
the manufacturer intends to certify using the customized/alternative 
cycle.
    (2) Bench-aging durability procedures. A manufacturer may use a 
customized or alternative bench aging durability procedure for a 
required durability demonstration, if approved as described in 
paragraphs (e)(2)(i) through (vii) of this section. A customized/
alternative bench aging procedure must use vehicle performance data 
(such as catalyst temperature) measured on an approved road cycle as 
part of the algorithm to calculate bench aging time. The manufacturer 
must obtain approval from the Agency prior to using a customized bench 
durability procedure.
    (i) The lower control temperature on the SBC may be modified without 
prior EPA approval provided that the high control temperature is set 90 
[deg]C above the lower control temperature and an approved BAT equation 
is used to calculate bench aging time.
    (ii) The R-factor used in EPA's BAT equation may be determined 
experimentally using EPA's standard procedures (specified in appendix IX 
of this part) without prior EPA approval. Other experimental techniques 
to calculate the R-factor require advance EPA approval. To obtain 
approval, the manufacturer must demonstrate that the calculated bench 
aging time results in the same (or larger) amount of emission 
deterioration as the associated road cycle.
    (iii) The A-factor used in EPA's BAT equation may be modified, using 
good engineering judgement without prior EPA approval, to ensure that 
the modified durability process will achieve the durability objective of 
paragraph (a) of this section.

[[Page 1018]]

    (iv) Bench aging may be conducted using fuel with additional 
compounds that may lead to catalyst poisoning, such as phosphorus, 
sulfur or lead, without prior EPA approval. A manufacturer using fuel 
with these additional compounds may either calculate a new R-factor or 
A-factor to assure that the durability objective of paragraph (a) of 
this section is properly achieved regardless of the use of worst-case 
fuel, in which case the approval criteria for those changes would apply.
    (v) An approved customized/alternative road cycle may be used to 
develop catalyst temperature histograms for use in the BAT equation 
without additional EPA approval beyond the original approval necessary 
to use that cycle for mileage accumulation.
    (vi) A different bench cycle than the SBC may be used during bench 
aging with prior EPA approval. To obtain approval the manufacturer must 
demonstrate that bench aging for the appropriate time on the new bench 
cycle provides the same or larger amount of emission deterioration as 
the associated road cycle.
    (vii) A different method to calculate bench aging time may be used 
with prior EPA approval. To obtain approval the manufacturer must 
demonstrate that bench aging for the time calculated by the alternative 
method results in the same or larger amount of emission deterioration as 
the associated road cycle.
    (f) Use of deterioration program to determine compliance with the 
standard. A manufacturer may select from two methods for using the 
results of the deterioration program to determine compliance with the 
applicable emission standards. Either a deterioration factor (DF) is 
calculated and applied to the emission data vehicle (EDV) emission 
results or aged components are installed on the EDV prior to emission 
testing.
    (1) Deterioration factors. (i) Deterioration factors are calculated 
using all FTP emission test data generated during the durability testing 
program except as noted:
    (A) Multiple tests at a given mileage point are averaged together 
unless the same number of tests are conducted at each mileage point.
    (B) Before and after maintenance test results are averaged together.
    (C) Zero-mile test results are excluded from the calculation.
    (D) Total hydrocarbon (THC) test points beyond the 50,000-mile 
(useful life) test point are excluded from the intermediate useful life 
deterioration factor calculation.
    (E) A procedure may be employed to identify and remove from the DF 
calculation those test results determined to be statistical outliers 
providing that the outlier procedure is consistently applied to all 
vehicles and data points and is approved in advance by the 
Administrator.
    (ii) The deterioration factor must be based on a linear regression, 
or another regression technique approved in advance by the 
Administrator. The deterioration must be a multiplicative or additive 
factor. Separate factors will be calculated for each regulated emission 
constituent and for the full and intermediate useful life periods as 
applicable. Separate DF's are calculated for each durability group 
except as provided in Sec.  86.1839.
    (A) A multiplicative DF will be calculated by taking the ratio of 
the full or intermediate useful life mileage level, as appropriate 
(rounded to four decimal places), divided by the stabilized mileage 
(reference Sec.  86.1831-01(c), e.g., 4000-mile) level (rounded to four 
decimal places) from the regression analysis. The result must be rounded 
to three-decimal places of accuracy. The rounding required in this 
paragraph must be conducted in accordance with Sec.  86.1837. Calculated 
DF values of less than one must be changed to one for the purposes of 
this paragraph.
    (B) An additive DF will be calculated to be the difference between 
the full or intermediate useful life mileage level (as appropriate) 
minus the stabilized mileage (reference Sec.  86.1831-01(c), e.g. 4000-
mile) level from the regression analysis. The full useful life regressed 
emission value, the stabilized mileage regressed emission value, and the 
DF result must be rounded to the same precision and using the same 
procedures as the raw emission results according to the provisions of 
Sec.  86.1837-01. Calculated DF values of less than zero

[[Page 1019]]

must be changed to zero for the purposes of this paragraph.
    (iii) The DF calculated by these procedures will be used for 
determining full and intermediate useful life compliance with FTP 
exhaust emission standards, SFTP exhaust emission standards, and cold CO 
emission standards. At the manufacturer's option and using procedures 
approved by the Administrator, a separate DF may be calculated 
exclusively using cold CO test data to determine compliance with cold CO 
emission standards. Also at the manufacturer's option and using 
procedures approved by the Administrator, a separate DF may be 
calculated exclusively using US06 and/or air conditioning (SC03) test 
data to determine compliance with the SFTP emission standards.
    (2) Installation of aged components on emission data vehicles. For 
full and intermediate useful life compliance determination, the 
manufacturer may elect to install aged components on an EDV prior to 
emission testing rather than applying a deterioration factor. Different 
sets of components may be aged for full and intermediate useful life 
periods. Components must be aged using an approved durability procedure 
that complies with paragraph (b) of this section. The list of components 
to be aged and subsequently installed on the EDV must selected using 
good engineering judgement.
    (g) [Reserved]
    (h) Application of the durability procedure to future durability 
groups. The manufacturer may apply a durability procedure approved under 
paragraphs (c), (d) or (e) of this section to a durability group, 
including durability groups in future model years, if the durability 
process will achieve the objective of paragraph (a) of this section for 
that durability group. The manufacturer must use good engineering 
judgment in determining the applicability of an approved durability 
procedure to a durability group.
    (1) Modifications to a durability procedure. (i) Standard durability 
procedures. The manufacturer may modify a standard durability procedure 
(allowed in paragraphs (c) or (d) of this section) by increasing or 
decreasing the number of miles run on the SRC to represent full or 
intermediate useful life emissions deterioration or by changing the A-
Factor in the BAT equation for a bench aging, using good engineering 
judgment, to ensure that the modified procedure will achieve the 
objective of paragraph (a) of this section for that durability group.
    (ii) Customized/Alternative durability procedures. The manufacturer 
may modify an alternative/customized durability procedure approved under 
the provisions of paragraph (e) of this section, using good engineering 
judgment, for the purposes of ensuring that the modified procedure will 
achieve the objective of paragraph (a) of this section for that 
durability group.
    (2) The manufacturer must notify the Administrator of its 
determination to use an approved (or modified) durability procedure on 
particular test groups and durability groups prior to, or concurrently 
with, its submission of the Application for Certification for the 
affected test groups (notification at an annual preview meeting 
scheduled before the manufacturer begins certification activities for 
the model year is preferred).
    (3) Prior to certification, the Administrator may reject the 
manufacturer's determination in paragraph (h) of this section to apply 
an approved or modified durability procedure for a durability group or 
test group if:
    (i) It is not made using good engineering judgment,
    (ii) It fails to properly consider data collected under the 
provisions of Sec. Sec.  86.1845-04, 86.1846-01, and 86.1847-01 or other 
information, or
    (iii) The Administrator determines that the durability procedure has 
not been shown to achieve the objective of paragraph (a) of this section 
for particular test groups which the manufacturer plans to cover with 
the durability procedure.
    (i) Evaluation of the certification durability procedures based on 
in-use emissions data. (1) Manufacturers must use the information 
gathered from the IUVP, as well as other sources of in-use emissions 
data, to periodically review whether the durability procedure it employs 
achieves the objective specified in paragraph (a) of this section.

[[Page 1020]]

    (2) Required analysis of a manufacturer's approved durability 
procedures. (i) In addition to any periodic reviews under paragraph 
(i)(1) of this section, a manufacturer must conduct a review of whether 
the durability procedure it employs achieves the durability objective 
specified in paragraph (a) of this section when the criteria for 
additional testing specified in Sec.  86.1846 (b) are activated.
    (ii) These criteria are evaluated independently for all applicable 
FTP emission constituents.
    (iii) This analysis must be performed for each test group certified 
by the manufacturer.
    (iv) These procedures apply to the EPA standard durability 
procedures discussed in paragraphs (c) and (d) of this section as well 
as durability procedures approved under paragraph (e) of this section, 
including modifications under paragraph (h) of this section.
    (v) The analysis must be submitted to EPA no later than 60 days 
after the submission of the IUVP data report specified in Sec.  
86.1847(f).
    (3) EPA may require a manufacturer to perform an analysis as 
described in paragraph (i)(2) of this section if EPA is concerned that 
the manufacturer's durability procedure may not achieve the durability 
objective of paragraph (a) of this section.
    (j) If, based on the analysis required in paragraph (i) of this 
section and/or any other information, EPA determines that the durability 
procedure does not achieve the durability objective of paragraph (a) of 
this section, EPA may withdraw approval to use the durability procedure 
or condition approval on modifications to the durability procedure. Such 
withdrawal or conditional approval will apply to future applications for 
certification and to the portion of the manufacturer's product line (or 
the entire product line) that the Administrator determines to be 
affected. Prior to such a withdrawal the Administrator will give the 
manufacturer a preliminary notice at least 60 days prior to the final 
decision. During this period, the manufacturer may submit technical 
discussion, statistical analyses, additional data, or other information 
which is relevant to the decision. The Administrator will consider all 
information submitted by the deadline before reaching a final decision.
    (k) If EPA withdraws approval, under the provisions of paragraph (j) 
of this section, for a durability procedure approved under the 
provisions of paragraphs (c) and/or (d) of this section, the following 
procedures apply:
    (1) The manufacturer must select one of the following options for 
future applications for certification for the applicable portion of the 
manufacturers product-line affect by the Agency's decision:
    (i) Increase future DFs calculated using the applicable durability 
process by the average percent-difference between certification levels 
and IUVP data; or
    (ii) Increase the miles driven on the SRC or the aging time 
calculated by the BAT equation by the average percent-difference between 
certification levels and IUVP data, or
    (iii) The manufacturer may obtain approval for a new customized 
durability process, as allowed in paragraph (e) of this section, that 
has been demonstrated to meet the durability objective.
    (2) If EPA's decision to withdraw approval under the provisions of 
paragraph (j) of this section is based on fewer than 20 tests, the 
Administrator may require a smaller adjustment than specified in 
paragraph (k)(1)(i) or (ii) of this section.
    (l) Any manufacturer may request a hearing on the Administrator's 
withdrawal of approval in paragraphs (j) or (k) of this section. The 
request must be in writing and must include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data in support of such objection. If, after review of the request and 
supporting data, the Administrator finds that the request raises a 
substantial factual issue, she/he must provide the manufacturer a 
hearing in accordance with Sec.  86.1853-01 with respect to such issue.
    (m) Durability demonstration procedures for vehicles subject to the 
greenhouse gas exhaust emission standards specified in Sec.  86.1818. 
(1) CO2. (i) Unless otherwise specified under paragraph 
(m)(1)(ii) of this section, manufacturers

[[Page 1021]]

may use a multiplicative CO2 deterioration factor of one or 
an additive deterioration factor of zero to determine full useful life 
emissions for the FTP and HFET tests.
    (ii) Based on an analysis of industry-wide data, EPA may 
periodically establish and/or update the deterioration factor for 
CO2 emissions, including air conditioning and other credit-
related emissions. Deterioration factors established and/or updated 
under this paragraph (m)(1)(ii) will provide adequate lead time for 
manufacturers to plan for the change.
    (iii) Alternatively, manufacturers may use the whole-vehicle mileage 
accumulation procedures in Sec.  86.1823-08 (c) or (d)(1) to determine 
CO2 deterioration factors. In this case, each FTP test 
performed on the durability data vehicle selected under Sec.  86.1822 
must also be accompanied by an HFET test, and combined FTP/HFET 
CO2 results determined by averaging the city (FTP) and 
highway (HFET) CO2 values, weighted 0.55 and 0.45 
respectively. The deterioration factor will be determined for this 
combined CO2 value. Calculated multiplicative deterioration 
factors that are less than one shall be set to equal one, and calculated 
additive deterioration factors that are less than zero shall be set to 
zero.
    (iv) If, in the good engineering judgment of the manufacturer, the 
deterioration factors determined according to paragraphs (m)(1)(i), 
(m)(1)(ii), or (m)(1)(iii) of this section do not adequately account for 
the expected CO2 emission deterioration over the vehicle's 
useful life, the manufacturer may petition EPA to request a more 
appropriate deterioration factor.
    (2) N2O and CH4. (i) For manufacturers 
complying with the FTP emission standards for N2O and 
CH4 specified in Sec.  86.1818-12(f)(1) or determined under 
Sec.  86.1818-12(f)(3), FTP-based deterioration factors for 
N2O and CH4 shall be determined according to the 
provisions of paragraphs (a) through (l) of this section.
    (ii) For manufacturers complying with the fleet averaging option for 
N2O and CH4 as allowed under Sec.  86.1818-
12(f)(2), deterioration factors based on FTP testing shall be determined 
and may be used to determine full useful life emissions for the FTP and 
HFET tests. The manufacturer may at its option determine separate 
deterioration factors for the FTP and HFET test cycles, in which case 
each FTP test performed on the durability data vehicle selected under 
Sec.  86.1822 of this part must also be accompanied by an HFET test.
    (iii) For the 2012 through 2016 model years only, manufacturers may 
use alternative deterioration factors. For N2O, the 
alternative deterioration factor to be used to adjust FTP and HFET 
emissions is the deterioration factor determined for (or derived from, 
using good engineering judgment) NOX emissions according to 
the provisions of this section. For CH4, the alternative 
deterioration factor to be used to adjust FTP and HFET emissions is the 
deterioration factor determined for (or derived from, using good 
engineering judgment) NMOG or NMHC emissions according to the provisions 
of this section.
    (3) Other carbon-related exhaust emissions. FTP-based deterioration 
factors shall be determined for carbon-related exhaust emissions (CREE), 
hydrocarbons, and CO according to the provisions of paragraphs (a) 
through (l) of this section. The FTP-based deterioration factor shall be 
used to determine full useful life emissions for both the FTP (city) and 
HFET (highway) test cycles. The manufacturer may at its option determine 
separate deterioration factors for the FTP and HFET test cycles, in 
which case each FTP test performed on the durability data vehicle 
selected under Sec.  86.1822 must also be accompanied by an HFET test. 
In lieu of determining emission-specific deterioration factors for the 
specific hydrocarbons of CH3OH (methanol), HCHO 
(formaldehyde), C2H5OH (ethanol), and 
C2H4O (acetaldehyde) as may be required for some 
alternative fuel vehicles, manufacturers may use the additive or 
multiplicative deterioration factor determined for (or derived from, 
using good engineering judgment) NMOG or NMHC emissions according to the 
provisions of this section.
    (4) Air Conditioning leakage and efficiency or other emission credit 
requirements to comply with exhaust CO2 standards. 
Manufactures will attest to the

[[Page 1022]]

durability of components and systems used to meet the CO2 
standards. Manufacturers may submit engineering data to provide 
durability demonstration. Deterioration factors do not apply to 
emission-related components and systems used to generate air 
conditioning leakage and/or efficiency credits.
    (n) Emission component durability. [Reserved]. For guidance see 40 
CFR 86.1823-01(e).

[71 FR 2830, Jan. 17, 2006, as amended at 74 FR 61548, Nov. 25, 2009; 75 
FR 25688, May 7, 2010; 76 FR 39521, July 6, 2011; 76 FR 57378, Sept. 15, 
2011; 77 FR 63161, Oct. 15, 2012; 79 FR 23726, Apr. 28, 2014; 81 FR 
73991, Oct. 25, 2016]



Sec.  86.1824-01  Durability demonstration procedures 
for evaporative emissions.

    This section applies to gasoline-, methanol-, liquefied petroleum 
gas-, and natural gas-fueled LDV/Ts, MDPVs, complete heavy-duty 
vehicles, and heavy-duty vehicles certified under the provisions of 
Sec.  86.1801-01(c). The manufacturer shall determine a durability 
process that will predict the expected evaporative emission 
deterioration of candidate in-use vehicles over their full useful life. 
The manufacturer shall use good engineering judgment in determining this 
process.
    (a) Service accumulation method. (1) The manufacturer shall develop 
a service accumulation method designed to effectively predict the 
deterioration of candidate in-use vehicles' evaporative emissions in 
actual use over its full useful life. The manufacturer shall use good 
engineering judgement in developing this method.
    (2) The manufacturers may develop a service accumulation methods 
based upon whole-vehicle full-mileage accumulation, whole vehicle 
accelerated mileage accumulation (e.g., where 40,000 miles on a severe 
mileage accumulation cycle is equivalent to 100,000 miles of normal in-
use driving), bench aging of individual components or systems, or other 
approaches approved by the Administrator.
    (i) For whole vehicle mileage accumulation programs, all emission 
control components and systems (including both hardware and software) 
must be installed and operating for the entire mileage accumulation 
period.
    (ii) Bench procedures shall simulate the aging of components or 
systems over the applicable useful life and shall simulate driving 
patterns and vehicle operational environments found in actual use. For 
this purpose, manufacturers may remove the emission-related components 
(and other components), in whole or in part, from the durability vehicle 
itself and deteriorate them independently. Vehicle testing for the 
purpose of determining deterioration factors may include the testing of 
durability vehicles that incorporate such bench-aged components.
    (iii) For gasoline fueled vehicles certified to meet the evaporative 
emission standards set forth in Sec.  86.1811-04(e)(1), any service 
accumulation method for evaporative emissions must employ gasoline fuel 
for the entire service accumulation period which contains ethanol in, at 
least, the highest concentration permissible in gasoline under federal 
law and that is commercially available in any state in the United 
States. Unless otherwise approved by the Administrator, the manufacturer 
must determine the appropriate ethanol concentration by selecting the 
highest legal concentration commercially available during the calendar 
year before the one in which the manufacturer begins its service 
accumulation. The manufacturer must also provide information acceptable 
to the Administrator to indicate that the service accumulation method is 
of sufficient design, duration and severity to stabilize the 
permeability of all non-metallic fuel and evaporative system components 
to the service accumulation fuel constituents.
    (iv) For flexible-fueled, dual-fueled, multi-fueled, ethanol-fueled 
and methanol-fueled vehicles certified to meet the evaporative emission 
standards set forth in Sec.  86.1811-04(e)(1), any service accumulation 
method must employ fuel for the entire service accumulation period which 
the vehicle is designed to use and which the Administrator determines 
will have the greatest impact upon the permeability of evaporative and 
fuel system components. The manufacturer must also provide information 
acceptable to the Administrator to indicate that the

[[Page 1023]]

service accumulation method is of sufficient design, duration and 
severity to stabilize the permeability of all non-metallic fuel and 
evaporative system components to service accumulation fuel constituents.
    (v) A manufacturer may use other methods, based upon good 
engineering judgment, to meet the requirements of paragraphs (a)(2) 
(iii) and (iv) of this section, as applicable. These methods must be 
approved in advance by the Administrator and meet the objectives of 
paragraphs (a)(2) (iii) and (iv) of this section, as applicable: to 
provide assurance that the permeability of all non-metallic fuel and 
evaporative system components will not lead to evaporative emission 
standard exceedance under sustained exposure to commercially available 
alcohol-containing fuels for the useful life of the vehicle.
    (b) Vehicle/component selection method. The manufacturer shall 
determine a vehicle and component selection procedure which results in 
representative test vehicles and reflects good engineering judgment.
    (c) The manufacturer shall calculate a deterioration factor which is 
applied to the evaporative emission results of the emission data 
vehicles. The deterioration factor shall be based on a linear 
regression, or an other regression technique approved in advance by the 
Administrator. The DF will be calculated to be the difference between 
the full life mileage evaporative level minus the stabilized mileage 
(e.g., 4000-mile) evaporative level from the regression analysis. The DF 
and the full and stabilized mileage emission levels shall be rounded to 
two decimal places of accuracy in accordance with the Rounding-Off 
Method specified in ASTM E29-93a, Standard Practice for Using 
Significant Digits in Test Data to Determine Conformance with 
Specifications (incorporated by reference, see Sec.  86.1(b)(1). 
Calculated DF values of less than zero shall be changed to zero for the 
purposes of this paragraph.
    (d) Emission component durability. The manufacturer shall use good 
engineering judgment to determine that all emission-related components 
are designed to operate properly for the full useful life of the 
vehicles in actual use.
    (e) In-use verification. The durability program must meet the 
requirements of Sec.  86.1845-01.
    (f) Information obtained under Sec. Sec.  86.1845-01, 86.1846-01, 
86.1847-01 or from other sources shall be used by the manufacturer in 
developing new durability processes and/or updating existing durability 
processes using good engineering judgment.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6863, Feb. 10, 2000; 65 
FR 59974, Oct. 6, 2000]



Sec.  86.1824-07  Durability demonstration procedures 
for evaporative emissions.

    Sec.  86.1824-07 includes text that specifies requirements that 
differ from those specified in Sec.  86.1824-01. Where a paragraph in 
Sec.  86.1824-01 is identical and applicable to Sec.  86.1824-07, this 
may be indicated by specifying the corresponding paragraph and the 
statement ``[Reserved]. For guidance see Sec.  86.1824-01.''. This 
section applies to gasoline-, methanol-, natural gas- and liquefied 
petroleum gas-fueled LDV/Ts, MDPVs, and HDVs.
    (a) through (f) [Reserved]. For guidance see Sec.  86.1824-01.

[66 FR 5192, Jan. 18, 2001]



Sec.  86.1824-08  Durability demonstration procedures 
for evaporative emissions.

    This section describes durability demonstration procedures for 
evaporative emissions. Eligible small-volume manufacturers or small-
volume test groups may optionally meet the requirements of Sec. Sec.  
86.1826 and 86.1838 instead of the requirements of paragraphs (a) 
through (j) of this section. A separate durability demonstration is 
required for each evaporative/refueling family.
    (a) Durability program objective. The durability program must 
predict an expected in-use emission deterioration rate and emission 
level that effectively represents a significant majority of the 
distribution of emission levels and deterioration in actual use over the 
full useful life of candidate in-use vehicles of each vehicle design 
which uses the durability program. This requirement applies for all 
SHED-based measurements except the bleed emission test.

[[Page 1024]]

The standard for bleed emissions applies for the full useful life, but 
manufacturers do not need to establish deterioration factors for bleed 
emissions. The requirements of this section do not apply for spitback or 
leak standards.
    (b) Required durability demonstration. Manufacturers must conduct a 
durability demonstration which satisfies the provisions of either 
paragraph (c), (d), or (e) of this section.
    (c) Whole vehicle evaporative durability demonstration. (1) Mileage 
accumulation must be conducted using the SRC or any road cycle approved 
under the provisions of Sec.  86.1823(e)(1).
    (2) Mileage accumulation must be conducted for either:
    (i) The applicable full useful life mileage period specified in 
Sec.  86.1805, or
    (ii) At least 75 percent of the full useful life mileage. In which 
case, the manufacturer must calculate a df calculated according to the 
procedures of paragraph (f)(1)(ii) of this section, except that the DF 
must be based upon a line projected to the full-useful life mileage 
using the upper 80 percent statistical confidence limit calculated from 
the emission data.
    (3) The manufacturer must conduct at least one evaporative emission 
test at each of the five different mileage points selected using good 
engineering judgement. The required testing must include testing at 
5,000 miles and at the highest mileage point run during mileage 
accumulation (e.g. the full useful life mileage). Additional testing may 
be conducted by the manufacturer using good engineering judgement. The 
manufacturer may select to run either the 2-day and/or 3-day evaporative 
test at each test point using good engineering judgement.
    (d) Bench aging evaporative durability procedures. Manufacturers may 
use bench procedures designed, using good engineering judgement, to 
evaluate the emission deterioration of evaporative control systems. 
Manufacturers may base the bench procedure on an evaluation the 
following potential causes of evaporative emission deterioration:
    (1) Cycling of canister loading due to diurnal and refueling events,
    (2) Use of various commercially available fuels, including the Tier 
2 requirement to include alcohol fuel;
    (3) Vibration of components;
    (4) Deterioration of hoses, etc. due to environmental conditions; 
and
    (5) Deterioration of fuel cap due to wear.
    (e) Combined whole-vehicle and bench-aging programs. Manufacturers 
may combine the results of whole vehicle aging and bench aging 
procedures using good engineering judgement.
    (f) Fuel requirements. (1) For gasoline fueled vehicles certified to 
meet the evaporative emission standards set forth in this subpart, any 
mileage accumulation method for evaporative emissions must employ 
gasoline fuel for the entire mileage accumulation period which contains 
ethanol in, at least, the highest concentration permissible in gasoline 
under federal law and that is commercially available in any state in the 
United States. Unless otherwise approved by the Administrator, the 
manufacturer must determine the appropriate ethanol concentration by 
selecting the highest legal concentration commercially available during 
the calendar year before the one in which the manufacturer begins its 
mileage accumulation. The manufacturer must also provide information 
acceptable to the Administrator to indicate that the mileage 
accumulation method is of sufficient design, duration and severity to 
stabilize the permeability of all non-metallic fuel and evaporative 
system components to the mileage accumulation fuel constituents.
    (2) For flexible-fueled, dual-fueled, multi-fueled, ethanol-fueled 
and methanol-fueled vehicles certified to meet the evaporative emission 
standards set forth in Sec.  86.1811-04(e)(1), any mileage accumulation 
method must employ fuel for the entire mileage accumulation period which 
the vehicle is designed to use and which the Administrator determines 
will have the greatest impact upon the permeability of evaporative and 
fuel system components. The manufacturer must also provide information 
acceptable to the Administrator to indicate that the mileage 
accumulation method is of sufficient design, duration and severity to 
stabilize the permeability of all non-metallic fuel and evaporative 
system

[[Page 1025]]

components to mileage accumulation fuel constituents.
    (3) A manufacturer may use other methods, based upon good 
engineering judgment, to meet the requirements of paragraphs (f)(1) and 
(2) of this section, as applicable. These methods must be approved in 
advance by the Administrator and meet the objectives of paragraphs 
(f)(1) and (2) of this section, as applicable: to provide assurance that 
the permeability of all non-metallic fuel and evaporative system 
components will not lead to evaporative emission standard exceedance 
under sustained exposure to commercially available alcohol-containing 
fuels for the useful life of the vehicle.
    (g) Calculation of a deterioration factor. The manufacturer must 
calculate a deterioration factor which is applied to the evaporative 
emission results of the emission data vehicles. The deterioration factor 
must be based on a linear regression, or an other regression technique 
approved in advance by the Administrator. The DF will be calculated to 
be the difference between the full life mileage evaporative level minus 
the stabilized mileage (e.g., 4000-mile) evaporative level from the 
regression analysis. The full useful life regressed emission value, the 
stabilized mileage regressed emission value, and the DF result must be 
rounded to the same precision and using the same procedures as the raw 
emission results according to the provisions of Sec.  86.1837-01. 
Calculated DF values of less than zero must be changed to zero for the 
purposes of this paragraph.
    (h) [Reserved]
    (i) If EPA determines based on IUVP data or other information that 
the durability procedure does not achieve the durability objective of 
paragraph (a) of this section, EPA may withdraw approval to use the 
durability procedure or condition approval on modifications to the 
durability procedure. Such withdrawal or conditional approval will apply 
to future applications for certification and to the portion of the 
manufacturer's product line (or the entire product line) that the 
Administrator determines to be affected. Prior to such a withdrawal the 
Administrator will give the manufacturer a preliminary notice at least 
60 days prior to the final decision. During this period, the 
manufacturer may submit technical discussion, statistical analyses, 
additional data, or other information which is relevant to the decision. 
The Administrator will consider all information submitted by the 
deadline before reaching a final decision.
    (j) Any manufacturer may request a hearing on the Administrator's 
withdrawal of approval in paragraph (i) of this section. The request 
must be in writing and must include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data in support of such objection. If, after review of the request and 
supporting data, the Administrator finds that the request raises a 
substantial factual issue, she/he must provide the manufacturer a 
hearing in accordance with Sec.  86.1853-01 with respect to such issue.
    (k) Emission component durability. [Reserved]. For guidance see 40 
CFR 86.1824-01(d).

[71 FR 2834, Jan. 17, 2006, as amended at 79 FR 23726, Apr. 28, 2014]



Sec.  86.1825-01  Durability demonstration procedures for refueling emissions.

    This section applies to light-duty vehicles, light-duty trucks, and 
complete heavy-duty vehicles, and heavy-duty vehicles which are 
certified under light-duty rules as allowed under the provisions of 
Sec.  86.1801-01(c) which are subject to refueling loss emission 
compliance. Refer to the provisions of Sec. Sec.  86.1811-01, 86.1811-
04, 86.1812-01, 86.1813-01, and 86.1816-04 to determine applicability of 
the refueling standards to different classes of vehicles for various 
model years. Diesel fuel vehicles may qualify for an exemption to the 
requirements of this section under the provisions of Sec.  86.1810. The 
manufacturer shall determine a durability process that will predict the 
expected refueling emission deterioration of candidate in-use vehicles 
over their full useful life. The manufacturer shall use good engineering 
judgment in determining this process.
    (a) Service accumulation method. (1) The manufacturer shall develop 
a service accumulation method designed to effectively predict the 
deterioration of candidate in-use vehicles' refueling

[[Page 1026]]

loss emissions in actual use over its full useful life. The manufacturer 
shall use good engineering judgement in developing this method.
    (2) The manufacturers may develop a service accumulation methods 
based upon whole-vehicle full-mileage accumulation, whole vehicle 
accelerated mileage accumulation (e.g., where 40,000 miles on a severe 
mileage accumulation cycle is equivalent to 100,000 miles of normal in-
use driving), bench aging of individual components or systems, or other 
approaches approved by the Administrator.
    (i) For whole vehicle mileage accumulation programs, all emission 
control components and systems (including both hardware and software) 
must be installed and operating for the entire mileage accumulation 
period.
    (ii) Bench procedures shall simulate the aging of components or 
systems over the applicable useful life and shall simulate driving 
patterns and vehicle operational environments found in actual use. For 
this purpose, manufacturers may remove the emission-related components 
(and other components), in whole or in part, from the durability vehicle 
itself and deteriorate them independently. Vehicle testing for the 
purpose of determining deterioration factors may include the testing of 
durability vehicles that incorporate such bench-aged components.
    (b) Vehicle/component selection method. The manufacturer shall 
determine a vehicle and component selection procedure which results in 
representative test vehicles and reflects good engineering judgment.
    (c) The manufacturer shall calculate a deterioration factor which is 
applied to the refueling emission results of the emission data vehicles. 
The deterioration factor shall be based on a linear regression, or an 
other regression technique approved in advance by the Administrator. The 
DF will be calculated to be the difference between the full life mileage 
refueling loss emission level minus the stabilized mileage (e.g., 4000-
mile) refueling loss emission level from the regression analysis. The DF 
and the full and stabilized mileage emission levels shall be rounded to 
two decimal places of accuracy in accordance with the Rounding-Off 
Method specified in ASTM E29-93a, Standard Practice for Using 
Significant Digits in Test Data to Determine Conformance with 
Specifications (incorporated by reference, see Sec.  86.1(b)(1). 
Calculated DF values of less than zero shall be changed to zero for the 
purposes of this paragraph.
    (d) The durability process described in paragraph (a) of this 
section must be described in the application for certification under the 
provisions of Sec.  86.1844-01.
    (e) Emission component durability. The manufacturer shall use good 
engineering judgment to determine that all emission-related components 
are designed to operate properly for the full useful life of the 
vehicles in actual use.
    (f) In-use verification. The durability program must meet the 
requirements of Sec.  86.1845-01.
    (g) Information obtained under Sec. Sec.  86.1845-01, 86.1846-01, 
86.1847-01 or from other sources shall be used by the manufacturer in 
developing new durability processes and/or updating existing durability 
processes using good engineering judgment.

[64 FR 23925, May 4, 1999, as amended at 65 FR 59974, Oct. 6, 2000]



Sec.  86.1825-08  Durability demonstration procedures for refueling emissions.

    This section applies to 2008 and later model year light-duty 
vehicles, light-duty trucks, and heavy-duty vehicles which are certified 
under light-duty rules as allowed under the provisions of Sec.  86.1801-
01(c)(1) which are subject to refueling loss emission compliance. 
Optionally, a manufacturer may elect to use this section for earlier 
model year light-duty vehicles, light-duty trucks, and heavy-duty 
vehicles which are certified under light-duty rules as allowed under the 
provisions of Sec.  86.1801-01(c)(1) which are subject to refueling loss 
emission compliance. Refer to the provisions of Sec. Sec.  86.1811, 
86.1812, 86.1813, 86.1814, and 86.1815 to determine applicability of the 
refueling standards to different classes of vehicles for various model 
years. Diesel fuel vehicles may qualify for an exemption to the 
requirements of this section under the provisions of Sec.  86.1810.

[[Page 1027]]

    (a) Durability program objective. The durability program must 
predict an expected in-use emission deterioration rate and emission 
level that effectively represents a significant majority of the 
distribution of emission levels and deterioration in actual use over the 
full useful life of candidate in-use vehicles of each vehicle design 
which uses the durability program.
    (b) Required durability demonstration. Manufacturers must conduct a 
durability demonstration which satisfies the provisions of either 
paragraph (c), (d), or (e) of this section.
    (c) Whole vehicle refueling durability demonstration. The following 
procedures must be used when conducting a whole vehicle durability 
demonstration:
    (1) Mileage accumulation must be conducted using the SRC or a road 
cycle approved under the provisions of Sec.  86.1823(e)(1).
    (2) Mileage accumulation must be conducted for either:
    (i) The applicable full useful life mileage period specified in 
Sec.  86.1805, or
    (ii) At least 75 percent of the full useful life mileage. In which 
case, the manufacturer must calculate a df calculated according to the 
procedures of paragraph (f)(1)(ii) of this section, except that the DF 
must be based upon a line projected to the full-useful life mileage 
using the upper 80 percent statistical confidence limit calculated from 
the emission data.
    (3) The manufacturer must conduct at least one refueling emission 
test at each of the five different mileage points selected using good 
engineering judgement. The required testing must include testing at 
5,000 miles and at the highest mileage point run during mileage 
accumulation (e.g. the full useful life mileage). Additional testing may 
be conducted by the manufacturer using good engineering judgement.
    (d) Bench aging refueling durability procedures. Manufacturers may 
use bench procedures designed, using good engineering judgement, to 
evaluate the emission deterioration of evaporative/refueling control 
systems. Manufacturers may base the bench procedure on an evaluation the 
following potential causes of evaporative/refueling emission 
deterioration:
    (1) Cycling of canister loading due to diurnal and refueling events;
    (2) Use of various commercially available fuels, including the Tier 
2 requirement to include alcohol fuel;
    (3) Vibration of components;
    (4) Deterioration of hoses, etc. due to environmental conditions; 
and
    (5) Deterioration of fuel cap due to wear.
    (e) Combined whole-vehicle and bench-aging programs. Manufacturers 
may combine the results of whole vehicle aging and bench aging 
procedures using good engineering judgement.
    (f) [Reserved]
    (g) Calculation of a deterioration factor. The manufacturer must 
calculate a deterioration factor which is applied to the evaporative 
emission results of the emission data vehicles. The deterioration factor 
must be based on a linear regression, or an other regression technique 
approved in advance by the Administrator. The DF will be calculated to 
be the difference between the full life mileage evaporative level minus 
the stabilized mileage (e.g., 4000-mile) evaporative level from the 
regression analysis. The full useful life regressed emission value, the 
stabilized mileage regressed emission value, and the DF result must be 
rounded to the same precision and using the same procedures as the raw 
emission results according to the provisions of Sec.  86.1837-01. 
Calculated DF values of less than zero must be changed to zero for the 
purposes of this paragraph.
    (h) Emission component durability. [Reserved]. For guidance see 40 
CFR 86.1845-01 (e).
    (i) If EPA determines based on IUVP data or other information that 
the durability procedure does not achieve the durability objective of 
paragraph (a) of this section, EPA may withdraw approval to use the 
durability procedure or condition approval on modifications to the 
durability procedure. Such withdrawal or conditional approval will apply 
to future applications for certification and to the portion of the 
manufacturer's product line (or the entire product line) that the 
Administrator determines to be affected. Prior to such a withdrawal the 
Administrator will give the manufacturer a preliminary notice at least 
60 days prior to the final

[[Page 1028]]

decision. During this period, the manufacturer may submit technical 
discussion, statistical analyses, additional data, or other information 
which is relevant to the decision. The Administrator will consider all 
information submitted by the deadline before reaching a final decision.
    (j) Any manufacturer may request a hearing on the Administrator's 
withdrawal of approval in paragraph (i) of this section. The request 
must be in writing and must include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data in support of such objection. If, after review of the request and 
supporting data, the Administrator finds that the request raises a 
substantial factual issue, she/he must provide the manufacturer a 
hearing in accordance with Sec.  86.1853-01 with respect to such issue.

[71 FR 2835, Jan. 17, 2006]



Sec.  86.1826-01  Assigned deterioration factors for small-volume 
manufacturers and small-volume test groups.

    (a) Applicability. This program is an option available for small-
volume manufacturers and small-volume test groups as described in Sec.  
86.1838.
    (b) Determination of deterioration factors. No service accumulation 
method or vehicle/component selection method is required. Deterioration 
factors for all types of regulated emissions are assigned using the 
provisions in this paragraph (b). A separate assigned deterioration 
factor is required for each durability group. Manufacturers shall use 
good engineering judgment in applying deterioration factors. 
Manufacturers may use assigned deterioration factors that the 
Administrator determines and prescribes.
    (1) The deterioration factors will be the Administrator's estimate, 
periodically updated and published in a guidance document, of the 70th 
percentile deterioration factors calculated using the industry-wide 
database of previously completed durability data vehicles or engines 
used for certification.
    (2) The Administrator may use discretion to develop assigned 
deterioration factors using alternative methods if there is insufficient 
information to calculate an appropriate industry-wide deterioration 
factor (for example: a new engine technology coupled with a proven 
emission control system). These methods may include the use of assigned 
deterioration factors based on similar durability vehicles.
    (3) Alternatively, with advance approval from the Administrator, a 
manufacturer may use deterioration factors developed by another 
manufacturer. The manufacturer seeking to use these deterioration 
factors must--
    (i) Demonstrate that the engines from the two manufacturers share 
technical parameters to the degree that would support the conclusion 
that a common deterioration factor should apply for both vehicle 
configurations as defined in Sec.  86.1803.
    (ii) Provide supporting information, such as histograms of exhaust 
temperature data, comparisons of vehicle weight and road load 
horsepower, or comparisons of powertrains and emission control systems.

[79 FR 23726, Apr. 28, 2014]



Sec.  86.1827-01  Test group determination.

    This section applies to the grouping of vehicles into test groups 
within a durability group. The vehicles covered by an application within 
a durability group shall be divided into test groups based on the 
following criteria. The manufacturer shall use good engineering judgment 
in grouping vehicles into test groups.
    (a) To be included in the same test group, vehicles must be 
identical in all following respects:
    (1) Durability group;
    (2) Engine displacement (within a total band width of 15 percent of 
the largest displacement or 50 CID, whichever is larger);
    (3) Number of cylinders or combustion chambers;
    (4) Arrangement of cylinders or combustion chambers (e.g. in-line, 
v-shaped);
    (5) Subject to the same emission standards (except for 
CO2), or FEL in the case of cold temperature NMHC standards, 
except that a manufacturer may request to group vehicles into the same 
test group as vehicles subject to more stringent standards, so long as 
all the vehicles within the test group are

[[Page 1029]]

certified to the most stringent standards applicable to any vehicle 
within that test group. Light-duty trucks and light-duty vehicles may be 
included in the same test group if all vehicles in the test group are 
subject to the same emission standards, with the exception of the 
CO2 standard and/or the total HC standard.
    (b) Where vehicles are of a type which cannot be divided into test 
groups based on the criteria listed above (such as non-cylinder 
engines), the Administrator will establish test groups for those 
vehicles based upon the features most related to their exhaust emission 
characteristics.
    (c) Manufacturers may further divide groups determined under 
paragraph (a) of this section providing the Administrator is notified in 
advance of any such changes in writing.
    (d) Manufacturers may request the Administrator's approval to 
combine vehicles into a single test group which would normally not be 
eligible to be in a single test group. The petition should provide:
    (1) Substantial evidence that all the vehicles in the larger 
grouping will have the similar levels of emissions;
    (2) Evidence of equivalent component durability over the vehicle's 
useful life;
    (3) Evidence that the groups will result in sufficient in-use 
verification program data, appropriate tracking in use, and clear 
liability for the Agency's recall program; and
    (4) A statement that all vehicles within a test group are certified 
to the most stringent standards applicable to any vehicle within that 
test group.
    (e) Unless otherwise approved by the Administrator, a manufacturer 
of hybrid electric vehicles must create separate test groups based on 
both the type of battery technology employed by the HEV and upon 
features most related to their exhaust emission characteristics.
    (f) Unless otherwise approved by the Administrator, a manufacturer 
of electric vehicles must create separate test groups based on the type 
of battery technology, the capacity and voltage of the battery, and the 
type and size of the electric motor.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6864, Feb. 10, 2000; 65 
FR 59974, Oct. 6, 2000; 72 FR 8566, Feb. 26, 2007; 75 FR 25689, May 7, 
2010]



Sec.  86.1828-01  Emission data vehicle selection.

    (a) FTP and SFTP testing. Within each test group, the vehicle 
configuration shall be selected which is expected to be worst-case for 
exhaust emission compliance on candidate in-use vehicles, considering 
all exhaust emission constituents, all exhaust test procedures, and the 
potential impact of air conditioning on test results. The selected 
vehicle will include an air conditioning engine code unless the worst-
case vehicle configuration selected is not available with air 
conditioning. This vehicle configuration will be used as the EDV 
calibration.
    (b) Evaporative/Refueling testing. Vehicles of each evaporative/
refueling family will be divided into evaporative/refueling emission 
control systems.
    (1) The vehicle configuration expected to exhibit the highest 
evaporative and/or refueling emission on candidate in-use vehicles shall 
be selected for each evaporative/refueling family and evaporative 
refueling emission system combination from among the corresponding 
vehicles selected for FTP and SFTP testing under paragraph (a) of this 
section. Separate vehicles may be selected to be tested for evaporative 
and refueling testing.
    (2) Each test group must be represented by both evaporative and 
refueling testing (provided that the refueling standards are applicable) 
before it may be certified. That required testing may have been 
conducted on a vehicle in another test group provided the tested vehicle 
is a member of the same evaporative/refueling family and evaporative/
refueling emission system combination and it was selected for testing in 
accordance with the provisions of paragraph (b)(1) of this section.
    (3) For evaporative/refueling emission testing, the vehicle(s) 
selected shall be equipped with the worst-case evaporative/refueling 
emission hardware available on that vehicle considering such items as 
canister size and

[[Page 1030]]

material, fuel tank size and material, purge strategy and flow rates, 
refueling characteristics, and amount of vapor generation.
    (c) Cold CO testing. For cold temperature CO exhaust emission 
compliance for each durability group, the vehicle expected to emit the 
highest CO emissions at 20 degrees F on candidate in-use vehicles shall 
be selected from the test vehicles selected in accordance with paragraph 
(a) of this section.
    (d) [Reserved]
    (e) The manufacturer may select, using good engineering judgement, 
an equivalent or worst-case configuration in lieu of testing the vehicle 
selected in paragraphs (a) through (d) of this section. Carryover data 
satisfying the provisions of Sec.  86.1839-01 may also be used in lieu 
of testing the configuration selected in paragraphs (a) through (d) of 
this section.
    (f) The manufacturer shall use good engineering judgment in making 
selections of vehicles under this section.
    (g) Cold temperature NMHC testing. For cold temperature NMHC exhaust 
emission compliance for each durability group, the manufacturer must 
select the vehicle expected to emit the highest NMHC emissions at 20 
[deg]F on candidate in-use vehicles from the test vehicles specified in 
paragraph (a) of this section. When the expected worst-case cold 
temperature NMHC vehicle is also the expected worst-case cold 
temperature CO vehicle as selected in paragraph (c) of this section, 
then cold temperature testing is required only for that vehicle; 
otherwise, testing is required for both the worst-case cold temperature 
CO vehicle and the worst-case cold temperature NMHC vehicle.

[64 FR 23925, May 4, 1999, as amended at 79 FR 23726, Apr. 28, 2014]



Sec.  86.1829-01  Durability and emission testing requirements; waivers.

    (a) Durability demonstration. (1) One durability demonstration is 
required for each durability group.
    (2) The configuration of the DDV is determined according to the 
provisions of Sec.  86.1822-01.
    (3) The DDV shall be tested and accumulate service mileage according 
to the provisions of Sec. Sec.  86.1831-01, 86.1823, 86.1824 and 
86.1825. Small volume manufacturers and small volume test groups may 
optionally meet the requirements of Sec.  86.1838-01.
    (b) Emissions demonstration--(1) FTP and SFTP Exhaust Testing--(i) 
Testing at low altitude. One EDV shall be tested in each test group for 
exhaust emissions using the FTP and SFTP test procedures of subpart B of 
this part and the HFET test procedure of subpart B of part 600 of this 
chapter. The configuration of the EDV will be determined under the 
provisions of Sec.  86.1828-01 of this subpart.
    (ii) Testing at high altitude. For high-altitude exhaust emission 
compliance for each test group, the manufacturer shall follow one of the 
following two procedures:
    (A) One EDV shall be tested in each test group for exhaust emissions 
using the FTP test procedures of subpart B of this part. The 
configuration of the EDV will be determined under the provisions of 
Sec.  86.1828-01; or
    (B) In lieu of testing vehicles according to the provisions of 
paragraph (b)(1)(ii)(A) of this section, a manufacturer may provide a 
statement in its application for certification that, based on the 
manufacturer's engineering evaluation of appropriate high-altitude 
emission testing, all light-duty vehicles, light-duty trucks, and 
complete heavy-duty vehicles comply with the emission standards at high 
altitude.
    (iii) Data submittal waivers. (A) In lieu of testing a methanol-
fueled diesel-cycle light truck for particulate emissions a manufacturer 
may provide a statement in its application for certification that such 
light trucks comply with the applicable standards. Such a statement 
shall be based on previous emission tests, development tests, or other 
appropriate information and good engineering judgment.
    (B) In lieu of testing an Otto-cycle light-duty vehicle, light-duty 
truck, or heavy-duty vehicle for particulate emissions for 
certification, a manufacturer may provide a statement in its application 
for certification that such vehicles comply with the applicable 
standards. Such a statement must be

[[Page 1031]]

based on previous emission tests, development tests, or other 
appropriate information and good engineering judgment.
    (C) [Reserved]
    (D) A manufacturer may petition the Administrator to waive the 
requirement to measure particulate emissions when conducting Selective 
Enforcement Audit testing of Otto-cycle vehicles.
    (E) In lieu of testing a gasoline, diesel, natural gas, liquefied 
petroleum gas, or hydrogen fueled Tier 2 or interim non-Tier 2 vehicle 
for formaldehyde emissions when such vehicles are certified based upon 
NMHC emissions, a manufacturer may provide a statement in its 
application for certification that such vehicles comply with the 
applicable standards. Such a statement must be based on previous 
emission tests, development tests, or other appropriate information and 
good engineering judgment.
    (F) In lieu of testing a petroleum-, natural gas-, liquefied 
petroleum gas-, or hydrogen-fueled heavy-duty vehicle for formaldehyde 
emissions for certification, a manufacturer may provide a statement in 
its application for certification that such vehicles comply with the 
applicable standards. Such a statement must be based on previous 
emission tests, development tests, or other appropriate information and 
good engineering judgment.
    (G) For the 2012 through 2016 model years, in lieu of testing a 
vehicle for N2O emissions, a manufacturer may provide a 
statement in its application for certification that such vehicles comply 
with the applicable standards. Such a statement may also be used for 
2017 and 2018 model year vehicles only if the application for 
certification for those vehicles is based upon data carried over from a 
prior model year, as allowed under this subpart. No 2019 and later model 
year vehicles may be waived from testing for N2O emissions. 
Such a statement must be based on previous emission tests, development 
tests, or other appropriate information and good engineering judgment. 
Vehicles certified to N2O standards using a compliance 
statement in lieu of submitting test data are not required to collect 
and submit N2O emission data under the in-use verification 
testing requirements of Sec.  86.1845.
    (2) Evaporative/Refueling testing. Vehicles of each evaporative/
refueling family will be divided into evaporative/refueling emission 
control systems. Applicability of the refueling test requirements of 
this paragraph shall be determined in accordance with the applicability 
of the refueling loss standards under the provisions of Sec.  86.1810.
    (i) Testing at low altitude. One EDV in each evaporative/refueling 
family and evaporative/refueling emission control system combination 
must be tested in accordance with the evaporative/refueling test 
procedure requirement of subpart B of this part. The configuration of 
the EDV will be determined under the provisions of Sec.  86.1828-01. The 
EDV must also be tested for exhaust emission compliance using the FTP 
and SFTP procedures of subpart B of this part. In lieu of testing 
natural gas or hydrogen fueled vehicles to demonstrate compliance with 
the evaporative and refueling emission standards specified in this 
subpart, a manufacturer may provide a statement in its application for 
certification that, based on the manufacturer's engineering evaluation 
of appropriate testing and/or design parameters, all light-duty 
vehicles, light-duty trucks, and complete heavy-duty vehicles comply 
with applicable emission standards. This same testing exemption applies 
for vehicles fueled by liquefied petroleum gas, except that refueling 
tests are required for systems that allow venting during the refueling 
operation.
    (ii) Testing at high altitude. For high-altitude evaporative and/or 
refueling emission compliance for each evaporative/refueling family, the 
manufacturer shall follow one of the following two procedures:
    (A) One EDV in each evaporative/refueling family and evaporative/
refueling emission control system combination shall be tested in 
accordance with the evaporative/refueling test procedure requirement of 
subpart B of this part. The configuration of the EDV will be determined 
under the provisions of Sec.  86.1824-01. The EDV must also be tested 
for exhaust emissions using the FTP procedures of subpart B of this part 
while operated at high altitude; or

[[Page 1032]]

    (B) In lieu of testing vehicles according to the provisions of 
paragraph (b)(2)(ii)(A) of this section, a manufacturer may provide a 
statement in its application for certification that, based on the 
manufacturer's engineering evaluation of such high-altitude emission 
testing as the manufacturer deems appropriate, all light-duty vehicles, 
light-duty trucks, and complete heavy-duty vehicles comply with the 
emission standards at high altitude.
    (iii) Optional waiver of two-diurnal evaporative certification test 
for gasoline- and ethanol-fueled vehicles. In lieu of testing gasoline-
fueled and ethanol-fueled vehicles for the supplemental two-diurnal test 
sequence according to the provisions of paragraphs (b)(2)(i) and 
(b)(2)(ii) of this section, a manufacturer may optionally provide a 
statement of compliance in its application for certification that, based 
on the manufacturer's good engineering judgement, all light-duty 
vehicles, light-duty trucks and complete heavy-duty vehicles in the 
applicable evaporative/refueling emission family comply with the 
evaporative emission standard for the supplemental two-diurnal test 
sequence.
    (A) The option to provide a statement of compliance in lieu of 2-
diurnal evaporative certification test data outlined in paragraph 
(b)(2)(iii) of this section is limited to vehicles with conventional 
evaporative emission control systems (as determined by the 
Administrator). This option may be used for vehicles in evaporative/
refueling families which are certified to the applicable two-diurnal, 
three-diurnal, running loss, and refueling emission standards. EPA may 
perform confirmatory 2-diurnal evaporative emission testing on 
certification test vehicles which are certified using this option (even 
though the manufacturer may not have performed a 2-diurnal evaporative 
test during the certification process). If data shows noncompliance, 
noncompliance will be addressed through 86.1851. As well, if data shows 
noncompliance, EPA may not normally allow for subsequent waivers for the 
applicable evaporative family.
    (B) Manufacturers shall supply information if requested by EPA in 
support of the statement of compliance outlined in paragraph (b)(2)(iii) 
of this section. This information shall include evaporative calibration 
information for the emission-data test vehicle and for other vehicles in 
the evaporative/refueling family, including, but not limited to, 
canister type, canister volume, canister working capacity, fuel tank 
volume, fuel tank geometry, the type of fuel delivery system (return, 
returnless, variable flow fuel pump, etc.), a description of the input 
parameters and software strategy used to control the evaporative 
canister purge, the nominal purge flow volume (in bed volumes) when 
vehicles are driven over the 2-diurnal (FTP) driving cycle, the nominal 
purge flow volume (in bed volumes) when vehicles are driven over the 3-
diurnal (FTP + running loss) driving cycle, and other supporting 
information as necessary to demonstrate that the purge flow rate 
calibration on the 2-diurnal test sequence is adequate to comply with 
the evaporative emission standard for the supplemental two-diurnal test 
sequence.
    (iv) For diesel-fueled light-duty vehicles, a manufacturer may 
provide a statement in the application for certification that vehicles 
comply with the refueling emission standard instead of submitting test 
data. Such a statement must be based on previous emission tests, 
development tests, or other appropriate information, and good 
engineering judgment.
    (3) Cold temperature CO and cold temperature NMHC Testing. The 
manufacturer must test one EDV in each durability group for cold 
temperature CO and cold temperature NMHC exhaust emission compliance in 
accordance with the test procedures in subpart C of this part or with 
alternative procedures approved in advance by the Administrator. The 
selection of which EDV and test group within the durability group will 
be tested for cold temperature CO and cold temperature NMHC compliance 
will be determined under the provisions of Sec.  86.1828-10(c) and (g).
    (4) Electric vehicles and fuel cell vehicles. For electric vehicles 
and fuel cell vehicles, manufacturers may provide a statement in the 
application for certification that vehicles comply with all

[[Page 1033]]

the requirements of this subpart instead of submitting test data. Such a 
statement must be based on previous emission tests, development tests, 
or other appropriate information, and good engineering judgment.
    (5) Idle CO testing. To determine idle CO emission compliance for 
light-duty trucks and complete heavy-duty vehicles, the manufacturer 
shall follow one of the following two procedures:
    (i) For test groups containing light-duty trucks and complete heavy-
duty vehicles, each EDV shall be tested in accordance with the idle CO 
testing procedures of subpart B of this part; or
    (ii) In lieu of testing light trucks and complete heavy-duty 
vehicles for idle CO emissions, a manufacturer may provide a statement 
in its application for certification that, based on the manufacturer's 
engineering evaluation of such idle CO testing as the manufacturer deems 
appropriate, all light-duty trucks and complete heavy-duty vehicles 
comply with the idle CO emission standards.
    (c) Running change testing. Running change testing shall be 
conducted as required under the provisions of Sec.  86.1842-01.
    (d) [Reserved]

[64 FR 23925, May 4, 1999, as amended at 65 FR 6864, Feb. 10, 2000; 65 
FR 59975, Oct. 6, 2000; 66 FR 5193, Jan. 18, 2001; 66 FR 19310, Apr. 13, 
2001; 70 FR 72929, Dec. 8, 2005; 71 FR 2836, Jan. 17, 2006; 72 FR 8566, 
Feb. 26, 2007; 75 FR 25689, May 7, 2010; 76 FR 19874, Apr. 8, 2011; 77 
FR 63161, Oct. 15, 2012; 79 FR 23726, Apr. 28, 2014]



Sec.  86.1829-15  Durability and emission testing requirements; waivers.

    This section describes general testing requirements for certifying 
vehicles under this subpart, and includes several provisions allowing 
for statements of compliance instead of testing in certain 
circumstances. Where a manufacturer provides a statement instead of test 
data under this section, it must be based on previous emission tests, 
development tests, or other appropriate information, and on good 
engineering judgment.
    (a) One durability demonstration is required for each durability 
group. The configuration of the DDV is determined according to Sec.  
86.1822. The DDV shall be tested and accumulate service mileage 
according to the provisions of Sec. Sec.  86.1823, 86.1824, 86.1825, and 
86.1831. Small-volume manufacturers and small-volume test groups may 
optionally use the alternative durability provisions of Sec.  86.1838.
    (b) The manufacturer must test EDVs as follows to demonstrate 
compliance with emission standards:
    (1) Test one EDV in each durability group using the test procedures 
in 40 CFR part 1066 to demonstrate compliance with cold temperature CO 
and NMHC exhaust emission standards.
    (2) Test one EDV in each test group using the FTP, SFTP, and HFET 
test procedures in 40 CFR part 1066 to demonstrate compliance with other 
exhaust emission standards.
    (3) Test one EDV in each evaporative/refueling family and 
evaporative/refueling emission control system combination using the test 
procedures in subpart B of this part to demonstrate compliance with 
evaporative and refueling emission standards.
    (c) The manufacturer must demonstrate compliance with emission 
standards at low-altitude conditions as described in paragraph (b) of 
this section. For standards that apply at high-altitude conditions, the 
manufacturer may either perform the same tests or provide a statement in 
the application for certification that, based on an engineering 
evaluation of appropriate testing to measure or simulate high-altitude 
emissions, all vehicles comply with applicable emission standards at 
high altitude.
    (d) Manufacturers may omit exhaust testing for certification in 
certain circumstances as follows:
    (1) For vehicles subject to the Tier 3 PM standards in Sec.  
86.1811, a manufacturer may provide a statement in the application for 
certification that vehicles comply with applicable PM standards instead 
of submitting PM test data for a certain number of vehicles. However, 
each manufacturer must test vehicles from a minimum number of durability 
groups as follows:
    (i) Manufacturers with a single durability group subject to the Tier 
3 PM standards in Sec.  86.1811 must submit PM test data for that group.
    (ii) Manufacturers with two to eight durability groups subject to 
the Tier 3

[[Page 1034]]

PM standards in Sec.  86.1811 must submit PM test data for at least two 
durability groups each model year. EPA will work with the manufacturer 
to select durability groups for testing, with the general expectation 
that testing will rotate to cover a manufacturer's whole product line 
over time. If a durability group has been certified in an earlier model 
year based on submitted PM data, and that durability group is eligible 
for certification using carryover test data, that carryover data may 
count toward meeting the requirements of this paragraph (d)(1), subject 
to the selection of durability groups.
    (iii) Manufacturers with nine or more durability groups subject to 
the Tier 3 PM standards in Sec.  86.1811 must submit PM test data for at 
least 25 percent of those durability groups each model year. We will 
work with the manufacturer to select durability groups for testing as 
described in paragraph (d)(1)(ii) of this section.
    (2) Small-volume manufacturers may provide a statement in the 
application for certification that vehicles comply with the applicable 
PM standard instead of submitting test data.
    (3) Manufacturers may omit PM measurements for fuel economy and GHG 
testing conducted in addition to the testing needed to demonstrate 
compliance with the PM emission standards.
    (4) Manufacturers may provide a statement in the application for 
certification that vehicles comply with the applicable formaldehyde 
standard instead of submitting test data.
    (5) When conducting Selective Enforcement Audit testing, a 
manufacturer may petition the Administrator to waive the requirement to 
measure PM emissions and formaldehyde emissions.
    (6) For model years 2012 through 2016, a manufacturer may provide a 
statement in its application for certification that vehicles comply with 
the applicable standards instead of measuring N2O emissions. 
Such a statement may also be used for model year 2017 and 2018 vehicles 
only if the application for certification for those vehicles is based 
upon data carried over from a prior model year, as allowed under this 
subpart. No model year 2019 and later vehicles may be waived from 
testing for N2O emissions. Vehicles certified to 
N2O standards using a compliance statement instead of 
submitting test data are not required to collect and submit 
N2O emission data under the in-use testing requirements of 
Sec.  86.1845.
    (e) Manufacturers may omit evaporative or refueling testing for 
certification in certain circumstances as follows:
    (1) For diesel-fueled vehicles, a manufacturer may provide a 
statement in the application for certification that vehicles comply with 
the refueling emission standard instead of submitting test data.
    (2) For vehicles fueled by natural gas, a manufacturer may provide a 
statement in the application for certification that vehicles comply with 
evaporative emission standards instead of submitting test data. 
Compressed natural gas vehicles meeting the requirements for fueling 
connection devices in Sec.  86.1813-17(f)(1) are deemed to comply with 
evaporative and refueling emission standards.
    (3) For vehicles fueled by liquefied petroleum gas, a manufacturer 
may provide a statement in the application for certification that 
vehicles comply with evaporative and refueling emission standards 
instead of submitting test data, except that refueling tests are 
required for systems that allow venting during the refueling operation.
    (4) Manufacturers may provide a statement in the application for 
certification that vehicles comply with the leak standard in Sec.  
86.1813 instead of submitting test data.
    (5) For vehicles certified to the refueling emission standards in 
Sec. Sec.  86.1811 or 86.1813, a manufacturer may provide a statement in 
the application for certification that vehicles comply with the fuel 
dispensing spitback standard instead of submitting test data.
    (6) In lieu of testing vehicles for the supplemental two-diurnal 
test sequence, a manufacturer may optionally provide a statement of 
compliance in its application for certification that, based on the 
manufacturer's good engineering judgment, all vehicles in the 
evaporative/refueling emission family comply with the evaporative 
emission

[[Page 1035]]

standard for the supplemental two-diurnal test sequence.
    (i) The option to provide a statement of compliance in lieu of 2-
diurnal evaporative certification test data is limited to vehicles with 
conventional evaporative emission control systems (as determined by the 
Administrator). EPA may perform confirmatory 2-diurnal evaporative 
emission testing on test vehicles certified using this option. If data 
shows noncompliance, it will be addressed through Sec.  86.1851. Also, 
if data shows noncompliance, EPA will generally disallow subsequent 
waivers for the applicable evaporative family.
    (ii) Manufacturers shall supply information if requested by EPA in 
support of the statement of compliance described in this paragraph 
(e)(6). This information shall include evaporative calibration 
information for the emission-data vehicle and for other vehicles in the 
evaporative/refueling family, including, but not limited to, canister 
type, canister volume, canister working capacity, canister shape and 
internal configuration, fuel tank volume, fuel tank geometry, the type 
of fuel delivery system (return, returnless, variable flow fuel pump, 
etc.), a description of the input parameters and software strategy used 
to control the evaporative canister purge, the nominal purge flow volume 
(in bed volumes) when vehicles are driven over the 2-diurnal (FTP) 
driving cycle, the nominal purge flow volume (in bed volumes) when 
vehicles are driven over the 3-diurnal (FTP + running loss) driving 
cycle, and other supporting information as necessary to demonstrate that 
the purge flow rate calibration on the 2-diurnal test sequence is 
adequate to comply with the evaporative emission standard for the 
supplemental two-diurnal test sequence.
    (7) Where a California evaporative emission standard is at least as 
stringent as a comparable federal evaporative emission standard for a 
vehicle, we may accept test data demonstrating compliance with the 
California standard as demonstrating compliance with the comparable 
standard under this subpart. We may require you to provide test data 
clearly demonstrating that a vehicle tested using the California-
specified test procedures will meet the comparable standard under this 
subpart when tested using the test procedures specified in this part.
    (8) Through model year 2019, we may accept test data demonstrating 
compliance with the California refueling emission standard as 
demonstrating compliance with the analogous refueling emission standard 
under this subpart if all the following conditions apply:
    (i) You certified the vehicles in model year 2016 to California's 
refueling emission standards.
    (ii) You are certifying the vehicles to refueling standards for the 
new model year based on carryover data instead of performing new 
testing.
    (iii) You are also certifying the vehicles for evaporative emissions 
based on California test procedures under the provisions of paragraph 
(e)(6) of this section.
    (9) For complete vehicles above 10,000 pounds GVWR with fuel tanks 
exceeding 35 gallons nominal fuel tank capacity, and for any incomplete 
vehicles above 10,000 pounds GVWR, a manufacturer may provide a 
statement in the application for certification that vehicles comply with 
refueling emission standards instead of submitting test data, consistent 
with 40 CFR 1037.103(c).
    (f) For electric vehicles and fuel cell vehicles, manufacturers may 
provide a statement in the application for certification that vehicles 
comply with all the requirements of this subpart instead of submitting 
test data. Tailpipe emissions of regulated pollutants from vehicles 
powered solely by electricity are deemed to be zero.

[79 FR 23727, Apr. 28, 2014, as amended at 80 FR 9108, Feb. 19, 2015]



Sec.  86.1830-01  Acceptance of vehicles for emission testing.

    (a) General test vehicle requirements. (1) All test vehicles shall 
be tested in the proper configurations as specified in Sec.  86.1822-01, 
Sec.  86.1828-01, or Sec.  86.1842-01, as applicable for the type of 
test conducted.
    (2) Components affecting emissions which are used to build test 
vehicles shall either be randomly selected production parts or parts 
verified to be in

[[Page 1036]]

the middle 50 percent of the tolerance range. The manufacturer will 
determine which components affect emissions using good engineering 
judgment.
    (3) Test vehicles must have air conditioning installed and 
operational if that configuration is available with air conditioning. 
Optional equipment must be installed or represented on test vehicles 
according to the provisions of Sec.  86.1832-01.
    (4) Test vehicles must receive proper scheduled maintenance as 
established by the manufacturer according to the provisions of Sec.  
86.1834-01(b) or (c). Unscheduled maintenance must be approved under the 
provisions of Sec.  86.1834-01(d).
    (5) Vehicle mileage shall be accumulated in accordance with Sec.  
86.1831-01.
    (6) The road load forces and equivalent test weight used during 
testing will be determined according to the provisions of Sec.  86.129-
00.
    (7) Test vehicles shall have the appropriate emission testing 
hardware installed (e.g., exhaust pipe testing flange, fuel tank drain, 
access ports to evaporative canisters, and fuel tank heat blanket) and 
shall have tires with appropriate tire wear.
    (b) Special provisions for durability data vehicles. (1) For DDV's, 
the mileage at all test points shall be within 250 miles of the 
scheduled mileage point as required under Sec.  86.1823-08(c)(3). 
Manufacturers may exceed the 250 mile upper limit if there are 
logistical reasons for the deviation and the manufacturer determines 
that the deviation will not affect the representativeness of the 
durability demonstration.
    (2) For DDV's aged using the standard or a customized/alternative 
whole-vehicle cycle, all emission-related hardware and software must be 
installed and operational during all mileage accumulation after the 
5000-mile test point.
    (3) DDV's may be reconfigured before the 5000-mile test point 
providing that the representativeness of the emission results will not 
be affected. Manufacturers shall use good engineering judgment in making 
such determinations.
    (c) Special provisions for emission data vehicles. (1) All EDV's 
shall have at least the minimum number of miles accumulated to achieve 
stabilized emission results according to the provisions of Sec.  
86.1831-01(c).
    (2) Within a durability group, the manufacturer may alter any 
emission data vehicle (or other vehicles such as current or previous 
model year emission data vehicles, running change vehicles, fuel economy 
data vehicles, and development vehicles) in lieu of building a new test 
vehicle providing that the modification will not impact the 
representativeness of the vehicle's test results. Manufacturers shall 
use good engineering judgment in making such determinations. Development 
vehicles which were used to develop the calibration selected for 
emission data testing may not be used as the EDV for that configuration. 
Vehicles from outside the durability group may be altered with advance 
approval of the Administrator.
    (3) Components used to reconfigure EDV's under the provisions of 
paragraph (c)(2) of this section must be appropriately aged if necessary 
to achieve representative emission results. Manufacturers must determine 
the need for component aging and the type and amount of aging required 
using good engineering judgment.
    (4) Bench-aged hardware may be installed on an EDV for emission 
testing as a method of determining certification levels (projected 
emission levels at full or intermediate useful life) using bench aging 
procedures under the provisions of Sec.  86.1823.

[64 FR 23925, May 4, 1999, as amended at 71 FR 2836, Jan. 17, 2006]



Sec.  86.1831-01  Mileage accumulation requirements for test vehicles.

    (a) Durability Data Vehicles. (1) The manufacturer must accumulate 
mileage on DDV's using the procedures in Sec.  86.1823.
    (2) All tests required by this subpart on durability data vehicles 
shall be conducted within 250 miles of each of the nominal test point 
mileage. This 250 mile test point mileage 
tolerance may be modified with the advance approval of the Administrator 
if the basis for the written request is to prevent an

[[Page 1037]]

interruption of durability mileage accumulation due to test scheduling 
conflicts for weekends, holidays, or other similar circumstances.
    (b) Emission data vehicles and running change vehicles. (1) The 
standard method of mileage accumulation for emission data vehicles and 
running change vehicles is mileage accumulation using either the 
Standard Road Cycle specified in appendix V to this part or the 
Durability Driving Schedule specified in appendix IV to this part.
    (2) The manufacturer may use an alternative mileage accumulation 
method providing the form and extent of the service accumulation 
represents normal driving patterns for that vehicle, the method is 
consistent with good engineering judgment, and the method is described 
in the application for certification.
    (3) Except with the advance approval of the Administrator, all 
vehicles will accumulate mileage at a measured curb weight which is 
within 100 pounds of the estimated curb weight. If the loaded vehicle 
weight is within 100 pounds of being included in the next higher inertia 
weight class as specified in Sec.  86.129, the manufacturer may elect to 
conduct the respective emission tests at higher loaded vehicle weight.
    (c) The manufacturer shall determine the mileage at which the 
emission control system and engine combination is stabilized for 
emission-data testing. The manufacturer shall provide to the 
Administrator if requested, a record of the analysis used in making this 
determination. The manufacturer may elect to accumulate 2,000 miles 
(3,219 kilometers) or more on each test vehicle without making a 
determination. The manufacturer must accumulate a minimum of 1,000 miles 
(1,608 kilometers) on each emission data vehicle.
    (d) All test vehicle mileage must be accurately determined, 
recorded, and reported to the Administrator upon request.

[64 FR 23925, May 4, 1999, as amended at 71 FR 2836, Jan. 17, 2006]



Sec.  86.1832-01  Optional equipment and air conditioning for test vehicles.

    For test vehicles selected under Sec. Sec.  86.1822-01 and 86.1828-
01:
    (a)(1) Where it is expected that more than 33 percent of a car line, 
within a test group, will be equipped with an item (whether that item is 
standard equipment or an option), the full estimated weight of that item 
must be included in the curb weight computation for each vehicle 
available with that item in that car line, within that test group.
    (2) Where it is expected that 33 percent or less of the car line, 
within a test group, will be equipped with an item (whether that item is 
standard equipment or an option), no weight for that item will be added 
in computing the curb weight for any vehicle in that car line, within 
that test group, unless that item is standard equipment on the vehicle.
    (3) In the case of mutually exclusive options, only the weight of 
the heavier option will be added in computing the curb weight.
    (4) Optional equipment weighing less than three pounds per item need 
not be considered.
    (b)(1) Where it is expected that more than 33 percent of a car line, 
within a test group, will be equipped with an item (whether that item is 
standard equipment or an option) that can reasonably be expected to 
influence emissions, then such items must actually be installed (unless 
excluded under paragraph (b)(2) of this section) on all emission data 
and durability data vehicles of that car line, within that test group, 
on which the items are intended to be offered in production. Items that 
can reasonably be expected to influence emissions include, but are not 
limited to: air conditioning, power steering, and power brakes.
    (2) If the manufacturer determines by test data or engineering 
evaluation that the actual installation of the optional equipment 
required by paragraph (b)(1) of this section does not affect the 
emissions or fuel economy values, the optional equipment need not be 
installed on the test vehicle.
    (3) The weight of the options must be included in the design curb 
weight and must also be represented in the weight of the test vehicles.
    (4) The engineering evaluation, including any test data, used to 
support the deletion of optional equipment

[[Page 1038]]

from test vehicles, shall be maintained by the manufacturer and be made 
available to the Agency upon request by the Administrator within 15 
business days.
    (c) Except for air conditioning, where it is expected that 33 
percent or less of a car line, within a test group, will be equipped 
with an item (whether that item is standard equipment or an option) that 
can reasonably be expected to influence emissions, that item may not be 
installed on any emission data vehicle or durability data vehicle of 
that car line within that test group, unless that item is standard 
equipment on that vehicle or specifically required by the Administrator.
    (d) Air conditioning must be installed and operational on any 
emission data vehicle of any vehicle configuration that is projected to 
be available with air conditioning regardless of the rate of 
installation of air conditioning within the car line. Paragraphs (a) 
through (c) of this section will be used to determine whether the weight 
of the air conditioner will be included in the equivalent test weight 
calculations for emission testing.



Sec.  86.1833-01  Adjustable parameters.

    (a) At the time that emission data vehicles are selected for the 
test fleet, a determination shall be made of those vehicle or engine 
parameters which will be subject to adjustment for certification, 
Selective Enforcement Audit and Production Compliance Audit testing, the 
adequacy of the limits, stops, seals, or other means used to inhibit 
adjustment, and the resulting physically adjustable ranges for each such 
parameter. The manufacturer shall use good engineering judgment in 
making such determinations and shall notify the Administrator of its 
determinations prior to emission data vehicle testing for the affected 
test groups (preferably at an annual preview meeting scheduled before 
the manufacturer begins certification activities for the model year).
    (1) Determining parameters subject to adjustment. (i) The following 
parameters may be subject to adjustment: the idle fuel-air mixture 
parameter on Otto-cycle vehicles; the choke valve action parameter(s) on 
carbureted, Otto-cycle vehicles (or engines); or any parameter on any 
vehicle (Otto-cycle or diesel) which is physically capable of being 
adjusted, may significantly affect emissions, and was not present on the 
manufacturer's vehicles (or engines) in the previous model year in the 
same form and function.
    (ii) Any other parameters on any vehicle or engine which are 
physically capable of being adjusted and which may significantly affect 
emissions may be determined to be subject to adjustment. However, the 
Administrator may do so only if he/she has previously notified the 
manufacturer that he/she might do so and has found, at the time he/she 
gave this notice, that the intervening period would be adequate to 
permit the development and application of the requisite technology, 
giving appropriate consideration to the cost of compliance within such 
period. In no event will this notification be given later than September 
1 of the calendar year two years prior to the model year.
    (iii) In determining the parameters subject to adjustment, the 
following shall be taken into consideration: the likelihood that, for 
each of the parameters listed in paragraphs (e)(1) (i) and (ii) of this 
section, settings other than the manufacturer's recommended setting will 
occur on in-use vehicles (or engines). In determining likelihood, such 
factors may be considered as information contained in the preliminary 
application, surveillance information from similar in-use vehicles, the 
difficulty and cost of gaining access to an adjustment, damage to the 
vehicle if an attempt is made to gain such access and the need to 
replace parts following such attempt, and the effect of settings other 
than the manufacturer's recommended setting on vehicle performance 
characteristics including emission characteristics.
    (2)(i) A parameter may be determined to be adequately inaccessible 
or sealed if:
    (A) In the case of an idle mixture screw, the screw is recessed 
within the carburetor casting and sealed with lead, thermosetting 
plastic, or an inverted elliptical spacer or sheared off after 
adjustment at the factory, and the inaccessibility is such that the

[[Page 1039]]

screw cannot be accessed and/or adjusted with simple tools in one-half 
hour or for $20 (1978 dollars) or less;
    (B) In the case of a choke bimetal spring, the plate covering the 
bimetal spring is riveted or welded in place, or held in place with 
nonreversible screws;
    (C) In the case of a parameter which may be adjusted by elongating 
or bending adjustable members (e.g., the choke vacuum break), the 
elongation of the adjustable member is limited by design or, in the case 
of a bendable member, the member is constructed of a material which when 
bent would return to its original shape after the force is removed 
(plastic or spring steel materials);
    (D) In the case of any parameter, the manufacturer demonstrates that 
adjusting the parameter to settings other than the manufacturer's 
recommended setting takes more than one-half hour or costs more than $20 
(1978 dollars).
    (ii) A physical limit or stop shall be determined to be an adequate 
restraint on adjustability if:
    (A) In the case of a threaded adjustment, the threads are 
terminated, pinned, or crimped so as to prevent additional travel 
without breakage or need for repairs which take more than one-half hour 
or cost more than $20 (1978 dollars);
    (B) The adjustment is ineffective at the end of the limits of travel 
regardless of additional forces or torques applied to the adjustment;
    (C) The manufacturer demonstrates that travel or rotation limits 
cannot be exceeded with the use of simple and inexpensive tools 
(screwdriver, pliers, open-end or box wrenches, etc.) without incurring 
significant and costly damage to the vehicle or control system or 
without taking more than one-half hour or costing more than $20 (1978 
dollars).
    (iii) If manufacturer service manuals or bulletins describe routine 
procedures for gaining access to a parameter or for removing or 
exceeding a physical limit, stop, seal or other means used to inhibit 
adjustment, or if surveillance data indicate that gaining access, 
removing, or exceeding is likely, paragraphs (a)(2)(i) and (ii) of this 
section shall not apply for that parameter.
    (iv) In determining the adequacy of a physical limit, stop, seal, or 
other means used to inhibit adjustment of a parameter not covered by 
paragraph (a)(2)(i) or (ii) of this section, the following shall be 
considered: the likelihood that it will be circumvented, removed, or 
exceeded on in-use vehicles. In determining likelihood, such factors may 
be considered as, but not limited to, information contained in the 
preliminary application; surveillance information from similar in-use 
vehicles; the difficulty and cost of circumventing, removing, or 
exceeding the limit, stop, seal, or other means; damage to the vehicle 
if an attempt is made to circumvent, remove, or exceed it and the need 
to replace parts following such attempt; and the effect of settings 
beyond the limit, stop, seal, or other means on vehicle performance 
characteristics other than emission characteristics.
    (v) In the case of electronic components on circuit boards (such as 
onboard computers) the board is covered with an epoxy resin which 
inhibits the access to components on the board (commonly referred to as 
potting).
    (3) Two physically adjustable ranges shall be determined for each 
parameter subject to adjustment:
    (i)(A) In the case of a parameter determined to be adequately 
inaccessible or sealed, the following may be included within the 
physically adjustable range applicable to testing under this subpart: 
all settings within the production tolerance associated with the nominal 
setting for that parameter, as specified by the manufacturer in the 
application for certification or other information; or
    (B) In the case of other parameters, all settings within physical 
limits or stops determined to be adequate restraints on adjustability 
shall be included within this range. The production tolerances on the 
location of these limits or stops may be included when determining the 
physically adjustable range.
    (ii)(A) In the case of a parameter determined to be adequately 
inaccessible or sealed, only the actual settings to which the parameter 
is adjusted during production shall be included within the physically 
adjustable range applicable

[[Page 1040]]

to testing under subparts G or K (Selective Enforcement Audit and 
Production Compliance Audit) of this part; or
    (B) In the case of other parameters, all settings within physical 
limits or stops determined to be adequate restraints on adjustability, 
as they are actually located on the test vehicle, shall be included 
within the range.
    (b) In lieu of making the determinations required in paragraph (a) 
of this section, the manufacturer may request a determination be made by 
the Administrator prior to emission testing. In that case, all the 
information discussed in paragraph (a) of this section shall be provided 
to the Administrator. The Administrator will respond within 90 days 
(excluding the elapsed time during which additional information 
requested by the Administrator is being gathered by the manufacturer) 
following the receipt of the request for determination.
    (c) If the Administrator determines that the decisions made by the 
manufacturer under the provisions of paragraph (a) of this section were 
not made using good engineering judgment, the Administrator will 
overrule the manufacturers' decisions and conduct testing for 
Certification, Selective Enforcement Audit and/or Production Compliance 
Audit purposes by adjusting parameters according to his/her 
determination of those vehicle or engine parameters subject to 
adjustment, the adequacy of the limits, stops, seals, or other means 
used to inhibit adjustment, and the resulting physically adjustable 
ranges for each such parameter. Furthermore, the Administrator may 
reject testing performed by the manufacturer which failed to follow his/
her determinations.
    (d) Within 30 days following receipt of notification of the 
Administrator's determinations made under paragraph (b) or (c) of this 
section, the manufacturer may request a hearing on the Administrator's 
determinations. The request shall be in writing, signed by an authorized 
representative of the manufacturer, and shall include a statement 
specifying the manufacturer's objections to the Administrator's 
determinations, and data in support of such objections. If, after review 
of the request and supporting data, the Administrator finds that the 
request raises a substantial factual issue, he shall provide the 
manufacturer a hearing in accordance with Sec.  86.1853-01 with respect 
to such issue.



Sec.  86.1834-01  Allowable maintenance.

    (a) Maintenance performed on vehicles, engines, subsystems, or 
components used to determine exhaust, evaporative or refueling emission 
deterioration factors, as appropriate, is classified as either emission-
related or non-emission-related and each of these can be classified as 
either scheduled or unscheduled. Further, some emission-related 
maintenance is also classified as critical emission-related maintenance.
    (b) This section specifies emission-related scheduled maintenance 
for purposes of obtaining durability data and for inclusion in 
maintenance instructions furnished to purchasers of new motor vehicles 
and under Sec.  86.1808-01.
    (1) All emission-related scheduled maintenance for purposes of 
obtaining durability data must occur at the same mileage intervals (or 
equivalent intervals if engines, subsystems, or components are used) 
that will be specified in the manufacturer's maintenance instructions 
furnished to the ultimate purchaser of the motor vehicle or engine under 
Sec.  86.1808-01. This maintenance schedule may be updated as necessary 
throughout the testing of the vehicle/engine, provided that no 
maintenance operation is deleted from the maintenance schedule after the 
operation has been performed on the test vehicle or engine.
    (2) Any emission-related maintenance which is performed on vehicles, 
engines, subsystems, or components must be technologically necessary to 
assure in-use compliance with the emission standards. Manufacturers 
shall determine the technological need for maintenance using good 
engineering judgment. The Administrator has determined that emission-
related maintenance at shorter intervals than those outlined in 
paragraphs (b)(3) and (4) of this section is not technologically 
necessary to ensure in-use compliance. However, the Administrator may 
determine that maintenance even more restrictive (e.g., longer 
intervals) than that listed in

[[Page 1041]]

paragraphs (b)(3) and (4) of this section is also not technologically 
necessary.
    (3) Emission-related maintenance in addition to, or at shorter 
intervals than, that listed in paragraphs (b)(3)(i) through (vi) of this 
section will not be accepted as technologically necessary, except as 
provided in paragraph (b)(7) of this section.
    (i)(A) The cleaning or replacement of light-duty vehicle or light-
duty truck spark plugs shall occur at 30,000 miles of use and at 30,000-
mile intervals thereafter.
    (B) The cleaning or replacement of complete heavy-duty vehicle spark 
plugs shall occur at 25,000 miles (or 750 hours) of use and at 30,000-
mile (or 750 hour) intervals thereafter, for vehicles certified for use 
with unleaded fuel only.
    (ii) For light-duty vehicles and light-duty trucks, the adjustment, 
cleaning, repair, or replacement of the following items shall occur at 
50,000 miles of use and at 50,000-mile intervals thereafter:
    (A) Positive crankcase ventilation valve.
    (B) Emission-related hoses and tubes.
    (C) Ignition wires.
    (D) Idle mixture.
    (iii) For complete heavy-duty vehicles, the adjustment, cleaning, 
repair, or replacement of the following items shall occur at 50,000 
miles (or 1,500 hours) of use and at 50,000-mile (1,500 hour) intervals 
thereafter:
    (A) Positive crankcase ventilation valve.
    (B) Emission-related hoses and tubes.
    (C) Ignition wires.
    (D) Idle mixture.
    (E) Exhaust gas recirculation system related filters and coolers.
    (iv) For light-duty trucks, light-duty vehicles, and complete heavy-
duty vehicles, the adjustment, cleaning, repair, or replacement of the 
oxygen sensor shall occur at 80,000 miles (or 2,400 hours) of use and at 
80,000-mile (or 2,400-hour) intervals thereafter.
    (v) For light-duty trucks and light-duty vehicles, the adjustment, 
cleaning, repair, or replacement of the following items shall occur at 
100,000 miles of use and at 100,000-mile intervals thereafter:
    (A) Catalytic converter.
    (B) Air injection system components.
    (C) Fuel injectors.
    (D) Electronic engine control unit and its associated sensors 
(except oxygen sensor) and actuators.
    (E) Evaporative and/or refueling emission canister(s).
    (F) Turbochargers.
    (G) Carburetors.
    (H) Superchargers.
    (I) Exhaust gas recirculation system including all related filters 
and control valves.
    (J) Mechanical fillpipe seals.
    (vi) For complete heavy-duty vehicles, the adjustment, cleaning, 
repair, or replacement of the following items shall occur at 100,000 
miles (or 3,000 hours) of use and at 100,000-mile (or 3,000 hour) 
intervals thereafter:
    (A) Catalytic converter.
    (B) Air injection system components.
    (C) Fuel injectors.
    (D) Electronic engine control unit and its associated sensors 
(except oxygen sensor) and actuators.
    (E) Evaporative and/or refueling emission canister(s).
    (F) Turbochargers.
    (G) Carburetors.
    (H) Exhaust gas recirculation system (including all related control 
valves and tubing) except as otherwise provided in paragraph 
(b)(3)(iii)(E) of this section.
    (I) Mechanical fillpipe seals.
    (4) For diesel-cycle vehicles, emission-related maintenance in 
addition to, or at shorter intervals than the following will not be 
accepted as technologically necessary, except as provided in paragraph 
(b)(7) of this section:
    (i) The adjustment, cleaning, repair, or replacement of the positive 
crankcase ventilation valve shall occur at 50,000 miles of use and at 
50,000-mile intervals thereafter.
    (ii) The adjustment, cleaning, repair, or replacement shall occur at 
100,000 miles of use and at 100,000-mile intervals thereafter of the 
following items:
    (A) Fuel injectors.
    (B) Turbocharger.
    (C) Electronic engine control unit and its associated sensors and 
actuators.
    (D) Particulate trap or trap-oxidizer system (including related 
components).

