[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2023 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          
          
          Title 40

Protection of Environment


________________________

Parts 85 to 96

                         Revised as of July 1, 2023

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2023
                    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........................    1075
      Alphabetical List of Agencies Appearing in the CFR......    1095
      List of CFR Sections Affected...........................    1105

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 85.501 refers 
                       to title 40, part 85, 
                       section 501.

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, July 1, 2023), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
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Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

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

PAST PROVISIONS OF THE CODE

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

``[RESERVED]'' TERMINOLOGY

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

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
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if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
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alphabetical list of agencies publishing in the CFR are also included in 
this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.

[[Page vii]]

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

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in the Code of Federal Regulations.

INQUIRIES

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    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
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    Oliver A. Potts,
    Director,
    Office of the Federal Register
    July 1, 2023.







[[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 82-84, parts 85-96, parts 97-99, 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, 2023.

    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-IX--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, Gulf Coast Ecosystem Restoration 
Council, and the Federal Permitting Improvement Steering Council appear 
in volume thirty-seven.

    For this volume, Susannah C. Hurley 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 85 to 96)

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

chapter i--Environmental Protection Agency (Continued)......          85

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




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


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

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
85              Control of air pollution from mobile sources           5
86              Control of emissions from new and in-use 
                    highway vehicles and engines............          90
87              Control of air pollution from aircraft and 
                    aircraft engines........................         851
88              Clean-fuel vehicles.........................         852
89              Control of emissions from new and in-use 
                    nonroad compression-ignition engines....         853
90              Control of emissions from nonroad spark-
                    ignition engines at or below 19 
                    kilowatts...............................         853
91              Control of emissions from marine spark-
                    ignition engines........................         853
92              Control of air pollution from locomotives 
                    and locomotive engines..................         854
93              Determining conformity of Federal actions to 
                    State or Federal implementation plans...         854
94              Control of emissions from marine 
                    compression-ignition engines............         904
95              Mandatory patent licenses...................         905
96              NOX Budget Trading Program and 
                    Cair NOX and SO2 
                    Trading Programs for State 
                    implementation plans....................         907

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





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-O [Reserved]

    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.
85.1712-85.1714 [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 Applicability and 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.
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_Warranty Regulations and Voluntary Aftermarket Part 
                          Certification Program

85.2101 General applicability.
85.2102 Definitions.
85.2103 Emission performance warranty.

[[Page 6]]

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 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:
    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.

[[Page 7]]

    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.
    (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.

[[Page 8]]

    (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).
    (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).

[[Page 9]]

    (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 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

[[Page 10]]

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:
    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

[[Page 11]]

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 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

[[Page 12]]

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. 
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.

[[Page 13]]

    (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.
    (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.

[[Page 14]]

    (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 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

[[Page 15]]

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 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.

[[Page 16]]

    (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.
    (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

[[Page 17]]

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 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):

[[Page 18]]

    (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 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

[[Page 19]]

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.
    (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

[[Page 20]]

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-O [Reserved]



    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 offered for importation or imported into the United 
States for which the Administrator has promulgated regulations under 40 
CFR part 86, subpart D or S, prescribing emission standards, but which 
are not covered by certificates of conformity issued under section 
206(a) of the Clean Air Act (i.e., which are nonconforming vehicles as 
defined in Sec.  85.1502), 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. This subpart no longer 
applies for heavy-duty engines certified under 40 CFR part 86, subpart 
A, or 40 CFR part 1036; references in this subpart to ``engines'' 
therefore apply only for replacement engines intended for installation 
in motor vehicles that are subject to this subpart.
    (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; 86 FR 34363, June 29, 2021; 88 FR 4471, Jan. 24, 
2023]



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.

[[Page 21]]

    (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 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.

[[Page 22]]

    (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 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

[[Page 23]]

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 
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

[[Page 24]]

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 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

[[Page 25]]

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) 
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

[[Page 26]]

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.
    (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

[[Page 27]]

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,
    (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

[[Page 28]]

(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.
    (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

[[Page 29]]

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.
    (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

[[Page 30]]

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.
    (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.

    The exemption provisions of 40 CFR part 1068, subpart D, apply 
instead of the provisions of this section for heavy-duty motor vehicles 
and heavy-duty motor vehicle engines regulated under 40 CFR part 86, 
subpart A, and 40 CFR parts 1036 and 1037. The following provisions 
apply for other motor vehicles and motor vehicle engines:
    (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.

[[Page 31]]

    (5) Export exemption. Vehicles may qualify for a temporary exemption 
under the provisions of 40 CFR 1068.325(d).
    (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. 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, as amended at 86 FR 34363, June 29, 2021]

[[Page 32]]



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 
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

[[Page 33]]

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:
    (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

[[Page 34]]

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) [Reserved]
    (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; 88 FR 4472, Jan. 24, 2023]



Sec.  85.1514  Treatment of confidential information.

    The provisions of 40 CFR 1068.10 and 1068.11 apply for information 
you submit under this subpart.

[88 FR 4472, Jan. 24, 2023]



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).
    (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:

[[Page 35]]

    (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 1066.801 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 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 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.

[[Page 36]]

    (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 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

[[Page 37]]

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 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.

[[Page 38]]



                          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.
\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, as amended at 88 FR 4472, Jan. 24, 2023]

[[Page 39]]

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 and heavy-duty motor vehicles 
regulated under 40 CFR part 86, subpart A, 40 CFR part 1036, or 40 CFR 
part 1037, 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. 
Note that the provisions for emergency vehicle field modifications in 
Sec.  85.1716 continue to apply for heavy-duty 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 40 CFR 1068.10 and 1068.11 apply for 
information you submit under this subpart.
    (c) References to engine families and emission control systems in 
this subpart or in 40 CFR part 1068 apply to durability groups and test 
groups as applicable for manufacturers certifying 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; 
86 FR 34363, June 29, 2021; 88 FR 4472, Jan. 24, 2023]



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]



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

[[Page 40]]

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;
    (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;

[[Page 41]]

    (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]



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]

[[Page 42]]



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 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]

[[Page 43]]



Sec. Sec.  85.1712-85.1714  [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 
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]

[[Page 44]]



                      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  Applicability and definitions.

    (a) The recall provisions of 40 CFR part 1068, subpart E, apply 
instead of the provisions of this subpart for heavy-duty motor vehicles 
and heavy-duty motor vehicle engines regulated under 40 CFR part 86, 
subpart A, and 40 CFR parts 1036 and 1037. The provisions of this 
subpart apply for other motor vehicles and motor vehicle engines.
    (b) 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.
    (1) Act shall mean the Clean Air Act, 42 U.S.C. 1857, as amended.
    (2) Days shall mean calendar days.

[86 FR 34363, June 29, 2021]



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 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

[[Page 45]]

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.
    (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

[[Page 46]]

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.



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.

[[Page 47]]

    (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 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,

[[Page 48]]

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.

    Manufacturers may request a hearing as described in 40 CFR part 
1068, subpart G.

[86 FR 34363, June 29, 2021]



Sec.  85.1808  Treatment of confidential information.

    The provisions of 40 CFR 1068.10 and 1068.11 apply for information 
you submit under this subpart.

[88 FR 4472, Jan. 24, 2023]



 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 and heavy-duty motor vehicles certified under 40 
CFR part 86, subpart A, or 40 CFR part 1036 or 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, as amended at 88 FR 4472, Jan. 24, 2023]



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

[[Page 49]]

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 
greenhouse gas emission standards in 40 CFR part 86.
    (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 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, as amended at 86 FR 34364, June 29, 2021]



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:

[[Page 50]]

    (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, 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).

[[Page 51]]

    (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 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.

    The provisions of 40 CFR 1068.10 and 1068.11 apply for information 
you submit under this subpart.

[88 FR 4472, Jan. 24, 2023]

Subpart U [Reserved]

[[Page 52]]



     Subpart V_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.
    (2) Office Director means the Director for the Office of 
Transportation and Air Quality in the 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 42 U.S.C. 7541(b).
    (5) Emission warranty means a warranty given pursuant to this 
subpart and 42 U.S.C. 7541(a) or (b).
    (6) Model year means the manufacturer's annual production period as 
described in subpart X of this part.
    (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 42 U.S.C. 
7521(d) 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 86.1808; and
    (iii) In compliance with any other EPA regulations 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

[[Page 53]]

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 has the meaning given for ``Designated Compliance 
Officer'' in 40 CFR 1068.30.
    (b) [Reserved]

[45 FR 34839, May 22, 1980, as amended at 54 FR 32587, Aug. 8, 1989; 64 
FR 23919, May 4, 1999; 86 FR 34364, June 29, 2021; 88 FR 4472, Jan. 24, 
2023]



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 any of the 
specified major emission control components listed in 42 U.S.C. 
7541(i)(2) or components which have been designated by the Administrator 
under 42 U.S.C. 7541(i)(2) to be specified major emission control 
components until the vehicle has been in operation for 8 years or 80,000 
miles.
    (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; 88 
FR 4472, Jan. 24, 2023]



Sec.  85.2104  Owners' compliance with instructions for proper maintenance and use.

    (a) An emission warranty claim may be denied on the basis of 
noncompliance by a vehicle owner with the written instructions for 
proper maintenance and use.
    (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

[[Page 54]]

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 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 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; 88 
FR 4473, Jan. 24, 2023]



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).

[[Page 55]]

    (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 claim under any emission warranty required by 42 U.S.C. 
7541(a) or (b) 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 
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 warranty is to be processed. The procedures shall--
    (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

[[Page 56]]

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 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 warranty claim is valid.

[45 FR 34839, May 22, 1980, as amended at 54 FR 32588, Aug. 8, 1989; 88 
FR 4473, Jan. 24, 2023]



Sec.  85.2107  Warranty remedy.

    (a) The manufacturer's obligation under the emission warranties 
provided under 42 U.S.C. 7541(a) and (b) 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 any of the specified 
major emission control components listed in 42 U.S.C. 7541(i)(2) or 
components which have been designated by the administrator to be 
specified major emission control components until the vehicle has been 
in operation for 8 years or 80,000 miles; and
    (2) All other components which must be adjusted, repaired or 
replaced to enable a component adjusted, repaired, or replaced under 
paragraph (a)(1) of this section to perform properly.
    (b) Manufacturers shall be liable for the total cost of the remedy 
for any vehicle validly presented for repair under an emission warranty 
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 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

[[Page 57]]

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; 88 
FR 4473, Jan. 24, 2023]



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 warranties required by 42 U.S.C. 7541(a) and 
(b), 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 warranties or that an owner may report 
violations of the terms of the emission warranties provided under 42 
U.S.C. 7541(a) and (b) by contacting the Director, Compliance Division, 
Environmental Protection Agency, 2000 Traverwood Dr, Ann Arbor, MI 48105 
(Attention: Warranty) or email to: [email protected].
    (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; 88 FR 4473, Jan. 24, 2023]



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 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

[[Page 58]]

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 
a civil penalty as described 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 warranties provided under 42 U.S.C. 7541(a) and (b) 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 emission warranty 
coverage is conditioned upon the use of any name brand 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 is $37,500 for each offense that 
occurs after November 2, 2015. Maximum penalty limits may be adjusted 
based on the Consumer Price Index as described at 40 CFR part 19.

[45 FR 34839, May 22, 1980, as amended at 58 FR 65554, Dec. 15, 1993; 70 
FR 40432, July 13, 2005; 88 FR 4473, Jan. 24, 2023]



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:
    (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.

[[Page 59]]

    (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 
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

[[Page 60]]

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 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

[[Page 61]]

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):
    (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

[[Page 62]]

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 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

[[Page 63]]

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 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

[[Page 64]]

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]



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

[[Page 65]]

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 industry comments on any such notification shall be submitted 
by the aftermarket manufacturer to: MOD Director.
    (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

[[Page 66]]

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, as amended at 86 FR 34364, June 29, 2021]



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.
    (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

[[Page 67]]

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 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

[[Page 68]]

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 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:

[[Page 69]]

    (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 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.

[[Page 70]]

    (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 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

[[Page 71]]

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.
    (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

[[Page 72]]

    (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:
    (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

[[Page 73]]

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).
    (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]

[[Page 74]]

    (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.

    The provisions of 40 CFR 1068.10 and 1068.11 apply for information 
you submit under this subpart.

[88 FR 4473, Jan. 24, 2023]



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

[[Page 75]]

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 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.

[[Page 76]]

              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 77]]

[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 78]]

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 79]]

    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 80]]


    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 81]]

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 82]]

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 83]]

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 84]]

                    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 85]]

                       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 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 86]]

    (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 87]]

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 motor vehicles regulated under 40 CFR part 86, 
subpart S, and to highway motorcycles regulated under 40 CFR part 86, 
subparts E and F. The definitions and related provisions in 40 CFR parts 
1036, 1037, and 1068 apply instead of the provisions in this subpart for 
heavy-duty motor vehicles and heavy-duty motor vehicle engines regulated 
under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 1037.

[86 FR 34364, June 29, 2021]



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.

[[Page 88]]

    (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 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.

[[Page 89]]

    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 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.

[[Page 90]]

    X. Emission Control Related Warning Systems.
    1. Control parameters and calibrations.
    2. Component calibrations.

        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.

[[Page 91]]

86.085-37 Production vehicles and engines.
86.088-2 Definitions.
86.090-2 Definitions.
86.090-3 Abbreviations.
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.

[[Page 92]]

86.154-98 Measurement procedure; refueling test.
86.155-98 Records required; refueling test.
86.156-98 Calculations; refueling test.
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

86.401-2006 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.
86.413-2006 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.
86.450 Treatment of confidential information.

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.

[[Page 93]]

86.509-90 Exhaust gas sampling system.
86.511-90 Exhaust gas analytical system.
86.513 Fuel and engine lubricant specifications.
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-I [Reserved]

   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.
86.1117 Labeling.

Subpart M [Reserved]

        Subpart N_Exhaust Test Procedures for Heavy-duty Engines

86.1301 Scope; applicability.
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-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.

[[Page 94]]

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.
86.1819-14 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.
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.

[[Page 95]]

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 pickup.
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?

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, email 
[email protected], or go to www.archives.gov/federal-register/cfr/
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/:

[[Page 96]]

    (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).
    (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 D5769-20, Standard Test Method for Determination of 
Benzene, Toluene, and Total Aromatics in Finished Gasolines by Gas 
Chromatography/Mass Spectrometry, approved June 1, 2020 (``ASTM5769''), 
IBR approved for Sec. Sec.  86.113-04(a), 86.213(a), and 86.513(a).
    (20) ASTM D6550-20, Standard Test Method for Determination of Olefin 
Content of Gasolines by Supercritical-Fluid Chromatography, approved 
July

[[Page 97]]

1, 2020 (``ASTM D6550''), IBR approved for Sec. Sec.  86.113-04(a), 
86.213(a), and 86.513(a).
    (21) 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).
    (22) 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).
    (23) 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 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:

[[Page 98]]

    (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 J1711, Recommended Practice for Measuring the Exhaust 
Emissions and Fuel Economy of Hybrid-Electric Vehicles, Including Plug-
in Hybrid Vehicles, Revised June 2010, IBR approved for Sec.  86.1866-
12(b).
    (4) SAE J1850, Class B Data Communication Network Interface, Revised 
May 2001, IBR approved for Sec.  86.1806-05(h).
    (5) SAE J1877, Recommended Practice for Bar-Coded Vehicle 
Identification Number Label, July 1994, IBR approved for Sec.  86.1807-
01(f).
    (6) [Reserved]
    (7) 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).
    (8) 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).
    (9) SAE J1939, Recommended Practice for a Serial Control and 
Communications Vehicle Network, Revised October 2007, IBR approved for 
Sec.  86.010-18(k).
    (10) SAE J1939-11, Physical Layer--250K bits/s, Shielded Twisted 
Pair, Revised October 1999, IBR approved for Sec.  86.1806-05(h).
    (11) SAE J1939-13, Off-Board Diagnostic Connector, July 1999, IBR 
approved for Sec.  86.1806-05(h).
    (12) SAE J1939-13, Off-Board Diagnostic Connector, Revised March 
2004, IBR approved for Sec.  86.010-18(k).
    (13) SAE J1939-21, Data Link Layer, Revised April 2001, IBR approved 
for Sec.  86.1806-05(h).
    (14) SAE J1939-31, Network Layer, Revised December 1997, IBR 
approved for Sec.  86.1806-05(h).
    (15) 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).
    (16) 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).
    (17) SAE J1939-81, Network Management, Revised May 2003, IBR 
approved for Sec. Sec.  86.010-38(j) and 86.1806-05(h).
    (18) 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).
    (19) 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).
    (20) SAE J1979, E/E Diagnostic Test Modes, Revised September 1997, 
IBR approved for Sec. Sec.  86.1808-01(f) and 86.1808-07(f).
    (21) 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).
    (22) 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).

[[Page 99]]

    (23) SAE J2064 FEB2011, R134a Refrigerant Automotive Air-Conditioned 
Hose, Revised February 2011, IBR approved for Sec.  86.1867-12(a) and 
(b).
    (24) 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).
    (25) 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).
    (26) 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).
    (27) 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).
    (28) 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; 86 FR 34364, June 29, 2021; 86 FR 74521, Dec. 
30, 2021]



   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.
    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,

[[Page 100]]

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 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

[[Page 101]]

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.
    (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

[[Page 102]]

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 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

[[Page 103]]

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.
    (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:

[[Page 104]]

    (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 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

[[Page 105]]

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), 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

[[Page 106]]

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, 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

[[Page 107]]

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.
    (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) Overview. (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. 
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 section. 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

[[Page 108]]

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 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

[[Page 109]]

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.
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

[[Page 110]]

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 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

[[Page 111]]

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 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

[[Page 112]]

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; 86 
FR 34364, June 29, 2021]



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 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

[[Page 113]]

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]
    (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

[[Page 114]]

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, 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

[[Page 115]]

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]
    (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.

[[Page 116]]

    (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.
    (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

[[Page 117]]

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 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]

[[Page 118]]

    (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 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

[[Page 119]]

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.
    (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)

[[Page 120]]

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 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.

[[Page 121]]

    (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, 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

[[Page 122]]

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) [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.

[[Page 123]]

    (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. 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.

[[Page 124]]

    (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 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.

[[Page 125]]

    (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 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]

[[Page 126]]



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.
    (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

[[Page 127]]

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]



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).

[[Page 128]]

    (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

    (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.

[[Page 129]]

    (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 
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

[[Page 130]]

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 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) 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 may be subject to alternative standards under 
40 CFR 1036.655.

[[Page 131]]

    (g) Model years 2018 through 2026 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 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; 88 FR 
4473, Jan. 24, 2023]



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

[[Page 132]]

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 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

[[Page 133]]

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 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

[[Page 134]]

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 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

[[Page 135]]

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.
    (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

[[Page 136]]

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.
    (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.

[[Page 137]]

    (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 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

[[Page 138]]

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 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

[[Page 139]]

    (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
    (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

[[Page 140]]

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 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

[[Page 141]]

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 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

[[Page 142]]

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 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 years 2018 through 2026 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; 88 FR 4474, Jan. 
24, 2023]

[[Page 143]]



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 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. Heavy-duty engines intended for use in a heavy-duty 
vehicle

[[Page 144]]

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 
requirements of 40 CFR 1036.110 apply starting in model year 2027. In 
earlier model years, manufacturers may meet the requirements of this 
section or the requirements of 40 CFR 1036.110. Note that 40 CFR 
1036.150(v) allows for an alternative communication protocol before 
model year 2027. The OBD system is required to detect all malfunctions 
specified in paragraphs (g), (h), and (i) of this section even though 
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 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,

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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 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)

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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 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

[[Page 147]]

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 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

[[Page 148]]

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 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

[[Page 149]]

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 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.''

[[Page 150]]

    (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);
    (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).

[[Page 151]]

    (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).
    (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

[[Page 152]]

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 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.

[[Page 153]]

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 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

[[Page 154]]

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.

     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

[[Page 155]]

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 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

[[Page 156]]

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 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 when the 
percentage of misfire is 5 percent or greater.
    (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 through 2018, on engines equipped with 
sensors that can detect combustion or combustion quality, the OBD system 
must monitor continuously for engine misfire when positive torque is 
between 20 and 75 percent of peak torque, and engine speed is less than 
75 percent of maximum engine speed. 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

[[Page 157]]

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.
    (D) For 20 percent of 2019 model year, 50 percent of 2020 model, and 
100 percent of 2021 and later model year diesel engines (percentage 
based on the manufacturer's projected sales volume of all diesel engines 
subject to this regulation) 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 
conditions except within the following range: The engine operating 
region bound by the positive torque line (i.e., engine torque with 
transmission in neutral) and the two following points: engine speed of 
50 percent of maximum engine speed with the engine torque at the 
positive torque line, and 100 percent of the maximum engine speed with 
the engine torque at 10 percent of peak torque above the positive torque 
line. 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.
    (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

[[Page 158]]

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.
    (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.

[[Page 159]]

    (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 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

[[Page 160]]

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 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.

[[Page 161]]

    (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 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.

[[Page 162]]

    (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.
    (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

[[Page 163]]

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 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

[[Page 164]]

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.
    (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

[[Page 165]]

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 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.

[[Page 166]]

    (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 (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.

[[Page 167]]

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 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

[[Page 168]]

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 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

[[Page 169]]

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 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

[[Page 170]]

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 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

[[Page 171]]

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 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

[[Page 172]]

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 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

[[Page 173]]

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 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

[[Page 174]]

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.
    (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).

[[Page 175]]

    (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 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

[[Page 176]]

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 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

[[Page 177]]

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 (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

[[Page 178]]

(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 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

[[Page 179]]

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 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).

[[Page 180]]

    (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 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

[[Page 181]]

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 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

[[Page 182]]

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 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

[[Page 183]]

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 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

[[Page 184]]

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 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.

[[Page 185]]

    (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 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

[[Page 186]]

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.
    (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.

[[Page 187]]

    (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.
    (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.

[[Page 188]]

    (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 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

[[Page 189]]

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 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

[[Page 190]]

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 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

[[Page 191]]

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 (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

[[Page 192]]

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 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.

[[Page 193]]

    (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.
    (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

[[Page 194]]

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 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

[[Page 195]]

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 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

[[Page 196]]

(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 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

[[Page 197]]

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 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

[[Page 198]]

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 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) [Reserved]
    (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

[[Page 199]]

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 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

[[Page 200]]

``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 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

[[Page 201]]

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. 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.

[[Page 202]]

    (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 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

[[Page 203]]

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 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

[[Page 204]]

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 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.

[[Page 205]]

    (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)).
    (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

[[Page 206]]

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 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

[[Page 207]]

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 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) [Reserved]
    (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 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

[[Page 208]]

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 paragraph (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) 
of this section 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) For monitors subject to meeting the minimum in-use monitor 
performance ratio of 0.100 in paragraph (d)(1)(ii) of this section, the 
OBD system shall not be considered noncompliant unless a representative 
sample indicates the in-use ratio is below 0.088 except for filtering 
performance monitors for PM filters (paragraph (g)(8)(ii)(A) of this 
section) and missing substrate monitors (paragraph (g)(8)(ii)(D) of this 
section) for which the OBD system shall not be considered noncompliant 
unless a representative sample indicates the in-use ratio is below 
0.050.
    (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.
    (4) For model years 2019 and later. (i) On all engine ratings, the 
certification emissions thresholds shall apply in-use.
    (ii) For monitors subject to meeting the minimum in-use monitor 
performance ratio of 0.100 in paragraph (d)(1)(ii) of this section, the 
OBD system shall not be considered noncompliant unless a representative 
sample indicates the in-use ratio is below 0.088.
    (iii) An OBD system shall not be considered noncompliant solely due 
to a failure or deterioration mode of a monitored component or system 
that the manufacturer could not have reasonably foreseen.
    (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

[[Page 209]]

engines where the same or equivalent engine has been OBD certified. An 
equivalent engine is one produced by the same engine manufacturer with 
the 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.

[[Page 210]]

    (6) Manufacturers that modify the engine's diagnostic system from 
the approved configuration to be compatible with a hybrid powertrain 
system 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; 86 FR 34364, June 29, 2021; 88 FR 4474, Jan. 
24, 2023]



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.

[[Page 211]]

    (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 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.

[[Page 212]]

    (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.
    (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

[[Page 213]]

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 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

[[Page 214]]

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 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

[[Page 215]]

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 (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

[[Page 216]]

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;
    (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

[[Page 217]]

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 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

[[Page 218]]

(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.
    (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.

[[Page 219]]

    (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 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

[[Page 220]]

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 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

[[Page 221]]

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) 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 
section. As described in paragraph (j) of this section, most of this 
subpart no longer applies starting with model year 2027. Note that this 
subpart does not apply for light-duty vehicles, light-duty trucks, 
medium-duty passenger vehicles, or vehicles at or below 14,000 pounds 
GVWR that have no propulsion engine, such as electric vehicles; see 
subpart S of this part for

[[Page 222]]

requirements that apply for those vehicles. In some cases, manufacturers 
of heavy-duty engines and vehicles can choose 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 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. Standards and requirements 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

[[Page 223]]

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 and 85 gallons of gasoline 
is not an oxygenated fuel.
    (4) The standards and requirements of 40 CFR part 1037 apply for 
vehicles above 14,000 pounds GVWR that have no propulsion engine, such 
as electric vehicles. Electric heavy-duty vehicles may not generate PM 
emission credits. Electric heavy-duty vehicles may not generate 
NOX emission credits except as allowed under 40 CFR part 
1037.
    (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.
    (i) [Reserved]
    (j) Transition to 40 CFR parts 1036 and 1037. Except for Sec.  
86.010-38(j), this subpart no longer applies starting with model year 
2027. Individual provisions in 40 CFR parts 1036 and 1037 apply instead 
of the provisions of this subpart before model year 2027 as specified in

[[Page 224]]

this subpart and 40 CFR parts 1036 and 1037.

[76 FR 57375, Sept. 15, 2011, as amended at 79 FR 23690, Apr. 28, 2014; 
81 FR 73975, Oct. 25, 2016; 88 FR 4474, Jan. 24, 2023]



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.
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

[[Page 225]]

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 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]

[[Page 226]]



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.
    (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.

[[Page 227]]

    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 (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

[[Page 228]]

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.
    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

[[Page 229]]

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.
    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.

[[Page 230]]

    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.
    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

[[Page 231]]

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 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

[[Page 232]]

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 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.

[[Page 233]]

    (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.
    (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

[[Page 234]]

          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.
    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

[[Page 235]]

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]



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:

[[Page 236]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.006

Where:

PRODA = The manufacturer's total light-duty truck production 
          for those engine families subject to the standard of 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

[[Page 237]]

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:
[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

[[Page 238]]

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 
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]

[[Page 239]]



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 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).
    (4) Manufacturers of engines equipped with vanadium-based SCR 
catalysts must design the engine and its emission controls to prevent 
vanadium sublimation and protect the catalyst from high temperatures as 
described in 40 CFR 1036.115(g)(2).

[54 FR 14460, Apr. 11, 1989, as amended at 61 FR 58106, Nov. 12, 1996; 
88 FR 4474, Jan. 24, 2023]



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

[[Page 240]]

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, 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.

[[Page 241]]

    (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 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

[[Page 242]]

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.
    (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

[[Page 243]]

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 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

[[Page 244]]

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 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-

[[Page 245]]

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 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,

[[Page 246]]

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.
    (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

[[Page 247]]

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 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.

[[Page 248]]

    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.
    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.

[[Page 249]]

    (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.
    (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]

[[Page 250]]

    (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, 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

[[Page 251]]

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 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

[[Page 252]]

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 
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

[[Page 253]]

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.
    (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

[[Page 254]]

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.
    (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

[[Page 255]]

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 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

[[Page 256]]

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 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:

[[Page 257]]

    (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 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.

[[Page 258]]

    (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 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.

[[Page 259]]

    (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.
    (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

[[Page 260]]

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 
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

[[Page 261]]

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 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

[[Page 262]]

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 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

[[Page 263]]

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 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.

[[Page 264]]

    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 
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.

[[Page 265]]

    (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.
    (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

[[Page 266]]

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 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,

[[Page 267]]

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.
    (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.

[[Page 268]]

    (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 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.

[[Page 269]]

    (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.
    (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

[[Page 270]]

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 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

[[Page 271]]

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 
(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-

[[Page 272]]

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 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

[[Page 273]]

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.
    (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

[[Page 274]]

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 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,

[[Page 275]]

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.
    (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,

[[Page 276]]

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 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

[[Page 277]]

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 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

[[Page 278]]

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 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.

[[Page 279]]

    (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]



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

[[Page 280]]

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 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

[[Page 281]]

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 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.

[[Page 282]]

    (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 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.

[[Page 283]]

    (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 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

[[Page 284]]

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.
    (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

[[Page 285]]

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).
    (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

[[Page 286]]

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 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

[[Page 287]]

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.
    (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

[[Page 288]]

    (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 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 289]]

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[[Page 290]]


[GRAPHIC] [TIFF OMITTED] TR06OC93.146


[[Page 291]]


[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 292]]

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 293]]

[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 294]]

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 295]]

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 296]]

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 297]]

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 298]]


[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 299]]

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 300]]

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 301]]

    (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 302]]

    (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 303]]

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 304]]

[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 305]]

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 306]]

    (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 testing:

   Table 1 to Sec.   86.113-04--Test Fuel Specifications for Gasoline
                             Without Ethanol
------------------------------------------------------------------------
                                                            Reference
            Item                       Regular             procedure 1
------------------------------------------------------------------------
Research octane, Minimum 2..  93......................  ASTM D2699
Octane sensitivity 2........  7.5.....................  ASTM D2700
Distillation Range (
 [deg]F):
    Evaporated initial        75-95...................  ASTM D86
     boiling point 3.
    10% evaporated..........  120-135.................
    50% evaporated..........  200-230.................
    90% evaporated..........  300-325.................
    Evaporated final boiling  415 Maximum.............
     point.
Total Aromatic Hydrocarbon    35% Maximum.............  ASTM D1319 or
 (vol %).                                                ASTM D5769
Olefins (vol %) 4...........  10% Maximum.............  ASTM D1319 or
                                                         ASTM D6550

[[Page 307]]

 
Lead, g/gallon (g/liter),     0.050 (0.013)...........  ASTM D3237
 Maximum.
Phosphorous, g/gallon (g/     0.005 (0.0013)..........  ASTM D3231
 liter), Maximum.
Total sulfur, wt. % 5.......  0.0015-0.008............  ASTM D2622
Dry Vapor Pressure            60.0-63.4 (8.7-9.2).....  ASTM D5191
 Equivalent (DVPE), kPa
 (psi) 6.
------------------------------------------------------------------------
1 Incorporated by reference, see Sec.   86.1.
2 Octane specifications are optional for manufacturer testing.
3 For testing at altitudes above 1,219 m (4,000 feet), the specified
  range is 75-105 [deg]F.
4 ASTM D6550 prescribes measurement of olefin concentration in mass %.
  Multiply this result by 0.857 and round to the first decimal place to
  determine the olefin concentration in volume %.
5 Sulfur concentration will not exceed 0.0045 weight percent for EPA
  testing.
6 For testing unrelated to evaporative emission control, the specified
  range is 54.8-63.7 kPa (8.0-9.2 psi). For testing at altitudes above
  1,219 m (4,000 feet), the specified range is 52.0-55.4 kPa (7.6-8.0
  psi). 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) 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 308]]

    (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; 86 FR 34365, June 29, 2021]



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 309]]

    (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 310]]

    (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 311]]

    (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 312]]

    (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 313]]

[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 314]]

    (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 315]]

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 316]]

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 according to the following equation:

[[Page 317]]

[GRAPHIC] [TIFF OMITTED] TR24JA23.004

Where:

MCH3OH = Methanol mass change, [micro]g.
Vn = Enclosure volume, in ft\3\, as measured in paragraph 
          (b)(1) of this section.
TE = Temperature of sample withdrawn, R.
f = Final sample.
CMS = GC concentration of test sample.
1 = First impinger.
AV = Volume of absorbing reagent in impinger (ml).
2 = Second impinger.
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.
TSHED = Temperature of SHED, R.
i = Initial sample.
MCH3OH,out = mass of methanol exiting the enclosure, in the 
          case of fixed volume enclosures for diurnal emission testing, 
          [micro]g.
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 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:

[[Page 318]]

[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; 88 FR 4474, Jan. 24, 2023]



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

[[Page 319]]

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)
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:

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:

[[Page 322]]



                                          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
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 323]]

[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 324]]

[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 325]]

[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 326]]

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 327]]

    (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 328]]

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 329]]

[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 330]]

    (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 331]]

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 332]]

[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 333]]

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 334]]

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 335]]

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 336]]

(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 337]]

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 338]]

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 339]]

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 and Tier 3 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; 86 
FR 34366, June 29, 2021]

[[Page 340]]


    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 
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 341]]

[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 342]]

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 343]]

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 344]]

    (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 345]]

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 1 of 40 CFR 1066.801 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 1 of 40 CFR 1066.801 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 1 of 
40 CFR 1066.801 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

[[Page 346]]

canister steps 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; 86 FR 34366, 
June 29, 2021]



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 347]]

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 348]]



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 349]]

    (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 350]]

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 351]]

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 352]]


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 353]]

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 354]]

    (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 355]]

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 356]]

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 357]]

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 358]]

    (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 359]]

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 360]]



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 361]]

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 362]]

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 363]]

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 364]]

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 365]]

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) This completes the test sequence for vehicles that do not need 
testing for evaporative emissions. Continue testing for evaporative 
emissions as follows:
    (i) For the three-day diurnal test sequence, proceed according to 
Sec.  86.134.
    (ii) For the two-day diurnal test sequence, proceed according to 
Sec.  86.138-96(k). The following additional provisions apply for heavy-
duty vehicles:
    (A) For vehicles with a nominal fuel tank capacity at or above 50 
gallons, operate the vehicle over a second full FTP cycle before 
measuring evaporative emissions; exhaust emission measurement is not 
required for the additional FTP cycle.
    (B) [Reserved]

[56 FR 25776, June 5, 1991, as amended at 60 FR 34347, June 30, 1995; 79 
FR 23697, Apr. 28, 2014; 88 FR 4475, Jan. 24, 2023]



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

[[Page 366]]

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 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

[[Page 367]]

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:
    (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.

[[Page 368]]

    (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 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.

[[Page 369]]

    (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 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] TR24JA23.005
    
Where:

MCH3OH = Methanol mass change, [micro]g.
Vn = Net enclosure volume, ft\3\, as determined by 
          subtracting 50 ft\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:

[[Page 370]]

          Provided, the measured volume is determined and used for all 
          vehicles tested by that manufacturer.
TE = Temperature of sample withdrawn, R.
f = Final sample.
CMS = GC concentration of sample, [micro]g/ml.
1 = First impinger.
AV = Volume of absorbing reagent in impinger.
2 = Second impinger.
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.
TSHED = Temperature of SHED, R.
i = Initial sample.
MCH3OH,out = mass of methanol exiting the enclosure, in the 
          case of fixed-volume enclosures for diurnal emission testing, 
          [micro]g.
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.

[[Page 371]]

    (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.

    (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; 88 FR 4475, Jan. 24, 2023]



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
    

[[Page 372]]



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.
    (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.

[[Page 373]]

    (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 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)

[[Page 374]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.055

    (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.

[[Page 375]]

    (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:
[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).

[[Page 376]]

    (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\-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.

[[Page 377]]

    (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.
    (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.

[[Page 378]]

    (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.
    (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

[[Page 379]]

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:
[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.

[[Page 380]]

    (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 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

[[Page 381]]

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]



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.

[[Page 382]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.166


[59 FR 16296, Apr. 6, 1994]



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

[[Page 383]]

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 
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

[[Page 384]]

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).
    (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

[[Page 385]]

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]



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

[[Page 386]]

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 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, use good 
engineering judgment to apply the procedures described in this section 
for each fuel tank.

[59 FR 16299, Apr. 6, 1994, as amended at 60 FR 43898, Aug. 23, 1995; 88 
FR 4475, Jan. 24, 2023]



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.

[[Page 387]]

    (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.
    (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,

[[Page 388]]

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 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

[[Page 389]]

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 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

[[Page 390]]

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 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

[[Page 391]]

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 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).

[[Page 392]]

    (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 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-

[[Page 393]]

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 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

[[Page 394]]

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 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.

[[Page 395]]

    (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 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

[[Page 396]]

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 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

[[Page 397]]

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]



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

[[Page 398]]

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.
    (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/

[[Page 399]]

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]



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

[[Page 400]]

(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.
    (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

[[Page 401]]

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.
    (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

[[Page 402]]

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:
    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]

[[Page 403]]



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) 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

[[Page 404]]

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.



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

[[Page 405]]

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
----------------------------------------------------------------------------------------------------------------
                                                                                           Reference procedure 1
                Item                          Regular                    Premium
----------------------------------------------------------------------------------------------------------------
(RON+MON)/2 2......................  87.80.3.                    eq>0.5.                  ASTM D2700
Sensitivity 3......................  7.5......................  7.5.....................  ASTM D2699
                                                                                          ASTM D2700
Distillation Range ( [deg]F):
    Evaporated initial boiling       76-96....................  76-96...................  ASTM D86
     point.
    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.............
Total Aromatic Hydrocarbon (vol %).  26.44.0.                    eq>4.0.                   D5769
Olefins (vol %) 4..................  12.55.0.                    eq>5.0.                   D6550
Lead, g/gallon.....................  0.01, Maximum............  0.01, Maximum...........  ASTM D3237
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 Incorporated by reference, see 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.
4 ASTM D6550 prescribes measurement of olefin concentration in mass %. Multiply this result by 0.857 and round
  to the first decimal place to determine the olefin concentration in volume %.

    (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.

[[Page 406]]

    (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; 86 
FR 34366, June 29, 2021]

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.  86.402-78  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 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

[[Page 407]]

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.
    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]

[[Page 408]]



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 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.

[[Page 409]]

    (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 
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

[[Page 410]]

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.
    (c) If a new motorcycle is designed to require manual adjustment to 
compensate for changing altitude, the manufacturer must include the 
appropriate instructions in the application for certification. EPA will 
review the instructions to ensure that properly adjusted motorcycles 
will meet emission standards at both low altitude and high altitude.
    (d) An action to install parts, modify engines, or perform other 
adjustments to compensate for changing altitude is not prohibited under 
42 U.S.C. 7522 as long as it is done consistent with the manufacturer's 
instructions.

[42 FR 1126, Jan. 5, 1977, as amended at 86 FR 34366, June 29, 2021]



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
    (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

[[Page 411]]

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/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

[[Page 412]]

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.  86.413-2006  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,

[[Page 413]]

research octane number, engine lubricant type);
    (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

[[Page 414]]

amendment. Where possible, a manufacturer should include in a single 
application for certification, a description of all vehicles in each 
class 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 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

[[Page 415]]

family for which certification is 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

[[Page 416]]

is also graphically depicted in Figure E78-1.
[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 and subclasses 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; 86 
FR 34366, June 29, 2021]



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.

[[Page 417]]

    (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 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

[[Page 418]]

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 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.)

[[Page 419]]



                     Table 1 to Sec.   86.427-78--Test Specifications by Displacement Class
----------------------------------------------------------------------------------------------------------------
                                                             Total test        Minimum test
                   Displacement class                         distance           distance      Minimum number of
                                                            (kilometers)       (kilometers)          tests
----------------------------------------------------------------------------------------------------------------
I-A....................................................              6,000              2,500                  4
I-B....................................................              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 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; 86 
FR 34366, June 29, 2021]



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.

[[Page 420]]

    (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.
    (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.

[[Page 421]]

    (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 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

[[Page 422]]

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:
    (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.

[[Page 423]]

    (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 at or 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; 86 
FR 34367, June 29, 2021]



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 at or below the 
standards in this subpart; 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 at or 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; 86 
FR 34367, June 29, 2021]



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.

[[Page 424]]

    (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
    (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]

[[Page 425]]



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 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

[[Page 426]]

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]
    (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;

[[Page 427]]

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.
    (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

[[Page 428]]

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 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

[[Page 429]]

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 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:

[[Page 430]]

    (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 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

[[Page 431]]

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 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.

[[Page 432]]

    (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.
    (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.

[[Page 433]]

    (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.
    (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]

[[Page 434]]



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:

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

[[Page 435]]

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.
    (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:

[[Page 436]]



----------------------------------------------------------------------------------------------------------------
                                                         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:

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]



Sec.  86.450  Treatment of confidential information.

    The provisions of 40 CFR 1068.10 and 1068.11 apply for information 
you submit under this subpart.

[88 FR 4475, Jan. 24, 2023]



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.

[[Page 437]]

    (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 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.

[[Page 438]]

    (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 439]]

[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 440]]

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 441]]

[GRAPHIC] [TIFF OMITTED] TR06OC93.174


[[Page 442]]


[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 443]]

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 444]]

    (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 445]]

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 446]]

[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 447]]

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) Use gasoline meeting the following specifications 
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        23.9-35.0 \2\...........  ASTM D86
     point, [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...........
Total aromatic hydrocarbon,   35 maximum..............  ASTM D1319 or
 volume %.                                               ASTM D5769
Olefins, volume % 3.........  10 maximum..............  ASTM D1319 or
                                                         ASTM D6550
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            55.2 to 63.4 4..........  ASTM D5191
 Equivalent (DVPE), kPa.
------------------------------------------------------------------------
1 Incorporated by reference, see 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 ASTM D6550 prescribes measurement of olefin concentration in mass %.
  Multiply this result by 0.857 and round to the first decimal place to
  determine the olefin concentration in volume %.
4 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.
    (3) Manufacturers may alternatively use ethanol-blended gasoline 
meeting the specifications described in 40 CFR 1065.710(b) for general 
testing without our advance approval. Manufacturers using the ethanol-
blended fuel for certifying a given engine family may also use it for 
any testing for that engine

[[Page 448]]

family under this part. If manufacturers use the ethanol-blended fuel 
for certifying a given engine family, EPA may use the ethanol-blended 
fuel or the neat gasoline test fuel specified in this section for that 
engine family. Manufacturers may also request to use fuels meeting 
alternate specifications as described in 40 CFR 1065.701(b).
    (b) Methanol fuel. (1) Methanol fuel used for exhaust and 
evaporative emission testing and in service accumulation of methanol-
fueled motorcycles 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.

[[Page 449]]

    (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.
    (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; 86 FR 34367, June 29, 2021]



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

[[Page 450]]

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 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

[[Page 451]]

permanent speed governor that is unlikely to be removed in actual use, 
measure the top speed in the governed configuration; otherwise measure 
the 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.,

[[Page 452]]

analyzer calibration. A verification procedure is found in paragraph (d) 
of this section.
    (b) PDP calibration. (1) The following calibration procedures 
outlines the 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.

[[Page 453]]

    (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)


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)

[[Page 454]]

 
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)
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

[[Page 455]]

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. 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

[[Page 456]]

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 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 457]]

[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 458]]

    (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 459]]

[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 460]]

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 461]]

    (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 462]]

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 463]]

 
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 464]]

    (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, 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) Connect the motorcycle's exhaust system to the analyzer for all 
exhaust emission measurements. Seal all known leaks in the exhaust 
system. Make sure any remaining leaks do not affect the demonstration 
that the motorcycle complies with standards in subpart E of this part.

[86 FR 34367, June 29, 2021]



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.

[[Page 465]]

    (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 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

[[Page 466]]

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.  86.528.
    (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

[[Page 467]]

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.
    (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.

[[Page 468]]

    (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 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.

[[Page 469]]

    (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 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:

[[Page 470]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.039

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

[[Page 471]]

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.
    (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
    

[[Page 472]]


    (v)(A) CCH3OHd = Methanol concentration in the dilution 
air, ppm.
    (B)
    [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.

[[Page 473]]

    (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 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

[[Page 474]]

= 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.
    (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.

[[Page 475]]

    (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 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]

[[Page 476]]



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.
    (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

[[Page 477]]

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 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

[[Page 478]]

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) 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

[[Page 479]]

subpart (except tests performed by EPA directly) including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof.
    (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 480]]

    (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 481]]

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 482]]

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 483]]

    (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 484]]

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 485]]

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 486]]

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 487]]

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 488]]

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 489]]

    (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-I [Reserved]



   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]



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

[[Page 490]]

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)
    (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.

[[Page 491]]

    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 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-

[[Page 492]]

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.
    (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.

[[Page 493]]

    (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.
    (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

[[Page 494]]

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 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

[[Page 495]]

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 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:

[[Page 496]]

    (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 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;

[[Page 497]]

    (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 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]

[[Page 498]]



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;
    (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;

[[Page 499]]

    (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 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

[[Page 500]]

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 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

[[Page 501]]

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 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.

[[Page 502]]

[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 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

[[Page 503]]

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 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:

[[Page 504]]

    (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 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).

[[Page 505]]

    (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 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]

[[Page 506]]



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 507]]


[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 508]]

[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 509]]

    (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 510]]

    (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 511]]

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 512]]



Sec.  86.1117  Labeling.

    (a) 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) must have information printed on the emission control 
information label or a supplemental label as follows.
    (1) The manufacturer must begin labeling production engines or 
vehicles within 10 days after the completion of the PCA.
    (2) This statement shall read: ``The manufacturer of this [engine or 
vehicle, as applicable] will pay a nonconformance penalty to be allowed 
to introduce it into U.S. commerce at an emission level higher than the 
applicable emission standard. The [compliance level or alternative 
emission standard] for this engine/vehicle is [insert the applicable 
pollutant and compliance level calculated in accordance with Sec.  
86.1112-87(a)].''
    (3) If a manufacturer introduces an engine or vehicle into U.S. 
commerce prior to the compliance level determination of Sec.  86.1112-
87(a), it must provide the engine or vehicle owner with a label as 
described in paragraph (a)(2) of this section to be affixed in a 
location in proximity to the emission control information label within 
30 days of the completion of the PCA.
    (b) The Administrator may approve in advance other label content and 
formats, provided the alternative label contains information consistent 
with this section.

[88 FR 4475, Jan. 24, 2023]

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.

    (a) 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.
    (b) You may optionally demonstrate compliance with the emission 
standards of this part by testing hybrid engines and hybrid powertrains 
using the test procedures in 40 CFR part 1036, rather than testing the 
engine alone. If you choose this option, you may meet the supplemental 
emission test (SET) requirements by using the SET duty cycle specified 
in either Sec.  86.1362 or 40 CFR 1036.510. Except as specified, 
provisions of this subpart and subpart A of this part that reference 
engines apply equally to hybrid engines and hybrid powertrains.
    (c) The abbreviations and acronyms from subpart A of this part apply 
to this subpart.

[88 FR 4475, Jan. 24, 2023]



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:

[[Page 513]]

    (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 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.

[[Page 514]]

[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 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.

[[Page 515]]

    (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:
[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

[[Page 516]]

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 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:

[[Page 517]]

[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]



Sec.  86.1362  Steady-state testing with a ramped-modal cycle.

    (a) This section describes how to test engines under steady-state 
conditions. Perform ramped-modal testing as described in 40 CFR 1036.505 
and 40 CFR part 1065, except as specified in this section.
    (b) 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 in this part and 40 CFR part 
1036:

[[Page 518]]

[GRAPHIC] [TIFF OMITTED] TR24JA23.006


[[Page 519]]



[86 FR 34367, June 29, 2021, as amended at 88 FR 4476, Jan. 24, 2023]



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 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.

[[Page 520]]

    (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 521]]

[GRAPHIC] [TIFF OMITTED] TR08NO10.021

    (i) Calculate the minimum averaging period, tNTE,min, for 
each candidate NTE event as follows:

[[Page 522]]

[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 523]]

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 524]]

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 525]]

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, use equipment meeting the requirements of 40 CFR part 1065, 
subpart L.
    (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 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; 
88 FR 4478, Jan. 24, 2023]

Subparts O-R [Reserved]

[[Page 526]]



  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 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-

[[Page 527]]

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 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 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. Testing 
references in this subpart generally apply to Tier 2 and older vehicles, 
while testing references to 40 CFR part 1066 generally apply to Tier 3 
and newer vehicles; see Sec.  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

[[Page 528]]

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 or 40 CFR 1036.104 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 original manufacturer's 
sales information.
    (3) The provisions of this subpart generally do not apply to 
incomplete heavy-duty vehicles of any size, or to complete vehicles 
above 14,000 pounds GVWR (see Sec.  86.016-1 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.
    (iv) Evaporative and refueling emission standards apply for complete 
and incomplete heavy-duty vehicles above 14,000 pounds GVWR as specified 
in 40 CFR 1037.103.
    (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 40 CFR parts 1036 and 1037. If any heavy-duty 
vehicle is not subject to standards and certification requirements under 
this subpart, the vehicle and its installed engine are instead subject 
to standards and certification requirements under 40 CFR parts 1036 and 
1037, as applicable. If you optionally certify engines or vehicles to 
standards under 40 CFR part 1036 or 40 CFR part 1037, respectively, 
those engines or vehicles are subject to all the regulatory requirements 
in 40 CFR parts 1036 and 1037 as if they were mandatory. Note that 
heavy-duty engines subject to greenhouse gas standards under 40 CFR part 
1036 before model year 2027 are also subject to standards and 
certification requirements under 40 CFR part 86, subpart A.
    (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

[[Page 529]]

differentiate these vehicle types as described in 40 CFR 1037.801.
    (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 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

[[Page 530]]

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 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

[[Page 531]]

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; 88 FR 4478, Jan. 24, 2023]



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.
    (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).

[[Page 532]]

    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 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.

[[Page 533]]

    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 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

[[Page 534]]

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 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

[[Page 535]]

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 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

[[Page 536]]

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 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

[[Page 537]]

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 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

[[Page 538]]

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 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 complete or incomplete motor vehicle 
rated at more than 8,500 pounds GVWR. Heavy-duty vehicle also includes 
incomplete vehicles that have a curb weight above 6,000 pounds or a 
basic vehicle frontal area greater than 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).

[[Page 539]]

    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 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 that is not a heavy-duty 
vehicle, but 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.

[[Page 540]]

    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).
    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.
    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 means a specific combination of car line, body style, and 
drivetrain configuration.
    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

[[Page 541]]

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 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

[[Page 542]]

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 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).

[[Page 543]]

    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.
    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

[[Page 544]]

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 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.

[[Page 545]]

    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; 86 FR 34371, June 29, 2021]



Sec.  86.1804-01  Acronyms and abbreviations.

    The following abbreviations apply to this subpart:

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.

[[Page 546]]

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.
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

[[Page 547]]

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.
    (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

[[Page 548]]

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 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

[[Page 549]]

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.
    (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

[[Page 550]]

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 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

[[Page 551]]

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 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

[[Page 552]]

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, 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.

[[Page 553]]

    (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, 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.

[[Page 554]]

    (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.
    (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).

[[Page 555]]

    (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 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.
------------------------------------------------------------------------


[[Page 556]]

    (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 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,

[[Page 557]]

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 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

[[Page 558]]

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.
    (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

[[Page 559]]

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 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). We may approve your request to certify an OBD system 
meeting a later version of California's OBD requirements if you 
demonstrate that it complies with the intent of this section. 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).

[[Page 560]]

    (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).
    (9) Apply thresholds as specified in 40 CFR 1036.110(b)(5) for 
engines certified to emission standards under 40 CFR part 1036.
    (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 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

[[Page 561]]

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 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.
    (4) For vehicles with installed compression-ignition engines that 
are subject to standards and related requirements under 40 CFR 1036.104 
and 1036.111, you must comply with the following additional 
requirements:
    (i) Make parameters related to engine derating and other inducements 
available for reading with a generic scan tool as specified in 40 CFR 
110(b)(9)(vi).
    (ii) Design your vehicles to display information 1036.related to 
engine derating and other inducements in the cab as specified in 40 CFR 
1036.110(c)(1).
    (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

[[Page 562]]

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 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; 86 
FR 74521, Dec. 30, 2021; 88 FR 4478, Jan. 24, 2023]



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

[[Page 563]]

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 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

[[Page 564]]

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 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

[[Page 565]]

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 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

[[Page 566]]

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.
    (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

[[Page 567]]

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.
    (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.

[[Page 568]]

    (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 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.

[[Page 569]]

    (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.
    (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

[[Page 570]]

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.
    (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.

[[Page 571]]

    (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 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

[[Page 572]]

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).
    (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

[[Page 573]]

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 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

[[Page 574]]

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 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

[[Page 575]]

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 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.

[[Page 576]]

    (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]



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

[[Page 577]]

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 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

[[Page 578]]

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 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

[[Page 579]]

    (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.
    (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

[[Page 580]]

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 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

[[Page 581]]

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 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

[[Page 582]]

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


                  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]

[[Page 583]]

    (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 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.

[[Page 584]]

    (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 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.
    (j) Small-volume manufacturers that modify a vehicle already 
certified by a different company may recertify that

[[Page 585]]

vehicle under this subpart S based on the vehicle supplier's compliance 
with fleet average standards for criteria exhaust emissions, evaporative 
emissions, and greenhouse gas emissions as follows:
    (1) The recertifying manufacturer must certify the vehicle at bin 
levels and family emission limits that are the same as or more stringent 
than the corresponding bin levels and family emission limits for the 
vehicle supplier.
    (2) The recertifying manufacturer must meet all the standards and 
requirements described in this subpart S, except for the fleet average 
standards for criteria exhaust emissions, evaporative emissions, and 
greenhouse gas emissions.
    (3) The vehicle supplier must send the small-volume manufacturer a 
written statement accepting responsibility to include the subject 
vehicles in the vehicle supplier's exhaust and evaporative fleet average 
calculations in Sec. Sec.  86.1860-17, 86.1864-10, and 86.1865-12.
    (4) The small-volume manufacturer must describe in the application 
for certification how the two companies are working together to 
demonstrate compliance for the subject vehicles. The application must 
include the statement from the vehicle supplier described in paragraph 
(j)(3) of this section.
    (5) The vehicle supplier must include a statement that the vehicle 
supplier is including the small volume manufacturer's sales volume and 
emissions levels in the vehicle supplier's fleet average reports under 
Sec. Sec.  86.1860-17, 86.1864-10, and 86.1865-12.
    (k) Gasoline-fueled vehicles must have a restriction in the tank 
filler inlet that allows inserting nozzles meeting the specifications of 
40 CFR 1090.1550(a), but not nozzles with an outside diameter greater 
than 2.3 centimeters.

[79 FR 23712, Apr. 28, 2014, as amended at 80 FR 9105, Feb. 19, 2015; 88 
FR 4478, Jan. 24, 2023]



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

[[Page 586]]

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 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).

[[Page 587]]

    (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.
    (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

[[Page 588]]

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.
    (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.

[[Page 589]]

    (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 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

[[Page 590]]

 
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.

    (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

[[Page 591]]

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]
    (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

[[Page 592]]

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 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.

[[Page 593]]

    (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 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

[[Page 594]]

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).
    (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

[[Page 595]]

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 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

[[Page 596]]

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.
    (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

[[Page 597]]

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, 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

[[Page 598]]

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;
    (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

[[Page 599]]

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;
    (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

[[Page 600]]

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 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

[[Page 601]]

specified in paragraph (t) of this section. Table S09-1 follows:

                  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

[[Page 602]]

first three years after introduction of a vehicle).
    (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:

[[Page 603]]



    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
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 604]]

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 605]]

    (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 606]]

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 607]]



                             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 608]]

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 609]]



   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 610]]

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 the standards in this paragraph 
(b)(8)(iii)(C) 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 611]]

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 612]]

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 613]]

    (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 614]]

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; 86 FR 34371, June 29, 2021]



Sec.  86.1813-17  Evaporative and refueling emission standards.

    Vehicles must meet evaporative and refueling emission standards as 
specified in this section. These emission standards apply for heavy duty 
vehicles above 14,000 pounds GVWR as specified in Sec.  86.1801. These 
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. These evaporative and 
refueling emission standards do not apply for electric vehicles, fuel 
cell vehicles, or diesel-fueled vehicles, except as specified in 
paragraph (b) of this section. 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

[[Page 615]]

the three-diurnal test sequence is based on a fleet average in a given 
model 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 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. For heavy-
duty vehicles with a nominal fuel tank capacity at or above 50 gallons, 
operate the vehicle over a second full FTP cycle before measuring 
diurnal 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.

[[Page 616]]

    (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. 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 
heavy-duty vehicles must meet the refueling emission standards in this 
paragraph (b) as follows when measured over the procedure specified in 
Sec.  86.150:
    (1) The following implementation dates apply for incomplete 
vehicles:
    (i) Refueling standards apply starting with model year 2027 for 
incomplete vehicles certified under 40 CFR part 1037, unless the 
manufacturer complies with the alternate phase-in specified in paragraph 
(b)(1)(iii) of this section. If you do not meet the alternative phase-in 
requirement for model year 2026, you must certify all your incomplete 
heavy-duty vehicles above 14,000 pounds GVWR to the refueling standard 
in model year 2027.
    (ii) Refueling standards are optional for incomplete heavy-duty 
vehicles at or below 14,000 pounds GVWR, unless the manufacturer uses 
the alternate phase-in specified in paragraph (b)(1)(iii) of this 
section to meet standards together for heavy-duty vehicles above and 
below 14,000 pounds GVWR.
    (iii) Manufacturers may comply with an alternate phase-in of the 
refueling standard for incomplete heavy-duty vehicles as described in 
this paragraph (b)(1)(iii). Manufacturers must meet the refueling 
standard during the phase-in based on their projected nationwide 
production volume of all incomplete heavy-duty vehicles subject to 
standards under this subpart and under 40 CFR part 1037 as described in 
Table 4 of this section. Keep records as

[[Page 617]]

needed to show that you meet phase-in requirements.

     Table 4 of Sec.   86.1813-17--Alternative Phase-In Schedule for
     Refueling Emission Standards for Incomplete Heavy-Duty Vehicles
------------------------------------------------------------------------
                                                              Minimum
                                                          percentage  of
                                                             vehicles
                       Model year                           subject to
                                                           the refueling
                                                             standard
------------------------------------------------------------------------
2026....................................................              40
2027....................................................              40
2028....................................................              80
2029....................................................              80
2030....................................................             100
------------------------------------------------------------------------

    (2) The following refueling standards apply:
    (i) 0.20 g THCE per gallon of fuel dispensed for vehicles using 
volatile liquid fuels. This standard also applies for diesel-fueled LDV.
    (ii) 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 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

[[Page 618]]

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 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)

[[Page 619]]

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):

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);

[[Page 620]]

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; 86 FR 34371, June 29, 2021; 88 FR 4478, Jan. 
24, 2023]



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]
    (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

[[Page 621]]

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 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

[[Page 622]]

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.
    (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

[[Page 623]]

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 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]

[[Page 624]]



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.
    (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

[[Page 625]]

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. 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

[[Page 626]]

 
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 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

[[Page 627]]

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 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.

[[Page 628]]



                           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.
    (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

[[Page 629]]

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. 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.
    (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

[[Page 630]]

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, 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

[[Page 631]]

          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.
    (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,

[[Page 632]]

``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 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

[[Page 633]]

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 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

[[Page 634]]

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; 86 FR 34371, June 29, 2021]



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 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

[[Page 635]]

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.
    (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

[[Page 636]]

value shall be selected for the appropriate model year from the 
following table:

                Table 1 to Sec.   86.1818-12(c)(2)(i)(A)
------------------------------------------------------------------------
                                                            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....................................................           145.6
2024....................................................           138.6
2025....................................................           130.5
2026 and later..........................................           114.3
------------------------------------------------------------------------

    (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:

                Table 2 to Sec.   86.1818-12(c)(2)(i)(B)
------------------------------------------------------------------------
                                                            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....................................................           199.1
2024....................................................           189.5
2025....................................................           179.4
2026 and later..........................................           160.9
------------------------------------------------------------------------

    (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 gram/mile:

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:

                Table 3 to Sec.   86.1818-12(c)(2)(i)(C)
------------------------------------------------------------------------
                      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
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..................................................     3.56     -0.4
2024..................................................     3.39     -0.4
2025..................................................     3.26     -3.2
2026 and later........................................     3.11    -13.1
------------------------------------------------------------------------

    (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:

                Table 4 to Sec.   86.1818-12(c)(3)(i)(A)
------------------------------------------------------------------------
                                                            CO2 target
                       Model year                         value  (grams/
                                                               mile)
------------------------------------------------------------------------
2012....................................................           294.0
2013....................................................           284.0
2014....................................................           275.0

[[Page 637]]

 
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....................................................           181.1
2024....................................................           172.1
2025....................................................           159.3
2026 and later..........................................           141.8
------------------------------------------------------------------------

    (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 gram/mile, except as specified 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:

                                    Table 5 to Sec.   86.1818-12(c)(3)(i)(B)
----------------------------------------------------------------------------------------------------------------
                                                                      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............................................................            74.0            3.97            18.4
2024............................................................            74.0            3.77            17.4
2025............................................................            74.0            3.58            12.5
2026 and later..................................................            74.0            3.41             1.9
----------------------------------------------------------------------------------------------------------------

    (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 
gram/mile, except as specified 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:

                                    Table 6 to Sec.   86.1818-12(c)(3)(i)(C)
----------------------------------------------------------------------------------------------------------------
                                                      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:

                Table 7 to Sec.   86.1818-12(c)(3)(i)(D)
------------------------------------------------------------------------
                                                            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

[[Page 638]]

 
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....................................            74.0           312.1
2024....................................            74.0           296.5
2025....................................            74.0           277.4
2026 and later..........................            74.0           254.4
------------------------------------------------------------------------

    (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 adjusted by the deterioration 
factor from Sec.  86.1823-08(m). Multiply the result by 1.1 and round 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) adjusted by the 
deterioration factor from Sec.  86.1823-08(m). Multiply the result by 
1.1 and round to 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. The standards in this 
paragraph (d) 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

[[Page 639]]

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 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

[[Page 640]]

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 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 described in this 
paragraph (e)(3)(ii)(A). 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 table 8 to Sec.  86.1818-12(e)(3)(ii)(A), 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. Table 8 to Sec.  86.1818-12(e)(3)(ii)(A) follows:

                Table 8 to Sec.   86.1818-12(e)(3)(ii)(A)
------------------------------------------------------------------------
                                                            Applicable
                       Model year                            standards
------------------------------------------------------------------------
2017....................................................            2016
2018....................................................            2016
2019....................................................            2018
2020....................................................            2019
------------------------------------------------------------------------


[[Page 641]]

    (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 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

[[Page 642]]

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 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

[[Page 643]]

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 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

[[Page 644]]

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 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.

[[Page 645]]

    (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
    (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.

[[Page 646]]

    (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; 86 FR 34371, June 29, 2021; 86 FR 74522, Dec. 30, 
2021]



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):
[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

[[Page 647]]

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.
    (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

[[Page 648]]

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 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

[[Page 649]]

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 for 
light-duty vehicles 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 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:

[[Page 650]]



------------------------------------------------------------------------
                                            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 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.

[[Page 651]]

    (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 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

[[Page 652]]

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 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:

[[Page 653]]



                      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 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.

[[Page 654]]

    (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 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

[[Page 655]]

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, as amended at 88 FR 4479, Jan. 24, 2023]



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 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

[[Page 656]]

          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-, metha-nol-, 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. This section 
applies for all sizes and types of vehicles that are subject to 
evaporative or refueling standards, including those subject to standards 
under 40 CFR 1037.103.
    (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 657]]

    (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.
    (g) Determine evaporative/refueling families separately for vehicles 
subject to standards under 40 CFR 1037.103 based on the criteria in 
paragraph (b) of this section, even for vehicles you certify based on 
engineering analysis under 40 CFR 1037.103(c). In addition, if you 
certify such vehicles based on testing, include only those vehicle 
models in the family that are properly represented by that testing, as 
described in Sec.  86.1828.

[64 FR 23925, May 4, 1999, as amended at 79 FR 23725, Apr. 28, 2014; 88 
FR 4479, Jan. 24, 2023]



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

[[Page 658]]

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 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

[[Page 659]]

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 
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

[[Page 660]]

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 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.

[[Page 661]]

    (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 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 light light-duty trucks, 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

[[Page 662]]

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-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.

[[Page 663]]

    (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.
    (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

[[Page 664]]

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 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.

[[Page 665]]

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.
    (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

[[Page 666]]

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 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

[[Page 667]]

    (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.
    (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

[[Page 668]]

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. 
Determine a deterioration factor for each exhaust constituent as 
described in this paragraph (m) and in 40 CFR 600.113-12(h) through (m) 
to calculate the composite CREE DF value. (1) CO2. (i) Unless 
otherwise specified under paragraph (m)(1)(ii) or (iii) of this section, 
manufacturers 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) For plug-in hybrid electric vehicles and any other vehicle 
model the manufacturer determines will experience increased 
CO2 emissions over the vehicle's useful life, consistent with 
good engineering judgment, manufacturers must either install aged 
batteries and other relevant components on test vehicles as provided in 
paragraph (f)(2) of this section, determine a deterioration factor based 
on testing, or provide an engineering analysis that the vehicle is 
designed such that CO2 emissions will not increase over the 
vehicle's useful life. Manufacturers may test using the whole-vehicle 
mileage accumulation procedures in Sec.  86.1823-08 (c) or (d)(1), or 
manufacturers may request prior EPA approval for an alternative 
durability procedure based on good engineering judgment. For the testing 
option, 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.
    (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

[[Page 669]]

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 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; 88 FR 4479, Jan. 24, 2023]



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

[[Page 670]]

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 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.

[[Page 671]]

    (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. 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

[[Page 672]]

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 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]

[[Page 673]]



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 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

[[Page 674]]

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.
    (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

[[Page 675]]

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 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

[[Page 676]]

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 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.

[[Page 677]]

    (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 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

[[Page 678]]

(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 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,

[[Page 679]]

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
    (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

[[Page 680]]

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 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

[[Page 681]]

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 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.

[[Page 682]]

    (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 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

[[Page 683]]

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 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

[[Page 684]]

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 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

[[Page 685]]

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 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

[[Page 686]]

(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 
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).

[[Page 687]]

    (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 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

[[Page 688]]

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 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.

[[Page 689]]

    (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).
    (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

[[Page 690]]

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.
    (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

[[Page 691]]

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).
    (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:

[[Page 692]]

    (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 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]

[[Page 693]]



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 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.

[[Page 694]]

    (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 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

[[Page 695]]

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.
    (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]

[[Page 696]]



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 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

[[Page 697]]

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 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

[[Page 698]]

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 of 75 percent of the full 
useful life mileage do not apply.
    (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

[[Page 699]]

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 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; 86 FR 
34371, June 29, 2021]



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

[[Page 700]]

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 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

[[Page 701]]

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 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

[[Page 702]]

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 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 May 1 following the end of the model year to 
incorporate any applicable running changes or corrections which occurred 
between January

[[Page 703]]

1 of the applicable model year and the end of the model year. A 
manufacturer may request an extension for submitting 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 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.
    (i) Confidential information. The provisions of 40 CFR 1068.10 and 
1068.11 apply for information you submit under this subpart.

[64 FR 23925, May 4, 1999, as amended at 79 FR 23729, Apr. 28, 2014; 88 
FR 4480, Jan. 24, 2023]



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.

[[Page 704]]

    (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.
    (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

[[Page 705]]

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. 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.

[[Page 706]]

    (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 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

[[Page 707]]

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 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

[[Page 708]]

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 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

[[Page 709]]

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).
    (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

[[Page 710]]

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:

                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

[[Page 711]]

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 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

[[Page 712]]

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 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.

[[Page 713]]

    (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 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]

[[Page 714]]



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 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

[[Page 715]]

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 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]

[[Page 716]]



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.
    (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

[[Page 717]]

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.
    (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-

[[Page 718]]

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, 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

[[Page 719]]

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 
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.

[[Page 720]]

    (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 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

[[Page 721]]

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).
    (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

[[Page 722]]

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.
    (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:

[[Page 723]]

    (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, 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

[[Page 724]]

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 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

[[Page 725]]

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.
    (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

[[Page 726]]

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 (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.

[[Page 727]]

    (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.
    (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

[[Page 728]]

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:
[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

[[Page 729]]

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

    (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.

[[Page 730]]

    (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.
    (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.

[[Page 731]]

    (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.)
    (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

[[Page 732]]

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.
    (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.

[[Page 733]]

    (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.
    (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.


[[Page 734]]


    (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.
    (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.

[[Page 735]]

    (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.
    (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.

[[Page 736]]

    (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]



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).

[[Page 737]]

    (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 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).

[[Page 738]]

    (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.
    (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

[[Page 739]]

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:

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:

[[Page 740]]

    (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 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]

[[Page 741]]



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.
    (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

[[Page 742]]

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);
    (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.

[[Page 743]]

    (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 shall 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 credits. The averaging, banking 
and trading program is enforceable as provided in paragraphs (k)(7)(ii), 
(k)(9)(iii), and (l)(1)(vi) of this section 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. However, in the case of 
model year 2017 and 2018 passenger cars and light trucks, unused 
CO2 credits retain their full value through six model years 
after the year in which they were generated.
    (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

[[Page 744]]

yet passed. This paragraph (k)(7)(i) applies for MDPV, but not for other 
HDV.
    (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

[[Page 745]]

have a credit deficit for four consecutive years.
    (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 746]]

    (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 747]]

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; 
86 FR 74524, Dec. 30, 2021]



Sec.  86.1866-12  CO2 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 748]]

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 strong hybrid-based credits described in Sec.  
86.1870-12(a)(2) or the performance-based credits described in Sec.  
86.1870-12(b).
    (1) The following production multipliers apply for model year 2017 
through 2025 vehicles:

                                           Table 1 to Paragraph (b)(1)
----------------------------------------------------------------------------------------------------------------
                                                                     Electric                      Dedicated and
                                                                   vehicles and   Plug-in hybrid     dual-fuel
                           Model year                                fuel cell        electric      natural gas
                                                                     vehicles        vehicles        vehicles
----------------------------------------------------------------------------------------------------------------
2017............................................................             2.0             1.6             1.6
2018............................................................             2.0             1.6             1.6
2019............................................................             2.0             1.6             1.6
2020............................................................            1.75            1.45            1.45
2021............................................................             1.5             1.3             1.3
2022............................................................  ..............  ..............             2.0
2023-2024.......................................................             1.5             1.3  ..............
----------------------------------------------------------------------------------------------------------------

    (2) 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 (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 (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 (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 (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.
    (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

[[Page 749]]

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.
[GRAPHIC] [TIFF OMITTED] TR23AP20.029


[[Page 750]]


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.
    (3) Multiplier-based credits for model years 2022 through 2025 may 
not exceed credit caps, as follows:
    (i) Calculate a nominal annual credit cap in Mg using the following 
equation, rounded to the nearest whole number:

[GRAPHIC] [TIFF OMITTED] TR30DE21.005

Where:

Pauto = total number of certified passenger automobiles the manufacturer 
          produced in a given model year for sale in any state or 
          territory of the United States.
Ptruck = total number of certified light trucks (including MDPV) the 
          manufacturer produced in a given model year for sale in any 
          state or territory of the United States.

    (ii) Calculate an annual g/mile equivalent value for the multiplier-
based credits using the following equation, rounded to the nearest 0.1 
g/mile:

[GRAPHIC] [TIFF OMITTED] TR30DE21.006


[[Page 751]]


Where:

annual credits = a manufacturer's total multiplier-based credits in a 
          given model year from all passenger automobiles and light 
          trucks as calculated under this paragraph (c).

    (iii) Calculate a cumulative g/mile equivalent value for the 
multiplier-based credits in 2022 through 2025 by adding the annual g/
mile equivalent values calculated under paragraph (c)(3)(ii) of this 
section.
    (iv) The cumulative g/mile equivalent value may not exceed 10.0 in 
any year.
    (v) The annual credit report must include for every model year from 
2022 through 2025, as applicable, the calculated values for the nominal 
annual credit cap in Mg and the cumulative g/mile equivalent value.

[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; 86 FR 74524, 
Dec. 30, 2021]



Sec.  86.1867-12  CO2 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 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

[[Page 752]]

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.
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

[[Page 753]]

          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 
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)......................

[[Page 754]]

 
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).....................................
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

[[Page 755]]

          (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 
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


[[Page 756]]


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 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

[[Page 757]]

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 2020 and 
later model years, manufacturers must validate air conditioning credits 
by using the AC17 Test Procedure in 40 CFR 1066.845 as follows:
    (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 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

[[Page 758]]

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.
    (5) AC17 testing requirements apply as follows for electric vehicles 
and plug-in hybrid electric vehicles:
    (i) Manufacturers may omit AC17 testing for electric vehicles. 
Electric vehicles may qualify for air conditioning efficiency credits 
based on identified technologies, without testing. The application for 
certification must include a detailed description of the vehicle's air 
conditioning system and identify any technology items eligible for air 
conditioning efficiency credits. Include additional supporting 
information to justify the air conditioning credit for each technology.
    (ii) The provisions of paragraph (g)(5)(i) of this section also 
apply for plug-in hybrid electric vehicles if they have an all electric 
range of at least 60 miles (combined city and highway) after adjustment 
to reflect actual in-use driving conditions (see 40 CFR 600.311(j)), and 
they do not rely on the engine to cool the vehicle's cabin for the 
ambient and driving conditions represented by the AC17 test.
    (iii) If AC17 testing is required for plug-in hybrid electric 
vehicles, perform this testing in charge-sustaining mode.
    (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 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

[[Page 759]]

(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; 86 FR 34372, 
June 29, 2021]



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 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

[[Page 760]]

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.

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


[[Page 761]]


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:
[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.

[[Page 762]]

    (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.
    (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



[[Page 763]]


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 15 g/mi for model years 2023 through 2026 and 
10 g/mi in all other model years. If the total of the CO2 g/
mi credit values from paragraph (b)(1) of this section does not exceed 
10 or 15 g/mi (as applicable) 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 or 15 g/mi (as applicable) 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)(ii) of this 
section to determine whether the applicable 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] TR30DE21.007

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 or 15 grams per mile (as applicable), 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] TR30DE21.008

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 or 15 grams per mile (as applicable), 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 or 15 grams per mile (as applicable), 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

[[Page 764]]

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 warm-up means one of the following:
    (A) Through model year 2022, active transmission warm-up 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.
    (B) Starting in model year 2023, active transmission warm-up means a 
system that uses waste heat from the vehicle's exhaust to warm the 
transmission fluid to an operating temperature range using a dedicated 
heat exchanger. Active transmission warm-up may also include coolant 
systems that capture heat from a liquid-cooled exhaust manifold if the 
coolant loop to the transmission heat exchanger is not shared with other 
heat-extracting systems and it starts heat transfer to the transmission 
fluid immediately after engine starting, consistent with designs that 
exchange heat directly from exhaust gases to the transmission fluid.
    (vi) Active engine warm-up means one of the following:
    (A) Through model year 2022, active engine warm-up means a system 
that uses waste heat from the vehicle to warm up targeted parts of the 
engine so it reduces engine friction losses and enables closed-loop fuel 
control to start sooner.
    (B) Starting in model year 2023, active engine warm-up means a 
system that uses waste heat from the vehicle's exhaust to warm up 
targeted parts of the engine so it reduces engine friction losses and 
enables closed-loop fuel control to start sooner. Active engine warm-up 
may also include coolant systems that capture heat from a liquid-cooled 
exhaust manifold.

[[Page 765]]

    (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 one of the following:
    (A) Through model year 2022, passive cabin ventilation means ducts, 
devices, or methods that utilize convective airflow to move heated air 
from the cabin interior to the exterior of the vehicle.
    (B) Starting in model year 2023, passive cabin ventilation means 
methods that create and maintain convective airflow through the body's 
cabin by keeping windows or sunroof open to prevent excessive interior 
temperatures when the vehicle is parked outside in direct sunlight.
    (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.

[[Page 766]]

    (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 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

[[Page 767]]

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 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 (see 40 CFR 1068.10 and 1068.11). 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 citation 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.

[[Page 768]]

    (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), 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

[[Page 769]]

          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; 86 FR 74525, 
Dec. 30, 2021; 88 FR 4480, Jan. 24, 2023]



Sec.  86.1870-12  CO2 credits for qualifying full-size 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 2017 through 2021 model years are eligible for 
a credit of 20 grams/mile. This same credit is available again for those 
vehicles produced in 2023 and 2024 model years. 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. Full-size pickup trucks earning credits under this 
paragraph (a)(2) may not earn credits based on the production 
multipliers described in Sec.  86.1866-12(b).
    (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

[[Page 770]]

pickup truck that qualifies for this credit in a model year may claim 
this credit for subsequent model years 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 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. This same credit 
is available again for qualifying vehicles produced in 2023 and 2024 
model years. 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 model year 2022 or in any 
model year after 2024. 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. A pickup truck that qualifies for 
this credit in a model year and is subject to a major redesign in a 
subsequent model year such that it qualifies for the credit in the model 
year of the redesign may be allowed to qualify for an additional five 
years with EPA approval (not to go beyond the 2024 model year). Use good 
engineering judgment to determine whether a pickup truck has been 
subject to a major redesign.
    (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; 86 FR 74525, Dec. 30, 2021]



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-

[[Page 771]]

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 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.

[[Page 772]]



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

[[Page 773]]

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 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.

[[Page 774]]

    (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 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

[[Page 775]]

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 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

[[Page 776]]

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.
    (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

[[Page 777]]

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 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

[[Page 778]]

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 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

[[Page 779]]

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 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.

[[Page 780]]

    (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.
    (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

[[Page 781]]

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 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.

[[Page 782]]

    (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 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

[[Page 783]]

 
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 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)

[[Page 784]]

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 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).

[[Page 785]]

    (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.
    (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.

[[Page 786]]

    (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 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.

[[Page 787]]

    (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, 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]

[[Page 788]]



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:
[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

[[Page 789]]

 
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
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

[[Page 790]]

 
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
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

[[Page 791]]

 
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
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

[[Page 792]]

 
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
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 793]]

 
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 794]]

 
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 795]]

 
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 796]]

 
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 797]]

 
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 798]]

 
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 799]]

 
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 800]]

 
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 801]]

 
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 802]]

 
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 803]]

 
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 804]]

 
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 805]]

 
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 806]]

    (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 807]]

 
      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 808]]

 
      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 809]]

    (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 810]]

 
140...........................................         0.0          0.0
141...........................................         0.0          0.0
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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
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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
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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
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234...........................................         6.00        19.60
235...........................................         5.00        14.00
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280...........................................         0.0          0.0
281...........................................         0.0          7.00

[[Page 811]]

 
282...........................................         1.00        10.00
283...........................................         2.00        11.50
284...........................................         1.00        10.00
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286...........................................         0.0          0.0
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300...........................................         0.0         30.00
301...........................................         2.00        32.00
302...........................................         6.00        34.00
303...........................................        14.00        36.00
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
309...........................................        13.00        18.00
310...........................................         9.00        14.00
311...........................................         7.00         8.00
312...........................................         6.00         0.0
313...........................................         4.00         3.00
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328...........................................        45.50       100.00
329...........................................        45.00        96.00
330...........................................        44.00        84.40
331...........................................        43.00        53.60
332...........................................        41.00         5.00
333...........................................        43.00        47.60
334...........................................        44.00        90.00
335...........................................        45.00        90.00
336...........................................        44.00        73.00
337...........................................        40.00        54.00
338...........................................        38.00        34.70
339...........................................        36.00        10.00
340...........................................        35.00        10.00
341...........................................        35.00        10.00
342...........................................        35.50        60.00
343...........................................        36.00        57.90
344...........................................        37.00        53.00
345...........................................        39.00        50.00
346...........................................        40.50        50.00
347...........................................        43.00        50.00
348...........................................        45.00        50.00
349...........................................        48.00        50.00
350...........................................        51.00        52.00
351...........................................        56.00        58.70
352...........................................        64.00        70.00
353...........................................        68.00        70.00
354...........................................        70.00        70.00
355...........................................        65.50        64.60
356...........................................        61.00        28.90
357...........................................        55.00        -5.00
358...........................................        50.00       -10.00
359...........................................        45.00       -10.00
360...........................................        38.00       -10.00
361...........................................        28.00       -10.00
362...........................................        19.00       -10.00
363...........................................        14.00       -10.00
364...........................................         7.00       -10.00
365...........................................         2.00        -5.00
366...........................................         3.00         5.00
367...........................................         7.00        25.00
368...........................................         9.00        38.00
369...........................................         7.00        17.00
370...........................................         4.00         2.00
371...........................................         3.00        -9.00
372...........................................         3.00       -10.00
373...........................................        11.00        70.00
374...........................................        15.00        97.60
375...........................................        16.00       100.00
376...........................................        19.00       100.00
377...........................................        26.00       100.00
378...........................................        29.00        95.00
379...........................................        25.00        63.00
380...........................................        19.00       -10.00
381...........................................        12.00       -10.00
382...........................................         8.00       -10.00
383...........................................         5.00       -10.00
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418...........................................         0.0          0.0
419...........................................         4.00        20.00
420...........................................         4.00        20.00
421...........................................         0.0          0.0
422...........................................         0.0          0.0
423...........................................         0.0          0.0

[[Page 812]]

 
424...........................................         0.0          0.0
425...........................................         0.0          0.0
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427...........................................         0.0          0.0
428...........................................         0.0          0.0
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430...........................................         2.00         0.0
431...........................................         6.00         2.00
432...........................................        14.00        28.80
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
449...........................................        39.00       -10.00
450...........................................        34.00       -10.00
451...........................................        28.00       -10.00
452...........................................        25.00       -10.00
453...........................................        21.00       -10.00
454...........................................        18.00       -10.00
455...........................................        15.00       -10.00
456...........................................        12.00       -10.00
457...........................................        18.00        -8.00
458...........................................        29.00        19.80
459...........................................        40.00        54.00
460...........................................        52.00        82.00
461...........................................        64.00        95.00
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
489...........................................        18.00       -10.00
490...........................................        16.00       -10.00
491...........................................        19.00        -8.00
492...........................................        24.00         2.00
493...........................................        32.00        68.50
494...........................................        45.00        78.00
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 813]]

 
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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605...........................................        51.00        97.00
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607...........................................        53.00        90.00
608...........................................        54.00        87.00
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610...........................................        56.00        85.00
611...........................................        55.50        85.00
612...........................................        55.00        81.00
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
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630...........................................        54.00        90.00
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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
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643...........................................        49.00        50.00
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
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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
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680...........................................        60.00        91.00
681...........................................        60.00        91.00
682...........................................        60.50        90.00
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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 814]]

 
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
753...........................................       100.00        22.00
754...........................................       100.00        30.00
755...........................................       100.00        65.00
756...........................................       100.00        76.00
757...........................................       100.00        80.00
758...........................................       100.00        78.00
759...........................................       100.00        72.00
760...........................................       100.00        54.00
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
766...........................................        57.00        -9.00
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
787...........................................        62.00        85.00
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 815]]

 
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 816]]

 
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 817]]

 
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 818]]

 
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
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114...........................................         0.0          0.0
115...........................................         0.0          0.0
116...........................................         0.0          0.0
117...........................................         0.0          0.0
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120...........................................         0.0          0.0
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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
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170...........................................         0.0          0.0
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174...........................................         0.0          0.0
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176...........................................         0.0          0.0
177...........................................         0.0          0.0
178...........................................         0.0          0.0
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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
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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 819]]

 
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
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286...........................................         0.0          0.0
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288...........................................         0.0          0.0
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290...........................................         0.0          0.0
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294...........................................         0.0          0.0
295...........................................         0.0          0.0
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300...........................................         0.0          0.0
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305...........................................         0.0          0.0
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310...........................................         0.0          0.0
311...........................................         0.0          0.0
312...........................................         0.0          0.0
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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
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335...........................................         0.0          0.0
336...........................................         0.0          0.0
337...........................................         0.0          0.0
338...........................................         0.0          0.0
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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 820]]

 
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 821]]

 
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 822]]

 
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 823]]

 
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 824]]

 
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 825]]

 
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 826]]

 
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 827]]

 
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 828]]

 
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 829]]

 
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 830]]

 
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 831]]

 
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 832]]

 
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 833]]

 
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 834]]

 
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 835]]

 
     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 836]]

 
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 837]]

[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 838]]

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 839]]

    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 840]]


[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 841]]



                         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 842]]

 
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 843]]

    (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 845]]

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 846]]

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 847]]

[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 848]]

 
              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 849]]

 
             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 850]]

 
\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 851]]



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]



PART 87_CONTROL OF AIR POLLUTION FROM AIRCRAFT AND AIRCRAFT 
ENGINES--Table of Contents



Sec.
87.1 Definitions.
87.2 Abbreviations.
87.3 General applicability and requirements.
87.10 Applicability--fuel venting.
87.11 Standard for fuel venting emissions.
87.20 Applicability--exhaust emissions.
87.21 Exhaust emission standards for Tier 4 and earlier engines.
87.23 Exhaust emission standards for Tier 6 and Tier 8 engines.
87.31 Exhaust emission standards for in-use engines.
87.48 Derivative engines for emissions certification purposes.
87.50 Exemptions and exceptions.
87.60 Testing engines.

    Authority: 42 U.S.C. 7401 et seq.

    Source: 87 FR 72350, Nov. 23, 2022, unless otherwise noted.



Sec.  87.1  Definitions.

    Definitions apply as described in 40 CFR 1031.205.



Sec.  87.2  Abbreviations.

    Abbreviations apply as described in 40 CFR 1031.200.

[[Page 852]]



Sec.  87.3  General applicability and requirements.

    Provisions related to the general applicability and requirements of 
aircraft engine standards apply as described in 40 CFR 1031.1.



Sec.  87.10  Applicability--fuel venting.

    Fuel venting standards apply to certain aircraft engines as 
described in 40 CFR 1031.30(b).



Sec.  87.11  Standard for fuel venting emissions.

    Fuel venting standard apply as described in 40 CFR 1031.30(b).



Sec.  87.20  Applicability--exhaust emissions.

    Exhaust emission standards apply to certain aircraft engines as 
described in 40 CFR 1031.40 through 1031.90.



Sec.  87.21  Exhaust emission standards for Tier 4 and earlier engines.

    Exhaust emission standards apply to new aircraft engines as 
described in 40 CFR 1031.40 through 1031.90.



Sec.  87.23  Exhaust emission standards for Tier 6 and Tier 8 engines.

    Exhaust emission standards apply to new aircraft engines as follows:
    (a) New turboprop aircraft engine standards apply as described in 40 
CFR 1031.40.
    (b) New supersonic engine standards apply as described in 40 CFR 
1031.90.
    (c) New subsonic turbofan or turbojet aircraft engine standards 
apply as follows:
    (1) Standards for engines with rated output at or below 26.7 kN 
thrust apply as described in 40 CFR 1031.50.
    (2) Standards for engines with rated output above 26.7 kN thrust 
apply as described in 40 CFR 1031.60.
    (d) NOX standards apply based on the schedule for new 
type and in-production aircraft engines as described in 40 CFR 1031.60.



Sec.  87.31  Exhaust emission standards for in-use engines.

    Exhaust emission standards apply to in-use aircraft engines as 
described in 40 CFR 1031.60.



Sec.  87.48  Derivative engines for emissions certification purposes.

    Provisions related to derivative engines for emissions certification 
purposes apply as described in 40 CFR 1031.130.



Sec.  87.50  Exemptions and exceptions.

    Provisions related to exceptions apply as described in 40 CFR 
1031.20. Provisions related to exemptions apply as described in 40 CFR 
1031.10.



Sec.  87.60  Testing engines.

    Test procedures for measuring gaseous emissions and smoke number 
apply as described in 40 CFR 1031.140.



PART 88_CLEAN-FUEL VEHICLES--Table of Contents



Sec.
88.1 General applicability.
88.2 through 88.3 [Reserved]

    Authority: 42 U.S.C. 7410, 7418, 7581, 7582, 7583, 7584, 7586, 7588, 
7589, 7601(a).

    Source: 86 FR 34372, June 29, 2021, unless otherwise noted.



Sec.  88.1  General applicability.

    (a) The Clean Air Act includes provisions intended to promote the 
development and sale of clean-fuel vehicles (see 42 U.S.C. 7581-7589). 
This takes the form of credit incentives for State Implementation Plans. 
The specified clean-fuel vehicle standards to qualify for these credits 
are now uniformly less stringent than the emission standards that apply 
for new vehicles and new engines under 40 CFR parts 86 and 1036.
    (b) The following provisions apply for purposes of State 
Implementation Plans that continue to reference the Clean Fuel Fleet 
Program:
    (1) Vehicles and engines certified to current emission standards 
under 40 CFR part 86 or 1036 are deemed to also meet the Clean Fuel 
Fleet standards as Ultra Low-Emission Vehicles.
    (2) Vehicles and engines meeting requirements as specified in 
paragraph (a)(1) of this section with a fuel system designed to not vent 
fuel vapors to the atmosphere are also deemed to meet the Clean Fuel 
Fleet standards as Inherently Low-Emission Vehicles. This paragraph 
(b)(2) applies for vehicles using diesel fuel, liquefied petroleum

[[Page 853]]

gas, or compressed natural gas. It does not apply for vehicles using 
gasoline, ethanol, methanol, or liquefied natural gas.
    (3) The following types of vehicles qualify as Zero Emission 
Vehicles:
    (i) Electric vehicles (see 40 CFR 86.1803-01).
    (ii) Any other vehicle with a fuel that contains no carbon or 
nitrogen compounds, that has no evaporative emissions, and that burns 
without forming oxides of nitrogen, carbon monoxide, formaldehyde, 
particulate matter, or hydrocarbon compounds. This paragraph (b)(3)(i) 
applies equally for all engines installed on the vehicle.



Sec.  Sec.  88.2 through 88.3  [Reserved]



PART 89_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 
COMPRESSION-IGNITION ENGINES--Table of Contents



Sec.
89.1 Applicability.
89.2 through 89.3 [Reserved]

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

    Source: 86 FR 34372, June 29, 2021, unless otherwise noted.



Sec.  89.1  Applicability.

    The Environmental Protection Agency adopted emission standards for 
model year 1996 and later nonroad compression-ignition engines under 
this part. EPA has migrated regulatory requirements for these engines to 
40 CFR part 1039, with additional testing and compliance provisions in 
40 CFR parts 1065 and 1068. The Tier 1, Tier 2, and Tier 3 standards 
originally adopted in this part are identified in 40 CFR part 1039, 
appendix I. See 40 CFR 1039.1 for information regarding the timing of 
the transition to 40 CFR part 1039, and for information regarding 
regulations that continue to apply for engines that manufacturers 
originally certified or otherwise produced under this part.



Sec.  Sec.  89.2 through 89.3  [Reserved]



PART 90_CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES AT 
OR BELOW 19 KILOWATTS--Table of Contents



Sec.
90.1 Applicability.
90.2 through 90.3 [Reserved]

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

    Source: 86 FR 34372, June 29, 2021, unless otherwise noted.



Sec.  90.1  Applicability.

    The Environmental Protection Agency adopted emission standards for 
model year 1997 and later nonroad spark-ignition engines below 19 kW 
under this part. EPA has migrated regulatory requirements for these 
engines to 40 CFR part 1054, with additional testing and compliance 
provisions in 40 CFR parts 1065 and 1068. The Phase 1 and Phase 2 
standards originally adopted in this part are identified in 40 CFR part 
1054, appendix I. See 40 CFR 1054.1 for information regarding the timing 
of the transition to 40 CFR part 1054, and for information regarding 
regulations that continue to apply for engines that manufacturers 
originally certified or otherwise produced under this part.



Sec.  Sec.  90.2 through 90.3  [Reserved]



PART 91_CONTROL OF EMISSIONS FROM MARINE SPARK-IGNITION 
ENGINES--Table of Contents



Sec.
91.1 Applicability.
91.2 through 91.3 [Reserved]

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

    Source: 86 FR 34372, June 29, 2021, unless otherwise noted.



Sec.  91.1  Applicability.

    The Environmental Protection Agency adopted emission standards for 
model year 1998 and later marine spark-ignition engines under this part, 
except that the standards of this part did not apply to sterndrive/
inboard engines. EPA has migrated regulatory requirements for these 
engines to 40 CFR part 1045, with additional testing and

[[Page 854]]

compliance provisions in 40 CFR parts 1065 and 1068. The standards 
originally adopted in this part are identified in 40 CFR part 1045, 
appendix I. See 40 CFR 1045.1 for information regarding the timing of 
the transition to 40 CFR part 1045, and for information regarding 
regulations that continue to apply for engines that manufacturers 
originally certified or otherwise produced under this part.



Sec.  Sec.  91.2 through 91.3  [Reserved]



PART 92_CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE 
ENGINES--Table of Contents



Sec.
92.1 Applicability.
92.2 through 92.3 [Reserved]

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

    Source: 86 FR 34373, June 29, 2021, unless otherwise noted.



Sec.  92.1  Applicability.

    The Environmental Protection Agency first adopted emission standards 
for freshly manufactured and remanufactured locomotives under this part 
in 1998. EPA has migrated regulatory requirements for these engines to 
40 CFR part 1033, with additional testing and compliance provisions in 
40 CFR parts 1065 and 1068. The Tier 0, Tier 1, and Tier 2 standards 
originally adopted in this part are identified in 40 CFR part 1033, 
appendix I. See 40 CFR 1033.1 for information regarding the timing of 
the transition to 40 CFR part 1033, and for information regarding 
regulations that continue to apply for engines that manufacturers 
originally certified or otherwise produced or remanufactured under this 
part. Emission standards started to apply for locomotive and locomotive 
engines if they were--
    (a) Manufactured on or after January 1, 2000;
    (b) Manufactured on or after January 1, 1973 and remanufactured on 
or after January 1, 2000; or
    (c) Manufactured before January 1, 1973 and upgraded on or after 
January 1, 2000.



Sec.  Sec.  92.2 through 92.3  [Reserved]



PART 93_DETERMINING CONFORMITY OF FEDERAL ACTIONS TO STATE OR FEDERAL 
IMPLEMENTATION PLANS--Table of Contents



    Subpart A_Conformity to State or Federal Implementation Plans of 
   Transportation Plans, Programs, and Projects Developed, Funded or 
       Approved Under Title 23 U.S.C. or the Federal Transit Laws

Sec.
93.100 Purpose.
93.101 Definitions.
93.102 Applicability.
93.103 Priority.
93.104 Frequency of conformity determinations.
93.105 Consultation.
93.106 Content of transportation plans and timeframe of conformity 
          determinations.
93.107 Relationship of transportation plan and TIP conformity with the 
          NEPA process.
93.108 Fiscal constraints for transportation plans and TIPs.
93.109 Criteria and procedures for determining conformity of 
          transportation plans, programs, and projects: General.
93.110 Criteria and procedures: Latest planning assumptions.
93.111 Criteria and procedures: Latest emissions model.
93.112 Criteria and procedures: Consultation.
93.113 Criteria and procedures: Timely implementation of TCMs.
93.114 Criteria and procedures: Currently conforming transportation plan 
          and TIP.
93.115 Criteria and procedures: Projects from a transportation plan and 
          TIP.
93.116 Criteria and procedures: Localized CO, PM10, and 
          PM2.5 violations (hot-spots).
93.117 Criteria and procedures: Compliance with PM10 and 
          PM2.5 control measures.
93.118 Criteria and procedures: Motor vehicle emissions budget.
93.119 Criteria and procedures: Interim emissions in areas without motor 
          vehicle emissions budgets.
93.120 Consequences of control strategy implementation plan failures.
93.121 Requirements for adoption or approval of projects by other 
          recipients of funds designated under title 23 U.S.C. or the 
          Federal Transit Laws.
93.122 Procedures for determining regional transportation-related 
          emissions.
93.123 Procedures for determining localized CO, PM10, and 
          PM2.5 concentrations (hot-spot analysis).

[[Page 855]]

93.124 Using the motor vehicle emissions budget in the applicable 
          implementation plan (or implementation plan submission).
93.125 Enforceability of design concept and scope and project-level 
          mitigation and control measures.
93.126 Exempt projects.
93.127 Projects exempt from regional emissions analyses.
93.128 Traffic signal synchronization projects.
93.129 Special exemptions from conformity requirements for pilot program 
          areas.

Subpart B_Determining Conformity of General Federal Actions to State or 
                      Federal Implementation Plans

93.150 Prohibition.
93.151 State implementation plan (SIP) revision.
93.152 Definitions.
93.153 Applicability.
93.154 Federal agency conformity responsibility.
93.155 Reporting requirements.
93.156 Public participation.
93.157 Reevaluation of conformity.
93.158 Criteria for determining conformity of general Federal actions.
93.159 Procedures for conformity determinations of general Federal 
          actions.
93.160 Mitigation of air quality impacts.
93.161 Conformity evaluation for Federal installations with facility-
          wide emission budgets.
93.162 Emissions beyond the time period covered by the SIP.
93.163 Timing of offsets and mitigation measures.
93.164 Inter-precursor mitigation measures and offsets.
93.165 Early emission reduction credit programs at Federal facilities 
          and installation subject to Federal oversight.

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

    Source: 58 FR 62235, Nov. 24, 1993, unless otherwise noted.



    Subpart A_Conformity to State or Federal Implementation Plans of 
   Transportation Plans, Programs, and Projects Developed, Funded or 
       Approved Under Title 23 U.S.C. or the Federal Transit Laws

    Source: 62 FR 43801, Aug. 15, 1997, unless otherwise noted.



Sec.  93.100  Purpose.

    The purpose of this subpart is to implement section 176(c) of the 
Clean Air Act (CAA), as amended (42 U.S.C. 7401 et seq.), and the 
related requirements of 23 U.S.C. 109(j), with respect to the conformity 
of transportation plans, programs, and projects which are developed, 
funded, or approved by the United States Department of Transportation 
(DOT), and by metropolitan planning organizations (MPOs) or other 
recipients of funds under title 23 U.S.C. or the Federal Transit Laws 
(49 U.S.C. Chapter 53). This subpart sets forth policy, criteria, and 
procedures for demonstrating and assuring conformity of such activities 
to an applicable implementation plan developed pursuant to section 110 
and Part D of the CAA.



Sec.  93.101  Definitions.

    Terms used but not defined in this subpart shall have the meaning 
given them by the CAA, titles 23 and 49 U.S.C., other Environmental 
Protection Agency (EPA) regulations, or other DOT regulations, in that 
order of priority.
    Applicable implementation plan is defined in section 302(q) of the 
CAA and means the portion (or portions) of the implementation plan, or 
most recent revision thereof, which has been approved under section 110, 
or promulgated under section 110(c), or promulgated or approved pursuant 
to regulations promulgated under section 301(d) and which implements the 
relevant requirements of the CAA.
    CAA means the Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
    Cause or contribute to a new violation for a project means:
    (1) To cause or contribute to a new violation of a standard in the 
area substantially affected by the project or over a region which would 
otherwise not be in violation of the standard during the future period 
in question, if the project were not implemented; or
    (2) To contribute to a new violation in a manner that would increase 
the frequency or severity of a new violation of a standard in such area.
    Clean data means air quality monitoring data determined by EPA to 
meet the applicable requirements of 40

[[Page 856]]

CFR Parts 50 and 58 and to indicate attainment of a NAAQS.
    Control strategy implementation plan revision is the implementation 
plan which contains specific strategies for controlling the emissions of 
and reducing ambient levels of pollutants in order to satisfy CAA 
requirements for demonstrations of reasonable further progress and 
attainment (including implementation plan revisions submitted to satisfy 
CAA sections 172(c), 182(b)(1), 182(c)(2)(A), 182(c)(2)(B), 187(a)(7), 
187(g), 189(a)(1)(B), 189(b)(1)(A), and 189(d); sections 192(a) and 
192(b), for nitrogen dioxide; and any other applicable CAA provision 
requiring a demonstration of reasonable further progress or attainment).
    Design concept means the type of facility identified by the project, 
e.g., freeway, expressway, arterial highway, grade-separated highway, 
reserved right-of-way rail transit, mixed-traffic rail transit, 
exclusive busway, etc.
    Design scope means the design aspects which will affect the proposed 
facility's impact on regional emissions, usually as they relate to 
vehicle or person carrying capacity and control, e.g., number of lanes 
or tracks to be constructed or added, length of project, signalization, 
access control including approximate number and location of 
interchanges, preferential treatment for high-occupancy vehicles, etc.
    DOT means the United States Department of Transportation.
    Donut areas are geographic areas outside a metropolitan planning 
area boundary, but inside the boundary of a nonattainment or maintenance 
area that contains any part of a metropolitan area(s). These areas are 
not isolated rural nonattainment and maintenance areas.
    EPA means the Environmental Protection Agency.
    FHWA means the Federal Highway Administration of DOT.
    FHWA/FTA project, for the purpose of this subpart, is any highway or 
transit project which is proposed to receive funding assistance and 
approval through the Federal-Aid Highway program or the Federal mass 
transit program, or requires Federal Highway Administration (FHWA) or 
Federal Transit Administration (FTA) approval for some aspect of the 
project, such as connection to an interstate highway or deviation from 
applicable design standards on the interstate system.
    Forecast period with respect to a transportation plan is the period 
covered by the transportation plan pursuant to 23 CFR part 450.
    FTA means the Federal Transit Administration of DOT.
    Highway project is an undertaking to implement or modify a highway 
facility or highway-related program. Such an undertaking consists of all 
required phases necessary for implementation. For analytical purposes, 
it must be defined sufficiently to:
    (1) Connect logical termini and be of sufficient length to address 
environmental matters on a broad scope;
    (2) Have independent utility or significance, i.e., be usable and be 
a reasonable expenditure even if no additional transportation 
improvements in the area are made; and
    (3) Not restrict consideration of alternatives for other reasonably 
foreseeable transportation improvements.
    Horizon year is a year for which the transportation plan describes 
the envisioned transportation system according to Sec.  93.106.
    Hot-spot analysis is an estimation of likely future localized CO, 
PM10, and/or PM2.5 pollutant concentrations and a 
comparison of those concentrations to the national ambient air quality 
standards. Hot-spot analysis assesses impacts on a scale smaller than 
the entire nonattainment or maintenance area, including, for example, 
congested roadway intersections and highways or transit terminals, and 
uses an air quality dispersion model to determine the effects of 
emissions on air quality.
    Increase the frequency or severity means to cause a location or 
region to exceed a standard more often or to cause a violation at a 
greater concentration than previously existed and/or would otherwise 
exist during the future period in question, if the project were not 
implemented.
    Isolated rural nonattainment and maintenance areas are areas that do 
not contain or are not part of any metropolitan planning area as 
designated under the transportation planning regulations. Isolated rural 
areas do not have

[[Page 857]]

Federally required metropolitan transportation plans or TIPs and do not 
have projects that are part of the emissions analysis of any MPO's 
metropolitan transportation plan or TIP. Projects in such areas are 
instead included in statewide transportation improvement programs. These 
areas are not donut areas.
    Lapse means that the conformity determination for a transportation 
plan or TIP has expired, and thus there is no currently conforming 
transportation plan and TIP.
    Limited maintenance plan is a maintenance plan that EPA has 
determined meets EPA's limited maintenance plan policy criteria for a 
given NAAQS and pollutant. To qualify for a limited maintenance plan, 
for example, an area must have a design value that is significantly 
below a given NAAQS, and it must be reasonable to expect that a NAAQS 
violation will not result from any level of future motor vehicle 
emissions growth.
    Maintenance area means any geographic region of the United States 
previously designated nonattainment pursuant to the CAA Amendments of 
1990 and subsequently redesignated to attainment subject to the 
requirement to develop a maintenance plan under section 175A of the CAA, 
as amended.
    Maintenance plan means an implementation plan under section 175A of 
the CAA, as amended.
    Metropolitan planning organization (MPO) means the policy board of 
an organization created as a result of the designation process in 23 
U.S.C. 134(d).
    Milestone has the meaning given in CAA sections 182(g)(1) and 189(c) 
for serious and above ozone nonattainment areas and PM10 
nonattainment areas, respectively. For all other nonattainment areas, a 
milestone consists of an emissions level and the date on which that 
level is to be achieved as required by the applicable CAA provision for 
reasonable further progress towards attainment.
    Motor vehicle emissions budget is that portion of the total 
allowable emissions defined in the submitted or approved control 
strategy implementation plan revision or maintenance plan for a certain 
date for the purpose of meeting reasonable further progress milestones 
or demonstrating attainment or maintenance of the NAAQS, for any 
criteria pollutant or its precursors, allocated to highway and transit 
vehicle use and emissions.
    National ambient air quality standards (NAAQS) are those standards 
established pursuant to section 109 of the CAA.
    NEPA means the National Environmental Policy Act of 1969, as amended 
(42 U.S.C. 4321 et seq.).
    NEPA process completion, for the purposes of this subpart, with 
respect to FHWA or FTA, means the point at which there is a specific 
action to make a determination that a project is categorically excluded, 
to make a Finding of No Significant Impact, or to issue a record of 
decision on a Final Environmental Impact Statement under NEPA.
    Nonattainment area means any geographic region of the United States 
which has been designated as nonattainment under section 107 of the CAA 
for any pollutant for which a national ambient air quality standard 
exists.
    Project means a highway project or transit project.
    Protective finding means a determination by EPA that a submitted 
control strategy implementation plan revision contains adopted control 
measures or written commitments to adopt enforceable control measures 
that fully satisfy the emissions reductions requirements relevant to the 
statutory provision for which the implementation plan revision was 
submitted, such as reasonable further progress or attainment.
    Recipient of funds designated under title 23 U.S.C. or the Federal 
Transit Laws means any agency at any level of State, county, city, or 
regional government that routinely receives title 23 U.S.C. or Federal 
Transit Laws funds to construct FHWA/FTA projects, operate FHWA/FTA 
projects or equipment, purchase equipment, or undertake other services 
or operations via contracts or agreements. This definition does not 
include private landowners or developers, or contractors or entities 
that are only paid for services or products created by their own 
employees.
    Regionally significant project means a transportation project (other 
than an

[[Page 858]]

exempt project) that is on a facility which serves regional 
transportation needs (such as access to and from the area outside of the 
region, major activity centers in the region, major planned developments 
such as new retail malls, sports complexes, etc., or transportation 
terminals as well as most terminals themselves) and would normally be 
included in the modeling of a metropolitan area's transportation 
network, including at a minimum all principal arterial highways and all 
fixed guideway transit facilities that offer an alternative to regional 
highway travel.
    Safety margin means the amount by which the total projected 
emissions from all sources of a given pollutant are less than the total 
emissions that would satisfy the applicable requirement for reasonable 
further progress, attainment, or maintenance.
    Standard means a national ambient air quality standard.
    Transit is mass transportation by bus, rail, or other conveyance 
which provides general or special service to the public on a regular and 
continuing basis. It does not include school buses or charter or 
sightseeing services.
    Transit project is an undertaking to implement or modify a transit 
facility or transit-related program; purchase transit vehicles or 
equipment; or provide financial assistance for transit operations. It 
does not include actions that are solely within the jurisdiction of 
local transit agencies, such as changes in routes, schedules, or fares. 
It may consist of several phases. For analytical purposes, it must be 
defined inclusively enough to:
    (1) Connect logical termini and be of sufficient length to address 
environmental matters on a broad scope;
    (2) Have independent utility or independent significance, i.e., be a 
reasonable expenditure even if no additional transportation improvements 
in the area are made; and
    (3) Not restrict consideration of alternatives for other reasonably 
foreseeable transportation improvements.
    Transportation control measure (TCM) is any measure that is 
specifically identified and committed to in the applicable 
implementation plan, including a substitute or additional TCM that is 
incorporated into the applicable SIP through the process established in 
CAA section 176(c)(8), that is either one of the types listed in CAA 
section 108, or any other measure for the purpose of reducing emissions 
or concentrations of air pollutants from transportation sources by 
reducing vehicle use or changing traffic flow or congestion conditions. 
Notwithstanding the first sentence of this definition, vehicle 
technology-based, fuel-based, and maintenance-based measures which 
control the emissions from vehicles under fixed traffic conditions are 
not TCMs for the purposes of this subpart.
    Transportation improvement program (TIP) means a transportation 
improvement program developed by a metropolitan planning organization 
under 23 U.S.C. 134(j).
    Transportation plan means the official intermodal metropolitan 
transportation plan that is developed through the metropolitan planning 
process for the metropolitan planning area, developed pursuant to 23 CFR 
part 450.
    Transportation project is a highway project or a transit project.
    Written commitment for the purposes of this subpart means a written 
commitment that includes a description of the action to be taken; a 
schedule for the completion of the action; a demonstration that funding 
necessary to implement the action has been authorized by the 
appropriating or authorizing body; and an acknowledgment that the 
commitment is an enforceable obligation under the applicable 
implementation plan.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40072, July 1, 2004; 71 
FR 12510, Mar. 10, 2006; 73 FR 4439, Jan. 24, 2008; 75 FR 14283, Mar. 
24, 2010; 77 FR 14986, Mar. 14, 2012]



Sec.  93.102  Applicability.

