[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]]
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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
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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EFFECTIVE AND EXPIRATION DATES
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OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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PAST PROVISIONS OF THE CODE
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``[RESERVED]'' TERMINOLOGY
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INCORPORATION BY REFERENCE
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This material, like any other properly issued regulation, has the force
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What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If
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CFR INDEXES AND TABULAR GUIDES
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this volume.
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that volume.
[[Page vii]]
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the revision dates of the 50 CFR titles.
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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)
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Part
chapter i--Environmental Protection Agency (Continued)...... 85
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
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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,
[[Page 145]]
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)
[[Page 146]]
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
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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
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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
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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
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(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
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(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
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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
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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
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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
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``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
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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.
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(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
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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.
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(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
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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
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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
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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
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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
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(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.
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(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
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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