[[Page 1042]]

    (E) Exhaust gas recirculation system including all related filters 
and control valves.
    (F) Catalytic converter.
    (G) Superchargers.
    (iii) For vehicles that use selective catalytic reduction, the 
replenishment of diesel exhaust fluid shall occur at an interval that is 
no less than 4,000 miles for typical operation.
    (5) [Reserved]
    (6) Critical emission-related components. (i) The following 
components are defined as critical emission-related components:
    (A) Catalytic converter.
    (B) Air injection system components.
    (C) Electronic engine control unit and its associated sensors 
(including oxygen sensor if installed) and actuators.
    (D) Exhaust gas recirculation system (including all related filters 
and control valves).
    (E) Positive crankcase ventilation valve.
    (F) Evaporative and refueling emission control system components 
(excluding canister air filter).
    (G) Particulate trap or trap-oxidizer system.
    (H) Components comprising the selective catalytic reduction system 
(including diesel exhaust fluid tank).
    (I) Any other component whose primary purpose is to reduce emissions 
or whose failure would commonly increase emissions of any regulated 
pollutant without significantly degrading engine performance.
    (ii) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in-use. The manufacturer shall 
be required to show the reasonable likelihood of such maintenance being 
performed in-use, and such showing shall be made prior to the 
performance of the maintenance on the durability data vehicle. Critical 
emission-related scheduled maintenance items which satisfy one of the 
conditions defined in paragraphs (b)(6)(ii) (A) through (F) of this 
section will be accepted as having a reasonable likelihood of the 
maintenance item being performed in-use, except that DEF replenishment 
must satisfy paragraph (b)(6)(ii)(A) or (b)(6)(ii)(F) of this section to 
be accepted as having a reasonable likelihood of the maintenance item 
being performed in-use.
    (A) Data are presented which establish for the Administrator a 
connection between emissions and vehicle performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical driving.
    (B) Survey data are submitted which adequately demonstrate to the 
Administrator that, at an 80 percent confidence level, 80 percent of 
such engines already have this critical maintenance item performed in 
use at the recommended interval(s).
    (C) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the vehicle driver that maintenance 
is due. A signal bearing the message ``maintenance needed'' or ``check 
engine,'' or a similar message approved by the Administrator, shall be 
actuated at the appropriate mileage point or by component failure. This 
signal must be continuous while the engine is in operation and not be 
easily eliminated without performance of the required maintenance. 
Resetting the signal shall be a required step in the maintenance 
operation. The method for resetting the signal system shall be approved 
by the Administrator.
    (D) A manufacturer may desire to demonstrate through a survey that a 
critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (b)(6)(ii)(B) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one test group, the sample will be sales 
weighted to ensure that it is representative of all the groups in 
question.

[[Page 1043]]

    (E) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under Sec.  86.1808-01.
    (F) Any other method which the Administrator approves as 
establishing a reasonable likelihood that the critical maintenance will 
be performed in use.
    (iii) Visible signal systems used under paragraph (b)(6)(ii)(C) of 
this section are considered an element of design of the emission control 
system. Therefore, disabling, resetting, or otherwise rendering such 
signals inoperative without also performing the indicated maintenance 
procedure is a prohibited act under section 203(a)(3) of the Clean Air 
Act (42 U.S.C. 7522(a)(3)).
    (7) Changes to scheduled maintenance. (i) For maintenance practices 
that existed prior to the 1980 model year, only the maintenance items 
listed in paragraphs (b)(3) and (4) of this section are currently 
considered by EPA to be emission-related. The Administrator may, 
however, determine additional scheduled maintenance items that existed 
prior to the 1980 model year to be emission-related by announcement in a 
Federal Register Notice. In no event may this notification occur later 
than September 1 of the calendar year two years prior to the affected 
model year.
    (ii) In the case of any new scheduled maintenance, the manufacturer 
must submit a request for approval to the Administrator for any 
maintenance that it wishes to recommend to purchasers and perform during 
durability determination. New scheduled maintenance is that maintenance 
which did not exist prior to the 1980 model year, including that which 
is a direct result of the implementation of new technology not found in 
production prior to the 1980 model year. The manufacturer must also 
include its recommendations as to the category (i.e., emission-related 
or non-emission-related, critical or non-critical) of the subject 
maintenance and, for suggested emission-related maintenance, the maximum 
feasible maintenance interval. Such requests must include detailed 
evidence supporting the need for the maintenance requested, and 
supporting data or other substantiation for the recommended maintenance 
category and for the interval suggested for emission-related 
maintenance. Requests for new scheduled maintenance must be approved 
prior to the introduction of the new maintenance. The Administrator will 
then designate the maintenance as emission-related or non-emission-
related. For maintenance items established as emission-related, the 
Administrator will further designate the maintenance as critical if the 
component which receives the maintenance is a critical component under 
paragraph (b)(6) of this section. For each maintenance item designated 
as emission-related, the Administrator will also establish a 
technologically necessary maintenance interval, based on industry data 
and any other information available to EPA. Designations of emission-
related maintenance items, along with their identification as critical 
or non-critical, and establishment of technologically necessary 
maintenance intervals, will be announced in the Federal Register.
    (iii) Any manufacturer may request a hearing on the Administrator's 
determinations in this paragraph (b)(7). The request shall be in writing 
and shall include a statement specifying the manufacturer's objections 
to the Administrator's determinations, and data in support of such 
objections. If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial factual issue, 
he shall provide the manufacturer a hearing in accordance with Sec.  
86.1853-01 with respect to such issue.
    (c) Non-emission-related scheduled maintenance which is reasonable 
and technologically necessary (e.g., oil change, oil filter change, fuel 
filter change, air filter change, cooling system maintenance, adjustment 
of idle speed, governor, engine bolt torque, valve lash, injector lash, 
timing, adjustment of air pump drive belt tension, lubrication of the 
exhaust manifold heat control valve, lubrication of carburetor choke 
linkage, re-torquing carburetor mounting bolts, etc.) may be performed 
on durability data vehicles at the least frequent intervals recommended 
by the manufacturer to the ultimate purchaser, (e.g., not at the 
intervals recommended for severe service).

[[Page 1044]]

    (d) Unscheduled maintenance on durability data vehicles. (1) 
Unscheduled maintenance may be performed during the testing used to 
determine deterioration factors, except as provided in paragraphs (d)(2) 
and (3) of this section, only under the following provisions defined in 
paragraphs (d)(1) (i) through (iii) of this section:
    (i) A fuel injector or spark plug may be changed if a persistent 
misfire is detected.
    (ii) Readjustment of an Otto-cycle vehicle cold-start enrichment 
system may be performed if there is a problem of stalling.
    (iii) Readjustment of the engine idle speed (curb idle and fast 
idle) may be performed in addition to that performed as scheduled 
maintenance under paragraph (c) of this section if the idle speed 
exceeds the manufacturer's recommended idle speed by 300 rpm or more, or 
if there is a problem of stalling.
    (2) Any other unscheduled vehicle, emission control system, or fuel 
system adjustment, repair, removal, disassembly, cleaning, or 
replacement during testing to determine deterioration factors shall be 
performed (using good engineering judgment) only in the following 
circumstances:
    (i) The part failure or system malfunction, or the repair of such 
failure or malfunction, does not render the vehicle or engine 
unrepresentative of vehicles or engines in use and does not require 
direct access to the combustion chamber, except for spark plug, fuel 
injection component, or removable prechamber removal or replacement.
    (ii) The need for maintenance or repairs is indicated by an overt 
indication of malfunction such as persistent misfiring, engine stalling, 
overheating, fluid leakage, loss of oil pressure, excessive fuel 
consumption, or excessive power loss. The Administrator shall be given 
the opportunity to verify the existence of an overt indication of part 
failure and/or vehicle/engine malfunction (e.g., misfiring, stalling, 
black smoke), or an activation of an audible and/or visible signal, 
prior to the performance of any maintenance to which such overt 
indication or signal is relevant under the provisions of this section.
    (iii) The OBD system of a durability data vehicle representing any 
test group certifying fully to the Federal OBD requirements as specified 
in Sec.  86.1806-01(a) through (h) has specifically detected the problem 
and has illuminated the malfunction indicator light.
    (3) Emission measurement may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (d)(2) of this 
section, except under the following conditions:
    (i) The Administrator may approve unscheduled maintenance on 
durability data vehicles based upon a significant change in emission 
levels that indicates a vehicle or engine malfunction. In these cases 
the Administrator may first approve specific diagnostic procedures to 
identify the source of the problem. The Administrator may further 
approve of specific corrections to the problem after the problem has 
been identified. The Administrator may only approve the corrective 
action after it is determined that:
    (A) The malfunction was caused by nonproduction build practices or 
by a previously undetected design problem;
    (B) The malfunction will not occur in production vehicles or engines 
in use; and
    (C) The deterioration factor generated by the durability data 
vehicle or engine will remain unaffected by the malfunction or by the 
corrective action (e.g., the malfunction was present for only a short 
period of time before detection, replacement parts are functionally 
representative of the proper mileage or hours, etc.).
    (ii) Following any unscheduled maintenance approved under paragraph 
(d)(3)(i) of this section, the manufacturer shall perform an after-
maintenance emission test. If the Administrator determines that the 
after-maintenance emission levels for any pollutant indicates that the 
deterioration factor is no longer representative of production, the 
Administrator may disqualify the durability data vehicle or engine.
    (4) If a part failure or system malfunction occurrence and/or repair 
has

[[Page 1045]]

rendered the vehicle/engine unrepresentative of vehicles in use, the 
vehicle/engine shall not be used for determining deterioration factors.
    (5) Repairs to vehicle components of a durability data vehicle other 
than the engine, emission control system, or fuel system, shall be 
performed only as a result of part failure, vehicle system malfunction, 
or with the advance approval of the Administrator.
    (e) Maintenance on emission data vehicles and engines. (1) 
Adjustment of engine idle speed on emission data vehicles may be 
performed once before the low-mileage/low-hour emission test point. Any 
other engine, emission control system, or fuel system adjustment, 
repair, removal, disassembly, cleaning, or replacement on emission data 
vehicles shall be performed only with the advance approval of the 
Administrator.
    (2) Repairs to vehicle components of an emission data vehicle other 
than the engine, emission control system, or fuel system, shall be 
performed only as a result of part failure, vehicle system malfunction, 
or with the advance approval of the Administrator.
    (f) Equipment, instruments, or tools may not be used to identify 
malfunctioning, maladjusted, or defective engine components unless the 
same or equivalent equipment, instruments, or tools will be available to 
dealerships and other service outlets and:
    (1) Are used in conjunction with scheduled maintenance on such 
components; or
    (2) Are used subsequent to the identification of a vehicle or engine 
malfunction, as provided in paragraph (d)(2) of this section for 
durability data vehicles or in paragraph (e)(1) of this section for 
emission data vehicles; or
    (3) Unless specifically authorized by the Administrator.
    (g) Complete emission tests (see Sec. Sec.  86.106-96 through 
86.145-82) are required, unless waived by the Administrator, before and 
after scheduled maintenance approved for durability data vehicles. The 
manufacturer may perform emission tests before unscheduled maintenance. 
Complete emission tests are required after unscheduled maintenance which 
may reasonably be expected to affect emissions. The Administrator may 
waive the requirement to test after unscheduled maintenance. These test 
data may be submitted weekly to the Administrator, but shall be air 
posted or delivered within 7 days after completion of the tests, along 
with a complete record of all pertinent maintenance, including a 
preliminary engineering report of any malfunction diagnosis and the 
corrective action taken. A complete engineering report shall be 
delivered to the Administrator concurrently with the manufacturer's 
application for certification.
    (h) When air conditioning SFTP exhaust emission tests are required, 
the manufacturer must document that the vehicle's air conditioning 
system is operating properly and in a representative condition. Required 
air conditioning system maintenance is performed as unscheduled 
maintenance and does not require the Administrator's approval.

[64 FR 23925, May 4, 1999, as amended at 65 FR 59975, Oct. 6, 2000; 70 
FR 40443, July 13, 2005; 79 FR 46372, Aug. 8, 2014]



Sec.  86.1835-01  Confirmatory certification testing.

    (a) Testing by the Administrator. (1) The Administrator may require 
that any one or more of the test vehicles be submitted to the Agency, at 
such place or places as the Agency may designate, for the purposes of 
conducting emissions tests. The Administrator may specify that such 
testing be conducted at the manufacturer's facility, in which case 
instrumentation and equipment specified by the Administrator shall be 
made available by the manufacturer for test operations. Any testing 
conducted at a manufacturer's facility pursuant to this paragraph shall 
be scheduled by the manufacturer as promptly as possible.
    (i) The Administrator may adjust or cause to be adjusted any 
adjustable parameter of an emission-data vehicle which the Administrator 
has determined to be subject to adjustment for certification testing in 
accordance with Sec.  86.1833-01(a)(1), to any setting within the 
physically adjustable range of that parameter, as determined by the 
Administrator in accordance with Sec.  86.1833-01(a)(3), prior to the 
performance of any tests to determine whether

[[Page 1046]]

such vehicle or engine conforms to applicable emission standards, 
including tests performed by the manufacturer under Sec.  86.1829-01(b). 
However, if the idle speed parameter is one which the Administrator has 
determined to be subject to adjustment, the Administrator shall not 
adjust it to a setting which causes a higher engine idle speed than 
would have been possible within the physically adjustable range of the 
idle speed parameter on the engine before it accumulated any dynamometer 
service, all other parameters being identically adjusted for the purpose 
of the comparison. The Administrator, in making or specifying such 
adjustments, will consider the effect of the deviation from the 
manufacturer's recommended setting on emissions performance 
characteristics as well as the likelihood that similar settings will 
occur on in-use light-duty vehicles, light-duty trucks, or complete 
heavy-duty vehicles. In determining likelihood, the Administrator will 
consider factors such as, but not limited to, the effect of the 
adjustment on vehicle performance characteristics and surveillance 
information from similar in-use vehicles.
    (ii) For those vehicles parameters which the Administrator has not 
determined to be subject to adjustment during testing in accordance with 
Sec.  86.1833-01(a)(1), the vehicle presented to the Administrator for 
testing shall be calibrated within the production tolerances applicable 
to the manufacturer's specifications to be shown on the vehicle label 
(see Sec.  86.1807-01) as specified in the application for 
certification. If the Administrator determines that a vehicle is not 
within such tolerances, the vehicle will be adjusted, at the facility 
designated by the Administrator, prior to the test and an engineering 
report shall be submitted to the Administrator describing the corrective 
action taken. Based on the engineering report, the Administrator will 
determine if the vehicle will be used as an emission data vehicle.
    (2) If the Administrator determines that the test data developed on 
an emission data vehicle under paragraph (a)(1) of this section would 
cause that vehicle to fail under the provisions of Sec.  86.1841-01, 
then the following procedure shall be observed:
    (i) The manufacturer may request a retest. Before the retest, those 
vehicle or engine parameters which the Administrator has not determined 
to be subject to adjustment for certification testing in accordance with 
Sec.  86.1833-01(a)(1) may be readjusted to manufacturer's 
specification, if these adjustments were made incorrectly prior to the 
first test. The Administrator may adjust or cause to be adjusted any 
parameter which the Administrator has determined to be subject to 
adjustment to any setting within the physically adjustable range of that 
parameter, as determined by the Administrator in accordance with Sec.  
86.1833-01(a)(3). Other maintenance or repairs may be performed in 
accordance with Sec.  86.1834-01. All work on the vehicle shall be done 
at such location and under such conditions as the Administrator may 
prescribe.
    (ii) The vehicle will be retested by the Administrator and the 
results of this test shall comprise the official data for the emission-
data vehicle.
    (3) If sufficient durability data are not available at the time of 
any emission test conducted under paragraph (a)(1) of this section to 
enable the Administrator to determine whether an emission-data vehicle 
would fail, the manufacturer may request a retest in accordance with the 
provisions of paragraph (a)(2) of this section. If the manufacturer does 
not promptly make such request, he shall be deemed to have waived the 
right to a retest. A request for retest must be made before the 
manufacturer removes the vehicle from the test premises.
    (4) Retesting for fuel economy reasons or for compliance with 
greenhouse gas exhaust emission standards in Sec.  86.181-12 may be 
conducted under the provisions of Sec.  600.008-08 of this chapter.
    (b) Manufacturer-conducted confirmatory testing. (1) If the 
Administrator determines not to conduct a confirmatory test under the 
provisions of paragraph (a) of this section, manufacturers of light-duty 
vehicles, light-duty trucks, and/or medium-duty passenger vehicles will 
conduct a confirmatory test at their facility after submitting

[[Page 1047]]

the original test data to the Administrator whenever any of the 
conditions listed in paragraphs (b)(1)(i) through (vi) of this section 
exist, and complete heavy-duty vehicles manufacturers will conduct a 
confirmatory test at their facility after submitting the original test 
data to the Administrator whenever the conditions listed in paragraph 
(b)(1)(i) or (b)(1)(ii) of this section exist, as follows:
    (i) The vehicle configuration has previously failed an emission 
standard;
    (ii) The test exhibits high emission levels determined by exceeding 
a percentage of the standards specified by the Administrator for that 
model year;
    (iii) The fuel economy value of the test as measured in accordance 
with the procedures in 40 CFR part 600 is higher than expected based on 
procedures approved by the Administrator;
    (iv) The fuel economy value as measured in accordance with the 
procedures in part 600 of this title, is close to a Gas Guzzler Tax 
threshold value based on tolerances established by the Administrator for 
that model year; or
    (v) The fuel economy value as measured in accordance with the 
procedures in part 600 of this title, is a potential fuel economy leader 
for a class of vehicles based on Administrator provided cut points for 
that model year.
    (vi) The exhaust carbon-related exhaust emissions of the test as 
measured in accordance with the procedures in 40 CFR part 600 are lower 
than expected based on procedures approved by the Administrator.
    (2) If the Administrator selects the vehicle for confirmatory 
testing based on the manufacturer's original test results, the testing 
shall be conducted as ordered by the Administrator. In this case, the 
manufacturer-conducted confirmatory testing specified under paragraph 
(b)(1) of this section would not be required.
    (3) For light-duty vehicles, light-duty trucks, and medium-duty 
passenger vehicles the manufacturer shall conduct a retest of the FTP or 
highway test if the difference between the fuel economy of the 
confirmatory test and the original manufacturer's test equals or exceeds 
three percent (or such lower percentage to be applied consistently to 
all manufacturer conducted confirmatory testing as requested by the 
manufacturer and approved by the Administrator).
    (i) For use in the fuel economy and exhaust greenhouse gas fleet 
averaging program described in 40 CFR parts 86 and 600, the manufacturer 
may, in lieu of conducting a retest, accept as official the lower of the 
original and confirmatory test fuel economy results, and by doing so 
will also accept as official the calculated CREE value associated with 
the lower fuel economy test results.
    (ii) The manufacturer shall conduct a second retest of the FTP or 
highway test if the fuel economy difference between the second 
confirmatory test and the original manufacturer test equals or exceeds 
three percent (or such lower percentage as requested by the manufacturer 
and approved by the Administrator) and the fuel economy difference 
between the second confirmatory test and the first confirmatory test 
equals or exceeds three percent (or such lower percentage as requested 
by the manufacturer and approved by the Administrator). In lieu of 
conducting a second retest, the manufacturer may accept as official (for 
use in the fuel economy program and the exhaust greenhouse gas fleet 
averaging program) the lowest fuel economy of the original test, the 
first confirmatory test, and the second confirmatory test fuel economy 
results, and by doing so will also accept as official the calculated 
CREE value associated with the lowest fuel economy test results.
    (c) Official test determination. (1) Whenever the Administrator or 
the manufacturer conducts a confirmatory test segment on a test vehicle, 
the results of that test segment, unless subsequently invalidated by the 
Administrator, shall comprise the official data for that test segment 
for the vehicle at the prescribed test point and the manufacturer's 
original test data for that test segment for that prescribed test point 
shall not be used in determining compliance with emission standards.

[[Page 1048]]

    (i) If the Administrator or the manufacturer conducts more than one 
passing, valid, confirmatory test, the results from the first passing, 
valid confirmatory test shall be considered official and used in 
determining compliance with emission standards.
    (ii) Official test results for fuel economy and exhaust 
CO2 emission purposes are determined in accordance with the 
provisions of Sec.  600.008-08 of this chapter.
    (iii) The Administrator may stop a test after any evaporative test 
segment and use as official data any valid results obtained up to that 
point in the test, as described in subpart B of this part.
    (2) Whenever the Administrator or the manufacturer does not conduct 
a confirmatory test on a test vehicle at a test point, the 
manufacturer's original test data will be accepted as the official data 
for that point.
    (i) If the Administrator makes a determination based on testing 
under paragraph (a) of this section (or other appropriate correlation 
test data), that there is a lack of correlation between the 
manufacturer's test equipment or procedures and the test equipment or 
procedures used by the Administrator, no manufacturer's test data will 
be accepted for purposes of certification until the reasons for the lack 
of correlation are determined and the validity of the data is 
established by the manufacturer.
    (ii) If the Administrator has reasonable basis to believe that any 
test data submitted by the manufacturer is not accurate or has been 
obtained in violation of any provisions of this subpart, the 
Administrator may refuse to accept that data as the official data 
pending retesting or submission of further information.
    (iii) If the manufacturer conducts more than one test on an emission 
data vehicle in the same configuration (excluding confirmatory tests run 
under paragraph (b) of this section), the data from the last test in 
that series of tests on that vehicle, will constitute the official data.
    (d) Upon request of the manufacturer, the Administrator may issue a 
conditional certificate of conformity for a test group which has not 
completed the Administrator testing required under paragraph (a) of this 
section. Such a certificate will be issued based upon the condition that 
the confirmatory testing be completed in an expedited manner and that 
the results of the testing be in compliance with all standards and 
procedures.
    (1) If, based on this testing or any other information, the 
Administrator later determines that the vehicles included in this test 
group do not meet the applicable standards, the Administrator will 
notify the manufacturer that the certificate is suspended. The 
certificate may be suspended in whole or in part as determined by the 
Administrator. Upon such a notification, the manufacturer must 
immediately cease the introduction of the affected vehicles into 
commerce. The manufacturer may request a hearing to appeal the 
Administrators decision using the provisions of Sec.  86.1853-01.
    (2) Production of vehicles by a manufacturer under the terms of this 
paragraph (d) will be deemed to be a consent to recall all vehicles in 
the test group which the Administrator determines do not meet applicable 
standards, and to cause such nonconformity to be remedied at no expense 
to the owner.

[64 FR 23925, May 4, 1999, as amended at 65 FR 59976, Oct. 6, 2000; 66 
FR 19310, Apr. 13, 2001; 75 FR 25689, May 7, 2010]



Sec.  86.1836-01  Manufacturer-supplied production vehicles for testing.

    Any manufacturer obtaining certification under this subpart shall 
supply to the Administrator, upon request, a reasonable number of 
production vehicles selected by the Administrator which are 
representative of the engines, emission control systems, fuel systems, 
and transmission offered and typical of production models available for 
sale under the certificate. These vehicles shall be supplied for testing 
at such time and place and for such reasonable periods as the 
Administrator may require.



Sec.  86.1837-01  Rounding of emission measurements.

    (a) Unless otherwise specified, the results of all emission tests 
shall be rounded to the number of places to the

[[Page 1049]]

right of the decimal point indicated by expressing the applicable 
emission standard of this subpart to one additional significant figure, 
in accordance with 40 CFR 1065.20.
    (b) Fleet average NOX value calculations, where 
applicable, must be rounded before comparing with the applicable fleet 
average standard and calculating credits generated or needed as follows: 
manufacturers must round to the same number of significant figures that 
are contained in the quantity of vehicles in the denominator of the 
equation used to compute the fleet average NOX emissions, but 
to no less than one more decimal place than that of the applicable fleet 
average standard.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6864, Feb. 10, 2000; 79 
FR 23728, Apr. 28, 2014]



Sec.  86.1838-01  Small-volume manufacturer certification procedures.

    (a) Overview. The small-volume manufacturer certification procedures 
described in paragraphs (b) and (c) of this section are optional. Small-
volume manufacturers may use these optional procedures to demonstrate 
compliance with the general standards and specific emission requirements 
contained in this subpart.
    (b) Eligibility requirements--(1) Small-volume manufacturers. (i) 
Optional small-volume manufacturer certification procedures apply for 
vehicles produced by manufacturers with the following number of combined 
sales of vehicles subject to standards under this subpart in all states 
and territories of the United States in the model year for which 
certification is sought, including all vehicles and engines imported 
under the provisions of 40 CFR 85.1505 and 85.1509:
    (A) 5,000 units for the Tier 3 standards described in Sec. Sec.  
86.1811, 86.1813, and 86.1816. This volume threshold applies for phasing 
in the Tier 3 standards and for determining the corresponding 
deterioration factors. This is based on average nationwide sales volumes 
for model years 2012 through 2014 for manufacturers that sell vehicles 
in model year 2012. The provision allowing delayed compliance with the 
Tier 3 standards applies for qualifying companies even if sales after 
model year 2014 increase beyond 5,000 units. Manufacturers with no sales 
in model year 2012 may instead rely on projected sales volumes; however, 
if nationwide sales exceed an average value of 5,000 units in any three 
consecutive model years, the manufacturer is no longer eligible for 
provisions that apply to small-volume manufacturers after two additional 
model years. For example, if actual sales in model years 2015 through 
2017 exceed 5,000 units, the small-volume provisions would no longer 
apply starting in model year 2020.
    (B) No small-volume sales threshold applies for the heavy-duty 
greenhouse gas standards; alternative small-volume criteria apply as 
described in Sec.  86.1819-14(k)(5).
    (C) 15,000 units for all other requirements. See Sec.  86.1845 for 
separate provisions that apply for in-use testing.
    (ii) If a manufacturer's aggregated sales in the United States, as 
determined in paragraph (b)(3) of this section are fewer than the number 
of units specified in paragraph (b)(1)(i) of this section, the 
manufacturer (or each manufacturer in the case of manufacturers in an 
aggregated relationship) may certify under the provisions of paragraph 
(c) of this section.
    (iii) A manufacturer that qualifies as a small business under the 
Small Business Administration regulations in 13 CFR Part 121 is eligible 
for all the provisions that apply for small-volume manufacturers under 
this subpart. See Sec.  86.1801-12(j) to determine whether companies 
qualify as small businesses.
    (iv) The sales volumes specified in this section are based on actual 
sales, unless otherwise specified.
    (v) Except for delayed implementation of new emission standards, an 
eligible manufacturer must transition out of the special provisions that 
apply for small-volume manufacturers as described in Sec.  86.1801-
12(k)(2)(i) through (iii) if sales volumes increase above the applicable 
threshold.
    (2) Small-volume test groups. (i) If the aggregated sales in all 
states and territories of the United States, as determined in paragraph 
(b)(3) of this section are equal to or greater than 15,000 units, then 
the manufacturer (or each

[[Page 1050]]

manufacturer in the case of manufacturers in an aggregated relationship) 
will be allowed to certify a number of units under the small-volume test 
group certification procedures in accordance with the criteria 
identified in paragraphs (b)(2)(ii) through (iv) of this section.
    (ii) If there are no additional manufacturers in an aggregated 
relationship meeting the provisions of paragraph (b)(3) of this section, 
then the manufacturer may certify whole test groups whose total 
aggregated sales (including heavy-duty engines) are less than 15,000 
units using the small-volume provisions of paragraph (c) of this 
section.
    (iii) If there is an aggregated relationship with another 
manufacturer which satisfies the provisions of paragraph (b)(3) of this 
section, then the following provisions shall apply:
    (A) If none of the manufacturers own 50 percent or more of another 
manufacturer in the aggregated relationship, then each manufacturer may 
certify whole test groups whose total aggregated sales (including heavy-
duty engines) are less than 15,000 units using the small-volume 
provisions of paragraph (c) of this section.
    (B) If any of the manufacturers own 50 percent or more of another 
manufacturer in the aggregated relationship, then the limit of 14,999 
units must be shared among the manufacturers in such a relationship. In 
total for all the manufacturers involved in such a relationship, 
aggregated sales (including heavy-duty engines) of up to 14,999 units 
may be certified using the small-volume provisions of paragraph (c) of 
this section. Only whole test groups shall be eligible for small-volume 
status under paragraph (c) of this section.
    (iv) In the case of a joint venture arrangement (50/50 ownership) 
between two manufacturers, each manufacturer retains its eligibility for 
14,999 units under the small-volume test group certification procedures, 
but the joint venture must draw its maximum 14,999 units from the units 
allocated to its parent manufacturers. Only whole test groups shall be 
eligible for small-volume status under paragraph (c) of this section.
    (3) Sales aggregation for related manufacturers. The projected or 
actual sales from different firms shall be aggregated in the following 
situations:
    (i) Vehicles and/or engines produced by two or more firms, one of 
which is 10 percent or greater part owned by another;
    (ii) Vehicles and/or engines produced by any two or more firms if a 
third party has equity ownership of 10 percent or more in each of the 
firms;
    (iii) Vehicles and/or engines produced by two or more firms having a 
common corporate officer(s) who is (are) responsible for the overall 
direction of the companies;
    (iv) Vehicles and/or engines imported or distributed by all firms 
where the vehicles and/or engines are manufactured by the same entity 
and the importer or distributor is an authorized agent of the entity.
    (c) Small-volume provisions. Small-volume manufacturers and small-
volume test groups shall demonstrate compliance with all applicable 
sections of this subpart, with the following exceptions:
    (1) Durability demonstration. Use the provisions of Sec.  86.1826 
rather than the requirements of Sec. Sec.  86.1823, 86.1824, and 
86.1825.
    (2) In-use verification testing. Measure emissions from in-use 
vehicles as described in Sec.  86.1845, subject to the following 
additional provisions:
    (i) In-use verification test vehicles may be procured from customers 
or may be owned by, or under the control of the manufacturer, provided 
that the vehicle has accumulated mileage in typical operation on public 
streets and has received typical maintenance.
    (ii) In lieu of procuring in-use verification test vehicles that 
have a minimum odometer reading of 50,000 miles, a manufacturer may 
demonstrate to the satisfaction of the Agency that, based on owner 
survey data, the average mileage accumulated after 4 years for a given 
test group is less than 50,000 miles. The Agency may approve procurement 
of in-use verification test vehicles that have a lower minimum odometer 
reading based on such data.
    (iii) The provisions of Sec.  86.1845-04(c)(2) that require one 
vehicle of each test group during high mileage in-use verification 
testing to have a minimum odometer mileage do not apply.

[[Page 1051]]

    (iv) Manufacturers intending to use the provisions of this paragraph 
(c) shall submit to the Agency a plan detailing how these provisions 
will be met before submitting an application for certification for the 
subject vehicles.
    (d) Operationally independent manufacturers. Manufacturers may 
submit an application to EPA requesting treatment as an operationally 
independent manufacturer. A manufacturer that is granted operationally 
independent status may qualify for all the regulatory provisions of this 
subpart that apply for small-volume manufacturers on the basis of its 
own vehicle production and/or sales volumes, and would not require 
aggregation with related manufacturers. In this paragraph (d), the term 
``related manufacturer(s)'' means manufacturers that would qualify for 
aggregation under the requirements of paragraph (b)(3) of this section.
    (1) To request consideration for operationally independent status, 
the manufacturer must submit an application demonstrating that the 
following criteria are met, and have been continuously met for at least 
two years prior to submitting the application to EPA. The application 
must be signed by the president or the chief executive officer of the 
manufacturer.
    (i) The applicant does not receive any financial or other means of 
support of economic value from any related manufacturers for purposes of 
vehicle design, vehicle parts procurement, research and development, and 
production facilities and operation. Any transactions with related 
manufacturers must be conducted under normal commercial arrangements 
like those conducted with other external parties. Any such transactions 
with related manufacturers shall be demonstrated to have been at 
competitive pricing rates to the applicant.
    (ii) The applicant maintains wholly separate and independent 
research and development, testing, and vehicle manufacturing and 
production facilities.
    (iii) The applicant does not use any vehicle engines, powertrains, 
or platforms developed or produced by related manufacturers.
    (iv) The applicant does not hold any patents jointly with related 
manufacturers.
    (v) The applicant maintains separate business administration, legal, 
purchasing, sales, and marketing departments as well as wholly 
autonomous decision making on all commercial matters.
    (vi) The Board of Directors of the applicant may not share more than 
25 percent of its membership with any related manufacturer. No top 
operational management of the applicant may be shared with any related 
manufacturer, including the president, the chief executive officer 
(CEO), the chief financial officer (CFO), and the chief operating 
officer (COO). No individual director or combination of directors that 
is shared with a related manufacturer may exercise exclusive management 
control over either or both companies.
    (vii) Parts or components supply agreements between the applicant 
and related companies must be established through open market processes. 
An applicant that sells or otherwise provides parts and/or vehicle 
components to a manufacturer that is not a related manufacturer must do 
so through the open market at competitive pricing rates.
    (2) Manufacturers that have been granted operationally independent 
status must report any material changes to the information provided in 
the application within 60 days of the occurrence of the change. If such 
a change occurs that results in the manufacturer no longer meeting the 
requirements of the application, the manufacturer will lose the 
eligibility to be considered operationally independent. The EPA will 
confirm that the manufacturer no longer meets one or more of the 
criteria and thus is no longer considered operationally independent, and 
will notify the manufacturer of the change in status. A manufacturer who 
loses the eligibility for operationally independent status must 
transition to the appropriate emission standards no later than the third 
model year after the model year in which the loss of eligibility 
occurred. For example, a manufacturer that loses eligibility in their 
2018 model year would be required to meet appropriate standards in the 
2021

[[Page 1052]]

model year. A manufacturer that loses eligibility must meet the 
applicable criteria for three consecutive model years before they are 
allowed to apply for a reinstatement of their operationally independent 
status.
    (3) The manufacturer applying for operational independence shall 
engage an independent certified public accountant, or firm of such 
accountants (hereinafter referred to as ``CPA''), to perform an agreed-
upon procedures attestation engagement of the underlying documentation 
that forms the basis of the application as required in this paragraph 
(d).
    (i) The CPA shall perform the attestation engagements in accordance 
with the Statements on Standards for Attestation Engagements established 
by the American Institute of Certified Public Accountants.
    (ii) The CPA may complete the requirements of this paragraph with 
the assistance of internal auditors who are employees or agents of the 
applicant, so long as such assistance is in accordance with the 
Statements on Standards for Attestation Engagements established by the 
American Institute of Certified Public Accountants.
    (iii) Notwithstanding the requirements of paragraph (d)(3)(ii) of 
this section, an applicant may satisfy the requirements of this 
paragraph (d)(3) if the requirements of this paragraph (d)(3) are 
completed by an auditor who is an employee of the applicant, provided 
that such employee:
    (A) Is an internal auditor certified by the Institute of Internal 
Auditors, Inc. (hereinafter referred to as ``CIA''); and
    (B) Completes the internal audits in accordance with the standards 
for internal auditing established by the Institute of Internal Auditors.
    (iv) 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.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6864, Feb. 10, 2000; 67 
FR 72826, Dec. 6, 2002; 71 FR 2836, Jan. 17, 2006; 77 FR 63162, Oct. 15, 
2012; 79 FR 23728, Apr. 28, 2014; 81 FR 73991, Oct. 25, 2016]



Sec.  86.1839-01  Carryover of certification data.

    (a) In lieu of testing an emission-data or durability vehicle 
selected under Sec.  86.1822-01, Sec.  86.1828-01, or Sec.  86.1829-01, 
and submitting data therefrom, a manufacturer may submit exhaust 
emission data, evaporative emission data and/or refueling emission data, 
as applicable, on a similar vehicle for which certification has been 
obtained or for which all applicable data required under Sec.  86.1845-
01 has previously been submitted. To be eligible for this provision, the 
manufacturer must use good engineering judgment and meet the following 
criteria:
    (1) In the case of durability data, the manufacturer must determine 
that the previously generated durability data represent a worst case or 
equivalent rate of deterioration for all applicable emission 
constituents compared to the configuration selected for durability 
demonstration.
    (i) Prior to certification, the Administrator may require the 
manufacturer to provide data showing that the distribution of catalyst 
temperatures of the selected durability configuration is effectively 
equivalent or lower than the distribution of catalyst temperatures of 
the vehicle configuration which is the source of the previously 
generated data.
    (ii) For the 2001, 2002, and 2003 model years only, paragraph (a)(1) 
of this section does not apply to the use of exhaust emission 
deterioration factors meeting the requirements of Sec.  86.1823-
01(c)(2).
    (2) In the case of emission data, the manufacturer must determine 
that the previously generated emissions data represent a worst case or 
equivalent level of emissions for all applicable emission constituents 
compared to the configuration selected for emission compliance 
demonstration.
    (b) In lieu of using newly aged hardware on an EDV as allowed under 
the

[[Page 1053]]

provisions of Sec.  86.1823-08(f)(2), a manufacturer may use similar 
hardware aged for an EDV previously submitted, provided that the 
manufacturer determines that the previously aged hardware represents a 
worst case or equivalent rate of deterioration for all applicable 
emission constituents for durability demonstration.

[64 FR 23925, May 4, 1999, as amended at 71 FR 2836, Jan. 17, 2006]



Sec.  86.1840-01  Special test procedures.

    (a) The Administrator may, on the basis of written application by a 
manufacturer, prescribe test procedures, other than those set forth in 
this part, for any light-duty vehicle, light-duty truck, or complete 
heavy-duty vehicle which the Administrator determines is not susceptible 
to satisfactory testing by the procedures set forth in this part.
    (b) If the manufacturer does not submit a written application for 
use of special test procedures but the Administrator determines that a 
light-duty vehicle, light-duty truck, or complete heavy-duty vehicle is 
not susceptible to satisfactory testing by the procedures set forth in 
this part, the Administrator shall notify the manufacturer in writing 
and set forth the reasons for such rejection in accordance with the 
provisions of Sec.  86.1848(a)(2).
    (c) Manufacturers of vehicles equipped with periodically 
regenerating aftertreatment devices must propose a procedure for testing 
and certifying such vehicles, including SFTP testing, for the review and 
approval of the Administrator. The manufacturer must submit its proposal 
before it begins any service accumulation or emission testing. The 
manufacturer must provide with its submittal sufficient documentation 
and data for the Administrator to fully evaluate the operation of the 
aftertreatment devices and the proposed certification and testing 
procedure.
    (d) The provisions of paragraph (a) and (b) of this section also 
apply to MDPVs.

[65 FR 59976, Oct. 6, 2000, as amended at 71 FR 51488, Aug. 30, 2006; 77 
FR 34146, June 8, 2012]



Sec.  86.1841-01  Compliance with emission standards for the purpose 
of certification.

    (a) Certification levels of a test vehicle will be calculated for 
each emission constituent applicable to the test group for both full and 
intermediate useful life as appropriate.
    (1) If the durability demonstration procedure used by the 
manufacturer under the provisions of Sec.  86.1823, Sec.  86.1824, or 
Sec.  86.1825 requires a DF to be calculated, the DF shall be applied to 
the official test results determined in Sec.  86.1835-01(c) for each 
regulated emission constituent and for full and intermediate useful 
life, as appropriate, using the following procedures:
    (i) For additive DF's, the DF will be added to the emission result. 
The sum will be rounded to the same level of precision as the standard 
for the constituent at full and/or intermediate useful life, as 
appropriate. This rounded sum is the certification level for that 
emission constituent and for that useful life mileage.
    (ii) For multiplicative DFs, the DF will be multiplied by the 
emission result for each regulated constituent. The product will be 
rounded to the same level of precision as the standard for the 
constituent at full and intermediate useful life, as appropriate. This 
rounded product is the certification level for that emission constituent 
and for that useful life mileage.
    (iii) For the SFTP composite standard of NMHC + NOX, the 
measured results of NMHC and NOX must each be adjusted by 
their corresponding deterioration factors before the composite NMHC + 
NOX certification level is calculated. Where the applicable 
FTP exhaust hydrocarbon emission standard is an NMOG standard, the 
applicable NMOG deterioration factor must be used in place of the NMHC 
deterioration factor, unless otherwise approved by the Administrator.
    (2) If the durability demonstration procedure used by the 
manufacturer under the provisions of Sec.  86.1823, Sec.  86.1824, or 
Sec.  86.1825, as applicable, requires testing of the EDV with aged 
emission components, the official results of that testing determined 
under the provisions of Sec.  86.1835-01(c) shall be

[[Page 1054]]

rounded to the same level of precision as the standard for each 
regulated constituent at full and intermediate useful life, as 
appropriate. This rounded emission value is the certification level for 
that emission constituent at that useful life mileage.
    (3) Compliance with full useful life CO2 exhaust emission 
standards shall be demonstrated at certification by the certification 
levels on the FTP and HFET tests for carbon-related exhaust emissions 
determined according to Sec.  600.113 of this chapter.
    (4) The rounding required in paragraph (a) of this section shall be 
conducted in accordance with the provisions of Sec.  86.1837-01.
    (b) To be considered in compliance with the standards for the 
purposes of certification, the certification levels for the test vehicle 
calculated in paragraph (a) of this section shall be less than or equal 
to the standards for all emission constituents to which the test group 
is subject, at both full and intermediate useful life as appropriate for 
that test group.
    (c) Every test vehicle of a test group must comply with all 
applicable exhaust emission standards before that test group may be 
certified.
    (d) Every test vehicle of an evaporative/refueling family must 
comply with all applicable evaporative and/or refueling emission 
standards before that family may be certified.
    (e) Unless otherwise approved by the Administrator, manufacturers 
must not use Reactivity Adjustment Factors (RAFs) in their calculation 
of the certification level of any pollutant for any vehicle except for 
LDVs and LLDTs participating in the National Low Emission Vehicle (NLEV) 
program described in subpart R of this part, regardless of the fuel used 
in the test vehicle.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6864, Feb. 10, 2000; 66 
FR 19310, Apr. 13, 2001; 71 FR 2836, Jan. 17, 2006; 75 FR 25690, May 7, 
2010; 76 FR 39522, July 6, 2011]



Sec.  86.1842-01  Addition of a vehicle after certification; 
and changes to a vehicle covered by certification.

    (a) Addition of a car line after certification. (1) If a 
manufacturer proposes to add to its product line a new car line of the 
same test group as vehicles previously certified but which was not 
described in the application for certification when the test vehicle(s) 
representing other vehicles of that combination was certified, it shall 
notify the Administrator. This notification shall include a full 
description of the vehicle to be added.
    (2) The manufacturer shall perform such tests on the test vehicle(s) 
representing the vehicle to be added which would have been required if 
the vehicle had been included in the original application for 
certification.
    (3) If, after a review of the test reports and data submitted by the 
manufacturer, and data derived from any testing conducted under Sec.  
86.1835-01, the Administrator determines that the test vehicle(s) or 
test engine(s) meets all applicable standards, the appropriate 
certificate will be amended accordingly. If the Administrator determines 
that the test vehicle(s) does not meet applicable standards, she/he will 
proceed under Sec.  86.1850-01.
    (b) Changes to the configuration of vehicles covered by a 
Certificate of Conformity. (1) A manufacturer will notify the 
Administrator concurrently with (or in advance of) any change or 
addition in production vehicles which creates a new vehicle 
configuration within the car lines covered in a certified test group, 
giving a full description of the change. Such a change is referred to as 
a running change. Upon notification, the manufacturer may begin 
production of the running change if the manufacturer determines that 
following the change all affected vehicles will still meet the 
applicable emission standards.
    (i) Such notification shall include a full description of the 
addition or change and any supporting documentation the manufacturer may 
desire to include to support the manufacturer's determination in 
accordance with Sec.  86.1844-01.
    (ii) The manufacturer's determination that the addition or change 
does not cause noncompliance shall be based on an engineering evaluation 
of the addition or change and/or testing.
    (2) The Administrator may require that additional emission testing 
be performed to support the manufacturer's

[[Page 1055]]

determination submitted in paragraph (b)(1) of this section. If 
additional testing is required the Administrator shall proceed in 
accordance with paragraph (a)(3) of this section. Additional test data, 
if requested, must be provided within 30 days of the request or the 
manufacturer must rescind the addition or change immediately. The 
Administrator may grant additional time to complete testing. If based on 
this additional testing or any other information, the Administrator 
determines that the vehicles affected by the addition or change do not 
meet the applicable standards the Administrator will notify the 
manufacturer to rescind the addition or change immediately upon receipt 
of the notification.
    (c) Election to produce vehicles under this section will be deemed 
to be a consent to recall all vehicles which the Administrator 
determines under paragraph (a) or (b) of this section do not meet 
applicable standards, and to cause such nonconformity to be remedied at 
no expense to the owner.



Sec.  86.1843-01  General information requirements.

    (a) A manufacturer must submit a separate Application for 
Certification (Application) for each durability group in a format 
approved by the Administrator and in multiple copies as designated by 
the Administrator. Any information within the Application which is 
unique to a specific test group must be submitted for each test group.
    (b) Any manufacturer that fails to comply with any information 
requirements of Sec. Sec.  86.1843-01 and 86.1844-01 may be subject to 
the following provisions:
    (1) The Application (Part 1 and Part 2) and any additional 
information as designated by the Administrator shall be submitted for 
all durability groups prior to certification for subsequent model years, 
until otherwise notified by the Administrator. The Application shall be 
updated concurrently with every running change.
    (2) Provisions of Sec.  86.1850-01 may be imposed.
    (3) Civil penalties and remedial action as applicable under the 
Clean Air Act may be imposed.
    (c) Part 1 of the Application. Part 1, which shall include the items 
listed in Sec.  86.1844-01(d), must be submitted to the Administrator 
before a certificate of conformity will be issued.
    (d) Part 2 of the Application. Part 2, which shall include the items 
listed in Sec.  86.1844-01(e), must be submitted to the Administrator by 
January 1st of the applicable model year. If a test group is certified 
less than 60 days prior to January 1st of the applicable model year, 
Part 2 must be submitted to the Administrator within 90 days of the 
effective date on the applicable certificate of conformity.
    (e) Running change submissions. Each running change notification, as 
required under Sec.  86.1842-01, must include the information listed in 
Sec.  86.1844-01(f) and shall be submitted to the Administrator 
concurrently with, or in advance of, the implementation of any change 
incorporated onto production vehicles.
    (f) Updates to the Application for Certification. (1) The 
manufacturer must submit an update to the Part 1 Application by January 
1st of the applicable model year to incorporate any running changes and/
or corrections which occurred after certification. If a test group is 
certified less than 60 days prior to January 1st of the applicable model 
year, this update may be submitted to the Administrator within 90 days 
of the effective date on the applicable certificate of conformity.
    (2) The manufacturer must submit a final update to Part 1 and Part 2 
of the Application by January 1st of the subsequent model year to 
incorporate any applicable running changes or corrections which occurred 
between January 1st of the applicable model year and the end of the 
model year. A manufacturer may request the Administrator to grant an 
extension (of no more than 90 days) for submittal of the final update. 
The request must clearly indicate the circumstances necessitating the 
extension.
    (3) The manufacturer may not use updates to its application to 
correct a misbuild situation with respect to vehicles already introduced 
into commerce.
    (g) Recordkeeping. (1) This subpart includes various requirements to 
record data or other information. Unless we specify otherwise, store 
these records in any format and on any media and

[[Page 1056]]

keep them readily available for eight years after you send an associated 
application for certification, or eight years after you generate the 
data if they do not support an application for certification. You must 
promptly send us organized, written records in English upon request. We 
may review them at any time.
    (2) Upon written request by the Administrator, a manufacturer shall 
submit any information as described in Sec.  86.1844-01 within 15 
business days. A manufacturer may request the Administrator to grant an 
extension. The request must clearly indicate the circumstances 
necessitating the extension.
    (h) In-use information requirements. All information requirements of 
the in-use verification and confirmatory programs of Sec. Sec.  86.1845-
01 and 86.1846-01 must be met by the due dates listed in Sec.  86.1847-
01.

[64 FR 23925, May 4, 1999, as amended at 79 FR 23729, Apr. 28, 2014]



Sec.  86.1844-01  Information requirements: Application for certification 
and submittal of information upon request.

    (a) All the information listed in this section must be submitted to 
the Agency according to the requirements specified in Sec.  86.1843; 
however, we may ask you to include less information than we specify, as 
long as you keep the specified records.
    (b) Nothing in this section limits the Administrator's discretion to 
require the manufacturer to submit additional records not specifically 
required by this section.
    (c) Routine emission test records shall be retained by the 
manufacturer for a period of one (1) year after issuance of all 
certificates of conformity to which they relate. All records, other than 
routine emission test records, required to be produced by the 
manufacturer under this title shall be made available upon written 
request by the Administrator for a period of eight years after issuance 
of all certificates of conformity to which they relate.
    (d) Part 1 Application. Part 1 must contain the following items:
    (1) Correspondence and communication information, such as names, 
mailing addresses, phone and fax numbers, and e-mail addresses of all 
manufacturer representatives authorized to be in contact with EPA 
compliance staff. The address where official documents, such as 
certificates of conformity, are to be mailed must be clearly identified. 
At least one U.S. contact must be provided.
    (2) A description of the durability group in accordance with the 
criteria listed in Sec.  86.1820-01, or as otherwise used to group a 
product line.
    (3) A description of applicable evaporative/refueling families and 
leak families in accordance with the criteria listed in Sec.  86.1821-
01, or as otherwise used to group a product line.
    (4) Durability information. (i) A description of the durability 
method used to establish useful life durability, including exhaust and 
evaporative/refueling emission deterioration factors as required in 
Sec. Sec.  86.1823, 86.1824 and 86.1825 when applicable.
    (ii) The equivalency factor required to be calculated in Sec.  
86.1823-08(e)(1)(iii)(B), when applicable.
    (5) A description of each test group in accordance with the criteria 
listed in Sec.  86.1827-01 or as otherwise used to group a product line.
    (6) Identification and description of all vehicles for which testing 
is required by Sec. Sec.  86.1822-01 and 86.1828-01 to obtain a 
certificate of conformity.
    (7) A comprehensive list of all test results, including official 
certification levels, and the applicable intermediate and full useful 
life emission standards to which the test group is to be certified as 
required in Sec.  86.1829. Include the following additional information 
related to testing:
    (i) For vehicles certified to any Tier 3 emission standards, include 
a comparison of drive-cycle metrics as specified in 40 CFR 1066.425(j) 
for each drive cycle or test phase, as appropriate.
    (ii) For gasoline-fueled Tier 3 vehicles, identify the method of 
accounting for ethanol in determining evaporative emissions, as 
described in Sec.  86.1813.
    (iii) Identify any aspects of testing for which the regulations 
obligate EPA testing to conform to your selection of test methods.

[[Page 1057]]

    (iv) For heavy-duty vehicles subject to air conditioning standards 
under Sec.  86.1819, include the refrigerant leakage rates (leak 
scores), describe the type of refrigerant, and identify the refrigerant 
capacity of the air conditioning systems. If another company will 
install the air conditioning system, also identify the corporate name of 
the final installer.
    (8) A statement that all applicable vehicles will conform to the 
emission standards for which emission data is not being provided, as 
allowed under Sec.  86.1806 or Sec.  86.1829. The statement shall 
clearly identify the standards for which emission testing was not 
completed.
    (9) Information describing each emission control diagnostic system 
required by Sec.  86.1806, including all of the following:
    (i) A description of the functional operation characteristics of the 
diagnostic system, with additional information demonstrating that the 
system meets the requirements specified in Sec.  86.1806. Include all 
testing and demonstration data submitted to the California Air Resources 
Board for certification.
    (ii) The general method of detecting malfunctions for each emission-
related powertrain component.
    (iii) Any deficiencies, including resolution plans and schedules.
    (iv) A statement that the diagnostic system is adequate for the 
performance warranty test described in 40 CFR Part 85, subpart W.
    (v) For vehicles certified to meet the leak standard in Sec.  
86.1813, a description of the anticipated test procedure. The 
description must include, at a minimum, a method for accessing the fuel 
system for measurements and a method for pressurizing the fuel system to 
perform the procedure specified in 40 CFR 1066.985. The recommended test 
method must include at least two separate points for accessing the fuel 
system, with additional access points as appropriate for multiple fuel 
tanks and multiple evaporative or refueling canisters.
    (10) A description of all flexible or dedicated alternate fuel 
vehicles including, but not limited to, the fuel and/or percentage of 
alternate fuel for all such vehicles.
    (11) A list of all auxiliary emission control devices (AECD) 
installed on any applicable vehicles, including a justification for each 
AECD, the parameters they sense and control, a detailed justification of 
each AECD that results in a reduction in effectiveness of the emission 
control system, and rationale for why it is not a defeat device as 
defined under Sec.  86.1809. The following specific provisions apply for 
AECDs:
    (i) For any AECD uniquely used at high altitudes, EPA may request 
engineering emission data to quantify any emission impact and validity 
of the AECD.
    (ii) For any AECD uniquely used on multi-fuel vehicles when operated 
on fuels other than gasoline, EPA may request engineering emission data 
to quantify any emission impact and validity of the AECD.
    (iii) For Tier 3 vehicles with spark-ignition engines, describe how 
AECDs are designed to comply with the requirements of Sec.  86.1811-
17(d). Identify which components need protection through enrichment 
strategies; describe the temperature limitations for those components; 
and describe how the enrichment strategy corresponds to those 
temperature limitations. We may also require manufacturers to submit 
this information for certification related to Tier 2 vehicles.
    (12) Identification and description of all vehicles covered by each 
certificate of conformity to be produced and sold within the U.S. The 
description must be sufficient to identify whether any given in-use 
vehicle is, or is not, covered by a given certificate of conformity, the 
test group and the evaporative/refueling family to which it belongs and 
the standards that are applicable to it, by matching readily observable 
vehicle characteristics and information given in the emission control 
information label (and other permanently attached labels) to indicators 
in the Part 1 Application. In addition, the description must be 
sufficient to determine for each vehicle covered by the certificate, all 
appropriate test parameters and any special test procedures necessary to 
conduct an official certification exhaust or evaporative emission

[[Page 1058]]

test as was required by this subpart to demonstrate compliance with 
applicable emission standards. The description shall include, but is not 
limited to, information such as model name, vehicle classification 
(light-duty vehicle, light-duty truck, or complete heavy-duty vehicle), 
sales area, engine displacement, engine code, transmission type, tire 
size and parameters necessary to conduct exhaust emission tests such as 
equivalent test weight, curb and gross vehicle weight, test horsepower 
(with and without air conditioning adjustment), coast down time, shift 
schedules, cooling fan configuration, etc. and evaporative tests such as 
canister working capacity, canister bed volume and fuel temperature 
profile. The Part 1 may include ranges for test parameters in lieu of 
actual values.
    (13) Projected U.S. vehicle sales volumes for each test group and 
evaporative/refueling family combination organized in such a way to 
determine projected compliance with any applicable implementation 
schedules or minimum sales requirements as specified in Sec.  86.1810 or 
as otherwise required by this chapter.
    (14) A request for a certificate of conformity for each test group 
after all required testing has been completed. The request must be 
signed by an authorized manufacturer representative and include a 
statement that the test group complies with all applicable regulations 
contained within this chapter.
    (15)(i) For HEVs and EVs, describe the recharging procedures and 
methods for determining battery performance, such as state of charge and 
charging capacity.
    (ii) For vehicles with fuel-fired heaters, include the information 
specified in this paragraph (d)(15)(ii). Describe the control system 
logic of the fuel-fired heater, including an evaluation of the 
conditions under which it can be operated and an evaluation of the 
possible operational modes and conditions under which evaporative 
emissions can exist. Use good engineering judgment to establish an 
estimated exhaust emission rate from the fuel-fired heater in grams per 
mile. Describe the testing used to establish the exhaust emission rate.
    (16) (i) A statement indicating that the manufacturer has conducted 
an engineering analysis of the complete exhaust system to ensure that 
the exhaust system has been designed-
    (A) To facilitate leak-free assembly, installation and operation for 
the full useful life of the vehicle; and
    (B) To facilitate that such repairs as might be necessary on a 
properly maintained and used vehicle can be performed in such a manner 
as to maintain leak-free operation, using tools commonly available in a 
motor vehicle dealership or independent repair shop for the full useful 
life of the vehicle.
    (ii) The analysis must cover the exhaust system and all related and 
attached components including the air injection system, if present, from 
the engine block manifold gasket surface to a point sufficiently past 
the last catalyst and oxygen sensor in the system to assure that leaks 
beyond that point will not permit air to reach the oxygen sensor or 
catalyst under normal operating conditions.
    (iii) A ``leak-free'' system is one in which leakage is controlled 
so that it will not lead to a failure of the certification exhaust 
emission standards in-use.
    (17) The name of an agent for service of process located in the 
United States. Service on this agent constitutes service on you or any 
of your officers or employees for any action by EPA or otherwise by the 
United States related to the requirements of this part.
    (e) Part 2 Application. Part 2 must contain the following items:
    (1) A list of part numbers of all emission-related components and 
AECDs for each emission control system, including those found on actual 
components. The part numbers shall be organized by engine code or other 
similar classification scheme.
    (2) Basic calibration information, organized by engine code (or 
other similar classification scheme), for the major components of the 
fuel system, EGR system, ignition system, oxygen sensor(s) and 
thermostat. Examples of major components and associated calibration 
information include, but are not limited to; fuel pump and fuel pump 
flow rate, fuel pressure regulator and regulated fuel pressure, EGR 
valve

[[Page 1059]]

and EGR exhaust gas flow rate at specified vacuum levels, EGR vacuum 
regulator and regulated vacuum, EGR orifice and orifice diameter, basic 
engine timing, timing RPM, idle rpm, spark plug gap, oxygen sensor 
output (mV), and thermostat opening temperature.
    (3) Identification and description of all vehicles covered by each 
certificate of conformity to be produced and sold within the U.S. The 
description must be sufficient to identify whether any given in-use 
vehicle is, or is not, covered by a given certificate of conformity, the 
test group and the evaporative/refueling family to which it belongs and 
the standards that are applicable to it, by matching readily observable 
vehicle characteristics and information given in the emission control 
information label (and other permanently attached labels) to indicators 
in the Part 1 Application. In addition, the description must be 
sufficient to determine for each vehicle covered by the certificate, all 
appropriate test parameters and any special test procedures necessary to 
conduct an official certification exhaust or evaporative emission test 
as was required by this subpart to demonstrate compliance with 
applicable emission standards. The description shall include, but is not 
limited to, information such as model name, vehicle classification 
(light-duty vehicle, light-duty truck, or complete heavy-duty vehicle), 
sales area, engine displacement, engine code, transmission type, tire 
size and parameters necessary to conduct exhaust emission tests such as 
equivalent test weight, curb and gross vehicle weight, test horsepower 
(with and without air conditioning adjustment), coast down time, shift 
schedules, cooling fan configuration, etc and evaporative tests such as 
canister working capacity, canister bed volume and fuel temperature 
profile. Actual values must be provided for all parameters.
    (4) Final U.S. vehicle sales volumes for each test group and 
evaporative/refueling family combination organized in such a way to 
verify compliance with any applicable implementation schedules. Final 
sales are not required until the final update to the Part 2 Application 
at the end of the model year.
    (i) The manufacturer may petition the Administrator to allow actual 
volume produced for U.S. sale to be used in lieu of actual U.S. sales. 
The petition must establish that production volume is functionally 
equivalent to sales volume.
    (ii) The U.S. sales volume shall be based on the location of the 
point of sale to a dealer, distributor, fleet operator, broker, or any 
other entity which comprises the point of first sale.
    (5) Copies of all service manuals, service bulletins and 
instructions regarding the use, repair, adjustment, maintenance, or 
testing of such vehicles relevant to the control of crankcase, exhaust 
or evaporative emissions, as applicable, issued by the manufacturer (in 
written or electronic form) for use by other manufacturers, assembly 
plants, distributors, dealers, and ultimate purchasers. These shall be 
submitted to the Agency when they are made available to the public and 
must be updated as appropriate throughout the useful life of the 
corresponding vehicles.
    (6) The NMOG/NMHC and HCHO to NMHC ratios established according to 
Sec.  86.1845-04.
    (7) The results of any production vehicle evaluation testing 
required for OBD systems under Sec.  86.1806.
    (f) Running change submissions. A manufacturer shall submit to the 
Administrator a notification of all running changes as required in 
accordance with Sec. Sec.  86.1842-01 and 86.1843-01 at the time each 
change is incorporated into production. Each running change notification 
shall include:
    (1) A detailed description of the change;
    (2) The reason for the change;
    (3) The portion of the product line that is affected by the change, 
including information sufficient to identify whether any given in-use 
vehicle includes the change;
    (4) The effect the change will have on emissions;
    (5) Any test data that is determined to be necessary to demonstrate 
compliance with applicable emission standards; and
    (6) A summary report for each test group which provides an overview 
of all

[[Page 1060]]

running changes that have been incorporated since certification.
    (g) The manufacturer shall provide the following information, or 
other information as deemed necessary by the Administrator, to the 
Agency upon written request by the Administrator. This includes any 
information, or explanations of such information specified in paragraphs 
(d), (e), and (f) of this section.
    (1) A detailed description of the basis for all good engineering 
judgment decisions that were required to be made by the manufacturer. 
These include, but are not limited to, placement of vehicles into 
durability and test groups, the appropriateness of a durability process 
for future model years, worst-case vehicle selections for durability and 
emission data purposes, and carry-over or carry-across of emission test 
data.
    (2) The basis used for all compliance statements submitted under 
this section. Each statement must be supported by the manufacturer using 
good engineering judgment and should include any emission test data, 
development test data, or other supporting information deemed necessary. 
This includes information necessary to demonstrate compliance with any 
emission standards for which a compliance statement was submitted in 
lieu of actual emission test data as allowed under Sec.  86.1810.
    (3) Detailed technical descriptions of emission-related components 
and AECDs, including schematic diagrams and hose and wire routings which 
describe the fundamental operating characteristics of each emission 
control system.
    (4) Detailed calibration specifications for all emission-related 
components and AECDs.
    (5) Any information necessary to demonstrate that no defeat devices 
are present on any vehicles covered by a certificate including, but not 
limited to, a description of the technology employed to control CO 
emissions at intermediate temperatures, as applicable.
    (6) The following information describing any adjustable parameters:
    (i) A list of those parameters which are physically capable of being 
adjusted (including those adjustable parameters for which access is 
difficult) and that, if adjusted to settings other than the 
manufacturer's recommended setting, may affect emissions;
    (ii) A specification of the manufacturer's intended physically 
adjustable range of each such parameter, and the production tolerances 
of the limits or stops used to establish the physically adjustable 
range;
    (iii) A description of the limits or stops used to establish the 
manufacturer's intended physically adjustable range of each adjustable 
parameter, or any other means used to inhibit adjustment;
    (iv) The nominal or recommended setting, and the associated 
production tolerances, for each such parameter;
    (v) The specifications used during all emission testing required by 
this subpart.
    (7) A history of each motor vehicle used for certification testing, 
including a general description of the buildup of the vehicle and 
engine. Each history shall begin when any of the selection or buildup 
activities occur and should include details of the use of the vehicle 
for development testing. Each history must include a description of the 
origin and selection process for fuel system components, fuel injection 
components and emission control system components and specify the steps 
taken to assure that the certification vehicle will be representative of 
production vehicles.
    (8) A record of all emission tests performed on all durability and 
emission data vehicles required to be tested by this subpart including 
test results, the date and purpose of each test, and the number of miles 
accumulated on the vehicle.
    (9) A record and description of any significant events (including 
extraordinary events such as vehicle accidents or dynamometer runaway) 
affecting any certification test vehicle, including all maintenance, 
servicing or tests performed to diagnose engine or emission control 
system performance. The date and time of each event and an explanation 
must be included.
    (10) For vehicles with non-integrated refueling emission control 
systems, a description of the drivedown used to

[[Page 1061]]

purge the refueling canister and a description of the procedures used to 
determine the number of equivalent UDDS cycles required to purge the 
refueling canisters, as determined from the fuel economy on the UDDS 
applicable to the test vehicle of that evaporative/refueling family and 
emission control system combination required to use a volume of fuel 
equal to 85% of fuel tank volume and from subpart B of this part.
    (11) A description of all procedures, including any special 
procedures, used to comply with applicable test requirements of this 
subpart. Any special procedures used to establish durability data or 
emission deterioration factors required to be determined under 
Sec. Sec.  86.1823-01, 86.1824-01 and 86.1825-01 and to conduct emission 
tests required to be performed on applicable emission data vehicles 
under Sec.  86.1829-01 according to test procedures contained within 
this Title must also be included.
    (12) A description of any unique procedures required to perform 
evaporative/refueling emission tests for all vehicles in each 
evaporative/refueling family and a description of the method used to 
develop those unique procedures, including canister working capacity, 
canister bed volume and fuel temperature profile for the running loss 
test.
    (13) A description of the method to be used to decode vehicle 
identification numbers.
    (14) For complete heavy-duty vehicles only, all hardware (including 
scan tools) and documentation necessary for EPA to read, interpret, and 
store (in engineering units if applicable) any information broadcast by 
an engine's on-board computers and electronic control modules which 
relates in anyway to emission control devices and auxiliary emission 
control devices, provided that such hardware, passwords, or 
documentation exists and is not otherwise commercially available. 
Passwords include any information necessary to enable generic scan tools 
or personal computers access to proprietary emission related information 
broadcast by an engine's on-board computer, if such passwords exist. 
This requirement includes access by EPA to any proprietary code 
information which may be broadcast by an engine's on-board computer and 
electronic control modules. Information which is confidential business 
information must be marked as such. Engineering units refers to the 
ability to read, interpret, and store information in commonly understood 
engineering units, for example, engine speed in revolutions per minute 
or per second, injection timing parameters such as start of injection in 
degree's before top-dead center, fueling rates in cubic centimeters per 
stroke, vehicle speed in milers per hour or per kilometer.
    (h) In-use information requirements. Manufacturers must submit the 
information required in Sec.  86.1847-01.
    (i) For exhaust emission testing for Tier 2 and interim non-Tier 2 
vehicles, if approved by the Administrator in advance, manufacturers may 
submit exhaust emission test data generated under California test 
procedures to comply with any certification and in-use testing 
requirements under this subpart. The Administrator may require 
supporting information to establish that differences between California 
and Federal exhaust testing procedures and fuels will not produce 
significant differences in emission results. The Administrator may 
require that in-use testing be performed using Federal test fuels as 
specified in Sec.  86.113-04(a)(1).

[64 FR 23925, May 4, 1999, as amended at 65 FR 6865, Feb. 10, 2000; 65 
FR 59976, Oct. 6, 2000; 71 FR 2837, Jan. 17, 2006; 71 FR 51489, Aug. 30, 
2006; 72 FR 8566, Feb. 26, 2007; 75 FR 66457, Oct. 28, 2010; 76 FR 
57378, Sept. 15, 2011; 78 FR 36388, June 17, 2013; 79 FR 23730, Apr. 28, 
2014; 80 FR 9109, Feb. 19, 2015; 81 FR 73991, Oct. 25, 2016]



Sec.  86.1845-04  Manufacturer in-use verification testing requirements.

    (a) General requirements. (1) Manufacturers of LDV, LDT, MDPV and 
complete HDV must test, or cause to have tested, a specified number of 
vehicles. Such testing must be conducted in accordance with the 
provisions of this section.
    (2) Unless otherwise approved by the Administrator, no emission 
measurements made under the requirements of this section may be adjusted 
by Reactivity Adjustment Factors (RAFs).

[[Page 1062]]

    (3) The following provisions apply regarding the possibility of 
residual effects from varying fuel sulfur levels:
    (i) Vehicles certified to Tier 3 standards under Sec.  86.1811 must 
always measure emissions over the FTP, then over the HFET (if 
applicable), then over the US06 portion of the SFTP. If a Tier 3 vehicle 
meets all the applicable emission standards except the FTP or HFET 
emission standard for NMOG + NOX, and a fuel sample from the 
tested vehicle (representing the as-received condition) has a measured 
fuel sulfur level exceeding 15 ppm when measured as described in 40 CFR 
1065.710, the manufacturer may repeat the FTP and HFET measurements and 
use the new emission values as the official results for that vehicle. 
For all other cases of testing Tier 3 vehicles, measured emission levels 
from the first test will be considered the official results for the test 
vehicle, regardless of any test results from additional test runs. Where 
repeat testing is allowed, the vehicle may operate for up to two US06 
cycles (with or without measurement) before repeating the FTP and HFET 
measurements. The repeat measurements must include both FTP and HFET, 
even if the vehicle failed only one of those tests, unless the HFET is 
not required for a particular vehicle. Tier 3 vehicles may not undergo 
any other vehicle preconditioning to eliminate fuel sulfur effects on 
the emission control system, unless we approve it in advance.
    (ii) Upon a manufacturer's written request, prior to in-use testing, 
that presents information to EPA regarding pre-conditioning procedures 
designed solely to remove the effects of high sulfur in gasoline from 
vehicles produced through the 2007 model year, EPA will consider 
allowing such procedures on a case-by-case basis. EPA's decision will 
apply to manufacturer in-use testing conducted under this section and to 
any in-use testing conducted by EPA. Such procedures are not available 
for complete HDV. For model year 2007 and later Tier 2 vehicles, this 
provision can be used only in American Samoa, Guam, and the Commonwealth 
of the Northern Mariana Islands, and then only if low sulfur gasoline is 
determined by the Administrator to be unavailable in that specific 
location.
    (b) Low-mileage testing--(1) Test groups. Testing must be conducted 
for each test group.
    (2) Vehicle mileage. All test vehicles must have a minimum odometer 
mileage of 10,000 miles.
    (3) Number of test vehicles. For each test group, the minimum number 
of vehicles that must be tested is specified in Table S04-06 and Table 
S04-07 of this paragraph (b)(3). After testing the minimum number of 
vehicles of a specific test group as specified in Table S04-06 or S04-07 
of this paragraph (b)(3), a manufacturer may test additional vehicles 
upon request and approval by the Agency prior to the initiation of the 
additional testing. Any additional testing must be completed within the 
testing completion requirements shown in Sec.  86.1845-04(b)(4). The 
request and Agency approval (if any) shall apply to test groups on a 
case by case basis and apply only to testing under this paragraph. 
Separate approval will be required to test additional vehicles under 
paragraph (c) of this section. In addition to any testing that is 
required under Table S04-06 and Table S04-07, a manufacturer shall test 
one vehicle from each evaporative/refueling family for evaporative/
refueling emissions. If a manufacturer believes it is unable to procure 
the test vehicles necessary to test the required number of vehicles in a 
test group, the manufacturer may request, subject to Administrator 
approval, a decreased sample size for that test group. The request shall 
include a description of the methods the manufacturer has used to 
procure the required number of vehicles. The approval of any such 
request, and the substitution of an alternative sample size requirement 
for the test group, will be based on a review of the procurement efforts 
made by the manufacturer to determine if all reasonable steps have been 
taken to procure the required test group size. Tables S04-06 and S04-07 
follow:

[[Page 1063]]



                Table S04-06--Small Volume Manufacturers
------------------------------------------------------------------------
  49 and 50 State total sales \1\          1-5000           5001-14,999
------------------------------------------------------------------------
Low Mileage.......................  Voluntary...........               0
High Mileage......................  Voluntary...........               2
------------------------------------------------------------------------
\1\ Manufacturer's total annual sales.


                                    Table S04-07--Large Volume Manufacturers
----------------------------------------------------------------------------------------------------------------
  49 and 50 State annual sales                      5001-14,999    1-50,000
              \1\                    1-5000 \2\         \2\          \3\      50,001-250,000  250,000
----------------------------------------------------------------------------------------------------------------
Low Mileage....................  Voluntary........            0            2              3                 4
High Mileage...................  Voluntary........            2            4              5                 6
----------------------------------------------------------------------------------------------------------------
\1\ Sales by test group.
\2\ Total annual production of groups eligible for testing under small volume sampling plan is capped at a
  maximum of 14,999 vehicle 49 or 50 state annual sales, or a maximum of 4,500 vehicle California only sales per
  model year, per large volume manufacturer.
\3\ Sampling plan applies to all of a manufacturer's remaining groups in this sales volume category when the
  maximum annual cap on total sales of small groups eligible for the small volume sampling plan is exceeded.

    (4) Completion of testing. Testing of the vehicles in a test group 
and evaporative/refueling family must be completed within 12 months of 
the end of production of that test group (or evaporative/refueling 
family) for that model year.
    (5) Testing. (i) Each test vehicle of a test group shall be tested 
in accordance with the FTP and the US06 portion of the SFTP as described 
in subpart B of this part, when such test vehicle is tested for 
compliance with applicable exhaust emission standards under this 
subpart. Test vehicles subject to applicable exhaust CO2 
emission standards under this subpart shall also be tested in accordance 
with the HFET as described in 40 CFR 1066.840.
    (ii) For vehicles subject to Tier 3 PM standards, manufacturers must 
measure PM emissions over the FTP and US06 driving schedules for at 
least 50 percent of the vehicles tested under paragraph (b)(5)(i) of 
this section.
    (iii) Starting with model year 2018 vehicles, manufacturers must 
demonstrate compliance with the Tier 3 leak standard specified in Sec.  
86.1813, if applicable, as described in this paragraph (b)(5)(iii). 
Manufacturers must evaluate each vehicle tested under paragraph 
(b)(5)(i) of this section, except that leak testing is not required for 
vehicles tested under paragraph (b)(5)(iv) of this section for diurnal 
emissions. In addition, manufacturers must evaluate at least one vehicle 
from each leak family for a given model year. Manufacturers may rely on 
OBD monitoring instead of testing as follows:
    (A) A vehicle is considered to pass the leak test if the OBD system 
completed a leak check within the previous 750 miles of driving without 
showing a leak fault code.
    (B) Whether or not a vehicle's OBD system has completed a leak check 
within the previous 750 miles of driving, the manufacturer may operate 
the vehicle as needed to force the OBD system to perform a leak check. 
If the OBD leak check does not show a leak fault, the vehicle is 
considered to pass the leak test.
    (C) If the most recent OBD leak check from paragraph (b)(5)(iii)(A) 
or (B) of this section shows a leak-related fault code as specified in 
Sec.  86.1806-17(b), the vehicle is presumed to have failed the leak 
test. Manufacturers may perform the leak measurement procedure described 
in 40 CFR 1066.985 for an official result to replace the finding from 
the OBD leak check.
    (D) Manufacturers may not perform repeat OBD checks or leak 
measurements to over-ride a failure under paragraph (b)(5)(iii)(C) of 
this section.
    (iv) For nongaseous-fueled vehicles, one test vehicle of each 
evaporative/refueling family shall be tested in accordance with the 
supplemental 2-diurnal-plus-hot-soak evaporative emission and refueling 
emission procedures described in subpart B of this part, when such test 
vehicle is tested for compliance with applicable evaporative emission 
and refueling standards under this

[[Page 1064]]

subpart. For gaseous-fueled vehicles, one test vehicle of each 
evaporative/refueling family shall be tested in accordance with the 3-
diurnal-plus-hot-soak evaporative emission and refueling emission 
procedures described in subpart B of this part, when such test vehicle 
is tested for compliance with applicable evaporative emission and 
refueling standards under this subpart. The test vehicles tested to 
fulfill the evaporative/refueling testing requirement of this paragraph 
(b)(5)(iv) will be counted when determining compliance with the minimum 
number of vehicles as specified in Table S04-06 and Table S04-07 in 
paragraph (b)(3) of this section for testing under paragraph (b)(5)(i) 
of this section only if the vehicle is also tested for exhaust emissions 
under the requirements of paragraph (b)(5)(i) of this section.
    (6) Each test vehicle not rejected based on the criteria specified 
in appendix II to this subpart shall be tested in as-received condition.
    (7) A manufacturer may conduct subsequent diagnostic maintenance 
and/or testing of any vehicle. Any such maintenance and/or testing shall 
be reported to the Agency as specified in Sec.  86.1847.
    (c) High-mileage testing--(1) Test groups. Testing must be conducted 
for each test group.
    (2) Vehicle mileage. All test vehicles must have a minimum odometer 
mileage of 50,000 miles. At least one vehicle of each test group must 
have a minimum odometer mileage of 105,000 miles or 75 percent of the 
full useful life mileage, whichever is less. See Sec.  86.1838-01(c)(2) 
for small-volume manufacturer mileage requirements.
    (3) Number of test vehicles. For each test group, the minimum number 
of vehicles that must be tested is specified in Table S04-06 and Table 
S04-07 in paragraph (b)(3) of this section. After testing the minimum 
number of vehicles of a specific test group as specified in Table S04-06 
and Table S04-07 in paragraph (b)(3) of this section, a manufacturer may 
test additional vehicles upon request and approval by the Agency prior 
to the initiation of the additional testing. Any additional testing must 
be completed within the testing completion requirements shown in Sec.  
86.1845-04(c)(4). The request and Agency approval (if any) shall apply 
to test groups on a case by case basis and apply only to testing under 
this paragraph (c). In addition to any testing that is required under 
Table S04-06 and Table S04-07, a manufacturer shall test one vehicle 
from each evaporative/refueling family for evaporative/refueling 
emissions. If a manufacturer believes it is unable to procure the test 
vehicles necessary to test the required number of vehicles in a test 
group as specified in Table S04-06 or Table S04-07, the manufacturer may 
request, subject to Administrator approval, a decreased sample size for 
that test group. The request shall include a description of the methods 
the manufacturer has used to procure the required number of vehicles. 
The approval of any such request, and the substitution of an alternative 
sample size requirement for the test group, will be based on a review of 
the procurement efforts made by the manufacturer to determine if all 
reasonable steps have been taken to procure the required test group 
size.
    (4) Initiation and completion of testing. Testing of a test group 
(or evaporative refueling family) must commence within 4 years of the 
end of production of the test group (or evaporative/refueling family) 
and be completed within 5 years of the end of production of the test 
group (or evaporative/refueling family).
    (5) Testing. (i) Each test vehicle shall be tested in accordance 
with the FTP and the US06 portion of the SFTP as described in subpart B 
of this part when such test vehicle is tested for compliance with 
applicable exhaust emission standards under this subpart. Test vehicles 
subject to applicable exhaust CO2 emission standards under 
this subpart shall also be tested in accordance with the HFET as 
described in 40 CFR 1066.840. One test vehicle from each test group 
shall be tested over the FTP at high altitude. The test vehicle tested 
at high altitude is not required to be one of the same test vehicles 
tested at low altitude. The test vehicle tested at high altitude is 
counted when determining the compliance with the requirements shown in 
Table S04-06 and Table S04-07 in paragraph (b)(3) of this section or the 
expanded

[[Page 1065]]

sample size as provided for in this paragraph (c).
    (ii) For vehicles subject to Tier 3 PM standards, manufacturers must 
measure PM emissions over the FTP and US06 driving schedules for at 
least 50 percent of the vehicles tested under paragraph (c)(5)(i) of 
this section.
    (iii) Starting with model year 2018 vehicles, manufacturers must 
evaluate each vehicle tested under paragraph (c)(5)(i) of this section 
to demonstrate compliance with the Tier 3 leak standard specified in 
Sec.  86.1813, except that leak testing is not required for vehicles 
tested under paragraph (c)(5)(iv) of this section for diurnal emissions. 
In addition, manufacturers must evaluate at least one vehicle from each 
leak family for a given model year. Manufacturers may rely on OBD 
monitoring instead of testing as described in paragraph (b)(5)(iii) of 
this section.
    (iv) For nongaseous-fueled vehicles, one test vehicle of each 
evaporative/refueling family shall be tested in accordance with the 
supplemental 2-diurnal-plus-hot-soak evaporative emission procedures 
described in subpart B of this part, when such test vehicle is tested 
for compliance with applicable evaporative emission and refueling 
standards under this subpart. For gaseous-fueled vehicles, one test 
vehicle of each evaporative/refueling family shall be tested in 
accordance with the 3-diurnal-plus-hot-soak evaporative emission 
procedures described in subpart B of this part, when such test vehicle 
is tested for compliance with applicable evaporative emission and 
refueling standards under this subpart. The vehicles tested to fulfill 
the evaporative/refueling testing requirement of this paragraph 
(c)(5)(iv) will be counted when determining compliance with the minimum 
number of vehicles as specified in Table S04-06 and table S04-07 in 
paragraph (b)(3) of this section for testing under paragraph (c)(5)(i) 
of this section only if the vehicle is also tested for exhaust emissions 
under the requirements of paragraph (c)(5)(i) of this section.
    (6) Test condition. Each test vehicle not rejected based on the 
criteria specified in appendix II to this subpart shall be tested in as-
received condition.
    (7) Diagnostic maintenance. A manufacturer may conduct subsequent 
diagnostic maintenance and/or testing on any vehicle. Any such 
maintenance and/or testing shall be reported to the Agency as specified 
in Sec.  86.1847-01.
    (d) Test vehicle procurement. (1) Vehicles tested under this section 
shall be procured pursuant to the provisions of this paragraph (d). 
Vehicles shall be procured from the group of persons who own or lease 
vehicles registered in the procurement area.
    (2) Vehicles shall be procured from persons which own or lease the 
vehicle, excluding commercial owners/lessees which are owned or 
controlled by the vehicle manufacturer, using the procedures described 
in appendix I to this subpart. See Sec.  86.1838(c)(2)(i) for small 
volume manufacturer requirements.
    (3) Geographical limitations. (i) Test groups certified to 50-state 
standards: For low altitude testing no more than fifty percent of the 
test vehicles may be procured from California. The test vehicles 
procured from the 49 state area must be procured from a location with a 
heating degree day 30 year annual average equal to or greater than 4000.
    (ii) Test groups certified to 49 state standards: The test vehicles 
procured from the 49 state area must be procured from a location with a 
heating degree day 30 year annual average equal to or greater than 4000.
    (iii) Vehicles procured for high altitude testing may be procured 
from any area located above 4000 feet.
    (4) Vehicles may be rejected for procurement or testing under this 
section if they meet one or more of the rejection criteria in appendix 
II to this subpart. Vehicles may also be rejected after testing under 
this section if they meet one or more of the rejection criteria in 
appendix II to this subpart. Any vehicle rejected after testing must be 
replaced in order that the number of test vehicles in the sample comply 
with the sample size requirements of this section. Any post-test vehicle 
rejection and replacement procurement and testing must take place within 
the testing completion requirements of this section.
    (e) Testing facilities, procedures, quality assurance and quality 
control--(1) Lab

[[Page 1066]]

equipment and procedural requirements. The manufacturer shall utilize a 
test laboratory that is in accordance with the equipment and procedural 
requirements of subpart B of this part to conduct the testing required 
by this section.
    (2) The manufacturer shall notify the Agency of the name and 
location of the testing laboratory(s) to be used to conduct testing of 
vehicles of each model year conducted pursuant to this section. Such 
notification shall occur at least thirty working days prior to the 
initiation of testing of the vehicles of that model year.
    (3) Correlation. The manufacturer shall document correlation 
traceable to the Environmental Protection Agency's National Vehicle and 
Fuel Emission Laboratory for its test laboratory utilized to conduct the 
testing required by this section.
    (f)(1) A manufacturer must conduct in-use testing on a test group by 
determining NMOG exhaust emissions using the same methodology used for 
certification, as described in Sec.  86.1810-01(o) or 40 CFR 1066.635.
    (2) For flexible-fueled vehicles certified to NMOG (or NMOG + 
NOX) standards, the manufacturer may ask for EPA approval to 
demonstrate compliance using an equivalent NMOG emission result 
calculated from a ratio of ethanol NMOG exhaust emissions to gasoline 
NMHC exhaust emissions. Ethanol NMOG exhaust emissions are measured 
values from testing with the ethanol test fuel, expressed as NMOG. 
Gasoline NMHC exhaust emissions are measured values from testing with 
the gasoline test fuel, expressed as NMHC. This ratio must be 
established during certification for each emission-data vehicle for the 
applicable test group. Use good engineering judgment to establish a 
different ratio for each duty cycle or test interval as appropriate. 
Identify the ratio values you develop under this paragraph (f)(2) and 
describe the duty cycle or test interval to which they apply in the Part 
II application for certification. Calculate the equivalent NMOG emission 
result by multiplying the measured gasoline NMHC exhaust emissions for a 
given duty cycle or test interval by the appropriate ratio.
    (3) If the manufacturer measures NMOG as described in 40 CFR 
1066.635(a), it must also measure and report HCHO emissions. As an 
alternative to measuring the HCHO content, if the manufacturer measures 
NMOG as permitted in 40 CFR 1066.635(c), the Administrator may approve, 
upon submission of supporting data by a manufacturer, the use of HCHO to 
NMHC ratios. To request the use of HCHO to NMHC ratios, the manufacturer 
must establish during certification testing the ratio of measured HCHO 
exhaust emissions to measured NMHC exhaust emissions for each emission-
data vehicle for the applicable test group. The results must be 
submitted to the Administrator with the Part II application for 
certification. Following approval of the application for certification, 
the manufacturer may conduct in-use testing on the test group by 
measuring NMHC exhaust emissions rather than HCHO exhaust emissions. The 
measured NMHC exhaust emissions must be multiplied by the HCHO to NMHC 
ratio submitted in the application for certification for the test group 
to determine the equivalent HCHO exhaust emission values for the test 
vehicle. The equivalent HCHO exhaust emission values must be compared to 
the HCHO exhaust emission standard applicable to the test group.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6865, Feb. 10, 2000; 65 
FR 59977, Oct. 6, 2000; 66 FR 19310, Apr. 13, 2001; 70 FR 72929, Dec. 8, 
2005; 71 FR 78094, Dec. 28, 2006; 75 FR 25690, May 7, 2010; 79 FR 23730, 
Apr. 28, 2014; 80 FR 9109, Feb. 19, 2015; 81 FR 73991, Oct. 25, 2016]



Sec.  86.1846-01  Manufacturer in-use confirmatory testing requirements.