    (a) Action applicability. (1) Except as provided for in paragraph 
(c) of this section or Sec.  93.126, conformity determinations are 
required for:
    (i) The adoption, acceptance, approval or support of transportation 
plans and transportation plan amendments developed pursuant to 23 CFR 
part 450 or 49 CFR part 613 by an MPO or DOT;
    (ii) The adoption, acceptance, approval or support of TIPs and TIP

[[Page 859]]

amendments developed pursuant to 23 CFR part 450 or 49 CFR part 613 by 
an MPO or DOT; and
    (iii) The approval, funding, or implementation of FHWA/FTA projects.
    (2) Conformity determinations are not required under this subpart 
for individual projects which are not FHWA/FTA projects. However, Sec.  
93.121 applies to such projects if they are regionally significant.
    (b) Geographic applicability. The provisions of this subpart shall 
apply in all nonattainment and maintenance areas for transportation-
related criteria pollutants for which the area is designated 
nonattainment or has a maintenance plan.
    (1) The provisions of this subpart apply with respect to emissions 
of the following criteria pollutants: ozone, carbon monoxide (CO), 
nitrogen dioxide (NO2), particles with an aerodynamic 
diameter less than or equal to a nominal 10 micrometers 
(PM10); and particles with an aerodynamic diameter less than 
or equal to a nominal 2.5 micrometers (PM2.5).
    (2) The provisions of this subpart also apply with respect to 
emissions of the following precursor pollutants:
    (i) Volatile organic compounds (VOC) and nitrogen oxides 
(NOX) in ozone areas;
    (ii) NOX in NO2 areas;
    (iii) VOC and/or NOX in PM10 areas if the EPA 
Regional Administrator or the director of the State air agency has made 
a finding that transportation-related emissions of one or both of these 
precursors within the nonattainment area are a significant contributor 
to the PM10 nonattainment problem and has so notified the MPO 
and DOT, or if the applicable implementation plan (or implementation 
plan submission) establishes an approved (or adequate) budget for such 
emissions as part of the reasonable further progress, attainment or 
maintenance strategy;
    (iv) NOX in PM2.5 areas, unless both the EPA 
Regional Administrator and the director of the state air agency have 
made a finding that transportation-related emissions of NOX 
within the nonattainment area are not a significant contributor to the 
PM2.5 nonattainment problem and has so notified the MPO and 
DOT, or the applicable implementation plan (or implementation plan 
submission) does not establish an approved (or adequate) budget for such 
emissions as part of the reasonable further progress, attainment or 
maintenance strategy; and
    (v) VOC, sulfur dioxide (SO2) and/or ammonia (NH3) in 
PM2.5 areas either if the EPA Regional Administrator or the 
director of the state air agency has made a finding that transportation-
related emissions of any of these precursors within the nonattainment 
area are a significant contributor to the PM2.5 nonattainment 
problem and has so notified the MPO and DOT, or if the applicable 
implementation plan (or implementation plan submission) establishes an 
approved (or adequate) budget for such emissions as part of the 
reasonable further progress, attainment or maintenance strategy.
    (3) The provisions of this subpart apply to PM2.5 
nonattainment and maintenance areas with respect to PM2.5 
from re-entrained road dust if the EPA Regional Administrator or the 
director of the State air agency has made a finding that re-entrained 
road dust emissions within the area are a significant contributor to the 
PM2.5 nonattainment problem and has so notified the MPO and 
DOT, or if the applicable implementation plan (or implementation plan 
submission) includes re-entrained road dust in the approved (or 
adequate) budget as part of the reasonable further progress, attainment 
or maintenance strategy. Re-entrained road dust emissions are produced 
by travel on paved and unpaved roads (including emissions from anti-skid 
and deicing materials).
    (4) The provisions of this subpart apply to maintenance areas 
through the last year of a maintenance area's approved CAA section 
175A(b) maintenance plan, unless the applicable implementation plan 
specifies that the provisions of this subpart shall apply for more than 
20 years.
    (c) Limitations. In order to receive any FHWA/FTA approval or 
funding actions, including NEPA approvals, for a project phase subject 
to this subpart, a currently conforming transportation plan and TIP must 
be in place at the time of project approval as described in Sec.  
93.114, except as provided by Sec.  93.114(b).

[[Page 860]]

    (d) Grace period for new nonattainment areas. For areas or portions 
of areas which have been continuously designated attainment or not 
designated for any NAAQS for ozone, CO, PM10, 
PM2.5 or NO2 since 1990 and are subsequently 
redesignated to nonattainment or designated nonattainment for any NAAQS 
for any of these pollutants, the provisions of this subpart shall not 
apply with respect to that NAAQS for 12 months following the effective 
date of final designation to nonattainment for each NAAQS for such 
pollutant.

[62 FR 43801, Aug. 15, 1997, as amended at 65 FR 18918, Apr. 10, 2000; 
67 FR 50817, Aug. 6, 2002; 69 FR 40072, July 1, 2004; 70 FR 24291, May 
6, 2005; 73 FR 4439, Jan. 24, 2008]



Sec.  93.103  Priority.

    When assisting or approving any action with air quality-related 
consequences, FHWA and FTA shall give priority to the implementation of 
those transportation portions of an applicable implementation plan 
prepared to attain and maintain the NAAQS. This priority shall be 
consistent with statutory requirements for allocation of funds among 
States or other jurisdictions.



Sec.  93.104  Frequency of conformity determinations.

    (a) Conformity determinations and conformity redeterminations for 
transportation plans, TIPs, and FHWA/FTA projects must be made according 
to the requirements of this section and the applicable implementation 
plan.
    (b) Frequency of conformity determinations for transportation plans. 
(1) Each new transportation plan must be demonstrated to conform before 
the transportation plan is approved by the MPO or accepted by DOT.
    (2) All transportation plan amendments must be found to conform 
before the transportation plan amendments are approved by the MPO or 
accepted by DOT, unless the amendment merely adds or deletes exempt 
projects listed in Sec.  93.126 or Sec.  93.127. The conformity 
determination must be based on the transportation plan and the amendment 
taken as a whole.
    (3) The MPO and DOT must determine the conformity of the 
transportation plan (including a new regional emissions analysis) no 
less frequently than every four years. If more than four years elapse 
after DOT's conformity determination without the MPO and DOT determining 
conformity of the transportation plan, a 12-month grace period will be 
implemented as described in paragraph (f) of this section. At the end of 
this 12-month grace period, the existing conformity determination will 
lapse.
    (c) Frequency of conformity determinations for transportation 
improvement programs. (1) A new TIP must be demonstrated to conform 
before the TIP is approved by the MPO or accepted by DOT.
    (2) A TIP amendment requires a new conformity determination for the 
entire TIP before the amendment is approved by the MPO or accepted by 
DOT, unless the amendment merely adds or deletes exempt projects listed 
in Sec.  93.126 or Sec.  93.127.
    (3) The MPO and DOT must determine the conformity of the TIP 
(including a new regional emissions analysis) no less frequently than 
every four years. If more than four years elapse after DOT's conformity 
determination without the MPO and DOT determining conformity of the TIP, 
a 12-month grace period will be implemented as described in paragraph 
(f) of this section. At the end of this 12-month grace period, the 
existing conformity determination will lapse.
    (d) Projects. FHWA/FTA projects must be found to conform before they 
are adopted, accepted, approved, or funded. Conformity must be 
redetermined for any FHWA/FTA project if one of the following occurs: a 
significant change in the project's design concept and scope; three 
years elapse since the most recent major step to advance the project; or 
initiation of a supplemental environmental document for air quality 
purposes. Major steps include NEPA process completion; start of final 
design; acquisition of a significant portion of the right-of-way; and, 
construction (including Federal approval of plans, specifications and 
estimates).
    (e) Triggers for transportation plan and TIP conformity 
determinations. Conformity of existing transportation plans and TIPs 
must be redetermined

[[Page 861]]

within two years of the following, or after a 12-month grace period (as 
described in paragraph (f) of this section) the existing conformity 
determination will lapse, and no new project-level conformity 
determinations may be made until conformity of the transportation plan 
and TIP has been determined by the MPO and DOT:
    (1) The effective date of EPA's finding that motor vehicle emissions 
budgets from an initially submitted control strategy implementation plan 
or maintenance plan are adequate pursuant to Sec.  93.118(e) and can be 
used for transportation conformity purposes;
    (2) The effective date of EPA approval of a control strategy 
implementation plan revision or maintenance plan which establishes or 
revises a motor vehicle emissions budget if that budget has not yet been 
used in a conformity determination prior to approval; and
    (3) The effective date of EPA promulgation of an implementation plan 
which establishes or revises a motor vehicle emissions budget.
    (f) Lapse grace period. During the 12-month grace period referenced 
in paragraphs (b)(3), (c)(3), and (e) of this section, a project may be 
found to conform according to the requirements of this part if:
    (1) The project is included in the currently conforming 
transportation plan and TIP (or regional emissions analysis); or
    (2) the project is included in the most recent conforming 
transportation plan and TIP (or regional emissions analysis).

[62 FR 43801, Aug. 15, 1997, as amended at 67 FR 50817, Aug. 6, 2002; 69 
FR 40072, July 1, 2004; 73 FR 4439, Jan. 24, 2008]



Sec.  93.105  Consultation.

    (a) General. The implementation plan revision required under Sec.  
51.390 of this chapter shall include procedures for interagency 
consultation (Federal, State, and local), resolution of conflicts, and 
public consultation as described in paragraphs (a) through (e) of this 
section. Public consultation procedures will be developed in accordance 
with the requirements for public involvement in 23 CFR part 450.
    (1) The implementation plan revision shall include procedures to be 
undertaken by MPOs, State departments of transportation, and DOT with 
State and local air quality agencies and EPA before making conformity 
determinations, and by State and local air agencies and EPA with MPOs, 
State departments of transportation, and DOT in developing applicable 
implementation plans.
    (2) Before EPA approves the conformity implementation plan revision 
required by Sec.  51.390 of this chapter, MPOs and State departments of 
transportation must provide reasonable opportunity for consultation with 
State air agencies, local air quality and transportation agencies, DOT, 
and EPA, including consultation on the issues described in paragraph 
(c)(1) of this section, before making conformity determinations.
    (b) Interagency consultation procedures: General factors. (1) States 
shall provide well-defined consultation procedures in the implementation 
plan whereby representatives of the MPOs, State and local air quality 
planning agencies, State and local transportation agencies, and other 
organizations with responsibilities for developing, submitting, or 
implementing provisions of an implementation plan required by the CAA 
must consult with each other and with local or regional offices of EPA, 
FHWA, and FTA on the development of the implementation plan, the 
transportation plan, the TIP, and associated conformity determinations.
    (2) Interagency consultation procedures shall include at a minimum 
the following general factors and the specific processes in paragraph 
(c) of this section:
    (i) The roles and responsibilities assigned to each agency at each 
stage in the implementation plan development process and the 
transportation planning process, including technical meetings;
    (ii) The organizational level of regular consultation;
    (iii) A process for circulating (or providing ready access to) draft 
documents and supporting materials for comment before formal adoption or 
publication;

[[Page 862]]

    (iv) The frequency of, or process for convening, consultation 
meetings and responsibilities for establishing meeting agendas;
    (v) A process for responding to the significant comments of involved 
agencies; and
    (vi) A process for the development of a list of the TCMs which are 
in the applicable implementation plan.
    (c) Interagency consultation procedures: Specific processes. 
Interagency consultation procedures shall also include the following 
specific processes:
    (1) A process involving the MPO, State and local air quality 
planning agencies, State and local transportation agencies, EPA, and DOT 
for the following:
    (i) Evaluating and choosing a model (or models) and associated 
methods and assumptions to be used in hot-spot analyses and regional 
emissions analyses;
    (ii) Determining which minor arterials and other transportation 
projects should be considered ``regionally significant'' for the 
purposes of regional emissions analysis (in addition to those 
functionally classified as principal arterial or higher or fixed 
guideway systems or extensions that offer an alternative to regional 
highway travel), and which projects should be considered to have a 
significant change in design concept and scope from the transportation 
plan or TIP;
    (iii) Evaluating whether projects otherwise exempted from meeting 
the requirements of this subpart (see Sec. Sec.  93.126 and 93.127) 
should be treated as non-exempt in cases where potential adverse 
emissions impacts may exist for any reason;
    (iv) Making a determination, as required by Sec.  93.113(c)(1), 
whether past obstacles to implementation of TCMs which are behind the 
schedule established in the applicable implementation plan have been 
identified and are being overcome, and whether State and local agencies 
with influence over approvals or funding for TCMs are giving maximum 
priority to approval or funding for TCMs. This process shall also 
consider whether delays in TCM implementation necessitate revisions to 
the applicable implementation plan to remove TCMs or substitute TCMs or 
other emission reduction measures;
    (v) Notification of transportation plan or TIP amendments which 
merely add or delete exempt projects listed in Sec.  93.126 or Sec.  
93.127; and
    (vi) Choosing conformity tests and methodologies for isolated rural 
nonattainment and maintenance areas, as required by Sec.  
93.109(g)(2)(iii).
    (2) A process involving the MPO and State and local air quality 
planning agencies and transportation agencies for the following:
    (i) Evaluating events which will trigger new conformity 
determinations in addition to those triggering events established in 
Sec.  93.104; and
    (ii) Consulting on emissions analysis for transportation activities 
which cross the borders of MPOs or nonattainment areas or air basins.
    (3) Where the metropolitan planning area does not include the entire 
nonattainment or maintenance area, a process involving the MPO and the 
State department of transportation for cooperative planning and analysis 
for purposes of determining conformity of all projects outside the 
metropolitan area and within the nonattainment or maintenance area.
    (4) A process to ensure that plans for construction of regionally 
significant projects which are not FHWA/FTA projects (including projects 
for which alternative locations, design concept and scope, or the no-
build option are still being considered), including those by recipients 
of funds designated under title 23 U.S.C. or the Federal Transit Laws, 
are disclosed to the MPO on a regular basis, and to ensure that any 
changes to those plans are immediately disclosed.
    (5) A process involving the MPO and other recipients of funds 
designated under title 23 U.S.C. or the Federal Transit Laws for 
assuming the location and design concept and scope of projects which are 
disclosed to the MPO as required by paragraph (c)(4) of this section but 
whose sponsors have not yet decided these features, in sufficient detail 
to perform the regional emissions analysis according to the requirements 
of Sec.  93.122.
    (6) A process for consulting on the design, schedule, and funding of 
research

[[Page 863]]

and data collection efforts and regional transportation model 
development by the MPO (e.g., household/ travel transportation surveys).
    (7) A process for providing final documents (including applicable 
implementation plans and implementation plan revisions) and supporting 
information to each agency after approval or adoption. This process is 
applicable to all agencies described in paragraph (a)(1) of this 
section, including Federal agencies.
    (d) Resolving conflicts. Conflicts among State agencies or between 
State agencies and an MPO shall be escalated to the Governor if they 
cannot be resolved by the heads of the involved agencies. The State air 
agency has 14 calendar days to appeal to the Governor after the State 
DOT or MPO has notified the State air agency head of the resolution of 
his or her comments. The implementation plan revision required by Sec.  
51.390 of this chapter shall define the procedures for starting the 14-
day clock. If the State air agency appeals to the Governor, the final 
conformity determination must have the concurrence of the Governor. If 
the State air agency does not appeal to the Governor within 14 days, the 
MPO or State department of transportation may proceed with the final 
conformity determination. The Governor may delegate his or her role in 
this process, but not to the head or staff of the State or local air 
agency, State department of transportation, State transportation 
commission or board, or an MPO.
    (e) Public consultation procedures. Affected agencies making 
conformity determinations on transportation plans, programs, and 
projects shall establish a proactive public involvement process which 
provides opportunity for public review and comment by, at a minimum, 
providing reasonable public access to technical and policy information 
considered by the agency at the beginning of the public comment period 
and prior to taking formal action on a conformity determination for all 
transportation plans and TIPs, consistent with these requirements and 
those of 23 CFR 450.316(a). Any charges imposed for public inspection 
and copying should be consistent with the fee schedule contained in 49 
CFR 7.43. In addition, these agencies must specifically address in 
writing all public comments that known plans for a regionally 
significant project which is not receiving FHWA or FTA funding or 
approval have not been properly reflected in the emissions analysis 
supporting a proposed conformity finding for a transportation plan or 
TIP. These agencies shall also provide opportunity for public 
involvement in conformity determinations for projects where otherwise 
required by law.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40073, July 1, 2004; 70 
FR 24291, May 6, 2005; 71 FR 12510, Mar. 10, 2006; 73 FR 4439, Jan. 24, 
2008; 75 FR 14284, Mar. 24, 2010; 77 FR 14986, Mar. 14, 2012]



Sec.  93.106  Content of transportation plans and timeframe of conformity
determinations.

    (a) Transportation plans adopted after January 1, 1997 in serious, 
severe, or extreme ozone nonattainment areas and in serious CO 
nonattainment areas. If the metropolitan planning area contains an 
urbanized area population greater than 200,000, the transportation plan 
must specifically describe the transportation system envisioned for 
certain future years which shall be called horizon years.
    (1) The agency or organization developing the transportation plan 
may choose any years to be horizon years, subject to the following 
restrictions:
    (i) Horizon years may be no more than 10 years apart;
    (ii) The first horizon year may be no more than 10 years from the 
base year used to validate the transportation demand planning model;
    (iii) The attainment year must be a horizon year if it is in the 
timeframe of the transportation plan and conformity determination;
    (iv) The last year of the transportation plan's forecast period must 
be a horizon year; and
    (v) If the timeframe of the conformity determination has been 
shortened under paragraph (d) of this section, the last year of the 
timeframe of the conformity determination must be a horizon year.
    (2) For these horizon years:

[[Page 864]]

    (i) The transportation plan shall quantify and document the 
demographic and employment factors influencing expected transportation 
demand, including land use forecasts, in accordance with implementation 
plan provisions and the consultation requirements specified by Sec.  
93.105;
    (ii) The highway and transit system shall be described in terms of 
the regionally significant additions or modifications to the existing 
transportation network which the transportation plan envisions to be 
operational in the horizon years. Additions and modifications to the 
highway network shall be sufficiently identified to indicate 
intersections with existing regionally significant facilities, and to 
determine their effect on route options between transportation analysis 
zones. Each added or modified highway segment shall also be sufficiently 
identified in terms of its design concept and design scope to allow 
modeling of travel times under various traffic volumes, consistent with 
the modeling methods for area-wide transportation analysis in use by the 
MPO. Transit facilities, equipment, and services envisioned for the 
future shall be identified in terms of design concept, design scope, and 
operating policies that are sufficient for modeling of their transit 
ridership. Additions and modifications to the transportation network 
shall be described sufficiently to show that there is a reasonable 
relationship between expected land use and the envisioned transportation 
system; and
    (iii) Other future transportation policies, requirements, services, 
and activities, including intermodal activities, shall be described.
    (b) Two-year grace period for transportation plan requirements in 
certain ozone and CO areas. The requirements of paragraph (a) of this 
section apply to such areas or portions of such areas that have 
previously not been required to meet these requirements for any existing 
NAAQS two years from the following:
    (1) The effective date of EPA's reclassification of an ozone or CO 
nonattainment area that has an urbanized area population greater than 
200,000 to serious or above;
    (2) The official notice by the Census Bureau that determines the 
urbanized area population of a serious or above ozone or CO 
nonattainment area to be greater than 200,000; or,
    (3) The effective date of EPA's action that classifies a newly 
designated ozone or CO nonattainment area that has an urbanized area 
population greater than 200,000 as serious or above.
    (c) Transportation plans for other areas. Transportation plans for 
other areas must meet the requirements of paragraph (a) of this section 
at least to the extent it has been the previous practice of the MPO to 
prepare plans which meet those requirements. Otherwise, the 
transportation system envisioned for the future must be sufficiently 
described within the transportation plans so that a conformity 
determination can be made according to the criteria and procedures of 
Sec. Sec.  93.109 through 93.119.
    (d) Timeframe of conformity determination. (1) Unless an election is 
made under paragraph (d)(2) or (d)(3) of this section, the timeframe of 
the conformity determination must be through the last year of the 
transportation plan's forecast period.
    (2) For areas that do not have an adequate or approved CAA section 
175A(b) maintenance plan, the MPO may elect to shorten the timeframe of 
the transportation plan and TIP conformity determination, after 
consultation with state and local air quality agencies, solicitation of 
public comments, and consideration of such comments.
    (i) The shortened timeframe of the conformity determination must 
extend at least to the latest of the following years:
    (A) The tenth year of the transportation plan;
    (B) The latest year for which an adequate or approved motor vehicle 
emissions budget(s) is established in the submitted or applicable 
implementation plan; or
    (C) The year after the completion date of a regionally significant 
project if the project is included in the TIP or the project requires 
approval before the subsequent conformity determination.
    (ii) The conformity determination must be accompanied by a regional 
emissions analysis (for informational

[[Page 865]]

purposes only) for the last year of the transportation plan and for any 
year shown to exceed motor vehicle emissions budgets in a prior regional 
emissions analysis, if such a year extends beyond the timeframe of the 
conformity determination.
    (3) For areas that have an adequate or approved CAA section 175A(b) 
maintenance plan, the MPO may elect to shorten the timeframe of the 
conformity determination to extend through the last year of such 
maintenance plan after consultation with state and local air quality 
agencies, solicitation of public comments, and consideration of such 
comments.
    (4) Any election made by an MPO under paragraphs (d)(2) or (d)(3) of 
this section shall continue in effect until the MPO elects otherwise, 
after consultation with state and local air quality agencies, 
solicitation of public comments, and consideration of such comments.
    (e) Savings. The requirements of this section supplement other 
requirements of applicable law or regulation governing the format or 
content of transportation plans.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40073, July 1, 2004; 73 
FR 4439, Jan. 24, 2008]



Sec.  93.107  Relationship of transportation plan and TIP conformity with
the NEPA process.

    The degree of specificity required in the transportation plan and 
the specific travel network assumed for air quality modeling do not 
preclude the consideration of alternatives in the NEPA process or other 
project development studies. Should the NEPA process result in a project 
with design concept and scope significantly different from that in the 
transportation plan or TIP, the project must meet the criteria in 
Sec. Sec.  93.109 through 93.119 for projects not from a TIP before NEPA 
process completion.



Sec.  93.108  Fiscal constraints for transportation plans and TIPs.

    Transportation plans and TIPs must be fiscally constrained 
consistent with DOT's metropolitan planning regulations at 23 CFR part 
450 in order to be found in conformity.



Sec.  93.109  Criteria and procedures for determining conformity of 
transportation plans, programs, and projects: General.

    (a) In order for each transportation plan, program, and FHWA/FTA 
project to be found to conform, the MPO and DOT must demonstrate that 
the applicable criteria and procedures in this subpart are satisfied, 
and the MPO and DOT must comply with all applicable conformity 
requirements of implementation plans and of court orders for the area 
which pertain specifically to conformity. The criteria for making 
conformity determinations differ based on the action under review 
(transportation plans, TIPs, and FHWA/FTA projects), the relevant 
pollutant(s), and the status of the implementation plan.
    (b) Table 1 in this paragraph indicates the criteria and procedures 
in Sec. Sec.  93.110 through 93.119 which apply for transportation 
plans, TIPs, and FHWA/FTA projects. Paragraph (c) of this section 
explains when the budget and interim emissions tests are required for 
each pollutant and NAAQS. Paragraph (d) of this section explains when a 
hot-spot test is required. Paragraph (e) of this section addresses 
conformity requirements for areas with approved or adequate limited 
maintenance plans. Paragraph (f) of this section addresses nonattainment 
and maintenance areas which EPA has determined have insignificant motor 
vehicle emissions. Paragraph (g) of this section addresses isolated 
rural nonattainment and maintenance areas. Table 1 follows:

                      Table 1--Conformity Criteria
------------------------------------------------------------------------
 
------------------------------------------------------------------------
All Actions at all times:
  Sec.   93.110                          Latest planning assumptions
  Sec.   93.111                          Latest emissions model
  Sec.   93.112                          Consultation
Transportation Plan:
  Sec.   93.113(b)                       TCMs
  Sec.   93.118 or Sec.   93.119         Emissions budget and/or Interim
                                          emissions
TIP:
  Sec.   93.113(c)                       TCMs
  Sec.   93.118 or Sec.   93.119         Emissions budget and/or Interim
                                          emissions
Project (From a Conforming Plan and
 TIP):
  Sec.   93.114                          Currently conforming plan and
                                          TIP
  Sec.   93.115                          Project from a conforming plan
                                          and TIP
  Sec.   93.116                          CO, PM10, and PM2.5 hot-spots.
  Sec.   93.117                          PM10 and PM2.5 control measures

[[Page 866]]

 
Project (Not From a Conforming Plan and
 TIP):
  Sec.   93.113(d)                       TCMs
  Sec.   93.114                          Currently conforming plan and
                                          TIP
  Sec.   93.116                          CO, PM10, and PM2.5 hot-spots.
  Sec.   93.117                          PM10 and PM2.5 control measures
  Sec.   93.118 and/or Sec.   93.119     Emissions budget and/or Interim
                                          emissions
------------------------------------------------------------------------

    (c) Regional conformity test requirements for all nonattainment and 
maintenance areas. This provision applies one year after the effective 
date of EPA's nonattainment designation for a NAAQS in accordance with 
Sec.  93.102(d) and until the effective date of revocation of such NAAQS 
for an area. In addition to the criteria listed in Table 1 in paragraph 
(b) of this section that are required to be satisfied at all times, in 
such nonattainment and maintenance areas conformity determinations must 
include a demonstration that the budget and/or interim emissions tests 
are satisfied as described in the following:
    (1) In all nonattainment and maintenance areas for a NAAQS, the 
budget test must be satisfied as required by Sec.  93.118 for conformity 
determinations for such NAAQS made on or after:
    (i) The effective date of EPA's finding that a motor vehicle 
emissions budget in a submitted control strategy implementation plan 
revision or maintenance plan for such NAAQS is adequate for 
transportation conformity purposes;
    (ii) The publication date of EPA's approval of such a budget in the 
Federal Register; or
    (iii) The effective date of EPA's approval of such a budget in the 
Federal Register, if such approval is completed through direct final 
rulemaking.
    (2) Prior to paragraph (c)(1) of this section applying for a NAAQS, 
in a nonattainment area that has approved or adequate motor vehicle 
emissions budgets in an applicable implementation plan or implementation 
plan submission for another NAAQS of the same pollutant, the following 
tests must be satisfied:
    (i) If the nonattainment area covers the same geographic area as 
another NAAQS of the same pollutant, the budget test as required by 
Sec.  93.118 using the approved or adequate motor vehicle emissions 
budgets for that other NAAQS;
    (ii) If the nonattainment area covers a smaller geographic area 
within an area for another NAAQS of the same pollutant, the budget test 
as required by Sec.  93.118 for either:
    (A) The nonattainment area, using corresponding portion(s) of the 
approved or adequate motor vehicle emissions budgets for that other 
NAAQS, where such portion(s) can reasonably be identified through the 
interagency consultation process required by Sec.  93.105; or
    (B) The area designated nonattainment for that other NAAQS, using 
the approved or adequate motor vehicle emissions budgets for that other 
NAAQS. If additional emissions reductions are necessary to meet the 
budget test for the nonattainment area for a NAAQS in such cases, these 
emissions reductions must come from within such nonattainment area;
    (iii) If the nonattainment area covers a larger geographic area and 
encompasses an entire area for another NAAQS of the same pollutant, then 
either (A) or (B) must be met:
    (A)(1) The budget test as required by Sec.  93.118 for the portion 
of the nonattainment area covered by the approved or adequate motor 
vehicle emissions budgets for that other NAAQS; and
    (2) the interim emissions tests as required by Sec.  93.119 for one 
of the following areas: the portion of the nonattainment area not 
covered by the approved or adequate budgets for that other NAAQS; the 
entire nonattainment area; or the entire portion of the nonattainment 
area within an individual state, in the case where separate adequate or 
approved motor vehicle emissions budgets for that other NAAQS are 
established for each state of a multi-state nonattainment or maintenance 
area.
    (B) The budget test as required by Sec.  93.118 for the entire 
nonattainment area using the approved or adequate motor vehicle 
emissions budgets for that other NAAQS.
    (iv) If the nonattainment area partially covers an area for another 
NAAQS of the same pollutant:

[[Page 867]]

    (A) The budget test as required by Sec.  93.118 for the portion of 
the nonattainment area covered by the corresponding portion of the 
approved or adequate motor vehicle emissions budgets for that other 
NAAQS, where they can be reasonably identified through the interagency 
consultation process required by Sec.  93.105; and
    (B) The interim emissions tests as required by Sec.  93.119, when 
applicable, for either: the portion of the nonattainment area not 
covered by the approved or adequate budgets for that other NAAQS; the 
entire nonattainment area; or the entire portion of the nonattainment 
area within an individual state, in the case where separate adequate or 
approved motor vehicle emissions budgets for that other NAAQS are 
established for each state of a multi-state nonattainment or maintenance 
area.
    (3) In a nonattainment area, the interim emissions tests required by 
Sec.  93.119 must be satisfied for a NAAQS if neither paragraph (c)(1) 
nor paragraph (c)(2) of this section applies for such NAAQS.
    (4) An ozone nonattainment area must satisfy the interim emissions 
test for NOX, as required by Sec.  93.119, if the 
implementation plan or plan submission that is applicable for the 
purposes of conformity determinations is a 15% plan or other control 
strategy SIP that does not include a motor vehicle emissions budget for 
NOX. The implementation plan for an ozone NAAQS will be 
considered to establish a motor vehicle emissions budget for 
NOX if the implementation plan or plan submission contains an 
explicit NOX motor vehicle emissions budget that is intended 
to act as a ceiling on future NOX emissions, and the 
NOX motor vehicle emissions budget is a net reduction from 
NOX emissions levels in the SIP's baseline year.
    (5) Notwithstanding paragraphs (c)(1), (c)(2), and (c)(3) of this 
section, nonattainment areas with clean data for a NAAQS that have not 
submitted a maintenance plan and that EPA has determined are not subject 
to the Clean Air Act reasonable further progress and attainment 
demonstration requirements for that NAAQS must satisfy one of the 
following requirements:
    (i) The budget test and/or interim emissions tests as required by 
Sec. Sec.  93.118 and 93.119 as described in paragraphs (c)(2) and 
(c)(3) of this section;
    (ii) The budget test as required by Sec.  93.118, using the adequate 
or approved motor vehicle emissions budgets in the submitted or 
applicable control strategy implementation plan for the NAAQS for which 
the area is designated nonattainment (subject to the timing requirements 
of paragraph (c)(1) of this section); or
    (iii) The budget test as required by Sec.  93.118, using the motor 
vehicle emissions in the most recent year of attainment as motor vehicle 
emissions budgets, if the state or local air quality agency requests 
that the motor vehicle emissions in the most recent year of attainment 
be used as budgets, and EPA approves the request in the rulemaking that 
determines that the area has attained the NAAQS for which the area is 
designated nonattainment.
    (6) For the PM10 NAAQS only, the interim emissions tests 
must be satisfied as required by Sec.  93.119 for conformity 
determinations made if the submitted implementation plan revision for a 
PM10 nonattainment area is a demonstration of 
impracticability under CAA Section 189(a)(1)(B)(ii) and does not 
demonstrate attainment.
    (d) Hot-spot conformity test requirements for CO, PM2.5, and PM10 
nonattainment and maintenance areas. This provision applies in 
accordance with Sec.  93.102(d) for a NAAQS and until the effective date 
of any revocation of such NAAQS for an area. In addition to the criteria 
listed in Table 1 in paragraph (b) of this section that are required to 
be satisfied at all times, project-level conformity determinations in 
CO, PM10, and PM2.5 nonattainment and maintenance 
areas must include a demonstration that the hot-spot tests for the 
applicable NAAQS are satisfied as described in the following:
    (1) FHWA/FTA projects in CO nonattainment or maintenance areas must 
satisfy the hot-spot test required by Sec.  93.116(a) at all times. 
Until a CO attainment demonstration or maintenance plan is approved by 
EPA, FHWA/

[[Page 868]]

FTA projects must also satisfy the hot-spot test required by Sec.  
93.116(b).
    (2) FHWA/FTA projects in PM10 nonattainment or 
maintenance areas must satisfy the appropriate hot-spot test as required 
by Sec.  93.116(a).
    (3) FHWA/FTA projects in PM2.5 nonattainment or 
maintenance areas must satisfy the appropriate hot-spot test required by 
Sec.  93.116(a).
    (e) Areas with limited maintenance plans. Notwithstanding the other 
paragraphs of this section, an area is not required to satisfy the 
regional emissions analysis for Sec.  93.118 and/or Sec.  93.119 for a 
given pollutant and NAAQS, if the area has an adequate or approved 
limited maintenance plan for such pollutant and NAAQS. A limited 
maintenance plan would have to demonstrate that it would be unreasonable 
to expect that such an area would experience enough motor vehicle 
emissions growth for a NAAQS violation to occur. A conformity 
determination that meets other applicable criteria in Table 1 of 
paragraph (b) of this section is still required, including the hot-spot 
requirements for projects in CO, PM10, and PM2.5 
areas.
    (f) Areas with insignificant motor vehicle emissions. 
Notwithstanding the other paragraphs in this section, an area is not 
required to satisfy a regional emissions analysis for Sec.  93.118 and/
or Sec.  93.119 for a given pollutant/precursor and NAAQS, if EPA finds 
through the adequacy or approval process that a SIP demonstrates that 
regional motor vehicle emissions are an insignificant contributor to the 
air quality problem for that pollutant/precursor and NAAQS. The SIP 
would have to demonstrate that it would be unreasonable to expect that 
such an area would experience enough motor vehicle emissions growth in 
that pollutant/precursor for a NAAQS violation to occur. Such a finding 
would be based on a number of factors, including the percentage of motor 
vehicle emissions in the context of the total SIP inventory, the current 
state of air quality as determined by monitoring data for that NAAQS, 
the absence of SIP motor vehicle control measures, and historical trends 
and future projections of the growth of motor vehicle emissions. A 
conformity determination that meets other applicable criteria in Table 1 
of paragraph (b) of this section is still required, including regional 
emissions analyses for Sec.  93.118 and/or Sec.  93.119 for other 
pollutants/precursors and NAAQS that apply. Hot-spot requirements for 
projects in CO, PM10, and PM2.5 areas in Sec.  
93.116 must also be satisfied, unless EPA determines that the SIP also 
demonstrates that projects will not create new localized violations and/
or increase the severity or number of existing violations of such NAAQS. 
If EPA subsequently finds that motor vehicle emissions of a given 
pollutant/precursor are significant, this paragraph would no longer 
apply for future conformity determinations for that pollutant/precursor 
and NAAQS.
    (g) Isolated rural nonattainment and maintenance areas. This 
paragraph applies to any nonattainment or maintenance area (or portion 
thereof) which does not have a metropolitan transportation plan or TIP 
and whose projects are not part of the emissions analysis of any MPO's 
metropolitan transportation plan or TIP. This paragraph does not apply 
to ``donut'' areas which are outside the metropolitan planning boundary 
and inside the nonattainment/maintenance area boundary.
    (1) FHWA/FTA projects in all isolated rural nonattainment and 
maintenance areas must satisfy the requirements of Sec. Sec.  93.110, 
93.111, 93.112, 93.113(d), 93.116, and 93.117. Until EPA approves the 
control strategy implementation plan or maintenance plan for a rural CO 
nonattainment or maintenance area, FHWA/FTA projects must also satisfy 
the requirements of Sec.  93.116(b) (``Localized CO, PM10, 
and PM2.5 violations (hot spots)'').
    (2) Isolated rural nonattainment and maintenance areas are subject 
to the budget and/or interim emissions tests as described in paragraph 
(c) of this section, with the following modifications:
    (i) When the requirements of Sec. Sec.  93.106(d), 93.116, 93.118, 
and 93.119 apply to isolated rural nonattainment and maintenance areas, 
references to ``transportation plan'' or ``TIP'' should be taken to mean 
those projects in the

[[Page 869]]

statewide transportation plan or statewide TIP which are in the rural 
nonattainment or maintenance area. When the requirements of Sec.  
93.106(d) apply to isolated rural nonattainment and maintenance areas, 
references to ``MPO'' should be taken to mean the state department of 
transportation.
    (ii) In isolated rural nonattainment and maintenance areas that are 
subject to Sec.  93.118, FHWA/FTA projects must be consistent with motor 
vehicle emissions budget(s) for the years in the timeframe of the 
attainment demonstration or maintenance plan. For years after the 
attainment year (if a maintenance plan has not been submitted) or after 
the last year of the maintenance plan, FHWA/FTA projects must satisfy 
one of the following requirements:
    (A) Sec.  93.118;
    (B) Sec.  93.119 (including regional emissions analysis for 
NOX in all ozone nonattainment and maintenance areas, 
notwithstanding Sec.  93.119(f)(2)); or
    (C) As demonstrated by the air quality dispersion model or other air 
quality modeling technique used in the attainment demonstration or 
maintenance plan, the FHWA/FTA project, in combination with all other 
regionally significant projects expected in the area in the timeframe of 
the statewide transportation plan, must not cause or contribute to any 
new violation of any standard in any areas; increase the frequency or 
severity of any existing violation of any standard in any area; or delay 
timely attainment of any standard or any required interim emission 
reductions or other milestones in any area. Control measures assumed in 
the analysis must be enforceable.
    (iii) The choice of requirements in paragraph (g)(2)(ii) of this 
section and the methodology used to meet the requirements of paragraph 
(g)(2)(ii)(C) of this section must be determined through the interagency 
consultation process required in Sec.  93.105(c)(1)(vi) through which 
the relevant recipients of title 23 U.S.C. or Federal Transit Laws 
funds, the local air quality agency, the State air quality agency, and 
the State department of transportation should reach consensus about the 
option and methodology selected. EPA and DOT must be consulted through 
this process as well. In the event of unresolved disputes, conflicts may 
be escalated to the Governor consistent with the procedure in Sec.  
93.105(d), which applies for any State air agency comments on a 
conformity determination.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40093, July 1, 2004; 71 
FR 12510, Mar. 10, 2006; 73 FR 4440, Jan. 24, 2008; 75 FR 14284, Mar. 
24, 2010; 77 FR 14986, Mar. 14, 2012]



Sec.  93.110  Criteria and procedures: Latest planning assumptions.

    (a) Except as provided in this paragraph, the conformity 
determination, with respect to all other applicable criteria in 
Sec. Sec.  93.111 through 93.119, must be based upon the most recent 
planning assumptions in force at the time the conformity analysis 
begins. The conformity determination must satisfy the requirements of 
paragraphs (b) through (f) of this section using the planning 
assumptions available at the time the conformity analysis begins as 
determined through the interagency consultation process required in 
Sec.  93.105(c)(1)(i). The ``time the conformity analysis begins'' for a 
transportation plan or TIP determination is the point at which the MPO 
or other designated agency begins to model the impact of the proposed 
transportation plan or TIP on travel and/or emissions. New data that 
becomes available after an analysis begins is required to be used in the 
conformity determination only if a significant delay in the analysis has 
occurred, as determined through interagency consultation.
    (b) Assumptions must be derived from the estimates of current and 
future population, employment, travel, and congestion most recently 
developed by the MPO or other agency authorized to make such estimates 
and approved by the MPO. The conformity determination must also be based 
on the latest assumptions about current and future background 
concentrations.
    (c) The conformity determination for each transportation plan and 
TIP must discuss how transit operating policies (including fares and 
service levels) and assumed transit ridership have changed since the 
previous conformity determination.
    (d) The conformity determination must include reasonable assumptions

[[Page 870]]

about transit service and increases in transit fares and road and bridge 
tolls over time.
    (e) The conformity determination must use the latest existing 
information regarding the effectiveness of the TCMs and other 
implementation plan measures which have already been implemented.
    (f) Key assumptions shall be specified and included in the draft 
documents and supporting materials used for the interagency and public 
consultation required by Sec.  93.105.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40077, July 1, 2004]



Sec.  93.111  Criteria and procedures: Latest emissions model.

    (a) The conformity determination must be based on the latest 
emission estimation model available. This criterion is satisfied if the 
most current version of the motor vehicle emissions model specified by 
EPA for use in the preparation or revision of implementation plans in 
that State or area is used for the conformity analysis. Where EMFAC is 
the motor vehicle emissions model used in preparing or revising the 
applicable implementation plan, new versions must be approved by EPA 
before they are used in the conformity analysis.
    (b) EPA will consult with DOT to establish a grace period following 
the specification of any new model.
    (1) The grace period will be no less than three months and no more 
than 24 months after notice of availability is published in the Federal 
Register.
    (2) The length of the grace period will depend on the degree of 
change in the model and the scope of re-planning likely to be necessary 
by MPOs in order to assure conformity. If the grace period will be 
longer than three months, EPA will announce the appropriate grace period 
in the Federal Register.
    (3) Notwithstanding paragraph (b)(1) of this section, the grace 
period for using the MOVES2010 emissions model (and minor revisions) for 
regional emissions analyses will end on March 2, 2013.
    (c) Transportation plan and TIP conformity analyses for which the 
emissions analysis was begun during the grace period or before the 
Federal Register notice of availability of the latest emission model may 
continue to use the previous version of the model. Conformity 
determinations for projects may also be based on the previous model if 
the analysis was begun during the grace period or before the Federal 
Register notice of availability, and if the final environmental document 
for the project is issued no more than three years after the issuance of 
the draft environmental document.

[62 FR 43801, Aug. 15, 1997, as amended at 77 FR 11401, Feb. 27, 2012]



Sec.  93.112  Criteria and procedures: Consultation.

    Conformity must be determined according to the consultation 
procedures in this subpart and in the applicable implementation plan, 
and according to the public involvement procedures established in 
compliance with 23 CFR part 450. Until the implementation plan revision 
required by Sec.  51.390 of this chapter is fully approved by EPA, the 
conformity determination must be made according to Sec.  93.105 (a)(2) 
and (e) and the requirements of 23 CFR part 450.



Sec.  93.113  Criteria and procedures: Timely implementation of TCMs.

    (a) The transportation plan, TIP, or any FHWA/FTA project which is 
not from a conforming plan and TIP must provide for the timely 
implementation of TCMs from the applicable implementation plan.
    (b) For transportation plans, this criterion is satisfied if the 
following two conditions are met:
    (1) The transportation plan, in describing the envisioned future 
transportation system, provides for the timely completion or 
implementation of all TCMs in the applicable implementation plan which 
are eligible for funding under title 23 U.S.C. or the Federal Transit 
Laws, consistent with schedules included in the applicable 
implementation plan.
    (2) Nothing in the transportation plan interferes with the 
implementation of any TCM in the applicable implementation plan.

[[Page 871]]

    (c) For TIPs, this criterion is satisfied if the following 
conditions are met:
    (1) An examination of the specific steps and funding source(s) 
needed to fully implement each TCM indicates that TCMs which are 
eligible for funding under title 23 U.S.C. or the Federal Transit Laws 
are on or ahead of the schedule established in the applicable 
implementation plan, or, if such TCMs are behind the schedule 
established in the applicable implementation plan, the MPO and DOT have 
determined that past obstacles to implementation of the TCMs have been 
identified and have been or are being overcome, and that all State and 
local agencies with influence over approvals or funding for TCMs are 
giving maximum priority to approval or funding of TCMs over other 
projects within their control, including projects in locations outside 
the nonattainment or maintenance area.
    (2) If TCMs in the applicable implementation plan have previously 
been programmed for Federal funding but the funds have not been 
obligated and the TCMs are behind the schedule in the implementation 
plan, then the TIP cannot be found to conform if the funds intended for 
those TCMs are reallocated to projects in the TIP other than TCMs, or if 
there are no other TCMs in the TIP, if the funds are reallocated to 
projects in the TIP other than projects which are eligible for Federal 
funding intended for air quality improvement projects, e.g., the 
Congestion Mitigation and Air Quality Improvement Program.
    (3) Nothing in the TIP may interfere with the implementation of any 
TCM in the applicable implementation plan.
    (d) For FHWA/FTA projects which are not from a conforming 
transportation plan and TIP, this criterion is satisfied if the project 
does not interfere with the implementation of any TCM in the applicable 
implementation plan.



Sec.  93.114  Criteria and procedures: Currently conforming transportation 
plan and TIP.

    There must be a currently conforming transportation plan and 
currently conforming TIP at the time of project approval, or a project 
must meet the requirements in Sec.  93.104(f) during the 12-month lapse 
grace period.
    (a) Only one conforming transportation plan or TIP may exist in an 
area at any time; conformity determinations of a previous transportation 
plan or TIP expire once the current plan or TIP is found to conform by 
DOT. The conformity determination on a transportation plan or TIP will 
also lapse if conformity is not determined according to the frequency 
requirements specified in Sec.  93.104.
    (b) This criterion is not required to be satisfied at the time of 
project approval for a TCM specifically included in the applicable 
implementation plan, provided that all other relevant criteria of this 
subpart are satisfied.

[62 FR 43801, Aug. 15, 1997, as amended at 73 FR 4440, Jan. 24, 2008]



Sec.  93.115  Criteria and procedures: Projects from a transportation plan 
and TIP.

    (a) The project must come from a conforming plan and program. If 
this criterion is not satisfied, the project must satisfy all criteria 
in Table 1 of Sec.  93.109(b) for a project not from a conforming 
transportation plan and TIP. A project is considered to be from a 
conforming transportation plan if it meets the requirements of paragraph 
(b) of this section and from a conforming program if it meets the 
requirements of paragraph (c) of this section. Special provisions for 
TCMs in an applicable implementation plan are provided in paragraph (d) 
of this section.
    (b) A project is considered to be from a conforming transportation 
plan if one of the following conditions applies:
    (1) For projects which are required to be identified in the 
transportation plan in order to satisfy Sec.  93.106 (``Content of 
transportation plans''), the project is specifically included in the 
conforming transportation plan and the project's design concept and 
scope have not changed significantly from those which were described in 
the transportation plan, or in a manner which would significantly impact 
use of the facility; or
    (2) For projects which are not required to be specifically 
identified in the transportation plan, the project is

[[Page 872]]

identified in the conforming transportation plan, or is consistent with 
the policies and purpose of the transportation plan and will not 
interfere with other projects specifically included in the 
transportation plan.
    (c) A project is considered to be from a conforming program if the 
following conditions are met:
    (1) The project is included in the conforming TIP and the design 
concept and scope of the project were adequate at the time of the TIP 
conformity determination to determine its contribution to the TIP's 
regional emissions, and the project design concept and scope have not 
changed significantly from those which were described in the TIP; and
    (2) If the TIP describes a project design concept and scope which 
includes project-level emissions mitigation or control measures, written 
commitments to implement such measures must be obtained from the project 
sponsor and/or operator as required by Sec.  93.125(a) in order for the 
project to be considered from a conforming program. Any change in these 
mitigation or control measures that would significantly reduce their 
effectiveness constitutes a change in the design concept and scope of 
the project.
    (d) TCMs. This criterion is not required to be satisfied for TCMs 
specifically included in an applicable implementation plan.
    (e) Notwithstanding the requirements of paragraphs (a), (b), and (c) 
of this section, a project must meet the requirements of Sec.  93.104(f) 
during the 12-month lapse grace period.

[62 FR 43801, Aug. 15, 1997, as amended at 73 FR 4440, Jan. 24, 2008]



Sec.  93.116  Criteria and procedures: Localized CO, PM10, and PM2.5 
violations (hot-spots).

    (a) This paragraph applies at all times. The FHWA/FTA project must 
not cause or contribute to any new localized CO, PM10, and/or 
PM2.5 violations, increase the frequency or severity of any 
existing CO, PM10, and/or PM2.5 violations, or 
delay timely attainment of any NAAQS or any required interim emission 
reductions or other milestones in CO, PM10, and 
PM2.5 nonattainment and maintenance areas. This criterion is 
satisfied without a hot-spot analysis in PM10 and 
PM2.5 nonattainment and maintenance areas for FHWA/FTA 
projects that are not identified in Sec.  93.123(b)(1). This criterion 
is satisfied for all other FHWA/FTA projects in CO, PM10 and 
PM2.5 nonattainment and maintenance areas if it is 
demonstrated that during the time frame of the transportation plan no 
new local violations will be created and the severity or number of 
existing violations will not be increased as a result of the project, 
and the project has been included in a regional emissions analysis that 
meets applicable Sec. Sec.  93.118 and/or 93.119 requirements. The 
demonstration must be performed according to the consultation 
requirements of Sec.  93.105(c)(1)(i) and the methodology requirements 
of Sec.  93.123.
    (b) This paragraph applies for CO nonattainment areas as described 
in Sec.  93.109(d)(1). Each FHWA/FTA project must eliminate or reduce 
the severity and number of localized CO violations in the area 
substantially affected by the project (in CO nonattainment areas). This 
criterion is satisfied with respect to existing localized CO violations 
if it is demonstrated that during the time frame of the transportation 
plan (or regional emissions analysis) existing localized CO violations 
will be eliminated or reduced in severity and number as a result of the 
project. The demonstration must be performed according to the 
consultation requirements of Sec.  93.105(c)(1)(i) and the methodology 
requirements of Sec.  93.123.

[69 FR 40077, July 1, 2004, as amended at 71 FR 12510, Mar. 10, 2006; 73 
FR 4440, Jan. 24, 2008; 75 FR 14285, Mar. 24, 2010; 77 FR 14988, Mar. 
14, 2012]



Sec.  93.117  Criteria and procedures: Compliance with PM10 and PM2.5 
control measures.

    The FHWA/FTA project must comply with any PM10 and 
PM2.5 control measures in the applicable implementation plan. 
This criterion is satisfied if the project-level conformity 
determination contains a written commitment from the project sponsor to 
include in the final plans, specifications, and estimates for the 
project those control measures (for the purpose of limiting

[[Page 873]]

PM10 and PM2.5 emissions from the construction 
activities and/or normal use and operation associated with the project) 
that are contained in the applicable implementation plan.

[69 FR 40078, July 1, 2004]



Sec.  93.118  Criteria and procedures: Motor vehicle emissions budget.

    (a) The transportation plan, TIP, and project not from a conforming 
transportation plan and TIP must be consistent with the motor vehicle 
emissions budget(s) in the applicable implementation plan (or 
implementation plan submission). This criterion applies as described in 
Sec.  93.109(c) through (g). This criterion is satisfied if it is 
demonstrated that emissions of the pollutants or pollutant precursors 
described in paragraph (c) of this section are less than or equal to the 
motor vehicle emissions budget(s) established in the applicable 
implementation plan or implementation plan submission.
    (b) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated for each year for which the applicable (and/or submitted) 
implementation plan specifically establishes a motor vehicle emissions 
budget(s), and for each year for which a regional emissions analysis is 
performed to fulfill the requirements in paragraph (d) of this section, 
as follows:
    (1) Until a maintenance plan is submitted:
    (i) Emissions in each year (such as milestone years and the 
attainment year) for which the control strategy implementation plan 
revision establishes motor vehicle emissions budget(s) must be less than 
or equal to that year's motor vehicle emissions budget(s); and
    (ii) Emissions in years for which no motor vehicle emissions 
budget(s) are specifically established must be less than or equal to the 
motor vehicle emissions budget(s) established for the most recent prior 
year. For example, emissions in years after the attainment year for 
which the implementation plan does not establish a budget must be less 
than or equal to the motor vehicle emissions budget(s) for the 
attainment year.
    (2) When a maintenance plan has been submitted:
    (i) Emissions must be less than or equal to the motor vehicle 
emissions budget(s) established for the last year of the maintenance 
plan, and for any other years for which the maintenance plan establishes 
motor vehicle emissions budgets. If the maintenance plan does not 
establish motor vehicle emissions budgets for any years other than the 
last year of the maintenance plan, the demonstration of consistency with 
the motor vehicle emissions budget(s) must be accompanied by a 
qualitative finding that there are no factors which would cause or 
contribute to a new violation or exacerbate an existing violation in the 
years before the last year of the maintenance plan. The interagency 
consultation process required by Sec.  93.105 shall determine what must 
be considered in order to make such a finding;
    (ii) For years after the last year of the maintenance plan, 
emissions must be less than or equal to the maintenance plan's motor 
vehicle emissions budget(s) for the last year of the maintenance plan;
    (iii) If an approved and/or submitted control strategy 
implementation plan has established motor vehicle emissions budgets for 
years in the time frame of the transportation plan, emissions in these 
years must be less than or equal to the control strategy implementation 
plan's motor vehicle emissions budget(s) for these years; and
    (iv) For any analysis years before the last year of the maintenance 
plan, emissions must be less than or equal to the motor vehicle 
emissions budget(s) established for the most recent prior year.
    (c) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated for each pollutant or pollutant precursor in Sec.  
93.102(b) for which the area is in nonattainment or maintenance and for 
which the applicable implementation plan (or implementation plan 
submission) establishes a motor vehicle emissions budget.
    (d) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated by including emissions from the entire transportation 
system, including all regionally significant projects contained in the 
transportation plan and all other regionally

[[Page 874]]

significant highway and transit projects expected in the nonattainment 
or maintenance area in the timeframe of the transportation plan.
    (1) Consistency with the motor vehicle emissions budget(s) must be 
demonstrated with a regional emissions analysis that meets the 
requirements of Sec. Sec.  93.122 and 93.105(c)(1)(i).
    (2) The regional emissions analysis may be performed for any years 
in the timeframe of the conformity determination (as described under 
Sec.  93.106(d)) provided they are not more than ten years apart and 
provided the analysis is performed for the attainment year (if it is in 
the timeframe of the transportation plan and conformity determination) 
and the last year of the timeframe of the conformity determination. 
Emissions in years for which consistency with motor vehicle emissions 
budgets must be demonstrated, as required in paragraph (b) of this 
section, may be determined by interpolating between the years for which 
the regional emissions analysis is performed.
    (3) When the timeframe of the conformity determination is shortened 
under Sec.  93.106(d)(2), the conformity determination must be 
accompanied by a regional emissions analysis (for informational purposes 
only) for the last year of the transportation plan, and for any year 
shown to exceed motor vehicle emissions budgets in a prior regional 
emissions analysis (if such a year extends beyond the timeframe of the 
conformity determination).
    (e) Motor vehicle emissions budgets in submitted control strategy 
implementation plan revisions and submitted maintenance plans. (1) 
Consistency with the motor vehicle emissions budgets in submitted 
control strategy implementation plan revisions or maintenance plans must 
be demonstrated if EPA has declared the motor vehicle emissions 
budget(s) adequate for transportation conformity purposes, and the 
adequacy finding is effective. However, motor vehicle emissions budgets 
in submitted implementation plans do not supersede the motor vehicle 
emissions budgets in approved implementation plans for the same Clean 
Air Act requirement and the period of years addressed by the previously 
approved implementation plan, unless EPA specifies otherwise in its 
approval of a SIP.
    (2) If EPA has not declared an implementation plan submission's 
motor vehicle emissions budget(s) adequate for transportation conformity 
purposes, the budget(s) shall not be used to satisfy the requirements of 
this section. Consistency with the previously established motor vehicle 
emissions budget(s) must be demonstrated. If there are no previously 
approved implementation plans or implementation plan submissions with 
adequate motor vehicle emissions budgets, the interim emissions tests 
required by Sec.  93.119 must be satisfied.
    (3) If EPA declares an implementation plan submission's motor 
vehicle emissions budget(s) inadequate for transportation conformity 
purposes after EPA had previously found the budget(s) adequate, and 
conformity of a transportation plan or TIP has already been determined 
by DOT using the budget(s), the conformity determination will remain 
valid. Projects included in that transportation plan or TIP could still 
satisfy Sec. Sec.  93.114 and 93.115, which require a currently 
conforming transportation plan and TIP to be in place at the time of a 
project's conformity determination and that projects come from a 
conforming transportation plan and TIP.
    (4) EPA will not find a motor vehicle emissions budget in a 
submitted control strategy implementation plan revision or maintenance 
plan to be adequate for transportation conformity purposes unless the 
following minimum criteria are satisfied:
    (i) The submitted control strategy implementation plan revision or 
maintenance plan was endorsed by the Governor (or his or her designee) 
and was subject to a State public hearing;
    (ii) Before the control strategy implementation plan or maintenance 
plan was submitted to EPA, consultation among federal, State, and local 
agencies occurred; full implementation plan documentation was provided 
to EPA; and EPA's stated concerns, if any, were addressed;
    (iii) The motor vehicle emissions budget(s) is clearly identified 
and precisely quantified;

[[Page 875]]

    (iv) The motor vehicle emissions budget(s), when considered together 
with all other emissions sources, is consistent with applicable 
requirements for reasonable further progress, attainment, or maintenance 
(whichever is relevant to the given implementation plan submission);
    (v) The motor vehicle emissions budget(s) is consistent with and 
clearly related to the emissions inventory and the control measures in 
the submitted control strategy implementation plan revision or 
maintenance plan; and
    (vi) Revisions to previously submitted control strategy 
implementation plans or maintenance plans explain and document any 
changes to previously submitted budgets and control measures; impacts on 
point and area source emissions; any changes to established safety 
margins (see Sec.  93.101 for definition); and reasons for the changes 
(including the basis for any changes related to emission factors or 
estimates of vehicle miles traveled).
    (5) Before determining the adequacy of a submitted motor vehicle 
emissions budget, EPA will review the State's compilation of public 
comments and response to comments that are required to be submitted with 
any implementation plan. EPA will document its consideration of such 
comments and responses in a letter to the State indicating the adequacy 
of the submitted motor vehicle emissions budget.
    (6) When the motor vehicle emissions budget(s) used to satisfy the 
requirements of this section are established by an implementation plan 
submittal that has not yet been approved or disapproved by EPA, the MPO 
and DOT's conformity determinations will be deemed to be a statement 
that the MPO and DOT are not aware of any information that would 
indicate that emissions consistent with the motor vehicle emissions 
budget will cause or contribute to any new violation of any standard; 
increase the frequency or severity of any existing violation of any 
standard; or delay timely attainment of any standard or any required 
interim emission reductions or other milestones.
    (f) Adequacy review process for implementation plan submissions. EPA 
will use the procedure listed in paragraph (f)(1) or (f)(2) of this 
section to review the adequacy of an implementation plan submission:
    (1) When EPA reviews the adequacy of an implementation plan 
submission prior to EPA's final action on the implementation plan,
    (i) EPA will notify the public through EPA's website when EPA 
receives an implementation plan submission that will be reviewed for 
adequacy.
    (ii) The public will have a minimum of 30 days to comment on the 
adequacy of the implementation plan submission. If the complete 
implementation plan is not accessible electronically through the 
internet and a copy is requested within 15 days of the date of the 
website notice, the comment period will be extended for 30 days from the 
date that a copy of the implementation plan is mailed.
    (iii) After the public comment period closes, EPA will inform the 
State in writing whether EPA has found the submission adequate or 
inadequate for use in transportation conformity, including response to 
any comments submitted directly and review of comments submitted through 
the State process, or EPA will include the determination of adequacy or 
inadequacy in a proposed or final action approving or disapproving the 
implementation plan under paragraph (f)(2)(iii) of this section.
    (iv) EPA will publish a Federal Register notice to inform the public 
of EPA's finding. If EPA finds the submission adequate, the effective 
date of this finding will be 15 days from the date the notice is 
published as established in the Federal Register notice, unless EPA is 
taking a final approval action on the SIP as described in paragraph 
(f)(2)(iii) of this section.
    (v) EPA will announce whether the implementation plan submission is 
adequate or inadequate for use in transportation conformity on EPA's 
website. The website will also include EPA's response to comments if any 
comments were received during the public comment period.
    (vi) If after EPA has found a submission adequate, EPA has cause to 
reconsider this finding, EPA will repeat actions described in paragraphs 
(f)(1)(i)

[[Page 876]]

through (v) or (f)(2) of this section unless EPA determines that there 
is no need for additional public comment given the deficiencies of the 
implementation plan submission. In all cases where EPA reverses its 
previous finding to a finding of inadequacy under paragraph (f)(1) of 
this section, such a finding will become effective immediately upon the 
date of EPA's letter to the State.
    (vii) If after EPA has found a submission inadequate, EPA has cause 
to reconsider the adequacy of that budget, EPA will repeat actions 
described in paragraphs (f)(1)(i) through (v) or (f)(2) of this section.
    (2) When EPA reviews the adequacy of an implementation plan 
submission simultaneously with EPA's approval or disapproval of the 
implementation plan,
    (i) EPA's Federal Register notice of proposed or direct final 
rulemaking will serve to notify the public that EPA will be reviewing 
the implementation plan submission for adequacy.
    (ii) The publication of the notice of proposed rulemaking will start 
a public comment period of at least 30 days.
    (iii) EPA will indicate whether the implementation plan submission 
is adequate and thus can be used for conformity either in EPA's final 
rulemaking or through the process described in paragraphs (f)(1)(iii) 
through (v) of this section. If EPA makes an adequacy finding through a 
final rulemaking that approves the implementation plan submission, such 
a finding will become effective upon the publication date of EPA's 
approval in the Federal Register, or upon the effective date of EPA's 
approval if such action is conducted through direct final rulemaking. 
EPA will respond to comments received directly and review comments 
submitted through the State process and include the response to comments 
in the applicable docket.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40078, July 1, 2004; 73 
FR 4440, Jan. 24, 2008; 75 FR 14285, Mar. 24, 2010; 77 FR 14988, Mar. 
14, 2012]



Sec.  93.119  Criteria and procedures: Interim emissions in areas without
motor vehicle emissions budgets.

    (a) The transportation plan, TIP, and project not from a conforming 
transportation plan and TIP must satisfy the interim emissions test(s) 
as described in Sec.  93.109(c) through (g). This criterion applies to 
the net effect of the action (transportation plan, TIP, or project not 
from a conforming plan and TIP) on motor vehicle emissions from the 
entire transportation system.
    (b) Ozone areas. The requirements of this paragraph apply to all 
ozone NAAQS areas, except for certain requirements as indicated. This 
criterion may be met:
    (1) In moderate and above ozone nonattainment areas that are subject 
to the reasonable further progress requirements of CAA section 182(b)(1) 
if a regional emissions analysis that satisfies the requirements of 
Sec.  93.122 and paragraphs (g) through (j) of this section demonstrates 
that for each analysis year and for each of the pollutants described in 
paragraph (f) of this section:
    (i) The emissions predicted in the ``Action'' scenario are less than 
the emissions predicted in the ``Baseline'' scenario, and this can be 
reasonably expected to be true in the periods between the analysis 
years; and
    (ii) The emissions predicted in the ``Action'' scenario are lower 
than emissions in the baseline year for that NAAQS as described in 
paragraph (e) of this section by any nonzero amount.
    (2) In marginal and below ozone nonattainment areas and other ozone 
nonattainment areas that are not subject to the reasonable further 
progress requirements of CAA section 182(b)(1) if a regional emissions 
analysis that satisfies the requirements of Sec.  93.122 and paragraphs 
(g) through (j) of this section demonstrates that for each analysis year 
and for each of the pollutants described in paragraph (f) of this 
section:
    (i) The emissions predicted in the ``Action'' scenario are not 
greater than the emissions predicted in the ``Baseline'' scenario, and 
this can be reasonably expected to be true in the periods between the 
analysis years; or

[[Page 877]]

    (ii) The emissions predicted in the ``Action'' scenario are not 
greater than emissions in the baseline year for that NAAQS as described 
in paragraph (e) of this section.
    (c) CO areas. This criterion may be met:
    (1) In moderate areas with design value greater than 12.7 ppm and 
serious CO nonattainment areas that are subject to CAA section 187(a)(7) 
if a regional emissions analysis that satisfies the requirements of 
Sec.  93.122 and paragraphs (g) through (j) of this section demonstrates 
that for each analysis year and for each of the pollutants described in 
paragraph (f) of this section:
    (i) The emissions predicted in the ``Action'' scenario are less than 
the emissions predicted in the ``Baseline'' scenario, and this can be 
reasonably expected to be true in the periods between the analysis 
years; and
    (ii) The emissions predicted in the ``Action'' scenario are lower 
than emissions in the baseline year for that NAAQS as described in 
paragraph (e) of this section by any nonzero amount.
    (2) In moderate areas with design value less than 12.7 ppm and not 
classified CO nonattainment areas if a regional emissions analysis that 
satisfies the requirements of Sec.  93.122 and paragraphs (g) through 
(j) of this section demonstrates that for each analysis year and for 
each of the pollutants described in paragraph (f) of this section:
    (i) The emissions predicted in the ``Action'' scenario are not 
greater than the emissions predicted in the ``Baseline'' scenario, and 
this can be reasonably expected to be true in the periods between the 
analysis years; or
    (ii) The emissions predicted in the ``Action'' scenario are not 
greater than emissions in the baseline year for that NAAQS as described 
in paragraph (e) of this section.
    (d) PM2.5, PM10, and NO2 areas. This criterion may be met in 
PM2.5, PM10, and NO2 nonattainment 
areas if a regional emissions analysis that satisfies the requirements 
of Sec.  93.122 and paragraphs (g) through (j) of this section 
demonstrates that for each analysis year and for each of the pollutants 
described in paragraph (f) of this section, one of the following 
requirements is met:
    (1) The emissions predicted in the ``Action'' scenario are not 
greater than the emissions predicted in the ``Baseline'' scenario, and 
this can be reasonably expected to be true in the periods between the 
analysis years; or
    (2) The emissions predicted in the ``Action'' scenario are not 
greater than emissions in the baseline year for that NAAQS as described 
in paragraph (e) of this section.
    (e) Baseline year for various NAAQS. The baseline year is defined as 
follows:
    (1) 1990, in areas designated nonattainment for the 1990 CO NAAQS or 
the 1990 NO2 NAAQS.
    (2) 1990, in areas designated nonattainment for the 1990 
PM10 NAAQS, unless the conformity implementation plan 
revision required by Sec.  51.390 of this chapter defines the baseline 
emissions for a PM10 area to be those occurring in a 
different calendar year for which a baseline emissions inventory was 
developed for the purpose of developing a control strategy 
implementation plan.
    (3) 2002, in areas designated nonattainment for the 1997 ozone NAAQS 
or 1997 PM2.5 NAAQS.
    (4) The most recent year for which EPA's Air Emission Reporting Rule 
(40 CFR Part 51, Subpart A) requires submission of on-road mobile source 
emissions inventories as of the effective date of designations, in areas 
designated nonattainment for a NAAQS that is promulgated after 1997.
    (f) Pollutants. The regional emissions analysis must be performed 
for the following pollutants:
    (1) VOC in ozone areas;
    (2) NOX in ozone areas, unless the EPA Administrator 
determines that additional reductions of NOX would not 
contribute to attainment;
    (3) CO in CO areas;
    (4) PM10 in PM10 areas;
    (5) VOC and/or NOX in PM10 areas if the EPA 
Regional Administrator or the director of the State air agency has made 
a finding that one or both of such precursor emissions from within the 
area are a significant contributor to the PM10 nonattainment 
problem and has so notified the MPO and DOT;
    (6) NOX in NO2 areas;
    (7) PM2.5 in PM2.5 areas;

[[Page 878]]

    (8) Reentrained road dust in PM2.5 areas only if the EPA 
Regional Administrator or the director of the State air agency has made 
a finding that emissions from reentrained road dust within the area are 
a significant contributor to the PM2.5 nonattainment problem 
and has so notified the MPO and DOT;
    (9) NOX in PM2.5 areas, unless the EPA 
Regional Administrator and the director of the State air agency have 
made a finding that emissions of NOX from within the area are 
not a significant contributor to the PM2.5 nonattainment 
problem and has so notified the MPO and DOT; and
    (10) VOC, SO2 and/or ammonia in PM2.5 areas if 
the EPA Regional Administrator or the director of the State air agency 
has made a finding that any of such precursor emissions from within the 
area are a significant contributor to the PM2.5 nonattainment 
problem and has so notified the MPO and DOT.
    (g) Analysis years. (1) The regional emissions analysis must be 
performed for analysis years that are no more than ten years apart. The 
first analysis year must be no more than five years beyond the year in 
which the conformity determination is being made. The last year of the 
timeframe of the conformity determination (as described under Sec.  
93.106(d)) must also be an analysis year.
    (2) For areas using paragraphs (b)(2)(i), (c)(2)(i), and (d)(1) of 
this section, a regional emissions analysis that satisfies the 
requirements of Sec.  93.122 and paragraphs (g) through (j) of this 
section would not be required for analysis years in which the 
transportation projects and planning assumptions in the ``Action'' and 
``Baseline'' scenarios are exactly the same. In such a case, paragraph 
(a) of this section can be satisfied by documenting that the 
transportation projects and planning assumptions in both scenarios are 
exactly the same, and consequently, the emissions predicted in the 
``Action'' scenario are not greater than the emissions predicted in the 
``Baseline'' scenario for such analysis years.
    (3) When the timeframe of the conformity determination is shortened 
under Sec.  93.106(d)(2), the conformity determination must be 
accompanied by a regional emissions analysis (for informational purposes 
only) for the last year of the transportation plan.
    (h) ``Baseline'' scenario. The regional emissions analysis required 
by paragraphs (b) through (e) of this section must estimate the 
emissions that would result from the ``Baseline'' scenario in each 
analysis year. The ``Baseline'' scenario must be defined for each of the 
analysis years. The ``Baseline'' scenario is the future transportation 
system that will result from current programs, including the following 
(except that exempt projects listed in Sec.  93.126 and projects exempt 
from regional emissions analysis as listed in Sec.  93.127 need not be 
explicitly considered):
    (1) All in-place regionally significant highway and transit 
facilities, services and activities;
    (2) All ongoing travel demand management or transportation system 
management activities; and
    (3) Completion of all regionally significant projects, regardless of 
funding source, which are currently under construction or are undergoing 
right-of-way acquisition (except for hardship acquisition and protective 
buying); come from the first year of the previously conforming 
transportation plan and/or TIP; or have completed the NEPA process.
    (i) ``Action'' scenario. The regional emissions analysis required by 
paragraphs (b) and (c) of this section must estimate the emissions that 
would result from the ``Action'' scenario in each analysis year. The 
``Action'' scenario must be defined for each of the analysis years. The 
``Action'' scenario is the transportation system that would result from 
the implementation of the proposed action (transportation plan, TIP, or 
project not from a conforming transportation plan and TIP) and all other 
expected regionally significant projects in the nonattainment area. The 
``Action'' scenario must include the following (except that exempt 
projects listed in Sec.  93.126 and projects exempt from regional 
emissions analysis as listed in Sec.  93.127 need not be explicitly 
considered):
    (1) All facilities, services, and activities in the ``Baseline'' 
scenario;

[[Page 879]]

    (2) Completion of all TCMs and regionally significant projects 
(including facilities, services, and activities) specifically identified 
in the proposed transportation plan which will be operational or in 
effect in the analysis year, except that regulatory TCMs may not be 
assumed to begin at a future time unless the regulation is already 
adopted by the enforcing jurisdiction or the TCM is identified in the 
applicable implementation plan;
    (3) All travel demand management programs and transportation system 
management activities known to the MPO, but not included in the 
applicable implementation plan or utilizing any Federal funding or 
approval, which have been fully adopted and/or funded by the enforcing 
jurisdiction or sponsoring agency since the last conformity 
determination;
    (4) The incremental effects of any travel demand management programs 
and transportation system management activities known to the MPO, but 
not included in the applicable implementation plan or utilizing any 
Federal funding or approval, which were adopted and/or funded prior to 
the date of the last conformity determination, but which have been 
modified since then to be more stringent or effective;
    (5) Completion of all expected regionally significant highway and 
transit projects which are not from a conforming transportation plan and 
TIP; and
    (6) Completion of all expected regionally significant non-FHWA/FTA 
highway and transit projects that have clear funding sources and 
commitments leading toward their implementation and completion by the 
analysis year.
    (j) Projects not from a conforming transportation plan and TIP. For 
the regional emissions analysis required by paragraphs (b) through (e) 
of this section, if the project which is not from a conforming 
transportation plan and TIP is a modification of a project currently in 
the plan or TIP, the `Baseline' scenario must include the project with 
its original design concept and scope, and the `Action' scenario must 
include the project with its new design concept and scope.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40079, July 1, 2004; 70 
FR 24291, May 6, 2005; 73 FR 4441, Jan. 24, 2008; 75 FR 14285, Mar. 24, 
2010; 77 FR 14988, Mar. 14, 2012]



Sec.  93.120  Consequences of control strategy implementation plan failures.

    (a) Disapprovals. (1) If EPA disapproves any submitted control 
strategy implementation plan revision (with or without a protective 
finding), the conformity status of the transportation plan and TIP shall 
lapse on the date that highway sanctions as a result of the disapproval 
are imposed on the nonattainment area under section 179(b)(1) of the 
CAA. No new transportation plan, TIP, or project may be found to conform 
until another control strategy implementation plan revision fulfilling 
the same CAA requirements is submitted and conformity to this submission 
is determined.
    (2) If EPA disapproves a submitted control strategy implementation 
plan revision without making a protective finding, only projects in the 
first four years of the currently conforming transportation plan and TIP 
or that meet the requirements of Sec.  93.104(f) during the 12-month 
lapse grace period may be found to conform. This means that beginning on 
the effective date of a disapproval without a protective finding, no 
transportation plan, TIP, or project not in the first four years of the 
currently conforming transportation plan and TIP or that meets the 
requirements of Sec.  93.104(f) during the 12-month lapse grace period 
may be found to conform until another control strategy implementation 
plan revision fulfilling the same CAA requirements is submitted, EPA 
finds its motor vehicle emissions budget(s) adequate pursuant to Sec.  
93.118 or approves the submission, and conformity to the implementation 
plan revision is determined.
    (3) In disapproving a control strategy implementation plan revision, 
EPA would give a protective finding where a submitted plan contains 
adopted control measures or written commitments to adopt enforceable 
control measures that fully satisfy the emissions reductions 
requirements relevant to the

[[Page 880]]

statutory provision for which the implementation plan revision was 
submitted, such as reasonable further progress or attainment.
    (b) Failure to submit and incompleteness. In areas where EPA 
notifies the State, MPO, and DOT of the State's failure to submit a 
control strategy implementation plan or submission of an incomplete 
control strategy implementation plan revision (either of which initiates 
the sanction process under CAA sections 179 or 110(m)), the conformity 
status of the transportation plan and TIP shall lapse on the date that 
highway sanctions are imposed on the nonattainment area for such failure 
under section 179(b)(1) of the CAA, unless the failure has been remedied 
and acknowledged by a letter from the EPA Regional Administrator.
    (c) Federal implementation plans. If EPA promulgates a Federal 
implementation plan that contains motor vehicle emissions budget(s) as a 
result of a State failure, the conformity lapse imposed by this section 
because of that State failure is removed.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40080, July 1, 2004; 73 
FR 4441, Jan. 24, 2008]



Sec.  93.121  Requirements for adoption or approval of projects by other 
recipients of funds designated under title 23 U.S.C. or the Federal 
Transit Laws.

    (a) Except as provided in paragraph (b) of this section, no 
recipient of Federal funds designated under title 23 U.S.C. or the 
Federal Transit Laws shall adopt or approve a regionally significant 
highway or transit project, regardless of funding source, unless the 
recipient finds that the requirements of one of the following are met:
    (1) The project comes from the currently conforming transportation 
plan and TIP (or meets the requirements of Sec.  93.104(f) during the 
12-month lapse grace period), and the project's design concept and scope 
have not changed significantly from those that were included in the 
regional emissions analysis for that transportation plan and TIP;
    (2) The project is included in the regional emissions analysis for 
the currently conforming transportation plan and TIP conformity 
determination (or meets the requirements of Sec.  93.104(f) during the 
12-month lapse grace period), even if the project is not strictly 
included in the transportation plan or TIP for the purpose of MPO 
project selection or endorsement, and the project's design concept and 
scope have not changed significantly from those that were included in 
the regional emissions analysis; or
    (3) A new regional emissions analysis including the project and the 
currently conforming transportation plan and TIP demonstrates that the 
transportation plan and TIP would still conform if the project were 
implemented (consistent with the requirements of Sec. Sec.  93.118 and/
or 93.119 for a project not from a conforming transportation plan and 
TIP).
    (b) In isolated rural nonattainment and maintenance areas subject to 
Sec.  93.109(g), no recipient of Federal funds designated under title 23 
U.S.C. or the Federal Transit Laws shall adopt or approve a regionally 
significant highway or transit project, regardless of funding source, 
unless the recipient finds that the requirements of one of the following 
are met:
    (1) The project was included in the regional emissions analysis 
supporting the most recent conformity determination that reflects the 
portion of the statewide transportation plan and statewide TIP which are 
in the nonattainment or maintenance area, and the project's design 
concept and scope has not changed significantly; or
    (2) A new regional emissions analysis including the project and all 
other regionally significant projects expected in the nonattainment or 
maintenance area demonstrates that those projects in the statewide 
transportation plan and statewide TIP which are in the nonattainment or 
maintenance area would still conform if the project were implemented 
(consistent with the requirements of Sec. Sec.  93.118 and/or 93.119 for 
projects not from a conforming transportation plan and TIP).
    (c) Notwithstanding paragraphs (a) and (b) of this section, in 
nonattainment and maintenance areas subject to Sec.  93.109(e) or (f) 
for a given pollutant/precursor and NAAQS, no recipient of Federal funds 
designated under title 23

[[Page 881]]

U.S.C. or the Federal Transit Laws shall adopt or approve a regionally 
significant highway or transit project, regardless of funding source, 
unless the recipient finds that the requirements of one of the following 
are met for that pollutant/precursor and NAAQS:
    (1) The project was included in the most recent conformity 
determination for the transportation plan and TIP and the project's 
design concept and scope has not changed significantly; or
    (2) The project was included in the most recent conformity 
determination that reflects the portion of the statewide transportation 
plan and statewide TIP which are in the nonattainment or maintenance 
area, and the project's design concept and scope has not changed 
significantly.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40080, July 1, 2004; 73 
FR 4441, Jan. 24, 2008; 75 FR 14285, Mar. 24, 2010; 77 FR 14988, Mar. 
14, 2012]



Sec.  93.122  Procedures for determining regional transportation-related
emissions.

    (a) General requirements. (1) The regional emissions analysis 
required by Sec. Sec.  93.118 and 93.119 for the transportation plan, 
TIP, or project not from a conforming plan and TIP must include all 
regionally significant projects expected in the nonattainment or 
maintenance area. The analysis shall include FHWA/FTA projects proposed 
in the transportation plan and TIP and all other regionally significant 
projects which are disclosed to the MPO as required by Sec.  93.105. 
Projects which are not regionally significant are not required to be 
explicitly modeled, but vehicle miles traveled (VMT) from such projects 
must be estimated in accordance with reasonable professional practice. 
The effects of TCMs and similar projects that are not regionally 
significant may also be estimated in accordance with reasonable 
professional practice.
    (2) The emissions analysis may not include for emissions reduction 
credit any TCMs or other measures in the applicable implementation plan 
which have been delayed beyond the scheduled date(s) until such time as 
their implementation has been assured. If the measure has been partially 
implemented and it can be demonstrated that it is providing quantifiable 
emission reduction benefits, the emissions analysis may include that 
emissions reduction credit.
    (3) Emissions reduction credit from projects, programs, or 
activities which require a regulatory action in order to be implemented 
may not be included in the emissions analysis unless:
    (i) The regulatory action is already adopted by the enforcing 
jurisdiction;
    (ii) The project, program, or activity is included in the applicable 
implementation plan;
    (iii) The control strategy implementation plan submission or 
maintenance plan submission that establishes the motor vehicle emissions 
budget(s) for the purposes of Sec.  93.118 contains a written commitment 
to the project, program, or activity by the agency with authority to 
implement it; or
    (iv) EPA has approved an opt-in to a Federally enforced program, EPA 
has promulgated the program (if the control program is a Federal 
responsibility, such as vehicle tailpipe standards), or the Clean Air 
Act requires the program without need for individual State action and 
without any discretionary authority for EPA to set its stringency, delay 
its effective date, or not implement the program.
    (4) Emissions reduction credit from control measures that are not 
included in the transportation plan and TIP and that do not require a 
regulatory action in order to be implemented may not be included in the 
emissions analysis unless the conformity determination includes written 
commitments to implementation from the appropriate entities.
    (i) Persons or entities voluntarily committing to control measures 
must comply with the obligations of such commitments.
    (ii) The conformity implementation plan revision required in Sec.  
51.390 of this chapter must provide that written commitments to control 
measures that are not included in the transportation plan and TIP must 
be obtained prior to a conformity determination and that such 
commitments must be fulfilled.
    (5) A regional emissions analysis for the purpose of satisfying the 
requirements of Sec.  93.119 must make the same

[[Page 882]]

assumptions in both the ``Baseline'' and ``Action'' scenarios regarding 
control measures that are external to the transportation system itself, 
such as vehicle tailpipe or evaporative emission standards, limits on 
gasoline volatility, vehicle inspection and maintenance programs, and 
oxygenated or reformulated gasoline or diesel fuel.
    (6) The ambient temperatures used for the regional emissions 
analysis shall be consistent with those used to establish the emissions 
budget in the applicable implementation plan. All other factors, for 
example the fraction of travel in a hot stabilized engine mode, must be 
consistent with the applicable implementation plan, unless modified 
after interagency consultation according to Sec.  93.105(c)(1)(i) to 
incorporate additional or more geographically specific information or 
represent a logically estimated trend in such factors beyond the period 
considered in the applicable implementation plan.
    (7) Reasonable methods shall be used to estimate nonattainment or 
maintenance area VMT on off-network roadways within the urban 
transportation planning area, and on roadways outside the urban 
transportation planning area.
    (b) Regional emissions analysis in serious, severe, and extreme 
ozone nonattainment areas and serious CO nonattainment areas must meet 
the requirements of paragraphs (b) (1) through (3) of this section if 
their metropolitan planning area contains an urbanized area population 
over 200,000.
    (1) By January 1, 1997, estimates of regional transportation-related 
emissions used to support conformity determinations must be made at a 
minimum using network-based travel models according to procedures and 
methods that are available and in practice and supported by current and 
available documentation. These procedures, methods, and practices are 
available from DOT and will be updated periodically. Agencies must 
discuss these modeling procedures and practices through the interagency 
consultation process, as required by Sec.  93.105(c)(1)(i). Network-
based travel models must at a minimum satisfy the following 
requirements:
    (i) Network-based travel models must be validated against observed 
counts (peak and off-peak, if possible) for a base year that is not more 
than 10 years prior to the date of the conformity determination. Model 
forecasts must be analyzed for reasonableness and compared to historical 
trends and other factors, and the results must be documented;
    (ii) Land use, population, employment, and other network-based 
travel model assumptions must be documented and based on the best 
available information;
    (iii) Scenarios of land development and use must be consistent with 
the future transportation system alternatives for which emissions are 
being estimated. The distribution of employment and residences for 
different transportation options must be reasonable;
    (iv) A capacity-sensitive assignment methodology must be used, and 
emissions estimates must be based on a methodology which differentiates 
between peak and off-peak link volumes and speeds and uses speeds based 
on final assigned volumes;
    (v) Zone-to-zone travel impedances used to distribute trips between 
origin and destination pairs must be in reasonable agreement with the 
travel times that are estimated from final assigned traffic volumes. 
Where use of transit currently is anticipated to be a significant factor 
in satisfying transportation demand, these times should also be used for 
modeling mode splits; and
    (vi) Network-based travel models must be reasonably sensitive to 
changes in the time(s), cost(s), and other factors affecting travel 
choices.
    (2) Reasonable methods in accordance with good practice must be used 
to estimate traffic speeds and delays in a manner that is sensitive to 
the estimated volume of travel on each roadway segment represented in 
the network-based travel model.
    (3) Highway Performance Monitoring System (HPMS) estimates of 
vehicle miles traveled (VMT) shall be considered the primary measure of 
VMT within the portion of the nonattainment or maintenance area and for 
the functional classes of roadways included in HPMS, for urban areas 
which are

[[Page 883]]

sampled on a separate urban area basis. For areas with network-based 
travel models, a factor (or factors) may be developed to reconcile and 
calibrate the network-based travel model estimates of VMT in the base 
year of its validation to the HPMS estimates for the same period. These 
factors may then be applied to model estimates of future VMT. In this 
factoring process, consideration will be given to differences between 
HPMS and network-based travel models, such as differences in the 
facility coverage of the HPMS and the modeled network description. 
Locally developed count- based programs and other departures from these 
procedures are permitted subject to the interagency consultation 
procedures of Sec.  93.105(c)(1)(i).
    (c) Two-year grace period for regional emissions analysis 
requirements in certain ozone and CO areas. The requirements of 
paragraph (b) of this section apply to such areas or portions of such 
areas that have not previously been required to meet these requirements 
for any existing NAAQS two years from the following:
    (1) The effective date of EPA's reclassification of an ozone or CO 
nonattainment area that has an urbanized area population greater than 
200,000 to serious or above;
    (2) The official notice by the Census Bureau that determines the 
urbanized area population of a serious or above ozone or CO 
nonattainment area to be greater than 200,000; or,
    (3) The effective date of EPA's action that classifies a newly 
designated ozone or CO nonattainment area that has an urbanized area 
population greater than 200,000 as serious or above.
    (d) In all areas not otherwise subject to paragraph (b) of this 
section, regional emissions analyses must use those procedures described 
in paragraph (b) of this section if the use of those procedures has been 
the previous practice of the MPO. Otherwise, areas not subject to 
paragraph (b) of this section may estimate regional emissions using any 
appropriate methods that account for VMT growth by, for example, 
extrapolating historical VMT or projecting future VMT by considering 
growth in population and historical growth trends for VMT per person. 
These methods must also consider future economic activity, transit 
alternatives, and transportation system policies.
    (e) PM10 from construction-related fugitive dust. (1) For areas in 
which the implementation plan does not identify construction-related 
fugitive PM10 as a contributor to the nonattainment problem, 
the fugitive PM10 emissions associated with highway and 
transit project construction are not required to be considered in the 
regional emissions analysis.
    (2) In PM10 nonattainment and maintenance areas with 
implementation plans which identify construction-related fugitive 
PM10 as a contributor to the nonattainment problem, the 
regional PM10 emissions analysis shall consider construction-
related fugitive PM10 and shall account for the level of 
construction activity, the fugitive PM10 control measures in 
the applicable implementation plan, and the dust-producing capacity of 
the proposed activities.
    (f) PM2.5 from construction-related fugitive dust. (1) For 
PM2.5 areas in which the implementation plan does not 
identify construction-related fugitive PM2.5 as a significant 
contributor to the nonattainment problem, the fugitive PM2.5 
emissions associated with highway and transit project construction are 
not required to be considered in the regional emissions analysis.
    (2) In PM2.5 nonattainment and maintenance areas with 
implementation plans which identify construction-related fugitive 
PM2.5 as a significant contributor to the nonattainment 
problem, the regional PM2.5 emissions analysis shall consider 
construction-related fugitive PM2.5 and shall account for the 
level of construction activity, the fugitive PM2.5 control 
measures in the applicable implementation plan, and the dust-producing 
capacity of the proposed activities.
    (g) Reliance on previous regional emissions analysis. (1) Conformity 
determinations for a new transportation plan and/or TIP may be 
demonstrated to satisfy the requirements of Sec. Sec.  93.118 (``Motor 
vehicle emissions budget'') or 93.119 (``Interim emissions in areas 
without motor vehicle emissions budgets'') without new regional 
emissions

[[Page 884]]

analysis if the previous regional emissions analysis also applies to the 
new plan and/or TIP. This requires a demonstration that:
    (i) The new plan and/or TIP contain all projects which must be 
started in the plan and TIP's timeframes in order to achieve the highway 
and transit system envisioned by the transportation plan;
    (ii) All plan and TIP projects which are regionally significant are 
included in the transportation plan with design concept and scope 
adequate to determine their contribution to the transportation plan's 
and/or TIP's regional emissions at the time of the previous conformity 
determination;
    (iii) The design concept and scope of each regionally significant 
project in the new plan and/or TIP are not significantly different from 
that described in the previous transportation plan; and
    (iv) The previous regional emissions analysis is consistent with the 
requirements of Sec. Sec.  93.118 (including that conformity to all 
currently applicable budgets is demonstrated) and/or 93.119, as 
applicable.
    (2) A project which is not from a conforming transportation plan and 
a conforming TIP may be demonstrated to satisfy the requirements of 
Sec.  93.118 or Sec.  93.119 without additional regional emissions 
analysis if allocating funds to the project will not delay the 
implementation of projects in the transportation plan or TIP which are 
necessary to achieve the highway and transit system envisioned by the 
transportation plan, the previous regional emissions analysis is still 
consistent with the requirements of Sec.  93.118 (including that 
conformity to all currently applicable budgets is demonstrated) and/or 
Sec.  93.119, as applicable, and if the project is either:
    (i) Not regionally significant; or
    (ii) Included in the conforming transportation plan (even if it is 
not specifically included in the latest conforming TIP) with design 
concept and scope adequate to determine its contribution to the 
transportation plan's regional emissions at the time of the 
transportation plan's conformity determination, and the design concept 
and scope of the project is not significantly different from that 
described in the transportation plan.
    (3) A conformity determination that relies on paragraph (g) of this 
section does not satisfy the frequency requirements of Sec.  93.104(b) 
or (c).

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40080, July 1, 2004]



Sec.  93.123  Procedures for determining localized CO, PM10, and PM2.5 
concentrations (hot-spot analysis).

    (a) CO hot-spot analysis. (1) The demonstrations required by Sec.  
93.116 (``Localized CO, PM10, and PM2.5 
violations'') must be based on quantitative analysis using the 
applicable air quality models, data bases, and other requirements 
specified in 40 CFR part 51, Appendix W (Guideline on Air Quality 
Models). These procedures shall be used in the following cases, unless 
different procedures developed through the interagency consultation 
process required in Sec.  93.105 and approved by the EPA Regional 
Administrator are used:
    (i) For projects in or affecting locations, areas, or categories of 
sites which are identified in the applicable implementation plan as 
sites of violation or possible violation;
    (ii) For projects affecting intersections that are at Level-of-
Service D, E, or F, or those that will change to Level-of-Service D, E, 
or F because of increased traffic volumes related to the project;
    (iii) For any project affecting one or more of the top three 
intersections in the nonattainment or maintenance area with highest 
traffic volumes, as identified in the applicable implementation plan; 
and
    (iv) For any project affecting one or more of the top three 
intersections in the nonattainment or maintenance area with the worst 
level of service, as identified in the applicable implementation plan.
    (2) In cases other than those described in paragraph (a)(1) of this 
section, the demonstrations required by Sec.  93.116 may be based on 
either:
    (i) Quantitative methods that represent reasonable and common 
professional practice; or
    (ii) A qualitative consideration of local factors, if this can 
provide a clear

[[Page 885]]

demonstration that the requirements of Sec.  93.116 are met.
    (3) DOT, in consultation with EPA, may also choose to make a 
categorical hot-spot finding that (93.116(a) is met without further hot-
spot analysis for any project described in paragraphs (a)(1) and (a)(2) 
of this section based on appropriate modeling. DOT, in consultation with 
EPA, may also consider the current air quality circumstances of a given 
CO nonattainment or maintenance area in categorical hot-spot findings 
for applicable FHWA or FTA projects.
    (b) PM10 and PM2.5 hot-spot analyses. (1) The 
hot-spot demonstration required by Sec.  93.116 must be based on 
quantitative analysis methods for the following types of projects:
    (i) New highway projects that have a significant number of diesel 
vehicles, and expanded highway projects that have a significant increase 
in the number of diesel vehicles;
    (ii) Projects affecting intersections that are at Level-of-Service 
D, E, or F with a significant number of diesel vehicles, or those that 
will change to Level-of-Service D, E, or F because of increased traffic 
volumes from a significant number of diesel vehicles related to the 
project;
    (iii) New bus and rail terminals and transfer points that have a 
significant number of diesel vehicles congregating at a single location;
    (iv) Expanded bus and rail terminals and transfer points that 
significantly increase the number of diesel vehicles congregating at a 
single location; and
    (v) Projects in or affecting locations, areas, or categories of 
sites which are identified in the PM10 or PM2.5 
applicable implementation plan or implementation plan submission, as 
appropriate, as sites of violation or possible violation.
    (2) Where quantitative analysis methods are not available, the 
demonstration required by Sec.  93.116 for projects described in 
paragraph (b)(1) of this section must be based on a qualitative 
consideration of local factors.
    (3) DOT, in consultation with EPA, may also choose to make a 
categorical hot-spot finding that Sec.  93.116 is met without further 
hot-spot analysis for any project described in paragraph (b)(1) of this 
section based on appropriate modeling. DOT, in consultation with EPA, 
may also consider the current air quality circumstances of a given 
PM2.5 or PM10 nonattainment or maintenance area in 
categorical hot-spot findings for applicable FHWA or FTA projects.
    (4) The requirements for quantitative analysis contained in this 
paragraph (b) will not take effect until EPA releases modeling guidance 
on this subject and announces in the Federal Register that these 
requirements are in effect.
    (c) General requirements. (1) Estimated pollutant concentrations 
must be based on the total emissions burden which may result from the 
implementation of the project, summed together with future background 
concentrations. The total concentration must be estimated and analyzed 
at appropriate receptor locations in the area substantially affected by 
the project.
    (2) Hot-spot analyses must include the entire project, and may be 
performed only after the major design features which will significantly 
impact concentrations have been identified. The future background 
concentration should be estimated by multiplying current background by 
the ratio of future to current traffic and the ratio of future to 
current emission factors.
    (3) Hot-spot analysis assumptions must be consistent with those in 
the regional emissions analysis for those inputs which are required for 
both analyses.
    (4) CO, PM10, or PM2.5 mitigation or control 
measures shall be assumed in the hot-spot analysis only where there are 
written commitments from the project sponsor and/or operator to 
implement such measures, as required by Sec.  93.125(a).
    (5) CO, PM10, and PM2.5 hot-spot analyses are 
not required to consider construction-related activities which cause 
temporary increases in emissions. Each site which is affected by 
construction-related activities shall be considered separately, using 
established ``Guideline'' methods. Temporary increases are defined as 
those

[[Page 886]]

which occur only during the construction phase and last five years or 
less at any individual site.

[58 FR 62235, Nov. 24, 1993, as amended at 71 FR 12510, Mar. 10, 2006; 
73 FR 4441, Jan. 24, 2008]



Sec.  93.124  Using the motor vehicle emissions budget in the applicable
implementation plan (or implementation plan submission).

    (a) In interpreting an applicable implementation plan (or 
implementation plan submission) with respect to its motor vehicle 
emissions budget(s), the MPO and DOT may not infer additions to the 
budget(s) that are not explicitly intended by the implementation plan 
(or submission). Unless the implementation plan explicitly quantifies 
the amount by which motor vehicle emissions could be higher while still 
allowing a demonstration of compliance with the milestone, attainment, 
or maintenance requirement and explicitly states an intent that some or 
all of this additional amount should be available to the MPO and DOT in 
the emissions budget for conformity purposes, the MPO may not interpret 
the budget to be higher than the implementation plan's estimate of 
future emissions. This applies in particular to applicable 
implementation plans (or submissions) which demonstrate that after 
implementation of control measures in the implementation plan:
    (1) Emissions from all sources will be less than the total emissions 
that would be consistent with a required demonstration of an emissions 
reduction milestone;
    (2) Emissions from all sources will result in achieving attainment 
prior to the attainment deadline and/or ambient concentrations in the 
attainment deadline year will be lower than needed to demonstrate 
attainment; or
    (3) Emissions will be lower than needed to provide for continued 
maintenance.
    (b) A conformity demonstration shall not trade emissions among 
budgets which the applicable implementation plan (or implementation plan 
submission) allocates for different pollutants or precursors, or among 
budgets allocated to motor vehicles and other sources, unless the 
implementation plan establishes appropriate mechanisms for such trades.
    (c) If the applicable implementation plan (or implementation plan 
submission) estimates future emissions by geographic subarea of the 
nonattainment area, the MPO and DOT are not required to consider this to 
establish subarea budgets, unless the applicable implementation plan (or 
implementation plan submission) explicitly indicates an intent to create 
such subarea budgets for the purposes of conformity.
    (d) If a nonattainment area includes more than one MPO, the 
implementation plan may establish motor vehicle emissions budgets for 
each MPO, or else the MPOs must collectively make a conformity 
determination for the entire nonattainment area.

[62 FR 43801. Aug. 15, 1997, as amended at 69 FR 40081, July 1, 2004]



Sec.  93.125  Enforceability of design concept and scope and project-level 
mitigation and control measures.

    (a) Prior to determining that a transportation project is in 
conformity, the MPO, other recipient of funds designated under title 23 
U.S.C. or the Federal Transit Laws, FHWA, or FTA must obtain from the 
project sponsor and/or operator written commitments to implement in the 
construction of the project and operation of the resulting facility or 
service any project-level mitigation or control measures which are 
identified as conditions for NEPA process completion with respect to 
local CO, PM10, or PM2.5 impacts. Before a 
conformity determination is made, written commitments must also be 
obtained for project-level mitigation or control measures which are 
conditions for making conformity determinations for a transportation 
plan or TIP and are included in the project design concept and scope 
which is used in the regional emissions analysis required by Sec. Sec.  
93.118 (``Motor vehicle emissions budget'') and 93.119 (``Interim 
emissions in areas without motor vehicle emissions budgets'') or used in 
the project-level hot-spot analysis required by Sec.  93.116.

[[Page 887]]

    (b) Project sponsors voluntarily committing to mitigation measures 
to facilitate positive conformity determinations must comply with the 
obligations of such commitments.
    (c) The implementation plan revision required in Sec.  51.390 of 
this chapter shall provide that written commitments to mitigation 
measures must be obtained prior to a positive conformity determination, 
and that project sponsors must comply with such commitments.
    (d) If the MPO or project sponsor believes the mitigation or control 
measure is no longer necessary for conformity, the project sponsor or 
operator may be relieved of its obligation to implement the mitigation 
or control measure if it can demonstrate that the applicable hot-spot 
requirements of Sec.  93.116, emission budget requirements of Sec.  
93.118, and interim emissions requirements of Sec.  93.119 are satisfied 
without the mitigation or control measure, and so notifies the agencies 
involved in the interagency consultation process required under Sec.  
93.105. The MPO and DOT must find that the transportation plan and TIP 
still satisfy the applicable requirements of Sec. Sec.  93.118 and/or 
93.119 and that the project still satisfies the requirements of Sec.  
93.116, and therefore that the conformity determinations for the 
transportation plan, TIP, and project are still valid. This finding is 
subject to the applicable public consultation requirements in Sec.  
93.105(e) for conformity determinations for projects.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40081, July 1, 2004; 71 
FR 12510, Mar. 10, 2006]



Sec.  93.126  Exempt projects.

    Notwithstanding the other requirements of this subpart, highway and 
transit projects of the types listed in table 2 of this section are 
exempt from the requirement to determine conformity. Such projects may 
proceed toward implementation even in the absence of a conforming 
transportation plan and TIP. A particular action of the type listed in 
table 2 of this section is not exempt if the MPO in consultation with 
other agencies (see Sec.  93.105(c)(1)(iii)), the EPA, and the FHWA (in 
the case of a highway project) or the FTA (in the case of a transit 
project) concur that it has potentially adverse emissions impacts for 
any reason. States and MPOs must ensure that exempt projects do not 
interfere with TCM implementation. Table 2 follows:

                        Table 2--Exempt Projects

                                 Safety

Railroad/highway crossing.
Projects that correct, improve, or eliminate a hazardous location or 
feature.
Safer non-Federal-aid system roads.
Shoulder improvements.
Increasing sight distance.
Highway Safety Improvement Program implementation.
Traffic control devices and operating assistance other than 
signalization projects.
Railroad/highway crossing warning devices.
Guardrails, median barriers, crash cushions.
Pavement resurfacing and/or rehabilitation.
Pavement marking.
Emergency relief (23 U.S.C. 125).
Fencing.
Skid treatments.
Safety roadside rest areas.
Adding medians.
Truck climbing lanes outside the urbanized area.
Lighting improvements.
Widening narrow pavements or reconstructing bridges (no additional 
travel lanes).
Emergency truck pullovers.

                              Mass Transit

Operating assistance to transit agencies.
Purchase of support vehicles.
Rehabilitation of transit vehicles \1\.
Purchase of office, shop, and operating equipment for existing 
facilities.
Purchase of operating equipment for vehicles (e.g., radios, fareboxes, 
lifts, etc.).
Construction or renovation of power, signal, and communications systems.
Construction of small passenger shelters and information kiosks.
Reconstruction or renovation of transit buildings and structures (e.g., 
rail or bus buildings, storage and maintenance facilities, stations, 
terminals, and ancillary structures).
Rehabilitation or reconstruction of track structures, track, and 
trackbed in existing rights-of-way.
Purchase of new buses and rail cars to replace existing vehicles or for 
minor expansions of the fleet \1\.
Construction of new bus or rail storage/maintenance facilities 
categorically excluded in 23 CFR part 771.

[[Page 888]]

                               Air Quality

Continuation of ride-sharing and van-pooling promotion activities at 
current levels.
Bicycle and pedestrian facilities.

                                  Other

Specific activities which do not involve or lead directly to 
construction, such as:
    Planning and technical studies.
    Grants for training and research programs.
    Planning activities conducted pursuant to titles 23 and 49 U.S.C.
    Federal-aid systems revisions.
Engineering to assess social, economic, and environmental effects of the 
proposed action or alternatives to that action.
Noise attenuation.
Emergency or hardship advance land acquisitions (23 CFR 710.503).
Acquisition of scenic easements.
Plantings, landscaping, etc.
Sign removal.
Directional and informational signs.
Transportation enhancement activities (except rehabilitation and 
operation of historic transportation buildings, structures, or 
facilities).
Repair of damage caused by natural disasters, civil unrest, or terrorist 
acts, except projects involving substantial functional, locational or 
capacity changes.
    Note: \1\In PM10 and PM2.5 nonattainment or 
maintenance areas, such projects are exempt only if they are in 
compliance with control measures in the applicable implementation plan.

[62 FR 43801, Aug. 15, 1997, as amended at 69 FR 40081, July 1, 2004; 71 
FR 12510, Mar. 10, 2006; 73 FR 4441, Jan. 24, 2008]



Sec.  93.127  Projects exempt from regional emissions analyses.

    Notwithstanding the other requirements of this subpart, highway and 
transit projects of the types listed in Table 3 of this section are 
exempt from regional emissions analysis requirements. The local effects 
of these projects with respect to CO concentrations must be considered 
to determine if a hot-spot analysis is required prior to making a 
project-level conformity determination. The local effects of projects 
with respect to PM10 and PM2.5 concentrations must 
be considered and a hot-spot analysis performed prior to making a 
project-level conformity determination, if a project in Table 3 also 
meets the criteria in Sec.  93.123(b)(1). These projects may then 
proceed to the project development process even in the absence of a 
conforming transportation plan and TIP. A particular action of the type 
listed in Table 3 of this section is not exempt from regional emissions 
analysis if the MPO in consultation with other agencies (see Sec.  
93.105(c)(1)(iii)), the EPA, and the FHWA (in the case of a highway 
project) or the FTA (in the case of a transit project) concur that it 
has potential regional impacts for any reason. Table 3 follows:

        Table 3--Projects Exempt From Regional Emissions Analyses

Intersection channelization projects.
Intersection signalization projects at individual intersections.
Interchange reconfiguration projects.
Changes in vertical and horizontal alignment.
Truck size and weight inspection stations.
Bus terminals and transfer points.

[58 FR 62235, Nov. 24, 1993, as amended at 71 FR 12511, Mar. 10, 2006]



Sec.  93.128  Traffic signal synchronization projects.

    Traffic signal synchronization projects may be approved, funded, and 
implemented without satisfying the requirements of this subpart. 
However, all subsequent regional emissions analyses required by 
Sec. Sec.  93.118 and 93.119 for transportation plans, TIPs, or projects 
not from a conforming plan and TIP must include such regionally 
significant traffic signal synchronization projects.



Sec.  93.129  Special exemptions from conformity requirements for pilot
program areas.

    EPA and DOT may exempt no more than six areas for no more than three 
years from certain requirements of this subpart if these areas are 
selected to participate in a conformity pilot program and have developed 
alternative requirements that have been approved by EPA as an 
implementation plan revision in accordance with Sec.  51.390 of this 
chapter. For the duration of the pilot program, areas selected to 
participate in the pilot program must comply with the conformity 
requirements of the pilot area's implementation plan revision for Sec.  
51.390 of this chapter and all other requirements in 40 CFR parts 51 and 
93 that are not covered by the pilot area's implementation plan revision 
for Sec.  51.390 of this

[[Page 889]]

chapter. The alternative conformity requirements in conjunction with any 
applicable state and/or federal conformity requirements must be proposed 
to fulfill all of the requirements of and achieve results equivalent to 
or better than section 176(c) of the Clean Air Act. After the three-year 
duration of the pilot program has expired, areas will again be subject 
to all of the requirements of this subpart and 40 CFR part 51, subpart 
T, and/or to the requirements of any implementation plan revision that 
was previously approved by EPA in accordance with Sec.  51.390 of this 
chapter.

[64 FR 13483, Mar. 18, 1999]



Subpart B_Determining Conformity of General Federal Actions to State or 
                      Federal Implementation Plans

    Source: 58 FR 63253, Nov. 30, 1993, unless otherwise noted.



Sec.  93.150  Prohibition.

    (a) No department, agency or instrumentality of the Federal 
Government shall engage in, support in any way or provide financial 
assistance for, license or permit, or approve any activity which does 
not conform to an applicable implementation plan.
    (b) A Federal agency must make a determination that a Federal action 
conforms to the applicable implementation plan in accordance with the 
requirements of this subpart before the action is taken.
    (c) [Reserved]
    (d) Notwithstanding any provision of this subpart, a determination 
that an action is in conformance with the applicable implementation plan 
does not exempt the action from any other requirements of the applicable 
implementation plan, the National Environmental Policy Act (NEPA), or 
the Clean Air Act (Act).
    (e) If an action would result in emissions originating in more than 
one nonattainment or maintenance area, the conformity must be evaluated 
for each area separately.

[58 FR 63253, Nov. 30, 1993; 58 FR 67442, Dec. 21, 1993; 75 FR 17272, 
Apr. 5, 2010]



Sec.  93.151  State implementation plan (SIP) revision.

    The provisions and requirements of this subpart to demonstrate 
conformity required under section 176(c) of the Clean Air Act (CAA) 
apply to all Federal actions in designated nonattainment and maintenance 
areas where EPA has not approved the General Conformity SIP revision 
allowed under 40 CFR 51.851. When EPA approves a State's or Tribe's 
conformity provisions (or a portion thereof) in a revision to an 
applicable implementation plan, a conformity evaluation is governed by 
the approved (or approved portion of the) State or Tribe's criteria and 
procedures. The Federal conformity regulations contained in this subpart 
apply only for the portions, if any, of the part 93 requirements not 
contained in the State or Tribe conformity provisions approved by EPA. 
In addition, any previously applicable implementation plan conformity 
requirements remain enforceable until the EPA approves the revision to 
the applicable SIP to specifically include the revised requirements or 
remove requirements.

[75 FR 17272, Apr. 5, 2010]



Sec.  93.152  Definitions.

    Terms used but not defined in this part shall have the meaning given 
them by the Act and EPA's regulations (40 CFR chapter I), in that order 
of priority.
    Affected Federal land manager means the Federal agency or the 
Federal official charged with direct responsibility for management of an 
area designated as Class I under the Act (42 U.S.C. 7472) that is 
located within 100 km of the proposed Federal action.
    Applicability analysis is the process of determining if your Federal 
action must be supported by a conformity determination.
    Applicable implementation plan or applicable SIP means the portion 
(or portions) of the SIP or most recent revision thereof, which has been 
approved under section 110(k) of the Act, a Federal implementation plan 
promulgated under section 110(c) of the Act, or a plan promulgated or 
approved pursuant

[[Page 890]]

to section 301 (d) of the Act (Tribal implementation plan or TIP) and 
which implements the relevant requirements of the Act.
    Areawide air quality modeling analysis means an assessment on a 
scale that includes the entire nonattainment or maintenance area using 
an air quality dispersion model or photochemical grid model to determine 
the effects of emissions on air quality, for example, an assessment 
using EPA's community multi-scale air quality (CMAQ) modeling system.
    Cause or contribute to a new violation means a Federal action that:
    (1) Causes a new violation of a national ambient air quality 
standard (NAAQS) at a location in a nonattainment or maintenance area 
which would otherwise not be in violation of the standard during the 
future period in question if the Federal action were not taken; or
    (2) Contributes, in conjunction with other reasonably foreseeable 
actions, to a new violation of a NAAQS at a location in a nonattainment 
or maintenance area in a manner that would increase the frequency or 
severity of the new violation.
    Caused by, as used in the terms ``direct emissions'' and ``indirect 
emissions,'' means emissions that would not otherwise occur in the 
absence of the Federal action.
    Confidential business information (CBI) means information that has 
been determined by a Federal agency, in accordance with its applicable 
regulations, to be a trade secret, or commercial or financial 
information obtained from a person and privileged or confidential and is 
exempt from required disclosure under the Freedom of Information Act (5 
U.S.C. 552(b)(4)).
    Conformity determination is the evaluation (made after an 
applicability analysis is completed) that a Federal action conforms to 
the applicable implementation plan and meets the requirements of this 
subpart.
    Conformity evaluation is the entire process from the applicability 
analysis through the conformity determination that is used to 
demonstrate that the Federal action conforms to the requirements of this 
subpart.
    Continuing program responsibility means a Federal agency has 
responsibility for emissions caused by:
    (1) Actions it takes itself; or
    (2) Actions of non-Federal entities that the Federal agency, in 
exercising its normal programs and authorities, approves, funds, 
licenses or permits, provided the agency can impose conditions on any 
portion of the action that could affect the emissions.
    Continuous program to implement means that the Federal agency has 
started the action identified in the plan and does not stop the actions 
for more than an 18-month period, unless it can demonstrate that such a 
stoppage was included in the original plan.
    Criteria pollutant or standard means any pollutant for which there 
is established a NAAQS at 40 CFR part 50.
    Direct emissions means those emissions of a criteria pollutant or 
its precursors that are caused or initiated by the Federal action and 
originate in a nonattainment or maintenance area and occur at the same 
time and place as the action and are reasonably foreseeable.
    Emergency means a situation where extremely quick action on the part 
of the Federal agencies involved is needed and where the timing of such 
Federal activities makes it impractical to meet the requirements of this 
subpart, such as natural disasters like hurricanes or earthquakes, civil 
disturbances such as terrorist acts and military mobilizations.
    Emission inventory means a listing of information on the location, 
type of source, type and quantity of pollutant emitted as well as other 
parameters of the emissions.
    Emissions budgets are those portions of the applicable SIP's 
projected emission inventories that describe the levels of emissions 
(mobile, stationary, area, etc.) that provide for meeting reasonable 
further progress milestones, attainment, and/or maintenance for any 
criteria pollutant or its precursors.
    Emissions offsets, for purposes of Sec.  93.158, are emissions 
reductions which are quantifiable, consistent with the applicable SIP 
attainment and reasonable further progress demonstrations, surplus to 
reductions required by, and

[[Page 891]]

credited to, other applicable SIP provisions, enforceable at both the 
State and Federal levels, and permanent within the timeframe specified 
by the program.
    EPA means the U.S. Environmental Protection Agency.
    Federal action means any activity engaged in by a department, 
agency, or instrumentality of the Federal government, or any activity 
that a department, agency or instrumentality of the Federal government 
supports in any way, provides financial assistance for, licenses, 
permits, or approves, other than activities related to transportation 
plans, programs, and projects developed, funded, or approved under title 
23 U.S.C. or the Federal Transit Act (49 U.S.C. 1601 et seq.). Where the 
Federal action is a permit, license, or other approval for some aspect 
of a non-Federal undertaking, the relevant activity is the part, 
portion, or phase of the non-Federal undertaking that requires the 
Federal permit, license, or approval.
    Federal agency means, for purposes of this subpart, a Federal 
department, agency, or instrumentality of the Federal government.
    Increase the frequency or severity of any existing violation of any 
standard in any area means to cause a nonattainment area to exceed a 
standard more often or to cause a violation at a greater concentration 
than previously existed and/or would otherwise exist during the future 
period in question, if the project were not implemented.
    Indirect emissions means those emissions of a criteria pollutant or 
its precursors:
    (1) That are caused or initiated by the Federal action and originate 
in the same nonattainment or maintenance area but occur at a different 
time or place as the action;
    (2) That are reasonably foreseeable;
    (3) That the agency can practically control; and
    (4) For which the agency has continuing program responsibility.
    For the purposes of this definition, even if a Federal licensing, 
rulemaking or other approving action is a required initial step for a 
subsequent activity that causes emissions, such initial steps do not 
mean that a Federal agency can practically control any resulting 
emissions.
    Local air quality modeling analysis means an assessment of localized 
impacts on a scale smaller than the entire nonattainment or maintenance 
area, including, for example, congested roadways on a Federal facility, 
which uses an air quality dispersion model (e.g., Industrial Source 
Complex Model or Emission and Dispersion Model System) to determine the 
effects of emissions on air quality.
    Maintenance area means an area that was designated as nonattainment 
and has been re-designated in 40 CFR part 81 to attainment, meeting the 
provisions of section 107(d)(3)(E) of the Act and has a maintenance plan 
approved under section 175A of the Act.
    Maintenance plan means a revision to the applicable SIP, meeting the 
requirements of section 175A of the Act.
    Metropolitan Planning Organization (MPO) means the policy board of 
an organization created as a result of the designation process in 23 
U.S.C. 134(d).
    Milestone has the meaning given in sections 182(g)(1) and 189(c)(1) 
of the Act.
    Mitigation measure means any method of reducing emissions of the 
pollutant or its precursor taken at the location of the Federal action 
and used to reduce the impact of the emissions of that pollutant caused 
by the action.
    National ambient air quality standards (NAAQS) are those standards 
established pursuant to section 109 of the Act and include standards for 
carbon monoxide (CO2), lead (Pb), nitrogen dioxide 
(NO2), ozone, particulate matter (PM-10 and PM2.5), and 
sulfur dioxide (SO2).
    Nonattainment area means an area designated as nonattainment under 
section 107 of the Act and described in 40 CFR part 81.
    Precursors of a criteria pollutant are:
    (1) For ozone, nitrogen oxides (NOx), unless an area is exempted 
from NOx requirements under section 182(f) of the Act, and volatile 
organic compounds (VOC).
    (2) For PM-10, those pollutants described in the PM-10 nonattainment 
area applicable SIP as significant contributors to the PM-10 levels.
    (3) For PM2.5:

[[Page 892]]

    (i) Sulfur dioxide (SO2) in all PM2.5 nonattainment and 
maintenance areas,
    (ii) Nitrogen oxides in all PM2.5 nonattainment and maintenance 
areas unless both the State and EPA determine that it is not a 
significant precursor, and
    (iii) Volatile organic compounds (VOC) and ammonia (NH3) only in 
PM2.5 nonattainment or maintenance areas where either the State or EPA 
determines that they are significant precursors.
    Reasonably foreseeable emissions are projected future direct and 
indirect emissions that are identified at the time the conformity 
determination is made; the location of such emissions is known and the 
emissions are quantifiable as described and documented by the Federal 
agency based on its own information and after reviewing any information 
presented to the Federal agency.
    Regional water and/or wastewater projects include construction, 
operation, and maintenance of water or wastewater conveyances, water or 
wastewater treatment facilities, and water storage reservoirs which 
affect a large portion of a nonattainment or maintenance area.
    Restricted information is information that is privileged or that is 
otherwise protected from disclosure pursuant to applicable statutes, 
Executive Orders, or regulations. Such information includes, but is not 
limited to: Classified national security information, protected critical 
infrastructure information, sensitive security information, and 
proprietary business information.
    Take or start the Federal action means the date that the Federal 
agency signs or approves the permit, license, grant or contract or 
otherwise physically begins the Federal action that requires a 
conformity evaluation under this subpart.
    Total of direct and indirect emissions means the sum of direct and 
indirect emissions increases and decreases caused by the Federal action; 
i.e., the ``net'' emissions considering all direct and indirect 
emissions. The portion of emissions which are exempt or presumed to 
conform under Sec.  93.153 (c), (d), (e), or (f) are not included in the 
``total of direct and indirect emissions.'' The ``total of direct and 
indirect emissions'' includes emissions of criteria pollutants and 
emissions of precursors of criteria pollutants.
    Tribal implementation plan (TIP) means a plan to implement the 
national ambient air quality standards adopted and submitted by a 
federally recognized Indian tribal government determined to be eligible 
under 40 CFR 49.9 and the plan has been approved by EPA.

[58 FR 63253, Nov. 30, 1993, as amended at 71 FR 40427, July 17, 2006; 
75 FR 17273, Apr. 3, 2010]



Sec.  93.153  Applicability.

    (a) Conformity determinations for Federal actions related to 
transportation plans, programs, and projects developed, funded, or 
approved under title 23 U.S.C. or the Federal Transit Act (49 U.S.C. 
1601 et seq.) must meet the procedures and criteria of 40 CFR part 51, 
subpart T, in lieu of the procedures set forth in this subpart.
    (b) For Federal actions not covered by paragraph (a) of this 
section, a conformity determination is required for each criteria 
pollutant or precursor where the total of direct and indirect emissions 
of the criteria pollutant or precursor in a nonattainment or maintenance 
area caused by a Federal action would equal or exceed any of the rates 
in paragraphs (b)(1) or (2) of this section.
    (1) For purposes of paragraph (b) of this section the following 
rates apply in nonattainment areas (NAA's):

------------------------------------------------------------------------
                                                               Tons/year
------------------------------------------------------------------------
Ozone (VOC's or NOX):
  Serious NAA's..............................................         50
  Severe NAA's...............................................         25
  Extreme NAA's..............................................         10
  Other ozone NAA's outside an ozone transport region........        100
Other ozone NAA's inside an ozone transport region:
  VOC........................................................         50
  NOX........................................................        100
Carbon Monoxide: All maintenance areas.......................        100
SO2 or NO2: All NAA's........................................        100
PM10:
  Moderate NAA's.............................................        100
  Serious NAA's..............................................         70
PM2.5 (direct emissions, SO2, NOX, VOC, and Ammonia):
  Moderate NAA's.............................................        100
  Serious NAA's..............................................         70
Pb: All NAA's................................................         25
------------------------------------------------------------------------


[[Page 893]]

    (2) For purposes of paragraph (b) of this section the following 
rates apply in maintenance areas:

------------------------------------------------------------------------
                                                               Tons/year
------------------------------------------------------------------------
Ozone (NOX), SO2 or NO2:
  All maintenance areas......................................        100
  Ozone (VOC's)..............................................
  Maintenance areas inside an ozone transport region.........         50
  Maintenance areas outside an ozone transport region........        100
  Carbon monoxide: All maintenance areas.....................        100
  PM10: All maintenance areas................................        100
  PM2.5 (direct emissions, SO2, NOX, VOC, and Ammonia).......        100
  All maintenance areas......................................        100
  Pb: All maintenance areas..................................         25
------------------------------------------------------------------------

    (c) The requirements of this subpart shall not apply to the 
following Federal actions:
    (1) Actions where the total of direct and indirect emissions are 
below the emissions levels specified in paragraph (b) of this section.
    (2) Actions which would result in no emissions increase or an 
increase in emissions that is clearly de minimis:
    (i) Judicial and legislative proceedings.
    (ii) Continuing and recurring activities such as permit renewals 
where activities conducted will be similar in scope and operation to 
activities currently being conducted.
    (iii) Rulemaking and policy development and issuance.
    (iv) Routine maintenance and repair activities, including repair and 
maintenance of administrative sites, roads, trails, and facilities.
    (v) Civil and criminal enforcement activities, such as 
investigations, audits, inspections, examinations, prosecutions, and the 
training of law enforcement personnel.
    (vi) Administrative actions such as personnel actions, 
organizational changes, debt management or collection, cash management, 
internal agency audits, program budget proposals, and matters relating 
to the administration and collection of taxes, duties and fees.
    (vii) The routine, recurring transportation of materiel and 
personnel.
    (viii) Routine movement of mobile assets, such as ships and 
aircraft, in home port reassignments and stations (when no new support 
facilities or personnel are required) to perform as operational groups 
and/or for repair or overhaul.
    (ix) Maintenance dredging and debris disposal where no new depths 
are required, applicable permits are secured, and disposal will be at an 
approved disposal site.
    (x) Actions, such as the following, with respect to existing 
structures, properties, facilities and lands where future activities 
conducted will be similar in scope and operation to activities currently 
being conducted at the existing structures, properties, facilities, and 
lands; for example, relocation of personnel, disposition of federally-
owned existing structures, properties, facilities, and lands, rent 
subsidies, operation and maintenance cost subsidies, the exercise of 
receivership or conservatorship authority, assistance in purchasing 
structures, and the production of coins and currency.
    (xi) The granting of leases, licenses such as for exports and trade, 
permits, and easements where activities conducted will be similar in 
scope and operation to activities currently being conducted.
    (xii) Planning, studies, and provision of technical assistance.
    (xiii) Routine operation of facilities, mobile assets and equipment.
    (xiv) Transfers of ownership, interests, and titles in land, 
facilities, and real and personal properties, regardless of the form or 
method of the transfer.
    (xv) The designation of empowerment zones, enterprise communities, 
or viticultural areas.
    (xvi) Actions by any of the Federal banking agencies or the Federal 
Reserve Banks, including actions regarding charters, applications, 
notices, licenses, the supervision or examination of depository 
institutions or depository institution holding companies, access to the 
discount window, or the provision of financial services to banking 
organizations or to any department, agency or instrumentality of the 
United States.
    (xvii) Actions by the Board of Governors of the Federal Reserve 
System or any Federal Reserve Bank necessary to effect monetary or 
exchange rate policy.

[[Page 894]]

    (xviii) Actions that implement a foreign affairs function of the 
United States.
    (xix) Actions (or portions thereof) associated with transfers of 
land, facilities, title, and real properties through an enforceable 
contract or lease agreement where the delivery of the deed is required 
to occur promptly after a specific, reasonable condition is met, such as 
promptly after the land is certified as meeting the requirements of 
CERCLA, and where the Federal agency does not retain continuing 
authority to control emissions associated with the lands, facilities, 
title, or real properties.
    (xx) Transfers of real property, including land, facilities, and 
related personal property from a Federal entity to another Federal 
entity and assignments of real property, including land, facilities, and 
related personal property from a Federal entity to another Federal 
entity for subsequent deeding to eligible applicants.
    (xxi) Actions by the Department of the Treasury to effect fiscal 
policy and to exercise the borrowing authority of the United States.
    (xxii) Air traffic control activities and adopting approach, 
departure, and enroute procedures for aircraft operations above the 
mixing height specified in the applicable SIP or TIP. Where the 
applicable SIP or TIP does not specify a mixing height, the Federal 
agency can use the 3,000 feet above ground level as a default mixing 
height, unless the agency demonstrates that use of a different mixing 
height is appropriate because the change in emissions at and above that 
height caused by the Federal action is de minimis.
    (3) Actions where the emissions are not reasonably foreseeable, such 
as the following:
    (i) Initial Outer Continental Shelf lease sales which are made on a 
broad scale and are followed by exploration and development plans on a 
project level.
    (ii) Electric power marketing activities that involve the 
acquisition, sale and transmission of electric energy.
    (4) Actions which implement a decision to conduct or carry out a 
conforming program such as prescribed burning actions which are 
consistent with a conforming land management plan.
    (d) Notwithstanding the other requirements of this subpart, a 
conformity determination is not required for the following Federal 
actions (or portion thereof):
    (1) The portion of an action that includes major or minor new or 
modified stationary sources that require a permit under the new source 
review (NSR) program (Section 110(a)(2)(c) and Section 173 of the Act) 
or the prevention of significant deterioration program (title I, part C 
of the Act).
    (2) Actions in response to emergencies which are typically commenced 
on the order of hours or days after the emergency and, if applicable, 
which meet the requirements of paragraph (e) of this section.
    (3) Research, investigations, studies, demonstrations, or training 
(other than those exempted under paragraph (c)(2) of this section), 
where no environmental detriment is incurred and/or, the particular 
action furthers air quality research, as determined by the State agency 
primarily responsible for the applicable SIP;
    (4) Alteration and additions of existing structures as specifically 
required by new or existing applicable environmental legislation or 
environmental regulations (e.g., hush houses for aircraft engines and 
scrubbers for air emissions).
    (5) Direct emissions from remedial and removal actions carried out 
under the Comprehensive Environmental Response, Compensation and 
Liability Act and associated regulations to the extent such emissions 
either comply with the substantive requirements of the PSD/NSR 
permitting program or are exempted from other environmental regulation 
under the provisions of CERCLA and applicable regulations issued under 
CERCLA.
    (e) Federal actions which are part of a continuing response to an 
emergency or disaster under paragraph (d)(2) of this section and which 
are to be taken more than 6 months after the commencement of the 
response to the emergency or disaster under paragraph (d)(2) of this 
section are exempt from

[[Page 895]]

the requirements of this subpart only if:
    (1) The Federal agency taking the actions makes a written 
determination that, for a specified period not to exceed an additional 6 
months, it is impractical to prepare the conformity analyses which would 
otherwise be required and the actions cannot be delayed due to 
overriding concerns for public health and welfare, national security 
interests and foreign policy commitments; or
    (2) For actions which are to be taken after those actions covered by 
paragraph (e)(1) of this section, the Federal agency makes a new 
determination as provided in paragraph (e)(1) of this section and:
    (i) Provides a draft copy of the written determinations required to 
affected EPA Regional office(s), the affected State(s) and/or air 
pollution control agencies, and any Federal recognized Indian tribal 
government in the nonattainment or maintenance area. Those organizations 
must be allowed 15 days from the beginning of the extension period to 
comment on the draft determination; and
    (ii) Within 30 days after making the determination, publish a notice 
of the determination by placing a prominent advertisement in a daily 
newspaper of general circulation in the area affected by the action.
    (3) If additional actions are necessary in response to an emergency 
or disaster under paragraph (d)(2) of this section beyond the specified 
time period in paragraph (e)(2) of this section, a Federal agency can 
make a new written determination as described in (e)(2) of this section 
for as many 6-month periods as needed, but in no case shall this 
exemption extend beyond three 6-month periods except where an agency:
    (i) Provides information to EPA and the State or Tribe stating that 
the conditions that gave rise to the emergency exemption continue to 
exist and how such conditions effectively prevent the agency from 
conducting a conformity evaluation.
    (ii) [Reserved]
    (f) Notwithstanding other requirements of this subpart, actions 
specified by individual Federal agencies that have met the criteria set 
forth in either paragraphs (g)(1), (g)(2), or (g)(3) of this section and 
the procedures set forth in paragraph (h) of this section are ``presumed 
to conform,'' except as provided in paragraph (j) of this section. 
Actions specified by individual Federal agencies as ``presumed to 
conform'' may not be used in combination with one another when the total 
direct and indirect emissions from the combination of actions would 
equal or exceed any of the rates specified in paragraphs (b)(1) or (2) 
of this section.
    (g) The Federal agency must meet the criteria for establishing 
activities that are ``presumed to conform'' by fulfilling the 
requirements set forth in either paragraphs (g)(1), (g)(2), or (g)(3) of 
this section:
    (1) The Federal agency must clearly demonstrate using methods 
consistent with this subpart that the total of direct and indirect 
emissions from the type of activities which would be presumed to conform 
would not:
    (i) Cause or contribute to any new violation of any standard in any 
area;
    (ii) Interfere with provisions in the applicable SIP for maintenance 
of any standard;
    (iii) Increase the frequency or severity of any existing violation 
of any standard in any area; or
    (iv) Delay timely attainment of any standard or any required interim 
emission reductions or other milestones in any area including, where 
applicable, emission levels specified in the applicable SIP for purposes 
of:
    (A) A demonstration of reasonable further progress;
    (B) A demonstration of attainment; or
    (C) A maintenance plan; or
    (2) The Federal agency must provide documentation that the total of 
direct and indirect emissions from such future actions would be below 
the emission rates for a conformity determination that are established 
in paragraph (b) of this section, based, for example, on similar actions 
taken over recent years.
    (3) The Federal agency must clearly demonstrate that the emissions 
from the type or category of actions and the amount of emissions from 
the action are included in the applicable SIP and the State, local, or 
tribal air quality

[[Page 896]]

agencies responsible for the SIP(s) or TIP(s) provide written 
concurrence that the emissions from the actions along with all other 
expected emissions in the area will not exceed the emission budget in 
the SIP.
    (h) In addition to meeting the criteria for establishing exemptions 
set forth in paragraphs (g)(1), (g)(2), or (g)(3) of this section, the 
following procedures must also be complied with to presume that 
activities will conform:
    (1) The Federal agency must identify through publication in the 
Federal Register its list of proposed activities that are ``presumed to 
conform'' and the basis for the presumptions. The notice must clearly 
identify the type and size of the action that would be ``presumed to 
conform'' and provide criteria for determining if the type and size of 
action qualifies it for the presumption;
    (2) The Federal agency must notify the appropriate EPA Regional 
Office(s), State, local, and tribal air quality agencies and, where 
applicable, the agency designated under section 174 of the Act and the 
MPO and provide at least 30 days for the public to comment on the list 
of proposed activities ``presumed to conform.'' If the ``presumed to 
conform'' action has regional or national application (e.g., the action 
will cause emission increases in excess of the de minimis levels 
identified in paragraph (b) of this section in more than one of EPA's 
Regions), the Federal agency, as an alternative to sending it to EPA 
Regional Offices, can send the draft conformity determination to U.S. 
EPA, Office of Air Quality Planning and Standards;
    (3) The Federal agency must document its response to all the 
comments received and make the comments, response, and final list of 
activities available to the public upon request; and
    (4) The Federal agency must publish the final list of such 
activities in the Federal Register.
    (i) Emissions from the following actions are ``presumed to 
conform'':
    (1) Actions at installations with facility-wide emission budgets 
meeting the requirements in Sec.  93.161 provided that the State or 
Tribe has included the emission budget in the EPA-approved SIP and the 
emissions from the action along with all other emissions from the 
installation will not exceed the facility-wide emission budget.
    (2) Prescribed fires conducted in accordance with a smoke management 
program (SMP) which meets the requirements of EPA's Interim Air Quality 
Policy on Wildland and Prescribed Fires or an equivalent replacement EPA 
policy.
    (3) Emissions for actions that the State or Tribe identifies in the 
EPA-approved SIP or TIP as ``presumed to conform.''
    (j) Even though an action would otherwise be ``presumed to conform'' 
under paragraph (f) or (i) of this section, an action shall not be 
``presumed to conform'' and the requirements of Sec.  93.150, Sec.  
93.151, Sec. Sec.  93.154 through 93.160 and Sec. Sec.  93.162 through 
93.164 shall apply to the action if EPA or a third party shows that the 
action would:
    (1) Cause or contribute to any new violation of any standard in any 
area;
    (2) Interfere with provisions in the applicable SIP or TIP for 
maintenance of any standard;
    (3) Increase the frequency or severity of any existing violation of 
any standard in any area; or
    (4) Delay timely attainment of any standard or any required interim 
emissions reductions or other milestones in any area including, where 
applicable, emission levels specified in the applicable SIP or TIP for 
purposes of:
    (i) A demonstration of reasonable further progress;
    (ii) A demonstration of attainment; or
    (iii) A maintenance plan.
    (k) The provisions of this subpart shall apply in all nonattainment 
and maintenance areas except conformity requirements for newly 
designated nonattainment areas are not applicable until 1 year after the 
effective date of the final nonattainment designation for each NAAQS and 
pollutant in accordance with section 176(c)(6) of the Act.

[58 FR 63253, Nov. 30, 1993, as amended at 71 FR 40427, July 17, 2006; 
75 FR 17274, Apr. 5, 2010; 81 FR 58162, Aug. 24, 2016]

[[Page 897]]



Sec.  93.154  Federal agency conformity responsibility.

    Any department, agency, or instrumentality of the Federal government 
taking an action subject to this subpart must make its own conformity 
determination consistent with the requirements of this subpart. In 
making its conformity determination, a Federal agency must follow the 
requirements in Sec. Sec.  93.155 through 93.160 and Sec. Sec.  93.162 
through 93.165 and must consider comments from any interested parties. 
Where multiple Federal agencies have jurisdiction for various aspects of 
a project, a Federal agency may choose to adopt the analysis of another 
Federal agency or develop its own analysis in order to make its 
conformity determination.

[75 FR 17275, Apr. 5, 2010]



Sec.  93.155  Reporting requirements.

    (a) A Federal agency making a conformity determination under 
Sec. Sec.  93.154 through 93.160 and Sec. Sec.  93.162 through 93.164 
must provide to the appropriate EPA Regional Office(s), State and local 
air quality agencies, any federally-recognized Indian tribal government 
in the nonattainment or maintenance area, and, where applicable, 
affected Federal land managers, the agency designated under section 174 
of the Act and the MPO, a 30-day notice which describes the proposed 
action and the Federal agency's draft conformity determination on the 
action. If the action has multi-regional or national impacts (e.g., the 
action will cause emission increases in excess of the de minimis levels 
identified in Sec.  93.153(b) in three or more of EPA's Regions), the 
Federal agency, as an alternative to sending it to EPA Regional Offices, 
can provide the notice to EPA's Office of Air Quality Planning and 
Standards.
    (b) A Federal agency must notify the appropriate EPA Regional 
Office(s), State and local air quality agencies, any federally-
recognized Indian tribal government in the nonattainment or maintenance 
area, and, where applicable, affected Federal land managers, the agency 
designated under section 174 of the Clean Air Act and the MPO, within 30 
days after making a final conformity determination under this subpart.
    (c) The draft and final conformity determination shall exclude any 
restricted information or confidential business information. The 
disclosure of restricted information and confidential business 
information shall be controlled by the applicable laws, regulations, 
security manuals, or executive orders concerning the use, access, and 
release of such materials. Subject to applicable procedures to protect 
restricted information from public disclosure, any information or 
materials excluded from the draft or final conformity determination or 
supporting materials may be made available in a restricted information 
annex to the determination for review by Federal and State 
representatives who have received appropriate clearances to review the 
information.

[75 FR 17275, Apr. 5, 2010]



Sec.  93.156  Public participation.

    (a) Upon request by any person regarding a specific Federal action, 
a Federal agency must make available, subject to the limitation in 
paragraph (e) of this section, for review its draft conformity 
determination under Sec.  93.154 with supporting materials which 
describe the analytical methods and conclusions relied upon in making 
the applicability analysis and draft conformity determination.
    (b) A Federal agency must make public its draft conformity 
determination under Sec.  93.154 by placing a notice by prominent 
advertisement in a daily newspaper of general circulation in the area 
affected by the action and by providing 30 days for written public 
comment prior to taking any formal action on the draft determination. 
This comment period may be concurrent with any other public involvement, 
such as occurs in the National Environmental Policy Act (NEPA) process. 
If the action has multi-regional or national impacts (e.g., the action 
will cause emission increases in excess of the de minimis levels 
identified in Sec.  93.153(b) in three or more of EPA's Regions), the 
Federal agency, as an alternative to publishing separate notices, can 
publish a notice in the Federal Register.

[[Page 898]]

    (c) A Federal agency must document its response to all the comments 
received on its draft conformity determination under Sec.  93.154 and 
make the comments and responses available, subject to the limitation in 
paragraph (e) of this section, upon request by any person regarding a 
specific Federal action, within 30 days of the final conformity 
determination.
    (d) A Federal agency must make public its final conformity 
determination under Sec.  93.154 for a Federal action by placing a 
notice by prominent advertisement in a daily newspaper of general 
circulation in the area affected by the action within 30 days of the 
final conformity determination. If the action would have multi-regional 
or national impacts, the Federal agency, as an alternative, can publish 
the notice in the Federal Register.
    (e) The draft and final conformity determination shall exclude any 
restricted information or confidential business information. The 
disclosure of restricted information and confidential business 
information shall be controlled by the applicable laws, regulations or 
executive orders concerning the release of such materials.

[75 FR 17275, Apr. 5, 2010]



Sec.  93.157  Reevaluation of conformity.

    (a) Once a conformity determination is completed by a Federal 
agency, that determination is not required to be re-evaluated if the 
agency has maintained a continuous program to implement the action; the 
determination has not lapsed as specified in paragraph (b) of this 
section; or any modification to the action does not result in an 
increase in emissions above the levels specified in Sec.  93.153(b). If 
a conformity determination is not required for the action at the time 
NEPA analysis is completed, the date of the finding of no significant 
impact (FONSI) for an Environmental Assessment, a record of decision 
(ROD) for an Environmental Impact Statement, or a categorical exclusion 
determination can be used as a substitute date for the conformity 
determination date.
    (b) The conformity status of a Federal action automatically lapses 5 
years from the date a final conformity determination is reported under 
Sec.  93.155, unless the Federal action has been completed or a 
continuous program to implement the Federal action has commenced.
    (c) Ongoing Federal activities at a given site showing continuous 
progress are not new actions and do not require periodic re-
determinations so long as such activities are within the scope of the 
final conformity determination reported under Sec.  93.155.
    (d) If the Federal agency originally determined through the 
applicability analysis that a conformity determination was not necessary 
because the emissions for the action were below the limits in Sec.  
93.153(b) and changes to the action would result in the total emissions 
from the action being above the limits in Sec.  93.153(b), then the 
Federal agency must make a conformity determination.

[75 FR 17276, Apr. 5, 2010]



Sec.  93.158  Criteria for determining conformity of general 
Federal actions.

    (a) An action required under Sec.  93.153 to have a conformity 
determination for a specific pollutant, will be determined to conform to 
the applicable SIP if, for each pollutant that exceeds the rates in 
Sec.  93.153(b), or otherwise requires a conformity determination due to 
the total of direct and indirect emissions from the action, the action 
meets the requirements of paragraph (c) of this section, and meets any 
of the following requirements:
    (1) For any criteria pollutant or precursor, the total of direct and 
indirect emissions from the action are specifically identified and 
accounted for in the applicable SIP's attainment or maintenance 
demonstration or reasonable further progress milestone or in a facility-
wide emission budget included in a SIP in accordance with Sec.  93.161;
    (2) For precursors of ozone, nitrogen dioxide, or PM, the total of 
direct and indirect emissions from the action are fully offset within 
the same nonattainment or maintenance area (or nearby area of equal or 
higher classification provided the emissions from that area contribute 
to the violations, or have contributed to violations in the past, in the 
area with the Federal action) through a revision to the applicable SIP 
or a similarly enforceable measure

[[Page 899]]

that effects emissions reductions so that there is no net increase in 
emissions of that pollutant;
    (3) For any directly-emitted criteria pollutant, the total of direct 
and indirect emissions from the action meets the requirements:
    (i) Specified in paragraph (b) of this section, based on areawide 
air quality modeling analysis and local air quality modeling analysis; 
or
    (ii) Meet the requirements of paragraph (a)(5) of this section and, 
for local air quality modeling analysis, the requirement of paragraph 
(b) of this section;
    (4) For CO or directly emitted PM--
    (i) Where the State agency primarily responsible for the applicable 
SIP determines that an areawide air quality modeling analysis is not 
needed, the total of direct and indirect emissions from the action meet 
the requirements specified in paragraph (b) of this section, based on 
local air quality modeling analysis; or
    (ii) Where the State agency primarily responsible for the applicable 
SIP determines that an areawide air quality modeling analysis is 
appropriate and that a local air quality modeling analysis is not 
needed, the total of direct and indirect emissions from the action meet 
the requirements specified in paragraph (b) of this section, based on 
areawide modeling, or meet the requirements of paragraph (a)(5) of this 
section; or
    (5) For ozone or nitrogen dioxide, and for purposes of paragraphs 
(a)(3)(ii) and (a)(4)(ii) of this section, each portion of the action or 
the action as a whole meets any of the following requirements:
    (i) Where EPA has approved a revision to the applicable 
implementation plan after the area was designated as nonattainment and 
the State or Tribe makes a determination as provided in paragraph 
(a)(5)(i)(A) of this section or where the State or Tribe makes a 
commitment as provided in paragraph (a)(5)(i)(B) of this section:
    (A) The total of direct and indirect emissions from the action (or 
portion thereof) is determined and documented by the State agency 
primarily responsible for the applicable SIP to result in a level of 
emissions which, together with all other emissions in the nonattainment 
(or maintenance) area, would not exceed the emissions budgets specified 
in the applicable SIP;
    (B) The total of direct and indirect emissions from the action (or 
portion thereof) is determined by the State agency responsible for the 
applicable SIP to result in a level of emissions which, together with 
all other emissions in the nonattainment (or maintenance) area, would 
exceed an emissions budget specified in the applicable SIP and the State 
Governor or the Governor's designee for SIP actions makes a written 
commitment to EPA which includes the following:
    (1) A specific schedule for adoption and submittal of a revision to 
the SIP which would achieve the needed emission reductions prior to the 
time emissions from the Federal action would occur;
    (2) Identification of specific measures for incorporation into the 
SIP which would result in a level of emissions which, together with all 
other emissions in the nonattainment or maintenance area, would not 
exceed any emissions budget specified in the applicable SIP;
    (3) A demonstration that all existing applicable SIP requirements 
are being implemented in the area for the pollutants affected by the 
Federal action, and that local authority to implement additional 
requirements has been fully pursued;
    (4) A determination that the responsible Federal agencies have 
required all reasonable mitigation measures associated with their 
action; and
    (5) Written documentation including all air quality analyses 
supporting the conformity determination;
    (C) Where a Federal agency made a conformity determination based on 
a State's or Tribe's commitment under paragraph (a)(5)(i)(B) of this 
section and the State has submitted a SIP or TIP to EPA covering the 
time period during which the emissions will occur or is scheduled to 
submit such a SIP or TIP within 18 months of the conformity 
determination, the State commitment is automatically deemed a call for a 
SIP or TIP revision by EPA

[[Page 900]]

under section 110(k)(5) of the Act, effective on the date of the Federal 
conformity determination and requiring response within 18 months or any 
shorter time within which the State or Tribe commits to revise the 
applicable SIP;
    (D) Where a Federal agency made a conformity determination based on 
a State or tribal commitment under paragraph (a)(5)(i)(B) of this 
section and the State or Tribe has not submitted a SIP covering the time 
period when the emissions will occur or is not scheduled to submit such 
a SIP within 18 months of the conformity determination, the State or 
Tribe must, within 18 months, submit to EPA a revision to the existing 
SIP committing to include the emissions in the future SIP revision.
    (ii) The action (or portion thereof), as determined by the MPO, is 
specifically included in a current transportation plan and 
transportation improvement program which have been found to conform to 
the applicable SIP under 40 CFR part 51, subpart T, or 40 CFR part 93, 
subpart A;
    (iii) The action (or portion thereof) fully offsets its emissions 
within the same nonattainment or maintenance area (or nearby area of 
equal or higher classification provided the emissions from that area 
contribute to the violations, or have contributed to violation in the 
past, in the area with the Federal action) through a revision to the 
applicable SIP or an equally enforceable measure that effects emissions 
reductions equal to or greater than the total of direct and indirect 
emissions from the action so that there is no net increase in emissions 
of that pollutant;
    (iv) Where EPA has not approved a revision to the relevant SIP since 
the area was designated or reclassified, the total of direct and 
indirect emissions from the action for the future years (described in 
Sec.  93.159(d)) do not increase emissions with respect to the baseline 
emissions:
    (A) The baseline emissions reflect the historical activity levels 
that occurred in the geographic area affected by the proposed Federal 
action during:
    (1) The most current calendar year with a complete emission 
inventory available before an area is designated unless EPA sets another 
year; or
    (2) The emission budget in the applicable SIP;
    (3) The year of the baseline inventory in the PM-10 applicable SIP;
    (B) The baseline emissions are the total of direct and indirect 
emissions calculated for the future years (described in Sec.  93.159(d)) 
using the historic activity levels (described in paragraph (a)(5)(iv)(A) 
of this section) and appropriate emission factors for the future years; 
or
    (v) Where the action involves regional water and/or wastewater 
projects, such projects are sized to meet only the needs of population 
projections that are in the applicable SIP.
    (b) The areawide and/or local air quality modeling analyses must:
    (1) Meet the requirements in Sec.  93.159; and
    (2) Show that the action does not:
    (i) Cause or contribute to any new violation of any standard in any 
area; or
    (ii) Increase the frequency or severity of any existing violation of 
any standard in any area.
    (c) Notwithstanding any other requirements of this section, an 
action subject to this subpart may not be determined to conform to the 
applicable SIP unless the total of direct and indirect emissions from 
the action is in compliance or consistent with all relevant requirements 
and milestones contained in the applicable SIP, such as elements 
identified as part of the reasonable further progress schedules, 
assumptions specified in the attainment or maintenance demonstration, 
prohibitions, numerical emission limits, and work practice requirements.
    (d) Any analyses required under this section must be completed, and 
any mitigation requirements necessary for a finding of conformity must 
be identified before the determination of conformity is made.

[58 FR 63253, Nov. 30, 1993, as amended at 75 FR 17276, Apr. 5, 2010]

[[Page 901]]



Sec.  93.159  Procedures for conformity determinations of general 
Federal actions.

    (a) The analyses required under this subpart must be based on the 
latest planning assumptions.
    (1) All planning assumptions must be derived from the estimates of 
population, employment, travel, and congestion most recently approved by 
the MPO, or other agency authorized to make such estimates, where 
available.
    (2) Any revisions to these estimates used as part of the conformity 
determination, including projected shifts in geographic location or 
level of population, employment, travel, and congestion, must be 
approved by the MPO or other agency authorized to make such estimates 
for the urban area.
    (b) The analyses required under this subpart must be based on the 
latest and most accurate emission estimation techniques available as 
described below, unless such techniques are inappropriate. If such 
techniques are inappropriate, the Federal agency may obtain written 
approval from the appropriate EPA Regional Administrator for a 
modification or substitution, of another technique on a case-by-case 
basis or, where appropriate, on a generic basis for a specific Federal 
agency program.
    (1) For motor vehicle emissions, the most current version of the 
motor vehicle emissions model specified by EPA and available for use in 
the preparation or revision of SIPs in that State must be used for the 
conformity analysis as specified in paragraphs (b)(1)(i) and (ii) of 
this section:
    (i) The EPA must publish in the Federal Register a notice of 
availability of any new motor vehicle emissions model; and
    (ii) A grace period of 3 months shall apply during which the motor 
vehicle emissions model previously specified by EPA as the most current 
version may be used unless EPA announces a longer grace period in the 
Federal Register. Conformity analyses for which the analysis was begun 
during the grace period or no more than 3 months before the Federal 
Register notice of availability of the latest emission model may 
continue to use the previous version of the model specified by EPA.
    (2) For non-motor vehicle sources, including stationary and area 
source emissions, the latest emission factors specified by EPA in the 
``Compilation of Air Pollutant Emission Factors'' (AP-42, http://
www.epa.gov/ttn/chiefs/efpac) must be used for the conformity analysis 
unless more accurate emission data are available, such as actual stack 
test data from the stationary sources which are part of the conformity 
analysis.
    (c) The air quality modeling analyses required under this subpart 
must be based on the applicable air quality models, data bases, and 
other requirements specified in the most recent version of the 
``Guideline on Air Quality Models.'' (Appendix W to 40 CFR part 51).
    (1) The guideline techniques are inappropriate, in which case the 
model may be modified or another model substituted on a case-by-case 
basis or, where appropriate, on a generic basis for a specific Federal 
agency program; and
    (2) Written approval of the EPA Regional Administrator is obtained 
for any modification or substitution.
    (d) The analyses required under this subpart must be based on the 
total of direct and indirect emissions from the action and must reflect 
emission scenarios that are expected to occur under each of the 
following cases:
    (1) The attainment year specified in the SIP, or if the SIP does not 
specify an attainment year, the latest attainment year possible under 
the Act; or
    (2) The last year for which emissions are projected in the 
maintenance plan;
    (3) The year during which the total of direct and indirect emissions 
from the action is expected to be the greatest on an annual basis; and
    (4) Any year for which the applicable SIP specifies an emissions 
budget.

[58 FR 63253, Nov. 30, 1993, as amended at 75 FR 17277, Apr. 5, 2010]



Sec.  93.160  Mitigation of air quality impacts.

    (a) Any measures that are intended to mitigate air quality impacts 
must be identified and the process for implementation and enforcement of 
such

[[Page 902]]

measures must be described, including an implementation schedule 
containing explicit timelines for implementation.
    (b) Prior to determining that a Federal action is in conformity, the 
Federal agency making the conformity determination must obtain written 
commitments from the appropriate persons or agencies to implement any 
mitigation measures which are identified as conditions for making 
conformity determinations.
    (c) Persons or agencies voluntarily committing to mitigation 
measures to facilitate positive conformity determinations must comply 
with the obligations of such commitments.
    (d) In instances where the Federal agency is licensing, permitting 
or otherwise approving the action of another governmental or private 
entity, approval by the Federal agency must be conditioned on the other 
entity meeting the mitigation measures set forth in the conformity 
determination.
    (e) When necessary because of changed circumstances, mitigation 
measures may be modified so long as the new mitigation measures continue 
to support the conformity determination. Any proposed change in the 
mitigation measures is subject to the reporting requirements of Sec.  
93.156 and the public participation requirements of Sec.  93.157.
    (f) Written commitments to mitigation measures must be obtained 
prior to a positive conformity determination and such commitments must 
be fulfilled.
    (g) After a State or Tribe revises its SIP or TIP and EPA approves 
that SIP revision, any agreements, including mitigation measures, 
necessary for a conformity determination will be both State or tribal 
and federally enforceable. Enforceability through the applicable SIP or 
TIP will apply to all persons who agree to mitigate direct and indirect 
emissions associated with a Federal action for a conformity 
determination.

[58 FR 63253, Nov. 30, 1993, as amended at 75 FR 17277, Apr. 5, 2010]



Sec.  93.161  Conformity evaluation for Federal installations with
facility-wide emission budgets.

    (a) The State, local or tribal agency responsible for implementing 
and enforcing the SIP or TIP can in cooperation with Federal agencies or 
third parties authorized by the agency that operate installations 
subject to Federal oversight develop and adopt a facility-wide emission 
budget to be used for demonstrating conformity under Sec.  93.158(a)(1). 
The facility-wide budget must meet the following criteria:
    (1) Be for a set time period;
    (2) Cover the pollutants or precursors of the pollutants for which 
the area is designated nonattainment or maintenance;
    (3) Include specific quantities allowed to be emitted on an annual 
or seasonal basis;
    (4) The emissions from the facility along with all other emissions 
in the area will not exceed the emission budget for the area;
    (5) Include specific measures to ensure compliance with the budget, 
such as periodic reporting requirements or compliance demonstration, 
when the Federal agency is taking an action that would otherwise require 
a conformity determination;
    (6) Be submitted to EPA as a SIP revision;
    (7) The SIP revision must be approved by EPA.
    (b) The facility-wide budget developed and adopted in accordance 
with paragraph (a) of this section can be revised by following the 
requirements in paragraph (a) of this section.
    (c) Total direct and indirect emissions from Federal actions in 
conjunction with all other emissions subject to General Conformity from 
the facility that do not exceed the facility budget adopted pursuant to 
paragraph (a) of this section are ``presumed to conform'' to the SIP and 
do not require a conformity analysis.
    (d) If the total direct and indirect emissions from the Federal 
actions in conjunction with the other emissions subject to General 
Conformity from the facility exceed the budget adopted pursuant to 
paragraph (a) of this section, the action must be evaluated for 
conformity. A Federal agency can use

[[Page 903]]

the compliance with the facility-wide emissions budget as part of the 
demonstration of conformity, i.e., the agency would have to mitigate or 
offset the emissions that exceed the emission budget.
    (e) If the SIP for the area includes a category for construction 
emissions, the negotiated budget can exempt construction emissions from 
further conformity analysis.

[75 FR 17277, Apr. 5, 2010]



Sec.  93.162  Emissions beyond the time period covered by the SIP.

    If a Federal action would result in total direct and indirect 
emissions above the applicable thresholds which would be emitted beyond 
the time period covered by the SIP, the Federal agency can:
    (a) Demonstrate conformity with the last emission budget in the SIP; 
or
    (b) Request the State or Tribe to adopt an emissions budget for the 
action for inclusion in the SIP. The State or Tribe must submit a SIP or 
TIP revision to EPA within 18 months either including the emissions in 
the existing SIP or establishing an enforceable commitment to include 
the emissions in future SIP revisions based on the latest planning 
assumptions at the time of the SIP revision. No such commitment by a 
State or Tribe shall restrict a State's or Tribe's ability to require 
RACT, RACM or any other control measures within the State's or Tribe's 
authority to ensure timely attainment of the NAAQS.

[75 FR 17278, Apr. 5, 2010]



Sec.  93.163  Timing of offsets and mitigation measures.

    (a) The emissions reductions from an offset or mitigation measure 
used to demonstrate conformity must occur during the same calendar year 
as the emission increases from the action except, as provided in 
paragraph (b) of this section.
    (b) The State or Tribe may approve emissions reductions in other 
years provided:
    (1) The reductions are greater than the emission increases by the 
following ratios:

(i) Extreme nonattainment areas...............................     1.5:1
(ii) Severe nonattainment areas...............................     1.3:1
(iii) Serious nonattainment areas.............................     1.2:1
(iv) Moderate nonattainment areas.............................    1.15:1
(v) All other areas...........................................     1.1:1
 

    (2) The time period for completing the emissions reductions must not 
exceed twice the period of the emissions.
    (3) The offset or mitigation measure with emissions reductions in 
another year will not:
    (i) Cause or contribute to a new violation of any air quality 
standard,
    (ii) Increase the frequency or severity of any existing violation of 
any air quality standard; or
    (iii) Delay the timely attainment of any standard or any interim 
emissions reductions or other milestones in any area.
    (c) The approval by the State or Tribe of an offset or mitigation 
measure with emissions reductions in another year does not relieve the 
State or Tribe of any obligation to meet any SIP or Clean Air Act 
milestone or deadline. The approval of an alternate schedule for 
mitigation measures is at the discretion of the State or Tribe, and they 
are not required to approve an alternate schedule.

[75 FR 17278, Apr. 5, 2010]



Sec.  93.164  Inter-precursor mitigation measures and offsets.

    Federal agencies must reduce the same type of pollutant as being 
increased by the Federal action except the State or Tribe may approve 
offsets or mitigation measures of different precursors of the same 
criteria pollutant, if such trades are allowed by a State or Tribe in a 
SIP or TIP approved NSR regulation, is technically justified, and has a 
demonstrated environmental benefit.

[75 FR 17278, Apr. 5, 2010]



Sec.  93.165  Early emission reduction credit programs at Federal 
facilities and installation subject to Federal oversight.

    (a) Federal facilities and installations subject to Federal 
oversight can,

[[Page 904]]

with the approval of the State or tribal agency responsible for the SIP 
or TIP in that area, create an early emissions reductions credit 
program. The Federal agency can create the emission reduction credits in 
accordance with the requirements in paragraph (b) of this section and 
can use them in accordance with paragraph (c) of this section.
    (b) Creation of emission reduction credits.
    (1) Emissions reductions must be quantifiable through the use of 
standard emission factors or measurement techniques. If non-standard 
factors or techniques to quantify the emissions reductions are used, the 
Federal agency must receive approval from the State or tribal agency 
responsible for the implementation of the SIP or TIP and from EPA's 
Regional Office. The emission reduction credits do not have to be 
quantified before the reduction strategy is implemented, but must be 
quantified before the credits are used in the General Conformity 
evaluation.
    (2) The emission reduction methods must be consistent with the 
applicable SIP or TIP attainment and reasonable further progress 
demonstrations.
    (3) The emissions reductions cannot be required by or credited to 
other applicable SIP or TIP provisions.
    (4) Both the State or Tribe and Federal air quality agencies must be 
able to take legal action to ensure continued implementation of the 
emission reduction strategy. In addition, private citizens must also be 
able to initiate action to ensure compliance with the control 
requirement.
    (5) The emissions reductions must be permanent or the timeframe for 
the reductions must be specified.
    (6) The Federal agency must document the emissions reductions and 
provide a copy of the document to the State or tribal air quality agency 
and the EPA regional office for review. The documentation must include a 
detailed description of the emission reduction strategy and a discussion 
of how it meets the requirements of paragraphs (b)(1) through (5) of 
this section.
    (c) Use of emission reduction credits. The emission reduction 
credits created in accordance with paragraph (b) of this section can be 
used, subject to the following limitations, to reduce the emissions 
increase from a Federal action at the facility for the conformity 
evaluation.
    (1) If the technique used to create the emission reduction is 
implemented at the same facility as the Federal action and could have 
occurred in conjunction with the Federal action, then the credits can be 
used to reduce the total direct and indirect emissions used to determine 
the applicability of the regulation as required in Sec.  93.153 and as 
offsets or mitigation measures required by Sec.  93.158.
    (2) If the technique used to create the emission reduction is not 
implemented at the same facility as the Federal action or could not have 
occurred in conjunction with the Federal action, then the credits cannot 
be used to reduce the total direct and indirect emissions used to 
determine the applicability of the regulation as required in Sec.  
93.153, but can be used to offset or mitigate the emissions as required 
by Sec.  93.158.
    (3) Emissions reductions credits must be used in the same year in 
which they are generated.
    (4) Once the emission reduction credits are used, they cannot be 
used as credits for another conformity evaluation. However, unused 
credits from a strategy used for one conformity evaluation can be used 
for another conformity evaluation as long as the reduction credits are 
not double counted.
    (5) Federal agencies must notify the State or tribal air quality 
agency responsible for the implementation of the SIP or TIP and EPA 
Regional Office when the emission reduction credits are being used.

[75 FR 17278, Apr. 5, 2010]



PART 94_CONTROL OF EMISSIONS FROM MARINE COMPRESSION-IGNITION
ENGINES--Table of Contents



Sec.
94.1 Applicability.
94.2 through 94.3 [Reserved]

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

    Source: 86 FR 34373, June 29, 2021, unless otherwise noted.



Sec.  94.1  Applicability.

    The Environmental Protection Agency adopted emission standards for

[[Page 905]]

model year 2004 and later marine compression-ignition engines under this 
part. EPA has migrated regulatory requirements for these engines to 40 
CFR part 1042, with additional testing and compliance provisions in 40 
CFR parts 1065 and 1068. The Tier 1 and Tier 2 standards originally 
adopted in this part are identified in 40 CFR part 1042, appendix I. See 
40 CFR 1042.1 for information regarding the timing of the transition to 
40 CFR part 1042, and for information regarding regulations that 
continue to apply for engines that manufacturers originally certified or 
otherwise produced under this part.



Sec.  Sec.  94.2 through 94.3  [Reserved]



PART 95_MANDATORY PATENT LICENSES--Table of Contents



Sec.
95.1 Definitions.
95.2 Petition for mandatory license.
95.3 Findings prior to application to Attorney General.
95.4 Limitations on mandatory licenses.

    Authority: 42 U.S.C. 7609; Sec. 104, Pub. L. 103-182, 107 Stat. 
2057, 2064.

    Source: 59 FR 67638, Dec. 30, 1994, unless otherwise noted.



Sec.  95.1  Definitions.

    (a) As used in this part, all terms not defined in this section 
shall have the meaning given them by the Act.
    (b) Act means the Clean Air Act, as amended (42 U.S.C. Sec. Sec.  
7401-7671).
    (c) Agency means the Environmental Protection Agency.
    (d) Administrator means the Administrator of the Environmental 
Protection Agency.



Sec.  95.2  Petition for mandatory license.

    (a) Any party required to comply with sections 111, 112 or 202 of 
the Act (42 U.S.C. 7411, 7412 or 7521) may petition to the Administrator 
for a mandatory patent license pursuant to section 308 of the Act (42 
U.S.C. 7608), under a patent that the petitioner maintains is necessary 
to enable the petitioner to comply with Sections 111, 112 or 202 of the 
Act.
    (b)(1) Each petition shall be signed by the petitioner and shall 
state the petitioner's name and address. If the petitioner is a 
corporation, the petition shall be signed by an authorized officer of 
the corporation, and the petition shall indicate the state of 
incorporation. Where the petitioner elects to be represented by counsel, 
a signed notice to that effect shall be included with the petition at 
the time of filing.
    (2) Each petition shall include a copy of the patent under which a 
mandatory patent license is sought. The petition shall identify all 
current owners of the patent and shall include a copy of all assignment 
documents relevant to the patent that are available from the United 
States Patent and Trademark Office.
    (3) Each petition must identify any person whose interest the 
petitioner believes may be affected by the grant of the license to which 
the petition is directed.
    (4) Each petition must contain a concise statement of all of the 
essential facts upon which it is based. No particular form of statement 
is required. Each petition shall be verified by the petitioner or by the 
person having the best knowledge of such facts. In the case of facts 
stated on information and belief, the source of such information and 
grounds of belief shall be given. The statement of facts shall include 
the following:
    (i) An identification of the provisions of the Act and/or 
regulations thereunder that the petitioner maintains petitioner will be 
able to comply with if the petitioner is granted the patent license that 
is the subject of the petition;
    (ii) An identification of the nature and purpose of the petitioner's 
intended use of the patent license;
    (iii) An explanation of the relationship between the patented 
technology and the activities to which petitioner proposes to apply the 
patented technology, including an estimate of the effect on such 
activities stemming from the grant or denial of the patent license;
    (iv) A summary of facts demonstrating that the patent under which a 
mandatory patent license is sought is being used or is intended for 
public or commercial use;
    (v) An explanation of why a mandatory patent license is necessary 
for the

[[Page 906]]

petitioner to comply with the requirements of sections 111, 112 or 202 
of the Act, and why the patented technology is not otherwise available;
    (vi) An explanation of why there are no other reasonable 
alternatives for accomplishing compliance with sections 111, 112 or 202 
of the Act;
    (vii) An explanation of why the unavailability of a mandatory patent 
license may result in a substantial lessening of competition or a 
tendency to create a monopoly in any line of commerce in any section of 
the United States;
    (viii) A summary of efforts made by the petitioner to obtain a 
patent license from the owner of the patent, including the terms and 
conditions of any patent license proposed by petitioner to the patent 
owner; and
    (ix) The terms, if any, on which the owner of the patent has 
proposed to grant the petitioner a patent license.
    (5) Each petition shall include a proposed patent license that 
states all of the terms and conditions that the petitioner proposes for 
the patent license.
    (6) Petitions shall be addressed to the Assistant Administrator for 
Air and Radiation, Mail Code 6101, U.S. Environmental Protection Agency, 
Washington, DC 20460.
    (c) Petitions that do not include all of the information required in 
paragraph (b) of this section shall be returned to the petitioner. The 
petitioner may supplement the petition and resubmit the petition.
    (d) If the Administrator, or the Administrator's designee, finds 
that the criteria in Sec.  95.3 are not met, or otherwise decides to 
deny the petition, a denial of the petition shall be sent to the 
petitioner, along with an explanation of the reasons for the denial.
    (e) If the Administrator, or the Administrator's designee, finds 
that the criteria in Sec.  95.3 are met and decides to apply to the 
Attorney General for a patent license under section 308 of the Act, 
notice of such application shall be given to the petitioner, along with 
a copy of the application sent to the Attorney General.



Sec.  95.3  Findings prior to application to Attorney General.

    The Administrator, or the Administrator's designee, may apply to the 
Attorney General for a mandatory patent license pursuant to section 308 
of the Act (42 U.S.C. 7608) either in response to a petition under Sec.  
95.2 or on the Administrator's or designee's own initiative, only after 
expressly finding that each one of the following mandatory criteria is 
met:
    (a) The application is for a patent license covering no more than 
one patent;
    (b) The party to whom the proposed patent license is to be granted 
has presented the Administrator or designee with evidence that such 
party has made reasonable efforts to obtain a patent license from the 
patent owner with terms similar to the license terms to be proposed in 
the application to the Attorney General;
    (c) The patent under which a patent license is sought in the 
application to the Attorney General is being used or is intended for 
public or commercial use;
    (d) The mandatory patent license is necessary for a party to comply 
with the requirements of sections 111, 112 or 202 of the Act (42 U.S.C. 
7411, 7412 or 7521);
    (e) The patented technology is not otherwise reasonably available, 
and there are no other reasonable alternatives for accomplishing 
compliance with sections 111, 112 or 202 of the Act (42 U.S.C. 7411, 
7412 or 7521); and
    (f) The unavailability of a mandatory patent license may result in a 
substantial lessening of competition or a tendency to create a monopoly 
in any line of commerce in any section of the United States.



Sec.  95.4  Limitations on mandatory licenses.

    (a) If the Administrator, or the Administrator's designee, decides 
to apply to the Attorney General for a mandatory patent license in 
accordance with Sec.  95.3, the application shall include a proposed 
patent license with the following limitations:
    (1) The scope and duration of the patent license shall be limited to 
that necessary to permit the proposed licensee

[[Page 907]]

to comply with the requirements the Act;
    (2) The patent license shall be nonexclusive;
    (3) The patent license shall be non-assignable, except with that 
part of the enterprise or goodwill that enjoys the license;
    (4) The patent license shall be for use of the licensed technology 
in the United States only;
    (5) The patent license shall extend only to those uses necessary to 
enable the licensee to comply with sections 111, 112 or 202 of the Act 
(42 U.S.C. 7411, 7412 or 7521);
    (6) The patent license shall provide for termination, subject to 
adequate protections of the legitimate interests of the licensed party, 
when the circumstances that made the compulsory patent license necessary 
cease to exist and are unlikely to recur; and
    (7) The patent license shall provide for adequate remuneration that 
takes into account the economic value of the license.
    (b) The Administrator, or the Administrator's designee, may decide 
as appropriate to include additional conditions, terms or limitations on 
the scope of the patent license for which application is made to the 
Attorney General.



PART 96_NOX BUDGET TRADING PROGRAM AND CAIR NOX AND SO2 TRADING PROGRAMS 
FOR STATE IMPLEMENTATION PLANS--Table of Contents



         Subpart A_NOX Budget Trading Program General Provisions

Sec.
96.1 Purpose.
96.2 Definitions.
96.3 Measurements, abbreviations, and acronyms.
96.4 Applicability.
96.5 Retired unit exemption.
96.6 Standard requirements.
96.7 Computation of time.

   Subpart B_Authorized Account Representative for NOX Budget Sources

96.10 Authorization and responsibilities of the NOX 
          authorized account representative.
96.11 Alternate NOX authorized account representative.
96.12 Changing the NOX authorized account representative and 
          the alternate NOX authorized account 
          representative; changes in the owners and operators.
96.13 Account certificate of representation.
96.14 Objections concerning the NOX authorized account 
          representative.

                            Subpart C_Permits

96.20 General NOX Budget trading program permit requirements.
96.21 Submission of NOX Budget permit applications.
96.22 Information requirements for NOX Budget permit 
          applications.
96.23 NOX Budget permit contents.
96.24 Effective date of initial NOX Budget permit.
96.25 NOX Budget permit revisions.

                   Subpart D_Compliance Certification

96.30 Compliance certification report.
96.31 Permitting authority's and Administrator's action on compliance 
          certifications.

                   Subpart E_NOX Allowance Allocations

96.40 State trading program budget.
96.41 Timing requirements for NOX allowance allocations.
96.42 NOX allowance allocations.

                 Subpart F_NOX Allowance Tracking System

96.50 NOX Allowance Tracking System accounts.
96.51 Establishment of accounts.
96.52 NOX Allowance Tracking System responsibilities of 
          NOX authorized account representative.
96.53 Recordation of NOX allowance allocations.
96.54 Compliance.
96.55 Banking.
96.56 Account error.
96.57 Closing of general accounts.

                    Subpart G_NOX Allowance Transfers

96.60 Submission of NOX allowance transfers.
96.61 EPA recordation.
96.62 Notification.

                   Subpart H_Monitoring and Reporting

96.70 General requirements.
96.71 Initial certification and recertification procedures.
96.72 Out of control periods.
96.73 Notifications.
96.74 Recordkeeping and reporting.
96.75 Petitions.

[[Page 908]]

96.76 Additional requirements to provide heat input data for allocations 
          purposes.

                    Subpart I_Individual Unit Opt-ins

96.80 Applicability.
96.81 General.
96.82 NOX authorized account representative.
96.83 Applying for NOX Budget opt-in permit.
96.84 Opt-in process.
96.85 NOX Budget opt-in permit contents.
96.86 Withdrawal from NOX Budget Trading Program.
96.87 Change in regulatory status.
96.88 NOX allowance allocations to opt-in units.

Subpart J--Mobile and Area Sources [Reserved]

Subparts K-Z [Reserved]

      Subpart AA_CAIR NOX Annual Trading Program General Provisions

96.101 Purpose.
96.102 Definitions.
96.103 Measurements, abbreviations, and acronyms.
96.104 Applicability.
96.105 Retired unit exemption.
96.106 Standard requirements.
96.107 Computation of time.
96.108 Appeal procedures.

     Subpart BB_CAIR Designated Representative for CAIR NOX Sources

96.110 Authorization and responsibilities of CAIR designated 
          representative.
96.111 Alternate CAIR designated representative.
96.112 Changing CAIR designated representative and alternate CAIR 
          designated representative; changes in owners and operators.
96.113 Certificate of representation.
96.114 Objections concerning CAIR designated representative.
96.115 Delegation by CAIR designated representative and alternate CAIR 
          designated representative.

                           Subpart CC_Permits

96.120 General CAIR NOX Annual Trading Program permit 
          requirements.
96.121 Submission of CAIR permit applications.
96.122 Information requirements for CAIR permit applications.
96.123 CAIR permit contents and term.
96.124 CAIR permit revisions.

Subpart DD [Reserved]

                Subpart EE_CAIR NOX Allowance Allocations

96.140 State trading budgets.
96.141 Timing requirements for CAIR NOX allowance 
          allocations.
96.142 CAIR NOX allowance allocations.
96.143 Compliance supplement pool.

              Subpart FF_CAIR NOX Allowance Tracking System

96.150 [Reserved]
96.151 Establishment of accounts.
96.152 Responsibilities of CAIR authorized account representative.
96.153 Recordation of CAIR NOX allowance allocations.
96.154 Compliance with CAIR NOX emissions limitation.
96.155 Banking.
96.156 Account error.
96.157 Closing of general accounts.

                 Subpart GG_CAIR NOX Allowance Transfers

96.160 Submission of CAIR NOX allowance transfers.
96.161 EPA recordation.
96.162 Notification.

                   Subpart HH_Monitoring and Reporting

96.170 General requirements.
96.171 Initial certification and recertification procedures.
96.172 Out of control periods.
96.173 Notifications.
96.174 Recordkeeping and reporting.
96.175 Petitions.

                    Subpart II_CAIR NOX Opt-in Units

96.180 Applicability.
96.181 General.
96.182 CAIR designated representative.
96.183 Applying for CAIR opt-in permit.
96.184 Opt-in process.
96.185 CAIR opt-in permit contents.
96.186 Withdrawal from CAIR NOX Annual Trading Program.
96.187 Change in regulatory status.
96.188 CAIR NOX allowance allocations to CAIR NOX 
          opt-in units.

Subparts JJ-ZZ [Reserved]

         Subpart AAA_CAIR SO2 Trading Program General Provisions

96.201 Purpose.
96.202 Definitions.
96.203 Measurements, abbreviations, and acronyms.
96.204 Applicability.
96.205 Retired unit exemption.
96.206 Standard requirements.

[[Page 909]]

96.207 Computation of time.
96.208 Appeal procedures.

     Subpart BBB_CAIR Designated Representative for CAIR SO2 Sources

96.210 Authorization and responsibilities of CAIR designated 
          representative.
96.211 Alternate CAIR designated representative.
96.212 Changing CAIR designated representative and alternate CAIR 
          designated representative; changes in owners and operators.
96.213 Certificate of representation.
96.214 Objections concerning CAIR designated representative.
96.215 Delegation by CAIR designated representative and alternate CAIR 
          designated representative.

                           Subpart CCC_Permits

96.220 General CAIR SO2 Trading Program permit requirements.
96.221 Submission of CAIR permit applications.
96.222 Information requirements for CAIR permit applications.
96.223 CAIR permit contents and term.
96.224 CAIR permit revisions.

Subparts DDD-EEE [Reserved]

             Subpart FFF_CAIR SO2 Allowance Tracking System

96.250 [Reserved]
96.251 Establishment of accounts.
96.252 Responsibilities of CAIR authorized account representative.
96.253 Recordation of CAIR SO2 allowances.
96.254 Compliance with CAIR SO2 emissions limitation.
96.255 Banking.
96.256 Account error.
96.257 Closing of general accounts.

                Subpart GGG_CAIR SO2 Allowance Transfers

96.260 Submission of CAIR SO2 allowance transfers.
96.261 EPA recordation.
96.262 Notification.

                  Subpart HHH_Monitoring and Reporting

96.270 General requirements.
96.271 Initial certification and recertification procedures.
96.272 Out of control periods.
96.273 Notifications.
96.274 Recordkeeping and reporting.
96.275 Petitions.

                    Subpart III_CAIR SO2 Opt-in Units

96.280 Applicability.
96.281 General.
96.282 CAIR designated representative.
96.283 Applying for CAIR opt-in permit.
96.284 Opt-in process.
96.285 CAIR opt-in permit contents.
96.286 Withdrawal from CAIR SO2 Trading Program.
96.287 Change in regulatory status.
96.288 CAIR SO2 allowance allocations to CAIR SO2 
          opt-in units.

Subparts JJJ-ZZZ [Reserved]

  Subpart AAAA_CAIR NOX Ozone Season Trading Program General Provisions

96.301 Purpose.
96.302 Definitions.
96.303 Measurements, abbreviations, and acronyms.
96.304 Applicability.
96.305 Retired unit exemption.
96.306 Standard requirements.
96.307 Computation of time.
96.308 Appeal procedures.

 Subpart BBBB_CAIR Designated Representative for CAIR NOX Ozone Season 
                                 Sources

96.310 Authorization and responsibilities of CAIR designated 
          representative.
96.311 Alternate CAIR designated representative.
96.312 Changing CAIR designated representative and alternate CAIR 
          designated representative; changes in owners and operators.
96.313 Certificate of representation.
96.314 Objections concerning CAIR designated representative.
96.315 Delegation by CAIR designated representative and alternate CAIR 
          designated representative.

                          Subpart CCCC_Permits

96.320 General CAIR NOX Ozone Season Trading Program permit 
          requirements.
96.321 Submission of CAIR permit applications.
96.322 Information requirements for CAIR permit applications.
96.323 CAIR permit contents and term.
96.324 CAIR permit revisions.

Subpart DDDD [Reserved]

        Subpart EEEE_CAIR NOX Ozone Season Allowance Allocations

96.340 State trading budgets.
96.341 Timing requirements for CAIR NOX Ozone Season 
          allowance allocations.

[[Page 910]]

96.342 CAIR NOX Ozone Season allowance allocations.

      Subpart FFFF_CAIR NOX Ozone Season Allowance Tracking System

96.350 [Reserved]
96.351 Establishment of accounts.
96.352 Responsibilities of CAIR authorized account representative.
96.353 Recordation of CAIR NOX Ozone Season allowance 
          allocations.
96.354 Compliance with CAIR NOX emissions limitation.
96.355 Banking.
96.356 Account error.
96.357 Closing of general accounts.

         Subpart GGGG_CAIR NOX Ozone Season Allowance Transfers

96.360 Submission of CAIR NOX Ozone Season allowance 
          transfers.
96.361 EPA recordation.
96.362 Notification.

                  Subpart HHHH_Monitoring and Reporting

96.370 General requirements.
96.371 Initial certification and recertification procedures.
96.372 Out of control periods.
96.373 Notifications.
96.374 Recordkeeping and reporting.
96.375 Petitions.

             Subpart IIII_CAIR NOX Ozone Season Opt-in Units

96.380 Applicability.
96.381 General.
96.382 CAIR designated representative.
96.383 Applying for CAIR opt-in permit.
96.384 Opt-in process.
96.385 CAIR opt-in permit contents.
96.386 Withdrawal from CAIR NOX Ozone Season Trading Program.
96.387 Change in regulatory status.
96.388 CAIR NOX Ozone Season allowance allocations to CAIR 
          NOX Ozone Season opt-in units.

    Authority: 42 U.S.C. 7401, 7403, 7410, 7601, and 7651, et seq.

    Source: 63 FR 57514, Oct. 27, 1998, unless otherwise noted.



         Subpart A_NOX Budget Trading Program General Provisions



Sec.  96.1  Purpose.

    This part establishes general provisions and the applicability, 
permitting, allowance, excess emissions, monitoring, and opt-in 
provisions for the NOX Budget Trading Program for State 
implementation plans as a means of mitigating the interstate transport 
of ozone and nitrogen oxides, an ozone precursor. The owner or operator 
of a unit, or any other person, shall comply with requirements of this 
part as a matter of federal law only to the extent a State that has 
jurisdiction over the unit incorporates by reference provisions of this 
part, or otherwise adopts such requirements of this part, and requires 
compliance, the State submits to the Administrator a State 
implementation plan including such adoption and such compliance 
requirement, and the Administrator approves the portion of the State 
implementation plan including such adoption and such compliance 
requirement. To the extent a State adopts requirements of this part, 
including at a minimum the requirements of subpart A (except for Sec.  
96.4(b)), subparts B through D, subpart F (except for Sec.  96.55(c)), 
and subparts G and H of this part, the State authorizes the 
Administrator to assist the State in implementing the NOX 
Budget Trading Program by carrying out the functions set forth for the 
Administrator in such requirements.



Sec.  96.2  Definitions.

    The terms used in this part shall have the meanings set forth in 
this section as follows:
    Account certificate of representation means the completed and signed 
submission required by subpart B of this part for certifying the 
designation of a NOX authorized account representative for a 
NOX Budget source or a group of identified NOX 
Budget sources who is authorized to represent the owners and operators 
of such source or sources and of the NOX Budget units at such 
source or sources with regard to matters under the NOX Budget 
Trading Program.
    Account number means the identification number given by the 
Administrator to each NOX Allowance Tracking System account.
    Acid Rain emissions limitation means, as defined in Sec.  72.2 of 
this chapter, a limitation on emissions of sulfur dioxide or nitrogen 
oxides under the Acid Rain Program under title IV of the CAA.

[[Page 911]]

    Administrator means the Administrator of the United States 
Environmental Protection Agency or the Administrator's duly authorized 
representative.
    Allocate or allocation means the determination by the permitting 
authority or the Administrator of the number of NOX 
allowances to be initially credited to a NOX Budget unit or 
an allocation set-aside.
    Automated data acquisition and handling system or DAHS means that 
component of the CEMS, or other emissions monitoring system approved for 
use under subpart H of this part, designed to interpret and convert 
individual output signals from pollutant concentration monitors, flow 
monitors, diluent gas monitors, and other component parts of the 
monitoring system to produce a continuous record of the measured 
parameters in the measurement units required by subpart H of this part.
    Boiler means an enclosed fossil or other fuel-fired combustion 
device used to produce heat and to transfer heat to recirculating water, 
steam, or other medium.
    CAA means the CAA, 42 U.S.C. 7401, et seq., as amended by Pub. L. 
No. 101-549 (November 15, 1990).
    Combined cycle system means a system comprised of one or more 
combustion turbines, heat recovery steam generators, and steam turbines 
configured to improve overall efficiency of electricity generation or 
steam production.
    Combustion turbine means an enclosed fossil or other fuel-fired 
device that is comprised of a compressor, a combustor, and a turbine, 
and in which the flue gas resulting from the combustion of fuel in the 
combustor passes through the turbine, rotating the turbine.
    Commence commercial operation means, with regard to a unit that 
serves a generator, to have begun to produce steam, gas, or other heated 
medium used to generate electricity for sale or use, including test 
generation. Except as provided in Sec.  96.5, for a unit that is a 
NOX Budget unit under Sec.  96.4 on the date the unit 
commences commercial operation, such date shall remain the unit's date 
of commencement of commercial operation even if the unit is subsequently 
modified, reconstructed, or repowered. Except as provided in Sec.  96.5 
or subpart I of this part, for a unit that is not a NOX 
Budget unit under Sec.  96.4 on the date the unit commences commercial 
operation, the date the unit becomes a NOX Budget unit under 
Sec.  96.4 shall be the unit's date of commencement of commercial 
operation.
    Commence operation means to have begun any mechanical, chemical, or 
electronic process, including, with regard to a unit, start-up of a 
unit's combustion chamber. Except as provided in Sec.  96.5, for a unit 
that is a NOX Budget unit under Sec.  96.4 on the date of 
commencement of operation, such date shall remain the unit's date of 
commencement of operation even if the unit is subsequently modified, 
reconstructed, or repowered. Except as provided in Sec.  96.5 or subpart 
I of this part, for a unit that is not a NOX Budget unit 
under Sec.  96.4 on the date of commencement of operation, the date the 
unit becomes a NOX Budget unit under Sec.  96.4 shall be the 
unit's date of commencement of operation.
    Common stack means a single flue through which emissions from two or 
more units are exhausted.
    Compliance account means a NOX Allowance Tracking System 
account, established by the Administrator for a NOX Budget 
unit under subpart F of this part, in which the NOX allowance 
allocations for the unit are initially recorded and in which are held 
NOX allowances available for use by the unit for a control 
period for the purpose of meeting the unit's NOX Budget 
emissions limitation.
    Compliance certification means a submission to the permitting 
authority or the Administrator, as appropriate, that is required under 
subpart D of this part to report a NOX Budget source's or a 
NOX Budget unit's compliance or noncompliance with this part 
and that is signed by the NOX authorized account 
representative in accordance with subpart B of this part.
    Continuous emission monitoring system or CEMS means the equipment 
required under subpart H of this part to sample,

[[Page 912]]

analyze, measure, and provide, by readings taken at least once every 15 
minutes of the measured parameters, a permanent record of nitrogen 
oxides emissions, expressed in tons per hour for nitrogen oxides. The 
following systems are component parts included, consistent with part 75 
of this chapter, in a continuous emission monitoring system:
    (1) Flow monitor;
    (2) Nitrogen oxides pollutant concentration monitors;
    (3) Diluent gas monitor (oxygen or carbon dioxide) when such 
monitoring is required by subpart H of this part;
    (4) A continuous moisture monitor when such monitoring is required 
by subpart H of this part; and
    (5) An automated data acquisition and handling system.
    Control period means the period beginning May 1 of a year and ending 
on September 30 of the same year, inclusive.
    Emissions means air pollutants exhausted from a unit or source into 
the atmosphere, as measured, recorded, and reported to the Administrator 
by the NOX authorized account representative and as 
determined by the Administrator in accordance with subpart H of this 
part.
    Energy Information Administration means the Energy Information 
Administration of the United States Department of Energy.
    Excess emissions means any tonnage of nitrogen oxides emitted by a 
NOX Budget unit during a control period that exceeds the 
NOX Budget emissions limitation for the unit.
    Fossil fuel means natural gas, petroleum, coal, or any form of 
solid, liquid, or gaseous fuel derived from such material.
    Fossil fuel-fired means, with regard to a unit:
    (1) The combustion of fossil fuel, alone or in combination with any 
other fuel, where fossil fuel actually combusted comprises more than 50 
percent of the annual heat input on a Btu basis during any year starting 
in 1995 or, if a unit had no heat input starting in 1995, during the 
last year of operation of the unit prior to 1995; or
    (2) The combustion of fossil fuel, alone or in combination with any 
other fuel, where fossil fuel is projected to comprise more than 50 
percent of the annual heat input on a Btu basis during any year; 
provided that the unit shall be ``fossil fuel-fired'' as of the date, 
during such year, on which the unit begins combusting fossil fuel.
    General account means a NOX Allowance Tracking System 
account, established under subpart F of this part, that is not a 
compliance account or an overdraft account.
    Generator means a device that produces electricity.
    Heat input means the product (in mmBtu/time) of the gross calorific 
value of the fuel (in Btu/lb) and the fuel feed rate into a combustion 
device (in mass of fuel/time), as measured, recorded, and reported to 
the Administrator by the NOX authorized account 
representative and as determined by the Administrator in accordance with 
subpart H of this part, and does not include the heat derived from 
preheated combustion air, recirculated flue gases, or exhaust from other 
sources.
    Life-of-the-unit, firm power contractual arrangement means a unit 
participation power sales agreement under which a utility or industrial 
customer reserves, or is entitled to receive, a specified amount or 
percentage of nameplate capacity and associated energy from any 
specified unit and pays its proportional amount of such unit's total 
costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including 
contracts that permit an election for early termination; or
    (3) For a period equal to or greater than 25 years or 70 percent of 
the economic useful life of the unit determined as of the time the unit 
is built, with option rights to purchase or release some portion of the 
nameplate capacity and associated energy generated by the unit at the 
end of the period.
    Maximum design heat input means the ability of a unit to combust a 
stated maximum amount of fuel per hour on a steady state basis, as 
determined by the physical design and physical characteristics of the 
unit.

[[Page 913]]

    Maximum potential hourly heat input means an hourly heat input used 
for reporting purposes when a unit lacks certified monitors to report 
heat input. If the unit intends to use appendix D of part 75 of this 
chapter to report heat input, this value should be calculated, in 
accordance with part 75 of this chapter, using the maximum fuel flow 
rate and the maximum gross calorific value. If the unit intends to use a 
flow monitor and a diluent gas monitor, this value should be reported, 
in accordance with part 75 of this chapter, using the maximum potential 
flowrate and either the maximum carbon dioxide concentration (in percent 
CO2) or the minimum oxygen concentration (in percent 
O2).
    Maximum potential NOX emission rate means the emission 
rate of nitrogen oxides (in lb/mmBtu) calculated in accordance with 
section 3 of appendix F of part 75 of this chapter, using the maximum 
potential nitrogen oxides concentration as defined in section 2 of 
appendix A of part 75 of this chapter, and either the maximum oxygen 
concentration (in percent O2) or the minimum carbon dioxide 
concentration (in percent CO2), under all operating 
conditions of the unit except for unit start up, shutdown, and upsets.
    Maximum rated hourly heat input means a unit-specific maximum hourly 
heat input (mmBtu) which is the higher of the manufacturer's maximum 
rated hourly heat input or the highest observed hourly heat input.
    Monitoring system means any monitoring system that meets the 
requirements of subpart H of this part, including a continuous emissions 
monitoring system, an excepted monitoring system, or an alternative 
monitoring system.
    Most stringent State or Federal NOX emissions limitation 
means, with regard to a NOX Budget opt-in source, the lowest 
NOX emissions limitation (in terms of lb/mmBtu) that is 
applicable to the unit under State or Federal law, regardless of the 
averaging period to which the emissions limitation applies.
    Nameplate capacity means the maximum electrical generating output 
(in MWe) that a generator can sustain over a specified period of time 
when not restricted by seasonal or other deratings as measured in 
accordance with the United States Department of Energy standards.
    Non-title V permit means a federally enforceable permit administered 
by the permitting authority pursuant to the CAA and regulatory authority 
under the CAA, other than title V of the CAA and part 70 or 71 of this 
chapter.
    NOX allowance means an authorization by the permitting 
authority or the Administrator under the NOX Budget Trading 
Program to emit up to one ton of nitrogen oxides during the control 
period of the specified year or of any year thereafter.
    NOX allowance deduction or deduct NOX 
allowances means the permanent withdrawal of NOX allowances 
by the Administrator from a NOX Allowance Tracking System 
compliance account or overdraft account to account for the number of 
tons of NOX emissions from a NOX Budget unit for a 
control period, determined in accordance with subpart H of this part, or 
for any other allowance surrender obligation under this part.
    NOX allowances held or hold NOX allowances 
means the NOX allowances recorded by the Administrator, or 
submitted to the Administrator for recordation, in accordance with 
subparts F and G of this part, in a NOX Allowance Tracking 
System account.
    NOX Allowance Tracking System means the system by which 
the Administrator records allocations, deductions, and transfers of 
NOX allowances under the NOX Budget Trading 
Program.
    NOX Allowance Tracking System account means an account in 
the NOX Allowance Tracking System established by the 
Administrator for purposes of recording the allocation, holding, 
transferring, or deducting of NOX allowances.
    NOX allowance transfer deadline means midnight of 
November 30 or, if November 30 is not a business day, midnight of the 
first business day thereafter and is the deadline by which 
NOX allowances may be submitted for recordation in a 
NOX Budget unit's compliance account, or the overdraft 
account of the source where the unit is located, in order to meet the 
unit's NOX Budget

[[Page 914]]

emissions limitation for the control period immediately preceding such 
deadline.
    NOX authorized account representative means, for a 
NOX Budget source or NOX Budget unit at the 
source, the natural person who is authorized by the owners and operators 
of the source and all NOX Budget units at the source, in 
accordance with subpart B of this part, to represent and legally bind 
each owner and operator in matters pertaining to the NOX 
Budget Trading Program or, for a general account, the natural person who 
is authorized, in accordance with subpart F of this part, to transfer or 
otherwise dispose of NOX allowances held in the general 
account.
    NOX Budget emissions limitation means, for a 
NOX Budget unit, the tonnage equivalent of the NOX 
allowances available for compliance deduction for the unit and for a 
control period under Sec.  96.54(a) and (b), adjusted by any deductions 
of such NOX allowances to account for actual utilization 
under Sec.  96.42(e) for the control period or to account for excess 
emissions for a prior control period under Sec.  96.54(d) or to account 
for withdrawal from the NOX Budget Program, or for a change 
in regulatory status, for a NOX Budget opt-in source under 
Sec.  96.86 or Sec.  96.87.
    NOX Budget opt-in permit means a NOX Budget 
permit covering a NOX Budget opt-in source.
    NOX Budget opt-in source means a unit that has been 
elected to become a NOX Budget unit under the NOX 
Budget Trading Program and whose NOX Budget opt-in permit has 
been issued and is in effect under subpart I of this part.
    NOX Budget permit means the legally binding and federally 
enforceable written document, or portion of such document, issued by the 
permitting authority under this part, including any permit revisions, 
specifying the NOX Budget Trading Program requirements 
applicable to a NOX Budget source, to each NOX 
Budget unit at the NOX Budget source, and to the owners and 
operators and the NOX authorized account representative of 
the NOX Budget source and each NOX Budget unit.
    NOX Budget source means a source that includes one or 
more NOX Budget units.
    NOX Budget Trading Program means a multi-state nitrogen 
oxides air pollution control and emission reduction program established 
in accordance with this part and pursuant to Sec.  51.121 of this 
chapter, as a means of mitigating the interstate transport of ozone and 
nitrogen oxides, an ozone precursor.
    NOX Budget unit means a unit that is subject to the 
NOX Budget Trading Program emissions limitation under Sec.  
96.4 or Sec.  96.80.
    Operating means, with regard to a unit under Sec. Sec.  96.22(d)(2) 
and 96.80, having documented heat input for more than 876 hours in the 6 
months immediately preceding the submission of an application for an 
initial NOX Budget permit under Sec.  96.83(a).
    Operator means any person who operates, controls, or supervises a 
NOX Budget unit, a NOX Budget source, or unit for 
which an application for a NOX Budget opt-in permit under 
Sec.  96.83 is submitted and not denied or withdrawn and shall include, 
but not be limited to, any holding company, utility system, or plant 
manager of such a unit or source.
    Opt-in means to be elected to become a NOX Budget unit 
under the NOX Budget Trading Program through a final, 
effective NOX Budget opt-in permit under subpart I of this 
part.
    Overdraft account means the NOX Allowance Tracking System 
account, established by the Administrator under subpart F of this part, 
for each NOX Budget source where there are two or more 
NOX Budget units.
    Owner means any of the following persons:
    (1) Any holder of any portion of the legal or equitable title in a 
NOX Budget unit or in a unit for which an application for a 
NOX Budget opt-in permit under Sec.  96.83 is submitted and 
not denied or withdrawn; or
    (2) Any holder of a leasehold interest in a NOX Budget 
unit or in a unit for which an application for a NOX Budget 
opt-in permit under Sec.  96.83 is submitted and not denied or 
withdrawn; or
    (3) Any purchaser of power from a NOX Budget unit or from 
a unit for which an application for a NOX Budget opt-in 
permit under Sec.  96.83 is submitted and not denied or withdrawn under 
a

[[Page 915]]

life-of-the-unit, firm power contractual arrangement. However, unless 
expressly provided for in a leasehold agreement, owner shall not include 
a passive lessor, or a person who has an equitable interest through such 
lessor, whose rental payments are not based, either directly or 
indirectly, upon the revenues or income from the NOX Budget 
unit or the unit for which an application for a NOX Budget 
opt-in permit under Sec.  96.83 is submitted and not denied or 
withdrawn; or
    (4) With respect to any general account, any person who has an 
ownership interest with respect to the NOX allowances held in 
the general account and who is subject to the binding agreement for the 
NOX authorized account representative to represent that 
person's ownership interest with respect to NOX allowances.
    Permitting authority means the State air pollution control agency, 
local agency, other State agency, or other agency authorized by the 
Administrator to issue or revise permits to meet the requirements of the 
NOX Budget Trading Program in accordance with subpart C of 
this part.
    Receive or receipt of means, when referring to the permitting 
authority or the Administrator, to come into possession of a document, 
information, or correspondence (whether sent in writing or by authorized 
electronic transmission), as indicated in an official correspondence 
log, or by a notation made on the document, information, or 
correspondence, by the permitting authority or the Administrator in the 
regular course of business.
    Recordation, record, or recorded means, with regard to 
NOX allowances, the movement of NOX allowances by 
the Administrator from one NOX Allowance Tracking System 
account to another, for purposes of allocation, transfer, or deduction.
    Reference method means any direct test method of sampling and 
analyzing for an air pollutant as specified in appendix A of part 60 of 
this chapter.
    Serial number means, when referring to NOX allowances, 
the unique identification number assigned to each NOX 
allowance by the Administrator, under Sec.  96.53(c).
    Source means any governmental, institutional, commercial, or 
industrial structure, installation, plant, building, or facility that 
emits or has the potential to emit any regulated air pollutant under the 
CAA. For purposes of section 502(c) of the CAA, a ``source,'' including 
a ``source'' with multiple units, shall be considered a single 
``facility.''
    State means one of the 48 contiguous States and the District of 
Columbia specified in Sec.  51.121 of this chapter, or any non-federal 
authority in or including such States or the District of Columbia 
(including local agencies, and Statewide agencies) or any eligible 
Indian tribe in an area of such State or the District of Columbia, that 
adopts a NOX Budget Trading Program pursuant to Sec.  51.121 
of this chapter. To the extent a State incorporates by reference the 
provisions of this part, the term ``State'' shall mean the incorporating 
State. The term ``State'' shall have its conventional meaning where such 
meaning is clear from the context.
    State trading program budget means the total number of 
NOX tons apportioned to all NOX Budget units in a 
given State, in accordance with the NOX Budget Trading 
Program, for use in a given control period.
    Submit or serve means to send or transmit a document, information, 
or correspondence to the person specified in accordance with the 
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery. 
Compliance with any ``submission,'' ``service,'' or ``mailing'' deadline 
shall be determined by the date of dispatch, transmission, or mailing 
and not the date of receipt.
    Title V operating permit means a permit issued under title V of the 
CAA and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the 
Administrator has approved or issued as meeting the requirements of 
title V of the CAA and part 70 or 71 of this chapter.
    Ton or tonnage means any ``short ton'' (i.e., 2,000 pounds). For the 
purpose of determining compliance with the NOX Budget 
emissions limitation,

[[Page 916]]

total tons for a control period shall be calculated as the sum of all 
recorded hourly emissions (or the tonnage equivalent of the recorded 
hourly emissions rates) in accordance with subpart H of this part, with 
any remaining fraction of a ton equal to or greater than 0.50 ton deemed 
to equal one ton and any fraction of a ton less than 0.50 ton deemed to 
equal zero tons.
    Unit means a fossil fuel-fired stationary boiler, combustion 
turbine, or combined cycle system.
    Unit load means the total (i.e., gross) output of a unit in any 
control period (or other specified time period) produced by combusting a 
given heat input of fuel, expressed in terms of:
    (1) The total electrical generation (MWe) produced by the unit, 
including generation for use within the plant; or
    (2) In the case of a unit that uses heat input for purposes other 
than electrical generation, the total steam pressure (psia) produced by 
the unit, including steam for use by the unit.
    Unit operating day means a calendar day in which a unit combusts any 
fuel.
    Unit operating hour or hour of unit operation means any hour (or 
fraction of an hour) during which a unit combusts any fuel.
    Utilization means the heat input (expressed in mmBtu/time) for a 
unit. The unit's total heat input for the control period in each year 
will be determined in accordance with part 75 of this chapter if the 
NOX Budget unit was otherwise subject to the requirements of 
part 75 of this chapter for the year, or will be based on the best 
available data reported to the Administrator for the unit if the unit 
was not otherwise subject to the requirements of part 75 of this chapter 
for the year.



Sec.  96.3  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this part are 
defined as follows:

Btu--British thermal unit.
hr--hour.
Kwh--kilowatt hour.
lb--pounds.
mmBtu--million Btu.
MWe--megawatt electrical.
ton--2000 pounds.
CO2--carbon dioxide.
NOX--nitrogen oxides.
O2--oxygen.



Sec.  96.4  Applicability.

    (a) The following units in a State shall be NOX Budget 
units, and any source that includes one or more such units shall be a 
NOX Budget source, subject to the requirements of this part:
    (1) Any unit that, any time on or after January 1, 1995, serves a 
generator with a nameplate capacity greater than 25 MWe and sells any 
amount of electricity; or
    (2) Any unit that is not a unit under paragraph (a) of this section 
and that has a maximum design heat input greater than 250 mmBtu/hr.
    (b) Notwithstanding paragraph (a) of this section, a unit under 
paragraph (a) of this section shall be subject only to the requirements 
of this paragraph (b) if the unit has a federally enforceable permit 
that meets the requirements of paragraph (b)(1) of this section and 
restricts the unit to burning only natural gas or fuel oil during a 
control period in 2003 or later and each control period thereafter and 
restricts the unit's operating hours during each such control period to 
the number of hours (determined in accordance with paragraph (b)(1)(ii) 
and (iii) of this section) that limits the unit's potential 
NOX mass emissions for the control period to 25 tons or less. 
Notwithstanding paragraph (a) of this section, starting with the 
effective date of such federally enforceable permit, the unit shall not 
be a NOX Budget unit.
    (1) For each control period under paragraph (b) of this section, the 
federally enforceable permit must:
    (i) Restrict the unit to burning only natural gas or fuel oil.
    (ii) Restrict the unit's operating hours to the number calculated by 
dividing 25 tons of potential NOX mass emissions by the 
unit's maximum potential hourly NOX mass emissions.
    (iii) Require that the unit's potential NOX mass 
emissions shall be calculated as follows:
    (A) Select the default NOX emission rate in Table 2 of 
Sec.  75.19 of this chapter that would otherwise be applicable assuming 
that the unit burns only the type of fuel (i.e., only natural gas or

[[Page 917]]

only fuel oil) that has the highest default NOX emission 
factor of any type of fuel that the unit is allowed to burn under the 
fuel use restriction in paragraph (b)(1)(i) of this section; and
    (B) Multiply the default NOX emission rate under 
paragraph (b)(1)(iii)(A) of this section by the unit's maximum rated 
hourly heat input. The owner or operator of the unit may petition the 
permitting authority to use a lower value for the unit's maximum rated 
hourly heat input than the value as defined under Sec.  96.2. The 
permitting authority may approve such lower value if the owner or 
operator demonstrates that the maximum hourly heat input specified by 
the manufacturer or the highest observed hourly heat input, or both, are 
not representative, and that such lower value is representative, of the 
unit's current capabilities because modifications have been made to the 
unit, limiting its capacity permanently.
    (iv) Require that the owner or operator of the unit shall retain at 
the source that includes the unit, for 5 years, records demonstrating 
that the operating hours restriction, the fuel use restriction, and the 
other requirements of the permit related to these restrictions were met.
    (v) Require that the owner or operator of the unit shall report the 
unit's hours of operation (treating any partial hour of operation as a 
whole hour of operation) during each control period to the permitting 
authority by November 1 of each year for which the unit is subject to 
the federally enforceable permit.
    (2) The permitting authority that issues the federally enforceable 
permit with the fuel use restriction under paragraph (b)(1)(i) and the 
operating hours restriction under paragraphs (b)(1)(ii) and (iii) of 
this section will notify the Administrator in writing of each unit under 
paragraph (a) of this section whose federally enforceable permit issued 
by the permitting authority includes such restrictions. The permitting 
authority will also notify the Administrator in writing of each unit 
under paragraph (a) of this section whose federally enforceable permit 
issued by the permitting authority is revised to remove any such 
restriction, whose federally enforceable permit issued by the permitting 
authority includes any such restriction that is no longer applicable, or 
which does not comply with any such restriction.
    (3) If, for any control period under paragraph (b) of this section, 
the fuel use restriction under paragraph (b)(1)(i) of this section or 
the operating hours restriction under paragraphs (b)(1)(ii) and (iii) of 
this section is removed from the unit's federally enforceable permit or 
otherwise becomes no longer applicable or if, for any such control 
period, the unit does not comply with the fuel use restriction under 
paragraph (b)(1)(i) of this section or the operating hours restriction 
under paragraphs (b)(1)(ii) and (iii) of this section, the unit shall be 
a NOX Budget unit, subject to the requirements of this part. 
Such unit shall be treated as commencing operation and, for a unit under 
paragraph (a)(1) of this section, commencing commercial operation on 
September 30 of the control period for which the fuel use restriction or 
the operating hours restriction is no longer applicable or during which 
the unit does not comply with the fuel use restriction or the operating 
hours restriction.



Sec.  96.5  Retired unit exemption.

    (a) This section applies to any NOX Budget unit, other 
than a NOX Budget opt-in source, that is permanently retired.
    (b)(1) Any NOX Budget unit, other than a NOX 
Budget opt-in source, that is permanently retired shall be exempt from 
the NOX Budget Trading Program, except for the provisions of 
this section, Sec. Sec.  96.2, 96.3, 96.4, 96.7 and subparts E, F, and G 
of this part.
    (2) The exemption under paragraph (b)(1) of this section shall 
become effective the day on which the unit is permanently retired. 
Within 30 days of permanent retirement, the NOX authorized 
account representative (authorized in accordance with subpart B of this 
part) shall submit a statement to the permitting authority otherwise 
responsible for administering any NOX Budget permit for the 
unit. A copy of the statement shall be submitted to the Administrator. 
The statement shall state (in a format prescribed by the permitting 
authority) that the unit is

[[Page 918]]

permanently retired and will comply with the requirements of paragraph 
(c) of this section.
    (3) After receipt of the notice under paragraph (b)(2) of this 
section, the permitting authority will amend any permit covering the 
source at which the unit is located to add the provisions and 
requirements of the exemption under paragraphs (b)(1) and (c) of this 
section.
    (c) Special provisions. (1) A unit exempt under this section shall 
not emit any nitrogen oxides, starting on the date that the exemption 
takes effect. The owners and operators of the unit will be allocated 
allowances in accordance with subpart E of this part.
    (2)(i) A unit exempt under this section and located at a source that 
is required, or but for this exemption would be required, to have a 
title V operating permit shall not resume operation unless the 
NOX authorized account representative of the source submits a 
complete NOX Budget permit application under Sec.  96.22 for 
the unit not less than 18 months (or such lesser time provided under the 
permitting authority's title V operating permits regulations for final 
action on a permit application) prior to the later of May 1, 2003 or the 
date on which the unit is to first resume operation.
    (ii) A unit exempt under this section and located at a source that 
is required, or but for this exemption would be required, to have a non-
title V permit shall not resume operation unless the NOX 
authorized account representative of the source submits a complete 
NOX Budget permit application under Sec.  96.22 for the unit 
not less than 18 months (or such lesser time provided under the 
permitting authority's non-title V permits regulations for final action 
on a permit application) prior to the later of May 1, 2003 or the date 
on which the unit is to first resume operation.
    (3) The owners and operators and, to the extent applicable, the 
NOX authorized account representative of a unit exempt under 
this section shall comply with the requirements of the NOX 
Budget Trading Program concerning all periods for which the exemption is 
not in effect, even if such requirements arise, or must be complied 
with, after the exemption takes effect.
    (4) A unit that is exempt under this section is not eligible to be a 
NOX Budget opt-in source under subpart I of this part.
    (5) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under this section shall 
retain at the source that includes the unit, records demonstrating that 
the unit is permanently retired. The 5-year period for keeping records 
may be extended for cause, at any time prior to the end of the period, 
in writing by the permitting authority or the Administrator. The owners 
and operators bear the burden of proof that the unit is permanently 
retired.
    (6) Loss of exemption. (i) On the earlier of the following dates, a 
unit exempt under paragraph (b) of this section shall lose its 
exemption:
    (A) The date on which the NOX authorized account 
representative submits a NOX Budget permit application under 
paragraph (c)(2) of this section; or
    (B) The date on which the NOX authorized account 
representative is required under paragraph (c)(2) of this section to 
submit a NOX Budget permit application.
    (ii) For the purpose of applying monitoring requirements under 
subpart H of this part, a unit that loses its exemption under this 
section shall be treated as a unit that commences operation or 
commercial operation on the first date on which the unit resumes 
operation.



Sec.  96.6  Standard requirements.

    (a) Permit Requirements. (1) The NOX authorized account 
representative of each NOX Budget source required to have a 
federally enforceable permit and each NOX Budget unit 
required to have a federally enforceable permit at the source shall:
    (i) Submit to the permitting authority a complete NOX 
Budget permit application under Sec.  96.22 in accordance with the 
deadlines specified in Sec.  96.21(b) and (c);
    (ii) Submit in a timely manner any supplemental information that the 
permitting authority determines is necessary in order to review a 
NOX Budget

[[Page 919]]

permit application and issue or deny a NOX Budget permit.
    (2) The owners and operators of each NOX Budget source 
required to have a federally enforceable permit and each NOX 
Budget unit required to have a federally enforceable permit at the 
source shall have a NOX Budget permit issued by the 
permitting authority and operate the unit in compliance with such 
NOX Budget permit.
    (3) The owners and operators of a NOX Budget source that 
is not otherwise required to have a federally enforceable permit are not 
required to submit a NOX Budget permit application, and to 
have a NOX Budget permit, under subpart C of this part for 
such NOX Budget source.
    (b) Monitoring requirements. (1) The owners and operators and, to 
the extent applicable, the NOX authorized account 
representative of each NOX Budget source and each 
NOX Budget unit at the source shall comply with the 
monitoring requirements of subpart H of this part.
    (2) The emissions measurements recorded and reported in accordance 
with subpart H of this part shall be used to determine compliance by the 
unit with the NOX Budget emissions limitation under paragraph 
(c) of this section.
    (c) Nitrogen oxides requirements. (1) The owners and operators of 
each NOX Budget source and each NOX Budget unit at 
the source shall hold NOX allowances available for compliance 
deductions under Sec.  96.54, as of the NOX allowance 
transfer deadline, in the unit's compliance account and the source's 
overdraft account in an amount not less than the total NOX 
emissions for the control period from the unit, as determined in 
accordance with subpart H of this part, plus any amount necessary to 
account for actual utilization under Sec.  96.42(e) for the control 
period.
    (2) Each ton of nitrogen oxides emitted in excess of the 
NOX Budget emissions limitation shall constitute a separate 
violation of this part, the CAA, and applicable State law.
    (3) A NOX Budget unit shall be subject to the 
requirements under paragraph (c)(1) of this section starting on the 
later of May 1, 2003 or the date on which the unit commences operation.
    (4) NOX allowances shall be held in, deducted from, or 
transferred among NOX Allowance Tracking System accounts in 
accordance with subparts E, F, G, and I of this part.
    (5) A NOX allowance shall not be deducted, in order to 
comply with the requirements under paragraph (c)(1) of this section, for 
a control period in a year prior to the year for which the 
NOX allowance was allocated.
    (6) A NOX allowance allocated by the permitting authority 
or the Administrator under the NOX Budget Trading Program is 
a limited authorization to emit one ton of nitrogen oxides in accordance 
with the NOX Budget Trading Program. No provision of the 
NOX Budget Trading Program, the NOX Budget permit 
application, the NOX Budget permit, or an exemption under 
Sec.  96.5 and no provision of law shall be construed to limit the 
authority of the United States or the State to terminate or limit such 
authorization.
    (7) A NOX allowance allocated by the permitting authority 
or the Administrator under the NOX Budget Trading Program 
does not constitute a property right.
    (8) Upon recordation by the Administrator under subpart F, G, or I 
of this part, every allocation, transfer, or deduction of a 
NOX allowance to or from a NOX Budget unit's 
compliance account or the overdraft account of the source where the unit 
is located is deemed to amend automatically, and become a part of, any 
NOX Budget permit of the NOX Budget unit by 
operation of law without any further review.
    (d) Excess emissions requirements. (1) The owners and operators of a 
NOX Budget unit that has excess emissions in any control 
period shall:
    (i) Surrender the NOX allowances required for deduction 
under Sec.  96.54(d)(1); and
    (ii) Pay any fine, penalty, or assessment or comply with any other 
remedy imposed under Sec.  96.54(d)(3).
    (e) Recordkeeping and Reporting requirements. (1) Unless otherwise 
provided, the owners and operators of the NOX Budget source 
and each NOX Budget unit at the source shall keep on site at 
the source each of the following documents for a period of 5 years from 
the

[[Page 920]]

date the document is created. This period may be extended for cause, at 
any time prior to the end of 5 years, in writing by the permitting 
authority or the Administrator.
    (i) The account certificate of representation for the NOX 
authorized account representative for the source and each NOX 
Budget unit at the source and all documents that demonstrate the truth 
of the statements in the account certificate of representation, in 
accordance with Sec.  96.13; provided that the certificate and documents 
shall be retained on site at the source beyond such 5-year period until 
such documents are superseded because of the submission of a new account 
certificate of representation changing the NOX authorized 
account representative.
    (ii) All emissions monitoring information, in accordance with 
subpart H of this part; provided that to the extent that subpart H of 
this part provides for a 3-year period for recordkeeping, the 3-year 
period shall apply.
    (iii) Copies of all reports, compliance certifications, and other 
submissions and all records made or required under the NOX 
Budget Trading Program.
    (iv) Copies of all documents used to complete a NOX 
Budget permit application and any other submission under the 
NOX Budget Trading Program or to demonstrate compliance with 
the requirements of the NOX Budget Trading Program.
    (2) The NOX authorized account representative of a 
NOX Budget source and each NOX Budget unit at the 
source shall submit the reports and compliance certifications required 
under the NOX Budget Trading Program, including those under 
subparts D, H, or I of this part.
    (f) Liability. (1) Any person who knowingly violates any requirement 
or prohibition of the NOX Budget Trading Program, a 
NOX Budget permit, or an exemption under Sec.  96.5 shall be 
subject to enforcement pursuant to applicable State or Federal law.
    (2) Any person who knowingly makes a false material statement in any 
record, submission, or report under the NOX Budget Trading 
Program shall be subject to criminal enforcement pursuant to the 
applicable State or Federal law.
    (3) No permit revision shall excuse any violation of the 
requirements of the NOX Budget Trading Program that occurs 
prior to the date that the revision takes effect.
    (4) Each NOX Budget source and each NOX Budget 
unit shall meet the requirements of the NOX Budget Trading 
Program.
    (5) Any provision of the NOX Budget Trading Program that 
applies to a NOX Budget source (including a provision 
applicable to the NOX authorized account representative of a 
NOX Budget source) shall also apply to the owners and 
operators of such source and of the NOX Budget units at the 
source.
    (6) Any provision of the NOX Budget Trading Program that 
applies to a NOX Budget unit (including a provision 
applicable to the NOX authorized account representative of a 
NOX budget unit) shall also apply to the owners and operators 
of such unit. Except with regard to the requirements applicable to units 
with a common stack under subpart H of this part, the owners and 
operators and the NOX authorized account representative of 
one NOX Budget unit shall not be liable for any violation by 
any other NOX Budget unit of which they are not owners or 
operators or the NOX authorized account representative and 
that is located at a source of which they are not owners or operators or 
the NOX authorized account representative.
    (g) Effect on other authorities. No provision of the NOX 
Budget Trading Program, a NOX Budget permit application, a 
NOX Budget permit, or an exemption under Sec.  96.5 shall be 
construed as exempting or excluding the owners and operators and, to the 
extent applicable, the NOX authorized account representative 
of a NOX Budget source or NOX Budget unit from 
compliance with any other provision of the applicable, approved State 
implementation plan, a federally enforceable permit, or the CAA.



Sec.  96.7  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the 
NOX Budget Trading Program, to begin on the occurrence of an 
act or event shall begin on the day the act or event occurs.

[[Page 921]]

    (b) Unless otherwise stated, any time period scheduled, under the 
NOX Budget Trading Program, to begin before the occurrence of 
an act or event shall be computed so that the period ends the day before 
the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period, 
under the NOX Budget Trading Program, falls on a weekend or a 
State or Federal holiday, the time period shall be extended to the next 
business day.



 Subpart B_NOX Authorized Account Representative for NOX Budget Sources



Sec.  96.10  Authorization and responsibilities of the NOX authorized 
account representative.

    (a) Except as provided under Sec.  96.11, each NOX Budget 
source, including all NOX Budget units at the source, shall 
have one and only one NOX authorized account representative, 
with regard to all matters under the NOX Budget Trading 
Program concerning the source or any NOX Budget unit at the 
source.
    (b) The NOX authorized account representative of the 
NOX Budget source shall be selected by an agreement binding 
on the owners and operators of the source and all NOX Budget 
units at the source.
    (c) Upon receipt by the Administrator of a complete account 
certificate of representation under Sec.  96.13, the NOX 
authorized account representative of the source shall represent and, by 
his or her representations, actions, inactions, or submissions, legally 
bind each owner and operator of the NOX Budget source 
represented and each NOX Budget unit at the source in all 
matters pertaining to the NOX Budget Trading Program, not 
withstanding any agreement between the NOX authorized account 
representative and such owners and operators. The owners and operators 
shall be bound by any decision or order issued to the NOX 
authorized account representative by the permitting authority, the 
Administrator, or a court regarding the source or unit.
    (d) No NOX Budget permit shall be issued, and no 
NOX Allowance Tracking System account shall be established 
for a NOX Budget unit at a source, until the Administrator 
has received a complete account certificate of representation under 
Sec.  96.13 for a NOX authorized account representative of 
the source and the NOX Budget units at the source.
    (e)(1) Each submission under the NOX Budget Trading 
Program shall be submitted, signed, and certified by the NOX 
authorized account representative for each NOX Budget source 
on behalf of which the submission is made. Each such submission shall 
include the following certification statement by the NOX 
authorized account representative: ``I am authorized to make this 
submission on behalf of the owners and operators of the NOX 
Budget sources or NOX Budget units for which the submission 
is made. I certify under penalty of law that I have personally examined, 
and am familiar with, the statements and information submitted in this 
document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the best of my 
knowledge and belief true, accurate, and complete. I am aware that there 
are significant penalties for submitting false statements and 
information or omitting required statements and information, including 
the possibility of fine or imprisonment.''
    (2) The permitting authority and the Administrator will accept or 
act on a submission made on behalf of owner or operators of a 
NOX Budget source or a NOX Budget unit only if the 
submission has been made, signed, and certified in accordance with 
paragraph (e)(1) of this section.



Sec.  96.11  Alternate NOX authorized account representative.

    (a) An account certificate of representation may designate one and 
only one alternate NOX authorized account representative who 
may act on behalf of the NOX authorized account 
representative. The agreement by which the alternate NOX 
authorized account representative is selected shall include a procedure 
for authorizing the alternate NOX authorized account 
representative to act in lieu of the NOX authorized account 
representative.

[[Page 922]]

    (b) Upon receipt by the Administrator of a complete account 
certificate of representation under Sec.  96.13, any representation, 
action, inaction, or submission by the alternate NOX 
authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the NOX 
authorized account representative.
    (c) Except in this section and Sec. Sec.  96.10(a), 96.12, 96.13, 
and 96.51, whenever the term ``NOX authorized account 
representative'' is used in this part, the term shall be construed to 
include the alternate NOX authorized account representative.



Sec.  96.12  Changing the NOX authorized account representative and the
alternate NOX authorized account representative; changes in the owners
and operators.