    (a) General requirements. (1) Manufacturers must test, or cause 
testing to be conducted, under this section when the emission levels 
shown by a test group sample from testing under Sec.  86.1845 exceeds 
the criteria specified in paragraph (b) of this section. The testing 
required under this section applies separately to each test group and at 
each test point (low and high mileage) that meets the specified 
criteria. The testing requirements apply separately for each model year. 
These provisions apply to heavy-duty vehicles starting with model year 
2007. These provisions

[[Page 1067]]

do not apply to emissions of CO2, CH4, and 
N2O.
    (2) The provisions of Sec.  86.1845-04(a)(3) regarding fuel sulfur 
effects apply equally to testing under this section.
    (b) Criteria for additional testing. (1) A manufacturer shall test a 
test group or a subset of a test group as described in paragraph (j) of 
this section when the results from testing conducted under Sec.  86.1845 
show mean exhaust emissions for that test group of any pollutant(s) 
(except CO2, CH4, and N2O) to be equal 
to or greater than 1.30 times the applicable in-use standard and a 
failure rate, among the test group vehicles, for the corresponding 
pollutant(s) of fifty percent or greater.
    (i) Additional testing is not required under this paragraph (b)(1) 
based on evaporative/refueling testing or based on low-mileage 
Supplemental FTP testing conducted under Sec.  86.1845-04(b)(5)(i). 
Testing conducted at high altitude under the requirements of Sec.  
86.1845-04(c) will be included in determining if a test group meets the 
criteria triggering the testing required under this section.
    (ii) The vehicle designated for testing under the requirements of 
Sec.  86.1845-04(c)(2) with a minimum odometer reading of 105,000 miles 
or 75% of useful life, whichever is less, will not be included in 
determining if a test group meets the triggering criteria.
    (iii) The SFTP composite emission levels shall include the IUVP FTP 
emissions, the IUVP US06 emissions, and the values from the SC03 Air 
Conditioning EDV certification test (without DFs applied). The 
calculations shall be made using the equations prescribed in Sec.  
86.164. If more than one set of certification SC03 data exists (due to 
running change testing or other reasons), the manufacturer shall choose 
the SC03 result to use in the calculation from among those data sets 
using good engineering judgment.
    (2) If fewer than 50 percent of the vehicles from a leak family pass 
either the leak test or the diurnal test under Sec.  86.1845, EPA may 
require further leak testing under this paragraph (b)(2). Testing under 
this section must include five vehicles from the family. If all five of 
these vehicles fail the test, the manufacturer must test five additional 
vehicles.
    EPA will determine whether to require further leak testing under 
this section after providing the manufacturer an opportunity to discuss 
the results, including consideration of any of the following 
information, or other items that may be relevant:
    (i) Detailed system design, calibration, and operating information, 
technical explanations as to why the individual vehicles tested failed 
the leak standard.
    (ii) Comparison of the subject vehicles to other similar models from 
the same manufacturer.
    (iii) Data or other information on owner complaints, technical 
service bulletins, service campaigns, special policy warranty programs, 
warranty repair data, state I/M data, and data available from other 
manufacturer-specific programs or initiatives.
    (iv) Evaporative emission test data on any individual vehicles that 
did not pass leak testing during IUVP.
    (c) Useful life. Vehicles tested under the provisions of this 
section must be within the useful life specified for the emission 
standards which were exceeded in the testing under Sec.  86.1845. 
Testing should be within the useful life specified, subject to sections 
207(c)(5) and (c)(6) of the Clean Air Act where applicable.
    (d) Number of test vehicles. A manufacturer must test a minimum of 
ten vehicles of the test group or Agency-designated subset. A 
manufacturer may, at the manufacturer's discretion, test more than ten 
vehicles under this paragraph for a specific test group or Agency-
designated subset. If a manufacturer chooses to test more than the 
required ten vehicles, all testing must be completed within the time 
designated in the testing completion requirements of paragraph (g) of 
this section. Any vehicles which are eliminated from the sample either 
prior to or subsequent to testing, or any vehicles for which test 
results are determined to be void, must be replaced in order that the 
final sample of vehicles for which test results acceptable to the Agency 
are available equals a minimum of ten vehicles. A manufacturer may cease 
testing with a sample of five vehicles if the results of

[[Page 1068]]

the first five vehicles tested show mean emissions for each pollutant to 
be less than 75.0 percent of the applicable standard, with no vehicles 
exceeding the applicable standard for any pollutant.
    (e) Emission testing. Each test vehicle of a test group or Agency-
designated subset shall be tested in accordance with the FTP and/or the 
SFTP (whichever of these tests performed under Sec.  86.1845 produces 
emission levels requiring testing under this section) as described in 
subpart B of this part, when such test vehicle is tested for compliance 
with applicable exhaust emission standards under this subpart.
    (f) Geographical limitations. (1) Test groups or Agency-designated 
subsets certified to 50-state standards: For low altitude testing no 
more than 50 percent of the test vehicles may be procured from 
California. The test vehicles procured from the 49 state area must be 
procured from a location with a heating degree day 30 year annual 
average equal to or greater than 4000.
    (2) Test groups or Agency-designated subsets certified to 49 state 
standards: For low-altitude testing all vehicles shall be procured from 
a location with a heating degree day 30 year annual average equal to or 
greater than 4000.
    (3) Vehicles procured for high altitude testing may be procured from 
any area provided that the vehicle's primary area of operation was above 
4000 feet.
    (g) Testing. Testing required under this section must commence 
within three months of completion of the testing under Sec.  86.1845 
which triggered the confirmatory testing and must be completed within 
seven months of the completion of the testing which triggered the 
confirmatory testing. Any industry review of the results obtained under 
Sec.  86.1845 and any additional vehicle procurement and/or testing 
which takes place under the provisions of Sec.  86.1845 which the 
industry believes may affect the triggering of required confirmatory 
testing must take place within the three month period. The data and the 
manufacturers reasoning for reconsideration of the data must be provided 
to the Agency within the three month period.
    (h) Limit on manufacturer conducted testing. For each manufacturer, 
the maximum number of test group(s) (or Agency-designated subset(s)) of 
each model year for which testing under this section shall be required 
is limited to 50 percent of the total number of test groups of each 
model year required to be tested by each manufacturer as prescribed in 
Sec.  86.1845, rounded to the next highest whole number where 
appropriate. For each manufacturer with only one test group under Sec.  
86.1845, such manufacturer shall have a maximum potential testing 
requirement under this section of one test group (or Agency-designated 
subset) per model year.
    (i) Testing plan. Prior to beginning in-use confirmatory testing the 
manufacturer must, after consultation with the Agency, submit a written 
plan describing the details of the vehicle procurement, maintenance, and 
testing procedures (not otherwise specified by regulation) it intends to 
use. EPA must approve the test plan before the manufacturer may start 
further testing.
    (j) Testing a subset. EPA may designate a subset of the test group 
based on transmission type for testing under this section in lieu of 
testing the entire test group when the results for the entire test group 
from testing conducted under Sec.  86.1845 show mean emissions and a 
failure rate which meet these criteria for additional testing.

[79 FR 23732, Apr. 28, 2014, as amended at 80 FR 9110, Feb. 19, 2015; 81 
FR 73991, Oct. 25, 2016]



Sec.  86.1847-01  Manufacturer in-use verification and in-use 
confirmatory testing; submittal of information and maintenance of records.

    (a) The manufacturer who conducts or causes to be conducted testing 
of any motor vehicle under Sec.  86.1845-01 shall establish, maintain 
and retain the following records organized and indexed by test group and 
evaporative/refueling family:
    (1) A record documenting correlation as prescribed by Sec.  86.1845-
01(e)(3).
    (2) A description of all laboratory equipment calibrations and 
verifications as prescribed by subpart B of this part or otherwise as 
appropriate using good engineering judgment.

[[Page 1069]]

    (3) Procurement documentation. A description of the procurement 
area, a record of the source(s) of any list(s) of vehicles used as a 
basis for procurement, and a complete record of the number of vehicles 
rejected after positive vehicle owner response and reason(s) for 
manufacturer rejection of each rejected vehicle. A complete record of 
the number of vehicle owners/lessees in which attempt to contact was 
made and the number of vehicle owners/lessees actually contacted, the 
number of owners/lessees not contacted and the reasons and number of 
each for failure to contact, and the number of owners contacted who 
declined to participate.
    (4) All records required to be maintained under this paragraph shall 
be retained by the manufacturer for a period of eight (8) years after 
the end of production of the test group to which they relate.
    (b) The manufacturer who conducts or causes to be conducted testing 
of any motor vehicle under Sec.  86.1845-01 shall submit to the 
Administrator on a quarterly calendar year basis, with the information 
provided to the Administrator within 30 days of the end of the quarter 
of each calendar year, the following records organized by test group and 
evaporative/refueling family.
    (1) A complete record of all emission tests performed, including 
tests results, the date of each test, and the phase mass values for fuel 
economy, carbon dioxide and each pollutant measured by the Federal Test 
Procedure and Supplemental Federal Test Procedure as prescribed by 
subpart B of this part.
    (2) For each test vehicle within a test group, a record and 
description of procedures and test results pertaining to any inspection 
(including the information listed in appendix III to this subpart), 
diagnostics, and maintenance performed on the test vehicle prior to 
testing in as-received condition.
    (3) A record and description of any inspection, diagnostics, and 
maintenance performed and/or testing (including emission results) of any 
vehicle tested subsequent to its initial as-received test.
    (c) The manufacturer who conducts or causes to be conducted testing 
of any motor vehicle under Sec.  86.1845-01 shall submit to the 
Administrator a record of the name and location of the testing 
laboratory(s) to be used to conduct testing for each model year 30 
working days prior to the initiation of testing of that model year.
    (d) The manufacturer of any test vehicle subject to Sec.  86.1845-01 
shall report to the Agency the test results (identifying the vehicle 
test group and emission test results) of any test vehicle in which the 
test vehicle fails to meet any applicable emission standard. The 
manufacturer must make this report within 72 hours of the completion of 
the testing of the test vehicle.
    (e) The manufacturer who conducts or causes to be conducted testing 
of any motor vehicle under Sec.  86.1846-01 shall establish, maintain 
and retain the following organized and indexed records by test group or 
Agency-designated subset.
    (1) A description of all laboratory equipment calibrations and 
verifications as prescribed by subpart B of this part or by good 
engineering judgment.
    (2) Procurement documentation. A description of the procurement 
area, a record of the source(s) of any list(s) of vehicles used as a 
basis for procurement, a complete record of: the number of vehicle 
owners/lessees in which attempt to contact was made and the number of 
vehicle owners/lessees actually contacted; the number of owners/lessees 
not contacted and the reasons and number of each for failure to contact; 
the number of owners contacted who declined to participate; and a 
complete record of the number of vehicles rejected after positive 
vehicle owner response and reason(s) for manufacturer rejection of each 
rejected vehicle.
    (3) All records required to be maintained under this paragraph shall 
be retained by the manufacturer for a period of eight (8) years after 
the end of production of the test group to which they relate.
    (f) Within 30 working days of the completion of testing of a test 
group or Agency-designated subset performed under Sec.  86.1846-01, the 
manufacturer shall submit to the Administrator the following records 
organized by test group or Agency-designated subset.

[[Page 1070]]

    (1) A complete record of all emission tests performed, including 
tests results, the date of each test, and the phase mass values for fuel 
economy, carbon dioxide and each pollutant measured by the Federal Test 
Procedure and Supplemental Federal Test Procedure as prescribed by 
subpart B of this part.
    (2) For each test vehicle within a test group, a record and 
description of procedures and test results pertaining to any 
inspections, diagnostics, and maintenance performed on the test vehicle 
prior to any emission testing.
    (3) A record and description of any inspections, diagnostics, 
maintenance performed and/or testing (including emission results) of any 
test vehicle tested subsequent to its initial emission test.



Sec.  86.1848-01  Certification.

    (a)(1) If, after a review of the manufacturer's submitted Part I 
application, information obtained from any inspection, such other 
information as the Administrator may require, and any other pertinent 
data or information, the Administrator determines that the application 
is complete and that all vehicles within a test group as described in 
the application meet the requirements of this part and the Clean Air 
Act, the Administrator shall issue a certificate of conformity.
    (2) If, after review of the manufacturer's application, request for 
certification, information obtained from any inspection, such other 
information as the Administrator may require, and any other pertinent 
data or information, the Administrator determines that the application 
is not complete or the vehicles within a test group as described in the 
application, do not meet applicable requirements or standards of the Act 
or of this part, the Administrator may deny the issuance of, suspend, or 
revoke a previously issued certificate of conformity. The Administrator 
will notify the manufacturer in writing, setting forth the basis for the 
determination. The manufacturer may request a hearing on the 
Administrator's determination.
    (b) A certificate of conformity will be issued by the Administrator 
for a period not to exceed one model year and upon such terms as deemed 
necessary or appropriate to assure that any new motor vehicle covered by 
the certificate will meet the requirements of the Act and of this part.
    (c) All certificates are conditional upon the following conditions 
being met:
    (1) The manufacturer must supply all required information according 
to the provisions of Sec. Sec.  86.1843-01 and 86.1844-01.
    (2) The manufacturer must comply with all certification and in-use 
emission standards contained in subparts S and H of this part both 
during and after model year production.
    (3) The manufacturer must comply with all implementation schedules 
sales percentages as required in Sec.  86.1810 or elsewhere in this 
part. Failure to meet a required implementation schedule sales 
percentage will be considered to be a failure to satisfy a condition 
upon which the certificate was issued and any vehicles or trucks sold in 
violation of the implementation schedule shall not be covered by the 
certificate.
    (4) For incomplete light-duty trucks and incomplete heavy-duty 
vehicles, a certificate covers only those new motor vehicles which, when 
completed by having the primary load-carrying device or container 
attached, conform to the maximum curb weight and frontal area 
limitations described in the application for certification as required 
in Sec.  86.1844-01.
    (5) The manufacturer must meet the in-use testing and reporting 
requirements contained in Sec. Sec.  86.1845-01, 86.1846-01, and 
86.1847-01, as applicable. Failure to meet the in-use testing or 
reporting requirements shall be considered a failure to satisfy a 
condition upon which the certificate was issued. A vehicle or truck will 
be considered to be covered by the certificate only if the manufacturer 
fulfills this condition upon which the certificate was issued.
    (6) Vehicles are covered by a certificate of conformity only if they 
are in all material respects as described in the manufacturer's 
application for certification (Part I and Part II).
    (7) For Tier 2 and interim non-Tier 2 vehicles, all certificates of 
conformity issued are conditional upon compliance with all provisions of 
Sec. Sec.  86.1811-04,

[[Page 1071]]

86.1860-04, 86.1861-04 and 86.1862-04 both during and after model year 
production.
    (i) Failure to meet the fleet average NOX requirements of 
0.07g/mi, 0.30 g/mi or 0.20 g/mi, as applicable, will be considered to 
be a failure to satisfy the terms and conditions upon which the 
certificate(s) was (were) issued and the vehicles sold in violation of 
the fleet average NOX standard will not be covered by the 
certificate(s).
    (ii) Failure to comply fully with the prohibition against selling 
credits that it has not generated or that are not available, as 
specified in Sec.  86.1861-04, will be considered to be a failure to 
satisfy the terms and conditions upon which the certificate(s) was 
(were) issued and the vehicles sold in violation of this prohibition 
will not be covered by the certificate(s).
    (iii) Failure to comply fully with the phase-in requirements of 
Sec.  86.1811-04, will be considered to be a failure to satisfy the 
terms and conditions upon which the certificate(s) was (were) issued and 
the vehicles sold which do not comply with Tier 2 or interim non-Tier 2 
requirements, up to the number needed to comply, will not be covered by 
the certificate(s).
    (iv) For paragraphs (c)(7)(i) through (iii) of this section:
    (A) The manufacturer must bear the burden of establishing to the 
satisfaction of the Administrator that the terms and conditions upon 
which the certificate(s) was (were) issued were satisfied.
    (B) For recall and warranty purposes, vehicles not covered by a 
certificate of conformity will continue to be held to the standards 
stated or referenced in the certificate that otherwise would have 
applied to the vehicles.
    (d) One certificate will be issued for each test group and 
evaporative/refueling family combination. For diesel fueled vehicles, 
one certificate will be issued for each test group. A certificate of 
conformity is deemed to cover the vehicles named in such certificate and 
produced during the model year.
    (e) A manufacturer of new light-duty vehicles, light-duty trucks, 
and complete heavy-duty vehicles must obtain a certificate of conformity 
covering such vehicles from the Administrator prior to selling, offering 
for sale, introducing into commerce, delivering for introduction into 
commerce, or importing into the United States the new vehicle. Vehicles 
produced prior to the effective date of a certificate of conformity may 
also be covered by the certificate, once it is effective, if the 
following conditions are met:
    (1) The vehicles conform in all respects to the vehicles described 
in the application for the certificate of conformity.
    (2) The vehicles are not sold, offered for sale, introduced into 
commerce, or delivered for introduction into commerce prior to the 
effective date of the certificate of conformity.
    (3) EPA is notified prior to the beginning of production when such 
production will start, and EPA is provided a full opportunity to inspect 
and/or test the vehicles during and after their production. EPA must 
have the opportunity to conduct SEA production line testing as if the 
vehicles had been produced after the effective date of the certificate.
    (f) Vehicles imported by an original equipment manufacturer after 
December 31 of the calendar year for which the model year is named are 
still covered by the certificate of conformity as long as the production 
of the vehicle was completed before December 31 of that year.
    (g) For test groups required to have an emission control diagnostic 
system, certification will not be granted if, for any emission data 
vehicle or other test vehicle approved by the Administrator in 
consultation with the manufacturer, the malfunction indicator light does 
not illuminate under any of the circumstances described in Sec.  
86.1806-01(k)(1) through (6).
    (h) Vehicles equipped with aftertreatment technologies such as 
catalysts, otherwise covered by a certificate, which are driven outside 
the United States, Canada, and Mexico will be presumed to have been 
operated on leaded gasoline resulting in deactivation of such components 
as catalysts and oxygen sensors. If these vehicles are imported or 
offered for importation without retrofit of the catalyst or other 
aftertreatment technology, they will be considered not to be within the

[[Page 1072]]

coverage of the certificate unless included in a catalyst or other 
aftertreatment technology control program operated by a manufacturer or 
a United States Government agency and approved by the Administrator.
    (i) For all light-duty vehicles and light light-duty trucks 
certified to NLEV standards under Sec. Sec.  86.1710 through 86.1712, 
the following provisions apply:
    (1) All certificates issued are conditional upon manufacturer 
compliance with all provisions of Sec. Sec.  86.1710 through 86.1712 
both during and after model year production.
    (2) Failure to meet the requirements of Sec.  86.1710(a) through (d) 
will be considered to be a failure to satisfy the conditions upon which 
the certificate(s) was issued and the vehicles sold in violation of the 
fleet average NMOG standard shall not be covered by the certificate.
    (3) Failure to comply fully with the prohibition against a 
manufacturer selling credits that it has not generated or are not 
available, as specified in Sec.  86.1710(e), will be considered to be a 
failure to satisfy the conditions upon which the certificate(s) was 
issued and the vehicles sold in violation of this prohibition shall not 
be covered by the certificate.
    (4) Failure to comply fully with the prohibition against offering 
for sale Tier 1 vehicles and TLEVs in the Northeast Trading Region, as 
defined in Sec.  86.1702, after model year 2000 if vehicles with the 
same test groups are not certified and offered for sale in California in 
the same model year, as specified in Sec.  86.1711(a), will be 
considered to be a failure to satisfy the conditions upon which the 
certificate(s) was issued and the vehicles sold in violation of this 
prohibition shall not be covered by the certificate.
    (5)(i) The Administrator will issue a National LEV certificate of 
conformity for 2000 model year vehicles or engines certified to comply 
with the California TLEV emission standards.
    (ii) This certificate of conformity shall be granted after the 
Administrator has received and reviewed the California Executive Order a 
manufacturer has received for the same vehicles or engines.
    (iii) Vehicles or engines receiving a certificate of conformity 
under the provisions in this paragraph can only be sold in the states 
included in the NTR, as defined in Sec.  86.1702, and those states where 
the sale of California-certified vehicles is otherwise authorized.
    (6) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied.
    (7) For recall and warranty purposes, vehicles not covered by a 
certificate because of a violation of these conditions of the 
certificate will continue to be held to the standards stated in the 
certificate that would have otherwise applied to the vehicles.

[64 FR 23925, May 4, 1999, as amended at 65 FR 6866, Feb. 10, 2000; 65 
FR 59977, Oct. 6, 2000]



Sec.  86.1848-10  Compliance with emission standards for the purpose 
of certification.

    Section 86.1848-10 includes text that specifies requirements that 
differ from Sec.  86.1848-01. Where a paragraph in Sec.  86.1848-01 is 
identical and applicable to Sec.  86.1848-10, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec.  86.1848-01.'' Where a corresponding paragraph of 
Sec.  86.1848-01 is not applicable, this is indicated by the statement 
``[Reserved]''
    (a) through (b) [Reserved]. For guidance see Sec.  86.1848-01.
    (c) The following conditions apply to all certificates:
    (1) The manufacturer must supply all required information according 
to the provisions of Sec. Sec.  86.1843-01 and 86.1844-01.
    (2) The manufacturer must comply with all certification and in-use 
emission standards contained in subparts S and H of this part both 
during and after model year production.
    (3) The manufacturer must comply with all implementation schedules 
sales percentages as required in Sec.  86.1810 or elsewhere in this 
part. Failure to meet a required implementation schedule sales 
percentage will be considered to be a failure to satisfy a condition 
upon which the certificate was issued and any vehicles or trucks sold in 
violation of the implementation

[[Page 1073]]

schedule are not to be covered by the certificate.
    (4) For incomplete light-duty trucks and incomplete heavy-duty 
vehicles, a certificate covers only those new motor vehicles that, when 
completed by having the primary load-carrying device or container 
attached, conform to the maximum curb weight and frontal area 
limitations described in the application for certification as required 
in Sec.  86.1844-01.
    (5) The manufacturer must meet the in-use testing and reporting 
requirements contained in Sec. Sec.  86.1845-01, 86.1846-01, and 
86.1847-01, as applicable. Failure to meet the in-use testing or 
reporting requirements shall be considered a failure to satisfy a 
condition upon which the certificate was issued. A vehicle or truck is 
considered to be covered by the certificate only if the manufacturer 
fulfills this condition upon which the certificate was issued.
    (6) Vehicles are covered by a certificate of conformity only if they 
are in all material respects as described in the manufacturer's 
application for certification (Part I and Part II).
    (7) All certificates of conformity issued are conditional upon 
compliance with all the provisions of Sec. Sec.  86.1811 through 86.1816 
and Sec. Sec.  86.1860 through 86.1862 both during and after model year 
production. The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the terms and conditions upon 
which each certificate was issued were satisfied. For recall and 
warranty purposes, vehicles not covered by a certificate of conformity 
will continue to be held to the standards stated or referenced in the 
certificate that otherwise would have applied to the vehicles.
    (i) Failure to meet the applicable fleet average standard will be 
considered to be a failure to satisfy the terms and conditions upon 
which the certificate was issued and the vehicles sold in violation of 
the fleet average standard will not be covered by the certificate.
    (ii) Failure to comply fully with the prohibition against selling 
credits that it has not generated or that are not available, as 
specified in Sec.  86.1861, will be considered a failure to satisfy the 
terms and conditions upon which the certificate was issued and the 
vehicles sold in violation of this prohibition will not be covered by 
the certificate.
    (iii) Failure to comply fully with the phase-in requirements of 
Sec. Sec.  86.1811 through 86.1816 will be considered a failure to 
satisfy the terms and conditions upon which the certificate was issued 
and the vehicles sold that do not comply with the applicable standards, 
up to the number needed to comply, will not be covered by the 
certificate.
    (8) For LDV/LLDTs and HLDT/MDPVs, all certificates of conformity 
issued are conditional upon compliance with all provisions of Sec. Sec.  
86.1811-10 and 86.1864-10 both during and after model year production. 
The manufacturer bears the burden of establishing to the satisfaction of 
the Administrator that the terms and conditions upon which the 
certificate(s) was (were) issued were satisfied. For recall and warranty 
purposes, vehicles not covered by a certificate of conformity will 
continue to be held to the standards stated or referenced in the 
certificate that otherwise would have applied to the vehicles.
    (i) Failure to meet the fleet average cold temperature NMHC 
requirements will be considered a failure to satisfy the terms and 
conditions upon which the certificate(s) was (were) issued and the 
vehicles sold in violation of the fleet average NMHC standard will not 
be covered by the certificate(s).
    (ii) Failure to comply fully with the prohibition against selling 
credits that are not generated or that are not available, as specified 
in Sec.  86.1864-10, will be considered a failure to satisfy the terms 
and conditions upon which the certificate(s) was (were) issued and the 
vehicles sold in violation of this prohibition will not be covered by 
the certificate(s).
    (iii) Failure to comply fully with the phase-in requirements of 
Sec.  86.1811-10 will be considered a failure to satisfy the terms and 
conditions upon which the certificate(s) was (were) issued and the 
vehicles sold that do not comply with cold temperature NMHC 
requirements, up to the number needed to comply, will not be covered by 
the certificate(s).

[[Page 1074]]

    (9) For 2012 and later model year LDVs, LDTs, and MDPVs, all 
certificates of conformity issued are conditional upon compliance with 
all provisions of Sec. Sec.  86.1818 and 86.1865 both during and after 
model year production. Similarly, for 2014 and later model year HDV, and 
other HDV subject to standards under Sec.  86.1819, all certificates of 
conformity issued are conditional upon compliance with all provisions of 
Sec. Sec.  86.1819 and 86.1865 both during and after model year 
production. The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the terms and conditions upon 
which the certificate(s) was (were) issued were satisfied. For recall 
and warranty purposes, vehicles not covered by a certificate of 
conformity will continue to be held to the standards stated or 
referenced in the certificate that otherwise would have applied to the 
vehicles.
    (i) Failure to meet the fleet average CO2 requirements 
will be considered a failure to satisfy the terms and conditions upon 
which the certificate(s) was (were) issued and the vehicles sold in 
violation of the fleet average CO2 standard will not be 
covered by the certificate(s). The vehicles sold in violation will be 
determined according to Sec.  86.1865-12(k)(8).
    (ii) Failure to comply fully with the prohibition against selling 
credits that are not generated or that are not available, as specified 
in Sec.  86.1865-12, will be considered a failure to satisfy the terms 
and conditions upon which the certificate(s) was (were) issued and the 
vehicles sold in violation of this prohibition will not be covered by 
the certificate(s).
    (iii) For manufacturers using the conditional exemption under Sec.  
86.1801-12(k), failure to fully comply with the fleet production 
thresholds that determine eligibility for the exemption will be 
considered a failure to satisfy the terms and conditions upon which the 
certificate(s) was (were) issued and the vehicles sold in violation of 
the stated sales and/or production thresholds will not be covered by the 
certificate(s).
    (iv) For manufacturers that are determined to be operationally 
independent under Sec.  86.1838-01(d), failure to report a material 
change in their status within 60 days as required by Sec.  86.1838-
01(d)(2) will be considered a failure to satisfy the terms and 
conditions upon which the certificate(s) was (were) issued and the 
vehicles sold in violation of the operationally independent criteria 
will not be covered by the certificate(s).
    (v) For manufacturers subject to an alternative fleet average 
greenhouse gas emission standard approved under Sec.  86.1818-12(g), 
failure to comply with the annual sales thresholds that are required to 
maintain use of those standards, including the thresholds required for 
new entrants into the U.S. market, will be considered a failure to 
satisfy the terms and conditions upon which the certificate(s) was 
(were) issued and the vehicles sold in violation of stated sales and/or 
production thresholds will not be covered by the certificate(s).
    (d)-(i) [Reserved]. For guidance see Sec.  86.1848-01.

[72 FR 8567, Feb. 26, 2007, as amended at 75 FR 25690, May 7, 2010; 76 
FR 39522, July 6, 2011; 77 FR 63163, Oct. 15, 2012; 79 FR 23734, Apr. 
28, 2014; 81 FR 73991, Oct. 25, 2016]



Sec.  86.1849-01  Right of entry.

    (a) Any manufacturer who has applied for certification of a new 
motor vehicle subject to testing under this subpart, or any manufacturer 
or entity who conducts or causes to be conducted in-use verification or 
in-use confirmatory testing under this subpart, shall admit or cause to 
be admitted any EPA Enforcement Officer or any EPA authorized 
representative during operating hours on presentation of credentials to 
any of the following:
    (1) Any facility where any such certification or in-use verification 
or in-use confirmatory testing or any procedures or activities connected 
with such testing are or were performed.
    (2) Any facility where any new motor vehicle or test vehicle used 
for certification, in-use verification or in-use confirmatory testing 
which is being, was, or is to be tested is present.
    (3) Any facility where any construction process or assembly process 
used in the modification or build up of such a vehicle into a 
certification vehicle is taking place or has taken place.

[[Page 1075]]

    (4) Any facility where any record or other document relating to 
Sec.  86.1849-01(a) (1), (2), and/or (3) is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, any EPA official or EPA authorized representative shall be 
allowed:
    (1) To inspect and monitor any part or aspect of such procedures, 
activities, and testing facilities, including, but not limited to, 
monitoring vehicle preconditioning, emissions tests and mileage (or 
service) accumulation, bench aging, maintenance, and vehicle soak and 
storage procedures, and to verify correlation or calibration of test 
equipment.
    (2) To inspect and make copies of any such records, designs, or 
other documents, including those records specified in Sec. Sec.  
86.1843-01, 86.1844-01, and 86.1847-01.
    (c) In order to allow the Administrator to determine whether or not 
production motor vehicles conform to the conditions upon which a 
certificate of conformity has been issued, or conform in all material 
respects to the design specifications which applied to those vehicles 
described in the certification application for which a certificate of 
conformity has been issued to standards prescribed under section 202 of 
the Act, any manufacturer shall admit any EPA Enforcement Officer or EPA 
authorized representative on presentation of credentials to:
    (1) Any facility where any document, design, or procedure relating 
to the translation of the design and construction of engines and 
emission-related components described in the compliance application or 
used for certification testing into production vehicles is located or 
carried on; and
    (2) Any facility where any motor vehicles to be introduced into 
commerce are manufactured or assembled.
    (d) Upon admission to any facility referred to in paragraph (c) of 
this section, any EPA Enforcement Officer or EPA authorized 
representative shall be allowed:
    (1) To inspect and monitor any aspects of such manufacture or 
assembly and other procedures;
    (2) To inspect and make copies of any such records, documents or 
designs; and
    (3) To inspect and photograph any part or aspect of any such new 
motor vehicles and any component used in the assembly thereof that are 
reasonably related to the purpose of the entry.
    (e) Any EPA official or EPA authorized representative shall be 
furnished by those in charge of a facility being inspected with such 
reasonable assistance as he may request to help him discharge any 
function set forth in this paragraph. Each applicant for or recipient of 
certification is required to cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA whether or not the applicant controls the facility.
    (f) The duty to admit or cause to be admitted any EPA Enforcement 
Officer or EPA authorized representative applies whether or not the 
applicant owns or controls the facility in question and applies both to 
domestic and to foreign manufacturers and facilities. EPA will not 
attempt to make any inspections which it has been informed that local 
law forbids. However, if local law makes it impossible to what is 
necessary to insure the accuracy of data generated at a facility, no 
informed judgment that a vehicle is certifiable or is covered by a 
certificate can properly be based on those data. It is the 
responsibility of the manufacturer to locate its testing and 
manufacturing facilities in jurisdictions where this situation will not 
arise.
    (g) For purposes of this section:
    (1) ``Presentation of credentials'' shall mean display of the 
document designating a person as an EPA Enforcement Officer or EPA 
authorized representative.
    (2) Where vehicle, component, or engine storage areas or facilities 
are concerned, ``operating hours'' shall mean all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the area or facility and have access to it.
    (3) Where facilities or areas other than those covered by paragraph 
(g)(2) of this section are concerned, ``operating hours'' shall mean all 
times during which an assembly line is in operation or all times during 
which testing,

[[Page 1076]]

maintenance, mileage (or service) accumulation, production or 
compilation of records, or any other procedure or activity related to 
certification testing, to translation of designs from the test stage to 
the production stage, or to vehicle (or engine) manufacture or assembly 
is being carried out in a facility.
    (4) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services, the making available 
upon request of personnel of the facility being inspected during their 
working hours to inform the EPA Enforcement Officer or EPA authorized 
representative of how the facility operates and to answer his questions, 
and the performance on request of emissions tests on any vehicle which 
is being, has been, or will be used for certification or in-use 
verification or confirmatory testing. Such tests shall be 
nondestructive, but may require appropriate mileage (or service) 
accumulation. A manufacturer may be compelled to cause the personal 
appearance of any employee at such a facility before an EPA Enforcement 
Officer or EPA authorized representative by written request for his 
appearance, signed by the Assistant Administrator for Air and Radiation 
or the Assistant Administrator for Enforcement and Compliance Assurance, 
served on the manufacturer. Any such employee who has been instructed by 
the manufacturer to appear will be entitled to be accompanied, 
represented, and advised by counsel.



Sec.  86.1850-01  Denial, suspension or revocation of certificate 
of conformity.

    (a) If, after review of the manufacturer's application, request for 
certification, information obtained from any inspection, such other 
information as the Administrator may require, and any other pertinent 
data or information, the Administrator determines that one or more test 
vehicles do not meet applicable requirements or standards of the Act or 
of this part, the Administrator will notify the manufacturer in writing, 
setting forth the basis for the determination. The manufacturer may 
request a hearing on the Administrator's determination.
    (b) Notwithstanding the fact that the vehicles described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny issuance of, suspend, or revoke a previously 
issued certificate of conformity if the Administrator finds any one of 
the following infractions to be substantial:
    (1) The manufacturer submits false or incomplete information.
    (2) The manufacturer denies an EPA enforcement officer or EPA 
authorized representative the opportunity to conduct authorized 
inspections as required under Sec.  86.1849-01.
    (3) The manufacturer renders inaccurate any test data which it 
submits, or fails to make a good engineering judgment in accordance with 
Sec.  86.1851-01(c)(1).
    (4) The manufacturer denies an EPA enforcement officer or EPA 
authorized representative reasonable assistance as required in Sec.  
86.1849-01.
    (5) The manufacturer fails to provide the records required in Sec.  
86.1844-01 to the Administrator within the deadline set forth in the 
request for such information.
    (6) The manufacturer fails to comply with all conditions under which 
the certificate of conformity was granted as specified in 86.1848-01.
    (7) The manufacturer otherwise circumvents the intent of the Act or 
of this part.
    (c) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied, or that any failure to satisfy a 
condition is not substantial.
    (d) If a manufacturer knowingly commits an infraction specified in 
paragraphs (b)(1) through (b)(7) of this section, knowingly commits any 
fraudulent act which results in the issuance of a certificate of 
conformity, or fails to comply with the conditions specified in Sec.  
86.1843-01, the Administrator may deem such certificate void ab initio.
    (e) When the Administrator denies, suspends, revokes, or voids ab 
initio a certificate, EPA will provide the manufacturer a written 
determination. The manufacturer may request a hearing

[[Page 1077]]

under Sec.  86.1853-01 on the Administrator's decision.
    (f) Any suspension or revocation of a certificate of conformity 
shall extend no further than to forbid the introduction into commerce of 
vehicles previously covered by the certificate which are still in the 
possession of the manufacturer, except in cases of such fraud or other 
misconduct that makes the certification void ab initio.



Sec.  86.1851-01  Application of good engineering judgment 
to manufacturers' decisions.

    (a) The manufacturer shall exercise good engineering judgment in 
making all decisions called for under this subpart, including but not 
limited to selections, categorizations, determinations, and applications 
of the requirements of the subpart.
    (b) Upon written request by the Administrator, the manufacturer 
shall provide within 15 working days (or such longer period as may be 
allowed by the Administrator) a written description of the engineering 
judgment in question.
    (c) The Administrator may reject any such decision by a manufacturer 
if it is not based on good engineering judgment, or is otherwise 
inconsistent with the requirements of this subpart.
    (d) If the Administrator rejects a decision by a manufacturer with 
respect to the exercise of good engineering judgment, the following 
provisions shall apply:
    (1) If the Administrator determines that incorrect information was 
deliberately used in the decision process, that important information 
was deliberately overlooked, that the decision was not made in good 
faith, or that the decision was not made with a rational basis, the 
Administrator may suspend or void ab initio a certificate of conformity.
    (2) If the Administrator determines that the manufacturer's decision 
does not meet the provisions of paragraph (d)(1) of this section, but 
that a different decision would reflect a better exercise of good 
engineering judgment, then the Administrator will notify the 
manufacturer of this concern and the basis thereof.
    (i) The manufacturer shall have at least 30 days to respond to this 
notice. The Administrator may extend this response period upon request 
from the manufacturer if it is necessary to generate additional data for 
the manufacturer's response.
    (ii) The Administrator shall make the final ruling after considering 
the information provided by the manufacturer during the response period. 
If the Administrator determines that the manufacturer's decision was not 
made using good engineering judgment, he/she may reject that decision 
and apply the new ruling to future corresponding decisions as soon as 
practicable.
    (e) The Administrator shall notify the manufacturer in writing 
regarding any decision reached under paragraph (d)(1) or (2) of this 
section. The Administrator shall include in this notification the basis 
for reaching the determination.
    (f) Within 30 working days following receipt of notification of the 
Administrator's determinations made under paragraph (d) of this section, 
the manufacturer may request a hearing on those determinations. The 
request shall be in writing, signed by an authorized representative of 
the manufacturer, and shall include a statement specifying the 
manufacturer's objections to the Administrator's determinations, and 
data or other analysis in support of such objections. If, after review 
of the request and supporting data or analysis, the Administrator finds 
that the request raises a substantial factual issue, he/she shall 
provide the manufacturer a hearing in accordance with Sec.  86.1853-01 
with respect to such issue.



Sec.  86.1852-01  Waivers for good in-use emission performance.

    (a) The Administrator may waive requirements of this subpart 
relating to development of emission-related information or test data if 
the Administrator determines with confidence that the in-use emission 
test verification data required in Sec.  86.1845-01 are below the 
applicable emission standards for an appropriate period of time, and 
that such performance is likely to continue in subsequent model years.

[[Page 1078]]

    (b) Any waiver granted under paragraph (a) of this section will be 
granted only if the Administrator determines that the waived requirement 
is not needed to assure continued emission compliance and the 
Administrator will have sufficient testing and other information in 
order to make certification decisions.
    (c) Any waiver granted under paragraph (a) of this section would be 
limited in duration to a period of one model year, unless extended by 
the Administrator as a result of continued demonstrations of good in-use 
emission performance.
    (d) The Administrator reserves the right to deny or revoke a waiver 
which may have been granted if he/she determines that the manufacturer 
no longer qualifies for the waiver.



Sec.  86.1853-01  Certification hearings.

    If a manufacturer's request for a hearing is approved, EPA will 
follow the hearing procedures specified in 40 CFR part 1068, subpart G.

[81 FR 73992, Oct. 25, 2016]



Sec.  86.1854-12  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1) In the case of a manufacturer, as defined by Sec.  86.1803, of 
new motor vehicles or new motor vehicle engines for distribution in 
commerce, the sale, or the offering for sale, or the introduction, or 
delivery for introduction, into commerce, or (in the case of any person, 
except as provided by regulation of the Administrator), the importation 
into the United States of any new motor vehicle or new motor vehicle 
engine subject to this subpart, unless such vehicle or engine is covered 
by a certificate of conformity issued (and in effect) under regulations 
found in this subpart (except as provided in Section 203(b) of the Clean 
Air Act (42 U.S.C. 7522(b)) or regulations promulgated thereunder).
    (2)(i) For any person to fail or refuse to permit access to or 
copying of records or to fail to make reports or provide information 
required under Section 208 of the Clean Air Act (42 U.S.C. 7542) with 
regard to vehicles.
    (ii) For a person to fail or refuse to permit entry, testing, or 
inspection authorized under Section 206(c) (42 U.S.C. 7525(c)) or 
Section 208 of the Clean Air Act (42 U.S.C. 7542) with regard to 
vehicles.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required under Section 208 of the Clean Air Act (42 
U.S.C. 7542) with regard to vehicles.
    (iv) For a person to fail to establish or maintain records as 
required under Sec. Sec.  86.1844, 86.1862, 86.1864, and 86.1865 with 
regard to vehicles.
    (v) For any manufacturer to fail to make information available as 
provided by regulation under Section 202(m)(5) of the Clean Air Act (42 
U.S.C. 7521(m)(5)) with regard to vehicles.
    (3)(i) For any person to remove or render inoperative any device or 
element of design installed on or in a vehicle or engine in compliance 
with regulations under this subpart prior to its sale and delivery to 
the ultimate purchaser, or for any person knowingly to remove or render 
inoperative any such device or element of design after such sale and 
delivery to the ultimate purchaser.
    (ii) For any person to manufacture, sell or offer to sell, or 
install, any part or component intended for use with, or as part of, any 
vehicle or engine, where a principal effect of the part or component is 
to bypass, defeat, or render inoperative any device or element of design 
installed on or in a vehicle or engine in compliance with regulations 
issued under this subpart, and where the person knows or should know 
that the part or component is being offered for sale or installed for 
this use or put to such use.
    (4) For any manufacturer of a vehicle or engine subject to standards 
prescribed under this subpart:
    (i) To sell, offer for sale, introduce or deliver into commerce, or 
lease any such vehicle or engine unless the manufacturer has complied 
with the requirements of Section 207(a) and (b) of the Clean Air Act (42 
U.S.C. 7541(a), (b)) with respect to such vehicle or engine, and unless 
a label or tag is affixed to such vehicle or engine in accordance with 
Section 207(c)(3) of the Clean Air Act (42 U.S.C. 7541(c)(3)).
    (ii) To fail or refuse to comply with the requirements of Section 
207 (c) or

[[Page 1079]]

(e) of the Clean Air Act (42 U.S.C. 7541(c) or (e)).
    (iii) Except as provided in Section 207(c)(3) of the Clean Air Act 
(42 U.S.C. 7541(c)(3)), to provide directly or indirectly in any 
communication to the ultimate purchaser or any subsequent purchaser that 
the coverage of a warranty under the Clean Air Act is conditioned upon 
use of any part, component, or system manufactured by the manufacturer 
or a person acting for the manufacturer or under its control, or 
conditioned upon service performed by such persons.
    (iv) To fail or refuse to comply with the terms and conditions of 
the warranty under Section 207(a) or (b) of the Clean Air Act (42 U.S.C. 
7541(a) or (b)).
    (b) For the purposes of enforcement of this subpart, the following 
apply:
    (1) No action with respect to any element of design referred to in 
paragraph (a)(3) of this section (including any adjustment or alteration 
of such element) shall be treated as a prohibited act under paragraph 
(a)(3) of this section if such action is in accordance with Section 215 
of the Clean Air Act (42 U.S.C. 7549);
    (2) Nothing in paragraph (a)(3) of this section is to be construed 
to require the use of manufacturer parts in maintaining or repairing a 
vehicle or engine. For the purposes of the preceding sentence, the term 
``manufacturer parts'' means, with respect to a motor vehicle engine, 
parts produced or sold by the manufacturer of the motor vehicle or motor 
vehicle engine;
    (3) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under paragraph (a)(3) of this section if the action is a necessary and 
temporary procedure, the device or element is replaced upon completion 
of the procedure, and the action results in the proper functioning of 
the device or element of design;
    (4) Actions for the purpose of a conversion of a motor vehicle or 
motor vehicle engine for use of a clean alternative fuel (as defined in 
title II of the Clean Air Act) are not considered prohibited acts under 
paragraph (a) of this section if:
    (i) The vehicle complies with the applicable standard when operating 
on the alternative fuel; and
    (ii) In the case of engines converted to dual fuel or flexible use, 
the device or element is replaced upon completion of the conversion 
procedure, and the action results in proper functioning of the device or 
element when the motor vehicle operates on conventional fuel.

[75 FR 25691, May 7, 2010]



Sec. Sec.  86.1855-86.1859  [Reserved]



Sec.  86.1860-04  How to comply with the Tier 2 and interim non-Tier 2 
fleet average NOX standards.

    (a) The fleet average standards referred to in this section are the 
corporate fleet average standards for FTP exhaust NOX 
emissions set forth in: Sec.  86.1811-04(d) for Tier 2 LDV/Ts and MDPVs 
(0.07 g/mi); Sec.  86.1811-04(l)(3) for interim non-Tier 2 LDV/LLDTs 
(0.30 g/mi); and, Sec.  86.1811-04(l)(3) for interim non-Tier 2 HLDT/
MDPVs (0.20 g/mi). Unless otherwise indicated in this section, the 
provisions of this section apply to all three corporate fleet average 
standards, except that the interim non-Tier 2 fleet average 
NOX standards do not apply to a manufacturer whose U.S. LDV/T 
and MDPV sales are 100% Tier 2 LDV/Ts and MDPVs.
    (b)(1) Each manufacturer must comply with the applicable fleet 
average NOX standard, or standards, on a sales weighted 
average basis, at the end of each model year, using the procedure 
described in this section.
    (2) During a phase-in year, the manufacturer must comply with the 
applicable fleet average NOX standard for the required phase-
in percentage for that year as specified in Sec.  86.1811-04(k)(1), or 
for the alternate phase-in percentage as permitted under Sec.  86.1811-
04(k)(6).
    (c)(1)(i) Each manufacturer must separately compute the sales 
weighted averages of the individual NOX emission standards to 
which it certified all its Tier 2 vehicles, interim non-Tier 2 LDV/
LLDTs, and interim non-Tier 2 HLDT/MDPVs of a given model year as 
described in Sec.  86.1804(l)(2).
    (ii) For model years up to and including 2008, manufacturers must 
compute separate NOX fleet averages for Tier 2 LDV/LLDTs and 
Tier 2 HLDT/MDPVs.

[[Page 1080]]

    (2)(i) For model years up to and including 2008, if a manufacturer 
certifies its entire U.S. sales of Tier 2 or interim non-Tier 2 LDV/
LLDTs or interim non-Tier 2 HLDT/MDPVs, to full useful life bins having 
NOX standards at or below the applicable fleet average 
NOX standard, that manufacturer may elect not to compute a 
fleet average NOX level for that category of vehicles. A 
manufacturer making such an election must not generate NOX 
credits for that category of vehicles for that model year.
    (ii) For model years after 2008, if a manufacturer certifies its 
entire U.S. sales of Tier 2 vehicles to full useful life bins having 
NOX standards at or below 0.07 gpm, that manufacturer may 
elect not to compute a fleet average NOX level for its Tier 2 
vehicles. A manufacturer making such an election must not generate 
NOX credits for that model year.
    (d) The sales weighted NOX fleet averages determined 
pursuant to paragraph (c) of this section must be compared with the 
applicable fleet average standard; 0.07 g/mi for NOX for Tier 
2 LDV/Ts and MDPVs, 0.30 g/mi for NOX for interim non-Tier 2 
LDV/LLDTs, and 0.20 g/mi for NOx for interim non-Tier 2 HLDT/MDPVs. Each 
manufacturer must comply on an annual basis with the fleet average 
standards by:
    (1) Showing that its sales weighted average NOX emissions 
of its LDV/LLDTs, HLDT/MDPVs or LDV/Ts, as applicable, are at or below 
the applicable fleet average standard; or
    (2) If the sales weighted average is not at or below the applicable 
fleet average standard, by obtaining and applying sufficient Tier 2 
NOX credits, interim non-Tier 2 LDV/LLDT NOX 
credits or interim non-Tier 2 HLDT/MDPV NOX credits, as 
appropriate, and as permitted under Sec.  86.1861-04.
    (i) Manufacturers may not use NMOG credits generated under the NLEV 
program in subpart R of this part to meet any Tier 2 or interim non-Tier 
2 NOX fleet average standard.
    (ii) Tier 2 NOX credits may not be used to meet any fleet 
average interim non-Tier 2 NOX standard except as permitted 
by Sec.  86.1860-04(e)(1).
    (iii) Interim non-Tier 2 NOX credits may not be used to 
meet the Tier 2 fleet average NOX standard.
    (iv) Interim non-Tier 2 NOX credits from HLDT/MDPVs may 
not be used to meet the fleet average NOX standard for 
interim non-Tier 2 LDV/LLDTs, and interim non-Tier 2 credits from LDV/
LLDTs may not be used to meet the fleet average NOX standard 
for interim non-Tier 2 HLDT/MDPVs.
    (e) (1) Manufacturers that cannot meet the requirements of paragraph 
(d) of this section, may carry forward a credit deficit for three model 
years, but must not carry such deficit into the fourth year. When 
applying credits to reduce or eliminate a deficit under the fleet 
average standard for interim LDV/LLDTs or interim HLDT/MDPVs, that has 
been carried forward into a year subsequent to its generation, a 
manufacturer may apply credits from Tier 2 LDV/LLDTs or Tier 2 HLDT/
MDPVs, respectively, as well as from the appropriate group of interim 
vehicles. A manufacturer must not use interim credits to reduce or 
eliminate any NOX credit deficit under the Tier 2 fleet 
average standard.
    (2) A manufacturer carrying a credit deficit into the third year 
must generate or obtain credits to offset that deficit and apply them to 
the deficit at a rate of 1.2:1, (i.e. deficits carried into the third 
model year must be repaid with credits equal to 120 percent of the 
deficit).
    (3) A manufacturer must not bank credits for future model years or 
trade credits to another manufacturer during a model year into which it 
has carried a deficit.
    (f) Computing fleet average NOX emissions. (1) 
Manufacturers must separately compute these fleet NOX 
averages using the equation contained in paragraph (f)(2) of this 
section:
    (i) Their Tier 2 LDV/LLDT and Tier 2 HLDT/MDPV fleet average 
NOX emissions for each model year through 2008;
    (ii) Their combined Tier 2 LDV/T and MDPV fleet average 
NOX emissions for each model year after 2008;
    (iii) Their interim non-Tier 2 LDV/LLDT fleet average NOX 
emissions for each model year through 2006; and
    (iv) Their interim non-Tier 2 HLDT/MDPV fleet average NOX 
emissions for each model year through 2008.
    (2) The equation for computing fleet average NOX 
emissions is as follows:

[[Page 1081]]

[GRAPHIC] [TIFF OMITTED] TR10FE00.012

Where:

N = The number of vehicles sold in the applicable category that were 
          certified for each corresponding NOX emission bin. 
          N must be based on vehicles counted to the point of first 
          sale.
Emission standard = The individual full useful life NOX 
          emission standard for each bin for which the manufacturer had 
          sales.

    (3) The results of the calculation in paragraph (f)(2) of this 
section must be rounded as required by Sec.  86.1837-01.
    (4) When approved in advance by the Administrator, the numerator in 
the equation in paragraph (f)(2) of this section may be adjusted 
downward by the product of the number of HEVs from each NOX 
emission bin times a HEV NOX contribution factor determined 
through mathematical estimation of the reduction in NOX 
emissions over the test procedure used to certify the HEVs. The 
reduction in NOX emissions must be determined using good 
engineering judgement and reflect the relation in actual full useful 
life NOX emissions to the full useful life NOX 
standards for the certification bin applicable to the vehicles. The 
Administrator may require that calculation of the HEV NOX 
contribution factor include vehicle parameters such as vehicle weight, 
portion of time during the test procedure that the HEV operates with 
zero exhaust emissions, zero emission range, NOX emissions 
from fuel-fired heaters and NOX emissions from electricity 
production and storage.
    (g) Additional credits for vehicles certified to 150,000 mile useful 
lives. (1) A manufacturer may certify any test group to an optional 
useful life of 15 years or 150,000 miles, whichever occurs first.
    (2)(i) For any test group certified to the optional 15 year/150,000 
mile useful life, the manufacturer may generate additional 
NOX credits, except as prohibited in paragraph (g)(3) of this 
section.
    (ii) The manufacturer must calculate these extra NOX 
credits, where permitted, by substituting an adjusted NOX 
standard for the applicable NOX standard from the full useful 
life certification bin when it calculates the applicable fleet average 
NOX emissions by the procedure in paragraph (f) of this 
section. The adjusted standard must be equal to the applicable full 
useful life NOX standard multiplied by 0.85 and rounded to 
one more decimal place than the number of decimal places as the 
applicable full useful life NOX standard.
    (3) A manufacturer electing not to comply with applicable 
intermediate life standards as permitted under Sec.  86.1811-04(c)(4) 
may not generate additional credits from vehicles certified to a useful 
life of 15 years/150,000 miles; except that, for bins where such 
intermediate life standards do not exist or are specifically deemed to 
be optional in Sec.  86.1811-04(c)(4), the manufacturer may generate 
additional NOX credits from vehicles certified to a useful 
life of 15 years/150,000 miles.
    (h) Additional credits for vehicles certified to low bins. A 
manufacturer may obtain additional NOX credits by certifying 
vehicles to bins 1 and/or 2 in model years from 2001 through 2005 
subject to the following requirements:
    (1) When computing the fleet average Tier 2 NOX emissions 
using the formula in paragraph (f)(2) of this section, the manufacturer 
may multiply the number of vehicles certified to bins 1 and 2 by the 
applicable multiplier shown in Table S04-11 when computing the 
denominator in the formula. These multipliers may not be used after 
model year 2005. The table follows:

  Table S04-11--Multipliers for Additional Tier 2 NOX Credits for Bin 1
                              and 2 LDV/Ts
------------------------------------------------------------------------
                                                              Multiplier
           Bin                        Model year                  73
------------------------------------------------------------------------
2........................  2001, 2002, 2003, 2004, 2005....          1.5
1........................  2001, 2002, 2003, 2004, 2005....          2.0
------------------------------------------------------------------------


[[Page 1082]]

    (2) Optionally, instead of the process described in paragraph (h)(1) 
of this section, when computing Tier 2 NOX credits using the 
formula in Sec.  86.1861-04(b)(1), the manufacturer may multiply the 
number of vehicles certified to bin 1 and bin 2 by the applicable 
multiplier shown in Table S04-11 in paragraph (h)(1) of this section 
when computing the ``Total number of Tier 2 Vehicles Sold, Including 
ZEVs and HEVs''. These multipliers may not be used after model year 
2005.

[65 FR 6866, Feb. 10, 2000, as amended at 66 FR 19310, Apr. 13, 2001]



Sec.  86.1860-17  How to comply with the Tier 3 fleet-average standards.

    (a) You must show that you meet the applicable fleet-average NMOG + 
NOX standards from Sec. Sec.  86.1811 and 86.1816 and the 
fleet-average evaporative emission standards from Sec.  86.1813 as 
described in this section. Note that separate fleet-average calculations 
are required for the FTP and SFTP exhaust emission standards under Sec.  
86.1811.
    (b) Calculate your fleet-average value for each model year for all 
vehicle models subject to a separate fleet-average standard using the 
following equation, rounded to the nearest 0.001 g/mile for NMOG + 
NOX emissions and the nearest 0.001 g/test for evaporative 
emissions:
[GRAPHIC] [TIFF OMITTED] TR28AP14.008

Where:

i = A counter associated with each separate Tier 3 test group or 
          evaporative family.
b = The number of separate Tier 3 test groups or evaporative families 
          from a given averaging set to which you certify your vehicles.
Ni = The actual nationwide sales for the model year for test 
          group or evaporative family i. Include allowances for 
          evaporative emissions as described in Sec.  86.1813.
FELi = The FEL selected for test group or evaporative family 
          i. Disregard any separate standards that apply for in-use 
          testing or for testing under high-altitude conditions.
Ntotal = The actual nationwide sales for the model year for 
          all your Tier 3 vehicles from the averaging set, except as 
          described in paragraph (c) of this section. The pool of 
          vehicle models included in Ntotal may vary by model 
          year, and it may be different for evaporative standards, FTP 
          exhaust standards, and SFTP exhaust standards in a given model 
          year.

    (c) Do not include any of the following vehicles to calculate your 
fleet-average value:
    (1) Vehicles that you do not certify to the standards of this part 
because they are permanently exempted under 40 CFR part 85 or part 1068.
    (2) Exported vehicles.
    (3) Vehicles excluded under Sec.  86.1801.
    (4) For model year 2017, do not include vehicle sales in California 
or the section 177 states for calculating the fleet average value for 
evaporative emissions.
    (d) Except as specified in paragraph (e) of this section, your 
calculated fleet-average value may not exceed the corresponding fleet-
average standard for the model year.
    (e) You may generate or use emission credits related to your 
calculated fleet-average value as follows:
    (1) You may generate emission credits as described in Sec.  86.1861 
if your fleet-average value is below the corresponding fleet-average 
standard.
    (2) You may use emission credits as described in Sec.  86.1861 if 
your fleet-average value is above the corresponding fleet-average 
standard. Except as specified in paragraph (e)(3) of this section, you 
must use enough credits for each model year to show that your adjusted 
fleet average value does not exceed the fleet-average standard.

[[Page 1083]]

    (3) The following provisions apply if you do not have enough 
emission credits to demonstrate compliance with a fleet-average standard 
in a given model year:
    (i) You may have a credit deficit for up to three model years within 
an averaging set under Sec.  86.1861-17(c). You may not bank emission 
credits with respect to a given emission standard during a model year in 
which you have a credit deficit in the same averaging set. If you fail 
to meet the fleet-average standard for four consecutive model years, the 
vehicles causing you to exceed the fleet-average standard will be 
considered not covered by the certificate of conformity. You will be 
subject to penalties on an individual-vehicle basis for sale of vehicles 
not covered by a certificate of conformity.
    (ii) You must notify us in writing how you plan to eliminate the 
credit deficit within the specified time frame. If we determine that 
your plan is unreasonable or unrealistic, we may deny an application for 
certification for a test group or evaporative family if its bin standard 
or FEL would increase your credit deficit. We may determine that your 
plan is unreasonable or unrealistic based on a consideration of past and 
projected use of specific technologies, the historical sales mix of your 
vehicle models, your commitment to limit sales of higher-emission 
vehicles, and expected access to traded credits. We may also consider 
your plan unreasonable if your fleet-average emission level increases 
relative to the first model year of a credit deficit or any later model 
year. We may require that you send us interim reports describing your 
progress toward resolving your credit deficit over the course of a model 
year.
    (f) If the applicable bin standards and FELs for all your vehicle 
models are at or below a corresponding fleet-average standard for a 
given model year, and you do not want to generate emission credits, you 
may omit the calculations described in this section.
    (g) For purposes of calculating the statute of limitations, the 
following actions are all considered to occur at the expiration of the 
deadline for offsetting a deficit as specified in paragraph (e)(3) of 
this section:
    (1) Failing to meet the requirements of paragraph (e)(3) of this 
section.
    (2) Failing to satisfy the conditions upon which a certificate was 
issued relative to offsetting a deficit.
    (3) Selling, offering for sale, introducing or delivering into U.S. 
commerce, or importing vehicles that are found not to be covered by a 
certificate as a result of failing to offset a deficit.

[79 FR 23735, Apr. 28, 2014]



Sec.  86.1861-04  How do the Tier 2 and interim non-Tier 2 NOX averaging, 
banking and trading programs work?

    (a) General provisions for Tier 2 credits and debits. (1) A 
manufacturer whose Tier 2 fleet average NOX emissions exceeds 
the 0.07 g/mile standard must complete the calculation at paragraph (b) 
of this section to determine the size of its NOX credit 
deficit. A manufacturer whose Tier 2 fleet average NOX 
emissions is less than or equal to the 0.07 g/mile standard must 
complete the calculation in paragraph (b) of this section if it desires 
to generate NOX credits. In either case, the number of 
credits or debits determined in the calculation at paragraph (b) of this 
section must be rounded to the nearest whole number.
    (2) Credits generated according to the calculation in paragraph 
(b)(1) of this section may be banked for future use or traded to another 
manufacturer.
    (3) NOX credits are not subject to any discount or 
expiration date except as required under the deficit carryforward 
provisions of Sec.  86.1860-04(e)(2).
    (4) If a manufacturer calculates that it has negative credits 
(debits or a credit deficit) for a given model year, it must obtain 
sufficient credits, as required under Sec.  86.1860-04(e)(2), from 
vehicles produced by itself or another manufacturer in a model year no 
later than the third model year following the model year for which it 
calculated the credit deficit. (Example: if a manufacturer calculates 
that it has a NOX credit deficit for the 2008 model year, it 
must obtain sufficient NOX credits to offset that deficit 
from its own production or that of other manufacturers' 2011 or earlier 
model year vehicles.)

[[Page 1084]]

    (6)(i) Manufacturers may not use NOX credits to comply 
with the NLEV requirements of subpart R of this part.
    (ii) Manufacturers may not use NMOG credits generated by vehicles 
certified to the NLEV requirements of subpart R of this part to comply 
with any NOX requirements of this subpart.
    (iii) Manufacturers may not use NOX credits generated by 
interim non-Tier 2 vehicles to comply with the fleet average 
NOX standard for Tier 2 vehicles.
    (iv) Manufacturers may not use NOX credits generated by 
Tier 2 vehicles to comply with any fleet average NOX standard 
for interim non-Tier 2 vehicles, except as permitted under Sec.  
86.1860-04(e).
    (v) Manufacturers may not use NOX credits generated by 
interim non-Tier 2 LDV/LLDTs to comply with the fleet average 
NOX standard for interim non-Tier 2 HLDT/MDPVs.
    (vi) Manufacturers may not use NOX credits generated by 
interim non-Tier 2 HLDT/MDPVs to comply with the fleet average 
NOX standard for interim non-Tier 2 LDV/LLDTs.
    (vii) Manufacturers may not use NOX credits generated by 
Tier 2 LDV/LLDTs to comply with the Tier 2 NOX average 
standard for HLDT/MDPVs before the 2009 model year.
    (viii) Manufacturers may not use NOX credits generated by 
Tier 2 HLDT/MDPVs to comply with the Tier 2 NOX average 
standard for LDV/LLDTs before the 2009 model year.
    (7) Manufacturers may bank Tier 2 NOX credits for later 
use to meet the Tier 2 fleet average NOX standard or trade 
them to another manufacturer. Credits are earned on the last day of the 
model year. Before trading or carrying over credits to the next model 
year, a manufacturer must apply available credits to offset any credit 
deficit, where the deadline to offset that credit deficit has not yet 
passed.
    (8) There are no property rights associated with NOX 
credits generated under this subpart. Credits are a limited 
authorization to emit the designated amount of emissions. Nothing in 
this part or any other provision of law should be construed to limit 
EPA's authority to terminate or limit this authorization through a 
rulemaking.
    (b) Calculating Tier 2 credits and debits. (1) Manufacturers that 
achieve fleet average NOX values from the calculation in 
Sec.  86.1860-04(f), lower than the applicable fleet average 
NOX standard, may generate credits for a given model year, in 
units of vehicle-g/mi NOX, determined in this equation:

[(Fleet Average NOX Standard)-(Manufacturer's Fleet Average 
NOX Value)] x (Total Number of Tier 2 Vehicles Sold, 
Including ZEVs and HEVs).

Where: The number of Tier 2 vehicles sold is based on the point of first 
          sale and does not include vehicles sold in California or a 
          state that adopts, and has in effect for that model year, 
          California emission requirements.

    (2) Where the result of the calculation in paragraph (b)(1) of this 
section is a negative number, the manufacturer must generate negative 
NOX credits (debits).
    (c) Early banking. (1)(i) Manufacturers may certify LDV/LLDTs to the 
Tier 2 FTP exhaust standards in Sec.  86.1811-04 for model years 2001-
2003 in order to bank credits for use in the 2004 and later model years. 
Such vehicles must also meet SFTP exhaust emission standards specified 
in Sec.  86.1811-04.
    (ii) Manufacturers may certify HLDT/MDPVs to the Tier 2 FTP exhaust 
standards in Sec.  86.1811-04 for model years 2001-2007 in order to bank 
credits for use in the 2008 and later model years. Such vehicles must 
also meet applicable SFTP exhaust emission standards specified in Sec.  
86.1811-04.
    (iii) This process is referred to as ``early banking'' and the 
resultant credits are referred to as ''early credits''. In order to bank 
early credits, a manufacturer must comply with all exhaust emission 
standards and requirements applicable to Tier 2 LDV/LLDTs and/or HLDT/
MDPVs, as applicable, except as allowed under paragraph (c)(4) of this 
section.
    (2) To generate early credits, a manufacturer must separately 
compute the sales weighted NOX average of the LDV/LLDTs and 
HLDT/MDPVs it certifies to the Tier 2 exhaust requirements and 
separately compute credits using the calculations in this section and in 
Sec.  86.1860-04.

[[Page 1085]]

    (3) Early HLDT/MDPV credits may not be applied to LDV/LLDTs before 
the 2009 model year. Early LDV/LLDT credits may not be applied to HLDT/
MDPVs before the 2009 model year.
    (4) Manufacturers may generate early Tier 2 credits from LDVs, LDT1s 
and LDT2s that are certified to a full useful life of 100,000 miles, 
provided that the credits are prorated by a multiplicative factor of 
0.833 (the quotient of 100,000/120,000). Where a manufacturer has both 
100,000 and 120,000 mile full useful life vehicles for which it desires 
to bank early credits, it must compute the credits from each group of 
vehicles separately and then add them together.
    (5) Manufacturers may bank early credits for later use to meet the 
Tier 2 fleet average NOX standard or trade them to another 
manufacturer subject to the restriction in paragraph (c)(3) of this 
section.
    (6) Early credits must not be used to comply with the fleet average 
NOX standards for interim non-Tier 2 vehicles.
    (7) Nothing in this section prevents the use of the NMOG values of 
2003 and earlier model year LDV/LLDTs from being used in calculations of 
the NMOG fleet average and subsequent NMOG credit generation, under 
subpart R of this part.
    (d) Reporting and recordkeeping for Tier 2 NOX credits including 
early credits. Each manufacturer must comply with the reporting and 
recordkeeping requirements of Sec.  86.1862-04.
    (e) Fleet average NOX debits. (1) Manufacturers must offset any 
debits for a given model year by the fleet average NOX 
reporting deadline for the third model year following the model year in 
which the debits were generated as required in Sec.  86.1860.04(e)(2). 
Manufacturers may offset debits by generating credits or acquiring 
credits generated by another manufacturer.
    (2)(i) Failure to meet the requirements of paragraphs (a) through 
(d) of this section and of this paragraph (e), within the required 
timeframe for offsetting debits will be considered to be a failure to 
satisfy the conditions upon which the certificate(s) was issued and the 
individual noncomplying vehicles not covered by the certificate must be 
determined according to this section.
    (ii) If debits are not offset within the specified time period, the 
number of vehicles not meeting the fleet average NOX 
standards and not covered by the certificate must be calculated by 
dividing the total amount of debits for the model year by the fleet 
average NOX standard applicable for the model year in which 
the debits were first incurred.
    (iii) EPA will determine the vehicles for which the condition on the 
certificate was not satisfied by designating vehicles in those test 
groups with the highest certification NOX emission values 
first and continuing until a number of vehicles equal to the calculated 
number of noncomplying vehicles as determined above is reached. If this 
calculation determines that only a portion of vehicles in a test group 
contribute to the debit situation, then EPA will designate actual 
vehicles in that test group as not covered by the certificate, starting 
with the last vehicle produced and counting backwards.
    (3) If a manufacturer ceases production of LDV/Ts and MDPVs or is 
purchased by, merges with or otherwise combines with another 
manufacturer, the manufacturer continues to be responsible for 
offsetting any debits outstanding within the required time period. Any 
failure to offset the debits will be considered to be a violation of 
paragraph (e)(1) of this section and may subject the manufacturer to an 
enforcement action for sale of vehicles not covered by a certificate, 
pursuant to paragraph (e)(2) of this section.
    (4) For purposes of calculating the statute of limitations, a 
violation of the requirements of paragraph (e)(1) of this section, a 
failure to satisfy the conditions upon which a certificate(s) was issued 
and hence a sale of vehicles not covered by the certificate, all occur 
upon the expiration of the deadline for offsetting debits specified in 
paragraph (e)(1) of this section.
    (f) NOX credit transfers. (1) EPA may reject NOX credit 
transfers if the involved manufacturers fail to submit the credit 
transfer notification in the annual report.
    (2) A manufacturer may not sell credits that are not available for 
sale pursuant to the provisions in paragraphs (a)(2) and (a)(7) of this 
section.

[[Page 1086]]

    (3) In the event of a negative credit balance resulting from a 
transaction, both the buyer and seller are liable, except in cases 
involving fraud. EPA may void ab initio the certificates of conformity 
of all engine families participating in such a trade.
    (4)(i) If a manufacturer transfers a credit that it has not 
generated pursuant to paragraph (b) of this section or acquired from 
another party, the manufacturer will be considered to have generated a 
debit in the model year that the manufacturer transferred the credit. 
The manufacturer must offset such debits by the deadline for the annual 
report for that same model year.
    (ii) Failure to offset the debits within the required time period 
will be considered a failure to satisfy the conditions upon which the 
certificate(s) was issued and will be addressed pursuant to paragraph 
(e) of this section.
    (g) Interim non-Tier 2 NOX credits and debits; Interim non-Tier 2 
averaging, banking and trading. Interim non-Tier 2 NOX 
credits must be generated, calculated, tracked, averaged, banked, 
traded, accounted for and reported upon separately from Tier 2 credits. 
The provisions of this section applicable to Tier 2 NOX 
credits and debits and Tier 2 averaging banking and trading are 
applicable to interim non-Tier 2 LDV/LLDTs and interim non-Tier 2 HLDT/
MDPVs with the following exceptions:
    (1) Provisions for early banking under paragraph (c) of this section 
do not apply.
    (2) The fleet average NOX standard used for calculating 
credits is 0.30 grams per mile for interim non-Tier 2 LDV/LLDTs and 0.20 
g/mi for interim non-Tier 2 HLDT/MDPVs. (The interim non-Tier 2 
NOX standard of 0.30 (or 0.20) g/mi replaces 0.07 in the text 
and calculation in this section.)
    (3) Interim non-Tier 2 NOX credit deficits may be carried 
forward for three years subject to the requirements of Sec.  86.1860-
04(e).

[65 FR 6868, Feb. 10, 2000, as amended at 66 FR 19311, Apr. 13, 2001]



Sec.  86.1861-17  How do the NMOG + NOX and evaporative emission 
credit programs work?

    You may use emission credits for purposes of certification to show 
compliance with the applicable fleet-average NMOG + NOX 
standards from Sec. Sec.  86.1811 and 86.1816 and the fleet-average 
evaporative emission standards from Sec.  86.1813 as described in 40 CFR 
part 1037, subpart H, with certain exceptions and clarifications as 
specified in this section. MDPVs are subject to the same provisions of 
this section that apply to LDT4.
    (a) Calculate emission credits as described in this paragraph (a) 
instead of using the provisions of 40 CFR 1037.705. Calculate positive 
or negative emission credits relative to the applicable fleet-average 
standard. Calculate positive emission credits if your fleet-average 
level is below the standard. Calculate negative emission credits if your 
fleet-average value is above the standard. Calculate credits separately 
for each type of standard and for each averaging set. Calculate emission 
credits using the following equation, rounded to the nearest whole 
number:

Emission credit = Volume [middot] [Fleet average standard-Fleet average 
value]

Where:

Emission credit = The positive or negative credit for each discrete 
          fleet-average standard, in units of vehicle-grams per mile for 
          NMOG + NOX and vehicle-grams per test for 
          evaporative emissions.
Volume = Sales volume in a given model year from the collection of test 
          groups or evaporative families covered by the fleet-average 
          value, as described in Sec.  86.1860.

    (b) The following restrictions apply instead of those specified in 
40 CFR 1037.740:
    (1) Except as specified in paragraph (b)(2) of this section, 
emission credits may be exchanged only within an averaging set, as 
follows:
    (i) HDV represent a separate averaging set with respect to all 
emission standards.
    (ii) Except as specified in paragraph (b)(1)(iii) of this section, 
LDV and LDT represent a single averaging set with respect to all 
emission standards. Note that FTP and SFTP credits are not 
interchangeable.

[[Page 1087]]

    (iii) LDV and LDT1 certified to standards based on a useful life of 
120,000 miles and 10 years together represent a single averaging set 
with respect to NMOG + NOX emission standards. Note that FTP 
and SFTP credits are not interchangeable.
    (iv) The following separate averaging sets apply for evaporative 
emission standards:
    (A) LDV and LDT1 together represent a single averaging set.
    (B) LDT2 represents a single averaging set.
    (C) HLDT represents a single averaging set.
    (D) HDV represents a single averaging set.
    (2) You may exchange evaporative emission credits across averaging 
sets as follows if you need additional credits to offset a deficit after 
the final year of maintaining deficit credits as allowed under paragraph 
(c) of this section:
    (i) You may exchange LDV/LDT1 and LDT2 emission credits.
    (ii) You may exchange HLDT and HDV emission credits.
    (3) Except as specified in paragraph (b)(4) of this section, credits 
expire after five years. For example, credits you generate in model year 
2018 may be used only through model year 2023.
    (4) For the Tier 3 declining fleet-average FTP and SFTP emission 
standards for NMOG + NOX described in Sec.  86.1811-17(b)(8), 
credits generated in model years 2017 through 2024 expire after eight 
years, or after model year 2030, whichever comes first; however, these 
credits may not be traded after five years. This extended credit life 
also applies for small-volume manufacturers generating credits under 
Sec.  86.1811-17(h)(1) in model years 2022 through 2024. Note that the 
longer credit life does not apply for heavy-duty vehicles, for vehicles 
certified under the alternate phase-in described in Sec.  86.1811-
17(b)(9), or for vehicles generating early Tier 3 credits under Sec.  
86.1811-17(b)(11) in model year 2017.
    (c) The credit-deficit provisions 40 CFR 1037.745 apply to the NMOG 
+ NOX and evaporative emission standards for Tier 3 vehicles.
    (d) The reporting and recordkeeping provisions of Sec.  86.1862 
apply instead of those specified in 40 CFR 1037.730 and 1037.735.
    (e) The provisions of 40 CFR 1037.645 do not apply.

[79 FR 23735, Apr. 28, 2014]



Sec.  86.1862-04  Maintenance of records and submittal of information 
relevant to compliance with fleet-average standards.

    (a) Overview. This section describes reporting and recordkeeping 
requirements for vehicles subject to the following standards:
    (1) Tier 2 NOX emission standard for LDV and LDT in Sec.  
86.1811-04.
    (2) Tier 3 FTP emission standard for NMOG + NOX for LDV 
and LDT in Sec.  86.1811.
    (3) Tier 3 SFTP emission standard for NMOG + NOX for LDV 
and LDT (including MDPV) in Sec.  86.1811.
    (4) Tier 3 evaporative emission standards in Sec.  86.1813.
    (5) Tier 3 FTP emission standard for NMOG + NOX for HDV 
(other than MDPV) in Sec.  86.1816.
    (6) Cold temperature NMHC standards in Sec.  86.1811.
    (b) Maintenance of records. (1) The manufacturer producing any 
vehicles subject to a fleet-average standard under this subpart must 
establish and maintain all the following information in organized and 
indexed records for each model year:
    (i) Model year.
    (ii) Applicable fleet-average standard.
    (iii) Calculated fleet-average value.
    (iv) All values used in calculating the fleet-average value 
achieved.
    (2) The manufacturer producing any vehicle subject to the provisions 
in this section must keep all the following information for each 
vehicle:
    (i) Model year.
    (ii) Applicable fleet-average standard.
    (iii) EPA test group or evaporative family, as applicable.
    (iv) Assembly plant.
    (v) Vehicle identification number.
    (vi) The FEL and the fleet-average standard to which the vehicle is 
certified.
    (vii) Information on the point of first sale, including the 
purchaser, city, and state.

[[Page 1088]]

    (3) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the annual report. Records may be stored in any format and on 
any media, as long as manufacturers can promptly send EPA organized 
written records in English if we ask for them. Manufacturers must keep 
records readily available as EPA may review them at any time.
    (4) The Administrator may require the manufacturer to retain 
additional records or submit information not specifically required by 
this section.
    (5) EPA may void ab initio a certificate of conformity for a vehicle 
certified to emission standards as set forth or otherwise referenced in 
this subpart for which the manufacturer fails to retain the records 
required in this section, to provide such information to the 
Administrator upon request, or to submit the reports required in this 
section in the specified time period.
    (c) Reporting. (1) Each manufacturer must submit an annual report. 
Except as provided in paragraph (b)(2) of this section, the annual 
report must contain, for each applicable fleet average standard, the 
fleet average value achieved, all values required to calculate the 
fleet-average value, the number of credits generated or debits incurred, 
all the values required to calculate the credits or debits, and 
sufficient information to show compliance with all phase-in 
requirements, if applicable. The annual report must also contain the 
resulting balance of credits or debits.
    (2) When a manufacturer calculates compliance with the fleet-average 
standard using the provisions in Sec.  86.1860-04(c)(2) or Sec.  
86.1860-17(f), the annual report must state that the manufacturer has 
elected to use such provision and must contain the fleet-average 
standard as the fleet-average value for that model year.
    (3) For each applicable fleet-average standard, the annual report 
must also include documentation on all credit transactions the 
manufacturer has engaged in since those included in the last report. 
Information for each transaction must include all the following 
information:
    (i) Name of credit provider.
    (ii) Name of credit recipient.
    (iii) Date the transfer occurred.
    (iv) Quantity of credits transferred.
    (v) Model year in which the credits were earned.
    (4) Unless a manufacturer reports the data required by this section 
in the annual production report required under Sec.  86.1844-01(e) and 
subsequent model year provisions, a manufacturer must submit an annual 
report for each model year after production ends for all affected 
vehicles produced by the manufacturer subject to the provisions of this 
subpart and no later than May 1 of the calendar year following the given 
model year. Annual reports must be submitted to: Director, Compliance 
Division, U.S. Environmental Protection Agency, 2000 Traverwood, Ann 
Arbor, Michigan 48105.
    (5) Failure by a manufacturer to submit the annual report in the 
specified time period for all vehicles subject to the provisions in this 
section is a violation of Clean Air Act section 203(a)(1) (42 U.S.C 
7522(a)(1)) for each subject vehicle produced by that manufacturer.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an annual report previously submitted to EPA, the 
manufacturer's credit or debit calculations will be recalculated. EPA 
may void erroneous credits, unless transferred, and must adjust 
erroneous debits. In the case of transferred erroneous credits, EPA must 
adjust the selling manufacturer's credit or debit balance to reflect the 
sale of such credits and any resulting generation of debits.
    (d) Notice of opportunity for hearing. Any voiding of the 
certificate under paragraph (a)(6) of this section will be made only 
after EPA has offered the manufacturer concerned an opportunity for a 
hearing conducted in accordance with 40 CFR part 1068, subpart G and, if 
a manufacturer requests such a hearing, will be made only after an 
initial decision by the Presiding Officer.

[79 FR 23735, Apr. 28, 2014, as amended at 81 FR 73992, Oct. 25, 2016]

[[Page 1089]]



Sec.  86.1863-07  Optional chassis certification for diesel vehicles.

    This section does not apply for vehicles certified to the Tier 3 
standards in Sec.  86.1816-18, including those vehicles that certify to 
the Tier 3 standards before model year 2018.
    (a) A manufacturer may optionally certify heavy-duty diesel vehicles 
14,000 pounds GVWR or less to the standards specified in Sec.  86.1816. 
Such vehicles must meet all the requirements of this subpart S that are 
applicable to Otto-cycle vehicles, except for evaporative, refueling, 
and OBD requirements where the diesel-specific OBD requirements would 
apply.
    (b) For OBD, diesel vehicles optionally certified under this section 
are subject to the OBD requirements of Sec.  86.1806.
    (c) Diesel vehicles certified under this section may be tested using 
the test fuels, sampling systems, or analytical systems specified for 
diesel engines in subpart N of this part or in 40 CFR part 1065.
    (d) Diesel vehicles optionally certified under this section to the 
standards of this subpart may not be included in any averaging, banking, 
or trading program for criteria emissions under this part.
    (e) The provisions of Sec.  86.004-40 apply to the engines in 
vehicles certified under this section.
    (f) Diesel vehicles may be certified under this section to the 
standards applicable to model year 2008 in earlier model years.
    (g) Diesel vehicles optionally certified under this section in model 
years 2007, 2008, or 2009 shall be included in phase-in calculations 
specified in Sec.  86.007-11(g).
    (h) [Reserved]
    (i) Non-petroleum fueled complete vehicles subject to the standards 
and requirements of this part under Sec.  86.016-01(d)(5) are subject to 
the provisions of this section applicable to diesel-fueled heavy-duty 
vehicles.

[76 FR 57379, Sept. 15, 2011, as amended at 79 FR 23736, Apr. 28, 2014; 
81 FR 73992, Oct. 25, 2016]



Sec.  86.1864-10  How to comply with the fleet average cold temperature 
NMHC standards.

    (a) Applicability. Cold temperature NMHC exhaust emission standards 
apply to the following vehicles, subject to the phase-in requirements in 
Sec.  86.1811-10(g)(3) and (4):
    (1) 2010 and later model year LDV/LLDTs.
    (2) 2012 and later model year HLDT/MDPVs.
    (3) [Reserved]
    (4) Vehicles imported by ICIs as defined in 40 CFR 85.1502.
    (b) Useful life requirements. Full useful life requirements for cold 
temperature NMHC standards are defined in Sec.  86.1805-04(g). There is 
not an intermediate useful life standard for cold temperature NMHC 
standards.
    (c) Altitude. Altitude requirements for cold temperature NMHC 
standards are provided in Sec.  86.1810-09(f).
    (d) Small volume manufacturer certification procedures. 
Certification procedures for small volume manufacturers are provided in 
Sec.  86.1838-01.
    (e) Cold temperature NMHC standards. Fleet average cold temperature 
NMHC standards are provided in Sec.  86.1811-10(g)(2).
    (f) Phase-in. Phase-in of the cold temperature NMHC standards are 
provided in Sec.  86.1811-10(g)(3) and (4).
    (g) Phase-in flexibilities for small volume manufacturers. Phase-in 
flexibilities for small volume manufacturer compliance with the cold 
temperature NMHC standards are provided in Sec.  86.1811-04(k)(5).
    (h) Hardship provisions for small volume manufacturers. Hardship 
provisions for small volume manufacturers related to the cold 
temperature NMHC standards are provided in Sec.  86.1811-04(q)(1).
    (i) In-use standards for applicable phase-in models. In-use cold 
temperature NMHC standards for applicable phase-in models are provided 
in Sec.  86.1811-10(u).
    (j) Durability procedures and method of determining deterioration 
factors (DFs). The durability data vehicle selection procedures of Sec.  
86.1822-01 and the durability demonstration procedures of Sec.  86.1823-
06 apply for cold temperature NMHC standards. For determining

[[Page 1090]]

compliance with full useful life cold temperature NMHC emission 
standards, the 68-86 [deg]F, 120,000 mile full useful life NMOG DF may 
be used.
    (k) Vehicle test procedure. (1) The test procedure for demonstrating 
compliance with cold temperature NMHC standards is contained in subpart 
C of this part. With prior EPA approval, alternative testing procedures 
may be used, as specified in Sec.  86.106-96(a), provided cold 
temperature NMHC emissions test results are equivalent or superior.
    (2) Testing of all LDVs, LDTs and MDPVs to determine compliance with 
cold temperature NMHC exhaust emission standards set forth in this 
section must be on a loaded vehicle weight (LVW) basis, as defined in 
Sec.  86.1803-01.
    (3) Testing for the purpose of providing certification data is 
required only at low altitude conditions and only for vehicles that can 
operate on gasoline, except as requested in Sec. Sec.  86.1810-09(f) and 
86.1844-01(d)(11). If hardware and software emission control strategies 
used during low altitude condition testing are not used similarly across 
all altitudes for in-use operation, the manufacturer must include a 
statement in the application for certification, in accordance with 
Sec. Sec.  86.1844-01(d)(11) and 86.1810-09(f), stating what the 
different strategies are and why they are used. If hardware and software 
emission control strategies used during testing with gasoline are not 
used similarly with all fuels that can be used in multi-fuel vehicles, 
the manufacturer will include a statement in the application for 
certification, in accordance with Sec. Sec.  86.1844-01(d)(11) and 
86.1810-09(f), stating what the different strategies are and why they 
are used. For example, unless a manufacturer states otherwise, air pumps 
used to control emissions on dedicated gasoline vehicles or multi-fuel 
vehicles during low altitude conditions must also be used to control 
emissions at high altitude conditions, and software used to control 
emissions or closed loop operation must also operate similarly at low 
and high altitude conditions and similarly when multi-fueled vehicles 
are operated on gasoline and alternate fuels. These examples are for 
illustrative purposes only; similar strategies would apply to other 
currently used emission control technologies and/or emerging or future 
technologies.
    (l) Emission data vehicle (EDV) selection. Provisions for selecting 
the appropriate EDV for the cold temperature NMHC standards are provided 
in Sec. Sec.  86.1828-10(g) and 86.1829-01(b)(3).
    (m) Calculating the fleet average cold temperature NMHC standard. 
Manufacturers must compute separate sales-weighted fleet average cold 
temperature NMHC emissions at the end of the model year for LDV/LLDTs 
and HLDT/MDPVs, using actual sales, and certifying test groups to FELs, 
as defined in Sec.  86.1803-01. The FEL becomes the standard for each 
test group, and every test group can have a different FEL. The 
certification resolution for the FEL will be 0.1 grams/mile. LDVs and 
LLDTs must be grouped together when calculating the fleet average, and 
HLDTs and MDPVs must also be grouped together to determine the fleet 
average. Manufacturers must compute the sales-weighted cold temperature 
NMHC fleet averages using the following equation, rounded to the nearest 
0.1 grams/mile:

Fleet average cold temperature NMHC exhaust emissions (grams/mile) = 
[Sigma](N x FEL) / Total number of vehicles sold of the applicable 
weight category (i.e., either LDV + LLDTs, or HLDT + MDPVs)
Where:

N = The number of LDVs and LLDTs, or HLDTs and MDPVs, sold within the 
          applicable FEL, based on vehicles counted to the point of 
          first sale.
FEL = Family Emission Limit (grams/mile).

    (n) Certification compliance and enforcement requirements for cold 
temperature NMHC standards. (1) Compliance and enforcement requirements 
are provided in Sec.  86.1864-10 and Sec.  86.1848-10(c)(8).
    (2) The certificate issued for each test group requires all vehicles 
within that test group to meet the emission standard or FEL to which the 
vehicles were certified.
    (3) Each manufacturer must comply with the applicable cold 
temperature NMHC fleet average standard on a sales-weighted average 
basis, at the end of each model year, using the procedure described in 
paragraph (m) of this section.

[[Page 1091]]

    (4) During a phase-in year, the manufacturer must comply with the 
applicable cold temperature NMHC fleet average standard for the required 
phase-in percentage for that year as specified in Sec.  86.1811-10(g)(3) 
or (4).
    (5) Manufacturers must compute separate cold temperature NMHC fleet 
averages for LDV/LLDTs and HLDT/MDPVs. The sales-weighted cold 
temperature NMHC fleet averages must be compared with the applicable 
fleet average standard.
    (6) Each manufacturer must comply on an annual basis with the fleet 
average standards as follows:
    (i) Manufacturers must report in their annual reports to the Agency 
that they met the relevant corporate average standard by showing that 
their sales-weighted average cold temperature NMHC emissions of LDV/
LLDTs and HLDT/MDPVs, as applicable, are at or below the applicable 
fleet average standard;
    (ii) If the sales-weighted average is above the applicable fleet 
average standard, manufacturers must obtain and apply sufficient NMHC 
credits as permitted under paragraph (o)(8) of this section. A 
manufacturer must show via the use of credits that they have offset any 
exceedence of the corporate average standard. Manufacturers must also 
include their credit balances or deficits.
    (iii) If a manufacturer fails to meet the corporate average cold 
temperature NMHC standard for two consecutive years, the vehicles 
causing the corporate average exceedence will be considered not covered 
by the certificate of conformity (see paragraph (o)(8) of this section). 
A manufacturer will be subject to penalties on an individual-vehicle 
basis for sale of vehicles not covered by a certificate.
    (iv) EPA will review each manufacturer's sales to designate the 
vehicles that caused the exceedence of the corporate average standard. 
EPA will designate as nonconforming those vehicles in test groups with 
the highest certification emission values first, continuing until 
reaching a number of vehicles equal to the calculated number of 
noncomplying vehicles as determined above. In a group where only a 
portion of vehicles would be deemed nonconforming, EPA will determine 
the actual nonconforming vehicles by counting backwards from the last 
vehicle produced in that test group. Manufacturers will be liable for 
penalties for each vehicle sold that is not covered by a certificate.
    (o) Requirements for the cold temperature NMHC averaging, banking 
and trading (ABT) program. (1) Manufacturers must average the cold 
temperature NMHC emissions of their vehicles and comply with the cold 
temperature NMHC fleet average corporate standard. Manufacturers may 
generate credits during and after the phase-in period. Manufacturers may 
generate credits prior to the phase-in periods as described in paragraph 
(o)(5) of this section. A manufacturer whose cold temperature NMHC fleet 
average emissions exceed the applicable standard must complete the 
calculation in paragraph (o)(4) of this section to determine the size of 
its NMHC credit deficit. A manufacturer whose cold temperature NMHC 
fleet average emissions are less than the applicable standard must 
complete the calculation in paragraph (o)(4) of this section to generate 
NMHC credits.
    (2) There are no property rights associated with NMHC credits 
generated under this subpart. Credits are a limited authorization to 
emit the designated amount of emissions. Nothing in this part or any 
other provision of law should be construed to limit EPA's authority to 
terminate or limit this authorization through a rulemaking.
    (3) Each manufacturer must comply with the reporting and 
recordkeeping requirements of paragraph (p) of this section for NMHC 
credits, including early credits. The averaging, banking and trading 
program is enforceable through the certificate of conformity that allows 
the manufacturer to introduce any regulated vehicles into commerce.
    (4) Credits are earned on the last day of the model year. 
Manufacturers must calculate, for a given model year, the number of 
credits or debits it has generated according to the following equation, 
rounded to the nearest 0.1 grams/mile:


[[Page 1092]]


NMHC Credits or Debits = (Cold Temperature NMHC Standard--Manufacturer's 
Sales-Weighted Fleet Average Cold Temperature NMHC Emissions) x (Total 
Number of Vehicles Sold)

Where:

Cold Temperature NMHC Standard = 0.3 grams/mile for LDV/LLDTs or 0.5 
          grams/mile for HLDT/MDPV, per Sec.  86.1811-10(g)(2).
Manufacturer's Sales-Weighted Fleet Average Cold Temperature NMHC 
          Emissions = average calculated according to paragraph (m) of 
          this section.
Total Number of Vehicles Sold = Total 50-State sales based on the point 
          of first sale.

    (5) The following provisions apply for early banking:
    (i) Manufacturers may certify LDV/LLDTs to the cold temperature NMHC 
exhaust standards in Sec.  86.1811-10(g)(2) for model years 2008-2009 to 
bank credits for use in the 2010 and later model years. Manufacturers 
may certify HLDT/MDPVs to the cold temperature NMHC exhaust standards in 
Sec.  86.1811-10(g)(2) for model years 2010-2011 to bank credits for use 
in the 2012 and later model years.
    (ii) This process is referred to as ``early banking'' and the 
resultant credits are referred to as ``early credits.'' To bank early 
credits, a manufacturer must comply with all exhaust emission standards 
and requirements applicable to LDV/LLDTs and/or HLDT/MDPVs. To generate 
early credits, a manufacturer must separately compute the sales-weighted 
cold temperature NMHC average of the LDV/LLDTs and HLDT/MDPVs it 
certifies to the exhaust requirements and separately compute credits 
using the calculations in paragraph (o)(4) of this section. Early HLDT/
MDPV credits may not be applied to LDV/LLDTs before the 2010 model year. 
Early LDV/LLDT credits may not be applied to HLDT/ MDPV before the 2012 
model year.
    (6) NMHC credits are not subject to any discount or expiration date 
except as required under the deficit carryforward provisions of 
paragraph (o)(8) of this section. There is no discounting of unused 
credits. NMHC credits have unlimited lives, subject to the limitations 
of paragraph (o)(2) of this section.
    (7) Credits may be used as follows:
    (i) Credits generated and calculated according to the method in 
paragraph (o)(4) of this section may be used only to offset deficits 
accrued with respect to the standard in Sec.  86.1811-10(g)(2). Credits 
may be banked and used in a future model year in which a manufacturer's 
average cold temperature NMHC level exceeds the applicable standard. 
Credits may be exchanged between the LDT/LLDT and HLDT/MDPV fleets of a 
given manufacturer. Credits may also be traded to another manufacturer 
according to the provisions in paragraph (o)(9) of this section. Before 
trading or carrying over credits to the next model year, a manufacturer 
must apply available credits to offset any credit deficit, where the 
deadline to offset that credit deficit has not yet passed.
    (ii) The use of credits shall not be permitted to address Selective 
Enforcement Auditing or in-use testing failures. The enforcement of the 
averaging standard occurs through the vehicle's certificate of 
conformity. A manufacturer's certificate of conformity is conditioned 
upon compliance with the averaging provisions. The certificate will be 
void ab initio if a manufacturer fails to meet the corporate average 
standard and does not obtain appropriate credits to cover its shortfalls 
in that model year or in the subsequent model year (see deficit 
carryforward provision in paragraph (o)(8) of this section). 
Manufacturers must track their certification levels and sales unless 
they produce only vehicles certified to cold temperature NMHC levels 
below the standard and do not plan to bank credits.
    (8) The following provisions apply if debits are accrued:
    (i) If a manufacturer calculates that it has negative credits (also 
called ``debits'' or a ``credit deficit'') for a given model year, it 
may carry that deficit forward into the next model year. Such a carry-
forward may only occur after the manufacturer exhausts any supply of 
banked credits. At the end of that next model year, the deficit must be 
covered with an appropriate

[[Page 1093]]

number of credits that the manufacturer generates or purchases. Any 
remaining deficit is subject to an enforcement action, as described in 
this paragraph (o)(8). Manufacturers are not permitted to have a credit 
deficit for two consecutive years.
    (ii) If debits are not offset within the specified time period, the 
number of vehicles not meeting the fleet average cold temperature NMHC 
standards (and therefore not covered by the certificate) must be 
calculated by dividing the total amount of debits for the model year by 
the fleet average cold temperature NMHC standard applicable for the 
model year in which the debits were first incurred.
    (iii) EPA will determine the number of vehicles for which the 
condition on the certificate was not satisfied by designating vehicles 
in those test groups with the highest certification cold temperature 
NMHC emission values first and continuing until reaching a number of 
vehicles equal to the calculated number of noncomplying vehicles as 
determined above. If this calculation determines that only a portion of 
vehicles in a test group contribute to the debit situation, then EPA 
will designate actual vehicles in that test group as not covered by the 
certificate, starting with the last vehicle produced and counting 
backwards.
    (iv)(A) If a manufacturer ceases production of LDV/LLDTs and HLDT/
MDPVs, the manufacturer continues to be responsible for offsetting any 
debits outstanding within the required time period. Any failure to 
offset the debits will be considered a violation of paragraph (o)(8)(i) 
of this section and may subject the manufacturer to an enforcement 
action for sale of vehicles not covered by a certificate, pursuant to 
paragraphs (o)(8)(ii) and (iii) of this section.
    (B) If a manufacturer is purchased by, merges with, or otherwise 
combines with another manufacturer, the controlling entity is 
responsible for offsetting any debits outstanding within the required 
time period. Any failure to offset the debits will be considered a 
violation of paragraph (o)(8)(i) of this section and may subject the 
manufacturer to an enforcement action for sale of vehicles not covered 
by a certificate, pursuant to paragraphs (o)(8)(ii) and (iii) of this 
section.
    (v) For purposes of calculating the statute of limitations, a 
violation of the requirements of paragraph (o)(8)(i) of this section, a 
failure to satisfy the conditions upon which a certificate(s) was issued 
and hence a sale of vehicles not covered by the certificate, all occur 
upon the expiration of the deadline for offsetting debits specified in 
paragraph (o)(8)(i) of this section.
    (9) The following provisions apply to NMHC credit trading:
    (i) EPA may reject NMHC credit trades if the involved manufacturers 
fail to submit the credit trade notification in the annual report. A 
manufacturer may not sell credits that are not available for sale 
pursuant to the provisions in paragraphs (o)(7)(i) of this section.
    (ii) In the event of a negative credit balance resulting from a 
transaction that a manufacturer could not cover by the reporting 
deadline for the model year in which the trade occurred, both the buyer 
and seller are liable, except in cases involving fraud. EPA may void ab 
initio the certificates of conformity of all engine families 
participating in such a trade.
    (iii) A manufacturer may only trade credits that it has generated 
pursuant to paragraph (o)(4) of this section or acquired from another 
party.
    (p) Reporting and recordkeeping. Keep records and submit information 
for demonstrating compliance with the fleet average cold temperature 
NMHC standard as described in Sec.  86.1862-04.

[72 FR 8567, Feb. 26, 2007, as amended at 76 FR 19874, Apr. 8, 2011; 79 
FR 23736, Apr. 28, 2014]



Sec.  86.1865-12  How to comply with the fleet average CO2 standards.

    (a) Applicability. (1) Unless otherwise exempted under the 
provisions of paragraph (d) of this section, CO2 fleet 
average exhaust emission standards of this subpart apply to:
    (i) 2012 and later model year passenger automobiles and light 
trucks.
    (ii) Heavy-duty vehicles subject to standards under Sec.  86.1819.
    (iii) Vehicles imported by ICIs as defined in 40 CFR 85.1502.

[[Page 1094]]

    (2) The terms ``passenger automobile'' and ``light truck'' as used 
in this section have the meanings given in Sec.  86.1818-12.
    (b) Useful life requirements. Full useful life requirements for 
CO2 standards are defined in Sec. Sec.  86.1818 and 86.1819. 
There is not an intermediate useful life standard for CO2 
emissions.
    (c) Altitude. Greenhouse gas emission standards apply for testing at 
both low-altitude conditions and at high-altitude conditions, as 
described in Sec. Sec.  86.1818 and 86.1819.
    (d) Small volume manufacturer certification procedures. (1) 
Passenger automobiles and light trucks. Certification procedures for 
small volume manufacturers are provided in Sec.  86.1838. Small 
businesses meeting certain criteria may be exempted from the greenhouse 
gas emission standards in Sec.  86.1818 according to the provisions of 
Sec.  86.1801-12(j) or (k).
    (2) Heavy-duty vehicles. HDV manufacturers that qualify as small 
businesses are not subject to the Phase 1 greenhouse gas standards of 
this subpart as specified in Sec.  86.1819-14(k)(5).
    (e) CO2 fleet average exhaust emission standards. The fleet average 
standards referred to in this section are the corporate fleet average 
CO2 standards for passenger automobiles and light trucks set 
forth in Sec.  86.1818-12(c) and (e), and for HDV in Sec.  86.1819. Each 
manufacturer must comply with the applicable CO2 fleet 
average standard on a production-weighted average basis, for each 
separate averaging set, at the end of each model year, using the 
procedure described in paragraph (j) of this section. The fleet average 
CO2 standards applicable in a given model year are calculated 
separately for passenger automobiles and light trucks for each 
manufacturer and each model year according to the provisions in Sec.  
86.1818. Calculate the HDV fleet average CO2 standard in a 
given model year as described in Sec.  86.1819-14(a).
    (f) In-use CO2 standards. In-use CO2 exhaust emission 
standards are provided in Sec.  86.1818-12(d) for passenger automobiles 
and light trucks and in Sec.  86.1819-14(b) for HDV.
    (g) Durability procedures and method of determining deterioration 
factors (DFs). Deterioration factors for CO2 exhaust emission 
standards are provided in Sec.  86.1823-08(m) for passenger automobiles 
and light trucks and in Sec.  86.1819-14(d)(5) for HDV.
    (h) Vehicle test procedures. (1) The test procedures for 
demonstrating compliance with CO2 exhaust emission standards 
are described at Sec.  86.101 and 40 CFR part 600, subpart B.
    (2) Testing to determine compliance with CO2 exhaust 
emission standards must be on a loaded vehicle weight (LVW) basis for 
passenger automobiles and light trucks (including MDPV), and on an 
adjusted loaded vehicle weight (ALVW) basis for non-MDPV heavy-duty 
vehicles.
    (3) Testing for the purpose of providing certification data is 
required only at low-altitude conditions. If hardware and software 
emission control strategies used during low-altitude condition testing 
are not used similarly across all altitudes for in-use operation, the 
manufacturer must include a statement in the application for 
certification, in accordance with Sec.  86.1844-01(d)(11), stating what 
the different strategies are and why they are used.
    (i) Calculating fleet average carbon-related exhaust emissions for 
passenger automobiles and light trucks. (1) Manufacturers must compute 
separate production-weighted fleet average carbon-related exhaust 
emissions at the end of the model year for passenger automobiles and 
light trucks, using actual production, where production means vehicles 
produced and delivered for sale, and certifying model types to standards 
as defined in Sec.  86.1818-12. The model type carbon-related exhaust 
emission results determined according to 40 CFR part 600, subpart F (in 
units of grams per mile rounded to the nearest whole number) become the 
certification standard for each model type.
    (2) Manufacturers must separately calculate production-weighted 
fleet average carbon-related exhaust emissions levels for the following 
averaging sets according to the provisions of 40 CFR part 600, subpart 
F:
    (i) Passenger automobiles subject to the fleet average 
CO2 standards specified in Sec.  86.1818-12(c)(2);

[[Page 1095]]

    (ii) Light trucks subject to the fleet average CO2 
standards specified in Sec.  86.1818-12(c)(3);
    (iii) Passenger automobiles subject to the Temporary Leadtime 
Allowance Alternative Standards specified in Sec.  86.1818-12(e), if 
applicable; and
    (iv) Light trucks subject to the Temporary Leadtime Allowance 
Alternative Standards specified in Sec.  86.1818-12(e), if applicable.
    (j) Certification compliance and enforcement requirements for CO 2 
exhaust emission standards.
    (1) Compliance and enforcement requirements are provided in this 
section and Sec.  86.1848-10(c)(9).
    (2) The certificate issued for each test group requires all model 
types within that test group to meet the in-use emission standards to 
which each model type is certified. The in-use standards for passenger 
automobiles and light duty trucks (including MDPV) are described in 
Sec.  86.1818-12(d). The in-use standards for non-MDPV heavy-duty 
vehicles are described in Sec.  86.1819-14(b).
    (3) Each manufacturer must comply with the applicable CO2 
fleet average standard on a production-weighted average basis, at the 
end of each model year. Use the procedure described in paragraph (i) of 
this section for passenger automobiles and light trucks (including 
MDPV). Use the procedure described in Sec.  86.1819-14(d)(9)(iv) for 
non-MDPV heavy-duty vehicles.
    (4) Each manufacturer must comply on an annual basis with the fleet 
average standards as follows:
    (i) Manufacturers must report in their annual reports to the Agency 
that they met the relevant corporate average standard by showing that 
the applicable production-weighted average CO2 emission 
levels are at or below the applicable fleet average standards; or
    (ii) If the production-weighted average is above the applicable 
fleet average standard, manufacturers must obtain and apply sufficient 
CO2 credits as authorized under paragraph (k)(8) of this 
section. A manufacturer must show that they have offset any exceedance 
of the corporate average standard via the use of credits. Manufacturers 
must also include their credit balances or deficits in their annual 
report to the Agency.
    (iii) If a manufacturer fails to meet the corporate average 
CO2 standard for four consecutive years, the vehicles causing 
the corporate average exceedance will be considered not covered by the 
certificate of conformity (see paragraph (k)(8) of this section). A 
manufacturer will be subject to penalties on an individual-vehicle basis 
for sale of vehicles not covered by a certificate.
    (iv) EPA will review each manufacturer's production to designate the 
vehicles that caused the exceedance of the corporate average standard. 
EPA will designate as nonconforming those vehicles in test groups with 
the highest certification emission values first, continuing until 
reaching a number of vehicles equal to the calculated number of 
noncomplying vehicles as determined in paragraph (k)(8) of this section. 
In a group where only a portion of vehicles would be deemed 
nonconforming, EPA will determine the actual nonconforming vehicles by 
counting backwards from the last vehicle produced in that test group. 
Manufacturers will be liable for penalties for each vehicle sold that is 
not covered by a certificate.
    (k) Requirements for the CO2 averaging, banking and trading (ABT) 
program. (1) A manufacturer whose CO2 fleet average emissions 
exceed the applicable standard must complete the calculation in 
paragraph (k)(4) of this section to determine the size of its 
CO2 deficit. A manufacturer whose CO2 fleet 
average emissions are less than the applicable standard may complete the 
calculation in paragraph (k)(4) of this section to generate 
CO2 credits. In either case, the number of credits or debits 
must be rounded to the nearest whole number.
    (2) There are no property rights associated with CO2 
credits generated under this subpart. Credits are a limited 
authorization to emit the designated amount of emissions. Nothing in 
this part or any other provision of law should be construed to limit 
EPA's authority to terminate or limit this authorization through a 
rulemaking.
    (3) Each manufacturer must comply with the reporting and 
recordkeeping requirements of paragraph (l) of this section for 
CO2 credits, including early

[[Page 1096]]

credits. The averaging, banking and trading program is enforceable 
through the certificate of conformity that allows the manufacturer to 
introduce any regulated vehicles into U.S. commerce.
    (4) Credits are earned on the last day of the model year. 
Manufacturers must calculate, for a given model year and separately for 
passenger automobiles, light trucks, and heavy-duty vehicles, the number 
of credits or debits it has generated according to the following 
equation rounded to the nearest megagram:

CO2 Credits or Debits (Mg) = [(CO2 Standard - Manufacturer's Production-
Weighted Fleet Average CO2 Emissions) x (Total Number of Vehicles 
Produced) x (Mileage)] / 1,000,000

Where:

CO2 Standard = the applicable standard for the model year as determined 
          in Sec.  86.1818 or Sec.  86.1819;
Manufacturer's Production-Weighted Fleet Average CO2 Emissions = average 
          calculated according to paragraph (i) of this section;
Total Number of Vehicles Produced = the number of vehicles domestically 
          produced plus those imported as defined in Sec.  600.511-08 of 
          this chapter; and
Mileage = useful life value (in miles) for HDV, and vehicle lifetime 
          miles of 195,264 for passenger automobiles and 225,865 for 
          light trucks.

    (5) Determine total HDV debits and credits for a model year as 
described in Sec.  86.1819-14(d)(6). Determine total passenger car and 
light truck debits and credits for a model year as described in this 
paragraph (k)(5). Total credits or debits generated in a model year, 
maintained and reported separately for passenger automobiles and light 
trucks, shall be the sum of the credits or debits calculated in 
paragraph (k)(4) of this section and any of the following credits, if 
applicable, minus any CO2-equivalent debits for 
N2O and/or CH4 calculated according to the 
provisions of Sec.  86.1818-12(f)(4):
    (i) Air conditioning leakage credits earned according to the 
provisions of Sec.  86.1867-12(b).
    (ii) Air conditioning efficiency credits earned according to the 
provisions of Sec.  86.1868-12(c).
    (iii) Off-cycle technology credits earned according to the 
provisions of Sec.  86.1869-12(d).
    (iv) Full size pickup truck credits earned according to the 
provisions of Sec.  86.1870-12(c).
    (v) Advanced technology vehicle credits earned according to the 
provisions of Sec.  86.1866-12(b)(3).
    (vi) CO2-equivalent debits for N2O and/or 
CH4 accumulated according to the provisions of Sec.  86.1818-
12(f)(4).
    (6) Unused CO2 credits generally retain their full value 
through five model years after the model year in which they were 
generated. Credits remaining at the end of the fifth model year after 
the model year in which they were generated may not be used to 
demonstrate compliance for later model years. The following particular 
provisions apply for passenger cars and light trucks:
    (i) Unused CO2 credits from the 2009 model year shall 
retain their full value through the 2014 model year. Credits from the 
2009 model year that remain at the end of the 2014 model year may not be 
used to demonstrate compliance for later model years.
    (ii) Unused CO2 credits from the 2010 through 2015 model 
years shall retain their full value through the 2021 model year. Credits 
remaining from these model years at the end of the 2021 model year may 
not be used to demonstrate compliance for later model years.
    (7) Credits may be used as follows:
    (i) Credits generated and calculated according to the method in 
paragraphs (k)(4) and (5) of this section may not be used to offset 
deficits other than those deficits accrued within the respective 
averaging set, except that credits may be transferred between the 
passenger automobile and light truck fleets of a given manufacturer. 
Credits may be banked and used in a future model year in which a 
manufacturer's average CO2 level exceeds the applicable 
standard. Credits may also be traded to another manufacturer according 
to the provisions in paragraph (k)(8) of this section. Before trading or 
carrying over credits to the next model year, a manufacturer must apply 
available credits to offset any deficit, where the deadline to offset 
that credit deficit has not yet passed. This paragraph (k)(7)(i) applies 
for MDPV, but not for other HDV.

[[Page 1097]]

    (ii) The use of credits shall not change Selective Enforcement 
Auditing or in-use testing failures from a failure to a non-failure. The 
enforcement of the averaging standard occurs through the vehicle's 
certificate of conformity as described in paragraph (k)(8) of this 
section. A manufacturer's certificate of conformity is conditioned upon 
compliance with the averaging provisions. The certificate will be void 
ab initio if a manufacturer fails to meet the corporate average standard 
and does not obtain appropriate credits to cover its shortfalls in that 
model year or subsequent model years (see deficit carry-forward 
provisions in paragraph (k)(8) of this section).
    (iii) The following provisions apply for passenger automobiles and 
light trucks under the Temporary Leadtime Allowance Alternative 
Standards:
    (A) Credits generated by vehicles subject to the fleet average 
CO2 standards specified in Sec.  86.1818-12(c) may only be 
used to offset a deficit generated by vehicles subject to the Temporary 
Leadtime Allowance Alternative Standards specified in Sec.  86.1818-
12(e).
    (B) Credits generated by a passenger automobile or light truck 
averaging set subject to the Temporary Leadtime Allowance Alternative 
Standards specified in Sec.  86.1818-12(e)(4)(i) or (ii) may be used to 
offset a deficit generated by an averaging set subject to the Temporary 
Leadtime Allowance Alternative Standards through the 2015 model year, 
except that manufacturers qualifying under the provisions of Sec.  
86.1818-12(e)(3) may use such credits to offset a deficit generated by 
an averaging set subject to the Temporary Leadtime Allowance Alternative 
Standards through the 2016 model year.
    (C) Credits generated by an averaging set subject to the Temporary 
Leadtime Allowance Alternative Standards specified in Sec.  86.1818-
12(e)(4)(i) or (ii) of this section may not be used to offset a deficit 
generated by an averaging set subject to the fleet average 
CO2 standards specified in Sec.  86.1818-12(c)(2) or (3) or 
otherwise transferred to an averaging set subject to the fleet average 
CO2 standards specified in Sec.  86.1818-12(c)(2) or (3).
    (D) Credits generated by vehicles subject to the Temporary Leadtime 
Allowance Alternative Standards specified in Sec.  86.1818-12(e)(4)(i) 
or (ii) may be banked for use in a future model year (to offset a 
deficit generated by an averaging set subject to the Temporary Leadtime 
Allowance Alternative Standards). All such credits may not be used to 
demonstrate compliance for model year 2016 and later vehicles, except 
that manufacturers qualifying under the provisions of Sec.  86.1818-
12(e)(3) may use such credits to offset a deficit generated by an 
averaging set subject to the Temporary Leadtime Allowance Alternative 
Standards through the 2016 model year.
    (E) A manufacturer with any vehicles subject to the Temporary 
Leadtime Allowance Alternative Standards specified in Sec.  86.1818-
12(e)(4)(i) or (ii) of this section in a model year in which that 
manufacturer also generates credits with vehicles subject to the fleet 
average CO2 standards specified in Sec.  86.1818-12(c) may 
not trade or bank credits earned against the fleet average standards in 
Sec.  86.1818-12(c) for use in a future model year.
    (iv) Credits generated in the 2017 through 2020 model years under 
the provisions of Sec.  86.1818-12(e)(3)(ii) may not be traded or 
otherwise provided to another manufacturer.
    (v) Credits generated under any alternative fleet average standards 
approved under Sec.  86.1818-12(g) may not be traded or otherwise 
provided to another manufacturer.
    (8) The following provisions apply if a manufacturer calculates that 
it has negative credits (also called ``debits'' or a ``credit deficit'') 
for a given model year:
    (i) The manufacturer may carry the credit deficit forward into the 
next three model years. Such a carry-forward may only occur after the 
manufacturer exhausts any supply of banked credits. The deficit must be 
covered with an appropriate number of credits that the manufacturer 
generates or purchases by the end of the third model year. Any remaining 
deficit is subject to a voiding of the certificate ab initio, as 
described in this paragraph (k)(8). Manufacturers are not permitted to 
have a credit deficit for four consecutive years.

[[Page 1098]]

    (ii) If the credit deficit is not offset within the specified time 
period, the number of vehicles not meeting the fleet average 
CO2 standards (and therefore not covered by the certificate) 
must be calculated.
    (A) Determine the negative credits for the noncompliant vehicle 
category by multiplying the total megagram deficit by 1,000,000 and then 
dividing by the mileage specified in paragraph (k)(4) of this section.
    (B) Divide the result by the fleet average standard applicable to 
the model year in which the debits were first incurred and round to the 
nearest whole number to determine the number of vehicles not meeting the 
fleet average CO2 standards.
    (iii) EPA will determine the vehicles not covered by a certificate 
because the condition on the certificate was not satisfied by 
designating vehicles in those test groups with the highest carbon-
related exhaust emission values first and continuing until reaching a 
number of vehicles equal to the calculated number of non-complying 
vehicles as determined in this paragraph (k)(8). The same approach 
applies for HDV, except that EPA will make these designations by ranking 
test groups based on CO2 emission values. If these 
calculations determines that only a portion of vehicles in a test group 
contribute to the debit situation, then EPA will designate actual 
vehicles in that test group as not covered by the certificate, starting 
with the last vehicle produced and counting backwards.
    (iv)(A) If a manufacturer ceases production of passenger 
automobiles, light trucks, or heavy-duty vehicles, the manufacturer 
continues to be responsible for offsetting any debits outstanding within 
the required time period. Any failure to offset the debits will be 
considered a violation of paragraph (k)(8)(i) of this section and may 
subject the manufacturer to an enforcement action for sale of vehicles 
not covered by a certificate, pursuant to paragraphs (k)(8)(ii) and 
(iii) of this section.
    (B) If a manufacturer is purchased by, merges with, or otherwise 
combines with another manufacturer, the controlling entity is 
responsible for offsetting any debits outstanding within the required 
time period. Any failure to offset the debits will be considered a 
violation of paragraph (k)(8)(i) of this section and may subject the 
manufacturer to an enforcement action for sale of vehicles not covered 
by a certificate, pursuant to paragraphs (k)(8)(ii) and (iii) of this 
section.
    (v) For purposes of calculating the statute of limitations, a 
violation of the requirements of paragraph (k)(8)(i) of this section, a 
failure to satisfy the conditions upon which a certificate(s) was issued 
and hence a sale of vehicles not covered by the certificate, all occur 
upon the expiration of the deadline for offsetting debits specified in 
paragraph (k)(8)(i) of this section.
    (9) The following provisions apply to CO2 credit trading:
    (i) EPA may reject CO2 credit trades if the involved 
manufacturers fail to submit the credit trade notification in the annual 
report.
    (ii) A manufacturer may not sell credits that are no longer valid 
for demonstrating compliance based on the model years of the subject 
vehicles, as specified in paragraph (k)(6) of this section.
    (iii) In the event of a negative credit balance resulting from a 
transaction, both the buyer and seller are liable for the credit 
shortfall. EPA may void ab initio the certificates of conformity of all 
test groups that generate or use credits in such a trade.
    (iv)(A) If a manufacturer trades a credit that it has not generated 
pursuant to this paragraph (k) or acquired from another party, the 
manufacturer will be considered to have generated a debit in the model 
year that the manufacturer traded the credit. The manufacturer must 
offset such debits by the deadline for the annual report for that same 
model year.
    (B) Failure to offset the debits within the required time period 
will be considered a failure to satisfy the conditions upon which the 
certificate(s) was issued and will be addressed pursuant to paragraph 
(k)(8) of this section.
    (v) A manufacturer may only trade credits that it has generated 
pursuant to paragraphs (k)(4) and (5) of this section or acquired from 
another party.

[[Page 1099]]

    (l) Maintenance of records and submittal of information relevant to 
compliance with fleet average CO2 standards--(1) Maintenance of records. 
(i) Manufacturers producing any light-duty vehicles, light-duty trucks, 
medium-duty passenger vehicles, or other heavy-duty vehicles subject to 
the provisions in this subpart must establish, maintain, and retain all 
the following information in adequately organized records for each model 
year:
    (A) Model year.
    (B) Applicable fleet average CO2 standards for each 
averaging set as defined in paragraph (i) of this section.
    (C) The calculated fleet average CO2 value for each 
averaging set as defined in paragraph (i) of this section.
    (D) All values used in calculating the fleet average CO2 
values.
    (ii) Manufacturers must establish, maintain, and retain all the 
following information in adequately organized records for each vehicle 
produced that is subject to the provisions in this subpart:
    (A) Model year.
    (B) Applicable fleet average CO2 standard.
    (C) EPA test group.
    (D) Assembly plant.
    (E) Vehicle identification number.
    (F) Carbon-related exhaust emission standard (automobile and light 
truck only), N2O emission standard, and CH4 
emission standard to which the vehicle is certified.
    (G) In-use carbon-related exhaust emission standard for passenger 
automobiles and light truck, and in-use CO2 standard for HDV.
    (H) Information on the point of first sale, including the purchaser, 
city, and state.
    (iii) Manufacturers must retain all required records for a period of 
eight years from the due date for the annual report. Records may be 
stored in any format and on any media, as long as manufacturers can 
promptly send EPA organized written records in English if requested by 
the Administrator. Manufacturers must keep records readily available as 
EPA may review them at any time.
    (iv) The Administrator may require the manufacturer to retain 
additional records or submit information not specifically required by 
this section.
    (v) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (vi) EPA may void ab initio a certificate of conformity for vehicles 
certified to emission standards as set forth or otherwise referenced in 
this subpart for which the manufacturer fails to retain the records 
required in this section or to provide such information to the 
Administrator upon request, or to submit the reports required in this 
section in the specified time period.
    (2) Reporting. (i) Each manufacturer must submit an annual report. 
The annual report must contain for each applicable CO2 
standard, the calculated fleet average CO2 value, all values 
required to calculate the CO2 emissions value, the number of 
credits generated or debits incurred, all the values required to 
calculate the credits or debits, and the resulting balance of credits or 
debits. For each applicable alternative N2O and/or 
CH4 standard selected under the provisions of Sec.  86.1818-
12(f)(3) for passenger automobiles and light trucks (or Sec.  86.1819-
14(c) for HDV), the report must contain the CO2-equivalent 
debits for N2O and/or CH4 calculated according to 
Sec.  86.1818-12(f)(4) (or Sec.  86.1819-14(c) for HDV) for each test 
group and all values required to calculate the number of debits 
incurred.
    (ii) For each applicable fleet average CO2 standard, the 
annual report must also include documentation on all credit transactions 
the manufacturer has engaged in since those included in the last report. 
Information for each transaction must include all of the following:
    (A) Name of credit provider.
    (B) Name of credit recipient.
    (C) Date the trade occurred.
    (D) Quantity of credits traded in megagrams.
    (E) Model year in which the credits were earned.
    (iii) Manufacturers calculating air conditioning leakage and/or 
efficiency credits under paragraph Sec.  86.1871-12(b) shall include the 
following information for each model year and separately for

[[Page 1100]]

passenger automobiles and light trucks and for each air conditioning 
system used to generate credits:
    (A) A description of the air conditioning system.
    (B) The leakage credit value and all the information required to 
determine this value.
    (C) The total credits earned for each averaging set, model year, and 
region, as applicable.
    (iv) Manufacturers calculating advanced technology vehicle credits 
under paragraph Sec.  86.1871-12(c) shall include the following 
information for each model year and separately for passenger automobiles 
and light trucks:
    (A) The number of each model type of eligible vehicle sold.
    (B) The cumulative model year production of eligible vehicles 
starting with the 2009 model year.
    (C) The carbon-related exhaust emission value by model type and 
model year.
    (v) Manufacturers calculating off-cycle technology credits under 
paragraph Sec.  86.1871-12(d) shall include, for each model year and 
separately for passenger automobiles and light trucks, all test results 
and data required for calculating such credits.
    (vi) Unless a manufacturer reports the data required by this section 
in the annual production report required under Sec.  86.1844-01(e) or 
the annual report required under Sec.  600.512-12 of this chapter, a 
manufacturer must submit an annual report for each model year after 
production ends for all affected vehicles produced by the manufacturer 
subject to the provisions of this subpart and no later than May 1 of the 
calendar year following the given model year. Annual reports must be 
submitted to: Director, Compliance Division, U.S. Environmental 
Protection Agency, 2000 Traverwood Dr., Ann Arbor, Michigan 48105.
    (vii) Failure by a manufacturer to submit the annual report in the 
specified time period for all vehicles subject to the provisions in this 
section is a violation of section 203(a)(1) of the Clean Air Act (42 
U.S.C. 7522 (a)(1)) for each applicable vehicle produced by that 
manufacturer.
    (viii) If EPA or the manufacturer determines that a reporting error 
occurred on an annual report previously submitted to EPA, the 
manufacturer's credit or debit calculations will be recalculated. EPA 
may void erroneous credits, unless traded, and will adjust erroneous 
debits. In the case of traded erroneous credits, EPA must adjust the 
selling manufacturer's credit balance to reflect the sale of such 
credits and any resulting credit deficit.
    (3) Notice of opportunity for hearing. Any voiding of the 
certificate under paragraph (l)(1)(vi) of this section will be made only 
after EPA has offered the affected manufacturer an opportunity for a 
hearing conducted in accordance with 40 CFR part 1068, subpart G, and, 
if a manufacturer requests such a hearing, will be made only after an 
initial decision by the Presiding Officer.

[81 FR 73992, Oct. 25, 2016, as amended at 85 FR 22620, Apr. 23, 2020]



Sec.  86.1866-12  CO [bdi2] credits for advanced technology vehicles.

    This section describes how to apply CO2 credits for 
advanced technology passenger automobiles and light trucks (including 
MDPV). This section does not apply for heavy-duty vehicles that are not 
MDPV.
    (a) Electric vehicles, plug-in hybrid electric vehicles, and fuel 
cell vehicles, as those terms are defined in Sec.  86.1803-01, that are 
certified and produced for U.S. sale, where ``U.S.'' means the states 
and territories of the United States, in the 2012 through 2025 model 
years may use a value of zero (0) grams/mile of CO2 to 
represent the proportion of electric operation of a vehicle that is 
derived from electricity that is generated from sources that are not 
onboard the vehicle, as specified by this paragraph (a).
    (1) Model years 2012 through 2016: The use of zero (0) grams/mile 
CO2 is limited to the first 200,000 combined electric 
vehicles, plug-in hybrid electric vehicles, and fuel cell vehicles 
produced for U.S. sale, where ``U.S.'' means the states and territories 
of the United States, in the 2012 through 2016 model years, except that 
a manufacturer that produces 25,000 or more such vehicles for U.S. sale 
in the 2012 model year shall be subject to a limitation on the use of 
zero (0) grams/mile CO2 to

[[Page 1101]]

the first 300,000 combined electric vehicles, plug-in hybrid electric 
vehicles, and fuel cell vehicles produced and delivered for sale by a 
manufacturer in the 2012 through 2016 model years.
    (2) Model years 2017 through 2026: For electric vehicles, plug-in 
hybrid electric vehicles, and fuel cell vehicles produced for U.S. sale, 
where ``U.S.'' means the states and territories of the United States, in 
the 2017 through 2026 model years, such use of zero (0) grams/mile 
CO2 is unrestricted.
    (b) For electric vehicles, plug-in hybrid electric vehicles, fuel 
cell vehicles, dedicated natural gas vehicles, and dual-fuel natural gas 
vehicles as those terms are defined in Sec.  86.1803-01, that are 
certified and produced for U.S. sale in the specified model years and 
that meet the additional specifications in this section, the 
manufacturer may use the production multipliers in this paragraph (b) 
when determining additional credits for advanced technology vehicles. 
Full size pickup trucks eligible for and using a production multiplier 
are not eligible for the performance-based credits described in Sec.  
86.1870-12(b).
    (1) The production multipliers, by model year, for model year 2017 
through 2021 electric vehicles and fuel cell vehicles are as follows:

------------------------------------------------------------------------
                                                            Production
                       Model year                           multiplier
------------------------------------------------------------------------
2017....................................................             2.0
2018....................................................             2.0
2019....................................................             2.0
2020....................................................            1.75
2021....................................................             1.5
------------------------------------------------------------------------

    (2)(i) The production multipliers, by model year, for model year 
2017 through 2021 plug-in hybrid electric vehicles and model year 2017 
through 2026 dedicated natural gas vehicles and dual-fuel natural gas 
vehicles are as follows:

------------------------------------------------------------------------
                                                            Production
                       Model year                           multiplier
------------------------------------------------------------------------
2017....................................................             1.6
2018....................................................             1.6
2019....................................................             1.6
2020....................................................            1.45
2021....................................................             1.3
2022-2026 (dedicated and dual fuel natural gas vehicles              2.0
 only)..................................................
------------------------------------------------------------------------

    (ii) The minimum all-electric driving range that a plug-in hybrid 
electric vehicle must have in order to qualify for use of a production 
multiplier is 10.2 miles on its nominal storage capacity of electricity 
when operated on the highway fuel economy test cycle. Alternatively, a 
plug-in hybrid electric vehicle may qualify for use of a production 
multiplier by having an equivalent all-electric driving range greater 
than or equal to 10.2 miles during its actual charge-depleting range as 
measured on the highway fuel economy test cycle and tested according to 
the requirements of SAE J1711, Recommended Practice for Measuring the 
Exhaust Emissions and Fuel Economy of Hybrid-Electric Vehicles, 
Including Plug-In Hybrid Vehicles (incorporated by reference in Sec.  
86.1). The equivalent all-electric range of a PHEV is determined from 
the following formula:

EAER = RCDA x ((CO2CS - CO2CD/
CO2CS))

Where:

EAER = the equivalent all-electric range attributed to charge-depleting 
          operation of a plug-in hybrid electric vehicle on the highway 
          fuel economy test cycle.
RCDA = The actual charge-depleting range determined according 
          to SAE J1711, Recommended Practice for Measuring the Exhaust 
          Emissions and Fuel Economy of Hybrid-Electric Vehicles, 
          Including Plug-In Hybrid Vehicles (incorporated by reference 
          in Sec.  86.1).
CO2CS = The charge-sustaining CO2 emissions in 
          grams per mile on the highway fuel economy test determined 
          according to SAE J1711, Recommended Practice for Measuring the 
          Exhaust Emissions and Fuel Economy of Hybrid-Electric 
          Vehicles, Including Plug-In Hybrid Vehicles (incorporated by 
          reference in Sec.  86.1).
CO2CD = The charge-depleting CO2 emissions in 
          grams per mile on the highway fuel economy test determined 
          according to SAE J1711, Recommended Practice for Measuring the 
          Exhaust Emissions and Fuel Economy of Hybrid-Electric 
          Vehicles, Including Plug-In Hybrid Vehicles (incorporated by 
          reference in Sec.  86.1).

    (3) The actual production of qualifying vehicles may be multiplied 
by the applicable value according to the model year, and the result, 
rounded to the nearest whole number, may be used to represent the 
production of qualifying vehicles when calculating average carbon-
related exhaust emissions under Sec.  600.512 of this chapter.

[[Page 1102]]

    (c) Calculating multiplier-based credits for advanced technology 
vehicles: This paragraph (c) describes the method for calculating 
credits using the production multipliers in paragraph (b) of this 
section. Production multipliers must be used according to this paragraph 
(c) and must not be used in calculating fleet average carbon-related 
exhaust emissions under 40 CFR part 600 or Sec.  86.1865-12(i), or in 
any elements of the equation used for the calculation of CO2 
credits or debits in Sec.  86.1865-12(k)(4). Calculate credits for 
advanced technology vehicles for a given model year, and separately for 
passenger automobiles and light trucks, using the following equation, 
subtracting the credits calculated for the base fleet from the credits 
calculated for the fleet with multipliers applied. No credits are earned 
if the result is a negative value. All values expressed in megagrams 
shall be rounded to the nearest whole number.

Credits [Mg] = [Creditsadj]-[Creditsbase]

    (1) For model year 2017-2021 multipliers, determine adjusted fleet 
credits (Creditsadj) in megagrams using one of the following 
methods, where the resulting Creditsadj is rounded to the 
nearest whole number. Use the method that returns the highest total 
megagrams. For 2022 and later model years, determine adjusted fleet 
credits (Creditsadj) in megagrams using only Method 1 in 
paragraph (c)(1)(i) of this section, where the resulting 
Creditsadj is rounded to the nearest whole number. Note that 
the adjusted CO2 standard (Sadj) and the adjusted 
fleet average carbon-related exhaust emissions (Eadj) are 
determined solely for the purpose of calculating advanced technology 
vehicle credits in this section; the official CO2 standard 
applicable to the fleet will continue to be the value calculated and 
rounded according to Sec.  86.1818-12(c), and the official fleet average 
carbon-related exhaust emissions applicable to the fleet will continue 
to be the value calculated and rounded according to 40 CFR 600.510-
12(j). In addition, note that the rounding requirements in this section 
differ from those specified for the official fleet standards calculated 
under Sec.  86.1818-12 and for the official fleet average carbon-related 
exhaust emissions calculated under 40 CFR 600.510-12.
    (i) Method 1: All values that determine fleet credits are adjusted 
using the applicable multipliers.
[GRAPHIC] [TIFF OMITTED] TR23AP20.028

Where:

Sadj = adjusted CO2 standard calculated according 
          to the method described in Sec.  86.1818-12(c), except that 
          the actual production of qualifying vehicles under this 
          section shall be multiplied by the applicable production 
          multiplier, and no rounding shall be applied to the result.
Eadj = adjusted production-weighted fleet average carbon-
          related exhaust emissions calculated according to the method 
          described in 40 CFR 600.510-12(j), except that the actual 
          production of qualifying vehicles under this section shall be 
          multiplied by the applicable production multiplier, and no 
          rounding shall be applied to the result.
Padj = total adjusted production of passenger automobiles or 
          light trucks, except that the actual production of qualifying 
          vehicles under this section shall be multiplied by the 
          applicable production multiplier, and no rounding shall be 
          applied to the result.
VLM = vehicle lifetime miles, which for passenger automobiles shall be 
          195,264 and for light trucks shall be 225,865.

    (ii) Method 2: Multipliers are applied only to calculation of the 
fleet average carbon-related exhaust emissions.

[[Page 1103]]

[GRAPHIC] [TIFF OMITTED] TR23AP20.029

Sbase = CO2 standard calculated according to the 
          method described in Sec.  86.1818-12(c), except that no 
          rounding shall be applied to the result.
Eadj = adjusted production-weighted fleet average carbon-
          related exhaust emissions calculated according to the method 
          described in 40 CFR 600.510-12(j), except that the actual 
          production of qualifying vehicles under this section shall be 
          multiplied by the applicable production multiplier, and no 
          rounding shall be applied to the result.
Pbase = total production of passenger automobiles or light 
          trucks.
VLM = vehicle lifetime miles, which for passenger automobiles shall be 
          195,264 and for light trucks shall be 225,865.

    (2) Determine base fleet credits in megagrams using the following 
equation and rounding the result to the nearest whole number. Do not 
adjust any production volume values with a multiplier. Note that the 
CO2 standard (Sbase) and the fleet average carbon-
related exhaust emissions (Ebase) are determined solely for 
the purpose of calculating advanced technology vehicle credits in this 
section and do not replace the official fleet values; the official 
CO2 standard applicable to the fleet will continue to be the 
value calculated and rounded according to Sec.  86.1818-12(c), and the 
official fleet average carbon-related exhaust emissions applicable to 
the fleet will continue to be the value calculated and rounded according 
to 40 CFR 600.510-12(j). In addition, note that the rounding 
requirements in this section differ from those specified for the 
official fleet standards calculated under Sec.  86.1818-12 and for the 
official fleet average carbon-related exhaust emissions calculated under 
40 CFR 600.510-12.
[GRAPHIC] [TIFF OMITTED] TR23AP20.030

Sbase = CO2 standard calculated according to the 
          method described in Sec.  86.1818-12(c), except that no 
          rounding shall be applied to the result.
Ebase = production-weighted fleet average carbon-related 
          exhaust emissions calculated according to the method described 
          in 40 CFR 600.510-12(j), except that no rounding shall be 
          applied to the result.
Pbase = total production of passenger automobiles or light 
          trucks.
VLM = vehicle lifetime miles, which for passenger automobiles shall be 
          195,264 and for light trucks shall be 225,865.

[77 FR 63164, Oct. 15, 2012, as amended at 81 FR 73996, Oct. 25, 2016; 
85 FR 22620, Apr. 23, 2020; 85 FR 25269, Apr. 30, 2020]



Sec.  86.1867-12  CO [bdi2] credits for reducing leakage 
of air conditioning refrigerant.

    Manufacturers may generate credits applicable to the CO2 
fleet average program described in Sec.  86.1865-12 by implementing 
specific air conditioning system technologies designed to reduce air 
conditioning refrigerant leakage over the useful life of their passenger 
automobiles and/or light trucks (including MDPV); only the provisions of 
paragraph (a) of this section apply for non-MDPV heavy-duty vehicles. 
Credits shall be calculated according to this section for each air 
conditioning system that the manufacturer is using to generate 
CO2 credits. Manufacturers may also generate early air 
conditioning refrigerant leakage credits under this section for the 2009 
through 2011 model years according to the provisions of Sec.  86.1871-
12(b).
    (a) The manufacturer shall calculate an annual rate of refrigerant 
leakage from an air conditioning system in grams per year according to 
the procedures specified in SAE J2727 (incorporated by reference in 
Sec.  86.1). In doing

[[Page 1104]]

so, the refrigerant permeation rates for hoses shall be determined using 
the procedures specified in SAE J2064 (incorporated by reference in 
Sec.  86.1) The annual rate of refrigerant leakage from an air 
conditioning system shall be rounded to the nearest tenth of a gram per 
year. The procedures of SAE J2727 may be used to determine leakage rates 
for HFC-134a and HFO-1234yf; manufacturers should contact EPA regarding 
procedures for other refrigerants. The annual rate of refrigerant 
leakage from an air conditioning system shall be rounded to the nearest 
tenth of a gram per year.
    (b) The CO2-equivalent gram per mile leakage reduction 
used to calculate the total leakage credits generated by an air 
conditioning system shall be determined according to this paragraph (b), 
separately for passenger automobiles and light trucks, and rounded to 
the nearest tenth of a gram per mile:
    (1) Passenger automobile leakage credit for an air conditioning 
system:
[GRAPHIC] [TIFF OMITTED] TR15OC12.038

Where:

    MaxCredit is 12.6 (grams CO2-equivalent/mile) for air 
conditioning systems using HFC-134a, and 13.8 (grams CO2-
equivalent/mile) for air conditioning systems using a refrigerant with a 
lower global warming potential.
    LeakScore means the annual refrigerant leakage rate determined 
according to the procedures in SAE J2727 (incorporated by reference in 
Sec.  86.1), where the refrigerant permeation rates for hoses shall be 
determined using the procedures specified in SAE J2064 (incorporated by 
reference in Sec.  86.1). If the calculated rate is less than 8.3 grams/
year (or 4.1 grams/year for systems using only electric compressors), 
the rate for the purpose of this formula shall be 8.3 grams/year (or 4.1 
grams/year for systems using only electric compressors).
    GWPREF means the global warming potential of the 
refrigerant as indicated in paragraph (e) of this section or as 
otherwise determined by the Administrator;
    HiLeakDis means the high leak disincentive, which is zero for model 
years 2012 through 2016, and for 2017 and later model years is 
determined using the following equation, except that if 
GWPREF is greater than 150 or if the calculated result of the 
equation is less than zero, HiLeakDis shall be set equal to zero, or if 
the calculated result of the equation is greater than 1.8 g/mi, 
HiLeakDis shall be set to 1.8 g/mi:
[GRAPHIC] [TIFF OMITTED] TR15OC12.039


Where,

LeakThreshold = 11.0 for air conditioning systems with a refrigerant 
          capacity less than or equal to 733 grams; or
LeakThreshold = [Refrigerant Capacity x 0.015] for air conditioning 
          systems with a refrigerant capacity greater than 733 grams, 
          where RefrigerantCapacity is the maximum refrigerant capacity 
          specified for the air conditioning system, in grams.

    (2) Light truck leakage credit for an air conditioning system:
    [GRAPHIC] [TIFF OMITTED] TR15OC12.040
    
Where:

MaxCredit is 15.6 (grams CO2-equivalent/mile) for air 
          conditioning systems using HFC-134a, and 17.2 (grams 
          CO2-equivalent/mile) for air conditioning systems 
          using a refrigerant with a lower global warming potential.

[[Page 1105]]

LeakScore means the annual refrigerant leakage rate determined according 
          to the provisions of SAE J2727 (incorporated by reference in 
          Sec.  86.1),, where the refrigerant permeation rates for hoses 
          shall be determined using the procedures specified in SAE 
          J2064 (incorporated by reference in Sec.  86.1). If the 
          calculated rate is less than 10.4 grams/year (or 5.2 grams/
          year for systems using only electric compressors), the rate 
          for the purpose of this formula shall be 10.4 grams/year (or 
          5.2 grams/year for systems using only electric compressors).
GWPREF means the global warming potential of the refrigerant 
          as indicated in paragraph (e) of this section or as otherwise 
          determined by the Administrator;
HiLeakDis means the high leak disincentive, which is zero for model 
          years 2012 through 2016, and for 2017 and later model years is 
          determined using the following equation, except that if 
          GWPREF is greater than 150 or if the calculated 
          result of the equation is less than zero, HiLeakDis shall be 
          set equal to zero, or if the calculated result of the equation 
          is greater than 2.1 g/mi, HiLeakDis shall be set to 2.1 g/mi:
          [GRAPHIC] [TIFF OMITTED] TR15OC12.041
          
Where:

LeakThreshold = 11.0 for air conditioning systems with a refrigerant 
          capacity less than or equal to 733 grams; or
LeakThreshold = [Refrigerant Capacity x 0.015] for air conditioning 
          systems with a refrigerant capacity greater than 733 grams, 
          where RefrigerantCapacity is the maximum refrigerant capacity 
          specified for the air conditioning system, in grams.

    (c) The total leakage reduction credits generated by the air 
conditioning system shall be calculated separately for passenger 
automobiles and light trucks according to the following formula:

Total Credits (Megagrams) = (Leakage x Production x VLM) / 1,000,000

Where:

Leakage = the CO2-equivalent leakage credit value in grams 
          per mile determined in paragraph (b)(1) or (b)(2) of this 
          section, whichever is applicable.

Production = The total number of passenger automobiles or light trucks, 
          whichever is applicable, produced with the air conditioning 
          system to which to the leakage credit value from paragraph 
          (b)(1) or (b)(2) of this section applies.
VLM = vehicle lifetime miles, which for passenger automobiles shall be 
          195,264 and for light trucks shall be 225,865.

    (d) The results of paragraph (c) of this section, rounded to the 
nearest whole number, shall be included in the manufacturer's credit/
debit totals calculated in Sec.  86.1865-12(k)(5).
    (e) The following values for refrigerant global warming potential 
(GWPREF), or alternative values as determined by the 
Administrator, shall be used in the calculations of this section. The 
Administrator will determine values for refrigerants not included in 
this paragraph (e) upon request by a manufacturer.
    (1) For HFC-134a, GWPREF = 1430;
    (2) For HFC-152a, GWPREF = 124;
    (3) For HFO-1234yf, GWPREF = 4;
    (4) For CO2, GWPREF = 1.

[77 FR 63165, Oct. 15, 2012, as amended at 81 FR 73996, Oct. 25, 2016]



Sec.  86.1868-12  CO2 credits for improving the efficiency 
of air conditioning systems.

    Manufacturers may generate credits applicable to the CO2 
fleet average program described in Sec.  86.1865-12 by implementing 
specific air conditioning system technologies designed to reduce air 
conditioning-related CO2 emissions over the useful life of 
their passenger automobiles and/or light trucks (including MDPV). The 
provisions of this section do not apply for non-MDPV heavy-duty 
vehicles. Credits shall be calculated according to this section for each 
air conditioning system that the manufacturer is using to generate 
CO2 credits. Manufacturers may also generate early air 
conditioning efficiency credits under this section for the 2009 through 
2011 model years according to the provisions of Sec.  86.1871-12(b). For

[[Page 1106]]

model years 2012 and 2013 the manufacturer may determine air 
conditioning efficiency credits using the requirements in paragraphs (a) 
through (d) of this section. For model years 2014 through 2016 the 
eligibility requirements specified in either paragraph (e) or (f) of 
this section must be met before an air conditioning system is allowed to 
generate credits. For model years 2017 through 2019 the eligibility 
requirements specified in paragraph (f) of this section must be met 
before an air conditioning system is allowed to generate credits. For 
model years 2020 and later the eligibility requirements specified in 
paragraph (g) of this section must be met before an air conditioning 
system is allowed to generate credits.
    (a)(1) 2012 through 2016 model year air conditioning efficiency 
credits are available for the following technologies in the gram per 
mile amounts indicated in the following table:

------------------------------------------------------------------------
                                                                 Credit
                 Air conditioning technology                   value (g/
                                                                  mi)
------------------------------------------------------------------------
Reduced reheat, with externally-controlled, variable-                1.7
 displacement compressor (e.g. a compressor that controls
 displacement based on temperature setpoint and/or cooling
 demand of the air conditioning system control settings
 inside the passenger compartment)...........................
Reduced reheat, with externally-controlled, fixed-                   1.1
 displacement or pneumatic variable displacement compressor
 (e.g. a compressor that controls displacement based on
 conditions within, or internal to, the air conditioning
 system, such as head pressure, suction pressure, or
 evaporator outlet temperature)..............................
Default to recirculated air with closed-loop control of the          1.7
 air supply (sensor feedback to control interior air quality)
 whenever the ambient temperature is 75 [deg]F or higher: Air
 conditioning systems that operated with closed-loop control
 of the air supply at different temperatures may receive
 credits by submitting an engineering analysis to the
 Administrator for approval..................................
Default to recirculated air with open-loop control air supply        1.1
 (no sensor feedback) whenever the ambient temperature is 75
 [deg]F or higher. Air conditioning systems that operate with
 open-loop control of the air supply at different
 temperatures may receive credits by submitting an
 engineering analysis to the Administrator for approval......
Blower motor controls which limit wasted electrical energy           0.9
 (e.g. pulse width modulated power controller)...............
Internal heat exchanger (e.g. a device that transfers heat           1.1
 from the high-pressure, liquid-phase refrigerant entering
 the evaporator to the low-pressure, gas-phase refrigerant
 exiting the evaporator).....................................
Improved condensers and/or evaporators with system analysis          1.1
 on the component(s) indicating a coefficient of performance
 improvement for the system of greater than 10% when compared
 to previous industry standard designs)......................
Oil separator. The manufacturer must submit an engineering           0.6
 analysis demonstrating the increased improvement of the
 system relative to the baseline design, where the baseline
 component for comparison is the version which a manufacturer
 most recently had in production on the same vehicle design
 or in a similar or related vehicle model. The
 characteristics of the baseline component shall be compared
 to the new component to demonstrate the improvement.........
------------------------------------------------------------------------

    (2) 2017 and later model year air conditioning efficiency credits 
are available for the following technologies in the gram per mile 
amounts indicated for each vehicle category in the following table:

------------------------------------------------------------------------
                                                    Passenger
                                                     automo-     Light
           Air conditioning technology              biles (g/  trucks (g/
                                                       mi)        mi)
------------------------------------------------------------------------
Reduced reheat, with externally-controlled,               1.5        2.2
 variable-displacement compressor (e.g. a
 compressor that controls displacement based on
 temperature setpoint and/or cooling demand of
 the air conditioning system control settings
 inside the passenger compartment)...............
Reduced reheat, with externally-controlled, fixed-        1.0        1.4
 displacement or pneumatic variable displacement
 compressor (e.g. a compressor that controls
 displacement based on conditions within, or
 internal to, the air conditioning system, such
 as head pressure, suction pressure, or
 evaporator outlet temperature)..................
Default to recirculated air with closed-loop              1.5        2.2
 control of the air supply (sensor feedback to
 control interior air quality) whenever the
 ambient temperature is 75 [deg]F or higher: Air
 conditioning systems that operated with closed-
 loop control of the air supply at different
 temperatures may receive credits by submitting
 an engineering analysis to the Administrator for
 approval........................................
Default to recirculated air with open-loop                1.0        1.4
 control air supply (no sensor feedback) whenever
 the ambient temperature is 75 [deg]F or higher.
 Air conditioning systems that operate with open-
 loop control of the air supply at different
 temperatures may receive credits by submitting
 an engineering analysis to the Administrator for
 approval........................................
Blower motor controls which limit wasted                  0.8        1.1
 electrical energy (e.g. pulse width modulated
 power controller)...............................
Internal heat exchanger (e.g. a device that               1.0        1.4
 transfers heat from the high-pressure, liquid-
 phase refrigerant entering the evaporator to the
 low-pressure, gas-phase refrigerant exiting the
 evaporator).....................................

[[Page 1107]]

 
Improved condensers and/or evaporators with               1.0        1.4
 system analysis on the component(s) indicating a
 coefficient of performance improvement for the
 system of greater than 10% when compared to
 previous industry standard designs).............
Oil separator. The manufacturer must submit an            0.5        0.7
 engineering analysis demonstrating the increased
 improvement of the system relative to the
 baseline design, where the baseline component
 for comparison is the version which a
 manufacturer most recently had in production on
 the same vehicle design or in a similar or
 related vehicle model. The characteristics of
 the baseline component shall be compared to the
 new component to demonstrate the improvement....
Advanced technology air conditioning compressor           1.1        1.1
 with improved efficiency relative to fixed-
 displacement compressors achieved through the
 addition of a variable crankcase suction valve..
------------------------------------------------------------------------

    (b) Air conditioning efficiency credits are determined on an air 
conditioning system basis. For each air conditioning system that is 
eligible for a credit based on the use of one or more of the items 
listed in paragraph (a) of this section, the total credit value is the 
sum of the gram per mile values for the appropriate model year listed in 
paragraph (a) of this section for each item that applies to the air 
conditioning system.
    (1) In the 2012 through 2016 model years the total credit value for 
an air conditioning system for passenger automobiles or light trucks may 
not be greater than 5.7 grams per mile.
    (2) In the 2017 and later model years the total credit value for an 
air conditioning system may not be greater than 5.0 grams per mile for 
any passenger automobile or 7.2 grams per mile for any light truck.
    (c) The total efficiency credits generated by an air conditioning 
system shall be calculated separately for passenger automobiles and 
light trucks according to the following formula:

Total Credits (Megagrams) = (Credit x Production x VLM) / 1,000,000

Where:

Credit = the CO2 efficiency credit value in grams per mile 
          determined in paragraph (b) or (e) of this section, whichever 
          is applicable.
Production = The total number of passenger automobiles or light trucks, 
          whichever is applicable, produced with the air conditioning 
          system to which to the efficiency credit value from paragraph 
          (b) of this section applies.
VLM = vehicle lifetime miles, which for passenger automobiles shall be 
          195,264 and for light trucks shall be 225,865.

    (d) The results of paragraph (c) of this section, rounded to the 
nearest whole number, shall be included in the manufacturer's credit/
debit totals calculated in Sec.  86.1865-12(k)(5).
    (e) For the 2014 through 2016 model years, manufacturers must 
validate air conditioning credits by using the Air Conditioning Idle 
Test Procedure according to the provisions of this paragraph (e) or, 
alternatively, by using the AC17 reporting requirements specified in 
paragraph (f) of this section. The Air Conditioning Idle Test Procedure 
is not applicable after the 2016 model year.
    (1) For each air conditioning system selected by the manufacturer to 
generate air conditioning efficiency credits, the manufacturer shall 
perform the Air Conditioning Idle Test Procedure specified in Sec.  
86.165-12 of this part.
    (2) Using good engineering judgment, the manufacturer must select 
the vehicle configuration to be tested that is expected to result in the 
greatest increased CO2 emissions as a result of the operation 
of the air conditioning system for which efficiency credits are being 
sought. If the air conditioning system is being installed in passenger 
automobiles and light trucks, a separate determination of the quantity 
of credits for passenger automobiles and light trucks must be made, but 
only one test vehicle is required to represent the air conditioning 
system, provided it represents the worst-case impact of the system on 
CO2 emissions.
    (3) The manufacturer shall determine an idle test threshold (ITT) 
for the tested vehicle configuration. A comparison of this threshold 
value with the CO2 emissions increase recorded over the Air 
Conditioning Idle Test Procedure in Sec.  86.165-12 determines the total

[[Page 1108]]

credits that may be generated by an air conditioning system. The 
manufacturer may choose one of the following idle test threshold (ITT) 
values for an air conditioning system:
    (i) 14.9 grams per minute; or
    (ii) The value determined from the following equation, rounded to 
the nearest tenth of a gram per minute:
[GRAPHIC] [TIFF OMITTED] TR15OC12.042

Where:

Displacement = the engine displacement of the test vehicle, expressed in 
          liters and rounded to the nearest one tenth of a liter.

    (4)(i) If the CO2 emissions value determined from the 
Idle Test Procedure in Sec.  86.165-12 is less than or equal to the idle 
test threshold (ITT) determined in paragraph (e)(3) of this section, the 
total CO2 efficiency credit value (Credit) for use in 
paragraph (c) of this section shall be the applicable value determined 
in paragraph (b) of this section.
    (ii) If the CO2 emissions value determined from the Idle 
Test Procedure in Sec.  86.165-12 is greater than the idle test 
threshold (ITT) determined in paragraph (e)(3) of this section, the 
total CO2 efficiency credit value (Credit) for use in 
paragraph (c) of this section shall be determined using the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR15OC12.043

Where:

Credit = The CO2 efficiency credit value (Credit) that must 
          be used in paragraph (c) of this section to calculate the 
          total credits (in Megagrams) of air conditioning efficiency 
          credits;
TCV = The total CO2 efficiency credit value determined 
          according to paragraph (b) of this section; and
ITP = the increased CO2 emissions determined from the Idle 
          Test Procedure in Sec.  86.165-14.
ITT = the idle test threshold determined in paragraph (e)(3) of this 
          section and rounded to the nearest one tenth of a gram per 
          minute:

    (iii) Air conditioning systems that record an increased 
CO2 emissions value on the Idle Test Procedure in Sec.  
86.165-14 that is greater than or equal to the idle test threshold (ITT) 
determined in paragraph (e)(3) of this section plus 6.4 grams per minute 
are not eligible for an air conditioning efficiency credit.
    (5) Air conditioning systems with compressors that are solely 
powered by electricity shall submit Air Conditioning Idle Test Procedure 
data to be eligible to generate credits in the 2014 and later model 
years, but such systems are not required to meet a specific threshold to 
be eligible to generate such credits, as long as the engine remains off 
for a period of at least 2 cumulative minutes during the air 
conditioning on portion of the Idle Test Procedure in Sec.  86.165-
12(d).
    (f) AC17 reporting requirements. Manufacturers may use the 
provisions of this paragraph (f) as an alternative to the use of the Air 
Conditioning Idle Test to demonstrate eligibility to generate air 
conditioning efficiency credits for the 2014 through 2016 model years. 
This paragraph (f) is required for the 2017 through 2019 model years.
    (1) The manufacturer shall perform the AC17 test specified in 40 CFR 
1066.845 on each unique air conditioning system design and vehicle 
platform combination (as those terms are defined in Sec.  86.1803) for 
which the manufacturer intends to accrue air conditioning efficiency 
credits. The manufacturer must test at least one unique air conditioning 
system within each

[[Page 1109]]

vehicle platform in a model year, unless all unique air conditioning 
systems within a vehicle platform have been previously tested. A unique 
air conditioning system design is a system with unique or substantially 
different component designs or types and/or system control strategies 
(e.g., fixed displacement vs. variable displacement compressors, orifice 
tube vs. thermostatic expansion valve, single vs. dual evaporator, 
etc.). In the first year of such testing, the tested vehicle 
configuration shall be the highest production vehicle configuration 
within each platform. In subsequent model years the manufacturer must 
test other unique air conditioning systems within the vehicle platform, 
proceeding from the highest production untested system until all unique 
air conditioning systems within the platform have been tested, or until 
the vehicle platform experiences a major redesign. Whenever a new unique 
air conditioning system is tested, the highest production configuration 
using that system shall be the vehicle selected for testing. Air 
conditioning system designs which have similar cooling capacity, 
component types, and control strategies, yet differ in terms of 
compressor pulley ratios or condenser or evaporator surface areas will 
not be considered to be unique system designs. The test results from one 
unique system design may represent all variants of that design. 
Manufacturers must use good engineering judgment to identify the unique 
air conditioning system designs which will require AC17 testing in 
subsequent model years. Results must be reported separately for all four 
phases (two phases with air conditioning off and two phases with air 
conditioning on) of the test to the Environmental Protection Agency, and 
the results of the calculations required in 40 CFR 1066.845 must also be 
reported. In each subsequent model year additional air conditioning 
system designs, if such systems exist, within a vehicle platform that is 
generating air conditioning credits must be tested using the AC17 
procedure. When all unique air conditioning system designs within a 
platform have been tested, no additional testing is required within that 
platform, and credits may be carried over to subsequent model years 
until there is a significant change in the platform design, at which 
point a new sequence of testing must be initiated. No more than one 
vehicle from each credit-generating platform is required to be tested in 
each model year.
    (2) The manufacturer shall also report the following information for 
each vehicle tested: the vehicle class, model type, curb weight, engine 
displacement, transmission class and configuration, interior volume, 
climate control system type and characteristics, refrigerant used, 
compressor type, and evaporator/condenser characteristics.
    (g) AC17 validation testing and reporting requirements. For the 2020 
and later model years, manufacturers must validate air conditioning 
credits by using the AC17 Test Procedure according to the provisions of 
this paragraph (g).
    (1) For each air conditioning system (as defined in Sec.  86.1803) 
selected by the manufacturer to generate air conditioning efficiency 
credits, the manufacturer shall perform the AC17 Air Conditioning 
Efficiency Test Procedure specified in 40 CFR 1066.845, according to the 
requirements of this paragraph (g).
    (2) Complete the following testing and calculations:
    (i) Perform the AC17 test on a vehicle that incorporates the air 
conditioning system with the credit-generating technologies.
    (ii) Perform the AC17 test on a vehicle which does not incorporate 
the credit-generating technologies. The tested vehicle must be similar 
to the vehicle tested under paragraph (g)(2)(i) of this section and 
selected using good engineering judgment. The tested vehicle may be from 
an earlier design generation. If the manufacturer cannot identify an 
appropriate vehicle to test under this paragraph (g)(2)(ii), they may 
submit an engineering analysis that describes why an appropriate vehicle 
is not available or not appropriate, and includes data and information 
supporting specific credit values, using good engineering judgment.
    (iii) Subtract the CO2 emissions determined from testing 
under paragraph (g)(1)(i) of this section from the CO2 
emissions determined from testing under paragraph (g)(1)(ii) of this 
section and round to the nearest 0.1

[[Page 1110]]

grams/mile. If the result is less than or equal to zero, the air 
conditioning system is not eligible to generate credits. If the result 
is greater than or equal to the total of the gram per mile credits 
determined in paragraph (b) of this section, then the air conditioning 
system is eligible to generate the maximum allowable value determined in 
paragraph (b) of this section. If the result is greater than zero but 
less than the total of the gram per mile credits determined in paragraph 
(b) of this section, then the air conditioning system is eligible to 
generate credits in the amount determined by subtracting the 
CO2 emissions determined from testing under paragraph 
(g)(1)(i) of this section from the CO2 emissions determined 
from testing under paragraph (g)(1)(ii) of this section and rounding to 
the nearest 0.1 grams/mile.
    (3) For the first model year for which an air conditioning system is 
expected to generate credits, the manufacturer must select for testing 
the projected highest-selling configuration within each combination of 
vehicle platform and air conditioning system (as those terms are defined 
in Sec.  86.1803). The manufacturer must test at least one unique air 
conditioning system within each vehicle platform in a model year, unless 
all unique air conditioning systems within a vehicle platform have been 
previously tested. A unique air conditioning system design is a system 
with unique or substantially different component designs or types and/or 
system control strategies (e.g., fixed-displacement vs. variable 
displacement compressors, orifice tube vs. thermostatic expansion valve, 
single vs. dual evaporator, etc.). In the first year of such testing, 
the tested vehicle configuration shall be the highest production vehicle 
configuration within each platform. In subsequent model years the 
manufacturer must test other unique air conditioning systems within the 
vehicle platform, proceeding from the highest production untested system 
until all unique air conditioning systems within the platform have been 
tested, or until the vehicle platform experiences a major redesign. 
Whenever a new unique air conditioning system is tested, the highest 
production configuration using that system shall be the vehicle selected 
for testing. Credits may continue to be generated by the air 
conditioning system installed in a vehicle platform provided that:
    (i) The air conditioning system components and/or control strategies 
do not change in any way that could be expected to cause a change in its 
efficiency;
    (ii) The vehicle platform does not change in design such that the 
changes could be expected to cause a change in the efficiency of the air 
conditioning system; and
    (iii) The manufacturer continues to test at least one unique air 
conditioning system within each platform using the air conditioning 
system, in each model year, until all unique air conditioning systems 
within each platform have been tested.
    (4) Each air conditioning system must be tested and must meet the 
testing criteria in order to be allowed to generate credits. Credits may 
continue to be generated by an air conditioning system in subsequent 
model years if the manufacturer continues to test at least one unique 
air conditioning system within each platform on an annual basis, unless 
all systems have been previously tested, as long as the air conditioning 
system and vehicle platform do not change substantially.
    (h) The following definitions apply to this section:
    (1) Reduced reheat, with externally-controlled, variable 
displacement compressor means a system in which compressor displacement 
is controlled via an electronic signal, based on input from sensors 
(e.g., position or setpoint of interior temperature control, interior 
temperature, evaporator outlet air temperature, or refrigerant 
temperature) and air temperature at the outlet of the evaporator can be 
controlled to a level at 41 [deg]F, or higher.
    (2) Reduced reheat, with externally-controlled, fixed-displacement 
or pneumatic variable displacement compressor means a system in which 
the output of either compressor is controlled by cycling the compressor 
clutch off-and-on via an electronic signal, based on input from sensors 
(e.g., position or setpoint of interior temperature control, interior 
temperature, evaporator outlet air

[[Page 1111]]

temperature, or refrigerant temperature) and air temperature at the 
outlet of the evaporator can be controlled to a level at 41 [deg]F, or 
higher.
    (3) Default to recirculated air mode means that the default position 
of the mechanism which controls the source of air supplied to the air 
conditioning system shall change from outside air to recirculated air 
when the operator or the automatic climate control system has engaged 
the air conditioning system (i.e., evaporator is removing heat), except 
under those conditions where dehumidification is required for visibility 
(i.e., defogger mode). In vehicles equipped with interior air quality 
sensors (e.g., humidity sensor, or carbon dioxide sensor), the controls 
may determine proper blend of air supply sources to maintain freshness 
of the cabin air and prevent fogging of windows while continuing to 
maximize the use of recirculated air. At any time, the vehicle operator 
may manually select the non-recirculated air setting during vehicle 
operation but the system must default to recirculated air mode on 
subsequent vehicle operations (i.e., next vehicle start). The climate 
control system may delay switching to recirculation mode until the 
interior air temperature is less than the outside air temperature, at 
which time the system must switch to recirculated air mode.
    (4) Blower motor controls which limit waste energy means a method of 
controlling fan and blower speeds which does not use resistive elements 
to decrease the voltage supplied to the motor.
    (5) Improved condensers and/or evaporators means that the 
coefficient of performance (COP) of air conditioning system using 
improved evaporator and condenser designs is 10 percent higher, as 
determined using the bench test procedures described in SAE J2765 
``Procedure for Measuring System COP of a Mobile Air Conditioning System 
on a Test Bench,'' when compared to a system using standard, or prior 
model year, component designs (SAE J2765 is incorporated by reference in 
Sec.  86.1). The manufacturer must submit an engineering analysis 
demonstrating the increased improvement of the system relative to the 
baseline design, where the baseline component(s) for comparison is the 
version which a manufacturer most recently had in production on the same 
vehicle design or in a similar or related vehicle model. The dimensional 
characteristics (e.g., tube configuration/thickness/spacing, and fin 
density) of the baseline component(s) shall be compared to the new 
component(s) to demonstrate the improvement in coefficient of 
performance.
    (6) Oil separator means a mechanism which removes at least 50 
percent of the oil entrained in the oil/refrigerant mixture exiting the 
compressor and returns it to the compressor housing or compressor inlet, 
or a compressor design which does not rely on the circulation of an oil/
refrigerant mixture for lubrication.
    (7) Advanced technology air conditioning compressor means an air 
conditioning compressor with improved efficiency relative to fixed-
displacement compressors. Efficiency gains are derived from improved 
internal valve systems that optimize the internal refrigerant flow 
across the range of compressor operator conditions through the addition 
of a variable crankcase suction valve.

[77 FR 63166, Oct. 15, 2012, as amended at 79 FR 23736, Apr. 28, 2014; 
81 FR 73996, Oct. 25, 2016; 85 FR 25270, Apr. 30, 2020]



Sec.  86.1869-12  CO2 credits for off-cycle CO2 reducing technologies.

    This section describes how manufacturers may generate credits for 
off-cycle CO2-reducing technologies. The provisions of this 
section do not apply for non-MDPV heavy-duty vehicles, except that Sec.  
86.1819-14(d)(13) describes how to apply paragraphs (c) and (d) of this 
section for those vehicles.
    (a) Manufacturers may generate credits for CO2-reducing 
technologies where the CO2 reduction benefit of the 
technology is not adequately captured on the Federal Test Procedure and/
or the Highway Fuel Economy Test such that the technology would not be 
otherwise installed for purposes of reducing emissions (directly or 
indirectly) over those test cycles for compliance with the GHG 
standards. These technologies must have a measurable, demonstrable, and 
verifiable real-world CO2 reduction that occurs outside the 
conditions of

[[Page 1112]]

the Federal Test Procedure and the Highway Fuel Economy Test. These 
optional credits are referred to as ``off-cycle'' credits. The 
technologies must not be integral or inherent to the basic vehicle 
design, such as engine, transmission, mass reduction, passive 
aerodynamic design, and tire technologies. Technologies installed for 
non-off-cycle emissions related reasons are also not eligible as they 
would be considered part of the baseline vehicle design. The technology 
must not be inherent to the design of occupant comfort and entertainment 
features except for technologies related to reducing passenger air 
conditioning demand and improving air conditioning system efficiency. 
Notwithstanding the provisions of this paragraph (a), off-cycle menu 
technologies included in paragraph (b) of this section remain eligible 
for credits. Off-cycle technologies used to generate emission credits 
are considered emission-related components subject to applicable 
requirements and must be demonstrated to be effective for the full 
useful life of the vehicle. Unless the manufacturer demonstrates that 
the technology is not subject to in-use deterioration, the manufacturer 
must account for the deterioration in their analysis. Durability 
evaluations of off-cycle technologies may occur at any time throughout a 
model year, provided that the results can be factored into the data 
provided in the model year report. Off-cycle credits may not be approved 
for crash-avoidance technologies, safety critical systems or systems 
affecting safety-critical functions, or technologies designed for the 
purpose of reducing the frequency of vehicle crashes. Off-cycle credits 
may not be earned for technologies installed on a motor vehicle to 
attain compliance with any vehicle safety standard or any regulation set 
forth in Title 49 of the Code of Federal Regulations. The manufacturer 
must use one of the three options specified in this section to determine 
the CO2 gram per mile credit applicable to an off-cycle 
technology. Note that the option provided in paragraph (b) of this 
section applies only to the 2014 and later model years. The manufacturer 
should notify EPA in their pre-model year report of their intention to 
generate any credits under this section.
    (b) Credit available for certain off-cycle technologies. The 
provisions of this paragraph (b) are applicable only to 2014 and later 
model year vehicles. EPA may request data, engineering analyses, or 
other information that supports a manufacturer's use of the credits in 
this paragraph (b).
    (1) The manufacturer may generate a CO2 gram/mile credit 
for certain technologies as specified in this paragraph (b)(1). 
Technology definitions are in paragraph (b)(4) of this section. 
Calculated credit values shall be rounded to the nearest 0.1 grams/mile.
    (i) Waste heat recovery. The credit shall be calculated using the 
following formula, rounded to the nearest 0.1 grams/mile:
[GRAPHIC] [TIFF OMITTED] TR15OC12.044

Where:

ELR = the electrical load reduction of the waste heat recovery system, 
          in Watts, calculated as an average over 5-cycle testing.

    (ii) High efficiency exterior lights. Credits may be accrued for 
high efficiency lighting as defined in paragraph (b)(4) of this section 
based on the lighting locations with such lighting installed. Credits 
for high efficiency lighting are the sum of the credits for the 
applicable lighting locations in the following table (rounded to the 
nearest 0.1 grams/mile), or, if all lighting locations in the table are 
equipped with high efficiency lighting, the total credit for high 
efficiency lighting shall be 1.0 grams/mile. Lighting components that 
result in credit levels less than those shown in the following table are 
not eligible for credits.

[[Page 1113]]



------------------------------------------------------------------------
                                                          Credit (grams/
                   Lighting Component                          mile)
------------------------------------------------------------------------
Low beam................................................            0.38
High beam...............................................            0.05
Parking/position........................................            0.10
Turn signal, front......................................            0.06
Side marker, front......................................            0.06
Tail....................................................            0.10
Turn signal, rear.......................................            0.06
Side marker, rear.......................................            0.06
License plate...........................................            0.08
------------------------------------------------------------------------

    (iii) Solar panels. (A) Credits for solar panels used solely for 
charging the battery of an electric vehicle, plug-in hybrid electric 
vehicle, or hybrid electric vehicle shall be calculated using the 
following equation, and rounded to the nearest 0.1 grams/mile:
[GRAPHIC] [TIFF OMITTED] TR15OC12.045

Where:

Ppanel is the is the rated power of the solar panel, in 
          Watts, determined under the standard test conditions of 1000 
          Watts per meter squared direct solar irradiance at a panel 
          temperature of 25 degrees Celsius (2 
          degrees) with an air mass spectrum of 1.5 (AM1.5).

    (B) Credits for solar panels used solely for active vehicle 
ventilation systems are those specified in paragraph (b)(1)(viii)(E).
    (C) Credits for solar panels used both for active cabin ventilation 
and for charging the battery of an electric vehicle, plug-in hybrid 
electric vehicle, or hybrid electric vehicle shall be calculated using 
the following equation, and rounded to the nearest 0.1 grams/mile:
[GRAPHIC] [TIFF OMITTED] TR15OC12.046

Where:

Cvent is the credit attributable to active cabin ventilation 
          from paragraph (b)(1)(viii)(E) of this section;
    Ppanel is the is the rated power of the solar panel, in 
Watts, determined under the standard test conditions of 1000 Watts per 
meter squared direct solar irradiance at a panel temperature of 25 
degrees Celsius (2 degrees) with an air mass 
spectrum of 1.5 (AM1.5); and
Pvent is the amount of power, in Watts, required to run the 
          active cabin ventilation system.

    (iv) Active aerodynamic improvements. (A) The credit for active 
aerodynamic improvements for passenger automobiles shall be calculated 
using the following equation, and rounded to the nearest 0.1 grams/mile:
[GRAPHIC] [TIFF OMITTED] TR15OC12.047

Where:

CDreduced is the percent reduction in the coefficient of drag 
          (Cd), shown as a value from 0 to 1. The coefficient 
          of drag shall be determined using good engineering judgment 
          consistent with standard industry test methods and practices.

    (B) The credit for active aerodynamic improvements for light trucks 
shall be calculated using the following equation, and rounded to the 
nearest 0.1 grams/mile:

[[Page 1114]]

[GRAPHIC] [TIFF OMITTED] TR15OC12.048

Where:

CDreduced is the percent reduction in the coefficient of drag 
          (Cd), shown as a value from 0 to 1. The coefficient 
          of drag shall be determined using good engineering judgment 
          consistent with standard industry test methods and practices.

    (v) Engine idle start-stop. (A) The passenger automobile credit for 
engine idle start-stop systems is 2.5 grams/mile, provided that the 
vehicle is equipped with an electric heater circulation system (or a 
technology that provides a similar function). For vehicles not equipped 
with such systems the credit is 1.5 grams/mile.
    (B) The light truck credit for engine idle start-stop systems is 4.4 
grams/mile, provided that the vehicle is equipped with an electric 
heater circulation system (or a technology that provides a similar 
function). For vehicles not equipped with such systems the credit is 2.9 
grams/mile.
    (vi) Active transmission warm-up. Systems using a single heat-
exchanging loop that serves both transmission and engine warm-up 
functions are eligible for the credits in either paragraph (b)(1)(vi) or 
(b)(1)(vii) of this section, but not both.
    (A) The passenger automobile credit is 1.5 grams/mile.
    (B) The light truck credit is 3.2 grams/mile.
    (vii) Active engine warm-up. Systems using a single heat-exchanging 
loop that serves both transmission and engine warm-up functions are 
eligible for the credits in either paragraph (b)(1)(vi) or (b)(1)(vii) 
of this section, but not both.
    (A) The passenger automobile credit is 1.5 grams/mile.
    (B) The light truck credit is 3.2 grams/mile.
    (viii) Thermal control technologies. The maximum credit allowed for 
thermal control technologies is limited to 3.0 g/mi for passenger 
automobiles and to 4.3 g/mi for light trucks.
    (A) Glass or glazing. Glass or glazing credits are calculated using 
the following equation, and rounded to the nearest 0.1 grams/mile:
[GRAPHIC] [TIFF OMITTED] TR15OC12.049

Where:

Credit = the total glass or glazing credits, in grams per mile rounded 
          to the nearest 0.1 grams/mile. The credit may not exceed 2.9 
          g/mi for passenger automobiles or 3.9 g/mi for light trucks;
Z = 0.3 for passenger automobiles and 0.4 for light trucks;
Gi = the measured glass area of window i, in square meters 
          and rounded to the nearest tenth;
G = the total glass area of the vehicle, in square meters and rounded to 
          the nearest tenth;
Ti = the estimated temperature reduction for the glass area of window i, 
          determined using the following formula:


Ti = 0.3987 x (Ttsbase - Ttsnew)

Where:

Ttsnew = the total solar transmittance of the glass, measured 
          according to ISO 13837, ``Safety glazing materials--Method for 
          determination of solar transmittance'' (incorporated by 
          reference in Sec.  86.1).
Ttsbase = 62 for the windshield, side-front, side-rear, rear-
          quarter, and backlite locations, and 40 for rooflite 
          locations.

    (B) Active seat ventilation. The passenger automobile credit is 1.0 
grams/mile. The light truck credit is 1.3 grams/mile.
    (C) Solar reflective surface coating. The passenger automobile 
credit is 0.4 grams/mile. The light truck credit is 0.5 grams/mile.

[[Page 1115]]

    (D) Passive cabin ventilation. The passenger automobile credit is 
1.7 grams/mile. The light truck credit is 2.3 grams/mile.
    (E) Active cabin ventilation. The passenger automobile credit is 2.1 
grams/mile. The light truck credit is 2.8 grams/mile.
    (ix) High efficiency alternator. The credit for a high efficiency 
alternator for passenger automobiles and light trucks shall be 
calculated using the following equation, and rounded to the nearest 0.1 
grams/mile:
[GRAPHIC] [TIFF OMITTED] TR30AP20.761


Where:

VDAHEA is the ratio of the alternator output power to the 
          power supplied to the alternator, as measured using the 
          Verband der Automobilindustrie (VDA) efficiency measurement 
          methodology and expressed as a whole number percent from 68 to 
          100.