    (a) Changing the NOX authorized account representative. 
The NOX authorized account representative may be changed at 
any time upon receipt by the Administrator of a superseding complete 
account certificate of representation under Sec.  96.13. Notwithstanding 
any such change, all representations, actions, inactions, and 
submissions by the previous NOX authorized account 
representative prior to the time and date when the Administrator 
receives the superseding account certificate of representation shall be 
binding on the new NOX authorized account representative and 
the owners and operators of the NOX Budget source and the 
NOX Budget units at the source.
    (b) Changing the alternate NOX authorized account 
representative. The alternate NOX authorized account 
representative may be changed at any time upon receipt by the 
Administrator of a superseding complete account certificate of 
representation under Sec.  96.13. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
alternate NOX authorized account representative prior to the 
time and date when the Administrator receives the superseding account 
certificate of representation shall be binding on the new alternate 
NOX authorized account representative and the owners and 
operators of the NOX Budget source and the NOX 
Budget units at the source.
    (c) Changes in the owners and operators. (1) In the event a new 
owner or operator of a NOX Budget source or a NOX 
Budget unit is not included in the list of owners and operators 
submitted in the account certificate of representation, such new owner 
or operator shall be deemed to be subject to and bound by the account 
certificate of representation, the representations, actions, inactions, 
and submissions of the NOX authorized account representative 
and any alternate NOX authorized account representative of 
the source or unit, and the decisions, orders, actions, and inactions of 
the permitting authority or the Administrator, as if the new owner or 
operator were included in such list.
    (2) Within 30 days following any change in the owners and operators 
of a NOX Budget source or a NOX Budget unit, 
including the addition of a new owner or operator, the NOX 
authorized account representative or alternate NOX authorized 
account representative shall submit a revision to the account 
certificate of representation amending the list of owners and operators 
to include the change.



Sec.  96.13  Account certificate of representation.

    (a) A complete account certificate of representation for a 
NOX authorized account representative or an alternate 
NOX authorized account representative shall include the 
following elements in a format prescribed by the Administrator:
    (1) Identification of the NOX Budget source and each 
NOX Budget unit at the source for which the account 
certificate of representation is submitted.
    (2) The name, address, e-mail address (if any), telephone number, 
and facsimile transmission number (if any) of the NOX 
authorized account representative and any alternate NOX 
authorized account representative.
    (3) A list of the owners and operators of the NOX Budget 
source and of each NOX Budget unit at the source.
    (4) The following certification statement by the NOX 
authorized account representative and any alternate NOX 
authorized account representative: ``I certify that I was selected as 
the NOX authorized account representative or

[[Page 923]]

alternate NOX authorized account representative, as 
applicable, by an agreement binding on the owners and operators of the 
NOX Budget source and each NOX Budget unit at the 
source. I certify that I have all the necessary authority to carry out 
my duties and responsibilities under the NOX Budget Trading 
Program on behalf of the owners and operators of the NOX 
Budget source and of each NOX Budget unit at the source and 
that each such owner and operator shall be fully bound by my 
representations, actions, inactions, or submissions and by any decision 
or order issued to me by the permitting authority, the Administrator, or 
a court regarding the source or unit.''
    (5) The signature of the NOX authorized account 
representative and any alternate NOX authorized account 
representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the account 
certificate of representation shall not be submitted to the permitting 
authority or the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.



Sec.  96.14  Objections concerning the NOX authorized account 
representative.

    (a) Once a complete account certificate of representation under 
Sec.  96.13 has been submitted and received, the permitting authority 
and the Administrator will rely on the account certificate of 
representation unless and until a superseding complete account 
certificate of representation under Sec.  96.13 is received by the 
Administrator.
    (b) Except as provided in Sec.  96.12(a) or (b), no objection or 
other communication submitted to the permitting authority or the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the NOX authorized account 
representative shall affect any representation, action, inaction, or 
submission of the NOX authorized account representative or 
the finality of any decision or order by the permitting authority or the 
Administrator under the NOX Budget Trading Program.
    (c) Neither the permitting authority nor the Administrator will 
adjudicate any private legal dispute concerning the authorization or any 
representation, action, inaction, or submission of any NOX 
authorized account representative, including private legal disputes 
concerning the proceeds of NOX allowance transfers.



                            Subpart C_Permits



Sec.  96.20  General NOX Budget trading program permit requirements.

    (a) For each NOX Budget source required to have a 
federally enforceable permit, such permit shall include a NOX 
Budget permit administered by the permitting authority.
    (1) For NOX Budget sources required to have a title V 
operating permit, the NOX Budget portion of the title V 
permit shall be administered in accordance with the permitting 
authority's title V operating permits regulations promulgated under part 
70 or 71 of this chapter, except as provided otherwise by this subpart 
or subpart I of this part. The applicable provisions of such title V 
operating permits regulations shall include, but are not limited to, 
those provisions addressing operating permit applications, operating 
permit application shield, operating permit duration, operating permit 
shield, operating permit issuance, operating permit revision and 
reopening, public participation, State review, and review by the 
Administrator.
    (2) For NOX Budget sources required to have a non-title V 
permit, the NOX Budget portion of the non-title V permit 
shall be administered in accordance with the permitting authority's 
regulations promulgated to administer non-title V permits, except as 
provided otherwise by this subpart or subpart I of this part. The 
applicable provisions of such non-title V permits regulations may 
include, but are not limited to, provisions addressing permit 
applications, permit application shield, permit duration, permit shield, 
permit issuance, permit revision and reopening, public participation, 
State review, and review by the Administrator.

[[Page 924]]

    (b) Each NOX Budget permit (including a draft or proposed 
NOX Budget permit, if applicable) shall contain all 
applicable NOX Budget Trading Program requirements and shall 
be a complete and segregable portion of the permit under paragraph (a) 
of this section.



Sec.  96.21  Submission of NOX Budget permit applications.

    (a) Duty to apply. The NOX authorized account 
representative of any NOX Budget source required to have a 
federally enforceable permit shall submit to the permitting authority a 
complete NOX Budget permit application under Sec.  96.22 by 
the applicable deadline in paragraph (b) of this section.
    (b)(1) For NOX Budget sources required to have a title V 
operating permit:
    (i) For any source, with one or more NOX Budget units 
under Sec.  96.4 that commence operation before January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec.  96.22 covering such 
NOX Budget units to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
title V operating permits regulations for final action on a permit 
application) before May 1, 2003.
    (ii) For any source, with any NOX Budget unit under Sec.  
96.4 that commences operation on or after January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec.  96.22 covering such 
NOX Budget unit to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
title V operating permits regulations for final action on a permit 
application) before the later of May 1, 2003 or the date on which the 
NOX Budget unit commences operation.
    (2) For NOX Budget sources required to have a non-title V 
permit:
    (i) For any source, with one or more NOX Budget units 
under Sec.  96.4 that commence operation before January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec.  96.22 covering such 
NOX Budget units to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
non-title V permits regulations for final action on a permit 
application) before May 1, 2003.
    (ii) For any source, with any NOX Budget unit under Sec.  
96.4 that commences operation on or after January 1, 2000, the 
NOX authorized account representative shall submit a complete 
NOX Budget permit application under Sec.  96.22 covering such 
NOX Budget unit to the permitting authority at least 18 
months (or such lesser time provided under the permitting authority's 
non-title V permits regulations for final action on a permit 
application) before the later of May 1, 2003 or the date on which the 
NOX Budget unit commences operation.
    (c) Duty to reapply. (1) For a NOX Budget source required 
to have a title V operating permit, the NOX authorized 
account representative shall submit a complete NOX Budget 
permit application under Sec.  96.22 for the NOX Budget 
source covering the NOX Budget units at the source in 
accordance with the permitting authority's title V operating permits 
regulations addressing operating permit renewal.
    (2) For a NOX Budget source required to have a non-title 
V permit, the NOX authorized account representative shall 
submit a complete NOX Budget permit application under Sec.  
96.22 for the NOX Budget source covering the NOX 
Budget units at the source in accordance with the permitting authority's 
non-title V permits regulations addressing permit renewal.



Sec.  96.22  Information requirements for NOX Budget permit applications.

    A complete NOX Budget permit application shall include 
the following elements concerning the NOX Budget source for 
which the application is submitted, in a format prescribed by the 
permitting authority:
    (a) Identification of the NOX Budget source, including 
plant name and the ORIS (Office of Regulatory Information Systems) or 
facility code assigned to the source by the Energy Information 
Administration, if applicable;
    (b) Identification of each NOX Budget unit at the 
NOX Budget source and

[[Page 925]]

whether it is a NOX Budget unit under Sec.  96.4 or under 
subpart I of this part;
    (c) The standard requirements under Sec.  96.6; and
    (d) For each NOX Budget opt-in unit at the NOX 
Budget source, the following certification statements by the 
NOX authorized account representative:
    (1) ``I certify that each unit for which this permit application is 
submitted under subpart I of this part is not a NOX Budget 
unit under 40 CFR 96.4 and is not covered by a retired unit exemption 
under 40 CFR 96.5 that is in effect.''
    (2) If the application is for an initial NOX Budget opt-
in permit, ``I certify that each unit for which this permit application 
is submitted under subpart I is currently operating, as that term is 
defined under 40 CFR 96.2.''



Sec.  96.23  NOX Budget permit contents.

    (a) Each NOX Budget permit (including any draft or 
proposed NOX Budget permit, if applicable) will contain, in a 
format prescribed by the permitting authority, all elements required for 
a complete NOX Budget permit application under Sec.  96.22 as 
approved or adjusted by the permitting authority.
    (b) Each NOX Budget permit is deemed to incorporate 
automatically the definitions of terms under Sec.  96.2 and, upon 
recordation by the Administrator under subparts F, G, or I of this part, 
every allocation, transfer, or deduction of a NOX allowance 
to or from the compliance accounts of the NOX Budget units 
covered by the permit or the overdraft account of the NOX 
Budget source covered by the permit.



Sec.  96.24  Effective date of initial NOX Budget permit.

    The initial NOX Budget permit covering a NOX 
Budget unit for which a complete NOX Budget permit 
application is timely submitted under Sec.  96.21(b) shall become 
effective by the later of:
    (a) May 1, 2003;
    (b) May 1 of the year in which the NOX Budget unit 
commences operation, if the unit commences operation on or before May 1 
of that year;
    (c) The date on which the NOX Budget unit commences 
operation, if the unit commences operation during a control period; or
    (d) May 1 of the year following the year in which the NOX 
Budget unit commences operation, if the unit commences operation on or 
after October 1 of the year.



Sec.  96.25  NOX Budget permit revisions.

    (a) For a NOX Budget source with a title V operating 
permit, except as provided in Sec.  96.23(b), the permitting authority 
will revise the NOX Budget permit, as necessary, in 
accordance with the permitting authority's title V operating permits 
regulations addressing permit revisions.
    (b) For a NOX Budget source with a non-title V permit, 
except as provided in Sec.  96.23(b), the permitting authority will 
revise the NOX Budget permit, as necessary, in accordance 
with the permitting authority's non-title V permits regulations 
addressing permit revisions.



                   Subpart D_Compliance Certification



Sec.  96.30  Compliance certification report.

    (a) Applicability and deadline. For each control period in which one 
or more NOX Budget units at a source are subject to the 
NOX Budget emissions limitation, the NOX 
authorized account representative of the source shall submit to the 
permitting authority and the Administrator by November 30 of that year, 
a compliance certification report for each source covering all such 
units.
    (b) Contents of report. The NOX authorized account 
representative shall include in the compliance certification report 
under paragraph (a) of this section the following elements, in a format 
prescribed by the Administrator, concerning each unit at the source and 
subject to the NOX Budget emissions limitation for the 
control period covered by the report:
    (1) Identification of each NOX Budget unit;
    (2) At the NOX authorized account representative's 
option, the serial numbers of the NOX allowances that are to 
be deducted from each unit's compliance account under Sec.  96.54 for 
the control period;

[[Page 926]]

    (3) At the NOX authorized account representative's 
option, for units sharing a common stack and having NOX 
emissions that are not monitored separately or apportioned in accordance 
with subpart H of this part, the percentage of allowances that is to be 
deducted from each unit's compliance account under Sec.  96.54(e); and
    (4) The compliance certification under paragraph (c) of this 
section.
    (c) Compliance certification. In the compliance certification report 
under paragraph (a) of this section, the NOX authorized 
account representative shall certify, based on reasonable inquiry of 
those persons with primary responsibility for operating the source and 
the NOX Budget units at the source in compliance with the 
NOX Budget Trading Program, whether each NOX 
Budget unit for which the compliance certification is submitted was 
operated during the calendar year covered by the report in compliance 
with the requirements of the NOX Budget Trading Program 
applicable to the unit, including:
    (1) Whether the unit was operated in compliance with the 
NOX Budget emissions limitation;
    (2) Whether the monitoring plan that governs the unit has been 
maintained to reflect the actual operation and monitoring of the unit, 
and contains all information necessary to attribute NOX 
emissions to the unit, in accordance with subpart H of this part;
    (3) Whether all the NOX emissions from the unit, or a 
group of units (including the unit) using a common stack, were monitored 
or accounted for through the missing data procedures and reported in the 
quarterly monitoring reports, including whether conditional data were 
reported in the quarterly reports in accordance with subpart H of this 
part. If conditional data were reported, the owner or operator shall 
indicate whether the status of all conditional data has been resolved 
and all necessary quarterly report resubmissions has been made;
    (4) Whether the facts that form the basis for certification under 
subpart H of this part of each monitor at the unit or a group of units 
(including the unit) using a common stack, or for using an excepted 
monitoring method or alternative monitoring method approved under 
subpart H of this part, if any, has changed; and
    (5) If a change is required to be reported under paragraph (c)(4) of 
this section, specify the nature of the change, the reason for the 
change, when the change occurred, and how the unit's compliance status 
was determined subsequent to the change, including what method was used 
to determine emissions when a change mandated the need for monitor 
recertification.



Sec.  96.31  Permitting authority's and Administrator's action on 
compliance certifications.

    (a) The permitting authority or the Administrator may review and 
conduct independent audits concerning any compliance certification or 
any other submission under the NOX Budget Trading Program and 
make appropriate adjustments of the information in the compliance 
certifications or other submissions.
    (b) The Administrator may deduct NOX allowances from or 
transfer NOX allowances to a unit's compliance account or a 
source's overdraft account based on the information in the compliance 
certifications or other submissions, as adjusted under paragraph (a) of 
this section.



                   Subpart E_NOX Allowance Allocations



Sec.  96.40  State trading program budget.

    The State trading program budget allocated by the permitting 
authority under Sec.  96.42 for a control period will equal the total 
number of tons of NOX emissions apportioned to the 
NOX Budget units under Sec.  96.4 in the State for the 
control period, as determined by the applicable, approved State 
implementation plan.



Sec.  96.41  Timing requirements for NOX allowance allocations.

    (a) By September 30, 1999, the permitting authority will submit to 
the Administrator the NOX allowance allocations, in 
accordance with Sec.  96.42, for the control periods in 2003, 2004, and 
2005.

[[Page 927]]

    (b) By April 1, 2003 and April 1 of each year thereafter, the 
permitting authority will submit to the Administrator the NOX 
allowance allocations, in accordance with Sec.  96.42, for the control 
period in the year that is three years after the year of the applicable 
deadline for submission under this paragraph (b). If the permitting 
authority fails to submit to the Administrator the NOX 
allowance allocations in accordance with this paragraph (b), the 
Administrator will allocate, for the applicable control period, the same 
number of NOX allowances as were allocated for the preceding 
control period.
    (c) By April 1, 2004 and April 1 of each year thereafter, the 
permitting authority will submit to the Administrator the NOX 
allowance allocations, in accordance with Sec.  96.42, for any 
NOX allowances remaining in the allocation set-aside for the 
prior control period.



Sec.  96.42  NOX allowance allocations.

    (a)(1) The heat input (in mmBtu) used for calculating NOX 
allowance allocations for each NOX Budget unit under Sec.  
96.4 will be:
    (i) For a NOX allowance allocation under Sec.  96.41(a), 
the average of the two highest amounts of the unit's heat input for the 
control periods in 1995, 1996, and 1997 if the unit is under Sec.  
96.4(a)(1) or the control period in 1995 if the unit is under Sec.  
96.4(a)(2); and
    (ii) For a NOX allowance allocation under Sec.  96.41(b), 
the unit's heat input for the control period in the year that is four 
years before the year for which the NOX allocation is being 
calculated.
    (2) The unit's total heat input for the control period in each year 
specified under paragraph (a)(1) of this section will be determined in 
accordance with part 75 of this chapter if the NOX Budget 
unit was otherwise subject to the requirements of part 75 of this 
chapter for the year, or will be based on the best available data 
reported to the permitting authority for the unit if the unit was not 
otherwise subject to the requirements of part 75 of this chapter for the 
year.
    (b) For each control period under Sec.  96.41, the permitting 
authority will allocate to all NOX Budget units under Sec.  
96.4(a)(1) in the State that commenced operation before May 1 of the 
period used to calculate heat input under paragraph (a)(1) of this 
section, a total number of NOX allowances equal to 95 percent 
in 2003, 2004, and 2005, or 98 percent thereafter, of the tons of 
NOX emissions in the State trading program budget apportioned 
to electric generating units under Sec.  96.40 in accordance with the 
following procedures:
    (1) The permitting authority will allocate NOX allowances 
to each NOX Budget unit under Sec.  96.4(a)(1) in an amount 
equaling 0.15 lb/mmBtu multiplied by the heat input determined under 
paragraph (a) of this section, rounded to the nearest whole 
NOX allowance as appropriate.
    (2) If the initial total number of NOX allowances 
allocated to all NOX Budget units under Sec.  96.4(a)(1) in 
the State for a control period under paragraph (b)(1) of this section 
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent 
thereafter, of the number of tons of NOX emissions in the 
State trading program budget apportioned to electric generating units, 
the permitting authority will adjust the total number of NOX 
allowances allocated to all such NOX Budget units for the 
control period under paragraph (b)(1) of this section so that the total 
number of NOX allowances allocated equals 95 percent in 2003, 
2004, and 2005, or 98 percent thereafter, of the number of tons of 
NOX emissions in the State trading program budget apportioned 
to electric generating units. This adjustment will be made by: 
multiplying each unit's allocation by 95 percent in 2003, 2004, and 
2005, or 98 percent thereafter, of the number of tons of NOX 
emissions in the State trading program budget apportioned to electric 
generating units divided by the total number of NOX 
allowances allocated under paragraph (b)(1) of this section, and 
rounding to the nearest whole NOX allowance as appropriate.
    (c) For each control period under Sec.  96.41, the permitting 
authority will allocate to all NOX Budget units under Sec.  
96.4(a)(2) in the State that commenced operation before May 1 of the 
period used to calculate heat input under paragraph (a)(1) of this 
section, a total number of NOX allowances equal to 95 percent 
in 2003, 2004, and 2005, or 98 percent thereafter, of the tons of 
NOX

[[Page 928]]

emissions in the State trading program budget apportioned to non-
electric generating units under Sec.  96.40 in accordance with the 
following procedures:
    (1) The permitting authority will allocate NOX allowances 
to each NOX Budget unit under Sec.  96.4(a)(2) in an amount 
equaling 0.17 lb/mmBtu multiplied by the heat input determined under 
paragraph (a) of this section, rounded to the nearest whole 
NOX allowance as appropriate.
    (2) If the initial total number of NOX allowances 
allocated to all NOX Budget units under Sec.  96.4(a)(2) in 
the State for a control period under paragraph (c)(1) of this section 
does not equal 95 percent in 2003, 2004, and 2005, or 98 percent 
thereafter, of the number of tons of NOX emissions in the 
State trading program budget apportioned to non-electric generating 
units, the permitting authority will adjust the total number of 
NOX allowances allocated to all such NOX Budget 
units for the control period under paragraph (c)(1) of this section so 
that the total number of NOX allowances allocated equals 95 
percent in 2003, 2004, and 2005, or 98 percent thereafter, of the number 
of tons of NOX emissions in the State trading program budget 
apportioned to non-electric generating units. This adjustment will be 
made by: multiplying each unit's allocation by 95 percent in 2003, 2004, 
and 2005, or 98 percent thereafter, of the number of tons of 
NOX emissions in the State trading program budget apportioned 
to non-electric generating units divided by the total number of 
NOX allowances allocated under paragraph (c)(1) of this 
section, and rounding to the nearest whole NOX allowance as 
appropriate.
    (d) For each control period under Sec.  96.41, the permitting 
authority will allocate NOX allowances to NOX 
Budget units under Sec.  96.4 in the State that commenced operation, or 
is projected to commence operation, on or after May 1 of the period used 
to calculate heat input under paragraph (a)(1) of this section, in 
accordance with the following procedures:
    (1) The permitting authority will establish one allocation set-aside 
for each control period. Each allocation set-aside will be allocated 
NOX allowances equal to 5 percent in 2003, 2004, and 2005, or 
2 percent thereafter, of the tons of NOX emissions in the 
State trading program budget under Sec.  96.40, rounded to the nearest 
whole NOX allowance as appropriate.
    (2) The NOX authorized account representative of a 
NOX Budget unit under paragraph (d) of this section may 
submit to the permitting authority a request, in writing or in a format 
specified by the permitting authority, to be allocated NOX 
allowances for no more than five consecutive control periods under Sec.  
96.41, starting with the control period during which the NOX 
Budget unit commenced, or is projected to commence, operation and ending 
with the control period preceding the control period for which it will 
receive an allocation under paragraph (b) or (c) of this section. The 
NOX allowance allocation request must be submitted prior to 
May 1 of the first control period for which the NOX allowance 
allocation is requested and after the date on which the permitting 
authority issues a permit to construct the NOX Budget unit.
    (3) In a NOX allowance allocation request under paragraph 
(d)(2) of this section, the NOX authorized account 
representative for units under Sec.  96.4(a)(1) may request for a 
control period NOX allowances in an amount that does not 
exceed 0.15 lb/mmBtu multiplied by the NOX Budget unit's 
maximum design heat input (in mmBtu/hr) multiplied by the number of 
hours remaining in the control period starting with the first day in the 
control period on which the unit operated or is projected to operate.
    (4) In a NOX allowance allocation request under paragraph 
(d)(2) of this section, the NOX authorized account 
representative for units under Sec.  96.4(a)(2) may request for a 
control period NOX allowances in an amount that does not 
exceed 0.17 lb/mmBtu multiplied by the NOX Budget unit's 
maximum design heat input (in mmBtu/hr) multiplied by the number of 
hours remaining in the control period starting with the first day in the 
control period on which the unit operated or is projected to operate.
    (5) The permitting authority will review, and allocate 
NOX allowances pursuant to, each NOX allowance 
allocation request under paragraph (d)(2) of

[[Page 929]]

this section in the order that the request is received by the permitting 
authority.
    (i) Upon receipt of the NOX allowance allocation request, 
the permitting authority will determine whether, and will make any 
necessary adjustments to the request to ensure that, for units under 
Sec.  96.4(a)(1), the control period and the number of allowances 
specified are consistent with the requirements of paragraphs (d)(2) and 
(3) of this section and, for units under Sec.  96.4(a)(2), the control 
period and the number of allowances specified are consistent with the 
requirements of paragraphs (d)(2) and (4) of this section.
    (ii) If the allocation set-aside for the control period for which 
NOX allowances are requested has an amount of NOX 
allowances not less than the number requested (as adjusted under 
paragraph (d)(5)(i) of this section), the permitting authority will 
allocate the amount of the NOX allowances requested (as 
adjusted under paragraph (d)(5)(i) of this section) to the 
NOX Budget unit.
    (iii) If the allocation set-aside for the control period for which 
NOX allowances are requested has a smaller amount of 
NOX allowances than the number requested (as adjusted under 
paragraph (d)(5)(i) of this section), the permitting authority will deny 
in part the request and allocate only the remaining number of 
NOX allowances in the allocation set-aside to the 
NOX Budget unit.
    (iv) Once an allocation set-aside for a control period has been 
depleted of all NOX allowances, the permitting authority will 
deny, and will not allocate any NOX allowances pursuant to, 
any NOX allowance allocation request under which 
NOX allowances have not already been allocated for the 
control period.
    (6) Within 60 days of receipt of a NOX allowance 
allocation request, the permitting authority will take appropriate 
action under paragraph (d)(5) of this section and notify the 
NOX authorized account representative that submitted the 
request and the Administrator of the number of NOX allowances 
(if any) allocated for the control period to the NOX Budget 
unit.
    (e) For a NOX Budget unit that is allocated 
NOX allowances under paragraph (d) of this section for a 
control period, the Administrator will deduct NOX allowances 
under Sec.  96.54(b) or (e) to account for the actual utilization of the 
unit during the control period. The Administrator will calculate the 
number of NOX allowances to be deducted to account for the 
unit's actual utilization using the following formulas and rounding to 
the nearest whole NOX allowance as appropriate, provided that 
the number of NOX allowances to be deducted shall be zero if 
the number calculated is less than zero:

NOX allowances deducted for actual utilization for units 
under Sec.  96.4(a)(1) = (Unit's NOX allowances allocated for 
control period)-(Unit's actual control period utilization x 0.15 lb/
mmBtu); and
NOX allowances deducted for actual utilization for units 
under Sec.  96.4(a)(2) = (Unit's NOX allowances allocated for 
control period)-(Unit's actual control period utilization x 0.17 lb/
mmBtu)

Where:

``Unit's NOX allowances allocated for control period'' is the 
          number of NOX allowances allocated to the unit for 
          the control period under paragraph (d) of this section; and
``Unit's actual control period utilization'' is the utilization (in 
          mmBtu), as defined in Sec.  96.2, of the unit during the 
          control period.

    (f) After making the deductions for compliance under Sec.  96.54(b) 
or (e) for a control period, the Administrator will notify the 
permitting authority whether any NOX allowances remain in the 
allocation set-aside for the control period. The permitting authority 
will allocate any such NOX allowances to the NOX 
Budget units in the State using the following formula and rounding to 
the nearest whole NOX allowance as appropriate:

Unit's share of NOX allowances remaining in allocation set-
aside = Total NOX allowances remaining in allocation set-
aside x (Unit's NOX allowance allocation / State trading 
program budget excluding allocation set-aside)

Where:


[[Page 930]]


``Total NOX allowances remaining in allocation set-aside'' is 
          the total number of NOX allowances remaining in the 
          allocation set-aside for the control period to which the 
          allocation set-aside applies;
``Unit's NOX allowance allocation'' is the number of 
          NOX allowances allocated under paragraph (b) or (c) 
          of this section to the unit for the control period to which 
          the allocation set-aside applies; and
``State trading program budget excluding allocation set-aside'' is the 
          State trading program budget under Sec.  96.40 for the control 
          period to which the allocation set-aside applies multiplied by 
          95 percent if the control period is in 2003, 2004, or 2005 or 
          98 percent if the control period is in any year thereafter, 
          rounded to the nearest whole NOX allowance as 
          appropriate.

[63 FR 57514, Oct. 27, 1998, as amended at 63 FR 71225, Dec. 24, 1998]



                 Subpart F_NOX Allowance Tracking System



Sec.  96.50  NOX Allowance Tracking System accounts.

    (a) Nature and function of compliance accounts and overdraft 
accounts. Consistent with Sec.  96.51(a), the Administrator will 
establish one compliance account for each NOX Budget unit and 
one overdraft account for each source with one or more NOX 
Budget units. Allocations of NOX allowances pursuant to 
subpart E of this part or Sec.  96.88 and deductions or transfers of 
NOX allowances pursuant to Sec.  96.31, Sec.  96.54, Sec.  
96.56, subpart G of this part, or subpart I of this part will be 
recorded in the compliance accounts or overdraft accounts in accordance 
with this subpart.
    (b) Nature and function of general accounts. Consistent with Sec.  
96.51(b), the Administrator will establish, upon request, a general 
account for any person. Transfers of allowances pursuant to subpart G of 
this part will be recorded in the general account in accordance with 
this subpart.



Sec.  96.51  Establishment of accounts.

    (a) Compliance accounts and overdraft accounts. Upon receipt of a 
complete account certificate of representation under Sec.  96.13, the 
Administrator will establish:
    (1) A compliance account for each NOX Budget unit for 
which the account certificate of representation was submitted; and
    (2) An overdraft account for each source for which the account 
certificate of representation was submitted and that has two or more 
NOX Budget units.
    (b) General accounts. (1) Any person may apply to open a general 
account for the purpose of holding and transferring allowances. A 
complete application for a general account shall be submitted to the 
Administrator and shall include the following elements in a format 
prescribed by the Administrator:
    (i) Name, mailing address, e-mail address (if any), telephone 
number, and facsimile transmission number (if any) of the NOX 
authorized account representative and any alternate NOX 
authorized account representative;
    (ii) At the option of the NOX authorized account 
representative, organization name and type of organization;
    (iii) A list of all persons subject to a binding agreement for the 
NOX authorized account representative or any alternate 
NOX authorized account representative to represent their 
ownership interest with respect to the allowances held in the general 
account;
    (iv) The following certification statement by the NOX 
authorized account representative and any alternate NOX 
authorized account representative: ``I certify that I was selected as 
the NOX authorized account representative or the 
NOX alternate authorized account representative, as 
applicable, by an agreement that is binding on all persons who have an 
ownership interest with respect to allowances held in the general 
account. I certify that I have all the necessary authority to carry out 
my duties and responsibilities under the NOX Budget Trading 
Program on behalf of such persons and that each such person shall be 
fully bound by my representations, actions, inactions, or submissions 
and by any order or decision issued to me by the Administrator or a 
court regarding the general account.''
    (v) The signature of the NOX authorized account 
representative and any alternate NOX authorized account 
representative and the dates signed.

[[Page 931]]

    (vi) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the account 
certificate of representation shall not be submitted to the permitting 
authority or the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.
    (2) Upon receipt by the Administrator of a complete application for 
a general account under paragraph (b)(1) of this section:
    (i) The Administrator will establish a general account for the 
person or persons for whom the application is submitted.
    (ii) The NOX authorized account representative and any 
alternate NOX authorized account representative for the 
general account shall represent and, by his or her representations, 
actions, inactions, or submissions, legally bind each person who has an 
ownership interest with respect to NOX allowances held in the 
general account in all matters pertaining to the NOX Budget 
Trading Program, not withstanding any agreement between the 
NOX authorized account representative or any alternate 
NOX authorized account representative and such person. Any 
such person shall be bound by any order or decision issued to the 
NOX authorized account representative or any alternate 
NOX authorized account representative by the Administrator or 
a court regarding the general account.
    (iii) Each submission concerning the general account shall be 
submitted, signed, and certified by the NOX authorized 
account representative or any alternate NOX authorized 
account representative for the persons having an ownership interest with 
respect to NOX allowances held in the general account. Each 
such submission shall include the following certification statement by 
the NOX authorized account representative or any alternate 
NOX authorized account representative any: ``I am authorized 
to make this submission on behalf of the persons having an ownership 
interest with respect to the NOX allowances held in the 
general account. I certify under penalty of law that I have personally 
examined, and am familiar with, the statements and information submitted 
in this document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the best of my 
knowledge and belief true, accurate, and complete. I am aware that there 
are significant penalties for submitting false statements and 
information or omitting required statements and information, including 
the possibility of fine or imprisonment.''
    (iv) The Administrator will accept or act on a submission concerning 
the general account only if the submission has been made, signed, and 
certified in accordance with paragraph (b)(2)(iii) of this section.
    (3)(i) An application for a general account may designate one and 
only one NOX authorized account representative and one and 
only one alternate NOX authorized account representative who 
may act on behalf of the NOX authorized account 
representative. The agreement by which the alternate NOX 
authorized account representative is selected shall include a procedure 
for authorizing the alternate NOX authorized account 
representative to act in lieu of the NOX authorized account 
representative.
    (ii) Upon receipt by the Administrator of a complete application for 
a general account under paragraph (b)(1) of this section, any 
representation, action, inaction, or submission by any alternate 
NOX authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the NOX 
authorized account representative.
    (4)(i) The NOX authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous NOX authorized account representative prior to the 
time and date when the Administrator receives the superseding 
application for a general account shall be binding on the new 
NOX authorized account representative

[[Page 932]]

and the persons with an ownership interest with respect to the 
allowances in the general account.
    (ii) The alternate NOX authorized account representative 
for a general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous alternate NOX authorized account representative 
prior to the time and date when the Administrator receives the 
superseding application for a general account shall be binding on the 
new alternate NOX authorized account representative and the 
persons with an ownership interest with respect to the allowances in the 
general account.
    (iii)(A) In the event a new person having an ownership interest with 
respect to NOX allowances in the general account is not 
included in the list of such persons in the account certificate of 
representation, such new person shall be deemed to be subject to and 
bound by the account certificate of representation, the representation, 
actions, inactions, and submissions of the NOX authorized 
account representative and any alternate NOX authorized 
account representative of the source or unit, and the decisions, orders, 
actions, and inactions of the Administrator, as if the new person were 
included in such list.
    (B) Within 30 days following any change in the persons having an 
ownership interest with respect to NOX allowances in the 
general account, including the addition of persons, the NOX 
authorized account representative or any alternate NOX 
authorized account representative shall submit a revision to the 
application for a general account amending the list of persons having an 
ownership interest with respect to the NOX allowances in the 
general account to include the change.
    (5)(i) Once a complete application for a general account under 
paragraph (b)(1) of this section has been submitted and received, the 
Administrator will rely on the application unless and until a 
superseding complete application for a general account under paragraph 
(b)(1) of this section is received by the Administrator.
    (ii) Except as provided in paragraph (b)(4) of this section, no 
objection or other communication submitted to the Administrator 
concerning the authorization, or any representation, action, inaction, 
or submission of the NOX authorized account representative or 
any alternate NOX authorized account representative for a 
general account shall affect any representation, action, inaction, or 
submission of the NOX authorized account representative or 
any alternate NOX authorized account representative or the 
finality of any decision or order by the Administrator under the 
NOX Budget Trading Program.
    (iii) The Administrator will not adjudicate any private legal 
dispute concerning the authorization or any representation, action, 
inaction, or submission of the NOX authorized account 
representative or any alternate NOX authorized account 
representative for a general account, including private legal disputes 
concerning the proceeds of NOX allowance transfers.
    (c) Account identification. The Administrator will assign a unique 
identifying number to each account established under paragraph (a) or 
(b) of this section.



Sec.  96.52  NOX Allowance Tracking System responsibilities of NOX 
authorized account representative.

    (a) Following the establishment of a NOX Allowance 
Tracking System account, all submissions to the Administrator pertaining 
to the account, including, but not limited to, submissions concerning 
the deduction or transfer of NOX allowances in the account, 
shall be made only by the NOX authorized account 
representative for the account.
    (b) Authorized account representative identification. The 
Administrator will assign a unique identifying number to each 
NOX authorized account representative.



Sec.  96.53  Recordation of NOX allowance allocations.

    (a) The Administrator will record the NOX allowances for 
2003 in the NOX Budget units' compliance accounts and

[[Page 933]]

the allocation set-asides, as allocated under subpart E of this part. 
The Administrator will also record the NOX allowances 
allocated under Sec.  96.88(a)(1) for each NOX Budget opt-in 
source in its compliance account.
    (b) Each year, after the Administrator has made all deductions from 
a NOX Budget unit's compliance account and the overdraft 
account pursuant to Sec.  96.54, the Administrator will record 
NOX allowances, as allocated to the unit under subpart E of 
this part or under Sec.  96.88(a)(2), in the compliance account for the 
year after the last year for which allowances were previously allocated 
to the compliance account. Each year, the Administrator will also record 
NOX allowances, as allocated under subpart E of this part, in 
the allocation set-aside for the year after the last year for which 
allowances were previously allocated to an allocation set-aside.
    (c) Serial numbers for allocated NOX allowances. When 
allocating NOX allowances to and recording them in an 
account, the Administrator will assign each NOX allowance a 
unique identification number that will include digits identifying the 
year for which the NOX allowance is allocated.



Sec.  96.54  Compliance.

    (a) NOX allowance transfer deadline. The NOX allowances are 
available to be deducted for compliance with a unit's NOX Budget 
emissions limitation for a control period in a given year only if the 
NOX allowances:
    (1) Were allocated for a control period in a prior year or the same 
year; and
    (2) Are held in the unit's compliance account, or the overdraft 
account of the source where the unit is located, as of the 
NOX allowance transfer deadline for that control period or 
are transferred into the compliance account or overdraft account by a 
NOX allowance transfer correctly submitted for recordation 
under Sec.  96.60 by the NOX allowance transfer deadline for 
that control period.
    (b) Deductions for compliance. (1) Following the recordation, in 
accordance with Sec.  96.61, of NOX allowance transfers 
submitted for recordation in the unit's compliance account or the 
overdraft account of the source where the unit is located by the 
NOX allowance transfer deadline for a control period, the 
Administrator will deduct NOX allowances available under 
paragraph (a) of this section to cover the unit's NOX 
emissions (as determined in accordance with subpart H of this part), or 
to account for actual utilization under Sec.  96.42(e), for the control 
period:
    (i) From the compliance account; and
    (ii) Only if no more NOX allowances available under 
paragraph (a) of this section remain in the compliance account, from the 
overdraft account. In deducting allowances for units at the source from 
the overdraft account, the Administrator will begin with the unit having 
the compliance account with the lowest NOX Allowance Tracking 
System account number and end with the unit having the compliance 
account with the highest NOX Allowance Tracking System 
account number (with account numbers sorted beginning with the left-most 
character and ending with the right-most character and the letter 
characters assigned values in alphabetical order and less than all 
numeric characters).
    (2) The Administrator will deduct NOX allowances first 
under paragraph (b)(1)(i) of this section and then under paragraph 
(b)(1)(ii) of this section:
    (i) Until the number of NOX allowances deducted for the 
control period equals the number of tons of NOX emissions, 
determined in accordance with subpart H of this part, from the unit for 
the control period for which compliance is being determined, plus the 
number of NOX allowances required for deduction to account 
for actual utilization under Sec.  96.42(e) for the control period; or
    (ii) Until no more NOX allowances available under 
paragraph (a) of this section remain in the respective account.
    (c)(1) Identification of NOX allowances by serial number. 
The NOX authorized account representative for each compliance 
account may identify by serial number the NOX allowances to 
be deducted from the unit's compliance account under paragraph (b), (d), 
or (e) of this section. Such identification shall

[[Page 934]]

be made in the compliance certification report submitted in accordance 
with Sec.  96.30.
    (2) First-in, first-out. The Administrator will deduct 
NOX allowances for a control period from the compliance 
account, in the absence of an identification or in the case of a partial 
identification of NOX allowances by serial number under 
paragraph (c)(1) of this section, or the overdraft account on a first-
in, first-out (FIFO) accounting basis in the following order:
    (i) Those NOX allowances that were allocated for the 
control period to the unit under subpart E or I of this part;
    (ii) Those NOX allowances that were allocated for the 
control period to any unit and transferred and recorded in the account 
pursuant to subpart G of this part, in order of their date of 
recordation;
    (iii) Those NOX allowances that were allocated for a 
prior control period to the unit under subpart E or I of this part; and
    (iv) Those NOX allowances that were allocated for a prior 
control period to any unit and transferred and recorded in the account 
pursuant to subpart G of this part, in order of their date of 
recordation.
    (d) Deductions for excess emissions. (1) After making the deductions 
for compliance under paragraph (b) of this section, the Administrator 
will deduct from the unit's compliance account or the overdraft account 
of the source where the unit is located a number of NOX 
allowances, allocated for a control period after the control period in 
which the unit has excess emissions, equal to three times the number of 
the unit's excess emissions.
    (2) If the compliance account or overdraft account does not contain 
sufficient NOX allowances, the Administrator will deduct the 
required number of NOX allowances, regardless of the control 
period for which they were allocated, whenever NOX allowances 
are recorded in either account.
    (3) Any allowance deduction required under paragraph (d) of this 
section shall not affect the liability of the owners and operators of 
the NOX Budget unit for any fine, penalty, or assessment, or 
their obligation to comply with any other remedy, for the same 
violation, as ordered under the CAA or applicable State law. The 
following guidelines will be followed in assessing fines, penalties or 
other obligations:
    (i) For purposes of determining the number of days of violation, if 
a NOX Budget unit has excess emissions for a control period, 
each day in the control period (153 days) constitutes a day in violation 
unless the owners and operators of the unit demonstrate that a lesser 
number of days should be considered.
    (ii) Each ton of excess emissions is a separate violation.
    (e) Deductions for units sharing a common stack. In the case of 
units sharing a common stack and having emissions that are not 
separately monitored or apportioned in accordance with subpart H of this 
part:
    (1) The NOX authorized account representative of the 
units may identify the percentage of NOX allowances to be 
deducted from each such unit's compliance account to cover the unit's 
share of NOX emissions from the common stack for a control 
period. Such identification shall be made in the compliance 
certification report submitted in accordance with Sec.  96.30.
    (2) Notwithstanding paragraph (b)(2)(i) of this section, the 
Administrator will deduct NOX allowances for each such unit 
until the number of NOX allowances deducted equals the unit's 
identified percentage (under paragraph (e)(1) of this section) of the 
number of tons of NOX emissions, as determined in accordance 
with subpart H of this part, from the common stack for the control 
period for which compliance is being determined or, if no percentage is 
identified, an equal percentage for each such unit, plus the number of 
allowances required for deduction to account for actual utilization 
under Sec.  96.42(e) for the control period.
    (f) The Administrator will record in the appropriate compliance 
account or overdraft account all deductions from such an account 
pursuant to paragraphs (b), (d), or (e) of this section.



Sec.  96.55  Banking.

    (a) NOX allowances may be banked for future use or 
transfer in a compliance account, an overdraft account, or a general 
account, as follows:

[[Page 935]]

    (1) Any NOX allowance that is held in a compliance 
account, an overdraft account, or a general account will remain in such 
account unless and until the NOX allowance is deducted or 
transferred under Sec.  96.31, Sec.  96.54, Sec.  96.56, subpart G of 
this part, or subpart I of this part.
    (2) The Administrator will designate, as a ``banked'' NOX 
allowance, any NOX allowance that remains in a compliance 
account, an overdraft account, or a general account after the 
Administrator has made all deductions for a given control period from 
the compliance account or overdraft account pursuant to Sec.  96.54.
    (b) Each year starting in 2004, after the Administrator has 
completed the designation of banked NOX allowances under 
paragraph (a)(2) of this section and before May 1 of the year, the 
Administrator will determine the extent to which banked NOX 
allowances may be used for compliance in the control period for the 
current year, as follows:
    (1) The Administrator will determine the total number of banked 
NOX allowances held in compliance accounts, overdraft 
accounts, or general accounts.
    (2) If the total number of banked NOX allowances 
determined, under paragraph (b)(1) of this section, to be held in 
compliance accounts, overdraft accounts, or general accounts is less 
than or equal to 10% of the sum of the State trading program budgets for 
the control period for the States in which NOX Budget units 
are located, any banked NOX allowance may be deducted for 
compliance in accordance with Sec.  96.54.
    (3) If the total number of banked NOX allowances 
determined, under paragraph (b)(1) of this section, to be held in 
compliance accounts, overdraft accounts, or general accounts exceeds 10% 
of the sum of the State trading program budgets for the control period 
for the States in which NOX Budget units are located, any 
banked allowance may be deducted for compliance in accordance with Sec.  
96.54, except as follows:
    (i) The Administrator will determine the following ratio: 0.10 
multiplied by the sum of the State trading program budgets for the 
control period for the States in which NOX Budget units are 
located and divided by the total number of banked NOX 
allowances determined, under paragraph (b)(1) of this section, to be 
held in compliance accounts, overdraft accounts, or general accounts.
    (ii) The Administrator will multiply the number of banked 
NOX allowances in each compliance account or overdraft 
account. The resulting product is the number of banked NOX 
allowances in the account that may be deducted for compliance in 
accordance with Sec.  96.54. Any banked NOX allowances in 
excess of the resulting product may be deducted for compliance in 
accordance with Sec.  96.54, except that, if such NOX 
allowances are used to make a deduction, two such NOX 
allowances must be deducted for each deduction of one NOX 
allowance required under Sec.  96.54.
    (c) Any NOX Budget unit may reduce its NOX 
emission rate in the 2001 or 2002 control period, the owner or operator 
of the unit may request early reduction credits, and the permitting 
authority may allocate NOX allowances in 2003 to the unit in 
accordance with the following requirements.
    (1) Each NOX Budget unit for which the owner or operator 
requests any early reduction credits under paragraph (c)(4) of this 
section shall monitor NOX emissions in accordance with 
subpart H of this part starting in the 2000 control period and for each 
control period for which such early reduction credits are requested. The 
unit's monitoring system availability shall be not less than 90 percent 
during the 2000 control period, and the unit must be in compliance with 
any applicable State or Federal emissions or emissions-related 
requirements.
    (2) NOX emission rate and heat input under paragraphs 
(c)(3) through (5) of this section shall be determined in accordance 
with subpart H of this part.
    (3) Each NOX Budget unit for which the owner or operator 
requests any early reduction credits under paragraph (c)(4) of this 
section shall reduce its NOX emission rate, for each control 
period for which early reduction credits are requested, to less than 
both 0.25 lb/mmBtu and 80 percent of the unit's NOX emission 
rate in the 2000 control period.

[[Page 936]]

    (4) The NOX authorized account representative of a 
NOX Budget unit that meets the requirements of paragraphs 
(c)(1)and (3) of this section may submit to the permitting authority a 
request for early reduction credits for the unit based on NOX 
emission rate reductions made by the unit in the control period for 2001 
or 2002 in accordance with paragraph (c)(3) of this section.
    (i) In the early reduction credit request, the NOX 
authorized account may request early reduction credits for such control 
period in an amount equal to the unit's heat input for such control 
period multiplied by the difference between 0.25 lb/mmBtu and the unit's 
NOX emission rate for such control period, divided by 2000 
lb/ton, and rounded to the nearest ton.
    (ii) The early reduction credit request must be submitted, in a 
format specified by the permitting authority, by October 31 of the year 
in which the NOX emission rate reductions on which the 
request is based are made or such later date approved by the permitting 
authority.
    (5) The permitting authority will allocate NOX 
allowances, to NOX Budget units meeting the requirements of 
paragraphs (c)(1) and (3) of this section and covered by early reduction 
requests meeting the requirements of paragraph (c)(4)(ii) of this 
section, in accordance with the following procedures:
    (i) Upon receipt of each early reduction credit request, the 
permitting authority will accept the request only if the requirements of 
paragraphs (c)(1), (c)(3), and (c)(4)(ii) of this section are met and, 
if the request is accepted, will make any necessary adjustments to the 
request to ensure that the amount of the early reduction credits 
requested meets the requirement of paragraphs (c)(2) and (4) of this 
section.
    (ii) If the State's compliance supplement pool has an amount of 
NOX allowances not less than the number of early reduction 
credits in all accepted early reduction credit requests for 2001 and 
2002 (as adjusted under paragraph (c)(5)(i) of this section), the 
permitting authority will allocate to each NOX Budget unit 
covered by such accepted requests one allowance for each early reduction 
credit requested (as adjusted under paragraph (c)(5)(i) of this 
section).
    (iii) If the State's compliance supplement pool has a smaller amount 
of NOX allowances than the number of early reduction credits 
in all accepted early reduction credit requests for 2001 and 2002 (as 
adjusted under paragraph (c)(5)(i) of this section), the permitting 
authority will allocate NOX allowances to each NOX 
Budget unit covered by such accepted requests according to the following 
formula:

Unit's allocated early reduction credits = [(Unit's adjusted early 
reduction credits) / (Total adjusted early reduction credits requested 
by all units)] x (Available NOX allowances from the State's 
compliance supplement pool)

where:

``Unit's adjusted early reduction credits'' is the number of early 
          reduction credits for the unit for 2001 and 2002 in accepted 
          early reduction credit requests, as adjusted under paragraph 
          (c)(5)(i) of this section.
``Total adjusted early reduction credits requested by all units'' is the 
          number of early reduction credits for all units for 2001 and 
          2002 in accepted early reduction credit requests, as adjusted 
          under paragraph (c)(5)(i) of this section.
``Available NOX allowances from the State's compliance 
          supplement pool'' is the number of NOX allowances 
          in the State's compliance supplement pool and available for 
          early reduction credits for 2001 and 2002.

    (6) By May 1, 2003, the permitting authority will submit to the 
Administrator the allocations of NOX allowances determined 
under paragraph (c)(5) of this section. The Administrator will record 
such allocations to the extent that they are consistent with the 
requirements of paragraphs (c)(1) through (5) of this section.
    (7) NOX allowances recorded under paragraph (c)(6) of 
this section may be deducted for compliance under Sec.  96.54 for the 
control periods in 2003 or 2004. Notwithstanding paragraph (a) of this 
section, the Administrator will deduct as retired any NOX 
allowance that is recorded under paragraph (c)(6) of this section and is 
not deducted for compliance in accordance with Sec.  96.54 for the 
control period in 2003 or 2004.

[[Page 937]]

    (8) NOX allowances recorded under paragraph (c)(6) of 
this section are treated as banked allowances in 2004 for the purposes 
of paragraphs (a) and (b) of this section.



Sec.  96.56  Account error.

    The Administrator may, at his or her sole discretion and on his or 
her own motion, correct any error in any NOX Allowance 
Tracking System account. Within 10 business days of making such 
correction, the Administrator will notify the NOX authorized 
account representative for the account.



Sec.  96.57  Closing of general accounts.

    (a) The NOX authorized account representative of a 
general account may instruct the Administrator to close the account by 
submitting a statement requesting deletion of the account from the 
NOX Allowance Tracking System and by correctly submitting for 
recordation under Sec.  96.60 an allowance transfer of all 
NOX allowances in the account to one or more other 
NOX Allowance Tracking System accounts.
    (b) If a general account shows no activity for a period of a year or 
more and does not contain any NOX allowances, the 
Administrator may notify the NOX authorized account 
representative for the account that the account will be closed and 
deleted from the NOX Allowance Tracking System following 20 
business days after the notice is sent. The account will be closed after 
the 20-day period unless before the end of the 20-day period the 
Administrator receives a correctly submitted transfer of NOX 
allowances into the account under Sec.  96.60 or a statement submitted 
by the NOX authorized account representative demonstrating to 
the satisfaction of the Administrator good cause as to why the account 
should not be closed.



                    Subpart G_NOX Allowance Transfers



Sec.  96.60  Submission of NOX allowance transfers.

    The NOX authorized account representatives seeking 
recordation of a NOX allowance transfer shall submit the 
transfer to the Administrator. To be considered correctly submitted, the 
NOX allowance transfer shall include the following elements 
in a format specified by the Administrator:
    (a) The numbers identifying both the transferor and transferee 
accounts;
    (b) A specification by serial number of each NOX 
allowance to be transferred; and
    (c) The printed name and signature of the NOX authorized 
account representative of the transferor account and the date signed.



Sec.  96.61  EPA recordation.

    (a) Within 5 business days of receiving a NOX allowance 
transfer, except as provided in paragraph (b) of this section, the 
Administrator will record a NOX allowance transfer by moving 
each NOX allowance from the transferor account to the 
transferee account as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec.  96.60;
    (2) The transferor account includes each NOX allowance 
identified by serial number in the transfer; and
    (3) The transfer meets all other requirements of this part.
    (b) A NOX allowance transfer that is submitted for 
recordation following the NOX allowance transfer deadline and 
that includes any NOX allowances allocated for a control 
period prior to or the same as the control period to which the 
NOX allowance transfer deadline applies will not be recorded 
until after completion of the process of recordation of NOX 
allowance allocations in Sec.  96.53(b).
    (c) Where a NOX allowance transfer submitted for 
recordation fails to meet the requirements of paragraph (a) of this 
section, the Administrator will not record such transfer.



Sec.  96.62  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a NOX allowance transfer under Sec.  96.61, 
the Administrator will notify each party to the transfer. Notice will be 
given to the NOX authorized account representatives of both 
the transferror and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of 
receipt of a NOX allowance transfer that fails to meet the 
requirements of Sec.  96.61(a), the

[[Page 938]]

Administrator will notify the NOX authorized account 
representatives of both accounts subject to the transfer of:
    (1) A decision not to record the transfer, and (2) The reasons for 
such non-recordation.
    (c) Nothing in this section shall preclude the submission of a 
NOX allowance transfer for recordation following notification 
of non-recordation.



                   Subpart H_Monitoring and Reporting



Sec.  96.70  General requirements.

    The owners and operators, and to the extent applicable, the 
NOX authorized account representative of a NOX 
Budget unit, shall comply with the monitoring and reporting requirements 
as provided in this subpart and in subpart H of part 75 of this chapter. 
For purposes of complying with such requirements, the definitions in 
Sec.  96.2 and in Sec.  72.2 of this chapter shall apply, and the terms 
``affected unit,'' ``designated representative,'' and ``continuous 
emission monitoring system'' (or ``CEMS'') in part 75 of this chapter 
shall be replaced by the terms ``NOX Budget unit,'' 
``NOX authorized account representative,'' and ``continuous 
emission monitoring system'' (or ``CEMS''), respectively, as defined in 
Sec.  96.2.
    (a) Requirements for installation, certification, and data 
accounting. The owner or operator of each NOX Budget unit 
must meet the following requirements. These provisions also apply to a 
unit for which an application for a NOX Budget opt-in permit 
is submitted and not denied or withdrawn, as provided in subpart I of 
this part:
    (1) Install all monitoring systems required under this subpart for 
monitoring NOX mass. This includes all systems required to 
monitor NOX emission rate, NOX concentration, heat 
input, and flow, in accordance with Sec. Sec.  75.72 and 75.76.
    (2) Install all monitoring systems for monitoring heat input, if 
required under Sec.  96.76 for developing NOX allowance 
allocations.
    (3) Successfully complete all certification tests required under 
Sec.  96.71 and meet all other provisions of this subpart and part 75 of 
this chapter applicable to the monitoring systems under paragraphs 
(a)(1) and (2) of this section.
    (4) Record, and report data from the monitoring systems under 
paragraphs (a)(1) and (2) of this section.
    (b) Compliance dates. The owner or operator must meet the 
requirements of paragraphs (a)(1) through (a)(3) of this section on or 
before the following dates and must record and report data on and after 
the following dates:
    (1) NOX Budget units for which the owner or operator 
intends to apply for early reduction credits under Sec.  96.55(d) must 
comply with the requirements of this subpart by May 1, 2000.
    (2) Except for NOX Budget units under paragraph (b)(1) of 
this section, NOX Budget units under Sec.  96.4 that commence 
operation before January 1, 2002, must comply with the requirements of 
this subpart by May 1, 2002.
    (3) NOX Budget units under Sec.  96.4 that commence 
operation on or after January 1, 2002 and that report on an annual basis 
under Sec.  96.74(d) must comply with the requirements of this subpart 
by the later of the following dates:
    (i) May 1, 2002; or
    (ii) The earlier of:
    (A) 180 days after the date on which the unit commences operation 
or, (B) For units under Sec.  96.4(a)(1), 90 days after the date on 
which the unit commences commercial operation.
    (4) NOX Budget units under Sec.  96.4 that commence 
operation on or after January 1, 2002 and that report on a control 
season basis under Sec.  96.74(d) must comply with the requirements of 
this subpart by the later of the following dates:
    (i) The earlier of:
    (A) 180 days after the date on which the unit commences operation 
or,
    (B) For units under Sec.  96.4(a)(1), 90 days after the date on 
which the unit commences commercial operation.
    (ii) However, if the applicable deadline under paragraph (b)(4)(i) 
section does not occur during a control period, May 1; immediately 
following the date determined in accordance with paragraph (b)(4)(i) of 
this section.
    (5) For a NOX Budget unit with a new stack or flue for 
which construction is completed after the applicable deadline under 
paragraph (b)(1), (b)(2) or (b)(3) of this section or subpart I of this 
part:

[[Page 939]]

    (i) 90 days after the date on which emissions first exit to the 
atmosphere through the new stack or flue;
    (ii) However, if the unit reports on a control season basis under 
Sec.  96.74(d) and the applicable deadline under paragraph (b)(5)(i) of 
this section does not occur during the control period, May 1 immediately 
following the applicable deadline in paragraph (b)(5)(i) of this 
section.
    (6) For a unit for which an application for a NOX Budget 
opt in permit is submitted and not denied or withdrawn, the compliance 
dates specified under subpart I of this part.
    (c) Reporting data prior to initial certification. (1) The owner or 
operator of a NOX Budget unit that misses the certification 
deadline under paragraph (b)(1) of this section is not eligible to apply 
for early reduction credits. The owner or operator of the unit becomes 
subject to the certification deadline under paragraph (b)(2) of this 
section.
    (2) The owner or operator of a NOX Budget under 
paragraphs (b)(3) or (b)(4) of this section must determine, record and 
report NOX mass, heat input (if required for purposes of 
allocations) and any other values required to determine NOX 
Mass (e.g. NOX emission rate and heat input or NOX 
concentration and stack flow) using the provisions of Sec.  75.70(g) of 
this chapter, from the date and hour that the unit starts operating 
until all required certification tests are successfully completed.
    (d) Prohibitions. (1) No owner or operator of a NOX 
Budget unit or a non-NOX Budget unit monitored under Sec.  
75.72(b)(2)(ii) shall use any alternative monitoring system, alternative 
reference method, or any other alternative for the required continuous 
emission monitoring system without having obtained prior written 
approval in accordance with Sec.  96.75.
    (2) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec.  75.72(b)(2)(ii) shall 
operate the unit so as to discharge, or allow to be discharged, 
NOX emissions to the atmosphere without accounting for all 
such emissions in accordance with the applicable provisions of this 
subpart and part 75 of this chapter except as provided for in Sec.  
75.74 of this chapter.
    (3) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec.  75.72(b)(2)(ii) shall 
disrupt the continuous emission monitoring system, any portion thereof, 
or any other approved emission monitoring method, and thereby avoid 
monitoring and recording NOX mass emissions discharged into 
the atmosphere, except for periods of recertification or periods when 
calibration, quality assurance testing, or maintenance is performed in 
accordance with the applicable provisions of this subpart and part 75 of 
this chapter except as provided for in Sec.  75.74 of this chapter.
    (4) No owner or operator of a NOX Budget unit or a non-
NOX Budget unit monitored under Sec.  75.72(b)(2)(ii) shall 
retire or permanently discontinue use of the continuous emission 
monitoring system, any component thereof, or any other approved emission 
monitoring system under this subpart, except under any one of the 
following circumstances:
    (i) During the period that the unit is covered by a retired unit 
exemption under Sec.  96.5 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit 
with another certified monitoring system approved, in accordance with 
the applicable provisions of this subpart and part 75 of this chapter, 
by the permitting authority for use at that unit that provides emission 
data for the same pollutant or parameter as the retired or discontinued 
monitoring system; or
    (iii) The NOX authorized account representative submits 
notification of the date of certification testing of a replacement 
monitoring system in accordance with Sec.  96.71(b)(2).



Sec.  96.71  Initial certification and recertification procedures.

    (a) The owner or operator of a NOX Budget unit that is 
subject to an Acid Rain emissions limitation shall comply with the 
initial certification and recertification procedures of part 75 of this 
chapter, except that:
    (1) If, prior to January 1, 1998, the Administrator approved a 
petition under Sec.  75.17(a) or (b) of this chapter for apportioning 
the NOX emission rate measured in a common stack or a 
petition under Sec.  75.66 of this chapter for an

[[Page 940]]

alternative to a requirement in Sec.  75.17 of this chapter, the 
NOX authorized account representative shall resubmit the 
petition to the Administrator under Sec.  96.75(a) to determine if the 
approval applies under the NOX Budget Trading Program.
    (2) For any additional CEMS required under the common stack 
provisions in Sec.  75.72 of this chapter, or for any NOX 
concentration CEMS used under the provisions of Sec.  75.71(a)(2) of 
this chapter, the owner or operator shall meet the requirements of 
paragraph (b) of this section.
    (b) The owner or operator of a NOX Budget unit that is 
not subject to an Acid Rain emissions limitation shall comply with the 
following initial certification and recertification procedures, except 
that the owner or operator of a unit that qualifies to use the low mass 
emissions excepted monitoring methodology under Sec.  75.19 shall also 
meet the requirements of paragraph (c) of this section and the owner or 
operator of a unit that qualifies to use an alternative monitoring 
system under subpart E of part 75 of this chapter shall also meet the 
requirements of paragraph (d) of this section. The owner or operator of 
a NOX Budget unit that is subject to an Acid Rain emissions 
limitation, but requires additional CEMS under the common stack 
provisions in Sec.  75.72 of this chapter, or that uses a NOX 
concentration CEMS under Sec.  75.71(a)(2) of this chapter also shall 
comply with the following initial certification and recertification 
procedures.
    (1) Requirements for initial certification. The owner or operator 
shall ensure that each monitoring system required by subpart H of part 
75 of this chapter (which includes the automated data acquisition and 
handling system) successfully completes all of the initial certification 
testing required under Sec.  75.20 of this chapter. The owner or 
operator shall ensure that all applicable certification tests are 
successfully completed by the deadlines specified in Sec.  96.70(b). In 
addition, whenever the owner or operator installs a monitoring system in 
order to meet the requirements of this part in a location where no such 
monitoring system was previously installed, initial certification 
according to Sec.  75.20 is required.
    (2) Requirements for recertification. Whenever the owner or operator 
makes a replacement, modification, or change in a certified monitoring 
system that the Administrator or the permitting authority determines 
significantly affects the ability of the system to accurately measure or 
record NOX mass emissions or heat input or to meet the 
requirements of Sec.  75.21 of this chapter or appendix B to part 75 of 
this chapter, the owner or operator shall recertify the monitoring 
system according to Sec.  75.20(b) of this chapter. Furthermore, 
whenever the owner or operator makes a replacement, modification, or 
change to the flue gas handling system or the unit's operation that the 
Administrator or the permitting authority determines to significantly 
change the flow or concentration profile, the owner or operator shall 
recertify the continuous emissions monitoring system according to Sec.  
75.20(b) of this chapter. Examples of changes which require 
recertification include: replacement of the analyzer, change in location 
or orientation of the sampling probe or site, or changing of flow rate 
monitor polynomial coefficients.
    (3) Certification approval process for initial certifications and 
recertification--(i) Notification of certification. The NOX 
authorized account representative shall submit to the permitting 
authority, the appropriate EPA Regional Office and the permitting 
authority a written notice of the dates of certification in accordance 
with Sec.  96.73.
    (ii) Certification application. The NOX authorized 
account representative shall submit to the permitting authority a 
certification application for each monitoring system required under 
subpart H of part 75 of this chapter. A complete certification 
application shall include the information specified in subpart H of part 
75 of this chapter.
    (iii) Except for units using the low mass emission excepted 
methodology under Sec.  75.19 of this chapter, the provisional 
certification date for a monitor shall be determined using the 
procedures set forth in Sec.  75.20(a)(3) of this chapter. A 
provisionally certified monitor may be used under the NOX 
Budget Trading Program for a period not to

[[Page 941]]

exceed 120 days after receipt by the permitting authority of the 
complete certification application for the monitoring system or 
component thereof under paragraph (b)(3)(ii) of this section. Data 
measured and recorded by the provisionally certified monitoring system 
or component thereof, in accordance with the requirements of part 75 of 
this chapter, will be considered valid quality-assured data (retroactive 
to the date and time of provisional certification), provided that the 
permitting authority does not invalidate the provisional certification 
by issuing a notice of disapproval within 120 days of receipt of the 
complete certification application by the permitting authority.
    (iv) Certification application formal approval process. The 
permitting authority will issue a written notice of approval or 
disapproval of the certification application to the owner or operator 
within 120 days of receipt of the complete certification application 
under paragraph (b)(3)(ii) of this section. In the event the permitting 
authority does not issue such a notice within such 120-day period, each 
monitoring system which meets the applicable performance requirements of 
part 75 of this chapter and is included in the certification application 
will be deemed certified for use under the NOX Budget Trading 
Program.
    (A) Approval notice. If the certification application is complete 
and shows that each monitoring system meets the applicable performance 
requirements of part 75 of this chapter, then the permitting authority 
will issue a written notice of approval of the certification application 
within 120 days of receipt.
    (B) Incomplete application notice. A certification application will 
be considered complete when all of the applicable information required 
to be submitted under paragraph (b)(3)(ii) of this section has been 
received by the permitting authority. If the certification application 
is not complete, then the permitting authority will issue a written 
notice of incompleteness that sets a reasonable date by which the 
NOX authorized account representative must submit the 
additional information required to complete the certification 
application. If the NOX authorized account representative 
does not comply with the notice of incompleteness by the specified date, 
then the permitting authority may issue a notice of disapproval under 
paragraph (b)(3)(iv)(C) of this section.
    (C) Disapproval notice. If the certification application shows that 
any monitoring system or component thereof does not meet the performance 
requirements of this part, or if the certification application is 
incomplete and the requirement for disapproval under paragraph 
(b)(3)(iv)(B) of this section has been met, the permitting authority 
will issue a written notice of disapproval of the certification 
application. Upon issuance of such notice of disapproval, the 
provisional certification is invalidated by the permitting authority and 
the data measured and recorded by each uncertified monitoring system or 
component thereof shall not be considered valid quality-assured data 
beginning with the date and hour of provisional certification. The owner 
or operator shall follow the procedures for loss of certification in 
paragraph (b)(3)(v) of this section for each monitoring system or 
component thereof which is disapproved for initial certification.
    (D) Audit decertification. The permitting authority may issue a 
notice of disapproval of the certification status of a monitor in 
accordance with Sec.  96.72(b).
    (v) Procedures for loss of certification. If the permitting 
authority issues a notice of disapproval of a certification application 
under paragraph (b)(3)(iv)(C) of this section or a notice of disapproval 
of certification status under paragraph (b)(3)(iv)(D) of this section, 
then:
    (A) The owner or operator shall substitute the following values, for 
each hour of unit operation during the period of invalid data beginning 
with the date and hour of provisional certification and continuing until 
the time, date, and hour specified under Sec.  75.20(a)(5)(i) of this 
chapter:
    (1) For units using or intending to monitor for NOX 
emission rate and heat input or for units using the low mass emission 
excepted methodology

[[Page 942]]

under Sec.  75.19 of this chapter, the maximum potential NOX 
emission rate and the maximum potential hourly heat input of the unit.
    (2) For units intending to monitor for NOX mass emissions 
using a NOX pollutant concentration monitor and a flow 
monitor, the maximum potential concentration of NOX and the 
maximum potential flow rate of the unit under section 2.1 of appendix A 
of part 75 of this chapter;
    (B) The NOX authorized account representative shall 
submit a notification of certification retest dates and a new 
certification application in accordance with paragraphs (b)(3)(i) and 
(ii) of this section; and
    (C) The owner or operator shall repeat all certification tests or 
other requirements that were failed by the monitoring system, as 
indicated in the permitting authority's notice of disapproval, no later 
than 30 unit operating days after the date of issuance of the notice of 
disapproval.
    (c) Initial certification and recertification procedures for low 
mass emission units using the excepted methodologies under Sec.  75.19 
of this chapter. The owner or operator of a gas-fired or oil-fired unit 
using the low mass emissions excepted methodology under Sec.  75.19 of 
this chapter shall meet the applicable general operating requirements of 
Sec.  75.10 of this chapter, the applicable requirements of Sec.  75.19 
of this chapter, and the applicable certification requirements of Sec.  
96.71 of this chapter, except that the excepted methodology shall be 
deemed provisionally certified for use under the NOX Budget 
Trading Program, as of the following dates:
    (1) For units that are reporting on an annual basis under Sec.  
96.74(d);
    (i) For a unit that has commences operation before its compliance 
deadline under Sec.  96.71(b), from January 1 of the year following 
submission of the certification application for approval to use the low 
mass emissions excepted methodology under Sec.  75.19 of this chapter 
until the completion of the period for the permitting authority review; 
or
    (ii) For a unit that commences operation after its compliance 
deadline under Sec.  96.71(b), the date of submission of the 
certification application for approval to use the low mass emissions 
excepted methodology under Sec.  75.19 of this chapter until the 
completion of the period for permitting authority review, or
    (2) For units that are reporting on a control period basis under 
Sec.  96.74(b)(3)(ii) of this part:
    (i) For a unit that commenced operation before its compliance 
deadline under Sec.  96.71(b), where the certification application is 
submitted before May 1, from May 1 of the year of the submission of the 
certification application for approval to use the low mass emissions 
excepted methodology under Sec.  75.19 of this chapter until the 
completion of the period for the permitting authority review; or
    (ii) For a unit that commenced operation before its compliance 
deadline under Sec.  96.71(b), where the certification application is 
submitted after May 1, from May 1 of the year following submission of 
the certification application for approval to use the low mass emissions 
excepted methodology under Sec.  75.19 of this chapter until the 
completion of the period for the permitting authority review; or
    (iii) For a unit that commences operation after its compliance 
deadline under Sec.  96.71(b), where the unit commences operation before 
May 1, from May 1 of the year that the unit commenced operation, until 
the completion of the period for the permitting authority's review.
    (iv) For a unit that has not operated after its compliance deadline 
under Sec.  96.71(b), where the certification application is submitted 
after May 1, but before October 1st, from the date of submission of a 
certification application for approval to use the low mass emissions 
excepted methodology under Sec.  75.19 of this chapter until the 
completion of the period for the permitting authority's review.
    (d) Certification/recertification procedures for alternative 
monitoring systems. The NOX authorized account representative 
representing the owner or operator of each unit applying to monitor 
using an alternative monitoring system approved by the Administrator 
and, if applicable, the permitting authority under subpart E of part 75 
of this chapter shall apply for certification to the permitting 
authority

[[Page 943]]

prior to use of the system under the NOX Trading Program. The 
NOX authorized account representative shall apply for 
recertification following a replacement, modification or change 
according to the procedures in paragraph (b) of this section. The owner 
or operator of an alternative monitoring system shall comply with the 
notification and application requirements for certification according to 
the procedures specified in paragraph (b)(3) of this section and Sec.  
75.20(f) of this chapter .



Sec.  96.72  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality 
assurance requirements of appendix B of part 75 of this chapter, data 
shall be substituted using the applicable procedures in subpart D, 
appendix D, or appendix E of part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring 
system and a review of the initial certification or recertification 
application reveal that any system or component should not have been 
certified or recertified because it did not meet a particular 
performance specification or other requirement under Sec.  96.71 or the 
applicable provisions of part 75 of this chapter, both at the time of 
the initial certification or recertification application submission and 
at the time of the audit, the permitting authority will issue a notice 
of disapproval of the certification status of such system or component. 
For the purposes of this paragraph, an audit shall be either a field 
audit or an audit of any information submitted to the permitting 
authority or the Administrator. By issuing the notice of disapproval, 
the permitting authority revokes prospectively the certification status 
of the system or component. The data measured and recorded by the system 
or component shall not be considered valid quality-assured data from the 
date of issuance of the notification of the revoked certification status 
until the date and time that the owner or operator completes 
subsequently approved initial certification or recertification tests. 
The owner or operator shall follow the initial certification or 
recertification procedures in Sec.  96.71 for each disapproved system.



Sec.  96.73  Notifications.

    The NOX authorized account representative for a 
NOX Budget unit shall submit written notice to the permitting 
authority and the Administrator in accordance with Sec.  75.61 of this 
chapter, except that if the unit is not subject to an Acid Rain 
emissions limitation, the notification is only required to be sent to 
the permitting authority.



Sec.  96.74  Recordkeeping and reporting.

    (a) General provisions. (1) The NOX authorized account 
representative shall comply with all recordkeeping and reporting 
requirements in this section and with the requirements of Sec.  
96.10(e).
    (2) If the NOX authorized account representative for a 
NOX Budget unit subject to an Acid Rain Emission limitation 
who signed and certified any submission that is made under subpart F or 
G of part 75 of this chapter and which includes data and information 
required under this subpart or subpart H of part 75 of this chapter is 
not the same person as the designated representative or the alternative 
designated representative for the unit under part 72 of this chapter, 
the submission must also be signed by the designated representative or 
the alternative designated representative.
    (b) Monitoring plans. (1) The owner or operator of a unit subject to 
an Acid Rain emissions limitation shall comply with requirements of 
Sec.  75.62 of this chapter, except that the monitoring plan shall also 
include all of the information required by subpart H of part 75 of this 
chapter.
    (2) The owner or operator of a unit that is not subject to an Acid 
Rain emissions limitation shall comply with requirements of Sec.  75.62 
of this chapter, except that the monitoring plan is only required to 
include the information required by subpart H of part 75 of this 
chapter.
    (c) Certification applications. The NOX authorized 
account representative shall submit an application to the permitting 
authority within 45 days after completing all initial certification or 
recertification tests required under Sec.  96.71 including the 
information required under subpart H of part 75 of this chapter.

[[Page 944]]

    (d) Quarterly reports. The NOX authorized account 
representative shall submit quarterly reports, as follows:
    (1) If a unit is subject to an Acid Rain emission limitation or if 
the owner or operator of the NOX budget unit chooses to meet 
the annual reporting requirements of this subpart H, the NOX 
authorized account representative shall submit a quarterly report for 
each calendar quarter beginning with:
    (i) For units that elect to comply with the early reduction credit 
provisions under Sec.  96.55 of this part, the CALENDER quarter that 
includes the date of initial provisional certification under Sec.  
96.71(b)(3)(iii). Data shall be reported from the date and hour 
corresponding to the date and hour of provisional certification; or
    (ii) For units commencing operation prior to May 1, 2002 that are 
not required to certify monitors by May 1, 2000 under Sec.  96.70(b)(1), 
the earlier of the CALENDER quarter that includes the date of initial 
provisional certification under Sec.  96.71(b)(3)(iii) or, if the 
certification tests are not completed by May 1, 2002, the partial 
CALENDER quarter from May 1, 2002 through June 30, 2002. Data shall be 
recorded and reported from the earlier of the date and hour 
corresponding to the date and hour of provisional certification or the 
first hour on May 1, 2002; or
    (iii) For a unit that commences operation after May 1, 2002, the 
calendar quarter in which the unit commences operation, Data shall be 
reported from the date and hour corresponding to when the unit commenced 
operation.
    (2) If a NOX budget unit is not subject to an Acid Rain 
emission limitation, then the NOX authorized account 
representative shall either:
    (i) Meet all of the requirements of part 75 related to monitoring 
and reporting NOX mass emissions during the entire year and 
meet the reporting deadlines specified in paragraph (d)(1) of this 
section; or
    (ii) Submit quarterly reports only for the periods from the earlier 
of May 1 or the date and hour that the owner or operator successfully 
completes all of the recertification tests required under Sec.  
75.74(d)(3) through September 30 of each year in accordance with the 
provisions of Sec.  75.74(b) of this chapter. The NOX 
authorized account representative shall submit a quarterly report for 
each calendar quarter, beginning with:
    (A) For units that elect to comply with the early reduction credit 
provisions under Sec.  96.55, the CALENDER quarter that includes the 
date of initial provisional certification under Sec.  96.71(b)(3)(iii). 
Data shall be reported from the date and hour corresponding to the date 
and hour of provisional certification; or
    (B) For units commencing operation prior to May 1, 2002 that are not 
required to certify monitors by May 1, 2000 under Sec.  96.70(b)(1), the 
earlier of the CALENDER quarter that includes the date of initial 
provisional certification under Sec.  96.71(b)(3)(iii), or if the 
certification tests are not completed by May 1, 2002, the partial 
CALENDER quarter from May 1, 2002 through June 30, 2002. Data shall be 
reported from the earlier of the date and hour corresponding to the date 
and hour of provisional certification or the first hour of May 1, 2002; 
or
    (C) For units that commence operation after May 1, 2002 during the 
control period, the CALENDER quarter in which the unit commences 
operation. Data shall be reported from the date and hour corresponding 
to when the unit commenced operation; or
    (D) For units that commence operation after May 1, 2002 and before 
May 1 of the year in which the unit commences operation, the earlier of 
the CALENDER quarter that includes the date of initial provisional 
certification under Sec.  96.71(b)(3)(iii) or, if the certification 
tests are not completed by May 1 of the year in which the unit commences 
operation, May 1 of the year in which the unit commences operation. Data 
shall be reported from the earlier of the date and hour corresponding to 
the date and hour of provisional certification or the first hour of May 
1 of the year after the unit commences operation.
    (E) For units that commence operation after May 1, 2002 and after 
September 30 of the year in which the unit commences operation, the 
earlier of the CALENDER quarter that includes the date of initial 
provisional certification under Sec.  96.71(b)(3)(iii) or, if the 
certification tests are not completed

[[Page 945]]

by May 1 of the year after the unit commences operation, May 1 of the 
year after the unit commences operation. Data shall be reported from the 
earlier of the date and hour corresponding to the date and hour of 
provisional certification or the first hour of May 1 of the year after 
the unit commences operation.
    (3) The NOX authorized account representative shall 
submit each quarterly report to the Administrator within 30 days 
following the end of the calendar quarter covered by the report. 
Quarterly reports shall be submitted in the manner specified in subpart 
H of part 75 of this chapter and Sec.  75.64 of this chapter.
    (i) For units subject to an Acid Rain Emissions limitation, 
quarterly reports shall include all of the data and information required 
in subpart H of part 75 of this chapter for each NOX Budget 
unit (or group of units using a common stack) as well as information 
required in subpart G of part 75 of this chapter.
    (ii) For units not subject to an Acid Rain Emissions limitation, 
quarterly reports are only required to include all of the data and 
information required in subpart H of part 75 of this chapter for each 
NOX Budget unit (or group of units using a common stack).
    (4) Compliance certification. The NOX authorized account 
representative shall submit to the Administrator a compliance 
certification in support of each quarterly report based on reasonable 
inquiry of those persons with primary responsibility for ensuring that 
all of the unit's emissions are correctly and fully monitored. The 
certification shall state that:
    (i) The monitoring data submitted were recorded in accordance with 
the applicable requirements of this subpart and part 75 of this chapter, 
including the quality assurance procedures and specifications; and
    (ii) For a unit with add-on NOX emission controls and for 
all hours where data are substituted in accordance with Sec.  
75.34(a)(1) of this chapter, the add-on emission controls were operating 
within the range of parameters listed in the monitoring plan and the 
substitute values do not systematically underestimate NOX 
emissions; and
    (iii) For a unit that is reporting on a control period basis under 
Sec.  96.74(d) the NOX emission rate and NOX 
concentration values substituted for missing data under subpart D of 
part 75 of this chapter are calculated using only values from a control 
period and do not systematically underestimate NOX emissions.



Sec.  96.75  Petitions.

    (a) The NOX authorized account representative of a 
NOX Budget unit that is subject to an Acid Rain emissions 
limitation may submit a petition under Sec.  75.66 of this chapter to 
the Administrator requesting approval to apply an alternative to any 
requirement of this subpart.
    (1) Application of an alternative to any requirement of this subpart 
is in accordance with this subpart only to the extent that the petition 
is approved by the Administrator, in consultation with the permitting 
authority.
    (2) Notwithstanding paragraph (a)(1) of this section, if the 
petition requests approval to apply an alternative to a requirement 
concerning any additional CEMS required under the common stack 
provisions of Sec.  75.72 of this chapter, the petition is governed by 
paragraph (b) of this section.
    (b) The NOX authorized account representative of a 
NOX Budget unit that is not subject to an Acid Rain emissions 
limitation may submit a petition under Sec.  75.66 of this chapter to 
the permitting authority and the Administrator requesting approval to 
apply an alternative to any requirement of this subpart.
    (1) The NOX authorized account representative of a 
NOX Budget unit that is subject to an Acid Rain emissions 
limitation may submit a petition under Sec.  75.66 of this chapter to 
the permitting authority and the Administrator requesting approval to 
apply an alternative to a requirement concerning any additional CEMS 
required under the common stack provisions of Sec.  75.72 of this 
chapter or a NOX concentration CEMS used under 75.71(a)(2) of 
this chapter.
    (2) Application of an alternative to any requirement of this subpart 
is in accordance with this subpart only to

[[Page 946]]

the extent the petition under paragraph (b) of this section is approved 
by both the permitting authority and the Administrator.



Sec.  96.76  Additional requirements to provide heat input data for
allocations purposes.

    (a) The owner or operator of a unit that elects to monitor and 
report NOX Mass emissions using a NOX 
concentration system and a flow system shall also monitor and report 
heat input at the unit level using the procedures set forth in part 75 
of this chapter for any source located in a state developing source 
allocations based upon heat input.
    (b) The owner or operator of a unit that monitor and report 
NOX Mass emissions using a NOX concentration 
system and a flow system shall also monitor and report heat input at the 
unit level using the procedures set forth in part 75 of this chapter for 
any source that is applying for early reduction credits under Sec.  
96.55.



                    Subpart I_Individual Unit Opt-ins



Sec.  96.80  Applicability.

    A unit that is in the State, is not a NOX Budget unit 
under Sec.  96.4, vents all of its emissions to a stack, and is 
operating, may qualify, under this subpart, to become a NOX 
Budget opt-in source. A unit that is a NOX Budget unit, is 
covered by a retired unit exemption under Sec.  96.5 that is in effect, 
or is not operating is not eligible to become a NOX Budget 
opt-in source.



Sec.  96.81  General.

    Except otherwise as provided in this part, a NOX Budget 
opt-in source shall be treated as a NOX Budget unit for 
purposes of applying subparts A through H of this part.



Sec.  96.82  NOX authorized account representative.

    A unit for which an application for a NOX Budget opt-in 
permit is submitted and not denied or withdrawn, or a NOX 
Budget opt-in source, located at the same source as one or more 
NOX Budget units, shall have the same NOX 
authorized account representative as such NOX Budget units.



Sec.  96.83  Applying for NOX Budget opt-in permit.

    (a) Applying for initial NOX Budget opt-in permit. In 
order to apply for an initial NOX Budget opt-in permit, the 
NOX authorized account representative of a unit qualified 
under Sec.  96.80 may submit to the permitting authority at any time, 
except as provided under Sec.  96.86(g):
    (1) A complete NOX Budget permit application under Sec.  
96.22;
    (2) A monitoring plan submitted in accordance with subpart H of this 
part; and
    (3) A complete account certificate of representation under Sec.  
96.13, if no NOX authorized account representative has been 
previously designated for the unit.
    (b) Duty to reapply. The NOX authorized account 
representative of a NOX Budget opt-in source shall submit a 
complete NOX Budget permit application under Sec.  96.22 to 
renew the NOX Budget opt-in permit in accordance with Sec.  
96.21(c) and, if applicable, an updated monitoring plan in accordance 
with subpart H of this part.



Sec.  96.84  Opt-in process.

    The permitting authority will issue or deny a NOX Budget 
opt-in permit for a unit for which an initial application for a 
NOX Budget opt-in permit under Sec.  96.83 is submitted, in 
accordance with Sec.  96.20 and the following:
    (a) Interim review of monitoring plan. The permitting authority will 
determine, on an interim basis, the sufficiency of the monitoring plan 
accompanying the initial application for a NOX Budget opt-in 
permit under Sec.  96.83. A monitoring plan is sufficient, for purposes 
of interim review, if the plan appears to contain information 
demonstrating that the NOX emissions rate and heat input of 
the unit are monitored and reported in accordance with subpart H of this 
part. A determination of sufficiency shall not be construed as 
acceptance or approval of the unit's monitoring plan.
    (b) If the permitting authority determines that the unit's 
monitoring plan is sufficient under paragraph (a) of this section and 
after completion of monitoring system certification under subpart H of 
this part, the NOX emissions

[[Page 947]]

rate and the heat input of the unit shall be monitored and reported in 
accordance with subpart H of this part for one full control period 
during which monitoring system availability is not less than 90 percent 
and during which the unit is in full compliance with any applicable 
State or Federal emissions or emissions-related requirements. Solely for 
purposes of applying the requirements in the prior sentence, the unit 
shall be treated as a ``NOX Budget unit'' prior to issuance 
of a NOX Budget opt-in permit covering the unit.
    (c) Based on the information monitored and reported under paragraph 
(b) of this section, the unit's baseline heat rate shall be calculated 
as the unit's total heat input (in mmBtu) for the control period and the 
unit's baseline NOX emissions rate shall be calculated as the 
unit's total NOX emissions (in lb) for the control period 
divided by the unit's baseline heat rate.
    (d) After calculating the baseline heat input and the baseline 
NOX emissions rate for the unit under paragraph (c) of this 
section, the permitting authority will serve a draft NOX 
Budget opt-in permit on the NOX authorized account 
representative of the unit.
    (e) Confirmation of intention to opt-in. Within 20 days after the 
issuance of the draft NOX Budget opt-in permit, the 
NOX authorized account representative of the unit must submit 
to the permitting authority a confirmation of the intention to opt in 
the unit or a withdrawal of the application for a NOX Budget 
opt-in permit under Sec.  96.83. The permitting authority will treat the 
failure to make a timely submission as a withdrawal of the 
NOX Budget opt-in permit application.
    (f) Issuance of draft NOX Budget opt-in permit. If the 
NOX authorized account representative confirms the intention 
to opt-in the unit under paragraph (e) of this section, the permitting 
authority will issue the draft NOX Budget opt-in permit in 
accordance with Sec.  96.20.
    (g) Notwithstanding paragraphs (a) through (f) of this section, if 
at any time before issuance of a draft NOX Budget opt-in 
permit for the unit, the permitting authority determines that the unit 
does not qualify as a NOX Budget opt-in source under Sec.  
96.80, the permitting authority will issue a draft denial of a 
NOX Budget opt-in permit for the unit in accordance with 
Sec.  96.20.
    (h) Withdrawal of application for NOX Budget opt-in 
permit. A NOX authorized account representative of a unit may 
withdraw its application for a NOX Budget opt-in permit under 
Sec.  96.83 at any time prior to the issuance of the final 
NOX Budget opt-in permit. Once the application for a 
NOX Budget opt-in permit is withdrawn, a NOX 
authorized account representative wanting to reapply must submit a new 
application for a NOX Budget permit under Sec.  96.83.
    (i) Effective date. The effective date of the initial NOX 
Budget opt-in permit shall be May 1 of the first control period starting 
after the issuance of the initial NOX Budget opt-in permit by 
the permitting authority. The unit shall be a NOX Budget opt-
in source and a NOX Budget unit as of the effective date of 
the initial NOX Budget opt-in permit.



Sec.  96.85  NOX Budget opt-in permit contents.

    (a) Each NOX Budget opt-in permit (including any draft or 
proposed NOX Budget opt-in permit, if applicable) will 
contain all elements required for a complete NOX Budget opt-
in permit application under Sec.  96.22 as approved or adjusted by the 
permitting authority.
    (b) Each NOX Budget opt-in permit is deemed to 
incorporate automatically the definitions of terms under Sec.  96.2 and, 
upon recordation by the Administrator under subpart F, G, or I of this 
part, every allocation, transfer, or deduction of NOX 
allowances to or from the compliance accounts of each NOX 
Budget opt-in source covered by the NOX Budget opt-in permit 
or the overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located.



Sec.  96.86  Withdrawal from NOX Budget Trading Program.

    (a) Requesting withdrawal. To withdraw from the NOX 
Budget Trading Program, the NOX authorized account 
representative of a NOX Budget opt-in source shall submit to 
the permitting authority a request to withdraw effective as of a 
specified date prior to May 1 or after September 30. The submission 
shall be made no later than 90

[[Page 948]]

days prior to the requested effective date of withdrawal.
    (b) Conditions for withdrawal. Before a NOX Budget opt-in 
source covered by a request under paragraph (a) of this section may 
withdraw from the NOX Budget Trading Program and the 
NOX Budget opt-in permit may be terminated under paragraph 
(e) of this section, the following conditions must be met:
    (1) For the control period immediately before the withdrawal is to 
be effective, the NOX authorized account representative must 
submit or must have submitted to the permitting authority an annual 
compliance certification report in accordance with Sec.  96.30.
    (2) If the NOX Budget opt-in source has excess emissions 
for the control period immediately before the withdrawal is to be 
effective, the Administrator will deduct or has deducted from the 
NOX Budget opt-in source's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located, the full amount required 
under Sec.  96.54(d) for the control period.
    (3) After the requirements for withdrawal under paragraphs (b)(1) 
and (2) of this section are met, the Administrator will deduct from the 
NOX Budget opt-in source's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located, NOX 
allowances equal in number to and allocated for the same or a prior 
control period as any NOX allowances allocated to that source 
under Sec.  96.88 for any control period for which the withdrawal is to 
be effective. The Administrator will close the NOX Budget 
opt-in source's compliance account and will establish, and transfer any 
remaining allowances to, a new general account for the owners and 
operators of the NOX Budget opt-in source. The NOX 
authorized account representative for the NOX Budget opt-in 
source shall become the NOX authorized account representative 
for the general account.
    (c) A NOX Budget opt-in source that withdraws from the 
NOX Budget Trading Program shall comply with all requirements 
under the NOX Budget Trading Program concerning all years for 
which such NOX Budget opt-in source was a NOX 
Budget opt-in source, even if such requirements arise or must be 
complied with after the withdrawal takes effect.
    (d) Notification. (1) After the requirements for withdrawal under 
paragraphs (a) and (b) of this section are met (including deduction of 
the full amount of NOX allowances required), the permitting 
authority will issue a notification to the NOX authorized 
account representative of the NOX Budget opt-in source of the 
acceptance of the withdrawal of the NOX Budget opt-in source 
as of a specified effective date that is after such requirements have 
been met and that is prior to May 1 or after September 30.
    (2) If the requirements for withdrawal under paragraphs (a) and (b) 
of this section are not met, the permitting authority will issue a 
notification to the NOX authorized account representative of 
the NOX Budget opt-in source that the NOX Budget 
opt-in source's request to withdraw is denied. If the NOX 
Budget opt-in source's request to withdraw is denied, the NOX 
Budget opt-in source shall remain subject to the requirements for a 
NOX Budget opt-in source.
    (e) Permit amendment. After the permitting authority issues a 
notification under paragraph (d)(1) of this section that the 
requirements for withdrawal have been met, the permitting authority will 
revise the NOX Budget permit covering the NOX 
Budget opt-in source to terminate the NOX Budget opt-in 
permit as of the effective date specified under paragraph (d)(1) of this 
section. A NOX Budget opt-in source shall continue to be a 
NOX Budget opt-in source until the effective date of the 
termination.
    (f) Reapplication upon failure to meet conditions of withdrawal. If 
the permitting authority denies the NOX Budget opt-in 
source's request to withdraw, the NOX authorized account 
representative may submit another request to withdraw in accordance with 
paragraphs (a) and (b) of this section.
    (g) Ability to return to the NOX Budget Trading Program. 
Once a NOX Budget opt-in source withdraws from the 
NOX Budget Trading Program and its NOX Budget opt-
in permit is terminated under this section, the NOX authority 
account representative may not submit

[[Page 949]]

another application for a NOX Budget opt-in permit under 
Sec.  96.83 for the unit prior to the date that is 4 years after the 
date on which the terminated NOX Budget opt-in permit became 
effective.



Sec.  96.87  Change in regulatory status.

    (a) Notification. When a NOX Budget opt-in source becomes 
a NOX Budget unit under Sec.  96.4, the NOX 
authorized account representative shall notify in writing the permitting 
authority and the Administrator of such change in the NOX 
Budget opt-in source's regulatory status, within 30 days of such change.
    (b) Permitting authority's and Administrator's action. (1)(i) When 
the NOX Budget opt-in source becomes a NOX Budget 
unit under Sec.  96.4, the permitting authority will revise the 
NOX Budget opt-in source's NOX Budget opt-in 
permit to meet the requirements of a NOX Budget permit under 
Sec.  96.23 as of an effective date that is the date on which such 
NOX Budget opt-in source becomes a NOX Budget unit 
under Sec.  96.4.
    (ii)(A) The Administrator will deduct from the compliance account 
for the NOX Budget unit under paragraph (b)(1)(i) of this 
section, or the overdraft account of the NOX Budget source 
where the unit is located, NOX allowances equal in number to 
and allocated for the same or a prior control period as:
    (1) Any NOX allowances allocated to the NOX 
Budget unit (as a NOX Budget opt-in source) under Sec.  96.88 
for any control period after the last control period during which the 
unit's NOX Budget opt-in permit was effective; and
    (2) If the effective date of the NOX Budget permit 
revision under paragraph (b)(1)(i) of this section is during a control 
period, the NOX allowances allocated to the NOX 
Budget unit (as a NOX Budget opt-in source) under Sec.  96.88 
for the control period multiplied by the ratio of the number of days, in 
the control period, starting with the effective date of the permit 
revision under paragraph (b)(1)(i) of this section, divided by the total 
number of days in the control period.
    (B) The NOX authorized account representative shall 
ensure that the compliance account of the NOX Budget unit 
under paragraph (b)(1)(i) of this section, or the overdraft account of 
the NOX Budget source where the unit is located, includes the 
NOX allowances necessary for completion of the deduction 
under paragraph (b)(1)(ii)(A) of this section. If the compliance account 
or overdraft account does not contain sufficient NOX 
allowances, the Administrator will deduct the required number of 
NOX allowances, regardless of the control period for which 
they were allocated, whenever NOX allowances are recorded in 
either account.
    (iii)(A) For every control period during which the NOX 
Budget permit revised under paragraph (b)(1)(i) of this section is 
effective, the NOX Budget unit under paragraph (b)(1)(i) of 
this section will be treated, solely for purposes of NOX 
allowance allocations under Sec.  96.42, as a unit that commenced 
operation on the effective date of the NOX Budget permit 
revision under paragraph (b)(1)(i) of this section and will be allocated 
NOX allowances under Sec.  96.42.
    (B) Notwithstanding paragraph (b)(1)(iii)(A) of this section, if the 
effective date of the NOX Budget permit revision under 
paragraph (b)(1)(i) of this section is during a control period, the 
following number of NOX allowances will be allocated to the 
NOX Budget unit under paragraph (b)(1)(i) of this section 
under Sec.  96.42 for the control period: the number of NOX 
allowances otherwise allocated to the NOX Budget unit under 
Sec.  96.42 for the control period multiplied by the ratio of the number 
of days, in the control period, starting with the effective date of the 
permit revision under paragraph (b)(1)(i) of this section, divided by 
the total number of days in the control period.
    (2)(i) When the NOX authorized account representative of 
a NOX Budget opt-in source does not renew its NOX 
Budget opt-in permit under Sec.  96.83(b), the Administrator will deduct 
from the NOX Budget opt-in unit's compliance account, or the 
overdraft account of the NOX Budget source where the 
NOX Budget opt-in source is located, NOX 
allowances equal in number to and allocated for the same or a prior 
control period as any NOX allowances allocated to the 
NOX Budget opt-in source under Sec.  96.88 for any control 
period after the last control period for which the NOX

[[Page 950]]

Budget opt-in permit is effective. The NOX authorized account 
representative shall ensure that the NOX Budget opt-in 
source's compliance account or the overdraft account of the 
NOX Budget source where the NOX Budget opt-in 
source is located includes the NOX allowances necessary for 
completion of such deduction. If the compliance account or overdraft 
account does not contain sufficient NOX allowances, the 
Administrator will deduct the required number of NOX 
allowances, regardless of the control period for which they were 
allocated, whenever NOX allowances are recorded in either 
account.
    (ii) After the deduction under paragraph (b)(2)(i) of this section 
is completed, the Administrator will close the NOX Budget 
opt-in source's compliance account. If any NOX allowances 
remain in the compliance account after completion of such deduction and 
any deduction under Sec.  96.54, the Administrator will close the 
NOX Budget opt-in source's compliance account and will 
establish, and transfer any remaining allowances to, a new general 
account for the owners and operators of the NOX Budget opt-in 
source. The NOX authorized account representative for the 
NOX Budget opt-in source shall become the NOX 
authorized account representative for the general account.



Sec.  96.88  NOX allowance allocations to opt-in units.

    (a) NOX allowance allocation. (1) By December 31 
immediately before the first control period for which the NOX 
Budget opt-in permit is effective, the permitting authority will 
allocate NOX allowances to the NOX Budget opt-in 
source and submit to the Administrator the allocation for the control 
period in accordance with paragraph (b) of this section.
    (2) By no later than December 31, after the first control period for 
which the NOX Budget opt-in permit is in effect, and December 
31 of each year thereafter, the permitting authority will allocate 
NOX allowances to the NOX Budget opt-in source, 
and submit to the Administrator allocations for the next control period, 
in accordance with paragraph (b) of this section.
    (b) For each control period for which the NOX Budget opt-
in source has an approved NOX Budget opt-in permit, the 
NOX Budget opt-in source will be allocated NOX 
allowances in accordance with the following procedures:
    (1) The heat input (in mmBtu) used for calculating NOX 
allowance allocations will be the lesser of:
    (i) The NOX Budget opt-in source's baseline heat input 
determined pursuant to Sec.  96.84(c); or
    (ii) The NOX Budget opt-in source's heat input, as 
determined in accordance with subpart H of this part, for the control 
period in the year prior to the year of the control period for which the 
NOX allocations are being calculated.
    (2) The permitting authority will allocate NOX allowances 
to the NOX Budget opt-in source in an amount equaling the 
heat input (in mmBtu) determined under paragraph (b)(1) of this section 
multiplied by the lesser of:
    (i) The NOX Budget opt-in source's baseline 
NOX emissions rate (in lb/mmBtu) determined pursuant to Sec.  
96.84(c); or
    (ii) The most stringent State or Federal NOX emissions 
limitation applicable to the NOX Budget opt-in source during 
the control period.

Subpart J--Mobile and Area Sources [Reserved]

Subparts K-Z [Reserved]



      Subpart AA_CAIR NOX Annual Trading Program General Provisions

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.101  Purpose.

    This subpart and subparts BB through II establish the model rule 
comprising general provisions and the designated representative, 
permitting, allowance, monitoring, and opt-in provisions for the State 
Clean Air Interstate Rule (CAIR) NOX Annual Trading Program, 
under section 110 of the Clean Air Act and Sec.  51.123 of this chapter, 
as a means of mitigating interstate transport of fine particulates and 
nitrogen oxides. The owner or operator of a unit

[[Page 951]]

or a source shall comply with the requirements of this subpart and 
subparts BB through II as a matter of federal law only if the State with 
jurisdiction over the unit and the source incorporates by reference such 
subparts or otherwise adopts the requirements of such subparts in 
accordance with Sec.  51.123(o)(1) or (2) of this chapter, the State 
submits to the Administrator one or more revisions of the State 
implementation plan that include such adoption, and the Administrator 
approves such revisions. If the State adopts the requirements of such 
subparts in accordance with Sec.  51.123(o)(1) or (2) of this chapter, 
then the State authorizes the Administrator to assist the State in 
implementing the CAIR NOX Annual Trading Program by carrying 
out the functions set forth for the Administrator in such subparts.



Sec.  96.102  Definitions.

    The terms used in this subpart and subparts BB through II shall have 
the meanings set forth in this section as follows:
    Account number means the identification number given by the 
Administrator to each CAIR NOX Allowance Tracking System 
account.
    Acid Rain emissions limitation means a limitation on emissions of 
sulfur dioxide or nitrogen oxides under the Acid Rain Program.
    Acid Rain Program means a multi-state sulfur dioxide and nitrogen 
oxides air pollution control and emission reduction program established 
by the Administrator under title IV of the CAA and parts 72 through 78 
of this chapter.
    Administrator means the Administrator of the United States 
Environmental Protection Agency or the Administrator's duly authorized 
representative.
    Allocate or allocation means, with regard to CAIR NOX 
allowances, the determination by a permitting authority or the 
Administrator of the amount of such CAIR NOX allowances to be 
initially credited to a CAIR NOX unit, a new unit set-aside, 
or other entity.
    Allowance transfer deadline means, for a control period, midnight of 
March 1 (if it is a business day), or midnight of the first business day 
thereafter (if March 1 is not a business day), immediately following the 
control period and is the deadline by which a CAIR NOX 
allowance transfer must be submitted for recordation in a CAIR 
NOX source's compliance account in order to be used to meet 
the source's CAIR NOX emissions limitation for such control 
period in accordance with Sec.  96.154.
    Alternate CAIR designated representative means, for a CAIR 
NOX source and each CAIR NOX unit at the source, 
the natural person who is authorized by the owners and operators of the 
source and all such units at the source, in accordance with subparts BB 
and II of this part, to act on behalf of the CAIR designated 
representative in matters pertaining to the CAIR NOX Annual 
Trading Program. If the CAIR NOX source is also a CAIR 
SO2 source, then this natural person shall be the same person 
as the alternate CAIR designated representative under the CAIR 
SO2 Trading Program. If the CAIR NOX source is 
also a CAIR NOX Ozone Season source, then this natural person 
shall be the same person as the alternate CAIR designated representative 
under the CAIR NOX Ozone Season Trading Program. If the CAIR 
NOX source is also subject to the Acid Rain Program, then 
this natural person shall be the same person as the alternate designated 
representative under the Acid Rain Program. If the CAIR NOX 
source is also subject to the Hg Budget Trading Program, then this 
natural person shall be the same person as the alternate Hg designated 
representative under the Hg Budget Trading Program.
    Automated data acquisition and handling system or DAHS means that 
component of the continuous emission monitoring system, or other 
emissions monitoring system approved for use under subpart HH of this 
part, designed to interpret and convert individual output signals from 
pollutant concentration monitors, flow monitors, diluent gas monitors, 
and other component parts of the monitoring system to produce a 
continuous record of the measured parameters in the measurement units 
required by subpart HH of this part.
    Biomass means--

[[Page 952]]

    (1) Any organic material grown for the purpose of being converted to 
energy;
    (2) Any organic byproduct of agriculture that can be converted into 
energy; or
    (3) Any material that can be converted into energy and is 
nonmerchantable for other purposes, that is segregated from other 
nonmerchantable material, and that is;
    (i) A forest-related organic resource, including mill residues, 
precommercial thinnings, slash, brush, or byproduct from conversion of 
trees to merchantable material; or
    (ii) A wood material, including pallets, crates, dunnage, 
manufacturing and construction materials (other than pressure-treated, 
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
    Boiler means an enclosed fossil- or other-fuel-fired combustion 
device used to produce heat and to transfer heat to recirculating water, 
steam, or other medium.
    Bottoming-cycle cogeneration unit means a cogeneration unit in which 
the energy input to the unit is first used to produce useful thermal 
energy and at least some of the reject heat from the useful thermal 
energy application or process is then used for electricity production.
    CAIR authorized account representative means, with regard to a 
general account, a responsible natural person who is authorized, in 
accordance with subparts BB, FF, and II of this part, to transfer and 
otherwise dispose of CAIR NOX allowances held in the general 
account and, with regard to a compliance account, the CAIR designated 
representative of the source.
    CAIR designated representative means, for a CAIR NOX 
source and each CAIR NOX unit at the source, the natural 
person who is authorized by the owners and operators of the source and 
all such units at the source, in accordance with subparts BB and II of 
this part, to represent and legally bind each owner and operator in 
matters pertaining to the CAIR NOX Annual Trading Program. If 
the CAIR NOX source is also a CAIR SO2 source, 
then this natural person shall be the same person as the CAIR designated 
representative under the CAIR SO2 Trading Program. If the 
CAIR NOX source is also a CAIR NOX Ozone Season 
source, then this natural person shall be the same person as the CAIR 
designated representative under the CAIR NOX Ozone Season 
Trading Program. If the CAIR NOX source is also subject to 
the Acid Rain Program, then this natural person shall be the same person 
as the designated representative under the Acid Rain Program. If the 
CAIR NOX source is also subject to the Hg Budget Trading 
Program, then this natural person shall be the same person as the Hg 
designated representative under the Hg Budget Trading Program.
    CAIR NOX allowance means a limited authorization issued by a 
permitting authority or the Administrator under provisions of a State 
implementation plan that are approved under Sec.  51.123(o)(1) or (2) or 
(p) of this chapter, or under subpart EE of part 97 or Sec.  97.188 of 
this chapter, to emit one ton of nitrogen oxides during a control period 
of the specified calendar year for which the authorization is allocated 
or of any calendar year thereafter under the CAIR NOX 
Program. An authorization to emit nitrogen oxides that is not issued 
under provisions of a State implementation plan that are approved under 
Sec.  51.123(o)(1) or (2) or (p) of this chapter or subpart EE of part 
97 or Sec.  97.188 of this chapter shall not be a CAIR NOX 
allowance.
    CAIR NOX allowance deduction or deduct CAIR NOX allowances means the 
permanent withdrawal of CAIR NOX allowances by the 
Administrator from a compliance account, e.g., in order to account for a 
specified number of tons of total nitrogen oxides emissions from all 
CAIR NOX units at a CAIR NOX source for a control 
period, determined in accordance with subpart HH of this part, or to 
account for excess emissions.
    CAIR NOX Allowance Tracking System means the system by 
which the Administrator records allocations, deductions, and transfers 
of CAIR NOX allowances under the CAIR NOX Annual 
Trading Program. Such allowances will be allocated, held, deducted, or 
transferred only as whole allowances.
    CAIR NOX Allowance Tracking System account means an 
account in the CAIR

[[Page 953]]

NOX Allowance Tracking System established by the 
Administrator for purposes of recording the allocation, holding, 
transferring, or deducting of CAIR NOX allowances.
    CAIR NOX allowances held or hold CAIR NOX 
allowances means the CAIR NOX allowances recorded by the 
Administrator, or submitted to the Administrator for recordation, in 
accordance with subparts FF, GG, and II of this part, in a CAIR 
NOX Allowance Tracking System account.
    CAIR NOX Annual Trading Program means a multi-state 
nitrogen oxides air pollution control and emission reduction program 
approved and administered by the Administrator in accordance with 
subparts AA through II of this part and Sec.  51.123(o)(1) or (2) of 
this chapter or established by the Administrator in accordance with 
subparts AA through II of part 97 of this chapter and Sec. Sec.  
51.123(p) and 52.35 of this chapter, as a means of mitigating interstate 
transport of fine particulates and nitrogen oxides.
    CAIR NOX emissions limitation means, for a CAIR 
NOX source, the tonnage equivalent, in NOX 
emissions in a control period, of the CAIR NOX allowances 
available for deduction for the source under Sec.  96.154(a) and (b) for 
the control period.
    CAIR NOX Ozone Season source means a source that is 
subject to the CAIR NOX Ozone Season Trading Program.
    CAIR NOX Ozone Season Trading Program means a multi-state 
nitrogen oxides air pollution control and emission reduction program 
approved and administered by the Administrator in accordance with 
subparts AAAA through IIII of this part and Sec.  51.123(aa)(1) or (2) 
(and (bb)(1)), (bb)(2), or (dd) of this chapter or established by the 
Administrator in accordance with subparts AAAA through IIII of part 97 
of this chapter and Sec. Sec.  51.123(ee) and 52.35 of this chapter, as 
a means of mitigating interstate transport of ozone and nitrogen oxides.
    CAIR NOX source means a source that includes one or more 
CAIR NOX units.
    CAIR NOX unit means a unit that is subject to the CAIR 
NOX Annual Trading Program under Sec.  96.104 and, except for 
purposes of Sec.  96.105 and subpart EE of this part, a CAIR 
NOX opt-in unit under subpart II of this part.
    CAIR permit means the legally binding and federally enforceable 
written document, or portion of such document, issued by the permitting 
authority under subpart CC of this part, including any permit revisions, 
specifying the CAIR NOX Annual Trading Program requirements 
applicable to a CAIR NOX source, to each CAIR NOX 
unit at the source, and to the owners and operators and the CAIR 
designated representative of the source and each such unit.
    CAIR SO2 source means a source that is subject to the 
CAIR SO2 Trading Program.
    CAIR SO2 Trading Program means a multi-state sulfur 
dioxide air pollution control and emission reduction program approved 
and administered by the Administrator in accordance with subparts AAA 
through III of this part and Sec.  51.124(o)(1) or (2) of this chapter 
or established by the Administrator in accordance with subparts AAA 
through III of part 97 of this chapter and Sec. Sec.  51.124(r) and 
52.36 of this chapter, as a means of mitigating interstate transport of 
fine particulates and sulfur dioxide.
    Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et 
seq.
    Coal means any solid fuel classified as anthracite, bituminous, 
subbituminous, or lignite.
    Coal-derived fuel means any fuel (whether in a solid, liquid, or 
gaseous state) produced by the mechanical, thermal, or chemical 
processing of coal.
    Coal-fired means:
    (1) Except for purposes of subpart EE of this part, combusting any 
amount of coal or coal-derived fuel, alone or in combination with any 
amount of any other fuel, during any year; or
    (2) For purposes of subpart EE of this part, combusting any amount 
of coal or coal-derived fuel, alone or in combination with any amount of 
any other fuel, during a specified year.
    Cogeneration unit means a stationary, fossil-fuel-fired boiler or 
stationary, fossil-fuel-fired combustion turbine:
    (1) Having equipment used to produce electricity and useful thermal 
energy for industrial, commercial, heating, or

[[Page 954]]

cooling purposes through the sequential use of energy; and
    (2) Producing during the 12-month period starting on the date the 
unit first produces electricity and during any calendar year after the 
calendar year in which the unit first produces electricity--
    (i) For a topping-cycle cogeneration unit,
    (A) Useful thermal energy not less than 5 percent of total energy 
output; and
    (B) Useful power that, when added to one-half of useful thermal 
energy produced, is not less then 42.5 percent of total energy input, if 
useful thermal energy produced is 15 percent or more of total energy 
output, or not less than 45 percent of total energy input, if useful 
thermal energy produced is less than 15 percent of total energy output.
    (ii) For a bottoming-cycle cogeneration unit, useful power not less 
than 45 percent of total energy input;
    (3) Provided that the total energy input under paragraphs (2)(i)(B) 
and (2)(ii) of this definition shall equal the unit's total energy input 
from all fuel except biomass if the unit is a boiler.
    Combustion turbine means:
    (1) An enclosed device comprising a compressor, a combustor, and a 
turbine and in which the flue gas resulting from the combustion of fuel 
in the combustor passes through the turbine, rotating the turbine; and
    (2) If the enclosed device under paragraph (1) of this definition is 
combined cycle, any associated duct burner, heat recovery steam 
generator, and steam turbine.
    Commence commercial operation means, with regard to a unit:
    (1) To have begun to produce steam, gas, or other heated medium used 
to generate electricity for sale or use, including test generation, 
except as provided in Sec.  96.105 and Sec.  96.184(h).
    (i) For a unit that is a CAIR NOX unit under Sec.  96.104 
on the later of November 15, 1990 or the date the unit commences 
commercial operation as defined in paragraph (1) of this definition and 
that subsequently undergoes a physical change (other than replacement of 
the unit by a unit at the same source), such date shall remain the date 
of commencement of commercial operation of the unit, which shall 
continue to be treated as the same unit.
    (ii) For a unit that is a CAIR NOX unit under Sec.  
96.104 on the later of November 15, 1990 or the date the unit commences 
commercial operation as defined in paragraph (1) of this definition and 
that is subsequently replaced by a unit at the same source (e.g., 
repowered), such date shall remain the replaced unit's date of 
commencement of commercial operation, and the replacement unit shall be 
treated as a separate unit with a separate date for commencement of 
commercial operation as defined in paragraph (1) or (2) of this 
definition as appropriate.
    (2) Notwithstanding paragraph (1) of this definition and except as 
provided in Sec.  96.105, for a unit that is not a CAIR NOX 
unit under Sec.  96.104 on the later of November 15, 1990 or the date 
the unit commences commercial operation as defined in paragraph (1) of 
this definition, the unit's date for commencement of commercial 
operation shall be the date on which the unit becomes a CAIR 
NOX unit under Sec.  96.104.
    (i) For a unit with a date for commencement of commercial operation 
as defined in paragraph (2) of this definition and that subsequently 
undergoes a physical change (other than replacement of the unit by a 
unit at the same source), such date shall remain the date of 
commencement of commercial operation of the unit, which shall continue 
to be treated as the same unit.
    (ii) For a unit with a date for commencement of commercial operation 
as defined in paragraph (2) of this definition and that is subsequently 
replaced by a unit at the same source (e.g., repowered), such date shall 
remain the replaced unit's date of commencement of commercial operation, 
and the replacement unit shall be treated as a separate unit with a 
separate date for commencement of commercial operation as defined in 
paragraph (1) or (2) of this definition as appropriate.
    Commence operation means:
    (1) To have begun any mechanical, chemical, or electronic process, 
including, with regard to a unit, start-up of a unit's combustion 
chamber, except as provided in Sec.  96.184(h).
    (2) For a unit that undergoes a physical change (other than 
replacement of

[[Page 955]]

the unit by a unit at the same source) after the date the unit commences 
operation as defined in paragraph (1) of this definition, such date 
shall remain the date of commencement of operation of the unit, which 
shall continue to be treated as the same unit.
    (3) For a unit that is replaced by a unit at the same source (e.g., 
repowered) after the date the unit commences operation as defined in 
paragraph (1) of this definition, such date shall remain the replaced 
unit's date of commencement of operation, and the replacement unit shall 
be treated as a separate unit with a separate date for commencement of 
operation as defined in paragraph (1), (2), or (3) of this definition as 
appropriate, except as provided in Sec.  96.184(h).
    Compliance account means a CAIR NOX Allowance Tracking 
System account, established by the Administrator for a CAIR 
NOX source under subpart FF or II of this part, in which any 
CAIR NOX allowance allocations for the CAIR NOX 
units at the source are initially recorded and in which are held any 
CAIR NOX allowances available for use for a control period in 
order to meet the source's CAIR NOX emissions limitation in 
accordance with Sec.  96.154.
    Continuous emission monitoring system or CEMS means the equipment 
required under subpart HH of this part to sample, analyze, measure, and 
provide, by means of readings recorded at least once every 15 minutes 
(using an automated data acquisition and handling system (DAHS)), a 
permanent record of nitrogen oxides emissions, stack gas volumetric flow 
rate, stack gas moisture content, and oxygen or carbon dioxide 
concentration (as applicable), in a manner consistent with part 75 of 
this chapter. The following systems are the principal types of 
continuous emission monitoring systems required under subpart HH of this 
part:
    (1) A flow monitoring system, consisting of a stack flow rate 
monitor and an automated data acquisition and handling system and 
providing a permanent, continuous record of stack gas volumetric flow 
rate, in standard cubic feet per hour (scfh);
    (2) A nitrogen oxides concentration monitoring system, consisting of 
a NOX pollutant concentration monitor and an automated data 
acquisition and handling system and providing a permanent, continuous 
record of NOX emissions, in parts per million (ppm);
    (3) A nitrogen oxides emission rate (or NOX-diluent) 
monitoring system, consisting of a NOX pollutant 
concentration monitor, a diluent gas (CO2 or O2) 
monitor, and an automated data acquisition and handling system and 
providing a permanent, continuous record of NOX 
concentration, in parts per million (ppm), diluent gas concentration, in 
percent CO2 or O2; and NOX emission 
rate, in pounds per million British thermal units (lb/mmBtu);
    (4) A moisture monitoring system, as defined in Sec.  75.11(b)(2) of 
this chapter and providing a permanent, continuous record of the stack 
gas moisture content, in percent H2O;
    (5) A carbon dioxide monitoring system, consisting of a 
CO2 pollutant concentration monitor (or an oxygen monitor 
plus suitable mathematical equations from which the CO2 
concentration is derived) and an automated data acquisition and handling 
system and providing a permanent, continuous record of CO2 
emissions, in percent CO2; and
    (6) An oxygen monitoring system, consisting of an O2 
concentration monitor and an automated data acquisition and handling 
system and providing a permanent, continuous record of O2, in 
percent O2.
    Control period means the period beginning January 1 of a calendar 
year, except as provided in Sec.  96.106(c)(2), and ending on December 
31 of the same year, inclusive.
    Emissions means air pollutants exhausted from a unit or source into 
the atmosphere, as measured, recorded, and reported to the Administrator 
by the CAIR designated representative and as determined by the 
Administrator in accordance with subpart HH of this part.
    Excess emissions means any ton of nitrogen oxides emitted by the 
CAIR NOX units at a CAIR NOX source during a 
control period that exceeds the CAIR NOX emissions limitation 
for the source.
    Fossil fuel means natural gas, petroleum, coal, or any form of 
solid, liquid,

[[Page 956]]

or gaseous fuel derived from such material.
    Fossil-fuel-fired means, with regard to a unit, combusting any 
amount of fossil fuel in any calendar year.
    Fuel oil means any petroleum-based fuel (including diesel fuel or 
petroleum derivatives such as oil tar) and any recycled or blended 
petroleum products or petroleum by-products used as a fuel whether in a 
liquid, solid, or gaseous state.
    General account means a CAIR NOX Allowance Tracking 
System account, established under subpart FF of this part, that is not a 
compliance account.
    Generator means a device that produces electricity.
    Gross electrical output means, with regard to a cogeneration unit, 
electricity made available for use, including any such electricity used 
in the power production process (which process includes, but is not 
limited to, any on-site processing or treatment of fuel combusted at the 
unit and any on-site emission controls).
    Heat input means, with regard to a specified period of time, the 
product (in mmBtu/time) of the gross calorific value of the fuel (in 
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed 
rate into a combustion device (in lb of fuel/time), as measured, 
recorded, and reported to the Administrator by the CAIR designated 
representative and determined by the Administrator in accordance with 
subpart HH of this part and excluding the heat derived from preheated 
combustion air, recirculated flue gases, or exhaust from other sources.
    Heat input rate means the amount of heat input (in mmBtu) divided by 
unit operating time (in hr) or, with regard to a specific fuel, the 
amount of heat input attributed to the fuel (in mmBtu) divided by the 
unit operating time (in hr) during which the unit combusts the fuel.
    Hg Budget Trading Program means a multi-state Hg air pollution 
control and emission reduction program approved and administered by the 
Administrator in accordance subpart HHHH of part 60 of this chapter and 
Sec.  60.24(h)(6), or established by the Administrator under section 111 
of the Clean Air Act, as a means of reducing national Hg emissions.
    Life-of-the-unit, firm power contractual arrangement means a unit 
participation power sales agreement under which a utility or industrial 
customer reserves, or is entitled to receive, a specified amount or 
percentage of nameplate capacity and associated energy generated by any 
specified unit and pays its proportional amount of such unit's total 
costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including 
contracts that permit an election for early termination; or
    (3) For a period no less than 25 years or 70 percent of the economic 
useful life of the unit determined as of the time the unit is built, 
with option rights to purchase or release some portion of the nameplate 
capacity and associated energy generated by the unit at the end of the 
period.
    Maximum design heat input means the maximum amount of fuel per hour 
(in Btu/hr) that a unit is capable of combusting on a steady state basis 
as of the initial installation of the unit as specified by the 
manufacturer of the unit.
    Monitoring system means any monitoring system that meets the 
requirements of subpart HH of this part, including a continuous 
emissions monitoring system, an alternative monitoring system, or an 
excepted monitoring system under part 75 of this chapter.
    Most stringent State or Federal NOX emissions limitation means, with 
regard to a unit, the lowest NOX emissions limitation (in 
terms of lb/mmBtu) that is applicable to the unit under State or Federal 
law, regardless of the averaging period to which the emissions 
limitation applies.
    Nameplate capacity means, starting from the initial installation of 
a generator, the maximum electrical generating output (in MWe) that the 
generator is capable of producing on a steady state basis and during 
continuous operation (when not restricted by seasonal or other 
deratings) as of such installation as specified by the manufacturer of 
the generator or, starting from the completion of any subsequent

[[Page 957]]

physical change in the generator resulting in an increase in the maximum 
electrical generating output (in MWe) that the generator is capable of 
producing on a steady state basis and during continuous operation (when 
not restricted by seasonal or other deratings), such increased maximum 
amount as of such completion as specified by the person conducting the 
physical change.
    Oil-fired means, for purposes of subpart EE of this part, combusting 
fuel oil for more than 15.0 percent of the annual heat input in a 
specified year and not qualifying as coal-fired.
    Operator means any person who operates, controls, or supervises a 
CAIR NOX unit or a CAIR NOX source and shall 
include, but not be limited to, any holding company, utility system, or 
plant manager of such a unit or source.
    Owner means any of the following persons:
    (1) With regard to a CAIR NOX source or a CAIR 
NOX unit at a source, respectively:
    (i) Any holder of any portion of the legal or equitable title in a 
CAIR NOX unit at the source or the CAIR NOX unit;
    (ii) Any holder of a leasehold interest in a CAIR NOX 
unit at the source or the CAIR NOX unit; or
    (iii) Any purchaser of power from a CAIR NOX unit at the 
source or the CAIR NOX unit under a life-of-the-unit, firm 
power contractual arrangement; provided that, unless expressly provided 
for in a leasehold agreement, owner shall not include a passive lessor, 
or a person who has an equitable interest through such lessor, whose 
rental payments are not based (either directly or indirectly) on the 
revenues or income from such CAIR NOX unit; or
    (2) With regard to any general account, any person who has an 
ownership interest with respect to the CAIR NOX allowances 
held in the general account and who is subject to the binding agreement 
for the CAIR authorized account representative to represent the person's 
ownership interest with respect to CAIR NOX allowances.
    Permitting authority means the State air pollution control agency, 
local agency, other State agency, or other agency authorized by the 
Administrator to issue or revise permits to meet the requirements of the 
CAIR NOX Annual Trading Program or, if no such agency has 
been so authorized, the Administrator.
    Potential electrical output capacity means 33 percent of a unit's 
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 
kWh/MWh, and multiplied by 8,760 hr/yr.
    Receive or receipt of means, when referring to the permitting 
authority or the Administrator, to come into possession of a document, 
information, or correspondence (whether sent in hard copy or by 
authorized electronic transmission), as indicated in an official log, or 
by a notation made on the document, information, or correspondence, by 
the permitting authority or the Administrator in the regular course of 
business.
    Recordation, record, or recorded means, with regard to CAIR 
NOX allowances, the movement of CAIR NOX 
allowances by the Administrator into or between CAIR NOX 
Allowance Tracking System accounts, for purposes of allocation, 
transfer, or deduction.
    Reference method means any direct test method of sampling and 
analyzing for an air pollutant as specified in Sec.  75.22 of this 
chapter.
    Replacement, replace, or replaced means, with regard to a unit, the 
demolishing of a unit, or the permanent shutdown and permanent disabling 
of a unit, and the construction of another unit (the replacement unit) 
to be used instead of the demolished or shutdown unit (the replaced 
unit).
    Repowered means, with regard to a unit, replacement of a coal-fired 
boiler with one of the following coal-fired technologies at the same 
source as the coal-fired boiler:
    (1) Atmospheric or pressurized fluidized bed combustion;
    (2) Integrated gasification combined cycle;
    (3) Magnetohydrodynamics;
    (4) Direct and indirect coal-fired turbines;
    (5) Integrated gasification fuel cells; or
    (6) As determined by the Administrator in consultation with the 
Secretary of Energy, a derivative of one or

[[Page 958]]

more of the technologies under paragraphs (1) through (5) of this 
definition and any other coal-fired technology capable of controlling 
multiple combustion emissions simultaneously with improved boiler or 
generation efficiency and with significantly greater waste reduction 
relative to the performance of technology in widespread commercial use 
as of January 1, 2005.
    Serial number means, for a CAIR NOX allowance, the unique 
identification number assigned to each CAIR NOX allowance by 
the Administrator.
    Sequential use of energy means:
    (1) For a topping-cycle cogeneration unit, the use of reject heat 
from electricity production in a useful thermal energy application or 
process; or
    (2) For a bottoming-cycle cogeneration unit, the use of reject heat 
from useful thermal energy application or process in electricity 
production.
    Solid waste incineration unit means a stationary, fossil-fuel-fired 
boiler or stationary, fossil-fuel-fired combustion turbine that is a 
``solid waste incineration unit'' as defined in section 129(g)(1) of the 
Clean Air Act.
    Source means all buildings, structures, or installations located in 
one or more contiguous or adjacent properties under common control of 
the same person or persons. For purposes of section 502(c) of the Clean 
Air Act, a ``source,'' including a ``source'' with multiple units, shall 
be considered a single ``facility.''
    State means one of the States or the District of Columbia that 
adopts the CAIR NOX Annual Trading Program pursuant to Sec.  
51.123(o)(1) or (2) of this chapter.
    Submit or serve means to send or transmit a document, information, 
or correspondence to the person specified in accordance with the 
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery. 
Compliance with any ``submission'' or ``service'' deadline shall be 
determined by the date of dispatch, transmission, or mailing and not the 
date of receipt.
    Title V operating permit means a permit issued under title V of the 
Clean Air Act and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the 
Administrator has approved or issued as meeting the requirements of 
title V of the Clean Air Act and part 70 or 71 of this chapter.
    Ton means 2,000 pounds. For the purpose of determining compliance 
with the CAIR NOX emissions limitation, total tons of 
nitrogen oxides emissions for a control period shall be calculated as 
the sum of all recorded hourly emissions (or the mass equivalent of the 
recorded hourly emission rates) in accordance with subpart HH of this 
part, but with any remaining fraction of a ton equal to or greater than 
0.50 tons deemed to equal one ton and any remaining fraction of a ton 
less than 0.50 tons deemed to equal zero tons.
    Topping-cycle cogeneration unit means a cogeneration unit in which 
the energy input to the unit is first used to produce useful power, 
including electricity, and at least some of the reject heat from the 
electricity production is then used to provide useful thermal energy.
    Total energy input means, with regard to a cogeneration unit, total 
energy of all forms supplied to the cogeneration unit, excluding energy 
produced by the cogeneration unit itself. Each form of energy supplied 
shall be measured by the lower heating value of that form of energy 
calculated as follows:

LHV = HHV - 10.55(W + 9H)

Where:

LHV = lower heating value of fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.

    Total energy output means, with regard to a cogeneration unit, the 
sum of useful power and useful thermal energy produced by the 
cogeneration unit.
    Unit means a stationary, fossil-fuel-fired boiler or combustion 
turbine or other stationary, fossil-fuel-fired combustion device.
    Unit operating day means a calendar day in which a unit combusts any 
fuel.
    Unit operating hour or hour of unit operation means an hour in which 
a unit combusts any fuel.

[[Page 959]]

    Useful power means, with regard to a cogeneration unit, electricity 
or mechanical energy made available for use, excluding any such energy 
used in the power production process (which process includes, but is not 
limited to, any on-site processing or treatment of fuel combusted at the 
unit and any on-site emission controls).
    Useful thermal energy means, with regard to a cogeneration unit, 
thermal energy that is:
    (1) Made available to an industrial or commercial process (not a 
power production process), excluding any heat contained in condensate 
return or makeup water;
    (2) Used in a heating application (e.g., space heating or domestic 
hot water heating); or
    (3) Used in a space cooling application (i.e., thermal energy used 
by an absorption chiller).
    Utility power distribution system means the portion of an 
electricity grid owned or operated by a utility and dedicated to 
delivering electricity to customers.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25380, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006; 72 FR 59205, Oct. 19, 2007]



Sec.  96.103  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this subpart and 
subparts BB through II are defined as follows:
Btu--British thermal unit.
CO2--carbon dioxide
H2O--water
Hg--mercury
hr--hour
kW--kilowatt electrical
kWh--kilowatt hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt hour
NOX--nitrogen oxides
O2--oxygen
ppm--parts per million
scfh--standard cubic feet per hour
SO2--sulfur dioxide
yr--year

[71 FR 25381, Apr. 28, 2006]



Sec.  96.104  Applicability.

    (a) Except as provided in paragraph (b) of this section:
    (1) The following units in a State shall be CAIR NOX 
units, and any source that includes one or more such units shall be a 
CAIR NOX source, subject to the requirements of this subpart 
and subparts BB through HH of this part: any stationary, fossil-fuel-
fired boiler or stationary, fossil-fuel-fired combustion turbine serving 
at any time, since the later of November 15, 1990 or the start-up of the 
unit's combustion chamber, a generator with nameplate capacity of more 
than 25 MWe producing electricity for sale.
    (2) If a stationary boiler or stationary combustion turbine that, 
under paragraph (a)(1) of this section, is not a CAIR NOX 
unit begins to combust fossil fuel or to serve a generator with 
nameplate capacity of more than 25 MWe producing electricity for sale, 
the unit shall become a CAIR NOX unit as provided in 
paragraph (a)(1) of this section on the first date on which it both 
combusts fossil fuel and serves such generator.
    (b) The units in a State that meet the requirements set forth in 
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not 
be CAIR NOX units:
    (1)(i) Any unit that is a CAIR NOX unit under paragraph 
(a)(1) or (2) of this section:
    (A) Qualifying as a cogeneration unit during the 12-month period 
starting on the date the unit first produces electricity and continuing 
to qualify as a cogeneration unit; and
    (B) Not serving at any time, since the later of November 15, 1990 or 
the start-up of the unit's combustion chamber, a generator with 
nameplate capacity of more than 25 MWe supplying in any calendar year 
more than one-third of the unit's potential electric output capacity or 
219,000 MWh, whichever is greater, to any utility power distribution 
system for sale.
    (ii) If a unit qualifies as a cogeneration unit during the 12-month 
period starting on the date the unit first produces electricity and 
meets the requirements of paragraphs (b)(1)(i) of this section for at 
least one calendar year, but subsequently no longer meets all such 
requirements, the unit shall become a CAIR NOX unit starting 
on the earlier of January 1 after the first

[[Page 960]]

calendar year during which the unit first no longer qualifies as a 
cogeneration unit or January 1 after the first calendar year during 
which the unit no longer meets the requirements of paragraph 
(b)(1)(i)(B) of this section.
    (2)(i) Any unit that is a CAIR NOX unit under paragraph 
(a)(1) or (2) of this section commencing operation before January 1, 
1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for 
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual 
fuel consumption of non-fossil fuel for any 3 consecutive calendar years 
after 1990 exceeding 80 percent (on a Btu basis).
    (ii) Any unit that is a CAIR NOX unit under paragraph 
(a)(1) or (2) of this section commencing operation on or after January 
1, 1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for 
the first 3 calendar years of operation exceeding 80 percent (on a Btu 
basis) and an average annual fuel consumption of non-fossil fuel for any 
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu 
basis).
    (iii) If a unit qualifies as a solid waste incineration unit and 
meets the requirements of paragraph (b)(2)(i) or (ii) of this section 
for at least 3 consecutive calendar years, but subsequently no longer 
meets all such requirements, the unit shall become a CAIR NOX 
unit starting on the earlier of January 1 after the first calendar year 
during which the unit first no longer qualifies as a solid waste 
incineration unit or January 1 after the first 3 consecutive calendar 
years after 1990 for which the unit has an average annual fuel 
consumption of fossil fuel of 20 percent or more.

[71 FR 25382, Apr. 28, 2006]



Sec.  96.105  Retired unit exemption.

    (a)(1) Any CAIR NOX unit that is permanently retired and 
is not a CAIR NOX opt-in unit under subpart II of this part 
shall be exempt from the CAIR NOX Annual Trading Program, 
except for the provisions of this section, Sec.  96.102, Sec.  96.103, 
Sec.  96.104, Sec.  96.106(c)(4) through (7), Sec.  96.107, Sec.  
96.108, and subparts BB and EE through GG.
    (2) The exemption under paragraph (a)(1) of this section shall 
become effective the day on which the CAIR NOX unit is 
permanently retired. Within 30 days of the unit's permanent retirement, 
the CAIR designated representative shall submit a statement to the 
permitting authority otherwise responsible for administering any CAIR 
permit for the unit and shall submit a copy of the statement to the 
Administrator. The statement shall state, in a format prescribed by the 
permitting authority, that the unit was permanently retired on a 
specific date and will comply with the requirements of paragraph (b) of 
this section.
    (3) After receipt of the statement under paragraph (a)(2) of this 
section, the permitting authority will amend any permit under subpart CC 
of this part covering the source at which the unit is located to add the 
provisions and requirements of the exemption under paragraphs (a)(1) and 
(b) of this section.
    (b) Special provisions. (1) A unit exempt under paragraph (a) of 
this section shall not emit any nitrogen oxides, starting on the date 
that the exemption takes effect.
    (2) The permitting authority will allocate CAIR NOX 
allowances under subpart EE of this part to a unit exempt under 
paragraph (a) of this section.
    (3) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under paragraph (a) of this 
section shall retain, at the source that includes the unit, records 
demonstrating that the unit is permanently retired. The 5-year period 
for keeping records may be extended for cause, at any time before the 
end of the period, in writing by the permitting authority or the 
Administrator. The owners and operators bear the burden of proof that 
the unit is permanently retired.
    (4) The owners and operators and, to the extent applicable, the CAIR 
designated representative of a unit exempt under paragraph (a) of this 
section shall comply with the requirements of the CAIR NOX 
Annual Trading Program concerning all periods for which the exemption is 
not in effect, even if

[[Page 961]]

such requirements arise, or must be complied with, after the exemption 
takes effect.
    (5) A unit exempt under paragraph (a) of this section and located at 
a source that is required, or but for this exemption would be required, 
to have a title V operating permit shall not resume operation unless the 
CAIR designated representative of the source submits a complete CAIR 
permit application under Sec.  96.122 for the unit not less than 18 
months (or such lesser time provided by the permitting authority) before 
the later of January 1, 2009 or the date on which the unit resumes 
operation.
    (6) On the earlier of the following dates, a unit exempt under 
paragraph (a) of this section shall lose its exemption:
    (i) The date on which the CAIR designated representative submits a 
CAIR permit application for the unit under paragraph (b)(5) of this 
section;
    (ii) The date on which the CAIR designated representative is 
required under paragraph (b)(5) of this section to submit a CAIR permit 
application for the unit; or
    (iii) The date on which the unit resumes operation, if the CAIR 
designated representative is not required to submit a CAIR permit 
application for the unit.
    (7) For the purpose of applying monitoring, reporting, and 
recordkeeping requirements under subpart HH of this part, a unit that 
loses its exemption under paragraph (a) of this section shall be treated 
as a unit that commences commercial operation on the first date on which 
the unit resumes operation.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.106  Standard requirements.

    (a) Permit requirements. (1) The CAIR designated representative of 
each CAIR NOX source required to have a title V operating 
permit and each CAIR NOX unit required to have a title V 
operating permit at the source shall:
    (i) Submit to the permitting authority a complete CAIR permit 
application under Sec.  96.122 in accordance with the deadlines 
specified in Sec.  96.121; and
    (ii) Submit in a timely manner any supplemental information that the 
permitting authority determines is necessary in order to review a CAIR 
permit application and issue or deny a CAIR permit.
    (2) The owners and operators of each CAIR NOX source 
required to have a title V operating permit and each CAIR NOX 
unit required to have a title V operating permit at the source shall 
have a CAIR permit issued by the permitting authority under subpart CC 
of this part for the source and operate the source and the unit in 
compliance with such CAIR permit.
    (3) Except as provided in subpart II of this part, the owners and 
operators of a CAIR NOX source that is not otherwise required 
to have a title V operating permit and each CAIR NOX unit 
that is not otherwise required to have a title V operating permit are 
not required to submit a CAIR permit application, and to have a CAIR 
permit, under subpart CC of this part for such CAIR NOX 
source and such CAIR NOX unit.
    (b) Monitoring, reporting, and recordkeeping requirements. (1) The 
owners and operators, and the CAIR designated representative, of each 
CAIR NOX source and each CAIR NOX unit at the 
source shall comply with the monitoring, reporting, and recordkeeping 
requirements of subpart HH of this part.
    (2) The emissions measurements recorded and reported in accordance 
with subpart HH of this part shall be used to determine compliance by 
each CAIR NOX source with the CAIR NOX emissions 
limitation under paragraph (c) of this section.
    (c) Nitrogen oxides emission requirements. (1) As of the allowance 
transfer deadline for a control period, the owners and operators of each 
CAIR NOX source and each CAIR NOX unit at the 
source shall hold, in the source's compliance account, CAIR 
NOX allowances available for compliance deductions for the 
control period under Sec.  96.154(a) in an amount not less than the tons 
of total nitrogen oxides emissions for the control period from all CAIR 
NOX units at the source, as determined in accordance with 
subpart HH of this part.
    (2) A CAIR NOX unit shall be subject to the requirements 
under paragraph

[[Page 962]]

(c)(1) of this section for the control period starting on the later of 
January 1, 2009 or the deadline for meeting the unit's monitor 
certification requirements under Sec.  96.170(b)(1), (2), or (5) and for 
each control period thereafter.
    (3) A CAIR NOX allowance shall not be deducted, for 
compliance with the requirements under paragraph (c)(1) of this section, 
for a control period in a calendar year before the year for which the 
CAIR NOX allowance was allocated.
    (4) CAIR NOX allowances shall be held in, deducted from, 
or transferred into or among CAIR NOX Allowance Tracking 
System accounts in accordance with subparts FF, GG, and II of this part.
    (5) A CAIR NOX allowance is a limited authorization to 
emit one ton of nitrogen oxides in accordance with the CAIR 
NOX Annual Trading Program. No provision of the CAIR 
NOX Annual Trading Program, the CAIR permit application, the 
CAIR permit, or an exemption under Sec.  96.105 and no provision of law 
shall be construed to limit the authority of the State or the United 
States to terminate or limit such authorization.
    (6) A CAIR NOX allowance does not constitute a property 
right.
    (7) Upon recordation by the Administrator under subpart EE, FF, GG, 
or II of this part, every allocation, transfer, or deduction of a CAIR 
NOX allowance to or from a CAIR NOX source's 
compliance account is incorporated automatically in any CAIR permit of 
the source.
    (d) Excess emissions requirements. If a CAIR NOX source 
emits nitrogen oxides during any control period in excess of the CAIR 
NOX emissions limitation, then:
    (1) The owners and operators of the source and each CAIR 
NOX unit at the source shall surrender the CAIR 
NOX allowances required for deduction under Sec.  
96.154(d)(1) and pay any fine, penalty, or assessment or comply with any 
other remedy imposed, for the same violations, under the Clean Air Act 
or applicable State law; and
    (2) Each ton of such excess emissions and each day of such control 
period shall constitute a separate violation of this subpart, the Clean 
Air Act, and applicable State law.
    (e) Recordkeeping and reporting requirements. (1) Unless otherwise 
provided, the owners and operators of the CAIR NOX source and 
each CAIR NOX unit at the source shall keep on site at the 
source each of the following documents for a period of 5 years from the 
date the document is created. This period may be extended for cause, at 
any time before the end of 5 years, in writing by the permitting 
authority or the Administrator.
    (i) The certificate of representation under Sec.  96.113 for the 
CAIR designated representative for the source and each CAIR 
NOX unit at the source and all documents that demonstrate the 
truth of the statements in the certificate of representation; provided 
that the certificate and documents shall be retained on site at the 
source beyond such 5-year period until such documents are superseded 
because of the submission of a new certificate of representation under 
Sec.  96.113 changing the CAIR designated representative.
    (ii) All emissions monitoring information, in accordance with 
subpart HH of this part, provided that to the extent that subpart HH of 
this part provides for a 3-year period for recordkeeping, the 3-year 
period shall apply.
    (iii) Copies of all reports, compliance certifications, and other 
submissions and all records made or required under the CAIR 
NOX Annual Trading Program.
    (iv) Copies of all documents used to complete a CAIR permit 
application and any other submission under the CAIR NOX 
Annual Trading Program or to demonstrate compliance with the 
requirements of the CAIR NOX Annual Trading Program.
    (2) The CAIR designated representative of a CAIR NOX 
source and each CAIR NOX unit at the source shall submit the 
reports required under the CAIR NOX Annual Trading Program, 
including those under subpart HH of this part.
    (f) Liability. (1) Each CAIR NOX source and each CAIR 
NOX unit shall meet the requirements of the CAIR 
NOX Annual Trading Program.
    (2) Any provision of the CAIR NOX Annual Trading Program 
that applies to a CAIR NOX source or the CAIR designated 
representative of a CAIR NOX

[[Page 963]]

source shall also apply to the owners and operators of such source and 
of the CAIR NOX units at the source.
    (3) Any provision of the CAIR NOX Annual Trading Program 
that applies to a CAIR NOX unit or the CAIR designated 
representative of a CAIR NOX unit shall also apply to the 
owners and operators of such unit.
    (g) Effect on other authorities. No provision of the CAIR 
NOX Annual Trading Program, a CAIR permit application, a CAIR 
permit, or an exemption under Sec.  96.105 shall be construed as 
exempting or excluding the owners and operators, and the CAIR designated 
representative, of a CAIR NOX source or CAIR NOX 
unit from compliance with any other provision of the applicable, 
approved State implementation plan, a federally enforceable permit, or 
the Clean Air Act.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]



Sec.  96.107  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the 
CAIR NOX Annual Trading Program, to begin on the occurrence 
of an act or event shall begin on the day the act or event occurs.
    (b) Unless otherwise stated, any time period scheduled, under the 
CAIR NOX Annual Trading Program, to begin before the 
occurrence of an act or event shall be computed so that the period ends 
the day before the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period, 
under the CAIR NOX Annual Trading Program, falls on a weekend 
or a State or Federal holiday, the time period shall be extended to the 
next business day.



Sec.  96.108  Appeal procedures.

    The appeal procedures for decisions of the Administrator under the 
CAIR NOX Annual Trading Program are set forth in part 78 of 
this chapter.



     Subpart BB_CAIR Designated Representative for CAIR NOX Sources

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.110  Authorization and responsibilities of CAIR designated
representative.

    (a) Except as provided under Sec.  96.111, each CAIR NOX 
source, including all CAIR NOX units at the source, shall 
have one and only one CAIR designated representative, with regard to all 
matters under the CAIR NOX Annual Trading Program concerning 
the source or any CAIR NOX unit at the source.
    (b) The CAIR designated representative of the CAIR NOX 
source shall be selected by an agreement binding on the owners and 
operators of the source and all CAIR NOX units at the source 
and shall act in accordance with the certification statement in Sec.  
96.113(a)(4)(iv).
    (c) Upon receipt by the Administrator of a complete certificate of 
representation under Sec.  96.113, the CAIR designated representative of 
the source shall represent and, by his or her representations, actions, 
inactions, or submissions, legally bind each owner and operator of the 
CAIR NOX source represented and each CAIR NOX unit 
at the source in all matters pertaining to the CAIR NOX 
Annual Trading Program, notwithstanding any agreement between the CAIR 
designated representative and such owners and operators. The owners and 
operators shall be bound by any decision or order issued to the CAIR 
designated representative by the permitting authority, the 
Administrator, or a court regarding the source or unit.
    (d) No CAIR permit will be issued, no emissions data reports will be 
accepted, and no CAIR NOX Allowance Tracking System account 
will be established for a CAIR NOX unit at a source, until 
the Administrator has received a complete certificate of representation 
under Sec.  96.113 for a CAIR designated representative of the source 
and the CAIR NOX units at the source.
    (e)(1) Each submission under the CAIR NOX Annual Trading 
Program shall be submitted, signed, and certified by the CAIR designated 
representative for each CAIR NOX source on behalf of which 
the submission is made. Each such submission shall include the following 
certification statement by the CAIR designated representative: ``I am 
authorized to make

[[Page 964]]

this submission on behalf of the owners and operators of the source or 
units for which the submission is made. I certify under penalty of law 
that I have personally examined, and am familiar with, the statements 
and information submitted in this document and all its attachments. 
Based on my inquiry of those individuals with primary responsibility for 
obtaining the information, I certify that the statements and information 
are to the best of my knowledge and belief true, accurate, and complete. 
I am aware that there are significant penalties for submitting false 
statements and information or omitting required statements and 
information, including the possibility of fine or imprisonment.''
    (2) The permitting authority and the Administrator will accept or 
act on a submission made on behalf of owner or operators of a CAIR 
NOX source or a CAIR NOX unit only if the 
submission has been made, signed, and certified in accordance with 
paragraph (e)(1) of this section.



Sec.  96.111  Alternate CAIR designated representative.

    (a) A certificate of representation under Sec.  96.113 may designate 
one and only one alternate CAIR designated representative, who may act 
on behalf of the CAIR designated representative. The agreement by which 
the alternate CAIR designated representative is selected shall include a 
procedure for authorizing the alternate CAIR designated representative 
to act in lieu of the CAIR designated representative.
    (b) Upon receipt by the Administrator of a complete certificate of 
representation under Sec.  96.113, any representation, action, inaction, 
or submission by the alternate CAIR designated representative shall be 
deemed to be a representation, action, inaction, or submission by the 
CAIR designated representative.
    (c) Except in this section and Sec. Sec.  96.102, 96.110(a) and (d), 
96.112, 96.113, 96.115, 96.151, and 96.182, whenever the term ``CAIR 
designated representative'' is used in subparts AA through II of this 
part, the term shall be construed to include the CAIR designated 
representative or any alternate CAIR designated representative.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]



Sec.  96.112  Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.

    (a) Changing CAIR designated representative. The CAIR designated 
representative may be changed at any time upon receipt by the 
Administrator of a superseding complete certificate of representation 
under Sec.  96.113. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
CAIR designated representative before the time and date when the 
Administrator receives the superseding certificate of representation 
shall be binding on the new CAIR designated representative and the 
owners and operators of the CAIR NOX source and the CAIR 
NOX units at the source.
    (b) Changing alternate CAIR designated representative. The alternate 
CAIR designated representative may be changed at any time upon receipt 
by the Administrator of a superseding complete certificate of 
representation under Sec.  96.113. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
alternate CAIR designated representative before the time and date when 
the Administrator receives the superseding certificate of representation 
shall be binding on the new alternate CAIR designated representative and 
the owners and operators of the CAIR NOX source and the CAIR 
NOX units at the source.
    (c) Changes in owners and operators. (1) In the event an owner or 
operator of a CAIR NOX source or a CAIR NOX unit 
is not included in the list of owners and operators in the certificate 
of representation under Sec.  96.113, such owner or operator shall be 
deemed to be subject to and bound by the certificate of representation, 
the representations, actions, inactions, and submissions of the CAIR 
designated representative and any alternate CAIR designated 
representative of the source or unit, and the decisions and orders of 
the permitting authority, the Administrator, or a

[[Page 965]]

court, as if the owner or operator were included in such list.
    (2) Within 30 days following any change in the owners and operators 
of a CAIR NOX source or a CAIR NOX unit, including 
the addition of a new owner or operator, the CAIR designated 
representative or any alternate CAIR designated representative shall 
submit a revision to the certificate of representation under Sec.  
96.113 amending the list of owners and operators to include the change.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]



Sec.  96.113  Certificate of representation.

    (a) A complete certificate of representation for a CAIR designated 
representative or an alternate CAIR designated representative shall 
include the following elements in a format prescribed by the 
Administrator:
    (1) Identification of the CAIR NOX source, and each CAIR 
NOX unit at the source, for which the certificate of 
representation is submitted, including identification and nameplate 
capacity of each generator served by each such unit.
    (2) The name, address, e-mail address (if any), telephone number, 
and facsimile transmission number (if any) of the CAIR designated 
representative and any alternate CAIR designated representative.
    (3) A list of the owners and operators of the CAIR NOX 
source and of each CAIR NOX unit at the source.
    (4) The following certification statements by the CAIR designated 
representative and any alternate CAIR designated representative--
    (i) ``I certify that I was selected as the CAIR designated 
representative or alternate CAIR designated representative, as 
applicable, by an agreement binding on the owners and operators of the 
source and each CAIR NOX unit at the source.''
    (ii) ``I certify that I have all the necessary authority to carry 
out my duties and responsibilities under the CAIR NOX Annual 
Trading Program on behalf of the owners and operators of the source and 
of each CAIR NOX unit at the source and that each such owner 
and operator shall be fully bound by my representations, actions, 
inactions, or submissions.''
    (iii) ``I certify that the owners and operators of the source and of 
each CAIR NOX unit at the source shall be bound by any order 
issued to me by the Administrator, the permitting authority, or a court 
regarding the source or unit.''
    (iv) ``Where there are multiple holders of a legal or equitable 
title to, or a leasehold interest in, a CAIR NOX unit, or 
where a utility or industrial customer purchases power from a CAIR 
NOX unit under a life-of-the-unit, firm power contractual 
arrangement, I certify that: I have given a written notice of my 
selection as the `CAIR designated representative' or `alternate CAIR 
designated representative', as applicable, and of the agreement by which 
I was selected to each owner and operator of the source and of each CAIR 
NOX unit at the source; and CAIR NOX allowances 
and proceeds of transactions involving CAIR NOX allowances 
will be deemed to be held or distributed in proportion to each holder's 
legal, equitable, leasehold, or contractual reservation or entitlement, 
except that, if such multiple holders have expressly provided for a 
different distribution of CAIR NOX allowances by contract, 
CAIR NOX allowances and proceeds of transactions involving 
CAIR NOX allowances will be deemed to be held or distributed 
in accordance with the contract.''
    (5) The signature of the CAIR designated representative and any 
alternate CAIR designated representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the certificate of 
representation shall not be submitted to the permitting authority or the 
Administrator. Neither the permitting authority nor the Administrator 
shall be under any obligation to review or evaluate the sufficiency of 
such documents, if submitted.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25382, Apr. 28, 2006]

[[Page 966]]



Sec.  96.114  Objections concerning CAIR designated representative.

    (a) Once a complete certificate of representation under Sec.  96.113 
has been submitted and received, the permitting authority and the 
Administrator will rely on the certificate of representation unless and 
until a superseding complete certificate of representation under Sec.  
96.113 is received by the Administrator.
    (b) Except as provided in Sec.  96.112(a) or (b), no objection or 
other communication submitted to the permitting authority or the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission, of the CAIR designated representative 
shall affect any representation, action, inaction, or submission of the 
CAIR designated representative or the finality of any decision or order 
by the permitting authority or the Administrator under the CAIR 
NOX Annual Trading Program.
    (c) Neither the permitting authority nor the Administrator will 
adjudicate any private legal dispute concerning the authorization or any 
representation, action, inaction, or submission of any CAIR designated 
representative, including private legal disputes concerning the proceeds 
of CAIR NOX allowance transfers.



Sec.  96.115  Delegation by CAIR designated representative and alternate
CAIR designated representative.

    (a) A CAIR designated representative may delegate, to one or more 
natural persons, his or her authority to make an electronic submission 
to the Administrator provided for or required under this part.
    (b) An alternate CAIR designated representative may delegate, to one 
or more natural persons, his or her authority to make an electronic 
submission to the Administrator provided for or required under this 
part.
    (c) In order to delegate authority to make an electronic submission 
to the Administrator in accordance with paragraph (a) or (b) of this 
section, the CAIR designated representative or alternate CAIR designated 
representative, as appropriate, must submit to the Administrator a 
notice of delegation, in a format prescribed by the Administrator, that 
includes the following elements:
    (1) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of such CAIR designated 
representative or alternate CAIR designated representative;
    (2) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of each such natural person 
(referred to as an ``agent'');
    (3) For each such natural person, a list of the type or types of 
electronic submissions under paragraph (a) or (b) of this section for 
which authority is delegated to him or her; and
    (4) The following certification statements by such CAIR designated 
representative or alternate CAIR designated representative:
    (i) ``I agree that any electronic submission to the Administrator 
that is by an agent identified in this notice of delegation and of a 
type listed for such agent in this notice of delegation and that is made 
when I am a CAIR designated representative or alternate CAIR designated 
representative, as appropriate, and before this notice of delegation is 
superseded by another notice of delegation under 40 CFR 96.115(d) shall 
be deemed to be an electronic submission by me.''
    (ii) ``Until this notice of delegation is superseded by another 
notice of delegation under 40 CFR 96.115(d), I agree to maintain an e-
mail account and to notify the Administrator immediately of any change 
in my e-mail address unless all delegation of authority by me under 40 
CFR 96.115 is terminated.''
    (d) A notice of delegation submitted under paragraph (c) of this 
section shall be effective, with regard to the CAIR designated 
representative or alternate CAIR designated representative identified in 
such notice, upon receipt of such notice by the Administrator and until 
receipt by the Administrator of a superseding notice of delegation 
submitted by such CAIR designated representative or alternate CAIR 
designated representative, as appropriate. The superseding notice of 
delegation may replace any previously identified agent, add a new agent, 
or

[[Page 967]]

eliminate entirely any delegation of authority.
    (e) Any electronic submission covered by the certification in 
paragraph (c)(4)(i) of this section and made in accordance with a notice 
of delegation effective under paragraph (d) of this section shall be 
deemed to be an electronic submission by the CAIR designated 
representative or alternate CAIR designated representative submitting 
such notice of delegation.

[71 FR 25382, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006]



                           Subpart CC_Permits

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.120  General CAIR NOX Annual Trading Program permit requirements.

    (a) For each CAIR NOX source required to have a title V 
operating permit or required, under subpart II of this part, to have a 
title V operating permit or other federally enforceable permit, such 
permit shall include a CAIR permit administered by the permitting 
authority for the title V operating permit or the federally enforceable 
permit as applicable. The CAIR portion of the title V permit or other 
federally enforceable permit as applicable shall be administered in 
accordance with the permitting authority's title V operating permits 
regulations promulgated under part 70 or 71 of this chapter or the 
permitting authority's regulations for other federally enforceable 
permits as applicable, except as provided otherwise by Sec.  96.105, 
this subpart, and subpart II of this part.
    (b) Each CAIR permit shall contain, with regard to the CAIR 
NOX source and the CAIR NOX units at the source 
covered by the CAIR permit, all applicable CAIR NOX Annual 
Trading Program, CAIR NOX Ozone Season Trading Program, and 
CAIR SO2 Trading Program requirements and shall be a complete 
and separable portion of the title V operating permit or other federally 
enforceable permit under paragraph (a) of this section.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]



Sec.  96.121  Submission of CAIR permit applications.

    (a) Duty to apply. The CAIR designated representative of any CAIR 
NOX source required to have a title V operating permit shall 
submit to the permitting authority a complete CAIR permit application 
under Sec.  96.122 for the source covering each CAIR NOX unit 
at the source at least 18 months (or such lesser time provided by the 
permitting authority) before the later of January 1, 2009 or the date on 
which the CAIR NOX unit commences commercial operation, 
except as provided in Sec.  96.183(a).
    (b) Duty to Reapply. For a CAIR NOX source required to 
have a title V operating permit, the CAIR designated representative 
shall submit a complete CAIR permit application under Sec.  96.122 for 
the source covering each CAIR NOX unit at the source to renew 
the CAIR permit in accordance with the permitting authority's title V 
operating permits regulations addressing permit renewal, except as 
provided in Sec.  96.183(b).

[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]



Sec.  96.122  Information requirements for CAIR permit applications.

    A complete CAIR permit application shall include the following 
elements concerning the CAIR NOX source for which the 
application is submitted, in a format prescribed by the permitting 
authority:
    (a) Identification of the CAIR NOX source;
    (b) Identification of each CAIR NOX unit at the CAIR 
NOX source; and
    (c) The standard requirements under Sec.  96.106.



Sec.  96.123  CAIR permit contents and term.

    (a) Each CAIR permit will contain, in a format prescribed by the 
permitting authority, all elements required for a complete CAIR permit 
application under Sec.  96.122.
    (b) Each CAIR permit is deemed to incorporate automatically the 
definitions of terms under Sec.  96.102 and, upon recordation by the 
Administrator under subpart EE, FF, GG, or II of this part, every 
allocation, transfer, or deduction of a CAIR NOX allowance to 
or from the compliance account of the

[[Page 968]]

CAIR NOX source covered by the permit.
    (c) The term of the CAIR permit will be set by the permitting 
authority, as necessary to facilitate coordination of the renewal of the 
CAIR permit with issuance, revision, or renewal of the CAIR 
NOX source's title V operating permit or other federally 
enforceable permit as applicable.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]



Sec.  96.124  CAIR permit revisions.

    Except as provided in Sec.  96.123(b), the permitting authority will 
revise the CAIR permit, as necessary, in accordance with the permitting 
authority's title V operating permits regulations or the permitting 
authority's regulations for other federally enforceable permits as 
applicable addressing permit revisions.

Subpart DD [Reserved]



                Subpart EE_CAIR NOX Allowance Allocations

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.140  State trading budgets.

    The State trading budgets for annual allocations of CAIR 
NOX allowances for the control periods in 2009 through 2014 
and in 2015 and thereafter are respectively as follows:

------------------------------------------------------------------------
                                                          State trading
                                        State trading    budget for 2015
                State                 budget for 2009-   and thereafter
                                         2014 (tons)         (tons)
------------------------------------------------------------------------
Alabama.............................            69,020            57,517
Delaware............................             4,166             3,472
District of Columbia................               144               120
Florida.............................            99,445            82,871
Georgia.............................            66,321            55,268
Illinois............................            76,230            63,525
Indiana.............................           108,935            90,779
Iowa................................            32,692            27,243
Kentucky............................            83,205            69,337
Louisiana...........................            35,512            29,593
Maryland............................            27,724            23,104
Michigan............................            65,304            54,420
Minnesota...........................            31,443            26,203
Mississippi.........................            17,807            14,839
Missouri............................            59,871            49,892
New Jersey..........................            12,670            10,558
New York............................            45,617            38,014
North Carolina......................            62,183            51,819
Ohio................................           108,667            90,556
Pennsylvania........................            99,049            82,541
South Carolina......................            32,662            27,219
Tennessee...........................            50,973            42,478
Texas...............................           181,014           150,845
Virginia............................            36,074            30,062
West Virginia.......................            74,220            61,850
Wisconsin...........................            40,759            33,966
------------------------------------------------------------------------


[70 FR 25339, May 12, 2005, as amended at 71 FR 25302, Apr. 28, 2006]



Sec.  96.141  Timing requirements for CAIR NOX allowance allocations.

    (a) By October 31, 2006, the permitting authority will submit to the 
Administrator the CAIR NOX allowance allocations, in a format 
prescribed by the Administrator and in accordance with Sec.  96.142(a) 
and (b), for the control periods in 2009, 2010, 2011, 2012, 2013, and 
2014.
    (b) By October 31, 2009 and October 31 of each year thereafter, the 
permitting authority will submit to the Administrator the CAIR 
NOX allowance allocations, in a format prescribed by the 
Administrator and in accordance with Sec.  96.142(a) and (b), for the 
control period in the sixth year after the year of the applicable 
deadline for submission under this paragraph.
    (c) By October 31, 2009 and October 31 of each year thereafter, the 
permitting authority will submit to the Administrator the CAIR 
NOX allowance allocations, in a format prescribed by the 
Administrator and in accordance with Sec.  96.142(a), (c), and (d), for 
the control period in the year of the applicable deadline for submission 
under this paragraph.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]



Sec.  96.142  CAIR NOX allowance allocations.

    (a)(1) The baseline heat input (in mmBtu) used with respect to CAIR 
NOX allowance allocations under paragraph (b) of this section 
for each CAIR NOX unit will be:
    (i) For units commencing operation before January 1, 2001 the 
average of the 3 highest amounts of the unit's adjusted control period 
heat input for 2000 through 2004, with the adjusted

[[Page 969]]

control period heat input for each year calculated as follows:
    (A) If the unit is coal-fired during the year, the unit's control 
period heat input for such year is multiplied by 100 percent;
    (B) If the unit is oil-fired during the year, the unit's control 
period heat input for such year is multiplied by 60 percent; and
    (C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of 
this section, the unit's control period heat input for such year is 
multiplied by 40 percent.
    (ii) For units commencing operation on or after January 1, 2001 and 
operating each calendar year during a period of 5 or more consecutive 
calendar years, the average of the 3 highest amounts of the unit's total 
converted control period heat input over the first such 5 years.
    (2)(i) A unit's control period heat input, and a unit's status as 
coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i) 
of this section, and a unit's total tons of NOX emissions 
during a calendar year under paragraph (c)(3) of this section, will be 
determined in accordance with part 75 of this chapter, to the extent the 
unit was otherwise subject to the requirements of part 75 of this 
chapter for the year, or will be based on the best available data 
reported to the permitting authority for the unit, to the extent the 
unit was not otherwise subject to the requirements of part 75 of this 
chapter for the year.
    (ii) A unit's converted control period heat input for a calendar 
year specified under paragraph (a)(1)(ii) of this section equals:
    (A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this 
section, the control period gross electrical output of the generator or 
generators served by the unit multiplied by 7,900 Btu/kWh, if the unit 
is coal-fired for the year, or 6,675 Btu/kWh, if the unit is not coal-
fired for the year, and divided by 1,000,000 Btu/mmBtu, provided that if 
a generator is served by 2 or more units, then the gross electrical 
output of the generator will be attributed to each unit in proportion to 
the unit's share of the total control period heat input of such units 
for the year;
    (B) For a unit that is a boiler and has equipment used to produce 
electricity and useful thermal energy for industrial, commercial, 
heating, or cooling purposes through the sequential use of energy, the 
total heat energy (in Btu) of the steam produced by the boiler during 
the control period, divided by 0.8 and by 1,000,000 Btu/mmBtu; or
    (C) For a unit that is a combustion turbine and has equipment used 
to produce electricity and useful thermal energy for industrial, 
commercial, heating, or cooling purposes through the sequential use of 
energy, the control period gross electrical output of the enclosed 
device comprising the compressor, combustor, and turbine multiplied by 
3,413 Btu/kWh, plus the total heat energy (in Btu) of the steam produced 
by any associated heat recovery steam generator during the control 
period divided by 0.8, and with the sum divided by 1,000,000 Btu/mmBtu.
    (b)(1) For each control period in 2009 and thereafter, the 
permitting authority will allocate to all CAIR NOX units in 
the State that have a baseline heat input (as determined under paragraph 
(a) of this section) a total amount of CAIR NOX allowances 
equal to 95 percent for a control period during 2009 through 2014, and 
97 percent for a control period during 2015 and thereafter, of the tons 
of NOX emissions in the State trading budget under Sec.  
96.140 (except as provided in paragraph (d) of this section).
    (2) The permitting authority will allocate CAIR NOX 
allowances to each CAIR NOX unit under paragraph (b)(1) of 
this section in an amount determined by multiplying the total amount of 
CAIR NOX allowances allocated under paragraph (b)(1) of this 
section by the ratio of the baseline heat input of such CAIR 
NOX unit to the total amount of baseline heat input of all 
such CAIR NOX units in the State and rounding to the nearest 
whole allowance as appropriate.
    (c) For each control period in 2009 and thereafter, the permitting 
authority will allocate CAIR NOX allowances to CAIR 
NOX units in a State that are not allocated CAIR 
NOX allowances under paragraph (b) of this section because 
the units do not yet have a baseline heat input under paragraph (a) of

[[Page 970]]

this section or because the units have a baseline heat input but all 
CAIR NOX allowances available under paragraph (b) of this 
section for the control period are already allocated, in accordance with 
the following procedures:
    (1) The permitting authority will establish a separate new unit set-
aside for each control period. Each new unit set-aside will be allocated 
CAIR NOX allowances equal to 5 percent for a control period 
in 2009 through 2014, and 3 percent for a control period in 2015and 
thereafter, of the amount of tons of NOX emissions in the 
State trading budget under Sec.  96.140.
    (2) The CAIR designated representative of such a CAIR NOX 
unit may submit to the permitting authority a request, in a format 
specified by the permitting authority, to be allocated CAIR 
NOX allowances, starting with the later of the control period 
in 2009 or the first control period after the control period in which 
the CAIR NOX unit commences commercial operation and until 
the first control period for which the unit is allocated CAIR 
NOX allowances under paragraph (b) of this section. A 
separate CAIR NOX allowance allocation request for each 
control period for which CAIR NOX allowances are sought must 
be submitted on or before May 1 of such control period and after the 
date on which the CAIR NOX unit commences commercial 
operation.
    (3) In a CAIR NOX allowance allocation request under 
paragraph (c)(2) of this section, the CAIR designated representative may 
request for a control period CAIR NOX allowances in an amount 
not exceeding the CAIR NOX unit's total tons of 
NOX emissions during the calendar year immediately before 
such control period.
    (4) The permitting authority will review each CAIR NOX 
allowance allocation request under paragraph (c)(2) of this section and 
will allocate CAIR NOX allowances for each control period 
pursuant to such request as follows:
    (i) The permitting authority will accept an allowance allocation 
request only if the request meets, or is adjusted by the permitting 
authority as necessary to meet, the requirements of paragraphs (c)(2) 
and (3) of this section.
    (ii) On or after May 1 of the control period, the permitting 
authority will determine the sum of the CAIR NOX allowances 
requested (as adjusted under paragraph (c)(4)(i) of this section) in all 
allowance allocation requests accepted under paragraph (c)(4)(i) of this 
section for the control period.
    (iii) If the amount of CAIR NOX allowances in the new 
unit set-aside for the control period is greater than or equal to the 
sum under paragraph (c)(4)(ii) of this section, then the permitting 
authority will allocate the amount of CAIR NOX allowances 
requested (as adjusted under paragraph (c)(4)(i) of this section) to 
each CAIR NOX unit covered by an allowance allocation request 
accepted under paragraph (c)(4)(i) of this section.
    (iv) If the amount of CAIR NOX allowances in the new unit 
set-aside for the control period is less than the sum under paragraph 
(c)(4)(ii) of this section, then the permitting authority will allocate 
to each CAIR NOX unit covered by an allowance allocation 
request accepted under paragraph (c)(4)(i) of this section the amount of 
the CAIR NOX allowances requested (as adjusted under 
paragraph (c)(4)(i) of this section), multiplied by the amount of CAIR 
NOX allowances in the new unit set-aside for the control 
period, divided by the sum determined under paragraph (c)(4)(ii) of this 
section, and rounded to the nearest whole allowance as appropriate.
    (v) The permitting authority will notify each CAIR designated 
representative that submitted an allowance allocation request of the 
amount of CAIR NOX allowances (if any) allocated for the 
control period to the CAIR NOX unit covered by the request.
    (d) If, after completion of the procedures under paragraph (c)(4) of 
this section for a control period, any unallocated CAIR NOX 
allowances remain in the new unit set-aside for the control period, the 
permitting authority will allocate to each CAIR NOX unit that 
was allocated CAIR NOX allowances under paragraph (b) of this 
section an amount of CAIR NOX allowances equal to the total 
amount of such remaining unallocated CAIR NOX allowances, 
multiplied by the unit's allocation under paragraph (b) of this

[[Page 971]]

section, divided by 95 percent for a control period during 2009 through 
2014, and 97 percent for a control period during 2015 and thereafter, of 
the amount of tons of NOX emissions in the State trading 
budget under Sec.  96.140, and rounded to the nearest whole allowance as 
appropriate.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006]



Sec.  96.143  Compliance supplement pool.

    (a) In addition to the CAIR NOX allowances allocated 
under Sec.  96.142, the permitting authority may allocate for the 
control period in 2009 up to the following amount of CAIR NOX 
allowances to CAIR NOX units in the respective State:

------------------------------------------------------------------------
                                                              Compliance
                           State                              supplement
                                                                 pool
------------------------------------------------------------------------
Alabama....................................................       10,166
Delaware...................................................          843
District Of Columbia.......................................            0
Florida....................................................        8,335
Georgia....................................................       12,397
Illinois...................................................       11,299
Indiana....................................................       20,155
Iowa.......................................................        6,978
Kentucky...................................................       14,935
Louisiana..................................................        2,251
Maryland...................................................        4,670
Michigan...................................................        8,347
Minnesota..................................................        6,528
Mississippi................................................        3,066
Missouri...................................................        9,044
New Jersey.................................................          660
New York...................................................            0
North Carolina.............................................            0
Ohio.......................................................       25,037
Pennsylvania...............................................       16,009
South Carolina.............................................        2,600
Tennessee..................................................        8,944
Texas......................................................          772
Virginia...................................................        5,134
West Virginia..............................................       16,929
Wisconsin..................................................        4,898
------------------------------------------------------------------------

    (b) For any CAIR NOX unit in the State that achieves 
NOX emission reductions in 2007 and 2008 that are not 
necessary to comply with any State or federal emissions limitation 
applicable during such years, the CAIR designated representative of the 
unit may request early reduction credits, and allocation of CAIR 
NOX allowances from the compliance supplement pool under 
paragraph (a) of this section for such early reduction credits, in 
accordance with the following:
    (1) The owners and operators of such CAIR NOX unit shall 
monitor and report the NOX emissions rate and the heat input 
of the unit in accordance with subpart HH of this part in each control 
period for which early reduction credit is requested.
    (2) The CAIR designated representative of such CAIR NOX 
unit shall submit to the permitting authority by May 1, 2009 a request, 
in a format specified by the permitting authority, for allocation of an 
amount of CAIR NOX allowances from the compliance supplement 
pool not exceeding the sum of the amounts (in tons) of the unit's 
NOX emission reductions in 2007 and 2008 that are not 
necessary to comply with any State or federal emissions limitation 
applicable during such years, determined in accordance with subpart HH 
of this part.
    (c) For any CAIR NOX unit in the State whose compliance 
with the CAIR NOX emissions limitation for the control period 
in 2009 would create an undue risk to the reliability of electricity 
supply during such control period, the CAIR designated representative of 
the unit may request the allocation of CAIR NOX allowances 
from the compliance supplement pool under paragraph (a) of this section, 
in accordance with the following:
    (1) The CAIR designated representative of such CAIR NOX 
unit shall submit to the permitting authority by May 1, 2009 a request, 
in a format specified by the permitting authority, for allocation of an 
amount of CAIR NOX allowances from the compliance supplement 
pool not exceeding the minimum amount of CAIR NOX allowances 
necessary to remove such undue risk to the reliability of electricity 
supply.
    (2) In the request under paragraph (c)(1) of this section, the CAIR 
designated representative of such CAIR NOX unit shall 
demonstrate that, in the absence of allocation to the unit of the amount 
of CAIR NOX allowances requested, the unit's compliance with 
the CAIR NOX emissions limitation for the control period in 
2009 would create an undue risk to the reliability of electricity supply 
during such control period. This demonstration must include a showing 
that it would not be feasible for the owners and operators of the unit 
to:

[[Page 972]]

    (i) Obtain a sufficient amount of electricity from other electricity 
generation facilities, during the installation of control technology at 
the unit for compliance with the CAIR NOX emissions 
limitation, to prevent such undue risk; or
    (ii) Obtain under paragraphs (b) and (d) of this section, or 
otherwise obtain, a sufficient amount of CAIR NOX allowances 
to prevent such undue risk.
    (d) The permitting authority will review each request under 
paragraph (b) or (c) of this section submitted by May 1, 2009 and will 
allocate CAIR NOX allowances for the control period in 2009 
to CAIR NOX units in the State and covered by such request as 
follows:
    (1) Upon receipt of each such request, the permitting authority will 
make any necessary adjustments to the request to ensure that the amount 
of the CAIR NOX allowances requested meets the requirements 
of paragraph (b) or (c) of this section.
    (2) If the State's compliance supplement pool under paragraph (a) of 
this section has an amount of CAIR NOX allowances not less 
than the total amount of CAIR NOX allowances in all such 
requests (as adjusted under paragraph (d)(1) of this section), the 
permitting authority will allocate to each CAIR NOX unit 
covered by such requests the amount of CAIR NOX allowances 
requested (as adjusted under paragraph (d)(1) of this section).
    (3) If the State's compliance supplement pool under paragraph (a) of 
this section has a smaller amount of CAIR NOX allowances than 
the total amount of CAIR NOX allowances in all such requests 
(as adjusted under paragraph (d)(1) of this section), the permitting 
authority will allocate CAIR NOX allowances to each CAIR 
NOX unit covered by such requests according to the following 
formula and rounding to the nearest whole allowance as appropriate:

Unit's allocation = Unit's adjusted allocation x (State's compliance 
supplement pool / Total adjusted allocations for all units)

Where:

`Unit's allocation' is the amount of CAIR NOX allowances 
          allocated to the unit from the State's compliance supplement 
          pool. Unit's adjusted allocation'' is the amount of CAIR 
          NOX allowances requested for the unit under 
          paragraph (b) or (c) of this section, as adjusted under 
          paragraph (d)(1) of this section. ``State's compliance 
          supplement pool'' is the amount of CAIR NOX 
          allowances in the State's compliance supplement pool. ``Total 
          adjusted allocations for all units'' is the sum of the amounts 
          of allocations requested for all units under paragraph (b) or 
          (c) of this section, as adjusted under paragraph (d)(1) of 
          this section.

    (4) By November 30, 2009, the permitting authority will determine, 
and submit to the Administrator, the allocations under paragraph (d)(2) 
or (3)of this section.
    (5) By January 1, 2010, the Administrator will record the 
allocations under paragraph (d)(4) of this section.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25302, 25383, Apr. 28, 
2006; 71 FR 74794, Dec. 13, 2006]



              Subpart FF_CAIR NOX Allowance Tracking System

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.150  [Reserved]



Sec.  96.151  Establishment of accounts.

    (a) Compliance accounts. Except as provided in Sec.  96.184(e), upon 
receipt of a complete certificate of representation under Sec.  96.113, 
the Administrator will establish a compliance account for the CAIR 
NOX source for which the certificate of representation was 
submitted unless the source already has a compliance account.
    (b) General accounts--(1) Application for general account. (i) Any 
person may apply to open a general account for the purpose of holding 
and transferring CAIR NOX allowances. An application for a 
general account may designate one and only one CAIR authorized account 
representative and one and only one alternate CAIR authorized account 
representative who may act on behalf of the CAIR authorized account 
representative. The agreement by which the alternate CAIR authorized 
account representative is selected shall include a procedure for 
authorizing the alternate CAIR authorized account representative to act 
in lieu of the CAIR authorized account representative.

[[Page 973]]

    (ii) A complete application for a general account shall be submitted 
to the Administrator and shall include the following elements in a 
format prescribed by the Administrator:
    (A) Name, mailing address, e-mail address (if any), telephone 
number, and facsimile transmission number (if any) of the CAIR 
authorized account representative and any alternate CAIR authorized 
account representative;
    (B) Organization name and type of organization, if applicable;
    (C) A list of all persons subject to a binding agreement for the 
CAIR authorized account representative and any alternate CAIR authorized 
account representative to represent their ownership interest with 
respect to the CAIR NOX allowances held in the general 
account;
    (D) The following certification statement by the CAIR authorized 
account representative and any alternate CAIR authorized account 
representative: ``I certify that I was selected as the CAIR authorized 
account representative or the alternate CAIR authorized account 
representative, as applicable, by an agreement that is binding on all 
persons who have an ownership interest with respect to CAIR 
NOX allowances held in the general account. I certify that I 
have all the necessary authority to carry out my duties and 
responsibilities under the CAIR NOX Annual Trading Program on 
behalf of such persons and that each such person shall be fully bound by 
my representations, actions, inactions, or submissions and by any order 
or decision issued to me by the Administrator or a court regarding the 
general account.''
    (E) The signature of the CAIR authorized account representative and 
any alternate CAIR authorized account representative and the dates 
signed.
    (iii) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the application for 
a general account shall not be submitted to the permitting authority or 
the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.
    (2) Authorization of CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) Upon receipt by 
the Administrator of a complete application for a general account under 
paragraph (b)(1) of this section:
    (A) The Administrator will establish a general account for the 
person or persons for whom the application is submitted.
    (B) The CAIR authorized account representative and any alternate 
CAIR authorized account representative for the general account shall 
represent and, by his or her representations, actions, inactions, or 
submissions, legally bind each person who has an ownership interest with 
respect to CAIR NOX allowances held in the general account in 
all matters pertaining to the CAIR NOX Annual Trading 
Program, notwithstanding any agreement between the CAIR authorized 
account representative or any alternate CAIR authorized account 
representative and such person. Any such person shall be bound by any 
order or decision issued to the CAIR authorized account representative 
or any alternate CAIR authorized account representative by the 
Administrator or a court regarding the general account.
    (C) Any representation, action, inaction, or submission by any 
alternate CAIR authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the CAIR authorized 
account representative.
    (ii) Each submission concerning the general account shall be 
submitted, signed, and certified by the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
for the persons having an ownership interest with respect to CAIR 
NOX allowances held in the general account. Each such 
submission shall include the following certification statement by the 
CAIR authorized account representative or any alternate CAIR authorized 
account representative: ``I am authorized to make this submission on 
behalf of the persons having an ownership interest with respect to the 
CAIR NOX allowances held in the general account. I certify

[[Page 974]]

under penalty of law that I have personally examined, and am familiar 
with, the statements and information submitted in this document and all 
its attachments. Based on my inquiry of those individuals with primary 
responsibility for obtaining the information, I certify that the 
statements and information are to the best of my knowledge and belief 
true, accurate, and complete. I am aware that there are significant 
penalties for submitting false statements and information or omitting 
required statements and information, including the possibility of fine 
or imprisonment.''
    (iii) The Administrator will accept or act on a submission 
concerning the general account only if the submission has been made, 
signed, and certified in accordance with paragraph (b)(2)(ii) of this 
section.
    (3) Changing CAIR authorized account representative and alternate 
CAIR authorized account representative; changes in persons with 
ownership interest. (i) The CAIR authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous CAIR authorized account representative before the time and date 
when the Administrator receives the superseding application for a 
general account shall be binding on the new CAIR authorized account 
representative and the persons with an ownership interest with respect 
to the CAIR NOX allowances in the general account.
    (ii) The alternate CAIR authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous alternate CAIR authorized account representative before the 
time and date when the Administrator receives the superseding 
application for a general account shall be binding on the new alternate 
CAIR authorized account representative and the persons with an ownership 
interest with respect to the CAIR NOX allowances in the 
general account.
    (iii)(A) In the event a person having an ownership interest with 
respect to CAIR NOX allowances in the general account is not 
included in the list of such persons in the application for a general 
account, such person shall be deemed to be subject to and bound by the 
application for a general account, the representation, actions, 
inactions, and submissions of the CAIR authorized account representative 
and any alternate CAIR authorized account representative of the account, 
and the decisions and orders of the Administrator or a court, as if the 
person were included in such list.
    (B) Within 30 days following any change in the persons having an 
ownership interest with respect to CAIR NOX allowances in the 
general account, including the addition of a new person, the CAIR 
authorized account representative or any alternate CAIR authorized 
account representative shall submit a revision to the application for a 
general account amending the list of persons having an ownership 
interest with respect to the CAIR NOX allowances in the 
general account to include the change.
    (4) Objections concerning CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) Once a complete 
application for a general account under paragraph (b)(1) of this section 
has been submitted and received, the Administrator will rely on the 
application unless and until a superseding complete application for a 
general account under paragraph (b)(1) of this section is received by 
the Administrator.
    (ii) Except as provided in paragraph (b)(3)(i) or (ii) of this 
section, no objection or other communication submitted to the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
for a general account shall affect any representation, action, inaction, 
or submission of the CAIR authorized account representative or any 
alternate

[[Page 975]]

CAIR authorized account representative or the finality of any decision 
or order by the Administrator under the CAIR NOX Annual 
Trading Program.
    (iii) The Administrator will not adjudicate any private legal 
dispute concerning the authorization or any representation, action, 
inaction, or submission of the CAIR authorized account representative or 
any alternate CAIR authorized account representative for a general 
account, including private legal disputes concerning the proceeds of 
CAIR NOX allowance transfers.
    (5) Delegation by CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) A CAIR authorized 
account representative may delegate, to one or more natural persons, his 
or her authority to make an electronic submission to the Administrator 
provided for or required under subparts FF and GG of this part.
    (ii) An alternate CAIR authorized account representative may 
delegate, to one or more natural persons, his or her authority to make 
an electronic submission to the Administrator provided for or required 
under subparts FF and GG of this part.
    (iii) In order to delegate authority to make an electronic 
submission to the Administrator in accordance with paragraph (b)(5)(i) 
or (ii) of this section, the CAIR authorized account representative or 
alternate CAIR authorized account representative, as appropriate, must 
submit to the Administrator a notice of delegation, in a format 
prescribed by the Administrator, that includes the following elements:
    (A) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of such CAIR authorized account 
representative or alternate CAIR authorized account representative;
    (B) The name, address, e-mail address, telephone number, and, 
facsimile transmission number (if any) of each such natural person 
(referred to as an ``agent'');
    (C) For each such natural person, a list of the type or types of 
electronic submissions under paragraph (b)(5)(i) or (ii) of this section 
for which authority is delegated to him or her;
    (D) The following certification statement by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative: ``I agree that any electronic submission to the 
Administrator that is by an agent identified in this notice of 
delegation and of a type listed for such agent in this notice of 
delegation and that is made when I am a CAIR authorized account 
representative or alternate CAIR authorized representative, as 
appropriate, and before this notice of delegation is superseded by 
another notice of delegation under 40 CFR 96.151(b)(5)(iv) shall be 
deemed to be an electronic submission by me.''; and
    (E) The following certification statement by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative: ``Until this notice of delegation is superseded by 
another notice of delegation under 40 CFR 96.151 (b)(5)(iv), I agree to 
maintain an e-mail account and to notify the Administrator immediately 
of any change in my e-mail address unless all delegation of authority by 
me under 40 CFR 96.151 (b)(5) is terminated.''
    (iv) A notice of delegation submitted under paragraph (b)(5)(iii) of 
this section shall be effective, with regard to the CAIR authorized 
account representative or alternate CAIR authorized account 
representative identified in such notice, upon receipt of such notice by 
the Administrator and until receipt by the Administrator of a 
superseding notice of delegation submitted by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative, as appropriate. The superseding notice of delegation may 
replace any previously identified agent, add a new agent, or eliminate 
entirely any delegation of authority.
    (v) Any electronic submission covered by the certification in 
paragraph (b)(5)(iii)(D) of this section and made in accordance with a 
notice of delegation effective under paragraph (b)(5)(iv) of this 
section shall be deemed to be an electronic submission by the CAIR 
designated representative or alternate CAIR designated representative 
submitting such notice of delegation.

[[Page 976]]

    (c) Account identification. The Administrator will assign a unique 
identifying number to each account established under paragraph (a) or 
(b) of this section.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25383, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.152  Responsibilities of CAIR authorized account representative.

    Following the establishment of a CAIR NOX Allowance 
Tracking System account, all submissions to the Administrator pertaining 
to the account, including, but not limited to, submissions concerning 
the deduction or transfer of CAIR NOX allowances in the 
account, shall be made only by the CAIR authorized account 
representative for the account.



Sec.  96.153  Recordation of CAIR NOX allowance allocations.

    (a) By September 30, 2007, the Administrator will record in the CAIR 
NOX source's compliance account the CAIR NOX 
allowances allocated for the CAIR NOX units at the source, as 
submitted by the permitting authority in accordance with Sec.  
96.141(a), for the control periods in 2009, 2010, 2011, 2012, 2013, and 
2014.
    (b) By December 1, 2009, the Administrator will record in the CAIR 
NOX source's compliance account the CAIR NOX 
allowances allocated for the CAIR NOX units at the source, as 
submitted by the permitting authority in accordance with Sec.  
96.141(b), for the control period in 2015.
    (c) By December 1, 2009 and December 1 of each year thereafter, the 
Administrator will record in the CAIR NOX source's compliance 
account the CAIR NOX allowances allocated for the CAIR 
NOX units at the source, as submitted by the permitting 
authority in accordance with Sec.  96.141(b), for the control period in 
the sixth year after the year of the applicable deadline for recordation 
under this paragraph.
    (d) By December 1, 2009 and December 1 of each year thereafter, the 
Administrator will record in the CAIR NOX source's compliance 
account the CAIR NOX allowances allocated for the CAIR 
NOX units at the source, as submitted by the permitting 
authority or determined by the Administrator in accordance with Sec.  
96.141(c), for the control period in the year of the applicable deadline 
for recordation under this paragraph.
    (e) Serial numbers for allocated CAIR NOX allowances. When recording 
the allocation of CAIR NOX allowances for a CAIR 
NOX unit in a compliance account, the Administrator will 
assign each CAIR NOX allowance a unique identification number 
that will include digits identifying the year of the control period for 
which the CAIR NOX allowance is allocated.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]

    Editorial Note: At 71 FR 25384, Apr. 28, 2006, Sec.  196.153 was 
amended; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



Sec.  96.154  Compliance with CAIR NOX emissions limitation.

    (a) Allowance transfer deadline. The CAIR NOX allowances 
are available to be deducted for compliance with a source's CAIR 
NOX emissions limitation for a control period in a given 
calendar year only if the CAIR NOX allowances:
    (1) Were allocated for the control period in the year or a prior 
year; and
    (2) Are held in the compliance account as of the allowance transfer 
deadline for the control period or are transferred into the compliance 
account by a CAIR NOX allowance transfer correctly submitted 
for recordation under Sec. Sec.  96.160 and 96.161 by the allowance 
transfer deadline for the control period.
    (b) Deductions for compliance. Following the recordation, in 
accordance with Sec.  96.161, of CAIR NOX allowance transfers 
submitted for recordation in a source's compliance account by the 
allowance transfer deadline for a control period, the Administrator will 
deduct from the compliance account CAIR NOX allowances 
available under paragraph (a) of this section in order to determine 
whether the source meets the CAIR NOX emissions limitation 
for the control period, as follows:
    (1) Until the amount of CAIR NOX allowances deducted 
equals the number of tons of total nitrogen oxides emissions, determined 
in accordance with

[[Page 977]]

subpart HH of this part, from all CAIR NOX units at the 
source for the control period; or
    (2) If there are insufficient CAIR NOX allowances to 
complete the deductions in paragraph (b)(1) of this section, until no 
more CAIR NOX allowances available under paragraph (a) of 
this section remain in the compliance account.
    (c)(1) Identification of CAIR NOX allowances by serial number. The 
CAIR authorized account representative for a source's compliance account 
may request that specific CAIR NOX allowances, identified by 
serial number, in the compliance account be deducted for emissions or 
excess emissions for a control period in accordance with paragraph (b) 
or (d) of this section. Such request shall be submitted to the 
Administrator by the allowance transfer deadline for the control period 
and include, in a format prescribed by the Administrator, the 
identification of the CAIR NOX source and the appropriate 
serial numbers.
    (2) First-in, first-out. The Administrator will deduct CAIR 
NOX allowances under paragraph (b) or (d) of this section 
from the source's compliance account, in the absence of an 
identification or in the case of a partial identification of CAIR 
NOX allowances by serial number under paragraph (c)(1) of 
this section, on a first-in, first-out (FIFO) accounting basis in the 
following order:
    (i) Any CAIR NOX allowances that were allocated to the 
units at the source, in the order of recordation; and then
    (ii) Any CAIR NOX allowances that were allocated to any 
entity and transferred and recorded in the compliance account pursuant 
to subpart GG of this part, in the order of recordation.
    (d) Deductions for excess emissions. (1) After making the deductions 
for compliance under paragraph (b) of this section for a control period 
in a calendar year in which the CAIR NOX source has excess 
emissions, the Administrator will deduct from the source's compliance 
account an amount of CAIR NOX allowances, allocated for the 
control period in the immediately following calendar year, equal to 3 
times the number of tons of the source's excess emissions.
    (2) Any allowance deduction required under paragraph (d)(1) of this 
section shall not affect the liability of the owners and operators of 
the CAIR NOX source or the CAIR NOX units at the 
source for any fine, penalty, or assessment, or their obligation to 
comply with any other remedy, for the same violations, as ordered under 
the Clean Air Act or applicable State law.
    (e) Recordation of deductions. The Administrator will record in the 
appropriate compliance account all deductions from such an account under 
paragraphs (b) and (d) of this section and subpart II.
    (f) Administrator's action on submissions. (1) The Administrator may 
review and conduct independent audits concerning any submission under 
the CAIR NOX Annual Trading Program and make appropriate 
adjustments of the information in the submissions.
    (2) The Administrator may deduct CAIR NOX allowances from 
or transfer CAIR NOX allowances to a source's compliance 
account based on the information in the submissions, as adjusted under 
paragraph (f)(1) of this section, and record such deductions and 
transfers.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]



Sec.  96.155  Banking.

    (a) CAIR NOX allowances may be banked for future use or 
transfer in a compliance account or a general account in accordance with 
paragraph (b) of this section.
    (b) Any CAIR NOX allowance that is held in a compliance 
account or a general account will remain in such account unless and 
until the CAIR NOX allowance is deducted or transferred under 
Sec.  96.154, Sec.  96.156, or subpart GG or II of this part.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]



Sec.  96.156  Account error.

    The Administrator may, at his or her sole discretion and on his or 
her own motion, correct any error in any CAIR NOX Allowance 
Tracking System account. Within 10 business days of making such 
correction, the Administrator

[[Page 978]]

will notify the CAIR authorized account representative for the account.



Sec.  96.157  Closing of general accounts.

    (a) The CAIR authorized account representative of a general account 
may submit to the Administrator a request to close the account, which 
shall include a correctly submitted allowance transfer under Sec. Sec.  
96.160 and 96.161 for any CAIR NOX allowances in the account 
to one or more other CAIR NOX Allowance Tracking System 
accounts.
    (b) If a general account has no allowance transfers in or out of the 
account for a 12-month period or longer and does not contain any CAIR 
NOX allowances, the Administrator may notify the CAIR 
authorized account representative for the account that the account will 
be closed following 20 business days after the notice is sent. The 
account will be closed after the 20-day period unless, before the end of 
the 20-day period, the Administrator receives a correctly submitted 
transfer of CAIR NOX allowances into the account under 
Sec. Sec.  96.160 and 96.161 or a statement submitted by the CAIR 
authorized account representative demonstrating to the satisfaction of 
the Administrator good cause as to why the account should not be closed.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]



                 Subpart GG_CAIR NOX Allowance Transfers

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.160  Submission of CAIR NOX allowance transfers.

    A CAIR authorized account representative seeking recordation of a 
CAIR NOX allowance transfer shall submit the transfer to the 
Administrator. To be considered correctly submitted, the CAIR 
NOX allowance transfer shall include the following elements, 
in a format specified by the Administrator:
    (a) The account numbers for both the transferor and transferee 
accounts;
    (b) The serial number of each CAIR NOX allowance that is 
in the transferor account and is to be transferred; and
    (c) The name and signature of the CAIR authorized account 
representative of the transferor account and the date signed.



Sec.  96.161  EPA recordation.

    (a) Within 5 business days (except as provided in paragraph (b) of 
this section) of receiving a CAIR NOX allowance transfer, the 
Administrator will record a CAIR NOX allowance transfer by 
moving each CAIR NOX allowance from the transferor account to 
the transferee account as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec.  96.160; and
    (2) The transferor account includes each CAIR NOX 
allowance identified by serial number in the transfer.
    (b) A CAIR NOX allowance transfer that is submitted for 
recordation after the allowance transfer deadline for a control period 
and that includes any CAIR NOX allowances allocated for any 
control period before such allowance transfer deadline will not be 
recorded until after the Administrator completes the deductions under 
Sec.  96.154 for the control period immediately before such allowance 
transfer deadline.
    (c) Where a CAIR NOX allowance transfer submitted for 
recordation fails to meet the requirements of paragraph (a) of this 
section, the Administrator will not record such transfer.



Sec.  96.162  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a CAIR NOX allowance transfer under Sec.  
96.161, the Administrator will notify the CAIR authorized account 
representatives of both the transferor and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of 
receipt of a CAIR NOX allowance transfer that fails to meet 
the requirements of Sec.  96.161(a), the Administrator will notify the 
CAIR authorized account representatives of both accounts subject to the 
transfer of:
    (1) A decision not to record the transfer, and
    (2) The reasons for such non-recordation.

[[Page 979]]

    (c) Nothing in this section shall preclude the submission of a CAIR 
NOX allowance transfer for recordation following notification 
of non-recordation.



                   Subpart HH_Monitoring and Reporting

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.170  General requirements.

    The owners and operators, and to the extent applicable, the CAIR 
designated representative, of a CAIR NOX unit, shall comply 
with the monitoring, recordkeeping, and reporting requirements as 
provided in this subpart and in subpart H of part 75 of this chapter. 
For purposes of complying with such requirements, the definitions in 
Sec.  96.102 and in Sec.  72.2 of this chapter shall apply, and the 
terms ``affected unit,'' ``designated representative,'' and ``continuous 
emission monitoring system'' (or ``CEMS'') in part 75 of this chapter 
shall be deemed to refer to the terms ``CAIR NOX unit,'' 
``CAIR designated representative,'' and ``continuous emission monitoring 
system'' (or ``CEMS'') respectively, as defined in Sec.  96.102. The 
owner or operator of a unit that is not a CAIR NOX unit but 
that is monitored under Sec.  75.72(b)(2)(ii) of this chapter shall 
comply with the same monitoring, recordkeeping, and reporting 
requirements as a CAIR NOX unit.
    (a) Requirements for installation, certification, and data 
accounting. The owner or operator of each CAIR NOX unit 
shall:
    (1) Install all monitoring systems required under this subpart for 
monitoring NOX mass emissions and individual unit heat input 
(including all systems required to monitor NOX emission rate, 
NOX concentration, stack gas moisture content, stack gas flow 
rate, CO2 or O2 concentration, and fuel flow rate, 
as applicable, in accordance with Sec. Sec.  75.71 and 75.72 of this 
chapter);
    (2) Successfully complete all certification tests required under 
Sec.  96.171 and meet all other requirements of this subpart and part 75 
of this chapter applicable to the monitoring systems under paragraph 
(a)(1) of this section; and
    (3) Record, report, and quality-assure the data from the monitoring 
systems under paragraph (a)(1) of this section.
    (b) Compliance deadlines. Except as provided in paragraph (e) of 
this section, the owner or operator shall meet the monitoring system 
certification and other requirements of paragraphs (a)(1) and (2) of 
this section on or before the following dates. The owner or operator 
shall record, report, and quality-assure the data from the monitoring 
systems under paragraph (a)(1) of this section on and after the 
following dates.
    (1) For the owner or operator of a CAIR NOX unit that 
commences commercial operation before July 1, 2007, by January 1, 2008.
    (2) For the owner or operator of a CAIR NOX unit that 
commences commercial operation on or after July 1, 2007, by the later of 
the following dates:
    (i) January 1, 2008; or
    (ii) 90 unit operating days or 180 calendar days, whichever occurs 
first, after the date on which the unit commences commercial operation.
    (3) For the owner or operator of a CAIR NOX unit for 
which construction of a new stack or flue or installation of add-on 
NOX emission controls is completed after the applicable 
deadline under paragraph (b)(1), (2), (4), or (5) of this section, by 90 
unit operating days or 180 calendar days, whichever occurs first, after 
the date on which emissions first exit to the atmosphere through the new 
stack or flue or add-on NOX emissions controls.
    (4) Notwithstanding the dates in paragraphs (b)(1) and (2) of this 
section, for the owner or operator of a unit for which a CAIR opt-in 
permit application is submitted and not withdrawn and a CAIR opt-in 
permit is not yet issued or denied under subpart II of this part, by the 
date specified in Sec.  96.184(b).
    (5) Notwithstanding the dates in paragraphs (b)(1) and (2) of this 
section, for the owner or operator of a CAIR NOX opt-in unit 
under subpart II of this part, by the date on which the CAIR 
NOX opt-in unit enters the CAIR NOX Annual Trading 
Program as provided in Sec.  96.184(g).
    (c) Reporting data. The owner or operator of a CAIR NOX 
unit that does not

[[Page 980]]

meet the applicable compliance date set forth in paragraph (b) of this 
section for any monitoring system under paragraph (a)(1) of this section 
shall, for each such monitoring system, determine, record, and report 
maximum potential (or, as appropriate, minimum potential) values for 
NOX concentration, NOX emission rate, stack gas 
flow rate, stack gas moisture content, fuel flow rate, and any other 
parameters required to determine NOX mass emissions and heat 
input in accordance with Sec.  75.31(b)(2) or (c)(3) of this chapter, 
section 2.4 of appendix D to part 75 of this chapter, or section 2.5 of 
appendix E to part 75 of this chapter, as applicable.
    (d) Prohibitions. (1) No owner or operator of a CAIR NOX 
unit shall use any alternative monitoring system, alternative reference 
method, or any other alternative to any requirement of this subpart 
without having obtained prior written approval in accordance with Sec.  
96.175.
    (2) No owner or operator of a CAIR NOX unit shall operate 
the unit so as to discharge, or allow to be discharged, NOX 
emissions to the atmosphere without accounting for all such emissions in 
accordance with the applicable provisions of this subpart and part 75 of 
this chapter.
    (3) No owner or operator of a CAIR NOX unit shall disrupt 
the continuous emission monitoring system, any portion thereof, or any 
other approved emission monitoring method, and thereby avoid monitoring 
and recording NOX mass emissions discharged into the 
atmosphere or heat input, except for periods of recertification or 
periods when calibration, quality assurance testing, or maintenance is 
performed in accordance with the applicable provisions of this subpart 
and part 75 of this chapter.
    (4) No owner or operator of a CAIR NOX unit shall retire 
or permanently discontinue use of the continuous emission monitoring 
system, any component thereof, or any other approved monitoring system 
under this subpart, except under any one of the following circumstances:
    (i) During the period that the unit is covered by an exemption under 
Sec.  96.105 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit 
with another certified monitoring system approved, in accordance with 
the applicable provisions of this subpart and part 75 of this chapter, 
by the permitting authority for use at that unit that provides emission 
data for the same pollutant or parameter as the retired or discontinued 
monitoring system; or
    (iii) The CAIR designated representative submits notification of the 
date of certification testing of a replacement monitoring system for the 
retired or discontinued monitoring system in accordance with Sec.  
96.171(d)(3)(i).
    (e) Long-term cold storage. The owner or operator of a CAIR 
NOX unit is subject to the applicable provisions of part 75 
of this chapter concerning units in long-term cold storage.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25384, Apr. 28, 2006]



Sec.  96.171  Initial certification and recertification procedures.

    (a) The owner or operator of a CAIR NOX unit shall be 
exempt from the initial certification requirements of this section for a 
monitoring system under Sec.  96.170(a)(1) if the following conditions 
are met:
    (1) The monitoring system has been previously certified in 
accordance with part 75 of this chapter; and
    (2) The applicable quality-assurance and quality-control 
requirements of Sec.  75.21 of this chapter and appendix B, appendix D, 
and appendix E to part 75 of this chapter are fully met for the 
certified monitoring system described in paragraph (a)(1) of this 
section.
    (b) The recertification provisions of this section shall apply to a 
monitoring system under Sec.  96.170(a)(1) exempt from initial 
certification requirements under paragraph (a) of this section.
    (c) If the Administrator has previously approved a petition under 
Sec.  75.17(a) or (b) of this chapter for apportioning the 
NOX emission rate measured in a common stack or a petition 
under Sec.  75.66 of this chapter for an alternative to a requirement in 
Sec.  75.12 or Sec.  75.17 of this chapter, the CAIR designated 
representative shall resubmit the petition to the Administrator under 
Sec.  96.175(a) to determine whether

[[Page 981]]

the approval applies under the CAIR NOX Annual Trading 
Program.
    (d) Except as provided in paragraph (a) of this section, the owner 
or operator of a CAIR NOX unit shall comply with the 
following initial certification and recertification procedures for a 
continuous monitoring system (i.e., a continuous emission monitoring 
system and an excepted monitoring system under appendices D and E to 
part 75 of this chapter) under Sec.  96.170(a)(1). The owner or operator 
of a unit that qualifies to use the low mass emissions excepted 
monitoring methodology under Sec.  75.19 of this chapter or that 
qualifies to use an alternative monitoring system under subpart E of 
part 75 of this chapter shall comply with the procedures in paragraph 
(e) or (f) of this section respectively.
    (1) Requirements for initial certification. The owner or operator 
shall ensure that each continuous monitoring system under Sec.  
96.170(a)(1)(including the automated data acquisition and handling 
system) successfully completes all of the initial certification testing 
required under Sec.  75.20 of this chapter by the applicable deadline in 
Sec.  96.170(b). In addition, whenever the owner or operator installs a 
monitoring system to meet the requirements of this subpart in a location 
where no such monitoring system was previously installed, initial 
certification in accordance with Sec.  75.20 of this chapter is 
required.
    (2) Requirements for recertification. Whenever the owner or operator 
makes a replacement, modification, or change in any certified continuous 
emission monitoring system under Sec.  96.170(a)(1) that may 
significantly affect the ability of the system to accurately measure or 
record NOX mass emissions or heat input rate or to meet the 
quality-assurance and quality-control requirements of Sec.  75.21 of 
this chapter or appendix B to part 75 of this chapter, the owner or 
operator shall recertify the monitoring system in accordance with Sec.  
75.20(b) of this chapter. Furthermore, whenever the owner or operator 
makes a replacement, modification, or change to the flue gas handling 
system or the unit's operation that may significantly change the stack 
flow or concentration profile, the owner or operator shall recertify 
each continuous emission monitoring system whose accuracy is potentially 
affected by the change, in accordance with Sec.  75.20(b) of this 
chapter. Examples of changes to a continuous emission monitoring system 
that require recertification include replacement of the analyzer, 
complete replacement of an existing continuous emission monitoring 
system, or change in location or orientation of the sampling probe or 
site. Any fuel flowmeter system, and any excepted NOX 
monitoring system under appendix E to part 75 of this chapter, under 
Sec.  96.170(a)(1) are subject to the recertification requirements in 
Sec.  75.20(g)(6) of this chapter.
    (3) Approval process for initial certification and recertification. 
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial 
certification and recertification of a continuous monitoring system 
under Sec.  96.170(a)(1). For recertifications, replace the words 
``certification'' and ``initial certification'' with the word 
``recertification'', replace the word ``certified'' with the word 
``recertified,'' and follow the procedures in Sec. Sec.  75.20(b)(5) and 
(g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v) 
of this section.
    (i) Notification of certification. The CAIR designated 
representative shall submit to the permitting authority, the appropriate 
EPA Regional Office, and the Administrator written notice of the dates 
of certification testing, in accordance with Sec.  96.173.
    (ii) Certification application. The CAIR designated representative 
shall submit to the permitting authority a certification application for 
each monitoring system. A complete certification application shall 
include the information specified in Sec.  75.63 of this chapter.
    (iii) Provisional certification date. The provisional certification 
date for a monitoring system shall be determined in accordance with 
Sec.  75.20(a)(3) of this chapter. A provisionally certified monitoring 
system may be used under the CAIR NOX Annual Trading Program 
for a period not to exceed 120 days after receipt by the permitting 
authority of the complete certification application for the monitoring 
system under paragraph (d)(3)(ii) of this section. Data measured and 
recorded by the provisionally certified monitoring system,

[[Page 982]]

in accordance with the requirements of part 75 of this chapter, will be 
considered valid quality-assured data (retroactive to the date and time 
of provisional certification), provided that the permitting authority 
does not invalidate the provisional certification by issuing a notice of 
disapproval within 120 days of the date of receipt of the complete 
certification application by the permitting authority.
    (iv) Certification application approval process. The permitting 
authority will issue a written notice of approval or disapproval of the 
certification application to the owner or operator within 120 days of 
receipt of the complete certification application under paragraph 
(d)(3)(ii) of this section. In the event the permitting authority does 
not issue such a notice within such 120-day period, each monitoring 
system that meets the applicable performance requirements of part 75 of 
this chapter and is included in the certification application will be 
deemed certified for use under the CAIR NOX Annual Trading 
Program.
    (A) Approval notice. If the certification application is complete 
and shows that each monitoring system meets the applicable performance 
requirements of part 75 of this chapter, then the permitting authority 
will issue a written notice of approval of the certification application 
within 120 days of receipt.
    (B) Incomplete application notice. If the certification application 
is not complete, then the permitting authority will issue a written 
notice of incompleteness that sets a reasonable date by which the CAIR 
designated representative must submit the additional information 
required to complete the certification application. If the CAIR 
designated representative does not comply with the notice of 
incompleteness by the specified date, then the permitting authority may 
issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this 
section. The 120-day review period shall not begin before receipt of a 
complete certification application.
    (C) Disapproval notice. If the certification application shows that 
any monitoring system does not meet the performance requirements of part 
75 of this chapter or if the certification application is incomplete and 
the requirement for disapproval under paragraph (d)(3)(iv)(B) of this 
section is met, then the permitting authority will issue a written 
notice of disapproval of the certification application. Upon issuance of 
such notice of disapproval, the provisional certification is invalidated 
by the permitting authority and the data measured and recorded by each 
uncertified monitoring system shall not be considered valid quality-
assured data beginning with the date and hour of provisional 
certification (as defined under Sec.  75.20(a)(3) of this chapter). The 
owner or operator shall follow the procedures for loss of certification 
in paragraph (d)(3)(v) of this section for each monitoring system that 
is disapproved for initial certification.
    (D) Audit decertification. The permitting authority or, for a CAIR 
NOX opt-in unit or a unit for which a CAIR opt-in permit 
application is submitted and not withdrawn and a CAIR opt-in permit is 
not yet issued or denied under subpart II of this part, the 
Administrator may issue a notice of disapproval of the certification 
status of a monitor in accordance with Sec.  96.172(b).
    (v) Procedures for loss of certification. If the permitting 
authority or the Administrator issues a notice of disapproval of a 
certification application under paragraph (d)(3)(iv)(C) of this section 
or a notice of disapproval of certification status under paragraph 
(d)(3)(iv)(D) of this section, then:
    (A) The owner or operator shall substitute the following values, for 
each disapproved monitoring system, for each hour of unit operation 
during the period of invalid data specified under Sec.  
75.20(a)(4)(iii), Sec.  75.20(g)(7), or Sec.  75.21(e) of this chapter 
and continuing until the applicable date and hour specified under Sec.  
75.20(a)(5)(i) or (g)(7) of this chapter:
    (1) For a disapproved NOX emission rate (i.e., 
NOX-diluent) system, the maximum potential NOX 
emission rate, as defined in Sec.  72.2 of this chapter.
    (2) For a disapproved NOX pollutant concentration monitor 
and disapproved flow monitor, respectively, the maximum potential 
concentration of NOX and the maximum potential flow rate,

[[Page 983]]

as defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of 
this chapter.
    (3) For a disapproved moisture monitoring system and disapproved 
diluent gas monitoring system, respectively, the minimum potential 
moisture percentage and either the maximum potential CO2 
concentration or the minimum potential O2 concentration (as 
applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of 
appendix A to part 75 of this chapter.
    (4) For a disapproved fuel flowmeter system, the maximum potential 
fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 
of this chapter.
    (5) For a disapproved excepted NOX monitoring system 
under appendix E to part 75 of this chapter, the fuel-specific maximum 
potential NOX emission rate, as defined in Sec.  72.2 of this 
chapter.
    (B) The CAIR designated representative shall submit a notification 
of certification retest dates and a new certification application in 
accordance with paragraphs (d)(3)(i) and (ii) of this section.
    (C) The owner or operator shall repeat all certification tests or 
other requirements that were failed by the monitoring system, as 
indicated in the permitting authority's or the Administrator's notice of 
disapproval, no later than 30 unit operating days after the date of 
issuance of the notice of disapproval.
    (e) Initial certification and recertification procedures for units 
using the low mass emission excepted methodology under Sec.  75.19 of 
this chapter. The owner or operator of a unit qualified to use the low 
mass emissions (LME) excepted methodology under Sec.  75.19 of this 
chapter shall meet the applicable certification and recertification 
requirements in Sec. Sec.  75.19(a)(2) and 75.20(h) of this chapter. If 
the owner or operator of such a unit elects to certify a fuel flowmeter 
system for heat input determination, the owner or operator shall also 
meet the certification and recertification requirements in Sec.  
75.20(g) of this chapter.
    (f) Certification/recertification procedures for alternative 
monitoring systems. The CAIR designated representative of each unit for 
which the owner or operator intends to use an alternative monitoring 
system approved by the Administrator and, if applicable, the permitting 
authority under subpart E of part 75 of this chapter shall comply with 
the applicable notification and application procedures of Sec.  75.20(f) 
of this chapter.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]



Sec.  96.172  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation 
requirements of part 75 of this chapter, data shall be substituted using 
the applicable missing data procedures in subpart D or subpart H of, or 
appendix D or appendix E to, part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring 
system and a review of the initial certification or recertification 
application reveal that any monitoring system should not have been 
certified or recertified because it did not meet a particular 
performance specification or other requirement under Sec.  96.171 or the 
applicable provisions of part 75 of this chapter, both at the time of 
the initial certification or recertification application submission and 
at the time of the audit, the permitting authority or, for a CAIR 
NOX opt-in unit or a unit for which a CAIR opt-in permit 
application is submitted and not withdrawn and a CAIR opt-in permit is 
not yet issued or denied under subpart II of this part, the 
Administrator will issue a notice of disapproval of the certification 
status of such monitoring system. For the purposes of this paragraph, an 
audit shall be either a field audit or an audit of any information 
submitted to the permitting authority or the Administrator. By issuing 
the notice of disapproval, the permitting authority or the Administrator 
revokes prospectively the certification status of the monitoring system. 
The data measured and recorded by the monitoring system shall not be 
considered valid quality-assured data from the date of issuance of the 
notification of the revoked certification status until the date and time 
that the owner or operator completes subsequently approved initial 
certification or recertification tests for the monitoring system. The 
owner or

[[Page 984]]

operator shall follow the applicable initial certification or 
recertification procedures in Sec.  96.171 for each disapproved 
monitoring system.



Sec.  96.173  Notifications.

    The CAIR designated representative for a CAIR NOX unit 
shall submit written notice to the permitting authority and the 
Administrator in accordance with Sec.  75.61 of this chapter.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]



Sec.  96.174  Recordkeeping and reporting.

    (a) General provisions. The CAIR designated representative shall 
comply with all recordkeeping and reporting requirements in this 
section, the applicable recordkeeping and reporting requirements under 
Sec.  75.73 of this chapter, and the requirements of Sec.  96.110(e)(1).
    (b) Monitoring Plans. The owner or operator of a CAIR NOX 
unit shall comply with requirements of Sec.  75.73(c) and (e) of this 
chapter and, for a unit for which a CAIR opt-in permit application is 
submitted and not withdrawn and a CAIR opt-in permit is not yet issued 
or denied under subpart II of this part, Sec. Sec.  96.183 and 
96.184(a).
    (c) Certification Applications. The CAIR designated representative 
shall submit an application to the permitting authority within 45 days 
after completing all initial certification or recertification tests 
required under Sec.  96.171, including the information required under 
Sec.  75.63 of this chapter.
    (d) Quarterly reports. The CAIR designated representative shall 
submit quarterly reports, as follows:
    (1) The CAIR designated representative shall report the 
NOX mass emissions data and heat input data for the CAIR 
NOX unit, in an electronic quarterly report in a format 
prescribed by the Administrator, for each calendar quarter beginning 
with:
    (i) For a unit that commences commercial operation before July 1, 
2007, the calendar quarter covering January 1, 2008 through March 31, 
2008;
    (ii) For a unit that commences commercial operation on or after July 
1, 2007, the calendar quarter corresponding to the earlier of the date 
of provisional certification or the applicable deadline for initial 
certification under Sec.  96.170(b), unless that quarter is the third or 
fourth quarter of 2007, in which case reporting shall commence in the 
quarter covering January 1, 2008 through March 31, 2008;
    (iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, 
for a unit for which a CAIR opt-in permit application is submitted and 
not withdrawn and a CAIR opt-in permit is not yet issued or denied under 
subpart II of this part, the calendar quarter corresponding to the date 
specified in Sec.  96.184(b); and
    (iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, 
for a CAIR NOX opt-in unit under subpart II of this part, the 
calendar quarter corresponding to the date on which the CAIR 
NOX opt-in unit enters the CAIR NOX Annual Trading 
Program as provided in Sec.  96.184(g).
    (2) The CAIR designated representative shall submit each quarterly 
report to the Administrator within 30 days following the end of the 
calendar quarter covered by the report. Quarterly reports shall be 
submitted in the manner specified in Sec.  75.73(f) of this chapter.
    (3) For CAIR NOX units that are also subject to an Acid 
Rain emissions limitation or the CAIR NOX Ozone Season 
Trading Program, CAIR SO2 Trading Program, or Hg Budget 
Trading Program, quarterly reports shall include the applicable data and 
information required by subparts F through I of part 75 of this chapter 
as applicable, in addition to the NOX mass emission data, 
heat input data, and other information required by this subpart.
    (e) Compliance certification. The CAIR designated representative 
shall submit to the Administrator a compliance certification (in a 
format prescribed by the Administrator) in support of each quarterly 
report based on reasonable inquiry of those persons with primary 
responsibility for ensuring that all of the unit's emissions are 
correctly and fully monitored. The certification shall state that:
    (1) The monitoring data submitted were recorded in accordance with 
the applicable requirements of this subpart and part 75 of this chapter, 
including the quality assurance procedures and specifications; and

[[Page 985]]

    (2) For a unit with add-on NOX emission controls and for 
all hours where NOX data are substituted in accordance with 
Sec.  75.34(a)(1) of this chapter, the add-on emission controls were 
operating within the range of parameters listed in the quality 
assurance/quality control program under appendix B to part 75 of this 
chapter and the substitute data values do not systematically 
underestimate NOX emissions.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]



Sec.  96.175  Petitions.

    (a) Except as provided in paragraph (b)(2) of this section, the CAIR 
designated representative of a CAIR NOX unit that is subject 
to an Acid Rain emissions limitation may submit a petition under Sec.  
75.66 of this chapter to the Administrator requesting approval to apply 
an alternative to any requirement of this subpart. Application of an 
alternative to any requirement of this subpart is in accordance with 
this subpart only to the extent that the petition is approved in writing 
by the Administrator, in consultation with the permitting authority.
    (b)(1) The CAIR designated representative of a CAIR NOX 
unit that is not subject to an Acid Rain emissions limitation may submit 
a petition under Sec.  75.66 of this chapter to the permitting authority 
and the Administrator requesting approval to apply an alternative to any 
requirement of this subpart. Application of an alternative to any 
requirement of this subpart is in accordance with this subpart only to 
the extent that the petition is approved in writing by both the 
permitting authority and the Administrator.
    (2) The CAIR designated representative of a CAIR NOX unit 
that is subject to an Acid Rain emissions limitation may submit a 
petition under Sec.  75.66 of this chapter to the permitting authority 
and the Administrator requesting approval to apply an alternative to a 
requirement concerning any additional continuous emission monitoring 
system required under Sec.  75.72 of this chapter. Application of an 
alternative to any such requirement is in accordance with this subpart 
only to the extent that the petition is approved in writing by both the 
permitting authority and the Administrator.



                    Subpart II_CAIR NOX Opt-in Units

    Source: 70 FR 25339, May 12, 2005, unless otherwise noted.



Sec.  96.180  Applicability.

    A CAIR NOX opt-in unit must be a unit that:
    (a) Is located in the State;
    (b) Is not a CAIR NOX unit under Sec.  96.104 and is not 
covered by a retired unit exemption under Sec.  96.105 that is in 
effect;
    (c) Is not covered by a retired unit exemption under Sec.  72.8 of 
this chapter that is in effect;
    (d) Has or is required or qualified to have a title V operating 
permit or other federally enforceable permit; and
    (e) Vents all of its emissions to a stack and can meet the 
monitoring, recordkeeping, and reporting requirements of subpart HH of 
this part.



Sec.  96.181  General.

    (a) Except as otherwise provided in Sec. Sec.  96.101 through 
96.104, Sec. Sec.  96.106 through 96.108, and subparts BB and CC and 
subparts FF through HH of this part, a CAIR NOX opt-in unit 
shall be treated as a CAIR NOX unit for purposes of applying 
such sections and subparts of this part.
    (b) Solely for purposes of applying, as provided in this subpart, 
the requirements of subpart HH of this part to a unit for which a CAIR 
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, such unit 
shall be treated as a CAIR NOX unit before issuance of a CAIR 
opt-in permit for such unit.



Sec.  96.182  CAIR designated representative.

    Any CAIR NOX opt-in unit, and any unit for which a CAIR 
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, located at the 
same source as one or more CAIR NOX units shall have the same 
CAIR designated representative and alternate CAIR designated 
representative as such CAIR NOX units.

[[Page 986]]



Sec.  96.183  Applying for CAIR opt-in permit.

    (a) Applying for initial CAIR opt-in permit. The CAIR designated 
representative of a unit meeting the requirements for a CAIR 
NOX opt-in unit in Sec.  96.180 may apply for an initial CAIR 
opt-in permit at any time, except as provided under Sec.  96.186(f) and 
(g), and, in order to apply, must submit the following:
    (1) A complete CAIR permit application under Sec.  96.122;
    (2) A certification, in a format specified by the permitting 
authority, that the unit:
    (i) Is not a CAIR NOX unit under Sec.  96.104 and is not 
covered by a retired unit exemption under Sec.  96.105 that is in 
effect;
    (ii) Is not covered by a retired unit exemption under Sec.  72.8 of 
this chapter that is in effect;
    (iii) Vents all of its emissions to a stack, and
    (iv) Has documented heat input for more than 876 hours during the 6 
months immediately preceding submission of the CAIR permit application 
under Sec.  96.122;
    (3) A monitoring plan in accordance with subpart HH of this part;
    (4) A complete certificate of representation under Sec.  96.113 
consistent with Sec.  96.182, if no CAIR designated representative has 
been previously designated for the source that includes the unit; and
    (5) A statement, in a format specified by the permitting authority, 
whether the CAIR designated representative requests that the unit be 
allocated CAIR NOX allowances under Sec.  96.188(b) or Sec.  
96.188(c) (subject to the conditions in Sec. Sec.  96.184(h) and 
96.186(g)). If allocation under Sec.  96.188(c) is requested, this 
statement shall include a statement that the owners and operators of the 
unit intend to repower the unit before January 1, 2015 and that they 
will provide, upon request, documentation demonstrating such intent.
    (b) Duty to reapply. (1) The CAIR designated representative of a 
CAIR NOX opt-in unit shall submit a complete CAIR permit 
application under Sec.  96.122 to renew the CAIR opt-in unit permit in 
accordance with the permitting authority's regulations for title V 
operating permits, or the permitting authority's regulations for other 
federally enforceable permits if applicable, addressing permit renewal.
    (2) Unless the permitting authority issues a notification of 
acceptance of withdrawal of the CAIR NOX opt-in unit from the 
CAIR NOX Annual Trading Program in accordance with Sec.  
96.186 or the unit becomes a CAIR NOX unit under Sec.  
96.104, the CAIR NOX opt-in unit shall remain subject to the 
requirements for a CAIR NOX opt-in unit, even if the CAIR 
designated representative for the CAIR NOX opt-in unit fails 
to submit a CAIR permit application that is required for renewal of the 
CAIR opt-in permit under paragraph (b)(1) of this section.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]



Sec.  96.184  Opt-in process.