    (2) The maximum allowable decrease in the manufacturer's combined 
passenger automobile and light truck fleet average CO2 
emissions attributable to use of the default credit values in paragraph 
(b)(1) of this section is 10 grams per mile. If the total of the 
CO2 g/mi credit values from paragraph (b)(1) of this section 
does not exceed 10 g/mi for any passenger automobile or light truck in a 
manufacturer's fleet, then the total off-cycle credits may be calculated 
according to paragraph (f) of this section. If the total of the 
CO2 g/mi credit values from paragraph (b)(1) of this section 
exceeds 10 g/mi for any passenger automobile or light truck in a 
manufacturer's fleet, then the gram per mile decrease for the combined 
passenger automobile and light truck fleet must be determined according 
to paragraph (b)(2)(i) of this section to determine whether the 10 g/mi 
limitation has been exceeded.
    (i) Determine the gram per mile decrease for the combined passenger 
automobile and light truck fleet using the following formula:
[GRAPHIC] [TIFF OMITTED] TR15OC12.050

Where:

Credits = The total of passenger automobile and light truck credits, in 
          Megagrams, determined according to paragraph (f) of this 
          section and limited to those credits accrued by using the 
          default gram per mile values in paragraph (b)(1) of this 
          section.
ProdC = The number of passenger automobiles produced by the 
          manufacturer and delivered for sale in the U.S.
ProdT = The number of light trucks produced by the 
          manufacturer and delivered for sale in the U.S.

    (ii) If the value determined in paragraph (b)(2)(i) of this section 
is greater than 10 grams per mile, the total credits, in Megagrams, that 
may be accrued by a manufacturer using the default gram per mile values 
in paragraph (b)(1) of this section shall be determined using the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR15OC12.051


[[Page 1116]]


Where:

ProdC = The number of passenger automobiles produced by the 
          manufacturer and delivered for sale in the U.S.
ProdT = The number of light trucks produced by the 
          manufacturer and delivered for sale in the U.S.

    (iii) If the value determined in paragraph (b)(2)(i) of this section 
is not greater than 10 grams per mile, then the credits that may be 
accrued by a manufacturer using the default gram per mile values in 
paragraph (b)(1) of this section do not exceed the allowable limit, and 
total credits may be determined for each category of vehicles according 
to paragraph (f) of this section.
    (iv) If the value determined in paragraph (b)(2)(i) of this section 
is greater than 10 grams per mile, then the combined passenger 
automobile and light truck credits, in Megagrams, that may be accrued 
using the calculations in paragraph (f) of this section must not exceed 
the value determined in paragraph (b)(2)(ii) of this section. This 
limitation should generally be done by reducing the amount of credits 
attributable to the vehicle category that caused the limit to be 
exceeded such that the total value does not exceed the value determined 
in paragraph (b)(2)(ii) of this section.
    (3) In lieu of using the default gram per mile values specified in 
paragraph (b)(1) of this section for specific technologies, a 
manufacturer may determine an alternative value for any of the specified 
technologies. An alternative value must be determined using one of the 
methods specified in paragraph (c) or (d) of this section.
    (4) Definitions for the purposes of this paragraph (b) are as 
follows:
    (i) Active aerodynamic improvements means technologies that are 
automatically activated under certain conditions to improve aerodynamic 
efficiency (e.g., lowering of the coefficient of drag, or Cd), while 
preserving other vehicle attributes or functions.
    (ii) High efficiency exterior lighting means a lighting technology 
that, when installed on the vehicle, is expected to reduce the total 
electrical demand of the exterior lighting system when compared to 
conventional lighting systems. To be eligible for this credit, the high 
efficiency lighting must be installed in one or more of the following 
lighting components: low beam, high beam, parking/position, front and 
rear turn signals, front and rear side markers, taillights, and/or 
license plate lighting.
    (iii) Engine idle start-stop means a technology which enables a 
vehicle to automatically turn off the engine when the vehicle comes to a 
rest and restarts the engine when the driver applies pressure to the 
accelerator or releases the brake. Off-cycle engine start-stop credits 
will only be allowed for a vehicle if the Administrator has made a 
determination under the testing and calculation provisions in 40 CFR 
Part 600 that engine start-stop is the predominant operating mode for 
that vehicle.
    (iv) Solar panels means the external installation of horizontally-
oriented solar panels, with direct and unimpeded solar exposure to an 
overhead sun, on an electric vehicle, a plug-in hybrid electric vehicle, 
a fuel cell vehicle, or a hybrid electric vehicle, such that the solar 
energy is used to provide energy to the electric drive system of the 
vehicle by charging the battery or directly providing power to the 
electric motor or to essential vehicle systems (e.g., cabin heating or 
cooling/ventilation). The rated power of the solar panels used to 
determine the credit value must be determined under the standard test 
conditions of 1,000 W/m\2\ direct solar irradiance at a panel 
temperature of 25 2 [deg]C with an air mass of 1.5 
spectrum (AM1.5).
    (v) Active transmission warmup means a system that uses waste heat 
from the vehicle to quickly warm the transmission fluid to an operating 
temperature range using a heat exchanger, increasing the overall 
transmission efficiency by reducing parasitic losses associated with the 
transmission fluid, such as losses related to friction and fluid 
viscosity.
    (vi) Active engine warmup means a system that uses waste heat from 
the vehicle to warm up targeted parts of the engine so that it reduces 
engine friction losses and enables the closed-loop fuel control more 
quickly. It allows a faster transition from cold operation to warm 
operation, decreasing

[[Page 1117]]

CO2 emissions, and increasing fuel economy.
    (vii) Waste heat recovery means a system that captures heat that 
would otherwise be lost through the engine, exhaust system, or the 
radiator or other sources and converting that heat to electrical energy 
that is used to meet the electrical requirements of the vehicle or used 
to augment the warming of other load reduction technologies (e.g., cabin 
warming, active engine or transmission warm-up technologies). The amount 
of energy recovered is the average value over 5-cycle testing.
    (viii) Active seat ventilation means a device which draws air, 
pushes or forces air, or otherwise transfers heat from the seating 
surface which is in contact with the seat occupant and exhausts it to a 
location away from the seat. At a minimum, the driver and front 
passenger seat must utilize this technology for a vehicle to be eligible 
for credit.
    (ix) Solar reflective surface coating means a vehicle paint or other 
surface coating which reflects at least 65 percent of the impinging 
infrared solar energy, as determined using ASTM standards E903, E1918-
06, or C1549-09 (incorporated by reference in Sec.  86.1). The coating 
must be applied at a minimum to all of the approximately horizontal 
surfaces of the vehicle that border the passenger and luggage 
compartments of the vehicle, (e.g., the rear deck lid and the cabin 
roof).
    (x) Passive cabin ventilation means ducts, devices, or methods which 
utilize convective airflow to move heated air from the cabin interior to 
the exterior of the vehicle.
    (xi) Active cabin ventilation means devices which mechanically move 
heated air from the cabin interior to the exterior of the vehicle.
    (xii) Electric heater circulation system means a system installed in 
a vehicle equipped with an engine idle start-stop system that continues 
to circulate heated air to the cabin when the engine is stopped during a 
stop-start event. This system must be calibrated to keep the engine off 
for a minimum of one minute when the external ambient temperature is 30 
[deg]F and when cabin heating is enabled.
    (xiii) High efficiency alternator means an alternator where the 
ratio of the alternator output power to the power supplied to the 
alternator is greater than 67 percent, as measured using the Verband der 
Automobilindustrie (VDA) efficiency measurement methodology.
    (c) Technology demonstration using EPA 5-cycle methodology. To 
demonstrate an off-cycle technology and to determine a CO2 
credit using the EPA 5-cycle methodology, the manufacturer shall 
determine the off-cycle city/highway combined carbon-related exhaust 
emissions benefit by using the EPA 5-cycle methodology described in 40 
CFR Part 600. This method may not be used for technologies that include 
elements (e.g., driver-selectable systems) that require additional 
analyses, data collection, projections, or modeling, or other 
assessments to determine a national average benefit of the technology. 
Testing shall be performed on a representative vehicle, selected using 
good engineering judgment, for each model type for which the credit is 
being demonstrated. The emission benefit of a technology is determined 
by testing both with and without the off-cycle technology operating. If 
a specific technology is not expected to change emissions on one of the 
five test procedures, the manufacturer may submit an engineering 
analysis to the EPA that demonstrates that the technology has no effect. 
If EPA concurs with the analysis, then multiple tests are not required 
using that test procedure; instead, only one of that test procedure 
shall be required--either with or without the technology installed and 
operating--and that single value will be used for all of the 5-cycle 
weighting calculations. Multiple off-cycle technologies may be 
demonstrated on a test vehicle. The manufacturer shall conduct the 
following steps and submit all test data to the EPA.
    (1) Testing without the off-cycle technology installed and/or 
operating.
    (i) Determine carbon-related exhaust emissions over the FTP, the 
HFET, the US06, the SC03, and the cold temperature FTP test procedures 
according to the test procedure provisions specified in 40 CFR part 600 
subpart B and using the calculation procedures specified in 40 CFR 
600.113-12. Run each of these

[[Page 1118]]

tests a minimum of three times without the off-cycle technology 
installed and operating and average the per phase (bag) results for each 
test procedure.
    (ii) Calculate the FTP and HFET carbon-related exhaust emissions 
from the FTP and HFET averaged per phase results.
    (iii) Calculate the combined city/highway carbon-related exhaust 
emission value from the FTP and HFET values determined in paragraph 
(c)(1)(ii) of this section, where the FTP value is weighted 55% and the 
HFET value is weighted 45%. The resulting value is the 2-cycle 
unadjusted combined city/highway carbon-related exhaust emissions value 
for the vehicle without the off-cycle technology.
    (iv) Calculate the 5-cycle weighted city/highway combined carbon-
related exhaust emissions from the averaged per phase results, where the 
5-cycle city value is weighted 55% and the 5-cycle highway value is 
weighted 45%. The resulting value is the 5-cycle adjusted combined city/
highway carbon-related exhaust emission value for the vehicle without 
the off-cycle technology.
    (2) Testing with the off-cycle technology installed and/or 
operating.
    (i) Determine carbon-related exhaust emissions over the FTP, the 
HFET, the US06, the SC03, and the cold temperature FTP test procedures 
according to the test procedure provisions specified in 40 CFR part 600 
subpart B and using the calculation procedures specified in 40 CFR 
600.113-12. Run each of these tests a minimum of three times with the 
off-cycle technology installed and operating and average the per phase 
(bag) results for each test procedure.
    (ii) Calculate the FTP and HFET carbon-related exhaust emissions 
from the FTP and HFET averaged per phase results.
    (iii) Calculate the combined city/highway carbon-related exhaust 
emission value from the FTP and HFET values determined in paragraph 
(c)(2)(ii) of this section, where the FTP value is weighted 55% and the 
HFET value is weighted 45%. The resulting value is the 2-cycle 
unadjusted combined city/highway carbon-related exhaust emissions value 
for the vehicle with the off-cycle technology.
    (iv) Calculate the 5-cycle weighted city/highway combined carbon-
related exhaust emissions from the averaged per phase results, where the 
5-cycle city value is weighted 55% and the 5-cycle highway value is 
weighted 45%. The resulting value is the 5-cycle adjusted combined city/
highway carbon-related exhaust emission value for the vehicle with the 
off-cycle technology.
    (3) Calculate the off-cycle credit in grams per mile using the 
following formula, rounding the result to the nearest 0.1 grams/mile:

Credit = (A-B)-(C-D)

Where:

Credit = the off-cycle benefit of the technology or technologies being 
          evaluated, subject to EPA approval;
A = the 5-cycle adjusted combined city/highway carbon-related exhaust 
          emission value for the vehicle without the off-cycle 
          technology, as calculated in paragraph (c)(1)(iv) of this 
          section;
B = 5-cycle adjusted combined city/highway carbon-related exhaust 
          emission value for the vehicle with the off-cycle technology, 
          as calculated in paragraph (c)(2)(iv) of this section;
C = 2-cycle unadjusted combined city/highway carbon-related exhaust 
          emissions value for the vehicle without the off-cycle 
          technology, as calculated in paragraph (c)(1)(iii) of this 
          section; and
D = 2-cycle unadjusted combined city/highway carbon-related exhaust 
          emissions value for the vehicle with the off-cycle technology, 
          as calculated in paragraph (c)(2)(iii) of this section.
    (4) Submit all test values to EPA, and include an engineering 
analysis describing the technology and how it provides off-cycle 
emission benefits. EPA may request additional testing if we determine 
that additional testing would be likely to provide significantly greater 
confidence in the estimates of off-cycle technology benefits.
    (d) Technology demonstration using alternative EPA-approved 
methodology. (1) This option may be used only with EPA approval, and the 
manufacturer must be able to justify to the Administrator why the 5-
cycle option described in paragraph (c) of this section insufficiently 
characterizes the effectiveness of the off-cycle technology. In cases 
where the EPA 5-cycle methodology described in paragraph (c) of this 
section

[[Page 1119]]

cannot adequately measure the emission reduction attributable to an off-
cycle technology, the manufacturer may develop an alternative approach. 
Prior to a model year in which a manufacturer intends to seek these 
credits, the manufacturer must submit a detailed analytical plan to EPA. 
The manufacturer may seek EPA input on the proposed methodology prior to 
conducting testing or analytical work, and EPA will provide input on the 
manufacturer's analytical plan. The alternative demonstration program 
must be approved in advance by the Administrator and should:
    (i) Use modeling, on-road testing, on-road data collection, or other 
approved analytical or engineering methods;
    (ii) Be robust, verifiable, and capable of demonstrating the real-
world emissions benefit with strong statistical significance;
    (iii) Result in a demonstration of baseline and controlled emissions 
over a wide range of driving conditions and number of vehicles such that 
issues of data uncertainty are minimized;
    (iv) Result in data on a model type basis unless the manufacturer 
demonstrates that another basis is appropriate and adequate.
    (2) Notice and opportunity for public comment. (i) The Administrator 
will publish a notice of availability in the Federal Register notifying 
the public of a manufacturer's proposed alternative off-cycle credit 
calculation methodology. The notice will include details regarding the 
proposed methodology but will not include any Confidential Business 
Information. The notice will include instructions on how to comment on 
the methodology. The Administrator will take public comments into 
consideration in the final determination and will notify the public of 
the final determination. Credits may not be accrued using an approved 
methodology until the first model year for which the Administrator has 
issued a final approval.
    (ii) The Administrator may waive these notice and comment 
requirements for technologies for which EPA has previously approved a 
methodology for determining credits. To qualify for this waiver, the new 
application must be substantially identical in form, content, and 
methodology to the application for a previously approved methodology, 
and must include the following:
    (A) A cite to the appropriate previously approved methodology, 
including the appropriate Federal Register Notice and any subsequent EPA 
documentation of the Administrator's decision;
    (B) All necessary manufacturer- and vehicle-specific test data, 
modeling, and credit calculations; and,
    (C) Any other vehicle- or technology-specific details required 
pursuant to the previously approved methodology to assess and support an 
appropriate credit value.
    (iii) A waiver of the notice and comment requirements does not imply 
a determination that a specific credit value for a given technology is 
appropriate, and nor does it imply a waiver from the requirements in 
paragraphs (d)(1) and (e) of this section.
    (iv) The Administrator retains the option to require a notice and 
opportunity for public comment in cases where a new application deviates 
in significant respects from a previously approved methodology or raises 
novel substantive issues.
    (3) With respect to fuel consumption improvement values applicable 
to the determination of average fuel economy under 600.510-12(c)(3) for 
the 2017 and later model years, EPA will consult with the U.S. 
Department of Transportation, National Highway Traffic Safety 
Administration, prior to making a decision on a manufacturer's 
application submitted under the requirements of this paragraph (d).
    (e) Review and approval process for off-cycle credits. (1) Initial 
steps required. (i) A manufacturer requesting off-cycle credits under 
the provisions of paragraph (c) of this section must conduct the testing 
and/or simulation described in that paragraph.
    (ii) A manufacturer requesting off-cycle credits under the 
provisions of paragraph (d) of this section must develop a methodology 
for demonstrating and determining the benefit of the off-cycle 
technology, and carry out any necessary testing and analysis required to 
support that methodology.
    (iii) A manufacturer requesting off-cycle credits under paragraphs 
(b), (c),

[[Page 1120]]

or (d) of this section must conduct testing and/or prepare engineering 
analyses that demonstrate the in-use durability of the technology for 
the full useful life of the vehicle.
    (2) Data and information requirements. The manufacturer seeking off-
cycle credits must submit an application for off-cycle credits 
determined under paragraphs (c) and (d) of this section. The application 
must contain the following:
    (i) A detailed description of the off-cycle technology and how it 
functions to reduce CO2 emissions under conditions not 
represented on the FTP and HFET.
    (ii) A list of the vehicle model(s) which will be equipped with the 
technology.
    (iii) A detailed description of the test vehicles selected and an 
engineering analysis that supports the selection of those vehicles for 
testing.
    (iv) All testing and/or simulation data required under paragraph (c) 
or (d) of this section, as applicable, plus any other data the 
manufacturer has considered in the analysis.
    (v) For credits under paragraph (d) of this section, a complete 
description of the methodology used to estimate the off-cycle benefit of 
the technology and all supporting data, including vehicle testing and 
in-use activity data.
    (vi) An estimate of the off-cycle benefit by vehicle model and the 
fleetwide benefit based on projected sales of vehicle models equipped 
with the technology.
    (vii) An engineering analysis and/or component durability testing 
data or whole vehicle testing data demonstrating the in-use durability 
of the off-cycle technology components.
    (3) EPA review of the off-cycle credit application. Upon receipt of 
an application from a manufacturer, EPA will do the following:
    (i) Review the application for completeness and notify the 
manufacturer within 30 days if additional information is required.
    (ii) Review the data and information provided in the application to 
determine if the application supports the level of credits estimated by 
the manufacturer.
    (iii) For credits under paragraph (d) of this section, EPA will make 
the application available to the public for comment, as described in 
paragraph (d)(2) of this section, within 60 days of receiving a complete 
application. The public review period will be specified as 30 days, 
during which time the public may submit comments. Manufacturers may 
submit a written rebuttal of comments for EPA consideration or may 
revise their application in response to comments. A revised application 
should be submitted after the end of the public review period, and EPA 
will review the application as if it was a new application submitted 
under this paragraph (e)(3).
    (4) EPA decision. (i) For credits under paragraph (c) of this 
section, EPA will notify the manufacturer of its decision within 60 days 
of receiving a complete application.
    (ii) For credits under paragraph (d) of this section, EPA will 
notify the manufacturer of its decision after reviewing and evaluating 
the public comments. EPA will make the decision and rationale available 
to the public.
    (iii) EPA will notify the manufacturer in writing of its decision to 
approve or deny the application, and will provide the reasons for the 
decision. EPA will make the decision and rationale available to the 
public.
    (f) Calculation of total off-cycle credits. Total off-cycle credits 
in Megagrams of CO2 (rounded to the nearest whole number) 
shall be calculated separately for passenger automobiles and light 
trucks according to the following formula:

Total Credits (Megagrams) = (Credit x Production x VLM) / 1,000,000

Where:

Credit = the credit value in grams per mile determined in paragraph (b), 
          (c) or (d) of this section.
Production = The total number of passenger automobiles or light trucks, 
          whichever is applicable, produced with the off-cycle 
          technology to which to the credit value determined in 
          paragraph (b), (c), or (d) of this section applies.
VLM = vehicle lifetime miles, which for passenger automobiles shall be 
          195,264 and for light trucks shall be 225,865.

[77 FR 63170, Oct. 15, 2012, as amended at 81 FR 73997, Oct. 25, 2016; 
85 FR 22621, Apr. 23, 2020; 85 FR 25270, Apr. 30, 2020]

[[Page 1121]]



Sec.  86.1870-12  CO2 credits for qualifying full-size light pickup trucks.

    Full-size pickup trucks may be eligible for additional credits based 
on the implementation of hybrid technologies or on exhaust emission 
performance, as described in this section. Credits may be generated 
under either paragraph (a) or (b) of this section for a qualifying 
pickup truck, but not both. The provisions of this section do not apply 
for heavy-duty vehicles.
    (a) Credits for implementation of hybrid electric technology. Full 
size pickup trucks that implement hybrid electric technologies may be 
eligible for an additional credit under this paragraph (a). Pickup 
trucks earning the credits under this paragraph (a) may not earn the 
credits described in paragraph (b) of this section. To claim this 
credit, the manufacturer must measure the recovered energy over the 
Federal Test Procedure according to 40 CFR 600.116-12(d) to determine 
whether a vehicle is a mild or strong hybrid electric vehicle. To 
provide for EPA testing, the vehicle must be able to broadcast battery 
pack voltage via an on-board diagnostics parameter ID channel.
    (1) Full size pickup trucks that are mild hybrid electric vehicles 
and that are produced in the 2017 through 2021 model years are eligible 
for a credit of 10 grams/mile. To receive this credit in a model year, 
the manufacturer must produce a quantity of mild hybrid electric full 
size pickup trucks such that the proportion of production of such 
vehicles, when compared to the manufacturer's total production of full 
size pickup trucks, is not less than the amount specified in the table 
below for that model year.

------------------------------------------------------------------------
                                                               Required
                                                               minimum
                                                              percent of
                         Model year                           full size
                                                                pickup
                                                                trucks
                                                              (percent)
------------------------------------------------------------------------
2017.......................................................           20
2018.......................................................           30
2019.......................................................           55
2020.......................................................           70
2021.......................................................           80
------------------------------------------------------------------------

    (2) Full size pickup trucks that are strong hybrid electric vehicles 
and that are produced in the 2017 through 2021 model years are eligible 
for a credit of 20 grams/mile. To receive this credit in a model year, 
the manufacturer must produce a quantity of strong hybrid electric full 
size pickup trucks such that the proportion of production of such 
vehicles, when compared to the manufacturer's total production of full 
size pickup trucks, is not less than 10 percent in that model year.
    (3) If you produce both mild and strong hybrid electric full size 
pickup trucks but do not qualify for credits under paragraph (a)(1) or 
(2) of this section, your hybrid electric full size pickup trucks may be 
eligible for a credit of 10 grams/mile. To receive this credit in a 
given model year, you must produce a quantity of hybrid electric full 
size pickup trucks such that the proportion of combined mild and strong 
full size hybrid electric pickup trucks produced in a model year, when 
compared to your total production of full size pickup trucks, is not 
less than the required minimum percentages specified in paragraph (a)(1) 
of this section.
    (b) Credits for emission reduction performance. Full size pickup 
trucks that achieve carbon-related exhaust emission values below the 
applicable target value determined in Sec.  86.1818-12(c)(3) may be 
eligible for an additional credit. For the purposes of this paragraph 
(b), carbon-related exhaust emission values may include any applicable 
air conditioning leakage and/or efficiency credits as determined in 
Sec.  86.1867 and Sec.  86.1868. Pickup trucks earning the credits under 
this paragraph (b) may not earn credits described in paragraph (a) of 
this section and may not earn credits based on the production 
multipliers described in Sec.  86.1866-12(b).
    (1) Full size pickup trucks that are produced in the 2017 through 
2021 model years and that achieve carbon-related exhaust emissions less 
than or equal to the applicable target value determined in Sec.  
86.1818-12(c)(3) multiplied by 0.85 (rounded to the nearest gram/mile) 
and greater than the applicable target value determined in Sec.  
86.1818-12(c)(3) multiplied by 0.80 (rounded to the nearest gram/mile) 
in a model year are eligible for a credit of 10 grams/mile. A pickup 
truck that qualifies for this credit in a model year may claim this 
credit for subsequent model years

[[Page 1122]]

through the 2021 model year if the carbon-related exhaust emissions of 
that pickup truck do not increase relative to the emissions in the model 
year in which the pickup truck qualified for the credit. To qualify for 
this credit in a model year, the manufacturer must produce a quantity of 
full size pickup trucks that meet the initial emission eligibility 
requirements of this paragraph (b)(1) such that the proportion of 
production of such vehicles, when compared to the manufacturer's total 
production of full size pickup trucks, is not less than the amount 
specified in the table below for that model year.

------------------------------------------------------------------------
                                                               Required
                                                               minimum
                                                              percent of
                         Model year                           full size
                                                                pickup
                                                                truck
                                                              (percent)
------------------------------------------------------------------------
2017.......................................................           15
2018.......................................................           20
2019.......................................................           28
2020.......................................................           35
2021.......................................................           40
------------------------------------------------------------------------

    (2) Full size pickup trucks that are produced in the 2017 through 
2021 model years and that achieve carbon-related exhaust emissions less 
than or equal to the applicable target value determined in Sec.  
86.1818-12(c)(3) multiplied by 0.80 (rounded to the nearest gram/mile) 
in a model year are eligible for a credit of 20 grams/mile. A pickup 
truck that qualifies for this credit in a model year may claim this 
credit for a maximum of four subsequent model years (a total of five 
consecutive model years) if the carbon-related exhaust emissions of that 
pickup truck do not increase relative to the emissions in the model year 
in which the pickup truck first qualified for the credit. This credit 
may not be claimed in any model year after 2021. To qualify for this 
credit in a model year, the manufacturer must produce a quantity of full 
size pickup trucks that meet the emission requirements of this paragraph 
(b)(2) such that the proportion of production of such vehicles, when 
compared to the manufacturer's total production of full size pickup 
trucks, is not less than 10 percent in that model year.
    (c) Calculation of total full size pickup truck credits. Total 
credits in Megagrams of CO2 (rounded to the nearest whole 
number) shall be calculated for qualifying full size pickup trucks 
according to the following formula:

Total Credits (Megagrams) = ([(10 x ProductionMHEV) + (10 x 
ProductionT15) + (20 x ProductionSHEV) + (20 x 
ProductionT20)] x 225,865) / 1,000,000

Where:

ProductionMHEV = The total number of mild hybrid electric 
          full size pickup trucks produced with a credit value of 10 
          grams per mile from paragraph (a)(1) of this section.
ProductionT15 = The total number of full size pickup trucks 
          produced with a performance-based credit value of 10 grams per 
          mile from paragraph (b)(1) of this section.
ProductionSHEV = The total number of strong hybrid electric 
          full size pickup trucks produced with a credit value of 20 
          grams per mile from paragraph (a)(2) of this section.
ProductionT20 = The total number of full size pickup trucks 
          produced with a performance-based credit value of 20 grams per 
          mile from paragraph (b)(2) of this section.

[77 FR 63174, Oct. 15, 2012, as amended at 81 FR 73997, Oct. 15, 2016; 
85 FR 25271, Apr. 30, 2020]



Sec.  86.1871-12  Optional early CO2 credit programs.

    Manufacturers may optionally generate CO2 credits in the 
2009 through 2011 model years for use in the 2012 and later model years 
subject to EPA approval and to the provisions of this section. The 
provisions of Sec.  86.1819-14(k)(1) and (2) apply instead of the 
provisions of this section for non-MDPV heavy-duty vehicles. 
Manufacturers may generate early fleet average credits, air conditioning 
leakage credits, air conditioning efficiency credits, early advanced 
technology credits, and early off-cycle technology credits. 
Manufacturers generating any credits under this section must submit an 
early credits report to the Administrator as required in this section. 
The terms ``sales'' and ``sold'' as used in this section shall mean 
vehicles produced for U.S. sale, where ``U.S.'' means the states and 
territories of the United States. The expiration date of unused 
CO2 credits is based on the model year

[[Page 1123]]

in which the credits are earned, as described in Sec.  86.1865-12(k)(6).
    (a) Early fleet average CO2 reduction credits. 
Manufacturers may optionally generate credits for reductions in their 
fleet average CO2 emissions achieved in the 2009 through 2011 
model years. To generate early fleet average CO2 reduction 
credits, manufacturers must select one of the four pathways described in 
paragraphs (a)(1) through (4) of this section. The manufacturer may 
select only one pathway, and that pathway must remain in effect for the 
2009 through 2011 model years. Fleet average credits (or debits) must be 
calculated and reported to EPA for each model year under each selected 
pathway.
    (1) Pathway 1. To earn credits under this pathway, the manufacturer 
shall calculate an average carbon-related exhaust emission value to the 
nearest one gram per mile for the classes of motor vehicles identified 
in this paragraph (a)(1), and the results of such calculations will be 
reported to the Administrator for use in determining compliance with the 
applicable CO2 early credit threshold values.
    (i) An average carbon-related exhaust emission value calculation 
will be made for the combined LDV/LDT1 averaging set, where the terms 
LDV and LDT1 are as defined in Sec.  86.1803.
    (ii) An average carbon-related exhaust emission value calculation 
will be made for the combined LDT2/HLDT/MDPV averaging set, where the 
terms LDT2, HLDT, and MDPV are as defined in Sec.  86.1803.
    (iii) Average carbon-related exhaust emission values shall be 
determined according to the provisions of Sec.  600.510-12 of this 
chapter, except that:
    (A) [Reserved]
    (B) The average carbon-related exhaust emissions for alcohol fueled 
model types shall be calculated according to the provisions of Sec.  
600.510-12(j)(2)(ii)(B) of this chapter, without the use of the 0.15 
multiplicative factor.
    (C) The average carbon-related exhaust emissions for natural gas 
fueled model types shall be calculated according to the provisions of 
Sec.  600.510-12(j)(2)(iii)(B) of this chapter, without the use of the 
0.15 multiplicative factor.
    (D) The average carbon-related exhaust emissions for alcohol dual 
fueled model types shall be the value measured using gasoline or diesel 
fuel, as applicable, and shall be calculated according to the provisions 
of Sec.  600.510-12(j)(2)(vi) of this chapter, without the use of the 
0.15 multiplicative factor and with F = 0. For the 2010 and 2011 model 
years only, if the California Air Resources Board has approved a 
manufacturer's request to use a non-zero value of F, the manufacturer 
may use such an approved value.
    (E) The average carbon-related exhaust emissions for natural gas 
dual fueled model types shall be the value measured using gasoline or 
diesel fuel, as applicable, and shall be calculated according to the 
provisions of Sec.  600.510-12(j)(2)(vii) of this chapter, without the 
use of the 0.15 multiplicative factor and with F = 0. For the 2010 and 
2011 model years only, if the California Air Resources Board has 
approved a manufacturer's request to use a non-zero value of F, the 
manufacturer may use such an approved value.
    (F) Carbon-related exhaust emission values for electric, fuel cell, 
and plug-in hybrid electric model types shall be included in the fleet 
average determined under paragraph (a)(1) of this section only to the 
extent that such vehicles are not being used to generate early advanced 
technology vehicle credits under paragraph (c) of this section.
    (iv) Fleet average CO2 credit threshold values.

------------------------------------------------------------------------
                                                              LDT2/HLDT/
                    Model year                      LDV/LDT1     MDPV
------------------------------------------------------------------------
2009.............................................        323         439
2010.............................................        301         420
2011.............................................        267         390
------------------------------------------------------------------------

    (v) Credits are earned on the last day of the model year. 
Manufacturers must calculate, for a given model year, the number of 
credits or debits it has generated according to the following equation, 
rounded to the nearest megagram:

CO2 Credits or Debits (Mg) = [(CO2 Credit 
Threshold - Manufacturer's Sales Weighted Fleet Average CO2

[[Page 1124]]

Emissions) x (Total Number of Vehicles Sold) x (Vehicle Lifetime Miles)] 
/ 1,000,000

Where:

CO2 Credit Threshold = the applicable credit threshold value 
          for the model year and vehicle averaging set as determined by 
          paragraph (a)(1)(iv) of this section;
Manufacturer's Sales Weighted Fleet Average CO2 Emissions = 
          average calculated according to paragraph (a)(1)(iii) of this 
          section;
Total Number of Vehicles Sold = The number of vehicles domestically sold 
          as defined in Sec.  600.511-80 of this chapter; and
Vehicle Lifetime Miles is 195,264 for the LDV/LDT1 averaging set and 
          225,865 for the LDT2/HLDT/MDPV averaging set.

    (vi) Deficits generated against the applicable CO2 credit 
threshold values in paragraph (a)(1)(iv) of this section in any 
averaging set for any of the 2009-2011 model years must be offset using 
credits accumulated by any averaging set in any of the 2009-2011 model 
years before determining the number of credits that may be carried 
forward to the 2012. Deficit carry forward and credit banking provisions 
of Sec.  86.1865-12 apply to early credits earned under this paragraph 
(a)(1), except that deficits may not be carried forward from any of the 
2009-2011 model years into the 2012 model year, and credits earned in 
the 2009 model year may not be traded to other manufacturers.
    (2) Pathway 2. To earn credits under this pathway, manufacturers 
shall calculate an average carbon-related exhaust emission value to the 
nearest one gram per mile for the classes of motor vehicles identified 
in paragraph (a)(1) of this section, and the results of such 
calculations will be reported to the Administrator for use in 
determining compliance with the applicable CO2 early credit 
threshold values.
    (i) Credits under this pathway shall be calculated according to the 
provisions of paragraph (a)(1) of this section, except credits may only 
be generated by vehicles sold in a model year in California and in 
states with a section 177 program in effect in that model year. For the 
purposes of this section, ``section 177 program'' means State 
regulations or other laws that apply to vehicle emissions from any of 
the following categories of motor vehicles: Passenger automobiles, 
light-duty trucks up through 6,000 pounds GVWR, and medium-duty vehicles 
from 6,001 to 14,000 pounds GVWR, as these categories of motor vehicles 
are defined in the California Code of Regulations, Title 13, Division 3, 
Chapter 1, Article 1, Section 1900.
    (ii) A deficit in any averaging set for any of the 2009-2011 model 
years must be offset using credits accumulated by any averaging set in 
any of the 2009-2011 model years before determining the number of 
credits that may be carried forward to the 2012 model year. Deficit 
carry forward and credit banking provisions of Sec.  86.1865-12 apply to 
early credits earned under this paragraph (a)(1), except that deficits 
may not be carried forward from any of the 2009-2011 model years into 
the 2012 model year, and credits earned in the 2009 model year may not 
be traded to other manufacturers.
    (3) Pathway 3. Pathway 3 credits are those credits earned under 
Pathway 2 as described in paragraph (a)(2) of this section in California 
and in the section 177 states determined in paragraph (a)(2)(i) of this 
section, combined with additional credits earned in the set of states 
that does not include California and the section 177 states determined 
in paragraph (a)(2)(i) of this section and calculated according to this 
paragraph (a)(3).
    (i) Manufacturers shall earn additional credits under Pathway 3 by 
calculating an average carbon-related exhaust emission value to the 
nearest one gram per mile for the classes of motor vehicles identified 
in this paragraph (a)(3). The results of such calculations will be 
reported to the Administrator for use in determining compliance with the 
applicable CO2 early credit threshold values.
    (ii) An average carbon-related exhaust emission value calculation 
will be made for the passenger automobile averaging set. The term 
``passenger automobile'' shall have the meaning given by the Department 
of Transportation at 49 CFR 523.4 for the specific model year for which 
the calculation is being made.
    (iii) An average carbon-related exhaust emission value calculation 
will be made for the light truck averaging set. The term ``light truck'' 
shall have

[[Page 1125]]

the meaning given by the Department of Transportation at 49 CFR 523.5 
for the specific model year for which the calculation is being made.
    (iv) Average carbon-related exhaust emission values shall be 
determined according to the provisions of Sec.  600.510-12 of this 
chapter, except that:
    (A) Vehicles sold in California and the section 177 states 
determined in paragraph (a)(2)(i) of this section shall not be included.
    (B) The average carbon-related exhaust emissions for alcohol fueled 
model types shall be calculated according to the provisions of Sec.  
600.510-12(j)(2)(ii)(B) of this chapter, without the use of the 0.15 
multiplicative factor.
    (C) The average carbon-related exhaust emissions for natural gas 
fueled model types shall be calculated according to the provisions of 
Sec.  600.510-12(j)(2)(iii)(B) of this chapter, without the use of the 
0.15 multiplicative factor.
    (D) The average carbon-related exhaust emissions for alcohol dual 
fueled model types shall be calculated according to the provisions of 
Sec.  600.510-12(j)(2)(vi) of this chapter, without the use of the 0.15 
multiplicative factor and with F = 0.
    (E) The average carbon-related exhaust emissions for natural gas 
dual fueled model types shall be calculated according to the provisions 
of Sec.  600.510-12(j)(2)(vii) of this chapter, without the use of the 
0.15 multiplicative factor and with F = 0.
    (F) Electric, fuel cell, and plug-in hybrid electric model type 
carbon-related exhaust emission values shall be included in the fleet 
average determined under paragraph (a)(1) of this section only to the 
extent that such vehicles are not being used to generate early advanced 
technology vehicle credits under paragraph (c) of this section.
    (v) Pathway 3 fleet average CO2 credit threshold values.
    (A) For 2009 and 2010 model year passenger automobiles, the fleet 
average CO2 credit threshold value is 323 grams/mile.
    (B) For 2009 model year light trucks the fleet average 
CO2 credit threshold value is 381 grams/mile, or, if the 
manufacturer chose to optionally meet an alternative manufacturer-
specific light truck fuel economy standard calculated under 49 CFR 533.5 
for the 2009 model year, the gram per mile fleet average CO2 
credit threshold shall be the CO2 value determined by 
dividing 8887 by that alternative manufacturer-specific fuel economy 
standard and rounding to the nearest whole gram per mile.
    (C) For 2010 model year light trucks the fleet average 
CO2 credit threshold value is 376 grams/mile, or, if the 
manufacturer chose to optionally meet an alternative manufacturer-
specific light truck fuel economy standard calculated under 49 CFR 533.5 
for the 2010 model year, the gram per mile fleet average CO2 
credit threshold shall be the CO2 value determined by 
dividing 8887 by that alternative manufacturer-specific fuel economy 
standard and rounding to the nearest whole gram per mile.
    (D) For 2011 model year passenger automobiles the fleet average 
CO2 credit threshold value is the value determined by 
dividing 8887 by the manufacturer-specific passenger automobile fuel 
economy standard for the 2011 model year determined under 49 CFR 531.5 
and rounding to the nearest whole gram per mile.
    (E) For 2011 model year light trucks the fleet average 
CO2 credit threshold value is the value determined by 
dividing 8887 by the manufacturer-specific light truck fuel economy 
standard for the 2011 model year determined under 49 CFR 533.5 and 
rounding to the nearest whole gram per mile.
    (vi) Credits are earned on the last day of the model year. 
Manufacturers must calculate, for a given model year, the number of 
credits or debits it has generated according to the following equation, 
rounded to the nearest megagram:

CO2 Credits or Debits (Mg) = [(CO2 Credit 
Threshold - Manufacturer's Sales Weighted Fleet Average CO2 
Emissions) x (Total Number of Vehicles Sold) x (Vehicle Lifetime Miles)] 
/ 1,000,000

Where:

CO2 Credit Threshold = the applicable credit threshold value 
          for the model year and vehicle averaging set as determined by 
          paragraph (a)(3)(v) of this section.
Manufacturer's Sales Weighted Fleet Average CO2 Emissions = 
          average calculated

[[Page 1126]]

          according to paragraph (a)(3)(iv) of this section.
Total Number of Vehicles Sold = The number of vehicles domestically sold 
          as defined in Sec.  600.511 of this chapter except that 
          vehicles sold in California and the section 177 states 
          determined in paragraph (a)(2)(i) of this section shall not be 
          included.
Vehicle Lifetime Miles is 195,264 for the LDV/LDT1 averaging set and 
          225,865 for the LDT2/HLDT/MDPV averaging set.

    (vii) Deficits in any averaging set for any of the 2009-2011 model 
years must be offset using credits accumulated by any averaging set in 
any of the 2009-2011 model years before determining the number of 
credits that may be carried forward to the 2012. Deficit carry forward 
and credit banking provisions of Sec.  86.1865-12 apply to early credits 
earned under this paragraph (a)(3), except that deficits may not be 
carried forward from any of the 2009-2011 model years into the 2012 
model year, and credits earned in the 2009 model year may not be traded 
to other manufacturers.
    (4) Pathway 4. Pathway 4 credits are those credits earned under 
Pathway 3 as described in paragraph (a)(3) of this section in the set of 
states that does not include California and the section 177 states 
determined in paragraph (a)(2)(i) of this section and calculated 
according to paragraph (a)(3) of this section. Credits may only be 
generated by vehicles sold in the set of states that does not include 
California and the section 177 states determined in paragraph (a)(2)(i) 
of this section.
    (b) Early air conditioning leakage and efficiency credits. (1) 
Manufacturers may optionally generate air conditioning refrigerant 
leakage credits according to the provisions of Sec.  86.1867 and/or air 
conditioning efficiency credits according to the provisions of Sec.  
86.1868 in model years 2009 through 2011. Credits must be tracked by 
model type and model year.
    (2) Manufacturers must be participating in one of the early fleet 
average credit pathways described in paragraphs (a)(1), (2), or (3) of 
this section in order to generate early air conditioning credits for 
vehicles sold in California and the section 177 states as determined in 
paragraph (a)(2)(i) of this section. Manufacturers that select Pathway 4 
as described in paragraph (a)(4) of this section may not generate early 
air conditioning credits for vehicles sold in California and the section 
177 states as determined in paragraph (a)(2)(i) of this section. 
Manufacturers not participating in one of the early fleet average credit 
pathways described in this section may generate early air conditioning 
credits only for vehicles sold in states other than in California and 
the section 177 states as determined in paragraph (a)(2)(i) of this 
section.
    (c) Early advanced technology vehicle incentive. Vehicles eligible 
for this incentive are electric vehicles, fuel cell vehicles, and plug-
in hybrid electric vehicles, as those terms are defined in Sec.  
86.1803-01. If a manufacturer chooses to not include electric vehicles, 
fuel cell vehicles, and plug-in hybrid electric vehicles in their fleet 
averages calculated under any of the early credit pathways described in 
paragraph (a) of this section, the manufacturer may generate early 
advanced technology vehicle credits pursuant to this paragraph (c).
    (1) The manufacturer shall record the sales and carbon-related 
exhaust emission values of eligible vehicles by model type and model 
year for model years 2009 through 2011 and report these values to the 
Administrator under paragraph (e) of this section.
    (2) Manufacturers may use the 2009 through 2011 eligible vehicles in 
their fleet average calculations starting with the 2012 model year, 
subject to a five-year carry-forward limitation.
    (i) Eligible 2009 model year vehicles may be used in the calculation 
of a manufacturer's fleet average carbon-related exhaust emissions in 
the 2012 through 2014 model years.
    (ii) Eligible 2010 model year vehicles may be used in the 
calculation of a manufacturer's fleet average carbon-related exhaust 
emissions in the 2012 through 2015 model years.
    (iii) Eligible 2011 model year vehicles may be used in the 
calculation of a manufacturer's fleet average carbon-related exhaust 
emissions in the 2012 through 2016 model years.
    (3)(i) To use the advanced technology vehicle incentive, the 
manufacturer will apply the 2009, 2010, and/or 2011

[[Page 1127]]

model type sales volumes and their model type emission levels to the 
manufacturer's fleet average calculation.
    (ii) The early advanced technology vehicle incentive must be used to 
offset a deficit in one of the 2012 through 2016 model years, as 
appropriate under paragraph (c)(2) of this section.
    (iii) The advanced technology vehicle sales and emission values may 
be included in a fleet average calculation for passenger automobiles or 
light trucks, but may not be used to generate credits in the model year 
in which they are included or in the averaging set in which they are 
used. Use of early advanced technology vehicle credits is limited to 
offsetting a deficit that would otherwise be generated without the use 
of those credits. Manufacturers shall report the use of such credits in 
their model year report for the model year in which the credits are 
used.
    (4) Manufacturers may use zero grams/mile to represent the carbon-
related exhaust emission values for the electric operation of 2009 
through 2011 model year electric vehicles, fuel cell vehicles, and plug-
in hybrid electric vehicles subject to the limitations in Sec.  86.1866. 
The 2009 through 2011 model year vehicles using zero grams per mile 
shall count against the 200,000 or 300,000 caps on use of this credit 
value, whichever is applicable under Sec.  86.1866.
    (d) Early off-cycle technology credits. Manufacturers may optionally 
generate credits for the implementation of certain CO2-
reducing technologies according to the provisions of Sec.  86.1869 in 
model years 2009 through 2011. Credits must be tracked by model type and 
model year.
    (e) Early credit reporting requirements. Each manufacturer shall 
submit a report to the Administrator, known as the early credits report, 
that reports the credits earned in the 2009 through 2011 model years 
under this section.
    (1) The report shall contain all information necessary for the 
calculation of the manufacturer's early credits in each of the 2009 
through 2011 model years.
    (2) The early credits report shall be in writing, signed by the 
authorized representative of the manufacturer and shall be submitted no 
later than 90 days after the end of the 2011 model year.
    (3) Manufacturers using one of the optional early fleet average 
CO2 reduction credit pathways described in paragraph (a) of 
this section shall report the following information separately for the 
appropriate averaging sets (e.g. LDV/LDT1 and LDT2/HLDT/MDPV averaging 
sets for pathways 1 and 2; LDV, LDT/2011 MDPV, LDV/LDT1 and LDT2/HLDT/
MDPV averaging sets for Pathway 3; LDV and LDT/2011 MDPV averaging sets 
for Pathway 4):
    (i) The pathway that they have selected (1, 2, 3, or 4).
    (ii) A carbon-related exhaust emission value for each model type of 
the manufacturer's product line calculated according to paragraph (a) of 
this section.
    (iii) The manufacturer's average carbon-related exhaust emission 
value calculated according to paragraph (a) of this section for the 
applicable averaging set and region and all data required to complete 
this calculation.
    (iv) The credits earned for each averaging set, model year, and 
region, as applicable.
    (4) Manufacturers calculating early air conditioning leakage and/or 
efficiency credits under paragraph (b) of this section shall report the 
following information for each model year separately for passenger 
automobiles and light trucks and for each air conditioning system used 
to generate credits:
    (i) A description of the air conditioning system.
    (ii) The leakage and efficiency credit values and all the 
information required to determine these values.
    (iii) The total credits earned for each averaging set, model year, 
and region, as applicable.
    (5) Manufacturers calculating early advanced technology vehicle 
credits under paragraph (c) of this section shall report, for each model 
year and separately for passenger automobiles and light trucks, the 
following information:
    (i) The number of each model type of eligible vehicle produced.
    (ii) The carbon-related exhaust emission value by model type and 
model year.

[[Page 1128]]

    (6) Manufacturers calculating early off-cycle technology credits 
under paragraph (d) of this section shall report, for each model year 
and separately for passenger automobiles and light trucks, all test 
results and data required for calculating such credits.

[77 FR 63175, Oct. 15, 2012, as amended at 81 FR 73998, Oct. 25, 2016]



Sec. Appendix I to Subpart S of Part 86--Vehicle Procurement Methodology

    I. Test Sampling: The master owner list will be obtained from 
manufacturer records or owner registration lists. The list shall include 
all vehicle configurations of the target reality check test group within 
the selected mailing area. The mailing area shall be within a radius of 
at least 20 miles from the test site.
    II. Selection Guidelines: The manufacturer or their representative 
shall make a reasonable effort to contact potential participants. 
Solicitation letters will be sent to potential participants in the order 
of their appearance on a randomized master owner list. The manufacturer 
or their representative shall perform the following steps:
    (a) The manufacturer or their representative shall mail solicitation 
letters in batches. The size of each batch is at least five times the 
required number of vehicles to be tested for the group that year. First 
class mail shall be used.
    (b) If the response rate is less than 20% after two to four weeks, 
the manufacturer or their representative shall make one more attempt and 
send a new solicitation package to the potential participants who have 
not yet responded.
    (c) A telephone questionnaire will be conducted on a random 
selection of returned, positive-response postcards.
    (d) If the required number of vehicles is not obtained, additional 
solicitation letters shall be sent to the next batch of potential 
participants in the order of their appearance on a randomized master 
owner list until the required number of vehicles are procured.
    (e) Alternative selection methods may be used with advanced approval 
from the Administrator.
    III. Vehicles Not Available: Vehicles may not be available or will 
not be pursued for procurement for the following reasons:
    (a) The potential participant response indicates ``not willing to 
participate.''
    (b) The customer has moved out of the area.
    (c) The solicitation letter is undeliverable.
    (d) The customer did not respond after two attempts.
    (e) The vehicle is not in the appropriate mileage or age category.



 Sec. Appendix II to Subpart S of Part 86--As-Received Testing Vehicle 
                           Rejection Criteria

    1. The odometer is inoperative, has been replaced, or the indicated 
mileage is outside the target range.
    2. The emission system of the vehicle has been obviously tampered or 
the vehicle has been operated on leaded fuel. A manufacturer may request 
a vehicle be rejected because of the addition of an aftermarket security 
system if the manufacturer establishes that the installation would make 
that vehicle's emissions unrepresentative.
    3. The vehicle has been used for severe duty (trailer towing for 
passenger cars, snow plowing, racing)
    4. The vehicle has a history of extensive collision damage or major 
engine repair (piston, crank, cylinder head, engine block).
    5. The vehicle exhibits ominous noises or serious fluid leaks from 
the engine or transmission, a modified exhaust system, (headers, side 
pipes, aftermarket catalysts, etc) or an exhaust system with an audible 
leak.
    6. Testing the vehicle could endanger the safety of the vehicle, 
test facility, or individuals conducting the testing.
    7. The MIL light is flashing (severe misfire indication).
    8. Other items with prior agency approval.



    Sec. Appendix III to Subpart S of Part 86--As-Received Inspection

    Items to be recorded at time of Initial Inspection of Vehicle--

1. Date of Inspection
3. Test Group
4. Evaporative/refueling Family
5. Vehicle model
6. Odometer Reading
7. Build Date
8. MIL light on/off status
9. Readiness code status
10. Stored OBD codes
11.Any conditions referenced in appendix II to this subpart which result 
in vehicle being rejected from program.



Subpart T_Manufacturer-Run In-Use Testing Program for Heavy-Duty Diesel 
                                 Engines

    Source: 70 FR 34619, June 14, 2005, unless otherwise noted.



Sec.  86.1901  What testing requirements apply to my engines 
that have gone into service?

    (a) If you manufacture diesel heavy-duty engines above 8,500 lbs. 
GVWR

[[Page 1129]]

that are subject to engine-based exhaust emission standards under this 
part, you must test them as described in this subpart. You must measure 
all emissions listed in Sec.  86.1910(d) other than PM beginning in 
calendar year 2005 and you must measure PM emissions beginning in 
calendar year 2007. See Sec.  86.1930 for special provisions that may 
apply to manufacturers in the early years of this program.
    (b) We may void your certificate of conformity for an engine family 
if you do not meet your obligations under this subpart. We may also void 
individual tests and require you to retest those vehicles or take other 
appropriate measures in instances where you have not performed the 
testing in accordance with the requirements described in this subpart.
    (c) In this subpart, the term ``you'' refers to the certificate-
holder for any engines subject to the requirements of this subpart.
    (d) In this subpart, round means to round numbers according to NIST 
Special Publication 811(incorporated by reference in Sec.  86.1).

[70 FR 34619, June 14, 2005, as amended at 75 FR 68459, Nov. 8, 2010]



Sec.  86.1905  How does this program work?

    (a) You must test in-use engines from the families we select. We may 
select the following number of engine families for testing, except as 
specified in paragraph (b) of this section:
    (1) We may select up to 25 percent of your engine families in any 
calendar year, calculated by dividing the number of engine families you 
certified in the model year corresponding to the calendar year by four 
and rounding to the nearest whole number. We will consider only engine 
families with annual U.S.-directed production volumes above 1,500 units 
in calculating the number of engine families subject to testing each 
calendar year under the annual 25 percent engine family limit. In 
addition, for model year 2007 through 2009, identical engine families 
that are split into two subfamilies under Sec.  86.007-15(m)(9) will 
count as only one engine family. If you have only three or fewer 
families that each exceed an annual U.S.-directed production volume of 
1,500 units, or if you have no engine families above this limit, we may 
select one engine family per calendar year for testing.
    (2) Over any four-year period, we will not select more than the 
average number of engine families that you have certified over that 
four-year period (the model year when the selection is made and the 
preceding three model years), based on rounding the average value to the 
nearest whole number.
    (b) If there is clear evidence of a nonconformity with regard to an 
engine family, we may select that engine family without counting it as a 
selected engine family under paragraph (a) of this section. We will 
consult with you in reaching a conclusion whether clear evidence of a 
nonconformity exists for any engine family. In general, there is clear 
evidence of a nonconformity regarding an engine family under this 
subpart in any of the following cases:
    (1) The engine family was not remedied but is a carry-over from an 
engine family you tested under this subpart and was subsequently 
remedied based at least in part on the Phase 1 or Phase 2 testing 
outcomes described in Sec.  86.1915.
    (2) The engine family was not remedied but is a carry-over from an 
engine family that was remedied based on an EPA in-use testing program.
    (c) We may select any individual engine family for testing, 
regardless of its production volume, as long as we do not select more 
than the number of engine families described in paragraph (a) of this 
section. We may select an engine family from the current model year or 
any previous model year, except that we will not select any engine 
families from model years before 2007 beginning in the following 
calendar years:
    (1) 2007 for all emissions testing other than PM testing.
    (2) 2011 for PM testing.
    (d) You must complete all the required testing and reporting under 
this subpart within 18 months after we direct you to test a particular 
engine family. We will typically select engine families for testing and 
notify you in writing by June 30 of the applicable calendar year. You 
may ask for up to six months longer to complete Phase 2

[[Page 1130]]

testing if there is a reasonable basis for needing more time. In very 
unusual circumstances you may request an additional six months to 
complete Phase 2 testing.
    (e) If you make a good-faith effort to access enough test vehicles 
to complete Phase 1 or Phase 2 testing requirements under this subpart 
for an engine family, but are unable to do so, you must ask us either to 
modify the testing requirements for the selected engine family or, in 
the case of Phase 1 testing, to select a different engine family.
    (f) After you complete the in-use testing requirements for an engine 
family that we selected for testing in a given calendar year, we may 
select that same family in a later year to evaluate the engine family's 
compliance closer to the end of its useful life. This would count as an 
additional engine-family selection under paragraph (a) of this section, 
except as described in paragraph (b) of this section.
    (g) For any communication related to this subpart, contact the 
Engine Programs Group Manager (6405-J), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[70 FR 34619, June 14, 2005, as amended at 73 FR 13450, Mar. 13, 2008; 
75 FR 68459, Nov. 8, 2010]



Sec.  86.1908  How must I select and screen my in-use engines?

    (a) Once we direct you to do testing under this subpart, you must 
make arrangements to select test vehicles and engines that meet the 
following criteria:
    (1) The engines must be representative of the engine family.
    (2) The usage of the vehicles must be representative of typical 
usage for the vehicles' particular application.
    (3) The vehicles come from at least two independent sources.
    (4) The key vehicle/engine systems (e.g., power train, drive train, 
emission control) have been properly maintained and used.
    (5) The engines have not been tampered with, rebuilt or undergone 
major repair that could be expected to affect emissions.
    (6) The engines have not been misfueled. For example, an engine may 
be considered misfueled if operated on a biodiesel fuel blend that is 
either not listed as allowed or otherwise indicated to be an 
unacceptable fuel in the vehicle's owner or operator manual.
    (7) The engines do not have an illuminated MIL or stored OBD trouble 
code that lead you to reject the vehicle from the test program as 
described in Sec.  86.1910(b)(2).
    (8) The vehicles are likely to operate for at least three hours 
(excluding idle) over a complete shift-day, as described in Sec.  
86.1910(g).
    (9) The vehicles have not exceeded the applicable useful life, in 
miles or years (see subpart A of this part); you may otherwise not 
exclude engines from testing based on their age or mileage.
    (10) The vehicle has appropriate space for safe and proper mounting 
of the PEMS equipment.
    (b) You must keep any records of a vehicle's maintenance and use 
history you obtain from the owner or operator, as required by Sec.  
86.1925. You must report the engine's maintenance and use history and 
information related to the OBD system, as described in Sec.  86.1920.
    (c) You must notify us before rejecting a candidate vehicle for 
reasons other than failing to meet the acceptance criteria in paragraph 
(a) of this section. A candidate vehicle is any prospective vehicle you 
have identified to potentially fulfill your testing requirements under 
this subpart. Include your reasons for rejecting each vehicle. If an 
owner declines to participate in the test program, you may reject the 
vehicle without prior notification. Such a rejection must be reported as 
described in Sec.  86.1920. We may allow you to replace the rejected 
vehicle with another candidate vehicle to meet your testing requirements 
for the specific engine family.
    (d) You must report when, how, and why you reject candidate 
vehicles, as described in Sec.  86.1920.



Sec.  86.1910  How must I prepare and test my in-use engines?

    (a) You must limit maintenance to what is in the owners manual for 
engines with that amount of service and

[[Page 1131]]

age. For anything we consider an adjustable parameter (see Sec. Sec.  
86.094-21(b)(1)(ii) and 86.094-22(e)), you may adjust that parameter 
only if it is outside of its adjustable range. You must then set the 
adjustable parameter to the mid-point of its adjustable range or your 
recommended setting, unless we approve your request to do otherwise. You 
must receive permission from us before adjusting anything not considered 
to be an adjustable parameter. You must keep records of all maintenance 
and adjustments, as required by Sec.  86.1925. You must send us these 
records, as described in Sec.  86.1920(b)(3)(x), unless we instruct you 
not to send them.
    (b) You may treat a vehicle with an illuminated MIL or stored 
trouble code as follows:
    (1) If the length of MIL illumination or trouble code storage is 
consistent with proper maintenance and use, either test the prospective 
test vehicle as received or repair the vehicle before testing. If you 
elect to repair the vehicle/engine, but ultimately determine that 
repairs cannot be completed in a timely manner, you may reject the 
vehicle from the test program and replace it with another vehicle. If 
you repair or reject the vehicle, you must describe the MIL or trouble 
code information in your report under Sec.  86.1920.
    (2) If the length of MIL illumination or trouble code storage is 
inconsistent with proper maintenance and use, either test the 
prospective test vehicle as received, repair the vehicle before testing, 
or reject the vehicle from the test program and replace it with another 
vehicle. If you repair or reject the vehicle, you must describe the MIL 
or trouble code information in your report under Sec.  86.1920.
    (3) If a MIL is illuminated or a trouble code is set during an in-
use test, do one of the following:
    (i) Stop the test, repair the vehicle, and restart the testing. In 
this case, only the portion of the full test results without the MIL 
illuminated or trouble code set would be used in the vehicle-pass 
determination as described in Sec.  86.1912. Describe the MIL or trouble 
code information in your report under Sec.  86.1920.
    (ii) Stop the test, repair the vehicle, and initiate a new test. In 
this case, only the post-repair test results would be used in the 
vehicle-pass determination as described in Sec.  86.1912. Describe the 
MIL or trouble code information in your report under Sec.  86.1920.
    (iii) If three hours of non-idle operation have been accumulated 
prior to the time a MIL is illuminated or trouble code set, stop the 
test and use the accumulated test results in the vehicle-pass 
determination as described in Sec.  86.1912.
    (iv) If three hours of non-idle operation have not been accumulated 
prior to the time a MIL is illuminated or trouble code is set, and you 
elect to repair the vehicle/engine, but ultimately determine that 
repairs cannot be completed in a timely manner, you may reject the 
vehicle from the test program and replace it with another vehicle. If 
you repair or reject the vehicle, you must describe the MIL or trouble 
code information in your report under Sec.  86.1920.
    (c) Use appropriate fuels for testing, as follows:
    (1) You may use any diesel fuel that meets the specifications for 
No. 2-D S500 or No. 2-D S15 in ASTM D 975 (incorporated by reference in 
Sec.  86.1), as required in the calendar year that in-use testing 
occurs.
    (2) You may use any biodiesel fuel blend that is either expressly 
allowed or not otherwise indicated as an unacceptable fuel in the 
vehicle's owner or operator manual or in the engine manufacturer's 
published fuel recommendations.
    (3) You may drain a prospective test vehicle's fuel tank(s) and 
refill the tank(s) with diesel fuel conforming to ASTM D 975 
specifications described in paragraph (c)(1) of this section.
    (4) Any fuel that is added to the fuel tank(s) of a prospective test 
vehicle, or during an in-use test, must be purchased at a local retail 
establishment near the site of vehicle procurement or screening, or 
along the test route. Alternatively, the fuel may be drawn from a 
central fueling source, provided that the fuel used is representative of 
that which is commercially available in the area where the vehicle is 
operated.

[[Page 1132]]

    (5) No post-refinery fuel additives are allowed, except that one or 
more specific fuel additives may be used during in-use testing if you 
can document that the owner/operator of the prospective test vehicle has 
a history of normally using the fuel treatment(s), and the fuel 
additive(s) is not prohibited in the vehicle's owner or operator manual 
or in the engine manufacturer's published fuel-additive recommendations.
    (6) You may take fuel samples from test vehicles to ensure that 
appropriate fuels were used during in-use testing. If a vehicle fails 
the vehicle-pass criteria and you can show that an inappropriate fuel 
was used during the failed test, that particular test may be voided. You 
may drain the vehicle's fuel tank(s) and refill the tank(s) with diesel 
fuel conforming to the ASTM D 975 specifications described in paragraph 
(c)(1) of this section. You must report any fuel tests that are the 
basis of voiding a test in your report under Sec.  86.1920.
    (d) You must test the selected engines while they remain installed 
in the vehicle. Use portable emission sampling equipment and field-
testing procedures referenced in Sec.  86.1375. Measure emissions of 
THC, NMHC (by any method specified in 40 CFR part 1065, subpart J), CO, 
NOX, PM (as appropriate), and CO2. Measure or 
determine O2 emissions using good engineering judgment.
    (e) For Phase 1 testing, you must test the engine under conditions 
reasonably expected to be encountered during normal vehicle operation 
and use consistent with the general NTE requirements described in Sec.  
86.1370-2007(a). For the purposes of this subpart, normal operation and 
use would generally include consideration of the vehicle's normal routes 
and loads (including auxiliary loads such as air conditioning in the 
cab), normal ambient conditions, and the normal driver.
    (f) For Phase 2 testing, we may give specific directions, as 
described in Sec.  86.1915(c)(2).
    (g) Once an engine is set up for testing, test the engine for at 
least one shift-day. To complete a shift-day's worth of testing, start 
sampling at the beginning of a shift and continue sampling for the whole 
shift, subject to the calibration requirements of the portable emissions 
measurement systems. A shift-day is the period of a normal workday for 
an individual employee. If the first shift-day of testing does not 
involve at least 3 hours of accumulated non-idle operation, repeat the 
testing for a second shift-day and report the results from both days of 
testing. If the second shift-day of testing also does not result in at 
least 3 hours of accumulated non-idle operation, you may choose whether 
or not to continue testing with that vehicle. If after two shift-days 
you discontinue testing before accumulating 3 hours of non-idle 
operation on either day, evaluate the valid NTE samples from both days 
of testing as described in Sec.  86.1912 and include the data in the 
reporting and record keeping requirements specified in Sec. Sec.  
86.1920 and 1925. Count the engine toward meeting your testing 
requirements under this subpart and use the data for deciding whether 
additional engines must be tested under the applicable Phase 1 or Phase 
2 test plan.
    (h) You have the option to test longer than the two shift-day period 
described in paragraph (g) of this section.
    (i) You may count a vehicle as meeting the vehicle-pass criteria 
described in Sec.  86.1912 if a shift day of testing or two-shift days 
of testing (with the requisite non-idle/idle operation time as in 
paragraph (g) of this section), or if the extended testing you elected 
under paragraph (h) of this section does not generate a single valid NTE 
sampling event, as described in Sec.  86.1912(b). Count the vehicle 
towards meeting your testing requirements under this subpart.
    (j) You may ask us to waive measurement of particular emissions if 
you can show that in-use testing for such emissions is not necessary.

[70 FR 34619, June 14, 2005, as amended at 75 FR 22981, Apr. 30, 2010; 
75 FR 68459, Nov. 8, 2010, as amended at 81 FR 73998, Oct. 25, 2016]



Sec.  86.1912  How do I determine whether an engine meets 
the vehicle-pass criteria?

    In general, the average emissions for each regulated pollutant must 
remain at or below the NTE threshold in paragraph (a) of this section 
for at least 90 percent of the valid NTE sampling

[[Page 1133]]

events, as defined in paragraph (b) of this section. For 2007 through 
2009 model year engines, the average emissions from every NTE sampling 
event must also remain below the NTE thresholds in paragraph (g)(2) of 
this section. Perform the following steps to determine whether an engine 
meets the vehicle-pass criteria:
    (a) Determine the NTE threshold for each pollutant subject to an NTE 
standard by adding all three of the following terms and rounding the 
result to the same number of decimal places as the applicable NTE 
standard:
    (1) The applicable NTE standard.
    (2) The in-use compliance testing margin specified in Sec.  86.007-
11(h), if any.
    (3) An accuracy margin for portable in-use equipment when testing is 
performed under the special provisions of Sec.  86.1930, depending on 
the pollutant, as follows:
    (i) NMHC: 0.17 g/hp[middot]hr.
    (ii) CO: 0.60 g/hp[middot]hr.
    (iii) NOX: 0.50 g/hp[middot]hr.
    (iv) PM: 0.10 g/hp[middot]hr.
    (v) NOX + NMHC: 0.67 g/hp[middot]hr.
    (4) Accuracy margins for portable in-use equipment when testing is 
not performed under the special provisions of Sec.  86.1930 for 2007 
through 2009 model year engine families that are selected for testing in 
any calendar year as follows:
    (i) NMHC using the emission calculation method specified in 40 CFR 
1065.650(a)(1): 0.02 g/hp[middot]hr.
    (ii) NMHC using the emission calculation method specified in 40 CFR 
1065.650(a)(3): 0.01 g/hp[middot]hr.
    (iii) NMHC using an alternative emission calculation method we 
approve under 40 CFR 1065.915(d)(5)(iv): 0.01 g/hp[middot]hr.
    (iv) CO using the emission calculation method specified in 40 CFR 
1065.650(a)(1): 0.5 g/hp[middot]hr.
    (v) CO using the emission calculation method specified in 40 CFR 
1065.650(a)(3): 0.25 g/hp[middot]hr.
    (vi) CO using an alternative emission calculation method we approve 
under 40 CFR 1065.915(d)(5)(iv): 0.25 g/hp[middot]hr.
    (vii) NOX using the emission calculation method specified 
in 40 CFR 1065.650(a)(1): 0.45 g/hp[middot]hr.
    (viii) NOX using the emission calculation method 
specified in 40 CFR 1065.650(a)(3): 0.15 g/hp[middot]hr.
    (ix) NOX using an alternative emission calculation method 
we approve under 40 CFR 1065.915(d)(5)(iv): 0.15 g/hp[middot]hr.
    (x) NOX + NMHC using the emission calculation method 
specified in 40 CFR 1065.650(a)(1): 0.47 g/hp[middot]hr.
    (xi) NOX + NMHC using the emission calculation method 
specified in 40 CFR 1065.650(a)(3): 0.16 g/hp[middot]hr.
    (xii) NOX + NMHC using an alternative emission 
calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.16 g/
hp[middot]hr.
    (xiii) PM: 0.006 g/hp[middot]hr.
    (5) Accuracy margins for portable in-use equipment when testing is 
not performed under the special provisions of Sec.  86.1930 for 2010 or 
later model year engines families that are selected for testing in any 
calendar year as follows:
    (i) NMHC using any emission calculation method specified in 40 CFR 
1065.650(a) or an alternative emission calculation method we approve 
under 40 CFR 1065.915(d)(5)(iv): 0.01 g/hp[middot]hr.
    (ii) CO using any emission calculation method specified in 40 CFR 
1065.650(a) or an alternative emission calculation method we approve 
under 40 CFR 1065.915(d)(5)(iv): 0.25 g/hp[middot]hr.
    (iii) NOX using any emission calculation method specified 
in 40 CFR 1065.650(a) or an alternative emission calculation method we 
approve under 40 CFR 1065.915(d)(5)(iv): 0.15 g/hp[middot]hr.
    (iv) PM: 0.006 g/hp[middot]hr.
    (b) For the purposes of this subpart, a valid NTE sampling event 
consists of at least 30 seconds of continuous operation in the NTE 
control area. An NTE event begins when the engine starts to operate in 
the NTE control area and continues as long as engine operation remains 
in this area (see Sec.  86.1370). When determining a valid NTE sampling 
event, exclude all engine operation in approved NTE limited testing 
regions under Sec.  86.1370-2007(b)(6) and any approved NTE deficiencies 
under Sec.  86.007-11(a)(4)(iv). Engine operation in the NTE control 
area of less than 30 contiguous seconds does not count as a valid NTE 
sampling event; operating periods of less than 30 seconds in the NTE 
control area, but outside of any

[[Page 1134]]

allowed deficiency area or limited testing region, will not be added 
together to make a 30 second or longer event. Exclude any portion of a 
sampling event that would otherwise exceed the 5.0 percent limit for the 
time-weighted carve-out defined in Sec.  86.1370-2007(b)(7). For EGR-
equipped engines, exclude any operation that occurs during the cold-
temperature operation defined by the equations in Sec.  86.1370-
2007(f)(1).
    (c) Calculate the average emission level for each pollutant over 
each valid NTE sampling event as specified in 40 CFR part 1065, subpart 
G, using each NTE event as an individual test interval. This should 
include valid NTE events from all days of testing.
    (d) If the engine has an open crankcase, account for these emissions 
by adding 0.00042 g/hp[middot]hr to the PM emission result for every NTE 
event.
    (e) Calculate a time-weighted vehicle-pass ratio (Rpass) 
for each pollutant. To do this, first sum the time from each valid NTE 
sampling event whose average emission level is at or below the NTE 
threshold for that pollutant, then divide this value by the sum of the 
engine operating time from all valid NTE events for that pollutant. 
Round the resulting vehicle-pass ratio to two decimal places.
    (1) Calculate the time-weighted vehicle-pass ratio for each 
pollutant as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.041

Where:

npass = the number of valid sampling events for which the 
          average emission level is at or below the NTE threshold.
ntotal = the total number of valid NTE sampling events.

    (2) For both the numerator and the denominator of the vehicle-pass 
ratio, use the smallest of the following values for determining the 
duration, t, of any NTE sampling event:
    (i) The measured time in the NTE zone that is valid for an NTE 
sampling event.
    (ii) 600 seconds.
    (iii) 10 times the length of the shortest valid NTE sampling event 
for all testing with that engine.
    (f) The following example illustrates how to select the duration of 
NTE sampling events for calculations, as described in paragraph (f) of 
this section:

----------------------------------------------------------------------------------------------------------------
                                                                                                   Duration used
                                           Duration of                                                  in
               NTE sample                  NTE sample            Duration limit applied?           calculations
                                            (seconds)                                                (seconds)
----------------------------------------------------------------------------------------------------------------
1......................................              45  No.....................................              45
2......................................             168  No.....................................             168
3......................................             605  Yes. Use 10 times shortest valid NTE...             450
4......................................             490  Yes. Use 10 times shortest valid NTE...             450
5......................................              65  No.....................................              65
----------------------------------------------------------------------------------------------------------------

    (g) Engines meet the vehicle-pass criteria under this section if 
they meet both of the following criteria:
    (1) The vehicle-pass ratio calculated according to paragraph (e) of 
this section must be at least 0.90 for each pollutant.
    (2) For model year 2007 through 2009 engines, emission levels from 
every valid NTE sampling event must be less than 2.0 times the NTE 
thresholds calculated according to paragraph (a) of this section for all 
pollutants, except that engines certified to a NOX FEL at

[[Page 1135]]

or below 0.50 g/hp[middot]hr may meet the vehicle-pass criteria for 
NOX if measured NOX emissions from every valid NTE 
sample are less than either 2.0 times the NTE threshold for 
NOX or 2.0 g/hp[middot]hr, whichever is greater.

[81 FR 73998, Oct. 25, 2016]



Sec.  86.1915  What are the requirements for Phase 1 and Phase 2 testing?

    For all selected engine families, you must do the following:
    (a) To determine the number of engines you must test from each 
selected engine family under Phase 1 testing, use the following 
criteria:
    (1) Start by measuring emissions from five engines using the 
procedures described in Sec.  86.1375. If all five engines comply fully 
with the vehicle-pass criteria in Sec.  86.1912 for all pollutants, you 
may stop testing. This completes your testing requirements under this 
subpart for the applicable calendar year for that engine family.
    (2) If one of the engines tested under paragraph (a)(1) of this 
section fails to comply fully with the vehicle-pass criteria in Sec.  
86.1912 for one or more pollutants, test one more engine. If this 
additional engine complies fully with the vehicle-pass criteria in Sec.  
86.1912 for all pollutants, you may stop testing. This completes your 
testing requirements under this subpart for the applicable calendar year 
for that engine family.
    (3) If your testing results under paragraphs (a)(1) and (2) of this 
section do not satisfy the criteria for completing your testing 
requirements under those paragraphs for all pollutants, test four 
additional engines so you have tested a total of ten engines.
    (4) An engine that fails to fully comply with the vehicle-pass 
criteria in Sec.  86.1912 for any pollutant does not comply with the 
vehicle-pass criteria in Sec.  86.1912 for the purposes of determining 
the number of engines to test from each selected engine family under 
this paragraph.
    (b) For situations where a total of ten engines must be tested under 
paragraph (a)(3) of this section, the results of Phase 1 testing lead to 
the following outcomes:
    (1) If at least eight of the ten engines comply fully with the 
vehicle-pass criteria in Sec.  86.1912 for all pollutants, you may stop 
testing. This completes your testing requirements under this subpart for 
the applicable calendar year for that engine family.
    (2) If six or seven vehicles from the Phase 1 sample of test 
vehicles comply fully with the vehicle-pass criteria in Sec.  86.1912 
for all pollutants, then you must engage in follow-up discussions with 
us to determine whether any further testing (including Phase 2 testing), 
data submissions, or other actions may be warranted.
    (3) If fewer than six of the ten engines tested under paragraph (a) 
of this section comply fully with the vehicle-pass criteria in Sec.  
86.1912 for all pollutants, we may require you to initiate Phase 2 
testing, as described in paragraph (c) of this section.
    (4) You may under any circumstances elect to conduct Phase 2 testing 
following the completion of Phase 1 testing. All the provisions of 
paragraph (c) of this section apply to this Phase 2 testing.
    (c) If you perform Phase 2 testing for any reason, test your engines 
as follows:
    (1) You must test ten additional engines using the test procedures 
described in Sec.  86.1375, unless we require you to test fewer 
vehicles.
    (2) We may give you any of the following additional directions in 
selecting and testing engines:
    (i) We may require you to select a certain subset of your engine 
family. This may include, for example, engines within a specific power 
range, engines used in particular applications, or engines installed in 
vehicles from a particular manufacturer.
    (ii) We may direct you to test engines in a way that simulates the 
type of driving and ambient conditions associated with high emissions 
experienced during Phase 1 testing.
    (iii) We may direct you to test engines in a specific state or any 
number of contiguous states.
    (iv) We may direct you to select engines from the same sources used 
for previous testing, or from different sources.
    (v) We may require that you complete your testing and reporting 
under Phase 2 within a certain period. This period may not be shorter 
than three

[[Page 1136]]

months and must allow a reasonable amount of time to identify and test 
enough vehicles. We would generally expect this testing to be completed 
within the overall time period specified in Sec.  86.1905(d).



Sec.  86.1917  How does in-use testing under this subpart relate to 
the emission-related warranty in Section 207(a)(1) of the Clean Air Act?

    (a) An exceedance of the NTE found through the in-use testing 
program under this subpart is not by itself sufficient to show a breach 
of warranty under Clean Air Act section 207(a)(1) (42 U.S.C. 
7541(a)(1)). A breach of warranty would also require one of the 
following things:
    (1) That, at the time of sale, the engine or vehicle was designed, 
built, and equipped in a manner that does not conform in all material 
respects reasonably related to emission controls to the engine as 
described in the application for certification and covered by the 
certificate; or
    (2) A defect in materials or workmanship of a component causes the 
vehicle or engine to fail to conform to the applicable regulations for 
its useful life.
    (b) To the extent that in-use NTE testing does not reveal such a 
material deficiency at the time of sale in the design or manufacture of 
an engine compared with the certified engine, or a defect in the 
materials and workmanship of a component or part, test results showing 
an exceedance of the NTE by itself would not show a breach of the 
warranty under 42 U.S.C. 7541(a)(1).



Sec.  86.1920  What in-use testing information must I report to EPA?

    (a) Send us electronic reports at [email protected] using an approved 
information format. If you want to use a different format, send us a 
written request with justification.
    (b) Within 45 days after the end of each calendar quarter, send us 
reports containing the test data from each engine for which testing was 
completed during the calendar quarter. Alternatively, you may separately 
send us the test data within 30 days after you complete testing for an 
engine. If you request it, we may allow additional time to send us this 
information. Once you send us information under this section, you need 
not send that information again in later reports. Prepare your test 
reports as follows:
    (1) For each engine family, describe how you recruited vehicles. 
Describe how you used any criteria or thresholds to narrow your search 
or to screen individual vehicles.
    (2) Include a summary of the candidate vehicles you have rejected 
and the reasons you rejected them, whether you base the rejection on the 
criteria in Sec.  86.1908(a) or anything else. If you rejected a 
candidate vehicle due to misfueling, included the results of any fuel 
sample tests.
    (3) For the test vehicle, include the following background 
information:
    (i) The EPA engine-family designation, and the engine's model 
number, total displacement, and power rating.
    (ii) The applicable test phase (Phase 1 or Phase 2).
    (iii) The date EPA selected the engine family for testing.
    (iv) The vehicle's make and model and the year it was built.
    (v) The vehicle identification number and engine serial number.
    (vi) The vehicle's type or application (such as delivery, line haul, 
or dump truck). Also, identify the type of trailer, if applicable.
    (vii) The vehicle's maintenance and use history.
    (viii) The known status history of the vehicle's OBD system and any 
actions the owner or operator took to address OBD trouble codes or MIL 
illumination over the vehicle's lifetime.
    (ix) Any OBD codes or MIL illumination that occur after you accept 
the vehicle for in-use testing under this subpart.
    (x) Any steps you take to maintain, adjust, modify, or repair the 
vehicle or its engine to prepare for or continue testing, including 
actions to address OBD trouble codes or MIL illumination. Include any 
steps you took to drain and refill the vehicle's fuel tank(s) to correct 
misfueling, and the results of any fuel test conducted to identify 
misfueling.
    (4) For each test, include the following data and measurements:
    (i) The date and time of testing, and the test number.

[[Page 1137]]

    (ii) Shift-days of testing (see Sec.  86.1910 (g)), duration of 
testing, and the total hours of non-idle operation.
    (iii) Route and location of testing. You may base this description 
on the output from a global-positioning system.
    (iv) The steps you took to ensure that vehicle operation during 
testing was consistent with normal operation and use, as described in 
Sec.  86.1910(e).
    (v) Fuel test results, if fuel was tested under Sec.  86.1908 or 
Sec.  86.1910.
    (vi) The vehicle's mileage at the start of the test. Include the 
engine's total lifetime hours of operation, if available.
    (vii) Ambient temperature, dewpoint, and atmospheric pressure at the 
start and finish of each valid NTE event.
    (viii) The number of valid NTE events (see Sec.  86.1912(b)).
    (ix) Average emissions for each pollutant over each valid NTE event. 
Describe the method you used to determine NMHC as specified in 40 CFR 
part 1065, subpart J. See appendix I of this subpart for an example of 
graphically summarizing NTE emission results.
    (x) Exhaust-flow measurements.
    (xi) Vehicle-pass ratios (see Sec.  86.1912(d)).
    (xii) Recorded one-hertz test data, including, but not limited to, 
the following parameters:
    (A) Ambient temperature.
    (B) Ambient pressure.
    (C) Ambient humidity.
    (D) Altitude.
    (E) Emissions of THC, NMHC, CO, CO2 or O2, and 
NOX (as appropriate). Report results for PM if it was 
measured in a manner that provides one-hertz test data. Report results 
for CH4 if it was measured and used to determine NMHC.
    (F) Differential back-pressure of any PEMS attachments to vehicle 
exhaust.
    (G) Exhaust flow.
    (H) Exhaust aftertreatment temperatures, if the engine meets the 
specifications of Sec.  86.1370-2007(g).
    (I) Engine speed.
    (J) Engine brake torque.
    (K) Engine coolant temperature.
    (L) Intake manifold temperature.
    (M) Intake manifold pressure.
    (N) Throttle position.
    (O) Any parameter sensed or controlled in order to modulate the 
emission-control system or fuel-injection timing.
    (5) For each engine family, identify the applicable requirements, as 
follows:
    (i) The applicable NTE thresholds.
    (ii) Vehicle and engine information needed to identify the limited 
testing regions under Sec.  86.1370-2007(b)(6) and (7).
    (iii) Vehicle and engine information needed to identify any approved 
NTE deficiencies under Sec.  86.007-11(a)(4)(iv).
    (6) Include the following summary information after you complete 
testing with the engine:
    (i) State whether the engine meets the vehicle-pass criteria in 
Sec.  86.1912(f).
    (ii) Identify how many engines you have tested from the applicable 
engine family and how many engines still need to be tested.
    (iii) Identify how many engines from an engine family have passed 
the vehicle-pass criteria and the number that have failed the vehicle-
pass criteria (see Sec.  86.1912(f)).
    (iv) If possible, state the outcome of Phase 1 testing for the 
engine family based on the criteria in Sec.  86.1915(b).
    (c) In your reports under this section, you must do all the 
following:
    (1) Include results from all emission testing required under this 
subpart.
    (2) Describe if any testing or evaluations were conducted to 
determine why a vehicle failed the vehicle-pass criteria in Sec.  
86.1912.
    (3) Describe the purpose of any diagnostic procedures you conduct.
    (4) Describe any instances in which the OBD system illuminated the 
MIL or set trouble codes. Also describe any approved actions taken to 
address the trouble codes or MIL.
    (5) Describe any instances of misfueling, the approved actions taken 
to address the problem, and the results of any associated fuel sample 
testing.
    (6) Describe any incomplete or invalid tests that were conducted 
under this subpart.
    (d) Send us an electronic notification at [email protected] describing 
any voluntary vehicle/engine emission evaluation testing you intend to 
conduct with portable in-use measurement systems on the same engine 
families that are

[[Page 1138]]

being tested under this subpart, from the time that engine family was 
selected for in-use testing under Sec.  86.1905 until the final results 
of all testing for that engine family are reported to us under this 
section.
    (e) Send us an electronic notification at application-
[email protected] within 15 days after your initial review of the test 
data for a selected engine family indicates that three engines in Phase 
1 testing have failed to comply with the vehicle-pass criteria. 
Similarly, send us an electronic notification at the above electronic 
address within 3 days after your initial review of the test data for a 
selected engine family indicates that any engine in Phase 2 testing 
failed to comply with the vehicle-pass criteria.
    (f) We may ask you to send us less information in your reports than 
we specify in this section.
    (g) We may require you to send us more information to evaluate 
whether your engine family meets the requirements of this part, or to 
help inform potential decisions concerning Phase 2 testing under Sec.  
86.1915.

[70 FR 34619, June 14, 2005, as amended at 75 FR 68460, Nov. 8, 2010; 81 
FR 73999, Oct. 25, 2016]



Sec.  86.1925  What records must I keep?

    (a) Organize and maintain your records as described in this section. 
We may review your records at any time, so it is important to keep 
required information readily available.
    (b) Keep the following paper or electronic records of your in-use 
testing for five years after you complete all the testing required for 
an engine family:
    (1) Keep a copy of the reports described in Sec.  86.1920.
    (2) Keep any additional records, including forms you create, related 
to any of the following:
    (i) The procurement and vehicle-selection process described in Sec.  
86.1908, including the vehicle owner's name, address, phone number, and 
e-mail address.
    (ii) Pre-test maintenance and adjustments to the engine performed 
under Sec.  86.1910.
    (iii) Test results for all void, incomplete, and voluntary testing 
described in Sec.  86.1920.
    (iv) Evaluations to determine why a vehicle failed the vehicle-pass 
criteria described in Sec.  86.1912.
    (3) Keep a copy of the relevant calibration results required by 40 
CFR part 1065.



Sec.  86.1930  What special provisions apply from 2005 through 2010?

    (a) We may direct you to test engines under this subpart for 
emissions other than PM in 2005 and 2006, and for PM emissions in 2007 
through 2010. In those interim periods, all the provisions of this 
subpart apply, except as specified in this paragraph (a). You may apply 
the exceptions identified in this section for both years of the 
applicable years for emissions other than PM. You may omit testing and 
reporting in two of the four applicable years for PM emissions.
    (1) We will select engine families for testing of emissions other 
than PM only when the manufacturer's Statement of Compliance 
specifically describes the family as being designed to comply with NTE 
requirements.
    (2) We will not direct you to do the Phase 2 testing in Sec.  
86.1915(c), regardless of measured emission levels.
    (3) For purposes of calculating the NTE thresholds under Sec.  
86.1912(a) for any 2006 and earlier model year engine that is not 
subject to the emission standards in Sec.  86.007-11, determine the 
applicable NTE standards as follows:
    (i) If any numerical NTE requirements specified in the terms of any 
consent decree apply to the engine family, use those values as the NTE 
standards for testing under this subpart.
    (ii) If a numerical NTE requirement is not specified in a consent 
decree for the engine family, the NTE standards are 1.25 times the 
applicable FELs or the applicable emission standards specified in Sec.  
86.004-11(a)(1) or Sec.  86.098-11(a)(1).
    (4) In the report required in Sec.  86.1920(b), you must submit the 
deficiencies and limited testing region reports (see Sec. Sec.  86.007-
11(a)(4)(iv) and 86.1370-2007(b)(6) and (7)) for 2006 and earlier model 
year engines tested under this section.
    (5) You must notify the Designated Compliance Officer by September 
30,

[[Page 1139]]

2010 whether or not you will submit test reports for PM emissions for 
each of the four years from 2007 through 2010. See 40 CFR 1068.30 for 
the contact information for the Designated Compliance Officer.
    (6) You must submit reports by the deadlines specified in paragraph 
(b) of this section.
    (b) The following deadlines apply for reporting test results under 
this subpart:
    (1) You must complete all the required testing and reporting under 
this subpart related to emissions other than PM by the following dates:
    (i) November 30, 2007 for engine families that we designate for 
testing in 2005.
    (ii) November 30, 2008 for engine families that we designate for 
testing in 2006.
    (iii) November 30, 2009 for engine families that we designate for 
testing in 2007.
    (iv) March 31, 2010 for engine families we designate for testing in 
2008.
    (v) April 30, 2011 for engine families we designate for testing in 
2009.
    (2) You must complete all the required testing and reporting under 
this subpart related to PM emissions by the following dates:
    (i) May 31, 2010 for engine families that we designate for testing 
in 2007.
    (ii) September 30, 2010 for engine families we designate for testing 
in 2008.
    (iii) April 30, 2011 for engine families we designate for testing in 
2009.
    (iv) November 30, 2011 for engine families we designate for testing 
in 2009.
    (c) For 2007 through 2009 all the provisions of this subpart and 
paragraph (a) of this section apply, with the following additional 
exceptions:
    (1) You must complete all the required testing and reporting under 
this subpart by the following dates:
    (i) November 30, 2009 for engine families that we designate for non-
PM testing in 2007.
    (ii) March 31, 2010 for engine families that we designate for non-PM 
testing in 2008.
    (iii) April 30, 2011 for engine families that we designate for non-
PM testing in 2009.
    (2) You may conduct non-PM and PM testing on different vehicles for 
engine families that we designate in 2007 and 2008.
    (3) You may conduct PM testing as follows for 2007:
    (i) Test vehicles may be selected from a vehicle fleet that you own 
or otherwise directly control.
    (ii) Test vehicles may be operated by a driver that you employ.
    (iii) Each test vehicle must be operated on a route and under 
operating conditions that reasonably replicate the use of the selected 
vehicle type when operated in typical revenue service, unless otherwise 
approved by us.