    The permitting authority will issue or deny a CAIR opt-in permit for 
a unit for which an initial application for a CAIR opt-in permit under 
Sec.  96.183 is submitted in accordance with the following:
    (a) Interim review of monitoring plan. The permitting authority and 
the Administrator will determine, on an interim basis, the sufficiency 
of the monitoring plan accompanying the initial application for a CAIR 
opt-in permit under Sec.  96.183. A monitoring plan is sufficient, for 
purposes of interim review, if the plan appears to contain information 
demonstrating that the NOX emissions rate and heat input of 
the unit and all other applicable parameters are monitored and reported 
in accordance with subpart HH of this part. A determination of 
sufficiency shall not be construed as acceptance or approval of the 
monitoring plan.
    (b) Monitoring and reporting. (1)(i) If the permitting authority and 
the Administrator determine that the monitoring plan is sufficient under 
paragraph (a) of this section, the owner or operator shall monitor and 
report the NOX emissions rate and the heat input of the unit 
and all other applicable parameters, in accordance with subpart HH of 
this part, starting on the date of certification of the appropriate 
monitoring systems under subpart HH of this part and continuing until a 
CAIR opt-in permit is denied under Sec.  96.184(f)

[[Page 987]]

or, if a CAIR opt-in permit is issued, the date and time when the unit 
is withdrawn from the CAIR NOX Annual Trading Program in 
accordance with Sec.  96.186.
    (ii) The monitoring and reporting under paragraph (b)(1)(i) of this 
section shall include the entire control period immediately before the 
date on which the unit enters the CAIR NOX Annual Trading 
Program under Sec.  96.184(g), during which period monitoring system 
availability must not be less than 90 percent under subpart HH of this 
part and the unit must be in full compliance with any applicable State 
or Federal emissions or emissions-related requirements.
    (2) To the extent the NOX emissions rate and the heat 
input of the unit are monitored and reported in accordance with subpart 
HH of this part for one or more control periods, in addition to the 
control period under paragraph (b)(1)(ii) of this section, during which 
control periods monitoring system availability is not less than 90 
percent under subpart HH of this part and the unit is in full compliance 
with any applicable State or Federal emissions or emissions-related 
requirements and which control periods begin not more than 3 years 
before the unit enters the CAIR NOX Annual Trading Program 
under Sec.  96.184(g), such information shall be used as provided in 
paragraphs (c) and (d) of this section.
    (c) Baseline heat input. The unit's baseline heat input shall equal:
    (1) If the unit's NOX emissions rate and heat input are 
monitored and reported for only one control period, in accordance with 
paragraph (b)(1) of this section, the unit's total heat input (in mmBtu) 
for the control period; or
    (2) If the unit's NOX emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, the average of the 
amounts of the unit's total heat input (in mmBtu) for the control 
periods under paragraphs (b)(1)(ii) and (2) of this section.
    (d) Baseline NOX emission rate. The unit's baseline 
NOX emission rate shall equal:
    (1) If the unit's NOX emissions rate and heat input are 
monitored and reported for only one control period, in accordance with 
paragraph (b)(1) of this section, the unit's NOX emissions 
rate (in lb/mmBtu) for the control period;
    (2) If the unit's NOX emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, and the unit does not 
have add-on NOX emission controls during any such control 
periods, the average of the amounts of the unit's NOX 
emissions rate (in lb/mmBtu) for the control periods under paragraphs 
(b)(1)(ii) and (2) of this section; or
    (3) If the unit's NOX emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, and the unit has add-on 
NOX emission controls during any such control periods, the 
average of the amounts of the unit's NOX emissions rate (in 
lb/mmBtu) for such control periods during which the unit has add-on 
NOX emission controls.
    (e) Issuance of CAIR opt-in permit. After calculating the baseline 
heat input and the baseline NOX emissions rate for the unit 
under paragraphs (c) and (d) of this section and if the permitting 
authority determines that the CAIR designated representative shows that 
the unit meets the requirements for a CAIR NOX opt-in unit in 
Sec.  96.180 and meets the elements certified in Sec.  96.183(a)(2), the 
permitting authority will issue a CAIR opt-in permit. The permitting 
authority will provide a copy of the CAIR opt-in permit to the 
Administrator, who will then establish a compliance account for the 
source that includes the CAIR NOX opt-in unit unless the 
source already has a compliance account.
    (f) Issuance of denial of CAIR opt-in permit. Notwithstanding 
paragraphs (a) through (e) of this section, if at any time before 
issuance of a CAIR opt-in permit for the unit, the permitting authority 
determines that the CAIR designated representative fails to show that 
the unit meets the requirements for a CAIR NOX opt-in unit in 
Sec.  96.180 or meets the elements certified in Sec.  96.183(a)(2), the 
permitting authority

[[Page 988]]

will issue a denial of a CAIR opt-in permit for the unit.
    (g) Date of entry into CAIR NOX Annual Trading Program. A 
unit for which an initial CAIR opt-in permit is issued by the permitting 
authority shall become a CAIR NOX opt-in unit, and a CAIR 
NOX unit, as of the later of January 1, 2009 or January 1 of 
the first control period during which such CAIR opt-in permit is issued.
    (h) Repowered CAIR NOX opt-in unit. (1) If CAIR 
designated representative requests, and the permitting authority issues 
a CAIR opt-in permit providing for, allocation to a CAIR NOX 
opt-in unit of CAIR NOX allowances under Sec.  96.188(c) and 
such unit is repowered after its date of entry into the CAIR 
NOX Annual Trading Program under paragraph (g) of this 
section, the repowered unit shall be treated as a CAIR NOX 
opt-in unit replacing the original CAIR NOX opt-in unit, as 
of the date of start-up of the repowered unit's combustion chamber.
    (2) Notwithstanding paragraphs (c) and (d) of this section, as of 
the date of start-up under paragraph (h)(1) of this section, the 
repowered unit shall be deemed to have the same date of commencement of 
operation, date of commencement of commercial operation, baseline heat 
input, and baseline NOX emission rate as the original CAIR 
NOX opt-in unit, and the original CAIR NOX opt-in 
unit shall no longer be treated as a CAIR NOX opt-in unit or 
a CAIR NOX unit.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.185  CAIR opt-in permit contents.

    (a) Each CAIR opt-in permit will contain:
    (1) All elements required for a complete CAIR permit application 
under Sec.  96.122;
    (2) The certification in Sec.  96.183(a)(2);
    (3) The unit's baseline heat input under Sec.  96.184(c);
    (4) The unit's baseline NOX emission rate under Sec.  
96.184(d);
    (5) A statement whether the unit is to be allocated CAIR 
NOX allowances Sec.  96.188(b) or Sec.  96.188(c) (subject to 
the conditions in Sec. Sec.  96.184(h) and 96.186(g));
    (6) A statement that the unit may withdraw from the CAIR 
NOX Annual Trading Program only in accordance with Sec.  
96.186; and
    (7) A statement that the unit is subject to, and the owners and 
operators of the unit must comply with, the requirements of Sec.  
96.187.
    (b) Each CAIR opt-in permit is deemed to incorporate automatically 
the definitions of terms under Sec.  96.102 and, upon recordation by the 
Administrator under subpart FF or GG of this part or this subpart, every 
allocation, transfer, or deduction of CAIR NOX allowances to 
or from the compliance account of the source that includes a CAIR 
NOX opt-in unit covered by the CAIR opt-in permit.
    (c) The CAIR opt-in permit shall be included, in a format specified 
by the permitting authority, in the CAIR permit for the source where the 
CAIR NOX opt-in unit is located and in a title V operating 
permit or other federally enforceable permit for the source.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]



Sec.  96.186  Withdrawal from CAIR NOX Annual Trading Program.

    Except as provided under paragraph (g) of this section, a CAIR 
NOX opt-in unit may withdraw from the CAIR NOX 
Annual Trading Program, but only if the permitting authority issues a 
notification to the CAIR designated representative of the CAIR 
NOX opt-in unit of the acceptance of the withdrawal of the 
CAIR NOX opt-in unit in accordance with paragraph (d) of this 
section.
    (a) Requesting withdrawal. In order to withdraw a CAIR CAIR 
NOX opt-in unit from the CAIR NOX Annual Trading 
Program, the CAIR designated representative of the CAIR NOX 
opt-in unit shall submit to the permitting authority a request to 
withdraw effective as of midnight of December 31 of a specified calendar 
year, which date must be at least 4 years after December 31 of the year 
of entry into the CAIR NOX Annual Trading Program under Sec.  
96.184(g). The request must be submitted no later than 90 days before 
the requested effective date of withdrawal.

[[Page 989]]

    (b) Conditions for withdrawal. Before a CAIR NOX opt-in 
unit covered by a request under paragraph (a) of this section may 
withdraw from the CAIR NOX Annual Trading Program and the 
CAIR opt-in permit may be terminated under paragraph (e) of this 
section, the following conditions must be met:
    (1) For the control period ending on the date on which the 
withdrawal is to be effective, the source that includes the CAIR 
NOX opt-in unit must meet the requirement to hold CAIR 
NOX allowances under Sec.  96.106(c) and cannot have any 
excess emissions.
    (2) After the requirement for withdrawal under paragraph (b)(1) of 
this section is met, the Administrator will deduct from the compliance 
account of the source that includes the CAIR NOX opt-in unit 
CAIR NOX allowances equal in amount to and allocated for the 
same or a prior control period as any CAIR NOX allowances 
allocated to the CAIR NOX opt-in unit under Sec.  96.188 for 
any control period for which the withdrawal is to be effective. If there 
are no remaining CAIR NOX units at the source, the 
Administrator will close the compliance account, and the owners and 
operators of the CAIR NOX opt-in unit may submit a CAIR 
NOX allowance transfer for any remaining CAIR NOX 
allowances to another CAIR NOX Allowance Tracking System in 
accordance with subpart GG of this part.
    (c) Notification. (1) After the requirements for withdrawal under 
paragraphs (a) and (b) of this section are met (including deduction of 
the full amount of CAIR NOX allowances required), the 
permitting authority will issue a notification to the CAIR designated 
representative of the CAIR NOX opt-in unit of the acceptance 
of the withdrawal of the CAIR NOX opt-in unit as of midnight 
on December 31 of the calendar year for which the withdrawal was 
requested.
    (2) If the requirements for withdrawal under paragraphs (a) and (b) 
of this section are not met, the permitting authority will issue a 
notification to the CAIR designated representative of the CAIR 
NOX opt-in unit that the CAIR NOX opt-in unit's 
request to withdraw is denied. Such CAIR NOX opt-in unit 
shall continue to be a CAIR NOX opt-in unit.
    (d) Permit amendment. After the permitting authority issues a 
notification under paragraph (c)(1) of this section that the 
requirements for withdrawal have been met, the permitting authority will 
revise the CAIR permit covering the CAIR NOX opt-in unit to 
terminate the CAIR opt-in permit for such unit as of the effective date 
specified under paragraph (c)(1) of this section. The unit shall 
continue to be a CAIR NOX opt-in unit until the effective 
date of the termination and shall comply with all requirements under the 
CAIR NOX Annual Trading Program concerning any control 
periods for which the unit is a CAIR NOX opt-in unit, even if 
such requirements arise or must be complied with after the withdrawal 
takes effect.
    (e) Reapplication upon failure to meet conditions of withdrawal. If 
the permitting authority denies the CAIR NOX opt-in unit's 
request to withdraw, the CAIR designated representative may submit 
another request to withdraw in accordance with paragraphs (a) and (b) of 
this section.
    (f) Ability to reapply to the CAIR NOX Annual Trading 
Program. Once a CAIR NOX opt-in unit withdraws from the CAIR 
NOX Annual Trading Program and its CAIR opt-in permit is 
terminated under this section, the CAIR designated representative may 
not submit another application for a CAIR opt-in permit under Sec.  
96.183 for such CAIR NOX opt-in unit before the date that is 
4 years after the date on which the withdrawal became effective. Such 
new application for a CAIR opt-in permit will be treated as an initial 
application for a CAIR opt-in permit under Sec.  96.184.
    (g) Inability to withdraw. Notwithstanding paragraphs (a) through 
(f) of this section, a CAIR NOX opt-in unit shall not be 
eligible to withdraw from the CAIR NOX Annual Trading Program 
if the CAIR designated representative of the CAIR NOX opt-in 
unit requests, and the permitting authority issues a CAIR NOX 
opt-in permit providing for, allocation to the CAIR NOX opt-
in unit of CAIR NOX allowances under Sec.  96.188(c).

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]

[[Page 990]]



Sec.  96.187  Change in regulatory status.

    (a) Notification. If a CAIR NOX opt-in unit becomes a 
CAIR NOX unit under Sec.  96.104, then the CAIR designated 
representative shall notify in writing the permitting authority and the 
Administrator of such change in the CAIR NOX opt-in unit's 
regulatory status, within 30 days of such change.
    (b) Permitting authority's and Administrator's actions. (1) If a 
CAIR NOX opt-in unit becomes a CAIR NOX unit under 
Sec.  96.104, the permitting authority will revise the CAIR 
NOX opt-in unit's CAIR opt-in permit to meet the requirements 
of a CAIR permit under Sec.  96.123, and remove the CAIR opt-in permit 
provisions, as of the date on which the CAIR NOX opt-in unit 
becomes a CAIR NOX unit under Sec.  96.104.
    (2)(i) The Administrator will deduct from the compliance account of 
the source that includes the CAIR NOX opt-in unit that 
becomes a CAIR NOX unit under Sec.  96.104, CAIR 
NOX allowances equal in amount to and allocated for the same 
or a prior control period as:
    (A) Any CAIR NOX allowances allocated to the CAIR 
NOX opt-in unit under Sec.  96.188 for any control period 
after the date on which the CAIR NOX opt-in unit becomes a 
CAIR NOX unit under Sec.  96.104; and
    (B) If the date on which the CAIR NOX opt-in unit becomes 
a CAIR NOX unit under Sec.  96.104 is not December 31, the 
CAIR NOX allowances allocated to the CAIR NOX opt-
in unit under Sec.  96.188 for the control period that includes the date 
on which the CAIR NOX opt-in unit becomes a CAIR 
NOX unit under Sec.  96.104, multiplied by the ratio of the 
number of days, in the control period, starting with the date on which 
the CAIR NOX opt-in unit becomes a CAIR NOX unit 
under Sec.  96.104 divided by the total number of days in the control 
period and rounded to the nearest whole allowance as appropriate.
    (ii) The CAIR designated representative shall ensure that the 
compliance account of the source that includes the CAIR NOX 
opt-in unit that becomes a CAIR NOX unit under Sec.  96.104 
contains the CAIR NOX allowances necessary for completion of 
the deduction under paragraph (b)(2)(i) of this section.
    (3)(i) For every control period after the date on which the CAIR 
NOX opt-in unit becomes a CAIR NOX unit under 
Sec.  96.104, the CAIR NOX opt-in unit will be allocated CAIR 
NOX allowances under Sec.  96.142.
    (ii) If the date on which the CAIR NOX opt-in unit 
becomes a CAIR NOX unit under Sec.  96.104 is not December 
31, the following amount of CAIR NOX allowances will be 
allocated to the CAIR NOX opt-in unit (as a CAIR 
NOX unit) under Sec.  96.142 for the control period that 
includes the date on which the CAIR NOX opt-in unit becomes a 
CAIR NOX unit under Sec.  96.104:
    (A) The amount of CAIR NOX allowances otherwise allocated 
to the CAIR NOX opt-in unit (as a CAIR NOX unit) 
under Sec.  96.142 for the control period multiplied by;
    (B) The ratio of the number of days, in the control period, starting 
with the date on which the CAIR NOX opt-in unit becomes a 
CAIR NOX unit under Sec.  96.104, divided by the total number 
of days in the control period; and
    (C) Rounded to the nearest whole allowance as appropriate.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.188  CAIR NOX allowance allocations to CAIR NOX opt-in units.

    (a) Timing requirements. (1) When the CAIR opt-in permit is issued 
under Sec.  96.184(e), the permitting authority will allocate CAIR 
NOX allowances to the CAIR NOX opt-in unit, and 
submit to the Administrator the allocation for the control period in 
which a CAIR NOX opt-in unit enters the CAIR NOX 
Annual Trading Program under Sec.  96.184(g), in accordance with 
paragraph (b) or (c) of this section.
    (2) By no later than October 31 of the control period after the 
control period in which a CAIR NOX opt-in unit enters the 
CAIR NOX Annual Trading Program under Sec.  96.184(g) and 
October 31 of each year thereafter, the permitting authority will 
allocate CAIR NOX allowances to the CAIR NOX opt-
in unit, and submit to the Administrator the allocation for the control 
period that includes such submission deadline and in which the unit is a 
CAIR NOX opt-in unit, in accordance with paragraph (b) or (c) 
of this section.

[[Page 991]]

    (b) Calculation of allocation. For each control period for which a 
CAIR NOX opt-in unit is to be allocated CAIR NOX 
allowances, the permitting authority will allocate in accordance with 
the following procedures:
    (1) The heat input (in mmBtu) used for calculating the CAIR 
NOX allowance allocation will be the lesser of:
    (i) The CAIR NOX opt-in unit's baseline heat input 
determined under Sec.  96.184(c); or
    (ii) The CAIR NOX opt-in unit's heat input, as determined 
in accordance with subpart HH of this part, for the immediately prior 
control period, except when the allocation is being calculated for the 
control period in which the CAIR NOX opt-in unit enters the 
CAIR NOX Annual Trading Program under Sec.  96.184(g).
    (2) The NOX emission rate (in lb/mmBtu) used for 
calculating CAIR NOX allowance allocations will be the lesser 
of:
    (i) The CAIR NOX opt-in unit's baseline NOX 
emissions rate (in lb/mmBtu) determined under Sec.  96.184(d) and 
multiplied by 70 percent; or
    (ii) The most stringent State or Federal NOX emissions 
limitation applicable to the CAIR NOX opt-in unit at any time 
during the control period for which CAIR NOX allowances are 
to be allocated.
    (3) The permitting authority will allocate CAIR NOX 
allowances to the CAIR NOX opt-in unit in an amount equaling 
the heat input under paragraph (b)(1) of this section, multiplied by the 
NOX emission rate under paragraph (b)(2) of this section, 
divided by 2,000 lb/ton, and rounded to the nearest whole allowance as 
appropriate.
    (c) Notwithstanding paragraph (b) of this section and if the CAIR 
designated representative requests, and the permitting authority issues 
a CAIR opt-in permit (based on a demonstration of the intent to repower 
stated under Sec.  96.183(a)(5)) providing for, allocation to a CAIR 
NOX opt-in unit of CAIR NOX allowances under this 
paragraph (subject to the conditions in Sec. Sec.  96.184(h) and 
96.186(g)), the permitting authority will allocate to the CAIR 
NOX opt-in unit as follows:
    (1) For each control period in 2009 through 2014 for which the CAIR 
NOX opt-in unit is to be allocated CAIR NOX 
allowances,
    (i) The heat input (in mmBtu) used for calculating CAIR 
NOX allowance allocations will be determined as described in 
paragraph (b)(1) of this section.
    (ii) The NOX emission rate (in lb/mmBtu) used for 
calculating CAIR NOX allowance allocations will be the lesser 
of:
    (A) The CAIR NOX opt-in unit's baseline NOX 
emissions rate (in lb/mmBtu) determined under Sec.  96.184(d); or
    (B) The most stringent State or Federal NOX emissions 
limitation applicable to the CAIR NOX opt-in unit at any time 
during the control period in which the CAIR NOX opt-in unit 
enters the CAIR NOX Annual Trading Program under Sec.  
96.184(g).
    (iii) The permitting authority will allocate CAIR NOX 
allowances to the CAIR NOX opt-in unit in an amount equaling 
the heat input under paragraph (c)(1)(i) of this section, multiplied by 
the NOX emission rate under paragraph (c)(1)(ii) of this 
section, divided by 2,000 lb/ton, and rounded to the nearest whole 
allowance as appropriate.
    (2) For each control period in 2015 and thereafter for which the 
CAIR NOX opt-in unit is to be allocated CAIR NOX 
allowances,
    (i) The heat input (in mmBtu) used for calculating the CAIR 
NOX allowance allocations will be determined as described in 
paragraph (b)(1) of this section.
    (ii) The NOX emission rate (in lb/mmBtu) used for 
calculating the CAIR NOX allowance allocation will be the 
lesser of:
    (A) 0.15 lb/mmBtu;
    (B) The CAIR NOX opt-in unit's baseline NOX 
emissions rate (in lb/mmBtu) determined under Sec.  96.184(d); or
    (C) The most stringent State or Federal NOX emissions 
limitation applicable to the CAIR NOX opt-in unit at any time 
during the control period for which CAIR NOX allowances are 
to be allocated.
    (iii) The permitting authority will allocate CAIR NOX 
allowances to the CAIR NOX opt-in unit in an amount

[[Page 992]]

equaling the heat input under paragraph (c)(2)(i) of this section, 
multiplied by the NOX emission rate under paragraph 
(c)(2)(ii) of this section, divided by 2,000 lb/ton, and rounded to the 
nearest whole allowance as appropriate.
    (d) Recordation. (1) The Administrator will record, in the 
compliance account of the source that includes the CAIR NOX 
opt-in unit, the CAIR NOX allowances allocated by the 
permitting authority to the CAIR NOX opt-in unit under 
paragraph (a)(1) of this section.
    (2) By December 1 of the control period in which a CAIR 
NOX opt-in unit enters the CAIR NOX Annual Trading 
Program under Sec.  96.184(g) and December 1 of each year thereafter, 
the Administrator will record, in the compliance account of the source 
that includes the CAIR NOX opt-in unit, the CAIR 
NOX allowances allocated by the permitting authority to the 
CAIR NOX opt-in unit under paragraph (a)(2) of this section.

[70 FR 25339, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006]

Subparts JJ-ZZ [Reserved]



        Subpart AAA_CAIR SO 2 Trading Program General Provisions

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.201  Purpose.

    This subpart and subparts BBB through III establish the model rule 
comprising general provisions and the designated representative, 
permitting, allowance, monitoring, and opt-in provisions for the State 
Clean Air Interstate Rule (CAIR) SO2 Trading Program, under 
section 110 of the Clean Air Act and Sec.  51.124 of this chapter, as a 
means of mitigating interstate transport of fine particulates and sulfur 
dioxide. The owner or operator of a unit or a source shall comply with 
the requirements of this subpart and subparts BBB through III as a 
matter of federal law only if the State with jurisdiction over the unit 
and the source incorporates by reference such subparts or otherwise 
adopts the requirements of such subparts in accordance with Sec.  
51.124(o)(1) or (2) of this chapter, the State submits to the 
Administrator one or more revisions of the State implementation plan 
that include such adoption, and the Administrator approves such 
revisions. If the State adopts the requirements of such subparts in 
accordance with Sec.  51.124(o)(1) or (2) of this chapter, then the 
State authorizes the Administrator to assist the State in implementing 
the CAIR SO2 Trading Program by carrying out the functions 
set forth for the Administrator in such subparts.



Sec.  96.202  Definitions.

    The terms used in this subpart and subparts BBB through III shall 
have the meanings set forth in this section as follows:
    Account number means the identification number given by the 
Administrator to each CAIR SO2 Allowance Tracking System 
account.
    Acid Rain emissions limitation means a limitation on emissions of 
sulfur dioxide or nitrogen oxides under the Acid Rain Program.
    Acid Rain Program means a multi-state sulfur dioxide and nitrogen 
oxides air pollution control and emission reduction program established 
by the Administrator under title IV of the CAA and parts 72 through 78 
of this chapter.
    Administrator means the Administrator of the United States 
Environmental Protection Agency or the Administrator's duly authorized 
representative.
    Allocate or allocation means, with regard to CAIR SO2 
allowances issued under the Acid Rain Program, the determination by the 
Administrator of the amount of such CAIR SO2 allowances to be 
initially credited to a CAIR SO2 unit or other entity and, 
with regard to CAIR SO2 allowances issued under provisions of 
a State implementation plan that are approved under Sec.  51.124(o)(1) 
or (2) or (r) of this chapter or Sec.  97.288 of this chapter, the 
determination by a permitting authority of the amount of such CAIR 
SO2 allowances to be initially credited to a CAIR 
SO2 unit or other entity.
    Allowance transfer deadline means, for a control period, midnight of 
March 1 (if it is a business day), or midnight of the first business day 
thereafter (if

[[Page 993]]

March 1 is not a business day), immediately following the control period 
and is the deadline by which a CAIR SO2 allowance transfer 
must be submitted for recordation in a CAIR SO2 source's 
compliance account in order to be used to meet the source's CAIR 
SO2 emissions limitation for such control period in 
accordance with Sec.  96.254.
    Alternate CAIR designated representative means, for a CAIR 
SO2 source and each CAIR SO2 unit at the source, 
the natural person who is authorized by the owners and operators of the 
source and all such units at the source, in accordance with subparts BBB 
and III of this part, to act on behalf of the CAIR designated 
representative in matters pertaining to the CAIR SO2 Trading 
Program. If the CAIR SO2 source is also a CAIR NOX 
source, then this natural person shall be the same person as the 
alternate CAIR designated representative under the CAIR NOX 
Annual Trading Program. If the CAIR SO2 source is also a CAIR 
NOX Ozone Season source, then this natural person shall be 
the same person as the alternate CAIR designated representative under 
the CAIR NOX Ozone Season Trading Program. If the CAIR 
SO2 source is also subject to the Acid Rain Program, then 
this natural person shall be the same person as the alternate designated 
representative under the Acid Rain Program. If the CAIR SO2 
source is also subject to the Hg Budget Trading Program, then this 
natural person shall be the same person as the alternate Hg designated 
representative under the Hg Budget Trading Program.
    Automated data acquisition and handling system or DAHS means that 
component of the continuous emission monitoring system, or other 
emissions monitoring system approved for use under subpart HHH of this 
part, designed to interpret and convert individual output signals from 
pollutant concentration monitors, flow monitors, diluent gas monitors, 
and other component parts of the monitoring system to produce a 
continuous record of the measured parameters in the measurement units 
required by subpart HHH of this part.
    Biomass means--
    (1) Any organic material grown for the purpose of being converted to 
energy;
    (2) Any organic byproduct of agriculture that can be converted into 
energy; or
    (3) Any material that can be converted into energy and is 
nonmerchantable for other purposes, that is segregated from other 
nonmerchantable material, and that is;
    (i) A forest-related organic resource, including mill residues, 
precommercial thinnings, slash, brush, or byproduct from conversion of 
trees to merchantable material; or
    (ii) A wood material, including pallets, crates, dunnage, 
manufacturing and construction materials (other than pressure-treated, 
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
    Boiler means an enclosed fossil- or other-fuel-fired combustion 
device used to produce heat and to transfer heat to recirculating water, 
steam, or other medium.
    Bottoming-cycle cogeneration unit means a cogeneration unit in which 
the energy input to the unit is first used to produce useful thermal 
energy and at least some of the reject heat from the useful thermal 
energy application or process is then used for electricity production.
    CAIR authorized account representative means, with regard to a 
general account, a responsible natural person who is authorized, in 
accordance with subparts BBB, FFF, and III of this part, to transfer and 
otherwise dispose of CAIR SO2 allowances held in the general 
account and, with regard to a compliance account, the CAIR designated 
representative of the source.
    CAIR designated representative means, for a CAIR SO2 
source and each CAIR SO2 unit at the source, the natural 
person who is authorized by the owners and operators of the source and 
all such units at the source, in accordance with subparts BBB and III of 
this part, to represent and legally bind each owner and operator in 
matters pertaining to the CAIR SO2 Trading Program. If the 
CAIR SO2 source is also a CAIR NOX source, then 
this natural person shall be the same person as the CAIR designated 
representative under

[[Page 994]]

the CAIR NOX Annual Trading Program. If the CAIR 
SO2 source is also a CAIR NOX Ozone Season source, 
then this natural person shall be the same person as the CAIR designated 
representative under the CAIR NOX Ozone Season Trading 
Program. If the CAIR SO2 source is also subject to the Acid 
Rain Program, then this natural person shall be the same person as the 
designated representative under the Acid Rain Program. If the CAIR 
SO2 source is also subject to the Hg Budget Trading Program, 
then this natural person shall be the same person as the Hg designated 
representative under the Hg Budget Trading Program.
    CAIR NO X Annual Trading Program means a multi-state 
nitrogen oxides air pollution control and emission reduction program 
approved and administered by the Administrator in accordance with 
subparts AA through II of this part and Sec.  51.123(o)(1) or (2) of 
this chapter or established by the Administrator in accordance with 
subparts AA through II of part 97 of this chapter and Sec. Sec.  
51.123(p) and 52.35 of this chapter, as a means of mitigating interstate 
transport of fine particulates and nitrogen oxides.
    CAIR NOX Ozone Season source means a source that includes one or 
more CAIR NOX Ozone Season units.
    CAIR NOX Ozone Season Trading Program means a multi-state nitrogen 
oxides air pollution control and emission reduction program approved and 
administered by the Administrator in accordance with subparts AAAA 
through IIII of this part and Sec.  51.123(aa)(1) or (2) (and (bb)(1)), 
(bb)(2), or (dd) of this chapter or established by the Administrator in 
accordance with subparts AA through II of part 97 of this chapter and 
Sec. Sec.  51.123(p) and 52.35 of this chapter, as a means of mitigating 
interstate transport of ozone and nitrogen oxides.
    CAIR NOX source means a source that is subject to the CAIR 
NOX Ozone Season Trading Program.
    CAIR permit means the legally binding and federally enforceable 
written document, or portion of such document, issued by the permitting 
authority under subpart CCC of this part, including any permit 
revisions, specifying the CAIR SO2 Trading Program 
requirements applicable to a CAIR SO2 source, to each CAIR 
SO2 unit at the source, and to the owners and operators and 
the CAIR designated representative of the source and each such unit.
    CAIR SO2 allowance means a limited authorization issued by the 
Administrator under the Acid Rain Program, or by a permitting authority 
under provisions of a State implementation plan that are approved under 
Sec.  51.124(o)(1) or (2) or (r) of this chapter or Sec.  97.288 of this 
chapter,'', by designating the last sentence of the definition as 
paragraph (4), and by revising in paragraph (4) the words ``(Program or 
under the provisions of a State implementation plan that is approved 
under Sec.  51.124(o)(1) or (2) of this chapter'' to read ``(Program, 
provisions of a State implementation plan that are approved under Sec.  
51.124(o)(1) or (2) or (r) of this chapter, or Sec.  97.288 of this 
chapter, to emit sulfur dioxide during the control period of the 
specified calendar year for which the authorization is allocated or of 
any calendar year thereafter under the CAIR SO2 Trading 
Program as follows:
    (1) For one CAIR SO2 allowance allocated for a control 
period in a year before 2010, one ton of sulfur dioxide, except as 
provided in Sec.  96.254(b);
    (2) For one CAIR SO2 allowance allocated for a control 
period in 2010 through 2014, 0.50 ton of sulfur dioxide, except as 
provided in Sec.  96.254(b); and
    (3) For one CAIR SO2 allowance allocated for a control 
period in 2015 or later, 0.35 ton of sulfur dioxide, except as provided 
in Sec.  96.254(b).
    An authorization to emit sulfur dioxide that is not issued under the 
Acid Rain Program or under the provisions of a State implementation plan 
that is approved under Sec.  51.124(o)(1) or (2) of this chapter shall 
not be a CAIR SO2 allowance.
    CAIR SO2 allowance deduction or deduct CAIR SO2 allowances means the 
permanent withdrawal of CAIR SO2 allowances by the 
Administrator from a compliance account, e.g., in order to account for a 
specified number of tons of total sulfur dioxide emissions from all CAIR 
SO2 units at a CAIR SO2 source for a control 
period, determined in accordance with subpart HHH of this part, or to 
account for excess emissions.

[[Page 995]]

    CAIR SO2 Allowance Tracking System means the system by which the 
Administrator records allocations, deductions, and transfers of CAIR 
SO2 allowances under the CAIR SO2 Trading Program. 
This is the same system as the Allowance Tracking System under Sec.  
72.2 of this chapter by which the Administrator records allocations, 
deduction, and transfers of Acid Rain SO2 allowances under 
the Acid Rain Program.
    CAIR SO2 Allowance Tracking System account means an account in the 
CAIR SO2 Allowance Tracking System established by the 
Administrator for purposes of recording the allocation, holding, 
transferring, or deducting of CAIR SO2 allowances. Such 
allowances will be allocated, held, deducted, or transferred only as 
whole allowances.
    CAIR SO2 allowances held or hold CAIR SO2 allowances means the CAIR 
SO2 allowances recorded by the Administrator, or submitted to 
the Administrator for recordation, in accordance with subparts FFF, GGG, 
and III of this part or part 73 of this chapter, in a CAIR 
SO2 Allowance Tracking System account.
    CAIR SO2 emissions limitation means, for a CAIR SO2 
source, the tonnage equivalent, in SO2 emissions in a control 
period, of the CAIR SO2 allowances available for deduction 
for the source under Sec.  96.254(a) and (b) for the control period.
    CAIR SO2 source means a source that includes one or more CAIR 
SO2 units.
    CAIR SO2 Trading Program means a multi-state sulfur dioxide air 
pollution control and emission reduction program approved and 
administered by the Administrator in accordance with subparts AAA 
through III of this part and Sec.  51.124(o)(1) or (2) of this chapter 
or established by the Administrator in accordance with subparts AAA 
through III of part 97 of this chapter and Sec. Sec.  51.124(r) and 
52.36 of this chapter, as a means of mitigating interstate transport of 
fine particulates and sulfur dioxide.
    CAIR SO2 unit means a unit that is subject to the CAIR 
SO2 Trading Program under Sec.  96.204 and, except for 
purposes of Sec.  96.205, a CAIR SO2 opt-in unit under 
subpart III of this part.
    Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et 
seq.
    Coal means any solid fuel classified as anthracite, bituminous, 
subbituminous, or lignite.
    Coal-derived fuel means any fuel (whether in a solid, liquid, or 
gaseous state) produced by the mechanical, thermal, or chemical 
processing of coal.
    Coal-fired means combusting any amount of coal or coal-derived fuel, 
alone, or in combination with any amount of any other fuel.
    Cogeneration unit means a stationary, fossil-fuel-fired boiler or 
stationary, fossil-fuel-fired combustion turbine:
    (1) Having equipment used to produce electricity and useful thermal 
energy for industrial, commercial, heating, or cooling purposes through 
the sequential use of energy; and
    (2) Producing during the 12-month period starting on the date the 
unit first produces electricity and during any calendar year after the 
calendar year in which the unit first produces electricity--
    (i) For a topping-cycle cogeneration unit,
    (A) Useful thermal energy not less than 5 percent of total energy 
output; and
    (B) Useful power that, when added to one-half of useful thermal 
energy produced, is not less then 42.5 percent of total energy input, if 
useful thermal energy produced is 15 percent or more of total energy 
output, or not less than 45 percent of total energy input, if useful 
thermal energy produced is less than 15 percent of total energy output.
    (ii) For a bottoming-cycle cogeneration unit, useful power not less 
than 45 percent of total energy input;
    (3) Provided that the total energy input under paragraphs (2)(i)(B) 
and (2)(ii) of this definition shall equal the unit's total energy input 
from all fuel except biomass if the unit is a boiler.
    Combustion turbine means:
    (1) An enclosed device comprising a compressor, a combustor, and a 
turbine and in which the flue gas resulting from the combustion of fuel 
in the combustor passes through the turbine, rotating the turbine; and
    (2) If the enclosed device under paragraph (1) of this definition is 
combined

[[Page 996]]

cycle, any associated duct burner, heat recovery steam generator, and 
steam turbine.
    Commence commercial operation means, with regard to a unit:
    (1) To have begun to produce steam, gas, or other heated medium used 
to generate electricity for sale or use, including test generation, 
except as provided in Sec.  96.205 and Sec.  96.284(h).
    (i) For a unit that is a CAIR SO2 unit under Sec.  96.204 
on the later of November 15, 1990 or the date the unit commences 
commercial operation as defined in paragraph (1) of this definition and 
that subsequently undergoes a physical change (other than replacement of 
the unit by a unit at the same source), such date shall remain the date 
of commencement of commercial operation of the unit, which shall 
continue to be treated as the same unit.
    (ii) For a unit that is a CAIR SO2 unit under Sec.  
96.204 on the later of November 15, 1990 or the date the unit commences 
commercial operation as defined in paragraph (1) of this definition and 
that is subsequently replaced by a unit at the same source (e.g., 
repowered), such date shall remain the replaced unit's date of 
commencement of commercial operation, and the replacement unit shall be 
treated as a separate unit with a separate date for commencement of 
commercial operation as defined in paragraph (1) or (2) of this 
definition as appropriate.
    (2) Notwithstanding paragraph (1) of this definition and except as 
provided in Sec.  96.205, for a unit that is not a CAIR SO2 
unit under Sec.  96.204 on the later of November 15, 1990 or the date 
the unit commences commercial operation as defined in paragraph (1) of 
this definition, the unit's date for commencement of commercial 
operation shall be the date on which the unit becomes a CAIR 
SO2 unit under Sec.  96.204.
    (i) For a unit with a date for commencement of commercial operation 
as defined in paragraph (2) of this definition and that subsequently 
undergoes a physical change (other than replacement of the unit by a 
unit at the same source), such date shall remain the date of 
commencement of commercial operation of the unit, which shall continue 
to be treated as the same unit.
    (ii) For a unit with a date for commencement of commercial operation 
as defined in paragraph (2) of this definition and that is subsequently 
replaced by a unit at the same source (e.g., repowered), such date shall 
remain the replaced unit's date of commencement of commercial operation, 
and the replacement unit shall be treated as a separate unit with a 
separate date for commencement of commercial operation as defined in 
paragraph (1) or (2) of this definition as appropriate.
    Commence operation means:
    (1) To have begun any mechanical, chemical, or electronic process, 
including, with regard to a unit, start-up of a unit's combustion 
chamber, except as provided in Sec.  96.284(h).
    (2) For a unit that undergoes a physical change (other than 
replacement of the unit by a unit at the same source) after the date the 
unit commences operation as defined in paragraph (1) of this definition, 
such date shall remain the date of commencement of operation of the 
unit, which shall continue to be treated as the same unit.
    (3) For a unit that is replaced by a unit at the same source (e.g., 
repowered) after the date the unit commences operation as defined in 
paragraph (1) of this definition, such date shall remain the replaced 
unit's date of commencement of operation, and the replacement unit shall 
be treated as a separate unit with a separate date for commencement of 
operation as defined in paragraph (1), (2), or (3) of this definition as 
appropriate, except as provided in (96.284(h).
    Compliance account means a CAIR SO2 Allowance Tracking 
System account, established by the Administrator for a CAIR 
SO2 source subject to an Acid Rain emissions limitations 
under Sec.  73.31(a) or (b) of this chapter or for any other CAIR 
SO2 source under subpart FFF or III of this part, in which 
any CAIR SO2 allowance allocations for the CAIR 
SO2 units at the source are initially recorded and in which 
are held any CAIR SO2 allowances available for use for a 
control period in order to meet the source's CAIR SO2 
emissions limitation in accordance with Sec.  96.254.
    Continuous emission monitoring system or CEMS means the equipment 
required

[[Page 997]]

under subpart HHH of this part to sample, analyze, measure, and provide, 
by means of readings recorded at least once every 15 minutes (using an 
automated data acquisition and handling system (DAHS)), a permanent 
record of sulfur dioxide emissions, stack gas volumetric flow rate, 
stack gas moisture content, and oxygen or carbon dioxide concentration 
(as applicable), in a manner consistent with part 75 of this chapter. 
The following systems are the principal types of continuous emission 
monitoring systems required under subpart HHH of this part:
    (1) A flow monitoring system, consisting of a stack flow rate 
monitor and an automated data acquisition and handling system and 
providing a permanent, continuous record of stack gas volumetric flow 
rate, in standard cubic feet per hour (scfh);
    (2) A sulfur dioxide monitoring system, consisting of a 
SO2 pollutant concentration monitor and an automated data 
acquisition handling system and providing a permanent, continuous record 
of SO2 emissions, in parts per million (ppm);
    (3) A moisture monitoring system, as defined in Sec.  75.11(b)(2) of 
this chapter and providing a permanent, continuous record of the stack 
gas moisture content, in percent H2O;
    (4) A carbon dioxide monitoring system, consisting of a 
CO2 pollutant concentration monitor (or an oxygen monitor 
plus suitable mathematical equations from which the CO2 
concentration is derived) and an automated data acquisition and handling 
system and providing a permanent, continuous record of CO2 
emissions, in percent CO2; and
    (5) An oxygen monitoring system, consisting of an O2 
concentration monitor and an automated data acquisition and handling 
system and providing a permanent, continuous record of O2 in 
percent O2.
    Control period means the period beginning January 1 of a calendar 
year, except as provided in Sec.  96.206(c)(2), and ending on December 
31 of the same year, inclusive.
    Emissions means air pollutants exhausted from a unit or source into 
the atmosphere, as measured, recorded, and reported to the Administrator 
by the CAIR designated representative and as determined by the 
Administrator in accordance with subpart HHH of this part.
    Excess emissions means any ton, or portion of a ton, of sulfur 
dioxide emitted by the CAIR SO2 units at a CAIR 
SO2 source during a control period that exceeds the CAIR 
SO2 emissions limitation for the source, provided that any 
portion of a ton of excess emissions shall be treated as one ton of 
excess emissions.
    Fossil fuel means natural gas, petroleum, coal, or any form of 
solid, liquid, or gaseous fuel derived from such material.
    Fossil-fuel-fired means, with regard to a unit, combusting any 
amount of fossil fuel in any calendar year.
    General account means a CAIR SO2 Allowance Tracking 
System account, established under subpart FFF of this part, that is not 
a compliance account.
    Generator means a device that produces electricity.
    Heat input means, with regard to a specified period of time, the 
product (in mmBtu/time) of the gross calorific value of the fuel (in 
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed 
rate into a combustion device (in lb of fuel/time), as measured, 
recorded, and reported to the Administrator by the CAIR designated 
representative and determined by the Administrator in accordance with 
subpart HHH of this part and excluding the heat derived from preheated 
combustion air, recirculated flue gases, or exhaust from other sources.
    Heat input rate means the amount of heat input (in mmBtu) divided by 
unit operating time (in hr) or, with regard to a specific fuel, the 
amount of heat input attributed to the fuel (in mmBtu) divided by the 
unit operating time (in hr) during which the unit combusts the fuel.
    Hg Budget Trading Program means a multi-state Hg air pollution 
control and emission reduction program approved and administered by the 
Administrator in accordance subpart HHHH of part 60 of this chapter and 
Sec.  60.24(h)(6), or established by the Administrator under section 111 
of the Clean Air Act, as a means of reducing national Hg emissions.

[[Page 998]]

    Life-of-the-unit, firm power contractual arrangement means a unit 
participation power sales agreement under which a utility or industrial 
customer reserves, or is entitled to receive, a specified amount or 
percentage of nameplate capacity and associated energy generated by any 
specified unit and pays its proportional amount of such unit's total 
costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including 
contracts that permit an election for early termination; or
    (3) For a period no less than 25 years or 70 percent of the economic 
useful life of the unit determined as of the time the unit is built, 
with option rights to purchase or release some portion of the nameplate 
capacity and associated energy generated by the unit at the end of the 
period.
    Maximum design heat input means the maximum amount of fuel per hour 
(in Btu/hr) that a unit is capable of combusting on a steady state basis 
as of the initial installation of the unit as specified by the 
manufacturer of the unit.
    Monitoring system means any monitoring system that meets the 
requirements of subpart HHH of this part, including a continuous 
emissions monitoring system, an alternative monitoring system, or an 
excepted monitoring system under part 75 of this chapter.
    Most stringent State or Federal SO2 emissions limitation 
means, with regard to a unit, the lowest SO2 emissions 
limitation (in terms of lb/mmBtu) that is applicable to the unit under 
State or Federal law, regardless of the averaging period to which the 
emissions limitation applies.
    Nameplate capacity means, starting from the initial installation of 
a generator, the maximum electrical generating output (in MWe) that the 
generator is capable of producing on a steady state basis and during 
continuous operation (when not restricted by seasonal or other 
deratings) as of such installation as specified by the manufacturer of 
the generator or, starting from the completion of any subsequent 
physical change in the generator resulting in an increase in the maximum 
electrical generating output (in MWe) that the generator is capable of 
producing on a steady state basis and during continuous operation (when 
not restricted by seasonal or other deratings), such increased maximum 
amount as of such completion as specified by the person conducting the 
physical change.
    Operator means any person who operates, controls, or supervises a 
CAIR SO2 unit or a CAIR SO2 source and shall 
include, but not be limited to, any holding company, utility system, or 
plant manager of such a unit or source.
    Owner means any of the following persons:
    (1) With regard to a CAIR SO2 source or a CAIR 
SO2 unit at a source, respectively:
    (i) Any holder of any portion of the legal or equitable title in a 
CAIR SO2 unit at the source or the CAIR SO2 unit;
    (ii) Any holder of a leasehold interest in a CAIR SO2 
unit at the source or the CAIR SO2 unit; or
    (iii) Any purchaser of power from a CAIR SO2 unit at the 
source or the CAIR SO2 unit under a life-of-the-unit, firm 
power contractual arrangement; provided that, unless expressly provided 
for in a leasehold agreement, owner shall not include a passive lessor, 
or a person who has an equitable interest through such lessor, whose 
rental payments are not based (either directly or indirectly) on the 
revenues or income from such CAIR SO2 unit; or
    (2) With regard to any general account, any person who has an 
ownership interest with respect to the CAIR SO2 allowances 
held in the general account and who is subject to the binding agreement 
for the CAIR authorized account representative to represent the person's 
ownership interest with respect to CAIR SO2 allowances.
    Permitting authority means the State air pollution control agency, 
local agency, other State agency, or other agency authorized by the 
Administrator to issue or revise permits to meet the requirements of the 
CAIR SO2 Trading Program or, if no such agency has been so 
authorized, the Administrator.

[[Page 999]]

    Potential electrical output capacity means 33 percent of a unit's 
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 
kWh/MWh, and multiplied by 8,760 hr/yr.
    Receive or receipt of means, when referring to the permitting 
authority or the Administrator, to come into possession of a document, 
information, or correspondence (whether sent in hard copy or by 
authorized electronic transmission), as indicated in an official log, or 
by a notation made on the document, information, or correspondence, by 
the permitting authority or the Administrator in the regular course of 
business.
    Recordation, record, or recorded means, with regard to CAIR 
SO2 allowances, the movement of CAIR SO2 
allowances by the Administrator into or between CAIR SO2 
Allowance Tracking System accounts, for purposes of allocation, 
transfer, or deduction.
    Reference method means any direct test method of sampling and 
analyzing for an air pollutant as specified in Sec.  75.22 of this 
chapter.
    Replacement, replace, or replaced means, with regard to a unit, the 
demolishing of a unit, or the permanent shutdown and permanent disabling 
of a unit, and the construction of another unit (the replacement unit) 
to be used instead of the demolished or shutdown unit (the replaced 
unit).
    Repowered means, with regard to a unit, replacement of a coal-fired 
boiler with one of the following coal-fired technologies at the same 
source as the coal-fired boiler:
    (1) Atmospheric or pressurized fluidized bed combustion;
    (2) Integrated gasification combined cycle;
    (3) Magnetohydrodynamics;
    (4) Direct and indirect coal-fired turbines;
    (5) Integrated gasification fuel cells; or
    (6) As determined by the Administrator in consultation with the 
Secretary of Energy, a derivative of one or more of the technologies 
under paragraphs (1) through (5) of this definition and any other coal-
fired technology capable of controlling multiple combustion emissions 
simultaneously with improved boiler or generation efficiency and with 
significantly greater waste reduction relative to the performance of 
technology in widespread commercial use as of January 1, 2005.
    Serial number means, for a CAIR SO2 allowance, the unique 
identification number assigned to each CAIR SO2 allowance by 
the Administrator.
    Sequential use of energy means:
    (1) For a topping-cycle cogeneration unit, the use of reject heat 
from electricity production in a useful thermal energy application or 
process; or
    (2) For a bottoming-cycle cogeneration unit, the use of reject heat 
from useful thermal energy application or process in electricity 
production.
    Solid waste incineration unit means a stationary, fossil-fuel-fired 
boiler or stationary, fossil-fuel-fired combustion turbine that is a 
``solid waste incineration unit'' as defined in section 129(g)(1) of the 
Clean Air Act.
    Source means all buildings, structures, or installations located in 
one or more contiguous or adjacent properties under common control of 
the same person or persons. For purposes of section 502(c) of the Clean 
Air Act, a ``source,'' including a ``source'' with multiple units, shall 
be considered a single ``facility.''
    State means one of the States or the District of Columbia that 
adopts the CAIR SO2 Trading Program pursuant to Sec.  51.124 
(o)(1) or (2) of this chapter.
    Submit or serve means to send or transmit a document, information, 
or correspondence to the person specified in accordance with the 
applicable regulation:
    (1) In person;
    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery. 
Compliance with any ``submission'' or ``service'' deadline shall be 
determined by the date of dispatch, transmission, or mailing and not the 
date of receipt.
    Title V operating permit means a permit issued under title V of the 
Clean Air Act and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the 
Administrator has approved or issued as meeting the requirements of 
title V of

[[Page 1000]]

the Clean Air Act and part 70 or 71 of this chapter.
    Ton means 2,000 pounds. For the purpose of determining compliance 
with the CAIR SO2 emissions limitation, total tons of sulfur 
dioxide emissions for a control period shall be calculated as the sum of 
all recorded hourly emissions (or the mass equivalent of the recorded 
hourly emission rates) in accordance with subpart HHH of this part, but 
with any remaining fraction of a ton equal to or greater than 0.50 tons 
deemed to equal one ton and any remaining fraction of a ton less than 
0.50 tons deemed to equal zero tons.
    Topping-cycle cogeneration unit means a cogeneration unit in which 
the energy input to the unit is first used to produce useful power, 
including electricity, and at least some of the reject heat from the 
electricity production is then used to provide useful thermal energy.
    Total energy input means, with regard to a cogeneration unit, total 
energy of all forms supplied to the cogeneration unit, excluding energy 
produced by the cogeneration unit itself. Each form of energy supplied 
shall be measured by the lower heating value of that form of energy 
calculated as follows:

LHV = HHV-10.55(W + 9H)

Where:

LHV = lower heating value of fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.

    Total energy output means, with regard to a cogeneration unit, the 
sum of useful power and useful thermal energy produced by the 
cogeneration unit.
    Unit means a stationary, fossil-fuel-fired boiler or combustion 
turbine or other stationary, fossil-fuel-fired combustion device.
    Unit operating day means a calendar day in which a unit combusts any 
fuel.
    Unit operating hour or hour of unit operation means an hour in which 
a unit combusts any fuel.
    Useful power means, with regard to a cogeneration unit, electricity 
or mechanical energy made available for use, excluding any such energy 
used in the power production process (which process includes, but is not 
limited to, any on-site processing or treatment of fuel combusted at the 
unit and any on-site emission controls).
    Useful thermal energy means, with regard to a cogeneration unit, 
thermal energy that is:
    (1) Made available to an industrial or commercial process (not a 
power production process), excluding any heat contained in condensate 
return or makeup water;
    (2) Used in a heating application (e.g., space heating or domestic 
hot water heating); or
    (3) Used in a space cooling application (i.e., thermal energy used 
by an absorption chiller).
    Utility power distribution system means the portion of an 
electricity grid owned or operated by a utility and dedicated to 
delivering electricity to customers.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25385, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006; 72 FR 59206, Oct. 19, 2007]

    Editorial Notes: 1. At 71 FR 25386, Apr. 28, 2006, Sec.  96.202 was 
amended in the definition of ``CAIR NOX Ozone Season 
source'', by revising the words ``includes one or more CAIR 
NOX Ozone Season unit'' to read ``is subject to the CAIR 
NOX Ozone Season Trading Program''; however, those words do 
not exist in this section and the amendment could not be incorporated.

    2. At 71 FR 74794, Dec. 13, 2006, Sec.  96.202 was amended in the 
definition of ``CAIR SO2 allowance'' in paragraph (4), by 
revising the words ``(Program, provisions'' to read ``Program, 
provisions''; however, paragraph (4) does not exist in this section and 
the amendment could not be incorporated.



Sec.  96.203  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this subpart and 
subparts BBB through III are defined as follows:

Btu--British thermal unit
CO2--carbon dioxide
H2O--water
Hg--mercury
hr--hour
kW--kilowatt electrical
kWh--kilowatt hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt hour
NOX--nitrogen oxides
O2--oxygen
ppm--parts per million

[[Page 1001]]

scfh--standard cubic feet per hour
SO2--sulfur dioxide
yr--year

[71 FR 25387, Apr. 28, 2006]



Sec.  96.204  Applicability.

    (a) Except as provided in paragraph (b) of this section:
    (1) The following units in a State shall be CAIR SO2 
units, and any source that includes one or more such units shall be a 
CAIR SO2 source, subject to the requirements of this subpart 
and subparts BBB through HHH of this part: any stationary, fossil-fuel-
fired boiler or stationary, fossil-fuel-fired combustion turbine serving 
at any time, since the later of November 15, 1990 or the start-up of the 
unit's combustion chamber, a generator with nameplate capacity of more 
than 25 MWe producing electricity for sale.
    (2) If a stationary boiler or stationary combustion turbine that, 
under paragraph (a)(1) of this section, is not a CAIR SO2 
unit begins to combust fossil fuel or to serve a generator with 
nameplate capacity of more than 25 MWe producing electricity for sale, 
the unit shall become a CAIR SO2 unit as provided in 
paragraph (a)(1) of this section on the first date on which it both 
combusts fossil fuel and serves such generator.
    (b) The units in a State that meet the requirements set forth in 
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not 
be CAIR SO2 units:
    (1)(i) Any unit that is a CAIR SO2 unit under paragraph 
(a)(1) or (2) of this section:
    (A) Qualifying as a cogeneration unit during the 12-month period 
starting on the date the unit first produces electricity and continuing 
to qualify as a cogeneration unit; and
    (B) Not serving at any time, since the later of November 15, 1990 or 
the start-up of the unit's combustion chamber, a generator with 
nameplate capacity of more than 25 MWe supplying in any calendar year 
more than one-third of the unit's potential electric output capacity or 
219,000 MWh, whichever is greater, to any utility power distribution 
system for sale.
    (ii) If a unit qualifies as a cogeneration unit during the 12-month 
period starting on the date the unit first produces electricity and 
meets the requirements of paragraphs (b)(1)(i) of this section for at 
least one calendar year, but subsequently no longer meets all such 
requirements, the unit shall become a CAIR SO2 unit starting 
on the earlier of January 1 after the first calendar year during which 
the unit first no longer qualifies as a cogeneration unit or January 1 
after the first calendar year during which the unit no longer meets the 
requirements of paragraph (b)(1)(i)(B) of this section.
    (2)(i) Any unit that is a CAIR SO2 unit under paragraph 
(a)(1) or (2) of this section commencing operation before January 1, 
1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for 
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual 
fuel consumption of non-fossil fuel for any 3 consecutive calendar years 
after 1990 exceeding 80 percent (on a Btu basis).
    (ii) Any unit that is a CAIR SO2 unit under paragraph 
(a)(1) or (2) of this section commencing operation on or after January 
1, 1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for 
the first 3 calendar years of operation exceeding 80 percent (on a Btu 
basis) and an average annual fuel consumption of non-fossil fuel for any 
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu 
basis).
    (iii) If a unit qualifies as a solid waste incineration unit and 
meets the requirements of paragraph (b)(2)(i) or (ii) of this section 
for at least 3 consecutive calendar years, but subsequently no longer 
meets all such requirements, the unit shall become a CAIR SO2 
unit starting on the earlier of January 1 after the first calendar year 
during which the unit first no longer qualifies as a solid waste 
incineration unit or January 1 after the first 3 consecutive calendar 
years after 1990 for which the unit has an average annual fuel 
consumption of fossil fuel of 20 percent or more.

[71 FR 25387, Apr. 28, 2006]

[[Page 1002]]



Sec.  96.205  Retired unit exemption.

    (a)(1) Any CAIR SO2 unit that is permanently retired and 
is not a CAIR SO2 opt-in unit under subpart III of this part 
shall be exempt from the CAIR SO2 Trading Program, except for 
the provisions of this section, Sec.  96.202, Sec.  96.203, Sec.  
96.204, Sec.  96.206(c)(4) through (7), Sec.  96.207, Sec.  96.208, and 
subparts BBB, FFF, and GGG of this part.
    (2) The exemption under paragraph (a)(1) of this section shall 
become effective the day on which the CAIR SO2 unit is 
permanently retired. Within 30 days of the unit's permanent retirement, 
the CAIR designated representative shall submit a statement to the 
permitting authority otherwise responsible for administering any CAIR 
permit for the unit and shall submit a copy of the statement to the 
Administrator. The statement shall state, in a format prescribed by the 
permitting authority, that the unit was permanently retired on a 
specific date and will comply with the requirements of paragraph (b) of 
this section.
    (3) After receipt of the statement under paragraph (a)(2) of this 
section, the permitting authority will amend any permit under subpart 
CCC of this part covering the source at which the unit is located to add 
the provisions and requirements of the exemption under paragraphs (a)(1) 
and (b) of this section.
    (b) Special provisions. (1) A unit exempt under paragraph (a) of 
this section shall not emit any sulfur dioxide, starting on the date 
that the exemption takes effect.
    (2) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under paragraph (a) of this 
section shall retain, at the source that includes the unit, records 
demonstrating that the unit is permanently retired. The 5-year period 
for keeping records may be extended for cause, at any time before the 
end of the period, in writing by the permitting authority or the 
Administrator. The owners and operators bear the burden of proof that 
the unit is permanently retired.
    (3) The owners and operators and, to the extent applicable, the CAIR 
designated representative of a unit exempt under paragraph (a) of this 
section shall comply with the requirements of the CAIR SO2 
Trading Program concerning all periods for which the exemption is not in 
effect, even if such requirements arise, or must be complied with, after 
the exemption takes effect.
    (4) A unit exempt under paragraph (a) of this section and located at 
a source that is required, or but for this exemption would be required, 
to have a title V operating permit shall not resume operation unless the 
CAIR designated representative of the source submits a complete CAIR 
permit application under Sec.  96.222 for the unit not less than 18 
months (or such lesser time provided by the permitting authority) before 
the later of January 1, 2010 or the date on which the unit resumes 
operation.
    (5) On the earlier of the following dates, a unit exempt under 
paragraph (a) of this section shall lose its exemption:
    (i) The date on which the CAIR designated representative submits a 
CAIR permit application for the unit under paragraph (b)(4) of this 
section;
    (ii) The date on which the CAIR designated representative is 
required under paragraph (b)(4) of this section to submit a CAIR permit 
application for the unit; or
    (iii) The date on which the unit resumes operation, if the CAIR 
designated representative is not required to submit a CAIR permit 
application for the unit.
    (6) For the purpose of applying monitoring, reporting, and 
recordkeeping requirements under subpart HHH of this part, a unit that 
loses its exemption under paragraph (a) of this section shall be treated 
as a unit that commences commercial operation on the first date on which 
the unit resumes operation.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]



Sec.  96.206  Standard requirements.

    (a) Permit requirements. (1) The CAIR designated representative of 
each CAIR SO2 source required to have a title V operating 
permit and each CAIR SO2 unit required to have a title V 
operating permit at the source shall:

[[Page 1003]]

    (i) Submit to the permitting authority a complete CAIR permit 
application under Sec.  96.222 in accordance with the deadlines 
specified in Sec.  96.221; and
    (ii) Submit in a timely manner any supplemental information that the 
permitting authority determines is necessary in order to review a CAIR 
permit application and issue or deny a CAIR permit.
    (2) The owners and operators of each CAIR SO2 source 
required to have a title V operating permit and each CAIR SO2 
unit required to have a title V operating permit at the source shall 
have a CAIR permit issued by the permitting authority under subpart CCC 
of this part for the source and operate the source and the unit in 
compliance with such CAIR permit.
    (3) Except as provided in subpart III of this part, the owners and 
operators of a CAIR SO2 source that is not otherwise required 
to have a title V operating permit and each CAIR SO2 unit 
that is not otherwise required to have a title V operating permit are 
not required to submit a CAIR permit application, and to have a CAIR 
permit, under subpart CCC of this part for such CAIR SO2 
source and such CAIR SO2 unit.
    (b) Monitoring, reporting, and recordkeeping requirements. (1) The 
owners and operators, and the CAIR designated representative, of each 
CAIR SO2 source and each CAIR SO2 unit at the 
source shall comply with the monitoring, reporting, and recordkeeping 
requirements of subpart HHH of this part.
    (2) The emissions measurements recorded and reported in accordance 
with subpart HHH of this part shall be used to determine compliance by 
each CAIR SO2 source with the CAIR SO2 emissions 
limitation under paragraph (c) of this section.
    (c) Sulfur dioxide emission requirements. (1) As of the allowance 
transfer deadline for a control period, the owners and operators of each 
CAIR SO2 source and each CAIR SO2 unit at the 
source shall hold, in the source's compliance account, a tonnage 
equivalent in CAIR SO2 allowances available for compliance 
deductions for the control period, as determined in accordance with 
Sec.  96.254(a) and (b), not less than the tons of total sulfur dioxide 
emissions for the control period from all CAIR SO2 units at 
the source, as determined in accordance with subpart HHH of this part.
    (2) A CAIR SO2 unit shall be subject to the requirements 
under paragraph (c)(1) of this section for the control period starting 
on the later of January 1, 2010 or the deadline for meeting the unit's 
monitor certification requirements under Sec.  96.270(b)(1), (2), or (5) 
and for each control period thereafter.
    (3) A CAIR SO2 allowance shall not be deducted, for 
compliance with the requirements under paragraph (c)(1) of this section, 
for a control period in a calendar year before the year for which the 
CAIR SO2 allowance was allocated.
    (4) CAIR SO2 allowances shall be held in, deducted from, 
or transferred into or among CAIR SO2 Allowance Tracking 
System accounts in accordance with subparts FFF, GGG, and III of this 
part.
    (5) A CAIR SO2 allowance is a limited authorization to 
emit sulfur dioxide in accordance with the CAIR SO2 Trading 
Program. No provision of the CAIR SO2 Trading Program, the 
CAIR permit application, the CAIR permit, or an exemption under Sec.  
96.205 and no provision of law shall be construed to limit the authority 
of the State or the United States to terminate or limit such 
authorization.
    (6) A CAIR SO2 allowance does not constitute a property 
right.
    (7) Upon recordation by the Administrator under subpart FFF, GGG, or 
III of this part, every allocation, transfer, or deduction of a CAIR 
SO2 allowance to or from a CAIR SO2 source's 
compliance account is incorporated automatically in any CAIR permit of 
the source.
    (d) Excess emissions requirements-- If a CAIR SO2 source 
emits sulfur dioxide during any control period in excess of the CAIR 
SO2 emissions limitation, then:
    (1) The owners and operators of the source and each CAIR 
SO2 unit at the source shall surrender the CAIR 
SO2 allowances required for deduction under Sec.  
96.254(d)(1) and pay any fine, penalty, or assessment or comply with any 
other remedy imposed, for the same violations, under the Clean Air Act 
or applicable State law; and

[[Page 1004]]

    (2) Each ton of such excess emissions and each day of such control 
period shall constitute a separate violation of this subpart, the Clean 
Air Act, and applicable State law.
    (e) Recordkeeping and reporting requirements. (1) Unless otherwise 
provided, the owners and operators of the CAIR SO2 source and 
each CAIR SO2 unit at the source shall keep on site at the 
source each of the following documents for a period of 5 years from the 
date the document is created. This period may be extended for cause, at 
any time before the end of 5 years, in writing by the permitting 
authority or the Administrator.
    (i) The certificate of representation under Sec.  96.213 for the 
CAIR designated representative for the source and each CAIR 
SO2 unit at the source and all documents that demonstrate the 
truth of the statements in the certificate of representation; provided 
that the certificate and documents shall be retained on site at the 
source beyond such 5-year period until such documents are superseded 
because of the submission of a new certificate of representation under 
Sec.  96.213 changing the CAIR designated representative.
    (ii) All emissions monitoring information, in accordance with 
subpart HHH of this part, provided that to the extent that subpart HHH 
of this part provides for a 3-year period for recordkeeping, the 3-year 
period shall apply.
    (iii) Copies of all reports, compliance certifications, and other 
submissions and all records made or required under the CAIR 
SO2 Trading Program.
    (iv) Copies of all documents used to complete a CAIR permit 
application and any other submission under the CAIR SO2 
Trading Program or to demonstrate compliance with the requirements of 
the CAIR SO2 Trading Program.
    (2) The CAIR designated representative of a CAIR SO2 
source and each CAIR SO2 unit at the source shall submit the 
reports required under the CAIR SO2 Trading Program, 
including those under subpart HHH of this part.
    (f) Liability. (1) Each CAIR SO2 source and each CAIR 
SO2 unit shall meet the requirements of the CAIR 
SO2 Trading Program.
    (2) Any provision of the CAIR SO2 Trading Program that 
applies to a CAIR SO2 source or the CAIR designated 
representative of a CAIR SO2 source shall also apply to the 
owners and operators of such source and of the CAIR SO2 units 
at the source.
    (3) Any provision of the CAIR SO2 Trading Program that 
applies to a CAIR SO2 unit or the CAIR designated 
representative of a CAIR SO2 unit shall also apply to the 
owners and operators of such unit.
    (g) Effect on other authorities. No provision of the CAIR 
SO2 Trading Program, a CAIR permit application, a CAIR 
permit, or an exemption under Sec.  96.205 shall be construed as 
exempting or excluding the owners and operators, and the CAIR designated 
representative, of a CAIR SO2 source or CAIR SO2 
unit from compliance with any other provision of the applicable, 
approved State implementation plan, a federally enforceable permit, or 
the Clean Air Act.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.207  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the 
CAIR SO2 Trading Program, to begin on the occurrence of an 
act or event shall begin on the day the act or event occurs.
    (b) Unless otherwise stated, any time period scheduled, under the 
CAIR SO2 Trading Program, to begin before the occurrence of 
an act or event shall be computed so that the period ends the day before 
the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period, 
under the CAIR SO2 Trading Program, falls on a weekend or a 
State or Federal holiday, the time period shall be extended to the next 
business day.



Sec.  96.208  Appeal procedures.

    The appeal procedures for decisions of the Administrator under the 
CAIR SO2 Trading Program are set forth in part 78 of this 
chapter.

[[Page 1005]]



     Subpart BBB_CAIR Designated Representative for CAIR SO2 Sources

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.210  Authorization and responsibilities of CAIR designated 
representative.

    (a) Except as provided under Sec.  96.211, each CAIR SO2 
source, including all CAIR SO2 units at the source, shall 
have one and only one CAIR designated representative, with regard to all 
matters under the CAIR SO2 Trading Program concerning the 
source or any CAIR SO2 unit at the source.
    (b) The CAIR designated representative of the CAIR SO2 
source shall be selected by an agreement binding on the owners and 
operators of the source and all CAIR SO2 units at the source 
and shall act in accordance with the certification statement in Sec.  
96.213(a)(4)(iv).
    (c) Upon receipt by the Administrator of a complete certificate of 
representation under Sec.  96.213, the CAIR designated representative of 
the source shall represent and, by his or her representations, actions, 
inactions, or submissions, legally bind each owner and operator of the 
CAIR SO2 source represented and each CAIR SO2 unit 
at the source in all matters pertaining to the CAIR SO2 
Trading Program, notwithstanding any agreement between the CAIR 
designated representative and such owners and operators. The owners and 
operators shall be bound by any decision or order issued to the CAIR 
designated representative by the permitting authority, the 
Administrator, or a court regarding the source or unit.
    (d) No CAIR permit will be issued, no emissions data reports will be 
accepted, and no CAIR SO2 Allowance Tracking System account 
will be established for a CAIR SO2 unit at a source, until 
the Administrator has received a complete certificate of representation 
under Sec.  96.213 for a CAIR designated representative of the source 
and the CAIR SO2 units at the source.
    (e)(1) Each submission under the CAIR SO2 Trading Program 
shall be submitted, signed, and certified by the CAIR designated 
representative for each CAIR SO2 source on behalf of which 
the submission is made. Each such submission shall include the following 
certification statement by the CAIR designated representative: ``I am 
authorized to make this submission on behalf of the owners and operators 
of the source or units for which the submission is made. I certify under 
penalty of law that I have personally examined, and am familiar with, 
the statements and information submitted in this document and all its 
attachments. Based on my inquiry of those individuals with primary 
responsibility for obtaining the information, I certify that the 
statements and information are to the best of my knowledge and belief 
true, accurate, and complete. I am aware that there are significant 
penalties for submitting false statements and information or omitting 
required statements and information, including the possibility of fine 
or imprisonment.''
    (2) The permitting authority and the Administrator will accept or 
act on a submission made on behalf of owner or operators of a CAIR 
SO2 source or a CAIR SO2 unit only if the 
submission has been made, signed, and certified in accordance with 
paragraph (e)(1) of this section.



Sec.  96.211  Alternate CAIR designated representative.

    (a) A certificate of representation under Sec.  96.213 may designate 
one and only one alternate CAIR designated representative, who may act 
on behalf of the CAIR designated representative. The agreement by which 
the alternate CAIR designated representative is selected shall include a 
procedure for authorizing the alternate CAIR designated representative 
to act in lieu of the CAIR designated representative.
    (b) Upon receipt by the Administrator of a complete certificate of 
representation under Sec.  96.213, any representation, action, inaction, 
or submission by the alternate CAIR designated representative shall be 
deemed to be a representation, action, inaction, or submission by the 
CAIR designated representative.
    (c) Except in this section and Sec. Sec.  96.202, 96.210(a) and (d), 
96.212, 96.213, 96.215, 96.251, and 96.282, whenever the

[[Page 1006]]

term ``CAIR designated representative'' is used in subparts AAA through 
III of this part, the term shall be construed to include the CAIR 
designated representative or any alternate CAIR designated 
representative.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]



Sec.  96.212  Changing CAIR designated representative and alternate CAIR 
designated representative; changes in owners and operators.

    (a) Changing CAIR designated representative. The CAIR designated 
representative may be changed at any time upon receipt by the 
Administrator of a superseding complete certificate of representation 
under Sec.  96.213. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
CAIR designated representative before the time and date when the 
Administrator receives the superseding certificate of representation 
shall be binding on the new CAIR designated representative and the 
owners and operators of the CAIR SO2 source and the CAIR 
SO2 units at the source.
    (b) Changing alternate CAIR designated representative. The alternate 
CAIR designated representative may be changed at any time upon receipt 
by the Administrator of a superseding complete certificate of 
representation under Sec.  96.213. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
alternate CAIR designated representative before the time and date when 
the Administrator receives the superseding certificate of representation 
shall be binding on the new alternate CAIR designated representative and 
the owners and operators of the CAIR SO2 source and the CAIR 
SO2 units at the source.
    (c) Changes in owners and operators. (1) In the event an owner or 
operator of a CAIR SO2 source or a CAIR SO2 unit 
is not included in the list of owners and operators in the certificate 
of representation under Sec.  96.213, such owner or operator shall be 
deemed to be subject to and bound by the certificate of representation, 
the representations, actions, inactions, and submissions of the CAIR 
designated representative and any alternate CAIR designated 
representative of the source or unit, and the decisions and orders of 
the permitting authority, the Administrator, or a court, as if the owner 
or operator were included in such list.
    (2) Within 30 days following any change in the owners and operators 
of a CAIR SO2 source or a CAIR SO2 unit, including 
the addition of a new owner or operator, the CAIR designated 
representative or any alternate CAIR designated representative shall 
submit a revision to the certificate of representation under Sec.  
96.213 amending the list of owners and operators to include the change.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]



Sec.  96.213  Certificate of representation.

    (a) A complete certificate of representation for a CAIR designated 
representative or an alternate CAIR designated representative shall 
include the following elements in a format prescribed by the 
Administrator:
    (1) Identification of the CAIR SO2 source, and each CAIR 
SO2 unit at the source, for which the certificate of 
representation is submitted, including identification and nameplate 
capacity of each generator served by each such unit.
    (2) The name, address, e-mail address (if any), telephone number, 
and facsimile transmission number (if any) of the CAIR designated 
representative and any alternate CAIR designated representative.
    (3) A list of the owners and operators of the CAIR SO2 
source and of each CAIR SO2 unit at the source.
    (4) The following certification statements by the CAIR designated 
representative and any alternate CAIR designated representative--
    (i) ``I certify that I was selected as the CAIR designated 
representative or alternate CAIR designated representative, as 
applicable, by an agreement binding on the owners and operators of the 
source and each CAIR SO2 unit at the source.''
    (ii) ``I certify that I have all the necessary authority to carry 
out my duties and responsibilities under the CAIR SO2 Trading 
Program on behalf of the owners and operators of the

[[Page 1007]]

source and of each CAIR SO2 unit at the source and that each 
such owner and operator shall be fully bound by my representations, 
actions, inactions, or submissions.''
    (iii) ``I certify that the owners and operators of the source and of 
each CAIR SO2 unit at the source shall be bound by any order 
issued to me by the Administrator, the permitting authority, or a court 
regarding the source or unit.''
    (iv) ``Where there are multiple holders of a legal or equitable 
title to, or a leasehold interest in, a CAIR SO2 unit, or 
where a utility or industrial customer purchases power from a CAIR 
SO2 unit under a life-of-the-unit, firm power contractual 
arrangement, I certify that: I have given a written notice of my 
selection as the `CAIR designated representative' or `alternate CAIR 
designated representative', as applicable, and of the agreement by which 
I was selected to each owner and operator of the source and of each CAIR 
SO2 unit at the source; and CAIR SO2 allowances 
and proceeds of transactions involving CAIR SO2 allowances 
will be deemed to be held or distributed in proportion to each holder's 
legal, equitable, leasehold, or contractual reservation or entitlement, 
except that, if such multiple holders have expressly provided for a 
different distribution of CAIR SO2 allowances by contract, 
CAIR SO2 allowances and proceeds of transactions involving 
CAIR SO2 allowances will be deemed to be held or distributed 
in accordance with the contract.''
    (5) The signature of the CAIR designated representative and any 
alternate CAIR designated representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the certificate of 
representation shall not be submitted to the permitting authority or the 
Administrator. Neither the permitting authority nor the Administrator 
shall be under any obligation to review or evaluate the sufficiency of 
such documents, if submitted.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]



Sec.  96.214  Objections concerning CAIR designated representative.

    (a) Once a complete certificate of representation under Sec.  96.213 
has been submitted and received, the permitting authority and the 
Administrator will rely on the certificate of representation unless and 
until a superseding complete certificate of representation under Sec.  
96.213 is received by the Administrator.
    (b) Except as provided in Sec.  96.212(a) or (b), no objection or 
other communication submitted to the permitting authority or the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission, of the CAIR designated representative 
shall affect any representation, action, inaction, or submission of the 
CAIR designated representative or the finality of any decision or order 
by the permitting authority or the Administrator under the CAIR 
SO2 Trading Program.
    (c) Neither the permitting authority nor the Administrator will 
adjudicate any private legal dispute concerning the authorization or any 
representation, action, inaction, or submission of any CAIR designated 
representative, including private legal disputes concerning the proceeds 
of CAIR SO2 allowance transfers.



Sec.  96.215  Delegation by CAIR designated representative and alternate
CAIR designated representative.

    (a) A CAIR designated representative may delegate, to one or more 
natural persons, his or her authority to make an electronic submission 
to the Administrator provided for or required under this part.
    (b) An alternate CAIR designated representative may delegate, to one 
or more natural persons, his or her authority to make an electronic 
submission to the Administrator provided for or required under this 
part.
    (c) In order to delegate authority to make an electronic submission 
to the Administrator in accordance with paragraph (a) or (b) of this 
section, the CAIR designated representative or alternate CAIR designated 
representative, as appropriate, must submit to

[[Page 1008]]

the Administrator a notice of delegation, in a format prescribed by the 
Administrator, that includes the following elements:
    (1) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of such CAIR designated 
representative or alternate CAIR designated representative;
    (2) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of each such natural person 
``referred to as an ``agent'');
    (3) For each such natural person, a list of the type or types of 
electronic submissions under paragraph (a) or (b) of this section for 
which authority is delegated to him or her; and
    (4) The following certification statements by such CAIR designated 
representative or alternate CAIR designated representative:
    (i) ``I agree that any electronic submission to the Administrator 
that is by an agent identified in this notice of delegation and of a 
type listed for such agent in this notice of delegation and that is made 
when I am a CAIR designated representative or alternate CAIR designated 
representative, as appropriate, and before this notice of delegation is 
superseded by another notice of delegation under 40 CFR 96.215(d) shall 
be deemed to be an electronic submission by me.''
    (ii) ``Until this notice of delegation is superseded by another 
notice of delegation under 40 CFR 96.215(d), I agree to maintain an e-
mail account and to notify the Administrator immediately of any change 
in my e-mail address unless all delegation of authority by me under 40 
CFR 96.215 is terminated.''.
    (d) A notice of delegation submitted under paragraph (c) of this 
section shall be effective, with regard to the CAIR designated 
representative or alternate CAIR designated representative identified in 
such notice, upon receipt of such notice by the Administrator and until 
receipt by the Administrator of a superseding notice of delegation 
submitted by such CAIR designated representative or alternate CAIR 
designated representative, as appropriate. The superseding notice of 
delegation may replace any previously identified agent, add a new agent, 
or eliminate entirely any delegation of authority.
    (e) Any electronic submission covered by the certification in 
paragraph (c)(4)(i) of this section and made in accordance with a notice 
of delegation effective under paragraph (d) of this section shall be 
deemed to be an electronic submission by the CAIR designated 
representative or alternate CAIR designated representative submitting 
such notice of delegation.

[71 FR 25388, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006]



                           Subpart CCC_Permits

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.220  General CAIR SO2 Trading Program permit requirements.

    (a) For each CAIR SO2 source required to have a title V 
operating permit or required, under subpart III of this part, to have a 
title V operating permit or other federally enforceable permit, such 
permit shall include a CAIR permit administered by the permitting 
authority for the title V operating permit or the federally enforceable 
permit as applicable. The CAIR portion of the title V permit or other 
federally enforceable permit as applicable shall be administered in 
accordance with the permitting authority's title V operating permits 
regulations promulgated under part 70 or 71 of this chapter or the 
permitting authority's regulations for other federally enforceable 
permits as applicable, except as provided otherwise by Sec.  96.205, 
this subpart, and subpart III of this part.
    (b) Each CAIR permit shall contain, with regard to the CAIR 
SO2 source and the CAIR SO2 units at the source 
covered by the CAIR permit, all applicable CAIR SO2 Trading 
Program, CAIR NOX Annual Trading Program, and CAIR 
NOX Ozone Season Trading Program requirements and shall be a 
complete and separable portion of the title V operating permit or other 
federally enforceable permit under paragraph (a) of this section.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]

[[Page 1009]]



Sec.  96.221  Submission of CAIR permit applications.

    (a) Duty to apply. The CAIR designated representative of any CAIR 
SO2 source required to have a title V operating permit shall 
submit to the permitting authority a complete CAIR permit application 
under Sec.  96.222 for the source covering each CAIR SO2 unit 
at the source at least 18 months (or such lesser time provided by the 
permitting authority) before the later of January 1, 2010 or the date on 
which the CAIR SO2 unit commences commercial operation, 
except as provided in Sec.  96.283(a).
    (b) Duty to Reapply. For a CAIR SO2 source required to 
have a title V operating permit, the CAIR designated representative 
shall submit a complete CAIR permit application under Sec.  96.222 for 
the source covering each CAIR SO2 unit at the source to renew 
the CAIR permit in accordance with the permitting authority's title V 
operating permits regulations addressing permit renewal, except as 
provided in Sec.  96.283(b).

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006]



Sec.  96.222  Information requirements for CAIR permit applications.

    A complete CAIR permit application shall include the following 
elements concerning the CAIR SO2 source for which the 
application is submitted, in a format prescribed by the permitting 
authority:
    (a) Identification of the CAIR SO2 source;
    (b) Identification of each CAIR SO2 unit at the CAIR 
SO2 source; and
    (c) The standard requirements under Sec.  96.206.



Sec.  96.223  CAIR permit contents and term.

    (a) Each CAIR permit will contain, in a format prescribed by the 
permitting authority, all elements required for a complete CAIR permit 
application under Sec.  96.222.
    (b) Each CAIR permit is deemed to incorporate automatically the 
definitions of terms under Sec.  96.202 and, upon recordation by the 
Administrator under subpart FFF, GGG, or III of this part, every 
allocation, transfer, or deduction of a CAIR SO2 allowance to 
or from the compliance account of the CAIR SO2 source covered 
by the permit.
    (c) The term of the CAIR permit will be set by the permitting 
authority, as necessary to facilitate coordination of the renewal of the 
CAIR permit with issuance, revision, or renewal of the CAIR 
SO2 source's title V operating permit or other federally 
enforceable permit as applicable.



Sec.  96.224  CAIR permit revisions.

    Except as provided in Sec.  96.223(b), the permitting authority will 
revise the CAIR permit, as necessary, in accordance with the permitting 
authority's title V operating permits regulations or the permitting 
authority's regulations for other federally enforceable permits as 
applicable addressing permit revisions.

Subparts DDD-EEE [Reserved]



             Subpart FFF_CAIR SO2 Allowance Tracking System

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.250  [Reserved]



Sec.  96.251  Establishment of accounts.

    (a) Compliance accounts. Except as provided in Sec.  96.284(e), upon 
receipt of a complete certificate of representation under Sec.  96.213, 
the Administrator will establish a compliance account for the CAIR 
SO2 source for which the certificate of representation was 
submitted, unless the source already has a compliance account.
    (b) General accounts--(1) Application for general account. (i) Any 
person may apply to open a general account for the purpose of holding 
and transferring CAIR SO2 allowances. An application for a 
general account may designate one and only one CAIR authorized account 
representative and one and only one alternate CAIR authorized account 
representative who may act on behalf of the CAIR authorized account 
representative. The agreement by which the alternate CAIR authorized 
account representative is selected shall include

[[Page 1010]]

a procedure for authorizing the alternate CAIR authorized account 
representative to act in lieu of the CAIR authorized account 
representative.
    (ii) A complete application for a general account shall be submitted 
to the Administrator and shall include the following elements in a 
format prescribed by the Administrator:
    (A) Name, mailing address, e-mail address (if any), telephone 
number, and facsimile transmission number (if any) of the CAIR 
authorized account representative and any alternate CAIR authorized 
account representative;
    (B) Organization name and type of organization, if applicable;
    (C) A list of all persons subject to a binding agreement for the 
CAIR authorized account representative and any alternate CAIR authorized 
account representative to represent their ownership interest with 
respect to the CAIR SO2 allowances held in the general 
account;
    (D) The following certification statement by the CAIR authorized 
account representative and any alternate CAIR authorized account 
representative: ``I certify that I was selected as the CAIR authorized 
account representative or the alternate CAIR authorized account 
representative, as applicable, by an agreement that is binding on all 
persons who have an ownership interest with respect to CAIR 
SO2 allowances held in the general account. I certify that I 
have all the necessary authority to carry out my duties and 
responsibilities under the CAIR SO2 Trading Program on behalf 
of such persons and that each such person shall be fully bound by my 
representations, actions, inactions, or submissions and by any order or 
decision issued to me by the Administrator or a court regarding the 
general account.''
    (E) The signature of the CAIR authorized account representative and 
any alternate CAIR authorized account representative and the dates 
signed.
    (iii) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the application for 
a general account shall not be submitted to the permitting authority or 
the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.
    (2) Authorization of CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) Upon receipt by 
the Administrator of a complete application for a general account under 
paragraph (b)(1) of this section:
    (A) The Administrator will establish a general account for the 
person or persons for whom the application is submitted.
    (B) The CAIR authorized account representative and any alternate 
CAIR authorized account representative for the general account shall 
represent and, by his or her representations, actions, inactions, or 
submissions, legally bind each person who has an ownership interest with 
respect to CAIR SO2 allowances held in the general account in 
all matters pertaining to the CAIR SO2 Trading Program, 
notwithstanding any agreement between the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
and such person. Any such person shall be bound by any order or decision 
issued to the CAIR authorized account representative or any alternate 
CAIR authorized account representative by the Administrator or a court 
regarding the general account.
    (C) Any representation, action, inaction, or submission by any 
alternate CAIR authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the CAIR authorized 
account representative.
    (ii) Each submission concerning the general account shall be 
submitted, signed, and certified by the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
for the persons having an ownership interest with respect to CAIR 
SO2 allowances held in the general account. Each such 
submission shall include the following certification statement by the 
CAIR authorized account representative or any alternate CAIR authorized 
account representative: ``I am authorized to make this submission on 
behalf of the persons having an ownership interest with respect to the 
CAIR SO2 allowances

[[Page 1011]]

held in the general account. I certify under penalty of law that I have 
personally examined, and am familiar with, the statements and 
information submitted in this document and all its attachments. Based on 
my inquiry of those individuals with primary responsibility for 
obtaining the information, I certify that the statements and information 
are to the best of my knowledge and belief true, accurate, and complete. 
I am aware that there are significant penalties for submitting false 
statements and information or omitting required statements and 
information, including the possibility of fine or imprisonment.''
    (iii) The Administrator will accept or act on a submission 
concerning the general account only if the submission has been made, 
signed, and certified in accordance with paragraph (b)(2)(ii) of this 
section.
    (3) Changing CAIR authorized account representative and alternate 
CAIR authorized account representative; changes in persons with 
ownership interest. (i) The CAIR authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous CAIR authorized account representative before the time and date 
when the Administrator receives the superseding application for a 
general account shall be binding on the new CAIR authorized account 
representative and the persons with an ownership interest with respect 
to the CAIR SO2 allowances in the general account.
    (ii) The alternate CAIR authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous alternate CAIR authorized account representative before the 
time and date when the Administrator receives the superseding 
application for a general account shall be binding on the new alternate 
CAIR authorized account representative and the persons with an ownership 
interest with respect to the CAIR SO2 allowances in the 
general account.
    (iii)(A) In the event a person having an ownership interest with 
respect to CAIR SO2 allowances in the general account is not 
included in the list of such persons in the application for a general 
account, such person shall be deemed to be subject to and bound by the 
application for a general account, the representation, actions, 
inactions, and submissions of the CAIR authorized account representative 
and any alternate CAIR authorized account representative of the account, 
and the decisions and orders of the Administrator or a court, as if the 
person were included in such list.
    (B) Within 30 days following any change in the persons having an 
ownership interest with respect to CAIR SO2 allowances in the 
general account, including the addition of a new person, the CAIR 
authorized account representative or any alternate CAIR authorized 
account representative shall submit a revision to the application for a 
general account amending the list of persons having an ownership 
interest with respect to the CAIR SO2 allowances in the 
general account to include the change.
    (4) Objections concerning CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) Once a complete 
application for a general account under paragraph (b)(1) of this section 
has been submitted and received, the Administrator will rely on the 
application unless and until a superseding complete application for a 
general account under paragraph (b)(1) of this section is received by 
the Administrator.
    (ii) Except as provided in paragraph (b)(3)(i) or (ii) of this 
section, no objection or other communication submitted to the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
for a general account shall affect any representation, action, inaction, 
or

[[Page 1012]]

submission of the CAIR authorized account representative or any 
alternate CAIR authorized account representative or the finality of any 
decision or order by the Administrator under the CAIR SO2 
Trading Program.
    (iii) The Administrator will not adjudicate any private legal 
dispute concerning the authorization or any representation, action, 
inaction, or submission of the CAIR authorized account representative or 
any alternate CAIR authorized account representative for a general 
account, including private legal disputes concerning the proceeds of 
CAIR SO2 allowance transfers.
    (5) Delegation by CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) A CAIR authorized 
account representative may delegate, to one or more natural persons, his 
or her authority to make an electronic submission to the Administrator 
provided for or required under subparts FFF and GGG of this part.
    (ii) An alternate CAIR authorized account representative may 
delegate, to one or more natural persons, his or her authority to make 
an electronic submission to the Administrator provided for or required 
under subparts FFF and GGG of this part.
    (iii) In order to delegate authority to make an electronic 
submission to the Administrator in accordance with paragraph (b)(5)(i) 
or (ii) of this section, the CAIR authorized account representative or 
alternate CAIR authorized account representative, as appropriate, must 
submit to the Administrator a notice of delegation, in a format 
prescribed by the Administrator, that includes the following elements:
    (A) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of such CAIR authorized account 
representative or alternate CAIR authorized account representative;
    (B) The name, address, e-mail address, telephone number, and, 
facsimile transmission number (if any) of each such natural person 
(referred to as an ``agent'');
    (C) For each such natural person, a list of the type or types of 
electronic submissions under paragraph (b)(5)(i) or (ii) of this section 
for which authority is delegated to him or her;
    (D) The following certification statement by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative: ``I agree that any electronic submission to the 
Administrator that is by an agent identified in this notice of 
delegation and of a type listed for such agent in this notice of 
delegation and that is made when I am a CAIR authorized account 
representative or alternate CAIR authorized representative, as 
appropriate, and before this notice of delegation is superseded by 
another notice of delegation under 40 CFR 96.251(b)(5)(iv) shall be 
deemed to be an electronic submission by me.''; and
    (E) The following certification statement by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative: ``Until this notice of delegation is superseded by 
another notice of delegation under 40 CFR 96.251 (b)(5)(iv), I agree to 
maintain an e-mail account and to notify the Administrator immediately 
of any change in my e-mail address unless all delegation of authority by 
me under 40 CFR 96.251 (b)(5) is terminated.''
    (iv) A notice of delegation submitted under paragraph (b)(5)(iii) of 
this section shall be effective, with regard to the CAIR authorized 
account representative or alternate CAIR authorized account 
representative identified in such notice, upon receipt of such notice by 
the Administrator and until receipt by the Administrator of a 
superseding notice of delegation submitted by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative, as appropriate. The superseding notice of delegation may 
replace any previously identified agent, add a new agent, or eliminate 
entirely any delegation of authority.
    (v) Any electronic submission covered by the certification in 
paragraph (b)(5)(iii)(D) of this section and made in accordance with a 
notice of delegation effective under paragraph (b)(5)(iv) of this 
section shall be deemed to be an electronic submission by the CAIR 
designated representative or alternate CAIR designated representative 
submitting such notice of delegation.

[[Page 1013]]

    (c) Account identification. The Administrator will assign a unique 
identifying number to each account established under paragraph (a) or 
(b) of this section.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25388, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.252  Responsibilities of CAIR authorized account representative.

    Following the establishment of a CAIR SO2 Allowance 
Tracking System account, all submissions to the Administrator pertaining 
to the account, including, but not limited to, submissions concerning 
the deduction or transfer of CAIR SO2 allowances in the 
account, shall be made only by the CAIR authorized account 
representative for the account.



Sec.  96.253  Recordation of CAIR SO2 allowances.

    (a)(1) After a compliance account is established under Sec.  
96.251(a) or Sec.  73.31(a) or (b) of this chapter, the Administrator 
will record in the compliance account any CAIR SO2 allowance 
allocated to any CAIR SO2 unit at the source for each of the 
30 years starting the later of 2010 or the year in which the compliance 
account is established and any CAIR SO2 allowance allocated 
for each of the 30 years starting the later of 2010 or the year in which 
the compliance account is established and transferred to the source in 
accordance with subpart GGG of this part or subpart D of part 73 of this 
chapter.
    (2) In 2011 and each year thereafter, after Administrator has 
completed all deductions under Sec.  96.254(b), the Administrator will 
record in the compliance account any CAIR SO2 allowance 
allocated to any CAIR SO2 unit at the source for the new 30th 
year (i.e., the year that is 30 years after the calendar year for which 
such deductions are or could be made) and any CAIR SO2 
allowance allocated for the new 30th year and transferred to the source 
in accordance with subpart GGG of this part or subpart D of part 73 of 
this chapter.
    (b)(1) After a general account is established under Sec.  96.251(b) 
or Sec.  73.31(c) of this chapter, the Administrator will record in the 
general account any CAIR SO2 allowance allocated for each of 
the 30 years starting the later of 2010 or the year in which the general 
account is established and transferred to the general account in 
accordance with subpart GGG of this part or subpart D of part 73 of this 
chapter.
    (2) In 2011 and each year thereafter, after Administrator has 
completed all deductions under Sec.  96.254(b), the Administrator will 
record in the general account any CAIR SO2 allowance 
allocated for the new 30th year (i.e., the year that is 30 years after 
the calendar year for which such deductions are or could be made) and 
transferred to the general account in accordance with subpart GGG of 
this part or subpart D of part 73 of this chapter.
    (c) Serial numbers for allocated CAIR SO2 allowances. 
When recording the allocation of CAIR SO2 allowances issued 
by a permitting authority under Sec.  96.288, the Administrator will 
assign each such CAIR SO2 allowance a unique identification 
number that will include digits identifying the year of the control 
period for which the CAIR SO2 allowance is allocated.



Sec.  96.254  Compliance with CAIR SO2 emissions limitation.

    (a) Allowance transfer deadline. The CAIR SO2 allowances 
are available to be deducted for compliance with a source's CAIR 
SO2 emissions limitation for a control period in a given 
calendar year only if the CAIR SO2 allowances:
    (1) Were allocated for the control period in the year or a prior 
year; and
    (2) Are held in the compliance account as of the allowance transfer 
deadline for the control period or are transferred into the compliance 
account by a CAIR SO2 allowance transfer correctly submitted 
for recordation under Sec. Sec.  96.260 and 96.261 by the allowance 
transfer deadline for the control period.
    (b) Deductions for compliance. Following the recordation, in 
accordance with Sec.  96.261, of CAIR SO2 allowance transfers 
submitted for recordation in a source's compliance account by the 
allowance transfer deadline for a control period, the Administrator will 
deduct from the compliance account CAIR SO2 allowances 
available under paragraph (a) of this section in order to determine 
whether the source meets

[[Page 1014]]

the CAIR SO2 emissions limitation for the control period as 
follows:
    (1) For a CAIR SO2 source subject to an Acid Rain 
emissions limitation, the Administrator will, in the following order:
    (i) Deduct the amount of CAIR SO2 allowances, available 
under paragraph (a) of this section and not issued by a permitting 
authority under Sec.  96.288, that is required under Sec. Sec.  73.35(b) 
and (c) of this part. If there are sufficient CAIR SO2 
allowances to complete this deduction, the deduction will be treated as 
satisfying the requirements of Sec. Sec.  73.35(b) and (c) of this 
chapter.
    (ii) Deduct the amount of CAIR SO2 allowances, not issued 
by a permitting authority under Sec.  96.288, that is required under 
Sec. Sec.  73.35(d) and 77.5 of this part. If there are sufficient CAIR 
SO2 allowances to complete this deduction, the deduction will 
be treated as satisfying the requirements of Sec. Sec.  73.35(d) and 
77.5 of this chapter.
    (iii) Treating the CAIR SO2 allowances deducted under 
paragraph (b)(1)(i) of this section as also being deducted under this 
paragraph (b)(1)(iii), deduct CAIR SO2 allowances available 
under paragraph (a) of this section (including any issued by a 
permitting authority under Sec.  96.288) in order to determine whether 
the source meets the CAIR SO2 emissions limitation for the 
control period, as follows:
    (A) Until the tonnage equivalent of the CAIR SO2 
allowances deducted equals, or exceeds in accordance with paragraphs 
(c)(1) and (2) of this section, the number of tons of total sulfur 
dioxide emissions, determined in accordance with subpart HHH of this 
part, from all CAIR SO2 units at the source for the control 
period; or
    (B) If there are insufficient CAIR SO2 allowances to 
complete the deductions in paragraph (b)(1)(iii)(A) of this section, 
until no more CAIR SO2 allowances available under paragraph 
(a) of this section (including any issued by a permitting authority 
under Sec.  96.288) remain in the compliance account.
    (2) For a CAIR SO2 source not subject to an Acid Rain 
emissions limitation, the Administrator will deduct CAIR SO2 
allowances available under paragraph (a) of this section (including any 
issued by a permitting authority under Sec.  96.288) in order to 
determine whether the source meets the CAIR SO2 emissions 
limitation for the control period, as follows:
    (i) Until the tonnage equivalent of the CAIR SO2 
allowances deducted equals, or exceeds in accordance with paragraphs 
(c)(1) and (2) of this section, the number of tons of total sulfur 
dioxide emissions, determined in accordance with subpart HHH of this 
part, from all CAIR SO2 units at the source for the control 
period; or
    (ii) If there are insufficient CAIR SO2 allowances to 
complete the deductions in paragraph (b)(2)(i) of this section, until no 
more CAIR SO2 allowances available under paragraph (a) of 
this section (including any issued by a permitting authority under Sec.  
96.288) remain in the compliance account.
    (c)(1) Identification of CAIR SO2 allowances by serial 
number. The CAIR authorized account representative for a source's 
compliance account may request that specific CAIR SO2 
allowances, identified by serial number, in the compliance account be 
deducted for emissions or excess emissions for a control period in 
accordance with paragraph (b) or (d) of this section. Such request shall 
be submitted to the Administrator by the allowance transfer deadline for 
the control period and include, in a format prescribed by the 
Administrator, the identification of the CAIR SO2 source and 
the appropriate serial numbers.
    (2) First-in, first-out. The Administrator will deduct CAIR 
SO2 allowances under paragraph (b) or (d) of this section 
from the source's compliance account, in the absence of an 
identification or in the case of a partial identification of CAIR 
SO2 allowances by serial number under paragraph (c)(1) of 
this section, on a first-in, first-out (FIFO) accounting basis in the 
following order:
    (i) Any CAIR SO2 allowances that were allocated to the 
units at the source for a control period before 2010, in the order of 
recordation;
    (ii) Any CAIR SO2 allowances that were allocated to any 
entity for a control period before 2010 and transferred and recorded in 
the compliance account pursuant to subpart GGG of this

[[Page 1015]]

part or subpart D of part 73 of this chapter, in the order of 
recordation;
    (iii) Any CAIR SO2 allowances that were allocated to the 
units at the source for a control period during 2010 through 2014, in 
the order of recordation;
    (iv) Any CAIR SO2 allowances that were allocated to any 
entity for a control period during 2010 through 2014 and transferred and 
recorded in the compliance account pursuant to subpart GGG of this part 
or subpart D of part 73 of this chapter, in the order of recordation;
    (v) Any CAIR SO2 allowances that were allocated to the 
units at the source for a control period in 2015 or later, in the order 
of recordation; and
    (vi) Any CAIR SO2 allowances that were allocated to any 
entity for a control period in 2015 or later and transferred and 
recorded in the compliance account pursuant to subpart GGG of this part 
or subpart D of part 73 of this chapter, in the order of recordation.
    (d) Deductions for excess emissions. (1) After making the deductions 
for compliance under paragraph (b) of this section for a control period 
in a calendar year in which the CAIR SO2 source has excess 
emissions, the Administrator will deduct from the source's compliance 
account the tonnage equivalent in CAIR SO2 allowances, 
allocated for the control period in the immediately following calendar 
year (including any issued by a permitting authority under Sec.  
96.288), equal to, or exceeding in accordance with paragraphs (c)(1) and 
(2) of this section, 3 times the following amount: the number of tons of 
the source's excess emissions minus, if the source is subject to an Acid 
Rain emissions limitation, the amount of the CAIR SO2 
allowances required to be deducted under paragraph (b)(1)(ii) of this 
section.
    (2) Any allowance deduction required under paragraph (d)(1) of this 
section shall not affect the liability of the owners and operators of 
the CAIR SO2 source or the CAIR SO2 units at the 
source for any fine, penalty, or assessment, or their obligation to 
comply with any other remedy, for the same violations, as ordered under 
the Clean Air Act or applicable State law.
    (e) Recordation of deductions. The Administrator will record in the 
appropriate compliance account all deductions from such an account under 
paragraphs (b) and (d) of this section and subpart III.
    (f) Administrator's action on submissions. (1) The Administrator may 
review and conduct independent audits concerning any submission under 
the CAIR SO2 Trading Program and make appropriate adjustments 
of the information in the submissions.
    (2) The Administrator may deduct CAIR SO2 allowances from 
or transfer CAIR SO2 allowances to a source's compliance 
account based on the information in the submissions, as adjusted under 
paragraph (f)(1) of this section, and record such deductions and 
transfers.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.255  Banking.

    (a) CAIR SO2 allowances may be banked for future use or 
transfer in a compliance account or a general account in accordance with 
paragraph (b) of this section.
    (b) Any CAIR SO2 allowance that is held in a compliance 
account or a general account will remain in such account unless and 
until the CAIR SO2 allowance is deducted or transferred under 
Sec.  96.254, Sec.  96.256, or subpart GGG or III of this part.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]



Sec.  96.256  Account error.

    The Administrator may, at his or her sole discretion and on his or 
her own motion, correct any error in any CAIR SO2 Allowance 
Tracking System account. Within 10 business days of making such 
correction, the Administrator will notify the CAIR authorized account 
representative for the account.



Sec.  96.257  Closing of general accounts.

    (a) The CAIR authorized account representative of a general account 
may submit to the Administrator a request to close the account, which 
shall include a correctly submitted allowance transfer under Sec. Sec.  
96.260 and 96.261 for

[[Page 1016]]

any CAIR SO2 allowances in the account to one or more other 
CAIR SO2 Allowance Tracking System accounts.
    (b) If a general account has no allowance transfers in or out of the 
account for a 12-month period or longer and does not contain any CAIR 
SO2 allowances, the Administrator may notify the CAIR 
authorized account representative for the account that the account will 
be closed following 20 business days after the notice is sent. The 
account will be closed after the 20-day period unless, before the end of 
the 20-day period, the Administrator receives a correctly submitted 
transfer of CAIR SO2 allowances into the account under 
Sec. Sec.  96.260 and 96.261 or a statement submitted by the CAIR 
authorized account representative demonstrating to the satisfaction of 
the Administrator good cause as to why the account should not be closed.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]



                Subpart GGG_CAIR SO2 Allowance Transfers

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.260  Submission of CAIR SO2 allowance transfers.

    (a) A CAIR authorized account representative seeking recordation of 
a CAIR SO2 allowance transfer shall submit the transfer to 
the Administrator. To be considered correctly submitted, the CAIR 
SO2 allowance transfer shall include the following elements, 
in a format specified by the Administrator:
    (1) The account numbers of both the transferor and transferee 
accounts;
    (2) The serial number of each CAIR SO2 allowance that is 
in the transferor account and is to be transferred; and
    (3) The name and signature of the CAIR authorized account 
representatives of the transferor and transferee accounts and the dates 
signed.
    (b)(1) The CAIR authorized account representative for the transferee 
account can meet the requirements in paragraph (a)(3) of this section by 
submitting, in a format prescribed by the Administrator, a statement 
signed by the CAIR authorized account representative and identifying 
each account into which any transfer of allowances, submitted on or 
after the date on which the Administrator receives such statement, is 
authorized. Such authorization shall be binding on any CAIR authorized 
account representative for such account and shall apply to all transfers 
into the account that are submitted on or after such date of receipt, 
unless and until the Administrator receives a statement signed by the 
CAIR authorized account representative retracting the authorization for 
the account.
    (2) The statement under paragraph (b)(1) of this section shall 
include the following: ``By this signature I authorize any transfer of 
allowances into each account listed herein, except that I do not waive 
any remedies under State or Federal law to obtain correction of any 
erroneous transfers into such accounts. This authorization shall be 
binding on any CAIR authorized account representative for such account 
unless and until a statement signed by the CAIR authorized account 
representative retracting this authorization for the account is received 
by the Administrator.''



Sec.  96.261  EPA recordation.

    (a) Within 5 business days (except as necessary to perform a 
transfer in perpetuity of CAIR SO2 allowances allocated to a 
CAIR SO2 unit or as provided in paragraph (b) of this 
section) of receiving a CAIR SO2 allowance transfer, the 
Administrator will record a CAIR SO2 allowance transfer by 
moving each CAIR SO2 allowance from the transferor account to 
the transferee account as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec.  96.260;
    (2) The transferor account includes each CAIR SO2 
allowance identified by serial number in the transfer; and
    (3) The transfer is in accordance with the limitation on transfer 
under Sec.  74.42 of this chapter and Sec.  74.47(c) of this chapter, as 
applicable.
    (b) A CAIR SO2 allowance transfer that is submitted for 
recordation after the allowance transfer deadline for a control period 
and that includes any CAIR SO2 allowances allocated for any

[[Page 1017]]

control period before such allowance transfer deadline will not be 
recorded until after the Administrator completes the deductions under 
Sec.  96.254 for the control period immediately before such allowance 
transfer deadline.
    (c) Where a CAIR SO2 allowance transfer submitted for 
recordation fails to meet the requirements of paragraph (a) of this 
section, the Administrator will not record such transfer.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]



Sec.  96.262  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a CAIR SO2 allowance transfer under Sec.  
96.261, the Administrator will notify the CAIR authorized account 
representatives of both the transferor and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of 
receipt of a CAIR SO2 allowance transfer that fails to meet 
the requirements of Sec.  96.261(a), the Administrator will notify the 
CAIR authorized account representatives of both accounts subject to the 
transfer of:
    (1) A decision not to record the transfer, and
    (2) The reasons for such non-recordation.
    (c) Nothing in this section shall preclude the submission of a CAIR 
SO2 allowance transfer for recordation following notification 
of non-recordation.



                  Subpart HHH_Monitoring and Reporting

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.270  General requirements.

    The owners and operators, and to the extent applicable, the CAIR 
designated representative, of a CAIR SO2 unit, shall comply 
with the monitoring, recordkeeping, and reporting requirements as 
provided in this subpart and in subparts F and G of part 75 of this 
chapter. For purposes of complying with such requirements, the 
definitions in Sec.  96.202 and in Sec.  72.2 of this chapter shall 
apply, and the terms ``affected unit,'' ``designated representative,'' 
and ``continuous emission monitoring system'' (or ``CEMS'') in part 75 
of this chapter shall be deemed to refer to the terms ``CAIR 
SO2 unit,'' ``CAIR designated representative,'' and 
``continuous emission monitoring system'' (or ``CEMS'') respectively, as 
defined in Sec.  96.202. The owner or operator of a unit that is not a 
CAIR SO2 unit but that is monitored under Sec.  75.16(b)(2) 
of this chapter shall comply with the same monitoring, recordkeeping, 
and reporting requirements as a CAIR SO2 unit.
    (a) Requirements for installation, certification, and data 
accounting. The owner or operator of each CAIR SO2 unit 
shall:
    (1) Install all monitoring systems required under this subpart for 
monitoring SO2 mass emissions and individual unit heat input 
(including all systems required to monitor SO2 concentration, 
stack gas moisture content, stack gas flow rate, CO2 or 
O2 concentration, and fuel flow rate, as applicable, in 
accordance with Sec. Sec.  75.11 and 75.16 of this chapter);
    (2) Successfully complete all certification tests required under 
Sec.  96.271 and meet all other requirements of this subpart and part 75 
of this chapter applicable to the monitoring systems under paragraph 
(a)(1) of this section; and
    (3) Record, report, and quality-assure the data from the monitoring 
systems under paragraph (a)(1) of this section.
    (b) Compliance deadlines. Except as provided in paragraph (e) of 
this section, the owner or operator shall meet the monitoring system 
certification and other requirements of paragraphs (a)(1) and (2) of 
this section on or before the following dates. The owner or operator 
shall record, report, and quality-assure the data from the monitoring 
systems under paragraph (a)(1) of this section on and after the 
following dates.
    (1) For the owner or operator of a CAIR SO2 unit that 
commences commercial operation before July 1, 2008, by January 1, 2009.
    (2) For the owner or operator of a CAIR SO2 unit that 
commences commercial operation on or after July 1, 2008, by the later of 
the following dates:
    (i) January 1, 2009; or

[[Page 1018]]

    (ii) 90 unit operating days or 180 calendar days, whichever occurs 
first, after the date on which the unit commences commercial operation.
    (3) For the owner or operator of a CAIR SO2 unit for 
which construction of a new stack or flue or installation of add-on 
SO2 emission controls is completed after the applicable 
deadline under paragraph (b)(1), (2), (4), or (5) of this section, by 90 
unit operating days or 180 calendar days, whichever occurs first, after 
the date on which emissions first exit to the atmosphere through the new 
stack or flue or add-on SO2 emissions controls.
    (4) Notwithstanding the dates in paragraphs (b)(1) and (2) of this 
section, for the owner or operator of a unit for which a CAIR opt-in 
permit application is submitted and not withdrawn and a CAIR opt-in 
permit is not yet issued or denied under subpart III of this part, by 
the date specified in Sec.  96.284(b).
    (5) Notwithstanding the dates in paragraphs (b)(1) and (2) of this 
section, for the owner or operator of a CAIR SO2 opt-in unit 
under subpart III of this part, by the date on which the CAIR 
SO2 opt-in unit enters the CAIR SO2 Trading 
Program as provided in Sec.  96.284(g).
    (c) Reporting data. The owner or operator of a CAIR SO2 
unit that does not meet the applicable compliance date set forth in 
paragraph (b) of this section for any monitoring system under paragraph 
(a)(1) of this section shall, for each such monitoring system, 
determine, record, and report maximum potential (or, as appropriate, 
minimum potential) values for SO2 concentration, stack gas 
flow rate, stack gas moisture content, fuel flow rate, and any other 
parameters required to determine SO2 mass emissions and heat 
input in accordance with Sec.  75.31(b)(2) or (c)(3) of this chapter or 
section 2.4 of appendix D to part 75 of this chapter, as applicable.
    (d) Prohibitions. (1) No owner or operator of a CAIR SO2 
unit shall use any alternative monitoring system, alternative reference 
method, or any other alternative to any requirement of this subpart 
without having obtained prior written approval in accordance with Sec.  
96.275.
    (2) No owner or operator of a CAIR SO2 unit shall operate 
the unit so as to discharge, or allow to be discharged, SO2 
emissions to the atmosphere without accounting for all such emissions in 
accordance with the applicable provisions of this subpart and part 75 of 
this chapter.
    (3) No owner or operator of a CAIR SO2 unit shall disrupt 
the continuous emission monitoring system, any portion thereof, or any 
other approved emission monitoring method, and thereby avoid monitoring 
and recording SO2 mass emissions discharged into the 
atmosphere or heat input, except for periods of recertification or 
periods when calibration, quality assurance testing, or maintenance is 
performed in accordance with the applicable provisions of this subpart 
and part 75 of this chapter.
    (4) No owner or operator of a CAIR SO2 unit shall retire 
or permanently discontinue use of the continuous emission monitoring 
system, any component thereof, or any other approved monitoring system 
under this subpart, except under any one of the following circumstances:
    (i) During the period that the unit is covered by an exemption under 
Sec.  96.205 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit 
with another certified monitoring system approved, in accordance with 
the applicable provisions of this subpart and part 75 of this chapter, 
by the permitting authority for use at that unit that provides emission 
data for the same pollutant or parameter as the retired or discontinued 
monitoring system; or
    (iii) The CAIR designated representative submits notification of the 
date of certification testing of a replacement monitoring system for the 
retired or discontinued monitoring system in accordance with Sec.  
96.271(d)(3)(i).
    (e) Long-term cold storage. The owner or operator of a CAIR 
SO2 unit is subject to the applicable provisions of part 75 
of this chapter concerning units in long-term cold storage.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25389, Apr. 28, 2006]

[[Page 1019]]



Sec.  96.271  Initial certification and recertification procedures.

    (a) The owner or operator of a CAIR SO2 unit shall be 
exempt from the initial certification requirements of this section for a 
monitoring system under Sec.  96.270(a)(1) if the following conditions 
are met:
    (1) The monitoring system has been previously certified in 
accordance with part 75 of this chapter; and
    (2) The applicable quality-assurance and quality-control 
requirements of Sec.  75.21 of this chapter and appendix B and appendix 
D to part 75 of this chapter are fully met for the certified monitoring 
system described in paragraph (a)(1) of this section.
    (b) The recertification provisions of this section shall apply to a 
monitoring system under Sec.  96.270(a)(1) exempt from initial 
certification requirements under paragraph (a) of this section.
    (c) [Reserved]
    (d) Except as provided in paragraph (a) of this section, the owner 
or operator of a CAIR SO2 unit shall comply with the 
following initial certification and recertification procedures, for a 
continuous monitoring system (i.e., a continuous emission monitoring 
system and an excepted monitoring system under appendix D to part 75 of 
this chapter) under Sec.  96.270(a)(1). The owner or operator of a unit 
that qualifies to use the low mass emissions excepted monitoring 
methodology under Sec.  75.19 of this chapter or that qualifies to use 
an alternative monitoring system under subpart E of part 75 of this 
chapter shall comply with the procedures in paragraph (e) or (f) of this 
section respectively.
    (1) Requirements for initial certification. The owner or operator 
shall ensure that each continuous monitoring system under Sec.  
96.270(a)(1) (including the automated data acquisition and handling 
system) successfully completes all of the initial certification testing 
required under Sec.  75.20 of this chapter by the applicable deadline in 
Sec.  96.270(b). In addition, whenever the owner or operator installs a 
monitoring system to meet the requirements of this subpart in a location 
where no such monitoring system was previously installed, initial 
certification in accordance with Sec.  75.20 of this chapter is 
required.
    (2) Requirements for recertification. Whenever the owner or operator 
makes a replacement, modification, or change in any certified continuous 
emission monitoring system under Sec.  96.270(a)(1) that may 
significantly affect the ability of the system to accurately measure or 
record SO2 mass emissions or heat input rate or to meet the 
quality-assurance and quality-control requirements of Sec.  75.21 of 
this chapter or appendix B to part 75 of this chapter, the owner or 
operator shall recertify the monitoring system in accordance with Sec.  
75.20(b) of this chapter. Furthermore, whenever the owner or operator 
makes a replacement, modification, or change to the flue gas handling 
system or the unit's operation that may significantly change the stack 
flow or concentration profile, the owner or operator shall recertify 
each continuous emission monitoring system whose accuracy is potentially 
affected by the change, in accordance with Sec.  75.20(b) of this 
chapter. Examples of changes to a continuous emission monitoring system 
that require recertification include: replacement of the analyzer, 
complete replacement of an existing continuous emission monitoring 
system, or change in location or orientation of the sampling probe or 
site. Any fuel flowmeter system under Sec.  96.270(a)(1) is subject to 
the recertification requirements in Sec.  75.20(g)(6) of this chapter.
    (3) Approval process for initial certification and recertification. 
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial 
certification and recertification of a continuous monitoring system 
under Sec.  96.270(a)(1). For recertifications, replace the words 
``certification'' and ``initial certification'' with the word 
``recertification'', replace the word ``certified'' with the word 
``recertified,'' and follow the procedures in Sec. Sec.  75.20(b)(5) and 
(g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v) 
of this section.
    (i) Notification of certification. The CAIR designated 
representative shall submit to the permitting authority, the appropriate 
EPA Regional Office, and the Administrator written notice of the dates 
of certification testing, in accordance with Sec.  96.273.

[[Page 1020]]

    (ii) Certification application. The CAIR designated representative 
shall submit to the permitting authority a certification application for 
each monitoring system. A complete certification application shall 
include the information specified in Sec.  75.63 of this chapter.
    (iii) Provisional certification date. The provisional certification 
date for a monitoring system shall be determined in accordance with 
Sec.  75.20(a)(3) of this chapter. A provisionally certified monitoring 
system may be used under the CAIR SO2 Trading Program for a 
period not to exceed 120 days after receipt by the permitting authority 
of the complete certification application for the monitoring system 
under paragraph (d)(3)(ii) of this section. Data measured and recorded 
by the provisionally certified monitoring system, in accordance with the 
requirements of part 75 of this chapter, will be considered valid 
quality-assured data (retroactive to the date and time of provisional 
certification), provided that the permitting authority does not 
invalidate the provisional certification by issuing a notice of 
disapproval within 120 days of the date of receipt of the complete 
certification application by the permitting authority.
    (iv) Certification application approval process. The permitting 
authority will issue a written notice of approval or disapproval of the 
certification application to the owner or operator within 120 days of 
receipt of the complete certification application under paragraph 
(d)(3)(ii) of this section. In the event the permitting authority does 
not issue such a notice within such 120-day period, each monitoring 
system that meets the applicable performance requirements of part 75 of 
this chapter and is included in the certification application will be 
deemed certified for use under the CAIR SO2 Trading Program.
    (A) Approval notice. If the certification application is complete 
and shows that each monitoring system meets the applicable performance 
requirements of part 75 of this chapter, then the permitting authority 
will issue a written notice of approval of the certification application 
within 120 days of receipt.
    (B) Incomplete application notice. If the certification application 
is not complete, then the permitting authority will issue a written 
notice of incompleteness that sets a reasonable date by which the CAIR 
designated representative must submit the additional information 
required to complete the certification application. If the CAIR 
designated representative does not comply with the notice of 
incompleteness by the specified date, then the permitting authority may 
issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this 
section. The 120-day review period shall not begin before receipt of a 
complete certification application.
    (C) Disapproval notice. If the certification application shows that 
any monitoring system does not meet the performance requirements of part 
75 of this chapter or if the certification application is incomplete and 
the requirement for disapproval under paragraph (d)(3)(iv)(B) of this 
section is met, then the permitting authority will issue a written 
notice of disapproval of the certification application. Upon issuance of 
such notice of disapproval, the provisional certification is invalidated 
by the permitting authority and the data measured and recorded by each 
uncertified monitoring system shall not be considered valid quality-
assured data beginning with the date and hour of provisional 
certification (as defined under Sec.  75.20(a)(3) of this chapter). The 
owner or operator shall follow the procedures for loss of certification 
in paragraph (d)(3)(v) of this section for each monitoring system that 
is disapproved for initial certification.
    (D) Audit decertification. The permitting authority or, for a CAIR 
SO2 opt-in unit or a unit for which a CAIR opt-in permit 
application is submitted and not withdrawn and a CAIR opt-in permit is 
not yet issued or denied under subpart III of this part, the 
Administrator may issue a notice of disapproval of the certification 
status of a monitor in accordance with Sec.  96.272(b).
    (v) Procedures for loss of certification. If the permitting 
authority or the Administrator issues a notice of disapproval of a 
certification application under paragraph (d)(3)(iv)(C) of this

[[Page 1021]]

section or a notice of disapproval of certification status under 
paragraph (d)(3)(iv)(D) of this section, then:
    (A) The owner or operator shall substitute the following values, for 
each disapproved monitoring system, for each hour of unit operation 
during the period of invalid data specified under Sec.  
75.20(a)(4)(iii), Sec.  75.20(g)(7), or Sec.  75.21(e) of this chapter 
and continuing until the applicable date and hour specified under Sec.  
75.20(a)(5)(i) or (g)(7) of this chapter:
    (1) For a disapproved SO2 pollutant concentration monitor 
and disapproved flow monitor, respectively, the maximum potential 
concentration of SO2 and the maximum potential flow rate, as 
defined in sections 2.1.1.1 and 2.1.4.1 of appendix A to part 75 of this 
chapter.
    (2) For a disapproved moisture monitoring system and disapproved 
diluent gas monitoring system, respectively, the minimum potential 
moisture percentage and either the maximum potential CO2 
concentration or the minimum potential O2 concentration (as 
applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of 
appendix A to part 75 of this chapter.
    (3) For a disapproved fuel flowmeter system, the maximum potential 
fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 
of this chapter.
    (B) The CAIR designated representative shall submit a notification 
of certification retest dates and a new certification application in 
accordance with paragraphs (d)(3)(i) and (ii) of this section.
    (C) The owner or operator shall repeat all certification tests or 
other requirements that were failed by the monitoring system, as 
indicated in the permitting authority's or the Administrator's notice of 
disapproval, no later than 30 unit operating days after the date of 
issuance of the notice of disapproval.
    (e) Initial certification and recertification procedures for units 
using the low mass emission excepted methodology under Sec.  75.19 of 
this chapter. The owner or operator of a unit qualified to use the low 
mass emissions (LME) excepted methodology under Sec.  75.19 of this 
chapter shall meet the applicable certification and recertification 
requirements in Sec. Sec.  75.19(a)(2) and 75.20(h) of this chapter. If 
the owner or operator of such a unit elects to certify a fuel flowmeter 
system for heat input determination, the owner or operator shall also 
meet the certification and recertification requirements in Sec.  
75.20(g) of this chapter.
    (f) Certification/recertification procedures for alternative 
monitoring systems. The CAIR designated representative of each unit for 
which the owner or operator intends to use an alternative monitoring 
system approved by the Administrator and, if applicable, the permitting 
authority under subpart E of part 75 of this chapter shall comply with 
the applicable notification and application procedures of Sec.  75.20(f) 
of this chapter.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.272  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation 
requirements of part 75 of this chapter, data shall be substituted using 
the applicable missing data procedures in subpart D of or appendix D to 
part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring 
system and a review of the initial certification or recertification 
application reveal that any monitoring system should not have been 
certified or recertified because it did not meet a particular 
performance specification or other requirement under Sec.  96.271 or the 
applicable provisions of part 75 of this chapter, both at the time of 
the initial certification or recertification application submission and 
at the time of the audit, the permitting authority or, for a CAIR 
SO2 opt-in unit or a unit for which a CAIR opt-in permit 
application is submitted and not withdrawn and a CAIR opt-in permit is 
not yet issued or denied under subpart III of this part, the 
Administrator will issue a notice of disapproval of the certification 
status of such monitoring system. For the purposes of this paragraph, an 
audit shall be either a field audit or an audit of any information 
submitted to the permitting authority or the Administrator. By issuing 
the notice of disapproval, the permitting authority or

[[Page 1022]]

the Administrator revokes prospectively the certification status of the 
monitoring system. The data measured and recorded by the monitoring 
system shall not be considered valid quality-assured data from the date 
of issuance of the notification of the revoked certification status 
until the date and time that the owner or operator completes 
subsequently approved initial certification or recertification tests for 
the monitoring system. The owner or operator shall follow the applicable 
initial certification or recertification procedures in Sec.  96.271 for 
each disapproved monitoring system.



Sec.  96.273  Notifications.

    The CAIR designated representative for a CAIR SO2 unit 
shall submit written notice to the permitting authority and the 
Administrator in accordance with Sec.  75.61 of this chapter.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]



Sec.  96.274  Recordkeeping and reporting.

    (a) General provisions. The CAIR designated representative shall 
comply with all recordkeeping and reporting requirements in this 
section, the applicable recordkeeping and reporting requirements in 
subparts F and G of part 75 of this chapter, and the requirements of 
Sec.  96.210(e)(1).
    (b) Monitoring plans. The owner or operator of a CAIR SO2 
unit shall comply with requirements of Sec.  75.62 of this chapter and, 
for a unit for which a CAIR opt-in permit application is submitted and 
not withdrawn and a CAIR opt-in permit is not yet issued or denied under 
subpart III of this part, Sec. Sec.  96.283 and 96.284(a).
    (c) Certification applications. The CAIR designated representative 
shall submit an application to the permitting authority within 45 days 
after completing all initial certification or recertification tests 
required under Sec.  96.271, including the information required under 
Sec.  75.63 of this chapter.
    (d) Quarterly reports. The CAIR designated representative shall 
submit quarterly reports, as follows:
    (1) The CAIR designated representative shall report the 
SO2 mass emissions data and heat input data for the CAIR 
SO2 unit, in an electronic quarterly report in a format 
prescribed by the Administrator, for each calendar quarter beginning 
with:
    (i) For a unit that commences commercial operation before July 1, 
2008, the calendar quarter covering January 1, 2009 through March 31, 
2009;
    (ii) For a unit that commences commercial operation on or after July 
1, 2008, the calendar quarter corresponding to the earlier of the date 
of provisional certification or the applicable deadline for initial 
certification under Sec.  96.270(b), unless that quarter is the third or 
fourth quarter of 2008, in which case reporting shall commence in the 
quarter covering January 1, 2009 through March 31, 2009;
    (iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, 
for a unit for which a CAIR opt-in permit application is submitted and 
not withdrawn and a CAIR opt-in permit is not yet issued or denied under 
subpart III of this part, the calendar quarter corresponding to the date 
specified in Sec.  96.284(b); and
    (iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, 
for a CAIR SO2 opt-in unit under subpart III of this part, 
the calendar quarter corresponding to the date on which the CAIR 
SO2 opt-in unit enters the CAIR SO2 Trading 
Program as provided in Sec.  96.284(g).
    (2) The CAIR designated representative shall submit each quarterly 
report to the Administrator within 30 days following the end of the 
calendar quarter covered by the report. Quarterly reports shall be 
submitted in the manner specified in Sec.  75.64 of this chapter.
    (3) For CAIR SO2 units that are also subject to an Acid 
Rain emissions limitation or the CAIR NOX Annual Trading 
Program CAIR NOX Ozone Season Trading Program, or Hg Budget 
Trading Program, quarterly reports shall include the applicable data and 
information required by subparts F through I of part 75 of this chapter 
as applicable, in addition to the SO2 mass emission data, 
heat input data, and other information required by this subpart.
    (e) Compliance certification. The CAIR designated representative 
shall submit to the Administrator a compliance certification (in a 
format prescribed by the Administrator) in support of each

[[Page 1023]]

quarterly report based on reasonable inquiry of those persons with 
primary responsibility for ensuring that all of the unit's emissions are 
correctly and fully monitored. The certification shall state that:
    (1) The monitoring data submitted were recorded in accordance with 
the applicable requirements of this subpart and part 75 of this chapter, 
including the quality assurance procedures and specifications; and
    (2) For a unit with add-on SO2 emission controls and for 
all hours where SO2 data are substituted in accordance with 
Sec.  75.34(a)(1) of this chapter, the add-on emission controls were 
operating within the range of parameters listed in the quality 
assurance/quality control program under appendix B to part 75 of this 
chapter and the substitute data values do not systematically 
underestimate SO2 emissions.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]



Sec.  96.275  Petitions.

    (a) The CAIR designated representative of a CAIR SO2 unit 
that is subject to an Acid Rain emissions limitation may submit a 
petition under Sec.  75.66 of this chapter to the Administrator 
requesting approval to apply an alternative to any requirement of this 
subpart. Application of an alternative to any requirement of this 
subpart is in accordance with this subpart only to the extent that the 
petition is approved in writing by the Administrator, in consultation 
with the permitting authority.
    (b) The CAIR designated representative of a CAIR SO2 unit 
that is not subject to an Acid Rain emissions limitation may submit a 
petition under Sec.  75.66 of this chapter to the permitting authority 
and the Administrator requesting approval to apply an alternative to any 
requirement of this subpart. Application of an alternative to any 
requirement of this subpart is in accordance with this subpart only to 
the extent that the petition is approved in writing by both the 
permitting authority and the Administrator.



                   Subpart III_CAIR SO 2 Opt-in Units

    Source: 70 FR 25362, May 12, 2005, unless otherwise noted.



Sec.  96.280  Applicability.

    A CAIR SO2 opt-in unit must be a unit that:
    (a) Is located in the State;
    (b) Is not a CAIR SO2 unit under Sec.  96.204 and is not 
covered by a retired unit exemption under Sec.  96.205 that is in 
effect;
    (c) Is not covered by a retired unit exemption under Sec.  72.8 of 
this chapter that is in effect and is not an opt-in source under part 74 
of this chapter;
    (d) Has or is required or qualified to have a title V operating 
permit or other federally enforceable permit; and
    (e) Vents all of its emissions to a stack and can meet the 
monitoring, recordkeeping, and reporting requirements of subpart HHH of 
this part.



Sec.  96.281  General.

    (a) Except as otherwise provided in Sec. Sec.  96.201 through 
96.204, Sec. Sec.  96.206 through 96.208, and subparts BBB and CCC and 
subparts FFF through HHH of this part, a CAIR SO2 opt-in unit 
shall be treated as a CAIR SO2 unit for purposes of applying 
such sections and subparts of this part.
    (b) Solely for purposes of applying, as provided in this subpart, 
the requirements of subpart HHH of this part to a unit for which a CAIR 
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, such unit 
shall be treated as a CAIR SO2 unit before issuance of a CAIR 
opt-in permit for such unit.



Sec.  96.282  CAIR designated representative.

    Any CAIR SO2 opt-in unit, and any unit for which a CAIR 
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, located at the 
same source as one or more CAIR SO2 units shall have the same 
CAIR designated representative and alternate CAIR designated 
representative as such CAIR SO2 units.

[[Page 1024]]



Sec.  96.283  Applying for CAIR opt-in permit.

    (a) Applying for initial CAIR opt-in permit. The CAIR designated 
representative of a unit meeting the requirements for a CAIR 
SO2 opt-in unit in Sec.  96.280 may apply for an initial CAIR 
opt-in permit at any time, except as provided under Sec.  96.286(f) and 
(g), and, in order to apply, must submit the following:
    (1) A complete CAIR permit application under Sec.  96.222;
    (2) A certification, in a format specified by the permitting 
authority, that the unit:
    (i) Is not a CAIR SO2 unit under Sec.  96.204 and is not 
covered by a retired unit exemption under Sec.  96.205 that is in 
effect;
    (ii) Is not covered by a retired unit exemption under Sec.  72.8 of 
this chapter that is in effect;
    (iii) Is not and, so long as the unit is a CAIR SO2 opt-
in unit, will not become, an opt-in source under part 74 of this 
chapter;
    (iv) Vents all of its emissions to a stack; and
    (v) Has documented heat input for more than 876 hours during the 6 
months immediately preceding submission of the CAIR permit application 
under Sec.  96.222;
    (3) A monitoring plan in accordance with subpart HHH of this part;
    (4) A complete certificate of representation under Sec.  96.213 
consistent with Sec.  96.282, if no CAIR designated representative has 
been previously designated for the source that includes the unit; and
    (5) A statement, in a format specified by the permitting authority, 
whether the CAIR designated representative requests that the unit be 
allocated CAIR SO2 allowances under Sec.  96.288(b) or Sec.  
96.288(c) (subject to the conditions in Sec. Sec.  96.284(h) and 
96.286(g)). If allocation under Sec.  96.288(c) is requested, this 
statement shall include a statement that the owners and operators of the 
unit intend to repower the unit before January 1, 2015 and that they 
will provide, upon request, documentation demonstrating such intent.
    (b) Duty to reapply. (1) The CAIR designated representative of a 
CAIR SO2 opt-in unit shall submit a complete CAIR permit 
application under Sec.  96.222 to renew the CAIR opt-in unit permit in 
accordance with the permitting authority's regulations for title V 
operating permits, or the permitting authority's regulations for other 
federally enforceable permits if applicable, addressing permit renewal.
    (2) Unless the permitting authority issues a notification of 
acceptance of withdrawal of the CAIR SO2 opt-in unit from the 
CAIR SO2 Trading Program in accordance with Sec.  96.286 or 
the unit becomes a CAIR SO2 unit under Sec.  96.204, the CAIR 
SO2 opt-in unit shall remain subject to the requirements for 
a CAIR SO2 opt-in unit, even if the CAIR designated 
representative for the CAIR SO2 opt-in unit fails to submit a 
CAIR permit application that is required for renewal of the CAIR opt-in 
permit under paragraph (b)(1) of this section.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]



Sec.  96.284  Opt-in process.

    The permitting authority will issue or deny a CAIR opt-in permit for 
a unit for which an initial application for a CAIR opt-in permit under 
Sec.  96.283 is submitted in accordance with the following:
    (a) Interim review of monitoring plan. The permitting authority and 
the Administrator will determine, on an interim basis, the sufficiency 
of the monitoring plan accompanying the initial application for a CAIR 
opt-in permit under Sec.  96.283. A monitoring plan is sufficient, for 
purposes of interim review, if the plan appears to contain information 
demonstrating that the SO2 emissions rate and heat input of 
the unit and all other applicable parameters are monitored and reported 
in accordance with subpart HHH of this part. A determination of 
sufficiency shall not be construed as acceptance or approval of the 
monitoring plan.
    (b) Monitoring and reporting. (1)(i) If the permitting authority and 
the Administrator determine that the monitoring plan is sufficient under 
paragraph (a) of this section, the owner or operator shall monitor and 
report the SO2 emissions rate and the heat input of the unit 
and all other applicable parameters, in accordance with subpart HHH of 
this part, starting on the date

[[Page 1025]]

of certification of the appropriate monitoring systems under subpart HHH 
of this part and continuing until a CAIR opt-in permit is denied under 
Sec.  96.284(f) or, if a CAIR opt-in permit is issued, the date and time 
when the unit is withdrawn from the CAIR SO2 Trading Program 
in accordance with Sec.  96.286.
    (ii) The monitoring and reporting under paragraph (b)(1)(i) of this 
section shall include the entire control period immediately before the 
date on which the unit enters the CAIR SO2 Trading Program 
under Sec.  96.284(g), during which period monitoring system 
availability must not be less than 90 percent under subpart HHH of this 
part and the unit must be in full compliance with any applicable State 
or Federal emissions or emissions-related requirements.
    (2) To the extent the SO2 emissions rate and the heat 
input of the unit are monitored and reported in accordance with subpart 
HHH of this part for one or more control periods, in addition to the 
control period under paragraph (b)(1)(ii) of this section, during which 
control periods monitoring system availability is not less than 90 
percent under subpart HHH of this part and the unit is in full 
compliance with any applicable State or Federal emissions or emissions-
related requirements and which control periods begin not more than 3 
years before the unit enters the CAIR SO2 Trading Program 
under Sec.  96.284(g), such information shall be used as provided in 
paragraphs (c) and (d) of this section.
    (c) Baseline heat input. The unit's baseline heat input shall equal:
    (1) If the unit's SO2 emissions rate and heat input are 
monitored and reported for only one control period, in accordance with 
paragraph (b)(1) of this section, the unit's total heat input (in mmBtu) 
for the control period; or
    (2) If the unit's SO2 emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, the average of the 
amounts of the unit's total heat input (in mmBtu) for the control 
periods under paragraphs (b)(1)(ii) and (2) of this section and the 
control periods under paragraph (b)(2) of this section.
    (d) Baseline SO2 emission rate. The unit's baseline 
SO2 emission rate shall equal:
    (1) If the unit's SO2 emissions rate and heat input are 
monitored and reported for only one control period, in accordance with 
paragraph (b)(1) of this section, the unit's SO2 emissions 
rate (in lb/mmBtu) for the control period;
    (2) If the unit's SO2 emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, and the unit does not 
have add-on SO2 emission controls during any such control 
periods, the average of the amounts of the unit's SO2 
emissions rate (in lb/mmBtu) for the control periods under paragraphs 
(b)(1)(ii) and (2) of this section; or
    (3) If the unit's SO2 emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, and the unit has add-on 
SO2 emission controls during any such control periods, the 
average of the amounts of the unit's SO2 emissions rate (in 
lb/mmBtu) for such control periods during which the unit has add-on 
SO2 emission controls.
    (e) Issuance of CAIR opt-in permit. After calculating the baseline 
heat input and the baseline SO2 emissions rate for the unit 
under paragraphs (c) and (d) of this section and if the permitting 
authority determines that the CAIR designated representative shows that 
the unit meets the requirements for a CAIR SO2 opt-in unit in 
Sec.  96.280 and meets the elements certified in Sec.  96.283(a)(2), the 
permitting authority will issue a CAIR opt-in permit. The permitting 
authority will provide a copy of the CAIR opt-in permit to the 
Administrator, who will then establish a compliance account for the 
source that includes the CAIR SO2 opt-in unit unless the 
source already has a compliance account.
    (f) Issuance of denial of CAIR opt-in permit. Notwithstanding 
paragraphs (a) through (e) of this section, if at any time before 
issuance of a CAIR opt-in permit for the unit, the permitting authority 
determines that the CAIR designated representative fails to show

[[Page 1026]]

that the unit meets the requirements for a CAIR SO2 opt-in 
unit in Sec.  96.280 or meets the elements certified in Sec.  
96.283(a)(2), the permitting authority will issue a denial of a CAIR 
opt-in permit for the unit.
    (g) Date of entry into CAIR SO2 Trading Program. A unit 
for which an initial CAIR opt-in permit is issued by the permitting 
authority shall become a CAIR SO2 opt-in unit, and a CAIR 
SO2 unit, as of the later of January 1, 2010 or January 1 of 
the first control period during which such CAIR opt-in permit is issued.
    (h) Repowered CAIR SO2 opt-in unit. (1) If CAIR 
designated representative requests, and the permitting authority issues 
a CAIR opt-in permit providing for, allocation to a CAIR SO2 
opt-in unit of CAIR SO2 allowances under Sec.  96.288(c) and 
such unit is repowered after its date of entry into the CAIR 
SO2 Trading Program under paragraph (g) of this section, the 
repowered unit shall be treated as a CAIR SO2 opt-in unit 
replacing the original CAIR SO2 opt-in unit, as of the date 
of start-up of the repowered unit's combustion chamber.
    (2) Notwithstanding paragraphs (c) and (d) of this section, as of 
the date of start-up under paragraph (h)(1) of this section, the 
repowered unit shall be deemed to have the same date of commencement of 
operation, date of commencement of commercial operation, baseline heat 
input, and baseline SO2 emission rate as the original CAIR 
SO2 opt-in unit, and the original CAIR SO2 opt-in 
unit shall no longer be treated as a CAIR SO2 opt-in unit or 
a CAIR SO2 unit.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.285  CAIR opt-in permit contents.

    (a) Each CAIR opt-in permit will contain:
    (1) All elements required for a complete CAIR permit application 
under Sec.  96.222;
    (2) The certification in Sec.  96.283(a)(2);
    (3) The unit's baseline heat input under Sec.  96.284(c);
    (4) The unit's baseline SO2 emission rate under Sec.  
96.284(d);
    (5) A statement whether the unit is to be allocated CAIR 
SO2 allowances Sec.  96.288(b) or Sec.  96.288(c) (subject to 
the conditions in Sec. Sec.  96.284(h) and 96.286(g));
    (6) A statement that the unit may withdraw from the CAIR 
SO2 Trading Program only in accordance with Sec.  96.286; and
    (7) A statement that the unit is subject to, and the owners and 
operators of the unit must comply with, the requirements of Sec.  
96.287.
    (b) Each CAIR opt-in permit is deemed to incorporate automatically 
the definitions of terms under Sec.  96.202 and, upon recordation by the 
Administrator under subpart FFF or GGG of this part or this subpart, 
every allocation, transfer, or deduction of CAIR SO2 
allowances to or from the compliance account of the source that includes 
a CAIR SO2 opt-in unit covered by the CAIR opt-in permit.
    (c) The CAIR opt-in permit shall be included, in a format specified 
by the permitting authority, in the CAIR permit for the source where the 
CAIR SO2 opt-in unit is located and in a title V operating 
permit or other federally enforceable permit for the source.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]



Sec.  96.286  Withdrawal from CAIR SO2 Trading Program.

    Except as provided under paragraph (g) of this section, a CAIR 
SO2 opt-in unit may withdraw from the CAIR SO2 
Trading Program, but only if the permitting authority issues a 
notification to the CAIR designated representative of the CAIR 
SO2 opt-in unit of the acceptance of the withdrawal of the 
CAIR SO2 opt-in unit in accordance with paragraph (d) of this 
section.
    (a) Requesting withdrawal. In order to withdraw a CAIR 
SO2 opt-in unit from the CAIR SO2 Trading Program, 
the CAIR designated representative of the CAIR SO2 opt-in 
unit shall submit to the permitting authority a request to withdraw 
effective as of midnight of December 31 of a specified calendar year, 
which date must be at least 4 years after December 31 of the year of 
entry into the CAIR SO2 Trading Program under Sec.  
96.284(g). The request must be submitted no later than 90

[[Page 1027]]

days before the requested effective date of withdrawal.
    (b) Conditions for withdrawal. Before a CAIR SO2 opt-in 
unit covered by a request under paragraph (a) of this section may 
withdraw from the CAIR SO2 Trading Program and the CAIR opt-
in permit may be terminated under paragraph (e) of this section, the 
following conditions must be met:
    (1) For the control period ending on the date on which the 
withdrawal is to be effective, the source that includes the CAIR 
SO2 opt-in unit must meet the requirement to hold CAIR 
SO2 allowances under Sec.  96.206(c) and cannot have any 
excess emissions.
    (2) After the requirement for withdrawal under paragraph (b)(1) of 
this section is met, the Administrator will deduct from the compliance 
account of the source that includes the CAIR SO2 opt-in unit 
CAIR SO2 allowances equal in amount to and allocated for the 
same or a prior control period as any CAIR SO2 allowances 
allocated to the CAIR SO2 opt-in unit under Sec.  96.288 for 
any control period for which the withdrawal is to be effective. If there 
are no remaining CAIR SO2 units at the source, the 
Administrator will close the compliance account, and the owners and 
operators of the CAIR SO2 opt-in unit may submit a CAIR 
SO2 allowance transfer for any remaining CAIR SO2 
allowances to another CAIR SO2 Allowance Tracking System in 
accordance with subpart GGG of this part.
    (c) Notification. (1) After the requirements for withdrawal under 
paragraphs (a) and (b) of this section are met (including deduction of 
the full amount of CAIR SO2 allowances required), the 
permitting authority will issue a notification to the CAIR designated 
representative of the CAIR SO2 opt-in unit of the acceptance 
of the withdrawal of the CAIR SO2 opt-in unit as of midnight 
on December 31 of the calendar year for which the withdrawal was 
requested.
    (2) If the requirements for withdrawal under paragraphs (a) and (b) 
of this section are not met, the permitting authority will issue a 
notification to the CAIR designated representative of the CAIR 
SO2 opt-in unit that the CAIR SO2 opt-in unit's 
request to withdraw is denied. Such CAIR SO2 opt-in unit 
shall continue to be a CAIR SO2 opt-in unit.
    (d) Permit amendment. After the permitting authority issues a 
notification under paragraph (c)(1) of this section that the 
requirements for withdrawal have been met, the permitting authority will 
revise the CAIR permit covering the CAIR SO2 opt-in unit to 
terminate the CAIR opt-in permit for such unit as of the effective date 
specified under paragraph (c)(1) of this section. The unit shall 
continue to be a CAIR SO2 opt-in unit until the effective 
date of the termination and shall comply with all requirements under the 
CAIR SO2 Trading Program concerning any control periods for 
which the unit is a CAIR SO2 opt-in unit, even if such 
requirements arise or must be complied with after the withdrawal takes 
effect.
    (e) Reapplication upon failure to meet conditions of withdrawal. If 
the permitting authority denies the CAIR SO2 opt-in unit's 
request to withdraw, the CAIR designated representative may submit 
another request to withdraw in accordance with paragraphs (a) and (b) of 
this section.
    (f) Ability to reapply to the CAIR SO2 Trading Program. 
Once a CAIR SO2 opt-in unit withdraws from the CAIR 
SO2 Trading Program and its CAIR opt-in permit is terminated 
under this section, the CAIR designated representative may not submit 
another application for a CAIR opt-in permit under Sec.  96.283 for such 
CAIR SO2 opt-in unit before the date that is 4 years after 
the date on which the withdrawal became effective. Such new application 
for a CAIR opt-in permit will be treated as an initial application for a 
CAIR opt-in permit under Sec.  96.284.
    (g) Inability to withdraw. Notwithstanding paragraphs (a) through 
(f) of this section, a CAIR SO2 opt-in unit shall not be 
eligible to withdraw from the CAIR SO2 Trading Program if the 
CAIR designated representative of the CAIR SO2 opt-in unit 
requests, and the permitting authority issues a CAIR opt-in permit 
providing for, allocation to the CAIR SO2 opt-in unit of CAIR 
SO2 allowances under Sec.  96.288(c).

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]

[[Page 1028]]



Sec.  96.287  Change in regulatory status.

    (a) Notification. If a CAIR SO2 opt-in unit becomes a 
CAIR SO2 unit under Sec.  96.204, then the CAIR designated 
representative shall notify in writing the permitting authority and the 
Administrator of such change in the CAIR SO2 opt-in unit's 
regulatory status, within 30 days of such change.
    (b) Permitting authority's and Administrator's actions. (1) If a 
CAIR SO2 opt-in unit becomes a CAIR SO2 unit under 
Sec.  96.204, the permitting authority will revise the CAIR 
SO2 opt-in unit's CAIR opt-in permit to meet the requirements 
of a CAIR permit under Sec.  96.223, and remove the CAIR opt-in permit 
provisions, as of the date on which the CAIR SO2 opt-in unit 
becomes a CAIR SO2 unit under Sec.  96.204.
    (2)(i) The Administrator will deduct from the compliance account of 
the source that includes a CAIR SO2 opt-in unit that becomes 
a CAIR SO2 unit under Sec.  96.204, CAIR SO2 
allowances equal in amount to and allocated for the same or a prior 
control period as:
    (A) Any CAIR SO2 allowances allocated to the CAIR 
SO2 opt-in unit under Sec.  96.288 for any control period 
after the date on which the CAIR SO2 opt-in unit becomes a 
CAIR SO2 unit under Sec.  96.204; and
    (B) If the date on which the CAIR SO2 opt-in unit becomes 
a CAIR SO2 unit under Sec.  96.204 is not December 31, the 
CAIR SO2 allowances allocated to the CAIR SO2 opt-
in unit under Sec.  96.288 for the control period that includes the date 
on which the CAIR SO2 opt-in unit becomes a CAIR 
SO2 unit under Sec.  96.204, multiplied by the ratio of the 
number of days, in the control period, starting with the date on which 
the CAIR SO2 opt-in unit becomes a CAIR SO2 unit 
under Sec.  96.204 divided by the total number of days in the control 
period and rounded to the nearest whole allowance as appropriate.
    (ii) The CAIR designated representative shall ensure that the 
compliance account of the source that includes the CAIR SO2 
opt-in unit that becomes a CAIR SO2 unit under Sec.  96.204 
contains the CAIR SO2 allowances necessary for completion of 
the deduction under paragraph (b)(2)(i) of this section.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.288  CAIR SO2 allowance allocations to CAIR SO2 opt-in units.

    (a) Timing requirements. (1) When the CAIR opt-in permit is issued 
under Sec.  96.284(e), the permitting authority will allocate CAIR 
SO2 allowances to the CAIR SO2 opt-in unit, and 
submit to the Administrator the allocation for the control period in 
which a CAIR SO2 opt-in unit enters the CAIR SO2 
Trading Program under Sec.  96.284(g), in accordance with paragraph (b) 
or (c) of this section.
    (2) By no later than October 31 of the control period after the 
control period in which a CAIR SO2 opt-in unit enters the 
CAIR SO2 Trading Program under Sec.  96.284(g) and October 31 
of each year thereafter, the permitting authority will allocate CAIR 
SO2 allowances to the CAIR SO2 opt-in unit, and 
submit to the Administrator the allocation for the control period that 
includes such submission deadline and in which the unit is a CAIR 
SO2 opt-in unit, in accordance with paragraph (b) or (c) of 
this section.
    (b) Calculation of allocation. For each control period for which a 
CAIR SO2 opt-in unit is to be allocated CAIR SO2 
allowances, the permitting authority will allocate in accordance with 
the following procedures:
    (1) The heat input (in mmBtu) used for calculating the CAIR 
SO2 allowance allocation will be the lesser of:
    (i) The CAIR SO2 opt-in unit's baseline heat input 
determined under Sec.  96.284(c); or
    (ii) The CAIR SO2 opt-in unit's heat input, as determined 
in accordance with subpart HHH of this part, for the immediately prior 
control period, except when the allocation is being calculated for the 
control period in which the CAIR SO2 opt-in unit enters the 
CAIR SO2 Trading Program under Sec.  96.284(g).
    (2) The SO2 emission rate (in lb/mmBtu) used for 
calculating CAIR SO2 allowance allocations will be the lesser 
of:

[[Page 1029]]

    (i) The CAIR SO2 opt-in unit's baseline SO2 
emissions rate (in lb/mmBtu) determined under Sec.  96.284(d) and 
multiplied by 70 percent; or
    (ii) The most stringent State or Federal SO2 emissions 
limitation applicable to the CAIR SO2 opt-in unit at any time 
during the control period for which CAIR SO2 allowances are 
to be allocated.
    (3) The permitting authority will allocate CAIR SO2 
allowances to the CAIR SO2 opt-in unit with a tonnage 
equivalent equal to, or less than by the smallest possible amount, the 
heat input under paragraph (b)(1) of this section, multiplied by the 
SO2 emission rate under paragraph (b)(2) of this section, and 
divided by 2,000 lb/ton.
    (c) Notwithstanding paragraph (b) of this section and if the CAIR 
designated representative requests, and the permitting authority issues 
a CAIR opt-in permit (based on a demonstration of the intent to repower 
stated under Sec.  96.283(a)(5)) providing for, allocation to a CAIR 
SO2 opt-in unit of CAIR SO2 allowances under this 
paragraph (subject to the conditions in Sec. Sec.  96.284(h) and 
96.286(g)), the permitting authority will allocate to the CAIR 
SO2 opt-in unit as follows:
    (1) For each control period in 2010 through 2014 for which the CAIR 
SO2 opt-in unit is to be allocated CAIR SO2 
allowances,
    (i) The heat input (in mmBtu) used for calculating CAIR 
SO2 allowance allocations will be determined as described in 
paragraph (b)(1) of this section.
    (ii) The SO2 emission rate (in lb/mmBtu) used for 
calculating CAIR SO2 allowance allocations will be the lesser 
of:
    (A) The CAIR SO2 opt-in unit's baseline SO2 
emissions rate (in lb/mmBtu) determined under Sec.  96.284(d); or
    (B) The most stringent State or Federal SO2 emissions 
limitation applicable to the CAIR SO2 opt-in unit at any time 
during the control period in which the CAIR SO2 opt-in unit 
enters the CAIR SO2 Trading Program under Sec.  96.284(g).
    (iii) The permitting authority will allocate CAIR SO2 
allowances to the CAIR SO2 opt-in unit with a tonnage 
equivalent equal to, or less than by the smallest possible amount, the 
heat input under paragraph (c)(1)(i) of this section, multiplied by the 
SO2 emission rate under paragraph (c)(1)(ii) of this section, 
and divided by 2,000 lb/ton.
    (2) For each control period in 2015 and thereafter for which the 
CAIR SO2 opt-in unit is to be allocated CAIR SO2 
allowances,
    (i) The heat input (in mmBtu) used for calculating the CAIR 
SO2 allowance allocations will be determined as described in 
paragraph (b)(1) of this section.
    (ii) The SO2 emission rate (in lb/mmBtu) used for 
calculating the CAIR SO2 allowance allocation will be the 
lesser of:
    (A) The CAIR SO2 opt-in unit's baseline SO2 
emissions rate (in lb/mmBtu) determined under Sec.  96.284(d) multiplied 
by 10 percent; or
    (B) The most stringent State or Federal SO2 emissions 
limitation applicable to the CAIR SO2 opt-in unit at any time 
during the control period for which CAIR SO2 allowances are 
to be allocated.
    (iii) The permitting authority will allocate CAIR SO2 
allowances to the CAIR SO2 opt-in unit with a tonnage 
equivalent equal to, or less than by the smallest possible amount, the 
heat input under paragraph (c)(2)(i) of this section, multiplied by the 
SO2 emission rate under paragraph (c)(2)(ii) of this section, 
and divided by 2,000 lb/ton.
    (d) Recordation. (1) The Administrator will record, in the 
compliance account of the source that includes the CAIR SO2 
opt-in unit, the CAIR SO2 allowances allocated by the 
permitting authority to the CAIR SO2 opt-in unit under 
paragraph (a)(1) of this section.
    (2) By December 1 of the control period in which a CAIR 
SO2 opt-in unit enters the CAIR SO2 Trading 
Program under Sec.  96.284(g), and December 1 of each year thereafter, 
the Administrator will record, in the compliance account of the source 
that includes the CAIR SO2 opt-in unit, the CAIR 
SO2 allowances allocated by the permitting authority to the 
CAIR SO2 opt-in unit under paragraph (a)(2) of this section.

[70 FR 25362, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006]

Subparts JJJ-ZZZ [Reserved]

[[Page 1030]]



  Subpart AAAA_CAIR NOX Ozone Season Trading Program General Provisions

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.301  Purpose.

    This subpart and subparts BBBB through IIII establish the model rule 
comprising general provisions and the designated representative, 
permitting, allowance, monitoring, and opt-in provisions for the State 
Clean Air Interstate Rule (CAIR) NOX Ozone Season Trading 
Program, under section 110 of the Clean Air Act and Sec.  51.123 of this 
chapter, as a means of mitigating interstate transport of ozone and 
nitrogen oxides. The owner or operator of a unit or a source shall 
comply with the requirements of this subpart and subparts BBBB through 
IIII as a matter of federal law only if the State with jurisdiction over 
the unit and the source incorporates by reference such subparts or 
otherwise adopts the requirements of such subparts in accordance with 
Sec.  51.123(aa)(1) or (2), of this chapter, the State submits to the 
Administrator one or more revisions of the State implementation plan 
that include such adoption, and the Administrator approves such 
revisions. If the State adopts the requirements of such subparts in 
accordance with Sec.  51.123(aa)(1) or (2), (bb), or (dd) of this 
chapter, then the State authorizes the Administrator to assist the State 
in implementing the CAIR NOX Ozone Season Trading Program by 
carrying out the functions set forth for the Administrator in such 
subparts.



Sec.  96.302  Definitions.

    The terms used in this subpart and subparts BBBB through IIII shall 
have the meanings set forth in this section as follows:
    Account number means the identification number given by the 
Administrator to each CAIR NOX Ozone Season Allowance 
Tracking System account.
    Acid Rain emissions limitation means a limitation on emissions of 
sulfur dioxide or nitrogen oxides under the Acid Rain Program.
    Acid Rain Program means a multi-state sulfur dioxide and nitrogen 
oxides air pollution control and emission reduction program established 
by the Administrator under title IV of the CAA and parts 72 through 78 
of this chapter.
    Administrator means the Administrator of the United States 
Environmental Protection Agency or the Administrator's duly authorized 
representative.
    Allocate or allocation means, with regard to CAIR NOX 
Ozone Season allowances, the determination by a permitting authority or 
the Administrator of the amount of such CAIR NOX Ozone Season 
allowances to be initially credited to a CAIR NOX Ozone 
Season unit, a new unit set-aside, or other entity.
    Allowance transfer deadline means, for a control period, midnight of 
November 30 (if it is a business day), or midnight of the first business 
day thereafter (if November 30 is not a business day), immediately 
following the control period and is the deadline by which a CAIR 
NOX Ozone Season allowance transfer must be submitted for 
recordation in a CAIR NOX Ozone Season source's compliance 
account in order to be used to meet the source's CAIR NOX 
Ozone Season emissions limitation for such control period in accordance 
with Sec.  96.354.
    Alternate CAIR designated representative means, for a CAIR 
NOX Ozone Season source and each CAIR NOX Ozone 
Season unit at the source, the natural person who is authorized by the 
owners and operators of the source and all such units at the source, in 
accordance with subparts BBBB and IIII of this part, to act on behalf of 
the CAIR designated representative in matters pertaining to the CAIR 
NOX Ozone Season Trading Program. If the CAIR NOX 
Ozone Season source is also a CAIR NOX source, then this 
natural person shall be the same person as the alternate CAIR designated 
representative under the CAIR NOX Annual Trading Program. If 
the CAIR NOX Ozone Season source is also a CAIR 
SO2 source, then this natural person shall be the same person 
as the alternate CAIR designated representative under the CAIR 
SO2 Trading Program. If the CAIR NOX Ozone Season 
source is also subject to

[[Page 1031]]

the Acid Rain Program, then this natural person shall be the same person 
as the alternate designated representative under the Acid Rain Program. 
If the CAIR NOX Ozone Season source is also subject to the Hg 
Budget Trading Program, then this natural person shall be the same 
person as the alternate Hg designated representative under the Hg Budget 
Trading Program.
    Automated data acquisition and handling system or DAHS means that 
component of the continuous emission monitoring system, or other 
emissions monitoring system approved for use under subpart HHHH of this 
part, designed to interpret and convert individual output signals from 
pollutant concentration monitors, flow monitors, diluent gas monitors, 
and other component parts of the monitoring system to produce a 
continuous record of the measured parameters in the measurement units 
required by subpart HHHH of this part.
    Biomass means--
    (1) Any organic material grown for the purpose of being converted to 
energy;
    (2) Any organic byproduct of agriculture that can be converted into 
energy; or
    (3) Any material that can be converted into energy and is 
nonmerchantable for other purposes, that is segregated from other 
nonmerchantable material, and that is;
    (i) A forest-related organic resource, including mill residues, 
precommercial thinnings, slash, brush, or byproduct from conversion of 
trees to merchantable material; or
    (ii) A wood material, including pallets, crates, dunnage, 
manufacturing and construction materials (other than pressure-treated, 
chemically-treated, or painted wood products), and landscape or right-
of-way tree trimmings.
    Boiler means an enclosed fossil- or other-fuel-fired combustion 
device used to produce heat and to transfer heat to recirculating water, 
steam, or other medium.
    Bottoming-cycle cogeneration unit means a cogeneration unit in which 
the energy input to the unit is first used to produce useful thermal 
energy and at least some of the reject heat from the useful thermal 
energy application or process is then used for electricity production.
    CAIR authorized account representative means, with regard to a 
general account, a responsible natural person who is authorized, in 
accordance with subparts BBBB, FFFF, and IIII of this part, to transfer 
and otherwise dispose of CAIR NOX Ozone Season allowances 
held in the general account and, with regard to a compliance account, 
the CAIR designated representative of the source.
    CAIR designated representative means, for a CAIR NOX 
Ozone Season source and each CAIR NOX Ozone Season unit at 
the source, the natural person who is authorized by the owners and 
operators of the source and all such units at the source, in accordance 
with subparts BBBB and IIII of this part, to represent and legally bind 
each owner and operator in matters pertaining to the CAIR NOX 
Ozone Season Trading Program. If the CAIR NOX Ozone Season 
source is also a CAIR NOX source, then this natural person 
shall be the same person as the CAIR designated representative under the 
CAIR NOX Annual Trading Program. If the CAIR NOX 
Ozone Season source is also a CAIR SO2 source, then this 
natural person shall be the same person as the CAIR designated 
representative under the CAIR SO2 Trading Program. If the 
CAIR NOX Ozone Season source is also subject to the Acid Rain 
Program, then this natural person shall be the same person as the 
designated representative under the Acid Rain Program. If the CAIR 
NOX Ozone Season source is also subject to the Hg Budget 
Trading Program, then this natural person shall be the same person as 
the Hg designated representative under the Hg Budget Trading Program.
    CAIR NOX Annual Trading Program means a multi-state nitrogen oxides 
air pollution control and emission reduction program approved and 
administered by the Administrator in accordance with subparts AA through 
II of this part and Sec.  51.123(o)(1) or (2) of this chapter or 
established by the Administrator in accordance with subparts AA through 
II of part 97 of this chapter and Sec. Sec.  51.123(p) and 52.35 of this 
chapter, as

[[Page 1032]]

a means of mitigating interstate transport of fine particulates and 
nitrogen oxides.
    CAIR NOX Ozone Season allowance means a limited authorization issued 
by a permitting authority or the Administrator under provisions of a 
State implementation plan that are approved under Sec.  51.123(aa)(1) or 
(2) (and (bb)(1)), (bb)(2), (dd), or (ee) of this chapter, or under 
subpart EEEE of part 97 or Sec.  97.388 of this chapter, to emit one ton 
of nitrogen oxides during a control period of the specified calendar 
year for which the authorization is allocated or of any calendar year 
thereafter under the CAIR NOX Ozone Season Trading Program or 
a limited authorization issued by a permitting authority for a control 
period during 2003 through 2008 under the NOX Budget Trading 
Program in accordance with Sec.  51.121(p) of this chapter to emit one 
ton of nitrogen oxides during a control period, provided that the 
provision in Sec.  51.121(b)(2)(ii)(E) of this chapter shall not be used 
in applying this definition and the limited authorization shall not have 
been used to meet the allowance-holding requirement under the 
NOX Budget Trading Program. An authorization to emit nitrogen 
oxides that is not issued under provisions of a State implementation 
plan approved under Sec.  51.123(aa)(1) or (2) (and (bb)(1)), (bb)(2), 
(dd), or (ee) of this chapter or subpart EEEE of part 97 or Sec.  97.388 
of this chapter or under the NOX Budget Trading Program as 
described in the prior sentence shall not be a CAIR NOX Ozone 
Season allowance.
    CAIR NOX Ozone Season allowance deduction or deduct CAIR NOX Ozone 
Season allowances means the permanent withdrawal of CAIR NOX 
Ozone Season allowances by the Administrator from a compliance account, 
e.g., in order to account for a specified number of tons of total 
nitrogen oxides emissions from all CAIR NOX Ozone Season 
units at a CAIR NOX Ozone Season source for a control period, 
determined in accordance with subpart HHHH of this part, or to account 
for excess emissions.
    CAIR NOX Ozone Season Allowance Tracking System means the system by 
which the Administrator records allocations, deductions, and transfers 
of CAIR NOX Ozone Season allowances under the CAIR 
NOX Ozone Season Trading Program. Such allowances will be 
allocated, held, deducted, or transferred only as whole allowances.
    CAIR NOX Ozone Season Allowance Tracking System account means an 
account in the CAIR NOX Ozone Season Allowance Tracking 
System established by the Administrator for purposes of recording the 
allocation, holding, transferring, or deducting of CAIR NOX 
Ozone Season allowances.
    CAIR NOX Ozone Season allowances held or hold CAIR NOX Ozone Season 
allowances means the CAIR NOX Ozone Season allowances 
recorded by the Administrator, or submitted to the Administrator for 
recordation, in accordance with subparts FFFF, GGGG, and IIII of this 
part, in a CAIR NOX Ozone Season Allowance Tracking System 
account.
    CAIR NOX Ozone Season emissions limitation means, for a CAIR 
NOX Ozone Season source, the tonnage equivalent, in 
NOX emissions in a control period, of the CAIR NOX 
Ozone Season allowances available for deduction for the source under 
Sec.  96.354(a) and (b) for the control period.
    CAIR NOX Ozone Season Trading Program means a multi-state nitrogen 
oxides air pollution control and emission reduction program approved and 
administered by the Administrator in accordance with subparts AAAA 
through IIII of this part and Sec.  51.123(aa)(1) or (2) (and (bb)(1)), 
(bb)(2), or (dd) of this chapter or established by the Administrator in 
accordance with subparts AAAA through IIII of part 97 of this chapter 
and Sec. Sec.  51.123(ee) and 52.35 of this chapter, as a means of 
mitigating interstate transport of ozone and nitrogen oxides.
    CAIR NOX Ozone Season source means a source that includes one or 
more CAIR NOX Ozone Season units.
    CAIR NOX Ozone Season unit means a unit that is subject to the CAIR 
NOX Ozone Season Trading Program under Sec.  96.304 and, 
except for purposes of Sec.  96.305 and subpart EEEE of this part, a 
CAIR NOX Ozone Season opt-in unit under subpart IIII of this 
part.
    CAIR NOX source means a source that is subject to the CAIR 
NOX Annual Trading Program.

[[Page 1033]]

    CAIR permit means the legally binding and federally enforceable 
written document, or portion of such document, issued by the permitting 
authority under subpart CCCC of this part, including any permit 
revisions, specifying the CAIR NOX Ozone Season Trading 
Program requirements applicable to a CAIR NOX Ozone Season 
source, to each CAIR NOX Ozone Season unit at the source, and 
to the owners and operators and the CAIR designated representative of 
the source and each such unit.
    CAIR SO2 source means a source that is subject to the CAIR 
SO2 Trading Program.
    CAIR SO2 Trading Program means a multi-state sulfur dioxide air 
pollution control and emission reduction program approved and 
administered by the Administrator in accordance with subparts AAA 
through III of this part and Sec.  51.124(o)(1) or (2) of this chapter 
or established by the Administrator in accordance with subparts AAA 
through III of part 97 of this chapter and Sec. Sec.  51.124(r) and 
52.36 of this chapter, as a means of mitigating interstate transport of 
fine particulates and sulfur dioxide.
    Clean Air Act or CAA means the Clean Air Act, 42 U.S.C. 7401, et 
seq.
    Coal means any solid fuel classified as anthracite, bituminous, 
subbituminous, or lignite.
    Coal-derived fuel means any fuel (whether in a solid, liquid, or 
gaseous state) produced by the mechanical, thermal, or chemical 
processing of coal.
    Coal-fired means:
    (1) Except for purposes of subpart EEEE of this part, combusting any 
amount of coal or coal-derived fuel, alone or in combination with any 
amount of any other fuel, during any year; or
    (2) For purposes of subpart EEEE of this part, combusting any amount 
of coal or coal-derived fuel, alone or in combination with any amount of 
any other fuel, during a specified year.
    Cogeneration unit means a stationary, fossil-fuel-fired boiler or 
stationary, fossil-fuel-fired combustion turbine:
    (1) Having equipment used to produce electricity and useful thermal 
energy for industrial, commercial, heating, or cooling purposes through 
the sequential use of energy; and
    (2) Producing during the 12-month period starting on the date the 
unit first produces electricity and during any calendar year after the 
calendar year in which the unit first produces electricity--
    (i) For a topping-cycle cogeneration unit,
    (A) Useful thermal energy not less than 5 percent of total energy 
output; and
    (B) Useful power that, when added to one-half of useful thermal 
energy produced, is not less then 42.5 percent of total energy input, if 
useful thermal energy produced is 15 percent or more of total energy 
output, or not less than 45 percent of total energy input, if useful 
thermal energy produced is less than 15 percent of total energy output.
    (ii) For a bottoming-cycle cogeneration unit, useful power not less 
than 45 percent of total energy input;
    (3) Provided that the total energy input under paragraphs (2)(i)(B) 
and (2)(ii) of this definition shall equal the unit's total energy input 
from all fuel except biomass if the unit is a boiler.
    Combustion turbine means:
    (1) An enclosed device comprising a compressor, a combustor, and a 
turbine and in which the flue gas resulting from the combustion of fuel 
in the combustor passes through the turbine, rotating the turbine; and
    (2) If the enclosed device under paragraph (1) of this definition is 
combined cycle, any associated duct burner, heat recovery steam 
generator, and steam turbine.
    Commence commercial operation means, with regard to a unit:
    (1) To have begun to produce steam, gas, or other heated medium used 
to generate electricity for sale or use, including test generation, 
except as provided in Sec.  96.305 and Sec.  96.384(h).
    (i) For a unit that is a CAIR NOX Ozone Season unit under 
Sec.  96.304 on the later of November 15, 1990 or the date the unit 
commences commercial operation as defined in paragraph (1) of this 
definition and that subsequently undergoes a physical change (other than 
replacement of the unit by a unit at the same source), such date shall 
remain the date of commencement of

[[Page 1034]]

commercial operation of the unit, which shall continue to be treated as 
the same unit.
    (ii) For a unit that is a CAIR NOX Ozone Season unit 
under Sec.  96.304 on the later of November 15, 1990 or the date the 
unit commences commercial operation as defined in paragraph (1) of this 
definition and that is subsequently replaced by a unit at the same 
source (e.g., repowered), such date shall remain the replaced unit's 
date of commencement of commercial operation, and the replacement unit 
shall be treated as a separate unit with a separate date for 
commencement of commercial operation as defined in paragraph (1) or (2) 
of this definition as appropriate.
    (2) Notwithstanding paragraph (1) of this definition and except as 
provided in Sec.  96.305, for a unit that is not a CAIR NOX 
Ozone Season unit under Sec.  96.304 on the later of November 15, 1990 
or the date the unit commences commercial operation as defined in 
paragraph (1) of this definition, the unit's date for commencement of 
commercial operation shall be the date on which the unit becomes a CAIR 
NOX Ozone Season unit under Sec.  96.304.
    (i) For a unit with a date for commencement of commercial operation 
as defined in paragraph (2) of this definition and that subsequently 
undergoes a physical change (other than replacement of the unit by a 
unit at the same source), such date shall remain the date of 
commencement of commercial operation of the unit, which shall continue 
to be treated as the same unit.
    (ii) For a unit with a date for commencement of commercial operation 
as defined in paragraph (2) of this definition and that is subsequently 
replaced by a unit at the same source (e.g., repowered), such date shall 
remain the replaced unit's date of commencement of commercial operation, 
and the replacement unit shall be treated as a separate unit with a 
separate date for commencement of commercial operation as defined in 
paragraph (1) or (2) of this definition as appropriate.
    Commence operation means:
    (1) To have begun any mechanical, chemical, or electronic process, 
including, with regard to a unit, start-up of a unit's combustion 
chamber, except as provided in Sec.  96.384(h).
    (2) For a unit that undergoes a physical change (other than 
replacement of the unit by a unit at the same source) after the date the 
unit commences operation as defined in paragraph (1) of this definition, 
such date shall remain the date of commencement of operation of the 
unit, which shall continue to be treated as the same unit.
    (3) For a unit that is replaced by a unit at the same source (e.g., 
repowered) after the date the unit commences operation as defined in 
paragraph (1) of this definition, such date shall remain the replaced 
unit's date of commencement of operation, and the replacement unit shall 
be treated as a separate unit with a separate date for commencement of 
operation as defined in paragraph (1), (2), or (3) of this definition as 
appropriate, except as provided in Sec.  96.384(h).
    Common stack means a single flue through which emissions from 2 or 
more units are exhausted.
    Compliance account means a CAIR NOX Ozone Season 
Allowance Tracking System account, established by the Administrator for 
a CAIR NOX Ozone Season source under subpart FFFF or IIII of 
this part, in which any CAIR NOX Ozone Season allowance 
allocations for the CAIR NOX Ozone Season units at the source 
are initially recorded and in which are held any CAIR NOX 
Ozone Season allowances available for use for a control period in order 
to meet the source's CAIR NOX Ozone Season emissions 
limitation in accordance with Sec.  96.354.
    Continuous emission monitoring system or CEMS means the equipment 
required under subpart HHHH of this part to sample, analyze, measure, 
and provide, by means of readings recorded at least once every 15 
minutes (using an automated data acquisition and handling system 
(DAHS)), a permanent record of nitrogen oxides emissions, stack gas 
volumetric flow rate, stack gas moisture content, and oxygen or carbon 
dioxide concentration (as applicable), in a manner consistent with part 
75 of this chapter. The following systems are the principal types of 
continuous emission monitoring systems required under subpart HHHH of 
this part:

[[Page 1035]]

    (1) A flow monitoring system, consisting of a stack flow rate 
monitor and an automated data acquisition and handling system and 
providing a permanent, continuous record of stack gas volumetric flow 
rate, in standard cubic feet per hour (scfh);
    (2) A nitrogen oxides concentration monitoring system, consisting of 
a NOX pollutant concentration monitor and an automated data 
acquisition and handling system and providing a permanent, continuous 
record of NOX emissions, in parts per million (ppm);
    (3) A nitrogen oxides emission rate (or NOX-diluent) 
monitoring system, consisting of a NOX pollutant 
concentration monitor, a diluent gas (CO2 or O2) 
monitor, and an automated data acquisition and handling system and 
providing a permanent, continuous record of NOX 
concentration, in parts per million (ppm), diluent gas concentration, in 
percent CO2 or O2, and NOX emission 
rate, in pounds per million British thermal units (lb/mmBtu);
    (4) A moisture monitoring system, as defined in Sec.  75.11(b)(2) of 
this chapter and providing a permanent, continuous record of the stack 
gas moisture content, in percent H2O;
    (5) A carbon dioxide monitoring system, consisting of a 
CO2 pollutant concentration monitor (or an oxygen monitor 
plus suitable mathematical equations from which the CO2 
concentration is derived) and an automated data acquisition and handling 
system and providing a permanent, continuous record of CO2 
emissions, in percent CO2; and
    (6) An oxygen monitoring system, consisting of an O2 
concentration monitor and an automated data acquisition and handling 
system and providing a permanent, continuous record of O2 in 
percent O2.
    Control period or ozone season means the period beginning May 1 of a 
calendar year, except as provided in Sec.  96.306(c)(2), and ending on 
September 30 of the same year, inclusive.
    Emissions means air pollutants exhausted from a unit or source into 
the atmosphere, as measured, recorded, and reported to the Administrator 
by the CAIR designated representative and as determined by the 
Administrator in accordance with subpart HHHH of this part.
    Excess emissions means any ton of nitrogen oxides emitted by the 
CAIR NOX Ozone Season units at a CAIR NOX Ozone 
Season source during a control period that exceeds the CAIR 
NOX Ozone Season emissions limitation for the source.
    Fossil fuel means natural gas, petroleum, coal, or any form of 
solid, liquid, or gaseous fuel derived from such material.
    Fossil-fuel-fired means, with regard to a unit, combusting any 
amount of fossil fuel in any calendar year.
    Fuel oil means any petroleum-based fuel (including diesel fuel or 
petroleum derivatives such as oil tar) and any recycled or blended 
petroleum products or petroleum by-products used as a fuel whether in a 
liquid, solid, or gaseous state.
    General account means a CAIR NOX Ozone Season Allowance 
Tracking System account, established under subpart FFFF of this part, 
that is not a compliance account.
    Generator means a device that produces electricity.
    Gross electrical output means, with regard to a cogeneration unit, 
electricity made available for use, including any such electricity used 
in the power production process (which process includes, but is not 
limited to, any on-site processing or treatment of fuel combusted at the 
unit and any on-site emission controls).
    Heat input means, with regard to a specified period of time, the 
product (in mmBtu/time) of the gross calorific value of the fuel (in 
Btu/lb) divided by 1,000,000 Btu/mmBtu and multiplied by the fuel feed 
rate into a combustion device (in lb of fuel/time), as measured, 
recorded, and reported to the Administrator by the CAIR designated 
representative and determined by the Administrator in accordance with 
subpart HHHH of this part and excluding the heat derived from preheated 
combustion air, recirculated flue gases, or exhaust from other sources.
    Heat input rate means the amount of heat input (in mmBtu) divided by 
unit operating time (in hr) or, with regard to a specific fuel, the 
amount of heat input attributed to the fuel (in mmBtu)

[[Page 1036]]

divided by the unit operating time (in hr) during which the unit 
combusts the fuel.
    Life-of-the-unit, firm power contractual arrangement means a unit 
participation power sales agreement under which a utility or industrial 
customer reserves, or is entitled to receive, a specified amount or 
percentage of nameplate capacity and associated energy generated by any 
specified unit and pays its proportional amount of such unit's total 
costs, pursuant to a contract:
    (1) For the life of the unit;
    (2) For a cumulative term of no less than 30 years, including 
contracts that permit an election for early termination; or
    (3) For a period no less than 25 years or 70 percent of the economic 
useful life of the unit determined as of the time the unit is built, 
with option rights to purchase or release some portion of the nameplate 
capacity and associated energy generated by the unit at the end of the 
period.
    Maximum design heat input means the maximum amount of fuel per hour 
(in Btu/hr) that a unit is capable of combusting on a steady state basis 
as of the initial installation of the unit as specified by the 
manufacturer of the unit.
    Monitoring system means any monitoring system that meets the 
requirements of subpart HHHH of this part, including a continuous 
emissions monitoring system, an alternative monitoring system, or an 
excepted monitoring system under part 75 of this chapter.
    Most stringent State or Federal NOX emissions limitation 
means, with regard to a unit, the lowest NOX emissions 
limitation (in terms of lb/mmBtu) that is applicable to the unit under 
State or Federal law, regardless of the averaging period to which the 
emissions limitation applies.
    Nameplate capacity means, starting from the initial installation of 
a generator, the maximum electrical generating output (in MWe) that the 
generator is capable of producing on a steady state basis and during 
continuous operation (when not restricted by seasonal or other 
deratings) as of such installation as specified by the manufacturer of 
the generator or, starting from the completion of any subsequent 
physical change in the generator resulting in an increase in the maximum 
electrical generating output (in MWe) that the generator is capable of 
producing on a steady state basis and during continuous operation (when 
not restricted by seasonal or other deratings), such increased maximum 
amount as of such completion as specified by the person conducting the 
physical change.
    Oil-fired means, for purposes of subpart EEEE of this part, 
combusting fuel oil for more than 15.0 percent of the annual heat input 
in a specified year and not qualifying as coal-fired.
    Operator means any person who operates, controls, or supervises a 
CAIR NOX Ozone Season unit or a CAIR NOX Ozone 
Season source and shall include, but not be limited to, any holding 
company, utility system, or plant manager of such a unit or source.
    Owner means any of the following persons:
    (1) With regard to a CAIR NOX Ozone Season source or a 
CAIR NOX Ozone Season unit at a source, respectively:
    (i) Any holder of any portion of the legal or equitable title in a 
CAIR NOX Ozone Season unit at the source or the CAIR 
NOX Ozone Season unit;
    (ii) Any holder of a leasehold interest in a CAIR NOX 
Ozone Season unit at the source or the CAIR NOX Ozone Season 
unit; or
    (iii) Any purchaser of power from a CAIR NOX Ozone Season 
unit at the source or the CAIR NOX Ozone Season unit under a 
life-of-the-unit, firm power contractual arrangement; provided that, 
unless expressly provided for in a leasehold agreement, owner shall not 
include a passive lessor, or a person who has an equitable interest 
through such lessor, whose rental payments are not based (either 
directly or indirectly) on the revenues or income from such CAIR 
NOX Ozone Season unit; or
    (2) With regard to any general account, any person who has an 
ownership interest with respect to the CAIR NOX Ozone Season 
allowances held in the general account and who is subject to the binding 
agreement for the CAIR authorized account representative to

[[Page 1037]]

represent the person's ownership interest with respect to CAIR 
NOX Ozone Season allowances.
    Permitting authority means the State air pollution control agency, 
local agency, other State agency, or other agency authorized by the 
Administrator to issue or revise permits to meet the requirements of the 
CAIR NOX Ozone Season Trading Program or, if no such agency 
has been so authorized, the Administrator.
    Potential electrical output capacity means 33 percent of a unit's 
maximum design heat input, divided by 3,413 Btu/kWh, divided by 1,000 
kWh/MWh, and multiplied by 8,760 hr/yr.
    Receive or receipt of means, when referring to the permitting 
authority or the Administrator, to come into possession of a document, 
information, or correspondence (whether sent in hard copy or by 
authorized electronic transmission), as indicated in an official log, or 
by a notation made on the document, information, or correspondence, by 
the permitting authority or the Administrator in the regular course of 
business.
    Recordation, record, or recorded means, with regard to CAIR 
NOX Ozone Season allowances, the movement of CAIR 
NOX Ozone Season allowances by the Administrator into or 
between CAIR NOX Ozone Season Allowance Tracking System 
accounts, for purposes of allocation, transfer, or deduction.
    Reference method means any direct test method of sampling and 
analyzing for an air pollutant as specified in Sec.  75.22 of this 
chapter.
    Replacement, replace, or replaced means, with regard to a unit, the 
demolishing of a unit, or the permanent shutdown and permanent disabling 
of a unit, and the construction of another unit (the replacement unit) 
to be used instead of the demolished or shutdown unit (the replaced 
unit).
    Repowered means, with regard to a unit, replacement of a coal-fired 
boiler with one of the following coal-fired technologies at the same 
source as the coal-fired boiler:
    (1) Atmospheric or pressurized fluidized bed combustion;
    (2) Integrated gasification combined cycle;
    (3) Magnetohydrodynamics;
    (4) Direct and indirect coal-fired turbines;
    (5) Integrated gasification fuel cells; or
    (6) As determined by the Administrator in consultation with the 
Secretary of Energy, a derivative of one or more of the technologies 
under paragraphs (1) through (5) of this definition and any other coal-
fired technology capable of controlling multiple combustion emissions 
simultaneously with improved boiler or generation efficiency and with 
significantly greater waste reduction relative to the performance of 
technology in widespread commercial use as of January 1, 2005.
    Serial number means, for a CAIR NOX Ozone Season 
allowance, the unique identification number assigned to each CAIR 
NOX Ozone Season allowance by the Administrator.
    Sequential use of energy means:
    (1) For a topping-cycle cogeneration unit, the use of reject heat 
from electricity production in a useful thermal energy application or 
process; or
    (2) For a bottoming-cycle cogeneration unit, the use of reject heat 
from useful thermal energy application or process in electricity 
production.
    Solid waste incineration unit means a stationary, fossil-fuel-fired 
boiler or stationary, fossil-fuel-fired combustion turbine that is a 
``solid waste incineration unit'' as defined in section 129(g)(1) of the 
Clean Air Act.
    Source means all buildings, structures, or installations located in 
one or more contiguous or adjacent properties under common control of 
the same person or persons. For purposes of section 502(c) of the Clean 
Air Act, a ``source,'' including a ``source'' with multiple units, shall 
be considered a single ``facility.''
    State means one of the States or the District of Columbia that 
adopts the CAIR NOX Ozone Season Trading Program pursuant to 
Sec.  51.123(aa)(1) or (2), (bb), or (dd) of this chapter.
    Submit or serve means to send or transmit a document, information, 
or correspondence to the person specified in accordance with the 
applicable regulation:
    (1) In person;

[[Page 1038]]

    (2) By United States Postal Service; or
    (3) By other means of dispatch or transmission and delivery. 
Compliance with any ``submission'' or ``service'' deadline shall be 
determined by the date of dispatch, transmission, or mailing and not the 
date of receipt.
    Title V operating permit means a permit issued under title V of the 
Clean Air Act and part 70 or part 71 of this chapter.
    Title V operating permit regulations means the regulations that the 
Administrator has approved or issued as meeting the requirements of 
title V of the Clean Air Act and part 70 or 71 of this chapter.
    Ton means 2,000 pounds. For the purpose of determining compliance 
with the CAIR NOX Ozone Season emissions limitation, total 
tons of nitrogen oxides emissions for a control period shall be 
calculated as the sum of all recorded hourly emissions (or the mass 
equivalent of the recorded hourly emission rates) in accordance with 
subpart HHHH of this part, but with any remaining fraction of a ton 
equal to or greater than 0.50 tons deemed to equal one ton and any 
remaining fraction of a ton less than 0.50 tons deemed to equal zero 
tons.
    Topping-cycle cogeneration unit means a cogeneration unit in which 
the energy input to the unit is first used to produce useful power, 
including electricity, and at least some of the reject heat from the 
electricity production is then used to provide useful thermal energy.
    Total energy input means, with regard to a cogeneration unit, total 
energy of all forms supplied to the cogeneration unit, excluding energy 
produced by the cogeneration unit itself. Each form of energy supplied 
shall be measured by the lower heating value of that form of energy 
calculated as follows:

LHV = HHV-10.55(W + 9H)

Where:

LHV = lower heating value of fuel in Btu/lb,
HHV = higher heating value of fuel in Btu/lb,
W = Weight % of moisture in fuel, and
H = Weight % of hydrogen in fuel.

    Total energy output means, with regard to a cogeneration unit, the 
sum of useful power and useful thermal energy produced by the 
cogeneration unit.
    Unit means a stationary, fossil-fuel-fired boiler or combustion 
turbine or other stationary, fossil-fuel-fired combustion device.
    Unit operating day means a calendar day in which a unit combusts any 
fuel.
    Unit operating hour or hour of unit operation means an hour in which 
a unit combusts any fuel.
    Useful power means, with regard to a cogeneration unit, electricity 
or mechanical energy made available for use, excluding any such energy 
used in the power production process (which process includes, but is not 
limited to, any on-site processing or treatment of fuel combusted at the 
unit and any on-site emission controls).
    Useful thermal energy means, with regard to a cogeneration unit, 
thermal energy that is:
    (1) Made available to an industrial or commercial process (not a 
power production process), excluding any heat contained in condensate 
return or makeup water;
    (2) Used in a heating application (e.g., space heating or domestic 
hot water heating); or
    (3) Used in a space cooling application (i.e., thermal energy used 
by an absorption chiller).
    Utility power distribution system means the portion of an 
electricity grid owned or operated by a utility and dedicated to 
delivering electricity to customers.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25390, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006; 72 FR 59206, Oct. 19, 2007]



Sec.  96.303  Measurements, abbreviations, and acronyms.

    Measurements, abbreviations, and acronyms used in this subpart and 
subparts BBBB through IIII are defined as follows:

Btu--British thermal unit
CO2--carbon dioxide
H2O--water
Hg--mercury
hr--hour
kW--kilowatt electrical
kWh--kilowatt hour
lb--pound
mmBtu--million Btu
MWe--megawatt electrical
MWh--megawatt hour

[[Page 1039]]

NOX--nitrogen oxides
O2--oxygen
ppm--parts per million
scfh--standard cubic feet per hour
SO2--sulfur dioxide
yr--year

[71 FR 25392, Apr. 28, 2006]



Sec.  96.304  Applicability.

    (a) Except as provided in paragraph (b) of this section:
    (1) The following units in a State shall be CAIR NOX 
Ozone Season units, and any source that includes one or more such units 
shall be a CAIR NOX Ozone Season source, subject to the 
requirements of this subpart and subparts BBBB through HHHH of this 
part: any stationary, fossil-fuel-fired boiler or stationary, fossil-
fuel-fired combustion turbine serving at any time, since the later of 
November 15, 1990 or the start-up of the unit's combustion chamber, a 
generator with nameplate capacity of more than 25 MWe producing 
electricity for sale.
    (2) If a stationary boiler or stationary combustion turbine that, 
under paragraph (a)(1) of this section, is not a CAIR NOX 
Ozone Season unit begins to combust fossil fuel or to serve a generator 
with nameplate capacity of more than 25 MWe producing electricity for 
sale, the unit shall become a CAIR NOX Ozone Season unit as 
provided in paragraph (a)(1) of this section on the first date on which 
it both combusts fossil fuel and serves such generator.
    (b) The units in a State that meet the requirements set forth in 
paragraph (b)(1)(i), (b)(2)(i), or (b)(2)(ii) of this section shall not 
be CAIR NOX Ozone Season units:
    (1)(i) Any unit that is a CAIR NOX Ozone Season unit 
under paragraph (a)(1) or (2) of this section:
    (A) Qualifying as a cogeneration unit during the 12-month period 
starting on the date the unit first produces electricity and continuing 
to qualify as a cogeneration unit; and
    (B) Not serving at any time, since the later of November 15, 1990 or 
the start-up of the unit's combustion chamber, a generator with 
nameplate capacity of more than 25 MWe supplying in any calendar year 
more than one-third of the unit's potential electric output capacity or 
219,000 MWh, whichever is greater, to any utility power distribution 
system for sale.
    (ii) If a unit qualifies as a cogeneration unit during the 12-month 
period starting on the date the unit first produces electricity and 
meets the requirements of paragraphs (b)(1)(i) of this section for at 
least one calendar year, but subsequently no longer meets all such 
requirements, the unit shall become a CAIR NOX Ozone Season 
unit starting on the earlier of January 1 after the first calendar year 
during which the unit first no longer qualifies as a cogeneration unit 
or January 1 after the first calendar year during which the unit no 
longer meets the requirements of paragraph (b)(1)(i)(B) of this section.
    (2)(i) Any unit that is a CAIR NOX Ozone Season unit 
under paragraph (a)(1) or (2) of this section commencing operation 
before January 1, 1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for 
1985-1987 exceeding 80 percent (on a Btu basis) and an average annual 
fuel consumption of non-fossil fuel for any 3 consecutive calendar years 
after 1990 exceeding 80 percent (on a Btu basis).
    (ii) Any unit that is a CAIR NOX Ozone Season unit under 
paragraph (a)(1) or (2) of this section commencing operation on or after 
January 1, 1985:
    (A) Qualifying as a solid waste incineration unit; and
    (B) With an average annual fuel consumption of non-fossil fuel for 
the first 3 calendar years of operation exceeding 80 percent (on a Btu 
basis) and an average annual fuel consumption of non-fossil fuel for any 
3 consecutive calendar years after 1990 exceeding 80 percent (on a Btu 
basis).
    (iii) If a unit qualifies as a solid waste incineration unit and 
meets the requirements of paragraph (b)(2)(i) or (ii) of this section 
for at least 3 consecutive calendar years, but subsequently no longer 
meets all such requirements, the unit shall become a CAIR NOX 
Ozone Season unit starting on the earlier of January 1 after the first 
calendar year during which the unit first no longer qualifies as a solid 
waste incineration unit or January 1 after the first 3 consecutive 
calendar

[[Page 1040]]

years after 1990 for which the unit has an average annual fuel 
consumption of fossil fuel of 20 percent or more.

[71 FR 25392, Apr. 28, 2006, as amended at 71 FR 74794, Dec. 13, 2006]



Sec.  96.305  Retired unit exemption.

    (a)(1) Any CAIR NOX Ozone Season unit that is permanently 
retired and is not a CAIR NOX Ozone Season opt-in unit under 
subpart IIII of this part shall be exempt from the CAIR NOX 
Ozone Season Trading Program, except for the provisions of this section, 
Sec.  96.302, Sec.  96.303, Sec.  96.304, Sec.  96.306(c)(4) through 
(7), Sec.  96.307, Sec.  96.308, and subparts BBBB and EEEE through GGGG 
of this part.
    (2) The exemption under paragraph (a)(1) of this section shall 
become effective the day on which the CAIR NOX Ozone Season 
unit is permanently retired. Within 30 days of the unit's permanent 
retirement, the CAIR designated representative shall submit a statement 
to the permitting authority otherwise responsible for administering any 
CAIR permit for the unit and shall submit a copy of the statement to the 
Administrator. The statement shall state, in a format prescribed by the 
permitting authority, that the unit was permanently retired on a 
specific date and will comply with the requirements of paragraph (b) of 
this section.
    (3) After receipt of the statement under paragraph (a)(2) of this 
section, the permitting authority will amend any permit under subpart 
CCCC of this part covering the source at which the unit is located to 
add the provisions and requirements of the exemption under paragraphs 
(a)(1) and (b) of this section.
    (b) Special provisions. (1) A unit exempt under paragraph (a) of 
this section shall not emit any nitrogen oxides, starting on the date 
that the exemption takes effect.
    (2) The permitting authority will allocate CAIR NOX Ozone 
Season allowances under subpart EEEE of this part to a unit exempt under 
paragraph (a) of this section.
    (3) For a period of 5 years from the date the records are created, 
the owners and operators of a unit exempt under paragraph (a) of this 
section shall retain, at the source that includes the unit, records 
demonstrating that the unit is permanently retired. The 5-year period 
for keeping records may be extended for cause, at any time before the 
end of the period, in writing by the permitting authority or the 
Administrator. The owners and operators bear the burden of proof that 
the unit is permanently retired.
    (4) The owners and operators and, to the extent applicable, the CAIR 
designated representative of a unit exempt under paragraph (a) of this 
section shall comply with the requirements of the CAIR NOX 
Ozone Season Trading Program concerning all periods for which the 
exemption is not in effect, even if such requirements arise, or must be 
complied with, after the exemption takes effect.
    (5) A unit exempt under paragraph (a) of this section and located at 
a source that is required, or but for this exemption would be required, 
to have a title V operating permit shall not resume operation unless the 
CAIR designated representative of the source submits a complete CAIR 
permit application under Sec.  96.322 for the unit not less than 18 
months (or such lesser time provided by the permitting authority) before 
the later of January 1, 2009 or the date on which the unit resumes 
operation.
    (6) On the earlier of the following dates, a unit exempt under 
paragraph (a) of this section shall lose its exemption:
    (i) The date on which the CAIR designated representative submits a 
CAIR permit application for the unit under paragraph (b)(5) of this 
section;
    (ii) The date on which the CAIR designated representative is 
required under paragraph (b)(5) of this section to submit a CAIR permit 
application for the unit; or
    (iii) The date on which the unit resumes operation, if the CAIR 
designated representative is not required to submit a CAIR permit 
application for the unit.
    (7) For the purpose of applying monitoring, reporting, and 
recordkeeping requirements under subpart HHHH of this part, a unit that 
loses its exemption under paragraph (a) of this section shall be treated 
as a unit that commences commercial operation on the

[[Page 1041]]

first date on which the unit resumes operation.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]



Sec.  96.306  Standard requirements.

    (a) Permit requirements. (1) The CAIR designated representative of 
each CAIR NOX Ozone Season source required to have a title V 
operating permit and each CAIR NOX Ozone Season unit required 
to have a title V operating permit at the source shall:
    (i) Submit to the permitting authority a complete CAIR permit 
application under Sec.  96.322 in accordance with the deadlines 
specified in Sec.  96.321; and
    (ii) Submit in a timely manner any supplemental information that the 
permitting authority determines is necessary in order to review a CAIR 
permit application and issue or deny a CAIR permit.
    (2) The owners and operators of each CAIR NOX Ozone 
Season source required to have a title V operating permit and each CAIR 
NOX Ozone Season unit required to have a title V operating 
permit at the source shall have a CAIR permit issued by the permitting 
authority under subpart CCCC of this part for the source and operate the 
source and the unit in compliance with such CAIR permit.
    (3) Except as provided in subpart IIII of this part, the owners and 
operators of a CAIR NOX Ozone Season source that is not 
otherwise required to have a title V operating permit and each CAIR 
NOX Ozone Season unit that is not otherwise required to have 
a title V operating permit are not required to submit a CAIR permit 
application, and to have a CAIR permit, under subpart CCCC of this part 
for such CAIR NOX Ozone Season source and such CAIR 
NOX Ozone Season unit.
    (b) Monitoring, reporting, and recordkeeping requirements. (1) The 
owners and operators, and the CAIR designated representative, of each 
CAIR NOX Ozone Season source and each CAIR NOX 
Ozone Season unit at the source shall comply with the monitoring, 
reporting, and recordkeeping requirements of subpart HHHH of this part.
    (2) The emissions measurements recorded and reported in accordance 
with subpart HHHH of this part shall be used to determine compliance by 
each CAIR NOX Ozone Season source with the CAIR 
NOX Ozone Season emissions limitation under paragraph (c) of 
this section.
    (c) Nitrogen oxides ozone season emission requirements. (1) As of 
the allowance transfer deadline for a control period, the owners and 
operators of each CAIR NOX Ozone Season source and each CAIR 
NOX Ozone Season unit at the source shall hold, in the 
source's compliance account, CAIR NOX Ozone Season allowances 
available for compliance deductions for the control period under Sec.  
96.354(a) in an amount not less than the tons of total nitrogen oxides 
emissions for the control period from all CAIR NOX Ozone 
Season units at the source, as determined in accordance with subpart 
HHHH of this part.
    (2) A CAIR NOX Ozone Season unit shall be subject to the 
requirements under paragraph (c)(1) of this section for the control 
period starting on the later of May 1, 2009 or the deadline for meeting 
the unit's monitor certification requirements under Sec.  96.370(b)(1), 
(2), (3), or (7) and for each control period thereafter.
    (3) A CAIR NOX Ozone Season allowance shall not be 
deducted, for compliance with the requirements under paragraph (c)(1) of 
this section, for a control period in a calendar year before the year 
for which the CAIR NOX Ozone Season allowance was allocated.
    (4) CAIR NOX Ozone Season allowances shall be held in, 
deducted from, or transferred into or among CAIR NOX Ozone 
Season Allowance Tracking System accounts in accordance with subparts 
FFFF, GGGG, and IIII of this part.
    (5) A CAIR NOX Ozone Season allowance is a limited 
authorization to emit one ton of nitrogen oxides in accordance with the 
CAIR NOX Ozone Season Trading Program. No provision of the 
CAIR NOX Ozone Season Trading Program, the CAIR permit 
application, the CAIR permit, or an exemption under Sec.  96.305 and no 
provision of law shall be construed to limit the authority of the State 
or the United States to terminate or limit such authorization.
    (6) A CAIR NOX Ozone Season allowance does not constitute 
a property right.

[[Page 1042]]

    (7) Upon recordation by the Administrator under subpart FFFF, GGGG, 
or IIII of this part, every allocation, transfer, or deduction of a CAIR 
NOX Ozone Season allowance to or from a CAIR NOX 
Ozone Season source's compliance account is incorporated automatically 
in any CAIR permit of the source.
    (d) Excess emissions requirements. If a CAIR NOX Ozone 
Season source emits nitrogen oxides during any control period in excess 
of the CAIR NOX Ozone Season emissions limitation, then:
    (1) The owners and operators of the source and each CAIR 
NOX Ozone Season unit at the source shall surrender the CAIR 
NOX Ozone Season allowances required for deduction under 
Sec.  96.354(d)(1) and pay any fine, penalty, or assessment or comply 
with any other remedy imposed, for the same violations, under the Clean 
Air Act or applicable State law; and
    (2) Each ton of such excess emissions and each day of such control 
period shall constitute a separate violation of this subpart, the Clean 
Air Act, and applicable State law.
    (e) Recordkeeping and reporting requirements. (1) Unless otherwise 
provided, the owners and operators of the CAIR NOX Ozone 
Season source and each CAIR NOX Ozone Season unit at the 
source shall keep on site at the source each of the following documents 
for a period of 5 years from the date the document is created. This 
period may be extended for cause, at any time before the end of 5 years, 
in writing by the permitting authority or the Administrator.
    (i) The certificate of representation under Sec.  96.313 for the 
CAIR designated representative for the source and each CAIR 
NOX Ozone Season unit at the source and all documents that 
demonstrate the truth of the statements in the certificate of 
representation; provided that the certificate and documents shall be 
retained on site at the source beyond such 5-year period until such 
documents are superseded because of the submission of a new certificate 
of representation under Sec.  96.313 changing the CAIR designated 
representative.
    (ii) All emissions monitoring information, in accordance with 
subpart HHHH of this part, provided that to the extent that subpart HHHH 
of this part provides for a 3-year period for recordkeeping, the 3-year 
period shall apply.
    (iii) Copies of all reports, compliance certifications, and other 
submissions and all records made or required under the CAIR 
NOX Ozone Season Trading Program.
    (iv) Copies of all documents used to complete a CAIR permit 
application and any other submission under the CAIR NOX Ozone 
Season Trading Program or to demonstrate compliance with the 
requirements of the CAIR NOX Ozone Season Trading Program.
    (2) The CAIR designated representative of a CAIR NOX 
Ozone Season source and each CAIR NOX Ozone Season unit at 
the source shall submit the reports required under the CAIR 
NOX Ozone Season Trading Program, including those under 
subpart HHHH of this part.
    (f) Liability. (1) Each CAIR NOX Ozone Season source and 
each CAIR NOX Ozone Season unit shall meet the requirements 
of the CAIR NOX Ozone Season Trading Program.
    (2) Any provision of the CAIR NOX Ozone Season Trading 
Program that applies to a CAIR NOX Ozone Season source or the 
CAIR designated representative of a CAIR NOX Ozone Season 
source shall also apply to the owners and operators of such source and 
of the CAIR NOX Ozone Season units at the source.
    (3) Any provision of the CAIR NOX Ozone Season Trading 
Program that applies to a CAIR NOX Ozone Season unit or the 
CAIR designated representative of a CAIR NOX Ozone Season 
unit shall also apply to the owners and operators of such unit.
    (g) Effect on other authorities. No provision of the CAIR 
NOX Ozone Season Trading Program, a CAIR permit application, 
a CAIR permit, or an exemption under Sec.  96.305 shall be construed as 
exempting or excluding the owners and operators, and the CAIR designated 
representative, of a CAIR NOX Ozone Season source or CAIR 
NOX Ozone Season unit from compliance with any other 
provision of the applicable, approved State implementation plan, a

[[Page 1043]]

federally enforceable permit, or the Clean Air Act.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]



Sec.  96.307  Computation of time.

    (a) Unless otherwise stated, any time period scheduled, under the 
CAIR NOX Ozone Season Trading Program, to begin on the 
occurrence of an act or event shall begin on the day the act or event 
occurs.
    (b) Unless otherwise stated, any time period scheduled, under the 
CAIR NOX Ozone Season Trading Program, to begin before the 
occurrence of an act or event shall be computed so that the period ends 
the day before the act or event occurs.
    (c) Unless otherwise stated, if the final day of any time period, 
under the CAIR NOX Ozone Season Trading Program, falls on a 
weekend or a State or Federal holiday, the time period shall be extended 
to the next business day.



Sec.  96.308  Appeal procedures.

    The appeal procedures for decisions of the Administrator under the 
CAIR NOX Ozone Season Trading Program are set forth in part 
78 of this chapter.



 Subpart BBBB_CAIR Designated Representative for CAIR NOX Ozone Season 
                                 Sources

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.310  Authorization and responsibilities of CAIR designated 
representative.

    (a) Except as provided under Sec.  96.311, each CAIR NOX 
Ozone Season source, including all CAIR NOX Ozone Season 
units at the source, shall have one and only one CAIR designated 
representative, with regard to all matters under the CAIR NOX 
Ozone Season Trading Program concerning the source or any CAIR 
NOX Ozone Season unit at the source.
    (b) The CAIR designated representative of the CAIR NOX 
Ozone Season source shall be selected by an agreement binding on the 
owners and operators of the source and all CAIR NOX Ozone 
Season units at the source and shall act in accordance with the 
certification statement in Sec.  96.313(a)(4)(iv).
    (c) Upon receipt by the Administrator of a complete certificate of 
representation under Sec.  96.313, the CAIR designated representative of 
the source shall represent and, by his or her representations, actions, 
inactions, or submissions, legally bind each owner and operator of the 
CAIR NOX Ozone Season source represented and each CAIR 
NOX Ozone Season unit at the source in all matters pertaining 
to the CAIR NOX Ozone Season Trading Program, notwithstanding 
any agreement between the CAIR designated representative and such owners 
and operators. The owners and operators shall be bound by any decision 
or order issued to the CAIR designated representative by the permitting 
authority, the Administrator, or a court regarding the source or unit.
    (d) No CAIR permit will be issued, no emissions data reports will be 
accepted, and no CAIR NOX Ozone Season Allowance Tracking 
System account will be established for a CAIR NOX Ozone 
Season unit at a source, until the Administrator has received a complete 
certificate of representation under Sec.  96.313 for a CAIR designated 
representative of the source and the CAIR NOX Ozone Season 
units at the source.
    (e)(1) Each submission under the CAIR NOX Ozone Season 
Trading Program shall be submitted, signed, and certified by the CAIR 
designated representative for each CAIR NOX Ozone Season 
source on behalf of which the submission is made. Each such submission 
shall include the following certification statement by the CAIR 
designated representative: ``I am authorized to make this submission on 
behalf of the owners and operators of the source or units for which the 
submission is made. I certify under penalty of law that I have 
personally examined, and am familiar with, the statements and 
information submitted in this document and all its attachments. Based on 
my inquiry of those individuals with primary responsibility for 
obtaining the information, I certify that the statements and information 
are to the best of my knowledge and belief true, accurate, and complete. 
I am aware that there are significant penalties for

[[Page 1044]]

submitting false statements and information or omitting required 
statements and information, including the possibility of fine or 
imprisonment.''
    (2) The permitting authority and the Administrator will accept or 
act on a submission made on behalf of owner or operators of a CAIR 
NOX Ozone Season source or a CAIR NOX Ozone Season 
unit only if the submission has been made, signed, and certified in 
accordance with paragraph (e)(1) of this section.



Sec.  96.311  Alternate CAIR designated representative.

    (a) A certificate of representation under Sec.  96.313 may designate 
one and only one alternate CAIR designated representative, who may act 
on behalf of the CAIR designated representative. The agreement by which 
the alternate CAIR designated representative is selected shall include a 
procedure for authorizing the alternate CAIR designated representative 
to act in lieu of the CAIR designated representative.
    (b) Upon receipt by the Administrator of a complete certificate of 
representation under Sec.  96.313, any representation, action, inaction, 
or submission by the alternate CAIR designated representative shall be 
deemed to be a representation, action, inaction, or submission by the 
CAIR designated representative.
    (c) Except in this section and Sec. Sec.  96.302, 96.310(a) and (d), 
96.312, 96.313, 96.315, 96.351, and 96.382 whenever the term ``CAIR 
designated representative'' is used in subparts AAAA through IIII of 
this part, the term shall be construed to include the CAIR designated 
representative or any alternate CAIR designated representative.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]



Sec.  96.312  Changing CAIR designated representative and alternate CAIR
designated representative; changes in owners and operators.

    (a) Changing CAIR designated representative. The CAIR designated 
representative may be changed at any time upon receipt by the 
Administrator of a superseding complete certificate of representation 
under Sec.  96.313. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
CAIR designated representative before the time and date when the 
Administrator receives the superseding certificate of representation 
shall be binding on the new CAIR designated representative and the 
owners and operators of the CAIR NOX Ozone Season source and 
the CAIR NOX Ozone Season units at the source.
    (b) Changing alternate CAIR designated representative. The alternate 
CAIR designated representative may be changed at any time upon receipt 
by the Administrator of a superseding complete certificate of 
representation under Sec.  96.313. Notwithstanding any such change, all 
representations, actions, inactions, and submissions by the previous 
alternate CAIR designated representative before the time and date when 
the Administrator receives the superseding certificate of representation 
shall be binding on the new alternate CAIR designated representative and 
the owners and operators of the CAIR NOX Ozone Season source 
and the CAIR NOX Ozone Season units at the source.
    (c) Changes in owners and operators. (1) In the event an owner or 
operator of a CAIR NOX Ozone Season source or a CAIR 
NOX Ozone Season unit is not included in the list of owners 
and operators in the certificate of representation under Sec.  96.313, 
such owner or operator shall be deemed to be subject to and bound by the 
certificate of representation, the representations, actions, inactions, 
and submissions of the CAIR designated representative and any alternate 
CAIR designated representative of the source or unit, and the decisions 
and orders of the permitting authority, the Administrator, or a court, 
as if the owner or operator were included in such list.
    (2) Within 30 days following any change in the owners and operators 
of a CAIR NOX Ozone Season source or a CAIR NOX 
Ozone Season unit, including the addition of a new owner or operator, 
the CAIR designated representative or any alternate CAIR designated 
representative shall submit a revision to the certificate of 
representation

[[Page 1045]]

under Sec.  96.313 amending the list of owners and operators to include 
the change.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]



Sec.  96.313  Certificate of representation.

    (a) A complete certificate of representation for a CAIR designated 
representative or an alternate CAIR designated representative shall 
include the following elements in a format prescribed by the 
Administrator:
    (1) Identification of the CAIR NOX Ozone Season source, 
and each CAIR NOX Ozone Season unit at the source, for which 
the certificate of representation is submitted, including identification 
and nameplate capacity of each generator served by each such unit.
    (2) The name, address, e-mail address (if any), telephone number, 
and facsimile transmission number (if any) of the CAIR designated 
representative and any alternate CAIR designated representative.
    (3) A list of the owners and operators of the CAIR NOX 
Ozone Season source and of each CAIR NOX Ozone Season unit at 
the source.
    (4) The following certification statements by the CAIR designated 
representative and any alternate CAIR designated representative--
    (i) ``I certify that I was selected as the CAIR designated 
representative or alternate CAIR designated representative, as 
applicable, by an agreement binding on the owners and operators of the 
source and each CAIR NOX Ozone Season unit at the source.''
    (ii) ``I certify that I have all the necessary authority to carry 
out my duties and responsibilities under the CAIR NOX Ozone 
Season Trading Program on behalf of the owners and operators of the 
source and of each CAIR NOX Ozone Season unit at the source 
and that each such owner and operator shall be fully bound by my 
representations, actions, inactions, or submissions.''
    (iii) ``I certify that the owners and operators of the source and of 
each CAIR NOX Ozone Season unit at the source shall be bound 
by any order issued to me by the Administrator, the permitting 
authority, or a court regarding the source or unit.''
    (iv) ``Where there are multiple holders of a legal or equitable 
title to, or a leasehold interest in, a CAIR NOX Ozone Season 
unit, or where a utility or industrial customer purchases power from a 
CAIR NOX Ozone Season unit under a life-of-the-unit, firm 
power contractual arrangement, I certify that: I have given a written 
notice of my selection as the `CAIR designated representative' or 
`alternate CAIR designated representative', as applicable, and of the 
agreement by which I was selected to each owner and operator of the 
source and of each CAIR NOX Ozone Season unit at the source; 
and CAIR NOX Ozone Season allowances and proceeds of 
transactions involving CAIR NOX Ozone Season allowances will 
be deemed to be held or distributed in proportion to each holder's 
legal, equitable, leasehold, or contractual reservation or entitlement, 
except that, if such multiple holders have expressly provided for a 
different distribution of CAIR NOX Ozone Season allowances by 
contract, CAIR NOX Ozone Season allowances and proceeds of 
transactions involving CAIR NOX Ozone Season allowances will 
be deemed to be held or distributed in accordance with the contract.''
    (5) The signature of the CAIR designated representative and any 
alternate CAIR designated representative and the dates signed.
    (b) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the certificate of 
representation shall not be submitted to the permitting authority or the 
Administrator. Neither the permitting authority nor the Administrator 
shall be under any obligation to review or evaluate the sufficiency of 
such documents, if submitted.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25393, Apr. 28, 2006]



Sec.  96.314  Objections concerning CAIR designated representative.

    (a) Once a complete certificate of representation under Sec.  96.313 
has been submitted and received, the permitting authority and the 
Administrator will rely on the certificate of representation unless and 
until a superseding complete certificate of representation

[[Page 1046]]

under Sec.  96.313 is received by the Administrator.
    (b) Except as provided in Sec.  96.312(a) or (b), no objection or 
other communication submitted to the permitting authority or the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission, of the CAIR designated representative 
shall affect any representation, action, inaction, or submission of the 
CAIR designated representative or the finality of any decision or order 
by the permitting authority or the Administrator under the CAIR 
NOX Ozone Season Trading Program.
    (c) Neither the permitting authority nor the Administrator will 
adjudicate any private legal dispute concerning the authorization or any 
representation, action, inaction, or submission of any CAIR designated 
representative, including private legal disputes concerning the proceeds 
of CAIR NOX Ozone Season allowance transfers.



Sec.  96.315  Delegation by CAIR designated representative and 
alternate CAIR designated representative.

    (a) A CAIR designated representative may delegate, to one or more 
natural persons, his or her authority to make an electronic submission 
to the Administrator provided for or required under this part.
    (b) An alternate CAIR designated representative may delegate, to one 
or more natural persons, his or her authority to make an electronic 
submission to the Administrator provided for or required under this 
part.
    (c) In order to delegate authority to make an electronic submission 
to the Administrator in accordance with paragraph (a) or (b) of this 
section, the CAIR designated representative or alternate CAIR designated 
representative, as appropriate, must submit to the Administrator a 
notice of delegation, in a format prescribed by the Administrator, that 
includes the following elements:
    (1) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of such CAIR designated 
representative or alternate CAIR designated representative;
    (2) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of each such natural person 
(referred to as an ``agent'');
    (3) For each such natural person, a list of the type or types of 
electronic submissions under paragraph (a) or (b) of this section for 
which authority is delegated to him or her; and
    (4) The following certification statements by such CAIR designated 
representative or alternate CAIR designated representative:
    (i) ``I agree that any electronic submission to the Administrator 
that is by an agent identified in this notice of delegation and of a 
type listed for such agent in this notice of delegation and that is made 
when I am a CAIR designated representative or alternate CAIR designated 
representative, as appropriate, and before this notice of delegation is 
superseded by another notice of delegation under 40 CFR 96.315(d) shall 
be deemed to be an electronic submission by me.''
    (ii) ``Until this notice of delegation is superseded by another 
notice of delegation under 40 CFR 96.315(d), I agree to maintain an e-
mail account and to notify the Administrator immediately of any change 
in my e-mail address unless all delegation of authority by me under 40 
CFR 96.315 is terminated.''.
    (d) A notice of delegation submitted under paragraph (c) of this 
section shall be effective, with regard to the CAIR designated 
representative or alternate CAIR designated representative identified in 
such notice, upon receipt of such notice by the Administrator and until 
receipt by the Administrator of a superseding notice of delegation 
submitted by such CAIR designated representative or alternate CAIR 
designated representative, as appropriate. The superseding notice of 
delegation may replace any previously identified agent, add a new agent, 
or eliminate entirely any delegation of authority.
    (e) Any electronic submission covered by the certification in 
paragraph

[[Page 1047]]

(c)(4)(i) of this section and made in accordance with a notice of 
delegation effective under paragraph (d) of this section shall be deemed 
to be an electronic submission by the CAIR designated representative or 
alternate CAIR designated representative submitting such notice of 
delegation.

[71 FR 25393, Apr. 28, 2006]



                          Subpart CCCC_Permits

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.320  General CAIR NOX Ozone Season Trading Program permit 
requirements.

    (a) For each CAIR NOX Ozone Season source required to 
have a title V operating permit or required, under subpart IIII of this 
part, to have a title V operating permit or other federally enforceable 
permit, such permit shall include a CAIR permit administered by the 
permitting authority for the title V operating permit or the federally 
enforceable permit as applicable. The CAIR portion of the title V permit 
or other federally enforceable permit as applicable shall be 
administered in accordance with the permitting authority's title V 
operating permits regulations promulgated under part 70 or 71 of this 
chapter or the permitting authority's regulations for other federally 
enforceable permits as applicable, except as provided otherwise by Sec.  
96.305, this subpart and subpart IIII of this part.
    (b) Each CAIR permit shall contain, with regard to the CAIR 
NOX Ozone Season source and the CAIR NOX Ozone 
Season units at the source covered by the CAIR permit, all applicable 
CAIR NOX Ozone Season Trading Program, CAIR NOX 
Annual Trading Program, and CAIR SO2 Trading Program 
requirements and shall be a complete and separable portion of the title 
V operating permit or other federally enforceable permit under paragraph 
(a) of this section.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]



Sec.  96.321  Submission of CAIR permit applications.

    (a) Duty to apply. The CAIR designated representative of any CAIR 
NOX Ozone Season source required to have a title V operating 
permit shall submit to the permitting authority a complete CAIR permit 
application under Sec.  96.322 for the source covering each CAIR 
NOX Ozone Season unit at the source at least 18 months (or 
such lesser time provided by the permitting authority) before the later 
of January 1, 2009 or the date on which the CAIR NOX Ozone 
Season unit commences commercial operation, except as provided in Sec.  
96.383(a).
    (b) Duty to Reapply. For a CAIR NOX Ozone Season source 
required to have a title V operating permit, the CAIR designated 
representative shall submit a complete CAIR permit application under 
Sec.  96.322 for the source covering each CAIR NOX Ozone 
Season unit at the source to renew the CAIR permit in accordance with 
the permitting authority's title V operating permits regulations 
addressing permit renewal, except as provided in Sec.  96.383(b).

[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]



Sec.  96.322  Information requirements for CAIR permit applications.

    A complete CAIR permit application shall include the following 
elements concerning the CAIR NOX Ozone Season source for 
which the application is submitted, in a format prescribed by the 
permitting authority:
    (a) Identification of the CAIR NOX Ozone Season source;
    (b) Identification of each CAIR NOX Ozone Season unit at 
the CAIR NOX Ozone Season source; and
    (c) The standard requirements under Sec.  96.306.



Sec.  96.323  CAIR permit contents and term.

    (a) Each CAIR permit will contain, in a format prescribed by the 
permitting authority, all elements required for a complete CAIR permit 
application under Sec.  96.322.
    (b) Each CAIR permit is deemed to incorporate automatically the 
definitions of terms under Sec.  96.302 and, upon recordation by the 
Administrator

[[Page 1048]]

under subpart FFFF, GGGG, or IIII of this part, every allocation, 
transfer, or deduction of a CAIR NOX Ozone Season allowance 
to or from the compliance account of the CAIR NOX Ozone 
Season source covered by the permit.
    (c) The term of the CAIR permit will be set by the permitting 
authority, as necessary to facilitate coordination of the renewal of the 
CAIR permit with issuance, revision, or renewal of the CAIR 
NOX Ozone Season source's title V operating permit or other 
federally enforceable permit as applicable.



Sec.  96.324  CAIR permit revisions.