[70 FR 34619, June 14, 2005, as amended at 73 FR 13451, Mar. 13, 2008; 
75 FR 68460, Nov. 8, 2010]



Sec. Appendix I to Subpart T of Part 86--Sample Graphical Summary of NTE 
                            Emission Results

    The following figure shows an example of a graphical summary of NTE 
emission results:

[[Page 1140]]

[GRAPHIC] [TIFF OMITTED] TR14JN05.002



Sec. Sec.  86.1931-86.1999  [Reserved]



            Sec. Appendix I to Part 86--Dynamometer Schedules

    (a) EPA light-duty urban dynamometer driving schedule (UDDS). This 
driving schedule is also known as the LA-4 cycle.
    (1) The driving schedule in this paragraph (a) applies for light-
duty vehicles, light-duty trucks, and heavy-duty vehicles certified 
under subpart S of this part.
    (2) The driving schedule in this paragraph (a) applies for 
motorcycles with engine displacement at or above 170 cc. Calculate the 
speed-versus-time sequence in kilometers per hour by multiplying the 
listed speed by 1.6 and rounding to the nearest 0.1 kilometers per hour.
    (3) The driving schedule follows:

                                              EPA Urban Dynamometer
                                                Driving Schedule
                                          [Speed versus Time Sequence]
----------------------------------------------------------------------------------------------------------------
                                       Speed                             Speed                            Speed
            Time (sec.)              (m.p.h.)        Time (sec.)       (m.p.h.)       Time (sec.)       (m.p.h.)
----------------------------------------------------------------------------------------------------------------
0..................................       0.0  1.....................       0.0  2....................       0.0
3..................................       0.0  4.....................       0.0  5....................       0.0
6..................................       0.0  7.....................       0.0  8....................       0.0
9..................................       0.0  10....................       0.0  11...................       0.0
12.................................       0.0  13....................       0.0  14...................       0.0
15.................................       0.0  16....................       0.0  17...................       0.0
18.................................       0.0  19....................       0.0  20...................       0.0
21.................................       3.0  22....................       5.9  23...................       8.6
24.................................      11.5  25....................      14.3  26...................      16.9
27.................................      17.3  28....................      18.1  29...................      20.7
30.................................      21.7  31....................      22.4  32...................      22.5
33.................................      22.1  34....................      21.5  35...................      20.9
36.................................      20.4  37....................      19.8  38...................      17.0
39.................................      14.9  40....................      14.9  41...................      15.2
42.................................      15.5  43....................      16.0  44...................      17.1
45.................................      19.1  46....................      21.1  47...................      22.7
48.................................      22.9  49....................      22.7  50...................      22.6
51.................................      21.3  52....................      19.0  53...................      17.1
54.................................      15.8  55....................      15.8  56...................      17.7
57.................................      19.8  58....................      21.6  59...................      23.2
60.................................      24.2  61....................      24.6  62...................      24.9
63.................................      25.0  64....................      24.6  65...................      24.5
66.................................      24.7  67....................      24.8  68...................      24.7

[[Page 1141]]

 
69.................................      24.6  70....................      24.6  71...................      25.1
72.................................      25.6  73....................      25.7  74...................      25.4
75.................................      24.9  76....................      25.0  77...................      25.4
78.................................      26.0  79....................      26.0  80...................      25.7
81.................................      26.1  82....................      26.7  83...................      27.5
84.................................      28.6  85....................      29.3  86...................      29.8
87.................................      30.1  88....................      30.4  89...................      30.7
90.................................      30.7  91....................      30.5  92...................      30.4
93.................................      30.3  94....................      30.4  95...................      30.8
96.................................      30.4  97....................      29.9  98...................      29.5
99.................................      29.8  100...................      30.3  101..................      30.7
102................................      30.9  103...................      31.0  104..................      30.9
105................................      30.4  106...................      29.8  107..................      29.9
108................................      30.2  109...................      30.7  110..................      31.2
111................................      31.8  112...................      32.2  113..................      32.4
114................................      32.2  115...................      31.7  116..................      28.6
117................................      25.3  118...................      22.0  119..................      18.7
120................................      15.4  121...................      12.1  122..................       8.8
123................................       5.5  124...................       2.2  125..................       0.0
126................................       0.0  127...................       0.0  128..................       0.0
129................................       0.0  130...................       0.0  131..................       0.0
132................................       0.0  133...................       0.0  134..................       0.0
135................................       0.0  136...................       0.0  137..................       0.0
138................................       0.0  139...................       0.0  140..................       0.0
141................................       0.0  142...................       0.0  143..................       0.0
144................................       0.0  145...................       0.0  146..................       0.0
147................................       0.0  148...................       0.0  149..................       0.0
150................................       0.0  151...................       0.0  152..................       0.0
153................................       0.0  154...................       0.0  155..................       0.0
156................................       0.0  157...................       0.0  158..................       0.0
159................................       0.0  160...................       0.0  161..................       0.0
162................................       0.0  163...................       0.0  164..................       3.3
165................................       6.6  166...................       9.9  167..................      13.2
168................................      16.5  169...................      19.8  170..................      22.2
171................................      24.3  172...................      25.8  173..................      26.4
174................................      25.7  175...................      25.1  176..................      24.7
177................................      25.0  178...................      25.2  179..................      25.4
180................................      25.8  181...................      27.2  182..................      26.5
183................................      24.0  184...................      22.7  185..................      19.4
186................................      17.7  187...................      17.2  188..................      18.1
189................................      18.6  190...................      20.0  191..................      22.2
192................................      24.5  193...................      27.3  194..................      30.5
195................................      33.5  196...................      36.2  197..................      37.3
198................................      39.3  199...................      40.5  200..................      42.1
201................................      43.5  202...................      45.1  203..................      46.0
204................................      46.8  205...................      47.5  206..................      47.5
207................................      47.3  208...................      47.2  209..................      47.0
210................................      47.0  211...................      47.0  212..................      47.0
213................................      47.0  214...................      47.2  215..................      47.4
216................................      47.9  217...................      48.5  218..................      49.1
219................................      49.5  220...................      50.0  221..................      50.6
222................................      51.0  223...................      51.5  224..................      52.2
225................................      53.2  226...................      54.1  227..................      54.6
228................................      54.9  229...................      55.0  230..................      54.9
231................................      54.6  232...................      54.6  233..................      54.8
234................................      55.1  235...................      55.5  236..................      55.7
237................................      56.1  238...................      56.3  239..................      56.6
240................................      56.7  241...................      56.7  242..................      56.5
243................................      56.5  244...................      56.5  245..................      56.5
246................................      56.5  247...................      56.5  248..................      56.4
249................................      56.1  250...................      55.8  251..................      55.1
252................................      54.6  253...................      54.2  254..................      54.0
255................................      53.7  256...................      53.6  257..................      53.9
258................................      54.0  259...................      54.1  260..................      54.1
261................................      53.8  262...................      53.4  263..................      53.0
264................................      52.6  265...................      52.1  266..................      52.4
267................................      52.0  268...................      51.9  269..................      51.7
270................................      51.5  271...................      51.6  272..................      51.8
273................................      52.1  274...................      52.5  275..................      53.0
276................................      53.5  277...................      54.0  278..................      54.9
279................................      55.4  280...................      55.6  281..................      56.0
282................................      56.0  283...................      55.8  284..................      55.2
285................................      54.5  286...................      53.6  287..................      52.5
288................................      51.5  289...................      51.5  290..................      51.5
291................................      51.1  292...................      50.1  293..................      50.0
294................................      50.1  295...................      50.0  296..................      49.6
297................................      49.5  298...................      49.5  299..................      49.5
300................................      49.1  301...................      48.6  302..................      48.1
303................................      47.2  304...................      46.1  305..................      45.0
306................................      43.8  307...................      42.6  308..................      41.5
309................................      40.3  310...................      38.5  311..................      37.0
312................................      35.2  313...................      33.8  314..................      32.5
315................................      31.5  316...................      30.6  317..................      30.5
318................................      30.0  319...................      29.0  320..................      27.5
321................................      24.8  322...................      21.5  323..................      20.1
324................................      19.1  325...................      18.5  326..................      17.0
327................................      15.5  328...................      12.5  329..................      10.8
330................................       8.0  331...................       4.7  332..................       1.4
333................................       0.0  334...................       0.0  335..................       0.0
336................................       0.0  337...................       0.0  338..................       0.0
339................................       0.0  340...................       0.0  341..................       0.0
342................................       0.0  343...................       0.0  344..................       0.0
345................................       0.0  346...................       0.0  347..................       1.0
348................................       4.3  349...................       7.6  350..................      10.9
351................................      14.2  352...................      17.3  353..................      20.0
354................................      22.5  355...................      23.7  356..................      25.2
357................................      26.6  358...................      28.1  359..................      30.0
360................................      30.8  361...................      31.6  362..................      32.1
363................................      32.8  364...................      33.6  365..................      34.5
366................................      34.6  367...................      34.9  368..................      34.8
369................................      34.5  370...................      34.7  371..................      35.5
372................................      36.0  373...................      36.0  374..................      36.0
375................................      36.0  376...................      36.0  377..................      36.0
378................................      36.1  379...................      36.4  380..................      36.5
381................................      36.4  382...................      36.0  383..................      35.1
384................................      34.1  385...................      33.5  386..................      31.4
387................................      29.0  388...................      25.7  389..................      23.0
390................................      20.3  391...................      17.5  392..................      14.5
393................................      12.0  394...................       8.7  395..................       5.4
396................................       2.1  397...................       0.0  398..................       0.0
399................................       0.0  400...................       0.0  401..................       0.0
402................................       0.0  403...................       2.6  404..................       5.9
405................................       9.2  406...................      12.5  407..................      15.8
408................................      19.1  409...................      22.4  410..................      25.0
411................................      25.6  412...................      27.5  413..................      29.0
414................................      30.0  415...................      30.1  416..................      30.0
417................................      29.7  418...................      29.3  419..................      28.8
420................................      28.0  421...................      25.0  422..................      21.7
423................................      18.4  424...................      15.1  425..................      11.8
426................................       8.5  427...................       5.2  428..................       1.9
429................................       0.0  430...................       0.0  431..................       0.0
432................................       0.0  433...................       0.0  434..................       0.0
435................................       0.0  436...................       0.0  437..................       0.0
438................................       0.0  439...................       0.0  440..................       0.0
441................................       0.0  442...................       0.0  443..................       0.0
444................................       0.0  445...................       0.0  446..................       0.0
447................................       0.0  448...................       3.3  449..................       6.6
450................................       9.9  451...................      13.2  452..................      16.5
453................................      19.8  454...................      23.1  455..................      26.4
456................................      27.8  457...................      29.1  458..................      31.5
459................................      33.0  460...................      33.6  461..................      34.8
462................................      35.1  463...................      35.6  464..................      36.1
465................................      36.0  466...................      36.1  467..................      36.2
468................................      36.0  469...................      35.7  470..................      36.0
471................................      36.0  472...................      35.6  473..................      35.5
474................................      35.4  475...................      35.2  476..................      35.2
477................................      35.2  478...................      35.2  479..................      35.2
480................................      35.2  481...................      35.0  482..................      35.1

[[Page 1142]]

 
483................................      35.2  484...................      35.5  485..................      35.2
486................................      35.0  487...................      35.0  488..................      35.0
489................................      34.8  490...................      34.6  491..................      34.5
492................................      33.5  493...................      32.0  494..................      30.1
495................................      28.0  496...................      25.5  497..................      22.5
498................................      19.8  499...................      16.5  500..................      13.2
501................................      10.3  502...................       7.2  503..................       4.0
504................................       1.0  505...................       0.0  506..................       0.0
507................................       0.0  508...................       0.0  509..................       0.0
510................................       0.0  511...................       1.2  512..................       3.5
513................................       5.5  514...................       6.5  515..................       8.5
516................................       9.6  517...................      10.5  518..................      11.9
519................................      14.0  520...................      16.0  521..................      17.7
522................................      19.0  523...................      20.1  524..................      21.0
525................................      22.0  526...................      23.0  527..................      23.8
528................................      24.5  529...................      24.9  530..................      25.0
531................................      25.0  532...................      25.0  533..................      25.0
534................................      25.0  535...................      25.0  536..................      25.6
537................................      25.8  538...................      26.0  539..................      25.6
540................................      25.2  541...................      25.0  542..................      25.0
543................................      25.0  544...................      24.4  545..................      23.1
546................................      19.8  547...................      16.5  548..................      13.2
549................................       9.9  550...................       6.6  551..................       3.3
552................................       0.0  553...................       0.0  554..................       0.0
555................................       0.0  556...................       0.0  557..................       0.0
558................................       0.0  559...................       0.0  560..................       0.0
561................................       0.0  562...................       0.0  563..................       0.0
564................................       0.0  565...................       0.0  566..................       0.0
567................................       0.0  568...................       0.0  569..................       3.3
570................................       6.6  571...................       9.9  572..................      13.0
573................................      14.6  574...................      16.0  575..................      17.0
576................................      17.0  577...................      17.0  578..................      17.5
579................................      17.7  580...................      17.7  581..................      17.5
582................................      17.0  583...................      16.9  584..................      16.6
585................................      17.0  586...................      17.1  587..................      17.0
588................................      16.6  589...................      16.5  590..................      16.5
591................................      16.6  592...................      17.0  593..................      17.6
594................................      18.5  595...................      19.2  596..................      20.2
597................................      21.0  598...................      21.1  599..................      21.2
600................................      21.6  601...................      22.0  602..................      22.4
603................................      22.5  604...................      22.5  605..................      22.5
606................................      22.7  607...................      23.7  608..................      25.1
609................................      26.0  610...................      26.5  611..................      27.0
612................................      26.1  613...................      22.8  614..................      19.5
615................................      16.2  616...................      12.9  617..................       9.6
618................................       6.3  619...................       3.0  620..................       0.0
621................................       0.0  622...................       0.0  623..................       0.0
624................................       0.0  625...................       0.0  626..................       0.0
627................................       0.0  628...................       0.0  629..................       0.0
630................................       0.0  631...................       0.0  632..................       0.0
633................................       0.0  634...................       0.0  635..................       0.0
636................................       0.0  637...................       0.0  638..................       0.0
639................................       0.0  640...................       0.0  641..................       0.0
642................................       0.0  643...................       0.0  644..................       0.0
645................................       0.0  646...................       2.0  647..................       4.5
648................................       7.8  649...................      10.2  650..................      12.5
651................................      14.0  652...................      15.3  653..................      17.5
654................................      19.6  655...................      21.0  656..................      22.2
657................................      23.3  658...................      24.5  659..................      25.3
660................................      25.6  661...................      26.0  662..................      26.1
663................................      26.2  664...................      26.2  665..................      26.4
666................................      26.5  667...................      26.5  668..................      26.0
669................................      25.5  670...................      23.6  671..................      21.4
672................................      18.5  673...................      16.4  674..................      14.5
675................................      11.6  676...................       8.7  677..................       5.8
678................................       3.5  679...................       2.0  680..................       0.0
681................................       0.0  682...................       0.0  683..................       0.0
684................................       0.0  685...................       0.0  686..................       0.0
687................................       0.0  688...................       0.0  689..................       0.0
690................................       0.0  691...................       0.0  692..................       0.0
693................................       0.0  694...................       1.4  695..................       3.3
696................................       4.4  697...................       6.5  698..................       9.2
699................................      11.3  700...................      13.5  701..................      14.6
702................................      16.4  703...................      16.7  704..................      16.5
705................................      16.5  706...................      18.2  707..................      19.2
708................................      20.1  709...................      21.5  710..................      22.5
711................................      22.5  712...................      22.1  713..................      22.7
714................................      23.3  715...................      23.5  716..................      22.5
717................................      21.6  718...................      20.5  719..................      18.0
720................................      15.0  721...................      12.0  722..................       9.0
723................................       6.2  724...................       4.5  725..................       3.0
726................................       2.1  727...................       0.5  728..................       0.5
729................................       3.2  730...................       6.5  731..................       9.6
732................................      12.5  733...................      14.0  734..................      16.0
735................................      18.0  736...................      19.6  737..................      21.5
738................................      23.1  739...................      24.5  740..................      25.5
741................................      26.5  742...................      27.1  743..................      27.6
744................................      27.9  745...................      28.3  746..................      28.6
747................................      28.6  748...................      28.3  749..................      28.2
750................................      28.0  751...................      27.5  752..................      26.8
753................................      25.5  754...................      23.5  755..................      21.5
756................................      19.0  757...................      16.5  758..................      14.9
759................................      12.5  760...................       9.4  761..................       6.2
762................................       3.0  763...................       1.5  764..................       1.5
765................................       0.5  766...................       0.0  767..................       3.0
768................................       6.3  769...................       9.6  770..................      12.9
771................................      15.8  772...................      17.5  773..................      18.4
774................................      19.5  775...................      20.7  776..................      22.0
777................................      23.2  778...................      25.0  779..................      26.5
780................................      27.5  781...................      28.0  782..................      28.3
783................................      28.9  784...................      28.9  785..................      28.9
786................................      28.8  787...................      28.5  788..................      28.3
789................................      28.3  790...................      28.3  791..................      28.2
792................................      27.6  793...................      27.5  794..................      27.5
795................................      27.5  796...................      27.5  797..................      27.5
798................................      27.5  799...................      27.6  800..................      28.0
801................................      28.5  802...................      30.0  803..................      31.0
804................................      32.0  805...................      33.0  806..................      33.0
807................................      33.6  808...................      34.0  809..................      34.3
810................................      34.2  811...................      34.0  812..................      34.0
813................................      33.9  814...................      33.6  815..................      33.1
816................................      33.0  817...................      32.5  818..................      32.0
819................................      31.9  820...................      31.6  821..................      31.5
822................................      30.6  823...................      30.0  824..................      29.9
825................................      29.9  826...................      29.9  827..................      29.9
828................................      29.6  829...................      29.5  830..................      29.5
831................................      29.3  832...................      28.9  833..................      28.2
834................................      27.7  835...................      27.0  836..................      25.5
837................................      23.7  838...................      22.0  839..................      20.5
840................................      19.2  841...................      19.2  842..................      20.1
843................................      20.9  844...................      21.4  845..................      22.0
846................................      22.6  847...................      23.2  848..................      24.0
849................................      25.0  850...................      26.0  851..................      26.6
852................................      26.6  853...................      26.8  854..................      27.0
855................................      27.2  856...................      27.8  857..................      28.1
858................................      28.8  859...................      28.9  860..................      29.0
861................................      29.1  862...................      29.0  863..................      28.1
864................................      27.5  865...................      27.0  866..................      25.8
867................................      25.0  868...................      24.5  869..................      24.8
870................................      25.1  871...................      25.5  872..................      25.7
873................................      26.2  874...................      26.9  875..................      27.5
876................................      27.8  877...................      28.4  878..................      29.0
879................................      29.2  880...................      29.1  881..................      29.0
882................................      28.9  883...................      28.5  884..................      28.1
885................................      28.0  886...................      28.0  887..................      27.6
888................................      27.2  889...................      26.6  890..................      27.0
891................................      27.5  892...................      27.8  893..................      28.0
894................................      27.8  895...................      28.0  896..................      28.0

[[Page 1143]]

 
897................................      28.0  898...................      27.7  899..................      27.4
900................................      26.9  901...................      26.6  902..................      26.5
903................................      26.5  904...................      26.5  905..................      26.3
906................................      26.2  907...................      26.2  908..................      25.9
909................................      25.6  910...................      25.6  911..................      25.9
912................................      25.8  913...................      25.5  914..................      24.6
915................................      23.5  916...................      22.2  917..................      21.6
918................................      21.6  919...................      21.7  920..................      22.6
921................................      23.4  922...................      24.0  923..................      24.2
924................................      24.4  925...................      24.9  926..................      25.1
927................................      25.2  928...................      25.3  929..................      25.5
930................................      25.2  931...................      25.0  932..................      25.0
933................................      25.0  934...................      24.7  935..................      24.5
936................................      24.3  937...................      24.3  938..................      24.5
939................................      25.0  940...................      25.0  941..................      24.6
942................................      24.6  943...................      24.1  944..................      24.5
945................................      25.1  946...................      25.6  947..................      25.1
948................................      24.0  949...................      22.0  950..................      20.1
951................................      16.9  952...................      13.6  953..................      10.3
954................................       7.0  955...................       3.7  956..................       0.4
957................................       0.0  958...................       0.0  959..................       0.0
960................................       2.0  961...................       5.3  962..................       8.6
963................................      11.9  964...................      15.2  965..................      17.5
966................................      18.6  967...................      20.0  968..................      21.1
969................................      22.0  970...................      23.0  971..................      24.5
972................................      26.3  973...................      27.5  974..................      28.1
975................................      28.4  976...................      28.5  977..................      28.5
978................................      28.5  979...................      27.7  980..................      27.5
981................................      27.2  982...................      26.8  983..................      26.5
984................................      26.0  985...................      25.7  986..................      25.2
987................................      24.0  988...................      22.0  989..................      21.5
990................................      21.5  991...................      21.8  992..................      22.5
993................................      23.0  994...................      22.8  995..................      22.8
996................................      23.0  997...................      22.7  998..................      22.7
999................................      22.7  1000..................      23.5  1001.................      24.0
1002...............................      24.6  1003..................      24.8  1004.................      25.1
1005...............................      25.5  1006..................      25.6  1007.................      25.5
1008...............................      25.0  1009..................      24.1  1010.................      23.7
1011...............................      23.2  1012..................      22.9  1013.................      22.5
1014...............................      22.0  1015..................      21.6  1016.................      20.5
1017...............................      17.5  1018..................      14.2  1019.................      10.9
1020...............................       7.6  1021..................       4.3  1022.................       1.0
1023...............................       0.0  1024..................       0.0  1025.................       0.0
1026...............................       0.0  1027..................       0.0  1028.................       0.0
1029...............................       0.0  1030..................       0.0  1031.................       0.0
1032...............................       0.0  1033..................       0.0  1034.................       0.0
1035...............................       0.0  1036..................       0.0  1037.................       0.0
1038...............................       0.0  1039..................       0.0  1040.................       0.0
1041...............................       0.0  1042..................       0.0  1043.................       0.0
1044...............................       0.0  1045..................       0.0  1046.................       0.0
1047...............................       0.0  1048..................       0.0  1049.................       0.0
1050...............................       0.0  1051..................       0.0  1052.................       0.0
1053...............................       1.2  1054..................       4.0  1055.................       7.3
1056...............................      10.6  1057..................      13.9  1058.................      17.0
1059...............................      18.5  1060..................      20.0  1061.................      21.8
1062...............................      23.0  1063..................      24.0  1064.................      24.8
1065...............................      25.6  1066..................      26.5  1067.................      26.8
1068...............................      27.4  1069..................      27.9  1070.................      28.3
1071...............................      28.0  1072..................      27.5  1073.................      27.0
1074...............................      27.0  1075..................      26.3  1076.................      24.5
1077...............................      22.5  1078..................      21.5  1079.................      20.6
1080...............................      18.0  1081..................      15.0  1082.................      12.3
1083...............................      11.1  1084..................      10.6  1085.................      10.0
1086...............................       9.5  1087..................       9.1  1088.................       8.7
1089...............................       8.6  1090..................       8.8  1091.................       9.0
1092...............................       8.7  1093..................       8.6  1094.................       8.0
1095...............................       7.0  1096..................       5.0  1097.................       4.2
1098...............................       2.6  1099..................       1.0  1100.................       0.0
1101...............................       0.1  1102..................       0.6  1103.................       1.6
1104...............................       3.6  1105..................       6.9  1106.................      10.0
1107...............................      12.8  1108..................      14.0  1109.................      14.5
1110...............................      16.0  1111..................      18.1  1112.................      20.0
1113...............................      21.0  1114..................      21.2  1115.................      21.3
1116...............................      21.4  1117..................      21.7  1118.................      22.5
1119...............................      23.0  1120..................      23.8  1121.................      24.5
1122...............................      25.0  1123..................      24.9  1124.................      24.8
1125...............................      25.0  1126..................      25.4  1127.................      25.8
1128...............................      26.0  1129..................      26.4  1130.................      26.6
1131...............................      26.9  1132..................      27.0  1133.................      27.0
1134...............................      27.0  1135..................      26.9  1136.................      26.8
1137...............................      26.8  1138..................      26.5  1139.................      26.4
1140...............................      26.0  1141..................      25.5  1142.................      24.6
1143...............................      23.5  1144..................      21.5  1145.................      20.0
1146...............................      17.5  1147..................      16.0  1148.................      14.0
1149...............................      10.7  1150..................       7.4  1151.................       4.1
1152...............................       0.8  1153..................       0.0  1154.................       0.0
1155...............................       0.0  1156..................       0.0  1157.................       0.0
1158...............................       0.0  1159..................       0.0  1160.................       0.0
1161...............................       0.0  1162..................       0.0  1163.................       0.0
1164...............................       0.0  1165..................       0.0  1166.................       0.0
1167...............................       0.0  1168..................       0.0  1169.................       2.1
1170...............................       5.4  1171..................       8.7  1172.................      12.0
1173...............................      15.3  1174..................      18.6  1175.................      21.1
1176...............................      23.0  1177..................      23.5  1178.................      23.0
1179...............................      22.5  1180..................      20.0  1181.................      16.7
1182...............................      13.4  1183..................      10.1  1184.................       6.8
1185...............................       3.5  1186..................       0.2  1187.................       0.0
1188...............................       0.0  1189..................       0.0  1190.................       0.0
1191...............................       0.0  1192..................       0.0  1193.................       0.0
1194...............................       0.0  1195..................       0.0  1196.................       0.0
1197...............................       0.2  1198..................       1.5  1199.................       3.5
1200...............................       6.5  1201..................       9.8  1202.................      12.0
1203...............................      12.9  1204..................      13.0  1205.................      12.6
1206...............................      12.8  1207..................      13.1  1208.................      13.1
1209...............................      14.0  1210..................      15.5  1211.................      17.0
1212...............................      18.6  1213..................      19.7  1214.................      21.0
1215...............................      21.5  1216..................      21.8  1217.................      21.8
1318...............................      21.5  1219..................      21.2  1220.................      21.5
1221...............................      21.8  1222..................      22.0  1223.................      21.9
1224...............................      21.7  1225..................      21.5  1226.................      21.5
1227...............................      21.4  1228..................      20.1  1229.................      19.5
1230...............................      19.2  1231..................      19.6  1232.................      19.8
1233...............................      20.0  1234..................      19.5  1235.................      17.5
1236...............................      15.5  1237..................      13.0  1238.................      10.0
1239...............................       8.0  1240..................       6.0  1241.................       4.0
1242...............................       2.5  1243..................       0.7  1244.................       0.0
1245...............................       0.0  1246..................       0.0  1247.................       0.0
1248...............................       0.0  1249..................       0.0  1250.................       0.0
1251...............................       0.0  1252..................       1.0  1253.................       1.0
1254...............................       1.0  1255..................       1.0  1256.................       1.0
1257...............................       1.6  1258..................       3.0  1259.................       4.0
1260...............................       5.0  1261..................       6.3  1262.................       8.0
1263...............................      10.0  1264..................      10.5  1265.................       9.5
1266...............................       8.5  1267..................       7.6  1268.................       8.8
1269...............................      11.0  1270..................      14.0  1271.................      17.0
1272...............................      19.5  1273..................      21.0  1274.................      21.8
1275...............................      22.2  1276..................      23.0  1277.................      23.6
1278...............................      24.1  1279..................      24.5  1280.................      24.5
1281...............................      24.0  1282..................      23.5  1283.................      23.5
1284...............................      23.5  1285..................      23.5  1286.................      23.5
1287...............................      23.5  1288..................      24.0  1289.................      24.1
1290...............................      24.5  1291..................      24.7  1292.................      25.0
1293...............................      25.4  1294..................      25.6  1295.................      25.7
1296...............................      26.0  1297..................      26.2  1298.................      27.0
1299...............................      27.8  1300..................      28.3  1301.................      29.0
1302...............................      29.1  1303..................      29.0  1304.................      28.0
1305...............................      24.7  1306..................      21.4  1307.................      18.1
1308...............................      14.8  1309..................      11.5  1310.................       8.2

[[Page 1144]]

 
1311...............................       4.9  1312..................       1.6  1313.................       0.0
1314...............................       0.0  1315..................       0.0  1316.................       0.0
1317...............................       0.0  1318..................       0.0  1319.................       0.0
1320...............................       0.0  1321..................       0.0  1322.................       0.0
1323...............................       0.0  1324..................       0.0  1325.................       0.0
1326...............................       0.0  1327..................       0.0  1328.................       0.0
1329...............................       0.0  1330..................       0.0  1331.................       0.0
1332...............................       0.0  1333..................       0.0  1334.................       0.0
1335...............................       0.0  1336..................       0.0  1337.................       0.0
1338...............................       1.5  1339..................       4.8  1340.................       8.1
1341...............................      11.4  1342..................      13.2  1343.................      15.1
1344...............................      16.8  1345..................      18.3  1346.................      19.5
1347...............................      20.3  1348..................      21.3  1349.................      21.9
1350...............................      22.1  1351..................      22.4  1352.................      22.0
1353...............................      21.6  1354..................      21.1  1355.................      20.5
1356...............................      20.0  1357..................      19.6  1358.................      18.5
1359...............................      17.5  1360..................      16.5  1361.................      15.5
1362...............................      14.0  1363..................      11.0  1364.................       8.0
1365...............................       5.2  1366..................       2.5  1367.................       0.0
1368...............................       0.0  1369..................       0.0  1370.................       0.0
1371...............................       0.0  1372..................       0.0  .....................  ........
----------------------------------------------------------------------------------------------------------------

    The diagrams below show the range of acceptable speed tolerances for 
typical points. The curve on the left is typical of portions of the 
speed curve which are increasing or decreasing throughout the 2 second 
time interval. The curve on the right is typical of portions of the 
speed curve which include a maximum or minimum value.
[GRAPHIC] [TIFF OMITTED] TR06OC93.195

    (b) EPA driving schedule for motorcycles with engine displacement 
below 170 cc. Use the driving schedule specified in paragraph (a)(2) of 
this appendix, except that the schedule specified in this paragraph (b) 
applies for the portion of the driving schedule from 164 to 332 seconds.

                       Speed Versus Time Sequence
------------------------------------------------------------------------
                       Time (sec.)                          Speed (kph)
------------------------------------------------------------------------
164.....................................................             3.4
165.....................................................             6.8
166.....................................................            10.3
167.....................................................            13.7
168.....................................................            17.1
169.....................................................            20.5
170.....................................................            23.0
171.....................................................            25.2
172.....................................................            26.7
173.....................................................            27.4
174.....................................................            26.6
175.....................................................            26.0
176.....................................................            25.6
177.....................................................            25.9
178.....................................................            26.1
179.....................................................            26.3
180.....................................................            26.7
181.....................................................            28.2
182.....................................................            27.5
183.....................................................            24.9
184.....................................................            23.5
185.....................................................            20.1

[[Page 1145]]

 
186.....................................................            18.3
187.....................................................            17.8
188.....................................................            18.8
189.....................................................            19.3
190.....................................................            20.7
191.....................................................            23.0
192.....................................................            25.4
193.....................................................            28.3
194.....................................................            31.6
195.....................................................            34.7
196.....................................................            37.5
197.....................................................            38.6
198.....................................................            40.7
199.....................................................            42.0
200.....................................................            43.6
201.....................................................            45.1
202.....................................................            46.7
203.....................................................            47.7
204.....................................................            48.5
205.....................................................            49.2
206.....................................................            49.2
207.....................................................            49.0
208.....................................................            48.9
209.....................................................            48.7
210.....................................................            48.7
211.....................................................            48.7
212.....................................................            48.7
213.....................................................            48.7
214.....................................................            48.9
215.....................................................            49.1
216.....................................................            49.6
217.....................................................            50.2
218.....................................................            50.9
219.....................................................            51.3
220.....................................................            51.8
221.....................................................            52.4
222.....................................................            52.8
223.....................................................            53.4
224.....................................................            54.1
225.....................................................            55.1
226.....................................................            56.0
227.....................................................            56.6
228.....................................................            56.9
229.....................................................            57.0
230.....................................................            56.9
231.....................................................            56.6
232.....................................................            56.6
233.....................................................            56.8
234.....................................................            57.1
235.....................................................            57.5
236.....................................................            57.7
237.....................................................            58.1
238.....................................................            58.3
239.....................................................            58.6
240.....................................................            58.7
241.....................................................            58.7
242.....................................................            58.5
243.....................................................            58.5
244.....................................................            58.5
245.....................................................            58.5
246.....................................................            58.5
247.....................................................            58.5
248.....................................................            58.4
249.....................................................            58.1
250.....................................................            57.8
251.....................................................            57.1
252.....................................................            56.6
253.....................................................            56.2
254.....................................................            55.9
255.....................................................            55.6
256.....................................................            55.5
257.....................................................            55.8
258.....................................................            55.9
259.....................................................            56.0
260.....................................................            56.0
261.....................................................            55.7
262.....................................................            55.3
263.....................................................            54.9
264.....................................................            54.5
265.....................................................            54.0
266.....................................................            54.3
267.....................................................            53.9
268.....................................................            53.8
269.....................................................            53.6
270.....................................................            53.4
271.....................................................            53.5
272.....................................................            53.7
273.....................................................            54.0
274.....................................................            54.4
275.....................................................            54.9
276.....................................................            55.4
277.....................................................            55.9
278.....................................................            56.9
279.....................................................            57.4
280.....................................................            57.6
281.....................................................            58.0
282.....................................................            58.0
283.....................................................            57.8
284.....................................................            57.2
285.....................................................            56.5
286.....................................................            55.5
287.....................................................            54.4
288.....................................................            53.4
289.....................................................            53.4
290.....................................................            53.4
291.....................................................            52.9
292.....................................................            51.9
293.....................................................            51.8
294.....................................................            51.9
295.....................................................            51.8
296.....................................................            51.4
297.....................................................            51.3
298.....................................................            51.3
299.....................................................            51.3
300.....................................................            50.9
301.....................................................            50.3
302.....................................................            49.8
303.....................................................            48.9
304.....................................................            47.8
305.....................................................            46.6
306.....................................................            45.4
307.....................................................            44.1
308.....................................................            43.0
309.....................................................            41.8
310.....................................................            39.9
311.....................................................            38.3
312.....................................................            36.5
313.....................................................            35.0
314.....................................................            33.7
315.....................................................            32.6
316.....................................................            31.7
317.....................................................            31.6
318.....................................................            31.1
319.....................................................            30.0
320.....................................................            28.5
321.....................................................            25.7
322.....................................................            22.3
323.....................................................            20.8
324.....................................................            19.8
325.....................................................            19.2
326.....................................................            17.6
327.....................................................            16.1

[[Page 1146]]

 
328.....................................................            12.9
329.....................................................            11.2
330.....................................................             8.3
331.....................................................             4.9
332.....................................................             1.5
------------------------------------------------------------------------

    (c) EPA driving schedule for class 3 heavy-duty vehicles. This 
driving schedule is also known as the LA-92 cycle. The first 1,435 
seconds are the Hot LA-92 driving schedule.

------------------------------------------------------------------------
                       Time (sec.)                          Speed (mph)
------------------------------------------------------------------------
1.......................................................             0.0
2.......................................................             0.0
3.......................................................             0.0
4.......................................................             0.0
5.......................................................             0.0
6.......................................................             0.0
7.......................................................             0.0
8.......................................................             0.0
9.......................................................             0.0
10......................................................             0.0
11......................................................             0.0
12......................................................             0.0
13......................................................             0.0
14......................................................             0.0
15......................................................             0.0
16......................................................             0.0
17......................................................             0.0
18......................................................             0.0
19......................................................             0.0
20......................................................             0.0
21......................................................             1.2
22......................................................             4.2
23......................................................             7.3
24......................................................             8.8
25......................................................            10.8
26......................................................            12.3
27......................................................            13.1
28......................................................            12.3
29......................................................            12.3
30......................................................            11.5
31......................................................            11.5
32......................................................            11.1
33......................................................            11.1
34......................................................            11.1
35......................................................            13.1
36......................................................            15.0
37......................................................            16.9
38......................................................            16.9
39......................................................            16.1
40......................................................            15.7
41......................................................            15.4
42......................................................            15.0
43......................................................            13.8
44......................................................            10.8
45......................................................             8.4
46......................................................             6.1
47......................................................             4.2
48......................................................             3.5
49......................................................             3.5
50......................................................             1.5
51......................................................             0.0
52......................................................             0.0
53......................................................             0.0
54......................................................             0.0
55......................................................             0.0
56......................................................             0.0
57......................................................             0.0
58......................................................             0.0
59......................................................             0.0
60......................................................             0.0
61......................................................             0.0
62......................................................             0.0
63......................................................             1.2
64......................................................             3.5
65......................................................             7.7
66......................................................            11.1
67......................................................            13.8
68......................................................            16.5
69......................................................            18.4
70......................................................            20.4
71......................................................            20.7
72......................................................            19.6
73......................................................            17.3
74......................................................            12.3
75......................................................             8.1
76......................................................             6.1
77......................................................             9.6
78......................................................            12.7
79......................................................            15.7
80......................................................            18.0
81......................................................            20.4
82......................................................            21.9
83......................................................            23.4
84......................................................            23.8
85......................................................            24.6
86......................................................            25.0
87......................................................            26.1
88......................................................            26.1
89......................................................            26.9
90......................................................            26.9
91......................................................            26.9
92......................................................            26.5
93......................................................            25.7
94......................................................            21.9
95......................................................            16.5
96......................................................            10.0
97......................................................             4.6
98......................................................             1.5
99......................................................             0.4
100.....................................................             0.0
101.....................................................             0.0
102.....................................................             0.0
103.....................................................             0.0
104.....................................................             0.0
105.....................................................             0.0
106.....................................................             0.0
107.....................................................             0.0
108.....................................................             0.4
109.....................................................             1.2
110.....................................................             1.9
111.....................................................             3.8
112.....................................................             7.7
113.....................................................            11.5
114.....................................................            14.6
115.....................................................            18.0
116.....................................................            21.5
117.....................................................            25.0
118.....................................................            28.4
119.....................................................            30.7
120.....................................................            31.9
121.....................................................            32.3
122.....................................................            32.3
123.....................................................            31.9
124.....................................................            30.3
125.....................................................            28.0
126.....................................................            24.2
127.....................................................            20.0
128.....................................................            16.1
129.....................................................            11.5
130.....................................................             8.1

[[Page 1147]]

 
131.....................................................             5.0
132.....................................................             3.5
133.....................................................             1.9
134.....................................................             0.0
135.....................................................             0.0
136.....................................................             0.0
137.....................................................             0.0
138.....................................................             0.0
139.....................................................             0.0
140.....................................................             0.0
141.....................................................             0.0
142.....................................................             0.0
143.....................................................             1.5
144.....................................................             6.9
145.....................................................            12.7
146.....................................................            16.5
147.....................................................            20.0
148.....................................................            23.0
149.....................................................            25.7
150.....................................................            28.0
151.....................................................            30.7
152.....................................................            32.6
153.....................................................            34.2
154.....................................................            35.3
155.....................................................            36.9
156.....................................................            36.9
157.....................................................            37.2
158.....................................................            37.6
159.....................................................            37.6
160.....................................................            37.6
161.....................................................            37.2
162.....................................................            37.2
163.....................................................            36.9
164.....................................................            36.5
165.....................................................            36.5
166.....................................................            34.9
167.....................................................            33.4
168.....................................................            31.9
169.....................................................            29.2
170.....................................................            25.0
171.....................................................            25.0
172.....................................................            26.1
173.....................................................            27.6
174.....................................................            29.2
175.....................................................            31.1
176.....................................................            32.3
177.....................................................            34.2
178.....................................................            34.9
179.....................................................            35.7
180.....................................................            36.5
181.....................................................            36.9
182.....................................................            36.9
183.....................................................            37.2
184.....................................................            37.6
185.....................................................            37.2
186.....................................................            37.6
187.....................................................            38.0
188.....................................................            38.4
189.....................................................            39.2
190.....................................................            39.6
191.....................................................            39.9
192.....................................................            40.7
193.....................................................            40.3
194.....................................................            41.1
195.....................................................            41.1
196.....................................................            40.7
197.....................................................            31.9
198.....................................................            23.9
199.....................................................            15.9
200.....................................................             7.9
201.....................................................             2.7
202.....................................................             0.4
203.....................................................             0.4
204.....................................................             2.7
205.....................................................             3.8
206.....................................................             3.8
207.....................................................             1.5
208.....................................................             0.0
209.....................................................             0.0
210.....................................................             0.0
211.....................................................             0.0
212.....................................................             0.0
213.....................................................             0.0
214.....................................................             0.0
215.....................................................             0.0
216.....................................................             0.0
217.....................................................             0.0
218.....................................................             0.0
219.....................................................             0.0
220.....................................................             0.0
221.....................................................             0.0
222.....................................................             0.0
223.....................................................             0.0
224.....................................................             0.0
225.....................................................             0.0
226.....................................................             0.0
227.....................................................             0.0
228.....................................................             0.0
229.....................................................             0.0
230.....................................................             0.0
231.....................................................             0.0
232.....................................................             0.0
233.....................................................             0.0
234.....................................................             0.0
235.....................................................             0.0
236.....................................................             0.0
237.....................................................             0.0
238.....................................................             1.5
239.....................................................             5.0
240.....................................................             8.8
241.....................................................            11.5
242.....................................................            14.2
243.....................................................            15.4
244.....................................................            16.1
245.....................................................            16.1
246.....................................................            16.9
247.....................................................            16.5
248.....................................................            16.9
249.....................................................            18.0
250.....................................................            19.2
251.....................................................            20.4
252.....................................................            20.4
253.....................................................            21.1
254.....................................................            21.1
255.....................................................            22.3
256.....................................................            23.0
257.....................................................            23.8
258.....................................................            24.2
259.....................................................            24.6
260.....................................................            25.0
261.....................................................            25.7
262.....................................................            25.7
263.....................................................            26.5
264.....................................................            27.6
265.....................................................            28.4
266.....................................................            29.2
267.....................................................            30.3
268.....................................................            31.1
269.....................................................            31.1
270.....................................................            30.7
271.....................................................            31.1
272.....................................................            29.6
273.....................................................            29.2
274.....................................................            29.2
275.....................................................            28.8
276.....................................................            28.0

[[Page 1148]]

 
277.....................................................            23.0
278.....................................................            21.1
279.....................................................            21.5
280.....................................................            20.7
281.....................................................            20.7
282.....................................................            19.6
283.....................................................            16.5
284.....................................................            13.1
285.....................................................             9.6
286.....................................................             7.3
287.....................................................             3.8
288.....................................................             0.8
289.....................................................             0.0
290.....................................................             0.0
291.....................................................             0.0
292.....................................................             0.0
293.....................................................             0.0
294.....................................................             0.0
295.....................................................             0.0
296.....................................................             0.0
297.....................................................             0.0
298.....................................................             0.0
299.....................................................             0.0
300.....................................................             0.0
301.....................................................             0.0
302.....................................................             0.0
303.....................................................             0.0
304.....................................................             0.0
305.....................................................             0.0
306.....................................................             0.0
307.....................................................             0.0
308.....................................................             0.0
309.....................................................             0.0
310.....................................................             0.0
311.....................................................             0.0
312.....................................................             0.0
313.....................................................             0.4
314.....................................................             2.7
315.....................................................             7.3
316.....................................................            11.5
317.....................................................            15.4
318.....................................................            18.4
319.....................................................            20.7
320.....................................................            24.2
321.....................................................            26.9
322.....................................................            29.6
323.....................................................            31.1
324.....................................................            32.6
325.....................................................            33.8
326.....................................................            34.9
327.....................................................            36.9
328.....................................................            39.2
329.....................................................            41.1
330.....................................................            43.0
331.....................................................            43.8
332.....................................................            44.5
333.....................................................            45.3
334.....................................................            45.3
335.....................................................            44.9
336.....................................................            44.5
337.....................................................            43.8
338.....................................................            43.4
339.....................................................            42.6
340.....................................................            41.9
341.....................................................            41.5
342.....................................................            40.7
343.....................................................            40.3
344.....................................................            41.1
345.....................................................            41.5
346.....................................................            42.6
347.....................................................            43.4
348.....................................................            44.2
349.....................................................            44.9
350.....................................................            45.7
351.....................................................            46.5
352.....................................................            46.8
353.....................................................            47.2
354.....................................................            48.0
355.....................................................            47.6
356.....................................................            48.4
357.....................................................            48.0
358.....................................................            47.2
359.....................................................            46.1
360.....................................................            45.7
361.....................................................            44.9
362.....................................................            44.2
363.....................................................            43.8
364.....................................................            44.5
365.....................................................            44.9
366.....................................................            45.3
367.....................................................            46.5
368.....................................................            48.0
369.....................................................            48.8
370.....................................................            49.5
371.....................................................            49.9
372.....................................................            49.9
373.....................................................            49.9
374.....................................................            49.5
375.....................................................            49.5
376.....................................................            48.8
377.....................................................            48.8
378.....................................................            48.8
379.....................................................            48.4
380.....................................................            48.8
381.....................................................            49.5
382.....................................................            50.3
383.....................................................            50.7
384.....................................................            51.8
385.....................................................            52.6
386.....................................................            53.4
387.....................................................            54.1
388.....................................................            55.3
389.....................................................            55.3
390.....................................................            56.1
391.....................................................            56.4
392.....................................................            56.4
393.....................................................            56.4
394.....................................................            57.2
395.....................................................            56.8
396.....................................................            57.6
397.....................................................            57.6
398.....................................................            57.6
399.....................................................            58.0
400.....................................................            58.0
401.....................................................            58.4
402.....................................................            58.4
403.....................................................            58.8
404.....................................................            59.1
405.....................................................            58.8
406.....................................................            58.8
407.....................................................            58.0
408.....................................................            58.0
409.....................................................            57.6
410.....................................................            57.6
411.....................................................            57.6
412.....................................................            57.6
413.....................................................            57.6
414.....................................................            59.1
415.....................................................            59.5
416.....................................................            59.9
417.....................................................            60.3
418.....................................................            60.3
419.....................................................            61.1
420.....................................................            60.3
421.....................................................            59.9
422.....................................................            59.5

[[Page 1149]]

 
423.....................................................            59.1
424.....................................................            59.1
425.....................................................            59.5
426.....................................................            59.5
427.....................................................            59.5
428.....................................................            59.9
429.....................................................            60.3
430.....................................................            60.7
431.....................................................            60.7
432.....................................................            61.4
433.....................................................            61.8
434.....................................................            61.8
435.....................................................            61.8
436.....................................................            61.8
437.....................................................            61.1
438.....................................................            60.7
439.....................................................            60.3
440.....................................................            60.3
441.....................................................            60.3
442.....................................................            59.5
443.....................................................            58.8
444.....................................................            59.1
445.....................................................            58.8
446.....................................................            58.8
447.....................................................            58.8
448.....................................................            58.4
449.....................................................            58.0
450.....................................................            58.0
451.....................................................            58.0
452.....................................................            58.4
453.....................................................            59.1
454.....................................................            59.5
455.....................................................            59.9
456.....................................................            59.9
457.....................................................            60.3
458.....................................................            61.1
459.....................................................            61.1
460.....................................................            61.1
461.....................................................            61.4
462.....................................................            61.4
463.....................................................            61.1
464.....................................................            60.7
465.....................................................            59.9
466.....................................................            59.1
467.....................................................            59.1
468.....................................................            59.1
469.....................................................            59.9
470.....................................................            59.5
471.....................................................            59.9
472.....................................................            58.8
473.....................................................            58.0
474.....................................................            57.6
475.....................................................            56.8
476.....................................................            56.1
477.....................................................            55.3
478.....................................................            54.1
479.....................................................            52.6
480.....................................................            49.2
481.....................................................            46.1
482.....................................................            43.0
483.....................................................            37.2
484.....................................................            29.6
485.....................................................            21.5
486.....................................................            16.5
487.....................................................            15.7
488.....................................................            18.4
489.....................................................            21.5
490.....................................................            25.0
491.....................................................            27.3
492.....................................................            29.2
493.....................................................            30.7
494.....................................................            31.5
495.....................................................            31.1
496.....................................................            31.1
497.....................................................            30.3
498.....................................................            30.0
499.....................................................            30.0
500.....................................................            29.6
501.....................................................            30.0
502.....................................................            28.8
503.....................................................            28.8
504.....................................................            28.0
505.....................................................            28.4
506.....................................................            28.0
507.....................................................            28.4
508.....................................................            28.4
509.....................................................            28.8
510.....................................................            28.4
511.....................................................            28.4
512.....................................................            28.0
513.....................................................            26.5
514.....................................................            24.2
515.....................................................            22.7
516.....................................................            20.4
517.....................................................            17.7
518.....................................................            15.7
519.....................................................            13.1
520.....................................................            10.8
521.....................................................             8.4
522.....................................................             7.3
523.....................................................             5.0
524.....................................................             3.8
525.....................................................             3.5
526.....................................................             1.9
527.....................................................             0.8
528.....................................................             0.0
529.....................................................             0.0
530.....................................................             0.0
531.....................................................             0.8
532.....................................................             1.9
533.....................................................             3.8
534.....................................................             6.9
535.....................................................             9.6
536.....................................................            11.1
537.....................................................            11.1
538.....................................................            10.4
539.....................................................             8.8
540.....................................................             9.2
541.....................................................            10.0
542.....................................................            10.4
543.....................................................            10.4
544.....................................................             5.4
545.....................................................             1.9
546.....................................................             0.0
547.....................................................             0.0
548.....................................................             0.0
549.....................................................             0.0
550.....................................................             0.0
551.....................................................             0.0
552.....................................................             0.0
553.....................................................             0.0
554.....................................................             0.0
555.....................................................             0.0
556.....................................................             0.0
557.....................................................             0.0
558.....................................................             0.0
559.....................................................             0.0
560.....................................................             0.0
561.....................................................             0.0
562.....................................................             0.0
563.....................................................             0.0
564.....................................................             0.0
565.....................................................             0.0
566.....................................................             0.0
567.....................................................             0.0
568.....................................................             0.0

[[Page 1150]]

 
569.....................................................             0.0
570.....................................................             0.0
571.....................................................             0.0
572.....................................................             0.4
573.....................................................             1.5
574.....................................................             3.5
575.....................................................             6.1
576.....................................................            10.4
577.....................................................            14.2
578.....................................................            16.9
579.....................................................            19.2
580.....................................................            20.0
581.....................................................            21.5
582.....................................................            23.4
583.....................................................            24.6
584.....................................................            24.2
585.....................................................            20.0
586.....................................................            16.9
587.....................................................            13.4
588.....................................................            13.4
589.....................................................            15.7
590.....................................................            18.4
591.....................................................            21.1
592.....................................................            23.4
593.....................................................            25.3
594.....................................................            27.6
595.....................................................            28.8
596.....................................................            30.3
597.....................................................            30.7
598.....................................................            31.5
599.....................................................            31.1
600.....................................................            31.1
601.....................................................            30.3
602.....................................................            30.3
603.....................................................            30.3
604.....................................................            30.7
605.....................................................            31.1
606.....................................................            32.3
607.....................................................            32.6
608.....................................................            32.6
609.....................................................            32.6
610.....................................................            31.1
611.....................................................            26.9
612.....................................................            22.3
613.....................................................            18.0
614.....................................................            13.8
615.....................................................             9.6
616.....................................................             4.6
617.....................................................             6.1
618.....................................................            10.0
619.....................................................            14.2
620.....................................................            17.3
621.....................................................            20.0
622.....................................................            21.5
623.....................................................            22.3
624.....................................................            22.3
625.....................................................            22.3
626.....................................................            22.3
627.....................................................            23.0
628.....................................................            23.0
629.....................................................            22.7
630.....................................................            22.3
631.....................................................            21.9
632.....................................................            22.7
633.....................................................            23.8
634.....................................................            25.0
635.....................................................            25.3
636.....................................................            25.7
637.....................................................            26.5
638.....................................................            26.9
639.....................................................            27.3
640.....................................................            28.0
641.....................................................            29.2
642.....................................................            30.0
643.....................................................            30.0
644.....................................................            29.6
645.....................................................            29.6
646.....................................................            28.8
647.....................................................            28.4
648.....................................................            28.0
649.....................................................            27.3
650.....................................................            25.7
651.....................................................            24.6
652.....................................................            25.0
653.....................................................            26.5
654.....................................................            28.0
655.....................................................            29.6
656.....................................................            30.7
657.....................................................            32.3
658.....................................................            33.0
659.....................................................            34.2
660.....................................................            34.6
661.....................................................            35.3
662.....................................................            36.1
663.....................................................            36.1
664.....................................................            36.9
665.....................................................            36.9
666.....................................................            37.6
667.....................................................            37.6
668.....................................................            38.4
669.....................................................            38.0
670.....................................................            37.6
671.....................................................            37.6
672.....................................................            37.2
673.....................................................            36.9
674.....................................................            36.1
675.....................................................            35.7
676.....................................................            36.1
677.....................................................            35.7
678.....................................................            35.7
679.....................................................            35.7
680.....................................................            36.1
681.....................................................            36.1
682.....................................................            35.7
683.....................................................            35.7
684.....................................................            34.9
685.....................................................            34.6
686.....................................................            34.2
687.....................................................            33.8
688.....................................................            33.4
689.....................................................            33.0
690.....................................................            30.3
691.....................................................            29.2
692.....................................................            28.4
693.....................................................            25.0
694.....................................................            21.1
695.....................................................            16.9
696.....................................................            13.4
697.....................................................            13.1
698.....................................................            12.3
699.....................................................            12.7
700.....................................................            15.7
701.....................................................            19.2
702.....................................................            22.3
703.....................................................            24.6
704.....................................................            25.7
705.....................................................            26.5
706.....................................................            26.5
707.....................................................            26.9
708.....................................................            27.3
709.....................................................            27.3
710.....................................................            27.6
711.....................................................            28.4
712.....................................................            28.8
713.....................................................            28.8
714.....................................................            29.2

[[Page 1151]]

 
715.....................................................            28.8
716.....................................................            28.8
717.....................................................            28.0
718.....................................................            28.0
719.....................................................            27.6
720.....................................................            26.5
721.....................................................            24.6
722.....................................................            20.7
723.....................................................            16.5
724.....................................................            15.0
725.....................................................            14.2
726.....................................................            14.2
727.....................................................            13.8
728.....................................................            13.8
729.....................................................            11.9
730.....................................................             8.4
731.....................................................             4.2
732.....................................................             1.2
733.....................................................             0.0
734.....................................................             0.0
735.....................................................             0.0
736.....................................................             0.0
737.....................................................             0.0
738.....................................................             0.0
739.....................................................             0.0
740.....................................................             0.0
741.....................................................             0.0
742.....................................................             0.0
743.....................................................             0.0
744.....................................................             0.0
745.....................................................             0.0
746.....................................................             0.0
747.....................................................             0.0
748.....................................................             0.0
749.....................................................             0.0
750.....................................................             0.0
751.....................................................             0.0
752.....................................................             0.0
753.....................................................             0.0
754.....................................................             0.0
755.....................................................             0.0
756.....................................................             0.0
757.....................................................             0.0
758.....................................................             0.0
759.....................................................             0.0
760.....................................................             0.0
761.....................................................             0.0
762.....................................................             0.0
763.....................................................             1.5
764.....................................................             5.4
765.....................................................             9.2
766.....................................................            11.5
767.....................................................            14.6
768.....................................................            17.3
769.....................................................            19.2
770.....................................................            21.1
771.....................................................            20.7
772.....................................................            20.7
773.....................................................            19.6
774.....................................................            18.4
775.....................................................            16.9
776.....................................................            16.9
777.....................................................            16.5
778.....................................................            16.9
779.....................................................            16.9
780.....................................................            16.9
781.....................................................            17.3
782.....................................................            19.2
783.....................................................            20.4
784.....................................................            21.1
785.....................................................            22.3
786.....................................................            22.3
787.....................................................            22.7
788.....................................................            22.3
789.....................................................            22.7
790.....................................................            22.3
791.....................................................            23.8
792.....................................................            25.7
793.....................................................            27.6
794.....................................................            29.6
795.....................................................            30.0
796.....................................................            29.2
797.....................................................            27.6
798.....................................................            25.0
799.....................................................            23.8
800.....................................................            23.4
801.....................................................            24.2
802.....................................................            23.4
803.....................................................            23.0
804.....................................................            20.4
805.....................................................            18.8
806.....................................................            17.3
807.....................................................            15.0
808.....................................................            13.1
809.....................................................             9.2
810.....................................................             6.9
811.....................................................             4.6
812.....................................................             4.6
813.....................................................             4.6
814.....................................................             4.2
815.....................................................             5.4
816.....................................................             4.6
817.....................................................             3.5
818.....................................................             2.3
819.....................................................             2.3
820.....................................................             1.9
821.....................................................             3.1
822.....................................................             6.1
823.....................................................             4.6
824.....................................................             2.7
825.....................................................             2.3
826.....................................................             2.3
827.....................................................             3.1
828.....................................................             4.2
829.....................................................             3.5
830.....................................................             3.8
831.....................................................             4.2
832.....................................................             3.5
833.....................................................             3.5
834.....................................................             3.5
835.....................................................             4.6
836.....................................................             5.8
837.....................................................             3.5
838.....................................................             0.8
839.....................................................             3.5
840.....................................................             3.8
841.....................................................             2.3
842.....................................................             0.0
843.....................................................             1.2
844.....................................................             6.9
845.....................................................            13.8
846.....................................................            18.8
847.....................................................            23.8
848.....................................................            27.3
849.....................................................            30.7
850.....................................................            33.8
851.....................................................            37.6
852.....................................................            40.7
853.....................................................            43.8
854.....................................................            46.1
855.....................................................            48.0
856.....................................................            49.5
857.....................................................            51.5
858.....................................................            53.0
859.....................................................            54.5
860.....................................................            55.7

[[Page 1152]]

 
861.....................................................            56.8
862.....................................................            58.0
863.....................................................            59.1
864.....................................................            60.3
865.....................................................            61.1
866.....................................................            61.8
867.....................................................            61.8
868.....................................................            61.8
869.....................................................            61.8
870.....................................................            62.6
871.....................................................            63.4
872.....................................................            63.0
873.....................................................            63.0
874.....................................................            62.6
875.....................................................            61.8
876.....................................................            61.8
877.....................................................            62.2
878.....................................................            62.2
879.....................................................            62.6
880.....................................................            63.7
881.....................................................            64.5
882.....................................................            64.9
883.....................................................            66.0
884.....................................................            66.0
885.....................................................            66.8
886.....................................................            66.4
887.....................................................            66.8
888.....................................................            67.2
889.....................................................            66.4
890.....................................................            66.4
891.....................................................            66.0
892.....................................................            65.7
893.....................................................            65.7
894.....................................................            66.4
895.....................................................            66.0
896.....................................................            65.7
897.....................................................            65.3
898.....................................................            65.3
899.....................................................            64.5
900.....................................................            64.5
901.....................................................            64.1
902.....................................................            63.7
903.....................................................            63.7
904.....................................................            63.7
905.....................................................            64.5
906.....................................................            64.5
907.....................................................            64.9
908.....................................................            64.5
909.....................................................            64.1
910.....................................................            64.9
911.....................................................            65.3
912.....................................................            65.3
913.....................................................            65.3
914.....................................................            64.1
915.....................................................            63.4
916.....................................................            63.0
917.....................................................            63.4
918.....................................................            64.1
919.....................................................            64.9
920.....................................................            65.3
921.....................................................            64.5
922.....................................................            64.1
923.....................................................            63.4
924.....................................................            63.7
925.....................................................            63.4
926.....................................................            63.4
927.....................................................            63.4
928.....................................................            63.4
929.....................................................            63.7
930.....................................................            64.5
931.....................................................            65.3
932.....................................................            64.9
933.....................................................            63.7
934.....................................................            63.0
935.....................................................            59.9
936.....................................................            55.3
937.....................................................            50.7
938.....................................................            49.2
939.....................................................            48.0
940.....................................................            46.1
941.....................................................            44.2
942.....................................................            41.1
943.....................................................            39.9
944.....................................................            36.1
945.....................................................            32.6
946.....................................................            29.2
947.....................................................            24.6
948.....................................................            20.7
949.....................................................            19.2
950.....................................................            16.5
951.....................................................            15.0
952.....................................................            11.9
953.....................................................             9.6
954.....................................................             8.4
955.....................................................             5.8
956.....................................................             1.2
957.....................................................             0.0
958.....................................................             0.0
959.....................................................             0.0
960.....................................................             1.2
961.....................................................             3.1
962.....................................................             5.0
963.....................................................             8.4
964.....................................................            11.5
965.....................................................            14.6
966.....................................................            16.9
967.....................................................            18.8
968.....................................................            21.1
969.....................................................            23.8
970.....................................................            26.5
971.....................................................            28.0
972.....................................................            29.6
973.....................................................            30.7
974.....................................................            32.6
975.....................................................            34.2
976.....................................................            35.3
977.....................................................            36.1
978.....................................................            36.9
979.....................................................            38.0
980.....................................................            38.0
981.....................................................            38.0
982.....................................................            38.0
983.....................................................            38.0
984.....................................................            37.2
985.....................................................            36.9
986.....................................................            36.1
987.....................................................            35.7
988.....................................................            34.9
989.....................................................            34.9
990.....................................................            33.8
991.....................................................            31.5
992.....................................................            28.8
993.....................................................            25.7
994.....................................................            24.6
995.....................................................            23.4
996.....................................................            22.3
997.....................................................            21.5
998.....................................................            20.0
999.....................................................            20.0
1000....................................................            19.2
1001....................................................            19.2
1002....................................................            18.0
1003....................................................            11.9
1004....................................................             6.9
1005....................................................             2.7
1006....................................................             0.8

[[Page 1153]]

 
1007....................................................             0.4
1008....................................................             0.0
1009....................................................             0.0
1010....................................................             0.0
1011....................................................             0.0
1012....................................................             0.0
1013....................................................             0.0
1014....................................................             0.0
1015....................................................             0.0
1016....................................................             0.0
1017....................................................             0.0
1018....................................................             0.0
1019....................................................             0.0
1020....................................................             0.0
1021....................................................             0.0
1022....................................................             0.0
1023....................................................             0.4
1024....................................................             2.7
1025....................................................             6.1
1026....................................................             9.2
1027....................................................            11.5
1028....................................................            14.2
1029....................................................            16.1
1030....................................................            18.0
1031....................................................            20.0
1032....................................................            21.5
1033....................................................            23.0
1034....................................................            24.2
1035....................................................            25.0
1036....................................................            25.7
1037....................................................            26.9
1038....................................................            27.6
1039....................................................            27.6
1040....................................................            28.4
1041....................................................            29.2
1042....................................................            29.2
1043....................................................            30.0
1044....................................................            29.6
1045....................................................            29.6
1046....................................................            28.8
1047....................................................            28.0
1048....................................................            23.8
1049....................................................            18.8
1050....................................................            11.9
1051....................................................             6.1
1052....................................................             1.5
1053....................................................             1.5
1054....................................................             4.2
1055....................................................             8.1
1056....................................................            10.4
1057....................................................            13.1
1058....................................................            15.4
1059....................................................            18.0
1060....................................................            20.4
1061....................................................            23.0
1062....................................................            25.3
1063....................................................            27.3
1064....................................................            28.8
1065....................................................            30.3
1066....................................................            31.1
1067....................................................            32.3
1068....................................................            31.9
1069....................................................            32.3
1070....................................................            31.9
1071....................................................            31.1
1072....................................................            28.8
1073....................................................            25.0
1074....................................................            22.7
1075....................................................            18.8
1076....................................................            15.4
1077....................................................            13.4
1078....................................................            11.9
1079....................................................             8.8
1080....................................................             5.0
1081....................................................             1.9
1082....................................................             2.3
1083....................................................             2.7
1084....................................................             3.5
1085....................................................             6.5
1086....................................................            10.8
1087....................................................            13.8
1088....................................................            16.1
1089....................................................            18.4
1090....................................................            20.4
1091....................................................            21.9
1092....................................................            21.9
1093....................................................            20.7
1094....................................................            17.3
1095....................................................            13.1
1096....................................................             9.6
1097....................................................             8.8
1098....................................................            10.8
1099....................................................            12.7
1100....................................................            14.2
1101....................................................            14.6
1102....................................................            13.1
1103....................................................            11.1
1104....................................................            11.1
1105....................................................            11.1
1106....................................................            13.1
1107....................................................            15.7
1108....................................................            18.4
1109....................................................            20.7
1110....................................................            23.8
1111....................................................            25.7
1112....................................................            28.0
1113....................................................            30.0
1114....................................................            31.1
1115....................................................            32.3
1116....................................................            34.2
1117....................................................            35.7
1118....................................................            36.9
1119....................................................            38.8
1120....................................................            40.3
1121....................................................            41.5
1122....................................................            42.2
1123....................................................            43.0
1124....................................................            43.8
1125....................................................            43.8
1126....................................................            43.4
1127....................................................            43.0
1128....................................................            42.2
1129....................................................            41.9
1130....................................................            41.5
1131....................................................            41.9
1132....................................................            41.9
1133....................................................            41.9
1134....................................................            42.2
1135....................................................            42.6
1136....................................................            42.6
1137....................................................            42.6
1138....................................................            42.6
1139....................................................            42.6
1140....................................................            42.6
1141....................................................            42.6
1142....................................................            42.2
1143....................................................            43.0
1144....................................................            43.4
1145....................................................            43.0
1146....................................................            42.6
1147....................................................            41.9
1148....................................................            40.7
1149....................................................            36.9
1150....................................................            32.6
1151....................................................            28.0
1152....................................................            23.4

[[Page 1154]]

 
1153....................................................            18.4
1154....................................................            14.6
1155....................................................            12.3
1156....................................................             9.2
1157....................................................             5.8
1158....................................................             1.9
1159....................................................             0.4
1160....................................................             0.0
1161....................................................             0.0
1162....................................................             0.0
1163....................................................             0.0
1164....................................................             0.0
1165....................................................             0.4
1166....................................................             4.2
1167....................................................             9.2
1168....................................................            11.9
1169....................................................            14.2
1170....................................................            15.7
1171....................................................            15.0
1172....................................................            14.2
1173....................................................            13.4
1174....................................................            13.8
1175....................................................            14.6
1176....................................................            14.6
1177....................................................            14.2
1178....................................................            16.1
1179....................................................            15.7
1180....................................................            15.7
1181....................................................            14.6
1182....................................................            13.1
1183....................................................            10.0
1184....................................................             7.3
1185....................................................             3.5
1186....................................................             0.8
1187....................................................             0.0
1188....................................................             0.0
1189....................................................             0.0
1190....................................................             0.0
1191....................................................             0.4
1192....................................................             2.7
1193....................................................             7.3
1194....................................................            11.5
1195....................................................            15.4
1196....................................................            19.2
1197....................................................            21.9
1198....................................................            23.8
1199....................................................            25.0
1200....................................................            26.1
1201....................................................            27.3
1202....................................................            28.8
1203....................................................            30.0
1204....................................................            29.6
1205....................................................            29.6
1206....................................................            28.8
1207....................................................            26.1
1208....................................................            22.3
1209....................................................            19.2
1210....................................................            16.5
1211....................................................            12.7
1212....................................................             9.6
1213....................................................             6.9
1214....................................................             4.2
1215....................................................             2.3
1216....................................................             0.8
1217....................................................             0.0
1218....................................................             0.0
1219....................................................             0.0
1220....................................................             0.0
1221....................................................             0.0
1222....................................................             0.0
1223....................................................             0.0
1224....................................................             0.0
1225....................................................             0.0
1226....................................................             0.0
1227....................................................             0.0
1228....................................................             0.0
1229....................................................             0.0
1230....................................................             0.0
1231....................................................             0.0
1232....................................................             0.0
1233....................................................             0.0
1234....................................................             0.0
1235....................................................             0.0
1236....................................................             0.0
1237....................................................             0.0
1238....................................................             0.0
1239....................................................             0.0
1240....................................................             3.5
1241....................................................            10.4
1242....................................................            15.4
1243....................................................            17.3
1244....................................................            17.3
1245....................................................            18.4
1246....................................................            21.5
1247....................................................            24.6
1248....................................................            27.3
1249....................................................            30.0
1250....................................................            31.5
1251....................................................            31.9
1252....................................................            32.6
1253....................................................            33.4
1254....................................................            34.9
1255....................................................            36.5
1256....................................................            37.6
1257....................................................            39.2
1258....................................................            40.3
1259....................................................            40.7
1260....................................................            41.1
1261....................................................            40.7
1262....................................................            40.7
1263....................................................            40.7
1264....................................................            41.5
1265....................................................            42.6
1266....................................................            43.0
1267....................................................            44.5
1268....................................................            45.3
1269....................................................            45.3
1270....................................................            44.9
1271....................................................            43.4
1272....................................................            40.3
1273....................................................            38.0
1274....................................................            36.1
1275....................................................            36.5
1276....................................................            38.0
1277....................................................            39.2
1278....................................................            40.7
1279....................................................            42.2
1280....................................................            43.4
1281....................................................            44.9
1282....................................................            45.7
1283....................................................            46.1
1284....................................................            46.8
1285....................................................            46.5
1286....................................................            46.5
1287....................................................            46.5
1288....................................................            46.1
1289....................................................            46.1
1290....................................................            46.1
1291....................................................            46.8
1292....................................................            47.6
1293....................................................            48.0
1294....................................................            48.4
1295....................................................            48.0
1296....................................................            48.0
1297....................................................            47.2
1298....................................................            46.5

[[Page 1155]]

 
1299....................................................            46.8
1300....................................................            47.2
1301....................................................            48.4
1302....................................................            48.4
1303....................................................            48.8
1304....................................................            48.4
1305....................................................            47.6
1306....................................................            46.5
1307....................................................            44.2
1308....................................................            42.2
1309....................................................            41.5
1310....................................................            41.1
1311....................................................            40.7
1312....................................................            40.3
1313....................................................            39.6
1314....................................................            39.2
1315....................................................            38.8
1316....................................................            38.0
1317....................................................            37.6
1318....................................................            37.2
1319....................................................            36.5
1320....................................................            34.6
1321....................................................            31.5
1322....................................................            29.6
1323....................................................            29.2
1324....................................................            28.8
1325....................................................            28.8
1326....................................................            28.0
1327....................................................            28.0
1328....................................................            28.4
1329....................................................            29.6
1330....................................................            30.0
1331....................................................            30.3
1332....................................................            29.2
1333....................................................            26.5
1334....................................................            25.3
1335....................................................            25.0
1336....................................................            24.6
1337....................................................            24.6
1338....................................................            25.3
1339....................................................            26.1
1340....................................................            27.3
1341....................................................            28.4
1342....................................................            29.2
1343....................................................            29.2
1344....................................................            29.6
1345....................................................            30.0
1346....................................................            31.1
1347....................................................            32.6
1348....................................................            33.8
1349....................................................            34.6
1350....................................................            34.9
1351....................................................            34.6
1352....................................................            34.9
1353....................................................            34.6
1354....................................................            34.9
1355....................................................            34.9
1356....................................................            34.9
1357....................................................            34.2
1358....................................................            33.8
1359....................................................            32.6
1360....................................................            31.5
1361....................................................            30.0
1362....................................................            28.8
1363....................................................            27.3
1364....................................................            23.8
1365....................................................            23.0
1366....................................................            23.0
1367....................................................            22.3
1368....................................................            20.4
1369....................................................            18.8
1370....................................................            17.7
1371....................................................            16.1
1372....................................................            14.6
1373....................................................            12.7
1374....................................................            11.1
1375....................................................             9.2
1376....................................................             8.8
1377....................................................             7.3
1378....................................................             6.1
1379....................................................             5.0
1380....................................................             4.2
1381....................................................             3.5
1382....................................................             2.7
1383....................................................             2.3
1384....................................................             1.5
1385....................................................             1.2
1386....................................................             0.0
1387....................................................             1.2
1388....................................................             4.2
1389....................................................             7.3
1390....................................................             8.8
1391....................................................            10.8
1392....................................................            12.3
1393....................................................            13.1
1394....................................................            12.3
1395....................................................            12.3
1396....................................................            11.5
1397....................................................            11.5
1398....................................................            11.1
1399....................................................            11.1
1400....................................................            11.1
1401....................................................            13.1
1402....................................................            15.0
1403....................................................            16.9
1404....................................................            16.9
1405....................................................            16.1
1406....................................................            15.7
1407....................................................            15.4
1408....................................................            15.0
1409....................................................            13.8
1410....................................................            10.8
1411....................................................             8.4
1412....................................................             6.1
1413....................................................             4.2
1414....................................................             3.5
1415....................................................             3.5
1416....................................................             1.5
1417....................................................             0.0
1418....................................................             0.0
1419....................................................             0.0
1420....................................................             0.0
1421....................................................             0.0
1422....................................................             0.0
1423....................................................             0.0
1424....................................................             0.0
1425....................................................             0.0
1426....................................................             0.0
1427....................................................             0.0
1428....................................................             0.0
1429....................................................             0.0
1430....................................................             0.0
1431....................................................             0.0
1432....................................................             0.0
1433....................................................             0.0
1434....................................................             0.0
1435....................................................             0.0
1436....................................................             0.0
1437....................................................             0.0
1438....................................................             0.0
1439....................................................             0.0
1440....................................................             0.0
1441....................................................             0.0
1442....................................................             0.0
1443....................................................             0.0
1444....................................................             0.0

[[Page 1156]]

 
1445....................................................             0.0
1446....................................................             0.0
1447....................................................             0.0
1448....................................................             0.0
1449....................................................             0.0
1450....................................................             0.0
1451....................................................             0.0
1452....................................................             0.0
1453....................................................             0.0
1454....................................................             0.0
1455....................................................             0.0
1456....................................................             1.2
1457....................................................             4.2
1458....................................................             7.3
1459....................................................             8.8
1460....................................................            10.8
1461....................................................            12.3
1462....................................................            13.1
1463....................................................            12.3
1464....................................................            12.3
1465....................................................            11.5
1466....................................................            11.5
1467....................................................            11.1
1468....................................................            11.1
1469....................................................            11.1
1470....................................................            13.1
1471....................................................            15.0
1472....................................................            16.9
1473....................................................            16.9
1474....................................................            16.1
1475....................................................            15.7
1476....................................................            15.4
1477....................................................            15.0
1478....................................................            13.8
1479....................................................            10.8
1480....................................................             8.4
1481....................................................             6.1
1482....................................................             4.2
1483....................................................             3.5
1484....................................................             3.5
1485....................................................             1.5
1486....................................................             0.0
1487....................................................             0.0
1488....................................................             0.0
1489....................................................             0.0
1490....................................................             0.0
1491....................................................             0.0
1492....................................................             0.0
1493....................................................             0.0
1494....................................................             0.0
1495....................................................             0.0
1496....................................................             0.0
1497....................................................             0.0
1498....................................................             1.2
1499....................................................             3.5
1500....................................................             7.7
1501....................................................            11.1
1502....................................................            13.8
1503....................................................            16.5
1504....................................................            18.4
1505....................................................            20.4
1506....................................................            20.7
1507....................................................            19.6
1508....................................................            17.3
1509....................................................            12.3
1510....................................................             8.1
1511....................................................             6.1
1512....................................................             9.6
1513....................................................            12.7
1514....................................................            15.7
1515....................................................            18.0
1516....................................................            20.4
1517....................................................            21.9
1518....................................................            23.4
1519....................................................            23.8
1520....................................................            24.6
1521....................................................            25.0
1522....................................................            26.1
1523....................................................            26.1
1524....................................................            26.9
1525....................................................            26.9
1526....................................................            26.9
1527....................................................            26.5
1528....................................................            25.7
1529....................................................            21.9
1530....................................................            16.5
1531....................................................            10.0
1532....................................................             4.6
1533....................................................             1.5
1534....................................................             0.4
1535....................................................             0.0
1536....................................................             0.0
1537....................................................             0.0
1538....................................................             0.0
1539....................................................             0.0
1540....................................................             0.0
1541....................................................             0.0
1542....................................................             0.0
1543....................................................             0.4
1544....................................................             1.2
1545....................................................             1.9
1546....................................................             3.8
1547....................................................             7.7
1548....................................................            11.5
1549....................................................            14.6
1550....................................................            18.0
1551....................................................            21.5
1552....................................................            25.0
1553....................................................            28.4
1554....................................................            30.7
1555....................................................            31.9
1556....................................................            32.3
1557....................................................            32.3
1558....................................................            31.9
1559....................................................            30.3
1560....................................................            28.0
1561....................................................            24.2
1562....................................................            20.0
1563....................................................            16.1
1564....................................................            11.5
1565....................................................             8.1
1566....................................................             5.0
1567....................................................             3.5
1568....................................................             1.9
1569....................................................             0.0
1570....................................................             0.0
1571....................................................             0.0
1572....................................................             0.0
1573....................................................             0.0
1574....................................................             0.0
1575....................................................             0.0
1576....................................................             0.0
1577....................................................             0.0
1578....................................................             1.5
1579....................................................             6.9
1580....................................................            12.7
1581....................................................            16.5
1582....................................................            20.0
1583....................................................            23.0
1584....................................................            25.7
1585....................................................            28.0
1586....................................................            30.7
1587....................................................            32.6
1588....................................................            34.2
1589....................................................            35.3
1590....................................................            36.9

[[Page 1157]]

 
1591....................................................            36.9
1592....................................................            37.2
1593....................................................            37.6
1594....................................................            37.6
1595....................................................            37.6
1596....................................................            37.2
1597....................................................            37.2
1598....................................................            36.9
1599....................................................            36.5
1600....................................................            36.5
1601....................................................            34.9
1602....................................................            33.4
1603....................................................            31.9
1604....................................................            29.2
1605....................................................            25.0
1606....................................................            25.0
1607....................................................            26.1
1608....................................................            27.6
1609....................................................            29.2
1610....................................................            31.1
1611....................................................            32.3
1612....................................................            34.2
1613....................................................            34.9
1614....................................................            35.7
1615....................................................            36.5
1616....................................................            36.9
1617....................................................            36.9
1618....................................................            37.2
1619....................................................            37.6
1620....................................................            37.2
1621....................................................            37.6
1622....................................................            38.0
1623....................................................            38.4
1624....................................................            39.2
1625....................................................            39.6
1626....................................................            39.9
1627....................................................            40.7
1628....................................................            40.3
1629....................................................            41.1
1630....................................................            41.1
1631....................................................            40.7
1632....................................................            31.9
1633....................................................            23.9
1634....................................................            15.9
1635....................................................             7.9
1636....................................................             2.7
1637....................................................             0.4
1638....................................................             0.4
1639....................................................             2.7
1640....................................................             3.8
1641....................................................             3.8
1642....................................................             1.5
1643....................................................             0.0
1644....................................................             0.0
1645....................................................             0.0
1646....................................................             0.0
1647....................................................             0.0
1648....................................................             0.0
1649....................................................             0.0
1650....................................................             0.0
1651....................................................             0.0
1652....................................................             0.0
1653....................................................             0.0
1654....................................................             0.0
1655....................................................             0.0
1656....................................................             0.0
1657....................................................             0.0
1658....................................................             0.0
1659....................................................             0.0
1660....................................................             0.0
1661....................................................             0.0
1662....................................................             0.0
1663....................................................             0.0
1664....................................................             0.0
1665....................................................             0.0
1666....................................................             0.0
1667....................................................             0.0
1668....................................................             0.0
1669....................................................             0.0
1670....................................................             0.0
1671....................................................             0.0
1672....................................................             0.0
1673....................................................             1.5
1674....................................................             5.0
1675....................................................             8.8
1676....................................................            11.5
1677....................................................            14.2
1678....................................................            15.4
1679....................................................            16.1
1680....................................................            16.1
1681....................................................            16.9
1682....................................................            16.5
1683....................................................            16.9
1684....................................................            18.0
1685....................................................            19.2
1686....................................................            20.4
1687....................................................            20.4
1688....................................................            21.1
1689....................................................            21.1
1690....................................................            22.3
1691....................................................            23.0
1692....................................................            23.8
1693....................................................            24.2
1694....................................................            24.6
1695....................................................            25.0
1696....................................................            25.7
1697....................................................            25.7
1698....................................................            26.5
1699....................................................            27.6
1700....................................................            28.4
1701....................................................            29.2
1702....................................................            30.3
1703....................................................            31.1
1704....................................................            31.1
1705....................................................            30.7
1706....................................................            31.1
1707....................................................            29.6
1708....................................................            29.2
1709....................................................            29.2
1710....................................................            28.8
1711....................................................            28.0
1712....................................................            23.0
1713....................................................            21.1
1714....................................................            21.5
1715....................................................            20.7
1716....................................................            20.7
1717....................................................            19.6
1718....................................................            16.5
1719....................................................            13.1
1720....................................................             9.6
1721....................................................             7.3
1722....................................................             3.8
1723....................................................             0.8
1724....................................................             0.0
1725....................................................             0.0
1726....................................................             0.0
1727....................................................             0.0
1728....................................................             0.0
1729....................................................             0.0
1730....................................................             0.0
1731....................................................             0.0
1732....................................................             0.0
1733....................................................             0.0
1734....................................................             0.0
1735....................................................             0.0
------------------------------------------------------------------------

    (d) [Reserved]

[[Page 1158]]

    (e) EPA New York City Cycle for Light-Duty Vehicles and Light-Duty 
Trucks.