    Except as provided in Sec.  96.323(b), the permitting authority will 
revise the CAIR permit, as necessary, in accordance with the permitting 
authority's title V operating permits regulations or the permitting 
authority's regulations for other federally enforceable permits as 
applicable addressing permit revisions.

Subpart DDDD [Reserved]



        Subpart EEEE_CAIR NOX Ozone Season Allowance Allocations

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.340  State trading budgets.

    (a) Except as provided in paragraph (b) of this section, the State 
trading budgets for annual allocations of CAIR NOX Ozone 
Season allowances for the control periods in 2009 through 2014 and in 
2015 and thereafter are respectively as follows:

------------------------------------------------------------------------
                                                          State trading
                                        State trading    budget for 2015
                State                 budget for 2009-   and thereafter
                                         2014 (tons)         (tons)
------------------------------------------------------------------------
Alabama.............................            32,182            26,818
Arkansas............................            11,515             9,596
Connecticut.........................             2,559             2,559
Delaware............................             2,226             1,855
District of Columbia................               112                94
Florida.............................            47,912            39,926
Illinois............................            30,701            28,981
Indiana.............................            45,952            39,273
Iowa................................            14,263            11,886
Kentucky............................            36,045            30,587
Louisiana...........................            17,085            14,238
Maryland............................            12,834            10,695
Massachusetts.......................             7,551             6,293
Michigan............................            28,971            24,142
Mississippi.........................             8,714             7,262
Missouri............................            26,678            22,231
New Jersey..........................             6,654             5,545
New York............................            20,632            17,193
North Carolina......................            28,392            23,660
Ohio................................            45,664            39,945
Pennsylvania........................            42,171            35,143
South Carolina......................            15,249            12,707
Tennessee...........................            22,842            19,035
Virginia............................            15,994            13,328
West Virginia.......................            26,859            26,525
Wisconsin...........................            17,987            14,989
------------------------------------------------------------------------

    (b) If a permitting authority issues additional CAIR NOX 
Ozone Season allowance allocations under Sec.  51.123(aa)(2)(iii)(A) of 
this chapter, the amount in the State trading budget for a control 
period in a calendar year will be the sum of the amount set forth for 
the State and for the year in paragraph (a) of this section and the 
amount of additional CAIR NOX Ozone Season allowance 
allocations issued under Sec.  51.123(aa)(2)(iii)(A) of this chapter for 
the year.



Sec.  96.341  Timing requirements for CAIR NOX Ozone Season allowance
allocations.

    (a) By October 31, 2006, the permitting authority will submit to the 
Administrator the CAIR NOX Ozone Season allowance 
allocations, in a format prescribed by the Administrator and in 
accordance with Sec.  96.342(a) and (b), for the control periods in 
2009, 2010, 2011, 2012, 2013, and 2014.
    (b) By October 31, 2009 and October 31 of each year thereafter, the 
permitting authority will submit to the Administrator the CAIR 
NOX Ozone Season allowance allocations, in a format 
prescribed by the Administrator and in accordance with Sec.  96.342(a) 
and (b), for the control period in the sixth year after the year of the 
applicable deadline for submission under this paragraph.
    (c) By July 31, 2009 and July 31 of each year thereafter, the 
permitting authority will submit to the Administrator the CAIR 
NOX Ozone Season allowance allocations, in a format 
prescribed by the Administrator and in accordance with Sec.  96.342(c), 
(a), and (d), for the control period in the year of the applicable 
deadline for submission under this paragraph.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]

[[Page 1049]]



Sec.  96.342  CAIR NOX Ozone Season allowance allocations.

    (a)(1) The baseline heat input (in mmBtu) used with respect to CAIR 
NOX Ozone Season allowance allocations under paragraph (b) of 
this section for each CAIR NOX Ozone Season unit will be:
    (i) For units commencing operation before January 1, 2001 the 
average of the 3 highest amounts of the unit's adjusted control period 
heat input for 2000 through 2004, with the adjusted control period heat 
input for each year calculated as follows:
    (A) If the unit is coal-fired during the year, the unit's control 
period heat input for such year is multiplied by 100 percent;
    (B) If the unit is oil-fired during the year, the unit's control 
period heat input for such year is multiplied by 60 percent; and
    (C) If the unit is not subject to paragraph (a)(1)(i)(A) or (B) of 
this section, the unit's control period heat input for such year is 
multiplied by 40 percent.
    (ii) For units commencing operation on or after January 1, 2001 and 
operating each calendar year during a period of 5 or more consecutive 
calendar years, the average of the 3 highest amounts of the unit's total 
converted control period heat input over the first such 5 years.
    (2)(i) A unit's control period heat input, and a unit's status as 
coal-fired or oil-fired, for a calendar year under paragraph (a)(1)(i) 
of this section, and a unit's total tons of NOX emissions 
during a control period in a calendar year under paragraph (c)(3) of 
this section, will be determined in accordance with part 75 of this 
chapter, to the extent the unit was otherwise subject to the 
requirements of part 75 of this chapter for the year, or will be based 
on the best available data reported to the permitting authority for the 
unit, to the extent the unit was not otherwise subject to the 
requirements of part 75 of this chapter for the year.
    (ii) A unit's converted control period heat input for a calendar 
year specified under paragraph (a)(1)(ii) of this section equals:
    (A) Except as provided in paragraph (a)(2)(ii)(B) or (C) of this 
section, the control period gross electrical output of the generator or 
generators served by the unit multiplied by 7,900 Btu/kWh, if the unit 
is coal-fired for the year, or 6,675 Btu/kWh, if the unit is not coal-
fired for the year, and divided by 1,000,000 Btu/mmBtu, provided that if 
a generator is served by 2 or more units, then the gross electrical 
output of the generator will be attributed to each unit in proportion to 
the unit's share of the total control period heat input of such units 
for the year;
    (B) For a unit that is a boiler and has equipment used to produce 
electricity and useful thermal energy for industrial, commercial, 
heating, or cooling purposes through the sequential use of energy, the 
total heat energy (in Btu) of the steam produced by the boiler during 
the control period, divided by 0.8 and by 1,000,000 Btu/mmBtu; or
    (C) For a unit that is a combustion turbine and has equipment used 
to produce electricity and useful thermal energy for industrial, 
commercial, heating, or cooling purposes through the sequential use of 
energy, the control period gross electrical output of the enclosed 
device comprising the compressor, combustor, and turbine multiplied by 
3,413 Btu/kWh, plus the total heat energy (in Btu) of the steam produced 
by any associated heat recovery steam generator during the control 
period divided by 0.8, and with the sum divided by 1,000,000 Btu/mmBtu.
    (b)(1) For each control period in 2009 and thereafter, the 
permitting authority will allocate to all CAIR NOX Ozone 
Season units in the State that have a baseline heat input (as determined 
under paragraph (a) of this section) a total amount of CAIR 
NOX Ozone Season allowances equal to 95 percent for a control 
period during 2009 through 2014, and 97 percent for a control period 
during 2015 and thereafter, of the tons of NOX emissions in 
the State trading budget under Sec.  96.340 (except as provided in 
paragraph (d) of this section).
    (2) The permitting authority will allocate CAIR NOX Ozone 
Season allowances to each CAIR NOX Ozone Season unit under 
paragraph (b)(1) of this section in an amount determined by multiplying 
the total amount of CAIR NOX Ozone Season allowances 
allocated under paragraph (b)(1) of this section by the ratio of the 
baseline heat input

[[Page 1050]]

of such CAIR NOX Ozone Season unit to the total amount of 
baseline heat input of all such CAIR NOX Ozone Season units 
in the State and rounding to the nearest whole allowance as appropriate.
    (c) For each control period in 2009 and thereafter, the permitting 
authority will allocate CAIR NOX Ozone Season allowances to 
CAIR NOX Ozone Season units in a State that are not allocated 
CAIR NOX Ozone Season allowances under paragraph (b) of this 
section because the units do not yet have a baseline heat input under 
paragraph (a) of this section or because the units have a baseline heat 
input but all CAIR NOX Ozone Season allowances available 
under paragraph (b) of this section for the control period are already 
allocated, in accordance with the following procedures:
    (1) The permitting authority will establish a separate new unit set-
aside for each control period. Each new unit set-aside will be allocated 
CAIR NOX Ozone Season allowances equal to 5 percent for a 
control period in2009 through 2014, and 3 percent for a control period 
in 2015 and thereafter, of the amount of tons of NOX 
emissions in the State trading budget under Sec.  96.340.
    (2) The CAIR designated representative of such a CAIR NOX 
Ozone Season unit may submit to the permitting authority a request, in a 
format specified by the permitting authority, to be allocated CAIR 
NOX Ozone Season allowances, starting with the later of the 
control period in 2009 or the first control period after the control 
period in which the CAIR NOX Ozone Season unit commences 
commercial operation and until the first control period for which the 
unit is allocated CAIR NOX Ozone Season allowances under 
paragraph (b) of this section. A separate CAIR NOX Ozone 
Season allowance allocation request for each control period for which 
CAIR NOX Ozone Season allowances are sought must be submitted 
on or before February 1 before such control period and after the date on 
which the CAIR NOX Ozone Season unit commences commercial 
operation.
    (3) In a CAIR NOX Ozone Season allowance allocation 
request under paragraph (c)(2) of this section, the CAIR designated 
representative may request for a control period CAIR NOX 
Ozone Season allowances in an amount not exceeding the CAIR 
NOX Ozone Season unit's total tons of NOX 
emissions during the control period immediately before such control 
period.
    (4) The permitting authority will review each CAIR NOX 
Ozone Season allowance allocation request under paragraph (c)(2) of this 
section and will allocate CAIR NOX Ozone Season allowances 
for each control period pursuant to such request as follows:
    (i) The permitting authority will accept an allowance allocation 
request only if the request meets, or is adjusted by the permitting 
authority as necessary to meet, the requirements of paragraphs (c)(2) 
and (3) of this section.
    (ii) On or after February 1 before the control period, the 
permitting authority will determine the sum of the CAIR NOX 
Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i) 
of this section) in all allowance allocation requests accepted under 
paragraph (c)(4)(i) of this section for the control period.
    (iii) If the amount of CAIR NOX Ozone Season allowances 
in the new unit set-aside for the control period is greater than or 
equal to the sum under paragraph (c)(4)(ii) of this section, then the 
permitting authority will allocate the amount of CAIR NOX 
Ozone Season allowances requested (as adjusted under paragraph (c)(4)(i) 
of this section) to each CAIR NOX Ozone Season unit covered 
by an allowance allocation request accepted under paragraph (c)(4)(i) of 
this section.
    (iv) If the amount of CAIR NOX Ozone Season allowances in 
the new unit set-aside for the control period is less than the sum under 
paragraph (c)(4)(ii) of this section, then the permitting authority will 
allocate to each CAIR NOX Ozone Season unit covered by an 
allowance allocation request accepted under paragraph (c)(4)(i) of this 
section the amount of the CAIR NOX Ozone Season allowances 
requested (as adjusted under paragraph (c)(4)(i) of this section), 
multiplied by the amount of CAIR NOX Ozone Season allowances 
in the new unit set-aside for the control period, divided by the sum 
determined

[[Page 1051]]

under paragraph (c)(4)(ii) of this section, and rounded to the nearest 
whole allowance as appropriate.
    (v) The permitting authority will notify each CAIR designated 
representative that submitted an allowance allocation request of the 
amount of CAIR NOX Ozone Season allowances (if any) allocated 
for the control period to the CAIR NOX Ozone Season unit 
covered by the request.
    (d) If, after completion of the procedures under paragraph (c)(4) of 
this section for a control period, any unallocated CAIR NOX 
Ozone Season allowances remain in the new unit set-aside for the control 
period, the permitting authority will allocate to each CAIR 
NOX Ozone Season unit that was allocated CAIR NOX 
Ozone Season allowances under paragraph (b) of this section an amount of 
CAIR NOX Ozone Season allowances equal to the total amount of 
such remaining unallocated CAIR NOX Ozone Season allowances, 
multiplied by the unit's allocation under paragraph (b) of this section, 
divided by 95 percent for a control period during 2009 through 2014, and 
97 percent for a control period during 2015 and thereafter, of the 
amount of tons of NOX emissions in the State trading budget 
under Sec.  96.340, and rounded to the nearest whole allowance as 
appropriate.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



      Subpart FFFF_CAIR NOX Ozone Season Allowance Tracking System

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.350  [Reserved]



Sec.  96.351  Establishment of accounts.

    (a) Compliance accounts. Except as provided in Sec.  96.384(e), upon 
receipt of a complete certificate of representation under Sec.  96.313, 
the Administrator will establish a compliance account for the CAIR 
NOX Ozone Season source for which the certificate of 
representation was submitted, unless the source already has a compliance 
account.
    (b) General accounts--(1) Application for general account. (i) Any 
person may apply to open a general account for the purpose of holding 
and transferring CAIR NOX Ozone Season allowances. An 
application for a general account may designate one and only one CAIR 
authorized account representative and one and only one alternate CAIR 
authorized account representative who may act on behalf of the CAIR 
authorized account representative. The agreement by which the alternate 
CAIR authorized account representative is selected shall include a 
procedure for authorizing the alternate CAIR authorized account 
representative to act in lieu of the CAIR authorized account 
representative.
    (ii) A complete application for a general account shall be submitted 
to the Administrator and shall include the following elements in a 
format prescribed by the Administrator:
    (A) Name, mailing address, e-mail address (if any), telephone 
number, and facsimile transmission number (if any) of the CAIR 
authorized account representative and any alternate CAIR authorized 
account representative;
    (B) Organization name and type of organization, if applicable;
    (C) A list of all persons subject to a binding agreement for the 
CAIR authorized account representative and any alternate CAIR authorized 
account representative to represent their ownership interest with 
respect to the CAIR NOX Ozone Season allowances held in the 
general account;
    (D) The following certification statement by the CAIR authorized 
account representative and any alternate CAIR authorized account 
representative: ``I certify that I was selected as the CAIR authorized 
account representative or the alternate CAIR authorized account 
representative, as applicable, by an agreement that is binding on all 
persons who have an ownership interest with respect to CAIR 
NOX Ozone Season allowances held in the general account. I 
certify that I have all the necessary authority to carry out my duties 
and responsibilities under the CAIR NOX Ozone Season Trading 
Program on behalf of such persons and that each such person shall be 
fully bound by my representations, actions,

[[Page 1052]]

inactions, or submissions and by any order or decision issued to me by 
the Administrator or a court regarding the general account.''
    (E) The signature of the CAIR authorized account representative and 
any alternate CAIR authorized account representative and the dates 
signed.
    (iii) Unless otherwise required by the permitting authority or the 
Administrator, documents of agreement referred to in the application for 
a general account shall not be submitted to the permitting authority or 
the Administrator. Neither the permitting authority nor the 
Administrator shall be under any obligation to review or evaluate the 
sufficiency of such documents, if submitted.
    (2) Authorization of CAIR authorized account representative 
andalternate CAIR authorized account representative. (i) Upon receipt by 
the Administrator of a complete application for a general account under 
paragraph (b)(1) of this section:
    (A) The Administrator will establish a general account for the 
person or persons for whom the application is submitted.
    (B) The CAIR authorized account representative and any alternate 
CAIR authorized account representative for the general account shall 
represent and, by his or her representations, actions, inactions, or 
submissions, legally bind each person who has an ownership interest with 
respect to CAIR NOX Ozone Season allowances held in the 
general account in all matters pertaining to the CAIR NOX 
Ozone Season Trading Program, notwithstanding any agreement between the 
CAIR authorized account representative or any alternate CAIR authorized 
account representative and such person. Any such person shall be bound 
by any order or decision issued to the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
by the Administrator or a court regarding the general account.
    (C) Any representation, action, inaction, or submission by any 
alternate CAIR authorized account representative shall be deemed to be a 
representation, action, inaction, or submission by the CAIR authorized 
account representative.
    (ii) Each submission concerning the general account shall be 
submitted, signed, and certified by the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
for the persons having an ownership interest with respect to CAIR 
NOX Ozone Season allowances held in the general account. Each 
such submission shall include the following certification statement by 
the CAIR authorized account representative or any alternate CAIR 
authorized account representative: ``I am authorized to make this 
submission on behalf of the persons having an ownership interest with 
respect to the CAIR NOX Ozone Season allowances held in the 
general account. I certify under penalty of law that I have personally 
examined, and am familiar with, the statements and information submitted 
in this document and all its attachments. Based on my inquiry of those 
individuals with primary responsibility for obtaining the information, I 
certify that the statements and information are to the best of my 
knowledge and belief true, accurate, and complete. I am aware that there 
are significant penalties for submitting false statements and 
information or omitting required statements and information, including 
the possibility of fine or imprisonment.''
    (iii) The Administrator will accept or act on a submission 
concerning the general account only if the submission has been made, 
signed, and certified in accordance with paragraph (b)(2)(ii) of this 
section.
    (3) Changing CAIR authorized account representative and alternate 
CAIR authorized account representative; changes in persons with 
ownership interest. (i) The CAIR authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous CAIR authorized account representative before the time and date 
when the Administrator receives the superseding application for a 
general account shall be binding on the new

[[Page 1053]]

CAIR authorized account representative and the persons with an ownership 
interest with respect to the CAIR NOX Ozone Season allowances 
in the general account.
    (ii) The alternate CAIR authorized account representative for a 
general account may be changed at any time upon receipt by the 
Administrator of a superseding complete application for a general 
account under paragraph (b)(1) of this section. Notwithstanding any such 
change, all representations, actions, inactions, and submissions by the 
previous alternate CAIR authorized account representative before the 
time and date when the Administrator receives the superseding 
application for a general account shall be binding on the new alternate 
CAIR authorized account representative and the persons with an ownership 
interest with respect to the CAIR NOX Ozone Season allowances 
in the general account.
    (iii)(A) In the event a person having an ownership interest with 
respect to CAIR NOX Ozone Season allowances in the general 
account is not included in the list of such persons in the application 
for a general account, such person shall be deemed to be subject to and 
bound by the application for a general account, the representation, 
actions, inactions, and submissions of the CAIR authorized account 
representative and any alternate CAIR authorized account representative 
of the account, and the decisions and orders of the Administrator or a 
court, as if the person were included in such list.
    (B) Within 30 days following any change in the persons having an 
ownership interest with respect to CAIR NOX Ozone Season 
allowances in the general account, including the addition of a new 
person, the CAIR authorized account representative or any alternate CAIR 
authorized account representative shall submit a revision to the 
application for a general account amending the list of persons having an 
ownership interest with respect to the CAIR NOX Ozone Season 
allowances in the general account to include the change.
    (4) Objections concerning CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) Once a complete 
application for a general account under paragraph (b)(1) of this section 
has been submitted and received, the Administrator will rely on the 
application unless and until a superseding complete application for a 
general account under paragraph (b)(1) of this section is received by 
the Administrator.
    (ii) Except as provided in paragraph (b)(3)(i) or (ii) of this 
section, no objection or other communication submitted to the 
Administrator concerning the authorization, or any representation, 
action, inaction, or submission of the CAIR authorized account 
representative or any alternate CAIR authorized account representative 
for a general account shall affect any representation, action, inaction, 
or submission of the CAIR authorized account representative or any 
alternative CAIR authorized account representative or the finality of 
any decision or order by the Administrator under the CAIR NOX 
Ozone Season Trading Program.
    (iii) The Administrator will not adjudicate any private legal 
dispute concerning the authorization or any representation, action, 
inaction, or submission of the CAIR authorized account representative or 
any alternate CAIR authorized account representative for a general 
account, including private legal disputes concerning the proceeds of 
CAIR NOX Ozone Season allowance transfers.
    (5) Delegation by CAIR authorized account representative and 
alternate CAIR authorized account representative. (i) A CAIR authorized 
account representative may delegate, to one or more natural persons, his 
or her authority to make an electronic submission to the Administrator 
provided for or required under subparts FFFF and GGGG of this part.
    (ii) An alternate CAIR authorized account representative may 
delegate, to one or more natural persons, his or her authority to make 
an electronic submission to the Administrator provided for or required 
under subparts FFFF and GGGG of this part.
    (iii) In order to delegate authority to make an electronic 
submission to the Administrator in accordance with

[[Page 1054]]

paragraph (b)(5)(i) or (ii) of this section, the CAIR authorized account 
representative or alternate CAIR authorized account representative, as 
appropriate, must submit to the Administrator a notice of delegation, in 
a format prescribed by the Administrator, that includes the following 
elements:
    (A) The name, address, e-mail address, telephone number, and 
facsimile transmission number (if any) of such CAIR authorized account 
representative or alternate CAIR authorized account representative;
    (B) The name, address, e-mail address, telephone number, and, 
facsimile transmission number (if any) of each such natural person 
(referred to as an ``agent'');
    (C) For each such natural person, a list of the type or types of 
electronic submissions under paragraph (b)(5)(i) or (ii) of this section 
for which authority is delegated to him or her;
    (D) The following certification statement by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative: ``I agree that any electronic submission to the 
Administrator that is by an agent identified in this notice of 
delegation and of a type listed for such agent in this notice of 
delegation and that is made when I am a CAIR authorized account 
representative or alternate CAIR authorized representative, as 
appropriate, and before this notice of delegation is superseded by 
another notice of delegation under 40 CFR 96.351(b)(5)(iv) shall be 
deemed to be an electronic submission by me.''; and
    (E) The following certification statement by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative: ``Until this notice of delegation is superseded by 
another notice of delegation under 40 CFR 96.351(b)(5)(iv), I agree to 
maintain an e-mail account and to notify the Administrator immediately 
of any change in my e-mail address unless all delegation of authority by 
me under 40 CFR 96.351(b)(5) is terminated.''.
    (iv) A notice of delegation submitted under paragraph (b)(5)(iii) of 
this section shall be effective, with regard to the CAIR authorized 
account representative or alternate CAIR authorized account 
representative identified in such notice, upon receipt of such notice by 
the Administrator and until receipt by the Administrator of a 
superseding notice of delegation submitted by such CAIR authorized 
account representative or alternate CAIR authorized account 
representative, as appropriate. The superseding notice of delegation may 
replace any previously identified agent, add a new agent, or eliminate 
entirely any delegation of authority.
    (v) Any electronic submission covered by the certification in 
paragraph (b)(5)(iii)(D) of this section and made in accordance with a 
notice of delegation effective under paragraph (b)(5)(iv) of this 
section shall be deemed to be an electronic submission by the CAIR 
designated representative or alternate CAIR designated representative 
submitting such notice of delegation.
    (c) Account identification. The Administrator will assign a unique 
identifying number to each account established under paragraph (a) or 
(b) of this section.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.352  Responsibilities of CAIR authorized account representative.

    Following the establishment of a CAIR NOX Ozone Season 
Allowance Tracking System account, all submissions to the Administrator 
pertaining to the account, including, but not limited to, submissions 
concerning the deduction or transfer of CAIR NOX Ozone Season 
allowances in the account, shall be made only by the CAIR authorized 
account representative for the account.



Sec.  96.353  Recordation of CAIR NOX Ozone Season allowance allocations.

    (a) By September 30, 2007, the Administrator will record in the CAIR 
NOX Ozone Season source's compliance account the CAIR 
NOX Ozone Season allowances allocated for the CAIR 
NOX Ozone Season units at the source, as submitted by the 
permitting authority in accordance with Sec.  96.341(a), for the control 
periods in 2009, 2010, 2011, 2012, 2013, and 2014.
    (b) By December 1, 2009, the Administrator will record in the CAIR 
NOX

[[Page 1055]]

Ozone Season source's compliance account the CAIR NOX Ozone 
Season allowances allocated for the CAIR NOX Ozone Season 
units at the source, as submitted by the permitting authority in 
accordance with Sec.  96.341(b), for the control period in 2015.
    (c) By December 1, 2010 and December 1 of each year thereafter, the 
Administrator will record in the CAIR NOX Ozone Season 
source's compliance account the CAIR NOX Ozone Season 
allowances allocated for the CAIR NOX Ozone Season units at 
the source, as submitted by the permitting authority in accordance with 
Sec.  96.341(b), for the control period in the sixth year after the year 
of the applicable deadline for recordation under this paragraph.
    (d) By September 1, 2009 and September 1 of each year thereafter, 
the Administrator will record in the CAIR NOX Ozone Season 
source's compliance account the CAIR NOX Ozone Season 
allowances allocated for the CAIR NOX Ozone Season units at 
the source, as submitted by the permitting authority or determined by 
the Administrator in accordance with Sec.  96.341(c), for the control 
period in the year of the applicable deadline for recordation under this 
paragraph.
    (e) Serial numbers for allocated CAIR NOX Ozone Season 
allowances. When recording the allocation of CAIR NOX Ozone 
Season allowances for a CAIR NOX Ozone Season unit in a 
compliance account, the Administrator will assign each CAIR 
NOX Ozone Season allowance a unique identification number 
that will include digits identifying the year of the control period for 
which the CAIR NOX Ozone Season allowance is allocated.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25394, Apr. 28, 2006]

    Editorial Note: At 71 FR 25395, Apr. 28, 2006, Sec.  96.353(d) was 
amended; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



Sec.  96.354  Compliance with CAIR NOX emissions limitation.

    (a) Allowance transfer deadline. The CAIR NOX Ozone 
Season allowances are available to be deducted for compliance with a 
source's CAIR NOX Ozone Season emissions limitation for a 
control period in a given calendar year only if the CAIR NOX 
Ozone Season allowances:
    (1) Were allocated for the control period in the year or a prior 
year; and
    (2) Are held in the compliance account as of the allowance transfer 
deadline for the control period or are transferred into the compliance 
account by a CAIR NOX Ozone Season allowance transfer 
correctly submitted for recordation under Sec. Sec.  96.360 and 96.361 
by the allowance transfer deadline for the control period.
    (c)(1) Identification of CAIR NO X Ozone Season 
allowances by serial number. The CAIR authorized account representative 
for a source's compliance account may request that specific CAIR 
NOX Ozone Season allowances, identified by serial number, in 
the compliance account be deducted for emissions or excess emissions for 
a control period in accordance with paragraph (b) or (d) of this 
section. Such request shall be submitted to the Administrator by the 
allowance transfer deadline for the control period and include, in a 
format prescribed by the Administrator, the identification of the CAIR 
NOX Ozone Season source and the appropriate serial numbers.
    (2) First-in, first-out. The Administrator will deduct CAIR 
NOX Ozone Season allowances under paragraph (b) or (d) of 
this section from the source's compliance account, in the absence of an 
identification or in the case of a partial identification of CAIR 
NOX Ozone Season allowances by serial number under paragraph 
(c)(1) of this section, on a first-in, first-out (FIFO) accounting basis 
in the following order:
    (i) Any CAIR NOX Ozone Season allowances that were 
allocated to the units at the source, in the order of recordation; and 
then
    (ii) Any CAIR NOX Ozone Season allowances that were 
allocated to any entity and transferred and recorded in the compliance 
account pursuant to subpart GGGG of this part, in the order of 
recordation.
    (d) Deductions for excess emissions. (1) After making the deductions 
for compliance under paragraph (b) of this section for a control period 
in a calendar year in which the CAIR NOX Ozone Season source 
has excess emissions, the Administrator will deduct from the

[[Page 1056]]

source's compliance account an amount of CAIR NOX Ozone 
Season allowances, allocated for the control period in the immediately 
following calendar year, equal to 3 times the number of tons of the 
source's excess emissions.
    (2) Any allowance deduction required under paragraph (d)(1) of this 
section shall not affect the liability of the owners and operators of 
the CAIR NOX Ozone Season source or the CAIR NOX 
Ozone Season units at the source for any fine, penalty, or assessment, 
or their obligation to comply with any other remedy, for the same 
violations, as ordered under the Clean Air Act or applicable State law.
    (e) Recordation of deductions. The Administrator will record in the 
appropriate compliance account all deductions from such an account under 
paragraphs (b) and (d) of this section and subpart IIII.
    (f) Administrator's action on submissions. (1) The Administrator may 
review and conduct independent audits concerning any submission under 
the CAIR NOX Ozone Season Trading Program and make 
appropriate adjustments of the information in the submissions.
    (2) The Administrator may deduct CAIR NOX Ozone Season 
allowances from or transfer CAIR NOX Ozone Season allowances 
to a source's compliance account based on the information in the 
submissions, as adjusted under paragraph (f)(1) of this section, and 
record such deductions and transfers.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]



Sec.  96.355  Banking.

    (a) CAIR NOX Ozone Season allowances may be banked for 
future use or transfer in a compliance account or a general account in 
accordance with paragraph (b) of this section.
    (b) Any CAIR NOX Ozone Season allowance that is held in a 
compliance account or a general account will remain in such account 
unless and until the CAIR NOX Ozone Season allowance is 
deducted or transferred under Sec.  96.354, Sec.  96.356, or subpart GG 
of this part.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]

    Editorial Note: At 71 FR 25395, Apr. 28, 2006, Sec.  96.355 was 
amended; however, the amendment could not be incorporated due to 
inaccurate amendatory instruction.



Sec.  96.356  Account error.

    The Administrator may, at his or her sole discretion and on his or 
her own motion, correct any error in any CAIR NOX Ozone 
Season Allowance Tracking System account. Within 10 business days of 
making such correction, the Administrator will notify the CAIR 
authorized account representative for the account.



Sec.  96.357  Closing of general accounts.

    (a) The CAIR authorized account representative of a general account 
may submit to the Administrator a request to close the account, which 
shall include a correctly submitted allowance transfer under Sec. Sec.  
96.360 and 96.361 for any CAIR NOX Ozone Season allowances in 
the account to one or more other CAIR NOX Ozone Season 
Allowance Tracking System accounts.
    (b) If a general account has no allowance transfers in or out of the 
account for a 12-month period or longer and does not contain any CAIR 
NOX Ozone Season allowances, the Administrator may notify the 
CAIR authorized account representative for the account that the account 
will be closed following 20 business days after the notice is sent. The 
account will be closed after the 20-day period unless, before the end of 
the 20-day period, the Administrator receives a correctly submitted 
transfer of CAIR NOX Ozone Season allowances into the account 
under Sec. Sec.  96.360 and 96.361 or a statement submitted by the CAIR 
authorized account representative demonstrating to the satisfaction of 
the Administrator good cause as to why the account should not be closed.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]

[[Page 1057]]



         Subpart GGGG_CAIR NOX Ozone Season Allowance Transfers

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.360  Submission of CAIR NOX Ozone Season allowance transfers.

    A CAIR authorized account representative seeking recordation of a 
CAIR NOX Ozone Season allowance transfer shall submit the 
transfer to the Administrator. To be considered correctly submitted, the 
CAIR NOX Ozone Season allowance transfer shall include the 
following elements, in a format specified by the Administrator:
    (a) The account numbers for both the transferor and transferee 
accounts;
    (b) The serial number of each CAIR NOX Ozone Season 
allowance that is in the transferor account and is to be transferred; 
and
    (c) The name and signature of the CAIR authorized account 
representative of the transferor account and the date signed.



Sec.  96.361  EPA recordation.

    (a) Within 5 business days (except as provided in paragraph (b) of 
this section) of receiving a CAIR NOX Ozone Season allowance 
transfer, the Administrator will record a CAIR NOX Ozone 
Season allowance transfer by moving each CAIR NOX Ozone 
Season allowance from the transferor account to the transferee account 
as specified by the request, provided that:
    (1) The transfer is correctly submitted under Sec.  96.360; and
    (2) The transferor account includes each CAIR NOX Ozone 
Season allowance identified by serial number in the transfer.
    (b) A CAIR NOX Ozone Season allowance transfer that is 
submitted for recordation after the allowance transfer deadline for a 
control period and that includes any CAIR NOX Ozone Season 
allowances allocated for any control period before such allowance 
transfer deadline will not be recorded until after the Administrator 
completes the deductions under Sec.  96.354 for the control period 
immediately before such allowance transfer deadline.
    (c) Where a CAIR NOX Ozone Season allowance transfer 
submitted for recordation fails to meet the requirements of paragraph 
(a) of this section, the Administrator will not record such transfer.



Sec.  96.362  Notification.

    (a) Notification of recordation. Within 5 business days of 
recordation of a CAIR NOX Ozone Season allowance transfer 
under Sec.  96.361, the Administrator will notify the CAIR authorized 
account representatives of both the transferor and transferee accounts.
    (b) Notification of non-recordation. Within 10 business days of 
receipt of a CAIR NOX Ozone Season allowance transfer that 
fails to meet the requirements of Sec.  96.361(a), the Administrator 
will notify the CAIR authorized account representatives of both accounts 
subject to the transfer of:
    (1) A decision not to record the transfer, and
    (2) The reasons for such non-recordation.
    (c) Nothing in this section shall preclude the submission of a CAIR 
NOX Ozone Season allowance transfer for recordation following 
notification of non-recordation.



                  Subpart HHHH_Monitoring and Reporting

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.370  General requirements.

    The owners and operators, and to the extent applicable, the CAIR 
designated representative, of a CAIR NOX Ozone Season unit, 
shall comply with the monitoring, recordkeeping, and reporting 
requirements as provided in this subpart and in subpart H of part 75 of 
this chapter. For purposes of complying with such requirements, the 
definitions in Sec.  96.302 and in Sec.  72.2 of this chapter shall 
apply, and the terms ``affected unit,'' ``designated representative,'' 
and ``continuous emission monitoring system'' (or ``CEMS'') in part 75 
of this chapter shall be deemed to refer to the terms ``CAIR 
NOX Ozone Season unit,'' ``CAIR designated representative,'' 
and ``continuous emission monitoring system'' (or ``CEMS'') 
respectively, as defined in Sec.  96.302. The owner or operator of a 
unit that is not a CAIR

[[Page 1058]]

NOX Ozone Season unit but that is monitored under Sec.  
75.72(b)(2)(ii) of this chapter shall comply with the same monitoring, 
recordkeeping, and reporting requirements as a CAIR NOX Ozone 
Season unit.
    (a) Requirements for installation, certification, and data 
accounting. The owner or operator of each CAIR NOX Ozone 
Season unit shall:
    (1) Install all monitoring systems required under this subpart for 
monitoring NOX mass emissions and individual unit heat input 
(including all systems required to monitor NOX emission rate, 
NOX concentration, stack gas moisture content, stack gas flow 
rate, CO2 or O2 concentration, and fuel flow rate, 
as applicable, in accordance with Sec. Sec.  75.71 and 75.72 of this 
chapter);
    (2) Successfully complete all certification tests required under 
Sec.  96.371 and meet all other requirements of this subpart and part 75 
of this chapter applicable to the monitoring systems under paragraph 
(a)(1) of this section; and
    (3) Record, report, and quality-assure the data from the monitoring 
systems under paragraph (a)(1) of this section.
    (b) Compliance deadlines. Except as provided in paragraph (e) of 
this section, the owner or operator shall meet the monitoring system 
certification and other requirements of paragraphs (a)(1) and (2) of 
this section on or before the following dates. The owner or operator 
shall record, report, and quality-assure the data from the monitoring 
systems under paragraph (a)(1) of this section on and after the 
following dates.
    (1) For the owner or operator of a CAIR NOX Ozone Season 
unit that commences commercial operation before July 1, 2007, by May 1, 
2008.
    (2) For the owner or operator of a CAIR NOX Ozone Season 
unit that commences commercial operation on or after July 1, 2007 and 
that reports on an annual basis under Sec.  96.374(d), by the later of 
the following dates:
    (i) 90 unit operating days or 180 calendar days, whichever occurs 
first, after the date on which the unit commences commercial operation; 
or
    (ii) May 1, 2008.
    (3) For the owner or operator of a CAIR NOX Ozone Season 
unit that commences commercial operation on or after July 1, 2007 and 
that reports on a control period basis under Sec.  96.374(d)(2)(ii), by 
the later of the following dates:
    (i) 90 unit operating days or 180 calendar days, whichever occurs 
first, after the date on which the unit commences commercial operation; 
or
    (ii) If the compliance date under paragraph (b)(3)(i) of this 
section is not during a control period, May 1 immediately following the 
compliance date under paragraph (b)(3)(i) of this section.
    (4) For the owner or operator of a CAIR NOX Ozone Season 
unit for which construction of a new stack or flue or installation of 
add-on NOX emission controls is completed after the 
applicable deadline under paragraph (b)(1), (2), (6), or (7) of this 
section and that reports on an annual basis under Sec.  96.374(d), by 90 
unit operating days or 180 calendar days, whichever occurs first, after 
the date on which emissions first exit to the atmosphere through the new 
stack or flue or add-on NOX emissions controls.
    (5) For the owner or operator of a CAIR NOX Ozone Season 
unit for which construction of a new stack or flue or installation of 
add-on NOX emission controls is completed after the 
applicable deadline under paragraph (b)(1), (3), (6), or (7) of this 
section and that reports on a control period basis under Sec.  
96.374(d)(2)(ii), by the later of the following dates:
    (i) 90 unit operating days or 180 calendar days, whichever occurs 
first, after the date on which emissions first exit to the atmosphere 
through the new stack or flue or add-on NOX emissions 
controls; or
    (ii) If the compliance date under paragraph (b)(5)(i) of this 
section is not during a control period, May 1 immediately following the 
compliance date under paragraph (b)(5)(i) of this section.
    (6) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of 
this section, for the owner or operator of a unit for which a CAIR 
NOX Ozone Season opt-in permit application is submitted and 
not withdrawn and a CAIR

[[Page 1059]]

opt-in permit is not yet issued or denied under subpart IIII of this 
part, by the date specified in Sec.  96.384(b).
    (7) Notwithstanding the dates in paragraphs (b)(1), (2), and (3) of 
this section, for the owner or operator of a CAIR NOX Ozone 
Season opt-in unit, by the date on which the CAIR NOX Ozone 
Season opt-in unit under subpart IIII of this part enters the CAIR 
NOX Ozone Season Trading Program as provided in Sec.  
96.384(g).
    (c) Reporting data. The owner or operator of a CAIR NOX 
Ozone Season unit that does not meet the applicable compliance date set 
forth in paragraph (b) of this section for any monitoring system under 
paragraph (a)(1) of this section shall, for each such monitoring system, 
determine, record, and report maximum potential (or, as appropriate, 
minimum potential) values for NOX concentration, 
NOX emission rate, stack gas flow rate, stack gas moisture 
content, fuel flow rate, and any other parameters required to determine 
NOX mass emissions and heat input in accordance with Sec.  
75.31(b)(2) or (c)(3) of this chapter, section 2.4 of appendix D to part 
75 of this chapter, or section 2.5 of appendix E to part 75 of this 
chapter, as applicable.
    (d) Prohibitions. (1) No owner or operator of a CAIR NOX 
Ozone Season unit shall use any alternative monitoring system, 
alternative reference method, or any other alternative to any 
requirement of this subpart without having obtained prior written 
approval in accordance with Sec.  96.375.
    (2) No owner or operator of a CAIR NOX Ozone Season unit 
shall operate the unit so as to discharge, or allow to be discharged, 
NOX emissions to the atmosphere without accounting for all 
such emissions in accordance with the applicable provisions of this 
subpart and part 75 of this chapter.
    (3) No owner or operator of a CAIR NOX Ozone Season unit 
shall disrupt the continuous emission monitoring system, any portion 
thereof, or any other approved emission monitoring method, and thereby 
avoid monitoring and recording NOX mass emissions discharged 
into the atmosphere or heat input, except for periods of recertification 
or periods when calibration, quality assurance testing, or maintenance 
is performed in accordance with the applicable provisions of this 
subpart and part 75 of this chapter.
    (4) No owner or operator of a CAIR NOX Ozone Season unit 
shall retire or permanently discontinue use of the continuous emission 
monitoring system, any component thereof, or any other approved 
monitoring system under this subpart, except under any one of the 
following circumstances:
    (i) During the period that the unit is covered by an exemption under 
Sec.  96.305 that is in effect;
    (ii) The owner or operator is monitoring emissions from the unit 
with another certified monitoring system approved, in accordance with 
the applicable provisions of this subpart and part 75 of this chapter, 
by the permitting authority for use at that unit that provides emission 
data for the same pollutant or parameter as the retired or discontinued 
monitoring system; or
    (iii) The CAIR designated representative submits notification of the 
date of certification testing of a replacement monitoring system for the 
retired or discontinued monitoring system in accordance with Sec.  
96.371(d)(3)(i).
    (e) Long-term cold storage. The owner or operator of a CAIR 
NOX Ozone Season unit is subject to the applicable provisions 
of part 75 of this chapter concerning units in long-term cold storage.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]



Sec.  96.371  Initial certification and recertification procedures.

    (a) The owner or operator of a CAIR NOX Ozone Season unit 
shall be exempt from the initial certification requirements of this 
section for a monitoring system under Sec.  96.370(a)(1) if the 
following conditions are met:
    (1) The monitoring system has been previously certified in 
accordance with part 75 of this chapter; and
    (2) The applicable quality-assurance and quality-control 
requirements of Sec.  75.21 of this chapter and appendix B, appendix D, 
and appendix E to part 75 of this chapter are fully met for the 
certified monitoring system described in paragraph (a)(1) of this 
section.

[[Page 1060]]

    (b) The recertification provisions of this section shall apply to a 
monitoring system under Sec.  96.370(a)(1) exempt from initial 
certification requirements under paragraph (a) of this section.
    (c) If the Administrator has previously approved a petition under 
Sec.  75.17(a) or (b) of this chapter for apportioning the 
NOX emission rate measured in a common stack or a petition 
under Sec.  75.66 of this chapter for an alternative to a requirement in 
Sec.  75.12 or Sec.  75.17 of this chapter, the CAIR designated 
representative shall resubmit the petition to the Administrator under 
Sec.  96.375(a) to determine whether the approval applies under the CAIR 
NOX Ozone Season Trading Program.
    (d) Except as provided in paragraph (a) of this section, the owner 
or operator of a CAIR NOX Ozone Season unit shall comply with 
the following initial certification and recertification procedures for a 
continuous monitoring system (i.e., a continuous emission monitoring 
system and an excepted monitoring system under appendices D and E to 
part 75 of this chapter) under Sec.  96.370(a)(1). The owner or operator 
of a unit that qualifies to use the low mass emissions excepted 
monitoring methodology under Sec.  75.19 of this chapter or that 
qualifies to use an alternative monitoring system under subpart E of 
part 75 of this chapter shall comply with the procedures in paragraph 
(e) or (f) of this section respectively.
    (1) Requirements for initial certification. The owner or operator 
shall ensure that each continuous monitoring system under Sec.  
96.370(a)(1)(including the automated data acquisition and handling 
system) successfully completes all of the initial certification testing 
required under Sec.  75.20 of this chapter by the applicable deadline in 
Sec.  96.370(b). In addition, whenever the owner or operator installs a 
monitoring system to meet the requirements of this subpart in a location 
where no such monitoring system was previously installed, initial 
certification in accordance with Sec.  75.20 of this chapter is 
required.
    (2) Requirements for recertification. Whenever the owner or operator 
makes a replacement, modification, or change in any certified continuous 
emission monitoring system under Sec.  96.370(a)(1) that may 
significantly affect the ability of the system to accurately measure or 
record NOX mass emissions or heat input rate or to meet the 
quality-assurance and quality-control requirements of Sec.  75.21 of 
this chapter or appendix B to part 75 of this chapter, the owner or 
operator shall recertify the monitoring system in accordance with Sec.  
75.20(b) of this chapter. Furthermore, whenever the owner or operator 
makes a replacement, modification, or change to the flue gas handling 
system or the unit's operation that may significantly change the stack 
flow or concentration profile, the owner or operator shall recertify 
each continuous emission monitoring system whose accuracy is potentially 
affected by the change, in accordance with Sec.  75.20(b) of this 
chapter. Examples of changes to a continuous emission monitoring system 
that require recertification include: replacement of the analyzer, 
complete replacement of an existing continuous emission monitoring 
system, or change in location or orientation of the sampling probe or 
site. Any fuel flowmeter systems, and any excepted NOX 
monitoring system under appendix E to part 75 of this chapter, under 
Sec.  96.370(a)(1) are subject to the recertification requirements in 
Sec.  75.20(g)(6) of this chapter.
    (3) Approval process for initial certification and recertification. 
Paragraphs (d)(3)(i) through (iv) of this section apply to both initial 
certification and recertification of a continuous monitoring system 
under Sec.  96.370(a)(1). For recertifications, replace the words 
``certification'' and ``initial certification'' with the word 
``recertification'', replace the word ``certified'' with the word 
``recertified,'' and follow the procedures in Sec. Sec.  75.20(b)(5) and 
(g)(7) of this chapter in lieu of the procedures in paragraph (d)(3)(v) 
of this section.
    (i) Notification of certification. The CAIR designated 
representative shall submit to the permitting authority, the appropriate 
EPA Regional Office, and the Administrator written notice of the dates 
of certification testing, in accordance with Sec.  96.373.
    (ii) Certification application. The CAIR designated representative 
shall submit to the permitting authority a certification application for 
each monitoring

[[Page 1061]]

system. A complete certification application shall include the 
information specified in Sec.  75.63 of this chapter.
    (iii) Provisional certification date. The provisional certification 
date for a monitoring system shall be determined in accordance with 
Sec.  75.20(a)(3) of this chapter. A provisionally certified monitoring 
system may be used under the CAIR NOX Ozone Season Trading 
Program for a period not to exceed 120 days after receipt by the 
permitting authority of the complete certification application for the 
monitoring system under paragraph (d)(3)(ii) of this section. Data 
measured and recorded by the provisionally certified monitoring system, 
in accordance with the requirements of part 75 of this chapter, will be 
considered valid quality-assured data (retroactive to the date and time 
of provisional certification), provided that the permitting authority 
does not invalidate the provisional certification by issuing a notice of 
disapproval within 120 days of the date of receipt of the complete 
certification application by the permitting authority.
    (iv) Certification application approval process. The permitting 
authority will issue a written notice of approval or disapproval of the 
certification application to the owner or operator within 120 days of 
receipt of the complete certification application under paragraph 
(d)(3)(ii) of this section. In the event the permitting authority does 
not issue such a notice within such 120-day period, each monitoring 
system that meets the applicable performance requirements of part 75 of 
this chapter and is included in the certification application will be 
deemed certified for use under the CAIR NOX Ozone Season 
Trading Program.
    (A) Approval notice. If the certification application is complete 
and shows that each monitoring system meets the applicable performance 
requirements of part 75 of this chapter, then the permitting authority 
will issue a written notice of approval of the certification application 
within 120 days of receipt.
    (B) Incomplete application notice. If the certification application 
is not complete, then the permitting authority will issue a written 
notice of incompleteness that sets a reasonable date by which the CAIR 
designated representative must submit the additional information 
required to complete the certification application. If the CAIR 
designated representative does not comply with the notice of 
incompleteness by the specified date, then the permitting authority may 
issue a notice of disapproval under paragraph (d)(3)(iv)(C) of this 
section. The 120-day review period shall not begin before receipt of a 
complete certification application.
    (C) Disapproval notice. If the certification application shows that 
any monitoring system does not meet the performance requirements of part 
75 of this chapter or if the certification application is incomplete and 
the requirement for disapproval under paragraph (d)(3)(iv)(B) of this 
section is met, then the permitting authority will issue a written 
notice of disapproval of the certification application. Upon issuance of 
such notice of disapproval, the provisional certification is invalidated 
by the permitting authority and the data measured and recorded by each 
uncertified monitoring system shall not be considered valid quality-
assured data beginning with the date and hour of provisional 
certification (as defined under Sec.  75.20(a)(3) of this chapter). The 
owner or operator shall follow the procedures for loss of certification 
in paragraph (d)(3)(v) of this section for each monitoring system that 
is disapproved for initial certification.
    (D) Audit decertification. The permitting authority or, for a CAIR 
NOX Ozone Season opt-in unit or a unit for which a CAIR opt-
in permit application is submitted and not withdrawn and a CAIR opt-in 
permit is not yet issued or denied under subpart IIII of this part, the 
Administrator may issue a notice of disapproval of the certification 
status of a monitor in accordance with Sec.  96.372(b).
    (v) Procedures for loss of certification. If the permitting 
authority or the Administrator issues a notice of disapproval of a 
certification application under paragraph (d)(3)(iv)(C) of this section 
or a notice of disapproval of certification status under paragraph 
(d)(3)(iv)(D) of this section, then:

[[Page 1062]]

    (A) The owner or operator shall substitute the following values, for 
each disapproved monitoring system, for each hour of unit operation 
during the period of invalid data specified under Sec.  
75.20(a)(4)(iii), Sec.  75.20(g)(7), or Sec.  75.21(e) of this chapter 
and continuing until the applicable date and hour specified under Sec.  
75.20(a)(5)(i) or (g)(7) of this chapter:
    (1) For a disapproved NOX emission rate (i.e., 
NOX-diluent) system, the maximum potential NOX 
emission rate, as defined in Sec.  72.2 of this chapter.
    (2) For a disapproved NOX pollutant concentration monitor 
and disapproved flow monitor, respectively, the maximum potential 
concentration of NOX and the maximum potential flow rate, as 
defined in sections 2.1.2.1 and 2.1.4.1 of appendix A to part 75 of this 
chapter.
    (3) For a disapproved moisture monitoring system and disapproved 
diluent gas monitoring system, respectively, the minimum potential 
moisture percentage and either the maximum potential CO2 
concentration or the minimum potential O2 concentration (as 
applicable), as defined in sections 2.1.5, 2.1.3.1, and 2.1.3.2 of 
appendix A to part 75 of this chapter.
    (4) For a disapproved fuel flowmeter system, the maximum potential 
fuel flow rate, as defined in section 2.4.2.1 of appendix D to part 75 
of this chapter.
    (5) For a disapproved excepted NOX monitoring system 
under appendix E to part 75 of this chapter, the fuel-specific maximum 
potential NOX emission rate, as defined in Sec.  72.2 of this 
chapter.
    (B) The CAIR designated representative shall submit a notification 
of certification retest dates and a new certification application in 
accordance with paragraphs (d)(3)(i) and (ii) of this section.
    (C) The owner or operator shall repeat all certification tests or 
other requirements that were failed by the monitoring system, as 
indicated in the permitting authority's or the Administrator's notice of 
disapproval, no later than 30 unit operating days after the date of 
issuance of the notice of disapproval.
    (e) Initial certification and recertification procedures for units 
using the low mass emission excepted methodology under Sec.  75.19 of 
this chapter. The owner or operator of a unit qualified to use the low 
mass emissions (LME) excepted methodology under Sec.  75.19 of this 
chapter shall meet the applicable certification and recertification 
requirements in Sec. Sec.  75.19(a)(2) and 75.20(h) of this chapter. If 
the owner or operator of such a unit elects to certify a fuel flowmeter 
system for heat input determination, the owner or operator shall also 
meet the certification and recertification requirements in Sec.  
75.20(g) of this chapter.
    (f) Certification/recertification procedures for alternative 
monitoring systems. The CAIR designated representative of each unit for 
which the owner or operator intends to use an alternative monitoring 
system approved by the Administrator and, if applicable, the permitting 
authority under subpart E of part 75 of this chapter shall comply with 
the applicable notification and application procedures of Sec.  75.20(f) 
of this chapter.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.372  Out of control periods.

    (a) Whenever any monitoring system fails to meet the quality-
assurance and quality-control requirements or data validation 
requirements of part 75 of this chapter, data shall be substituted using 
the applicable missing data procedures in subpart D or subpart H of, or 
appendix D or appendix E to, part 75 of this chapter.
    (b) Audit decertification. Whenever both an audit of a monitoring 
system and a review of the initial certification or recertification 
application reveal that any monitoring system should not have been 
certified or recertified because it did not meet a particular 
performance specification or other requirement under Sec.  96.371 or the 
applicable provisions of part 75 of this chapter, both at the time of 
the initial certification or recertification application submission and 
at the time of the audit, the permitting authority or, for a CAIR 
NOX Ozone Season opt-in unit or a unit for which a CAIR opt-
in permit application is submitted and not withdrawn and a CAIR opt-in 
permit is not yet issued or denied under subpart IIII of this part, the 
Administrator will

[[Page 1063]]

issue a notice of disapproval of the certification status of such 
monitoring system. For the purposes of this paragraph, an audit shall be 
either a field audit or an audit of any information submitted to the 
permitting authority or the Administrator. By issuing the notice of 
disapproval, the permitting authority or the Administrator revokes 
prospectively the certification status of the monitoring system. The 
data measured and recorded by the monitoring system shall not be 
considered valid quality-assured data from the date of issuance of the 
notification of the revoked certification status until the date and time 
that the owner or operator completes subsequently approved initial 
certification or recertification tests for the monitoring system. The 
owner or operator shall follow the applicable initial certification or 
recertification procedures in Sec.  96.371 for each disapproved 
monitoring system.



Sec.  96.373  Notifications.

    The CAIR designated representative for a CAIR NOX Ozone 
Season unit shall submit written notice to the permitting authority and 
the Administrator in accordance with Sec.  75.61 of this chapter.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]



Sec.  96.374  Recordkeeping and reporting.

    (a) General provisions. The CAIR designated representative shall 
comply with all recordkeeping and reporting requirements in this 
section, the applicable recordkeeping and reporting requirements under 
Sec.  75.73 of this chapter, and the requirements of Sec.  96.310(e)(1).
    (b) Monitoring plans. The owner or operator of a CAIR NOX 
Ozone Season unit shall comply with requirements of Sec.  75.73(c) and 
(e) of this chapter and, for a unit for which a CAIR opt-in permit 
application is submitted and not withdrawn and a CAIR opt-in permit is 
not yet issued or denied under subpart IIII of this part, Sec. Sec.  
96.383 and 96.384(a).
    (c) Certification applications. The CAIR designated representative 
shall submit an application to the permitting authority within 45 days 
after completing all initial certification or recertification tests 
required under Sec.  96.371, including the information required under 
Sec.  75.63 of this chapter.
    (d) Quarterly reports. The CAIR designated representative shall 
submit quarterly reports, as follows:
    (1) If the CAIR NOX Ozone Season unit is subject to an 
Acid Rain emissions limitation or a CAIR NOX emissions 
limitation or if the owner or operator of such unit chooses to report on 
an annual basis under this subpart, the CAIR designated representative 
shall meet the requirements of subpart H of part 75 of this chapter 
(concerning monitoring of NOX mass emissions) for such unit 
for the entire year and shall report the NOX mass emissions 
data and heat input data for such unit, in an electronic quarterly 
report in a format prescribed by the Administrator, for each calendar 
quarter beginning with:
    (i) For a unit that commences commercial operation before July 1, 
2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
    (ii) For a unit that commences commercial operation on or after July 
1, 2007, the calendar quarter corresponding to the earlier of the date 
of provisional certification or the applicable deadline for initial 
certification under Sec.  96.370(b), unless that quarter is the third or 
fourth quarter of 2007 or the first quarter of 2008, in which case 
reporting shall commence in the quarter covering May 1, 2008 through 
June 30, 2008;
    (iii) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, 
for a unit for which a CAIR opt-in permit application is submitted and 
not withdrawn and a CAIR opt-in permit is not yet issued or denied under 
subpart IIII of this part, the calendar quarter corresponding to the 
date specified in Sec.  96.384(b); and
    (iv) Notwithstanding paragraphs (d)(1)(i) and (ii) of this section, 
for a CAIR NOX Ozone Season opt-in unit under subpart IIII of 
this part, the calendar quarter corresponding to the date on which the 
CAIR NOX Ozone Season opt-in unit enters the CAIR 
NOX Ozone Season Trading Program as provided in Sec.  
96.384(g).
    (2) If the CAIR NOX Ozone Season unit is not subject to 
an Acid Rain emissions limitation or a CAIR NOX

[[Page 1064]]

emissions limitation, then the CAIR designated representative shall 
either:
    (i) Meet the requirements of subpart H of part 75 (concerning 
monitoring of NOX mass emissions) for such unit for the 
entire year and report the NOX mass emissions data and heat 
input data for such unit in accordance with paragraph (d)(1) of this 
section; or
    (ii) Meet the requirements of subpart H of part 75 for the control 
period (including the requirements in Sec.  75.74(c) of this chapter) 
and report NOX mass emissions data and heat input data 
(including the data described in Sec.  75.74(c)(6) of this chapter) for 
such unit only for the control period of each year and report, in an 
electronic quarterly report in a format prescribed by the Administrator, 
for each calendar quarter beginning with:
    (A) For a unit that commences commercial operation before July 1, 
2007, the calendar quarter covering May 1, 2008 through June 30, 2008;
    (B) For a unit that commences commercial operation on or after July 
1, 2007, the calendar quarter corresponding to the earlier of the date 
of provisional certification or the applicable deadline for initial 
certification under Sec.  96.370(b), unless that date is not during a 
control period, in which case reporting shall commence in the quarter 
that includes May 1 through June 30 of the first control period after 
such date;.
    (C) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this 
section, for a unit for which a CAIR opt-in permit application is 
submitted and not withdrawn and a CAIR opt-in permit is not yet issued 
or denied under subpart IIII of this part, the calendar quarter 
corresponding to the date specified in Sec.  96.384(b); and
    (D) Notwithstanding paragraphs (d)(2)(ii)(A) and (2)(ii)(B) of this 
section, for a CAIR NOX Ozone Season opt-in unit under 
subpart IIII of this part, the calendar quarter corresponding to the 
date on which the CAIR NOX Ozone Season opt-in unit enters 
the CAIR NOX Ozone Season Trading Program as provided in 
Sec.  96.384(g).
    (2) The CAIR designated representative shall submit each quarterly 
report to the Administrator within 30 days following the end of the 
calendar quarter covered by the report. Quarterly reports shall be 
submitted in the manner specified in Sec.  75.73(f) of this chapter.
    (3) For CAIR NOX Ozone Season units that are also subject 
to an Acid Rain emissions limitation or the CAIR NOX Annual 
Trading Program or CAIR SO2 Trading Program, quarterly 
reports shall include the applicable data and information required by 
subparts F through H of part 75 of this chapter as applicable, in 
addition to the NOX mass emission data, heat input data, and 
other information required by this subpart.
    (e) Compliance certification. The CAIR designated representative 
shall submit to the Administrator a compliance certification (in a 
format prescribed by the Administrator) in support of each quarterly 
report based on reasonable inquiry of those persons with primary 
responsibility for ensuring that all of the unit's emissions are 
correctly and fully monitored. The certification shall state that:
    (1) The monitoring data submitted were recorded in accordance with 
the applicable requirements of this subpart and part 75 of this chapter, 
including the quality assurance procedures and specifications;
    (2) For a unit with add-on NOX emission controls and for 
all hours where NOX data are substituted in accordance with 
Sec.  75.34(a)(1) of this chapter, the add-on emission controls were 
operating within the range of parameters listed in the quality 
assurance/quality control program under appendix B to part 75 of this 
chapter and the substitute data values do not systematically 
underestimate NOX emissions; and
    (3) For a unit that is reporting on a control period basis under 
paragraph (d)(2)(ii) of this section, the NOX emission rate 
and NOX concentration values substituted for missing data 
under subpart D of part 75 of this chapter are calculated using only 
values from a control period and do not systematically underestimate 
NOX emissions.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25395, Apr. 28, 2006]

[[Page 1065]]



Sec.  96.375  Petitions.

    (a) Except as provided in paragraph (b)(2) of this section, the CAIR 
designated representative of a CAIR NOX Ozone Season unit 
that is subject to an Acid Rain emissions limitation may submit a 
petition under Sec.  75.66 of this chapter to the Administrator 
requesting approval to apply an alternative to any requirement of this 
subpart. Application of an alternative to any requirement of this 
subpart is in accordance with this subpart only to the extent that the 
petition is approved in writing by the Administrator, in consultation 
with the permitting authority.
    (b)(1) The CAIR designated representative of a CAIR NOX 
Ozone Season unit that is not subject to an Acid Rain emissions 
limitation may submit a petition under Sec.  75.66 of this chapter to 
the permitting authority and the Administrator requesting approval to 
apply an alternative to any requirement of this subpart. Application of 
an alternative to any requirement of this subpart is in accordance with 
this subpart only to the extent that the petition is approved in writing 
by both the permitting authority and the Administrator.
    (2) The CAIR designated representative of a CAIR NOX 
Ozone Season unit that is subject to an Acid Rain emissions limitation 
may submit a petition under Sec.  75.66 of this chapter to the 
permitting authority and the Administrator requesting approval to apply 
an alternative to a requirement concerning any additional continuous 
emission monitoring system required under Sec.  75.72 of this chapter. 
Application of an alternative to any such requirement is in accordance 
with this subpart only to the extent that the petition is approved in 
writing by both the permitting authority and the Administrator.



             Subpart IIII_CAIR NOX Ozone Season Opt-in Units

    Source: 70 FR 25382, May 12, 2005, unless otherwise noted.



Sec.  96.380  Applicability.

    A CAIR NOX Ozone Season opt-in unit must be a unit that:
    (a) Is located in the State;
    (b) Is not a CAIR NOX Ozone Season unit under Sec.  
96.304 and is not covered by a retired unit exemption under Sec.  96.305 
that is in effect;
    (c) Is not covered by a retired unit exemption under Sec.  72.8 of 
this chapter that is in effect;
    (d) Has or is required or qualified to have a title V operating 
permit or other federally enforceable permit; and
    (e) Vents all of its emissions to a stack and can meet the 
monitoring, recordkeeping, and reporting requirements of subpart HHHH of 
this part.



Sec.  96.381  General.

    (a) Except as otherwise provided in Sec. Sec.  96.301 through 
96.304, Sec. Sec.  96.306 through 96.308, and subparts BBBB and CCCC and 
subparts FFFF through HHHH of this part, a CAIR NOX Ozone 
Season opt-in unit shall be treated as a CAIR NOX Ozone 
Season unit for purposes of applying such sections and subparts of this 
part.
    (b) Solely for purposes of applying, as provided in this subpart, 
the requirements of subpart HHHH of this part to a unit for which a CAIR 
opt-in permit application is submitted and not withdrawn and a CAIR opt-
in permit is not yet issued or denied under this subpart, such unit 
shall be treated as a CAIR NOX Ozone Season unit before 
issuance of a CAIR opt-in permit for such unit.



Sec.  96.382  CAIR designated representative.

    Any CAIR NOX Ozone Season opt-in unit, and any unit for 
which a CAIR opt-in permit application is submitted and not withdrawn 
and a CAIR opt-in permit is not yet issued or denied under this subpart, 
located at the same source as one or more CAIR NOX Ozone 
Season units shall have the same CAIR designated representative and 
alternate CAIR designated representative as such CAIR NOX 
Ozone Season units.



Sec.  96.383  Applying for CAIR opt-in permit.

    (a) Applying for initial CAIR opt-in permit. The CAIR designated 
representative of a unit meeting the requirements for a CAIR 
NOX Ozone Season opt-in unit in Sec.  96.380 may apply for an 
initial CAIR opt-in permit at any time, except

[[Page 1066]]

as provided under Sec.  96.386 (f) and (g), and, in order to apply, must 
submit the following:
    (1) A complete CAIR permit application under Sec.  96.322;
    (2) A certification, in a format specified by the permitting 
authority, that the unit:
    (i) Is not a CAIR NOX Ozone Season unit under Sec.  
96.304 and is not covered by a retired unit exemption under Sec.  96.305 
that is in effect;
    (ii) Is not covered by a retired unit exemption under Sec.  72.8 of 
this chapter that is in effect;
    (iii) Vents all of its emissions to a stack; and
    (iv) Has documented heat input for more than 876 hours during the 6 
months immediately preceding submission of the CAIR permit application 
under Sec.  96.322;
    (3) A monitoring plan in accordance with subpart HHHH of this part;
    (4) A complete certificate of representation under Sec.  96.313 
consistent with Sec.  96.382, if no CAIR designated representative has 
been previously designated for the source that includes the unit; and
    (5) A statement, in a format specified by the permitting authority, 
whether the CAIR designated representative requests that the unit be 
allocated CAIR NOX Ozone Season allowances under Sec.  
96.388(b) or Sec.  96.388(c) (subject to the conditions in Sec. Sec.  
96.384(h) and 96.386(g)). If allocation under Sec.  96.388(c) is 
requested, this statement shall include a statement that the owners and 
operators of the unit intend to repower the unit before January 1, 2015 
and that they will provide, upon request, documentation demonstrating 
such intent.
    (b) Duty to reapply. (1) The CAIR designated representative of a 
CAIR NOX Ozone Season opt-in unit shall submit a complete 
CAIR permit application under Sec.  96.322 to renew the CAIR opt-in unit 
permit in accordance with the permitting authority's regulations for 
title V operating permits, or the permitting authority's regulations for 
other federally enforceable permits if applicable, addressing permit 
renewal.
    (2) Unless the permitting authority issues a notification of 
acceptance of withdrawal of the CAIR NOX Ozone Season opt-in 
unit from the CAIR NOX Ozone Season Trading Program in 
accordance with Sec.  96.186 or the unit becomes a CAIR NOX 
Ozone Season unit under Sec.  96.304, the CAIR NOX opt-in 
unit shall remain subject to the requirements for a CAIR NOX 
Ozone Season opt-in unit, even if the CAIR designated representative for 
the CAIR NOX Ozone Season opt-in unit fails to submit a CAIR 
permit application that is required for renewal of the CAIR opt-in 
permit under paragraph (b)(1) of this section.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]



Sec.  96.384  Opt-in process.

    The permitting authority will issue or deny a CAIR opt-in permit for 
a unit for which an initial application for a CAIR opt-in permit under 
Sec.  96.383 is submitted in accordance with the following:
    (a) Interim review of monitoring plan. The permitting authority and 
the Administrator will determine, on an interim basis, the sufficiency 
of the monitoring plan accompanying the initial application for a CAIR 
opt-in permit under Sec.  96.383. A monitoring plan is sufficient, for 
purposes of interim review, if the plan appears to contain information 
demonstrating that the NOX emissions rate and heat input of 
the unit and all other applicable parameters are monitored and reported 
in accordance with subpart HHHH of this part. A determination of 
sufficiency shall not be construed as acceptance or approval of the 
monitoring plan.
    (b) Monitoring and reporting. (1)(i) If the permitting authority and 
the Administrator determine that the monitoring plan is sufficient under 
paragraph (a) of this section, the owner or operator shall monitor and 
report the NOX emissions rate and the heat input of the unit 
and all other applicable parameters, in accordance with subpart HHHH of 
this part, starting on the date of certification of the appropriate 
monitoring systems under subpart HHHH of this part and continuing until 
a CAIR opt-in permit is denied under Sec.  96.384(f) or, if a CAIR opt-
in permit is issued, the date and time when the unit is withdrawn from 
the CAIR NOX Ozone Season Trading Program in accordance with 
Sec.  96.386.

[[Page 1067]]

    (ii) The monitoring and reporting under paragraph (b)(1)(i) of this 
section shall include the entire control period immediately before the 
date on which the unit enters the CAIR NOX Ozone Season 
Trading Program under Sec.  96.384(g), during which period monitoring 
system availability must not be less than 90 percent under subpart HHHH 
of this part and the unit must be in full compliance with any applicable 
State or Federal emissions or emissions-related requirements.
    (2) To the extent the NOX emissions rate and the heat 
input of the unit are monitored and reported in accordance with subpart 
HHHH of this part for one or more control periods, in addition to the 
control period under paragraph (b)(1)(ii) of this section, during which 
control periods monitoring system availability is not less than 90 
percent under subpart HHHH of this part and the unit is in full 
compliance with any applicable State or Federal emissions or emissions-
related requirements and which control periods begin not more than 3 
years before the unit enters the CAIR NOX Ozone Season 
Trading Program under Sec.  96.384(g), such information shall be used as 
provided in paragraphs (c) and (d) of this section.
    (c) Baseline heat input. The unit's baseline heat input shall equal:
    (1) If the unit's NOX emissions rate and heat input are 
monitored and reported for only one control period, in accordance with 
paragraph (b)(1) of this section, the unit's total heat input (in mmBtu) 
for the control period; or
    (2) If the unit's NOX emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, the average of the 
amounts of the unit's total heat input (in mmBtu) for the control 
periods under paragraphs (b)(1)(ii) and (2) of this section.
    (d) Baseline NOX emission rate. The unit's baseline 
NOX emission rate shall equal:
    (1) If the unit's NOX emissions rate and heat input are 
monitored and reported for only one control period, in accordance with 
paragraph (b)(1) of this section, the unit's NOX emissions 
rate (in lb/mmBtu) for the control period;
    (2) If the unit's NOX emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, and the unit does not 
have add-on NOX emission controls during any such control 
periods, the average of the amounts of the unit's NOX 
emissions rate (in lb/mmBtu) for the control periods under paragraphs 
(b)(1)(ii) and (2) of this section; or
    (3) If the unit's NOX emissions rate and heat input are 
monitored and reported for more than one control period, in accordance 
with paragraphs (b)(1) and (2) of this section, and the unit has add-on 
NOX emission controls during any such control periods, the 
average of the amounts of the unit's NOX emissions rate (in 
lb/mmBtu) for such control periods during which the unit has add-on 
NOX emission controls.
    (e) Issuance of CAIR opt-in permit. After calculating the baseline 
heat input and the baseline NOX emissions rate for the unit 
under paragraphs (c) and (d) of this section and if the permitting 
authority determines that the CAIR designated representative shows that 
the unit meets the requirements for a CAIR NOX Ozone Season 
opt-in unit in Sec.  96.380 and meets the elements certified in Sec.  
96.383(a)(2), the permitting authority will issue a CAIR opt-in permit. 
The permitting authority will provide a copy of the CAIR opt-in permit 
to the Administrator, who will then establish a compliance account for 
the source that includes the CAIR NOX Ozone Season opt-in 
unit unless the source already has a compliance account.
    (f) Issuance of denial of CAIR opt-in permit. Notwithstanding 
paragraphs (a) through (e) of this section, if at any time before 
issuance of a CAIR opt-in permit for the unit, the permitting authority 
determines that the CAIR designated representative fails to show that 
the unit meets the requirements for a CAIR NOX Ozone Season 
opt-in unit in Sec.  96.380 or meets the elements certified in Sec.  
96.383(a)(2), the permitting authority will issue a denial of a CAIR 
opt-in permit for the unit.
    (g) Date of entry into CAIR NOX Ozone Season Trading 
Program. A unit for which an initial CAIR opt-in permit is

[[Page 1068]]

issued by the permitting authority shall become a CAIR NOX 
Ozone Season opt-in unit, and a CAIR NOX Ozone Season unit, 
as of the later of May 1, 2009 or May 1 of the first control period 
during which such CAIR opt-in permit is issued.
    (h) Repowered CAIR NOX Ozone Season opt-in unit. (1) If 
CAIR designated representative requests, and the permitting authority 
issues a CAIR opt-in permit providing for, allocation to a CAIR 
NOX Ozone Season opt-in unit of CAIR NOX Ozone 
Season allowances under Sec.  96.388(c) and such unit is repowered after 
its date of entry into the CAIR NOX Ozone Season Trading 
Program under paragraph (g) of this section, the repowered unit shall be 
treated as a CAIR NOX Ozone Season opt-in unit replacing the 
original CAIR NOX Ozone Season opt-in unit, as of the date of 
start-up of the repowered unit's combustion chamber.
    (2) Notwithstanding paragraphs (c) and (d) of this section, as of 
the date of start-up under paragraph (h)(1) of this section, the 
repowered unit shall be deemed to have the same date of commencement of 
operation, date of commencement of commercial operation, baseline heat 
input, and baseline NOX emission rate as the original CAIR 
NOX Ozone Season opt-in unit, and the original CAIR 
NOX Ozone Season opt-in unit shall no longer be treated as a 
CAIR NOX Ozone Season opt-in unit or a CAIR NOX 
Ozone Season unit.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.385  CAIR opt-in permit contents.

    (a) Each CAIR opt-in permit will contain:
    (1) All elements required for a complete CAIR permit application 
under Sec.  96.322;
    (2) The certification in Sec.  96.383(a)(2);
    (3) The unit's baseline heat input under Sec.  96.384(c);
    (4) The unit's baseline NOX emission rate under Sec.  
96.384(d);
    (5) A statement whether the unit is to be allocated CAIR 
NOX Ozone Season allowances under Sec.  96.388(b) or Sec.  
96.388(c) (subject to the conditions in Sec. Sec.  96.384(h) and 
96.386(g));
    (6) A statement that the unit may withdraw from the CAIR 
NOX Ozone Season Trading Program only in accordance with 
Sec.  96.386; and
    (7) A statement that the unit is subject to, and the owners and 
operators of the unit must comply with, the requirements of Sec.  
96.387.
    (b) Each CAIR opt-in permit is deemed to incorporate automatically 
the definitions of terms under Sec.  96.302 and, upon recordation by the 
Administrator under subpart FFFF or GGGG of this part or this subpart, 
every allocation, transfer, or deduction of CAIR NOX Ozone 
Season allowances to or from the compliance account of the source that 
includes a CAIR NOX Ozone Season opt-in unit covered by the 
CAIR opt-in permit.
    (c) The CAIR opt-in permit shall be included, in a format specified 
by the permitting authority, in the CAIR permit for the source where the 
CAIR NOX Ozone Season opt-in unit is located and in a title V 
operating permit or other federally enforceable permit for the source.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]



Sec.  96.386  Withdrawal from CAIR NOX Ozone Season Trading Program.

    Except as provided under paragraph (g) of this section, a CAIR 
NOX Ozone Season opt-in unit may withdraw from the CAIR 
NOX Ozone Season Trading Program, but only if the permitting 
authority issues a notification to the CAIR designated representative of 
the CAIR NOX Ozone Season opt-in unit of the acceptance of 
the withdrawal of the CAIR NOX Ozone Season opt-in unit in 
accordance with paragraph (d) of this section.
    (a) Requesting withdrawal. In order to withdraw a CAIR 
NOX Ozone Season opt-on unit from the CAIR NOX 
Ozone Season Trading Program, the CAIR designated representative of the 
CAIR NOX Ozone Season opt-in unit shall submit to the 
permitting authority a request to withdraw effective as of midnight of 
September 30 of a specified calendar year, which date must be at least 4 
years after September 30 of the year of entry into the CAIR 
NOX Ozone Season Trading Program under

[[Page 1069]]

Sec.  96.384(g). The request must be submitted no later than 90 days 
before the requested effective date of withdrawal.
    (b) Conditions for withdrawal. Before a CAIR NOX Ozone 
Season opt-in unit covered by a request under paragraph (a) of this 
section may withdraw from the CAIR NOX Ozone Season Trading 
Program and the CAIR opt-in permit may be terminated under paragraph (e) 
of this section, the following conditions must be met:
    (1) For the control period ending on the date on which the 
withdrawal is to be effective, the source that includes the CAIR 
NOX Ozone Season opt-in unit must meet the requirement to 
hold CAIR NOX Ozone Season allowances under Sec.  96.306(c) 
and cannot have any excess emissions.
    (2) After the requirement for withdrawal under paragraph (b)(1) of 
this section is met, the Administrator will deduct from the compliance 
account of the source that includes the CAIR NOX Ozone Season 
opt-in unit CAIR NOX Ozone Season allowances equal in amount 
to and allocated for the same or a prior control period as any CAIR 
NOX Ozone Season allowances allocated to the CAIR 
NOX Ozone Season opt-in unit under Sec.  96.388 for any 
control period for which the withdrawal is to be effective. If there are 
no remaining CAIR NOX Ozone Season units at the source, the 
Administrator will close the compliance account, and the owners and 
operators of the CAIR NOX Ozone Season opt-in unit may submit 
a CAIR NOX Ozone Season allowance transfer for any remaining 
CAIR NOX Ozone Season allowances to another CAIR 
NOX Ozone Season Allowance Tracking System in accordance with 
subpart GGGG of this part.
    (c) Notification. (1) After the requirements for withdrawal under 
paragraphs (a) and (b) of this section are met (including deduction of 
the full amount of CAIR NOX Ozone Season allowances 
required), the permitting authority will issue a notification to the 
CAIR designated representative of the CAIR NOX Ozone Season 
opt-in unit of the acceptance of the withdrawal of the CAIR 
NOX Ozone Season opt-in unit as of midnight on September 30 
of the calendar year for which the withdrawal was requested.
    (2) If the requirements for withdrawal under paragraphs (a) and (b) 
of this section are not met, the permitting authority will issue a 
notification to the CAIR designated representative of the CAIR 
NOX Ozone Season opt-in unit that the CAIR NOX 
Ozone Season opt-in unit's request to withdraw is denied. Such CAIR 
NOX Ozone Season opt-in unit shall continue to be a CAIR 
NOX Ozone Season opt-in unit.
    (d) Permit amendment. After the permitting authority issues a 
notification under paragraph (c)(1) of this section that the 
requirements for withdrawal have been met, the permitting authority will 
revise the CAIR permit covering the CAIR NOX Ozone Season 
opt-in unit to terminate the CAIR opt-in permit for such unit as of the 
effective date specified under paragraph (c)(1) of this section. The 
unit shall continue to be a CAIR NOX Ozone Season opt-in unit 
until the effective date of the termination and shall comply with all 
requirements under the CAIR NOX Ozone Season Trading Program 
concerning any control periods for which the unit is a CAIR 
NOX Ozone Season opt-in unit, even if such requirements arise 
or must be complied with after the withdrawal takes effect.
    (e) Reapplication upon failure to meet conditions of withdrawal. If 
the permitting authority denies the CAIR NOX Ozone Season 
opt-in unit's request to withdraw, the CAIR designated representative 
may submit another request to withdraw in accordance with paragraphs (a) 
and (b) of this section.
    (f) Ability to reapply to the CAIR NOX Ozone Season 
Trading Program. Once a CAIR NOX Ozone Season opt-in unit 
withdraws from the CAIR NOX Ozone Season Trading Program and 
its CAIR opt-in permit is terminated under this section, the CAIR 
designated representative may not submit another application for a CAIR 
opt-in permit under Sec.  96.383 for such CAIR NOX Ozone 
Season opt-in unit before the date that is 4 years after the date on 
which the withdrawal became effective. Such new application for a CAIR 
opt-in permit will be treated as an initial application for a CAIR opt-
in permit under Sec.  96.384.
    (g) Inability to withdraw. Notwithstanding paragraphs (a) through 
(f) of this section, a CAIR NOX Ozone Season

[[Page 1070]]

opt-in unit shall not be eligible to withdraw from the CAIR 
NOX Ozone Season Trading Program if the CAIR designated 
representative of the CAIR NOX Ozone Season opt-in unit 
requests, and the permitting authority issues a CAIR opt-in permit 
providing for, allocation to the CAIR NOX Ozone Season opt-in 
unit of CAIR NOX Ozone Season allowances under Sec.  
96.388(c).

[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]



Sec.  96.387  Change in regulatory status.

    (a) Notification. If a CAIR NOX Ozone Season opt-in unit 
becomes a CAIR NOX Ozone Season unit under Sec.  96.304, then 
the CAIR designated representative shall notify in writing the 
permitting authority and the Administrator of such change in the CAIR 
NOX Ozone Season opt-in unit's regulatory status, within 30 
days of such change.
    (b) Permitting authority's and Administrator's actions. (1) If a 
CAIR NOX Ozone Season opt-in unit becomes a CAIR 
NOX Ozone Season unit under Sec.  96.304, the permitting 
authority will revise the CAIR NOX Ozone Season opt-in unit's 
CAIR opt-in permit to meet the requirements of a CAIR permit under Sec.  
96.323, and remove the CAIR opt-in permit provisions, as of the date on 
which the CAIR NOX Ozone Season opt-in unit becomes a CAIR 
NOX Ozone Season unit under Sec.  96.304.
    (2)(i) The Administrator will deduct from the compliance account of 
the source that includes the CAIR NOX Ozone Season opt-in 
unit that becomes a CAIR NOX Ozone Season unit under Sec.  
96.304, CAIR NOX Ozone Season allowances equal in amount to 
and allocated for the same or a prior control period as:
    (A) Any CAIR NOX Ozone Season allowances allocated to the 
CAIR NOX Ozone Season opt-in unit under Sec.  96.388 for any 
control period after the date on which the CAIR NOX Ozone 
Season opt-in unit becomes a CAIR NOX Ozone Season unit under 
Sec.  96.304; and
    (B) If the date on which the CAIR NOX Ozone Season opt-in 
unit becomes a CAIR NOX Ozone Season unit under Sec.  96.304 
is not September 30, the CAIR NOX Ozone Season allowances 
allocated to the CAIR NOX Ozone Season opt-in unit under 
Sec.  96.388 for the control period that includes the date on which the 
CAIR NOX Ozone Season opt-in unit becomes a CAIR 
NOX Ozone Season unit under Sec.  96.304, multiplied by the 
ratio of the number of days, in the control period, starting with the 
date on which the CAIR NOX Ozone Season opt-in unit becomes a 
CAIR NOX Ozone Season unit under Sec.  96.304 divided by the 
total number of days in the control period and rounded to the nearest 
whole allowance as appropriate.
    (ii) The CAIR designated representative shall ensure that the 
compliance account of the source that includes the CAIR NOX 
Ozone Season opt-in unit that becomes a CAIR NOX Ozone Season 
unit under Sec.  96.304 contains the CAIR NOX Ozone Season 
allowances necessary for completion of the deduction under paragraph 
(b)(2)(i) of this section.
    (3)(i) For every control period after the date on which the CAIR 
NOX Ozone Season opt-in unit becomes a CAIR NOX 
Ozone Season unit under Sec.  96.304, the CAIR NOX Ozone 
Season opt-in unit will be allocated CAIR NOX Ozone Season 
allowances under Sec.  96.342.
    (ii) If the date on which the CAIR NOX Ozone Season opt-
in unit becomes a CAIR NOX Ozone Season unit under Sec.  
96.304 is not September 30, the following amount of CAIR NOX 
Ozone Season allowances will be allocated to the CAIR NOX 
Ozone Season opt-in unit (as a CAIR NOX Ozone Season unit) 
under Sec.  96.342 for the control period that includes the date on 
which the CAIR NOX Ozone Season opt-in unit becomes a CAIR 
NOX Ozone Season unit under Sec.  96.304:
    (A) The amount of CAIR NOX Ozone Season allowances 
otherwise allocated to the CAIR NOX Ozone Season opt-in unit 
(as a CAIR NOX Ozone Season unit) under Sec.  96.342 for the 
control period multiplied by;
    (B) The ratio of the number of days, in the control period, starting 
with the date on which the CAIR NOX Ozone Season opt-in unit 
becomes a CAIR NOX Ozone Season unit under Sec.  96.304, 
divided by the total number of days in the control period; and

[[Page 1071]]

    (C) Rounded to the nearest whole allowance as appropriate.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006; 71 
FR 74794, Dec. 13, 2006]



Sec.  96.388  CAIR NOX Ozone Season allowance allocations to CAIR NOX 
Ozone Season opt-in units.

    (a) Timing requirements. (1) When the CAIR opt-in permit is issued 
under Sec.  96.384(e), the permitting authority will allocate CAIR 
NOX Ozone Season allowances to the CAIR NOX Ozone 
Season opt-in unit, and submit to the Administrator the allocation for 
the control period in which a CAIR NOX Ozone Season opt-in 
unit enters the CAIR NOX Ozone Season Trading Program under 
Sec.  96.384(g), in accordance with paragraph (b) or (c) of this 
section.
    (2) By no later than July 31 of the control period after the control 
period in which a CAIR NOX Ozone Season opt-in unit enters 
the CAIR NOX Ozone Season Trading Program under Sec.  
96.384(g) and July 31 of each year thereafter, the permitting authority 
will allocate CAIR NOX Ozone Season allowances to the CAIR 
NOX Ozone Season opt-in unit, and submit to the Administrator 
the allocation for the control period that includes such submission 
deadline and in which the unit is a CAIR NOX Ozone Season 
opt-in unit, in accordance with paragraph (b)or (c) of this section.
    (b) Calculation of allocation. For each control period for which a 
CAIR NOX Ozone Season opt-in unit is to be allocated CAIR 
NOX Ozone Season allowances, the permitting authority will 
allocate in accordance with the following procedures:
    (1) The heat input (in mmBtu) used for calculating the CAIR 
NOX Ozone Season allowance allocation will be the lesser of:
    (i) The CAIR NOX Ozone Season opt-in unit's baseline heat 
input determined under Sec.  96.384(c); or
    (ii) The CAIR NOX Ozone Season opt-in unit's heat input, 
as determined in accordance with subpart HHHH of this part, for the 
immediately prior control period, except when the allocation is being 
calculated for the control period in which the CAIR NOX Ozone 
Season opt-in unit enters the CAIR NOX Ozone Season Trading 
Program under Sec.  96.384(g).
    (2) The NOX emission rate (in lb/mmBtu) used for 
calculating CAIR NOX Ozone Season allowance allocations will 
be the lesser of:
    (i) The CAIR NOX Ozone Season opt-in unit's baseline 
NOX emissions rate (in lb/mmBtu) determined under Sec.  
96.384(d) and multiplied by 70 percent; or
    (ii) The most stringent State or Federal NOX emissions 
limitation applicable to the CAIR NOX Ozone Season opt-in 
unit at any time during the control period for which CAIR NOX 
Ozone Season allowances are to be allocated.
    (3) The permitting authority will allocate CAIR NOX Ozone 
Season allowances to the CAIR NOX Ozone Season opt-in unit in 
an amount equaling the heat input under paragraph (b)(1) of this 
section, multiplied by the NOX emission rate under paragraph 
(b)(2) of this section, divided by 2,000 lb/ton, and rounded to the 
nearest whole allowance as appropriate.
    (c) Notwithstanding paragraph (b) of this section and if the CAIR 
designated representative requests, and the permitting authority issues 
a CAIR opt-in permit'' (based on a demonstration of the intent to 
repower stated under Sec.  96.383(a)(5)) providing for, allocation to a 
CAIR NOX Ozone Season opt-in unit of CAIR NOX 
Ozone Season allowances under this paragraph (subject to the conditions 
in Sec. Sec.  96.384(h) and 96.386(g)), the permitting authority will 
allocate to the CAIR NOX Ozone Season opt-in unit as follows:
    (1) For each control period in 2009 through 2014 for which the CAIR 
NOX Ozone Season opt-in unit is to be allocated CAIR 
NOX Ozone Season allowances,
    (i) The heat input (in mmBtu) used for calculating CAIR 
NOX Ozone Season allowance allocations will be determined as 
described in paragraph (b)(1) of this section.
    (ii) The NOX emission rate (in lb/mmBtu) used for 
calculating CAIR NOX Ozone Season allowance allocations will 
be the lesser of:
    (A) The CAIR NOX Ozone Season opt-in unit's baseline 
NOX emissions rate

[[Page 1072]]

(in lb/mmBtu) determined under Sec.  96.384(d); or
    (B) The most stringent State or Federal NOX emissions 
limitation applicable to the CAIR NOX Ozone Season opt-in 
unit at any time during the control period in which the CAIR 
NOX Ozone Season opt-in unit enters the CAIR NOX 
Ozone Season Trading Program under Sec.  96.384(g).
    (iii) The permitting authority will allocate CAIR NOX 
Ozone Season allowances to the CAIR NOX Ozone Season opt-in 
unit in an amount equaling the heat input under paragraph (c)(1)(i) of 
this section, multiplied by the NOX emission rate under 
paragraph (c)(1)(ii) of this section, divided by 2,000 lb/ton, and 
rounded to the nearest whole allowance as appropriate.
    (2) For each control period in 2015 and thereafter for which the 
CAIR NOX Ozone Season opt-in unit is to be allocated CAIR 
NOX Ozone Season allowances,
    (i) The heat input (in mmBtu) used for calculating the CAIR 
NOX Ozone Season allowance allocations will be determined as 
described in paragraph (b)(1) of this section.
    (ii) The NOX emission rate (in lb/mmBtu) used for 
calculating the CAIR NOX Ozone Season allowance allocation 
will be the lesser of:
    (A) 0.15 lb/mmBtu;
    (B) The CAIR NOX Ozone Season opt-in unit's baseline 
NOX emissions rate (in lb/mmBtu) determined under Sec.  
96.384(d); or
    (C) The most stringent State or Federal NOX emissions 
limitation applicable to the CAIR NOX Ozone Season opt-in 
unit at any time during the control period for which CAIR NOX 
Ozone Season allowances are to be allocated.
    (iii) The permitting authority will allocate CAIR NOX 
Ozone Season allowances to the CAIR NOX Ozone Season opt-in 
unit in an amount equaling the heat input under paragraph (c)(2)(i) of 
this section, multiplied by the NOX emission rate under 
paragraph (c)(2)(ii) of this section, divided by 2,000 lb/ton, and 
rounded to the nearest whole allowance as appropriate.
    (d) Recordation. (1) The Administrator will record, in the 
compliance account of the source that includes the CAIR NOX 
Ozone Season opt-in unit, the CAIR NOX Ozone Season 
allowances allocated by the permitting authority to the CAIR 
NOX Ozone Season opt-in unit under paragraph (a)(1) of this 
section.
    (2) By September 1, of the control period in which a CAIR 
NOX Ozone Season opt-in unit enters the CAIR NOX 
Ozone Season Trading Program under Sec.  96.384(g), and September 1 of 
each year thereafter, the Administrator will record, in the compliance 
account of the source that includes the CAIR NOX Ozone Season 
opt-in unit, the CAIR NOX Ozone Season allowances allocated 
by the permitting authority to the CAIR NOX Ozone Season opt-
in unit under paragraph (a)(2) of this section.

[70 FR 25382, May 12, 2005, as amended at 71 FR 25396, Apr. 28, 2006]

[[Page 1073]]



                              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 1075]]



                    Table of CFR Titles and Chapters




                      (Revised as of July 1, 2023)

                      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 1076]]

     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)
        LX  Federal Communications Commission (Parts 6000--6099)

                        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)

[[Page 1077]]

      XXVI  Department of Defense (Parts 3600--3699)
    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  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)

[[Page 1078]]

    LXXIII  Department of Agriculture (Parts 8300--8399)
     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      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 (Parts 10100--10199)
       CII  U.S. Office of Special Counsel (Parts 10200--10299)
       CIV  Office of the Intellectual Property Enforcement 
                Coordinator (Part 10400--10499)

                      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)

[[Page 1079]]

      VIII  Agricultural Marketing Service (Federal Grain 
                Inspection Service, Fair Trade Practices Program), 
                Department of Agriculture (Parts 800--899)
        IX  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Fruits, Vegetables, Nuts), Department 
                of Agriculture (Parts 900--999)
         X  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Milk), Department of Agriculture 
                (Parts 1000--1199)
        XI  Agricultural Marketing Service (Marketing Agreements 
                and Orders; Miscellaneous Commodities), Department 
                of Agriculture (Parts 1200--1299)
       XIV  Commodity Credit Corporation, Department of 
                Agriculture (Parts 1400--1499)
        XV  Foreign Agricultural Service, Department of 
                Agriculture (Parts 1500--1599)
       XVI  [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]

[[Page 1080]]

      XLII  Rural Business-Cooperative Service and Rural Utilities 
                Service, Department of Agriculture (Parts 4200--
                4299)
         L  Rural Business-Cooperative Service, and Rural 
                Utilities Service, Department of Agriculture 
                (Parts 5000--5099)

                    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 (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  [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]

[[Page 1081]]

         X  Consumer Financial Protection Bureau (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)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research, Department of the 
                Treasury (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)

[[Page 1082]]

      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)
      XIII  East-West Foreign Trade Board (Parts 1300--1399)
       XIV  Minority Business Development Agency (Parts 1400--
                1499)
        XV  Office of the Under-Secretary for Economic Affairs, 
                Department of Commerce (Parts 1500--1599)
            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]

[[Page 1083]]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)
       III  Social Security Administration (Parts 400--499)
        IV  Employees' Compensation Appeals Board, Department of 
                Labor (Parts 500--599)
         V  Employment and Training Administration, Department of 
                Labor (Parts 600--699)
        VI  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  United States Agency for Global Media (Parts 500--599)
       VII  U.S. International Development Finance 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)

[[Page 1084]]

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)
        II  National Highway Traffic Safety Administration and 
                Federal Highway Administration, Department of 
                Transportation (Parts 1200--1299)
       III  National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 1300--1399)

                Title 24--Housing and Urban Development

            Subtitle A--Office of the Secretary, Department of 
                Housing and Urban Development (Parts 0--99)
            Subtitle B--Regulations Relating to Housing and Urban 
                Development
         I  Office of Assistant Secretary for Equal Opportunity, 
                Department of Housing and Urban Development (Parts 
                100--199)
        II  Office of Assistant Secretary for Housing-Federal 
                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)
         X  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Interstate Land Sales 
                Registration Program) (Parts 1700--1799) 
                [Reserved]
       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]

[[Page 1085]]

        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)

                           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)

[[Page 1086]]

        XI  Department of Justice and Department of State (Parts 
                1100--1199)

                            Title 29--Labor

            Subtitle A--Office of the Secretary of Labor (Parts 
                0--99)
            Subtitle B--Regulations Relating to Labor
         I  National Labor Relations Board (Parts 100--199)
        II  Office of Labor-Management Standards, Department of 
                Labor (Parts 200--299)
       III  National Railroad Adjustment Board (Parts 300--399)
        IV  Office of Labor-Management Standards, Department of 
                Labor (Parts 400--499)
         V  Wage and Hour Division, Department of Labor (Parts 
                500--899)
        IX  Construction Industry Collective Bargaining Commission 
                (Parts 900--999)
         X  National Mediation Board (Parts 1200--1299)
       XII  Federal Mediation and Conciliation Service (Parts 
                1400--1499)
       XIV  Equal Employment Opportunity Commission (Parts 1600--
                1699)
      XVII  Occupational Safety and Health Administration, 
                Department of Labor (Parts 1900--1999)
        XX  Occupational Safety and Health Review Commission 
                (Parts 2200--2499)
       XXV  Employee Benefits Security Administration, Department 
                of Labor (Parts 2500--2599)
     XXVII  Federal Mine Safety and Health Review Commission 
                (Parts 2700--2799)
        XL  Pension Benefit Guaranty Corporation (Parts 4000--
                4999)

                      Title 30--Mineral Resources

         I  Mine Safety and Health Administration, Department of 
                Labor (Parts 1--199)
        II  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

[[Page 1087]]

         I  Monetary Offices, Department of the Treasury (Parts 
                51--199)
        II  Fiscal Service, Department of the Treasury (Parts 
                200--399)
        IV  Secret Service, Department of the Treasury (Parts 
                400--499)
         V  Office of Foreign Assets Control, Department of the 
                Treasury (Parts 500--599)
        VI  Bureau of Engraving and Printing, Department of the 
                Treasury (Parts 600--699)
       VII  Federal Law Enforcement Training Center, Department of 
                the Treasury (Parts 700--799)
      VIII  Office of 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  Great Lakes St. Lawrence Seaway Development 
                Corporation, Department of Transportation (Parts 
                400--499)

[[Page 1088]]

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                Education (Parts 1--99)
            Subtitle B--Regulations of the Offices of the 
                Department of Education
         I  Office for Civil Rights, Department of Education 
                (Parts 100--199)
        II  Office of Elementary and Secondary Education, 
                Department of Education (Parts 200--299)
       III  Office of Special Education and Rehabilitative 
                Services, Department of Education (Parts 300--399)
        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  [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)

[[Page 1089]]

       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       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)
        IX  Federal Permitting Improvement Steering Council (Part 
                1900)

          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  (Parts 103-001--104-099) [Reserved]
       105  General Services Administration (Parts 105-1--105-999)

[[Page 1090]]

       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--Federal Acquisition Supply Chain Security
       201  Federal Acquisition Security Council (Parts 201-1--
                201-99).
            Subtitle E [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)

[[Page 1091]]

                       Title 45--Public Welfare

            Subtitle A--Department of Health and Human Services 
                (Parts 1--199)
            Subtitle B--Regulations Relating to Public Welfare
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)
       III  Office of Child Support Enforcement (Child Support 
                Enforcement Program), Administration for Children 
                and Families, Department of Health and Human 
                Services (Parts 300--399)
        IV  Office of Refugee Resettlement, Administration for 
                Children and Families, Department of Health and 
                Human Services (Parts 400--499)
         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)

[[Page 1092]]

                      Title 47--Telecommunication

         I  Federal Communications Commission (Parts 0--199)
        II  Office of Science and Technology Policy and National 
                Security Council (Parts 200--299)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)
        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           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)

[[Page 1093]]

        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]
        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)

[[Page 1094]]

        IV  Joint Regulations (United States Fish and Wildlife 
                Service, Department of the Interior and National 
                Marine Fisheries Service, National Oceanic and 
                Atmospheric Administration, Department of 
                Commerce); Endangered Species Committee 
                Regulations (Parts 400--499)
         V  Marine Mammal Commission (Parts 500--599)
        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 1095]]





           Alphabetical List of Agencies Appearing in the CFR




                      (Revised as of July 1, 2023)

                                                  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 1096]]

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
Benefits Review Board                             20, VII
Bilingual Education and Minority Languages        34, V
     Affairs, Office of
Blind or Severely Disabled, Committee for         41, 51
     Purchase from People Who Are
  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 Affairs, Office of the Under-          15, XV
       Secretary for
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  Foreign-Trade Zones Board                       15, IV
  Industry and Security, Bureau of                15, VII
  International Trade Administration              15, III; 19, III
  National Institute of Standards and Technology  15, II; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
Commercial Space Transportation                   14, III
Commodity Credit Corporation                      7, XIV
Commodity Futures Trading Commission              5, XLI; 17, I
Community Planning and Development, Office of     24, V, VI
     Assistant Secretary for
Community Services, Office of                     45, X
Comptroller of the Currency                       12, I
Construction Industry Collective Bargaining       29, IX
     Commission
Consumer Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
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

[[Page 1097]]

  Defense Logistics Agency                        32, I, XII; 48, 54
  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 Affairs, Office of the Under-Secretary   15, XV
     for
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
[[Page 1098]]

Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Acquisition Security Council              41, 201
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 2, LX; 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 Permitting Improvement Steering Council   40, IX
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

[[Page 1099]]

  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    41, 304
       Expenses
  Payment of Expenses Connected With the Death    41, 303
       of Certain Employees
  Relocation Allowances                           41, 302
  Temporary Duty (TDY) Travel Allowances          41, 301
Geological Survey                                 30, IV
Government Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Great Lakes St. Lawrence Seaway Development       33, IV
     Corporation
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 5, LXV; 24, 
                                                  Subtitle B
  Community Planning and Development, Office of   24, V, VI
       Assistant Secretary for
  Equal Opportunity, Office of Assistant          24, I
       Secretary for
  Federal Acquisition Regulation                  48, 24
  Federal Housing Enterprise Oversight, Office    12, XVII
       of
  Government National Mortgage Association        24, III
  Housing--Federal Housing Commissioner, Office   24, II, VIII, X, XX
       of Assistant Secretary for
  Housing, Office of, and Multifamily Housing     24, IV
       Assistance Restructuring, Office of
  Inspector General, Office of                    24, XII
  Public and Indian Housing, Office of Assistant  24, IX
       Secretary for
  Secretary, Office of                            24, Subtitle A, VII
Housing--Federal Housing Commissioner, Office of  24, II, VIII, X, XX
     Assistant Secretary for
Housing, Office of, and Multifamily Housing       24, IV
     Assistance Restructuring, Office of
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
     Secretary
Indian Arts and Crafts Board                      25, II

[[Page 1100]]

Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Intellectual Property Enforcement Coordinator,    5, CIV
     Office of
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 Environmental Enforcement, Bureau    30, II
       of
  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
  Benefits Review Board                           20, VII
  Employee Benefits Security Administration       29, XXV
  Employees' Compensation Appeals Board           20, IV
  Employment and Training Administration          20, V
  Federal Acquisition Regulation                  48, 29

[[Page 1101]]

  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
  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, VI
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; 47, II

[[Page 1102]]

National Technical Information Service            15, XI
National Telecommunications and Information       15, XXIII; 47, III, IV, V
     Administration
National Transportation Safety Board              49, VIII
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 and Indian Housing, Office of Assistant    24, IX
     Secretary for
Public Contracts, Department of Labor             41, 50
Public Health Service                             42, I
Railroad Retirement Board                         20, II
Reclamation, Bureau of                            43, I
Refugee Resettlement, Office of                   45, IV
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
Rural Business-Cooperative Service                7, XVIII, XLII, L
Rural Development Administration                  7, XLII
Rural Housing Service                             7, XVIII, XXXV, L
Rural Utilities Service                           7, XVII, XVIII, XLII, L
Safety and Environmental Enforcement, Bureau of   30, II
Science and Technology Policy, Office of          32, XXIV; 47, II
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

[[Page 1103]]

  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
Tennessee Valley Authority                        5, LXIX; 18, XIII
Trade Representative, United States, Office of    15, XX
Transportation, Department of                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Great Lakes St. Lawrence Seaway Development     33, IV
       Corporation
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  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 Agency for Global Media             22, V
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
U.S. Office of Special Counsel                    5, CII
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 1105]]



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, 2018 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.

                                  2018

40 CFR
                                                                   83 FR
                                                                    Page
Chapter I
86.000-7 Introductory text reinstated; CFR correction..............18436
86.1920 Heading added; CFR correction..............................30573

                                  2019

                       (No regulations published)

                                  2020

40 CFR
                                                                   85 FR
                                                                    Page
Chapter I
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
    (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
    (a) and (d)(2) revised; (b)(1)(ix), (x), (4)(xiii) and (xiv) 
added..............................................................25270
    (a) and (d)(2) correctly revised; (b)(1)(ix) and (xiii) added 
                                                                   40905
86.1870-12 (a)(2) and (b)(2) revised...............................25271

                                  2021

40 CFR
                                                                   86 FR
                                                                    Page
Chapter I
85.1401--85.1415 (Subpart O) Removed; eff. 7-29-21.................34363
85.1501 (a) revised; eff. 7-29-21..................................34363
85.1511 (b)(5) added; eff. 7-29-21.................................34363
85.1514 Revised; eff. 7-29-21......................................34363
85.1701 (a)(1) revised; eff. 7-29-21...............................34363
85.1712 Revised; eff. 7-29-21......................................34363
85.1801 Revised; eff. 7-29-21......................................34363
85.1807 Revised; eff. 7-29-21......................................34364
85.1808 Revised; eff. 7-29-21......................................34364
85.1902 (b)(2) revised; eff. 7-29-21...............................34364
85.2102 (a)(18) revised; (b) added; eff. 7-29-21...................34364
85.2115 (a)(4) revised; eff. 7-29-21...............................34364
85.2301 Revised; eff. 7-29-21......................................34364
86.1 (a) amended; (b)(19) through (21) redesignated as (b)(21) 
        through (23); new (b)(19) and (20) added; eff. 7-29-21.....34364

[[Page 1106]]

    (g)(3) through (27) redesignated as (g)(4) through (28); new 
(g)(3) added.......................................................74521
86.004-15 (a)(1) revised; eff. 7-29-21.............................34364
86.010-18 (g)(2)(ii)(B), (iii)(C), (p)(3), and (4) revised; 
        (g)(2)(iii)(D) added; (l)(2)(ii) removed; eff. 7-29-21.....34364
86.113-04 (a)(1) revised; eff. 7-29-21.............................34365
86.129-00 (f)(1)(ii)(C) revised; eff. 7-29-21......................34366
86.130-96 (a) revised; eff. 7-29-21................................34366
86.213 (a)(2) revised; eff. 7-29-21................................34366
86.401-97 Removed; eff. 7-29-21....................................34366
86.408-78 (c) and (d) added; eff. 7-29-21..........................34366
86.413-78 Removed; eff. 7-29-21....................................34366
86.419-2006 (b) introductory text revised; eff. 7-29-21............34366
86.427-78 (a)(1) revised; eff. 7-29-21.............................34366
86.435-78 (b)(1) revised; eff. 7-29-21.............................34367
86.436-78 (d) revised; eff. 7-29-21................................34367
86.513 (a)(1) revised; (a)(3) added; eff. 7-29-21..................34367
86.531-78 revised; eff. 7-29-21....................................34367
86.1362 revised; eff. 7-29-21......................................34367
86.1501--86.1544 (Subpart P) Removed; eff. 7-29-21.................34371
86.1601--86.1606 (Subpart Q) Removed; eff. 7-29-21.................34371
86.1803-01 Amended; eff. 7-29-21...................................34371
86.1806-17 (a) introductory text revised...........................74522
86.1811-17 (b)(8)(iii)(C) revised; eff. 7-29-21....................34371
86.1813-17 Introductory text and (a)(2)(i) revised; eff. 7-29-21 
                                                                   34371
86.1817-05 (a)(1) revised; eff. 7-29-21............................34371
86.1818-12 (d) revised; eff. 7-29-21...............................34371
    (c)(2)(i), (3)(i), and (e)(3)(ii)(A) revised...................74522
86.1838-01 (c)(2)(iii) revised; eff. 7-29-21.......................34371
86.1865-12 (k)(2), (3), and (6) revised............................74524
86.1866-12 Heading and (b) revised; (c)(3) added...................74524
86.1867-12 Heading revised.........................................74525
86.1868-12 (g) introductory text revised; (g)(5) added; eff. 7-29-
        21.........................................................34372
86.1869-12 (b)(2), (4)(v), (vi), (x), and (d)(2)(ii)(A) revised....74525
86.1870-12 Heading, (a)(2), and (b)(2) revised.....................74526
87.8 (a) and (b)(1) revised.........................................2171
88 Revised; eff. 7-29-21...........................................34372
89 Revised; eff. 7-29-21...........................................34372
90 Revised; eff. 7-29-21...........................................34372
91 Revised; eff. 7-29-21...........................................34372
92 Revised; eff. 7-29-21...........................................34373
94 Revised; eff. 7-29-21...........................................34373

                                  2022

40 CFR
                                                                   87 FR
                                                                    Page
Chapter I
87 Revised.........................................................72350

                                  2023

   (Regulations published from January 1, 2023, through July 1, 2023)

40 CFR
                                                                   88 FR
                                                                    Page
Chapter I
85.1501 (a) revised.................................................4471
85.1513 (e)(5) removed..............................................4472
85.1514 Revised.....................................................4472
85.1515 (a)(2)(ii)(A) revised.......................................4472
85.1701 (a)(1), (b), and (c) revised................................4472
85.1712 Removed.....................................................4472
85.1808 Revised.....................................................4472
85.1901 (a) revised.................................................4472
85.1909 Revised.....................................................4472
85.2101--85.2123 (Subpart V) Heading revised........................4472
85.2102 (a)(1), (2), (4) through (6), (10), and (13) revised........4472
85.2103 (a)(3) revised..............................................4472
85.2104 (a) and (h) introductory text revised.......................4473
85.2106 (b) introductory text, (c), (d) introductory text, (2), 
        and (g) revised.............................................4473
85.2107 (a) and (b) revised.........................................4473
85.2109 (a) introductory text and (6) revised.......................4473
85.2111 Introductory text, (b) introductory text, (c), and (d) 
        revised.....................................................4473
85.2123 Revised.....................................................4473

[[Page 1107]]

85.2201--85.2231 (Subpart W) Heading revised........................4473
86.007-11 (f) and (g) introductory text revised.....................4473
86.008-10 (g) introductory text revised.............................4474
86.010-18 (a) introductory text revised; (o) removed................4474
86.016-1 (a) introductory text, (d) introductory text, and (4) 
        revised; (j) added..........................................4474
86.090-5 (b)(4) added...............................................4474
86.117-96 (d)(1) revised............................................4474
86.137-94 (b)(24) revised...........................................4475
86.143-96 (b)(1)(i) revised.........................................4475
86.154-98 (e)(9) revised............................................4475
86.450 Added........................................................4475
86.884-1--86.884-14 (Subpart I) Correctly removed..................15279
86.1117 Added.......................................................4475
86.1301 Revised.....................................................4475
86.1302-84 Removed..................................................4476
86.1303-84 Removed..................................................4476
86.1304 Removed.....................................................4476
86.1362 (b) revised.................................................4476
86.1372 (a) introductory text revised...............................4478
86.1801-12 (a) introductory text, (2)(iii), (3) introductory text, 
        (iii), (iv), (b), and (g) revised...........................4478
86.1806-17 (a)(9) and (b)(4) added..................................4478
86.1810-17 (j) and (k) added........................................4478
86.1813-17 (a)(2)(iii) and (b) revised..............................4478
86.1819 Removed.....................................................4479
86.1819-14 (d)(12)(i) revised.......................................4479
86.1821-01 (a) revised; (g) added...................................4479
86.1823-08 (c)(1)(iv)(A) and (m)(1) revised; (m) introductory text 
        added.......................................................4479
86.1843-01 (f)(2) revised; (i) added................................4480
86.1869-12 (d)(2)(i) revised........................................4480


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