                         EPA New York City Cycle
                      [Speed versus time sequence]
------------------------------------------------------------------------
               Speed                   Speed
 Time (sec)    (mph)     Time (sec)    (mph)    Time (sec)   Speed (mph)
------------------------------------------------------------------------
        0        0              1        0              2           0
        3        0              4        0              5           0
        6        0              7        0              8           0
        9        0             10        0             11           0
       12        0             13        0             14           0
       15        0             16        0             17           0
       18        0             19        0             20           0
       21        0             22        0             23           0
       24        0             25        0             26           0
       27        0             28        0             29           0
       30        0             31        0             32           0
       33        0             34        0             35           0
       36        0             37        0             38           0
       39        0             40        0             41           0
       42        0             43        0             44           0
       45        0             46        0             47           0.4
       48      2.8             49      5.6             50           7.0
       51      7.6             52      7.6             53           6.2
       54      6.4             55      7.6             56           9.5
       57      8.9             58      8.6             59           9.6
       60     12.4             61     15.0             62          17.8
       63     21.0             64     22.9             65          21.7
       66     18.2             67     14.5             68          10.2
       69      5.6             70      2.5             71           2.1
       72      3.1             73      5.7             74           9.0
       75     10.8             76     10.8             77           9.5
       78      6.5             79      3.9             80           2.6
       81      1.0             82      0.8             83           0.1
       84        0             85        0             86           0
       87        0             88        0             89           0
       90        0             91        0             92           0
       93        0             94        0             95           0
       96      2.7             97      8.3             98          12.4
       99     15.7            100     17.4            101          17.3
      102     17.2            103     15.1            104          11.2
      105      8.6            106      5.9            107           5.4
      108      6.8            109      6.9            110           4.8
      111      5.7            112      7.1            113           6.8
      114      5.9            115      6.0            116           6.0
      117      5.9            118      5.6            119           5.5
      120      7.2            121      9.9            122          10.8
      123     11.4            124     11.9            125          12.1
      126     12.6            127     12.3            128          10.6
      129      9.9            130      9.4            131           8.9
      132      7.6            133      6.1            134           5.0
      135      3.7            136      2.6            137           1.0
      138      0.8            139      0.1            140           0.4
      141      0.2            142        0            143           0
      144        0            145      1.3            146           6.0
      147     10.2            148     12.1            149          13.8
      150     15.1            151     16.2            152          15.9
      153     16.0            154     16.8            155          17.5
      156     18.0            157     19.6            158          21.7
      159     23.1            160     23.7            161          24.1
      162     24.5            163     25.0            164          25.2
      165     24.6            166     24.3            167          23.3
      168     22.7            169     22.1            170          21.6
      171     21.1            172     20.3            173          19.2
      174     17.0            175     13.9            176          14.1
      177     14.6            178     14.6            179          14.5
      180     14.4            181     14.2            182          14.2
      183     13.2            184     11.5            185           8.4
      186      5.5            187      3.7            188           2.9
      189      1.3            190      0.8            191           0.3
      192      0.1            193      0.1            194           0
      195      1.3            196      3.9            197           9.9
      198     15.9            199     19.3            200          20.7
      201     21.4            202     21.4            203          20.5

[[Page 1159]]

 
      204     19.0            205     16.7            206          13.1
      207     11.2            208     14.9            209          19.8
      210     23.8            211     25.7            212          26.2
      213     26.4            214     23.3            215          19.6
      216     18.9            217     19.3            218          19.4
      219     18.5            220     17.5            221          16.4
      222     15.6            223     15.6            224          16.0
      225     16.8            226     17.5            227          18.0
      228     19.6            229     21.7            230          23.5
      231     24.6            232     25.0            233          24.3
      234     23.1            235     20.7            236          17.2
      237     13.5            238      9.2            239           3.3
      240        0            241        0            242           0
      243        0            244        0            245           0
      246        0            247        0            248           0
      249        0            250        0            251           0
      252        0            253        0            254           0.2
      255      2.0            256      4.5            257           6.4
      258      7.2            259      7.6            260           7.2
      261      6.6            262      6.5            263           5.1
      264      4.4            265      5.5            266           3.0
      267      3.4            268      3.0            269           2.9
      270      1.3            271      0.8            272           0.3
      273        0            274        0            275           0.3
      276      4.7            277      9.7            278          13.9
      279     16.7            280     19.1            281          20.5
      282     20.5            283     19.7            284          19.9
      285     20.4            286     20.9            287          21.4
      288     21.9            289     22.4            290          22.1
      291     21.4            292     20.8            293          20.3
      294     20.5            295     19.3            296          17.3
      297     17.1            298     16.7            299          14.3
      300     11.9            301     10.7            302          10.2
      303      9.4            304     10.6            305          12.8
      306     13.7            307     12.3            308          10.4
      309      8.6            310      5.5            311           3.2
      312      2.0            313      0.6            314           0
      315        0            316        0            317           0
      318        0            319        0            320           0
      321        0            322        0            323           2.5
      324      6.1            325      5.5            326           3.2
      327      3.6            328      6.1            329           9.1
      330      9.8            331      8.6            332           6.8
      333      5.9            334      5.6            335           6.0
      336      7.2            337      8.4            338           9.3
      339      7.6            340      5.5            341           2.5
      342      0.1            343        0            344           0
      345        0            346        0            347           0
      348        0            349        0            350           0
      351        0            352        0            353           0
      354        0            355        0            356           0
      357        0            358        0            359           0
      360        0            361        0            362           0
      363        0            364        0            365           0
      366        0            367        0            368           0
      369        0            370        0            371           0
      372        0            373        0            374           0
      375        0            376        0            377           0
      378        0            379        0            380           0
      381        0            382        0            383           0
      384        0            385        0            386           0
      387        0            388        0            389           0
      390        0            391        0            392           0
      393        0            394        0            395           0.2
      396      1.6            397      3.0            398           3.0
      399      2.1            400      2.3            401           4.6
      402      7.8            403      9.9            404          10.7
      405     10.2            406     10.1            407          10.7
      408     10.9            409     11.4            410          11.1
      411     10.0            412      8.8            413           8.2
      414      8.6            415     10.2            416          11.8

[[Page 1160]]

 
      417     13.0            418     13.3            419          12.8
      420     11.7            421     11.7            422          12.4
      423     13.7            424     14.4            425          14.3
      426     14.7            427     15.1            428          15.3
      429     15.8            430     14.5            431          12.2
      432     11.1            433     12.0            434          13.1
      435     12.2            436      8.9            437           7.7
      438      7.6            439      8.0            440           5.5
      441      3.3            442      2.4            443           1.4
      444      0.6            445        0            446           0
      447        0            448        0            449           0
      450        0            451        0            452           0
      453        0            454        0            455           0
      456        0            457        0            458           0
      459        0            460        0            461           0
      462        0            463        0            464           0
      465        0            466        0            467           0
      468        0            469        0            470           0
      471        0            472        0            473           0
      474        0            475        0            476           0
      477        0            478        0            479           0
      480        0            481        0            482           0
      483        0            484        0            485           0
      486        0            487        0            488           0
      489        0            490        0            491           0
      492        0            493        0            494           0
      495      1.0            496      4.1            497           7.4
      498     10.2            499     11.3            500          11.8
      501     12.2            502     14.3            503          16.0
      504     17.8            505     18.6            506          19.6
      507     20.2            508     19.9            509          19.7
      510     20.8            511     21.0            512          18.8
      513     17.6            514     13.0            515           7.5
      516      2.9            517      0.8            518           0
      519      0.2            520      0.7            521           1.4
      522      2.3            523      2.7            524           3.0
      525      2.6            526      1.2            527           0.1
      528      0.7            529      1.8            530           3.1
      531      3.9            532      5.3            533           7.8
      534      9.7            535     10.3            536          10.2
      537      9.4            538      7.1            539           6.8
      540      8.9            541     10.6            542          11.9
      543     15.5            544     19.6            545          22.8
      546     25.1            547     26.0            548          26.7
      549     27.3            550     27.7            551          27.6
      552     27.3            553     25.7            554          23.3
      555     20.6            556     17.8            557          14.9
      558     11.3            559      7.4            560           4.6
      561      1.7            562      0.7            563           0
      564        0            565        0            566           0
      567        0            568        0            569           0
      570        0            571        0            572           0
      573        0            574        0            575           0
      576        0            577        0            578           0
      579        0            580        0            581           0
      582        0            583        0            584           0
      585        0            586        0            587           0
      588        0            589        0            590           0
      591        0            592        0            593           0
      594        0            595        0            596           0
      597        0            598        0            599           0
      600        0
------------------------------------------------------------------------


[[Page 1161]]

    (f)(1) EPA Engine Dynamometer Schedules for Heavy-duty Otto-cycle 
engines.

------------------------------------------------------------------------
                                                         Percent
                                               -------------------------
               Record (seconds)                  Normalized
                                                revolutions   Normalized
                                                 per minute     torque
------------------------------------------------------------------------
1.............................................         0.0          0.0
2.............................................         0.0          0.0
3.............................................         0.0          0.0
4.............................................         0.0          0.0
5.............................................         0.0          0.0
6.............................................         0.0          0.0
7.............................................         0.0          0.0
8.............................................         0.0          0.0
9.............................................         0.0          0.0
10............................................         0.0          0.0
11............................................         0.0          0.0
12............................................         0.0          0.0
13............................................         0.0          0.0
14............................................         0.0          0.0
15............................................         0.0          0.0
16............................................         0.0          0.0
17............................................         0.0          0.0
18............................................         0.0          0.0
19............................................         0.0          0.0
20............................................         0.0          0.0
21............................................         0.0          0.0
22............................................         0.0          0.0
23............................................         0.0          0.0
24............................................         0.0          0.0
25............................................         7.00        44.40
26............................................        16.00        85.40
27............................................        27.00        97.80
28............................................        38.00       100.00
29............................................        45.00       100.00
30............................................        51.00       100.00
31............................................        54.00        97.50
32............................................        53.00        90.00
33............................................        49.00        75.20
34............................................        45.00        50.00
35............................................        40.00        10.00
36............................................        34.00         2.30
37............................................        27.00         0.0
38............................................        21.00         2.30
39............................................        16.00        12.00
40............................................        12.00        35.30
41............................................         8.50         4.90
42............................................         5.00       -10.00
43............................................         3.00       -10.00
44............................................         0.0          0.0
45............................................         0.0          0.0
46............................................         0.0          0.0
47............................................         0.0          0.0
48............................................         0.0          0.0
49............................................         0.0          0.0
50............................................         0.0          0.0
51............................................         3.00        10.00
52............................................        11.00        40.20
53............................................        20.00        53.00
54............................................        27.50        64.80
55............................................        32.00        78.00
56............................................        32.00        78.00
57............................................        27.50        56.00
58............................................        26.00        24.40
59............................................        24.00        -8.40
60............................................        23.00       -10.00
61............................................        24.00       -10.00
62............................................        27.00       -10.00
63............................................        34.00       -10.00
64............................................        44.00        28.00
65............................................        57.00        74.40
66............................................        60.00        74.40
67............................................        53.00        33.60
68............................................        48.00       -10.00
69............................................        44.00       -10.00
70............................................        40.00       -10.00
71............................................        40.00         7.00
72............................................        44.00        22.70
73............................................        46.00        30.00
74............................................        46.00        32.00
75............................................        44.00        25.00
76............................................        40.00        18.00
77............................................        37.00        14.00
78............................................        36.00        10.00
79............................................        34.00         0.0
80............................................        34.00       -10.00
81............................................        32.00       -10.00
82............................................        31.00       -10.00
83............................................        36.00        39.90
84............................................        42.00        84.70
85............................................        48.00        90.00
86............................................        50.00        90.00
87............................................        50.00        90.00
88............................................        47.00        85.00
89............................................        43.00        75.00
90............................................        38.00        60.00
91............................................        36.00        36.00
92............................................        36.00         7.50
93............................................        36.30       -10.00
94............................................        45.00        64.50
95............................................        53.00        67.00
96............................................        58.00        64.50
97............................................        62.00        60.30
98............................................        63.00        55.50
99............................................        62.00        52.30
100...........................................        61.00        47.00
101...........................................        55.00        44.00
102...........................................        50.00        39.00
103...........................................        45.00        36.00
104...........................................        40.00        34.00
105...........................................        36.00        30.00
106...........................................        34.00        25.80
107...........................................        32.00        20.00
108...........................................        30.00        14.60
109...........................................        26.00        10.00
110...........................................        23.00         0.0
111...........................................        18.00        -8.00
112...........................................        16.00       -10.00
113...........................................        18.00        -8.00
114...........................................        20.00        27.60
115...........................................        17.00         4.00
116...........................................        14.00        -8.00
117...........................................        12.00       -10.00
118...........................................         9.00       -10.00
119...........................................         7.00       -10.00
120...........................................         7.00       -10.00
121...........................................         5.00       -10.00
122...........................................         4.00       -10.00
123...........................................         3.00       -10.00
124...........................................         2.00        -8.00
125...........................................         0.0          0.0
126...........................................         0.0          0.0
127...........................................         0.0          0.0
128...........................................         0.0          0.0
129...........................................         0.0          0.0
130...........................................         5.00         8.00
131...........................................         8.00        16.30
132...........................................        10.00        27.50
133...........................................         8.00        27.50
134...........................................         5.00         9.00
135...........................................         2.00         1.80
136...........................................         0.0          0.0
137...........................................         0.0          0.0
138...........................................         0.0          0.0
139...........................................         0.0          0.0

[[Page 1162]]

 
140...........................................         0.0          0.0
141...........................................         0.0          0.0
142...........................................         0.0          0.0
143...........................................         0.0          0.0
144...........................................         0.0          0.0
145...........................................         0.0          0.0
146...........................................         0.0          0.0
147...........................................         0.0          0.0
148...........................................         0.0          0.0
149...........................................         2.00         4.80
150...........................................         1.00         4.50
151...........................................         0.0          0.0
152...........................................         0.0          0.0
153...........................................         0.0          0.0
154...........................................         0.0          0.0
155...........................................         0.0          0.0
156...........................................         0.0          0.0
157...........................................         0.0          0.0
158...........................................         0.0          0.0
159...........................................         0.0          0.0
160...........................................         0.0          0.0
161...........................................         0.0          0.0
162...........................................         0.0          0.0
163...........................................         0.0          0.0
164...........................................         0.0          0.0
165...........................................         0.0          0.0
166...........................................         0.0          0.0
167...........................................         8.00        27.00
168...........................................        18.00        65.00
169...........................................        23.00        82.50
170...........................................        23.00        88.00
171...........................................        21.00        88.00
172...........................................        18.00        81.30
173...........................................        17.00        32.00
174...........................................        15.00       -10.00
175...........................................        13.00       -10.00
176...........................................        11.00       -10.00
177...........................................         8.00       -10.00
178...........................................         6.00       -10.00
179...........................................         4.00       -10.00
180...........................................         2.00       -10.00
181...........................................         0.0          0.0
182...........................................         0.0          0.0
183...........................................         0.0          0.0
184...........................................         0.0          0.0
185...........................................         0.0          0.0
186...........................................         0.0          0.0
187...........................................         0.0          0.0
188...........................................         0.0          0.0
189...........................................         0.0          0.0
190...........................................         0.0          0.0
191...........................................         0.0          0.0
192...........................................         0.0          0.0
193...........................................         0.0          0.0
194...........................................         0.0          0.0
195...........................................         0.0          0.0
196...........................................         0.0          0.0
197...........................................         0.0          0.0
198...........................................         0.0          0.0
199...........................................         0.0          0.0
200...........................................         0.0          0.0
201...........................................         0.0          0.0
202...........................................         0.0          0.0
203...........................................         0.0          0.0
204...........................................         0.0          4.00
205...........................................         0.50         7.70
206...........................................         5.00        14.00
207...........................................        11.00        24.70
208...........................................        15.00        42.30
209...........................................        16.00        70.00
210...........................................        17.00        70.00
211...........................................        17.00        50.00
212...........................................        16.00        26.30
213...........................................        14.00         5.00
214...........................................        10.00       -10.00
215...........................................        10.00       -10.00
216...........................................        14.00        73.30
217...........................................        18.00        83.00
218...........................................        19.00        84.80
219...........................................        18.00        84.80
220...........................................        16.00        82.80
221...........................................        11.00        74.00
222...........................................         7.00         8.50
223...........................................         4.00         0.0
224...........................................         0.0          0.0
225...........................................         0.0          0.0
226...........................................         0.0          0.0
227...........................................         0.0          0.0
228...........................................         0.0          0.0
229...........................................         0.0          0.0
230...........................................         0.0          0.0
231...........................................         0.0          0.0
232...........................................         0.0          0.0
233...........................................         6.00        17.60
234...........................................         6.00        19.60
235...........................................         5.00        14.00
236...........................................         3.00         9.80
237...........................................         1.00         5.50
238...........................................         0.0          3.00
239...........................................         0.0          0.0
240...........................................         0.0          0.0
241...........................................         0.0          0.0
242...........................................         0.0          0.0
243...........................................         0.0          0.0
244...........................................         0.0          0.0
245...........................................         0.0          0.0
246...........................................         0.0          0.0
247...........................................         0.0          0.0
248...........................................         0.0          0.0
249...........................................         0.0          0.0
250...........................................         0.0          0.0
251...........................................         0.0          0.0
252...........................................         0.0          0.0
253...........................................         0.0          0.0
254...........................................         0.0          0.0
255...........................................         0.0          0.0
256...........................................         0.0          0.0
257...........................................         0.0          0.0
258...........................................         0.0          0.0
259...........................................         0.0          0.0
260...........................................         0.0          0.0
261...........................................         0.0          0.0
262...........................................         0.0          0.0
263...........................................         0.0          0.0
264...........................................         0.0          0.0
265...........................................         0.0          0.0
266...........................................         0.0          0.0
267...........................................         0.0          0.0
268...........................................         0.0          0.0
269...........................................         0.0          0.0
270...........................................         0.0          0.0
271...........................................         0.0          0.0
272...........................................         0.0          0.0
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280...........................................         0.0          0.0
281...........................................         0.0          7.00

[[Page 1163]]

 
282...........................................         1.00        10.00
283...........................................         2.00        11.50
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304...........................................        19.00        36.00
305...........................................        24.50        36.00
306...........................................        24.50        36.00
307...........................................        24.00        30.00
308...........................................        19.00        24.00
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330...........................................        44.00        84.40
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335...........................................        45.00        90.00
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340...........................................        35.00        10.00
341...........................................        35.00        10.00
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345...........................................        39.00        50.00
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349...........................................        48.00        50.00
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353...........................................        68.00        70.00
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355...........................................        65.50        64.60
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422...........................................         0.0          0.0
423...........................................         0.0          0.0

[[Page 1164]]

 
424...........................................         0.0          0.0
425...........................................         0.0          0.0
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433...........................................        20.00        30.00
434...........................................        24.40        11.00
435...........................................        24.00        10.00
436...........................................        24.00        12.00
437...........................................        28.00        52.00
438...........................................        32.00        52.00
439...........................................        34.00        46.00
440...........................................        34.00        30.00
441...........................................        34.50        30.00
442...........................................        35.00        30.00
443...........................................        36.00        35.00
444...........................................        39.00        40.00
445...........................................        45.00        50.00
446...........................................        49.00        56.00
447...........................................        50.00        -8.00
448...........................................        45.00       -10.00
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450...........................................        34.00       -10.00
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455...........................................        15.00       -10.00
456...........................................        12.00       -10.00
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462...........................................        71.00        99.00
463...........................................        77.00       100.00
464...........................................        84.00       100.00
465...........................................        85.00        99.00
466...........................................        85.00        95.00
467...........................................        84.00        90.00
468...........................................        82.00        84.60
469...........................................        80.00        78.50
470...........................................        78.00        78.50
471...........................................        77.00        70.00
472...........................................        76.00        65.50
473...........................................        74.00        61.50
474...........................................        72.00        56.00
475...........................................        70.00        52.00
476...........................................        68.00        46.00
477...........................................        66.50        40.00
478...........................................        65.00        32.00
479...........................................        63.00        26.00
480...........................................        61.00        25.60
481...........................................        61.00        72.00
482...........................................        61.00        78.00
483...........................................        58.00        72.00
484...........................................        50.00        64.00
485...........................................        44.00        55.00
486...........................................        35.00        40.00
487...........................................        26.00        20.00
488...........................................        21.00        -4.00
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490...........................................        16.00       -10.00
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495...........................................        51.00        86.00
496...........................................        58.00        92.00
497...........................................        64.00        97.00
498...........................................        71.00       100.00
499...........................................        73.00        98.00
500...........................................        73.00        94.00
501...........................................        73.00        86.00
502...........................................        73.00        82.00
503...........................................        76.00        84.00
504...........................................        80.00        98.00
505...........................................        84.00       100.00
506...........................................        85.00       100.00
507...........................................        84.00       100.00
508...........................................        81.00        92.00
509...........................................        75.00        80.00
510...........................................        73.00        70.00
511...........................................        70.00        60.00
512...........................................        67.00        53.00
513...........................................        65.00        45.00
514...........................................        63.00        36.50
515...........................................        62.00        28.00
516...........................................        61.00        22.50
517...........................................        60.00        23.00
518...........................................        60.00        24.00
519...........................................        60.00        24.00
520...........................................        60.00        26.00
521...........................................        61.00        60.00
522...........................................        62.00        64.00
523...........................................        63.00        64.00
524...........................................        64.00        64.00
525...........................................        62.00        64.00
526...........................................        56.00        60.00
527...........................................        53.00        -7.00
528...........................................        49.00       -10.00
529...........................................        47.00       -10.00
530...........................................        46.00       -10.00
531...........................................        45.00        -7.00
532...........................................        45.00        30.00
533...........................................        46.00        50.00
534...........................................        46.00        50.00
535...........................................        47.00        50.00
536...........................................        47.00        50.00
537...........................................        47.00        30.00
538...........................................        46.00        12.00
539...........................................        45.00        10.50
540...........................................        44.00        10.00
541...........................................        41.00        10.00
542...........................................        37.00         9.00
543...........................................        36.00         2.00
544...........................................        35.00       -10.00
545...........................................        38.00        67.00
546...........................................        35.00       -10.00
547...........................................        31.00        15.00
548...........................................        28.00        55.00
549...........................................        34.00        44.00
550...........................................        35.00        38.50
551...........................................        36.00        38.50
552...........................................        36.00        38.50
553...........................................        37.00        38.50
554...........................................        39.00        36.00
555...........................................        42.00        27.00
556...........................................        45.00        62.00
557...........................................        48.00        45.00
558...........................................        51.00        15.00
559...........................................        51.00         8.00
560...........................................        51.00         6.00
561...........................................        48.00        10.00
562...........................................        46.00        11.00
563...........................................        44.00        13.00
564...........................................        41.00        17.00
565...........................................        37.00        20.00

[[Page 1165]]

 
566...........................................        34.00        20.00
567...........................................        30.00        17.00
568...........................................        26.00        14.00
569...........................................        23.00         7.00
570...........................................        19.00         2.00
571...........................................        15.00        -5.00
572...........................................        11.00       -10.00
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585...........................................        30.00        46.00
586...........................................        37.00        68.00
587...........................................        40.00        76.00
588...........................................        41.00        77.00
589...........................................        40.50        78.00
590...........................................        40.00        77.00
591...........................................        40.00        64.00
592...........................................        38.00        10.00
593...........................................        38.00        25.00
594...........................................        40.00        50.00
595...........................................        40.00        36.00
596...........................................        40.00        31.00
597...........................................        40.00        31.00
598...........................................        41.00        37.00
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600...........................................        43.00       100.00
601...........................................        45.00       100.00
602...........................................        47.00       100.00
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605...........................................        51.00        97.00
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610...........................................        56.00        85.00
611...........................................        55.50        85.00
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613...........................................        54.00        77.00
614...........................................        53.00        72.00
615...........................................        52.00        67.00
616...........................................        49.00        60.00
617...........................................        46.00        45.00
618...........................................        45.00        12.00
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620...........................................        44.00        10.00
621...........................................        45.00        12.00
622...........................................        46.00        14.00
623...........................................        47.00        24.00
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625...........................................        50.00        90.00
626...........................................        51.00        90.00
627...........................................        52.00        90.00
628...........................................        53.00        90.00
629...........................................        54.00        90.00
630...........................................        54.00        90.00
631...........................................        54.00        87.00
632...........................................        54.00        84.00
633...........................................        54.00        80.00
634...........................................        53.50        77.00
635...........................................        53.00        76.00
636...........................................        53.00        75.00
637...........................................        52.00        73.00
638...........................................        51.00        69.00
639...........................................        50.00        65.00
640...........................................        50.00        60.00
641...........................................        49.00        55.00
642...........................................        49.00        50.00
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644...........................................        49.50        60.00
645...........................................        49.50        65.00
646...........................................        50.00        70.00
647...........................................        50.50        75.00
648...........................................        51.00        80.00
649...........................................        52.00        85.00
650...........................................        53.00        90.00
651...........................................        54.00        90.00
652...........................................        55.00        90.00
653...........................................        55.00        88.00
654...........................................        55.00        84.00
655...........................................        55.00        79.00
656...........................................        55.00        74.00
657...........................................        55.00        69.00
658...........................................        55.00        64.00
659...........................................        55.00        59.00
660...........................................        55.00        54.00
661...........................................        55.00        49.00
662...........................................        55.00        44.50
663...........................................        55.00        39.00
664...........................................        55.00        34.00
665...........................................        55.00        27.00
666...........................................        55.00        18.00
667...........................................        55.00         8.00
668...........................................        55.00         6.00
669...........................................        55.00        13.00
670...........................................        55.00        27.00
671...........................................        55.50        30.00
672...........................................        56.00        30.00
673...........................................        57.00        30.00
674...........................................        58.00        34.00
675...........................................        59.00        46.00
676...........................................        59.00        89.00
677...........................................        59.00        90.00
678...........................................        59.00        91.00
679...........................................        59.00        91.00
680...........................................        60.00        91.00
681...........................................        60.00        91.00
682...........................................        60.50        90.00
683...........................................        61.00        89.00
684...........................................        61.50        88.00
685...........................................        62.00        83.00
686...........................................        63.00        73.00
687...........................................        65.00        70.00
688...........................................        66.00        71.00
689...........................................        67.00        74.00
690...........................................        67.50        79.00
691...........................................        68.00        85.00
692...........................................        68.50        90.00
693...........................................        69.00        94.00
694...........................................        69.50        96.00
695...........................................        70.00        98.00
696...........................................        70.50       100.00
697...........................................        71.00       100.00
698...........................................        72.00       100.00
699...........................................        72.00       100.00
700...........................................        72.00       100.00
701...........................................        72.00       100.00
702...........................................        72.00       100.00
703...........................................        72.00       100.00
704...........................................        72.00       100.00
705...........................................        72.00       100.00
706...........................................        72.00       100.00
707...........................................        72.50       100.00

[[Page 1166]]

 
708...........................................        73.00       100.00
709...........................................        73.50       100.00
710...........................................        74.00       100.00
711...........................................        74.00       100.00
712...........................................        74.50       100.00
713...........................................        75.00       100.00
714...........................................        75.00       100.00
715...........................................        75.00       100.00
716...........................................        75.00       100.00
717...........................................        75.00       100.00
718...........................................        75.00       100.00
719...........................................        75.00       100.00
720...........................................        75.00       100.00
721...........................................        75.00       100.00
722...........................................        75.00       100.00
723...........................................        75.00        98.00
724...........................................        75.00        90.00
725...........................................        75.00        34.00
726...........................................        74.00        15.00
727...........................................        72.00         3.00
728...........................................        70.00        -7.00
729...........................................        69.00       -10.00
730...........................................        68.00       -10.00
731...........................................        70.50        53.00
732...........................................        73.00        80.00
733...........................................        75.00        88.00
734...........................................        77.00        94.00
735...........................................        79.00        97.00
736...........................................        82.00        97.00
737...........................................        85.00        98.00
738...........................................        85.00        98.00
739...........................................        87.00        97.00
740...........................................        90.00        95.00
741...........................................        92.00        90.00
742...........................................        93.00        88.00
743...........................................        94.00        86.00
744...........................................        95.00        83.00
745...........................................        96.00        79.00
746...........................................        97.00        74.00
747...........................................        98.00        68.00
748...........................................        99.00        62.00
749...........................................       100.00        54.00
750...........................................       100.00        30.00
751...........................................       100.00        22.00
752...........................................       100.00        20.00
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754...........................................       100.00        30.00
755...........................................       100.00        65.00
756...........................................       100.00        76.00
757...........................................       100.00        80.00
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761...........................................        95.00        30.00
762...........................................        85.00        12.00
763...........................................        68.00        -5.00
764...........................................        57.00        -9.00
765...........................................        56.00       -10.00
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767...........................................        57.00        -5.00
768...........................................        57.00        22.00
769...........................................        58.00        40.00
770...........................................        59.00        45.00
771...........................................        59.00        46.00
772...........................................        59.50        45.00
773...........................................        60.00        33.00
774...........................................        60.00         0.0
775...........................................        60.00       -10.00
776...........................................        60.00       -10.00
777...........................................        60.00        34.00
778...........................................        60.00        50.00
779...........................................        60.00        60.00
780...........................................        60.00        69.00
781...........................................        60.00        75.00
782...........................................        60.00        79.00
783...........................................        61.00        83.00
784...........................................        61.00        84.00
785...........................................        61.00        85.00
786...........................................        62.00        85.00
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788...........................................        62.00        85.00
789...........................................        63.00        85.00
790...........................................        63.00        85.00
791...........................................        64.00        85.00
792...........................................        64.00        85.00
793...........................................        64.00        85.00
794...........................................        64.00        85.00
795...........................................        64.00        85.00
796...........................................        64.00        84.50
797...........................................        64.00        84.00
798...........................................        64.00        83.00
799...........................................        64.00        82.00
800...........................................        64.00        81.00
801...........................................        64.00        77.00
802...........................................        64.00        72.00
803...........................................        65.00        67.00
804...........................................        66.00        64.00
805...........................................        67.00        60.00
806...........................................        69.00        62.30
807...........................................        72.00        84.00
808...........................................        73.00        90.50
809...........................................        74.00        91.00
810...........................................        74.00        90.00
811...........................................        74.00        84.50
812...........................................        73.00        74.00
813...........................................        72.00        66.00
814...........................................        71.00        60.00
815...........................................        70.00        54.00
816...........................................        69.00        50.00
817...........................................        68.00        49.00
818...........................................        68.00        48.00
819...........................................        68.00        48.00
820...........................................        68.00        48.50
821...........................................        68.00        49.00
822...........................................        68.00        51.00
823...........................................        68.00        53.50
824...........................................        68.00        55.00
825...........................................        68.00        58.00
826...........................................        68.00        60.00
827...........................................        68.00        62.00
828...........................................        68.00        64.00
829...........................................        68.00        67.00
830...........................................        69.00        68.50
831...........................................        70.00        70.00
832...........................................        70.00        70.00
833...........................................        70.00        70.00
834...........................................        70.00        70.00
835...........................................        70.00        70.00
836...........................................        70.00        70.00
837...........................................        71.00        66.00
838...........................................        73.00        64.00
839...........................................        75.00        64.00
840...........................................        77.00        98.00
841...........................................        79.00       100.00
842...........................................        81.00       100.00
843...........................................        82.00       100.00
844...........................................        83.00       100.00
845...........................................        84.00        98.00
846...........................................        84.00        94.00
847...........................................        85.00        93.00
848...........................................        86.00        94.00
849...........................................        87.00        98.00

[[Page 1167]]

 
850...........................................        89.00       100.00
851...........................................        92.00       100.00
852...........................................        95.00       100.00
853...........................................        97.50       100.00
854...........................................       100.00       100.00
855...........................................       100.00       100.00
856...........................................       100.00       100.00
857...........................................       100.00       100.00
858...........................................       100.00        97.00
859...........................................        96.00        -6.00
860...........................................        94.00       -10.00
861...........................................        91.00       -10.00
862...........................................        88.00       -10.00
863...........................................        86.00       -10.00
864...........................................        84.00       -10.00
865...........................................        82.00       -10.00
866...........................................        79.00       -10.00
867...........................................        77.00       -10.00
868...........................................        75.00       -10.00
869...........................................        73.00       -10.00
870...........................................        72.00       -10.00
871...........................................        72.00       -10.00
872...........................................        72.00        -8.00
873...........................................        71.00         8.00
874...........................................        68.00         9.00
875...........................................        64.00        -9.00
876...........................................        58.00        -8.00
877...........................................        56.00        53.00
878...........................................        56.00        67.00
879...........................................        56.00        70.00
880...........................................        56.00        67.00
881...........................................        55.00        60.00
882...........................................        54.00        60.00
883...........................................        49.00        75.00
884...........................................        38.00        80.00
885...........................................        30.00        78.00
886...........................................        25.00        53.00
887...........................................        18.00        32.00
888...........................................        14.00        16.00
889...........................................         9.00         3.00
890...........................................         5.00        -6.00
891...........................................         1.00       -10.00
892...........................................         0.0          0.0
893...........................................         0.0          0.0
894...........................................         0.0          0.0
895...........................................         0.0          0.0
896...........................................         0.0          0.0
987...........................................         0.0          0.0
898...........................................         0.0          0.0
899...........................................         0.0          0.0
900...........................................         0.0          0.0
901...........................................         0.0          0.0
902...........................................         0.0          0.0
903...........................................         0.0          0.0
904...........................................         0.0          0.0
905...........................................         0.0          0.0
906...........................................         0.0          0.0
907...........................................         0.0          0.0
908...........................................         0.0          0.0
909...........................................         0.0          0.0
910...........................................         0.0          0.0
911...........................................         0.0          0.0
912...........................................         0.0          0.0
913...........................................         0.0          0.0
914...........................................         0.0          0.0
915...........................................         0.0          0.0
916...........................................         0.0          0.0
917...........................................         0.0          0.0
918...........................................         0.0          0.0
919...........................................         0.0          0.0
920...........................................         4.50        47.00
921...........................................        12.00        85.00
922...........................................        30.00        97.00
923...........................................        42.00       100.00
924...........................................        51.00       100.00
925...........................................        54.00       100.00
926...........................................        54.00        97.00
927...........................................        52.00        90.00
928...........................................        48.00        75.00
929...........................................        44.00        57.00
930...........................................        37.00        47.00
931...........................................        29.00        40.00
932...........................................        24.00        34.00
933...........................................        21.00        27.00
934...........................................        22.00        24.00
935...........................................        22.50        22.00
936...........................................        20.00        16.00
937...........................................        15.00         7.00
938...........................................        10.00         0.0
939...........................................         5.00        -7.00
940...........................................         2.00       -10.00
941...........................................         1.00       -10.00
942...........................................         0.0          0.0
943...........................................         0.0          0.0
944...........................................         0.0          0.0
945...........................................         1.00         0.0
946...........................................         5.00        20.00
947...........................................        15.00        43.00
948...........................................        28.00        52.00
949...........................................        34.00        64.00
950...........................................        37.00        74.00
951...........................................        37.50        90.00
952...........................................        37.00        56.00
953...........................................        36.00        27.00
954...........................................        35.00        -2.00
955...........................................        33.00        -8.00
956...........................................        29.00       -10.00
957...........................................        29.00        -8.00
958...........................................        29.00        -2.00
959...........................................        34.00        30.00
960...........................................        38.00        75.00
961...........................................        34.00        70.00
962...........................................        31.00        25.00
963...........................................        28.00        -7.00
964...........................................        26.00       -10.00
965...........................................        24.00        -7.00
966...........................................        23.00         4.00
967...........................................        23.00        22.00
968...........................................        24.00        30.00
969...........................................        23.00        32.00
970...........................................        22.00        25.00
971...........................................        18.00        18.00
972...........................................        16.00        14.00
973...........................................        15.00        10.00
974...........................................        15.00         0.0
975...........................................        15.00        -7.00
976...........................................        15.00       -10.00
977...........................................        18.00        -8.00
978...........................................        25.00        40.00
979...........................................        37.00        90.00
980...........................................        46.00        90.00
981...........................................        49.00        90.00
982...........................................        49.00        90.00
983...........................................        49.00        85.00
984...........................................        47.00        77.00
985...........................................        44.00        59.00
986...........................................        43.00        36.00
987...........................................        42.00        13.00
988...........................................        40.00       -10.00
989...........................................        41.00        65.00
990...........................................        44.00        65.00
991...........................................        45.00        65.00

[[Page 1168]]

 
992...........................................        45.00        62.00
993...........................................        44.00        56.00
994...........................................        42.00        46.00
995...........................................        41.00        36.00
996...........................................        39.00        20.00
997...........................................        38.00         4.00
998...........................................        37.00        33.00
999...........................................        38.00        39.00
1,000.........................................        36.00        40.00
1,001.........................................        35.00        40.00
1,002.........................................        33.00        39.00
1,003.........................................        30.00        36.00
1,004.........................................        27.00        33.00
1,005.........................................        22.00        24.00
1,006.........................................        21.00        -5.00
1,007.........................................        20.00       -10.00
1,008.........................................        18.00        -6.00
1,009.........................................        17.00        28.00
1,010.........................................        16.00         5.00
1,011.........................................        14.00        -5.00
1,012.........................................        12.00        -9.00
1,013.........................................         9.00       -10.00
1,014.........................................         7.00       -10.00
1,015.........................................         5.00       -10.00
1,016.........................................         4.00       -10.00
1,017.........................................         3.00       -10.00
1,018.........................................         2.00       -10.00
1,019.........................................         0.0          0.0
1,020.........................................         0.0          0.0
1,021.........................................         0.0          0.0
1,022.........................................         0.0          0.0
1,023.........................................         0.0          0.0
1,024.........................................         0.0          0.0
1,025.........................................         2.00         7.00
1,026.........................................         6.00        15.00
1,027.........................................        10.00        28.00
1,028.........................................        11.00        26.00
1,029.........................................        10.00        10.00
1,030.........................................         8.00         3.00
1,031.........................................         5.00         0.0
1,032.........................................         2.00         0.0
1,033.........................................         0.0          0.0
1,034.........................................         0.0          0.0
1,035.........................................         0.0          0.0
1,036.........................................         0.0          0.0
1,037.........................................         0.0          0.0
1,038.........................................         0.0          0.0
1,039.........................................         0.0          0.0
1,040.........................................         0.0          0.0
1,041.........................................         0.0          0.0
1,042.........................................         0.0          0.0
1,043.........................................         0.0          0.0
1,044.........................................         0.0          0.0
1,045.........................................         0.0          0.0
1,046.........................................         0.0          0.0
1,047.........................................         0.0          0.0
1,048.........................................         0.0          0.0
1,049.........................................         0.0          0.0
1,050.........................................         0.0          0.0
1,051.........................................         0.0          0.0
1,052.........................................         0.0          0.0
1,053.........................................         0.0          0.0
1,054.........................................         0.0          0.0
1,055.........................................         0.0          0.0
1,056.........................................         0.0          0.0
1,057.........................................         0.0          0.0
1,058.........................................         0.0          0.0
1,059.........................................         0.0          0.0
1,060.........................................         0.0          0.0
1,061.........................................         4.00        05.00
1,062.........................................        11.00        35.00
1,063.........................................        21.00        73.00
1,064.........................................        25.00        86.00
1,065.........................................        26.00        90.00
1,066.........................................        25.00        90.00
1,067.........................................        23.00        83.00
1,068.........................................        20.00        32.00
1,069.........................................        16.00        -6.00
1,070.........................................        14.00       -10.00
1,071.........................................        10.00       -10.00
1,072.........................................         7.00       -10.00
1,073.........................................         3.00       -10.00
1,074.........................................         1.00       -10.00
1,075.........................................         0.0          0.0
1,076.........................................         0.0          0.0
1,077.........................................         0.0          0.0
1,078.........................................         0.0          0.0
1,079.........................................         0.0          0.0
1,080.........................................         0.0          0.0
1,081.........................................         0.0          0.0
1,082.........................................         0.0          0.0
1,083.........................................         0.0          0.0
1,084.........................................         0.0          0.0
1,085.........................................         0.0          0.0
1,086.........................................         0.0          0.0
1,087.........................................         0.0          0.0
1,088.........................................         0.0          0.0
1,089.........................................         0.0          0.0
1,090.........................................         0.0          0.0
1,091.........................................         0.0          0.0
1,092.........................................         0.0          0.0
1,093.........................................         0.0          0.0
1,094.........................................         0.0          0.0
1,095.........................................         0.0          0.0
1,096.........................................         0.0          0.0
1,097.........................................         0.0          0.0
1,098.........................................         1.00         3.00
1,099.........................................         3.00         6.00
1,100.........................................         6.00        13.00
1,101.........................................         9.00        14.00
1,102.........................................        12.00        16.00
1,103.........................................        15.00        28.00
1,104.........................................        18.00        60.00
1,105.........................................        20.00        47.00
1,106.........................................        21.00        31.00
1,107.........................................        21.00        15.00
1,108.........................................        20.00        -2.00
1,109.........................................        20.00       -10.00
1,110.........................................        20.00        -2.00
1,111.........................................        20.00        70.00
1,112.........................................        21.00        83.00
1,113.........................................        22.00        84.00
1,114.........................................        22.00        83.00
1,115.........................................        18.00        78.00
1,116.........................................        14.00        68.00
1,117.........................................         8.00        10.00
1,118.........................................         4.00         4.00
1,119.........................................         1.00         0.0
1,120.........................................         0.0          0.0
1,121.........................................         0.0          0.0
1,122.........................................         0.0          0.0
1,123.........................................         0.0          0.0
1,124.........................................         0.0          0.0
1,125.........................................         0.0          1.00
1,126.........................................         1.00         5.00
1,127.........................................         5.00        18.00
1,128.........................................         9.00        19.00
1,129.........................................        12.00        18.00
1,130.........................................        12.00        15.00
1,131.........................................         9.00        10.00
1,132.........................................         5.00         5.00
1,133.........................................         2.00         2.00

[[Page 1169]]

 
1,134.........................................         0.0          0.0
1,135.........................................         0.0          0.0
1,136.........................................         0.0          0.0
1,137.........................................         0.0          0.0
1,138.........................................         0.0          0.0
1,139.........................................         0.0          0.0
1,140.........................................         0.0          0.0
1,141.........................................         0.0          0.0
1,142.........................................         0.0          0.0
1,143.........................................         0.0          0.0
1,144.........................................         0.0          0.0
1,145.........................................         0.0          0.0
1,146.........................................         0.0          0.0
1,147.........................................         0.0          0.0
1,148.........................................         0.0          0.0
1,149.........................................         0.0          0.0
1,150.........................................         0.0          0.0
1,151.........................................         0.0          0.0
1,152.........................................         0.0          0.0
1,153.........................................         0.0          0.0
1,154.........................................         0.0          0.0
1,155.........................................         0.0          0.0
1,156.........................................         0.0          0.0
1,157.........................................         0.0          0.0
1,158.........................................         0.0          0.0
1,159.........................................         0.0          0.0
1,160.........................................         0.0          0.0
1,161.........................................         0.0          0.0
1,162.........................................         0.0          0.0
1,163.........................................         0.0          0.0
1,164.........................................         0.0          0.0
1,165.........................................         0.0          0.0
1,166.........................................         0.0          0.0
1,167.........................................         0.0          0.0
------------------------------------------------------------------------

    (2) EPA Engine Dynamometer Schedule for Heavy-Duty Diesel Engines.

------------------------------------------------------------------------
                                                         Percent
                                               -------------------------
               Record (seconds)                  Normalized
                                                revolutions   Normalized
                                                 per minute     torque
------------------------------------------------------------------------
1.............................................         0.0          0.0
2.............................................         0.0          0.0
3.............................................         0.0          0.0
4.............................................         0.0          0.0
5.............................................         0.0          0.0
6.............................................         0.0          0.0
7.............................................         0.0          0.0
8.............................................         0.0          0.0
9.............................................         0.0          0.0
10............................................         0.0          0.0
11............................................         0.0          0.0
12............................................         0.0          0.0
13............................................         0.0          0.0
14............................................         0.0          0.0
15............................................         0.0          0.0
16............................................         0.0          0.0
17............................................         0.0          0.0
18............................................         0.0          0.0
19............................................         0.0          0.0
20............................................         0.0          0.0
21............................................         0.0          0.0
22............................................         0.0          0.0
23............................................         0.0          0.0
24............................................         0.0          0.0
25............................................         0.0          3.67
26............................................         0.0         47.69
27............................................         3.11        59.41
28............................................         9.09        84.54
29............................................        15.62        80.00
30............................................        33.49        80.00
31............................................        37.93        79.29
32............................................        31.20        38.25
33............................................        21.99        26.67
34............................................        30.00        15.10
35............................................        22.23        16.47
36............................................        19.61        28.05
37............................................        20.00        20.38
38............................................        18.33     (\1\)
39............................................         6.55     (\1\)
40............................................        15.82     (\1\)
41............................................        23.63     (\1\)
42............................................        17.51     (\1\)
43............................................        14.19        62.52
44............................................        16.64        69.36
45............................................        27.77        60.00
46............................................        37.03        63.79
47............................................        47.36        75.36
48............................................        54.77        80.00
49............................................        57.70        80.00
50............................................        54.03        79.92
51............................................        58.00        65.03
52............................................        58.65        43.23
53............................................        62.88        50.00
54............................................        69.83        50.00
55............................................        72.00        42.05
56............................................        75.81        40.00
57............................................        84.22        42.20
58............................................        83.86        41.28
59............................................        80.55     (\1\)
60............................................        80.51     (\1\)
61............................................        78.00     (\1\)
62............................................        79.79     (\1\)
63............................................        80.33        30.54
64............................................        85.58        42.12
65............................................        81.78        50.00
66............................................        78.00        50.00
67............................................        80.74        43.16
68............................................        92.10        73.65
69............................................        88.01     (\1\)
70............................................        84.00     (\1\)
71............................................        84.00     (\1\)
72............................................        81.17     (\1\)
73............................................        70.46     (\1\)
74............................................        66.00        13.57
75............................................        62.23        29.43
76............................................        64.00        20.00
77............................................        63.48        17.42
78............................................        60.34        10.00
79............................................        56.85        10.00
80............................................        56.00     (\1\)
81............................................        52.45     (\1\)
82............................................        39.91        10.00
83............................................        36.38        10.00
84............................................        30.00        10.00
85............................................        27.93        10.00
86............................................        26.00        16.74
87............................................        27.66         3.36
88............................................        28.00     (\1\)
89............................................        27.41     (\1\)
90............................................        20.96     (\1\)
91............................................        12.15     (\1\)
92............................................         3.81     (\1\)
93............................................         0.0          0.0
94............................................         0.0          0.0
95............................................         0.0          0.91
96............................................         0.0          7.52
97............................................         0.0          0.0
98............................................         0.0          0.0

[[Page 1170]]

 
99............................................         0.0          0.0
100...........................................         0.0          0.0
101...........................................         0.0          0.0
102...........................................         0.0          0.0
103...........................................         0.0          0.0
104...........................................         0.0          0.0
105...........................................         0.0          0.0
106...........................................         0.0          0.0
107...........................................         0.0          0.0
108...........................................         0.0          0.0
109...........................................         0.0          0.0
110...........................................         0.0          0.0
111...........................................         0.0          0.0
112...........................................         0.0          0.0
113...........................................         0.0          0.0
114...........................................         0.0          0.0
115...........................................         0.0          0.0
116...........................................         0.0          0.0
117...........................................         0.0          0.0
118...........................................         0.0          0.0
119...........................................         0.0          0.0
120...........................................         0.0          0.0
121...........................................         0.0          0.0
122...........................................         0.0          0.0
123...........................................         0.0          0.0
124...........................................         0.0          0.0
125...........................................         0.0          0.0
126...........................................         0.0          0.0
127...........................................         0.0          0.0
128...........................................         0.0          0.0
129...........................................         1.77     (\1\)
130...........................................         1.60     (\1\)
131...........................................         0.0          0.0
132...........................................         0.0          0.0
133...........................................         2.14         9.28
134...........................................         3.08         0.0
135...........................................         0.0          0.0
136...........................................         0.0          0.0
137...........................................         0.0          0.0
138...........................................         0.0          0.0
139...........................................         0.0          0.0
140...........................................         0.0          0.0
141...........................................         0.0          0.0
142...........................................         0.0          0.0
143...........................................         0.0          0.0
144...........................................         0.0          0.0
145...........................................         0.0          0.0
146...........................................         0.0          0.0
147...........................................         0.0          5.51
148...........................................         0.0         11.34
149...........................................         0.0          0.0
150...........................................         0.0          0.0
151...........................................         0.0          0.0
152...........................................         0.0          0.0
153...........................................         0.0          0.0
154...........................................         0.0          0.0
155...........................................         0.0          0.0
156...........................................         0.0          0.0
157...........................................         0.0          0.0
158...........................................         0.0          0.21
159...........................................         0.0         30.00
160...........................................         0.0         26.78
161...........................................         0.0         20.00
162...........................................         0.0         20.00
163...........................................         0.0          4.12
164...........................................         0.0          0.0
165...........................................         0.0          0.0
166...........................................         0.0          0.0
167...........................................         0.0          0.0
168...........................................         0.0          0.0
169...........................................         0.0          0.0
170...........................................         0.0          0.0
171...........................................         0.0          0.0
172...........................................         0.0          0.0
173...........................................         0.0          0.0
174...........................................         0.0          0.0
175...........................................         0.0          0.0
176...........................................         0.0          0.0
177...........................................         0.0          0.0
178...........................................         0.0          0.0
179...........................................         0.0          0.0
180...........................................         0.0          0.0
181...........................................         0.0          0.0
182...........................................         0.0          0.0
183...........................................         0.0          0.0
184...........................................         0.0         20.00
185...........................................         0.0         20.00
186...........................................         0.0         11.73
187...........................................         0.0          0.0
188...........................................         0.0          0.0
189...........................................         0.0          0.0
190...........................................         0.0          0.0
191...........................................         0.0          0.0
192...........................................         0.0          0.0
193...........................................         0.0          0.0
194...........................................         0.0          0.0
195...........................................         0.0          0.0
196...........................................         0.0          0.0
197...........................................         0.0          0.0
198...........................................         0.0          0.0
199...........................................         0.0          0.0
200...........................................         0.0          0.0
201...........................................         0.0          0.0
202...........................................         0.0          0.0
203...........................................         0.0          0.0
204...........................................         0.0          0.0
205...........................................         0.0          0.0
206...........................................         0.0          0.0
207...........................................         0.0          0.0
208...........................................         0.0          0.0
209...........................................         0.0          0.0
210...........................................         0.0          0.0
211...........................................         0.0          0.0
212...........................................         0.0          0.0
213...........................................         0.0          0.0
214...........................................         0.0         73.41
215...........................................         0.0         90.00
216...........................................        31.30        81.30
217...........................................        41.15        90.00
218...........................................        44.00        90.00
219...........................................        46.41        90.00
220...........................................        51.04        82.41
221...........................................        66.66        80.00
222...........................................        75.03        90.00
223...........................................        89.85        90.00
224...........................................        96.78        93.88
225...........................................        96.91        50.94
226...........................................        94.60        17.02
227...........................................        99.16        28.60
228...........................................       100.00        39.83
229...........................................       100.00        30.00
230...........................................       100.00        26.69
231...........................................       100.98        20.00
232...........................................       100.71        20.00
233...........................................       100.00        36.06
234...........................................        96.16        40.00
235...........................................        95.77        30.00
236...........................................        94.55        32.75
237...........................................        96.86        35.68
238...........................................        99.18        30.00
239...........................................       100.00        44.93
240...........................................       101.81        50.00

[[Page 1171]]

 
241...........................................        86.54     (\1\)
242...........................................        63.56     (\1\)
243...........................................        56.00     (\1\)
244...........................................        46.00     (\1\)
245...........................................        41.86        45.18
246...........................................        38.31        78.47
247...........................................        35.98        80.00
248...........................................        31.03        80.00
249...........................................        25.36        80.00
250...........................................        23.05        60.97
251...........................................        18.20        27.34
252...........................................        12.84        43.71
253...........................................        10.10        68.95
254...........................................         3.79        68.95
255...........................................         1.48        44.28
256...........................................         0.0          0.0
257...........................................         0.0          0.0
258...........................................         0.0          0.0
259...........................................         0.0          0.0
260...........................................         0.0          0.0
261...........................................         0.0          0.0
262...........................................         0.0          0.0
263...........................................         0.0         24.97
264...........................................         0.0         17.16
265...........................................         0.0          6.20
266...........................................         0.0         10.00
267...........................................         0.0         10.00
268...........................................         0.0          0.0
269...........................................         0.0          0.0
270...........................................         0.0          0.0
271...........................................         0.0          0.0
272...........................................         0.0          0.0
273...........................................         0.0          0.0
274...........................................         0.0          0.0
275...........................................         0.0          0.0
276...........................................         0.0          0.0
277...........................................         0.0          0.0
278...........................................         0.0          0.0
279...........................................         0.0          0.0
280...........................................         0.0          0.0
281...........................................         0.0          0.0
282...........................................         0.0          0.0
283...........................................         0.0          0.0
284...........................................         0.0          0.0
285...........................................         0.0          0.0
286...........................................         0.0          0.0
287...........................................         0.0          0.0
288...........................................         0.0          0.0
289...........................................         0.0          0.0
290...........................................         0.0          0.0
291...........................................         0.0          0.0
292...........................................         0.0          0.0
293...........................................         0.0          0.0
294...........................................         0.0          0.0
295...........................................         0.0          0.0
296...........................................         0.0          0.0
297...........................................         0.0          0.0
298...........................................         0.0          0.0
299...........................................         0.0          0.0
300...........................................         0.0          0.0
301...........................................         0.0          0.0
302...........................................         0.0          0.0
303...........................................         0.0          0.0
304...........................................         0.0          0.0
305...........................................         0.0          0.0
306...........................................         0.0          0.0
307...........................................         0.0          0.0
308...........................................         0.0          0.0
309...........................................         0.0          0.0
310...........................................         0.0          0.0
311...........................................         0.0          0.0
312...........................................         0.0          0.0
313...........................................         0.0          0.0
314...........................................         0.0          0.0
315...........................................         0.0          0.0
316...........................................         0.0          0.0
317...........................................         0.0          0.0
318...........................................         0.0          0.0
319...........................................         0.0          0.0
320...........................................         0.0          0.0
321...........................................         0.0         15.55
322...........................................         0.0         20.00
323...........................................        24.18        19.08
324...........................................        23.00        10.00
325...........................................        11.56         1.86
326...........................................         6.87     (\1\)
327...........................................         6.00     (\1\)
328...........................................         0.72     (\1\)
329...........................................         0.0          0.0
330...........................................         0.0          0.0
331...........................................         0.0          0.0
332...........................................         0.0          0.0
333...........................................         0.0          0.0
334...........................................         0.0          0.0
335...........................................         0.0          0.0
336...........................................         0.0          0.0
337...........................................         0.0          0.0
338...........................................         0.0          0.0
339...........................................         0.0          0.0
340...........................................         0.0          0.0
341...........................................         0.0          0.0
342...........................................         0.0          0.0
343...........................................         0.0          0.0
344...........................................         0.0          0.0
345...........................................         0.0          0.0
346...........................................         0.0          0.0
347...........................................         0.0          0.0
348...........................................         0.0          0.0
349...........................................         0.0          0.0
350...........................................         0.0          0.0
351...........................................         0.0          0.0
352...........................................         0.0          0.0
353...........................................         0.0          0.0
354...........................................         0.0          0.0
355...........................................         0.0          0.0
356...........................................         0.0          0.0
357...........................................         0.0          0.0
358...........................................         0.0          0.0
359...........................................         0.0          0.0
360...........................................         0.0          0.0
361...........................................         0.0          0.0
362...........................................         0.0          0.0
363...........................................         0.0          0.0
364...........................................         0.0          0.0
365...........................................         0.0          0.0
366...........................................         0.0          0.0
367...........................................         0.0          0.0
368...........................................         0.0          0.0
369...........................................         0.0          0.0
370...........................................         0.0          0.0
371...........................................         0.0          0.0
372...........................................         0.0          0.0
373...........................................         0.0          0.0
374...........................................         0.0          0.0
375...........................................         0.0          0.0
376...........................................         0.0          0.0
377...........................................         0.0         29.59
378...........................................        -1.50        87.46
379...........................................         8.88       100.00
380...........................................        46.04       100.00
381...........................................        76.89       100.00
382...........................................        80.00       100.00

[[Page 1172]]

 
383...........................................        82.14        94.64
384...........................................        85.39        83.07
385...........................................        87.70        88.51
386...........................................        92.00        79.83
387...........................................        92.00        61.66
388...........................................        94.58        66.77
389...........................................       102.88        60.00
390...........................................       106.00        72.76
391...........................................       109.18         8.43
392...........................................       111.91     (\1\)
393...........................................        82.00     (\1\)
394...........................................        79.33     (\1\)
395...........................................        71.15     (\1\)
396...........................................        68.84     (\1\)
397...........................................        78.35        49.17
398...........................................        82.00        70.00
399...........................................        80.65        69.46
400...........................................        92.85        60.00
401...........................................        97.48        60.00
402...........................................        98.95        60.00
403...........................................       100.74        60.00
404...........................................       103.68        43.17
405...........................................       104.00        10.04
406...........................................        80.62        20.00
407...........................................        83.37        20.00
408...........................................        81.06        15.29
409...........................................        80.00        10.00
410...........................................        76.86     (\1\)
411...........................................        74.11     (\1\)
412...........................................        71.60     (\1\)
413...........................................        70.58     (\1\)
414...........................................        78.00     (\1\)
415...........................................        80.29         1.45
416...........................................        80.54        17.30
417...........................................        78.23        11.13
418...........................................        78.45        19.55
419...........................................        84.36        24.16
420...........................................        72.16        80.00
421...........................................        79.10        74.83
422...........................................        90.09        16.04
423...........................................        74.04     (\1\)
424...........................................        68.02     (\1\)
425...........................................        68.53     (\1\)
426...........................................        59.39     (\1\)
427...........................................        63.54     (\1\)
428...........................................        70.00         2.38
429...........................................        73.10        17.76
430...........................................        72.13     (\1\)
431...........................................        67.27     (\1\)
432...........................................        36.03     (\1\)
433...........................................        20.75     (\1\)
434...........................................        11.49     (\1\)
435...........................................        -2.09         0.0
436...........................................        -0.73         0.0
437...........................................         8.57        60.00
438...........................................        30.55        61.93
439...........................................        67.10        63.00
440...........................................        86.03        39.85
441...........................................        89.33        30.00
442...........................................        91.64        30.00
443...........................................        97.88        10.40
444...........................................        97.73         1.37
445...........................................        96.00        10.00
446...........................................        96.00         0.96
447...........................................        96.00     (\1\)
448...........................................        85.27        28.34
449...........................................        87.54        30.76
450...........................................        86.16        29.18
451...........................................        88.00        20.00
452...........................................        87.21        20.00
453...........................................        86.00        20.00
454...........................................        87.42        20.00
455...........................................        88.00        11.32
456...........................................        77.84     (\1\)
457...........................................        72.00     (\1\)
458...........................................        71.32     (\1\)
459...........................................        70.00         0.04
460...........................................        70.00     (\1\)
461...........................................        74.88     (\1\)
462...........................................        74.06     (\1\)
463...........................................        67.74     (\1\)
464...........................................        66.00     (\1\)
465...........................................        64.23     (\1\)
466...........................................        62.00     (\1\)
467...........................................        55.94     (\1\)
468...........................................        54.00     (\1\)
469...........................................        66.43     (\1\)
470...........................................        75.21        70.00
471...........................................        86.00        54.53
472...........................................        86.00        24.56
473...........................................        88.81     (\1\)
474...........................................        90.00     (\1\)
475...........................................       105.48     (\1\)
476...........................................        74.00     (\1\)
477...........................................        73.34     (\1\)
478...........................................        71.02        10.00
479...........................................        76.46        29.38
480...........................................        81.61        40.00
481...........................................        78.16        30.39
482...........................................        74.13        26.46
483...........................................        90.00         0.0
484...........................................        90.87         0.0
485...........................................        92.00     (\1\)
486...........................................        93.50     (\1\)
487...........................................        94.00     (\1\)
488...........................................        94.13     (\1\)
489...........................................        88.96     (\1\)
490...........................................        63.25     (\1\)
491...........................................        62.00     (\1\)
492...........................................        49.54        45.37
493...........................................        52.49        86.99
494...........................................        64.00        90.00
495...........................................        64.99        90.00
496...........................................        71.93        93.22
497...........................................        78.87        95.21
498...........................................        82.00        83.64
499...........................................        86.76        80.00
500...........................................        93.71        80.00
501...........................................        94.87        80.00
502...........................................       103.60        80.00
503...........................................       101.23        41.89
504...........................................        95.48        24.85
505...........................................        98.00        50.00
506...........................................        99.79        50.00
507...........................................       106.21        46.82
508...........................................       110.84     (\1\)
509...........................................        98.55     (\1\)
510...........................................        70.95     (\1\)
511...........................................        67.27     (\1\)
512...........................................        60.96     (\1\)
513...........................................        48.03     (\1\)
514...........................................        52.31     (\1\)
515...........................................        54.00     (\1\)
516...........................................        65.27     (\1\)
517...........................................        78.00     (\1\)
518...........................................        57.61     (\1\)
519...........................................        42.58     (\1\)
520...........................................        38.81     (\1\)
521...........................................        22.37     (\1\)
522...........................................         3.52     (\1\)
523...........................................         0.0          0.0
524...........................................        -1.46        36.39

[[Page 1173]]

 
525...........................................        -0.23         5.75
526...........................................         0.0          0.0
527...........................................         0.0          0.0
528...........................................         0.0          0.0
529...........................................         0.0          0.0
530...........................................         0.0          0.0
531...........................................         0.0          0.0
532...........................................         0.0          0.0
533...........................................         0.0          0.0
534...........................................         0.0          0.0
535...........................................         0.0          0.0
536...........................................         0.0          0.0
537...........................................         0.0          0.0
538...........................................         0.0          0.0
539...........................................         0.0          0.0
540...........................................         0.0          0.0
541...........................................         0.0          0.0
542...........................................         0.0          0.0
543...........................................         0.0          0.0
544...........................................         0.0      (\1\)
545...........................................         0.0          0.0
546...........................................        -0.75         0.0
547...........................................        -0.56         0.0
548...........................................         4.00     (\1\)
549...........................................         0.68     (\1\)
550...........................................         0.0          0.0
551...........................................         0.0          0.0
552...........................................         0.0          2.60
553...........................................         0.0         20.00
554...........................................         0.0         20.00
555...........................................         0.0          7.96
556...........................................         0.0          0.0
557...........................................         0.0          0.0
558...........................................         0.0         78.53
559...........................................         1.85        60.00
560...........................................        11.10        63.88
561...........................................        16.00        70.00
562...........................................        30.05        70.00
563...........................................        42.88        70.00
564...........................................        56.10        70.00
565...........................................        63.39        66.52
566...........................................        70.66        59.94
567...........................................        72.98        80.00
568...........................................        77.87        86.46
569...........................................        88.03        90.00
570...........................................        90.00        90.00
571...........................................        92.23       100.00
572...........................................        94.00       100.00
573...........................................        94.86       100.00
574...........................................        96.00       100.00
575...........................................        97.49       100.00
576...........................................       108.84       100.00
577...........................................       110.00        83.92
578...........................................       104.77     (\1\)
579...........................................        87.50     (\1\)
580...........................................        90.00         0.0
581...........................................        91.38     (\1\)
582...........................................        81.84     (\1\)
583...........................................        65.99     (\1\)
584...........................................        63.68     (\1\)
585...........................................        60.73     (\1\)
586...........................................        57.05     (\1\)
587...........................................        53.47     (\1\)
588...........................................        50.42     (\1\)
589...........................................        44.31     (\1\)
590...........................................        37.58        37.91
591...........................................        33.48        20.00
592...........................................        31.16        20.00
593...........................................        28.85        20.00
594...........................................        22.13        20.00
595...........................................         9.31     (\1\)
596...........................................         0.0          0.0
597...........................................         0.0          0.0
598...........................................         0.0          0.0
599...........................................         0.0          0.0
600...........................................         0.0          0.0
601...........................................         0.0          0.0
602...........................................         0.0          0.0
603...........................................         0.0          0.0
604...........................................         0.0          0.0
605...........................................         0.0          0.0
606...........................................         2.52         6.30
607...........................................        10.30        17.87
608...........................................        13.89        20.00
609...........................................        20.20        20.00
610...........................................        24.07        22.59
611...........................................        33.33        17.50
612...........................................        40.30     (\1\)
613...........................................        47.85     (\1\)
614...........................................        66.00         7.78
615...........................................        68.00        10.93
616...........................................        67.59        32.04
617...........................................        66.00        40.00
618...........................................        67.04        40.00
619...........................................        68.00        40.00
620...........................................        68.00        48.33
621...........................................        75.93        99.53
622...........................................        78.00       100.00
623...........................................        78.00       100.00
624...........................................        77.07       100.00
625...........................................        76.00       100.00
626...........................................        76.00       100.00
627...........................................        76.00       100.00
628...........................................        75.63       100.00
629...........................................        73.00        97.50
630...........................................        76.81        90.00
631...........................................        80.26        90.00
632...........................................        83.44        90.00
633...........................................        84.00        98.79
634...........................................        84.00       100.00
635...........................................        83.61       100.00
636...........................................        82.00       100.00
637...........................................        83.02        94.91
638...........................................        86.67        90.00
639...........................................        89.65        90.00
640...........................................        90.00        99.81
641...........................................        89.45       100.00
642...........................................        86.00       100.00
643...........................................        86.00        95.47
644...........................................        87.22        90.00
645...........................................        88.00        90.00
646...........................................        88.00        80.74
647...........................................        88.00        79.17
648...........................................        88.00        77.21
649...........................................        88.00       100.00
650...........................................        88.00        94.45
651...........................................        88.00        90.00
652...........................................        88.00        90.00
653...........................................        90.00        90.00
654...........................................        89.63        90.00
655...........................................        88.68        90.00
656...........................................        90.00        90.00
657...........................................        90.00        90.00
658...........................................        91.63        81.86
659...........................................        92.00        80.00
660...........................................        90.00        81.29
661...........................................        89.43        92.86
662...........................................        87.11       100.00
663...........................................        86.00       100.00
664...........................................        86.00       100.00
665...........................................        89.66       100.00
666...........................................        90.00        99.27

[[Page 1174]]

 
667...........................................        90.46        90.00
668...........................................        92.78        90.00
669...........................................        95.09        90.00
670...........................................       100.22        82.97
671...........................................       102.00        80.00
672...........................................       102.00        70.18
673...........................................       102.00        80.00
674...........................................        97.34        50.07
675...........................................        87.02     (\1\)
676...........................................        86.00     (\1\)
677...........................................        73.12        22.19
678...........................................        75.77        39.62
679...........................................        75.76        48.80
680...........................................        75.11        37.23
681...........................................        78.00        34.34
682...........................................        80.37        40.00
683...........................................        77.51        47.49
684...........................................        81.44        50.00
685...........................................        82.13        39.36
686...........................................        84.00        27.79
687...........................................        84.00        16.21
688...........................................        84.00        15.36
689...........................................        85.39        26.93
690...........................................        86.00        30.00
691...........................................        86.00        30.08
692...........................................        85.67        40.00
693...........................................        84.65        40.00
694...........................................        86.00        35.20
695...........................................        87.28        30.00
696...........................................        88.00        22.05
697...........................................        86.09     (\1\)
698...........................................        83.78     (\1\)
699...........................................        81.47     (\1\)
700...........................................        81.70     (\1\)
701...........................................        85.16     (\1\)
702...........................................        84.52     (\1\)
703...........................................        82.21     (\1\)
704...........................................        79.89     (\1\)
705...........................................        77.58     (\1\)
706...........................................        76.00         6.31
707...........................................        79.16         0.0
708...........................................        75.16        27.36
709...........................................        72.00        40.00
710...........................................        72.00        40.00
711...........................................        74.00        38.44
712...........................................        74.00        30.00
713...........................................        74.00        30.00
714...........................................        74.00        36.28
715...........................................        72.43        47.86
716...........................................        68.23        59.43
717...........................................        73.80        50.00
718...........................................        72.52        50.00
719...........................................        74.00        45.85
720...........................................        72.85        57.18
721...........................................        76.38        62.70
722...........................................        81.55        60.00
723...........................................        80.18        60.00
724...........................................        83.60        60.00
725...........................................        83.44        56.40
726...........................................        86.00        50.00
727...........................................        87.35        50.00
728...........................................        86.34        50.00
729...........................................        86.00        40.11
730...........................................        88.29        61.47
731...........................................        88.78        63.92
732...........................................        86.92        50.00
733...........................................        86.76        50.00
734...........................................        87.55        42.24
735...........................................        88.00        49.34
736...........................................        86.00        50.91
737...........................................        86.00        67.45
738...........................................        86.00        81.88
739...........................................        87.13        70.00
740...........................................        89.44        77.21
741...........................................        91.76        88.78
742...........................................        90.07        89.65
743...........................................        92.00        80.00
744...........................................        92.70        80.00
745...........................................        94.00        80.00
746...........................................        94.00        80.00
747...........................................        94.00        80.00
748...........................................        94.00        80.00
749...........................................        94.00        81.37
750...........................................        94.59        87.05
751...........................................        96.00        57.40
752...........................................        96.00        42.19
753...........................................        96.00        42.33
754...........................................        96.00        40.00
755...........................................        96.00        38.37
756...........................................        96.00        12.83
757...........................................        96.00     (\1\)
758...........................................        96.00     (\1\)
759...........................................        96.00     (\1\)
760...........................................        97.74         7.37
761...........................................       100.05        19.74
762...........................................       102.00        11.83
763...........................................       102.00        26.81
764...........................................       103.00        49.96
765...........................................       104.00        60.00
766...........................................       102.37        60.00
767...........................................       103.94        60.00
768...........................................       104.00        40.00
769...........................................       104.00        25.75
770...........................................       103.12     (\1\)
771...........................................       100.80     (\1\)
772...........................................       100.00     (\1\)
773...........................................       101.83        44.88
774...........................................       102.00        36.40
775...........................................       102.00     (\1\)
776...........................................       102.00     (\1\)
777...........................................       100.91     (\1\)
778...........................................       101.40     (\1\)
779...........................................       100.28     (\1\)
780...........................................        97.97     (\1\)
781...........................................        96.00     (\1\)
782...........................................        96.00        10.00
783...........................................        96.00         0.23
784...........................................        96.00     (\1\)
785...........................................        96.00     (\1\)
786...........................................        94.08     (\1\)
787...........................................        78.00     (\1\)
788...........................................        77.45     (\1\)
789...........................................        71.67        28.96
790...........................................        67.18        80.00
791...........................................        66.50        87.48
792...........................................        71.43        90.00
793...........................................        74.13        90.00
794...........................................        75.56        92.20
795...........................................        74.75       100.00
796...........................................        77.07        94.65
797...........................................        79.38        83.08
798...........................................        80.00        71.51
799...........................................        80.01        69.93
800...........................................        82.33        58.36
801...........................................        84.00        50.00
802...........................................        84.00        59.58
803...........................................        84.00        76.36
804...........................................        84.00        80.00
805...........................................        84.00        70.49
806...........................................        82.00        80.00
807...........................................        81.47        82.66
808...........................................        80.00        90.00

[[Page 1175]]

 
809...........................................        77.68        90.00
810...........................................        74.52        75.24
811...........................................        77.58        78.96
812...........................................        81.89        80.00
813...........................................        80.42        80.00
814...........................................        82.00        83.68
815...........................................        83.05        79.50
816...........................................        84.00        70.00
817...........................................        84.00        61.60
818...........................................        84.00        50.03
819...........................................        86.00        60.00
820...........................................        86.00        60.00
821...........................................        86.00        69.39
822...........................................        88.51        73.73
823...........................................        88.43        70.00
824...........................................        88.00        70.00
825...........................................        94.00        70.99
826...........................................        94.51        80.00
827...........................................        95.17        80.00
828...........................................        95.14        80.00
829...........................................        94.54        80.00
830...........................................        94.00        80.00
831...........................................        94.00        77.89
832...........................................        94.00        31.99
833...........................................        94.00        43.57
834...........................................        94.00        60.28
835...........................................        94.00        63.29
836...........................................        94.00        76.57
837...........................................        94.00        89.86
838...........................................        94.29        90.00
839...........................................        97.80        87.00
840...........................................       102.91        80.00
841...........................................       104.00        73.85
842...........................................       104.00        62.28
843...........................................       104.00        69.29
844...........................................       106.00        70.00
845...........................................       106.00        62.70
846...........................................       106.00        40.00
847...........................................       104.88        40.00
848...........................................       104.00        32.85
849...........................................       104.00        30.00
850...........................................       104.00         0.30
851...........................................       103.63        11.87
852...........................................       100.62        13.12
853...........................................        98.00         5.01
854...........................................        96.68        10.00
855...........................................        96.00     (\1\)
856...........................................        96.00     (\1\)
857...........................................        96.00     (\1\)
858...........................................        95.43     (\1\)
859...........................................        94.00     (\1\)
860...........................................        94.00     (\1\)
861...........................................        95.52         5.18
862...........................................        97.83     (\1\)
863...........................................        98.00     (\1\)
864...........................................        98.00     (\1\)
865...........................................        97.22     (\1\)
866...........................................        96.00         6.35
867...........................................        96.00        12.98
868...........................................        96.00        10.00
869...........................................        95.93        10.00
870...........................................        92.00        10.00
871...........................................        92.00        10.00
872...........................................        92.98        14.89
873...........................................        94.00        13.54
874...........................................        90.79        42.12
875...........................................        88.08        40.40
876...........................................        86.23        30.00
877...........................................        88.00        32.75
878...........................................        87.14        44.32
879...........................................        84.82        50.00
880...........................................        82.51        50.00
881...........................................        82.00        50.00
882...........................................        82.12        40.00
883...........................................        83.13        35.64
884...........................................        80.00        20.00
885...........................................        84.26        51.95
886...........................................        86.62        66.21
887...........................................        84.31        60.00
888...........................................        81.99         9.96
889...........................................        79.35         1.61
890...........................................        75.36        19.56
891...........................................        73.05        40.00
892...........................................        70.73         8.35
893...........................................        68.42     (\1\)
894...........................................        47.15         8.95
895...........................................        35.79        10.00
896...........................................        32.95         7.38
897...........................................        29.16     (\1\)
898...........................................        16.47     (\1\)
899...........................................         2.13     (\1\)
900...........................................         0.0          0.0
901...........................................         0.0          0.0
902...........................................         0.0          0.0
903...........................................         0.0          0.0
904...........................................         0.0          0.0
905...........................................         0.0          0.0
906...........................................         0.0          0.0
907...........................................         0.0          0.0
908...........................................         0.0          0.0
909...........................................         0.0          0.0
910...........................................         0.0          0.0
911...........................................         0.0          0.0
912...........................................         0.0          0.0
913...........................................         0.0          0.0
914...........................................         0.0          0.0
915...........................................         0.0          0.0
916...........................................         0.0          0.0
917...........................................         0.0          0.0
918...........................................         0.0          0.0
919...........................................         0.0          0.0
920...........................................         0.0          0.0
921...........................................         0.0          0.0
922...........................................         0.0          0.0
923...........................................         0.0          0.0
924...........................................         0.0          0.0
925...........................................         0.0          0.0
926...........................................         0.0          0.0
927...........................................         0.0          3.67
928...........................................         0.0         47.69
929...........................................         3.11        59.41
930...........................................         9.09        84.54
931...........................................        15.62        80.00
932...........................................        33.49        80.00
933...........................................        37.93        79.29
934...........................................        31.20        38.25
935...........................................        21.99        26.67
936...........................................        30.00        15.10
937...........................................        22.23        16.47
938...........................................        19.61        28.05
939...........................................        20.00        20.38
940...........................................        18.33     (\1\)
941...........................................         6.55     (\1\)
942...........................................        15.82     (\1\)
943...........................................        23.63     (\1\)
944...........................................        17.51     (\1\)
945...........................................        14.19        62.52
946...........................................        16.64        69.36
947...........................................        27.77        60.00
948...........................................        37.03        63.79
949...........................................        47.36        75.36
950...........................................        54.77        80.00

[[Page 1176]]

 
951...........................................        57.70        80.00
952...........................................        54.03        79.92
953...........................................        58.00        65.03
954...........................................        58.65        43.23
955...........................................        62.88        50.00
956...........................................        69.83        50.00
957...........................................        72.00        42.05
958...........................................        75.81        40.00
959...........................................        84.22        42.20
960...........................................        83.86        41.28
961...........................................        80.55     (\1\)
962...........................................        80.51     (\1\)
963...........................................        78.00     (\1\)
964...........................................        79.79     (\1\)
965...........................................        80.33        30.54
966...........................................        85.58        42.12
967...........................................        81.78        50.00
968...........................................        78.00        50.00
969...........................................        80.74        43.16
970...........................................        92.10        73.65
971...........................................        88.01     (\1\)
972...........................................        84.00     (\1\)
973...........................................        84.00     (\1\)
974...........................................        81.17     (\1\)
975...........................................        70.46     (\1\)
976...........................................        66.00        13.57
977...........................................        62.23        29.43
978...........................................        64.00        20.00
979...........................................        63.48        17.42
980...........................................        60.34        10.00
981...........................................        56.85        10.00
982...........................................        56.00     (\1\)
983...........................................        52.45     (\1\)
984...........................................        39.91        10.00
985...........................................        36.38        10.00
986...........................................        30.00        10.00
987...........................................        27.93        10.00
988...........................................        26.00        16.74
989...........................................        27.66         3.36
990...........................................        28.00     (\1\)
991...........................................        27.41     (\1\)
992...........................................        20.96     (\1\)
993...........................................        12.15     (\1\)
994...........................................         3.81     (\1\)
995...........................................         0.0          0.0
996...........................................         0.0          0.0
997...........................................         0.0          0.91
998...........................................         0.0          7.52
999...........................................         0.0          0.0
1,000.........................................         0.0          0.0
1,001.........................................         0.0          0.0
1,002.........................................         0.0          0.0
1,003.........................................         0.0          0.0
1,004.........................................         0.0          0.0
1,005.........................................         0.0          0.0
1,006.........................................         0.0          0.0
1,007.........................................         0.0          0.0
1,008.........................................         0.0          0.0
1,009.........................................         0.0          0.0
1,010.........................................         0.0          0.0
1,011.........................................         0.0          0.0
1,012.........................................         0.0          0.0
1,013.........................................         0.0          0.0
1,014.........................................         0.0          0.0
1,015.........................................         0.0          0.0
1,016.........................................         0.0          0.0
1,017.........................................         0.0          0.0
1,018.........................................         0.0          0.0
1,019.........................................         0.0          0.0
1,020.........................................         0.0          0.0
1,021.........................................         0.0          0.0
1,022.........................................         0.0          0.0
1,023.........................................         0.0          0.0
1,024.........................................         0.0          0.0
1,025.........................................         0.0          0.0
1,026.........................................         0.0          0.0
1,027.........................................         0.0          0.0
1,028.........................................         0.0          0.0
1,029.........................................         0.0          0.0
1,030.........................................         0.0          0.0
1,031.........................................         1.77     (\1\)
1,032.........................................         1.60     (\1\)
1,033.........................................         0.0          0.0
1,034.........................................         0.0          0.0
1,035.........................................         2.14         9.28
1,036.........................................         3.08         0.0
1,037.........................................         0.0          0.0
1,038.........................................         0.0          0.0
1,039.........................................         0.0          0.0
1,040.........................................         0.0          0.0
1,041.........................................         0.0          0.0
1,042.........................................         0.0          0.0
1,043.........................................         0.0          0.0
1,044.........................................         0.0          0.0
1,045.........................................         0.0          0.0
1,046.........................................         0.0          0.0
1,047.........................................         0.0          0.0
1,048.........................................         0.0          0.0
1,049.........................................         0.0          5.51
1,050.........................................         0.0         11.34
1,051.........................................         0.0          0.0
1,052.........................................         0.0          0.0
1,053.........................................         0.0          0.0
1,054.........................................         0.0          0.0
1,055.........................................         0.0          0.0
1,056.........................................         0.0          0.0
1,057.........................................         0.0          0.0
1,058.........................................         0.0          0.0
1,059.........................................         0.0          0.0
1,060.........................................         0.0          0.21
1,061.........................................         0.0         30.00
1,062.........................................         0.0         26.78
1,063.........................................         0.0         20.00
1,064.........................................         0.0         20.00
1,065.........................................         0.0          4.12
1,066.........................................         0.0          0.0
1,067.........................................         0.0          0.0
1,068.........................................         0.0          0.0
1,069.........................................         0.0          0.0
1,070.........................................         0.0          0.0
1,071.........................................         0.0          0.0
1,072.........................................         0.0          0.0
1,073.........................................         0.0          0.0
1,074.........................................         0.0          0.0
1,075.........................................         0.0          0.0
1,076.........................................         0.0          0.0
1,077.........................................         0.0          0.0
1,078.........................................         0.0          0.0
1,079.........................................         0.0          0.0
1,080.........................................         0.0          0.0
1,081.........................................         0.0          0.0
1,082.........................................         0.0          0.0
1,083.........................................         0.0          0.0
1,084.........................................         0.0          0.0
1,085.........................................         0.0          0.0
1,086.........................................         0.0         20.00
1,087.........................................         0.0         20.00
1,088.........................................         0.0         11.73
1,089.........................................         0.0          0.0
1,090.........................................         0.0          0.0
1,091.........................................         0.0          0.0
1,092.........................................         0.0          0.0

[[Page 1177]]

 
1,093.........................................         0.0          0.0
1,094.........................................         0.0          0.0
1,095.........................................         0.0          0.0
1,096.........................................         0.0          0.0
1,097.........................................         0.0          0.0
1,098.........................................         0.0          0.0
1,099.........................................         0.0          0.0
1,100.........................................         0.0          0.0
1,101.........................................         0.0          0.0
1,102.........................................         0.0          0.0
1,103.........................................         0.0          0.0
1,104.........................................         0.0          0.0
1,105.........................................         0.0          0.0
1,106.........................................         0.0          0.0
1,107.........................................         0.0          0.0
1,108.........................................         0.0          0.0
1,109.........................................         0.0          0.0
1,110.........................................         0.0          0.0
1,111.........................................         0.0          0.0
1,112.........................................         0.0          0.0
1,113.........................................         0.0          0.0
1,114.........................................         0.0          0.0
1,115.........................................         0.0          0.0
1,116.........................................         0.0         73.41
1,117.........................................         0.0         90.00
1,118.........................................        31.30        81.30
1,119.........................................        41.15        90.00
1,120.........................................        44.00        90.00
1,121.........................................        46.41        90.00
1,122.........................................        51.04        82.41
1,123.........................................        66.66        80.00
1,124.........................................        75.03        90.00
1,125.........................................        89.85        90.00
1,126.........................................        96.78        93.88
1,127.........................................        96.91        50.94
1,128.........................................        94.60        17.02
1,129.........................................        99.16        28.60
1,130.........................................       100.00        39.83
1,131.........................................       100.00        30.00
1,132.........................................       100.00        26.69
1,133.........................................       100.98        20.00
1,134.........................................       100.71        20.00
1,135.........................................       100.00        36.06
1,136.........................................        96.16        40.00
1,137.........................................        95.77        30.00
1,138.........................................        94.55        32.75
1,139.........................................        96.86        35.68
1,140.........................................        99.18        30.00
1,141.........................................       100.00        44.93
1,142.........................................       101.81        50.00
1,143.........................................        86.54     (\1\)
1,144.........................................        63.56     (\1\)
1,145.........................................        56.00     (\1\)
1,146.........................................        46.00     (\1\)
1,147.........................................        41.86        45.18
1,148.........................................        38.31        78.47
1,149.........................................        35.98        80.00
1,150.........................................        31.03        80.00
1,151.........................................        25.36        80.00
1,152.........................................        23.05        60.97
1,153.........................................        18.20        27.34
1,154.........................................        12.84        43.71
1,155.........................................        10.10        68.95
1,156.........................................         3.79        68.95
1,157.........................................         1.48        44.28
1,158.........................................         0.0          0.0
1,159.........................................         0.0          0.0
1,160.........................................         0.0          0.0
1,161.........................................         0.0          0.0
1,162.........................................         0.0          0.0
1,163.........................................         0.0          0.0
1,164.........................................         0.0          0.0
1,165.........................................         0.0         24.97
1,166.........................................         0.0         17.16
1,167.........................................         0.0          6.20
1,168.........................................         0.0         10.00
1,169.........................................         0.0         10.00
1,170.........................................         0.0          0.0
1,171.........................................         0.0          0.0
1,172.........................................         0.0          0.0
1,173.........................................         0.0          0.0
1,174.........................................         0.0          0.0
1,175.........................................         0.0          0.0
1,176.........................................         0.0          0.0
1,177.........................................         0.0          0.0
1,178.........................................         0.0          0.0
1,179.........................................         0.0          0.0
1,180.........................................         0.0          0.0
1,181.........................................         0.0          0.0
1,182.........................................         0.0          0.0
1,183.........................................         0.0          0.0
1,184.........................................         0.0          0.0
1,185.........................................         0.0          0.0
1,186.........................................         0.0          0.0
1,187.........................................         0.0          0.0
1,188.........................................         0.0          0.0
1,189.........................................         0.0          0.0
1,190.........................................         0.0          0.0
1,191.........................................         0.0          0.0
1,192.........................................         0.0          0.0
1,193.........................................         0.0          0.0
1,194.........................................         0.0          0.0
1,195.........................................         0.0          0.0
1,196.........................................         0.0          0.0
1,197.........................................         0.0          0.0
1,198.........................................         0.0          0.0
1,199.........................................         0.0          0.0
------------------------------------------------------------------------
\1\ Closed throttle motoring.

    (g) EPA US06 Driving Schedule for Light-Duty Vehicles and Light-Duty 
Trucks.

                        EPA US06 Driving Schedule
                      [Speed versus Time Sequence]
------------------------------------------------------------------------
                                                                  Speed
                           Time (sec)                             (mph)
------------------------------------------------------------------------
0..............................................................      0.0
1..............................................................      0.0
2..............................................................      0.0
3..............................................................      0.0
4..............................................................      0.0
5..............................................................      0.0
6..............................................................      0.2
7..............................................................      0.7
8..............................................................      1.1
9..............................................................      1.7
10.............................................................      6.0
11.............................................................     13.9
12.............................................................     20.5
13.............................................................     25.7
14.............................................................     25.0
15.............................................................     28.4
16.............................................................     32.3
17.............................................................     34.6
18.............................................................     36.5
19.............................................................     38.4
20.............................................................     39.9
21.............................................................     42.2
22.............................................................     43.8

[[Page 1178]]

 
23.............................................................     44.2
24.............................................................     43.4
25.............................................................     42.6
26.............................................................     40.3
27.............................................................     39.2
28.............................................................     38.4
29.............................................................     38.4
30.............................................................     39.2
31.............................................................     38.8
32.............................................................     38.8
33.............................................................     36.5
34.............................................................     32.3
35.............................................................     27.6
36.............................................................     22.3
37.............................................................     17.3
38.............................................................     11.5
39.............................................................      5.8
40.............................................................      1.2
41.............................................................      0.0
42.............................................................      0.0
43.............................................................      0.0
44.............................................................      0.0
45.............................................................      0.0
46.............................................................      0.0
47.............................................................      0.0
48.............................................................      0.0
49.............................................................      0.8
50.............................................................      9.2
51.............................................................     14.9
52.............................................................     18.2
53.............................................................     22.2
54.............................................................     27.2
55.............................................................     31.4
56.............................................................     33.8
57.............................................................     37.2
58.............................................................     40.8
59.............................................................     44.0
60.............................................................     46.3
61.............................................................     47.6
62.............................................................     49.5
63.............................................................     51.2
64.............................................................     53.0
65.............................................................     54.4
66.............................................................     55.6
67.............................................................     56.4
68.............................................................     56.1
69.............................................................     56.2
70.............................................................     55.8
71.............................................................     55.1
72.............................................................     54.4
73.............................................................     54.2
74.............................................................     54.4
75.............................................................     54.2
76.............................................................     53.5
77.............................................................     52.3
78.............................................................     52.0
79.............................................................     51.9
80.............................................................     51.8
81.............................................................     51.9
82.............................................................     52.0
83.............................................................     52.5
84.............................................................     53.4
85.............................................................     54.9
86.............................................................     56.8
87.............................................................     58.8
88.............................................................     60.6
89.............................................................     62.3
90.............................................................     64.2
91.............................................................     66.2
92.............................................................     67.8
93.............................................................     69.4
94.............................................................     70.4
95.............................................................     70.6
96.............................................................     70.7
97.............................................................     70.3
98.............................................................     68.2
99.............................................................     66.5
100............................................................     64.9
101............................................................     63.7
102............................................................     62.5
103............................................................     61.0
104............................................................     59.3
105............................................................     57.7
106............................................................     56.0
107............................................................     54.5
108............................................................     52.8
109............................................................     51.2
110............................................................     49.5
111............................................................     48.0
112............................................................     46.3
113............................................................     44.0
114............................................................     41.1
115............................................................     38.8
116............................................................     37.7
117............................................................     36.6
118............................................................     35.3
119............................................................     30.0
120............................................................     24.4
121............................................................     19.8
122............................................................     15.5
123............................................................     10.8
124............................................................      6.3
125............................................................      3.2
126............................................................      2.1
127............................................................      1.2
128............................................................      0.0
129............................................................      0.0
130............................................................      0.0
131............................................................      0.0
132............................................................      0.0
133............................................................      0.0
134............................................................      0.0
135............................................................      0.0
136............................................................      2.7
137............................................................      9.2
138............................................................     16.1
139............................................................     22.7
140............................................................     29.2
141............................................................     34.2
142............................................................     38.8
143............................................................     43.0
144............................................................     45.3
145............................................................     46.8
146............................................................     48.0
147............................................................     49.5
148............................................................     50.3
149............................................................     51.5
150............................................................     52.2
151............................................................     52.6
152............................................................     53.0
153............................................................     53.8
154............................................................     53.8
155............................................................     53.8
156............................................................     54.6
157............................................................     56.3
158............................................................     56.9
159............................................................     58.1
160............................................................     58.4
161............................................................     59.6
162............................................................     59.9

[[Page 1179]]

 
163............................................................     60.2
164............................................................     60.5
165............................................................     59.7
166............................................................     58.3
167............................................................     58.1
168............................................................     57.8
169............................................................     57.3
170............................................................     57.5
171............................................................     56.6
172............................................................     57.0
173............................................................     56.6
174............................................................     56.5
175............................................................     56.2
176............................................................     56.4
177............................................................     56.6
178............................................................     56.4
179............................................................     56.1
180............................................................     56.0
181............................................................     55.9
182............................................................     54.8
183............................................................     54.2
184............................................................     54.6
185............................................................     52.2
186............................................................     54.7
187............................................................     55.7
188............................................................     57.0
189............................................................     58.0
190............................................................     58.1
191............................................................     59.4
192............................................................     59.9
193............................................................     61.0
194............................................................     61.4
195............................................................     61.9
196............................................................     62.5
197............................................................     62.5
198............................................................     62.7
199............................................................     62.2
200............................................................     62.5
201............................................................     63.1
202............................................................     62.7
203............................................................     62.8
204............................................................     63.0
205............................................................     64.1
206............................................................     63.9
207............................................................     64.1
208............................................................     64.3
209............................................................     64.5
210............................................................     64.9
211............................................................     65.3
212............................................................     66.0
213............................................................     66.0
214............................................................     66.4
215............................................................     64.1
216............................................................     63.6
217............................................................     63.9
218............................................................     64.1
219............................................................     63.7
220............................................................     64.3
221............................................................     64.2
222............................................................     63.9
223............................................................     64.2
224............................................................     63.4
225............................................................     64.0
226............................................................     63.9
227............................................................     64.0
228............................................................     63.8
229............................................................     64.0
230............................................................     63.3
231............................................................     63.4
232............................................................     63.9
233............................................................     64.0
234............................................................     64.3
235............................................................     64.8
236............................................................     65.1
237............................................................     64.0
238............................................................     64.2
239............................................................     63.1
240............................................................     63.7
241............................................................     63.1
242............................................................     63.7
243............................................................     63.5
244............................................................     63.0
245............................................................     63.1
246............................................................     63.0
247............................................................     63.3
248............................................................     63.4
249............................................................     63.3
250............................................................     62.5
251............................................................     62.5
252............................................................     62.9
253............................................................     62.8
254............................................................     62.2
255............................................................     62.4
256............................................................     62.3
257............................................................     62.3
258............................................................     62.4
259............................................................     62.1
260............................................................     62.5
261............................................................     62.8
262............................................................     62.3
263............................................................     62.3
264............................................................     62.4
265............................................................     61.9
266............................................................     62.8
267............................................................     62.8
268............................................................     62.3
269............................................................     62.8
270............................................................     62.4
271............................................................     62.1
272............................................................     61.9
273............................................................     61.8
274............................................................     62.1
275............................................................     62.1
276............................................................     62.1
277............................................................     62.0
278............................................................     62.4
279............................................................     62.2
280............................................................     62.2
281............................................................     62.4
282............................................................     62.7
283............................................................     62.6
284............................................................     63.7
285............................................................     64.3
286............................................................     64.8
287............................................................     65.1
288............................................................     65.9
289............................................................     66.1
290............................................................     67.0
291............................................................     67.2
292............................................................     67.5
293............................................................     68.3
294............................................................     68.3
295............................................................     68.8
296............................................................     69.1
297............................................................     69.4
298............................................................     71.7
299............................................................     72.1
300............................................................     74.9
301............................................................     72.6
302............................................................     72.2

[[Page 1180]]

 
303............................................................     72.2
304............................................................     72.0
305............................................................     72.5
306............................................................     72.8
307............................................................     72.7
308............................................................     71.8
309............................................................     71.4
310............................................................     71.1
311............................................................     71.1
312............................................................     70.9
313............................................................     71.0
314............................................................     71.0
315............................................................     71.2
316............................................................     72.1
317............................................................     72.6
318............................................................     73.6
319............................................................     74.8
320............................................................     75.7
321............................................................     77.3
322............................................................     78.4
323............................................................     79.3
324............................................................     78.2
325............................................................     76.0
326............................................................     75.6
327............................................................     76.4
328............................................................     77.6
329............................................................     78.0
330............................................................     79.1
331............................................................     79.5
332............................................................     79.9
333............................................................     79.9
334............................................................     80.3
335............................................................     80.3
336............................................................     79.5
337............................................................     79.5
338............................................................     79.1
339............................................................     78.7
340............................................................     77.6
341............................................................     76.5
342............................................................     74.3
343............................................................     72.6
344............................................................     70.8
345............................................................     67.6
346............................................................     66.4
347............................................................     66.7
348............................................................     66.1
349............................................................     65.9
350............................................................     66.2
351............................................................     66.1
352............................................................     67.1
353............................................................     67.4
354............................................................     68.3
355............................................................     68.3
356............................................................     68.7
357............................................................     68.2
358............................................................     68.1
359............................................................     68.0
360............................................................     67.1
361............................................................     66.4
362............................................................     66.1
363............................................................     65.7
364............................................................     66.0
365............................................................     66.4
366............................................................     66.0
367............................................................     66.3
368............................................................     67.0
369............................................................     67.5
370............................................................     67.9
371............................................................     68.1
372............................................................     68.5
373............................................................     68.9
374............................................................     68.6
375............................................................     69.4
376............................................................     69.4
377............................................................     69.4
378............................................................     70.0
379............................................................     70.4
380............................................................     70.6
381............................................................     70.9
382............................................................     70.3
383............................................................     70.6
384............................................................     70.3
385............................................................     69.7
386............................................................     69.9
387............................................................     70.1
388............................................................     69.6
389............................................................     69.3
390............................................................     69.9
391............................................................     69.7
392............................................................     69.5
393............................................................     69.9
394............................................................     70.2
395............................................................     70.2
396............................................................     70.2
397............................................................     71.0
398............................................................     70.8
399............................................................     70.9
400............................................................     70.7
401............................................................     70.9
402............................................................     71.2
403............................................................     71.3
404............................................................     70.8
405............................................................     71.2
406............................................................     71.7
407............................................................     71.9
408............................................................     72.6
409............................................................     72.3
410............................................................     72.3
411............................................................     72.1
412............................................................     72.0
413............................................................     71.9
414............................................................     72.6
415............................................................     72.8
416............................................................     73.2
417............................................................     72.1
418............................................................     71.5
419............................................................     70.9
420............................................................     70.4
421............................................................     70.5
422............................................................     70.9
423............................................................     70.2
424............................................................     71.0
425............................................................     70.2
426............................................................     70.3
427............................................................     69.1
428............................................................     68.8
429............................................................     68.2
430............................................................     68.3
431............................................................     68.2
432............................................................     67.7
433............................................................     67.3
434............................................................     67.5
435............................................................     67.6
436............................................................     67.6
437............................................................     67.2
438............................................................     67.0
439............................................................     66.3
440............................................................     66.6
441............................................................     66.2
442............................................................     66.4

[[Page 1181]]

 
443............................................................     65.9
444............................................................     66.1
445............................................................     65.5
446............................................................     62.2
447............................................................     62.2
448............................................................     61.4
449............................................................     61.1
450............................................................     61.4
451............................................................     61.1
452............................................................     61.4
453............................................................     61.4
454............................................................     61.8
455............................................................     61.8
456............................................................     61.8
457............................................................     61.8
458............................................................     62.2
459............................................................     61.8
460............................................................     62.2
461............................................................     62.6
462............................................................     62.2
463............................................................     62.6
464............................................................     62.2
465............................................................     62.6
466............................................................     62.6
467............................................................     63.0
468............................................................     62.6
469............................................................     62.2
470............................................................     61.1
471............................................................     59.5
472............................................................     58.8
473............................................................     56.8
474............................................................     55.7
475............................................................     54.1
476............................................................     51.5
477............................................................     49.2
478............................................................     48.8
479............................................................     47.6
480............................................................     44.9
481............................................................     41.5
482............................................................     37.2
483............................................................     34.6
484............................................................     33.0
485............................................................     29.2
486............................................................     22.3
487............................................................     17.7
488............................................................     17.3
489............................................................     14.0
490............................................................     10.0
491............................................................      6.0
492............................................................      2.0
493............................................................      0.0
494............................................................      0.0
495............................................................      0.0
496............................................................      0.0
497............................................................      0.0
498............................................................      0.0
499............................................................      0.0
500............................................................      0.0
501............................................................      0.2
502............................................................      4.4
503............................................................     10.1
504............................................................     15.6
505............................................................     20.8
506............................................................     25.1
507............................................................     27.7
508............................................................     28.2
509............................................................     26.8
510............................................................     24.8
511............................................................     22.4
512............................................................     17.1
513............................................................     11.3
514............................................................      6.9
515............................................................      7.5
516............................................................     11.1
517............................................................     15.4
518............................................................     19.9
519............................................................     24.2
520............................................................     27.1
521............................................................     28.5
522............................................................     28.2
523............................................................     25.6
524............................................................     21.7
525............................................................     17.3
526............................................................     12.1
527............................................................      7.5
528............................................................      5.8
529............................................................      2.4
530............................................................      1.2
531............................................................      1.9
532............................................................      6.7
533............................................................     11.8
534............................................................     16.8
535............................................................     21.7
536............................................................     25.9
537............................................................     27.7
538............................................................     28.0
539............................................................     27.1
540............................................................     24.4
541............................................................     20.2
542............................................................     15.2
543............................................................      9.3
544............................................................      5.0
545............................................................      2.9
546............................................................      2.4
547............................................................      8.4
548............................................................     13.5
549............................................................     17.8
550............................................................     22.2
551............................................................     26.2
552............................................................     30.0
553............................................................     29.8
554............................................................     26.0
555............................................................     21.3
556............................................................     16.2
557............................................................     11.4
558............................................................      6.6
559............................................................      2.6
560............................................................      0.0
561............................................................      0.0
562............................................................      0.0
563............................................................      0.0
564............................................................      0.0
565............................................................      0.0
566............................................................      0.0
567............................................................      0.0
568............................................................      0.3
569............................................................      6.4
570............................................................     12.7
571............................................................     19.2
572............................................................     23.8
573............................................................     28.2
574............................................................     34.9
575............................................................     37.5
576............................................................     40.3
577............................................................     45.0
578............................................................     49.9
579............................................................     51.6
580............................................................     51.2
581............................................................     50.6
582............................................................     49.9

[[Page 1182]]

 
583............................................................     47.8
584............................................................     44.6
585............................................................     41.2
586............................................................     37.8
587............................................................     33.4
588............................................................     28.0
589............................................................     23.7
590............................................................     18.8
591............................................................     12.9
592............................................................      6.2
593............................................................      2.2
594............................................................      0.0
595............................................................      0.0
596............................................................      0.0
597............................................................      0.0
598............................................................      0.0
599............................................................      0.0
600............................................................      0.0
------------------------------------------------------------------------

    (h) EPA SC03 Driving Schedule for Light-Duty Vehicles and Light-Duty 
Trucks.

                        EPA SC03 Driving Schedule
                      [Speed versus Time Sequence]
------------------------------------------------------------------------
                                                                  Speed
                           Time (sec)                             (mph)
------------------------------------------------------------------------
0..............................................................      0.0
1..............................................................      0.0
2..............................................................      0.0
3..............................................................      0.0
4..............................................................      0.0
5..............................................................      0.0
6..............................................................      0.0
7..............................................................      0.0
8..............................................................      0.0
9..............................................................      0.0
10.............................................................      0.0
11.............................................................      0.0
12.............................................................      0.0
13.............................................................      0.0
14.............................................................      0.0
15.............................................................      0.0
16.............................................................      0.0
17.............................................................      0.0
18.............................................................      0.0
19.............................................................      0.9
20.............................................................      3.0
21.............................................................      2.9
22.............................................................      3.3
23.............................................................      3.5
24.............................................................      2.2
25.............................................................      1.4
26.............................................................      0.0
27.............................................................      0.0
28.............................................................      0.0
29.............................................................      0.0
30.............................................................      0.0
31.............................................................      0.0
32.............................................................      0.0
33.............................................................      0.4
34.............................................................      3.3
35.............................................................      6.0
36.............................................................      8.0
37.............................................................      8.7
38.............................................................     10.0
39.............................................................     12.4
40.............................................................     13.8
41.............................................................     14.7
42.............................................................     14.8
43.............................................................     16.6
44.............................................................     18.3
45.............................................................     19.0
46.............................................................     19.2
47.............................................................     19.3
48.............................................................     19.7
49.............................................................     20.5
50.............................................................     21.0
51.............................................................     21.2
52.............................................................     21.6
53.............................................................     22.2
54.............................................................     23.8
55.............................................................     24.6
56.............................................................     24.3
57.............................................................     23.3
58.............................................................     22.7
59.............................................................     21.4
60.............................................................     20.4
61.............................................................     19.5
62.............................................................     17.9
63.............................................................     15.6
64.............................................................     11.7
65.............................................................      7.8
66.............................................................      7.2
67.............................................................      9.3
68.............................................................     12.9
69.............................................................     15.8
70.............................................................     16.2
71.............................................................     16.9
72.............................................................     18.3
73.............................................................     20.3
74.............................................................     21.6
75.............................................................     22.4
76.............................................................     23.0
77.............................................................     22.8
78.............................................................     22.1
79.............................................................     21.2
80.............................................................     19.5
81.............................................................     17.1
82.............................................................     14.1
83.............................................................     10.5
84.............................................................      7.6
85.............................................................      7.5
86.............................................................     10.0
87.............................................................     13.1
88.............................................................     14.1
89.............................................................     16.4
90.............................................................     19.6
91.............................................................     22.4
92.............................................................     24.7
93.............................................................     26.1
94.............................................................     25.8
95.............................................................     26.6
96.............................................................     27.8
97.............................................................     28.5
98.............................................................     28.9
99.............................................................     29.3
100............................................................     29.5
101............................................................     29.4
102............................................................     29.4
103............................................................     29.8
104............................................................     30.3
105............................................................     30.6
106............................................................     30.5
107............................................................     30.5
108............................................................     30.1
109............................................................     29.3
110............................................................     28.4

[[Page 1183]]

 
111............................................................     27.6
112............................................................     26.8
113............................................................     25.5
114............................................................     23.7
115............................................................     21.7
116............................................................     19.3
117............................................................     16.7
118............................................................     14.4
119............................................................     11.5
120............................................................      7.9
121............................................................      6.6
122............................................................      9.4
123............................................................     12.4
124............................................................     14.8
125............................................................     16.1
126............................................................     19.3
127............................................................     22.6
128............................................................     25.5
129............................................................     26.4
130............................................................     26.7
131............................................................     27.8
132............................................................     29.4
133............................................................     31.1
134............................................................     32.5
135............................................................     33.6
136............................................................     34.6
137............................................................     35.4
138............................................................     36.1
139............................................................     37.0
140............................................................     37.7
141............................................................     38.1
142............................................................     38.3
143............................................................     38.1
144............................................................     37.8
145............................................................     36.6
146............................................................     34.8
147............................................................     33.2
148............................................................     32.4
149............................................................     32.3
150............................................................     32.3
151............................................................     32.4
152............................................................     32.4
153............................................................     32.4
154............................................................     32.5
155............................................................     33.3
156............................................................     34.4
157............................................................     35.5
158............................................................     36.6
159............................................................     37.4
160............................................................     38.0
161............................................................     38.4
162............................................................     38.5
163............................................................     38.6
164............................................................     38.4
165............................................................     38.2
166............................................................     37.5
167............................................................     36.9
168............................................................     36.3
169............................................................     34.8
170............................................................     33.0
171............................................................     31.4
172............................................................     30.7
173............................................................     30.3
174............................................................     30.0
175............................................................     29.3
176............................................................     27.4
177............................................................     25.1
178............................................................     21.8
179............................................................     17.2
180............................................................     12.5
181............................................................      8.1
182............................................................      4.5
183............................................................      2.0
184............................................................      1.0
185............................................................      0.6
186............................................................      0.0
187............................................................      0.0
188............................................................      0.0
189............................................................      0.0
190............................................................      0.0
191............................................................      0.0
192............................................................      0.0
193............................................................      0.0
194............................................................      0.0
195............................................................      0.0
196............................................................      0.0
197............................................................      0.0
198............................................................      0.0
199............................................................      0.0
200............................................................      0.0
201............................................................      0.0
202............................................................      0.0
203............................................................      0.0
204............................................................      0.0
205............................................................      1.0
206............................................................      0.5
207............................................................      2.6
208............................................................      7.7
209............................................................     12.3
210............................................................     15.8
211............................................................     17.3
212............................................................     19.4
213............................................................     23.3
214............................................................     27.2
215............................................................     31.0
216............................................................     33.6
217............................................................     34.2
218............................................................     35.8
219............................................................     37.3
220............................................................     38.3
221............................................................     39.2
222............................................................     40.1
223............................................................     40.9
224............................................................     41.0
225............................................................     40.4
226............................................................     39.7
227............................................................     39.1
228............................................................     38.1
229............................................................     36.7
230............................................................     35.9
231............................................................     35.9
232............................................................     35.7
233............................................................     34.9
234............................................................     33.9
235............................................................     32.6
236............................................................     31.9
237............................................................     31.1
238............................................................     30.6
239............................................................     30.3
240............................................................     30.1
241............................................................     29.9
242............................................................     29.8
243............................................................     29.8
244............................................................     29.8
245............................................................     29.8
246............................................................     29.7
247............................................................     29.7
248............................................................     29.6
249............................................................     28.4
250............................................................     25.8

[[Page 1184]]

 
251............................................................     22.8
252............................................................     19.0
253............................................................     14.0
254............................................................      8.6
255............................................................      4.1
256............................................................      1.3
257............................................................      0.0
258............................................................      0.0
259............................................................      0.0
260............................................................      0.0
261............................................................      0.0
262............................................................      0.0
263............................................................      0.0
264............................................................      0.0
265............................................................      0.0
266............................................................      0.0
267............................................................      0.0
268............................................................      0.0
269............................................................      0.0
270............................................................      0.0
271............................................................      0.0
272............................................................      0.0
273............................................................      0.0
274............................................................      0.0
275............................................................      0.0
276............................................................      0.0
277............................................................      0.0
278............................................................      0.0
279............................................................      0.0
280............................................................      0.0
281............................................................      0.1
282............................................................      4.5
283............................................................      9.1
284............................................................     13.6
285............................................................     18.2
286............................................................     22.6
287............................................................     26.2
288............................................................     29.3
289............................................................     32.1
290............................................................     34.5
291............................................................     36.8
292............................................................     38.4
293............................................................     40.0
294............................................................     41.2
295............................................................     41.9
296............................................................     42.2
297............................................................     42.7
298............................................................     43.0
299............................................................     43.3
300............................................................     43.5
301............................................................     43.7
302............................................................     44.3
303............................................................     45.4
304............................................................     45.9
305............................................................     46.8
306............................................................     47.6
307............................................................     48.2
308............................................................     48.6
309............................................................     48.7
310............................................................     48.6
311............................................................     49.0
312............................................................     49.8
313............................................................     50.5
314............................................................     51.2
315............................................................     52.1
316............................................................     52.7
317............................................................     53.4
318............................................................     52.4
319............................................................     54.5
320............................................................     54.8
321............................................................     54.8
322............................................................     54.7
323............................................................     54.3
324............................................................     54.0
325............................................................     53.8
326............................................................     53.5
327............................................................     53.3
328............................................................     52.9
329............................................................     52.6
330............................................................     52.0
331............................................................     51.6
332............................................................     51.0
333............................................................     50.3
334............................................................     49.3
335............................................................     48.1
336............................................................     46.5
337............................................................     43.6
338............................................................     40.7
339............................................................     37.2
340............................................................     34.4
341............................................................     31.4
342............................................................     28.6
343............................................................     24.2
344............................................................     18.1
345............................................................     12.3
346............................................................      8.1
347............................................................      4.8
348............................................................      2.6
349............................................................      2.1
350............................................................      0.0
351............................................................      0.0
352............................................................      0.0
353............................................................      0.0
354............................................................      0.0
355............................................................      0.0
356............................................................      0.0
357............................................................      0.0
358............................................................      0.0
359............................................................      0.0
360............................................................      0.0
361............................................................      0.0
362............................................................      0.0
363............................................................      0.0
364............................................................      0.0
365............................................................      0.0
366............................................................      0.0
367............................................................      0.0
368............................................................      0.0
369............................................................      0.0
370............................................................      0.0
371............................................................      4.3
372............................................................      9.1
373............................................................     13.2
374............................................................     16.3
375............................................................     19.1
376............................................................     20.9
377............................................................     22.7
378............................................................     24.8
379............................................................     26.9
380............................................................     28.8
381............................................................     30.0
382............................................................     30.4
383............................................................     30.6
384............................................................     30.9
385............................................................     31.1
386............................................................     30.8
387............................................................     31.1
388............................................................     31.5
389............................................................     32.4
390............................................................     33.1

[[Page 1185]]

 
391............................................................     33.3
392............................................................     33.4
393............................................................     33.7
394............................................................     34.1
395............................................................     34.7
396............................................................     35.0
397............................................................     35.4
398............................................................     35.8
399............................................................     36.0
400............................................................     36.2
401............................................................     36.3
402............................................................     36.4
403............................................................     36.5
404............................................................     36.9
405............................................................     37.2
406............................................................     37.3
407............................................................     37.8
408............................................................     38.2
409............................................................     38.6
410............................................................     38.8
411............................................................     38.6
412............................................................     38.9
413............................................................     39.0
414............................................................     38.8
415............................................................     38.6
416............................................................     38.1
417............................................................     37.6
418............................................................     37.6
419............................................................     37.3
420............................................................     37.0
421............................................................     36.6
422............................................................     36.2
423............................................................     36.0
424............................................................     36.0
425............................................................     35.5
426............................................................     34.5
427............................................................     33.0
428............................................................     31.0
429............................................................     27.5
430............................................................     22.6
431............................................................     20.0
432............................................................     19.0
433............................................................     19.4
434............................................................     19.2
435............................................................     20.6
436............................................................     22.9
437............................................................     24.6
438............................................................     25.5
439............................................................     26.9
440............................................................     27.3
441............................................................     28.2
442............................................................     29.6
443............................................................     30.2
444............................................................     30.7
445............................................................     31.3
446............................................................     31.7
447............................................................     32.2
448............................................................     32.5
449............................................................     33.0
450............................................................     33.2
451............................................................     33.3
452............................................................     33.1
453............................................................     32.7
454............................................................     32.3
455............................................................     31.9
456............................................................     31.5
457............................................................     31.2
458............................................................     30.8
459............................................................     30.5
460............................................................     30.2
461............................................................     29.9
462............................................................     30.2
463............................................................     30.6
464............................................................     30.9
465............................................................     31.2
466............................................................     31.8
467............................................................     32.4
468............................................................     32.5
469............................................................     32.3
470............................................................     32.3
471............................................................     32.8
472............................................................     32.9
473............................................................     32.8
474............................................................     32.8
475............................................................     33.3
476............................................................     33.4
477............................................................     32.9
478............................................................     32.9
479............................................................     32.8
480............................................................     32.9
481............................................................     32.8
482............................................................     32.8
483............................................................     32.4
484............................................................     31.6
485............................................................     30.6
486............................................................     30.3
487............................................................     30.3
488............................................................     29.8
489............................................................     29.3
490............................................................     28.9
491............................................................     28.8
492............................................................     29.3
493............................................................     30.0
494............................................................     30.2
495............................................................     30.4
496............................................................     30.7
497............................................................     30.8
498............................................................     29.8
499............................................................     28.7
500............................................................     28.9
501............................................................     29.2
502............................................................     29.4
503............................................................     28.6
504............................................................     27.0
505............................................................     27.2
506............................................................     26.6
507............................................................     23.2
508............................................................     21.2
509............................................................     21.2
510............................................................     20.8
511............................................................     17.9
512............................................................     13.2
513............................................................      9.5
514............................................................      6.4
515............................................................      4.1
516............................................................      2.5
517............................................................      0.0
518............................................................      0.0
519............................................................      0.0
520............................................................      0.0
521............................................................      0.0
522............................................................      0.0
523............................................................      0.0
524............................................................      0.0
525............................................................      0.0
526............................................................      0.0
527............................................................      0.0
528............................................................      0.0
529............................................................      0.0
530............................................................      0.0

[[Page 1186]]

 
531............................................................      0.0
532............................................................      0.0
533............................................................      0.0
534............................................................      0.0
535............................................................      0.0
536............................................................      0.0
537............................................................      0.6
538............................................................      3.3
539............................................................      5.9
540............................................................      8.9
541............................................................     10.2
542............................................................     10.4
543............................................................      9.9
544............................................................      9.9
545............................................................     10.5
546............................................................     11.3
547............................................................     12.4
548............................................................     12.8
549............................................................     14.0
550............................................................     14.6
551............................................................     15.5
552............................................................     17.0
553............................................................     17.5
554............................................................     18.1
555............................................................     18.4
556............................................................     18.5
557............................................................     18.2
558............................................................     18.5
559............................................................     18.3
560............................................................     18.2
561............................................................     17.9
562............................................................     17.7
563............................................................     17.7
564............................................................     17.3
565............................................................     17.4
566............................................................     16.8
567............................................................     17.5
568............................................................     17.7
569............................................................     17.5
570............................................................     17.6
571............................................................     17.3
572............................................................     17.4
573............................................................     17.6
574............................................................     17.6
575............................................................     17.9
576............................................................     18.0
577............................................................     17.8
578............................................................     17.7
579............................................................     17.5
580............................................................     17.7
581............................................................     17.7
582............................................................     18.1
583............................................................     18.4
584............................................................     19.2
585............................................................     18.9
586............................................................     18.0
587............................................................     15.6
588............................................................     13.3
589............................................................     10.0
590............................................................      7.7
591............................................................      5.8
592............................................................      3.7
593............................................................      2.4
594............................................................      0.0
595............................................................      0.0
596............................................................      0.0
597............................................................      0.0
598............................................................      0.0
599............................................................      0.0
600............................................................      0.0
------------------------------------------------------------------------


[42 FR 32989, June 28, 1977, as amended at 43 FR 52924, Nov. 14, 1978; 
45 FR 4214, Jan. 21, 1980; 48 FR 1465, Jan. 12, 1983; 48 FR 52239, Nov. 
16, 1983; 49 FR 48148, Dec. 10, 1984; 52 FR 47876, Dec. 16, 1987; 54 FR 
14612, Apr. 11, 1989; 58 FR 16067, Mar. 24, 1993; 61 FR 54901, Oct. 22, 
1996; 63 FR 23501, Apr. 29, 1998; 70 FR 40443, July 13, 2005; 79 FR 
23737, Apr. 28, 2014; 80 FR 9111, Feb. 19, 2015; 81 FR 73999, Oct. 25, 
2016]



           Sec. Appendix II to Part 86--Temperature Schedules

    (a) Ambient temperature cycle for the diurnal emission portion of 
the evaporative emission test (see Sec.  86.133).

                Table I--Temperature Versus Time Sequence
------------------------------------------------------------------------
          Use linear interpolation between hourly temperatures
-------------------------------------------------------------------------
               Temp.                    Temp.        Time       Temp.
Time (min)    ([deg]F)   Time (min)    ([deg]F)     (min)      ([deg]F)
------------------------------------------------------------------------
        0     72.0              60     72.5            120         75.5
      180     80.3             240     85.2            300         89.4
      360     93.1             420     95.1            480         95.8
      540     96.0             600     95.5            660         94.1
      720     91.7             780     88.6            840         85.5
      900     82.8             960     80.9           1020         79.0
     1080     77.2            1140     75.8           1200         74.7
     1260     73.9            1320     73.3           1380         72.6
     1440     72.0            1500     72.5           1560         75.5
     1620     80.3            1680     85.2           1740         89.4
     1800     93.1            1860     95.1           1920         95.8
     1980     96.0            2040     95.5           2100         94.1
     2160     91.7            2220     88.6           2280         85.5
     2340     82.8            2400     80.9           2460         79.0
     2520     77.2            2580     75.8           2640         74.7
     2700     73.9            2760     73.3           2820         72.6
     2880     72.0            2940     72.5           3000         75.5
     3060     80.3            3120     85.2           3180         89.4

[[Page 1187]]

 
     3240     93.1            3300     95.1           3360         95.8
     3420     96.0            3480     95.5           3540         94.1
     3600     91.7            3660     88.6           3720         85.5
     3780     82.8            3840     80.9           3900         79.0
     3960     77.2            4020     75.8           4080         74.7
     4140     73.9            4200     73.3           4260         72.6
     4320     72.9
------------------------------------------------------------------------


[58 FR 16070, Mar. 24, 1993]



 Sec. Appendix III to Part 86--Constant Volume Sampler Flow Calibration

    The following calibration procedure outlines the equipment, the test 
setup configuration, and the various parameters which must be measured 
to establish the flow rate of the constant volume sampler pump. All the 
parameters related to the pump are simultaneously measured with the 
parameters related to a flowmeter which is connected in series with the 
pump. The calculated flow rate (ft \3\/rev@ pump inlet absolute pressure 
and temperature) can then be plotted versus a correlation function which 
is the value of a specific combination of pump parameters. The linear 
equation which relates the pump flow and the correlation function is 
then determined. In the event that a CVS has a multiple speed drive, a 
calibration for each range should be performed.
    This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Three conditions must be maintained to assure 
the accuracy and integrity of the calibration curve. First, the pump 
pressures should be measured at taps on the pump rather than at the 
external piping on the pump inlet and outlet. Pressure taps that are 
mounted at the top and bottom center of the pump drive headplate are 
exposed to the actual pump cavity pressures, and therefore reflect the 
absolute pressure differentials. Secondly, temperature stability must be 
maintained during the calibration. The laminar flowmeter is sensitive to 
inlet temperature oscillations which cause the data points to be 
scattered. Gradual changes (2 [deg]F) in 
temperature are acceptable as long as they occur over a period of 
several minutes. Finally, all connections between the flowmeter and the 
CVS pump must be absolutely void of any leakage.
    During a CVS emissions test the measurement of these same pump 
parameters enables the user to calculate the flow rate from the 
calibration equation.
    After the calibration curve has been obtained, a verification test 
of the entire system can be performed by injecting a known mass of gas 
into the system and comparing the mass indicated by the system to the 
true mass injected. An indicated error does not necessarily mean that 
the calibration is wrong, since other factors can influence the accuracy 
of the system.

Equipment:

    The following list of equipment will be needed to perform this 
calibration procedure. Figure 1 illustrates a typical equipment 
arrangement used for calibration. All of the equipment involved should 
conform to the range and accuracy as specified in Figure 1.

Equipment List:

    1. LFE--Laminar Flowmeter
    2. Micromanometer
    3. Thermometer
    4. Timer
    5. U-Tube Manometers
    6. Temperature Indicator with type J Thermocouples
    7. A variable flow restrictor with appropriate piping to connect the 
CVS pump and LFE.
    After the system has been connected as shown in Figure 1, set the 
variable restrictor in the wide open position and run the CVS pump for 
twenty minutes. Record the calibration data.

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
              Parameter                         Symbol                   Units                  Tolerance
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)......  PB.....................  ``Hg...................  .01 ``Hg.
Ambient temperature..................  TA.....................  [deg]F.................  .5 [deg]F.
Air Temperature into LFE.............  ETI....................  [deg]F.................  .1 [deg]F.
Pressure depression upstream of LFE..  EPI....................  ``H20..................  .1``H20.
Pressure drop across the LFE matrix..  EDP....................  ``H20..................  .005``H20.
Air temperature at CVS pump inlet....  PTI....................  [deg]F.................  .5 [deg]F.

[[Page 1188]]

 
Pressure depression at CVS pump inlet  PPI....................  ``Fluid................  .05``Fluid.
Specific gravity of manometer fluid..  Sp. Gr.................  .......................  .......................
Pressure head at CVS pump outlet.....  PPO....................  ``Fluid................  .05``Fluid.
Air temperature at CVS pump outlet     PTO....................  [deg]F.................  .5 [deg]F.
Pump revolutions during test period..  N......................  Revs...................  None.
Elapsed time for test period.........  t......................  Seconds................  .05 Seconds.
----------------------------------------------------------------------------------------------------------------
Note: The fluid level in the manometer tube should stabilize before the reading is made and the elapsed time for
  revolution counting should be greater than 120 seconds.

    Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression (about 4 H2O) 
that will yield a minimum of six data points for the total calibration.
    Allow the system to stabilize for 3 minutes and repeat the data 
acquisition.

Data Analysis:

    The data recorded during the calibration are to be used in the 
following calculations.
    1. The air flow rate at each test point is calculated in standard 
cubic feet per minute (Qs) from the flowmeter data using the 
manufacturer's prescribed method.
    2. The air flow rate is then converted to pump flow, Vo, in cubic 
feet per revolution at absolute pump inlet temperature and pressure.

Vo = Qs/n x Tp/530 x 29.92/Pp

where:

Qs = Meter air flow rate in standard cubic feet per minute (flowmeter 
          standard conditions are 70 [deg]F, 29.92 ``Hg).
n = Pump speed in revolutions per minute.
Pp = Absolute pump inlet pressure, in (``Hg).
Pp = PB-PPI (SP.GR./13.57), Tp = PTI + 
          460.

    3. The correlation function at each test point is then calculated 
from the calibration data, as follows:
[GRAPHIC] [TIFF OMITTED] TR06OC93.139

[Delta]Pp = The pressure differential from pump inlet to pump 
          outlet in (``Hg).

[Delta]Pp = Pe-Pp

Pe = Absolute pump outlet pressure, in (``Hg).

Pp = PB + PPO (Sp. Gr./13.57)
    See Sec.  86.177-22 for other definitions.
    4. A linear least squares fit is performed to generate the 
calibration equations which have the forms

Vo = Do-M(Xo)

n = A-B(Pp)

    Do, M, A, and B are the slope-intercept constants describing the 
lines.
    A CVS system that has multiple speeds should be calibrated on each 
speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, Do, will 
increase as the pump flow range decreases.

[[Page 1189]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.196

    If the calibration has been performed carefully, the calculated 
Vo values from the equation will be within .50% of the measured value of Vo. Values of M 
will vary from one pump to another, but values of Do for 
pumps of the same make, model, and range should agree within 3 percent of each other. Particulate influx from use 
will cause the pump slip to decrease as reflected by lower values for M. 
Calibrations should be performed at 0, 30, 100, 200, 400, etc. hours of 
pump operation to assure the stability of the pump slip rate. Analysis 
of mass injection data will also reflect pump slip stability.

CVS System Verification:

    The following technique can be used to verify that the CVS and 
analytical instruments can accurately measure a mass of gas that has 
been injected into the system.
    1. Obtain a small cylinder that has been charged with pure propane 
or carbon monoxide gas (caution--carbon monoxide is poisonous!). 
Critical flow orifice devices can also be used for constant flow 
metering.
    2. Determine a reference cylinder weight to the nearest 0.01 gram.
    3. Operate the CVS in the normal manner and release a quantity of 
pure propane or

[[Page 1190]]

carbon monoxide into the system during the sampling period.
    4. The calculations of Sec.  86.177-22 are performed in a normal way 
except, in the case of propane, the density of propane (17.30 grams/cu./
ft./carbon atom) is used in place of the density of exhaust 
hydrocarbons. In the case of carbon monoxide, the density of 32.97 
grams/cu. ft. is used.
    5. The gravimetric mass is subtracted from the CVS measured mass and 
then divided by the gravimetric mass to determine the percent accuracy 
of the system.
    6. The cause for any discrepancy greater than 2 percent should be found and corrected. The following 
list of parametric errors may assist the operator in locating the cause 
of large errors.
    Positive Error (Indication is higher than true value):
    1. Calculated Vo is greater than actual Vo.
    a. Original calibration in error.
    2. Pump inlet temperature recorder is reading low. A 6 [deg]F. 
discrepancy will give a 1 percent error.
    3. Pump inlet pressure indicator is reading high. A 3.5 in. 
H2O high reading will give 1 percent error.
    4. Background concentration reading is too low. Check analyzer zero. 
Check leakage at floor inlet.
    5. Analyzer is reading high. Check span.
    6. Barometer reading is in error (too high). Barometric pressure 
reading should be gravity and temperature corrected.
    7. Revolution counter is reading high (Check pump speed and 
counters.)
    8. Mixture is stratified causing the sample to be higher than the 
average concentration in the mixture. Negative Error (Indication is 
lower than true value):
    1. Calculated Vo is less than actual Vo.
    a. Original calibration in error.
    b. Pump clearances decreased due to influx of some surface adherent 
material. Recalibration may be needed.
    2. Pump inlet temperature recorder is reading high.
    3. Pump inlet pressure indicator is reading low.
    4. Background concentration reading is too high.
    5. Analyzer is reading low.
    6. Barometer reading is in error (too low).
    7. Revolution counter is reading low.
    8. There is a leak into the sampling system. Pressure check the 
lines and fittings on the intake side of sample transfer pumps on both 
the CVS and analyzer console.

[42 FR 33000, June 28, 1977]



        Sec. Appendix IV to Part 86--Durability Driving Schedules

    (a) Durability Driving Schedule for Light-Duty Vehicles and Light-
Duty Trucks.
    The schedule consists basically of 11 laps of a 3.7 mile course. The 
basic vehicle speed for each lap is listed below:

------------------------------------------------------------------------
                                                                 Speed
                             Lap                               miles per
                                                                 hour
------------------------------------------------------------------------
1...........................................................          40
2...........................................................          30
3...........................................................          40
4...........................................................          40
5...........................................................          35
6...........................................................          30
7...........................................................          35
8...........................................................          45
9...........................................................          35
10..........................................................          55
11..........................................................          70
------------------------------------------------------------------------

    During each of the first nine laps there are 4 stops with 15 second 
idle. Normal accelerations and decelerations are used. In addition, 
there are 5 light decelerations each lap from the base speed to 20 
m.p.h. followed by light accelerations to the base speed.
    The 10th lap is run at a constant speed of 55 m.p.h.
    The 11th lap is begun with a wide open throttle acceleration from 
stop to 70 m.p.h. A normal deceleration to idle followed by a second 
wide open throttle acceleration occurs at the midpoint of the lap.
    (b) Durability Driving Schedule for Motorcycles. The Durability 
Driving Schedule for Class III Motorcycles may be used for Light-Duty 
Vehicles and Light-Duty Trucks.
    The schedule consists basically of 11 laps of a 6.0 km (3.7 mi) 
course. The basic vehicle speed for each lap is listed below:

                       Speed (kilometers per hour)
------------------------------------------------------------------------
               Lap                   Class I      Class II    Class III
------------------------------------------------------------------------
1...............................  65..........  65.........  65
2...............................  45..........  45.........  65
3...............................  65..........  65.........  55
4...............................  65..........  65.........  45
5...............................  55..........  55.........  55
6...............................  45..........  45.........  55
7...............................  55..........  55.........  70
8...............................  70..........  70.........  55
9...............................  55..........  55.........  46
10..............................  70..........  90.........  90
11..............................  70..........  90.........  110
------------------------------------------------------------------------

    During each of the first nine laps there are 4 stops with 15 second 
idle. Normal accelerations and decelerations are used. In addition, 
there are 5 light declerations each lap from the base speed to 30 km/h 
followed by light accelerations to the base speed.
    The 10th lap is run at a constant speed.
    The 11th lap is begun with a wide open throttle acceleration from 
stop. A normal deceleration to idle followed by a second wide open 
throttle acceleration occurs at the midpoint of the lap.

[[Page 1191]]

    This schedule may be modified with the advance approval of the 
Administrator if it results in unsafe operation of the vehicle.
[GRAPHIC] [TIFF OMITTED] TR06OC93.197


[[Page 1192]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.198


[42 FR 33002, June 28, 1977]



        Sec. Appendix V to Part 86--The Standard Road Cycle (SRC)

    1. The standard road cycle (SRC) is a mileage accumulation cycle 
that may be used for any vehicle which is covered by the applicability 
provisions of Sec.  86.1801. The vehicle may be run on a track or on a 
mileage accumulation dynamometer.
    2. The cycle consists of 7 laps of a 3.7 mile course. The length of 
the lap may be changed to accommodate the length of the service-
accumulation track.

[[Page 1193]]



                         Description of the SRC
------------------------------------------------------------------------
                                                               Typical
           Lap                        Description             accel rate
                                                               (MPH/s)
------------------------------------------------------------------------
1........................  (start engine) Idle 10 sec......            0
1........................  Mod accel to 30 MPH.............            4
1........................  Cruise at 30 MPH for \1/4\ lap..            0
1........................  Mod. decel to 20 MPH............           -5
1........................  Mod accel to 30 MPH.............            4
1........................  Cruise at 30 MPH for \1/4\ lap..            0
1........................  Mod. decel to stop..............           -5
1........................  Idle 5 sec......................            0
1........................  Mod accel to 35 MPH.............            4
1........................  Cruise at 35 MPH for \1/4\ lap..            0
1........................  Mod. decel to 25 MPH............           -5
1........................  Mod accel to 35 MPH.............            4
1........................  Cruise at 35 MPH for \1/4\ lap..            0
1........................  Mod. decel to stop..............           -5
------------------------------------------------------------------------
2........................  Idle 10 sec.....................            0
2........................  Mod accel to 40 MPH.............            3
2........................  Cruise at 40 MPH for \1/4\ lap..            0
2........................  Mod. decel to 30 MPH............           -5
2........................  Mod accel to 40 MPH.............            3
2........................  Cruise at 40 MPH for \1/4\ lap..            0
2........................  Mod. decel to stop..............           -5
2........................  Idle 5 sec......................            0
2........................  Mod accel to 45 MPH.............            3
2........................  Cruise at 45 MPH for \1/4\ lap..            0
2........................  Mod. decel to 35 MPH............           -5
2........................  Mod accel to 45 MPH.............            3
2........................  Cruise at 45 MPH for \1/4\ lap.
2........................  Mod. decel to stop..............           -5
------------------------------------------------------------------------
3........................  Idle 10 sec.....................            0
3........................  Hard accel to 55 MPH............            4
3........................  Cruise at 55 MPH for \1/4\ lap..            0
3........................  Mod. decel to 45 MPH............           -5
3........................  Mod accel to 55 MPH.............            2
3........................  Cruise at 55 MPH for \1/4\ lap..            0
3........................  Mod. decel to 45 MPH............           -5
3........................  Mod accel to 60 MPH.............            2
3........................  Cruise at 60 MPH for \1/4\ lap..            0
3........................  Mod. decel to 50 MPH............           -5
3........................  Mod. accel to 60 MPH............            2
3........................  Cruise at 60 MPH for \1/4\ lap..            0
3........................  Mod. decel to stop..............           -4
------------------------------------------------------------------------
4........................  Idle 10 sec.....................            0
4........................  Hard accel to 80 MPH............            3
4........................  Coastdown to 70 MPH.............           -1
4........................  Cruise at 70 MPH for \1/2\ Lap..            0
4........................  Mod. decel to 50 MPH............           -3
4........................  Mod accel to 65 MPH.............            2
4........................  Cruise at 65 MPH for \1/2\ lap..            0
4........................  Mod. decel to 50 MPH............           -3
------------------------------------------------------------------------
5........................  Mod accel to 75 MPH.............            1
5........................  Cruise at 75 MPH for \1/2\ lap..            0
5........................  Mod. decel to 50 MPH............           -3
5........................  Lt. accel to 70 MPH.............            1
5........................  Cruise at 70 MPH for \1/2\ lap..            0
5........................  Mod. decel 50 MPH...............           -3
------------------------------------------------------------------------
6........................  Mod accel to 70 MPH.............            2
6........................  Coastdown to 60 MPH.............           -1
6........................  Cruise at 60 MPH for \1/2\ lap..            0
6........................  Mod. decel to 50 MPH............           -4
6........................  Mod. accel to 65 MPH............            1
6........................  Cruise at 65 MPH for \1/2\ lap..            0
6........................  Mod. decel to stop..............           -4
------------------------------------------------------------------------
7........................  Idle 45 sec.....................            0
7........................  Hard accel to 55 MPH............            4
7........................  Cruise at 55 MPH for \1/4\ lap..            0

[[Page 1194]]

 
7........................  Mod. decel to 40 MPH............           -5
7........................  Mod. accel to 55 MPH............            2
7........................  Cruise at 55 MPH for \1/4\ lap..            0
7........................  Mod. decel to 40 MPH............           -5
7........................  Mod. accel to 50 MPH............            2
7........................  Cruise at 50 MPH for \1/4\ lap..            0
7........................  Mod. decel to 40 MPH............           -5
7........................  Mod. accel to 50 MPH............            2
7........................  Cruise at 50 MPH for \1/4\ lap..            0
7........................  Mod. decel to stop..............           -5
------------------------------------------------------------------------

    The standard road cycle is represented graphically in the following 
figure:
[GRAPHIC] [TIFF OMITTED] TR17JA06.066


[71 FR 2837, Jan. 17, 2006]



       Sec. Appendix VI to Part 86--Vehicle and Engine Components

    (a) Light-Duty Vehicles, Light-Duty Trucks, Motorcycles, and 
Gasoline-Fueled Heavy-Duty Engines.
    I. Basic Mechanical Components-Engine.
    (1) Intake and exhaust valves.
    (2) Drive belts.
    (3) Manifold and cylinder head bolts.
    (4) Engine oil and filter.
    (5) Engine coolant.
    (6) Cooling system hoses and connections.
    (7) Vacuum fittings, hoses, and connections.
    (8) Oil injection metering system.
    II. Fuel System.
    (1) Fuel specification-octane rating, lead content.
    (2) Carburetor-idle RPM, mixture ratio.
    (3) Choke mechanism.
    (4) Fuel system filter and fuel system lines and connections.
    (5) Choke plate and linkage.
    III. Ignition Components.
    (1) Ignition timing and advance systems.

[[Page 1195]]

    (2) Distributor breaker points and condenser.
    (3) Spark plugs.
    (4) Ignition wiring.
    (5) Operating parts of distributor.
    IV. Crankcase Ventilation System.
    (1) PCV valve.
    (2) Ventilation hoses.
    (3) Oil filter breather cap.
    (4) Manifold inlet (carburetor spacer, etc.).
    V. External Exhaust Emission Control System.
    (1) Secondary air injection system hoses.
    (2) Air system manifolds.
    (3) Control valves and air pump.
    (4) Manifold reactors.
    (5) Catalytic converters.
    (6) Exhaust recirculation.
    (7) Water injection.
    VI. Evaporative Emission Control System.
    (1) Engine compartment hose connections.
    (2) Carbon storage media.
    (3) Fuel tank pressure-relief valve operation.
    (4) Fuel vapor control valves.
    VII. Air Inlet Components.
    (1) Carburetor air cleaner filter.
    (2) Hot air control valve.
    (b) Diesel Light-Duty Vehicles, Diesel Light-Duty Trucks, and Diesel 
Heavy-Duty Engines.
    I. Engine Mechanical Components.
    (1) Valve train.
    (2) Cooling system.
    a. Coolant.
    b. Thermostat.
    c. Filter.
    (3) Lubrication.
    a. Oil filter.
    b. Lubricant.
    II. Fuel System.
    (1) Fuel type.
    (2) Fuel pump.
    (3) Fuel filters.
    (4) Injectors.
    (5) Governor.
    III. Air Inlet Components.
    (1) Air cleaner.
    (2) Inlet ducting.
    IV. External Exhaust Emission Control System.
    (1) Rack limiting devices (aneroid, throttle delay, etc.).
    (2) Manifold reactors.
    (3) Catalytic converters.
    (4) Exhaust recirculation.
    (5) Water injection.

[42 FR 33004, June 28, 1977]



        Sec. Appendix VII to Part 86--Standard Bench Cycle (SBC)

    1. The standard bench aging durability procedures [Ref. Sec.  
86.1823-08(d)] consist of aging a catalyst-oxygen-sensor system on an 
aging bench which follows the standard bench cycle (SBC) described in 
this appendix.
    2. The SBC requires use of an aging bench with an engine as the 
source of feed gas for the catalyst.
    3. The SBC is a 60-second cycle which is repeated as necessary on 
the aging bench to conduct aging for the required period of time. The 
SBC is defined based on the catalyst temperature, engine air/fuel (A/F) 
ratio, and the amount of secondary air injection which is added in front 
of the first catalyst.

                      Catalyst Temperature Control

    1. Catalyst temperature shall be measured in the catalyst bed at the 
location where the highest temperature occurs in the hottest catalyst. 
Alternatively, the feed gas temperature may be measured and converted to 
catalyst bed temperature using a linear transform calculated from 
correlation data collected on the catalyst design and aging bench to be 
used in the aging process.
    2. Control the catalyst temperature at stoichiometric operation (01 
to 40 seconds on the cycle) to a minimum of 800 [deg]C (10 [deg]C) by selecting the appropriate Engine speed, 
load, and spark timing for the engine. Control the maximum catalyst 
temperature that occurs during the cycle to 890 [deg]C (10 [deg]C) by selecting the appropriate A/F ratio of the 
engine during the ``rich'' phase described in the table below.
    3. If a low control temperature other than 800 [deg]C is utilized, 
the high control temperature shall be 90 [deg]C higher than the low 
control temperature.

                                           Standard Bench Cycle (SBC)
----------------------------------------------------------------------------------------------------------------
                                                                                                   Secondary air
            Time (seconds)                               Engine air/fuel ratio                       injection
----------------------------------------------------------------------------------------------------------------
01-40................................  14.7 (stoichiometric, with load, spark timing, and engine            None
                                        speed controlled to achieve a minimum catalyst
                                        temperature of 800 [deg]C).
41-45................................  ``Rich'' (A/F ratio selected to achieve a maximum                    None
                                        catalyst temperature over the entire cycle of 890
                                        [deg]C, or 90[deg] higher than low control temperature).
46-55................................  ``Rich'' (A/F ratio selected to achieve a maximum              3% (
   Sec. Appendix VIII to Part 86--Aging Bench Equipment and Procedures

    This appendix provides specifications for standard aging bench 
equipment and aging procedures which may be used to conduct bench aging 
durability under the provisions of Sec.  86.1823-08.

                      1. Aging Bench Configuration

    The aging bench must provide the appropriate exhaust flow rate, 
temperature, air-fuel ratio, exhaust constituents and secondary air 
injection at the inlet face of the catalyst.
    a. The EPA standard aging bench consists of an engine, engine 
controller, and engine dynamometer. Other configurations may be 
acceptable (e.g. whole vehicle on a dynamometer, or a burner that 
provides the correct exhaust conditions), as long as the catalyst inlet 
conditions and control features specified in this appendix are met.
    b. A single aging bench may have the exhaust flow split into several 
streams providing that each exhaust stream meets the requirements of 
this appendix. If the bench has more than one exhaust stream, multiple 
catalyst systems may be aged simultaneously.

                             2. Fuel and Oil

    The fuel used by the engine shall comply with the mileage 
accumulation fuel provisions of Sec.  86.113 for the applicable fuel 
type (e.g., gasoline or diesel fuel). The oil used in the engine shall 
be representative of commercial oils and selected using good engineering 
judgement.

                     3. Exhaust System Installation

    a. The entire catalyst(s)-plus-oxygen-sensor(s) system, together 
with all exhaust piping which connects these components, [the ``catalyst 
system''] will be installed on the bench. For engines with multiple 
exhaust streams (such as some V6 and V8 engines), each bank of the 
exhaust system will be installed separately on the bench.
    b. For exhaust systems that contain multiple in-line catalysts, the 
entire catalyst system including all catalysts, all oxygen sensors and 
the associated exhaust piping will be installed as a unit for aging. 
Alternatively, each individual catalyst may be separately aged for the 
appropriate period of time.

                       4. Temperature Measurement

    Catalyst temperature shall be measured using a thermocouple placed 
in the catalyst

[[Page 1197]]

bed at the location where the highest temperature occurs in the hottest 
catalyst (typically this occurs approximately one-inch behind the front 
face of the first catalyst at its longitudinal axis). Alternatively, the 
feed gas temperature just before the catalyst inlet face may be measured 
and converted to catalyst bed temperature using a linear transform 
calculated from correlation data collected on the catalyst design and 
aging bench to be used in the aging process. The catalyst temperature 
must be stored digitally at the speed of 1 hertz (one measurement per 
second).

                         5. Air/Fuel Measurement

    Provisions must be made for the measurement of the air/fuel (A/F) 
ratio (such as a wide-range oxygen sensor) as close as possible to the 
catalyst inlet and outlet flanges. The information from these sensors 
must be stored digitally at the speed of 1 hertz (one measurement per 
second).

                         6. Exhaust Flow Balance

    Provisions must be made to assure that the proper amount of exhaust 
(measured in grams/second at stoichiometry, with a tolerance of 5 grams/second) flows through each catalyst system that 
is being aged on the bench. The proper flow rate is determined based 
upon the exhaust flow that would occur in the original vehicle's engine 
at the steady state engine speed and load selected for the bench aging 
in paragraph (7).

                                7. Setup

    a. The engine speed, load, and spark timing are selected to achieve 
a catalyst bed temperature of 800 [deg]C (10 
[deg]C) at steady-state stoichiometric operation.
    b. The air injection system is set to provide the necessary air flow 
to produce 3.0% oxygen (0.1%) in the steady-state 
stoichiometric exhaust stream just in front of the first catalyst. A 
typical reading at the upstream A/F measurement point (required in 
paragraph 5) is lambda 1.16 (which is approximately 3% oxygen).
    c. With the air injection on, set the ``Rich'' A/F ratio to produce 
a catalyst bed temperature of 890 [deg]C (10 
[deg]C). A typical A/F value for this step is lambda 0.94 (approximately 
2% CO).

                             8. Aging Cycle

    The standard bench aging procedures use the standard bench cycle 
(SBC) which is described in appendix VII to part 86. The SBC is repeated 
until the amount of aging calculated from the bench aging time (BAT) 
equation [ref. Sec.  86.1823-08 (d)(3)] is achieved.

                          9. Quality Assurance

    a. The temperatures and A/F ratio information that is required to be 
measured in paragraphs (4) and (5) shall be reviewed periodically (at 
least every 50 hours) during aging. Necessary adjustments shall be made 
to assure that the SBC is being appropriately followed throughout the 
aging process.
    b. After the aging has been completed, the catalyst time-at-
temperature collected during the aging process shall be tabulated into a 
histogram with temperature bins of no larger than 10 [deg]C. The BAT 
equation and the calculated effective reference temperature for the 
aging cycle [ref. Sec.  86.1823-08(d)] will be used to determine if the 
appropriate amount of thermal aging of the catalyst has in fact 
occurred. Bench aging will be extended if the thermal effect of the 
calculated aging time is not at least 95% of the target thermal aging.

                        10. Startup and Shutdown

    Care should be taken to assure that the maximum catalyst temperature 
for rapid deterioration (e.g., 1050 [deg]C) does not occur during 
startup or shutdown. Special low temperature startup and shutdown 
procedures may be used to alleviate this concern.

[71 FR 2837, Jan. 17, 2006]



Sec. Appendix IX to Part 86--Experimentally Determining the R-Factor for 
                    Bench Aging Durability Procedures

    The R-Factor is the catalyst thermal reactivity coefficient used in 
the bench aging time (BAT) equation [Ref. Sec.  86.1826-08(d)(3)]. 
Manufacturers may determine the value of R experimentally using the 
following procedures.
    1. Using the applicable bench cycle and aging bench hardware, age 
several catalysts (minimum of 3 of the same catalyst design) at 
different control temperatures between the normal operating temperature 
and the damage limit temperature. Measure emissions (or catalyst 
inefficiency (1-catalyst efficiency)) for each constituent. Assure that 
the final testing yields data between one- and two-times the standard.
    2. Estimate the value of R and calculate the effective reference 
temperature (Tr) for the bench aging cycle for each control 
temperature according to the procedure described in Sec.  86.1826-
08(d)(4).
    3. Plot emissions (or catalyst inefficiency) versus aging time for 
each catalyst. Calculate the least-squared best-fit line through the 
data. For the data set to be useful for this purpose the data should 
have an approximately common intercept between 0 and 4000 miles. See the 
following graph for an example.
    4. Calculate the slope of the best-fit line for each aging 
temperature.
    5. Plot the natural log (ln) of the slope of each best-fit line 
(determined in step 4)

[[Page 1198]]

along the vertical axis, versus the inverse of aging temperature (1/
(aging temperature, deg K)) along the horizontal axis, Calculate the 
least-squared best-fit lines through the data. The slope of the line is 
the R-factor. See the following graph for an example.
[GRAPHIC] [TIFF OMITTED] TR17JA06.068

    6. Compare the R-factor to the initial value that was used in Step 
2. If the calculated R-factor differs from the initial value by more 
than 5%, choose a new R-factor that is between the initial and 
calculated values, then repeat Steps 2-6 to derive a new R-factor. 
Repeat this process until the calculated R-factor is within 5% of the 
initially assumed R-factor.
    7. Compare the R-factor determined separately for each constituent. 
Use the lowest R-factor (worst case) for the BAT equation.

[[Page 1199]]

[GRAPHIC] [TIFF OMITTED] TR17JA06.069


[71 FR 2837, Jan. 17, 2006]



  Sec. Appendix X to Part 86--Sampling Plans for Selective Enforcement 
          Auditing of Heavy-Duty Engines and Light-Duty Trucks

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
                                                                   Code
                          Annual sales                            letter
------------------------------------------------------------------------
50-99..........................................................       A.
100-299........................................................       B.
300-499........................................................       C.
500 or greater.................................................       D.
------------------------------------------------------------------------


              Table 2--Sampling Plan for Code Letter ``A''
                      [Sample inspection criteria]
------------------------------------------------------------------------
   Stage       Pass No.    Fail No.      Stage     Pass No.    Fail No.
------------------------------------------------------------------------
        1        (\1\)        (\2\)          16           6          11
        2        (\1\)        (\2\)          17           7          12
        3        (\1\)        (\2\)          18           7          12
        4            0        (\2\)          19           8          13
        5            0        (\2\)          20           8          13
        6            1            6          21           9          14
        7            1            7          22          10          14
        8            2            7          23          10          15
        9            2            8          24          11          15
       10            3            8          25          11          16
       11            3            8          26          12          16
       12            4            9          27          12          17
       13            5           10          28          13          17
       14            5           10          29          14          17
       15            6           11          30          16          17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 3--Sampling Plan for Code Letter ``B''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
        Stage                 Pass No.                  Fail No.
------------------------------------------------------------------------
              1           (\1\ )                    (\2\ )
              2           (\1\ )                    (\2\ )
              3           (\1\ )                    (\2\ )
              4           (\1\ )                    (\2\ )
              5                0                    (\2\ )
              6                1                         6

[[Page 1200]]

 
              7                1                         7
              8                2                         7
              9                2                         8
             10                3                         8
             11                3                         9
             12                4                         9
             13                4                        10
             14                5                        10
             15                5                        11
             16                6                        12
             17                6                        12
             18                7                        13
             19                8                        13
             20                8                        14
             21                9                        14
             22                9                        15
             23               10                        15
             24               10                        16
             25               11                        16
             26               11                        17
             27               12                        17
             28               12                        18
             29               13                        18
             30               13                        19
             31               14                        19
             32               14                        20
             33               15                        20
             34               16                        21
             35               16                        21
             36               17                        22
             37               17                        22
             38               18                        22
             39               18                        22
             40               21                        22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 4--Sampling Plan for Code Letter ``C''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
        Stage                 Pass No.                  Fail No.
------------------------------------------------------------------------
              1              [1]                       [2]
              2              [1]                       [2]
              3              [1]                       [2]
              4              [1]                       [2]
              5                0                       [2]
              6                0                         6
              7                1                         7
              8                2                         7
              9                2                         8
             10                3                         9
             11                3                         9
             12                4                        10
             13                4                        10
             14                5                        11
             15                5                        11
             16                6                        12
             17                6                        12
             18                7                        13
             19                7                        13
             20                8                        14
             21                8                        14
             22                9                        15
             23               10                        15
             24               10                        16
             25               11                        16
             26               11                        17
             27               12                        17
             28               12                        18
             29               13                        18
             30               13                        19
             31               14                        19
             32               14                        20
             33               15                        20
             34               15                        21
             35               16                        21
             36               16                        22
             37               17                        22
             38               18                        23
             39               18                        23
             40               19                        24
             41               19                        24
             42               20                        25
             43               20                        25
             44               21                        26
             45               21                        27
             46               22                        27
             47               22                        27
             48               23                        27
             49               23                        27
             50               26                        27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 5--Sampling Plan for Code Letter ``D''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
        Stage                 Pass No.                  Fail No.
------------------------------------------------------------------------
              1           (\1\ )                    (\2\ )
              2           (\1\ )                    (\2\ )
              3           (\1\ )                    (\2\ )
              4           (\1\ )                    (\2\ )
              5                0                    (\2\ )
              6                0                         6
              7                1                         7
              8                2                         8
              9                2                         8
             10                3                         9
             11                3                         9
             12                4                        10
             13                4                        10
             14                5                        11
             15                5                        11
             16                6                        12
             17                6                        12
             18                7                        13
             19                7                        13
             20                8                        14
             21                8                        14
             22                9                        15
             23                9                        15
             24               10                        16
             25               11                        16
             26               11                        17
             27               12                        17
             28               12                        18
             29               13                        19
             30               13                        19
             31               14                        20
             32               14                        20
             33               15                        21
             34               15                        21

[[Page 1201]]

 
             35               16                        22
             36               16                        22
             37               17                        23
             38               17                        23
             39               18                        24
             40               18                        24
             41               19                        25
             42               19                        26
             43               20                        26
             44               21                        27
             45               21                        27
             46               22                        28
             47               22                        28
             48               23                        29
             49               23                        29
             50               24                        30
             51               24                        30
             52               25                        31
             53               25                        31
             54               26                        32
             55               26                        32
             56               27                        33
             57               27                        33
             58               28                        33
             59               28                        33
             60               32                        33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


[48 FR 1414, Jan. 12, 1983, as amended at 48 FR 52209, Nov. 16, 1983]



 Sec. Appendix XI to Part 86--Sampling Plans for Selective Enforcement 
                     Auditing of Light-Duty Vehicles

                                 40% AQL

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
         Annual sales of configuration                 Code letter
------------------------------------------------------------------------
50-99.........................................  A
100-299.......................................  B
300-499.......................................  C
500 or greater................................  D
------------------------------------------------------------------------


          Table 2--Sampling Plan for Code Letter ``A'' 40% AQL
                      [Sample inspection criteria]
------------------------------------------------------------------------
                       Stage                         Pass No.   Fail No.
------------------------------------------------------------------------
1.................................................      (\1\)      (\2\)
2.................................................      (\1\)      (\2\)
3.................................................      (\1\)      (\2\)
4.................................................          0      (\2\)
5.................................................          0      (\2\)
6.................................................          1          6
7.................................................          1          7
8.................................................          2          7
9.................................................          2          8
10................................................          3          8
11................................................          3          9
12................................................          4          9
13................................................          5         10
14................................................          5         10
15................................................          6         11
16................................................          6         11
17................................................          7         12
18................................................          7         12
19................................................          8         13
20................................................          8         13
21................................................          9         14
22................................................         10         14
23................................................         10         15
24................................................         11         15
25................................................         11         16
26................................................         12         16
27................................................         12         17
28................................................         13         17
29................................................         14         17
30................................................         16         17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


          Table 3--Sampling Plan for Code Letter ``B'' 40% AQL
                      [Sample inspection criteria]
------------------------------------------------------------------------
                       Stage                         Pass No.   Fail No.
------------------------------------------------------------------------
1.................................................      (\1\)      (\2\)
2.................................................      (\1\)      (\2\)
3.................................................      (\1\)      (\2\)
4.................................................      (\1\)      (\2\)
5.................................................          0      (\2\)
6.................................................          1          6
7.................................................          1          7
8.................................................          2          7
9.................................................          2          8
10................................................          3          8
11................................................          3          9
12................................................          4          9
13................................................          4         10
14................................................          5         10
15................................................          5         11
16................................................          6         12
17................................................          6         12
18................................................          7         13
19................................................          8         13
20................................................          8         14
21................................................          9         14
22................................................          9         15
23................................................         10         15
24................................................         10         16
25................................................         11         16
26................................................         11         17
27................................................         12         17
28................................................         12         18
29................................................         13         18
30................................................         13         19
31................................................         14         19
32................................................         14         20
33................................................         15         20
34................................................         16         21
35................................................         16         21
36................................................         17         22
37................................................         17         22
38................................................         18         22
39................................................         18         22
40................................................         21         22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.

[[Page 1202]]

 
\2\ Test sample failure not permitted at this stage.


          Table 4--Sampling Plan for Code Letter ``C'' 40% AQL
                      [Sample inspection criteria]
------------------------------------------------------------------------
                       Stage                         Pass No.   Fail No.
------------------------------------------------------------------------
1.................................................     (\1\ )     (\2\ )
2.................................................     (\1\ )     (\2\ )
3.................................................     (\1\ )     (\2\ )
4.................................................     (\1\ )     (\2\ )
5.................................................          0     (\2\ )
6.................................................          0          6
7.................................................          1          7
8.................................................          2          7
9.................................................          2          8
10................................................          3          9
11................................................          3          9
12................................................          4         10
13................................................          4         10
14................................................          5         11
15................................................          5         11
16................................................          6         12
17................................................          6         12
18................................................          7         13
19................................................          7         13
20................................................          8         14
21................................................          8         14
22................................................          9         15
23................................................         10         15
24................................................         10         16
25................................................         11         16
26................................................         11         17
27................................................         12         17
28................................................         12         18
29................................................         13         18
30................................................         13         19
31................................................         14         19
32................................................         14         20
33................................................         15         20
34................................................         15         21
35................................................         16         21
36................................................         16         22
37................................................         17         22
38................................................         18         23
39................................................         18         23
40................................................         19         24
41................................................         19         24
42................................................         20         25
43................................................         20         25
44................................................         21         26
45................................................         21         27
46................................................         22         27
47................................................         22         27
48................................................         23         27
49................................................         23         27
50................................................         26         27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


          Table 5--Sampling Plan for Code Letter ``D'' 40% AQL
                      [Sample inspection criteria]
------------------------------------------------------------------------
                       Stage                         Pass No.   Fail No.
------------------------------------------------------------------------
1.................................................     (\1\ )     (\2\ )
2.................................................     (\1\ )     (\2\ )
3.................................................     (\1\ )     (\2\ )
4.................................................     (\1\ )     (\2\ )
5.................................................          0     (\2\ )
6.................................................          0          6
7.................................................          1          7
8.................................................          2          8
9.................................................          2          8
10................................................          3          9
11................................................          3          9
12................................................          4         10
13................................................          4         10
14................................................          5         11
15................................................          5         11
16................................................          6         12
17................................................          6         12
18................................................          7         13
19................................................          7         13
20................................................          8         14
21................................................          8         14
22................................................          9         15
23................................................          9         15
24................................................         10         16
25................................................         11         16
26................................................         11         17
27................................................         12         17
28................................................         12         18
29................................................         13         19
30................................................         13         19
31................................................         14         20
32................................................         14         20
33................................................         15         21
34................................................         15         21
35................................................         16         22
36................................................         16         22
37................................................         17         23
38................................................         17         23
39................................................         18         24
40................................................         18         24
41................................................         19         25
42................................................         19         26
43................................................         20         26
44................................................         21         27
45................................................         21         27
46................................................         22         28
47................................................         22         28
48................................................         23         29
49................................................         23         29
50................................................         24         30
51................................................         24         30
52................................................         25         31
53................................................         25         31
54................................................         26         32
55................................................         26         32
56................................................         27         33
57................................................         27         33
58................................................         28         33
59................................................         28         33
60................................................         32         33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


[49 FR 48485, Dec. 12, 1984]

[[Page 1203]]



Sec. Appendix XII to Part 86--Tables for Production Compliance Auditing 
  of Heavy-Duty Engines and Heavy-Duty Vehicles, Including Light-Duty 
                                 Trucks

 Table 1--Compliance Level Determination Using the Primary PCA Sampling
                                  Plan
------------------------------------------------------------------------
                                                              Compliance
                                                               level \2\
------------------------------------------------------------------------
PCA test sample size.\1\
    24......................................................          15
    25......................................................          15
    26......................................................          16
    27......................................................          17
    28......................................................          17
    29......................................................          18
    30......................................................          18
    31......................................................          19
    32......................................................          20
    33......................................................          20
    34......................................................          21
    35......................................................          21
    36......................................................          22
    37......................................................          23
    38......................................................          23
    39......................................................          24
    40......................................................          24
    41......................................................          25
    42......................................................          26
    43......................................................          26
    44......................................................          27
    45......................................................          27
    46......................................................          28
    47......................................................          29
    48......................................................          29
    49......................................................          30
    50......................................................          30
    51......................................................          31
    52......................................................          32
    53......................................................          32
    54......................................................          33
    55......................................................          33
    56......................................................          34
    57......................................................          35
    58......................................................          35
    59......................................................          36
    60......................................................          36
------------------------------------------------------------------------
\1\ Including the number of SEA tests if applicable.
\2\ Is the test result of the sequence number: (The lowest test result
  is sequence No. 1).


      Table 2--Values of K for the Reduced Fixed PCA Sampling Plan
------------------------------------------------------------------------
                                                              Value of K
------------------------------------------------------------------------
Sample size:
    3.......................................................       1.602
    4.......................................................       1.114
    5.......................................................       0.895
    6.......................................................       0.764
    7.......................................................       0.674
    8.......................................................       0.608
    9.......................................................       0.555
    10......................................................       0.513
    11......................................................       0.478
    12......................................................       0.448
    13......................................................       0.422
    14......................................................       0.399
    15......................................................       0.379
    16......................................................       0.360
    17......................................................       0.343
    18......................................................       0.328
    19......................................................       0.314
    20......................................................       0.301
    21......................................................       0.289
    22......................................................       0.277
    23......................................................       0.266
------------------------------------------------------------------------


    Table 3--Values of K for the Reduced Sequential PCA Sampling Plan
------------------------------------------------------------------------
                                                              Value of K
------------------------------------------------------------------------
Sample size:
    4.......................................................       1.671
    8.......................................................       0.912
    12......................................................       0.672
    16......................................................       0.540
    20......................................................       0.451
------------------------------------------------------------------------


[50 FR 35401, Aug. 30, 1985]

[[Page 1205]]



                              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 1207]]



                    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 1208]]

     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 1209]]

    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 1210]]

     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 1211]]

        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 1212]]

                    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 1213]]

       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 1214]]

      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 1215]]

        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 1216]]

        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 1217]]

                           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 1218]]

        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 1219]]

      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 1220]]

       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 1221]]

           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 1222]]

            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 1223]]

       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 1224]]

        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 1225]]

        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 1226]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 1227]]





           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 1228]]

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 1229]]

  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 1230]]

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 1231]]

  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 1232]]

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 1233]]

  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, 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 1234]]

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
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
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 1235]]

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 1237]]



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
82 Policy statement................................................42053
82.8 (b) revised....................................................3887
    (c)(1) table revised...........................................61992
82.13 (y) and (z) revised..........................................61992
82.1--82.24 (Subpart A) Appendix L revised.........................61992
82.154 (a)(1)(iii) added...........................................19490
82.170--82.184 (Subpart G) Appendix R revised......................19491
    Appendix B amended.............................................42952
    Appendix D amended; Appendix U added...........................42953
85 Hearings; comment period extended...............................44863
86 Hearings; comment period extended...............................44863
86.1 (b) revised....................................................9100
86.007-35 Revised...................................................9101
86.095-35 (a)(4) revised; (g) removed...............................9101
86.101 (b)(1), (2)(i) and (3) revised...............................9102
86.113-04 (a)(1) revised............................................9102
86.201 Revised......................................................9103
86.213 (a)(2) Table 1 revised.......................................9103
86.513 (a)(1) revised...............................................9103
86.513-2004 Removed.................................................9104
86.529-98 (b) amended...............................................9104
86.1801-01--86.1871-12 (Subpart S) Heading revised..................9104
86.1801-12 (a)(2)(ii) and (3) introductory text revised; 
        (a)(2)(iii) added; (a)(4) removed; (a)(5) redesignated as 
        new (a)(4)..................................................9104
86.1803-01 Amended..................................................9104
86.1805-17 (a), (b) and (c) revised.................................9104
86.1806-17 (a)(8) revised...........................................9104
86.1810-01 (o) revised; (p) removed.................................9105
86.1810-17 (h)(1) revised...........................................9105
86.1811-04 (j) revised..............................................9105
86.1811-17 (a), (b)(2), (8), (9) introductory text, (10), (11), 
        (c) and (g) revised; (b)(14) added..........................9105
86.1813-17 (a)(1)(iv) and (2)(i) revised............................9107
86.1816-18 (b)(1)(ii)(C), (8) introductory text, (12)(iii) and (c) 
        revised.....................................................9108
86.1829-15 (b)(2), (d)(1) and (e)(9) revised; (d)(6) added..........9108
86.1844-01 (d)(3) and (7)(i) revised................................9109
86.1845-04 (b)(5), (c)(5) and (f)(2) revised........................9109
86.1846-01 (b)(1)(i) and (ii) revised...............................9110
86.1861-17 (a) and (b)(1) revised...................................9110
86 Appendix I amended...............................................9111

[[Page 1238]]

                                  2016

40 CFR
                                                                   81 FR
                                                                    Page
Chapter I
82 Policy statement.........................................32241, 70029
82.3 Amended........................................................6768
82.13 (g)(1)(xii), (3)(v) and (viii)(D) revised.....................6768
    (y) and (z) revised............................................14394
82.24 (c)(2)(xiii), (4)(v), (viii)(D), (d)(2)(i) and (3)(i) 
        revised.....................................................6768
82.104 (m)(2) revised...............................................6768
82.150 Revised (OMB number pending)................................82349
82.152 Amended (OMB number pending)................................82349
82.154 Revised (OMB number pending)................................82352
    (a)(1) introductory text and (viii) revised....................86881
82.155 Added (OMB number pending)..................................82353
82.156 Heading and (a) through (h) revised; introductory text, (i) 
        introductory text and (j) added (OMB number pending).......82354
82.157 Added (OMB number pending)..................................82356
82.158 Revised (OMB number pending)................................82360
82.160 Revised (OMB number pending)................................82362
82.161 Revised (OMB number pending)................................82363
82.162 Removed (OMB number pending)................................82364
82.164 Revised (OMB number pending)................................82364
82.166 Heading, (m) and (q) introductory text revised; 
        introductory text added; (a) through (i) and (l) removed 
        (OMB number pending).......................................82364
82.168 Added (OMB number pending)..................................82364
82.150--82.169 (Subpart F) Appendix A revised (OMB number pending)
                                                                   82365
    Appendix B4 added; appendix D revised (OMB number pending).....82392
    Appendix E added (OMB number pending)..........................82392
82.170--82.184 (Subpart G) Table amended...........................86881
    Appendixes K and M revised; Appendix O amended.................86883
    Appendix Q revised; Appendix U amended.........................86885
    Appendix V added...............................................86889
85.525 Revised.....................................................73971
85.1406 (f)(2) revised.............................................73972
85.1508 (c) revised................................................73972
85.1513 (e)(4) revised.............................................73972
85.1701 (a)(1) revised.............................................73972
85.1703 (b) added..................................................73972
85.1706 (b) revised................................................73972
85.1711 Revised....................................................73972
85.1713 Removed....................................................73972
85.1714 Removed....................................................73972
85.1901 Revised....................................................73972
85.1902 Revised....................................................73973
85.1906 (a) revised................................................73973
85.2109 (a)(6) revised.............................................73973
85.2110 (b) revised................................................73973
86.1 (c)(2) added; (g)(4) revised; (g)(5) removed..................73973
86.000-2--86.099-1 (Subpart A) Heading revised.....................73973
86.001-35 Removed..................................................73973
86.004-2 Amended...................................................73973
86.004-25 Introductory text, (b)(3)(iii)(A), (4)(i), (iii)(D), (F) 
        and (6)(i)(E) revised; (b)(3)(vi) removed; (i) added.......73973
86.004-28 (i) introductory text revised; (j) added.................73974
86.004-30 Removed..................................................73974
86.007-11 Introductory text, (a)(1)(ii), (iii), (2)(ii) and (g) 
        revised; (j) added.........................................73974
86.007-25 Removed..................................................73975
86.007-30 (d) removed..............................................73975
86.007-35 Removed..................................................73975
86.008-10 Introductory text added; (a)(1)(ii), (iii) and (g) 
        revised; (f) removed.......................................73975
86.016-1 (a)(1) and (2) revised....................................73975
86.078-6 Revised...................................................73975
86.084-4 Revised...................................................73976
86.085-37 (d) removed..............................................73976
86.094-14 Revised..................................................73976
86.094-25 (b)(2) and (7)(iii) revised..............................73978
86.094-30 Removed..................................................73978
86.095-14 Removed..................................................73978
86.095-35 (a) introductory text, (3)(iii)(B), (H) through (K) and 
        (i) revised; (c) added.....................................73978
86.098-14 Removed..................................................73979
86.143-96 (b)(1)(i) amended........................................73979
86.402-78 Amended..................................................73979
86.410-2006 (e) introductory text revised..........................73979

[[Page 1239]]

86.419-78 Removed..................................................73979
86.419-2006 (a)(1) revised.........................................73979
86.432-78 (d) revised..............................................73979
86.443-78 Revised..................................................73979
86.444-78 Revised..................................................73979
86.544-90 Introductory text and (a) revised........................73980
86.614-84 Revised..................................................73980
86.615-84 Revised..................................................73980
86.1103-87 Removed.................................................73980
86.1103-2016 Added.................................................73980
86.1104-91 Removed.................................................73980
86.1104-2016 Added.................................................73980
86.1105-87 (e) revised; (j) removed................................73981
86.1112-87 (a)(2)(iii), (3)(iii), (d) and (e)(2) revised...........73981
86.1113-87 (a)(6), (f) and (g)(3) introductory text revised........73981
86.1115-87 Revised.................................................73981
86.1301 Revised....................................................73981
86.1362 (a) revised................................................73981
86.1370 (g) and (h) revised; (i) and (j) added.....................73982
86.1801-12 (a)(2)(ii) removed; (a)(3)(i) revised; (a)(3)(ii), 
        (iii) and (iv) redesignated as (a)(3)(iii), (iv) and (v); 
        new (a)(3)(ii) added.......................................73982
86.1802-01 Revised.................................................73982
86.1803-01 Amended.................................................73983
86.1805-17 (b) revised.............................................73983
86.1811-17 (b)(8)(iii)(C) and (g) revised..........................73984
86.1813-17 (a)(1)(ii), (2)(iii) and (f)(1) revised.................73984
86.1816-18 (a) introductory text, (b)(7)(i) introductory text and 
        (9) revised................................................73984
86.1817-05 (c) introductory text revised...........................73985
86.1818-12 (a)(2), (c)(4) and (f)(4) revised.......................73985
86.1819-14 Added...................................................73985
86.1820-01 (b)(7)(i)(A) revised....................................73991
86.1823-08 (d)(3) amended..........................................73991
86.1838-01 (b)(1)(i)(B) and (d)(3)(iii) introductory text revised; 
        (b)(1)(i)(C) added.........................................73991
86.1844-01 (d)(4)(ii) revised; (d)(7)(iv) added....................73991
86.1845-04 (f)(1) revised..........................................73991
86.1846-01 (b)(1)(i) revised.......................................73991
86.1848-10 (c)(9) revised..........................................73991
86.1853-01 Revised.................................................73992
86.1862-04 (d) revised.............................................73992
86.1863-07 (h) removed.............................................73992
86.1865-12 Revised.................................................73992
86.1866-12 Introductory text added; (b) introductory text revised 
                                                                   73996
86.1867-12 Introductory text revised...............................73996
86.1868-12 Introductory text, (e)(5), (f)(1), (g)(1) and (3) 
        introductory text revised..................................73996
86.1869-12 Introductory text added; (b)(2) introductory text, 
        (4)(ii) and (f) revised....................................73997
86.1870-12 Heading, introductory text and (a) introductory text 
        revised; (a)(3) added......................................73997
86.1871-12 Introductory text, (a) introductory text, (b)(1) and 
        (d) revised................................................73998
86.1910 (i) revised................................................73998
86.1912 Revised....................................................73998
86.1920 (b) introductory text revised..............................73999
86 Appendix I amended..............................................74000

                                  2017

40 CFR
                                                                   82 FR
                                                                    Page
Chapter I
82 Policy statement................................................33809
82.154 (c)(1)(ix) revised...................................45201, 61184
    Regulation 82 FR 45205 withdrawn...............................60890
82.170--82.184 (Subpart G) Appendix R amended......................58128

                                  2018

40 CFR
                                                                   83 FR
                                                                    Page
Chapter I
82 Determination...................................................18431
82.170--82.184 (Subpart G) Regulation at 82 FR 58128 withdrawn......9703
    Appendix R amended.............................................38975
86.000-7 Introductory text reinstated; CFR correction..............18436
86.1920 Heading added; CFR correction..............................30573

[[Page 1240]]

                                  2019

40 CFR
                                                                   84 FR
                                                                    Page
Chapter I
82 Determination...................................................64765
82.42 (a)(1)(iii)(A) revised.......................................34070
82.42 (a)(1)(iii)(F) revised.......................................44230

                                  2020

   (Regulations published from January 1, 2020, through July 1, 2020)

40 CFR
                                                                   85 FR
                                                                    Page
Chapter I
82.3 Amended.......................................................15291
82.4 (f) removed; (j) revised; (r) and (s) added...................15291
82.9 (a), (b), (e) and (f) removed; (c) introductory text revised 
                                                                   15292
82.10 Removed......................................................15292
82.12 (a)(1) introductory text revised; (a)(2), (b), and (c) 
        removed....................................................15292
82.13 (a), (c), (f)(2)(xvii) through (xxii), (3)(xiii) through 
        (xvii), (g)(1)(xi), (xv), (xvii) through (xxi), (2)(i), 
        (ii), (iii), (vi), (viii) through (xiii), (3)(i)(A), 
        (vii), (4)(xv) through (xviii), (h) heading, (1) 
        introductory text, (ii), (iii), (2) introductory text, 
        (ii) through (v), (viii), (v), (w)(2), (y), (z), and (aa) 
        revised; (f) heading, (2) heading, (g) heading, (2)(xv), 
        (3) heading, (4) heading, (5) through (10), and (w) 
        heading added; (f)(2)(iv), (v), (xvi), (3)(iv), (ix), 
        (g)(2)(xiv), (4)(vii), (xi), and (i) removed; (f)(2)(xiv), 
        (xv), (3) introductory text, and (g)(1) introductory text 
        amended....................................................15292
82.14 Added........................................................15296
82.15 (g)(5) and (5) redesignated as (g)(6) and (7); (g)(3), new 
        (5), and (8) added.........................................15296
82.16 (a) heading removed; (a)(1) and (e) revised..................15296
82.23 (a)(i)(F) removed; (b)(1)(i) and (ii) added..................15298
82.24 (a)(1), (b)(2)(iv), (c)(3)(i), (ii), (iii), (vi), (viii) 
        through (xiii), (4)(i)(A), (vii), (d)(1) introductory 
        text, and (iii) revised; (b)(1)(iv), (ix), (xi), (xii), 
        (2)(xiv), (c)(1)(vi), (x), (xi), (2)(xvi), (d)(2), and (g) 
        removed; (b)(1)(viii), (x), (2)(xi), (xiii), and (xiv) 
        amended; (c)(6) through (11) added.........................15298
82.1--82.24 (Subpart A) Appendix K.................................15299
82.62 Amended......................................................15300
82.64 (h) added....................................................15300
82.66 (d)(2)(vi) and (e) revised; (f) added........................15300
82.104 (c) and (h) revised.........................................15300
82.106 (a) revised.................................................15300
82.154 (a)(2)(i) revised...........................................14171
82.157 (a) revised.................................................14171
82.270 (e) revised.................................................15301
86.1818-12 (c)(2)(i)(A), (B), (C), (3)(i)(A), (B), and (D) revised
                                                                   25268
86.1865-12 (k)(5)(v) redesignated as (k)(5)(vi); new (k)(5)(v) 
        added......................................................22620
86.1866-12 (b) introductory text revised; (c) added................22620
86.1866-12 (a)(2), (b) introductory text, (1), and (2)(i) revised; 
        (a)(3) removed.............................................25269
86.1868-12 (a)(2) table amended; (h)(7) added......................25270
86.1869-12 (c)(1), (2), and (3) revised............................22621
86.1869-12 (a) and (d)(2) revised; (b)(1)(ix), (x), (4)(xiii) and 
        (xiv) added................................................25270
86.1870-12 (a)(2) and (b)(2) revised...............................25271


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